SPONSORED PROJECTS BRIO TRAINING

brio n. - vigor, vivacity (source: dictionary.com)

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Workshop Agenda
1. Introductions & Logistics 2. Review of Workshop Manual Contents 3. Data Overview (PowerPoint)
a) b) c) d) User Support & Communications Data Warehouse Overview Award/Proposal Data Mart Overview Subcontract Data Mart Overview

Break 4. Hands-on intro to Brio, Sponsored standard reports and simple queries
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User Support & Communications

Brio Support
General Brio
 

Web & Listserv

http://brio.cit.cornell.edu/ Brio-L For CIT to communicate technical concerns

http://www.research.cornell.edu/RAIS/SponsDW/ http://www.osp.cornell.edu/eRA/listserv.html

Sponsor Data Warehouse

 

Brio Support - SponsDW

Training (this class) E-mail consulting  Send questions to support staff  Use for reporting Brio problems or questions about usage, training, access  osp_whs_feedback@cornell.edu User Group meetings or presentations at Research Admin Round Table will be held as needed
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Sponsored Data Warehouse Overview

What is a Data Warehouse?

Data from one or more sources organized in a format optimized for generating reports. Data is stored in a database (e.g., Oracle) Data can be retrieved using a variety of tools (e.g., Brio or a web portal)
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Data Warehouse Building Blocks

1) Data are collected from various sources
OSP Number = 42947 Principal Investigator = P. COOK Award Function = ORGANIZED RESEARCH Sponsor = NATIONAL SCIENCE FOUNDATION Sponsor ID = 01-34562R CFDA Number = 32.400 Sponsor Type = FEDERAL GOVERNMENT Proposal Sent Date = 10/17/2002 Period of Performance = 6/1/2003 5/31/2006
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Award Amount = $300,000 Department = NUTRITIONAL SCIENCE

Data Warehouse Building Blocks

2) DATA are stored in COLUMNS
OSP # 37623 38241 44782 Sponsor NYS NIH NSF PI J.SMITH P. COOK T. JONES Dept ANIMAL SCI CHEMISTRY MECH ENG Amount $200,000 $1,500,000 $10,750

3) Related COLUMNS are grouped into TABLES

Award/Proposal Investigator Sponsor

GCO

GCO

Data Warehouse Building Blocks

4) TABLES are joined into one or more DATA MODELS using unique identifiers (keys)
Award/Proposal Sponsor

GCO
Sponsor ID OSP Number

Investigator

GCO

GCO

Dept Code

Department

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Sponsored Data Warehouse

- Proposals and Awards
Sponsored Projects Portal Sponsored Data Warehouse
Investigator Sponsor Program F & A Rates Distribution Award Proposal Department GCO Status Group History Deliverable
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Brio

Sponsored Data Warehouse

- With Accounts and Subrecipients
Sponsored Projects Portal Sponsored Data Warehouse
Investigator Sponsor Program F & A Rates Award Proposal Department GCO Status Group History Deliverable
Consultants

Brio

ADW
Accounts
Subcontracts

Distribution

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Where does the data come from?

Extracted from proposal or award documents (e.g. Form 10) Entered by OSP staff into OSP operational data system Loaded nightly (between 7PM and 11PM) into Sponsored Data Warehouse

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Data Access Policy

Can be provided at college, department, PI, project or account level Proposal records access follows data access limits Award records are open to all. Some components (e.g. attached documents) follow data access limits in the Sponsored Portal. Data Access Request Form:
http://www.research.cornell.edu/rais/sponsdw/Access/

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Data Warehouse Availability

Targeted for 99% availability excluding known database maintenance times Actual 6 month average has been at or above this target Maintenance times:
  

Every Saturday 10pm-6am: Cold backups Sunday 6am Noon: Planned system maintenance as needed One or two weekdays/month 5am-6am for OS patches

Reference: https://brio.cit.cornell.edu/UPTIME.html

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Sponsored Portal vs. Brio

Sponsored Portal: A web-based view into Sponsored Projects data, including some Accounting Data Warehouse (ADW) data Data presented in a predefined, fixed format
https://portal.research.cornell.edu or https://my.research.cornell.edu/

Brio: Brio is a general purpose query tool. Brio allows you to organize data in a variety of formats Data is represented as joined tables Pre-formatted "Standard Reports" of data commonly used are also available
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Sponsored Portal vs. Brio

Why Use the Sponsored Why Use Brio: Portal: Look up groups of awards Look up individual awards and proposals based on and proposals based on criteria you define in pre-defined criteria queries Submit new account Present results in a variety request forms, subcontract of formats including charts requests, change requests or pivot tables Save the queries and reports as templates so you can process them as needed
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Sponsored Award/Proposal Data Mart Overview

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Metadata: the data dictionary

Metadata provides individual field definitions Two views available:


All fields are listed by table in the Metadata Report named Columns by Table All fields are listed in alphabetical order, with table indicated, in the Metadata Report named Column Alpha Index

Colored page section in Training Manual Generate updated report with Brio
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Award/Proposal Model
Investigator Sponsor Program Name F & A Rates Distribution Award Proposal Department GCO Status Group History Deliverable

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Award/Proposal Model
Core Table
Investigator Sponsor Program Name F & A Rates Distribution Award Proposal Department GCO Status Group History Deliverable

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Award Proposal Table

Award Proposal specific data (eg):
     

OSP Number Project period Project amount Proposal purpose Award type (grant, contract, FDP, MTA, NDA) Summary financial data

Use Award_or_Proposal field to select only AWARD or only PROPOSAL Database includes current and archived records. Use status codes to limit records included in results.
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Award Proposal Table Project ID coding

OSP number is 5 digit unique identifier that tracks the project from proposal to award Proposal ID starts at P001 and is incremented to P002, P003, etc as award is amended Award ID normally A001, but sometimes incremented Usually none or one pending proposal or active award per OSP number.
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Award/Proposal Model
Lifecycle Tracking Tables
Investigator Sponsor Program Name F & A Rates Distribution Award Proposal Department GCO Status Group History Deliverable

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Project Timeline
(from pending proposal or active award perspective) Past History Table Present Status Group Table Future Deliverables Table

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Status Codes
Defines the current state of an award or proposal Codes designed to be meaningful to users across campus Codes identify many stages in life of project

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Proposal Status Codes

PUDD-PROPOSAL UNDER DEVELOPMENT BY DEPARTMENT: Department has working on proposal, not yet submitted to OSP PAD-PROPOSAL ABANDONED BY DEPARTMENT: Department decided not to submit this proposal PURO-PROPOSAL UNDER REVIEW BY OSP: The proposal is being reviewed. It has not yet been submitted to the sponsor. This is the default status for all new proposal records. PURS-PROPOSAL UNDER REVIEW BY SPONSOR: The proposal has been submitted and is under consideration by the sponsor. This is considered an "pending" proposal. PPA-PRE-PROPOSAL ACCEPTED a pre-proposal was submitted to sponsor and accepted. The full proposal will be track in new record. PNF-PROPOSAL NOT FUNDED BY SPONSOR: The sponsor has notified Cornell that the proposal will not be funded. PW-PROPOSAL WITHDRAWN BY CORNELL: The proposal was withdrawn by Cornell before a funding decision was made. PFUD-PROPOSAL FUNDED UNDER DIFFERENT OSP NUMBER: The project was funded, but different OSP number used. PG-PROPOSAL FUNDED AS GIFT: It was determined that the proposal will be treated as a gift and tracked by Foundation Relations. No award record is created in SponsDW. PA-PROPOSAL AWARDED: The proposal was funded. A proposal record will be maintained in SponsDW, but a new award record has been created. 27

Award Status Codes

ANA-AWARD NOT ACCEPTED: The proposal was accepted by the sponsor, but Cornell has declined to accept it. ANF-AWARD NOT FUNDED: After having initially indicated that the proposal would be funded the sponsor has decided not to fund the project. AIPS-AWARD IN PROCESS BY SPONSOR: The sponsor has indicated that they wish to fund the proposal. AURO-AWARD UNDER REVIEW BY OSP: The sponsor has indicated that they plan to fund the proposal. The award documents are being reviewed by OSP staff. AIN-AWARD IN NEGOTIATION: The sponsor has indicated they plan to fund the proposal. Negotiations are underway on terms and conditions of the award. AIPC-AWARD IN PROCESS BY CORNELL: The sponsor has indicated that they plan to fund the proposal. The award documents are being reviewed by OSP staff other than the assigned GCO or by a Cornell staff member outside OSP. APC-AWARD PENDING COMPLIANCES: The award acceptance is on hold waiting for all compliance requirements to be completed. AS-AWARD SIGNED BY CORNELL: The award documents have been signed by Cornell, but not by the sponsor. ASAP-AWARD SIGNED BY ALL PARTIES: The award documents have been signed by all parties. Notification of the award acceptance has been provided to SFA, the department, the PI and others on campus who need to know. The project work is underway. APA-AWARD PENDING AMENDMENT: The award, previously accepted, is now pending an amendment. ATIP-AWARD TRANSFER IN PROGRESS: The award is being transferred to another university

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Closed Award Status Codes

AAC-AWARD AWAITING CLOSEOUT: The award period has ended, no amendments are pending. OSP is waiting for notification that final deliverables have been provided to the sponsor. ACOSP-AWARD CLOSED BY OSP: The award period has ended and all deliverables have been submitted except the technical report. The hardcopy award file is archived for a period of time specified in the retention period after which time it is destroyed. AC-AWARD CLOSED: The award period has ended and all deliverables have been submitted. The hardcopy award file is archived for a period of time specified in the retention period after which time it is destroyed.

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Status Groups
Because of the complexity and number of codes, OSP uses a number of special terms to refer to groups of statuses:
"Pending Proposal": (status of PURS) The proposal has been submitted and is under consideration by the sponsor. "Pending Award": (status of AIPS, AURO, AIN, AS, APC or APA) The sponsor has indicated that they wish to fund the proposal or amendment. The award documents have not yet been signed. "Active Award": (status of ASAP, ATIP or APA) The award documents have been signed. The project work is underway. There may or may not be amendments under consideration. "Pending & Active Award": (status AIPS, AURS, AIN, AS, AIPC, APC, ASAP, ATIP or APA) The sponsors has indicated that they will fund the award or amendment. The award documents may or may not have been signed. "Pending Proposal or Active Award": (status of PURS, AIPS, AURO, AIN, AS, APC, AIPC, ASAP, ATIP or APA) The project is in some stage of activity by the sponsor, OSP office and/or researcher.

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Status Groups
All Proposals & Awards
PUDD PURO PFUD PA AIN ANA

Pending Proposal & Active Award

Pending & Active Award

AIPS AIPC AURO

ANF

Pending Award
APC AS APA

Pending Proposal
PAD PPA PNF PW PG PURS

Active Award
ASAP ATIP AAC ACOSP AC

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Status Group Table

Project_ID Award_Proposal_Id Status_Code 46291 P001 PURS Proposal Under Review by Sponsor Y N N N Y 45568 A001 AIN 43832 A001 ASAP

Status Pending_Proposal Pending_Award Active_Award Pending_and_Active_Award Pending_Proposal_Active_Award

Award Signed by Award in Negotiation All Parties N N Y N N Y Y Y Y Y

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Project Timeline
(from pending proposal or active award perspective)

Past History Table

Present Status Group Table

Future Deliverables Table

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History Table
Event code and description Date Comment Other event specific fields. Usually those that changed as a result of the event (e.g., mod number, amount, sponsor, PI) There will usually be many events per project

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History Table (cont.)

Types of events recorded
 

 

All status changes Award documents: received/reviewed/ approved/distributed Award change: budget revision/key personnel/no cost extension/scope Award terminated early Compliance use rescinded/reinstated
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Example History Records

Date Code 8/6/2002 RC 8/6/2002 PURS 10/18/2002 PCBR 10/18/2002 PCPP 12/1/2002 PA 12/1/2002 ADR Event RECORD CREATED WITH DEFAULT STATUS STATUS CHANGE: PROPOSAL UNDER REVIEW BY SPONSOR PROPOSAL CHANGE: BUDGET REVISION PROPOSAL CHANGE: PERIOD OF PERFORMANCE PROPOSAL AWARDED BY SPONSOR AWARD DOCUMENT RECEIVED BY CORNELL Comment Status changed from Proposal Under Review by OSP to Proposal Under Review by Sponsor on 8/6/2002

Proposal 36964/P001 rolled into Award 36964/A001

12/2/2002 APC 12/15/2002 ADAB 12/15/2002 ASAP 12/15/2002 ADDB

Status changed from Award Signed By All Parties to STATUS CHANGE: AWARD PENDING Award Pending Compliances because the amended COMPLIANCES award was missing compliance information AWARD DOCUMENT APPROVED BY Brenda Truesdail STATUS CHANGE: AWARD DOCUMENT SIGNED Status changed from Award Pending Compliances to BY ALL PARTIES Award Signed by All Parties on 12/15/2002 AWARD DOCUMENT DISTRIBUTED BY Brenda Truesdail

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Project Timeline
(from pending proposal or active award perspective)

Past History Table

Present Status Group Table

Future Deliverables Table

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Deliverable Table
Identifies what deliverables are required by sponsor
   

Technical Fiscal Patent Equipment

Final report due and sent date are always entered Interim dates may be entered
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Example Deliverable Records

OSP Num 40772 40772 40772 40772

Deliverable Type TECHNICAL FISCAL PATENT EQUIPMENT

Due Date Sent Date Final 9/15/2001 Y 9/15/2001 9/2/2001 Y 9/15/2001 10/19/2001 Y 9/15/2001 9/15/2001 Y

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Award/Proposal Model
Primary Detail Tables
Investigator Sponsor Program Name F & A Rates Distribution Award Proposal Department GCO Status Group History Deliverable

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Investigator Table
Includes PI, CoPIs and Research Fellow Only one PI per proposal/award Use Investigator Role to limit results to PI


Values are PI, CO and FE

Without PI limit, may return multiple records per project Data elements include name, netid, home department, college
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Example Investigator Records

Invproj Project Id 35559 43563 43563 43563 46212 46212 46212 46212 46212 Invproj Full Nam e MCDONOUGH, SEAN P CHANG, YUNG-FU MCDONOUGH, SEAN P SHIN, SANG J CHANG, YUNG-FU MCDONOUGH, SEAN P MOHAMMED, HUSSNI O SHIN, SANG J STEHMAN, SUSAN Invproj Investigat or Netid SPM13 YC42 SPM13 SJS22 YC42 SPM13 HOM1 SJS22 SMS14 Invproj Investigator Role PI PI CO CO PI CO CO CO CO

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OSP Department Table

Department administering the award. May be different than PI s home department Department contains long and short department name and associated college Department code equal to three character accounting department code
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Sponsor Table
Identifies primary sponsor of project Sponsors are stored in 3 level hierarchy
 

DHHS/NIH/NIAID NYS/DEC

Sponsor type (Fed Govt, Non-profit, Corporate) General contact information is sometimes available for small sponsors
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Sponsor Table

Usage

In reports display sponsor name, sponsor abbreviation or all levels field. In limit use Sponsor_Name_and_all_Levels with contains to maximize chance of match on either full name or abbreviation In limit use 3-tier hierarchy levels for exact match on specific subsponsor (e.g., Sponsor_Level_2 = NIH returns all NIH regardless of institute) Sponsor name/abbreviations may be different from what you use. Use the sponsor code lookup table to find match for setting limits.

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Example Sponsor Data

Sponsor Nam e US DEPT OF HEALTH & HUMAN SERVICES CENTER FOR DISEASE CONTROL, DHHS NATL INST FOR OCCUPATIONAL SAFETY & HEALTH, CDC FOOD & DRUG ADMINISTRATION, DHHS NATL INST OF HEALTH, DHHS NATL INST OF ALLERGY & INFECTIOUS DISEASE, NIH NATL INST OF DEAFNESS & OTHER COMM DISORDER, NIH Sponsor Abbreviation DHHS CDC NIOSH FDA NIH NIH NIAID NIH NIDCD Sponsor Level 1 DHHS DHHS DHHS DHHS DHHS DHHS DHHS Sponsor Level 2 CDC CDC FDA NIH NIH NIH NIOSH Sponsor Level 3

NIH NIAID NIH NIDCD

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Program Name Table

Individual sponsor programs that have been designated for special tracking by OSP
  

Major Research Instrumentation (NSF) National Research Service Award (NIH) National Research Initiative (USDA)

OSP will be tracking more programs in the future.

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Award/Proposal Model
Additional Detail Tables
Investigator Sponsor Program Name F & A Rates Distribution Award Proposal Department GCO Status Group History Deliverable

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GCO Table
GCO = Grant and Contract Officer The official OSP contact for the project Provides full name, netid and phone for OSP contact See Sponsored Portal or staff responsibilities on OSP web site for Administrative Assistant contacts by department (http://www.osp.cornell.edu/Contacts/)
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Facilities Admin Cost Rate Table

Includes one or more F&A rate per award Rate (as percentage) Budget year (1, 2, 3, etc) Function Location (on campus, off campus, Geneva) Type (endowed, contract college, NIAC)
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Example F&A Records

OSP 41705 41705 41705 41705 41705 41705 41705 41705 41705 41705 R 59 26 59 26 59 26 59 26 59 26 B dg Y 1 1 2 2 3 3 4 4 5 5 c o RESEARCH RESEARCH RESEARCH RESEARCH RESEARCH RESEARCH RESEARCH RESEARCH RESEARCH RESEARCH Loc o ON CA P S OFF CA P S ON CA P S OFF CA P S ON CA P S OFF CA P S ON CA P S OFF CA P S ON CA P S OFF CA P S R y CONTRACT COLLEGE CONTRACT COLLEGE CONTRACT COLLEGE CONTRACT COLLEGE CONTRACT COLLEGE CONTRACT COLLEGE CONTRACT COLLEGE CONTRACT COLLEGE CONTRACT COLLEGE CONTRACT COLLEGE

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Distribution Table
List of who needs to be notified of any award changes Some distribution listings are automatic (e.g. PI and department contact(s)) Some distribution listings are added for specific awards as needed OSP can add to distribution list on an award or department level on request
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Summary Comments

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Current Brio Models:

Award/Proposal Subcontracts Sponsored Accounting Consulting Agreements

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Summary
Sponsored Data Warehouse contains basic proposal, award and subrecipient information Common source for both Sponsored Portal and Brio Brio allows sophisticated (and simple) reports to be generated
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Workshop Agenda
1. Introductions & Logistics 2. Review of Workshop Manual Contents 3. Data Overview (PowerPoint)
a) b) c) d) User Support & Communications Data Warehouse Overview Award/Proposal Data Mart Overview Subcontract Data Mart Overview

Break 4. Hands-on intro to Brio, Sponsored standard reports and simple queries
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Sponsored Subcontract Data Mart Overview

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Subcontracts
When the portion of effort being performed by a third party constitutes a substantive component of the sponsored program, the third party is required to provide the resources and personnel necessary to conduct that portion of the work as an independent contractor.
Office of Sponsored Programs Subcontracting Procedures (http://www.osp.cornell.edu/Policies/sub-proc.html)

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Subcontracts
A subcontract is always associated with a single prime award Some prime awards have many subcontracts Subcontractors are usually other colleges, universities or research institutions Other subcontractors include government agencies and individuals Subcontract management is guided by OMB Circular A-21
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Consulting Agreements
Consulting agreements are separate from subcontracts, but structured nearly identically to subcontracts Not covered here, but same information can be applied to consulting agreement documents published in Brio

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Subcontract Model

Prime Project Summary Subcontract History

Subcontractor Profile

Status Group

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Subcontract Table
Subcontracts do not have proposals, but Subcontracts may have one or more amendments.


 

Never more than one amendment with status signed by all parties Possible multiple pending amendments Superceded amendments are stored in an archive table (not yet available via published Brio models)

Data elements include those entered in subcontract request plus others added by GCO
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Active and Pending Subcontract Status Codes

SIPC-In Process by Cornell SIN-In Negotiation SPC-Pending Compliances SS-Signed by Cornell SSAP-Signed by All Parties SPA-Pending Amendment

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Closed Subcontract Status Codes

SAC-Awaiting Closeout SC-Closed SNA-Not Accepted SNF-Not Funded

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Subcontract Status Groups

Because of the complexity and number of codes, OSP uses a number of special terms to refer to groups of statuses:
Pending Subcontract": (status of SIPC, SIN, SPC, SS or SPA) The department has requested a subcontract. The subcontract (or follow-on amendment) is in process. "Active Subcontract": (status of SSAP) The subcontract documents have been signed. The project work is underway. There may or may not be amendments under consideration. "Pending & Active Subcontract": (status of SIPC, SIN, SPC, SS, SPA or SSAP) The sponsors has indicated that they will fund the award or amendment. The award documents may or may not have been signed.
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Subcontract Status Groups

Subcontract Status IN PROCESS BY CORNELL IN NEGOTIATION PENDING COMPLIANCES SIGNED BY CORNELL SIGNED BY ALL PARTIES PENDING AMENDMENT AWAITING CLOSEOUT CLOSED NOT FUNDED NOT ACCEPTED Code SIPC SIN SPC SS SSAP SPA SAC SC SNF SNA ending ending Active & Active Y N Y Y N Y Y N Y Y N Y N Y Y Y Y Y N N N N N N N N N N N N

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Subcontract Status Groups

All Subcontracts Pending & Active Subcontracts
SNA SNF

SIN

SIPC

Pending Subcontracts
SPC SPA SS

Active Subcontracts
SSAP SAC SC

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Subcontractor Profile Table

Includes: Subcontractor name (2 levels) Contact information FDP indicator Source (Fed Govt, NYS, Corp, Non-profit) Various classifications (Small business, HBCU,
veteran, individual)
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Prime Project Summary Table

Provides linkage to prime award information Contains most common prime award data elements that might be required for a query
     

Principal Investigator Department Sponsor Sponsor source Prime amount and time period Prime status

There is a single prime project record per subcontract.

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Subcontract History Table

Event code and description Date Comment Other event specific fields related to budget and time period changes There will usually be many events per subcontract
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Summary Comments
Prime Project Summary Subcontract History Status Group Subcontractor Profile

Subcontract Data Mart can be used to monitor activity within your area Reports have been provided to assist you in using the information
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