Transcript Post Award Project Management

Office of Research Services
Pre-Award Group
Pam Caudill, Director
The Office of Research Services 1
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/
The Office of Research Services 2
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/
The Office of Research Services 3
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/
The Office of Research Services 4
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/
The Office of Research Services 5
Office of Research Services
Corporate Contracts
Donald T. Deyo, Esq., Director
The Office of Research Services 6
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 7
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/
The Office of Research Services 8
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/
The Office of Research Services 9
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/
The Office of Research Services 10
Overview on Corporate
Contracts
• Primary Contract Issues
–
–
–
–
–
–
–
Publication
Intellectual Property
Indemnification
Confidentiality
Termination
Data Ownership
Export Control Laws
»
http://www.upenn.edu/researchservices/
The Office of Research Services 11
Office of Research Services
Federal Compliance
Group
Bob McCann, Director
Annamaria Molnar, Financial Analyst
The Office of Research Services 12
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/
The Office of Research Services 13
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/
The Office of Research Services 14
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
The Office of Research Services 15
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
The Office of Research Services 16
Office of Research Services
Todd S. Swavely, PennERA Project Manager
»PennERA Website
The Office of Research Services 17
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?
The Office of Research Services 18
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
The Office of Research Services 19
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
– [email protected]
– Help Line 746-2600
– Web Form Support
• AIS Online
– Account Information Sheet readily available as a webbased report as AIS Online in Ben Reports
The Office of Research Services 20
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
The Office of Research Services 21
Office of Research Services
Post Award Financial
Administration
Kerry Peluso, Director
(215) 573-6705
[email protected]
The Office of Research Services 22
Research Services
Post Award Financial Reporting & Invoicing
Kerry Peluso, CPA
Director
Post Award Financial Admin
Jim Clavin
Asst. Director
Elvina Woodard
Asst. Director
James DiIenno
Team Leader
Jack Ketterlinus
Acct B
Shanael Warren
Acct B
Jasmine Burno
Acct B
Grace Beattie
Senior Acct
Kim Garrison
Assoc. Director
Florence Graziola
Team Leader
Christoper Guy
Acct B
Latasha Towles
Acct B
Kristina Rytsar
Acct B
Liza Craig
Acct B
The Office of Research Services 23
Accounts Receivable and Data Management
Kerry Peluso, CPA
Director
Keith Dixon
Associate Director
Jennifer Mulhern
Financial Analyst
Robert Speakman
Cash Application/DM Manager
Valerie Swartz
Financial Coordinator
Gokila Venkateswaran
Collections Analyst
April Johnson
Accountant
Miriam Stevenson
Financial Coordinator
Floyd Harris
Accounting Clerk
The Office of Research Services 24
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
The Office of Research Services 25
Accounts Receivable &
Data Management
• Staff (8):
–
–
–
–
–
1
1
1
1
3
Associate Director
Manager
Financial Analyst, 1 Collection Analyst
Accountant
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
The Office of Research Services 26
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
The Office of Research Services 27
Post Award
Primary 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
The Office of Research Services 28
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
The Office of Research Services 29
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
The Office of Research Services 30
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/
The Office of Research Services 31