Managing Grant Proposals Process - 31f

Purpose: Use this document as a reference for the entire Managing Grant Proposals process in ctcLink.

Audience: Grant Specialists

Step 1 - Creating a Grant Proposal

Creating a Grant Proposal
  1. On the Maintain Proposal Entry page, click the Add a New Value tab.
    1. If it did not default, enter or select the appropriate business unit in the Business Unit field.
    2. Leave the default value of NEXT.
    3. Click the Add button.
  1. Use the Proposal page to establish proposal-specific details:
    1. Enter an appropriate description for the grant proposal in the Description field. If this field is left blank, the entry in the Title field appears by default. The long description is used by the system in the award generation process to name the award. The name of the generated post-award project comes from the proposal project short title.
    2. Enter an appropriate title for the grant proposal into the Title field.
    3. Select a Principal Investigator in the PI ID field.
    4. Enter or select an appropriate sponsor in the Sponsor ID field.
    5. Use the Purpose field to enter a proposal purpose from a list of entries that are defined by the institution.
    6. Use the Proposal Type field to select predefined and institution-specific proposal types.
    7. Enter the confidence percentage in the Confidence % field.
    8. Enter the appropriate information into the Start and End Date fields.
    9. Enter the appropriate number of periods into the No. Periods field.
    10. Click the Build Periods button.
  1. Click the Projects tab.
  2. Use the Projects page to add or update projects that are associated with a proposal. Multiple projects  can be associated with each proposal. Because the system uses a one-to-many relationship for proposals and projects, a separate project profile can be established even in cases in which only one project is in a proposal. 

Note: Use the auto numbering feature for Project ID, do not change the NEXT values in this field.

  1. Enter the following items:
    1. Click in the Department field to enter or update the Department.
    2. Click in the Subdivision field to enter or select the Subdivision the department reports to within the college.
    3. Click in the Institution field to enter the Institution the Subdivision reports to within the college.
    4. Enter the appropriate department representative into the Dept Rep field.
    5. Click the Location link.
  1. Enter the additional location details:
    1. Click in the Location field to enter the appropriate location code.
    2. Enter the appropriate information into the Phone field.
    3. Click the Budgets tab.
  1. On the Budget tab, complete the following fields:
    1. Enter the budget ID for the project for in the Budget ID field. Although there is a lookup icon is available, entering free text into this field, is optional.
    2. Enter the appropriate information into the Description field.
    3. Click the Save button.

Note: The Proposal ID has now been assigned by the system.

  1. Click the FA and Pricing Setup link.
  1. On the F A and Pricing Setup page, complete the following:
    1. Select the Sponsor Minus Funded option to use the sponsor's FA rate for calculating the cost-sharing FA.
    2. Use the Pricing Method list to select “As Incur” or “Fixed”, which indicates the type of contract billing will occur.
    3. Use the Product field to enter the product for the contract line.
    4. Click the Rate Type field to enter a rate type. FA rate types are associated with sponsors, institutions, proposals, or awards.
    5. Select the FA Base value in the Budget section that corresponds with the FA Base the sponsor allows. At the proposal stage, a value needs to be selected. Once awarded, this can be modified by creating a new proposal version.
    6. Select the FA Rate % value in the Budget section that corresponds with the FA Rate % the sponsor allows.
    7. Enter the appropriate date value in the Effective Date field for the FA RATE %.
    8. Click the OK button.
  2. Click the Resources tab.
  1. On the Resources tab, complete the following:
    1. Enter or select the appropriate resource type in the Type field.
    2. Leave the default option to select the Research checkbox option to map the professional to the appropriate form under Professional. Selecting this option also distinguishes the research team administratively from individuals who related to the proposal creations.
    3. Enter or select the role in the Other Role field for the employee identified.
    4. Enter the credit amount in the Credit % field for the internal individual credit. The sum of the credit percent on all the rows cannot exceed 100 percent.
    5. Click the Reports tab.
  1. On the Reports tab, enter the following:
    1. Click in the Report Type field to select the appropriate report type, and then add any comments about the report. Add rows for additional report types, as needed.
    2. Click the Save button.
  2. Click the Component link.
  1. Use the Component Detail section to add details of each component. Each proposal can have multiple components.
    1. Enter or select the component in the Component field.
    2. Click the Stakeholders link.
  1. Use the Component Stakeholder page to enter a stakeholder who is an employee of the institution.
    1. Enter or select the appropriate employee stakeholder in the Stakeholder field.
    2. Select the Workflow Eligible option.
    3. Enter the appropriate role into the Role field.
  2. Click the Refresh button.
  3. Click the OK button.
  1. Click the Save button.

Step 2 - Establishing a Proposal Budget

Establishing the Proposal Budget
  1. Use the Find an Existing Value tab of the Maintain Proposal page to search for a proposal:
    1. If it did not default, enter or select the appropriate business unit in the Business Unit field.
    2. Enter or select the proposal number of the proposal wanted to establish the budget for in the Proposal ID field.
    3. Enter or select the version in the Version ID field.
    4. Click the Search button.
  1. Click the Budgets tab.
  2. Click the number within the Period field in the Budget Period section for the Project that will have budget added to it.

Note: Every project on a proposal has a budget that can be established. If there is more than one project to the proposal make sure it is done for every project.

  1. Use the Details, CostShare, Justification section of the Enter Budget Detail page to enter the overall proposal cost share.
    1. Enter or select a budget item in the Budget Item field.
    2. Click the Details button.
  1. Use the Enter Budget Detail page to store detailed budget information by budget item. The page divides the total funding responsibilities of the sponsor and total cost sharing between the institution and any third parties. It also displays a breakdown of direct and FA (indirect) budget amounts.

IMPORTANT: If creating a proposal that lists specifically funded amounts for the overall budget and budget details are not entered for each period, the system sets the contract totals and award funding totals to zero when running the award generation process. The system uses the budget detail amounts entered to create the resulting contract and funding amounts on the award pages. Therefore, budget details are not entered before the award generation process is run, the information will have to be entered manually in both Grants and Contracts.

  1. Enter a description in the Description field.
  2. Enter an amount in the Total Direct field.

Note: If the Quantity and Unit Cost are entered, this field automatically computed. If entries are made in this field, leave the Quantity and Unit Cost fields blank.

  1. Enter start and end dates in the Start Date and End Date fields.
  2. Enter a quantity in the Quantity field.
  3. Enter a unit cost in the Unit Cost field.
  4. As necessary, click the Add a new row button to add additional lines.
  5. Click the OK button.
  1. If the amount in the Total Direct field is a whole dollar amount, then the values in the Sponsor Direct and Cost Share (if applicable) fields will also be in whole dollar amounts. If cost sharing in the proposal is needed, click the CostShare link to distribute cost sharing commitments by budget summary line.
    1. Enter the cost sharing and cost sharing distribution details, as appropriate for the budget item.
    2. When finished, click the OK button.
  1. If the proposal budget is complete, click the Save button.
  1. Click the Return to Maintain Proposal link.
  1. Verify the proposal Budget Period section displays correctly.

Step 3 - Approving a Component in a Proposal Budget

Approving a Component in the Proposal Budget
  1. Use the Find an Existing Value tab of the Maintain Proposal page to search for a proposal:
    1. If it did not default, enter or select the appropriate business unit in the Business Unit field.
    2. Enter or select the proposal number of the proposal wanted to approve the component in the Proposal ID field.
    3. Enter or select the version in the Version ID field.
    4. Click the Search button.
  1. Use the Proposal page to update the overall status of the proposal.
    1. Use the Proposal Status drop-down button to change the proposal status to ‘Pending Approval.’
    2. Click the Save button.
  1. Click the Component link.
  1. Use the Component page to approve the component detail.
    1. Use the Status drop-down button to select the ‘Approved’ status option.
    2. Click the Save button.

Note: Workflow is enabled for the proposal, so it cannot be submitted to the sponsor until it has been set to Institution Approved status.

  1. Click the Proposal tab.
  1. Use the Proposal page to again update the overall status of the proposal.
    1. Use the Proposal Status drop-down button to this time change the proposal status to ‘Institution Approved.’
    2. Click the Save button.

Step 4 - Submitting a Grant Proposal

Submitting a Grant Proposal
  1. Use the Find an Existing Value tab of the Maintain Proposal page to search for a proposal:
    1. If it did not default, enter or select the appropriate business unit in the Business Unit field.
    2. Enter or select the proposal number in the Proposal ID field.
    3. Enter or select the version in the Version ID field.
    4. Click the Search button.

Note: Remember, the proposal must be in at least a ‘Draft’ status to be eligible for submission.

  1. Use the Submission page to prepare the current version of the grant proposal for submission.
    1. Use the Submit Status drop down field to select the ‘Submitted’ option.

Note: After a proposal version is marked as Submitted, proposal information for that version can no longer be modified. To make any modifications to a proposal after it has been submitted, create a new version of the proposal.

  1. Enter or select the appropriate date in the Received field.
  2. Use the Transmission By drop-down field to select the appropriate method used to submit the grant proposal.
  3. Enter the appropriate information in the Sponsor Proposal ID field, i.e. sponsor user ID, EMPL ID, name, etc.
  4. Enter or select the appropriate location in the Location field.
  5. Click the Save button.

Note: The date and time stamp now appears to the right of the Submitted On field.

  1. Click the Official tab.
  1. Use the Official page to store information regarding officials for a proposal submission. This is separate from the proposal pages to enable different security to operate for institution officials.

Use the Approvers section to enter the officials who are authorized to approve the submission of the proposal. Officials are mapped to the proposal forms based on their official type. These officials come from the Institution Contacts page. Authorized officials can approve and sign the proposal. The IDs are prompted from a control table that contains authorized officials within the institution.

  1. Select the Submit for Approval checkbox to indicate the proposal has been submitted for external approval.

Note: The system does not enforce this check.

  1. Enter or select the appropriate Administrative, Financial, and Signing Official– Select the officials who should approve the submission of the proposal. Officials are mapped to the proposal forms based on official type. These officials come from the Institution Contacts page. Authorized officials can approve and sign the proposal. Their IDs are prompted from a control table that contains authorized officials within the institution. The operator ID must match that of the signing official to activate the submission button.
  2. As appropriate, select the Approved checkbox for each official to approve the proposal.
  3. Click the Save button.
  1. Click the Return to Maintain Proposal link.

Note: The Proposal Status now indicates ‘Submitted.’

Step 5 - Awarding a Grant

Awarding a Grant
  1. Use the Find an Existing Value tab of the Generate Award page to search for a proposal:
    1. If it did not default, enter or select the appropriate business unit in the Business Unit field.
    2. Enter or select the proposal number in the Proposal ID field.
    3. Enter or select the version in the Version ID field.
    4. Click theSearch button.

Note:The proposal must be in a Submitted status to be eligible for award.

  1. Use the Generate Award page to initiate the award administration process by copying information from the proposal pages to the award pages. Click theGeneratebutton.

Note: The Generate button is no longer active after the award is generated.

Step 6 - Managing an Award

Managing an Award

The information that is used to create and maintain the award profile establishes an award, which is defined as an executed agreement between an institution and a sponsor within the post-award system.

An award is associated with one business unit, one billing sponsor, and one award sponsor. Each award must have at least one project and at least one activity. The system provides the bulk of this award setup information when the award generation process is run.

  1. Use the Find an Existing Value tab of the Award Profile page to search for an award:
    1. If it did not default, enter or select the appropriate business unit in the Business Unit field.
    2. Enter or select the award number in the Award ID field.
    3. Click theSearch button.
  1. Use the Award page to provide additional information that did not come over from the Proposal Header:
    1. Enter the sponsor award number in the Reference Award Number field. This value appears on some of the Grants invoice formats when billing information is processed.
    2. Enter or select the appropriate CFDA number in the CFDA field.

IMPORTANT: Take a moment to validate that all the other information on the Award page is correct. Fields such as Purpose, Award Type and the Project Start Date and End Date can be corrected on the Award page. Also, make sure the number of projects associated with this award is correct as well.

  1. Click the Save button.
  2. Click the Project hyperlink in the Associated Projects section.
  1. Use the General Information page to define basic information for the project.
    1. Enter or select the project type in the Project Type field.
    2. Enter/update any other project basic information, as necessary.
    3. Click the Save button.
    4. Click the Return to Award Profile link.
  1. Click the Additional Information link.
  1. Use the Additional Information page to provide the following:
    1. Enter or select the appropriate code relating to the Award in the Type field.

Note: Depending on the Type choice selected, the next page to be completed will be different. For demonstration purposes, ‘FLW’ is selected here and the Flow Through page will need to be completed.

  1. Enter an appropriate comment to support the information in the Comments field.
  2. Click the Additional Details button.
  1. Use the Flow Through page to complete the following information about the Sponsor:
    1. Enter or select the sponsor in the Primary Sponsor field.
    2. Enter the Reference Award Number if known in the Reference Award field.
    3. Enter or select the originating award from date or beginning award date in the From Date field.
    4. Enter or select the originating award to date or ending award date in the To Date field.
    5. Enter the originating award total amount if known in the Amount field.
    6. Select the Federal checkbox to indicate if the award is a Federal award.
    7. Click the OK button.
  1. Click the Return to Award Profile link.
  2. Click the Save button.
  3. Click the Funding tab.
  1. The Funding page captured the funding amounts and periods that were created at proposal submission for each project. This amount is view-only. Any change of funding amount or period would require an Award Modification and Contract Amendment. Click the Budget detail button.
  1. Use the Budget Detail page to view detailed information about budget amounts that are associated with this budget plan.

Note: The Detail grid displays information about the budget in the appropriate budget periods for the grant's associated project. This is also the page that will be used to ‘Finalize’ the award budget and make it available for spending in the next step – refer to QRG - Managing an Award Budget.

This information is copied from the Proposal Budget pages during the award generation process

  1. Verify the Budget Detail information and if necessary, provide any missing information.
  2. When finished, click the Return to Award Profile button.
  1. Click the Resources tab.
  1. Use the Resources page to define additional information regarding resources:
    1. Enter or select the appropriate resource type in the Type field.
    2. Complete additional fields, such as adding a comment, as necessary.
    3. Click the Save button.
    4. Click the Terms tab.
  1. Use the Terms page to define additional information:
    1. Enter or select the appropriate Terms Conditions defined terms for the awarding sponsor in the Terms Conditions field.
    2. As appropriate, enter an explanation related to the terms and conditions of the award in the Explanation field.
    3. Click the Save button.

Step 7 - Establishing an Award Budget

Establishing an Award Budget
  1. Use the Find an Existing Value tab of the Project Budgets page to search for a Project Budget:
    1. If it did not default, enter or select the appropriate business unit in the Business Unit field.
    2. Enter or select the project number in the Project field.

Note: The project number is located on the Award Profile Associated Project page.

  1. Enter or select the budget period in the Budget Period field.
  2. Use the Budget Type drop-down button to select the ‘Cost Budget’ option.
  3. Click the Search button.
  1. Use General tab of the Budget Detail page to enter the award ChartField account information:
    1. Enter or select the appropriate operating unit in the Operating Unit field for each budget line.
    2. Enter or select the appropriate fund in the Fund Code field for each budget line.
    3. Enter or select the appropriate class in the Class Field for each budget line.
    4. Enter or select the appropriate state purpose in the State Purpose field for each budget line.
    5. If the project activity has not been assigned, enter or select the project activity in the Activity field for each budget line.
    6. Click the Project Detail tab.
  1. Use Project Detail tab of the Budget Detail page to specify the values for the project-related fields for the Grants budget rows that are displayed.
  2. When finished reviewing, click the General Ledger Detail tab.
  1. Use the General Ledger Detail tab of the Budget Detail page to specify the General Ledger ChartField values for the Grants budget rows that are displayed. When the system creates budget journals, it books the budget row amounts to the specified ChartFields.
  2. Click the Save button.
  1. Click the Finalize button. The system finalizes the plan by picking up the rows only for a budget period and not the entire plan, as in Project Costing.
  2. Click the OK button.
  1. Click the Process Monitor link.
  1. Use the Process List page to view the status of submitted process requests.

Note: The process has finished successfully when the Run Status column indicates ‘Success.’

Step 8 - Copying a Proposal

Copying a Proposal
  1. Use the Find an Existing Value tab of the Maintain Proposal page to search for a proposal:
    1. If it did not default, enter or select the appropriate business unit in the Business Unit field.
    2. Enter or select the proposal number of the existing proposal to copy from in the Proposal ID field.
    3. Enter or select the version in the Version ID field.
    4. Click the Search button.
  1. Use the Copy Proposal page to provide the details for the new proposal:
    1. In the Header section, the From Proposal field has the proposal id entered in the initial search criteria and the To Proposal field has the word ‘NEXT’ in it to allow the new proposal to become the next available Proposal ID.
    2. Also in the Header section, enter or select the date the new proposal is set to begin in the To Start Date field.
    3. In the Project section, leave ‘NEXT’ in the To Project ID field to allow the system to assign the next sequential number upon clicking the Copy button.
    4. Select (or deselect) the Project and Budget checkboxes to include (or not include) them in the copy process for the new Proposal.

Note: Ensure that at least one project has a check mark. Also, one project has to have the Primary Project checkbox marked.

  1. In the Budget section, make sure that at least one Budget ID is selected to be copied for each project. The To Budget ID field should have the same value as the From Budget ID field.
  2. In the Budget Period section, enter or select the date the new budget period is set to begin in the To Start Date field.

Note: The To Start Date on the budget period section and can be no earlier than the To Start Date given to the proposal.

  1. Also in the Budget Period section, enter or select the date for the end of the proposal budget period in the To End Date field.
  2. Click the Copy button.
  1. A new proposal has been created with a new Proposal number and Project IDs. All fields on the new Proposal page appear by default from the Proposal that was copied except the values that were changed on the Copy Proposal page.

Step 9 - Copying a Proposal Version

Copying a Proposal Version
  1. Use the Find an Existing Value tab of the Copy Proposal Version page to search for a proposal:
    1. If it did not default, enter or select the appropriate business unit in the Business Unit field.
    2. Enter or select the proposal number in the Proposal ID field.
    3. Enter or select the version in the Version ID field.
    4. Click the Search button.

Note: The (To) Proposal ID field remains the same but the To Version field has been populated with ‘Next.’ Upon copying, the next sequential number will be assigned to the new Proposal Version.

  1. Select (or unselect) the Project and Budget checkboxes to include (or do not include as appropriate) them in the copy process to the new Proposal Version.

Note: One Project on the Proposal must be marked as the ‘Primary Project.’

  1. Click the Copy button.

By default, the target proposal has the same dates as the source proposal from which it is copied, change the start and end dates on the target proposal, if necessary.

Note: The projects that are attached to the source proposal copy to the new proposal version.

Note: If the dates are not changed, a mirror copy of the source proposal will be produced. If the dates are changed during the copy process, all of the detail rows under each period will be assigned the dates that were entered for the period on the copy page.

  1. The To Version field now indicates the copied Proposal Version exists.

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