June 2004Volume 2, Issue 11

Office of Research Services-- Research Administration News --

Individual Highlights:

NIH News 2

Penn ERA 3

FAQ’s 4

Training 5

ORS Staff List 7

Special Interest Articles:

• Need to contact an ORS staff member? See page 7

• Need to negotiate a contract? See page 4

• BEN Changes -See Page

2

NCI Issues a Reminder Regarding Any Applications Requesting $500,000 or More in

Direct Costs

Penn’s Standard Industrial Clinical Trial Agreement has been Revised

October 2002Volume 1, Issue 3

Office of Research Services-- Research Administration News --

Individual Highlights:

NIH News 1&2

Training 3

FAQ’s 5

ORS Staff List 6

Special Interest Articles:

• IMPORTANT! --Fall Effort Reports must be submitted immediately

– See page 8 • Questions about

Allocability? – See page 4

• How are Project

Periods and Budget Periods set up?

– See page 6

Proposal Tracking Module Implemented

We are pleased to announce that the new Proposal Tracking module of the PennERA system went live on Tuesday, October 14th. The implementation was a success and Research Services has been using the system to enter new proposal and award records.

The next PennERA implementation will be Proposal Tracking data in the Data Warehouse, which is scheduled to occur October 24, 2003. As part of this implementation there will be a new Business Objects universe. The PennERA team has been requesting that current Business Objects users place their queries in the repository so that we can assist with converting these queries to the new universe. We have not received many responses to this request, so we are positioning technical team staff to provide extended support to those users who may require assistance converting their queries. We plan to provide this extended support for two to three weeks after the Data Warehouse implementation. In addition we will continue to work with the Reports Working Group to facilitate a smooth transition.

Finally we’d like to encourage your patience as ORS staff acclimates to the new system. While we do not anticipate excessive delays with business operations, we do expect to experience some slowdown during this transitional period. We appreciate your patience during this time.

More Information about PennERAFor the most current information, please visit the PennERA project web site at http://www.pennera.upenn.edu/project/. If you have any questions, comments, or suggestions, please send an e-mail to pennera@pobox.upenn.edu.

--Robin H. BeckVice President of Information Systems and Computing

--Andrew B. Rudczynski, Ph. D.Executive Director of Research Services and Associate Vice President of

Finance--Joseph R. Sherwin, Ph.D.

Director of the Office of Regulatory Affairs

Revised Cost Sharing Procedures

In April 2002 ORS issued a procedure and form for identifying Cost Sharing and In-Kind or Matching Requirements on sponsored projects. Since that time we have received comments that some aspects of the procedures were not clear and that specific information on the account set up process was needed.

Last month, ORS sent a revised procedure and form to the Business Advisory Board for review and comment. Based on the comments we received, we revised the procedures to clarify the requirements and included specific information related to the manner in which the cost share fund will be set up and linked to the award fund in Ben Financials. We also modified the cost share form slightly to help eliminate any confusion in filling out the form.

The new procedures and form are now available on the Research Services web site. The revised procedure as well as the cost sharing form and accompanying instructions can be accessed at http://www.upenn.edu/researchservices/CostSharing.html. Please begin using the new form for all proposals and awards in which cost sharing is a requirement.

For more information on cost sharing topics, please see Sponsored Programs Policy 2119 . Questions regarding cost sharing can be directed to Bob McCann, Director of Cost Studies, at 898-1469 or mccannr@pobox.upenn.edu, Kerry Peluso, Post Award Director, at 573-6705 or pelusok@pobox.upenn.edu or Pam Caudill, Pre Award Director at 573-6706.or caudill@pobox.upenn.edu.

Special Interest Articles:• SPRING EFFORT REPORTS

DUE TO ORS BY MONDAY NOVEMBER 17

• Wonder Why the Fund Number for your Project Changed? --

See page 5

• Find Out How to Set Up a PI in NIH Commons --

See page 6

• Upcoming Training -Sponsored Programs at Penn –

See page 4

SPIN Plus Released to Penn CommunitySpecial Interest Articles:

• NEW! Great New Tool for info on Research Administration – Check out the Office of Research Integrity and Compliance’s new website --

See page 3

• Questions about the new AIS’s?--

See page 4 • Proper closeout

procedures for NIH Grants – See page

Office of Research Services

Page 2 of 11

National Council for University Research Administrators (NCURA) Annual Meeting, November 2 – 5, 2003 www.ncura.edu

Upcoming Training Opportunities for Research Administrators

Some Tips on Completing Final Invention and Relinquishing Statements

Below are some tips to help expedite the processes required to ensure proper processing and timely release of these documents.

1. NIH Eliminates Pre-Printed Face Pages for Non-Competing Grant Progress Reports

As part of its effort to transition from paper-based to electronic transactions, NIH has eliminated its practice of providing pre-printed "face pages" for Non-competing Grant Progress Reports (Type 5applications). Instead, grantee officials at each institution can run on demand a report that lists when progress reports are due. See NIH Guide Announcement NOT-OD-02-066 for more informationhttp://grants1.nih.gov/grantsnotice/guide/-files/NOT-OD-02-066.html/

2. NIGMS Reminds Grantees to use their Correct Address:

NIGMS has recently written to all NIGMS grantees because they have noted that many applications have been sent to obsolete addresses. The correct address for submitting non-competing (Type 5) applications to NIGMS is:

National Institute of General Medical Sciences

Payroll Freeze in Ben FinancialsAvailable on October 20NEW NIH Policy on Sharing of Model

Organisms The NIH announced the new policy in a May 7 NIH Guide notice, available at: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-04-042.html.

NIH has long sought to ensure that research resources developed with NIH funding are made readily available in a timely fashion to the research community for further research, development, and application to therapeutic agents. [See NIH Grants Policy Statement (http://grants.nih.gov/grants/policy/nihgps_2003/index.htm); NIH Research Tools Policy, also referred to as Principles and Guidelines for Recipients of NIH Research Grants and Contracts on Obtaining and Disseminating Biomedical Research Resources: Final Notice (http://ott.od.nih.gov/NewPages/RTguide_final.html), December 1999).

The goal of making research resources readily available was reaffirmed and expanded in the May 7 NIH Guide notice regarding the new policy on sharing of model organisms. All investigators submitting an NIH application or contract proposal beginning with the October 1, 2004 receipt date, are expected to include in the application/proposal a description of a specific plan for sharing and distributing unique model organism research resources generated using NIH funding so that other researchers can benefit from these resources or state appropriate reasons for why such sharing is restricted or not possible. Unlike the NIH Data Sharing Policy, the submission of a model organism sharing plan is not subject to a cost threshold of $500,000 or more in direct costs in any one year, and is expected to be included in all applications where the development of model organisms is anticipated. Model organisms include but are not restricted to mammalian models, such as the mouse and rat; and non-mammalian models, such as budding yeast, social amoebae, round worm, fruit fly, zebra fish, and frog. [See NIH Model Organism for Biomedical Research Website at http://www.nih.gov/science/models/ for information about NIH activities related to these resources.

Forms PHS 398, 2590 and Related Forms to be RevisedUSE OF CURRENT PHS 398, 2590 AND RELATED FORMS (OMB No. 0925-0001) 

RELEASE DATE:  May 19, 2004 NOTICE:  NOT-OD-04-044   The Research and Research Training Grant Applications and Related Forms (PHS-398 PHS-2590 PHS-2271 PHS-3734), OMB No. 0925-0001/ Exp. 5/2004, currently in use remain authorized until further notice in accordance with OMB regulations [5 CFR 1320.10.(e)(2)].  The revised versions have been submitted to OMB for review and approval. Once OMB approval is received, the new forms will become available for use and will be accessible on the NIH web site.  There will be a transition period when both the new or old forms will be accepted. Further guidance will be provided at that time. INQUIRIESQuestions concerning the revision of the 398, 2590 and Related Forms may be directed to:   

Division of Grants PolicyOffice of Policy for Extramural Research AdministrationOffice of Extramural Research

Office of Research Services

Page 5 of 9Office of Research

ServicesPage 3 of 11

Attention to All Business Administrators Responsible for Service Centers:

All service center budgets (copy of BEN 100 Report) and fees for services are required to be submitted to Research Services each year according to the University Sponsored Projects Policy 2115. Business Administrators responsible for a service center should submit the budget and rate schedule to Bob McCann as soon as possible.

Study budgets and payment schedules for clinical trials are generally negotiated by the Principal Investigator or designated staff member and the Sponsor. The budget is then approved by the Department Chair and Dean. Usually Sponsors provide a certain payment or reimbursement per patient which the PI converts into a budget with direct costs broken down into personnel, expendables, and the like. It is recommended that before “backing into” the Sponsor’s proposed budget, PI’s prepare an actual cost budget based on protocol requirements, time necessary to perform the activities, etc. Remember, recruitment of the maximum number of patients is not guaranteed and the actual payment received from a Sponsor may be less than projected. When calculating budgets for clinical trials, keep in mind that it is the responsibility of the individual negotiating the budget to ensure that indirect costs are included in the final numbers and that they are calculated according to the University F&A rate for clinical trials (currently 23.6%). It is the responsibility of the PI and the Department to ensure full recovery of direct and indirect costs associated with the clinical trial.

When reviewing the proposed payment schedule, it is strongly recommended that an upfront payment (e.g. 25% of proposed budget) be incorporated into the payment schedule to cover startup costs associated with the study, since significant expenditures are made prior to actual study initiation. In some cases, it is appropriate for startup costs to be nonrefundable. Note that Sponsors are not always willing to agree to upfront payments clauses because they see payment schedules as a method of enforcing their enrollment goals. For example, Sponsors seek to ensure enrollment and data delivery by tying payments to certain milestones, such as patient enrollment. This is acceptable if the terms are reasonable, and include some upfront payment.

The Final payment from a Sponsor can be a potential issue in negotiations. Although it is reasonable to include some performance criteria for final payment, it is important to avoid terms that permit the Sponsor to disallow some of the patient reports or other deliverables, if the investigator has met a “best efforts” standard. It is preferable to avoid terms that preclude payment for patients not completing the study or not meeting enrollment criteria, or reports that are unilaterally not deemed satisfactory by the Sponsor.

In this time of thorough oversight in all aspects of clinical trials, it is very important to carefully distinguish between “standard of care” costs and research-related costs. “Standard of care” costs are generally associated with the treatment of a patient as part of their standard medical care that would have been conducted in the absence of a clinical trial. Such costs are normally charged to a third party payer, such as the government or a patient’s private insurance. Research-related costs are those charged to the Sponsor of the clinical trial which have previously been approved by the Sponsor. Payments from a Sponsor for the treatment of adverse events due to a patient’s participation in a clinical trial are also considered research-related costs. Care needs to be taken when ordering procedures so that appropriate accounts for patient care costs are billed. Failure to correct errors in such matters may create a substantial liability for the University of Pennsylvania and the Department.

A FEW QUICK REMINDERSWHEN PREPARING BUDGETS FOR A CLINICAL

TRIALWhen faculty researchers are considering participation in a clinical trial sponsored by a pharmaceutical company, the pharmaceutical company will usually provide to the faculty researcher information about the investigational drug or device covered by the clinical trial. This information is provided in order to allow the faculty researcher to evaluate the value of participating in the clinical study as an investigator. Given the enormous investments being made for the development of new therapeutic agents, the information provided may be of significant commercial value and the pharmaceutical company will usually require the prospective investigator to review such information under terms and conditions imposed by a signed confidentiality agreement.

In considering the acceptance of confidential information under such agreements, faculty researchers should consider the following:

1. The policy of the University of Pennsylvania is that such confidentiality agreements are a matter between the faculty researcher and the pharmaceutical company. The University will not sign such agreements and shall not bear liability for maintaining the confidentiality of information provided to the faculty researcher under such confidentiality agreements. Making confidential information available solely to the faculty researcher protects other University personnel form the potential liability of having violated confidentiality obligations. As a general rule, the University research environment is not well suited for maintaining the secrecy of commercially valuable information.

2. Faculty should be wary of unreasonable terms and conditions under such agreements. For example, it is preferable to limit the obligations of confidentiality to materials provided to the faculty research in writing. Requirements that verbal disclosures be kept confidential are ambiguous and difficult to enforce. In addition, the agreement should not contain any terms relating to ownership of intellectual property or unreasonable limits on future publications. The terms and conditions should relate only to the purpose of maintaining the confidentiality of materials provided to the faculty researcher in order for them to evaluate the prospect of participating in the clinical trial. Another point to keep in mind is that the materials provide should be limited to technical information truly needed to evaluate participating in the trial and should exclude needless information of a financial or business nature. Finally, the term of the confidentiality agreement should be for a time period of about three years. Time periods greater should be carefully considered before accepting them.

3. The Office of Human Research has a University of Pennsylvania template Confidentiality Agreement for the purpose of allowing faculty researchers to receive information from pharmaceutical sponsors. http://www.med.upenn.edu/ohr/agreements.htm. OHR can provide guidance and review for confidentiality agreements provided to faculty for such purposes. Confidentiality agreements provided to faculty for other purposes are handled by the Center for Technology Transfer. http://www.finance.upenn.edu/ctt/

Did you know that………?

Office of Research Services Web Site:www.upenn.edu/researchservices/Research Investigator’s Handbook: www.upenn.edu/researchservices/rih/intro.htmlA Quick Guide for Faculty:www.upenn.edu/researchservices/pdfs/newfacbk.pdfUniversity of Pennsylvania Cost Sharing Policy:www.upenn.edu/researchservices/rs/costshare.htmlContact an Office of Research Services Staff Member:www.upenn.edu/researchservices/rs/contact.html

A three month summer salary

appointment assumes 100% effort of the

appointed individual.

…Individuals on nine month academic appointments who take 3/9 summer salary from sponsored projects may take no vacation during the year.

…Individuals in the situation above must certify to their chair or other official in writing that no vacation will be taken during this time.

…A three month summer salary appointment assumes 100% effort of the appointed individual on the sponsored projects for the three months of June, July and August.

…Individuals with significant responsibilities not directly related to the sponsored projects, should take less than a 3/9 appointment.

…Individuals who receive additional compensation for activities over summer months should adjust summer sponsored projects compensation for the extra compensation received during the summer.

Training Opportunities: ORS Quizzes and FAQ’s:Take a moment to look at our quizzes or FAQ section for more guidance on administering 5-funds here at Penn. Both can be accessed by clicking Training on our home page (http://www.upenn.edu/researchservices/ ).

ADD ORS trainingNational Council for University Research Adminstrators (NCURA), Financial Research Administration Conference, San Diego, February 29 – March 2. Further information to be available soon.

Did you know? ORS recently introduced Sponsor Sheets. These two to four page summaries include funding agency application guidelines, funding policies, reporting requirements and closeout procedures, along with links to the sponsor’s websites. More to be added soon....http://www.upenn.edu/researchservices/sponsorsheets.html

ORS has also recently introduced a tool to assist departments with calculating NIH Salary Caps. http://www.upenn.edu/researchservices/docs/SalCapCalculator.xls

New Frequently Asked Questions (FAQ’s) are added to the ORS web site on a monthly basis.http://www.upenn.edu/researchservices/faq.html

Office of Research Services Web Site:www.upenn.edu/researchservices/Research Investigator’s Handbook: www.upenn.edu/researchservices/rih/intro.htmlA Quick Guide for Faculty:www.upenn.edu/researchservices/pdfs/newfacbk.pdfUniversity of Pennsylvania Cost Sharing Policy:www.upenn.edu/researchservices/rs/costshare.htmlContact an Office of Research Services Staff Member:www.upenn.edu/researchservices/rs/contact.html

Training Opportunities: ORS Quizzes and FAQ’s:Take a moment to look at our quizzes or FAQ section for more guidance on administering 5-funds here at Penn. Both can be accessed by clicking Training on our home page (http://www.upenn.edu/researchservices/ ).

Available from ORS:Sponsored Programs at Penn

December 8th and 10th

This is a two day training program designed for those fairly new to research administration at Penn. Topics include Proposal Preparation & Processing, Contract Negotiation, Award Acceptance and Account Set-up, Financial Compliance & Allowability, Post Award Management, Reporting Tools and Data Sources, Closeouts, and Audits. For more information or to register, please go to:

http://www.finance.upenn.edu/ftd/courses.html

Outside Upcoming TrainingNational Council for University Research Administrators (NCURA), Financial Research Administration Conference, San Diego, February 29 – March 2. For further information or to register, please go to http://www.ncura.edu .

PennERA—New SPIN Plus ListservThe PennERA (Electronic Research Administration) Team is pleased to announce that a new listserv is now available for users of the SPIN Plus funding opportunities database.

The new listserv, called "SpinUsers," is an "announce-only" type of list that will be used to distribute relevant, timely information regarding the PennERA SPIN Plus product suite. No participants' names or e-mail addresses will be visible to other users of the listserv. The list is a uni-directional source of information on the product and its use at the University.

If you'd like to join the "SpinUsers" listserv, send an e-mail to LISTSERV@LISTS.UPENN.EDU and, in the text of your message (leave the subject line blank), write: SUBSCRIBE SPINUSERS.

If you have any questions about the listserv or about PennERA in general, please contact us at pennera@pobox.upenn.edu. For more information about PennERA, please visit the PennERA web site at http://www.pennera.upenn.edu/.

--Robin H. Beck, Vice President of Information Systems and Computing

--Andrew B. Rudczynski, Ph. D., Executive Director of Research Services and Associate Vice President of Finance

--Joseph R. Sherwin, Ph.D., Director of the Office of Regulatory Affairs

Office of Research Services Page 4 of 11

Allocability

As stated on the Research Services web site OMB Circular A-21 Cost Principles for Educational Institutions has the greatest impact on the daily accounting and administration of federal awards. The circular describes the types of costs, direct and indirect and how they may be charged to federal awards. It also describes the four fundamental elements of the costing principles: allowability, allocability, reasonableness and consistency.

Allocability appears to give us the most difficulty when trying to code purchase requisitions or C-368 forms. Allocation means the process of assigning a cost, or a group of costs, to one or more cost objectives, or sponsored projects, in reasonable and realistic proportions to the benefit provided (OMB Circular A-21). A cost is allocable to a sponsored agreement if (1) it is incurred solely to advance the work under the sponsored agreement; (2) it benefits both the sponsored agreement and other work of the institution, in proportions that can be approximated through use of reasonable methods, or (3) it is necessary to the overall operation of the institution and… is deemed to be assignable in part to sponsored projects (OMB Circular A-21).

An allowable direct-cost must be allocated in accordance with the relative benefit received. So what is the relative benefit and how is it calculated?

1) “If a cost benefits two or more projects or activities in proportions that can be determined without undue effort or cost, the cost should be allocated to the projects based on the proportional benefit.”

Examples of costs that are specific to one project include: animals purchases and service, domestic travel to scientific conferences to present research, individual testing of samples, express mail service for time sensitive samples, etc. These types of costs are ordinarily easily identified as benefiting a single project.2) “If a cost benefits two or more projects or activities in proportions that cannot be determined

because of the interrelationship of the work involved, then…the costs may be allocated…to benefited projects on any reasonable basis”

For example cost generally shared by multiple projects within the laboratory such as: pipettes, media, gloves, glassware, petri dishes, etc. While it may be possible to track exact quantities of these “bulk” items to the grants based on use, doing so would be cost prohibitive and administratively burdensome. In circumstances such as this, a reasonable allocation methodology should be used. The following paragraphs describe some appropriate methodologies.

Keep in mind one allocation method is not necessary the best methodology to use for all purchases in a laboratory or for the Principal Investigator. Each purchase must be evaluated individually for the relative benefit received by one or more projects.

Common allocation methodologies may include the following:

Weighted FTEs may be used for shared items which may be difficult to allocate among benefiting projects. Weighted FTEs (full time equivalent of employees) may be calculated based on all projects benefiting from the item purchased in all areas. You must include all projects regardless if the funding source is from an outside sponsor or is departmentally funded. Some examples of products or services using this allocation method may be: service contracts for microscopes, centrifuges, autoclaves, or freezers…

Individual Effort Allocation on all projects could be used to allocate cost related to an individual’s use. For example a computer purchased for an individual necessary to complete scientific results which is directly related to the individual’s research but the exact benefit between projects is unknown. In this case allocation using the individual’s effort distribution would be considered

Office of Research Services Page 5 of 11Allocability continued

reasonable. Other examples may be employee health benefits for trainees or individual domestic travel to scientific conferences.

Estimates of Use based on intensity of work or scientific use. Estimates of the allocation of benefit may come directly from the Principal Investigator or the Laboratory Manager, who have first hand knowledge of the current projects and benefiting results of the purchase. Generally low ticket lab supplies used by all projects are allocated based on estimates, for example pipettes, autoclave tape, blades, dissection scissors, gloves, slides, centrifuge tubes, etc. These expenditures could be allocated to all of the PI’s projects, based on estimated use. For example 1/3 project A, 1/3 project B and remaining 1/3 among the 3 other projects. Please be careful, the use of one allocation methodology for all purchases, regardless of the benefit received may indicate a misunderstanding of the rules on allocability.

Grouping of certain types of awards based on the scientific aims and use of the purchase. For example the purchase “reagents” was split between two of the PI’s six project because these two projects will use the majority of the “reagents” throughout the laboratory.

Actual Use (units of services), advance purchases bought in bulk and allocated to projects based on documented units of service, for example service centers. Service centers use this methodology, purchasing all related cost and billing departments based on actual use. Departments can use this same methodology to allocate large purchases or items purchased in advance of actual use. For example, the advance purchase of parking vouchers. Sometimes “parking vouchers” are purchased in bulk and distributed to research subjects participating in the various clinical trials administrated by the Department. The original purchase is coded to an advance account or departmental fund source. A journal entry is prepared to charge the benefiting projects based on actual distribution of vouchers to research participants. Any unused vouchers would remain in the advance account until the parking voucher is distributed to a research participant.

Use of Related Statistics, based on the measurable units of a related product or service. Certain supplies or services are measurable based on use, for example Quest laboratory testing. Since each test is linked to a research subject, the cost can be divided among the projects. However, the supplies used by the phlebotomist may be more difficult to allocate to the related projects, such as cotton balls, syringes, needles, or tubes. One possible allocation method could be based on the previous month’s Quest laboratory invoice. The ratio of total cost allocated to each project may be used as the estimated statistic to allocate the current supplies across the projects.

Examples of inappropriate allocation methods would include the rotation of costs throughout open awards, use of funds based on available fund balance, or splitting charges based on open awards regardless if the project may or may not benefit from the purchase.

If the purchase benefits more than one project and the benefit is not easily measurable, then any reasonable allocation methodology can be used (alternatives described above). If the purchase is for the primary use of one project, however other projects may receive secondary or immaterial benefit which are neither known nor measurable, than you may charge 100 percent of the cost to the primary benefiting project. Primary benefit is defined as greater than 75 percentage use/value and benefit to other projects is unknown or not measurable.

There is no one allocation methodology which would work for every purchase in one laboratory. Each purchase must be evaluated individually and the allocation method must be documented. Documentation should be easy to interpret by an outside individual with no knowledge of the subject.

Office of Research Services Page 6 of 11

Frequently Asked Questions… INSTRUCTIONS FOR CREATING PI ACCOUNTS IN THE NIH COMMONS Expense Be Directly Charged to A Federal

RUTH L. KIRSCHSTEIN NATIONAL RESEARCH SERVICE AWARD (NRSA) STIPEND

INCREASE AND OTHER BUDGETARY CHANGES EFFECTIVE FOR Project Period will reflect the expected term of the award or competing segment according to the Notice of Award (NOA).

Budget Periods are determined by the NOA and any corresponding term and conditions published by the Sponsor. If the award is divided into periods with corresponding budgets, then each Period will be set up with the corresponding budget. If the NOA awards all funds for the Project Period, then both the project period and budget period end dates will be the same, i.e. one budget period and one project period. If a project period is divided into more than one budget period based on either specified funding periods (as specified in the NOA) or if a required report must be submitted before any further funding is received, then the project period will reflect the full term of the award but the budget periods will correspond to the funding or reporting periods. The Budget Periods that are currently obligated will have a status of “awarded”, while additional funding, often shown as recommended support on Federal awards, will have a status of “Future”.

Examples: 1) A notice of grant award is received stating that the award is for 3 years and that the budget is $100,000 per year. A progress report and/or financial report are required at the end of each year. This award would be set up for three separate budget years, with the first year being “awarded “ and the two subsequent years being awarded as “future”.

2) A notice of grant award is received stating that the award is made for an eighteen month period, the total of the award is $300,000 and a check for the full amount is enclosed. The award would be set up for one period of eighteen months and three hundred thousand dollars.

3) A notice of grant award is received for three year period with limitations on the amount that can be expensed for any given period within the award. ORS would set up budget periods corresponding to the restrictions in the award.

Where the Project Period is awarded as one period of more than one year, is incrementally funded, and specific budget periods can be discerned from either the award or the proposal, the award will be set up with multiple budget periods and show “Future” funding.

Where the Project Period is awarded as one period, is incrementally funded and specific budget periods are not discernable from the award or proposal (such as budgets tied to tasks or subject enrollment), the first increment will be established using a reasonable period of time (i.e. one year). A second budget period will be established and will run to the end of the Project Period and will show all the future funding. As increments are awarded, the first increment will be revised to include an extended period of time and the additional awarded dollars. The time period and the dollar amounts of the second period will be reduced accordingly.

Example:

Frequently Asked Questions . . . When setting up a new award, how are the Project Periods and Budgets Periods determined?

Office of Research Services Page 7 of 11

May’s Contributing Authors, ORS Newsletter:Pam Caudill, Director of Pre Award Non-Financial Administration, Office of Research Services

Donald Deyo, Director, Corporate Contracts, Office of Research Services

Teresa Leo, PennERA/PennERS Communications Specialist, Information Systems and Computing

Rose Mazur, Assistant Director, Office of Research Services

Robert McCann, Director of Cost Studies, Office of Research Services

Kerry Peluso, Director of Post Award Financial Administration, Office of Research Services

Ann Saputelli, Director, Compliance Monitoring, Office of Research Integrity and Compliance

Andrew B. Rudczynski, Associate Vice President for Finance and Executive Director, Office of Research Services

Todd Swavely, Associate Director –Penn ERA, Project Manager, Office of Research Services

1) A NOA is received for a period of three years and obligates $100,000 of an estimated $300,000 award. The proposal was submitted with a three year budget of $100,000 per year. The award will be set up with a project period of three years consisting of three budget periods of $100,000 each.

2) A notice of grant award is received with a two year period of performance and obligates $20,000 of a $150,000 award. The increase in obligated funds is not tied to a budget period or the submission of a report, but is tied to the completion of a task. The initial award would be set up with a project period of two years and an awarded budget period of one year and $20,000. A second year will be set up as future funding in the amount of $130,000. If the task is completed six months into the first year of this award and an additional increment of $40,000 is received, the first budget period will be increased to $60,000 and the second budget period will be reduced to $90,000. This will continue at the time of each award until all the increments have been awarded.

Please Note:“Future” funding is not considered awarded until ORS receives official documentation from the sponsor and should not be budgeted by the department. A notation will be added to the AIS stating that “future” funding is contingent upon receipt of documentation from the sponsor. Departments will be responsible for any expenses incurred beyond the awarded amount. If an AIS is printed prior to the start date of an award, the award will be listed as future funding on the second page of the AIS, but it will show as an award on the front page of the AIS. This is not the same as having a status of “future”.

“Future” periods are set up if the current award document notes that future funding can be expected. For those awards that do not reflect the future funding, the future years requests from the original proposal have a status of “pending” and are not listed on the AIS.

Future funding was not captured in the RSS system, so awards that were set up prior to October do not have “future” funding entered into PennERA.

It is recognized that deviations from the above guidelines might be necessary or advantageous to appropriately account for and report spending on a sponsored project in accordance with the requirements of the Sponsor. In these instances, Research Services will discuss the account set up with the responsible Business Administrator or, if the Business Administrator is requesting an exception to these guidelines, the request will be reviewed by the Executive Director or his/her designee.

Office of Research Services Page 8 of 11

Getting to know your ORS Staff:Sheila Atkins, Associate Director, Corporate Contracts

Years at Penn: 18.5

Years in Research Services: 5.5

What she does: Sheila is responsible for negotiating contracts on behalf of the University of Pennsylvania for industry sponsored clinical trials.

Hobbies: Collecting cancelled but “beautiful” domestic and foreign stamps.

Interests: As coined by Mahatma Gandhi: “Being the change that I want to see in the world,” and improving the social conditions and quality of life for the elderly.

Favorite Restaurant: Illuminare and Audrey Claire’s

Favorite ways to spend a vacation: Traveling alone to any island and indulging in the customs of the native islanders! What Co-workers say: ………Sheila’s expertise, humor and candor have been a wonderful welcome when I recently joined the Penn community……….The woman does it all: work, school, volunteer work –and still maintains a confident aura of having everything under control (well –sometimes)……….”Refreshingly Candid” comes to mind

Training Opportunities:

ORS FAQ’s and ORIC Quizzes:Take a moment to look at our quizzes or FAQ section for more guidance on administering 5-funds here at Penn. Both can be accessed by clicking Training on our home page (http://www.upenn.edu/researchservices/ ).

FALL EFFORT REPORTS:

Effort Reports for the Fall Semester (July – December 2003) FY04 were due to be returned to Research Services by April 23, 2004.  As of today, over 6 weeks after the due date, over 2,000 effort reports are still outstanding.  Business Administrators need to make a real effort to have these reports certified and returned to ORS as soon as possible.   The annual federally required A-133 audit of grants and contracts is already underway and the auditors will be asking for some of these reports very soon.  There is no legitimate reason to have so many reports not returned more than 5 months after the reporting period. 

Delinquent NIH FSR Notifications:Please be aware that NIH has recently sent out several delinquent FSR notifications that were not correct. Only in very rare circumstances is an FSR submitted late to NIH. NIH is aware of this problem and is resolving it. In addition, for each notice received, Research Services contacts the NIH representative directly to ensure that the correct status is communicated. If you receive any contacts of this type, please forward them to Research Services.

PAMELA S. CAUDILL - DIRECTOR(215) 573-2606 OR caudill@pobox.upenn.edu• SOM – Dean’s OfficeAUDREY C. BUCK – SR. CONTRACT ADMINISTRATOR(215) 573-6709 OR abuck@pobox.upenn.edu• Biochemistry/Biophysics – SOM• Biomedical Graduate Studies – SOM• Biostatistics – SOM• Cancer Center – SOM• Center for Experimental Therapeutics – SOM• Institute for Environmental Medicine – SOM• Institute for Human Gene Therapy – SOM • Institute for Neurological Sciences – SOM• Medical Genetics – SOM• Neurology – SOM• Pathology & Laboratory Medicine• Rehabilitative Medicine – SOMJOANNE CROSSIN – MGR. OPERATIONS(215 898-9323 OR crossin@pobox.upenn.edu• AIS Processing• Account Set-UpALICE DUNLEAVY – ASSOCIATE DIRECTOR(215) 573-2555 OR dunleavy@pobox.upenn.edu• Center for Clinical Epidemiology and Biostatistics –SOM• Center for Sleep and Respiratory Neurobiology – SOM• Institute on Age – SOM• Pennsylvania Muscle Institute – SOM• Pharmacology – SOMCHRISTINE GUNDERSEN – ASSISTANT DIRECTOR(215) 746-0234 OR gund@pobox.upenn.edu• President’s Center• School of Dental Medicine• School of Engineering and Applied Science• Wharton School• Graduate School of Education\• University Museum• Emergency Medicine – SOMHEATHER LEWIS – CONTRACT ADMINISTRATOR(215) 573-2416 OR heatherl@pobox.upenn.edu• Allergy & Immunology – SOM• Cardiology• Clinical Research Center – SOM• Diabetes – SOM• Endocrinology –SOM• Gastrointestinal – SOM• General Intestinal Medicine – SOM• Infectious Disease – SOM• Pulmonary, Allergy & Critical Care – SOM• Renal – SOM• Rheumatology – SOMROSE MAZUR – ASSISTANT DIRECTOR(215) 573-6701 OR rmazur@pobox.upenn.edu

• Center for Research on Reproduction & Women’s Health – SOM• Cerebrovascular Research Center – SOM• Family Practice – SOM• Graduate School of Fine Arts• Obstetrics & Gynecology – SOM• Surgery – SOM• Psychiatry – SOM

Revised Assignments for Pre-Award Staff

Due to staff changes, there has been a reassignment of responsibilities for some departments/schools. The revised department assignments are detailed in the following listing. The Pre-award staff is responsible for processing proposals, reviewing, negotiating, and accepting awards (except for corporate contracts), as well as, providing post-award non-financial administration for these accounts. Questions concerning issues such as no-cost extensions, carryover requests and other administrative matters should be directed to the appropriate pre-award contact. Please note that all questions concerning industrial clinical trials sponsored research agreements should be addressed to the Corporate Contracts Group. Greg Curley is now responsible for Account Information Sheets (AIS’s) for all industrial clinical trials and sponsored research agreements.

Page 6 of 7 Office of Research Services

LAUREN OSHANA – ASSISTANT DIRECTOR(215) 573-6710 OR oshana@pobox.upenn.edu

• General University• Institute of Contemporary Art• Law School• Morris Arboretum• Provost Interdisciplinary Program• School of Art and Sciences• School of Social Work• Student Services• Van Pelt LibrarySUSAN POMPONIO - CONTRACT ADMINISTRATOR(215) 898-8751 OR pomponio@pobox.upenn.edu• Bioinformatics – SOM• Center for Aids Research – SOM• Genetics – SOM• Hematology/Oncology• Neurosurgery - SOM• Orthopedic Surgery – SOM• Pediatrics – SOM• Physiology – SOM• School of Medicine, Institute for Medicine & Engineering – SOM• Radiation Oncology• RadiologySOPHIA WHITEHEAD – SR. CONTRACT ADMINISTRATOR(215) 898-9322 OR sophiaw@pobox.upenn.edu• Anesthesiology – SOM• Annenberg Center for Performing Arts• Annenberg School for Communication• Cell & Developmental Biology – SOM• Center for Bioethics – SOM• Dermatology• Geriatrics – SOM• Microbiology – SOM• Ophthalmology – SOM• Otorhinolaryngology – SOM• School of Nursing• School of Veterinary Medicine

CORPORATE CONTRACTS GROUP:

DR. DONALD DEYO, Esq. – SENIOR ASSOCIATE DIRECTOR (215) 573-9970 OR deyo@pobox.upenn.edu

DR. EDWARD PIETERS – ASSOCIATE DIRECTOR(215) 573-6712 or pieters@pobox.upenn.edu • Sponsored Research Agreements

SHEILA ATKINS – SENIOR CONTRACTS ADMINISTRATOR(215) 573-6713 or satkins@pobox.upenn.edu • Corporate Clinical Trial Agreements

DENISE BOUYET – SENIOR CONTRACTS ADMINISTRATOR(215) 746-6287 or bouyet@pobox.upenn.edu • Corporate Clinical Trial Agreements

GREGORY CURLEY – CONTRACT ADMINISTRATOR(215) 746-0033 or gcurley@pobox.upenn.edu • Account Information Sheets for Corporate Contracts

The

PAMELA S. CAUDILL - DIRECTOR(215) 573-6706 OR caudill@pobox.upenn.edu• SOM – Dean’s OfficeJOANNE CROSSIN – SR. CONTRACT ADMINISTRATOR(215) 898-9323 OR crossin@pobox.upenn.edu• Biochemistry/Biophysics – SOM• Biomedical Graduate Studies – SOM• Biostatistics – SOM• Cancer Center – SOM• Center for Experimental Therapeutics – SOM• Institute for Environmental Medicine – SOM• Institute for Human Gene Therapy – SOM • Institute for Neurological Sciences – SOM• Medical Genetics – SOM• Neurology – SOM• Pathology & Laboratory Medicine• Rehabilitative Medicine – SOMALICE DUNLEAVY – ASSOCIATE DIRECTOR(215) 573-2555 OR dunleavy@pobox.upenn.edu• Center for Clinical Epidemiology and Biostatistics –SOM• Center for Sleep and Respiratory Neurobiology – SOM• Institute on Age – SOM• Pennsylvania Muscle Institute – SOM• Pharmacology – SOMVACANT – ASSISTANT DIRECTORPlease contact Pam Caudill.• President’s Center• School of Dental Medicine• School of Engineering and Applied Science• Wharton School• Graduate School of Education• University Museum• Emergency Medicine – SOMHEATHER LEWIS – CONTRACT ADMINISTRATOR(215) 573-2416 OR heatherl@pobox.upenn.edu• Allergy & Immunology – SOM• Cardiology• Clinical Research Center – SOM• Diabetes – SOM• Endocrinology –SOM• Gastrointestinal – SOM• General Intestinal Medicine – SOM• Infectious Disease – SOM• Pulmonary, Allergy & Critical Care – SOM• Renal – SOM• Rheumatology – SOMROSE MAZUR – ASSISTANT DIRECTOR(215) 573-6701 OR rmazur@pobox.upenn.edu

• Center for Research on Reproduction & Women’s Health – SOM

• Cerebrovascular Research Center – SOM• Family Practice – SOM• Graduate School of Fine Arts• Obstetrics & Gynecology – SOM• Surgery – SOM• Psychiatry – SOM

LAUREN OSHANA – ASSOCIATE DIRECTOR(215) 573-6710 OR oshana@pobox.upenn.edu

• General University• Institute of Contemporary Art• Law School• Morris Arboretum• Provost Interdisciplinary Program• School of Art and Sciences• School of Social Work• Student Services• Van Pelt LibrarySUSAN POMPONIO - CONTRACT ADMINISTRATOR(215) 898-8751 OR pomponio@pobox.upenn.edu• Bioinformatics – SOM• Center for Aids Research – SOM• Genetics – SOM• Hematology/Oncology• Neurosurgery - SOM• Orthopedic Surgery – SOM• Pediatrics – SOM• Physiology – SOM• School of Medicine, Institute for Medicine & Engineering – SOM• Radiation Oncology• RadiologySOPHIA WHITEHEAD – SR. CONTRACT ADMINISTRATOR(215) 898-9322 OR sophiaw@pobox.upenn.edu• Anesthesiology – SOM• Annenberg Center for Performing Arts• Annenberg School for Communication• Cell & Developmental Biology – SOM• Center for Bioethics – SOM• Dermatology• Geriatrics – SOM• Microbiology – SOM• Ophthalmology – SOM• Otorhinolaryngology – SOM• School of Nursing• School of Veterinary MedicineCORPORATE CONTRACTS GROUP:DONALD DEYO, Esq. –DIRECTOR (215) 573-9970 OR deyo@pobox.upenn.edu EDWARD PIETERS, Ph.D. – ASSOCIATE DIRECTOR(215) 573-6712 or pieters@pobox.upenn.edu • Sponsored Research AgreementsSHEILA ATKINS – ASSOCIATE DIRECTOR(215) 573-6713 or satkins@pobox.upenn.edu • Clinical Trial AgreementsSTACIA C. LEVY, M.A. – SENIOR CONTRACTS ADMINISTRATOR(215) 746-6287 or stacial@pobox.upenn.edu • Clinical Trial AgreementsVACANT – CONTRACT ADMINISTRATORContact Donald Deyo at (215) 573-9970 OR deyo@pobox.upenn.edu• Account Information Sheets for Contracts PennERA GROUP:TODD SWAVELY – PennERA PROJECT MANAGER (215) 573-9764 OR tswavely@pobox.upenn.eduYVETTE ACEVEDO – TEAM LEADER, SpinPlus(215) 898-6156 or acevedo@pobox.upenn.eduSTUART WATSON – Team Leader, PROPOSAL/AWARD TRACKING(215) 573-6712 or wswatson@pobox.upenn.edu

Office of Research Services Page 9 of 11

Pre-Award Administration Staff

The Pre-award staff is responsible for processing proposals, reviewing, negotiating, and accepting awards (except for corporate contracts), as well as, providing post-award non-financial administration for these accounts. Questions concerning issues such as no-cost extensions, carryover requests and other administrative matters should be directed to the appropriate pre-award contact.

Questions concerning industrial clinical trial agreements and sponsored research agreements should be addressed to the Corporate Contracts Group. Greg Curley is responsible for Account Information Sheets (AIS’s) for all industrial clinical trials and sponsored research agreements.

Office of Research Services

Page 10 of 11The main functions handled by these ORS staff members are the preparation of financial invoices and reports, coordination of audits, collection of receivables, cash management functions, and close outs of funds. The Federal Compliance Group handles facilities and administrative costs, employee benefit rates, effort reporting, and compliance issues. Contact Information for all areas is provided below.

Post Award Administration Staff

FEDERAL COMPLIANCE GROUP:ROBERT McCANN– DIRECTOR(215) 598-1469 OR mcannr@pobox.upenn.eduANNAMARIA MOLNAR – FINANCIAL ANALYST(215) 898-0818 OR molnar@pobox.upenn.eduFLOYD HARRIS – ACCOUNTANT(215) 898-5743 OR harrisf@pobox.upenn.edu

POST AWARD ADMINISTRATION:KERRY PELUSO CPA - DIRECTOR(215) 573-6705 OR pelusok@pobox.upenn.edu

FINANCIAL INVOICING AND REPORTING –Group 1:

KIM GARRISON – ASSISTANT DIRECTOR(215) 898-2344 OR kimmg@pobox.upenn.eduALIYU MOHAMMED – TEAM LEADER(215) 573-6716 OR aliyum@pobox.upenn.edu• School of Medicine Departments: Psychiatry Surgery

GRACE BEATTIE – DESK ACCOUNTANT (215) 898-2342 OR gbeattie@pobox.upenn.edu• School of Medicine Departments: Biochemistry/Biophysics Microbiology Cell and Developmental Biology Pathology Radiology

CHRISTINE YUN – DESK ACCOUNTANT (215) 898-2155 OR christiy@pobox.upenn.edu• School of Medicine Departments: Biomedical Graduate Studies Dermatology Institute for Environmental Medicine Neurology Institute of Neurological Sciences Neuroscience Medical School Ophthalmology Orthopedic Surgery Pharmacology Pediatrics Admin Pediatrics -Neonatology Otorhinolaryngology: Head and Neck Surgery

FLORENCE GRAZIOLA – DESK ACCOUNTANT (215) 573-6708 OR graziola@pobox.upenn.edu• School of Medicine Departments:

Department of MedicineALICJA NALEWAJEK– DESK ACCOUNTANT (215) 898-9212 OR alicja37@pobox.upenn.edu• School of Nursing• Institute of Contemporary Art• Vice Provost of University Live• School of Medicine Departments: Cancer Center Center for Sleep Neurosurgery Physiology Obstetrics and Gynecology Radiation Oncology Center for Research on Reproduction and Women’s Health

DATA MANAGEMENT: KEITH DIXON– ACCOUNTING/BRIM SUPERVISOR(215) 898-1966 OR kdixon@pobox.upenn.eduBOB SPEAKMAN – FINANCIAL ANALYST(215) 898-2345 OR bspeakman@pobox.upenn.eduJENNIFER MULHERN –ACCOUNTANT(215) 898-2343 OR jmulhern@pobox.upenn.edu

VALERIE SWARTZ – FINANCIAL COORDINATOR(215) 898-6700 OR valeriem@pobox.upenn.edu

FINANCIAL INVOICING AND REPORTING –Group 2: JIM CLAVIN – ASSISTANT DIRECTOR(215) 573-6704 OR clavin@pobox.upenn.eduSOOJIN KIM – TEAM LEADER (215) 573-6715 OR snam@pobox.upenn.edu• School of Dental Medicine • School of Medicine Departments:

Anesthesia Center for Bioethics Center for Experimental Therapeutics Institute for AgingInstitute for Human Gene Therapy Family PracticeMolecular & Cellular Engineering Center for Clinical Epidemiology and Biostatistics

ARLENE KNASIAK– DESK ACCOUNTANT(215) 573-6147 OR knasiak@pobox.upenn.edu• School of Veterinary Medicine• School of Engineering and Applied Science Bioengineering Chemical Engineering Materials Science & Engineering Mechanical Engineering Minority Programs• School of Medicine Departments: Emergency Service

DERRICK BOWMAN – DESK ACCOUNTANT(215) 573-8929 OR bowmand@pobox.upenn.edu• Annenberg School• Annenberg Center• Graduate School of Education• Law School• Morris Arboretum• University Museum• School of Arts and Sciences: Chemistry Linguistics• School of Medicine Departments: Center for Bioinformatics Institute for Medicine & Engineering

JIM DIIENNO -DESK ACCOUNTANT 215) 573-8957 OR dienno@pobox.upenn.edu• The College• General University• School of Social Work• Van Pelt Library• Wharton School• School of Arts & Sciences: All except Chemistry, Linguistics, Economics and Physics• School of Medicine Departments: Cancer Biology Diabetes Rehabilitation Medicine

JUDITH L. REED TJIATTAS – DESK ACCOUNTANT (215) 898-9124 OR judithr@pobox.upenn.edu • Graduate School of Fine Arts• School of Dental Medicine• Wharton School• Law School• School of Engineering and Applied Science: Electrical Engineering Computer Science and Engineering Institute for Research in the Cognitive Sciences Systems Engineering• School of Arts and Sciences: Economics Physics• School of Medicine Departments: Genetics Penn Muscle Institute

RECEIVABLES:GOKILA VENKATESWARAN– RECEIVABLES MANAGER(215) 898-2515 OR gokila@pobox.upenn.eduBRIAN DUNPHY– RECEIVABLES ACCOUNTANT(215) 746-0235 OR bdunphy@pobox.upenn.edu MIRIAM STEVENSON – STAFF ASSISTANT(215) 573-6711 OR stevenso@pobox.upenn.edu FLOYD HARRIS – ACCOUNTANT(215) 898-5743 OR harrsf@pobox.upenn.edu

Our Mission

The Office of Research Services (ORS) oversees the administrative support of the University's externally funded research and is responsible for implementation of University policies established for this purpose. An important part of the ORS mission is service to the research faculty, through the provision of information and advice for the development of applications, and assistance in the administration of awarded grants and contracts.

In this role, ORS

Supports the schools and centers in the development of proposals for grants and contracts;

Reviews and approves all proposals before submission to the potential sponsor Coordinates negotiations of awards; Accepts awards for the University, including the signing of contracts; Provides oversight and guidance to faculty and staff concerning the proper

management of sponsored projects; Prepares all financial reports to sponsors.

In addition to these functions, ORS is responsible for billing of contracts management of letters of credit for payment of grants, preparation of the facilities & administrative and employee benefit rate proposals and rate negotiations, management of the effort reporting system, and oversight of service center rate development. ORS reports jointly to the Senior Vice President for Finance & Treasurer and Vice Provost for Research.

About Our Organization…

3451 Walnut StreetRoom P-221

Philadelphia, PA19104-6205

PHONE:(215) 898-7293

FAX:(215) 898-9708

Treasury Offset Program Notices Please be aware that the Department of the Treasury has been offsetting funds due to the University and forwarding them to the Philadelphia VAMC. If you receive a notification that any funds which were due to the University have been offset, please fax a copy of the notice to the attention of Kerry Peluso at 215-898-0403.

Office of Research ServicesQuick Contact List:

ORS General Phone Numbers: 215-898-7293 (General Information, Proposals, Awards)215-898-7269 (Financial Reports & Invoices, Accounting)

Andrew B. Rudczynski, Ph.D., Associate Vice President for FinanceAnd Executive Director, Research Services:

215-573-9249, abrud@pobox.upenn.edu

Pamela Caudill, Director of Pre Award Non-Financial Administration: 215-573-6706, caudill@pobox.upenn.edu

Donald Deyo Esq., Senior Associate Director, Corporate Contracts: 215-573-9970, deyo@pobox.upenn.edu

Robert McCann, Director of Cost Studies: 215-898-1469, mccannr@pobox.upenn.edu

Kerry Peluso CPA, Director of Post Award Financial Administration: 215-573-6705, pelusok@pobox.upenn.edu

Todd Swavely, Associate Director –Penn ERA, Project Manager: 215-573-9764, tswavely@pobox.upenn.edu

Office of Research ServicesQuick Contact List:

ORS General Phone Numbers: 215-898-7293 (General Information, Proposals, Awards)215-898-7269 (Financial Reports & Invoices, Accounting)

Andrew B. Rudczynski, Ph.D., Associate Vice President for FinanceAnd Executive Director, Research Services:

215-573-9249, abrud@pobox.upenn.edu

Pamela Caudill, Director of Pre Award Non-Financial Administration: 215-573-6706, caudill@pobox.upenn.edu

Donald Deyo Esq., Director, Corporate Contracts: 215-573-9970, deyo@pobox.upenn.edu

Robert McCann, Director of Cost Studies: 215-898-1469, mccannr@pobox.upenn.edu

Kerry Peluso, CPA, Director of Post Award Financial Administration: 215-573-6705, pelusok@pobox.upenn.edu

Todd Swavely, Associate Director –Penn ERA, Project Manager: 215-573-9764, tswavely@pobox.upenn.edu