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BEN Reports Definitions

BEN Reports is a web-based application that allows you to run predefined reports against the Data Warehouse as well as link to other University applications (such as BEN Financials, or Position Inventory) via the web. BEN Reports is restricted to authorized individuals.

This page provides descriptions of the reports available, with definitions of the data elements displayed in each.


Reports and links are organized by categories: Financial, Payroll / Salary Management, and Sponsored Programs. The following items are currently available:

Facilities:

Financial:

Express Mail:

  • Link to reports containing express mail shipping information Express Mail

Payroll / Salary Managment:

Sponsored Programs:


Financial Reports

Overview

BEN Assets Reports:  View BEN Assets reports, including additions, ready for tagging, assets with invalid attributes, retirements, and others.

Budget / Actual Variance Report - Fiscal funds:  Displays basic operating budget, actual, encumbrance and budget balance available figures for a General Operating or Service Center fund within an organization and accounting period parameter. You may navigate from high-level balances (RCM object categories) to account level and, where available, transactional ledger or employee payment data.

Budget / Actual Variance Report - Sponsored Project funds:  Displays basic operating budget, actual, encumbrance and budget balance available figures for a Sponsored Project fund within a responsible organization and accounting period parameter. You may navigate from high-level balances (RCM object categories) to account level and, where available, transactional ledger or employee payment data.

General Ledger Revenue / Expense Detail:  Displays General Ledger revenue/expense transaction-level detail within an ORG, Fund and period paramater. Results are sorted and summed by object code.

RCM Category Comparison - Fiscal funds:  Displays a chart of Budget Balance Available (BBA) totals for RCM categories for General Operating or Service Center funds. You may drill down from the category to the underlying transactional ledger or employee payment detail data.

RCM Category Comparison - Sponsored Project funds:  Displays a chart of Budget Balance Available (BBA) totals for RCM categories for Sponsored Project funds. You may drill down from the category to the underlying transactional ledger or employee payment detail data.

ISC Billing Reports:

  • Mainframe Chargeback:  The Summary report provides ISC Mainframe chargeback summary data (including CPU/processor, printing, disk storage, and user access charges) for a selected ORG and invoice date range. The Detail report retrieves chargeback detail by user ID for a selected ORG and invoice date range. You may also export the results of either report to Excel for further analysis.
  • Networking Detail:  Displays ISC Networking feeder detail within ORG andinvoice date ranges. Results are sorted by the ISC invoice, account, and transaction date.
  • ISC Telecommunications Detail:  Provides ISC Telecommunications charges for a selected ORG and invoice date range. You may drill down from some charge summary data to call detail information. The Call Detail report provides call detail charges for a selected ORG and invoice date range.

Definitions

As you navigate from higher to lower levels of detail, more columns are displayed, such as an RCM Category at first, to an employee name or journal line description at employee payment or ledger detail levels, and even down to underlying ISC Network or Telecommunications detail. Where possible, data common to the entire report (such as ORG, Fund, period) is provided as a header, rather than on each row. The RCM Category and RCM Row reports include the following:

ORG:  For fiscal reports, the 4-digit account ORG code; for project reports, the 4-digit Responsible ORG code. An organization, which belongs to one responsibility center, is a subdivision of the University created for management purposes.

Fund:  The 6-character fund number. A fund is the unique identifier for a specific set of financial resources that needs tracking or management.

Object / Object grouping:  The Budget / Actual variance reports enable you to drilldown by object category from summarized balances to employee payment or revenue/expense detail. Object aggregates are defined according to the University RCM template. While the complete RCM template (as implemented in BEN Financials reports and the Revenue / Expense Inquiry function) allows for a hierarchy of many levels for a particular object code type, the hierarchy in BEN Reports is abbreviated to three levels (RCM Category, RCM Row, and then object code detail). For example, the highest level available in BEN Reports for a salary expenditure would be either "Academic Salaries" or "Non-Academic Salaries", while in the full template the highest level is "Total Compensation" (of which "Academic Salaries" and "Non-Academic Salaries"are subcategories). BEN Reports object groups are displayed in a hierarchy as follows:

RCM Category: A high-level aggregation of object code, which can be found on a standard RCM report. For example, Tuition & Fees, Grant & Contract Income, Academic Salaries, Current Expense, Cash Effect, etc.

RCM Row: A portion of the RCM Category. For example, Graduate & Prof Fin Aid, AIF Investment Income, Sales & Services, Financial/General Admin Staff, Supplies & Minor Expense, etc.

Operating Budget Balance:  Reports include one of the following operating budget balance columns, depending upon the fund type:

Operating Budget FYTD (for fiscal reports): The amount of the total operating budget from the beginning of the fiscal year through the end of the parameter accounting period. For activities that are fiscal year-based, the operating budget is the original budget plus any revisions.

Operating Budget PJTD (for project reports): The total amount of the operating budget from the creation of the account through the end of the parameter accounting period. For activities that are project based (such as sponsored projects) the operating budget is the budget for the entire project or award, and the Operating Budget PJTD is the total amount of the operating budget from the beginning of the project or award through the end of the parameter accounting period.

Actuals:  Reports will include the appropriate actual balance columns, depending upon the fund type:

Actual FYTD (for all reports): The total amount of the actual dollars from the beginning of the fiscal year through the end of the parameter accounting period.

Actual PJTD (for project reports): The total of all actual dollars from the beginning of the account (or 7/1/1996, whichever was more recent) through the end of the parameter accounting period.

Actual Month (for all reports): The amount of the actual dollars for the parameter accounting period.

Total Encumbered:  The total amount of encumbered funds (for salary, purchasing, invoices, commitment) as of the end of the parameter accounting period. Encumbered funds have been set aside but have not yet been spent for a specific planned, approved expenditure.

Calculated Variance Balances:  Reports include a Budget Balance Available column, calculated as follows (depending upon the fund type):

Fiscal reports:
[(Operating Budget FYTD - (Actuals FYTD+ Total Encumbered)]

Project reports:
[(Operating Budget PJTD - (Actuals PJTD + Total Encumbered)]

General Ledger Revenue / Expense detail

After you have navigated through the RCM Category and RCM Row balances levels, you will be able to drill further into General Ledger revenue / expense detail or to employee payment data (defined below) for Actual Month balances. If employee payment detail exists for the RCM Row, it will be presented, otherwise General Ledger transactional detail will be displayed (users without access to salary management data will only see the GL detail).

At these levels, the report columns vary from the previous levels, due to the nature of the data presented.

Account segments:  Six of the segment values that comprise the 26-position Chart of Accounts (COA). The segments presented are COA CNAC, COA ORG, COA Fund, COA Object, COA Program, and COA CREF. COA BC (Budget check) is omitted.

Vendor Name:  For a Purchasing or Payables transaction, the name of the vendor. Null for all other transactions.

Vendor Number:  For a Purchasing or Payables transaction, the unique BEN Financials identifier for the vendor. Null for all other transactions.

Journal Line Description:  The description from the General Ledger journal entry line.

Actual Amount:  The amount of the actual dollars for the account for the transaction.

Encumbrance Amount:  The amount of encumbered funds (encumbrance sources may be Salary Management, Purchasing, Payables, etc.) for the account for the transaction. Encumbered funds have been set aside but have not yet been spent for a specific planned, approved expenditure.

Transaction Date:  The date the journal transaction was created, for all transactions other than Salary Management encumbrances and Custom/Mass Allocation transactions, for which it would be null.

Journal Source Name:  The source of data for the journal entry. For example: PRL_ENCUMBER, MassAllocation, Manual, TELECOMM, Purchasing

Journal Batch Name:  For most transactions, identifies the journal batch. Ths column will be null for Salary Management encumbrances and Custom/Mass Allocation actual transactions. For example: PRLPAY 001 19990618 PRL_PAYROLL 1351395: A; CJE: Purchasing 1310469: E

PO Number:  The unique identifier for the purchase order. Populated for Purchasing and Payables transactions only; null for all other transactions.

Invoice Number:  The vendor's invoice number. Populated for Purchasing and Payables transactions only; null for all other transactions.

Invoice Description:  Contains invoice number and purchase order number for Purchasing and Payables transactions for certain vendors and ProCard transactions. Null for all other transactions.

Paid:  Indicates whether the invoice was paid. Populated for Purchasing and Payables transactions only; null for all other transactions.

Hold:  Indicates whether the invoice is on user hold. Populated for Purchasing and Payables transactions only; null for all other transactions.


ISC Mainframe Chargeback

You can drill from General Ledger Revenue/Expense results for object code 5310 to ISC Mainframe Chargeback detail; or, you can access this data directly from the ISC Mainframe Chargeback Summary and Detail reports. The Summary report will display a high-level summary by ORG and type of charge, while the Detail report contains the additional user information. The Mainframe Chargeback report results include the following:

At these levels, the report columns vary from the previous levels, due to the nature of the data presented.

Cost Center:  Cost Center (4 digit ORG concatenated with 1 digit account group) from MICS, the Mainframe chargeback system.

Account segments:  Six of the segment values that comprise the 26-position Chart of Accounts (COA). The segments presented are COA CNAC, COA ORG, COA Fund, COA Object, COA Program, and COA CREF. COA BC (Budget check) is omitted. The COA_Responsible_Org is also provided.

Invoice Category Desc: The category code description of the invoice record.

Values:
1100  	Processor  CPU     
3100  	Impact Printing    
3110  	Laser Printing              
4230  	User Access Fee    
7200  	Disk Storage        
7950  	Optical Scanning

Transaction Date:  The date the transaction was processed in the ISC Billing system.

User ID/User ID Desc: The Logon ID, Batch Account or Cost center billed.

Billing Cycle: The calendar year and month in which the actual mainframe activity occurred. Data is in YYYYMM format.

Fiscal Year/Month and Accounting Period :  The General Ledger fiscal year and month to which the ISC feeder containing this transaction was processed. The accounting period is also provided in MON-YY format. Note that transactions are posted the General Ledger the month after they are actually incurred. (For example, for activity in June 2007, Billing_Cycle will be 200712, Accounting_Period will be ADJ-07, Fiscal_Year will be 2007, Fiscal_Month_Seq will be 13

Charge Amount: The amount billed, for this accounting period, cost center/account, invoice category and user ID combination.


ISC Networking detail

You can drill from General Ledger Revenue/Expense results for object code 5309 to ISC Networking billing detail; or, you can access this data directly from the ISC Networking Detail report. The ISC Networking report results include the following:

At these levels, the report columns vary from the previous levels, due to the nature of the data presented.

ISC Invoice Number:  Invoice Number from the ISC Billing System.

Account segments:  Six of the segment values that comprise the 26-position Chart of Accounts (COA). The segments presented are COA CNAC, COA ORG, COA Fund, COA Object, COA Program, and COA CREF. COA BC (Budget check) is omitted. The COA_Responsible_Org is also provided.

Service ID: Indicates the type of service billed (e.g., NET:EMAIL, NET:CS or NET:IP, NET:OUTLET, NET:WEBHOST, SEO:BACKITUP, TSS:SRB, NET:TLD).

Transaction Date:  The date the transaction was processed in the ISC Billing system.

Fiscal Year/Month and Accounting Period :  The General Ledger fiscal year and month to which the ISC Billing feeder containing this transaction was processed. The accounting period is also provided in MON-YY format.

Transaction Amount: The amount billed, for this item, invoice and account and transaction date combination.

Item: Identifies the item billed. The item will be different depending on the Service. See below:

  • NET:OUTLET - outlet ID
  • NET:CS - IP number
  • NET:EMAIL - login ID
  • NET:WEBHOST - site url
  • NET:TLD - third level domain name
  • NET:LISTSERV - list name
  • SEO:BACKITUP - (BIU or BIUX) + client number
  • ASTT:SECSPACE - space id
  • TSS:SRB - Department + (Licenses or Storage)

Desc1-4:  Four descriptive fields (Desc1 - Desc4) further identify the transaction.

  • Desc1:
    • NET:OUTLET - Building Code
    • NET:CS - Building Code
    • NET:EMAIL - Penn ID
    • NET:WEBHOST - web host component
    • NET:TLD - requestor
    • NET:LISTSERV - contact email
    • SEO:BACKITUP - quantity of disk billed
    • ASTT:SECSPACE - quantity of space used
    • TSS:SRB - If Item=License, this field will contain the cnt of license fees charged, otherwise it will be blank
  • Desc2:
    • NET:OUTLET - Location
    • NET:CS - Location
    • NET:EMAIL - Full Name
    • NET:WEBHOST - # of units for the component 
    • NET:TLD – type of one-time charge if applicable
    • NET:LISTSERV - null
    • SEO:BACKITUP - invoice number
    • ASTT:SECSPACE - null
    • TSS:SRB - If Item=Storage, this field will contain the quantity of disk charged, otherwise it will be blank
  • Desc3:
    • NET:OUTLET - Service Order number
    • NET:CS - Hostname
    • NET:EMAIL - Email account type
    • NET:WEBHOST - null 
    • NET:TLD - null
    • NET:LISTSERV - null
    • SEO:BACKITUP - system assigned account number or dept name
    • ASTT:SECSPACE - null
    • TSS:SRB - null
  • Desc4:
    • NET:OUTLET – Project number, if applicable
    • NET:CS – Chargetype/Ratetype
    • NET:EMAIL – Chargetype
    • NET:WEBHOST - null 
    • NET:TLD - null
    • NET:LISTSERV - null
    • SEO:BACKITUP – location
    • ASTT:SECSPACE - null
    • TSS:SRB - null

Start/Stop Bill Dates:  Start Bill Date represents the date the service was first billed. Stop Bill Date may be null, or, if not null, represents the date after which service was no longer billed.

Cycle Start/End Dates:  The beginning and end dates of the billing cycle for which the item was invoiced.

Invoice Date:  The date on which the invoice was created.

Account ID:  For direct billings or Interfund charges, this field further qualifies the account number; otherwise, values likely default to ADMIN.


ISC Telecommunications detail

You can drill from General Ledger Revenue/Expense results for object codes 5621-5264 to ISC Telecommunications detail; or, you can access this data directly from the ISC Telecommunications Detail report. The ISC Telecommunications report results include the following:

At these levels, the report columns vary from the previous levels, due to the nature of the data presented.

Invoice Date:  The date on which the invoice was created.

Account segments:  Six of the segment values that comprise the 26-position Chart of Accounts (COA). The segments presented are COA CNAC, COA ORG, COA Fund, COA Object, COA Program, and COA CREF. COA BC (Budget check) is omitted. The COA_Responsible_Org is also provided.

Item:  Identifies the phone number, MAC Address of a PennNet HandSet, Outlet ID for a PennNet Phone Port or department user ID billed for the charge.

Building ID:  The 3-letter building code used by ISC Networking. This value is not from the same codeset as Facilities Space@Penn data.

Location:  The location of the line, handset or outlet id. Values of this field are usually the room number or something similar. This information is made available to Public Safety via a 511 feed. If the charge is for a “PENNNET PHONE NBR APPEARANCE”, then this field will contain the phone number(s) that appears on that set.

Desc1:  The description of the type of charge (e.g., line fee, handset/equipment cost, voicemail, outlet fee, installation, long distance calls, Philadelphia calls, etc.).

Transaction Code Desc:  The long descriptions of the 3-digit number that identifies the type of charge. For transactions that are based on actual usage, you may click the "Detail" link to view further information about the calls that comprised the charges:

Location Called: The location of the number called.

Originating Number: The number from which the call was placed.

Terminating Number: The number called including area code.

User Number: Caller's phone number or authorization code.

Call Date: The date the call was placed.

Call Cost: The charge for the call.

Call Duration: The length of the call (in minutes).

Call Type: The type of call (e.g., local or long distance).

Transaction Amount: The amount billed.

Cycle Start/End Dates:  The beginning and end dates of the billing cycle for which the item was invoiced.

Fiscal Year/Month and Accounting Period :  The General Ledger fiscal year and month to which the ISC Billing feeder containing this transaction was processed. The accounting period is also provided in MON-YY format.

Start/Stop Bill Dates:  Start Bill Date represents the date the service was first billed. Stop Bill Date may be null, or, if not null, represents the date after which service was no longer billed.


Salary Management Reports

Overview

Employee Payments by Fund - Home ORG:  Displays a chart of total payments by fund for the parameter period for a home organization. You may navigate from the fund total to the underlying employee payment detail for all individuals paid from that fund.

Employee Payments by Fund - Posted ORG:  Displays a chart of total payments by fund for the parameter period for an account organization. You may navigate from the fund total to the underlying employee payment detail for all individuals paid from that fund.

Employee Payments by Fund - Responsible ORG:  Displays a chart of total payments by fund within the parameter period for all funds managed by a responsible organization. You may navigate from the fund total to the underlying employee payment detail for all individuals paid from that fund.

Employee Payments by Individual - Home ORG:  Provides a list of all employees in a Home ORG during the data range selected. From that list, you may navigate to the the payment detail for the individuals.

Employee Payments by Individual - Posted ORG:  Provides a list of all employees paid by an account organization during the data range selected. From that list, you may navigate to the payment detail for the individuals.

Definitions

The Salary Management reports present data at first in graphical or list form, to depict total payments by fund, or a list of individuals paid from a certain organization/fund combination.

All reports contains the same basic detail data:

Employee Name:  The employee's full legal name, in uppercase, in the format: LASTNAME,FIRSTNAME MIDDLEINITIAL

Penn ID: The 8-digit identification number assigned to the employee by the Penn Community system.

Payment Amount:  The amount of the Earnings Type paid from the account to the employee for the job on the Check Date; or the amount of the reallocation. Credits to an account will appear as negative amounts. There may be more than one record per employee per account per period, depending upon Earnings Type.

Earnings Type:  A 3-character code indicating the type of earnings. For example: RMO (regular monthly pay); OT2 (overtime at double time)


Values:
AFC     Abramsom Cancer Institute
ALA     Auto & Living Allowance
AWD     Award
BNS     Bonus
CAL     CPUP Allowance
CBN     CPUP Bonus
CLL     On-Call Differential
CPN     CPUP Pension Adjustment
CSP     CPUP SERP Gross Up
CST     CPUP Administrative Stipend
CTU     CPUP Tuition Taxable
CTX     CPUP Taxable Other
CVP     CPUP Variable Pay
DIS     Disability
ENA     Exec Ed-No City
ENB     Exec Ed-No Retirement
ENC     Exec Ed-No City, Supplemental FWT
ENR     Exec Ed-City, Supplemental FWT
EST     Estate
ES1     Extra Services for Weekly, Supplemental FWT
ES2     Extra Services for  Monthly, Supplemental FWT
FER     Faculty Inc Allow Program
FLH     Floating Holiday
FNL     Funeral Leave
GF1     Graduate Fellow-Taxes
GF2     Graduate Fellow-No Taxes
GF3     Graduate Fellow-State & City Tax
GF4     Graduate Fellow-FWT & FICA Tax
GF5     Graduate Fellow-No FICA
GF6     Graduate Fellow-No FICA or State
HOL     Holiday Pay
HON     Honorarium
ICV     Incentive Bonus
JUR     Jury Duty
MAX     Over maximum lump sum payment
MIL     Military Leave
NAO     Non res alien, all
NCO     Non res alien, City
NC4     Non res alien, City
NO4     Non res alien @ 14%
NRO     Non res alien
NR3     NRA/No tax
NR4     Non res alien @ 14%
NSO     Non res alien, State
NS4     Non res alien @ 14%, State
OSH     Overtime @ 1.5/Shift @ 10
OS1     Overtime @ 2.0/Shift @ 10%
OS2     Overtime @ 2.5/Shift @ 10%
OS3     Overtime @ 1.5/Shift @ 15%
OTD     Overtime @ 2.5T
OTP     Overtime @ 1.5T
OTS     Overtime @ ST
OT2     Overtime @ 2T
PAR     Parsonage
PBM     Penn to Business- Monthly
PBW     Penn to Business- Weekly
PBS     Personal Business
PD3     Post Doc Researcher 3
PD4     Post Doc Researcher 4
PEN     Pension/Taxes ***********
PER     Personal Leave
PE1     Pension/Carnegie-No tax
PE2     Pension/ FWT
REG     Regular Pay
RET     Retroactive Pay
RMO     Regular Monthly Pay
SAL     Salary Increase Bonus
SCH     Sick in Household
SCK     Sick Leave
SEL     Sick-Extended Leave
SEV     Severance Pay
SHF     Shift pay flat
SHL     Shelter ref
SHV     Shift diff variable
SUP     Supplemental Pay
SW1     Student Worker-Regular
SW2     Student Worker-No Class
S10     Shift Diff @ 10% of rate
S15     Shift Diff @ 15% of rate
S20     Shift Diff @ 20% of rate
S30     Shift Diff @ 30% of rate
TA1     Teaching Assistant (WS)
TA2     Teaching Assistant
TIP     Tips
UBS     Union Business
UCM     Uncompensated time
VAC     Vacation Leave
VCT     Vacation balance
WSR     Work-Study regular pay
WS2     Work Study Student not in class

Check Date:  Date on which the payment is available to the employee, or the effective date of an adjustment. The date printed on the check.

Pay Period End Date:  Date through which the payment was made to the employee.

Posted Account Segments:  Six of the segment values that comprise the 26-digit Posted COA Account indicating the source of the payment to the employee. The segments are Posted COA CNAC, Posted COA ORG, Posted COA Fund, Posted COA Object, Posted COA Program, and Posted COA CREF. COA BC (Budget check) is omitted.

Job Title:  The title currently associated with the Job Class of the job for which this is a payment.

Annual Salary:  For salaried employees (both exempt and non-exempt), the annual salary for this employee for the job for which this is a payment. Note: The Annual Salary for an employee will be null if you are not authorized to view the employee's job information, or if there was no active job (with the same job class, position number and job organization) for the employee in Salary Management for the check date displayed. Also, in cases where an employee holds multiple jobs with the same job class, job organization, position number, and posted account, the Annual Salary will display the total of the annual salaries for all of those jobs.

Position Number:  The 7-digit number that identifies the position associated with the job for which this is a payment. A position is an assignment of a person to perform a specific job in a specific organization that is supported by specific funding source(s). Over time, the person, job classification, organization, and funding sources associated with a position may change. As of this writing (March, 2000), faculty, temporary workers, and student workers do not have a number. In instances where no number is available, the value will be zero.

Home Dept ORG:  The 4-digit number that represents the organization that owns the employee's record and is responsible for its maintenance. An organization is a subdivision of the University created for management purposes. An Organization belongs to only one School or Responsibility Center, and its organization code is unique. (The code set is from the University's General Ledger, and has been in use since July 1, 1996.)

Home Dept ORG Description:  The description that corresponds to the Home Dept ORG code.

Currently Employed:  Indicates whether the individual is currently employed by the University. Records for currently employed individuals (which includes those on leave) will show a value of 'Y' in this column. 'N' indicates that the individual is no longer employed by the University.


Sponsored Programs Reports

Protocol Status Report

Overview

This report lists protocols, for work involving human subjects or laboratory animals, that have been submitted to the relevant boards for review. Information is available for all review types except for AEs (reviews of human subjects protocols for serious or unanticipated adverse events) and Compliance Visits (for laboratory animal protocols). For each protocol, the report provides the status for the most recent past review, and indicates any future reviews on record. Closed protocols are not included in the report if their termination date is over 90 days old. (A closed human subjects protocol has a protocol status of Completed, Disapproved, Expired, Terminated, or Withdrawn Submission. A closed laboratory animal protocol has a protocol status of Administrative Inactivation, Disapproved, Expired, Terminated, or Withdrawn Submission.)

For each protocol, the report displays information such as the protocol's Principal Investigator (PI), title, primary sponsor, status, and approval period, as well as other specifics on such things as whether animal by-products are used and whether gene transfer is involved. For each review, the report displays the review process, board meeting date, review date, status, and board name. To view specifics on a protocol and its reviews, click on the “Detail” link in the report. If the report displays an asterisk (*) next to the protocol number, the detail screen also includes specifics on any proposals linked to the protocol.

If your protocol is not included in the report, or if you have any questions about the information shown in the report, click on the link in the text above the report for information on how to contact your IRB administrator or IACUC staff. (A human subjects protocol is reviewed by an Institutional Review Board [IRB]. A laboratory animal protocol is reviewed by the Institutional Animal Care and Use Committee [IACUC].) If there is no board assigned, click on the link in the text above the report for information on how to call ORA.

A PI is automatically given access to the Protocol Status Report, but only to his or her own protocol data. All others who wish to access the Protocol Status Report must submit a BEN Reports Access Request Form. Users may request access to all protocols for one or more specific PI’s. Users may also request access to all protocols for which their organization is responsible (indicated in the report as the Responsible Organization). If the Responsible Organization for a protocol is incorrect, the PI may click on the "Update" link in the report and write an e-mail message to ORA requesting that the Responsible Organization be changed. (For information on obtaining access to the Protocol Status Report, click here.)

When they access the Protocol Status Report, PIs are presented with a list of all of their protocols. Administrators must specify one or more parameters, to indicate which protocols are to be listed on the report. Before clicking the Run Report button, specify a value for at least one of the following parameters:

PI Name*: The name of the Principal Investigator for the protocol(s).

Sponsor Name*: The name of the primary funding agency for the grant or contract associated with the protocol(s). Note: the sponsor’s name is stored in just one form. ‘NIH’ is not a sponsor name, but 'NATIONAL INSTITUTES OF HEALTH' is.

Protocol Number: The Institution Number, a 6-digit number assigned to the protocol(s) by the PennERA system. Note: the combination of the Institution Number and the protocol type (Human Subjects or Lab Animals) uniquely identifies the protocol within PennERA. If you specify a value for the Protocol parameter, the report may display records for both a Human Subjects protocol and a Lab Animals protocol if they both have the same Institution Number and if you are authorized to view the data for both protocols.

Responsible Org Code*: The 4-digit code that identifies the University organization that is responsible for the protocol.

For any of these parameters, you may specify the desired value by typing it directly into the parameter box. Parameters are case sensitive. For example, if you enter "3M Pharmaceuticals" (without quotes) as the Sponsor Name parameter, the report will display the message, "No row returned" because the Sponsor Name is 3M PHARMACEUTICALS.

* For a parameter marked with a red asterisk above, instead of typing the desired value, you can click the icon to the right of the parameter box to activate a pop-up list of values for that parameter. A small "Search Dialog" window will appear, displaying 10 values at a time. Find the value you want by scrolling through the list (using the Next button as needed) or by using the search feature, then click on the value to select it. To use the search feature, enter a search criterion in the box at the top of the window. The search criterion is not case sensitive. For example, in the "Search Dialog" window for the PI Name, if you enter "a%" as the search criterion, you will see a list of all PIs whose last name begins with the letter A. Similarly, entering "%James%" (without quotes, but with the both % wildcards) will retrieve all PIs that have "JAMES" as part of their first or last name.

After you have specified a value for at least one of the parameters, click the Run Report button. Note:

  • If you leave all of the parameter boxes empty and click the Run Report button, the report will display the message, "No row returned."
  • If you specify a value for more than one parameter, a protocol will be included in the report if you are authorized to see it and it meets at least one of the specified parameters. For example, say you are authorized to view protocols whose responsible org. is 4104 or 4502. If you specified 3M PHARMACEUTICALS as the Sponsor Name and 4104 as the Responsible Org Code, the report would include all of the protocols for org. 4104 (both those with 3M PHARMACEUTICALS as the sponsor and those with other sponsors), and all of the 3M PHARMACEUTICALS protocols that you are authorized to view (for both org. 4014 and org. 4502).

Definitions

All protocols are displayed with the following summary information:

Protocol: The unique identifier for the protocol, generated by the PennERA system. If the information for the protocol is shown in red, the protocol’s status is “Expired” or its Expiration Date has passed. If the protocol’s identification number is followed by an asterisk (“*”), the protocol is linked to one or more proposals. (A protocol will be linked to one or more proposals only if the Principal Investigator for the protocol has informed ORA that the protocol is associated with the proposal(s).) For more information on the protocol, its reviews, and its linked proposals (if any), click on the “Detail” link in the row for the protocol.

Protocol Type:

A Animal
H Human

Principal Investigator: Principal Investigator's name, in uppercase, in the format LASTNAME,FIRSTNAME MIDDLEINITIAL.

Protocol Status: indicates whether or not the protocol is approved for use from the Approval Date through the Expiration Date. If the protocol has yet to be reviewed, the Protocol Status indicates where it is in the review process. Values:

  • Acknowledged (The administrators have acknowledged receipt of the protocol. A human protocol status may also mention CHOP/Penn, indicating that the work described in the protocol is being done in cooperation with the Children’s Hospital of Philadelphia.)
  • Administrative Inactivation (The animal protocol has been administratively inactivated because its approval period has ended. No research activity is allowed to be conducted under the protocol until the Principal Investigator (PI) files a request to have the protocol reviewed, and the review is approved.)
  • Approved (The board or committee has approved the protocol for use. A human protocol status may also mention CHOP/Penn, indicating that the work described in the protocol is being done in cooperation with the Children’s Hospital of Philadelphia.)
  • Completed (All research activity under the human protocol has ended.)
  • Conditional Re-approval (The reviewers have sent the protocol back to the PI for minor revisions. The protocol is active, but no research can be done until approval is granted.)
  • Disapproved (The protocol has been reviewed, and is not approved for use.)
  • Expired (The protocol has been administratively inactivated because its approval period has ended. No research activity is allowed to be conducted under the protocol until the PI files a request to have the protocol reviewed, and the review is approved.)
  • Logged (The protocol has been received but has not yet been scheduled for review.)
  • Pending (The protocol is pending review.)
  • Tabled (The reviewers have sent the protocol back to the PI for major revisions. The protocol is not yet approved for use.)
  • Terminated (All research activity under the animal protocol has ended.)
  • Withdrawn Submission (The PI has withdrawn the protocol from consideration.)
  • Withheld Approval (The reviewers have sent the protocol back to the PI for minor revisions. The protocol is not yet approved for use.)

Approval Date: The beginning date of the period for which the protocol has been approved for use. (This is called Approved From on the Summary screen in PennERA.) This is the date to be used as the Date Regulatory Approval on the Office of Research Services Proposal Transmittal and Approval form.

Expiration Date: The end date of the period for which the protocol has been approved for use. (This is called Approved To on the Summary screen in PennERA.)

Sponsor: If the protocol is associated with a proposed or awarded grant or contract, the name of the primary funding agency for the grant or contract will be displayed here.

Title: The 'short' version of the protocol’s title (limited to 508 characters in this report).

Responsible Org: The organization responsible for the protocol. For older protocols, where the Responsible Organization may not be available, this will default to the PI's Home Organization (the one responsible for the PI’s payroll record).

Update Org.: The PI may click on the "Update Org" link in the report and write an e-mail message to ORA requesting that the Responsible Organization be changed, in order to assure proper tracking and reporting.

All protocol reviews are displayed with the following summary information:
Review Type:
for reviews:

  • Review
  • Review-3 Year Renewal (IACUC) (used for animal submissions only)
  • Review-Administrative Action
  • Review-Administrative Inactivation (used for animal submissions only)
  • Review-Initial Review
  • Review-Report of Completion (used for human submissions only)
  • Review-Request for Continuation
  • Review-Request for Termination (used for animal submissions only)
  • Review-Response to 3 Year Renewal (used for animal submissions only; may also appear as “Response to 3 Year Renewal”)
  • Review-Response to Continuing Review (may also appear as “Response to Continuing Review”)
  • Review-Response to Initial Review (may also appear as “Response to Initial Review”)

for amendments:

  • Amend-Administrative Modification (used for animal submissions only)
  • Amend-Amendment or Modification (used for human submissions only)
  • Amend-Amendment to Protocol (used for animal submissions only)
  • Amend-Change of Investigator(s) (used for animal submissions only)
  • Amend-Interim Report (used for animal submissions only)
  • Amend-Response to Amendment (may also appear as “Response to Amendment”)
  • Amendment

Review Process: (This is called the Review Category on the Review and Amendment screens in PennERA.) Values

  • Administrative
  • Designated (IACUC) (used for animal submissions only)
  • Exempt (noninvasive, minimal-risk; used for human submissions only)
  • Expedited (no identifying information; publicly-available data and/or no subject identifiers; used for human submissions only)
  • Full (to be presented at a full board meeting of IRB or IACUC)

Meeting Date: The date of the meeting when the protocol review was (or will be) included on the agenda for the Institutional Review Board (IRB) or Institutional Animal Care and Use Committee (IACUC).

Review Date: The date when the protocol was (or will be) reviewed. This is usually the same as the Meeting Date, but, for Expedited reviews, the Review Date may be earlier than the Meeting Date.

Review Status: indicates the status of the review of the protocol. (A review is required if the P.I. wishes to initiate a protocol, extend a protocol's approval period, or amend a protocol.) The Review Status may differ from the Protocol Status. For example, a Human protocol with a Protocol Status of 'Approved' may have a review (say, a Request for Continuation) whose Review Status is 'Pending'. Values:

  • Acknowledged (The administrators have acknowledged receipt of the submission. A human submission status may also mention CHOP/Penn, indicating that the work described in the submission is being done in cooperation with the Children’s Hospital of Philadelphia.)
  • Administrative Inactivation (The animal submission has been administratively inactivated because its approval period has ended. No research activity is allowed to be conducted under the submission until the Principal Investigator (PI) files a request to have the submission reviewed, and the review is approved.)
  • Approved (The board or committee has approved the submission for use. A human submission status may also mention CHOP/Penn, indicating that the work described in the submission is being done in cooperation with the Children’s Hospital of Philadelphia.)
  • Completed (All research activity under the human submission has ended.)
  • Conditional Re-approval (The reviewers have sent the submission back to the PI for minor revisions. The submission is active, but no research can be done until approval is granted.)
  • Disapproved (The submission has been reviewed, and is not approved for use.)
  • Expired (The submission has been administratively inactivated because its approval period has ended. No research activity is allowed to be conducted under the submission until the PI files a request to have the submission reviewed, and the review is approved.)
  • Issue Identified (The human submission will not be reviewed until the PI provides additional information requested by the administrators.)
  • Logged (The submission has been received but has not yet been scheduled for review.)
  • Pending (The submission is pending review.)
  • Suspended (The IACUC has temporarily stopped research activity under the animal submission.)
  • Tabled (The reviewers have sent the submission back to the PI for major revisions. The submission is not yet approved for use.)
  • Terminated (All research activity under the animal submission has ended.)
  • Withdrawn Submission (The PI has withdrawn the submission from consideration.)
  • Withheld Approval (The reviewers have sent the submission back to the PI for minor revisions. The submission is not yet approved for use.)

Detail for a selected Animal protocol includes the following additional information on the protocol and its reviews:

Title: The full title of the protocol.

COAP/NBC Approval Date: If applicable, this is the date when special approval was given by both the committee that reviews Client Owned Animal Protocols and the committee that reviews protocols involving animals at the New Bolton Center.

Animals Ordered: A Yes/No flag that indicates whether University Laboratory Animal Resources (ULAR) has ordered animals for use in the study involving the protocol.

Client Owned Animals: A Yes/No flag that indicates whether the animals used in the protocol are owned by the client rather than by the University or the PI. An example of a protocol involving client owned animals is a protocol used in a study involving animals that are patients of the Veterinary Hospital.

OEHRS Approval Needed: A Yes/No flag that indicates whether the protocol requires special approval because of environmental health concerns (for example, because the protocol involves the use of toxic, carcinogenic, infectious or transmissible agents, or recombinant DNA.) This special approval must be obtained from Penn’s Office of Environmental Health and Radiation Safety.

OEHRS Approval Date: If applicable, this is the date when special approval was given for the protocol to use agents presenting environmental health concerns.

Radiation Approval Needed: A Yes/No flag that indicates whether the protocol requires special approval because it involves ionizing radiation. This special approval must be obtained from Penn’s Office of Environmental Health and Radiation Safety.

Radiation Approval Date: If applicable, this is the date when special approval was given for the protocol to use ionizing radiation.

Presby/HUP Approval Needed: A Yes/No flag that indicates whether the protocol requires special approval from the infection control office of Presbyterian Medical Center or the Hospital of the University of Pennsylvania (HUP), because the protocol involves animals that will be brought into the hospital through human patient areas.

Presby/HUP Approval Date: If applicable, this is the date when special approval was given for the protocol to involve animals that will be brought into the hospital through human patient areas.

Internally Funded: A Yes/No flag that indicates whether the study involving the protocol is funded by Penn (rather than by an external funding source).

Animal by-products used: A Yes/No flag that indicates whether the protocol involves animal by-products instead of (or in addition to) live animals.

Planned/Actual Termination Date: The date on which all research activity under the protocol has ended or will end. An investigator may wish to use a protocol beyond the Expiration Date. In that case, approximately six to eight weeks before the Expiration Date, the investigator must file a request to have the protocol reviewed. Usually, the investigator does this by submitting a request for continuation. However, animal protocols have a termination date that marks the end of the three-year period during which the investigator may request a continuation. That is, if the investigator wishes to use the animal protocol beyond the termination date, he or she must request a three-year renewal (rather than a continuation). When the three-year renewal is approved, the termination date is updated per the new three-year renewal cycle.

Linked Proposal(s): This appears only if the protocol is linked to one or more proposals. Each value shown is the unique identifier for the proposal (the request for funding for one funding cycle of a sponsored project).

Sponsor Award ID: This appears only if the protocol is linked to one or more proposals. While the Office of Research Services knows a proposal by its Institution Number (shown in the Linked Proposal(s) column), the Principal Investigator probably knows the proposal by its Sponsor Award ID. The Sponsor Award ID shown here is the identification number that is assigned by the sponsoring agency to the most recent award payment for the proposal. (Supplement award payments are not considered when the most recent award payment is determined.) The Sponsor Award ID may change from time to time if the sponsoring agency assigns different identification numbers to different award payments. The Sponsor Award ID is blank if the sponsoring agency does not assign identification numbers to its award payments.

Review Board: Identifies which Institutional Animal Care and Use Committee has been designated for the selected review of the protocol. (Currently, Penn has just one IACUC.)

Detail for a selected Human protocol includes the following additional information on the protocol and its reviews:

Title: The full title of the protocol.

Other Institution Number: If the protocol will be used at an institution other than Penn, this is the unique identifier for the protocol assigned by that institution.

Internally Funded: A Yes/No flag that indicates whether the study involving the protocol is funded by Penn (rather than by an external funding source).

Risk Level: The level of risk faced by the human subjects involved in the protocol. Values:

High
Low
Minimal
Moderate

IND Holder: If applicable, this is the name of the person or entity that has gotten permission from the FDA to use the Investigational New Drug that is included in the protocol. The PI is often, but not always, the IND Holder. (The FDA is the U.S. Department of Health and Human Services Food and Drug Administration.)

Gene Transfer: A Yes/No flag that indicates whether the protocol involves gene therapy (gene transfer).

OEHRS Approval Needed: A Yes/No flag that indicates whether the protocol requires special approval because of environmental health concerns (for example, because the protocol involves the use of toxic, carcinogenic, infectious or transmissible agents, or recombinant DNA.) This special approval must be obtained from Penn’s Office of Environmental Health and Radiation Safety.

OEHRS Approval Date: If applicable, this is the date when special approval was given for the protocol to use agents presenting environmental health concerns.

Radiation Approval Needed: A Yes/No flag that indicates whether the protocol requires special approval because it involves ionizing radiation. This special approval must be obtained from Penn’s Office of Environmental Health and Radiation Safety.

Radiation Approval Date: If applicable, this is the date when special approval was given for the protocol to use ionizing radiation.

SRMC Approval Needed: A Yes/No flag that indicates whether the protocol requires special approval because it will be used in a cancer study. This approval must be obtained from the Scientific Review and Monitoring Committee of the Cancer Center (SRMC).

SRMC Approval Date: If applicable, this is the date when special approval was given for the protocol to be used in a cancer study.

Termination Date: The date on which all research activity under the protocol has ended.

Linked Proposal(s): This appears only if the protocol is linked to one or more proposals. Each value shown is the unique identifier for the proposal (the request for funding for one funding cycle of a sponsored project).

Sponsor Award ID: This appears only if the protocol is linked to one or more proposals. While the Office of Research Services knows a proposal by its Institution Number (shown in the Linked Proposal(s) column), the Principal Investigator probably knows the proposal by its Sponsor Award ID. The Sponsor Award ID shown here is the identification number that is assigned by the sponsoring agency to the most recent award payment for the proposal. (Supplement award payments are not considered when the most recent award payment is determined.) The Sponsor Award ID may change from time to time if the sponsoring agency assigns different identification numbers to different award payments. The Sponsor Award ID is blank if the sponsoring agency does not assign identification numbers to its award payments.

Review Board: Identifies which Institutional Review Board has been designated for the selected review of the protocol.


Grant Reporting and Management System (GRAM)

Overview

GRAM provides project year-to-date balances on active grants with links to supporting transactional and employee payment detail. Investigators may view summarized balances for all of their current grants on one screen, and then drill down to balances by category, and further into detail. An investigator named as the Principal Investigator on a program project proposal or freestanding proposal may view balances for the entire project. An investigator named as the Principal Investigator on a subproject proposal may view balances only for the subproject. An investigator who was not named as the Principal Investigator on the proposal, but who is responsible for an award account, may view balances only for the award account. (An award account includes the CNAC, Organization, Fund, Program, and CREF). Business administrators may select a Principal Investigator, and then view all current grants for that investigator. Expenditures are grouped into categories customarily used in reporting to project sponsors.

GRAM provides information on balances and transactions as of the last closed
month (accounting period). The data in GRAM is refreshed monthly, on the
night of the first calendar day of the month. For example, during the day on
July 1, 2006, GRAM displayed the balances and transactions as of MAY-06. On
the night of July 1, 2006, the data in GRAM was refreshed. On the morning of
July 2, 2006, GRAM displayed the balances and transactions as of JUN-06, and
the data remained unchanged in GRAM until the night of August 1, 2006.

Tabs and Buttons

Primary Awards: Clicking on this tab displays any primary awards. A primary award is one where the selected investigator is named as the Principal Investigator on the program project, subproject, or freestanding proposal. (The Principal Investigator named on the program project proposal is also known as the Parent PI.) An award displayed under this tab is either a current award or an award that is less than 90 days past its end date.

Other Awards: Clicking on this tab displays information on awards where the selected investigator is not named as the Principal Investigator on the proposal, but is the investigator responsible for an award account for the proposal.

Past Awards: Clicking on this tab displays any BEN Financials enabled past awards. An award displayed under this tab is more than 90 days past its end date and is still enabled in BEN Financials. Appropriate adjustments can possibly still be made to these accounts. The awards displayed are for proposals where the selected investigator is named as the Principal Investigator on the program project, subproject, or freestanding proposal. (The Principal Investigator named on the program project proposal is also known as the Parent PI.).

Future Awards: Clicking on this tab displays any information available for future awards. An account displayed under this tab is a project for which a notice of award has been received and that has a start date following the end of the current month. The awards displayed are for proposals where the selected investigator is named as the Principal Investigator on the program project, subproject, or freestanding proposal. (The Principal Investigator named on the program project proposal is also known as the Parent PI.)

Choose PI: Clicking on this button will display a screen allowing you to access award information for other investigators.

Exit/Log Off: Clicking on this button will terminate your session and exit you from the Grants Reporting System.

Award Drilldown: Clicking on this button will display a screen with more financial information about this specific award.

People Drilldown Icon: Clicking on this button will display a screen listing any persons paid from this award.

Expense Drilldown Icon: Clicking on this button will display a screen listing expenses summarized by object code, i.e. the 4-digit BEN Financials code used to categorize types of expenses.

Subawards: This button appears when there is more than one award account for the fund. (An award account includes the CNAC, Organization, Fund, Program, and CREF). Clicking on this button will display a screen listing summary information for each award account for the fund.

Waywards: Clicking on this button will display a screen listing any BEN Financials account combination related to this award's fund that has no budget, and against which a transaction was posted.

Object Code Drilldown: Clicking on this button will display a screen listing actual, encumbrance, and budget transactions for this particular object code (i.e. expense category). Notice: Only data for JUL-99 through the date of last GRAM update is available.

Definitions

Award Acct. Inv.: The investigator responsible for an award account (CNAC, Organization, Fund, Program, and CREF) for the proposal. The Award Acct. Inv. may or may not be the same as the Proposal PI or Parent PI.

Award ID: This is the identification number that is assigned to the award by the sponsoring agency.

Budget: The money allocated to the award for its budget period.

Budget Period End: The ending date of the award's current budget period. A budget period is a fiscal time period designated for a given award. Often, it is a different time period than the University's fiscal year and the period may consist of several months, a year, or more than one year.

Budget Period Start: The starting date of the award's current budget period. A budget period is a fiscal time period designated for a given award. Often, it is a different time period than the University's fiscal year and the period may consist of several months, a year, or more than one year.

Carry Forward: Money leftover (unspent) from previous budget periods. Restricted amounts should not be included. However, this should be confirmed with the departmental Business Administrator. Note that if the fund number for the award has changed from the last budget period any residual money will not be shown in Carry Forward; rather it will be included in the award's new budget.

CNAC: The CNAC code identifies the responsible School for this award. The CNAC code is a 3-digit code which is the first segment of the seven segment, 26-digit BEN Financials Account number.

CREF: The CREF code is a 4-digit code that is the last segment of the 26 digit BEN Financials Account number. In multi-investigator or multi-project awards, it is used to separately identify the financial activity in each piece of the award. Each School or Center creates their own set of CREF values to identify categories important to that organization. For Grant accounts, CREF codes are most often used to uniquely identify the faculty investigator responsible for each portion of the awards within that school or center.

Current Budget Period (also called "Current Grant Year" or "Grant Year"): The fiscal time period designated for a given award. It encompasses the current funding increment. Although sometimes called a budget year, this period may or may not be 12 months in length. A "budget period" may be less than a year or consist of multiple years, depending on the sponsor's method of funding.

Effective Budget: Consists of any money leftover from previous budget periods (i.e. "Carry Forward") plus the money allocated for expenses in the current budget period.

Encumbered: Money that has been designated for a specific purpose but not yet spent.

Equipment: Capital expenses consisting of individual items each costing $5,000 or more, which are directly allocable to this project.

F&A Rate: Also known as either the 'indirect cost rate' or 'overhead rate’.

Facilities and Administrative Costs: Also known as either the "indirect cost rate" or "overhead rate." Each grant award has a current rate established, by which formula, Facilities & Administrative Costs are calculated on that account (the rate may be 0% in some cases). Encumbered F&A Costs have been estimated using that rate and Encumbered direct cost amounts currently in the system. These estimated F&A Encumbered amounts may not take into consideration all the associated terms for a particular award (e.g. many awards have F&A costs calculated on the initial $25,000 of each subcontract, this is not included in these estimated F&A Encumbrances). Final F&A Costs may also be different than estimated if actual direct cost expenditures differ from current encumbrances.

Fund: The code identifying the BEN Financials financial fund assigned to this award. This 6-digit code is the fourth segment of the seven segment, 26-digit BEN Financials account number.

ORG: The Organization or 'ORG' code identifies the department or division within a School or Center which is responsible for this award. The Organization code is the 4-digit code which is the second segment of the seven segment, 26-digit BEN Financials Account number.

Other (Possible Unallowable): Any expense that does not fall into any of the established categories and may not be allowable under the terms of the award. An expense falling under this category may or may not be allowable depending upon the terms and conditions of the award.

Parent PI: The investigator named as the Principal Investigator on the parent proposal (if any) for the award. An example of a parent proposal is a proposal for a program project.

Percent Available: The total percent of money budgeted and carried forward less the amount of money spent and encumbered.

Percent Committed: The percent of money spent and encumbered (Total Committed) relative to the Effective Budget (i.e. amount of money budgeted and carried forward).

Program: The Program code identifies across the entire University the type of activity being undertaken by this award. The Program code is the 4-digit code which is the sixth segment of the seven segment, 26-digit BEN Financials Account number.

Project End: The award's end date as defined by the sponsoring agency. Several budget periods may occur during the duration of a project.

Project Start: The award's start date as defined by the sponsoring agency. Several budget periods may occur during the duration of a project.

Proposal PI: The investigator named as the Principal Investigator on the proposal for the award. The proposal may be a freestanding, program project, or subproject proposal.

Salary & Benefits: Personnel costs and benefits spent or committed for the current budget period. Note:

  1. This does not include monies spent during previous budget periods nor those committed to future budget periods that may also be part of this project.
  2. Post doc and research associate salaries are only encumbered up to their appointment end date - which may be prior to the end date of this award's current budget period.

Sponsor: The name of the sponsoring agency that provides the financial support for this award.

Subcontracts: Payments for subcontracts.

Supplies & Services: Expenses consisting of individual items with a unit cost that is less than $5,000 which are directly allocable to this project.

Time Elapsed: The percent of time that has passed since the starting date of the current budget period relative to its length.

Title: The name of the award.

Total Available: The Effective Budget minus the Total Committed. This is the amount that can still be spent or encumbered.

Total Committed: The combination of all of the money spent and all of the money encumbered.

Total Spent: The amount of money spent from this award during the current budget period.

Travel: Travel expenses related directly to this award by persons working directly on this project.

Tuition and Fees: Payments for graduate research fellows and assistants working directly on this project and paid directly from this award. If the student works on multiple projects, the tuition and fees must be paid proportionate to the stipend amount from each award.


AIS Online

Overview

The Account Information Sheet (AIS) is a product of the PennERA Proposal Tracking system and BEN Financials.

The AIS is divided into three sections:

  • The Account Information Sheet Header Section.
  • The Account Information Section contains information specific to a BEN account that is set up for an award.
  • The Award Information Section contains general award information that is relevant to all award increments associated with a sponsored project.

When there is Cost Sharing associated with a sponsored project, an additional Account Information Sheet (AIS) will be issued. PennERA Proposal Tracking system captures incremental information, specific to the Cost Sharing.

The Cost Share AIS is similar to the standard AIS and is divided into three similar sections.

  • The Account Information Sheet Header Section
  • The Account Information section contains information specific to a BEN account that is set up for the cost share.
  • The Award Information section contains general information that is relevant to all cost share increments associated with a sponsored project.

Definitions

For a Standard Project:

The Account Information Sheet (AIS) is a product of the PennERA Proposal Tracking system and BEN Financials.

The AIS is divided into three sections.

  • The Account Information Sheet Header Section
  • The Account Information Section contains information specific to a BEN account that is set up for an award.
  • The Award Information Section contains general award information that is relevant to all award increments associated with a sponsored project.

    Account Information Sheet Header Section

    Assoc. Dept: ORG number and long description of Associated Department

    Date Issued: Current System Date that the AIS was generated

    Status: Budget Status for award increment for the award period selected to produce the AIS

    Institution No: Institution Number – a number unique to the proposal in the PennERA proposal tracking system

    Account Information Section

    PI: Principal Investigator

    Account: The BEN GL (7-segment, 26-digit) Account Number

    Legacy No: Legacy Account Number; Utilized by older systems, such as SFS, that are unable to use the 26-digit account number; For each 26-digit Account there is only 1 active legacy number

    Instrument: Instrument Type examples: Clinical Trial Agreement, Contract, Cooperative Agreement, Corporate, Grant, Non-Federal, and Sponsored Research Agreement

    Assoc Dept: Long description of the Account Org; This is the same as on the header section

    Sponsor: Sponsor name followed by sponsor code in parenthesis

    Account Start: Start date of the account

    Account End: End date of the account

    IC Rate: Indirect Cost Rate

    Fin Rpt Date: Financial Report Date

    Previous Fund No: The number of the most recent previous fund which was associated with this project

    Current Increment: The Award Amount associated with this account for the selected increment

    Award: Award amount associated with this account for the selected increment, including both direct and indirect amounts

    Direct: The Direct Cost amount associated with this account for the selected increment

    Indirect: The Indirect Cost amount associated with this account for the selected increment

    Total Amount: The total of all increments associated with this account in the selected and all prior award period(s)

    Award: The total of all award increments associated with this account, including both direct and indirect amounts in the selected and all prior award period(s)

    Direct: Direct cost total for all increments associated with this account in the selected and all prior award period(s)

    Indirect: Indirect cost total for all increments associated with this account in the selected and all prior award period(s)

    CarryOver: Amount of a prior award that is authorized to be carried over into this account for expenditure

    Date: Date the carryover adjustment occurred

    Fund #: Fund Number to which the carryover was applied

    Type: Adjustment Type. Either an Unexpended Balance or an Unliquidated Obligation

    Amount: Carryover Adjustment Amount

    Comment: Any additional comments specific to the carryover

    Remarks/Exclusions/Exception: Comments and specific requirements specific to this award account

    < Page Number>: Page Number on bottom of Page

    Award Information Section

    PI: Primary Principal Investigator for the project

    Co-Investigators: Co-PI’s and Non-Primary Investigators for the project

    Assoc Dept: Associated Dept/ Responsible ORG description and code

    Title: Project Title

    Short Title: Shortened version of the project title to facilitate identification of some projects such as Clinical Trials

    Award No: Award Number assigned to the project by the Sponsor

    CFDA: CFDA Number

    School Log No: School Log Number associated with the requested period which the award has been applied

    Fed Flow Thu Flag: Federal Flow Through Flag – value is yes if the Sponsor is a non-Federal Government Agency and the original source of the funds for the award is a Federal Government Agency

    Originating Sponsor: Sponsor name and code of the originating source of the funds for the award if the award is a flow through of a federal government award to our award sponsor

    Cost Share: Cost Share value is YES if the project involves a Cost Sharing contribution from the University toward the total costs of the project. Otherwise the value is NO.

    Cost Share Type: Type of Cost Sharing from the following list: None, Undetermined, Mandatory, or Voluntary

    Fund Purpose: Fund Purpose Description followed by the code in parentheses

    Project Period Awarded: The Start Date of the first award period and the End Date of the last award period for the awarded project segment.

    Start Date: Start Date of the first award period

    End Date: End Date of the last award period

    Prior Year(s): Award Periods that are in the past in relation to the Current Year

    Award: Award Period

    Start Date: Start Date of the Award Period

    End Date: End Date of the Award Period

    Direct: Direct Costs

    Indirect: Indirect Costs

    Total Costs: Total of the Direct and Indirect Costs for the Period

    Totals: Total Direct, Indirect and Total Costs for the Prior Year(s)

    Current Year(s): This is determined by the current date on which the AIS is generated and if it falls within the Award Period Dates, then it is Current – It is possible for there to be more than one Current Record under this section

    Award: Award Period

    Start Date: Start Date of the Award Period

    End Date: End Date of the Award Period

    Direct: Direct Costs

    Indirect: Indirect Costs

    Total Costs: Total of the Direct and Indirect Costs for the Period

    Totals: Total Direct, Indirect and Total Costs for the Current Year

    Future Year(s): Award Periods beyond the Current Year that have a status of Future or Future-Pending

    Award: Award Period

    Start Date: Start Date of the Award Period

    End Date: End Date of the Award Period

    Direct: Direct Costs

    Indirect: Indirect Costs

    Total Costs: Total of the Direct and Indirect Costs for the Period

    Totals: Total Direct, Indirect and Total Costs for the Future Year(s)

    Projected Project Totals: Total Revenue Amounts that are projected for the project

    Direct: Direct Costs

    Indirect: Indirect Costs

    Total Costs: Total Sponsor Costs

    Subcontract(s): List of all Subcontractors associated with the award and their Amounts

    Name: Subcontract Name

    Current Amount: Total Dollar Amount per Subcontract for all Award Increments in the Current Period

    Total Amount: Total Dollar Amount for all Award Increments for all Periods (Past and Present) associated with that Subcontractor

    Approvals: List of Compliance Office Approval types (i.e. Human Subjects)

    < Page Number>: Page Number on bottom of Page. Restart for every AIS.

    * Denotes the period of the increment for which the AIS was selected.

Section 2 - Cost Share AIS

When there is Cost Sharing associated with a sponsored project, an additional Account Information Sheet (AIS) will be issued. PennERA Proposal Tracking system captures incremental information, specific to the Cost Sharing.

The Cost Share AIS is similar to the standard AIS and is divided into three similar sections.

  • The Account Information Sheet Header Section
  • The Account Information section contains information specific to a BEN account that is set up for the cost share.
  • The Award Information section contains general information that is relevant to all cost share increments associated with a sponsored project.

The Cost Share AIS contains all fields, however, the only descriptions included are for fields that vary from the standard AIS. Refer to the previous AIS Descriptions (starting on page 3) for further detail.

Account Information Sheet Header Section for Cost Share

  • Field Descriptions: Same as Project AIS
  • Notes: “Cost Share” is identified at the top of the sheet, just under Account Information Sheet title. This is the only difference on the Header Section between the regular and Cost Share AIS.

Account Information Section for Cost Share

IC Rate: The IC (Indirect Cost) rate will always be 0

Current Increment Cost Share: The Amount associated with this account for the selected Cost Share increment

Total Amount: The total of all increments associated with this cost share account in the selected and all prior award period(s)

Award Information Section for Cost Share

Cost Share: Cost Share value is YES if the project involves a Cost Sharing contribution from the University toward the total costs of the project. Otherwise the value is NO.

Cost Share Type: Type of Cost Sharing from the following list: None, Undetermined, Mandatory, or Voluntary

Institution No: Institution Number – a number unique to the proposal in the PennERA proposal tracking system

Prior Year(s) Cost Share: Award Periods that are in the past in relation to the Current Year

Start Date: Start Date of the Award Period

End Date: End Date of the Award Period

Total Costs: Cost Share Costs for the Period

Total Cost Share: Total amount of the Cost Share for all prior Periods

Current Year(s)Cost Share: This is determined by the current date on which the AIS is generated and if it falls within the Award Period Dates, then it is Current – It is possible for there to be more than one Current Record under this section

Start Date: Start Date of the Award Period

End Date: End Date of the Award Period

Total Costs: Total of the Costs for the Period

Total Cost Share: Total amount of Cost Share for current Periods.

Future Year(s) Cost Share: Award Periods beyond the Current Year that have a status of Future or Future-Pending

Start Date: Start Date of the Award Period

End Date: End Date of the Award Period

Total Costs: Cost Share Costs for the Period

Total Cost Share: Total Cost Share Costs for the Future Year(s)

Projected Project Totals – Total Costs: Total Amounts that are projected for the project Cost Share


Proposal Pipeline Reports

Overview

The Pipeline Reports allow for the retrieval of data for proposals that have been created in the Proposal Development Module that have been submitted for internal review. They are designed to assist administrators and those in the review and approval path for proposals by 1) providing them with a list of proposals under their purview, and 2) helping them identify the most urgent proposals in order to prioritize handling.

There are two versions of the report:

  1. PD Pipeline Report - This report displays data about all proposals for which a user is in the review and approval path of or has access to within PennERA that have been submitted for internal review and approval.
  2. PD Grants.gov Report – This report displays data about all proposals for which a user is in the review and approval path of or has access to within PennERA, that will be submitted to Grants.gov or have been submitted to Grants.gov within the last 14 days.

If your Proposal is not included in the report, or if you have any questions about the information shown in the report, click on the link in the text above the report for help. The report includes information on the Proposal, such as the Principal Investigator (PI), the Proposal’s title, primary sponsor, and status; the due date; and other specifics on such things as where the proposal currently is within its review and approval path. (To view specifics on a Proposal, click on the “Detail” link in the report.) For each proposal, the report provides detailed routing information with timestamps.

Those who wish to access the Proposal Pipeline Reports must submit a BEN Reports authorization form. Users may request access to all Proposals for which their organization is responsible. Administrators are presented with a list of all Proposals within their assigned Orgs.. Once inside the report, users have the option to modify the report’s parameters by which they may filter their report results. They may type parameter values directly into the boxes provided, or click the icon to the right of the parameter box to activate a pop-up list of values for that parameter. A small "Search Dialog" window will appear, displaying 10 values at a time. Users may either scroll through the list, using the Next button, or use the search feature at the top of the box. For example, entering "a%" will retrieve all PI’s with last name beginning with the letter A. Similarly, entering "%James%" (without quotes, but with the both % wildcards) will retrieve all PI’s with "James" as part of their first or last name. Searches are case insensitive. Proposal reports may be filtered by:

PI Name: The Principal Investigator's name.

Sponsor Name: Keep in mind that the sponsor’s name is stored in just one form. ‘NIH’ does not appear on the sponsor name list, but 'NATIONAL INSTITUTES OF HEALTH' does.

Sponsor Type: The type used to group sponsors by type of entity. Values:

  • UPENN Commercial/Industrial (for-profit enterprises)
  • UPENN Federal (agencies of the United States federal government)
  • UPENN Foreign Governments (agencies of governments outside the United States; foreign countries or cities)
  • UPENN Foundations - (foundations, per the Internal Revenue Service Code)
  • UPENN Hospital/Medical Centers
  • UPENN Internal (organizations within the University of Pennsylvania; such sponsors usually have provided cost sharing for sponsored projects)
  • UPENN Other (the sponsor cannot be assigned to another sponsor type)
  • UPENN Other Non-Federal Governments - agencies of state or local governments within the United States
  • UPENN Other Non-Profit Organizations (non-profit enterprises that are neither foundations nor private associations)
  • UPENN Private Associations (private associations, per the Internal Revenue Service Code)
  • UPENN Universities (other institutions of higher education; such sponsors usually have awarded subcontracts to the University of Pennsylvania)

Proposal Type: The type of request for funding for the project period (funding cycle). The proposal type indicates the reason for requesting funding for this funding cycle, as noted in the 'Type of Proposal' field on the Office of Research Services Proposal Transmittal and Approval Form that was submitted with the first request for funding for this funding cycle. Values:

  • Change of Grantee Inst
  • Competing (Renewal)
  • CTA - Early review
  • CTA/SRA – Amendment
  • Extension (used only for records created before Oct. 14, 2003)
  • New Project
  • Non-Competing Continuation (used only for records created before Oct. 14, 2003)
  • Pre-Proposal
  • Revised Budget (used only for records created before Oct. 14, 2003)
  • Revision
  • Supplemental

Proposal Status: The current state of the proposal within the internal review process.

Department: The 4-character code that identifies the Penn organization responsible for the proposal.

School/Center: The 2-character code for the school or center for the organization responsible for the proposal.

Proposal Due Date Range: The date range within which a proposal’s due date may fall. (ie. 10/01/06 – 10/31/06)

Institution Number: The unique identifier for the Proposal.

Org Range: The starting and ending orgs between which a proposal’s primary associated department may fall. (ie. 4100-4199)

Definitions

All Proposals are displayed with the following summary information:

Institution Number: The unique identifier for the Proposal, generated by the PennERA system. If the information for the Proposal is shown in red, the Proposal’s due date has passed. For more information on the Proposal, click on the “Detail” link in the row for the Proposal.

Principal Investigator: Principal Investigator's name, in uppercase, in the format LASTNAME,FIRSTNAME MIDDLEINITIAL.

Proposal Title: The full title of the Proposal.

Sponsor Name: The name of the primary funding agency for the proposed grant or contract will be displayed here.

Proposal Due Date: The date that the proposal is due to the primary funding agency for the grant or contract (This is called Deadline in PD/PennERA.)

Initial PI Submission Timestamp: The timestamp indicating when the proposal was submitted for internal review.

Proposal Status: Indicates the current state of the proposal within the internal review process. Values:

  • Under Review (The Proposal is currently under review within its route.)
  • Pending (The Proposal has completed its review and approval path and has been submitted to its sponsor.)
  • Under Development (The Proposal is currently being worked on by the PI.)

ORS Received Timestamp: The timestamp indicating when the proposal was routed to ORS.

Version: Indicates whether the proposal is a Draft or Final version of its research plan.

Who’s Reviewing/Notified: The current step that the proposal is in within its review and approval path.

Detail for a selected Proposal includes the following additional information on the Proposal and its review and approval path:

Institution Number: The unique identifier for the Proposal assigned by Penn.

Proposal Type: The type of request for funding for the project period (funding cycle). The proposal type indicates the reason for requesting funding for this funding cycle, as noted in the 'Type of Proposal' field on the Office of Research Services Proposal Transmittal and Approval Form that was submitted with the first request for funding for this funding cycle.

Proposal Status: Indicates the current state of the proposal within the internal review process.

Title: The full title of the Proposal.

Principal Investigator: Principal Investigator's name, in uppercase, in the format LASTNAME,FIRSTNAME MIDDLEINITIAL.

Primary Associated Department: The organization responsible for the proposal.

Primary Associated School/Center: The school or center for the organization responsible for the proposal.

Grants.gov ID/Submission Timestamp: The unique identifier returned by Grants.gov when a proposal has been submitted to them and the date/time that it was submitted.

Path Name: The name of the path in which the proposal will be routed.

Step Number: The unique identifier of the current step that a proposal is in within its route.

Step Name: The name of the current step that a proposal is in within its route.

Who: The name of the person is reviewing or has reviewed the proposal within a given step.

Notified: The date and time a proposal entered a given step.

Completed: The date and time a proposal completed a given step.

Decision: The final approval/disapproval given at a step within the review and approval path.

 


University of Pennsylvania
Last modified:  23 April 2013