era USER GUIDE GRANTS & CONTRACTS

Transcription

1 era USER GUIDE GRANTS & CONTRACTS Updated: 01/05/18 CONTENTS I. GENERAL INFORMATION... 3 era Basics... 3 About Converted Records from Filemaker... 3 Basic Navigation... 4 Dates... 4 Master, Child, and Related Proposals... 5 Master Proposals... 5 Related Proposals... 6 Child Proposals & Master Record Control... 7 ICR Splits... 8 ICR Split Exceptions... 8 Program Type... 9 Instrument Type Funding Source Approvals Approval Types Approval Statuses Personnel Co-PD/PIs and Co-Investigators Add Personnel Change or Remove a PI Change a Person s Role Award Increments Sponsor-Initiated Award Increment Types Internal Award Increment Types Incremental Funding Modifications Award Comments Rush AT > Award Increment Statuses View and Update AT > Award Increment Statuses AT > Award Increment Workflow Statuses AT > Award Increment Delay Statuses PT > Award Increment Statuses Update PT > Award Increment Statuses (Post-Project Setup) PT > Award Increment Statuses II. AWARD LOGGING Initial Awards (or Any New Period) Modifications... 31

2 Correcting a Modification Logged Under the Wrong Period III. AWARD PROCESSING A. Open the Proposal Record for the Award Open from Action Items List (Opens in AT) Open the Proposal Record from an Assignments Report (Opens in AT) Search for the Proposal Record (Opens in PT) B. Review and Update Proposal Folders Proposal Summary Sponsor Admin Staff (i.e. Primary Fiscal Manager) Review & Add Approvals C. Review & Update Personnel D. Review & Update Award Details E. Enter Budget Other Award Increment Details F. Enter F&A G. Attachments H. SubAwards Add SubAwards Access the ShortForm Update Sub PI with Existing PI (via the ShortForm) Add NEW Sub PI to an Existing Institution (via SubAwards table) Add NEW PI to an Existing Institution (via Short Form) Request New Institution Be Added to era Directory Edit Sub PI Contact Information I. Run Data Validation Report J. Update the Status / Resolve Action Item IV. AWARD REVIEW A. Open the Awarded Proposal Record B. Review & Update Attachments C. Add Terms & Conditions D. Review & Add Approvals E. Relate the Proposal (If Applicable) F. Run Data Validation Report G. Update the Status / Resolve Action Item V. OTHER BUSINESS PROCESSES Add a Sponsor Agreements without Funds (aka Non-Monetary Agreements or AWOFs) Agreement Types At-Risk / Prespending Logging the Initial Award after At-Risk Set Up POP Reduction Budget Setup Procedures Carryforward Processing Org Change Processing New Award Numbers for Existing Proposals RASP Processing era User Guide: Grants & Contracts (updated 01/05/2018) 2

3 I. GENERAL INFORMATION era Basics Do not use X in top right of a screen to close a window. Only use Done in top left of screen to close a window. With X, you will not be prompted to save and will lose data. Main Menu in this document refers to the menu in the top left of an InfoEd screen, which includes buttons for Done, Save, Help, History, Access and Hide, as pictured below. About Converted Records from Filemaker Proposals in Filemaker were named according to Month/Year/Sponsor/Sequence. Ex: B o 0415 = Proposal was submitted in April of 2015 o 07 = Miscellaneous Federal sponsors == [first numerical arrangement was by this number] o 0907 = sequentially assigned number in 2015 o B = Boulder campus Proposals created in era are named according to Year/Month/Sequence. Ex: o This was the 12 th proposal record created in the month of October in Regardless of the type of proposal (new, continuation, supplement, renewal, etc.), converted proposal records will be set up as Master/Child records IF the award/project number stays the same for proposals that are not Initial/New. Renewals may not be set up as Master/Child for converted records because of this. Since Master/Child relationships for conversion is established by the award number, supplements and continuations not awarded at the time era went live will not be connected to a Master proposal during conversion. When awarded, these proposals will need to be made a Child of the Master proposal. Budgets - Converted records budgets will be distributed evenly after Year 1 and will not necessarily match the internal Excel budget year by year. Year 1 and the total will match. era User Guide: Grants & Contracts (updated 01/05/2018) 3

4 Basic Navigation We work from the Sidebar, or the menu on the left side of the screen that has folders, e.g., PT Submissions, FT Personnel, AT Related Proposals: the Sidebar of the InfoEd database screen is much like using a hyperlinked Table of Contents the active folder is in Bold -- clicking on a folder will make it active, and bring up the screen which holds that related information some information (fields) is shared between folders/screens [called award level info] folders are different colors, depending on which type of record you are in, i.e., PT = yellow, FT = grey, AT = blue The award header at the top of the window remains stationary, regardless of which award increment is opened or where you click in the award window. The header contains information about the master proposal that is applied to the entire record, specifically: Title, Principal Investigator - PI s Primary Department Org - Primary Department Name Sponsor, for example: Bolded words or terms direct users to click on a particular folder, item or link. For example, Click on My Proposals [to open the My Proposals screen for creating or searching for a proposal record]. Navigating to a particular screen often involves several separate clicks. Navigation instructions are abbreviated, for example: My Proposals > Search for > choose a field. The latter would be read as: Click on My Proposals to select it, then click on Search for to select it, and then choose any field to search by clicking/typing in it. Dates Dates may be entered as six, eight, or 10 digits and will format to the Universal Date Format (e.g. 02-Oct- 2009). Options for entering this date include the following: /02/09 10/02/ era User Guide: Grants & Contracts (updated 01/05/2018) 4

5 Master, Child, and Related Proposals All proposals are connected to one award. Some of the data from the Master Proposal is used at the award level. Because data from Boulder era is integrated with PeopleSoft, changes to certain fields must be made in the Master Proposal: Title Associated Departments/ ICR Splits Sponsor/ Originating Sponsor CFDA Award No./ Originating Sponsor Award Number Award Type (Instr. Type) EPC (Program Type) Funding Source PIs or Co-PIs (see Changing PIs or Co-PIs for how to make this change) Master Proposals The Master Proposal will usually be the first proposal under the Submissions Folder, but can be identified by clicking on the Submissions Folder itself (on the Left side navigation panel). Clicking on this folder opens a table displaying all Proposals with a radio button for Master: To change the master proposal, select the radio button for a different proposal, and the Master Record Migration Details screen will open. (See Master Record Control for more information.) The determination about whether a proposal is a child to an existing master proposal, or a separate master proposal is initially made by the Proposal Analyst. However, when an award comes in, if the sponsor has provided a different award #, then this is may be an indication that the sponsor intends for those funds to be accounted for separately. This is an issue that needs to be clarified with the sponsor. If the sponsor confirms that funds under the award must be accounted for separately, see Processing New Award Numbers for Existing Proposals. If the sponsor does not require separate accounting, keep the original award number as the award number on the Sponsor page and make a note of the change in Award Comments. If there is a child proposal, the previous award # should be added to a child record for searchability. If not, it should be notated under award comments. era User Guide: Grants & Contracts (updated 01/05/2018) 5

6 For NIH awards, the document # will be used as the award # (in discussion with SPA). A change in document # is an indication that a new master proposal is needed. (The Award # will be listed in a separate UDF field.) Related Proposals Proposals should be related if there is specific connection between them that cannot be addressed by a parent/child relationship. The most common link is between a non-monetary type of proposal such as a master proposal, or NDA and the proposal that is funded or applied to. To access related proposals, navigate using the left sidebar navigation in PT, and click on the Related Proposals folder. The Related Proposal/Contracts/Agreements page will open. You can see the current related proposals listed. Click on the open icon to navigate to a related proposal. 1. To relate a proposal, click on the Add button: After clicking on the Add button, the Add Proposal form will pop up. 2. Enter the proposal number or browse for a proposal and click Go. The proposals that meet the criteria will display at the bottom of the screen. era User Guide: Grants & Contracts (updated 01/05/2018) 6

7 3. Click on the checkbox next to the desired proposal, then click the Select button. To make a proposal a child proposal: Child Proposals & Master Record Control 1. From PT> Summary and click on the blue Master Record Control link on the top of the page: 2. In the Master Record Migration Details form, input the master proposal that the currently selected proposal should become a child to. 3. Then click on the save icon. In the example above, B would become a child proposal of B. To make a child proposal its own master record: 1. From the PT > Summary for the current child proposal, click on the blue Master Record Control link on the top of the page. 2. The Master Record Migration Details screen will open, but now there is another link: Make Master Record. 3. Click on this link and the current child proposal will become its own Master Proposal. era User Guide: Grants & Contracts (updated 01/05/2018) 7

8 To separate a Master Proposal from numerous children, make one of the current children into the Master Proposal. ICR Splits ICR Splits are documented in the Master Proposal Record under Associated Departments in PT > Summary. To navigate, use the left sidebar navigation and select the Summary folder (on the master proposal): Near the bottom of the page is the Associated Departments table. Enter each department that will receive the split and its percentage. When a proposal is created, the PI department and org will default to the primary department. To add additional departments, click on the Add button: The ICR split orgs should be the same as those on the PSR form. The % allocated should always equal 100%. If there is no split, then the primary department should be listed at 100%. If an ICR split is listed, then an approval type for ICR split needs to be listed under approvals, and the appropriate documentation should be added in attachments to document the split agreement between the relevant parties. ICR Split Exceptions Generally, the ICR split will only be listed at the award level and will apply to all projects. However, when there is a need to document a split at the project level that is different than the award level, use the ICR Split Exceptions field. 1. First click on the blue Add link (under Other Summary Details) to add an exception: era User Guide: Grants & Contracts (updated 01/05/2018) 8

9 2. Leave Project Number blank. (At the proposal stage and since the implementation of PS 9.2, we do not have project numbers to identify the projects the splits correspond with.) 3. Click Set to enter the department. 4. Enter the relevant percentage. 5. In the Additional Information field, provide identifying information, preferably the PI name. 6. Repeat the above steps for each department in the split agreement. Program Type Program type is used to indicate the EPC (Expense Purpose Code). More details on EPC are online at Program Type tracked on the proposal s Sponsor page: PROGRAM TYPE DESCRIPTIONS RESEARCH - Activities specifically organized to produce research, whether commissioned by an agency external to the institution or separately budgeted by an organizational unit within the institution. Research is a systematic study directed toward fuller scientific knowledge or understanding of the subject studied and is directed toward the production of useful materials, era User Guide: Grants & Contracts (updated 01/05/2018) 9

10 devices, systems or methods. It also includes training individuals in research techniques. Almost all sponsored projects are research. INSTRUCTION - All activities that are part of an institution's instruction program. Instruction is generally associated with preparation for a class, or creation of a new class. It has its own Instruction F&A rate. Expenditures for credit and noncredit courses; academic vocational, and technical instruction; remedial and tutorial instruction; and regular, special, and extension sessions should be included. PUBLIC SERVICE - Activities established primarily to provide non-instructional services beneficial to individuals and groups external to the institution. All Service Agreements should be marked as Public Service. NOTE: If the Program Type is Instruction or Public Service then the EPC exception form needs to be completed and added under attachments (See Attachments for more information). Instrument Type The Instrument Type field is used to describe the funding vehicle used in the award. It is generally expected that this field will be validated at time of award. This information is not always known at proposal, while the field may reflect the desired funding vehicle at the time of proposal, it needs to be updated to reflect the actual received. It doesn t matter what the award is called; what matters is the obligations and expectations of the parties. (Note team selection does not necessarily follow Instr. Type). Funding Source is tracked on the proposal s Sponsor page: INSTRUMENT TYPE DESCRIPTIONS CONTRACT COST REIMBURSABLE A contract for which the sponsor reimburses the University for the allowable and allocable costs incurred in the conduct of the work up to an agreed-upon amount. era User Guide: Grants & Contracts (updated 01/05/2018) 10

11 Contracts are a mechanism for procurement of a product or service with specific obligations for both the sponsor and recipient. If an award does not fit into another category, it will most likely fit here. CONTRACT FIXED PRICE A contract for which one party pays the other party a predetermined price, regardless of actual costs, for services rendered, and which becomes due in full when deliverables are accepted. Contracts are a mechanism for procurement of a product or service with specific obligations for both the sponsor and recipient. COOPERATIVE AGREEMENT Funding to carry out a public purpose with substantial involvement of sponsor during performance of activity. A cooperative agreement is a type of Grant. FELLOWSHIP GRANT Financial assistance agreement to carry out a public purpose. No acquisition of property or services, and no substantial involvement of sponsor during performance of activity. Grant will only be used for federal money. It must have a CDFA # in the award document. GRANT SUBAGREEMENT Use for subaward from another institution where award from prime sponsor is a grant or cooperative agreement. Funding Source The Funding Source field is used when neither the sponsor type nor the originating sponsor type appropriately describes the source of the funds received. This field should be used to describe the highest known level of the funding. The funding source should be identified appropriately at the time of proposal, and confirmed at award. The master proposal is the data that is loaded into the financial system; although there should not be a difference in funding source between master and child proposals. A change in funding source is a potential indication that a separate master proposal is needed. Funding Source is tracked on the proposal s Sponsor page: era User Guide: Grants & Contracts (updated 01/05/2018) 11

12 Approvals An approval can only be added to a specific proposal; however, all approvals are connected to the award. In the left sidebar navigation, open the appropriate proposal record and click on the Approvals folder: Note: Make sure you have accessed the correct Approvals folder housed under the Submissions folder. There is master Approvals folder farther down the navigation pane, however, this folder leads to View Only access. You will know you are in the correct folder if, in the upper right-hand corner, you see a green box labeled Edit Mode. If an approval has not been added during the proposal and needs to be added at the award, it should be added to the master proposal. For any approvals not identified at the time of proposal, a comment should be added to the comments field so that it is clear when the need for the approval was identified. There should be an approval record added to the system for every approval process. For example, if a new Reference No. is assigned to this PI the Reference No changes (e.g. a new/different protocol number). If an existing approval is extended, the Approved To date should be edited and a comment added e.g. approval extended from 12/31/15 to 12/31/16. Additional Space/Facilities 3 rd Party Cash Cost Share Approval Types Animals If PI provides protocol approval, attach in Attachments (see Conventions For Attachments in era for details). Biohazardous Materials Classified Contract Controlled Substance(s) Course Buyout Attach documentation of approved split for non-standing splits in Attachments (see Conventions For Attachments in era for details). era User Guide: Grants & Contracts (updated 01/05/2018) 12

13 Current DEPA Verified (Proposal Analysts will not use this Approval. It is only used by Grant and Contract Officers at award). Environmental Health and Safety Indicate EH&S if Other Special Reviews is marked Yes on the PSR form. Equipment Use Verification Export Control Concerns Governing Law Waiver - The University cannot agree to any law outside of the State of Colorado without a waiver signed by the Chancellor. This process is lengthy and not determined by OCG but by CU Boulder Campus Counsel submitting the waiver to the Chancellor for signing when Contract Officers cannot negotiate an appropriate Colorado Governing Law/Jurisdiction/Venue. Human Embryonic Stem Cells Human Subjects If PI provides approved protocol number at proposal, this enables us to link the protocol in the HS module with the proposal in the PT module. See follow instructions below to enable this linkage. ICR Splits Attach documentation of approved split for non-standing splits in Attachments (see Conventions For Attachments in era for details) IDC Addendum Attach IDC addendum and any accompanying documentation in Attachment (see Conventions For Attachments in era for details) IDC Waiver Attach IDC waiver request and documentation of approval in Attachment (see Conventions For Attachments in era for details) Indemnification Waiver - The University cannot agree to any sort of indemnification without a waiver signed by the Chancellor per The Regents. This process is lengthy and not determined by OCG but by CU Boulder Campus Counsel submitting a waiver to the Chancellor for signing when Contract Officers cannot negotiate out the troublesome language. Industrial Hemp Intellectual Property Select this approval if any of the questions in the IP section of the PSR form are marked Yes. Lasers Non-allowable Tuition Arrangements Use this designation when sponsor does not allow tuition. Attach documentation of who arrangements approved for covering tuition in Attachments (see Conventions For Attachments in era for details) Radioactive Materials Restricted Research Waiver To be used at postaward when a project has gone through the Restricted Research Committee for expedited or full approval. Select Agents Small Business Plan The Small Business Plan can be attached as part of the Proposal document. era User Guide: Grants & Contracts (updated 01/05/2018) 13

14 THE FOLLOWING APPROVAL TYPES REQUIRE DOCUMENTATION TO BE ATTACHED Animals Biohazardous Materials (?) Course Buyout Governing Law Waiver ICR Splits IDC Addendum IDC Waiver Indemnification Waiver Small Business Plan If required documentation is not present, make a note in the Award Comments box (under Awards summary) regarding actions taken. Approval Statuses Pending: The approval has been identified, but not yet approved. o An award should not move forward to Project Setup if the approval status is still pending, except for when the required approval is not immediately needed to begin work, for example no animals will be used in year 1. In this situation, a comment should be added to the approval s comment field. Approved: The approval has been reviewed and obtained all relevant institutional or external permissions needed for the approval type. o If an approval has a status of approved, it should have Approved From and Approved To dates, and it may have a Reference No. The Reference No. field is used for the approving organization s dedicated number-- such as a protocol number. Denied: The approval was requested, but not granted. (ICR Waivers are the most likely to have this approval status.) Reviewed-Approval Not Needed: The approval has gone through review and it was determined that no formal approval was needed. era User Guide: Grants & Contracts (updated 01/05/2018) 14

15 Personnel Co-PD/PIs and Co-Investigators Co-PD/PIs or Co-Investigators can be entered at the PT proposal level ( proposal # > Personnel) and/or PT Award ( Awards > Personnel) level. The Personnel selected as PI during the proposal creation will be listed as Principal Investigator. However the Current PI is the personnel who has the PI radio box next to their name checked. Other personnel can be added in many different roles (PI/PD, Co-PI/PD, Faculty, Student, etc.) and by Type (Key, Non-Key ). However, there is a need to distinguish between key personnel who are named as Co-PIs and an internal university Co-Investigator - usually someone named internally to manage a project. The designation Co-PD/PI or Co-Investigator (when Co-PD/PI is not allowed by sponsor) will be used when the person is considered key personnel by the sponsor or is named in the award document. There are two ways to add personnel: Add Personnel OPTION 1: PERSONNEL TABLE (ACCESSIBLE FROM AWARDS, PERIOD, OR INCREMENT PAGES) 1. Open the Awards, Period, or Increment page of an awarded proposal. There is a table for Personnel on each of these pages: 2. In the Personnel Name field, type in any of the identifiers indicated below to pull up a filtered list to select from. o Part of their name o Dept/Org number 3. Select the Personnel Type and Role from the drop-down menus. era User Guide: Grants & Contracts (updated 01/05/2018) 15

16 4. Click the Add Person button at the end of the line. 5. In the Budget Detail window, you can enter salary (current business practice does not require this) and choose which increments/periods they are associated with. o When adding from the Awards summary page, the default will be to add them to all the increments. Remove them from increments as needed by clicking the Remove button. OPTION 2: AWARDS PERSONNEL FOLDER 1. Open the Personnel folder under Awards. 2. If hidden, click [show] at the top of the page to reveal the Add Personnel form. era User Guide: Grants & Contracts (updated 01/05/2018) 16

17 3. Select the increments the Personnel is active for under the Add To: section. 4. Select Personnel Type from the drop-down list. 5. In the Personnel Name field, type in any of the identifiers indicated below to pull up a filtered list to select from. o o Part of their name Dept/Org number 6. Select Role from the drop-down list. 7. Save Change or Remove a PI 1. Open the Personnel folder located under Awards > Personnel. 2. Add the person to the proposal record using steps above. 3. Select the PI radio button for the correct person. 4. Select the budget periods for this change on the Change PI form and click Save. You may select a role other than PD/PI according to Sponsor Guidelines. The PI associated for this proposal will update to reflect this person (e.g. the name at the top of the page, name that appears on the PT Search screen) even if their title is something other than PD/PI. era User Guide: Grants & Contracts (updated 01/05/2018) 17

18 5. If the person initially entered as PI needs to be removed, click the blue arrow under Remove Person on the personnel table. Click Remove, then OK on the next page. 6. If the person initially entered as PI will stay on the project as PI (e.g. multi-pi project for NIH), change their order number to Save Change a Person s Role 1. From the Personnel page, click on the person s name (hyperlink) to open their Contact Information. 2. Select the Personnel Type and Role from the drop-down menus. 3. To apply the change to particular periods/increments, click Budget Roles and make selections in the pop-up. 4. Click Save. era User Guide: Grants & Contracts (updated 01/05/2018) 18

19 Award Increments An award increment is created to log an action for an awarded proposal, including initial funding. Award Increments are either sponsor-initiated or internal. Sponsor-Initiated Award Increment Types When selecting an award increment type, it is possible that more than one type will apply. In this case, select the type that is listed highest in the list. For example, an award increment may decrease the estimated funding amount (Deobligation) AND decrease the authorized period of performance (POP Reduction). For this action, select POP Reduction as the type as this is listed higher in the list. Carryforwards and Supplements are the exceptions to this rule. Any action involving carryforward or supplement should be indicated as such for the increment type. Initial Funding and Extension Funding Extension POP Reduction Deobligation Carryforward Supplement Key Personnel Change Admin Use for new awards. There will only be one Initial increment for a PT record. The award increment increases the authorized funded amount AND increases the authorized period of performance. The award increment increases the authorized funded amount. The award increment increases the authorized period of performance. The award increment decreases the authorized period of performance The award increment decreases the authorized funded amount. Sponsor-authorized moving of funds from one period to another. Supplement will be used for award increments that are based on a supplemental proposal. (See proposal documentation for additional information). Award increments where the sponsor has approved a change in key personnel (i.e. change in PI/ Co-PD/PI). All administrative actions and any other sponsor-initiated action not previously defined. E.g. Change in contact personnel, change in reporting, or a change in estimated funding. era User Guide: Grants & Contracts (updated 01/05/2018) 19

20 Exclude This increment type will exclude an award amount from appearing on standard awards reports. Use when the increment is not new money coming into the system. E.g., there is a transfer between two different awards this is not new money and should not be counted. Another example involves situations where sponsors adjust for changes in their accounting systems. They might remove funding in one month and then add it back in. Because the award report filters negative dollar amounts, classifying an increment as Exclude ensures there is no double counting. Internal Award Increment Types For internal award actions that do not require sponsor approval. Internal: Correction Internal: Transfer Internal: PI/ Co-I Change Internal: Change Org Number Internal: Change Department Internal: Other There is a need to correct either award or project information in PeopleSoft. This designation indicates that the wrong information was initially entered into the system. If the sponsor has to issue an award modification, then use a sponsor-initiated award increment type. There is a need to move funds from one project to another. This is a zero-dollar action at the award level. If sponsor approval is required, then use a sponsor-initiated award increment type. There is a change of either a PI or Co-Investigator that does not require sponsor approval. (This is usually a person named by the department for administration of a project). This is a zero-dollar action. If sponsor approval is required, then use a sponsor-initiated award increment type. there is a change to the department organization number. If the change is made to the Main project, it should be made in PT as well. This is a zero-dollar action. There is a change to the department. If the change is made to the main project, it should be made in PT as well. This is a zero-dollar action. All other actions not described elsewhere. This may be a zero-dollar action. era User Guide: Grants & Contracts (updated 01/05/2018) 20

21 Incremental Funding When an award increment is incrementally funded and there are multiple budget categories (e.g. Directs and Indirects), the budget should be proportionately created for each category. 1. For example, if 20% of the budget is funded, then 20% of the IDC should be entered. 2. It will be the person processing who will adjust the cost categories. The logger will enter the awarded amount under direct costs. Modifications The Award No. field within the detailed budget screen has been repurposed for the Mod #. Unfortunately, we are not able to change the label on this screen: The Mod # is entered by using two digits, e.g. 00 for the initial award. If the sponsor uses a different number, it will be added in parentheses. For various sponsor awards, the contributor will be added in parentheses to this field as well. The awarded date will be the date the award increment was received and will be automatically added when the logger adds the increment. Mod #/ Awarded Date display on the left sidebar navigation next to the folder: Award Comments Award Comments are used to add clarifying information about a modification, and also general information about the overall award To add award comments, go to PT\Awards\Other Award Details\Award Comments: era User Guide: Grants & Contracts (updated 01/05/2018) 21

22 Clarifying comments should be identified by the format mod #: comment. o A change in date should use the format change start date from MM/DD/YY to MM/DD/YY. o An initial extension of the end date will be stated as: Extend from MM/DD/YY to MM/DD/YY. Any following extension will only need to state the new date as follows: Extend to MM/DD/YY. Clarifying comments should only be added when the increment type/ award information does not provide enough information. For example, there is no need to add a comment about the amount of funds received by mod as this is already identifiable in the award information section, but an award increment type of key personnel change should have a comment stating who the key personnel replaced were. Clarifying comments will be listed from most recent to oldest, with the most recent closest to the top of the field. General award information should also be included in this field, and it will be listed above clarifying mod comments. Anticipated future award increments should be listed when known by the person processing. Sponsor requests should be added to this field in order to document that they have been submitted to the sponsor. Supporting documentation should be saved to the shared drive. Below are examples of the most common types of sponsor requests: o o Addition of Subcontract Change of Key Personnel Equipment Purchase NCE Request Other Sponsor Request Participant Support Revision Revised Budget era User Guide: Grants & Contracts (updated 01/05/2018) 22

23 Rush To designate a RUSH action on an award increment: 1. Open the Award Increment page. 2. At the bottom of the screen under Other Award Increment Details, check the Rush box. 3. When updating the WF/Action Item, also write Rush in the comments box: era User Guide: Grants & Contracts (updated 01/05/2018) 23

24 AT > Award Increment Statuses The AT module in era is used to manage workflow for an award increment beginning from logging to project set up in SPA. There are two types of statuses in AT: Workflow and Delay. Workflow statuses indicate the stage the award is in during processing and can also be used to designate someone as responsible for the next action, i.e. task assignment. Delay statuses indicate when processing is on-hold due to an outstanding item needing to be resolved prior to award acceptance. View and Update AT > Award Increment Statuses 1. Open the Awards folder from the left sidebar navigation in PT. 2. Click on the blue folder to open the award increments in AT. 3. The Award Increments summary page will open in new window or tab. The most recent status will display in the table. 4. To see the complete status history, open the award increment by clicking on the link in the sidebar navigation. era User Guide: Grants & Contracts (updated 01/05/2018) 24

25 AT > Award Increment Workflow Statuses Status WF_Award Logged Forward to Contracts/Grants WF_Contract/Grant Processed Forward for Review WF_Award Reviewed Forward for Signature WF_Approved Project SetUP Review WF_Award Approved Forward for Set Up WF_Award Fully Signed WF_Award Partially Signed WF_Project Setup Complete WF_Redirect Meaning The award has been logged and ready to be processed. The data entry for the award is complete and it is ready for the Grant or Contract Officer to review and enter the Terms and Conditions and other data as needed. This status is only used when a signature is needed to execute the award. The review process is complete and the award has been sent to Sponsored Projects Accounting (SPA) for review. SPA has approved the award for set up in the financial system. All required parties have signed off. One of the parties required to sign has been completed Award has been set up in financial system. (SPA) This workflow status is used when something is not complete or incorrect and redirects the proposal/award to the appropriate person. The person that did the redirect is listed and will have entered a comment explaining why the record is being redirected. era User Guide: Grants & Contracts (updated 01/05/2018) 25

26 AT > Award Increment Delay Statuses Status Budget Revision Needed Open Budget Revision Needed Closed DEPA Needed Open DEPA Needed Closed Forms Needed for Award Open Forms Needed for Award Closed IACUC-Approval Needed Open IACUC-Approval Needed Closed IBC-Approval Needed Open IBC-Approval Needed Closed IRB-Approval Needed Open IRB-Approval Needed Closed Missing Required Proposal Documents Open Missing Required Proposal Documents Closed Neg-Letter of Exceptions Sent Open Neg-Letter of Exceptions Sent Closed Neg-Need Export Response Open Neg-Need Export Response Closed Neg-Need Legal Response Open Neg-Need Legal Response Closed Neg-Need TTO Response Open Neg-Need TTO Response Closed Meaning Contract/Grant Officer is waiting on a revised budget. Revised budget has been received and uploaded to InfoEd Record. PI and other Key Personnel working on a project need to complete all steps of DEPA process, including any applicable actions required by COI Office. All DEPA actions have been completed and the award has been approved to move forward. All required forms have not been completed, and OCG is waiting for a required form. The missing required form(s) has been completed. Waiting on formal IACUC Approval Formal IACUC Approval has be received and logged. Waiting on formal IBC Approval. Formal IBC Approval has be received and logged. Waiting on formal IRB Approval. Formal IRB Approval has be received and logged. Waiting on required Proposal Documents from Department/PI. All Proposal Documents have been submitted, received by Contract/Grant Officer and uploaded to the InfoEd Record. A formal letter of exceptions to proposed terms was sent, but no response has been received from sponsor A response to the letter of exceptions has been received from the sponsor. Waiting on a review and response from Office of Export Controls Response has been received from OEC. Documentation has been saved and uploaded into the InfoEd Record. Waiting on a response from Legal Counsel. Response has been from Legal Counsel and documentation has been saved and uploaded into the InfoEd Record. Waiting on a review and response from TTO. Response has been received from TTO. Documentation has been saved and uploaded into the InfoEd Record. era User Guide: Grants & Contracts (updated 01/05/2018) 26

27 Neg-Pending Issue(s) with Sponsor Open Neg-Pending Issue(s) with Sponsor Closed On Hold Open On Hold Closed There is an ongoing negotiation issue with the sponsor that prevents acceptance of the award. All pending issues with the sponsor have been resolved. There are issues that indicate that the award cannot move forward for an extended period of time. An example may be a sponsor that indicates that they have decided not to fund an award in the current cycle, but may consider providing funding in the future. The On Hold issue has been resolved, and things may move forward again. Converted PT > Award Increment Statuses Award increment statuses recorded in PT are limited to those not requiring workflow, i.e. completed after project set up. Update PT > Award Increment Statuses (Post-Project Setup) There are two ways to update the Award Increment Status from the Increment Detail page. 1. Option 1 Drop-Down a. Select status from the drop-down list. b. Click Save in the upper left hand corner of the screen. 2. Option 2 Sundial a. Click the sundial icon next to the drop-down list. b. This opens the Status History for the increment. Enter status and any clarifying comments. era User Guide: Grants & Contracts (updated 01/05/2018) 27

28 PT > Award Increment Statuses Status Received Billing/Payment Complete Cost Share/Effort Reporting Complete Grant Accountant Review Complete Property Review Complete Sub Review Complete Tech Reports Complete Meaning Award has been received in response to a submitted Proposal. SPA has completed financial documentation on the project(s) related to this award increment. OCG Compliance has reviewed the award terms for the increment, indicated whether there are property restrictions on the award, and entered the property reporting requirements on the Deliverables page and Closeout Checklist. Subs team has received, logged into short form, and began work. Check short form for further updates. OCG Compliance has reviewed the reporting requirements (if listed) in the award increment and entered or updated the reporting requirements and due dates on the Deliverables page and Closeout Checklist. era User Guide: Grants & Contracts (updated 01/05/2018) 28

29 II. AWARD LOGGING When logging an award, the user must first determine if a new period or a new modification is warranted. Refer to the v15 Award Processing Framework for guidance. Initial Awards (or Any New Period) 1. Open Awards. 2. For Project Period, enter the Authorized POP. 3. SAVE 4. Update Other Award Details at the bottom of the page: 5. SAVE 6. Click New Period era User Guide: Grants & Contracts (updated 01/05/2018) 29

30 7. In the New Period window, complete the following fields: Submission Type = TBD Start/End Dates = Authorized Period of Performance (Pay close attention as the End Date may default to 1 year rather than the entire PoP.) Award Date = Today s Date Copy o Checking the box of a budget period, copies over budget and personnel data from the proposed budget. Enter 0 in the Percent field to copy without dollars. Save 8. Open PT > Submissions > Status History. 9. Status = Award Received 10. Effective Date = Date the Award Document is received (i.e. the date of the ). 11. Comments = Provide comments as needed. era User Guide: Grants & Contracts (updated 01/05/2018) 30

31 Modifications After the first period is created, the main Awards page will display two options: New Period or New Modification. Using the Award Processing Framework, determine if the mod can be logged under an existing period or if a new period needs to be created. If creating a New Period, refer to previous section. If creating a New Modification, an increment will be created within the current period. 1. In the New Modification window, complete the following fields: Submission Type = TBD Start/End Dates = Authorized Period of Performance o Copy and paste the start and end dates from the last increment. Award Date = Today s Date Copy o Checking the box of a previous increment, copies over budget and personnel data. Enter 0 in the Percent field to copy without dollars. Save Continue to Award Processing (Part B) era User Guide: Grants & Contracts (updated 01/05/2018) 31

32 Correcting a Modification Logged Under the Wrong Period If a modification was incorrectly logged under a NEW PERIOD, correcting this issue is simple: 1. Open the Award Increment s detail page. 2. In the Link to Period drop-down list, select the correct period. If a modification was incorrectly logged under the EXISTING PERIOD when a new period should have been created instead, the logger must re-log the award and request the incorrect increment to be deleted. 1. Open Awards Summary. 2. Click New Period. 3. Enter the correct Authorized PoP and select the correct Increment Type. (Do NOT copy from the old/incorrect increment.) 4. Save 5. Open the old/incorrect increment and rename it DELETE ME in the Award No. field. 6. Request this increment be deleted by notifying the help desk at erahelp@colorado.edu. 7. Return to the new/correct increment, and proceed to Award Processing (Part B). era User Guide: Grants & Contracts (updated 01/05/2018) 32

33 III. AWARD PROCESSING In the award processing phase, the data entered at the proposal creation and award logging is reviewed and updated where needed. This process is used to set up all the types of awards in the system, documenting the details of the award in terms of funding level, authorized and estimated time frames, award type, budget allocations, etc. A. Open the Proposal Record for the Award There are three ways to open the PT record for an award: 1) Action items list 2) Assignments report 3) Search by proposal number, PI, or award number Open from Action Items List (Opens in AT) 1. From the list, find the award you want to open. 2. Click on the folder icon. 3. In the opened Task/Assignment window, click on the proposal number link. era User Guide: Grants & Contracts (updated 01/05/2018) 33

34 4. To open the award in PT, click on Related Proposals and click on the yellow folder icon under the Open column. Open the Proposal Record from an Assignments Report (Opens in AT) 1. From the My Awards menu, click Standard Reports. 2. In the window that pops up, select the desired report. 3. ADD STEP/SCREENSHOT OF REPORT AND WHAT TO CLICK era User Guide: Grants & Contracts (updated 01/05/2018) 34

35 4. To open the award in PT, click on Related Proposals and click on the yellow folder icon under the Open column. Search for the Proposal Record (Opens in PT) 1. From the My Proposals menu, click Search For. 2. Enter proposal identifiers like PI, Department, or if available, the Proposal #. Click Show Additional Search Options for other filters, like Award Number. era User Guide: Grants & Contracts (updated 01/05/2018) 35

36 B. Review and Update Proposal Folders Proposal Summary Open the applicable proposal s Summary page (under Submissions > [Proposal #]) and review/update the following: 1. Campus 2. Cost Share Type If there is cost share, select the correct cost share box and attach required documentation. (For instructions on attaching documents, including upload categories and naming conventions, see Attachments Conventions). (Scroll down to lower half of page for the following fields.) 3. Associated Departments Check the ICR split for accuracy. For guidance on ICR Splits and Split Exceptions, see ICR Splits section. 4. NSF Report Code (mandatory field) 5. Review and update remaining UDFs (e.g. RASP, Service Agreements), as applicable. era User Guide: Grants & Contracts (updated 01/05/2018) 36

37 Sponsor Open the applicable proposal s Sponsor page (under Submissions > [Proposal #]) and review/update the following: 1. CFDA A CFDA number is required for all federal and federal flow down awards. If the CFDA cannot be identified, (e.g. for federal flow-through) a placeholder number should be entered using the following format: Program Type 3. Instr. Type 4. Award No. For guidance on types, see Program Type section. For guidance on types, see Instrument Type section. If the Award No. has changed, see Processing New Award Numbers for Existing Proposals. 5. Originating Sponsor (+ Funding Source) When our award is a subaward: Originating Sponsor = Prime Sponsor Funding Source = Prime Sponsor Type. era User Guide: Grants & Contracts (updated 01/05/2018) 37

38 If there is an Originating Sponsor, the Funding Source needs to be selected or you will get an error during Data Validation. If no Originating Sponsor, leave blank. 6. Funding Source For more information, see Funding Source section. (Scroll down to lower half of page for the following fields.) 7. Originating Sponsor Award Number If applicable and stated in award. 8. Sponsor Contact(s) No input necessary. This field hold details for records converted from FileMaker. era User Guide: Grants & Contracts (updated 01/05/2018) 38

39 Admin Staff (i.e. Primary Fiscal Manager) Refer to PSR form for Department Administrator/PFM details. 1. Open the applicable proposal s Admin Staff page (under Submissions > [Proposal #]). 2. Click on Add Personnel button. 3. In the Personnel selection window, click on the first letter of the PFM s last name. 4. Start typing in the last name. As the list filters, open the drop-down menu at any time to make your selection. 5. Click Select to add person. 6. Click Add Roles. 7. Check Department Administrator and Save. NOTE: There should only be one Department Administrator per award (i.e. Primary Fiscal Manager [PFM]). Other users can be added, but they should have a different role (e.g. Department Administrator II). era User Guide: Grants & Contracts (updated 01/05/2018) 39

40 Review & Add Approvals 1. Open the applicable proposal s Approvals page (under Submissions > [Proposal #]) and review previously added approvals. 2. For any Approved items: Verify dates, Check Attachments folder for required documentation; upload, if necessary. 3. For any Pending approvals, follow up with involved parties. Once approval and documentation (if required) is obtained, update status: a. Open approval. b. Update status to Approved. c. Enter approved date and approval period. d. Enter comment in Other Approval Details field. 4. If any approvals that need to be added, click the Add Approval button. 5. Select approval type from drop-down menu. (For guidance on types, see Approvals section.) 6. Unless this is for an HS/IRB approval, leave Protocol selection as Not Attached. To add an IRB/Human Subject protocol, see Linking & Accessing HS Approvals in era. 7. Click Continue. era User Guide: Grants & Contracts (updated 01/05/2018) 40

41 8. On the following page, complete the following fields for all non-irb approvals: Status (For information about statuses, see Approvals section.) Approval Review Type Leave blank; only applicable for IRB. Approval Review Category Leave blank; only applicable for IRB. Reference No. (Protocol number or other reference ID) Approved (Date of approval received) Approved From Approved To 9. Save 10. Repeat for all required approvals. C. Review & Update Personnel Personnel can be viewed and edited from any of the following places: Personnel folder under Awards folder Awards summary Period summary Increment detail For instruction on how to edit, see Personnel section. era User Guide: Grants & Contracts (updated 01/05/2018) 41

42 D. Review & Update Award Details 1. Open the Awards Summary page. 2. Scroll down to the Other Award Details section and review/update information. 3. Open the Award Increment page and verify the increment was logged correctly in the correct period. (See v15 Award Processing Framework for guidance.) 4. Also verify Increment Type and Award No. are filled out correctly. E. Enter Budget 1. Open the Award Increment page. 2. If the increment was created by the logging team, delete the budget item used to record amount received. 3. Enter award increment details (e.g. Increment Type and Award #). 4. Add personnel to this increment under Personnel Costs. For instructions, see Personnel section. 5. Enter/edit budget items under Non-Personnel Costs. If budget line with Budget Category AND Object/Account Code already exists, you can overwrite the amount in the Total field. Click Save after editing. You can also add additional budget items by using either Bulk Entry or Add Item ( one-at-atime ). era User Guide: Grants & Contracts (updated 01/05/2018) 42

43 NOTE: When copying from another budget, an incorrect Object/Account Code may populate the field. To update, follow these steps: 1. Click the Detail button (on the left side of the budget line). 2. Select the desired Budget Category and Object/Account Code from the drop down menu. 3. Click Save and Close. Refer to OCG Business Processes for guidance regarding budget item details. era User Guide: Grants & Contracts (updated 01/05/2018) 43

44 Other Award Increment Details 1. Scroll down to the Other Award Increment Details section and review/update information. F. Enter F&A 1. Open the F&A page under the increment. 2. Check the Base and Rate and edit if needed. 3. Click Apply. o The fields will unlock allowing you to manually enter the desired rate and $ for each item. 4. Enter F&A $ amounts. 5. Click Save when complete do not click Apply as this will reset the information. Refer to OCG Business Processes for guidance on F&A input details, such as category exclusions and how to input F&A on incremental funding received in the same year. G. Attachments Please refer to stand alone user guide Attachments Conventions for instructions on uploading documentation, including categorizations and naming conventions (aka tags ). era User Guide: Grants & Contracts (updated 01/05/2018) 44

45 H. SubAwards Add SubAwards A SubAward/Short Form can be added from either the Awards (summary) or Increment (detail) pages. 1. You may need to un-hide/show the section: 2. In the SubAwards section, begin typing in the SubAwardee s institution. Note: You MUST select the institution from the picklist typing in the rest of the name does not necessarily associate it with the entity in the system. 3. Begin typing in the PI s name. Again, you MUST select the Person from the picklist. 4. In the pop-up window, click Add to Period and select the desired periods era User Guide: Grants & Contracts (updated 01/05/2018) 45

46 The sub is now listed under the SubAwards table and is visible across ALL Periods & Increments even if it only active on some. On the Awards summary page, green and red triangles indicate which periods they are active on. 5. Click on the Detail button located on the left side of the line to enter the budget for the sub. 6. Select the budget category (Direct Costs) and account code ( OP EX BGT) from the dropdown menus. NOTE: While it may seem odd to enter in direct costs as , all budget items entered on this page will roll up under the subcontract direct costs acct code: Click Add Item. 8. In the pop-up window, enter the amount being awarded to the Sub. era User Guide: Grants & Contracts (updated 01/05/2018) 46

47 Access the ShortForm There are two places to access the SubAward Short Forms: 1) Awards summary click the yellow folder link: 2) The SubAwards folder (under Awards): NOTE: While the look and feel of the Short Form may have changed slightly, the fields remain unchanged. Process as usual. era User Guide: Grants & Contracts (updated 01/05/2018) 47

48 Update Sub PI with Existing PI (via the ShortForm) 1. In the Principal Investigator section, click Select. 2. Begin typing in the name of the institution in the Name field. (This will pull up all personnel associated with this institution.) 3. Make your selection and click Add New PI. Add NEW Sub PI to an Existing Institution (via SubAwards table) If the Sub Institution exists in the system, but the PI does not, you can now add the person directly from the SubAwards section. 1. First, select the institution. 2. Then click the Add New Profile button. era User Guide: Grants & Contracts (updated 01/05/2018) 48

49 3. Enter as much contact information as you can for the person. You MUST select the institution again for the Department field. Add NEW PI to an Existing Institution (via Short Form) 1. In the Administrative Contact section, click Select. 2. Make sure they aren t already in the system by entering in the institution name in the personnel field. (This will pull up all personnel associated with this institution.) era User Guide: Grants & Contracts (updated 01/05/2018) 49

50 3. Once verified that the new personnel needs to be added, click Add New. 4. In the New Profile window, enter First, Last Name, Phone Number, and . Select the Department (i.e. the institute) from the drop-down. Then, Save. 5. The previous Select Investigator window will show. The new person will be shown in the drop-down field. (This means the new person was added to the sub institution.) o Since this is the Administrative Contact field, DO NOT CLICK SELECT. Instead, CLOSE this window. era User Guide: Grants & Contracts (updated 01/05/2018) 50

51 6. Now, follow instructions to Update Sub PI with Existing PI. Request New Institution Be Added to era Directory Submit new institution requests to OCG Sponsor Coordinator, Joan Eaton. DO NOT USE the ADD NEW SUBAWARDEE button. 1. Open the Awards > Personnel folder. 2. Click on the person s name. Edit Sub PI Contact Information era User Guide: Grants & Contracts (updated 01/05/2018) 51

52 3. Edit the details you may also edit their personnel type, role, and budget periods from this screen. 4. Save. era User Guide: Grants & Contracts (updated 01/05/2018) 52

53 I. Run Data Validation Report 1. Log in to CU-Data ( a. Be sure to select UCB Active Directory from the drop-down list. 2. Run the InfoEd Validation 9.2 report. a. This report is listed under Team Content\eRA\CU Boulder\Live Reports. 3. Enter the Proposal Number and click Reprompt. Then select the Mod # (i.e. Award No.) from the list. era User Guide: Grants & Contracts (updated 01/05/2018) 53

54 4. Click Finish. 5. For any failed items/errors, reference the Data Validation Errors and Actions List for details regarding the issue and suggested actions. J. Update the Status / Resolve Action Item There are two ways to update the status on the increment. Option 1 Action Items List 1. From your Action Items list on the era Dashboard, click on the yellow folder. <<This opens the Task/Assignment form in a new window.>> 2. Complete the following fields: a. Comments Add a comment for the person completing the next action. b. Next Step/Decision Select appropriate workflow step (e.g. WF_Award Processed Forward for Review). c. Assign to Select the appropriate person to complete the next action. 3. Click the I am done button at the top of form. era User Guide: Grants & Contracts (updated 01/05/2018) 54

55 Option 2 AT Increment 1. Under Awards, click on the blue folder to open the award in the AT module. era User Guide: Grants & Contracts (updated 01/05/2018) 55

56 << This will open the award increments summary page in AT.>> 2. Click the Edit icon next of the increment you are working on. 3. Complete the following fields: a. Status Select appropriate workflow step (e.g. WF_Award Processed Forward for Review). b. Select a person to receive the generated action item c. Comments Add a comment for the person. 4. Click on the icon on the right to save/add this status. For more information regarding workflow statuses, including delayed statuses, please see the following: AT > Award Increment Statuses Which Redirect WF Status Should I Use? era User Guide: Grants & Contracts (updated 01/05/2018) 56

57 IV. AWARD REVIEW Award review is the final step before project set up. The officer reviews the data entered since logging through budget input ensuring project details are ready for set up in the financial system. A. Open the Awarded Proposal Record 1. If opening from your Actions Items list, following the steps below. Otherwise proceed to step B. 2. Click the yellow folder next to the record to open the Task/Assignment window. 3. Click on the link to the award record. << This will open the award increments summary page in AT.>> 4. Open Related Proposals and click the yellow folder to open the awarded proposal record in PT. There should only ever be one PT record listed on this page. If you see two proposals, inform the system administrator immediately at era User Guide: Grants & Contracts (updated 01/05/2018) 57

58 B. Review & Update Attachments Open Attachments and review documentation per OCG requirements. NOTE: When reviewing award documents, open the MAIN Attachments folder, located at the bottom of the folder list. Opening the Attachments nested under a proposal limits your view to attachments that proposal record. For information on navigating the Attachments folder, including a reference to file naming conventions, please see the Attachments User Guide. C. Add Terms & Conditions 1. Under Awards, open the Terms and Conditions folder. 2. Click the Add button. era User Guide: Grants & Contracts (updated 01/05/2018) 58

59 3. The Disclaimer box MUST be selected along with any terms/conditions that apply. Check this box first, then proceed to select the applicable terms/conditions. 4. When adding a term/condition, complete the Name and Description fields. If possible, add a link to the website describing the term/condition. 5. If it is necessary to edit a description, click the Edit icon. era User Guide: Grants & Contracts (updated 01/05/2018) 59

60 D. Review & Add Approvals See Review & Add Approvals section for instructions. E. Relate the Proposal (If Applicable) To relate this award to another proposal (e.g. Master Agreement), use the Related Proposal feature. 1. Open Related Proposals and click Add. 2. Enter the protocol number in the field at the top of the page. Click Go. If the protocol number is not readily available, search/browse by another parameter (e.g. PI or Department). 3. Scroll to the bottom of the page and ensure the correct proposal is listed. 4. Check the box and click Select. era User Guide: Grants & Contracts (updated 01/05/2018) 60

61 F. Run Data Validation Report See Run Data Validation Report section for instructions. G. Update the Status / Resolve Action Item See Update the Status / Resolve Action Item section for instructions. V. OTHER BUSINESS PROCESSES Add a Sponsor All sponsors must be added to era and linked to the sponsor list in PeopleSoft. To request the addition of a sponsor, notify the Proposal Development Manager/Assistant Director via and provide the following information: 1. Name of Entity 2. Address 3. Phone Number 4. Website (URL) 5. Note if this is for a subcontract or not. Agreements without Funds (aka Non-Monetary Agreements or AWOFs) The Agreements folder is used for non-monetary agreements. To navigate open PT > Submissions > [Master Proposal] > Agreements folder: era User Guide: Grants & Contracts (updated 01/05/2018) 61

62 era INSTRUCTIONS: 1. Create a New PT Record. a. On the left side of the era dashboard, click to open the My Proposals (PT) menu. b. Click Create New PT Record. 2. Select New Proposal in the next window. 3. Enter PI and Sponsor in the Proposal Setup form. a. Principal Investigator (PI) The PI field will be auto-populated with the user who is logged in and created the record. Simply begin overtyping in this field with the PI s Name. A list will display. Many PIs have multiple appointments. Such PIs will be listed multiple times by appointment. Select the proper appointment according to the correct org code. If a PI is not in the list, inform the system administrator at erahelp@colorado.edu. era User Guide: Grants & Contracts (updated 01/05/2018) 62

63 If the PI is not listed under the correct Org Code, select any that they are associated with you will edit the associated department later once the record is created. (See Step 9) If you entered the incorrect PI and clicked Continue, see steps to Change PI. b. Sponsor Name When setting up a new proposal, the sponsor is the organization, agency, or institute from which the funding will come directly to CU. As with the PI field, begin typing the Sponsor Name in the field and a list will display. For example, if CU is the sub on a proposal submitted by University of Michigan to NSF, University of Michigan should be selected as the sponsor. In later steps, the prime sponsor will be entered on the Sponsor page. When the sponsor is University of Colorado Denver, select University of Colorado at Denver/CU. If the sponsor is not in the system yet, select Default Sponsor, make a note in the Comments box with the sponsor name, and notify the Proposal Development Assistant Director with the sponsor name, address and URL that the sponsor needs to be added to era. 4. Click Continue. You will be directed to the Submissions Summary page. 5. Click on the icon under the PT column. You will be directed to the Proposal Summary page. 6. For Proposal Type select Non-Monetary. era User Guide: Grants & Contracts (updated 01/05/2018) 63

64 7. Save 8. Open the Agreements folder. 9. On the right side of the screen, click the Create New button. 10. Complete the new agreement details: a. Select the appropriate Agreement Type (1). See definitions. b. Input the Agreement From and To Dates (2), (3). c. Add the Mod # (4). Use 00 for the first agreement. d. Provide any comments as appropriate (5). 11. Set the Status. i. From the Agreement Status dropdown menu, select the appropriate Status (1). Note: All Agreement Statuses are configured to create an action item for the user. ii. Adjust the Status History Date as appropriate (2). iii. Provide any comments as appropriate (3). era User Guide: Grants & Contracts (updated 01/05/2018) 64

65 Agreement Types Allocation of Rights (STTR/SBIR) Used with an STTR to address intellectual property rights associated with the research. Bailment Exchange of property Consortia CRADA Cooperative Research and Development Agreement. Generally used when CU is paying a national lab to perform work and a subcontract cannot be used. Facilities Use Documents terms to use a lab or other facility. Inter-campus The agreement is between OCG and another CU organization. License Documents a license to use something for a specific purpose. Will frequently involve TTO. IPA An assignment agreement under the Intergovernmental Personnel Act. Generally used when CU personnel is hired for government purposes, but still paid through CU. Master (Campus Wide) Funds multiple awards. An industry master agreement or an IDIQ is an example of this. Master (Specific Project) Funds multiple awards. An industry master agreement or an IDIQ is an example of this. Material Transfer Governs the transfer of tangible research materials such as biological materials, chemical compounds or possibly software. These are negotiated by TTO. Memorandum of Understanding / Collaboration Non-Disclosure Prevents the disclosure of certain information. A proprietary disclosure, or confidential disclosure agreement is an example of this. Sponsor Request Teaming Establishes a team for submitting a proposal. Visiting Scientist Documents rights and responsibilities of the parties when a researcher will be visiting CU. Pre-Award Review Other Rate / Pricing era User Guide: Grants & Contracts (updated 01/05/2018) 65

66 At-Risk / Prespending An At-Risk increment establishes a sponsored project account for contracts and grants without Expanded Authorities (authorized under 2 CFR 200), which allows work to begin or continue prior to receiving an official award document. Expenses during the At-Risk period are limited to those authorized on the At-Risk Request form. Required Materials: Proposal Number Signed and Approved At-Risk Request form era INSTRUCTIONS 1. Open Awards 2. Enter Project Period (i.e. the dates the At-Risk spending will start and end) 3. Save 4. Clicking New Period and enter the following increment details: Submission Type = Prespending Start/End Dates = Authorized Period of Performance (Pay close attention as the End Date may default to 1 year rather than the entire PoP.) Award Date = Today s Date Copy o Checking the box of a budget period, copies over budget and personnel data from the proposed budget. Enter 0 in the Percent field to copy without dollars. Save 5. Enter Award No. and Budget Details on the Increment details page. Award No. = At-Risk Input budget details as indicated on At-Risk form. NOTE: All Subcontracts or Participant Costs must be inputted on this initial increment, even if they are not being funded with the initial award. For each, enter a placeholder amount of $1. This facilitates project set up in SPA. Enter F&A. 6. Attach the At-Risk Request form. Name = [Proposal #]_At-Risk era User Guide: Grants & Contracts (updated 01/05/2018) 66

67 Category = Internal Approvals Folder = Approvals 7. Open Admin Staff and click Add Personnel to add Primary Fiscal Manager/Department Contact. 8. Update the AT record and workflow status. Award Type = Prespending Status = WF_Prespending Ready for Setup After SPA sets up the project, they will update the status to WF_Prespending Setup Complete. This action puts the item back onto YOUR action items list. It will remain there until the award comes in, at which point the status will need to be updated to WF_Prespend Awarded (see step 4 below). Logging the Initial Award after At-Risk Set Up Because the initial increment set up for Prespending established a temporary start date for Period 1, special steps must be taken to update the POP dates when logging the Initial funding increment. 1. Go to Awards > Setup > Period/Dates 2. Adjust the existing Prespending increment s start date up to align with the actual awarded POP. (Notice, this will automatically update the Project Period dates.) era User Guide: Grants & Contracts (updated 01/05/2018) 67

68 3. Click Save. 4. Then, from this same screen, click New Modification to log the Initial Increment. During processing, enter the remainder in the NEW award increment s budget detail. Subtract the amount dedicated in the initial at-risk increment and enter the remainder in the new increment. 5. Update the AT workflow status of the At-Risk increment to WF_Prespend Awarded to clear this increment from your action items list. ADDITIONAL CONSIDERATIONS If the At-Risk Period of Performance or funding need to be modified: Create a new award increment: Type = Internal: Other / Award No. = At-Risk (1,2,3 ) If the project is not awarded, update the status of the proposal to Not Funded. era User Guide: Grants & Contracts (updated 01/05/2018) 68

69 POP Reduction Budget Setup Procedures Similarly, when pulling back the end date, you must first adjust the end date s on any existing increments (that lie beyond the new end date) to align with the new, reduced end date. 1. Go to Awards > Setup > Period/Dates and adjust any increment with end dates that lie beyond the new end date to align with the reduced POP. 2. Unlike At-Risks wherein the Project Period Start Date automatically lines up with the new increment, when adjusting the End Date, you will also have to manually adjust Project Period End Date. 3. Click Save. 4. Then, from this same screen, click New Period to log the POP Reduction increment under a new period. (Notice, the Start/End dates will be the same as the previous period s; this is acceptable since the increment type POP Reduction will denote what actions took place.) era User Guide: Grants & Contracts (updated 01/05/2018) 69

70 Carryforward Processing A carryforward mod is processed when moving funds from period to period for which there is a restriction on the original award necessitating approval from the sponsor. Carryforwards may occur under two circumstances: 1. Moving funds from year to year under the same award number. 2. Moving funds between proposals where there is a new award numbers. Required Materials: Carryforward budget from department MOVE FUNDS UNDER THE SAME AWARD NUMBER (CARRYFORWARD, SAME AWARD) 1. Create a new award increment (Type = Carryforward). 2. Add the following budget item: a. Direct Costs > Unused Award Funding (i.e. Deobligation) b. Enter the amount being carried over as a negative amount. 3. Add another budget item: a. Direct Costs > Blank (no account code) b. Enter the amount entered above as a positive amount. MOVE FUNDS FOR PROPOSALS THAT HAVE NEW AWARD NUMBERS (CARRYFORWARD, NEW AWARDS) 1. Relate the proposals. 2. Under the proposal with the old award number, create a new award increment (Type = Carryforward). 3. Add the following budget item: a. Direct Costs > Unused Award Funding (i.e. Deobligation) b. Enter the amount being carried over as a negative amount. 4. Under the proposal with the new award number, create another award increment (Type = Carryforward). a. Direct Costs > Blank (no account code) b. Enter the amount entered above as a positive amount. Add Award Comments explaining the purpose of the mod. If transferring funds between awards, include the related proposal numbers in the award comments. era User Guide: Grants & Contracts (updated 01/05/2018) 70

71 Processing New Award Numbers for Existing Proposals Use the following procedure when the sponsor is requiring funds be accounted for under a new award number and/or it is necessary to provide separate financial reports for the old and new award number. For example, NIH implemented a new payment system and have been issuing new award document numbers. A new proposal will need to be created and related to the existing proposal. Incorrectly logged mods should be deleted and logged under the new proposal. 1. Create New PT Record by Copying an Existing Proposal a) From the era homepage, open the My Proposals menu on the left hand side of the screen and click Create New PT Record. b) Enter the existing proposal number to copy and include Budget Requested and Deliverables. 2. Update the Project Title of this new proposal in PT > Summary a) Follow naming conventions decided upon by the team. For NIH awards, add "NIHCOPY: " before the project title. era User Guide: Grants & Contracts (updated 01/05/2018) 71

72 3. Relate the original proposal to the new proposal. a) Open the Related Proposals folder and click the Add button. b) Enter the original proposal number and click Go. era User Guide: Grants & Contracts (updated 01/05/2018) 72

73 c) Scroll down to the bottom the screen, check the box next to the original proposal, and click Select. 4. Log the new award under this newly copied shell proposal using standard logging procedures. a) Update the new award number, attach award documents, review budget details, and create a new award increment under the new proposal. b) If necessary, DELETE the award increment "incorrectly" logged under the old/pre-existing proposal. era User Guide: Grants & Contracts (updated 01/05/2018) 73

74 RASP Processing In the RASP process, the award processor will receive 2 actions items one from the award logger and one from the proposal analyst. 1. Open the PT action item and update the status history. Select WF_RASP Proposal Received from the Next Step/Decision dropdown (1) and click I m done working with this Assignment (2). 2. Proceed with standard award processing and input procedures. 3. Update the status history and route the award with WF_RASP _Grant/Contract Processed Forward for Review. era User Guide: Grants & Contracts (updated 01/05/2018) 74

75 Org Change When the organization/department number to which a sponsored project is assigned needs to be changed, it may be necessary to update the proposal record. SPA receives and processes reorg requests; however, when a change is submitted that affects the primary project, this change will also need to be reflected in era. (SPA will notify OCG if this is the situation.) 1. When a department contacts OCG regarding a change to the organization/department number on a project, advise and guide the departments to use SPA s Reorg Request form. Available at The completed form is sent to SPA@colorado.edu. (This is indicated on the form.) 2. SPA will then process the reorg in financial system. 3. When the reorg affects the primary project, SPA notifies OCG via to OCG@colorado.edu. 4. The logger forwards the notification of the change from SPA to the appropriate Grant or Contract Officer. 5. The Grant or Contract Officer will update era with the change and upload documentation as described in the following section. ADDITIONAL CONSIDERATIONS ORG changes are not to be processed as a new mod on an award. Officers should confer with department administrators to obtain documentation if an updated ICR Split is needed. era INSTRUCTIONS 1. Add a new associated department: a. From the main proposal s Summary page, locate the Associated Departments section halfway down the page. b. Click Add. era User Guide: Grants & Contracts (updated 01/05/2018) 75

76 2. Select the new primary department. a. Ensure the correct institution is selected. b. Enter the new department by typing either the name or number. c. Click Select. 3. Click the Primary radio button of the new department. era User Guide: Grants & Contracts (updated 01/05/2018) 76

77 4. Click the remove icon [ ] of the former department. 5. Upload documentation (i.e. from SPA) to the main proposal s Attachments folder: a. Name: [proposal #]_ORGChg b. Category = Supporting Documentation c. Folder = Approvals d. Click Choose File and select the from SPA To save an Open, print, & select AdobePDF from your printer options. era User Guide: Grants & Contracts (updated 01/05/2018) 77