Records data about each budget period within a proposal
(funding cycle) for a sponsored project. Includes
information such as the
status for the period, the requested and awarded start and end dates for
the period, the number of requests and increments for the period, and various
for the period. Award information is stored not only for award
payments received and for advance accounts, but also for future periods ("out
as specified in the Notice of Award. There is one PENNERA_PERIOD record per
proposal (funding cycle), per
period. For example, a proposal submitted to the NIH for a five-year
project would have five PENNERA_PERIOD records.
- Comparing what was requested for a period to what was awarded
for a period.
- Using information on future periods to develop budgets. ("It's time to
develop the budget for Biochemistry. How much money do we expect to get in
awards to Biochemistry next year?")
||Indexed Data Elements
- There are two different unique identifiers for a proposal (funding
cycle): INSTITUTION_NO and PROP_NO. INSTITUTION_NO is the identification
number assigned by the University. PROP_NO is the identification number used
internally by the PennERA system. For a given record, INSTITUTION_NO will not have
the same value as PROP_NO. While either one may be used when joining PennERA
Proposals tables, INSTITUTION_NO is the one recommended for display in reports.
- Records with an INSTITUTION_NO less than or equal to 05017400 were converted
from the Research Services System (RSS, the system used to track proposals
and awards before October 14, 2003). Other records are for proposals created
- An Organization is a subdivision of the University created for management
purposes. When reporting on Organizations ("orgs"), be sure to
select the data element that meets your needs. (Note that for every organization
table also stores the associated school/center element.)
- Organizations for the proposal (funding cycle): The PROPOSAL_RESP_ORG_CODE
identifies the org. responsible
for the proposal
at the time
the proposal. There are several organizations for the PI (the Principal
Investigator for the proposal). The PI_HOME_ORG_CODE identifies the org.
that owns the PI's employee record and is responsible
for its maintenance. The PI_PRI_APPT_ORG_CODE identifies the org. where
the PI has his or her primary job appointment. The PI_PRI_ACAD_APPT_ORG_CODE
identifies the org. where the PI has his or her primary academic job
highest-ranking faculty job appointment. (For information on how
the primary appointment and the primary academic appointment are determined,
see the explanation in the Cautions section of the documentation
for the EMPLOYEE_GENERAL table.) The
PI_ERA_PRIMARY_ORG_CODE identifies the org. flagged as the
in the PI’s PennERA Profile. (Although it is used to secure certain data
elements in the Data Warehouse, the ERA primary org. is not used by the University’s
business processes.). PI_INVESTIGATOR_ORG_CODE is either the same as the PROPOSAL_RESP_ORG_CODE,
or (roughly speaking) the org. with which the PI is affiliated that is closest
to the PROPOSAL_RESP_ORG_CODE. (Although it is used to secure certain data elements
in the Data Warehouse, the investigator org. is not used by the University’s
- Organizations for the parent proposal: Note: data
for parent proposals is not currently entered in PennERA. The PennERA
Proposals Data Collection has been designed to accommodate that data
when it becomes available. If the proposal
is for a sub-project--for example, if it is for a project that is part
program project--the proposal for the program project is termed the 'parent
proposal'. If applicable, the PENNERA_PERIOD has information
on the same kinds of orgs. for the parent proposal as for the proposal:
PARENT_PROP_RESP_ORG_CODE (the org. responsible
for the parent proposal
at the time
the parent proposal), PARENT_PI_HOME_ORG_CODE (the org.
that owns the employee record for the PI of the parent proposal),
PARENT_PI_PRI_APPT_ORG_CODE, PAR_PI_PRIACADAPPT_ORG_CODE, PARENT_PI_ERA_PRI_ORG_CODE,
- Users with University-wide access may see all the data elements for every
PENNERA_PERIOD record. Users with Organization-based access may see secured
PENNERA_PERIOD data elements only for records which they are authorized
based on one or more of the orgs. in the PENNERA_PERIOD record. Users
with Organization-based access
all other PENNERA_PERIOD data elements (including REQUESTED_TOT_SPON_COSTS and
- The orgs. that apply to Organization-based access are the PROPOSAL_RESP_ORG_CODE,
PI_HOME_ORG_CODE, PI_PRI_APPT_ORG_CODE, PI_PRI_ACAD_APPT_ORG_CODE,
PI_ERA_PRIMARY_ORG_CODE, PI_INVESTIGATOR_ORG_CODE, PARENT_PROP_RESP_ORG_CODE,
PARENT_PI_HOME_ORG_CODE, PARENT_PI_PRI_APPT_ORG_CODE, PAR_PI_PRIACADAPPT_ORG_CODE,
PARENT_PI_ERA_PRI_ORG_CODE, PARENT_PI_INV_ORG_CODE, and PERIOD_RESP_ORG_CODE.
- To facilitate Organization-based security, the orgs. listed above have
their values set to '.' if they would otherwise be null.
- The secured PENNERA_PERIOD data elements are the REQUESTED_DIRECT_COSTS,
REQUESTED_MTDC, REQUESTED_INDIRECT_COSTS, REQUESTED_COST_SHR_IN_KIND,
REQUESTED_NONSPON_COSTS, REQUESTED_TOTAL_COSTS, AWARDED_DIRECT_COSTS, AWARDED_MTDC,
AWARDED_INDIRECT_COSTS, AWARDED_COST_SHR_IN_KIND, AWARDED_COST_SHR_CASH,
AWARDED_NONSPON_COSTS, and AWARDED_TOTAL_COSTS.
- If an org. is '.', the corresponding
school/center code is also '.'. (For example, if the Principal Investigator
has no employee information about a faculty job appointment dating back
to the time of the funding cycle, both PI_PRI_ACAD_APPT_ORG_CODE and PI_PRI_ACAD_APPT_SCHOOL_CODE
have the value '.'.) The school/center data elements that store '.' (rather
than a null value) are the PI_ERA_PRIMARY_SCHOOL_CODE, PI_HOME_SCHOOL_CODE,
PI_INVESTIGATOR_SCHOOL_CODE, PI_PRI_ACAD_APPT_SCHOOL_CODE, PI_PRI_APPT_SCHOOL_CODE,
- Note: the org. and school/center data elements that refer
to the parent proposal should not be used in queries. Data for parent proposals
entered in PennERA. The PennERA Proposals Data Collection has been
data when it becomes available.
- Note that a proposal may have one or more associated PENNERA_PROPOSAL_INVESTIGATOR
records. That is, there may be one or more PENNERA_PROPOSAL_INVESTIGATOR
records whose INSTITUTION_NO matches the INSTITUTION_NO in the PENNERA_PERIOD
- Each proposal ought to have exactly one PENNERA_PROPOSAL_INVESTIGATOR
record with information on the Principal Investigator (PI_FLAG='Y').
(For Business Objects users, the Universe includes the PI's name in the folder
for the PENNERA_PERIOD table.)
- One way to get information on the Principal Investigator (PI)
for the proposal is to specify that the INSTITUTION_NO in the PENNERA_PERIOD
table must match the INSTITUTION_NO in the PENNERA_PROPOSAL_INVESTIGATOR
table, where PI_FLAG='Y'.
- Another way to get information on the PI for the proposal is
to specify that the INSTITUTION_NO and PI_PENN_ID in the PENNERA_PERIOD
must match the INSTITUTION_NO and PENN_ID in the PENNERA_PROPOSAL_INVESTIGATOR
table, where PI_FLAG='Y'.
- Be sure to specify PI_FLAG='Y', in case the person who is the
PI is associated with the proposal more than once (with different
investigator orgs. and/or with different roles).
- A proposal may have any number of PENNERA_PROPOSAL_INVESTIGATOR records
(including zero records) with information on the co-investigator(s),
if any (PI_FLAG='N'). Note
that a proposal may have more than one PENNERA_PROPOSAL_INVESTIGATOR
record for a given investigator if that investigator is
associated with the proposal more than once (with different investigator
orgs. and/or with different PI_FLAGs). When including investigators'
names in reports, multiple records will be returned for
a given proposal if there are any
co-investigators for the proposal, or if the person who is the
Principal Investigator (PI) is also associated with the proposal
in a different role. To avoid having multiple records returned,
ask for information only for the PI (PI_FLAG='Y').
- PENNERA_PROPOSAL_INVESTIGATOR stores the investigator's name, job appointment,
and department (org.) data as it was at the time of the proposal (funding
cycle). For the current information about the Principal Investigator,
see the PENNERA_PEOPLE table where the PI_PENN_ID in the PENNERA_PERIOD
table matches the PENN_ID in the PENNERA_PEOPLE table.
- Usually, a proposal ought to have no requested periods that overlap with
each other, and no awarded periods that overlap with each other. For example,
if the REQUESTED_PERIOD_END_DATE for period 1 is 12/31/2004, the REQUESTED_PERIOD_START_DATE
for period 2
ought to be 1/1/2005 or later. However, in some cases, it is legitimate
for the proposal to have overlapping budget periods. If you find a proposal
with overlapping budget periods, and you are uncertain whether they are legitimate,
contact your pre-award administrator in the Office of Research Services (ORS).
- A given requested amount in a PENNERA_PERIOD record for a given proposal
and period should be the same as the sum of that given requested amount
for all the PENNERA_REQUEST records for
proposal and period, regardless of the value of PENNERA_REQUEST.REQUEST_STATUS.
- For example, PENNERA_PERIOD.REQUESTED_TOT_SPON_COSTS should equal the
where PENNERA_PERIOD.INSTITUTION_NO = PENNERA_REQUEST.INSTITUTION_NO
and PENNERA_PERIOD.PERIOD_NUMBER = PENNERA_REQUEST.PERIOD_NUMBER.
PENNERA_PERIOD.REQUESTED_TOT_SPON_COSTS reflects the amount requested
for the period, not what was awarded. This is true regardless of the
status of the
request records for the period (even if one or more has the status
- A given awarded
amount in a PENNERA_PERIOD record for a given proposal and period should
as the sum of that given awarded
amount for all
proposal and period, regardless of the value of PENNERA_INCREMENT.INCREMENT_STATUS.
- For example, PENNERA_PERIOD.AWARDED_TOT_SPON_COSTS
should equal the sum of the PENNERA_INCREMENT.AWARDED_TOT_SPON_COSTS
where PENNERA_PERIOD.INSTITUTION_NO = PENNERA_INCREMENT.INSTITUTION_NO
and PENNERA_PERIOD.PERIOD_NUMBER = PENNERA_INCREMENT.PERIOD_NUMBER.
this example, PENNERA_PERIOD.AWARDED_TOT_SPON_COSTS includes not only
that have been received for the period, but also awards for the
period that are expected to be paid in the future (per a Notice of Award)
and amounts paid by
expectation of an award for the period.
- Note that a request is linked to a budget period--not to an increment.
To compare what was requested to what was awarded, use the PENNERA_PERIOD
table or the PENNERA_PROPOSAL
The Proposal Tracking module of PennERA, used at Penn since October 14, 2003
to track information on proposed and awarded
PennERA is the University's electronic research administration
system, providing support to faculty and research administrators
for all sponsored project activity at the University of Pennsylvania.
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