Office of Research Services
Overview of Services
Fall 2005
The Office of Research Services 1
Office of Research Services
Pre-Award Group
Pam Caudill, Director
The Office of Research Services 2
Pre-Award/Non Financial
Administration
• Director
• Associate/Assistant Directors (4)
• Contract Administrators (5)
• Administrative Assistants (3)
• Supervisor, Operations
• Grant/Contract Assistants (3)
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http://www.upenn.edu/researchservices/
The Office of Research Services 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
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http://www.upenn.edu/researchservices/
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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
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http://www.upenn.edu/researchservices/
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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
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Sponsored Programs Workshop
Brown Bags
Department Visits
Newsletter submissions
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http://www.upenn.edu/researchservices/
The Office of Research Services 6
Office of Research Services
Corporate Contracts
Donald T. Deyo, Esq., Director
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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
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http://www.upenn.edu/researchservices/
The Office of Research Services 8
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/
The Office of Research Services 9
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
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http://www.upenn.edu/researchservices/
The Office of Research Services 10
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
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http://www.upenn.edu/researchservices/
The Office of Research Services 11
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.
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http://www.upenn.edu/researchservices/
The Office of Research Services 12
Overview on Corporate
Contracts
• Primary Contract Issues
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Publication
Intellectual Property
Indemnification
Confidentiality
Termination
Data Ownership
Export Control Laws
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http://www.upenn.edu/researchservices/
The Office of Research Services 13
Office of Research Services
Federal Compliance
Group
Bob McCann, Director
Annamaria Molnar, Financial Analyst
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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
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http://www.upenn.edu/researchservices/
The Office of Research Services 15
Federal Compliance Group
• Annual A-133 Audit
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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
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http://www.upenn.edu/researchservices/
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Office of Research Services
Todd S. Swavely, PennERA Project Manager
»PennERA Website
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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
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What is PennERA?
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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
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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 webbased report as AIS Online in Ben Reports
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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
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Office of Research Services
Post Award
Kerry Peluso, Director
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Financial Reporting & Invoicing
• Current Staff:
– 2 Assistant/Associate Directors
– 2 Team Leaders
– 8 Accountants
• Main Responsibilities:
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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
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Accounts Receivable
• Staff:
– Manager
– 2 Accountants
• Main Responsibilities:
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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
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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
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Other ORS Areas
• Website – Contact Kerry Peluso
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http://www.upenn.edu/researchservices/
• ORS Monthly Newsletter – Contact Kerry Peluso or
another ORS staff member
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http://www.upenn.edu/researchservices/
• Listserv – Subscribe via link on ORS Home Page
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http://www.upenn.edu/researchservices/mail.html
• Training – See training page of web site and/or
contact ORS Director for more information and guidance
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http://www.upenn.edu/researchservices/training.html
• ORS Spotlights – Info to know
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http://www.upenn.edu/researchservices/
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