Compliance Award Processing User Manual
Contents
1. 13 a Alerts Reminders 5 i Locations 0 Sponsor 2 Inst 2 98 000 98 000 Status Converted Received Update Profile s Project 2 2 The details listed in the Award Information section will correspond to the award increment and the Workflow To Do List Awarded Project Period Dates 2 01 Feb 2014 31 Jan 2016 Award Summary Charles Albert Hoeffer 10079 IBG INST BEHAVIORAL GENETICS Year Period Stat 2 ena 2 Inst Directs 2 SubContract 2 Total Date Awarded 98 000 This is the total amount awarded This is the same date that is part of the 98 000 for the increment and award increment subfolder name and corresponds to the N_TOTYR represents the date the award was received column on the Workflow To Do from the sponsor List Applied to Period Date Awarded Type Total 1 25 Mar 2014 Converted 52 000 1 21 May 2015 Funding 46 000 Coninue to next page Sponsor 2 Inst 2 98 000 98 000 Status Converted Received Update Profile s Add SubProject Project Zl 98 000 98 000 Delete m D 3 Click the blue hyperlink under the Status that corresponds to in the increment for which the review was just completed A new window 10 Compliance Award Processing User Manual 22 June 2015 see screen shot directly below will open Note The status visible is the most recently completed status In order to view the history of which simultaneous reviewing tasks have already been c2. Media Ambivalence in an Age of Cultural and Technological Convergence le fel 4 k Stewart Hoover 10959 CTR MEDIA RELIGION amp CULTURE United States Israel r Done Save Help History Access Hide Binational Science Foundation Proposal 1210 99 2276B Edit Mode Q Submissions 1 Awarded Increment 1 3 B Awards 2 E 2010180 02 Aug 2011 he converted 2 cetset E for octz01 BI fao sep 201s I i C 01 06 May 2015 PAra Type Account From Through Le Subcontracts 0 A i B Summary Last Updated 2 Awarded Processed Award No i B Terms and Conditions Budget Setups Set i i WW WD Pi hen om 1210 99 2276B awe nas a Sharing Tracking are T e ic cT MEDIA RELIGION amp CULTURE Set al i Proposal Submission Type Associated Department Approvals 1 i O Related Proposals 0 Deliverables 0 A mae ons g Kupias o Key Personnel Applicant Org Appt Type Salary Fringe Salary Fringe Sponsor Project Attachments 12 Hoover Stewart Principal Investigato Set Fringe Months 12 By Effort Clear for E 0 000 0 000 0 000 0 000 0 000 0 000 Key Personne Total 0 000 0 000 Base Sponsor Total Non Key Personnel Applicant Org Appt Type Salary Fringe Salary Fringe Sponsor Project Non Key Personnel Total 0 000 0 000 Non Personnel Costs Amount Total Costs Converted Record Total Costs Converted Record Jst 20 202 000 20 202 000 20 202 000 m Non Personnel Costs Total 20 202 000 20 202 000 The Aw
3. but could be changed if necessary otatus_History A Property Review Complete Status 23 Jun 2015 Date yamments 6 Trae 5 Date 11 Dec 2014 Status Converted Recorded Date 11 Dec 2014 12 00 01 AM Recorded By Conversion Boulder PT Continue to next page 12 Compliance Award Processing User Manual 22 June 2015 7 Click Close in the upper right hand of the window On the Awards main screen the status will update for the review that was just completed Award Information Applied to Period Date Awarded Type Total Open Status Delete 1 25 Mar 2014 Converted 52 000 o gt Converted Tl 1 21 May 2015 Funding 46 000 o gt Grant Accountant Review Complete I The next time the Workflow To Do List report is run for that functional role the award with the updated status will not be listed Note When the award is being reviewed by the OCG Compliance Officers it has been fully negotiated and the terms have been accepted If there is a need to amend the award terms there will need to be a modification that is reviewed by the full OCG and SPA process Therefore there is no need to redirect the review of an award at this stage and that process is not covered in this SOP 13 Compliance Award Processing User Manual 22 June 2015
4. Property Review Needed Jun 1 2015 2010180 01 Oct 2011 30 Sep 20 1214 75 100 000 01 Property Review Needed Jun 1 2015 15 02 00 110 000 000 Property Review Needed Jun 10 2015 Navigate through the pages on the To Do List using the arrows at the bottom of the screen a Top 2 Page up Page down Bottom 3 Compliance Award Processing User Manual 22 June 2015 3 0 UNDERSTANDING INCREMENTS AND ATTACHMENTS When an award needs to be reviewed through the OCG and SPA simultaneous review process the award documents are already attached and an increment has been created the OCG logging team The OCG and SPA simultaneous reviewer will compare the information on their Workflow To Do List with information in the Awards folder and documenis in the Attachments folder This section of the user manual describes the increments and attachments that are viewed by the OCG and SPA simultaneous reviewers 1 Open the proposal record listed under the INST_NO column on the Cognos Workflow To Do List 2 Under the Awards folder in the left hand navigation pane there will be additional subfolders During the logging process these subfolders are created for each modification of the award that needs to be reviewed in OCG and SPA The subfolders are referred to as increments The name of the each increment subfolder visible in the left hand navigation page is automatically populated from the specific data fields shown below
5. 15 1211 04 INST_NO 308 477 AWARDNUM n 1 2015 1211 10 0 a n 1 2015 at The number in this column corresponds to the i TAES EE ME PropoOSaE MUTSET K NOEN award increment that needs to be reviewed 1211 12 0 n 1 2015 Copy this number into the Proposal Number field in InfoEd to locate the record that needs to be reviewed i 1212 08 PY iis 0 S E 01 06 May 2015 n 1 2015 i 29 Detail 1212 12 Proposals Search For N_TOTYR i n 1 2015 L E Subcontracts 0 1212 12 Use for wildcard This is the total amount entered for the award n 1 2015 increment that needs to be reviewed Amount 1213 12 Proposal number 1210 99 2276B 30202000 Property Review Needed Jun 1 2015 1214 02 paa Gaake ta Property Review Needed Jun 1 2015 1214 06 Sponsor Scheme Sponsor Name Property F PI a tama ACTION and UPDATEDATE 1214 08 Property F These columns list the action that 1214 12 v Property F needs to be complete for an award increment and the date that the 4214 12 2 000 02 Property F award increment was ready to be Results Showing Page 1 of 1 1 Propos reviewed for that action 121449 Institution Number amp Title PI 67 000 01 Property F Proposal Type Requested Period 1214 50 Award Number Awarded Period 19 592 01 Property F 1214 55 4210 99 2276B8 Media Ambivalence in an Age of Cultural and Technological Convergence Hoover Stewart 0 01 Property Review Needed Jun 1 2015 1214 55 New Q 01 Jul 2011 30 Jun 2015 73 864 01
6. Communications 0 E Attachments 13 ao Alerts Reminders 5 a O Locations 0 Terms and Conditions Name 2 ait Delete Property Restriction E D Description Computer software if strictly used for the data collection may be allowed on the award The purchase of computer hardware or standard software is not allowable Constructions renovation and rental costs for laboratory office space is also not allowed under the award terms Name _ Edit Delete Travel Restriction B i Description Costs charged to award for travel to scientific and professional meetings may not exceed 1000 per year 9 Compliance Award Processing User Manual 22 June 2015 5 0 COMPLETING THE WORKFLOW TASK simultaneous review only Follow the steps outline below in order to complete the simultaneous reviewing task 1 Open the Award folder and review the Award Information section Proposal 0414 12 0850B Awarded Project Period Dates E 01 Feb 2014 31 Jan 2016 ia CQ 01 21 May 2015 Award Summary Charles Albert Hoeffer 10079 IBG INST BEHAVIORAL GENETICS i Summary Year Period stat Zl end E inst Directs Zl SubContract EZ E Term nd Conditions 1 F 201 Jan o 9 Financials 1 9 Approvals 3 iE Related Proposals 0 Award Information i Applied to Period Date Awarded Type E Deliverables 4 i E 1 25 Mar 2014 Converted I 1m Keywords 0 i 1 21 May 2015 Fundi i E Communications 0 ay unding 19 Attachments
7. Compliance Award Processing User Manual The purpose of this document is to identify the steps taken by the OCG Compliance Officers in reviewing award documents and entering terms and conditions specific to property and travel in the InfoEd award records This manual includes the step by step instructions for generating the task list from Cognos accessing the award documents entering property and travel terms and completing the task action in the PT module Table of Contents 1 0 GENERATING THE WORKFLOW TO DO US I vsisccscsssssesesnsnstsssustesdsesousiensies suiinsawaseeanenn sosseanuausdesenesnsoessuumaesssuanimanss 2 2 0 UNDERSTANDING THE WORKFLOW TO DO LIST scscceccsrssscccccssscscccccsssasccccosssecccssosssacccssossseccessossseccosses 3 3 0 UNDERSTANDING INCREMENTS AND ATTACHMENT G sscccccccssscccceccsscesccescescescesscsscescesscsscessessosssessessons 4 4 0 ENTERING THE AWARD TERMS AND CONDITIONS ccssecsccrcesceccccccescescesccsscescescessescessesscsssessessoessessoees 7 5 0 COMPLETING THE WORKFLOW TASK SIMULTANEOUS REVIEW ONLY sssscccccssssscccrcsscesccscesscessescoees 10 1 Compliance Award Processing User Manual 22 June 2015 1 0 GENERATING THE WORKFLOW TO DO LIST The reviews for property travel and reporting requirements are completed by the OCG Compliance team Every award and modification is reviewed in order to ensure that any changes to the terms and reporting requi
8. ard Number is the modification number for the award The Awarded Date field is the date that the award increment was received from the sponsor The subfolder created for each increment uses the data from these two fields as the name for the subfolder which is visible in the left hand navigation pane with the following name i xx read modification number dd mmm yyyy read date modification was received The increment subfolders are also visible in the blue Award Tracking folder In order to view each increment in the Award Tracking module from the left hand navigation pane click the blue Award folder listed at the bottom of the yellow Award main folder Continue to next page 4AlCompliance Award Processing User Manual 22 June 2015 w OHO d amp AWD 1112 11 2266B re Done Back Save Help History Hide Award AWD 1112 11 2266B p B Summary G 9 Award Increments 2 E Related Accounts 2 H Sub Awards 0 Communications 0 Personnel 1 td rs Snapshot Ivan I Smalyukh 10714 PHYSICS LIQUID CRYSTAL GROUP Summary Last Updated on 08 Jun 2015 01 36 40 PM Awerd Number awD 1 112 11 2266B Sponsor Set Department of Energy Status Converted Associated Department Set 10714 PHYSICS LIQUID CRYSTAL GROUP Funding Sources Primary Name Department of Energy Awerd Received Date 03 Jul 20 13 Stert Date 15 Jul 2013 CFDA End Date 14 Jul 2018 ID No
9. ents roll up into the main Attachments folder at the bottom of the left hand navigation pane Proposal 0414 12 0850B 3 Submissions 1 ep New ini Add New PT w Awards 2 oe Financials 1 oe Approvals 3 Deliverables 0 Keywords 0 S E Attachments 12 E Proposal 0 E Closeout 0 a Hoeffer_Alzherimer_CS_pdf a Hoeffer_Alzherimer_DEPA pdf C Alzheimer Check Hoeffer pdf z a Hoeffer_Alzheimer_Budget xlsx 6 Compliance Award Processing User Manual 22 June 2015 4 0 ENTERING THE AWARD TERMS AND CONDITIONS The OCG Compliance Officers review and enter in terms and conditions for property and travel in the Award Terms and Conditions folder according to the steps outlined below 1 Open the proposal record listed under the INST_NO column on the Cognos Workflow To Do List 2 Using the AWARDNUM column on the Cognost Worklow To Do List locate the award increment folder and attached documeni s that correspond to the award modification that needs to be reviewed Proposal 1114 08 3163B Submissions 1 H New 9 lf Add New PT s Awards 2 Ge 1519021 06 Jan 2015 B Summary FS 01 14 May 2015 gt Terms and Conditions i Award AWD 1114 08 3163B 4 Financials 2 Approvals 1 O Related Proposals 0 Deliverables 0 jeee A Keywords 0 H H 5 Attachments 23 Proposal 0 E Award 0 teree teese
10. fe Parent Award None 10714 PHYSICS LIQUID CRYSTAL GROUP Award Increments Award Date 03 Jul 2013 08 Jun 2015 Number 2 3 Account Information Number 1550655 1552517 Proposal Information Number Sponsor 1112 11 2266B Department of Energy Status Converted W F_Award Logged Forward to Grants Type Converted Sponsor Department of Energy Department of Energy Title Alignment of Anisotropic Nanoparticles Versions 1 1 Status Converted Converted Nanostructured Colloidal Self assembly and Controlled Amount 349 500 00 TBD Status Submitted In the Award Tracking module the award increment folders are listed in ascending order with the oldest increment as the top folder and the newest increment at the bottom 3 Go back to the Proposal Tracking module to open the award documents in the Attachments folder Attachments can be accessed in multiple places in InfoEd See example screen shots below Proposal 15 05 0021 Submissions 1 New amp Attachments E Summary D Sponsor Name Category tory Last Updated Delete S Personnel 3 15 001 00 Award Core Documentation d c 1 27 May 2015 3 43 13 PM m Admin Staff Example A Proposal Submission Attachments c4 4 28 May 2015 2 48 03 PM m Attachments will be uploaded by the PAs into the applicable A 2 lka m proposal Attachments subfolfder The conventions for naming and 1 04 Jun 2015 3 53 02 PM mi categorizin
11. g documents are included in the PT Business 2 i Processes c 1 28 May 2015 2 47 20 PM m m PSR ore Documentatic ow cs 1 28 May 2015 2 48 43 PM m Proposal 5 ella Award 1 i Sub Documents 0 Reports 0 Continue to next page 5 Compliance Award Processing User Manual 22 June 2015 Proposal 0414 12 0850B B D Submissions 1 H Awards 2 Financials 1 Progress Report e Approvals 3 RepotName 2 Report Category Zl Deliverable Due i Related Proposals 0 oe i Progress Report Progress Technical M 01 Feb 2015 ER m Deliverables 4 E A gt C5 Patentinvention 1 Example B Deliverable Attachments toate 2 Reporting Period End Date 2 i ip Progress Technical 3 i i Progress Report 01 Feb 2015 When deliverable reports are completed and submitted the OCG i Compliance Officer or PA will attach the report document in the Bi __ MNIRGDP 12 258900_Progress Report_06 Jun 2015 Deliverables folder The conventions for naming and attaching the Final Technical Report 29 May 20 documents in the Deliverables folder are included in the Deliverables i i Final Technical Report 01 Feb 2016 User Manual i A Keywords 0 D Communications 0 Documents h E Attachments 13 Nme OOOO o egoy View Latest History Versions Last Updated H Alerts Reminders 5 MNIRGDP 12 258900_Progress Report_06 Jun 2015 Es a 1 11 Jun 2015 m Ga Locations 0 All of the attachm
12. ompleted click on the blue hyperlink and open the Status History window Status History Sub Review Complete x Status 11 Jun 2015 Date Comments _Aad Date 11 Jun 2015 StatuS Sub Review Complete Recorded Date 11 Jun 2015 5 51 25 P Date 11 Jun 2015 Status Tech Reports Complete Recorded Date 11 Jun 2015 5 51 17 PM Recorded By Stossmeister Rebecca Jane Date 11 Jun 2015 Status Property Revie Recorded Date 11 Jun 2015 5 51 09 PM Recorded By Stossmeister Rebecca Jane Date 21 May 2015 Status Received Recorded Date 21 May 2015 3 54 46 PM Recorded By Waller Denise Renee 11 Compliance Award Processing User Manual Close This window provides the Status History of the simultaneous reviews of that award increment In the lower half of the window you can review the statuses that were previously completed by other reviewers Note Only the OCG and SPA simultaneous reviewers who are generating the Workflow To Do List in order to review awards simultaneously will mark their tasks as completed in this Status History window Continue to next page 22 June 2015 4 Inthe Status History window from the drop down Status menu select the appropriate status for the review that was just completed The OCG Compliance team will be using Property Review Complete and Tech Reports Complete 5 Add any necessary comments 6 Click Add Note The date will default to today s date
13. rds requiring your review select your functional role from the list and click Finish in the lower left hand corner of the page to run the report may University of Colorado 5 Boulder Workflow To Do List RA Reporting System m Functional Role Invoicing Review Grant Accountant Property Review Tech Reports Cost Share Effort Reporting Subcontract Review Auto Pay Review Deselect Billing Tech m Grant Accountant m Subcontract Officer BillTech x GrantAcct gt SubOff v 3 This report can be exported to Xcel for additional sorting as needed by selecting the 7 icon in the upper right hand corner and selecting one of the View in Excel format options 2 Compliance Award Processing User Manual 22 June 2015 2 0 UNDERSTANDING THE WORKFLOW TO DO LIST Below is a description of the data that Is visible in the Boulder Workflow Data report All of the reviewers who generate their task list from Cognos will be reviewing the award terms after they have been fully negotiated with the sponsor and the SpeedT ype for the award has been set up in PeopleSoft University of Colorado Boulder Workflow To Do List RA Reporting System INST_NO SPON_NAME LNAME FNAME MI N_TOTYR AWARDNUM ACTION RUSH UPDATEDDATE 1210 99 2276B United States Israel Binational Science Foundation Hoover Stewart 20 202 01 Property Review Needed Jun 1 20
14. rement are capture in the InfoEd award record At the time the OCG Compliance team begins reviewing an award the terms have been fully negotiated and the SpeedType for the award has been set up in PeopleSoft The OCG Compliance team is also reviewing the award documents simultaneously with reviews by the OCG Subcontract Officers Soonsored Projects Accounting Grant Accountants Billing Technicians and Cost Share Accountants Follow the steps below to generate the Workflow To Do List for functional roles conducting simultaneous award reviews 1 Log into Cognos using your Identikey and password Select the eRA folder to open the reports specific to the eRA system b Select the CU Boulder folder to open the eRA reports specific to the Boulder campus c Select the Live Reports folder d Select Boulder Workflow Data to open the task report for the awards that require reviews from OCG Compliance and the SPA accounting teams Rebecca Jane Stossmeister Log Off EYYE Entries 1 5 Q Name Modified Actions Select this report to generate the i i S UIS Utility June 15 2015 9 30 16 AM More Workflow To Do List am Boulder Workflow Data June 19 2015 11 29 47 AM i E More F b gt Data Validation Apri 29 2015 10 23 59 AM gt E oi more m gt Infoed PS Compare Data June 22 2015 11 00 11 PM O gt E ee moe June 4 2015 2 49 16 PM gt E es more fp Project Extract 2 To run the report for all awa
15. teree 3 Open the attachment for the award modification that needs to be reviewed by clicking on the attachment in the left hand navigation pane and then clicking the icon in the View column Proposal 1114 08 3163B Edit Mode H Submissions 1 s eae Document Detail s Financials 2 Document Name Folder Document Category oO Approvals 1 1519021_01_Award pdf ROOT x Converted Related Proposals 0 E Deliverables 0 Document Upload History EE E Keywords 0 FileName Date Uploaded Owner View Delte E Attachments 23 1519021_01_Award pdf 01 Jun 2015 01 41 50 PM CONVERSION BOULDER os m D Proposal 0 E Award 0 Sub Documents 0 E Reports 0 E Closeout 0 ju TARRENI mail2 msg C 1519021_05 14 2015_Email msg Continue to next page 7 Compliance Award Processing User Manual 22 June 2015 4 Using the Sponsor Restrictions Matrix read through the award terms for any restrictions on property and travel If there are restrictions that need to be noted opent the award Terms and Conditions folder Proposal 1114 08 3163B Edit Mode L Submissions 1 5 Awards 2 H Awards 2 Terms and Conditions 1519021 06 Jan 2015 Ge 01 14 May 2015 9 Approvals 1 Related Proposals 0 E Deliverables 0 g Keywords 0 H E Attachments 23 5 To adda new term click Add in the upper right hand corner This will open a new window that will allo
16. w you to enter new terms 1 Either select the Add Terms and Conditions Save Close check box to the right 3 of the term that is Name Add applicable or enter 75 Draw Down Notice Required EI the name of the term 90 Day Pre award Spending Allowed E in the box towards the ARRA F bottom of the window Forward Prior Approval Required 2 In the Description E verify field write a brief a explanation of the F term and what the impact is for the award Keep in mind FFATA Foreign Travel nterest Bearing Government Property that this field is NCE Prior Approval Required 1 a intended to be a Travel Prior Approval Required resource for 1 department C Nme administrators and Description Pls The descriptions in this field should clearly identify the limitation and the impact on the adminsitration of the award 3 Click Save Continue to next page 8 Compliance Award Processing User Manual 22 June 2015 6 After clicking Save the window will automatically close and the information that was entered will be visible in the main screen of the Terms and Conditions folder Proposal 0414 12 0850B S Submissions 1 S E Awards 2 Ge MNIRGDP 12 258900 26 Mar 2014 01 21 May 2015 if Summa L Terms and Conditions tag Award AVWD 0414 12 0850B e Financials 1 0 Approvals 3 a Related Proposals 0 H Deliverables 4 dose Keywords 0 9
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