Penn Global Research and Engagement Grant Program Manage My Grant

If your project is selected for funding, congratulations! You will receive an award letter with detailed instructions to help you get started.

In most cases, you will be asked to log in to Survey Monkey Apply, our grant management tool, and complete the following tasks by the date indicated in your award letter: 

• Carefully review and accept the Terms and Conditions associated with your award.
• Review and update your project abstract, which should be written for the educated non-specialist. 
• Complete the Budget Form, providing Penn Global with your correct Chart of Accounts information.

If the award amount differs from your original request, you will also be asked to submit a revised budget reflecting the award amount. 

Transferring the First Tranche of Funding
Once Awardees share their Chart of Accounts (designated CNAC-ORG-CREF segments) and funding distributions are confirmed, the Provost-provided funding will be processed via resource transfer journal entry. The transfer will pertain to the fiscal year need, as determined by the approved budget. At this time, the matching funds applicable to that fiscal year should also be provided.

If for any reason the School/Center is unable to transfer the funding at this time, they may contact Penn Global to request an extension.

Once Awardees share their designated CNAC-ORG-CREF segments and funding distributions are confirmed, the Provost-provided funding will be processed via resource transfer journal entry. The transfer will pertain to the fiscal year need, as determined by the approved budget. At this time, the matching funds applicable to that fiscal year should also be provided.

YEAR 1
If your project is awarded funding, you will be asked to complete a few follow-up tasks in Survey Monkey Apply. In addition, you will be asked to confirm and transfer, if applicable, your matching funds to the 14Fund. Only when these criteria are satisfied will Penn Global’s Business Office transfer Year 1 funding.

YEAR 2+
For multi-years Projects, continued funding is dependent on a number of factors including the satisfactory completion of all requirements associated with the award. It is expected that all programs submit their semi-annual narrative and financial reports on time and are confirmed to be in good standing prior to receiving the Provost Office’s funds for the fiscal year. That includes having received the Awardee's matching funds for the year, or having confirmed with Penn Global’s Business Office an explicitly defined timeline of when the match will be received.

In accepting a grant, Awardees agree to submit biannual financial and narrative reports in January and July throughout the project's period of performance. In general, reports will be due on the following dates, unless otherwise noted:

• JANUARY 31: covering the period July 1 – December 31 of each fiscal year
• JULY 31: covering the period January 1 – June 30 of each fiscal year

All narrative and expenditure reports must be submitted via Survey Monkey Apply using forms or templates provided by Penn Global. If no activity or spending has occurred within the most recent reporting period, please indicate this on the appropriate form, using “N/A” or similar for narrative reports and “0” for financial reports. Extensions on semi-annual report submission must be approved in advance by Penn Global.

Please note that if a semi-annual report is not submitted, the Awardee will jeopardize his/her likelihood for continued funding.

Penn Global fund guidelines do not supersede any policies or protocols established by the Awardee’s School, Center or Department. The Awardee is responsible for ensuring that the Project meets the same departmental internal processes and review as it would for any educational, research, or other activity conducted within his or her School, Center or Department.

General Guidance for International Activities: The University of Pennsylvania places a high value on engagement with international partners. Please see the Office of the Vice Provost for Research for general guidance and important considerations when traveling or conducting research abroad or hosting foreign visitors in or at University facilities.

Disclosure of International Activities: Recipients of funding from the U.S. National Institutes of Health, National Science Foundation, and Department of Defense may be required to disclose foreign research collaborations, including those supported by Penn Global funds, even if such collaborations are not directly supported by U.S. federal grants. Please consult the Office of Research Services for agency-specific disclosure guidance.

Export Compliance: all Penn activities, whether conducted on campus or overseas, must comply with applicable regulatory requirements, including U.S. export control laws which restrict or require licensing for the export of items and technologies to certain countries, individuals, and entities, including some academic institutions in some countries. Penn’s Office of Export Compliance can assist with any questions regarding licensing requirements for specific activities.

Awardees will be notified if any potential export compliance issues are identified within their proposal.

Training: Awardees are expected to comply with University research policies with respect to human subjects and other required training and certification and may be required to undergo training on research ethics, human subjects review, and other subjects as needed and appropriate prior to beginning a Penn Global Research and Engagement Fund-supported Project.

Foreign Agreements and Research Collaborations: Awardees whose Projects require formal or written agreements of any kind, including Memoranda of Understanding, with foreign partners, institutions, or organizations should contact Penn Global Global Support Services (GSS) before concluding any formal documentation. GSS can provide assistance at any stage of the development of new international Memoranda of Understanding and academic agreements. To start the process, please complete the form available on the GSS website. GSS also maintains a record of existing school/center agreements on the GSS website.

Research collaboration agreements should be routed through Penn’s Research Inventory System (RIS) for review and signature.

Overseas Hiring and Tax Issues: The recommended option for hiring individuals such as research assistants abroad is to have a local partner institution hire, contract with, and pay the individual, and then have that institution invoice your School/Center directly. If you are not able to determine a partner institution to hire the individual, please contact Global Support Services: globalsupport@pobox.upenn.edu. 

Vendor Payments:

• Honoraria: Please be sure honoraria payments are given as a token of appreciation for participation in an activity or event, and not as a contractual obligation to pay services rendered. Payments should be initiated at the Penn Marketplace & comply with Financial Policy 2319 regarding eligibility & process. If you need additional assistance regarding foreign payments for honoraria please contact the Tax Office at doftaxoper@pobox.upenn.edu.  
• Vendor Payment Procedures:  The preferred method is that all Award expenses be recorded on Penn’s books (i.e., Penn receives the funds from the external funder and then pays for the cost of the goods/services).  Direct pay by external funding source(s) should be employed ONLY in cases in which Penn Global Support Services (GSS) deems this method is necessary for specific reasons. Cash payments should be avoided unless absolutely necessary and require advance approval. For additional information contact GSS at globalsupport@pobox.upenn.edu.
• Individual or Corporate Funding: Any individual or corporate funding should be collected by the University of Pennsylvania. Please contact Penn Global Support Services (GSS) at globalsupport@pobox.upenn.edu if you have questions as to what types of revenue/payments are allowable. 
• Office and Space Rental: Please contact Penn Global Support Services (GSS) at globalsupport@pobox.upenn.edu if your Project requires office or long-term space rental in a foreign country of 30 days or longer, as there are potential tax consequences and regulatory requirements.

REQUESTING A CHANGE IN SCOPE AND/OR BUDGET
Requests to shift funds in excess of 20% of the approved Project budget must be approved in advance by Penn Global. This includes when shifting funds associated with tasks across fiscal years. The total amount shifted from one task to another generally may not exceed 20% of the approved Project budget.

Please note that the Provost’s Office is not able to provide additional funds for any unbudgeted or excess costs not included in the approved Project budget, and that any expenditures outside the approved Project budget must be agreed in advance and confirmed in writing with Penn Global.  

REQUESTING A NO-COST EXTENSION
At least 30 days prior to the completion of the Project, the Awardee may submit a written request to Penn Global to extend the duration of the Period of Performance. This is subject to Penn Global approval. An extension of the Period of Performance will not result in an increase in funding.

Important Note: Awardees are expected to notify Penn Global as soon as possible in the event they are unable to perform the work and activities of this Project, expend the Award funds for the purposes of the Project or within the Period of Performance, or are otherwise unable to meet the terms and conditions of the Award.

SUBMIT YOUR REQUEST
For requests to modify the scope of your award or re-allocate funding to an activity not included in the approved project budget or to request a no-cost extension of the approved project period of completion, you will need to complete a form on Survey Monkey Apply.

To get started, please contact Penn Global at global@upenn.edu with your request.

MEDIA & PUBLICITY
Unless otherwise requested by the Awardee, Penn Global may include information regarding this award, including its purpose, photographs, or other information or materials about your Project and its activities, in Penn Global’s reports, presentations, and publications or on Penn Global’s website and social media platforms without further notification.

ACKNOWLEDGEMENT OF SUPPORT
We request Awardees to identify Penn Global and the relevant specific Research and Engagement Fund (GEF, CREF, IREF, or AREF) as a funding source on publicity associated with the Project. Penn Global’s logo can be provided to the Awardee upon request.

Once Awardees complete all tasks outlined in the award letter (see "Getting Started" for more information), share their designated CNAC-ORG-CREF segments and confirm funding distributions, the Provost-provided funding will be processed via resource transfer journal entry. The transfer will pertain to the fiscal year need, as determined by the approved budget. At this time, the matching funds applicable to that fiscal year should also be provided.

YEAR 1
If your project is awarded funding, you will be asked to complete a few follow-up tasks in Survey Monkey Apply. In addition, you will be asked to confirm and transfer, if applicable, your matching funds to the 14Fund. Only when these criteria are satisfied will Penn Global’s Business Office transfer Year 1 funding.

YEAR 2+
For multi-years Projects, continued funding is dependent on a number of factors including the satisfactory completion of all requirements associated with the award. It is expected that all programs submit their semi-annual narrative and financial reports on time and are confirmed to be in good standing prior to receiving the Provost Office’s funds for the fiscal year. That includes having received the Awardee's matching funds for the year, or having confirmed with Penn Global’s Business Office an explicitly defined timeline of when the match will be received.

Awardees are expected to abide by all University financial management policies and in general to demonstrate diligence and care in the use of Provost Office funds.

In addition, if federal funds are used as part of matching funds, care should be taken to ensure that the funds are properly segregated, tracked, and identified per applicable federal policies and regulations.

Please note:

• CNAC & ORG will be award recipients’ home CNAC & ORG
• CREF is at recipient discretion, but must be used for all Project revenues & expenses.
• BC & PROG: 
  • For IREF only: BC will always be 2, Fund will always be 000014 & PROG must always be IN00
  • For CREF only: BC will always be 2, Fund will always be 000014 & PROG must always be IN00
  • For HAREF only: TBD
  • For GEF only: Transfers are made to recipients directed budget codes & to be managed at home department 

Additional Guidance on Expenditure Reporting for IREF/CREF Awardees:
It is important that all revenues and expenditures related to a Penn Global China/India Engagement Fund-supported Project, including matching funds, be properly credited using the full 26-digit account string as confirmed during Project establishment. The 26-digit budget string will be unique to the Project funded and is not to be commingled with other Project revenues or expenses and will take the following form: CNAC-ORG-2-000014-xxxx-PROG-CREF .

Due to fund restrictions – such as external grant funding (5xxxxx funds) or Indian government funds/CSR funds (IREF only) – some matching revenues may not be able to be moved to Penn’s 000014 fund. To count towards the funding match, you must document the funding amount, source and rationale for why it cannot be moved into the Provost funds. With Penn Global concurrence, they will still count towards the Project but it is expected you will report on the spending of those funds in the separate external funds section of the Financial Reporting documents.

Revenues & Expenses with External Matching Funds
Please also ensure that revenues and expenses associated with external matching funds are reported via semi-annual financial reports to Penn Global. If you realize you have not used the correct account string during the reporting period, you should submit an adjusting entry to move the individual transactions to the correct budget string prior to the end of the reporting period.  If you do not, the Penn Global Business Office may request that you process adjusting journal entries to correct the affected transactions.

Please contact the Penn Global Business Office (PGBusinessOffice@lists.upenn.edu) if you need assistance in identifying or processing these corrections or if you have any general Financial Management Questions.

In general, Awardees may use funds to support direct costs associated with performing research or educational activities, such as data collection or analysis, field or archival work, or instructional activities. Following is a list of the types of activities that can be supported by Provost Office funds:

Allowable Costs

Please note: All applicants are expected to exercise prudence, proposing reasonable costs for expenses associated with the Project.

• Personnel Support. Support for incremental, non-faculty or permanent staff salaries and stipends (such as temporary positions), student workers and post-docs. Fringe benefits for student workers and post-docs are automatically assessed with the salaries and calculated at 9.0% (rate subject to change annually). Funds may not be used for faculty or staff salaries.
   

• Equipment, Materials & Supplies.* Support for equipment, materials and supplies necessary to perform the activities associated with the Project.

*Note: If the faculty members propose to purchase equipment with award funds for use outside the U.S, s/he must work with Global Support Services to ensure regulatory compliance. 

• Conference & Event Support. Support is offered for direct costs associated with organizing convenings (e.g., conferences, symposia, workshops), which may include: catering or meals, personnel (e.g., research
  assistants to help coordinate logistics), travel and accommodations for speakers.
   

• Travel. Support for international and in-country airfare, as long as they adhere to the following parameters:

  • International airfare is limited up to the equivalent of five (5) economy class round-trip tickets/annum.

  • In-country airfare is permissible for partners or collaborators.

  • Follow all University health and safety restrictions related to any travel restrictions that may be in place
     

• Services. Support is offered for the following:

  • Hiring of overseas-based temporary employees essential to the Project

    •   Please note that paying individuals outside the United States involves specific compliance considerations.  Awardees must review the Penn Global Award Payments and Travel FAQ document and consult with GSS as necessary before beginning individual engagements overseas.

  • Professional consultation and collaboration with key partners
     

• Other. Support is offered for the following:

  • Various costs associated with Penn faculty doing extended research in locations abroad (e.g., incentive payments)

  • Outreach activities (e.g., public relations) and publication or printing costs associated with the awarded Project
     

Unallowable Costs

Provost Office funds cannot support any expenses not included in the approved Project budget without prior written approval from Penn Global (see Changes to Project Scope, Focus, and Timeline below). In addition, Provost Office funds cannot support any of the following expenditure types:

• Faculty & full-time operational support staff:

  • Faculty Salaries as defined by 501X-503X Object Codes

  • Staff as defined by 510X Object Codes (Professional Staff)

  • Staff as defined by 511X Object Codes (Support Staff functions)

Note: Post-Docs, Research Staff and other direct Project staff is allowable but must be explicitly approved in the proposal phase.

• Indirect costs: including payments to partner institutions for indirect/facilities costs
   

• Student Travel for Coursework: Student travel for coursework* is generally considered an Unallowable Cost for Penn Global funds. However, student travel specifically for research tasks supporting a project’s tangible goals may be allowed on a case-by-case basis.
  
  *Applicants seeking financial support for international student travel related to coursework are encouraged to contact our colleagues at Penn Abroad (goabroad@upenn.edu) to inquire about Penn Abroad’s Penn Global Seminars program.
   

• Travel

  • More than five (5) roundtrip travel tickets per Project per fiscal year

  • First or business-class travel: Only economy travel is reimbursable, or eligible for counting towards your matching commitment 

Shifting Funds
Funds may be shifted between tasks or approved program elements, in accordance with the following parameters: the total amount shifted from one task to another may not exceed 20% of the original estimated cost of the task. Requests to shift funds in excess of 20% must be submitted in advance to Penn Global for approval (see next module). 

Unspent Funds
For multi-year Projects unspent amounts will remain in the fund and carry forward to the next fiscal year for ongoing Project needs. Fund balances will carry-forward to the next fiscal year, with no action necessary during fiscal year close.

Any unspent Provost Office funds at the time of Project close will be reclaimed, not including matching funds. The disposition of any unspent matching funds will be the responsibility of the Awardee.

Awardees may also request a no-cost extension if there are remaining Project activities or Project expenses. Requests for a no-cost extension must be initiated at least 30 days prior to the completion of the project. -cost extensions are subject to Penn Global approval. See the next module for additional details. 

Requests to shift funds in excess of 20% of the approved Project budget must be approved in advance by Penn Global. This includes when shifting funds associated with tasks across fiscal years. The total amount shifted from one task to another generally may not exceed 20% of the approved Project budget.

Please note that the Provost’s Office is not able to provide additional funds for any unbudgeted or excess costs not included in the approved Project budget, and that any expenditures outside the approved Project budget must be agreed in advance and confirmed in writing with Penn Global.  

For requests to modify your budget or re-allocate funding to an activity not included in the approved project budget, you will need to complete a form on Survey Monkey Apply. To get started, please contact Penn Global at global@upenn.edu with your request.

At least 30 days prior to the completion of the Project, the Awardee may submit a written request to Penn Global to extend the duration of the Period of Performance. This is subject to Penn Global approval. An extension of the Period of Performance will not result in an increase in funding.

Important Note: Awardees are expected to notify Penn Global as soon as possible in the event they are unable to perform the work and activities of this Project, expend the Award funds for the purposes of the Project or within the Period of Performance, or are otherwise unable to meet the terms and conditions of the Award.

For requests for a no-cost extension, you will need to complete a form on Survey Monkey Apply. To get started, please contact Penn Global at global@upenn.edu with your request.

If you are receiving support from the China Research and Engagement Fund for a portion of your project, a 20% facilitation fee will be applied to that portion of the project. Following is additional important information about the facilitation fee. 

What is the basis for calculation of the Penn CREF facilitation fee?

The facilitation fee is 20% of total approved program costs.  Total approved program costs include both the Provost provided funds AND your required matching funds.

If your matching funds exceed the Provost provided funds, the facilitation fee will only be assessed on the portion of your matching funds that is equal to the Provost provided funds.

Example:
Provost awarded funds = $100,000
Total Matching Funds = $300,000
Total Facilitation Fee Assessed: $ 40,000
($100,000 of Provost funds * 20% + 1st $100k of matching funds * 20%)  

In this example, the facilitation fee will only be applied to $200,000 in total.  $100,000 from the Provost funded portion, and only on the first $100,000 of the matching funds.

If your matching funds source does not allow the facilitation fee to be assessed, it will be assessed in total and removed from your Provost provided portion. So in the above example, $40,000 in facilitation fee would be assessed on the Provost awarded funds.  The remaining $60,000 would be for direct program expenses, along with the entirety of your match.

What is covered by the Penn CREF facilitation fee?

As noted above, the Penn CREF is designed to promote School and faculty engagement in China and use of the Penn Wharton China Center (PWCC).  To that end, there is an expectation that Penn CREF-supported Projects will conduct a substantial amount of activity at the PWCC.  In order to support that activity, a portion of funding from each Penn CREF-funded Project will be applied to the direct and indirect costs of using the Center.  The facilitation fee covers:

• Use of the China Center facility, including the tiered classroom, flat classroom, plaza event space, faculty offices, and meeting rooms (up to 10 people capacity, total of 8 conference rooms), along with electronic and other on-site signage, all based on booking availability

• Event Support up to 6:00 p.m. on weekdays, including event setup, knockdown, and cleanup; event check-in support; AV/IT event support specialist; and AV/IT testing

• Use of presentation equipment, telepresence equipment, and video conference equipment

• Assistance with identifying, contracting, and paying service providers (i.e., translators, tour guides, caterers, etc.) in China

• Some basic translation services for things like signage, name lists, agendas

• Faculty “touch-down” and office space on a short-term basis, IT support, internet access, and in-office printing

• Preparation of visa letters

• International calling

• Super high-speed internet connectivity between Center and campus; ability to log into Penn’s campus systems, as well as common internet tools, e.g. Gmail, YouTube, etc.

• Basic office supplies

• Access to office automation equipment:  high-speed copier, scanner, color laser printer machines

• Receiving and temporary storage of packages from overseas or China (with pre-notification and agreement of PWCC)

What are some out-of-pocket services not covered by the facilitation fee and where can I find the costs for these services?

• Off hour support for event time after 6:00 p.m. and on weekends – see PWCC price list 

• HVAC supplemental time – after 7:00 pm and on weekends – see PWCC price list

• Interpretation and translation – to be quoted per Project by PWCC staff based on requirements

• Catering – to be quoted per Project by PWCC staff based on requirements

• Printing services

  1. Local printing of bilingual business cards – see PWCC price list

  2. Production of bilingual name tags – see PWCC price list

  3. Production of bilingual table/tent cards – see PWCC price list

• Payroll service fees and Chinese IIT (tax) withholdings for temp employees or Independent Contractors hired by the Center for the Project, including employment and labor related documents/compliance

The PWCC price list is available upon request.  Please contact chinainfo@pwcc.upenn.edu for the most up-to-date copy of the price list.  In your request, please note that you are a recipient and/or applicant of the Penn China Research and Engagement Fund.

The Penn Wharton China Center reserves the right to charge additional fees for costs and expenses incurred.

If you are engaging India, you are encouraged to consider partnering with the University of Pennsylvania Institute for the Advanced Study of India (UPIASI). Following is important information to know about working with UPIASI. 

What are the types of services that the University of Pennsylvania Institute for the Advanced Study of India (UPIASI) offers?

UPIASI can provide support in the areas of: 

• Virtual or hybrid event planning and implementation

• Project and related event publicity

• Administrative support in connecting with project collaborators based in India

For a complete list of services, please contact UPIASI at info@upiasi.org. 

Does UPIASI charge an overhead fee?

Yes, UPIASI charges a 10% overhead fee for activities on which they substantially engage, so applicants must include this as part of their line-item budget proposal as they plan their UPIASI-facing project activities and support.

Whom should I contact if I would like to work with UPIASI?

As you plan your UPIASI engagement, please contact info@upiasi.org. In your outreach, please note that you are a recipient and/or applicant of the Penn Global Research and Engagement Grant Program.