Office of Research Services Pre-Award Group Pam Caudill, Director

1. Office of Research Services Pre-Award Group Pam Caudill, Director

2. Pre-Award/Non Financial Administration • Director • Associate/Assistant Directors (4) • Contract Administrators (5) • Administrative Assistants (3) • Supervisor, Operations • Grant/Contract Assistants (3) • http://www.upenn.edu/researchservices/

3. Proposals • Assist with Proposal Preparation • Proposal Review and Approval • 4300+ in FY05 • Review for Compliance with University and Sponsor Guidelines • Address inquiries from Sponsors • “Just in Time” Requests • Clarifications • http://www.upenn.edu/researchservices/

4. Award Processing • Negotiate and Accept Awards • Must comply with University policies • Verify Regulatory Compliance • Account Set Up • Average of 700 AIS’s per month • Monitor AIS-Prob • Post Award Administration • Subcontracts • Subaccounts • Restrictions • http://www.upenn.edu/researchservices/

5. Other Duties • Review Foreign Travel on Federal Awards • Review and approve additional pay forms • Closeout • Monitor Submission of Technical Reports • Endorse Final Invention Statements • Endorse Relinquishing statements • Training and Professional Development • Sponsored Programs Workshop • Brown Bags • Department Visits • Newsletter submissions • http://www.upenn.edu/researchservices/

6. Office of Research Services Corporate Contracts Donald T. Deyo, Esq., Director

7. Overview on Corporate Contracts • Corporate Contracts group: responsible for the review, negotiation and execution of contracts with corporate sponsors. The bulk of such contracts are Sponsored Research Agreements (SRAs) and Clinical Trial Agreements (CTAs). • SRAs and CTAs are negotiated to ensure that all research and teaching activities conducted under such contracts contain terms and conditions to ensure compliance with University policies and government regulations in the areas of human subjects, laboratory animals and other important areas. • Certain Commonwealth and City of Philadelphia Contracts • Support Research proposals from NGOs • Establish AISs for Corporate Contracts • http://www.upenn.edu/researchservices/

8. Overview on Corporate Contracts • CTA Tracking Database: Current Metrics -Track Turnaround time for Clinical Trial Agreements -Currently ORS has about a 25 day median turnaround time -Currently, about 240 CTA’s; 70+ Supplements/Amendments yearly • http://www.upenn.edu/researchservices/

9. Overview on Corporate Contracts • SRA Database: Metrics are median negotiation time from when contract first received until i) completed and ii) Penn signs contract. • Medians about 30 days • About 70 SRA’s and 70 amendments annually • http://www.upenn.edu/researchservices/

10. Overview on Corporate Contracts Important Efforts to Improve Service to Faculty -Increase number of standard and master agreements to reduce negotiation time. -Early CTA Review Form to allow negotiations of clinical trial agreements to begin at an earlier stage. -Encourage use of ORS template agreements -Work closely with OGC, Corporate Alliances, CTT on contract negotiations. • http://www.upenn.edu/researchservices/

11. Overview on Corporate Contracts • Primary Contract Issues • Publication • Intellectual Property • Indemnification • Confidentiality • Termination • Data Ownership • Export Control Laws • http://www.upenn.edu/researchservices/

12. Office of Research Services Federal Compliance Group Bob McCann, Director Annamaria Molnar, Financial Analyst

13. Federal Compliance Group • Responsibilities Include: • F&A Cost Rate Proposal and Negotiation • Effort Reporting: Central Administrator of new web based system (ERS) • Provide hands on desk top training on ERS System • Help Desk Support for ERS • Service Center Budget and Rate Schedule Review • Negotiate Annual Employee Benefit Rate with DHHS • http://www.upenn.edu/researchservices/

14. Federal Compliance Group • Annual A-133 Audit • Principal Investigator Interviews • Service Center financial reports/analyses • Monitor Subcontractor’s Audits • Prepare responses to audit findings • Submit PwC report to Federal Clearing House • Respond to Federal Agency Audit Questions • http://www.upenn.edu/researchservices/

15. Current Issues • FY07 is a Base Year for the next F&A Proposal • We will calculate the FY06 rate to see where we are • All the research space need to be updated in FY07 • New instructions will be distributed this Fall

16. Current Issues Con’t • We will have a consultant provide space training in February • Space updates need to be done by the end of July 07 • He will be available to provide assistance to departments • The consultants will perform a quality review before we include the space in the FY07 proposal

17. Office of Research Services Todd S. Swavely, PennERA Project Manager • PennERA Website

18. Electronic Research Administration: Project Development and User Support • Staff • W. Stuart Watson • Stephen Fratantaro • Emerson Taylor • Project Purpose • PennERA is a multistage project that includes implementing new and improved systems and processes to support research and research administration at Penn • What is PennERA?

19. PennERA Core Modules • Find Funding • SPIN - Sponsored Program Information Network • Searchable funding opportunities database • Governmental & private sponsors, both US & International • SMARTS matches profiles with funding opportunities and automatically delivers daily updates via email • Proposal Tracking (PT) • A comprehensive system for collecting, tracking and reporting both proposal and award information • View access using ORG based security for School and Department level research administrators • Protocol Tracking modules (HSM & LAM) • A system to manage, track and report Animal Use and Human Subjects protocols reviewed by the IACUC and IRBs respectively. It can create and distribute agendas, minutes and other communications to investigators and reviewers. • PennERA Application

20. Some Project Achievements • Research Tab (portal) on U@Penn • U@Penn Research Tab • Provide a comprehensive, customizable collection of resources related to research at Penn • Protocol Summary Benchmark Report • End-User Support infrastructure • PennERAhelp@pobox.upenn.edu • Help Line 746-2600 • Web Form Support • AIS Online • Account Information Sheet readily available as a web-based report as AIS Online in Ben Reports

21. Current Initiatives • Proposal Development (PD) • Currently in Pilot implementation with select ORGs in 5 Schools (October 10 – November 3) • Secures application accessible to authorized users wherever the internet is available • Create, modify and assemble proposals • Route internally for review and approval • Submit to federal sponsors electronically System-to-System • Alternatively to produce completed printed forms for mailing • Mac and PC compatible • Using Penn standard web browsers • Pdf file viewer (e.g. Adobe Reader) • Research plan can be created using standard desktop applications of users’ choice

22. Office of Research Services Post Award Financial Administration Kerry Peluso, Director (215) 573-6705 pelusok@pobox.upenn.edu

23. Research ServicesPost Award Financial Reporting & Invoicing

24. Accounts Receivable and Data Management

25. Financial Reporting & Invoicing • Current Staff (13): • 3 Assistant/Associate Directors • 2 Team Leaders • 8 Accountants • Main Responsibilities: • Invoicing sponsors per terms of agreement • Interim and final financial reporting • Monitoring and review of charges to sponsored projects • Reconciliation and closeout of awards • Responding to Unfreeze Requests • Disabling funds • Provide training and guidance to departments • Coordinate/Participate in audits

26. Accounts Receivable & Data Management • Staff (8): • 1 Associate Director • 1 Manager • 1 Financial Analyst, 1 Collection Analyst • 1 Accountant • 3 Staff Assistants/Financial Coordinators/Clerks • Main Responsibilities: • Appropriately recording cash receipts • Processing AIS’s for Clinical Trials (except initial AIS) • Following up on aged receivables • Resolving AR issues with departments and sponsors • continued

27. Accounts Receivable & Data Management • Main Responsibilities (continued): • Monitoring and maintenance of ORS Suspense fund • Assisting University personnel in obtaining reports and data on sponsored projects • Oversight for BRIM Invoicing System • Letter of Credit Drawdowns and Reporting • Reporting of ORS data • Management of Document Imaging Project • Providing monthly reports to departments • Maintenance of Sponsored Projects related Ben Attributes • Responding to audit requests

28. Post AwardPrimary Goals for FY07 • Completion of Post Award Process Review • Reduction of Aged Receivables • Maintenance of Current AR • High level of on time FSR reporting (high honors is >95%) • Maintenance of Expired Overdrafts level • Improve training to and communication with Departments

29. Current Projects • Document Imaging Project • Subrecipient Monitoring Program including Development of Subrecipient Audit Program • Implementation of New Sponsored Programs at Penn • Further Development and Completion of Post Award Procedure Manual

30. Other Post Award Responsibilities • Publishing ORS Newsletter and contributions to it • Updating and oversight of updates to ORS Website • Review of extra compensation and foreign travel reimbursement requests • Sponsored Programs at Penn training and other departmental training • Brown Bags • Policy and Procedure development • Departmental visits • Subrecipient Monitoring in collaboration with PreAward Group • A-133 Audit

31. Other ORS Areas • Website – Contact Kerry Peluso • http://www.upenn.edu/researchservices/ • ORS Monthly Newsletter – Contact Kerry Peluso or another ORS staff member • http://www.upenn.edu/researchservices/ • Listserv – Subscribe via link on ORS Home Page • http://www.upenn.edu/researchservices/mail.html • Training – See training page of web site and/or contact ORS Director for more information and guidance • http://www.upenn.edu/researchservices/training.html • ORS Spotlights – Info to know • http://www.upenn.edu/researchservices/