Overview of Services

1. Overview of Services Office of Research Services Fall 2005

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

3. 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/

4. 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/

5. 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/

6. 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/

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

8. Corporate Contracts • SHEILA ATKINS M.S. W. – ASSOCIATE DIRECTOR (215) 573-6713 or satkins@pobox.upenn.edu • EDWARD PIETERS Ph.D. – ASSOCIATE DIRECTOR(215) 573-6712 or pieters@pobox.upenn.edu • ADAM RIFKIND, Esq. – ASSOCIATE DIRECTOR(215) 898-9990 or rifkind@pobox.upenn.edu • CLIFFORD WEBER, Esq. – ASSOCIATE DIRECTOR 215-898-9984 or ck@pobox.upenn.edu • BENITA HALL– CONTRACTS ADMINISTRATOR(215) 573-6709 or benitah@pobox.upenn.edu • http://www.upenn.edu/researchservices/

9. 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/

10. Overview on Corporate Contracts • CTA Tracking Database: Current Metrics -Track Turnaround time for Clinical Trial Agreements -Currently ORS has about a 30 day median turnaround time -Currently, about 240 CTA’s; 70+ Supplements/Amendments yearly • http://www.upenn.edu/researchservices/

11. 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 25 days • About 80 SRA’s and 30 amendments annually • http://www.upenn.edu/researchservices/

12. 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/

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

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

15. 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/

16. 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/

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 • Yvette Acevedo • 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 • SPIN Plus • SPIN - Sponsored Program Information Network • Searchable funding opportunities database • Governmental & private sponsors, both US & International • GENIUS – Global Expertise Network for Industry Universities and Scholars • Searchable expertise profile system that contains researcher curriculum vitae (cv). • SMARTS matches profiles with funding opportunities and automatically delivers daily updates via email. • Proposal Tracking • A comprehensive system for collecting, tracking and reporting both proposal and award information. • Protocol Tracking • 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. Recent Project Achievements • Research Tab (portal) on U@Penn – 7/05 • U@Penn Research Tab • Provide a comprehensive, customizable collection of resources related to research at Penn • Protocol Summary Benchmark Report – 5/05 • PennERA system-wide upgrade – 4/05 • End-User Support infrastructure – 2/05 • PennERAhelp@pobox.upenn.edu • Help Line 746-2600 • Web Form Support • AIS Online – 10/04 • Account Information Sheet readily available as a web-based report as AIS Online in Ben Reports

21. Current Initiatives • Proposal/Award Tracking Rollout • View-Only access for School and Department level research administrators • Requires School/Center Access Administrator approval for users • Access will be using ORG based security • Currently testing that existing infrastructure is sufficient to support this initiative • Proposal Development – (planning phase) • Initiative to streamline: • Putting together a project proposal • Online internal routing and approval process • Allow system to system electronic submission to sponsor

22. Office of Research Services Post Award Kerry Peluso, Director

23. Financial Reporting & Invoicing • Current Staff: • 2 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 • Award Management

24. Accounts Receivable • Staff: • Manager • 2 Accountants • 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 • Monitoring and maintenance of ORS Suspense fund • Sponsored Projects Policy 2125

25. Data Management • Staff: • Manager • 1 Financial Analyst, 2 Accountants • Main Responsibilities: • 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 • Providing monthly reports to departments • Maintenance of Sponsored Projects related Ben Attributes • Responding to audit requests • Sponsored Projects Handbook - Audits

26. 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/