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University of Colorado Denver

Office of Grants and Contracts
 

Office of Grant and Contracts FAQs


 

 FAQ

 

 1- General

Grants and contracts: What’s the difference?

These award mechanisms are distinguished by who benefits and what is expected in return. A grant satisfies specific sponsor requirements; the primary benefit of grant work is the awardee (i.e., University of Colorado Denver (CU Denver)). For example, the CU Denver Special Education Department might receive a federal grant to develop a school program.

The majority of awards at CU are grants. Contracts are agreements to acquire CU services or deliverables that benefit the sponsor. For example, a department in the CU Denver School of Medicine might contract with a pharmaceutical company or with the State of Colorado to develop an online test.

 

What is an application for a sponsored project?

This is a completed application for funding (scientific presentation, budget, and any necessary administrative paperwork), plus all necessary internal approval forms (e.g. COMIRB, IACUC, etc.). Please see your Sponsored Programs website: Office of Grants and Contracts


How are sponsored projects budgeted?

Budgets are typically determined by sponsor requirements. The grant or contract proposal includes a proposed budget, which is an itemized summary of anticipated expenditure activity for a given period and activity with an identified (or proposed) means for financing. The budget is comprised of direct costs and indirect costs (F&A). Direct costs can be easily and accurately identified with your sponsored project.

These types of costs include: personnel, consultants, equipment, supplies, travel, participant costs, other expenses, and sub-award/subcontract costs. Indirect costs - F&A (Facilities and Administrative) include: utilities, public safety, building equipment use and maintenance, departmental personnel for administrative or clerical functions, membership dues and fees for professional organizations, telephone line charges, office supplies, postage, and copy machine fees.


How are Facilities and Administrative rates determined for sponsored project?

The F&A rate requested for a sponsored project depends on the characteristic of the award.  CU Denver has a Federal F&A rate agreement which outlines the applicable rate for direct Federal and Federal flow-through projects.  For other types of non-Federal awards, such as State, non-profit/associations, industry and other projects, CU Denver has established an F&A rate grid which dictates the appropriate rate.

The sponsor may award the requested budget, or may award a different budget. The award notice includes this information and the awarded budget is set up in the financial system.

 


Do sponsored projects pay overhead / F&A / indirect costs?

Yes, most sponsored projects pay F & A. CU Denver will seek to recover appropriate F&A costs for all sponsored projects.  F&A costs are those costs which are incurred for common or joint objectives of the University and thus cannot be easily allocated to a specific project.

Some common F&A costs include: utilities, public safety, building equipment use and maintenance, departmental personnel for administrative or clerical functions, membership dues and fees for professional organizations, telephone line charges, office supplies, postage, and copy machine fees. F&A rates are negotiated on a regular basis between the CU Denver Office of Vice Chancellor of Administration and Finance and representatives of the Federal government.

If a sponsor is unable or unwilling to pay the appropriate F&A rate, the administrative unit will need to submit a waiver for approval of a non-CU Denver F&A rate.


What is a restricted fund?

Restricted funds are those available for financing operations, but which are limited by donors or other external agencies to specific purposes, programs, departments, or schools. CU's restricted funds include Fund 30, Fund 31, Fund 34, and Fund 35.


1

 II. Proposal and Applications

How is my sponsored project proposal processed?

The proposal processing steps are as follows:

 

1.     First, a PI (Principal Investigator) creates a Grant Application for sponsored research

 

2.     The PI/Department "routes" the application to OGC

 

3.     OGC reviews the application for policy and legal issues

 

4.     OGC provides Institutional Endorsement of the application, and returns it to the PI or Department.

 

The PI sends paper applications to the sponsor for a funding decision. Most electronic applications are submitted electronically to the sponsor by OGC. Check with the sponsor or OGC Pre-award to determine the mechanism for electronic applications.


How do I submit R01, R03, and R21 Grants (i.e. how do I fill out and submit a SF-424)?

Please refer to the following page for detailed guidance on the submission process. 

If you would like to review a sample application, please click here: Sample SF-424


What does it mean to have a fiscal role?

A fiscal role is attributed to CU Denver personnel authorized to carry out financial transactions on behalf of the University. CU Denver currently has the following types of fiscal roles which cascade in a hierarchy from officers to fiscal principals, fiscal managers, and, finally, to fiscal staff / non-fiscal employees.

 
  • A Fiscal Principal (found on Orgs, Programs, and Projects) is the principal administrator of a unit and is entrusted with programmatic and financial responsibility. The fiscal principal may delegate fiscal responsibilities to the fiscal manager, but retains ultimate accountability for the activities of the unit.
  •  
  • A Fiscal Manager (found on Orgs, Programs, and Projects) is designated by the Fiscal Principal. The Fiscal Manager assists the unit head/fiscal principal in carrying out financial duties and has authority and responsibility for fiscal transactions.
  •  
  • Fiscal Staff (found on Speed type) is designated by the Fiscal Principal or Fiscal Manager and participates in fiscal transactions (i.e., initiates purchases, receives cash, enters transactions into Finance System, monitors contractors, verifies compliance)
  •  
  • Fiscal Roles (DOC)

 

What is a cost transfer?

A cost transfer is the transfer of a cost incurred initially on one university program/project and subsequently transferred to a sponsored project. A cost transfer does not include items posted to a suspense account or program that are cleared to the appropriate project on a timely basis (less than 60 days from the original posting).

 

OMB Circular A-21, Principles for Determining Costs Applicable to Grants, Contracts, and Other Agreements with Educational Institutions, states that "...any costs allocable to a particular sponsored agreement may not be shifted to other sponsored agreements in order to meet deficiencies caused by overruns or other fund considerations, to avoid restrictions imposed by law or by terms of the sponsored agreement, or for other reasons of convenience." It goes on to state that, "...any costs allocable to activities sponsored by industry, foreign governments or other sponsors may not be shifted to federally sponsored agreements."

 

The University recognizes that transfers of costs from one project to another are occasionally necessary to correct bookkeeping or clerical errors in the original charges. The University also recognizes that closely related work may be supported by more than one funding source and that in such cases a cost transfer may be completed to split the expense between projects. Again, all projects receiving a portion of the expense must directly benefit from this expense.

 

Frequent, tardy, and unexplained (or inadequately explained) transfers, particularly where they involve projects with significant cost overruns or unexpended fund balances, raise serious questions about the propriety of the transfers themselves as well as the overall reliability of the University's accounting system and internal controls.

 


What is rebudgeting?   Am I allowed to rebudget award funds within a sponsored project?

Rebudgeting is when funds that are available for spending are reallocated between budget categories. Rebudgeting is considered a change in the awarded budget and may require prior approval by the sponsor. Sponsors differ in their policies on rebudgeting.

 

The award document and any terms referenced should be reviewed prior to any change to determine whether the award agreement permits rebudgeting. At times it may be appropriate to contact the sponsor to determine if rebudgeting is permissible.  Any request must detail why the rebudgeting will help accomplish project goals.

 

 

How do I request a no-cost extension?

The terms and conditions of the award should be reviewed, and OGC personnel should be contacted to help facilitate the extension.  Be prepared to provide a rationale for the no-cost extension and document how remaining funds will be spent.  Depending on the sponsor, additional information may be necessary to facilitate the time extension.


Where can I find a list of fiscal period closing dates?

Year-end calendar information is available on the University Controller's website. If you have a fiscal role, every month the Finance Department will email you with approaching deadlines outlined on the Finance System Calendar.


How exactly does the system calculate payroll encumbrances?

There is an excellent description of payroll encumbrance calculation on the Boulder campus's Accounting Services website:

 

 

Are there allowable cash transfers in sponsored project funds?

Yes, only when transferring a residual cash balance from a closed clinical trial to a closed trial account in fund 26.

2

 III. Billing and Cash Receipts

Who is responsible for invoicing the sponsor?

It depends.  OGC does invoicing for projects which require financial information from the general ledger. If your unit is responsible for invoicing, the requirement will be communicated during project setup.

AR Types are used in PeopleSoft to define the method of billing.  In PeopleSoft go to:

General Ledger -> Chartfields -> Project.

Once you pull up your project in the system, the AR type can be found on the Award Number Tab. Projects that are AR type 2 are billed by OGC. Projects that are AR type 3 and 5 should be billed by the awarded department.


How are invoices generated by OGC?

Invoices are based on the terms and conditions of the award. If the invoice is for a fixed price, OGC invoices for those fixed price amounts and time frames. If invoices are based on expenses, the expenses are pulled from the General Ledger on either a monthly or quarterly basis. To determine the expenses included on the invoice, you can review your financial statements.

 

Where can I find a template to use for billing?

A sample template can be found below and on the OGC website under the Form Library.

 

·       Invoice Template


Where should I have sponsor’s send their payments?

All payments should be made payable to the University of Colorado Denver and mailed to:

University of Colorado Denver
Grants and Contracts [grant # – PI's initials]
PO Box 910238
Denver CO 80291-0238

 

I have a payment from a sponsor.  How do I deposit the check?

All checks for Fund 30, 31, and 34 should be deposited by the OGC. Please bring any check to our office on the 1st Floor west of Bldg 500 W1126.   A brown locked box is located in the preaward section of the AMC Office and in the 9th floor finance office, Lawrence Street Center, at the Denver campus. The check should be accompanied by a cash receipt form with the Speed type.

 

Where can I find the cash receipt form?

https://www.cu.edu/System_Controller/forms/


How do I deposit an expense reimbursement for a fund 3x Speed type?

The check and cash receipt form should be deposited by the OGC. Please bring any check to our office on the 1st Floor west of Bldg 500 W1126.  A brown locked box is located on the wall of the preaward section of the AMC office and in the 9th floor finance office, Lawrence Street Center, at the Denver campus. The check should be accompanied by a cash receipt form with the Speed type.


Where can I see my payments from Sponsors?       

Please review the Balance Sheet transactions reports to review payments applied to the GL for all cases other than program income. Program income payments can be found in the Summary section under revenue. There is also a Payments Received report on the Cognos site.


 

Can I get a copy of the check that was deposited to a project?

OGC will provide copies on a case by case basis for special circumstances. There is currently no process in place to provide check copies for all payments. If you have a special circumstances please contact Shannon Maes at: shannon.maes@ucdenver.edu to discuss.

 

Who can I speak with if I have a question about a payment in my speed type?

Please contact ogc4payments@ucdenver.edu and include the following information as part of your request:

·       Check Number

·       Amount

·       Date of Check

·       Project or ST

·       Any Other Relevant Information.


Where do checks for gift fund deposits go?

Please bring any check to our office on the 1st Floor west of Bldg 500 W1126.  A brown locked box is located on the wall of the preaward section of the AMC office and in the 9th floor finance office, Lawrence Street Center, at the Denver campus. The check should be accompanied by a cash receipt form with the Speed type.

3

 IV. Postaward Administration and Closeout

What is Postaward administration?

Post-award administration is the period and activity of carrying out the obligations of the award to the sponsor. This is a joint effort on the part of the PI, administrative unit, and OGC.

 

For more information, please refer to the following:

 

 

What costs are allowable / reasonable / allocated?

Project expenditures should:

  • Comply with the terms and conditions of the award
  • Be reasonable under the circumstances of the specific project for which they are charged
  • Directly contribute to the accomplishment of the University’s mission and be a necessary expenditure for the specific project for which they are charged
  • Be charged in proportion to the benefit received by the project.
 

When in doubt, contact your Postaward or Sponsored Program Specialist for additional guidelines.


What is program income as related to a sponsored project?

Program Income means gross income earned by CU that is directly generated by a supported activity or earned as a result of a sponsored program award. Program income includes, but is not limited to, income from fees for services performed, the use or rental of real or personal property acquired under federally-funded projects, the sale of commodities or items fabricated under an award, license fees and royalties on patents and copyrights, and interest on loans made with award funds.

 

Interest earned on advances of Federal funds is not program income. Except as otherwise provided in Federal awarding agency regulations or the terms and conditions of the award, program income does not include the receipt of principal on loans, rebates, credits, discounts, etc., or interest earned on any of them. The use of monies generated from program income is subject to the applicable rules and regulations of the awarding agency and any other restrictions placed upon the program income as a part of the award terms and conditions.

 

For example, some awards use program income to reduce the award monies provided by the awarding agency, some use it to meet matching requirements, and some allow the use of program income monies to further the objectives under which the award was made.

 

Generally the same cost principles applicable to sponsor-provided funds are likewise applicable to program income monies. Additionally, the awarding agency may have separate rules and regulations that specify the time frame during which the program income must be used (e.g., during the effective period of the award or after the award has ended).

 

 

What is a no-cost extension?

A no-cost extension (NCE) refers to the extension of the project period without additional funding. Approval of no-cost extensions to sponsored projects may be handled internally or sought externally from the sponsor. You should contact your sponsored projects office to discuss a potential NCE well in advance of the end date of the award.

 

 

How is a sponsored project closed?

As the end of a project nears, there are two main issues to consider:

·       Should the project continue or be closed?

·       What reports need to be submitted to the sponsor?

To continue the project, an extension approval from OGC and your sponsor may be required. Usually, extensions must be filed with the agency within 60 days of project termination.

Check with OGC if you have any questions or concerns about the process. If the project will be closed, the project's financial issues need to be resolved, such as completing reports by project deadlines, finalizing invoices from subcontractors, terminating monthly charges so they don't hit a project after its end date - this includes telephone toll charges (regular phone charges won't be on most projects) - and computer support charges, clearing any encumbrances after everything spent during the award period has been paid, making sure the project balance is zero, in order to allow the project to be closed by OGC.

Remember, project money cannot be spent after the project end date. If the project is federally funded, or if it is terminated before the planned end date, there are additional requirements. Contact OGC for more information about project close out.

 

What is meant by carry forward or unobligated funds?

Unobligated funds are the portion of the funds authorized by the sponsor that has not been obligated by the awardee, and the amount is determined by deducting the cumulative obligations at the end of a budget period from the cumulative funds authorized for the budget period. Carry forward of these funds refers to the sponsor approving that the unobligated funds can be used in the next budget period.

 

How do I monitor costs on a sponsored project?

Financial reports should be reviewed monthly if not more often, to verify that expenditures and encumbrances are correct and charged to the right project, and errors should be corrected immediately. The reports provide budget information for most federal and some non-federal awards and can be used to do projections based on future planned spending.

Every month, be sure to reconcile every project for payroll expenses, vendor and/or subrecipient payments and revenue received. Keep track of sponsor payment activity to ensure payments are received and recorded properly by OGC in the financial system (i.e., follow up on accounts receivable).It is often helpful to understand what expense items are encumbered to then know what planned expenditures will need to be projected to avoid cost overruns.

For example, subrecipient agreement amounts may be encumbered, while other purchases such as the procurement card are not. With regular monitoring of the financial activities for an award, the PI will avoid problems or enable a more expeditious resolution should a problem arise. If you know an expense looks odd, be prepared to back it up with documentation.

There are specific reports that are the most useful in managing a sponsored project. For summary information, assuming the project has a budget, use the Summary of Financial Transactions, targeting column "I", Available Balance". If Available Balance is positive, then you have budgeted funds left to spend. If there is not a budget (e.g. Clinical Trials), Use the Balance Sheet (SNA) Transaction report, targeting "Pooled Cash". If cash is positive, you have cash available. The Detail report (Detail of Financial Trans) - lists details of every transaction on a particular speed type during a certain timeframe, which you select.


How long are payroll and benefits encumbered?

For encumbrance calculations, the system program looks at a series of dates; finds the earliest one; and then calculates the encumbrance amount through that date. The dates that are looked at in the process are:

  • Project Budget End Date (for grants and contracts as set up in the Finance System)
  • Funding End Date
  • Appointment End Date
  • Contract Pay End Date

Therefore, it is important for administrators to understand what dates the payroll liaison has entered in the HR system in order to understand how the encumbrances on a specific speed type are calculated. For more information on the HR set-up process, see the "Administer Workforce" and "Manage Positions" modules at: http://www.cu.edu/pbs/sbs/#aw


Where can I find out about the latest financial and compliance-related issues?

The best place is the University Controller website.


What is the Outstanding Encumbrances Report?

The Outstanding Encumbrances Report is an itemized list of all encumbrance transactions occurring on a particular speed type for the period of the report. The period that the report covers is noted in the header at the top of the report.

Payroll Encumbrances are driven by the HR panels within PeopleSoft. This information is input by your departmental payroll liaison. If you find that amounts for payroll are not encumbering correctly contact your departmental liaison to ensure that the Funding Distribution has been input correctly for each individual employee.

Requisition and Purchase Order Encumbrances are driven by users in the department entering and approving Requisitions and Purchase Orders. Contact the PSC (Procurement Service Center) help desk.

 

The PETS I created last month were not approved, why?

All valid PETS are reviewed in the month they are created. If the PET was rejected or copied forward because of justification issues, you would have been notified. Please go look at your PET in HR under reports and reviews. The certification box must be checked in order for the PET to come to OGC’s work list. If this was not checked we are not able to approve. You can update the PET to the current period and certify to resubmit.

 

How can I verify my PET was approved?

In HRMS go to Reports and Reviews > Funding and Suspense > Payroll Expense Transfers. Enter the PET number and you can review the entry including the status.

 

How can I see what the PET moved?

In HRMS go to Reports and Reviews > Funding and Suspense > Payroll Expense Transfers. Enter the PET number and you can review the entry both at the summary and detail levels.

 

How do I enter PET’s?

Please visit the PBS website for Step by Step guides for entering PETS: https://www.cu.edu/pbs/sbs/


What is a PETP?

A PETP is created by the EPER system because the employee has certified effort level at a percentage less than they were paid on their EPER. Please contact OGC to obtain a copy of the EPER and work with the employee to determine if pay needs to be moved. *Best practice- Because the PETP is for the entire semester it is best to cancel the PET and notify the employee not to recertify until you have worked out together how the pay should be distributed and the EPER certified.

 

What happens during the Post-Submission Period with respect to pre-award expenditures?

In some situations, a sponsor may allow spending prior to the receipt of an award. In these cases the PI may request that a project be established (i.e., pre-awarded) in advance of the award document. By making this request, the PI and administrative unit are acknowledging that they carry full financial responsibility for any costs incurred prior to the receipt of the award.

 

    

4

  V. Award Setup

When is a new Speed type assigned and when can I keep my same Speed type?

The need for a new project number/speed type is based on the restrictions of the award. We review for carry forward restrictions or any other reporting restrictions that would prohibit us from extending the original number. 


After my project has been setup, I would like to make a budget adjustment? Who do I contact?

 

Please contact your postaward specialist for changes to your projects budget. In some cases they can make the change without sponsor approvals, others they need to work with your sponsor.


How can a person be setup as an approver in Marketplace on my Project?

 

Marketplace is tied to the fiscal roles. In order to be an approver in marketplace for your Speed type the individual needs to be setup as fiscal staff. Please see Award Administration forms at the Grants and contacts website.

 

How can I make changes to the fiscal roles on my project or gift account?

For changes to Fiscal Manager or Fiscal Staff please complete the appropriate form.  The forms contain instructions on where to send the request and can be found on the forms page of the OGC website.

 

The Fiscal Principal is designated via the award notice and updates to this role will require advanced approval from the sponsor.

 

 

How can I change the org on my project?

Sponsored projects should be under the org for your department that is designated as such. If for some reason the project is setup incorrectly or the PI has changed departments the reorg can be requested via any of our setup group.


How can I find out the status of my setup?

For the status of your project setup please contact OGC.4status@ucdenver.edu. Please be sure to include Proposal # and PI name in the request.


How long should it take to get my speed type?

After the award is received you should have your speed type in an average of 15 days. Please note this is an average. Many speed types are setup in a much quicker time frame. To avoid waiting for your speed type you can always request a preaward. The form for this can be found under Grant Application forms at http://www.ucdenver.edu/academics/research/AboutUs/GrantsContractsOffice/training-documentation/Pages/Forms.aspx and can be submitted to the preaward office.


Who do I contact to get a program income account setup?

Please work with your postaward specialist. They will review the award and determine the need for a program income account. If needed they will forward to the setup group to get a Speed type for the program income.


My project has cost share, who do I work with to make sure we are documenting correctly?

Please work with your postaward specialist to make sure everything needed for cost share get properly setup.


What is a Fund 30 - Sponsored Projects (aka Sponsored Programs, Grant, or Contract) fund?

Fund 30, a sponsored project fund, accounts for revenues from sponsors (including private businesses, corporations, foundations and other not-for-profit organizations, other universities, and federal, state and local government), which supports research, instructional, or public service activities that are related to the mission of the UC Denver.


What is a Fund 31 - Sponsored Projects fund (aka Sponsored Programs fund, Grant, Contract)?

Fund 31 for a sponsored project fund, is used to account for revenue from the State of Colorado including all state agencies and State of Colorado universities.


How is a sponsored project set up?

Once an award has been approved by the sponsor, OGC must set it up in the financial system. To do this, they need project information, including:

 
  • Name
  •  
  • Department number of the designated Principal Investigator (PI)
  •  
  • Sponsor information
  •  
  • Budget period (sponsorship funds are normally allocated one year at a time)
  •  
  • Project period (i.e., the entire length of the project, which can be longer than a single budget period, particularly if the sponsor is a Federal agency)
  •  
  • CFDA number, if the project is from a federal source
  •  
  • Budget - funds may be allocated for specific purposes
  •  
  • Financial reporting requirements

When a project is set up in the financial system an e-mail will be sent to the departments and PIs in which they will receive the project number and speed type, which allows them to correctly charge expenses to the project.

7

 VI. Subcontract

What is the difference between a subcontract, consortium/contractual, subaward, and a consultant?

A subrecipient agreement is used when CU Denver has been awarded grant or contract funds from an external sponsor (e.g., National Institutes of Health) and has arranged to enter into a collaborative relationship with another legal entity to complete a substantive portion of the programmatic effort. A subrecipient agreement is used to refer to subawards and subcontract arrangements. For example, if the expertise of a faculty member at a collaborating institution, such as the University of Michigan, is of critical significance and will add a substantive portion to the programmatic effort of a proposed project in a grant application, then the University of Michigan would be categorized as a subrecipient in the budget. A subrecipient agreement would be used to enter into agreement with the subrecipient to establish a collaborative relationship between the parties.

Consultants are individuals whose expertise is required by the CU Denver Principal Investigator (PI) to perform the project. A consultant describes a relationship that exists with an individual (or consulting firm) that is responsible to CU Denver for the results of certain work but is not subject to the CU Denver’s control with respect to the means and methods of accomplishing the work (consultants are not CU employees). For example, if the expertise of a specialist who would be paid directly rather than through an employer were needed for a proposed project, that person would be categorized as a consultant in the budget.

 

 

How do I determine what is categorized as consortium/contractual costs (subrecipient agreement costs), as opposed to consultant costs or costs categorized as “other costs”?

When CU Denver is the prime applicant institution, any legal entities outside of CU Denver whose personnel have agreed to provide a substantive portion of the programmatic effort in collaboration with CU Denver personnel on a project are to be categorized under consortium/contractual costs. For example, when a faculty member at another university will be contributing a substantive portion to the programmatic effort of a proposed project, the faculty member and his/her employing university and would be categorized under consortium/contractual costs.

When CU Denver is the prime applicant institution, any individual(s), other than CU personnel, who will contribute to the project as an independent contractor and whose expertise is required by the CU Denver PI to perform the project (paid or unpaid) should be categorized under consultant costs. For example, if the expertise of a specialist who would be paid directly rather than through an employer is needed for a proposed project, that person would be categorized as a consultant in the budget.

Other types of arrangements where assistance is being provided by external sources, such as technical assistance or goods and services, that fall within their normal business operations and/or when they provide similar goods or services to many different purchasers operating in a competitive environment should be categorized under other costs (refer to the Procurement Service Center’s (http://www.cusys.edu/psc/)  training resources located at https://www.cu.edu/psc/traininghelp/online_courses.htm). This also includes goods or services that are secondary to the project. For example, using a company that routinely analysis blood samples would normally be categorized under other costs.

 

What additional documentation does OGC need at the proposal stage if the grant application or contract proposal proposes a subrecipient?

OGC requires a Letter of Intent signed by the subrecipient’s institution authorized official, budget, budget justification and scope of work from the subrecipient. Always be sure to review the sponsor’s instructions for required documentation.

 

What do I do when the proposal does not identify the organization that we are supposed to collaborate with, per sponsor guidelines?

If the subrecipient is unknown at the proposal stage, the appropriate number or subcontracts with a budget amount must be indicated on the proposal routing. If the budget is left blank, it may delay the setup of the award.

 

How are recipients, consultants, or services categorized as “other costs” set-up at UCD?

Subrecipient agreements are handled in OGC, see “How is the arrangement with a subrecipient Formalized?” section below.

 

Consultant agreements are handled through the Procurement Service Center and Human Resources.

 

Procurement agreements (i.e. services categorized as "other costs") are handled through the Procurement Service Center.

 

How is the arrangement with a subrecipient formalized?

This mechanism is used when required by the State of Colorado Fiscal Rules and CU Denver Fiscal Policies (Fiscal Policy 4-2, Expenditure Contracts and/or Subagreements Under Sponsored Awards at http://www.ucdenver.edu/academics/research/AboutUs/GrantsContractsOffice/Documents/fp4-02.pdf). A subcontract is required when the award provides for the disbursement of funds and:    

·         There will be the acquisition of personal services costing more than $25,000 during the project period (even if the award crosses several budget periods); and/or

·         The award incorporates laws or regulations that are specifically or legally mandated to supersede CU Denver fiscal policy in whole or in part. This includes situations where the cost is less than $25,000 for the project period, but a subaward or subcontract is needed to adequately convey CU Denver’s expectations and/or sponsor requirements to the subrecipient.

Note: A subcontract will create an encumbrance in PeopleSoft. An encumbrance identifies obligations made by showing the amount of funding obligated to the subrecipient. Encumbrances reduce the available balance of a Sponsored project or program.

*Subrecipient agreements with other University of Colorado campuses employ a Letter of Understanding rather than a subcontract.


What marketplace codes should be used on the SPO for subrecipient agreements?

In the Chart of Accounts, Sponsored Programs Subcontract (i.e. Subrecipient) ranges from account codes 492600-492945. Refer to the Chart of Accounts Web site for additional information (Financial System Definitions, https://www.cu.edu/controller/finance/accounts.html). Within this range of account codes, there is the ability to distinguish between subrecipient amounts that are at or under $25,000 and subrecipient amounts that are over $25,000. This designation allows for appropriate F&A charging to a project or program. These account codes should be used for all subrecipient agreements.

 

 

How can I determine if the organization/individual we want to assist on a project should be categorized as a subrecipient, consultant, or as “other costs”?

Ask the following questions:
  1. Will the organization/individual be working as an employee of a legal entity, such as a university (e.g. will the organization/individual be using the facilities of the university and be paid by the university?) In no, go to question 3.    Yes/No
  2. Will the organization/individual be providing a substantive portion of the programmatic effort to the project? For example, will the organization/individual have responsibility for programmatic decision-making on their portion of the project and possibly to co-author publications? If no, go to question 6.    Yes/No
  3. If you answered “Yes” to 1 and 2, the organization/individual may be best categorized as a subrecipient.
  4. Is the organization/individual an individual working independently (or working with a consulting firm) that provides professional advice or services based on a written agreement for a fee? If no, go to question 6.    Yes/No
  5. Is the organization/individual an individual who plans to contribute to the project as an independent contractor and whose expertise is required by the UCD PI to perform the project (paid or unpaid)?    Yes/No
  6. Determine if the organization/individual is subject to the University of Colorado’s control with respect to the means and methods of accomplishing the work.
  7. Does the organization/individual:
A. Have a place of business and a business listing in a directory where the services to be performed are offered to the public? If No, the organization/individual may need to be employed by UCD, rather than hired as a consultant.    Yes/No

B. Select his/her own clients and is free to work for one or more during any given period? If No, the organization/individual may need to be employed by UCD, rather than hired as a consultant.    Yes/No
    C.    Determine the time and place where work shall be performed? If No, the organization/individual may need to be employed by UCD, rather than hired as a consultant.    Yes/No

    D.    Provide the tools and materials needed to perform the work? If No, the organization/individual may need to be employed by UCD, rather than hired as a consultant.    Yes/No

    E.    Participate directly or indirectly in fringe benefit programs of the University of Colorado? If Yes, the organization/individual may be employed by UCD and not be eligible to be a consultant.    Yes/No

    F.    Perform specific services for a fixed price (generally does not receive regular amounts at stated intervals)? If No, the organization/individual may need to be employed by UCD, rather than hired as a consultant.    Yes/No
If you answered “Yes” to 3 and 4, and you answered “Yes” to 5 A, B, C, D and F, and “No” to E, the organization/individual may be best categorized as a consultant.

6.    Will the organization/individual be providing assistance such as technical assistance or goods and services that fall within their normal business operations?    Yes/No

7.    Does the organization/individual provide similar goods or services to many different purchasers operating in a competitive environment?    Yes/No
If you answered “Yes” to 6 and 7, the organization/individual may be best categorized under “other costs”.

8

 VII. Effort Reporting

What is personnel effort certification?
Personnel Effort Reporting (ePERs) is CU's employee effort reporting and certification procedure required for compliance with federal regulations. Compliance with these regulations is necessary to assure continued federal funding, and therefore is required on all projects.
For training on ePER reporting please enroll in SkillSoft course number U00055, located through the CU Denver portal (https://portal.prod.cu.edu/UCDAccessFedAuthLogin.html).
 
What reports are available to help manage effort reporting?
Reports are available in Cognos Reporting System that can be helpful for employees with fiscal roles to manage who is being charged to sponsored projects and reflect if those employees charged to the sponsored project have completed their Personal Effort Report certification as required by A-21. If you hold a fiscal role you, these reports can help you manage your projects.
There are currently three management reports, including: ePER Summary by Org ePER Summary by PI Uncertified ePER by Org or Campus.
These reports are in the reporting system located the following link: https://fin.prod.cu.edu/
Each of the reports has a step by step guide that gives detail about how to run these reports and what information they include. Step by step guides are also available to help you. They are located at: https://www.cu.edu/System_Controller/help/sbs-ePERs.html
 
What is an EPER and how do I certify it?
Personnel Effort Reporting (PERs) is CU's employee effort reporting and certification procedure required for compliance with federal regulations. Compliance with these regulations is necessary to assure continued federal funding, and therefore is required on all projects. For assistance with how to certify your effort report see the step by step guide located at https://www.cu.edu/controller/traininghelp/stepbystep/ePERs.html

 

Who do I contact if I am having trouble certifying my PET?

Leila Rabaa at x40188 or Leila.Rabaa@ucdenver.edu
 
Who should I contact if the percentages on my ePER are not correct?
Contact your PPL or Supervisor to discuss that you do not feel you have been paid by the correct projects.
 
How soon does my ePER need to be certified?
ePERs should be certified within 10 days of receipt. If you feel the ePER is incorrect please work with your PPL or Supervisor to get the information corrected.
 
Should I certify if I worked less on a project than I was paid?
No, please first contact your PPL or supervisor to initiate having the salary corrected.
 
 
What if the cost share portion of my ePER does not look correct to me?
Please contact Ginger Acierno x40258 ginger.acierno@ucdenver.edu
 
9

 VIII. Gifts

How do I setup a gift account?
Please visit the Grants and Contracts gift webpage for information on gift accounts and the forms required to setup a gift account. http://www.ucdenver.edu/academics/research/AboutUs/GrantsContractsOffice/gift/Pages/default.aspx
 
Should this be a gift?
Please visit the system controller’s website to review the Decision Matrix used to identify if you have a gift. https://www.cu.edu/System_Controller/policiesandprocedures/accountinghandbook/gift_revenues.html
 
Where do I send my gift fund Journal Entries’ for approval?
Please see page 26 of the finance document for instructions to route a journal entry for approval. http://www.ucdenver.edu/about/departments/finance/Documents/Processing_Actual_JE.pdf
 
How do I setup an AEF, DEF, or CHCRI Speed type (Fund 35)?
Please visit the OGC gift webpage for information on gift accounts and the forms required to setup a gift account. http://www.ucdenver.edu/academics/research/AboutUs/GrantsContractsOffice/gift/Pages/default.aspx
 
What account code should be used for a check that goes to a fund 34?
If the check is revenue for the gift account 240400 should be used unless the check is from UPI, Inc. then account code 240401. Reimbursements for gifts need to be deposited into the account code where the expense occurred. The following are special events account codes:
          240410- Registration
          240411- Sponsorships
          240412- Donations
          240413- Auctions Sales
          240414- Merch. Sales
 
How do I make employee (fiscal role) changes to a gift account?
 
Where do checks for gift fund deposits go?
AMC- Building 500 Suite W1126.  A locked box is located in the preaward section. 
DDC- Lawrence Street Building on the 9th floor to the Finance Department

How do I setup a gift account?
Please visit the Grants and Contracts gift webpage for information on gift accounts and the forms required to setup a gift account. http://www.ucdenver.edu/academics/research/AboutUs/GrantsContractsOffice/gift/Pages/default.aspx


Should this be a gift?
Please visit the system controller’s website to review the Decision Matrix used to identify if you have a gift. https://www.cu.edu/System_Controller/policiesandprocedures/accountinghandbook/gift_revenues.html


Where do I send my gift fund Journal Entries’ for approval?
Please see page 26 of the finance document for instructions to route a journal entry for approval. http://www.ucdenver.edu/about/departments/finance/Documents/Processing_Actual_JE.pdf  


How do I setup an AEF, DEF, or CHCRI Speed type?
Please visit the OGC gift webpage for information on gift accounts and the forms required to setup a gift account. http://www.ucdenver.edu/academics/research/AboutUs/GrantsContractsOffice/gift/Pages/default.aspx


Question: should this be a gift?


What account code should be used for a check that goes to a fund 34?
If the check is revenue for the gift account 240400 should be used unless the check is from UPI, Inc. then account code 240401. Reimbursements for gifts need to be deposited into the account code where the expense occurred. The following are special events account codes:
240410- Registration
240411- Sponsorships
240412- Donations
240413- Auctions Sales
240414- Merch. Sales


How do I make employee (fiscal role) changes to a gift account code?


Where do checks for gift fund deposits go?
Please bring any check to our office on the 1st Floor west of Bldg 500 W1126.  A brown locked box is located on the wall of the preaward section of the AMC office and in the 9th floor finance office, Lawrence Street Center, at the Denver campus. The check should be accompanied by a cash receipt form with the Speed type.
 
10

 IX. ERA

What is InfoEd eRA used for?
The InfoEd eRA Portal is the official electronic research administration system adopted by the University of Colorado to manage the research lifecycle from start to finish including proposal application and submission, sponsor award, renewals and project closeouts. This system enables faculty, administrators and staff to efficiently track grants and contracts through its life span with 24-7 availability.

What training sessions are available?
Training sessions and working lab sessions are listed on the ERA Training Calendar. Contact: OGC-ERA@ucdenver.edu to register.

When are the InfoEd eRA Proposal Lab Sessions and how do I register?
Training sessions and working lab sessions are listed on the ERA Training Calendar. Contact: OGC-ERA@ucdenver.edu to register.

Who may attend the InfoEd eRA training sessions?
Anyone who will electronically administer the submission of a grant proposal may attend the training sessions. View the ERA Training Calendar for dates available and contact: OGC-ERA@ucdenver.edu to register.

How do I get access to the InfoEd system?
    • Complete the InfoEd User Request Form
    • For Instructions or Security Questions, Email
    • Access will be provided to you within 24 hours of your request

What is the web address to login to InfoEd eRA?

What is my Login and Password?
Denver and Anschutz Medical Campuses:
Login = University Login
Password = University Password

My eRA Portal login and password doesn’t work
Verify that you selected the correct Campus Location
Contact OGC-ERA@ucdenver.edu for assistance.
 

How do I log into InfoEd?
Go to the following internet address: https://era.cu.edu/
Select the “Login” button
Type in your InfoEd Login name and password where indicated. (This will be the same username and password you use to login to your machine or my.cu.edu portal.)
Click on “Denver” in the campus dropdown field
Select “Login”.

Can my administrator access my proposal in InfoEd eRA?
If someone other than the originating PI wishes to access a Proposal, (to view or edit) the PI must grant authority as a delegate. The delegate will now have access to ALL proposals he/she is a delegate for.
Follow the steps for “How to Delegate Authority”
 

How do I delegate authority to someone to grant access to my proposal?
Log into InfoEd
From the Portal page, click on “My Profile”
Select “Edit”
Select “Delegates” from the list of options to the right
When the window opens up at the bottom of the page, click on “Add” at the right of this section
The Personnel window will pop up. Search for the person to delegate authority to and click on “Select”
NOTE: The person who is acting as a delegate will have access to ALL proposals created by the PI

 

Use of InfoEd to Build an Application:


I created my proposal and have a tracking number.  How do I find my saved proposal?
Log into InfoEd
From Portal page, click on “My Proposals” in left menu
Click on “Search For”
Enter number in the “Proposal Number” field
Click “Locate”
Once proposal is listed, hover over the Open icon beneath the proposal number, then click the “Edit” icon under “PD”


 Can I save my proposal and finish later?
Yes! Click “Save” to save your work, then click “Done” to close the proposal. See question above to find your saved proposal.


I don’t remember my proposal tracking number. How do I find my proposal to finalize my application?
Log into InfoEd
From Portal page, click on “My Proposals” in left menu
Click on “Show/List”
A results screen will display a list of proposals either in-process or completed. This list will include proposals for the Logged in User or any proposals that the user has been granted access for.
Once proposal is listed, hover over the Open icon beneath the proposal number, then click the “Edit” icon under “PD”.
 

I am a Department Administrator and cannot find the proposal the Principal Investigator created. How do I find it?
In order to have access to the Proposal, the PI must delegate authority to you in the InfoEd eRA system. You will now see this person under the section titled “Individuals who may access items”
Follow the instructions for “how do I find my saved proposal”
 
How do we build our proposal with multiple-PIs (characteristic of NIH)?

 

In the process of answering the initial set-up questions in the New Proposal Questionnaire the radio button for ‘Will this proposal have multiple principal investigators?’ click on Yes (default is No).  Once the proposal is set-up with this response, the system will expect the necessary documents and assignment of Role in the Personnel section.  The correct selection for Role is PD/PI. 

 

In the New Proposal Questionnaire Step 6 asks for a Project Begin and End Dates and Step 7 asks ‘How many years and/or budget periods would you like?”  Why is there an option to change this?

 

Step 6 allows the user to insert the Project Begin and End dates of the entire project.  Step 7 confirms the number of Project Budget Periods because sponsors such as Department of Army and Department of Defense may have different budget periods that are not necessarily related to the number of project years.

 

What is the function of the Associated Departments on the Set-Up Page?

The Associated Department is the department that is responsible for managing the proposal and defaults to the Primary Appointment of the PI.  This is also the department that is used for primary routing.  If a proposal will be managed outside of the PI’s primary appointment, for example a center, simply change the Associated Department to that center/institute.

 

How is an Org number assigned to the PI when it is different than their home or primary Org?

In this situation a PI may be submitting a proposal where the Facilities and Administrative Rates or Indirect Cost Recovery is to be designated to another department, school or center.  This can be changed in the Set-Up pages in the Associated Department section and will function to alert the Office of Grants and Contracts of the alternate Org(anization) to receive the F&A.  It is important for the Routing Sheet to reflect the correct Org number receiving the F&A.

 

Are Human Subjects protocols searchable and/or accessible while preparing the proposal?  Does the ‘delegate’ function in the PI Profile allow the proposal preparer permission in COMIRB?

The PI has to delegate authority in InfoEd for either ‘read/write’ or ‘view only’ in order for anyone to access, search or view human subjects protocols.  This authority is found in the PI profile under delegate and has the ‘read/write’ or ‘view only’ options.

                                                     

Where is the department information inserted to reflect the Org for the F&A to be paid when it is different than the PI’s primary appointment?

These details are indicated on the routing sheet and signed agreements (if included).  The signed agreements can be uploaded in the Internal Documents tab and are not submitted to the sponsor.

 

How is the data inserted to designate F&A split between two or more departments?

Primarily this is handled with the F&A agreement as an internal document upload and noted on the internal routing sheet.

 

Is it possible to have a drop down box in the Performance Site section that contains frequently used sites such as National Jewish Medical Center and etc.?

Presently, this option is not available in InfoEd eRA.  Members of our eRA team are exploring the possibility of this enhancement.  Always insert the correct performance site information as the default is the OGC address, DUNS, Congressional District and other details.  Every subcontract performance site is automatically added in this section.

 

When will the form set C for the September due dates be available and if we start a proposal in the old version what will happen to the documents, budget and other information?

The new form set C is available now and will be available when selecting the sponsor on your New Proposal Questionnaire. If you started a proposal in eRA using the Form Set B2 and need to convert to C return to the SetUp Questions, uncheck the completed box and edit the sponsor opportunity and select the form set C.  There are some minor changes between B2 and C noted here.

·         Cover letter – if uploaded, will be lost (the upload location has moved to the face page

·         Face Page – data is retained

·         Performance Sites – data is retained

·         Other Project Information tabs – data is retained

·         Budgets, including sub awards – data is retained

·         Key Personnel – data is retained

·         Research Plan – Uploads for Planned Enrollment or Cumulative Inclusion will be lost.  There are new forms for data entry content, which will appear as S2S forms.

·         Checklist page is being deprecated (superseded) with some of the questions moving to the Cover Page Supplement.  Those questions will have to be re-answered in their new location.

·         S2S forms – all data will be lost for the S2S forms and will require re-entry into the new version of the form

o   Career Development Award Supplemental Form

o   PHS Fellowship Supplemental

o   Training Program Plan

o   Training Budget Subaward Attachment Form

 

Where are other sponsor’s or internal documents uploaded?

There are two tabs in PD for other document uploads.  For those other documents required by the sponsor the tab is labeled Other Attachments.  Any documents required for internal review or required internal agreements are uploaded in the tab labeled Internal Documents.

 

How are subcontract budgets, personnel and documents prepared in PD?

The very first step for a subcontract is on the initial Set-Up page and the question “Will your proposal include any Subcontracts?” is checked Yes (default is No).  The next steps are within the Personnel section to assign those personnel related to both the proposal and subcontract.  Building the budget for the subcontract will be within the Budget tab under the appropriate headings.

 

We have a faculty member who has an appointment that is less than 1.0 FTE.  How do we populate the salary and fringe benefits for the budget?

The current method for entering this type of appointment is to populate the base salary at the current FTE basis.  For example, if a 1.0 FTE faculty member is paid $100,000 and decreases from 1.0 FTE to 0.75 FTE their decreased base salary is $75,000.  On the grant proposal the faculty effort is 20% so the calculation is based on 20% of $75,000.  Fringe Benefits are selected at the Part-Time 0.75 FTE – 0.99 FTE rate of 30%. 

 

How are salaries populated for a nine month academic appointment, and summer appointments? 

These functions are entered in the Budget tab under the sub tab Budget Items.  In the window Budget Items click on the folder icon next to the PI or person’s name and a window opens with the Budget Detail.  In the Salary/Payroll Information under the Appointment choose the Type (drop down box) Academic and set the number of Months to 9.  Next, in the Appointment Start/End enter S(tart): 01-Sep-20(current fiscal year)13 and E(nd): 31-May-2014.  Save.

 

If there is a Summer appointment, select the Edit Details button and click Add Appointment, enter data into the Salary/Payroll Information section under the Appointment, a box will allow you to select Type: Summer and number of Months: 3.  In the Appointment Start/End S(tart): 01-Jun-2014 and E(nd): 31-Aug-2014.

 

Enter the Base Salary for the PI or person and select the correct Fringe Benefits based on their appointment/s. 

 

Directly below this information is a row with radio buttons the first selection and default is Continue Salary past appointment end.  Change this selection, click the radio button to Recycle Salary on the Annual Anniversary (respecting effective dates).

 

Since it is possible for a PI or person with an Academic Appointment to have different effort on the project during the academic year (for example 50%) than the summer months (for example 100%) you may populate the Time and Effort levels on Project accordingly.  This will require input of the Start Date, number of Months, End Date and Effort for that time period.  You will need to enter each Period of the Budget with these dates to correctly reflect the effort.  Save often to prevent losing any data.

 

Do I have to upload final documents for the proposal in order to route for review? 

From the University of Colorado Denver, Grants and Contracts Website

Routing Requirements

Forms and Documentation Requirements: All applications and proposals sent to Grants and Contracts must be in a complete and final format upon receipt and include the Routing Form, other required internal forms, approval signatures, a print-out of all parts of the grant application including attachments, and a print-out of instruction materials (non-NIH Sponsors only).

 

 

 

11

 X. FCOI

What is defined as a financial Conflict of Interest?
For faculty and employees that have a significant financial interest, the COIC Office has to review all research activity and/or institutional responsibilities to determine if the significant financial interest could directly and significantly affect the design, conduct or reporting of research or their institutional responsibilities.
If this determination is made then the faculty or employee has a financial conflict of interest that must be appropriately managed in accordance with UCD policy. Each overlapping research protocol, grant, or research contract will need to have a separate management plan developed and approved by the COIC Office and signed by the faculty or employee.
For additional questions regarding conflict of interest, please see the following link:

 

What are the penalties if I fail to make the appropriate disclosures?

Cannot submit for PHS or NSF funding opportunities.

Termination of the activity that creates the conflict of interest, including inability to draw funds from grant and contract speed types or participate in IRB protocols.

Funds drawn from a federally funded grant may need to be returned.

Additionally:

  • Divestiture of significant financial interests.
  • Deactivation of employee’s badge access to parking and labs.
  • Disciplinary action against the employee up to and including termination.
  • In the case of violation of criminal or civil law, violation may be subject to civil or criminal penalties.
  • Reporting to applicable federal agencies

 

Looking for more information about Conflict of Interest policies?

OGC Conflict of Interest Link:

http://www.ucdenver.edu/academics/research/AboutUs/GrantsContractsOffice/COI/Pages/default.aspx

UCD Conflict of Interest and Commitment website and link to submission/update instructions:

http://www.ucdenver.edu/academics/research/AboutUs/regcomp/conflictofinterest/Pages/default.aspx


12

 XI- Proposal Development(PD)

How Do We Build Our Proposal With Multiple Pi's(Characteristic of NIH)

In the process of answering the initial set-up questions in the New Proposal Questionnaire the radio button for ‘Will this proposal have multiple principal investigators?’ click on Yes (default is No). Once the proposal is set-up with this response, the system will expect the necessary documents and assignment of Role in the Personnel section. The correct selection for Role is PD/PI.

 

In the New Proposal Questionnaire Step 6 asks for a Project Begin and End Dates and Step 7 asks ‘How many years and/or budget periods would you like?” Why is there an option to change this?

 Step 6 allows the user to insert the Project Begin and End dates of the entire project. Step 7 confirms the number of Project Budget Periods because sponsors such as Department of Army and Department of Defense may have different budget periods that are not necessarily related to the number of project years.

 

What is the function of the Associated Departments on the Set-Up Page?

The Associated Department is the department that is responsible for managing the proposal and defaults to the Primary Appointment of the PI. This is also the department that is used for primary routing. If a proposal will be managed outside of the PI’s primary appointment, for example a center, simply change the Associated Department to that center/institute.

 

How is an Org number assigned to the PI when it is different than their home or primary Org?

In this situation a PI may be submitting a proposal where the Facilities and Administrative Rates or Indirect Cost Recovery is to be designated to another department, school or center. This can be changed in the Set-Up pages in the Associated Department section and will function to alert the Office of Grants and Contracts of the alternate Org(anization) to receive the F&A. It is important for the Routing Sheet to reflect the correct Org number receiving the F&A.

 

Are Human Subjects protocols searchable and/or accessible while preparing the proposal? Does the ‘delegate’ function in the PI Profile allow the proposal preparer permission in COMIRB?

The PI has to delegate authority in InfoEd for either ‘read/write’ or ‘view only’ in order for anyone to access, search or view human subjects protocols. This authority is found in the PI profile under delegate and has the ‘read/write’ or ‘view only’ options.
 

 

Where is the department information inserted to reflect the Org for the F&A to be paid when it is different than the PI’s primary appointment?

These details are indicated on the routing sheet and signed agreements (if included). The signed agreements can be uploaded in the Internal Documents tab and are not submitted to the sponsor.

 

How is the data inserted to designate F&A split between two or more departments?

Primarily this is handled with the F&A agreement as an internal document upload and noted on the internal routing sheet.

 

Is it possible to have a drop down box in the Performance Site section that contains frequently used sites such as National Jewish Medical Center and etc.?

Presently, this option is not available in InfoEd eRA. Members of our eRA team are exploring the possibility of this enhancement. Always insert the correct performance site information as the default is the OGC address, DUNS, Congressional District and other details. Every subcontract performance site is automatically added in this section.

When will the form set C for the September due dates be available and if we start a proposal in the old version what will happen to the documents, budget and other information?

The new form set C is available now and will be available when selecting the sponsor on your New Proposal Questionnaire. If you started a proposal in eRA using the Form Set B2 and need to convert to C return to the SetUp Questions, uncheck the completed box and edit the sponsor opportunity and select the form set C. There are some minor changes between B2 and C noted here.

• Cover letter – if uploaded, will be lost (the upload location has moved to the face page
• Face Page – data is retained
• Performance Sites – data is retained
• Other Project Information tabs – data is retained
• Budgets, including sub awards – data is retained
• Key Personnel – data is retained
• Research Plan – Uploads for Planned Enrollment or Cumulative Inclusion will be lost. There are new forms for data entry content, which will appear as S2S forms.
• Checklist page is being deprecated (superseded) with some of the questions moving to the Cover Page Supplement. Those questions will have to be re-answered in their new location.
• S2S forms – all data will be lost for the S2S forms and will require re-entry into the new version of the form
o Career Development Award Supplemental Form
o PHS Fellowship Supplemental
o Training Program Plan
o Training Budget Subaward Attachment Form

 

Where are other sponsor’s or internal documents uploaded?

There are two tabs in PD for other document uploads. For those other documents required by the sponsor the tab is labeled Other Attachments. Any documents required for internal review or required internal agreements are uploaded in the tab labeled Internal Documents.


How are subcontract budgets, personnel and documents prepared in PD?

The very first step for a subcontract is on the initial Set-Up page and the question “Will your proposal include any Subcontracts?” is checked Yes (default is No). The next steps are within the Personnel section to assign those personnel related to both the proposal and subcontract. Building the budget for the subcontract will be within the Budget tab under the appropriate headings.

 

We have a faculty member who has an appointment that is less than 1.0 FTE. How do we populate the salary and fringe benefits for the budget?

The current method for entering this type of appointment is to populate the base salary at the current FTE basis. For example, if a 1.0 FTE faculty member is paid $100,000 and decreases from 1.0 FTE to 0.75 FTE their decreased base salary is $75,000. On the grant proposal the faculty effort is 20% so the calculation is based on 20% of $75,000. Fringe Benefits are selected at the Part-Time 0.75 FTE – 0.99 FTE rate of 30%.

 

How are salaries populated for a nine month academic appointment, and summer appointments?

 

These functions are entered in the Budget tab under the sub tab Budget Items. In the window Budget Items click on the folder icon next to the PI or person’s name and a window opens with the Budget Detail. In the Salary/Payroll Information under the Appointment choose the Type (drop down box) Academic and set the number of Months to 9. Next, in the Appointment Start/End enter S(tart): 01-Sep-20(current fiscal year)13 and E(nd): 31-May-2014. Save.
If there is a Summer appointment, select the Edit Details button and click Add Appointment, enter data into the Salary/Payroll Information section under the Appointment, a box will allow you to select Type: Summer and number of Months: 3. In the Appointment Start/End S(tart): 01-Jun-2014 and E(nd): 31-Aug-2014.
Enter the Base Salary for the PI or person and select the correct Fringe Benefits based on their appointment/s.

 

Directly below this information is a row with radio buttons the first selection and default is Continue Salary past appointment end. Change this selection, click the radio button to Recycle Salary on the Annual Anniversary (respecting effective dates).
Since it is possible for a PI or person with an Academic Appointment to have different effort on the project during the academic year (for example 50%) than the summer months (for example 100%) you may populate the Time and Effort levels on Project accordingly. This will require input of the Start Date, number of Months, End Date and  Effort for that time period. You will need to enter each Period of the Budget with these dates to correctly reflect the effort. Save often to prevent losing any data.

 

Do I have to upload final documents for the proposal in order to route for review?

From the University of Colorado Denver, Grants and Contracts Website Routing Requirements Forms and Documentation Requirements: All applications and proposals sent to Grants and Contracts must be in a complete and final format upon receipt and include the Routing Form, other required internal forms, approval signatures, a print-out of all parts of the grant application including attachments, and a print-out of instruction materials (non-NIH Sponsors only).

 

 

 

 

 

 

 

13


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