THE DRA S GUIDE TO ERA

THE DRA S GUIDE TO ERA Updated: 11/8/2017 Contents I. Getting Started 2 How do I log in to era?... 2 How do I find and open proposal records?... 2 II. Proposals 4 PT Navigation... 4 How do I find the status of proposal?... 6 Where do I find the proposal documents and budget justification documentation?... 8 Where do I find the name of the proposal analyst working on the proposal?... 9 III. Awards 10 How do I track the status of an award?... 10 Where do I find award documents?... 16 What do the various dates on the award mean?... 17 How do I find the ICR split?... 18 How do I view award details like Personnel, Budget, Subs, and F&A?... 19 IV. SubAwards 21 How do I access the Short Form for subawards?... 21 How can I track the status of a subaward?... 22 V. Compliance 25 Where do I find information about approvals/compliance requirements?... 25 VI. Closeout 26 Award Closeout Checklist... 26 VII. Reports 28 About this document: This document provides an overview of Boulder era, the electronic research administration system used at the University of Colorado Boulder campus. The following sections consist of frequently asked questions and answers regarding proposal and award management processes within Boulder era. For additional resources, visit www.colorado.edu/era. DRA s Guide to era Updated 11/8/2017 1

I. Getting Started How do I log in to era? 1. Go to https://era.cu.edu. 2. Select Boulder from the campus drop-down list. 3. Enter your IdentiKey and password on the next page. How do I find and open proposal records? The first screen that appears when you log in is referred to as the Dashboard. Access the various modules of era from the sidebar menu on the left side of the screen. My Proposals Proposal Tracking (PT) is used to manage proposals, awards, and budget information. My Awards Award Tracking (AT) is used to track award status and workflow. My Financials Financial Tracking (FT) was used to manage project financial information when era went live in July 2015 through December 2015. This module was deactivated after the PeopleSoft Financial System was upgraded and integrated with era. Human Subjects The HS module is used to manage IRB protocols. My Profile View and edit profile and portal preferences. DRA s Guide to era Updated 11/8/2017 2

1. To locate and open a proposal, open the My Proposals (PT) menu. 2. Click Search For. 3. Enter criteria and click Locate to display results. SEARCH TIPS: o Use the wildcard placeholder [*] when filtering for all records that meet certain criteria. E.g., enter 16* in the Proposal Number field to locate all proposals that begin with 16 o To search by other information related to a proposal record, click Show Additional Search Options. 4. Hover over the folder icon of the proposal and select View in the pop-up menu. DRA s Guide to era Updated 11/8/2017 3

II. Proposals PT Navigation The selected proposal will open in the Proposal Tracking (PT) module. The default landing page will be the Summary page of the proposal s newest PT record. Proposal data is housed in the various folders accessible from the left-hand navigation menu. SUBMISSIONS proposal records (initial proposals, continuations, renewals, supplements, etc.) Submissions may contain multiple records from the initial/main proposal to its renewals and continuations. Each PT record associated with the main proposal will have its own set of subfolders contain information related to that record. AWARDS award information (e.g. budget, terms and conditions) This folder may contain multiple subfolders referred to as modifications (mods). A mod is created for every award increment that is received and for other administrative purposes. A blue subfolder will appear at the bottom of this list once the first mod is created and links to the AT module. FINANCIALS financial details for projects entered while FT module was active between 6/29/15 and 12/3/15 APPROVALS approval types and their statuses RELATED PROPOSALS links to related proposals DELIVERABLES reporting needs required by the sponsor ATTACHMENTS all documents stored for the proposal, award, subs, and modifications The color of a folder indicates the module that contains the record data. DRA s Guide to era Updated 11/8/2017 4

(PT) Proposal Tracking Module: proposal information and award (AT) Award Tracking Module: award status and workflow (FT) Financial Tracking Module: project information and speedtype. This module is no longer active. The only proposals & awards with information in FT are projects entered between 6/29/15, when era went live, and 12/3/15, when the PeopleSoft financial system was upgraded and commenced era integration. Navigation buttons are located in the upper left-hand corner within modules. DONE navigation to the main search window. SAVE saves updates, save often, does not give a confirmation of saving. HELP currently not using this feature go to Colorado.edu/era HISTORY opens information about the access history of the proposal. ACCESS shows security permissions. SHOW / HIDE shows/hides pop-up descriptions for various fields [ ]. Icons are used to interact with data within modules. DRA s Guide to era Updated 11/8/2017 5

How do I find the status of proposal? 1. Under Submissions > [PT Record], OPEN the Status History subfolder. 2. The table displays the status events, the date the event occurred, the date the event was recorded in status history, and the name of the staff who entered the status. DRA s Guide to era Updated 11/8/2017 6

Proposal Statuses STATUS Addition of Subaward Addition of Subaward Complete Budget Received Not Funded Not Submitted PI Declined Award Post Submission Request Post Submission Request Complete Preproposal Advance to Full Proposal Progress Report Complete Progress Report Submitted Proposal File Complete Proposal File Incomplete Proposal Returned without Review Proposal Update Complete Proposal Update Request PSR Received Reassign Revised Budget Complete Revised Budget Internal Request Revised Budget Sponsor Request Submitted Withdrawn MEANING PI adds subaward to existing project Subaward request submitted to sponsor and all subaward documents received and uploaded to InfoEd Initial budget received OCG receives denial (see process for denials) PI decides not to submit and notifies PA Before an award is accepted, PI elects to decline the award Sponsor requests additional information after submission, prior to award Post submission request submitted to sponsor and all documents received and uploaded to InfoEd PI receives approval to submit a full proposal after submitting a preproposal that a PA was involved with for submission AND PA entered preproposal in InfoEd. Progress report submitted to sponsor and all documents received and uploaded to InfoEd Progress report is submitted by OCG As soon as all documents are received and uploaded for complete proposal file If proposal was submitted but documents are missing for a complete proposal file Notification of proposal returned without review due to a non-compliant application Update submitted to sponsor and all documents received and uploaded to InfoEd Notification of proposal update required for proposal to be processed due to a noncompliant application PSR received with at least PI signature Use if proposal has been incorrectly assigned to another staff person s open task list All documents received and uploaded to InfoEd, submitted to sponsor, if applicable At time of request from CU party At time of request from sponsor after submission, prior to award As soon after submission as possible After proposal withdrawn by PI/AOR DRA s Guide to era Updated 11/8/2017 7

Where do I find the proposal documents and budget justification documentation? 1. Open the Attachments folder. This shows all attachments related to this proposal. 2. To only view documents related to the original proposal submission, open the Proposal subfolder. For proposals created prior to Boulder era going live on 6/29/15 (i.e. converted records), any documentation that accompanied those records are stored under the main root folder and not sorted into the subfolders. At minimum, all completed proposals should include the following attachments: Signed PSR Form Proposal Submission Request (*_PSR) Proposal Combined in one document will be the statement of work and budget justification OR the original proposal submitted to sponsor. May also include sub forms sent to another institution such as subrecipient commitment forms, terms and conditions, letter of commitment, etc. (*_Proposal) Budget (*_Budget or *_FINBudget) FOA FOAs are used for a variety of purposes and are important to post-award activities, including audits and closeouts. (*_FOA) For proposals with approved Approvals and/or Subawards, other documentation should be attached (e.g. cost share, IDC addendum or waiver, IRB/IACUC approval, subrecipient forms). Final confirmation of submission, if received. (*_CON) 3. To view the document, click on the icon under the View Latest column: or Sort columns by clicking on the column header. DRA s Guide to era Updated 11/8/2017 8

Refer to Attachment Conventions Guide for clarification on file-naming conventions and the meanings of the various suffixes/tags. Where do I find the name of the proposal analyst working on the proposal? 1. Open the proposal s Summary page. 2. Scroll down to the section titled Other Summary Details. DRA s Guide to era Updated 11/8/2017 9

III. Awards How do I track the status of an award? There are two methods you can use to determine which stage of the process an award is in. Option 1: Pull a report from CU-Data recommended. Option 2: Drill into the specific award details in era. Option 1: Run Award Workflow Status Report_Short in CU-Data 1. Log in to CU-Data and navigate to the Award Workflow Status Report_Short at CU-Data > Team Content > era > CU Boulder > Proposal and Award Tracking > AWARDS. TIP: For instructions on accessing and navigating CU-Data, visit the University Controller s website at http://www.cu.edu/controller/what-expect-cu-data. DRA s Guide to era Updated 11/8/2017 10

2. Search for the award by at least one of the following parameters: Org ID, PI, Department, or Sponsor. Example: Award Workflow Status Report_Short DRA s Guide to era Updated 11/8/2017 11

Workflow Status Descriptions (Report) STATUS Award Logged Award Processed Officer Review Complete Project Setup Complete Redirect Delayed Status 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. The review process is complete and the award has been sent to Sponsored Projects Accounting (SPA) for review. Award has been set up in financial system by 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. Y/N is an active link. When Y, click on the link to open a new page with information regarding the reason for the delayed status. (See table below for more information regarding Delayed Statuses.) Option 2: View the Status of an Award in era 1. Log in to era and open the proposal record associated with the award. 2. Open the Awards folder. 3. Click on the blue Award Tracking (AT) folder associated with the desired award increment. 4. AT will open in the Award Increments Summary page. The most recent workflow statuses for all increments associated with this award. DRA s Guide to era Updated 11/8/2017 12

5. To view the complete status history for a specific award increment, click for the increment. Workflow Status Descriptions (AT Module) 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. DRA s Guide to era Updated 11/8/2017 13

Award 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 Legal Response Open Neg-Need Legal Response Closed Neg-Need TTO Response Open Neg-Need TTO Response Closed Neg-Pending Issue(s) with Sponsor Open Neg-Pending Issue(s) with Sponsor Closed On Hold Open 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 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 and documentation has been saved and uploaded into the InfoEd Record. 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 DRA s Guide to era Updated 11/8/2017 14

they have decided not to fund an award in the current cycle, but may consider providing funding in the future. On Hold Closed Converted The On Hold issue has been resolved, and things may move forward again. The data associated with this increment has been converted from FileMaker; only basic information is available in era. DRA s Guide to era Updated 11/8/2017 15

Where do I find award documents? 1. Open the parent Attachments folder. NOTE: There is an Attachments folder under each proposal record, that shows files associated with that proposal alone. To view ALL attachments associated with the master record, open the parent Attachments folder near the bottom of the main list. For proposals created prior to Boulder era going live on 6/29/15 (i.e. converted records), any documentation that accompanied those records are stored under the main root folder and not sorted into the subfolders. DRA s Guide to era Updated 11/8/2017 16

2. Click on the table headers to sort by name, category, last updated, etc. Refer to Attachment Conventions Guide for clarification on file-naming conventions and the meanings of the various suffixes/tags. What do the various dates on the award mean? In version 13, the Project Period used to indicate Anticipated Period of Performance and there was only one date range under Period 1 indicating the Authorized Period of Performance. For v15, slight changes have been made to the business process to more closely align with stakeholders. AUTHORIZED POP = PROJECT PERIOD 1. The Project Period is comprised of the start date of Increment 1 and the end date of the last increment. ANTICIPATED POP End Date tracked in Other Award Details 2. Anticipated End Date will now be tracked in the same fashion as Total Anticipated. These values exist in UDFs on the main Awards page under Other Award Details. DRA s Guide to era Updated 11/8/2017 17

How do I find the ICR split? 1. From the proposal s Summary page, scroll down to the section titled Associated Departments. The departments will be listed with their allocated percentage of the award according to the ICR split agreement. 2. Further down the page under Other Summary Details is a table describing ICR Split Exceptions which occur when departments request separate budgets (to be provided separate Speedtype/Project numbers) and at least one of those budgets includes an ICR split. DRA s Guide to era Updated 11/8/2017 18

How do I view award details like Personnel, Budget, Subs, and F&A? 1. Awards (Level 1 Summary) Budget Summary (the table at the top of the page) outlines high-level details (dates, type, total costs) for each increment. Personnel, Non-Personnel Costs, SubAwards tables show summary details for all periods. 2. Period X (Level 2 Summary) Personnel, Non-Personnel Costs, SubAwards tables show summary details for all increments in this period. DRA s Guide to era Updated 11/8/2017 19

3. Increment X (Level 3 Summary) Personnel, Non-Personnel Costs, SubAwards tables show summary details for this increment. DRA s Guide to era Updated 11/8/2017 20

IV. SubAwards How do I access the Short Form for subawards? There are two places to access the ShortForm: 1. Awards Scroll down to the SubAwards table and click the yellow folder to open the Short Form. 2. SubAwards (folder under Awards) DRA s Guide to era Updated 11/8/2017 21

How can I track the status of a subaward? There are two methods you can use to check status of subaward processing. Option 1: Pull a report from CU-Data recommended. Option 2: Drill into the specific subaward details in the Short Form in era. Option 1: Run Subcontract Status Report in CU-Data 1. Log in to CU-Data and navigate to the Subcontract Status Report at CU-Data > Team Content > era > CU Boulder > Proposal and Award Tracking > SUBCONTRACTS. TIP: For instructions on accessing and navigating CU-Data, visit the University Controller s website at http://www.cu.edu/controller/what-expect-cu-data. 2. Enter criteria. Main Report NOTE: The difference between the Main Report and Report with Comments, is an additional column showing any comments made by the Subcontract Officer processing the award. DRA s Guide to era Updated 11/8/2017 22

Report with Comments Option 2: View the Status of a SubAward in Era 1. Log in to era and open the proposal record with the subaward. 2. Open Awards summary or the SubAwards folder to open the Short Form. 3. In the SubAward Short Form window that appears, scroll down to SubAward UDFs and click Expand+. Do not open the Status History section. DRA s Guide to era Updated 11/8/2017 23

4. Scroll down to the section titled Subcontract Status History. Subaward Statuses DRA s Guide to era Updated 11/8/2017 24

V. Compliance Where do I find information about approvals/compliance requirements? 1. Check the Approvals folder for information regarding compliance approvals required for an award. Approvals Tracked in era NOTE: Human Subject/IRB approvals are tracked in the HS module of era and are linked to the proposal record in the PT module. The linkage ensures accurate and timely information to officers processing an award. DRA s Guide to era Updated 11/8/2017 25

VI. Closeout Award Closeout Checklist The closeout process in era is designed to help the campus verify that all required deliverables have been submitted to the sponsor by the specified deadlines in order to ensure the programmatic close out occurs as stated by the sponsor. The Closeout Checklist is located in the Attachments folder. It is added when the initial award is received. The functional areas designate which Closeout items are required. This is reviewed as modifications come in and updated as needed. DRA s Guide to era Updated 11/8/2017 26

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VII. Reports In many cases, it is more efficient to pull a report than to view records individually in era. Nightly, the era database is pushed into the UIS data warehouse (CIW), which we can access via CU-Data. For more information regarding access and the reports currently available, visit https://www.colorado.edu/era/reports. DOCUMENT HISTORY Description Updated Creation of original document 01 Jul 2015 Major review and revisions per 808 upgrade 25 Apr 2016 Cognos report descriptions added 09 Jun 2016 Updated Step 6 based on new AT folder structure 11 Aug 2016 End to end review and updates per v15 upgrade and Cognos/CU-Data upgrade 9 Nov 2017 DRA s Guide to era Updated 11/8/2017 28