Welcome!

Office of Research Administration (ORA)
Faculty Orientation
September 17th, 2013

Who Are We??
 
THE OFFICE OF RESEARCH ADMINISTRATION

The mission of the Office of Research Administration (ORA),
under the Senior Vice President for Finance and Administration, is
to provide administrative support to research faculty in the form of
proposal preparation, contract and grant administration, billing
sponsors and managing accounts receivable, and closeout of
expired research projects. ORA also provides training to faculty
and staff, initiates and implements policies and procedures, serves
as a liaison with sponsors and regulatory agencies and ensures
compliance with all Federal and State regulations.

!  WEB SITE: http://inside.mines.edu/Research_Administration

OFFICE ORGANIZATION
!  PROPOSAL PREPARATION

!  CONTRACT/SUBCONTRACT NEGOTIATION

!  AWARD ADMINISTRATION

!  BILLING, RECEIVABLES AND EFFORT REPORTING

Office of Research Administration
September 2013
Ralph Brown
Rita Kowalski
Director Office of Research
Administrative
Jean Starling
Administration
Assistant
Temporary Aide
Johanna Eagan
.5 FTE
Contracts & Research
Compliance
Administrator
Michele Land
Debbie Rickaby
Contracts/PreAward
Post Award Manager
Manager
Eleanor Maes
Barbara Schneider
Consortium &
Sharon Dehmlow
Lisa Martinez-
Grant Billing
Monica Hensen
Christina Reveles
Compliance
Proposal Manager
Conover
Administrator
Grant Administrator
Grant Administrator
Administrator
Grant Administrator
Roberta Lott
Vacant
Karen Haines
Proposal &
Proposal Analyst
Proposal Analyst
Subcontract Analyst

ORA BASICS - PROPOSALS
!  IDENTIFY FUNDING OPPORTUNITIES
CSM SUBSCRIBES TO GRANT FORWARD
ORA WEB SITE WITH LINKS TO SPONSORS
!  REVIEW PROGRAM ANNOUNCEMENTS AND PROPOSAL GUIDELINES
PREPARE TERMS AND CONDITIONS LETTER
!  ASSIST WITH PROPOSAL PREPARATION
WEB SITE WITH LINKS TO PROPOSAL/GRANT WRITING TIPS
!  PREPARE BUDGETS, SPONSOR FORMS
!  PROVIDE LIASON WITH OTHER DEPARTMENTS
CONFLICT OF INTEREST
BUDGET EXCEPTIONS
COST SHARING
COMPLIANCE
HUMAN SUBJECTS RESEARCH
!  SIGN, PACKAGE, SUBMIT YOUR PROPOSAL
!  FOLLOW UP WITH SPONSOR

ORA BASICS – CONTRACTS AND
SUBCONTRACTS
!  RECEIVE, NEGOTIATE, SIGN AWARDS
!  COORDINATE RESPONSE TO UNUSUAL TERMS AND
CONDITIONS
PAYMENT AND DELIVERABLES SCHEDULE
PUBLICATION RESTRICTIONS
PROPRIETARY INFORMATION
INTELLECTUAL PROPERTY TERMS
!  PROVIDE LIASON WITH SPONSORS
!  INITIATE AND NEGOTIATE SUBCONTRACTS
!  NON-DISCLOSURE AGREEMENTS - NDA’s


ORA BASICS – AWARD ADMINISTRATION
!  PROJECT SET UP
!  CONSORTIUMS
!  PI CHANGES
!  SOW CHANGES
!  STUDENT CONTRACT APPROVALS
!  TRAVEL APPROVALS
!  PROPERTY APPROVALS
!  PURCHASE ORDER APPROVALS
!  NO COST EXTENSIONS
!  REVIEW AND PREPARE COST TRANSFERS
!  MONITOR PROJECT EXPENDITURES FOR ALLOWABILITY
!  CLOSE OUT (FINANCIAL, TECHNICAL, PROPERTY, IP)


ORA BASICS – BILLING, RECEIVABLES,
& EFFORT REPORTING
!  INVOICE SPONSORS
COST REIMBURSABLE
FIXED PRICE
!  PREPARE INTERIM FINANCIAL REPORTS
!  CASH MANAGEMENT
! 
LETTER OF CREDIT
! 
RECEIVABLES AGING
!  EFFORT REPORTING

BUT WAIT…..THERE’S MORE!!
!  PROVIDE LIASON TO:
! 
INTERNAL/EXTERNAL AUDIT AGENCIES
! 
TECHNOLOGY TRANSFER
! 
LEGAL SERVICES
! 
PROCUREMENT SERVICES
! 
PAYROLL

!  CONSULT ABOUT:
! 
UNUSUAL AGREEMENTS ( MTA’S, MOU’S, etc.)
! 
BUSINESS PRACTICES
! 
SPONSOR RELATIONS
!  MAINTAIN DATABASES

!  REPORT ON:
! 
MONTHLY PROPOSALS/AWARDS
! 
ANNUAL SPONSORED ACTIVITY
! 
COLLEGE AND DEPARTMENT ACTIVITY


WHAT A YEAR!!

! NUMBER OF PROPOSALS: 477
! VALUE OF PROPOSALS:
$177 MILLION
! VALUE OF AWARDS:
$61.8 MILLION
! NUMBER OF AWARDS
606



Research Trends 10 year history
Total Award Volume
$70,000,000
$60,000,000
$50,000,000
$40,000,000
$30,000,000
Dollars
$20,000,000
$10,000,000
$-
FY04
FY05
FY06
FY07
FY08
FY09
FY10
FY11
FY12
FY13
Fiscal year



ORA Proposal Preparation

New Faculty Orientation

September 17, 2013


The Proposal Team….
Sharon Dehmlow, Proposal Manager
Phone: (303) 273-3411

Email: sdehmlow@mines.edu
Karen Haines, Proposal Analyst
Phone: (303) 273-3910
Email: khaines@mines.edu

Roberta Lott, Proposal Analyst
& Subcontract Administrator
Phone: (303) 384-2569
Email: rlott@mines.edu



WORKING ON A PROPOSAL?
PLAN AHEAD…

!  Cost Sharing
!  Indirect Cost Exception
!  Subcontracts
!  Human Subjects



COST SHARING
WHAT IS IT??
CASH - This can be provided by:
1. 
the PI (from a discretionary
!  It is the addition of CASH
account, start-up funds, etc.)
or IN-KIND contributions
2. 
the department (overhead
return),
to the project by either the
3. 
by a center (overhead return), or
submitting institution or by
4. 
by third parties.
a third party.

IN-KIND – Examples are…
academic year effort plus fringe
and overhead, or services for which
we normally charge fees. It can also
come from third parties in the way
of services or data.


Why Do We Do It?
We provide cost sharing to a proposal if the sponsor requires it. They usually
request that we “share” in the cost of the project or provide cost value.
CSM prohibits voluntary cost sharing in most cases.


CSM may allow cost sharing IF:

!  Budget limitations imposed by sponsor do now allow for PI or Co-PI
effort. ORA then allows in-kind contributions of effort.
!  Budget constraints do not provide for full coverage of a student; therefore
the PI can provide cash to cover the costs.
!  The sponsor limits the amount they will provide for tuition and fees (as in
educational programs); graduate school is usually contacted for assistance.

WHAT SHOULD I DO IF I HAVE
COST SHARING?









Contact your Department Head for

help in determining what is

available and appropriate.






Once you know what you want to


provide, contact ORA to


obtain help in budgeting the cost
sharing.


Then What Happens??

You and your Department Head will sign the Cost
Share form provided by ORA. ORA will document all
of your cost sharing in the proposal check-off sheet.

ORA requires a signed letter authorizing cost share
commitment from 3rd parties.


Once you commit cost sharing in the
proposal, it is MANDATORY!


Cost
Share
Form

INDIRECT COST EXCEPTION
WHAT IS IT?
WHAT DO I DO?
This occurs when a sponsor
You need to email your
mandates a lower indirect cost
Department Head and get
rate than our on-campus rate,
approval for the exception.
currently at 50%.

Can I ever request lower indirect costs just to
help me with my budget?

No, not usually. Sometimes exceptions are made in special
circumstances but are rare. In other words, don’t count on it!


SUBCONTRACTS

If you have any subcontracts in your budget, ORA will need a proposal
from them prior to proposal submission:


CSM sub-recipient form signed by official

Detailed budget

Budget justification

Statement of work

The sponsor may require additional forms, certifications, etc., specific to
the sponsor.

Remember, we overhead only the


first $25,000 of each subcontract in a budget.




S
u
b
c
o
ntract
F
orm

HUMAN SUBJECTS

If you have, human subjects
involved in your proposal,
contact Johanna Eagan in ORA
at ext. 2589.


Rules to Live By…..
!  Research means a systematic investigation, including research
development, testing and evaluation, designed to develop or contribute to
generalizable knowledge.

!  (This includes classroom activities if you intend to publish the results)
!  Human subject means a living individual about whom an investigator
(whether professional or student) conducting research obtains

!  (1) Data through intervention or interaction with the individual, or
(2) Identifiable private information.
!  If you are going to perform any human subject research, you must have
IRB Approval before work begins. To initiate this process, send a
completed application to humansubjects@mines.edu

HOORAY for BUDGETS

WHAT DO I NEED TO PROVIDE
TO ORA?
!  A completed proposal information form
!  A budget in the standard CSM format
!  A detailed budget justification
!  A copy of the solicitation, if applicable, or web link
!  A technical proposal or statement of work
!  Subcontract documents
!  Other documents as required by the sponsor


S
olicitation

Proposal Information Form


Budget


Budget Justification

Statement of Work


A statement of work
(SOW) is a formal
document that captures
and defines the work
activities, deliverables,
and timeline a vendor
must execute in
performance of specified
work for a client.

Your proposal analyst will:
!  Check or create the budget
!  Read the solicitation/instructions
!  Create internal documents for
signatures
!  Fill out sponsor forms/submission
packages
!  Check subcontract documents, if any
!  Obtain administrative signatures
!  Assist with electronic submission or
submit proposal by other means

Questions???

RESEARCH DATA MANAGEMENT
What is it? What do I need to do?
2013E09E17%
%
Katy%Ginger%
Research%Data%Services%
Office%of%Research%and%Technology%Transfer%
ginger@mines.edu% % ext.%3681% % %

Nature of Research: Data and Complexity
Surface Energy Flux
Hydrology
Carbon/Nitrogen
Cycling
‣  Research problems are
increasingly
interdisciplinary &
complex
‣  Col aboration requires
open sharing of data
Urbanization
‣  Data are highly
Land Use &
Change
heterogeneous and
largely incompatible in
Vegetation
Dynamics
their native formats
‣  Data is digital
Bonan (2009)
Permafrost

Nature of Publishing: A Rethink
‣ Your publication is
advertising for the
science contained
therein
‣ Contains only a
portion of the
results, data, figures,
code or software
from your
Copyright:%American%Meteorological%Society%
investigations

U.S. Government Directive & Public Access

New$Requirements$Placed$on$Research$Data$
“…. unclassified research supported whol y or in part
by U.S. Government funding should be stored and
publicly accessible to search, retrieve and analyze.”

(February 22, 2013)


Internal & External Drivers
OSTP, NSF, OMB &
CSM Strategic Plan
Federal Agencies
Require access to
federally funded
Strategic Area 2: Enhance
scientific research
Mines’ distinction as a

research institution
Other Institutions

May require access (i.e.
Strategy 1: Foster faculty
publishers, community,
and staff development in
col aborators)
scholarly activities…


Research Data Defined
‣ Factual info to support & validate research findings
‣ Analog or digital
‣ Observational, numerical or in-situ
‣ Imagery, audio or output from equipment
‣ Created from experiments or gathered as part of
projects, surveys or other means
‣ Includes physical col ections & software
‣ Col ected by you or others

Research Data Management
Active and ongoing
col ection, organization, care-taking & preservation
of research data through its lifecycle of interest and
usefulness to scholarship, science and education.

With the end goal of discovery, retrieval and reuse
for new science, education and even general public
interest.

Why Care About Research Data Management
Researcher (YOU)
Institution (MINES)
‣  Achieve greater research
‣  Enable leading-edge
outcomes & impacts
research & spur economic
‣  Safe guard data
activity
‣  Deal with the data deluge
‣  Achieve Mines research

aspirations
  Facilitate col aboration &
reuse
‣  Increase research outcomes
‣  Validate research
‣  Reduce legal risk & data loss
‣  Provide accountability &
‣  Attract best researchers
transparency (research
‣  Attract more research $$
chain- data to publications)
‣  Enable future access by
‣  Conform to institutional,
today’s actions
publisher & funder policies
‣  Conform to funder’s policies

%%





Researcher

Data Timeline

Responsibilities
‣ Proposal: use DMP template and include data
col ection, storage and management costs
‣ Active project: plan for data col ection,
management, retention and sharing; develop a
backup plan
‣ End of project: deposit/share data, enable
discovery by providing data descriptions
‣ NOTE: DMPs apply to NSF grants but are expected
to apply to al federal agencies soon





With My

What do I Need to Do? Students
‣ Data management: provide or work with Research
Data Services to develop data organization and
backup methods (e.g. filenaming conventions)
‣ Digital data: use the supplemental file mechanism
to associate data with a theses/dissertation
‣ For physical samples: ensure proper storage
within your department and provide information
how one might access the samples

Where Can I Store My Data?
‣ Mines Institutional Repository: data, software,
posters, reports, theses/dissertations; $1000/TB
‣ Own Server Hosted by CCIT: buy own server and
CCIT can host but CCIT does not provide system
administration
‣ Other Repository: discipline or other institutional
or publisher repository; fol ow their policy and
procedures
‣ Cloud Services: purchase services from a provider
and fol ow their policy and procedures

Why Deposit to a Repository (Mines or Other)?
‣ Ensures public access - as required by NSF or NIH
‣ Ensures safety - won’t walk off campus with
students
‣ Ensure against deletion - accidental or future
purging of files
‣ Enables sharing – with students, col eagues and
other institutions
‣ Enables data citation – assigned DOIs or handles
al ow you to reference data within publications

Immediate Tips – Proposal Stage
‣ Proposal process is more competitive
‣ Top proposals do science wel ; a good DMP could
give your proposal the edge
‣ Use NSF DMP template:
http://rds.mines.edu/RDS-templates
‣ Get assistance writing a DMP. Sample plans:
http://rds.mines.edu/RDS-example-plans
‣ Complete proposal 2 weeks prior to deadline
(DMP, complex budgets, subcontracts)

Immediate Tips – Storage, Share, Students
‣ Check if you department has existing servers for
data storage and organization; use network drives
‣ Deposit data, publications with Mines Repository
‣ Develop data management procedures for
common use by your grad students
‣ Encourage students to attend Data Management
Tips seminar (TBD)
‣ Express your needs:
https://www.surveymonkey.com/s/8VM6CYZ

Mines Repository
publish.mines.edu

Full-View of an Item

Who Can Help Me?
Katy$Ginger$
Research%Data%Services%
Office%of%Research%and%Technology%Transfer%
ginger@mines.edu%
phone:%3681,%locaNon:%Library%266EA%
web:%hRp://rds.mines.edu%
%Services:%data%plans,%training,%organizing,%share/
deposit,%data%citaNon,%insNtuNonal%publishing%

Office of
Research
CONTRACTING AND Administration
Faculty
SUBCONTRACTING Orientation
2013

ORA CONTACTS
!  Michele Land, PreAward/Contract Manager
303-273-3405
mland@mines.edu

!  Johanna Eagan, Contract and Compliance
Administrator

303-384-2589
jeagan@mines.edu

!  Roberta Lott, Subcontract Administrator
303-384-2569
rlott@mines.edu

If you receive award documents from a sponsor,
please send them to: awards@mines.edu

FEDERAL GRANTS
!  Grant – Project is implemented independently of the
Sponsor, and there is no anticipated involvement between
the Sponsor and Recipient during performance of an activity.

!  Cooperative Agreement – Substantial involvement is
anticipated between Sponsor and Recipient during the
planning and performance of the activity.

Federal Grant and Cooperative Agreement Act
31 USC 6304 6305


FEDERAL GRANTS
! “Financial Assistance”

! Governed by 2 CFR 220 (formerly A-21) and 2 CFR
215 (formerly A-110)

! CSM granted Expanded Authorities Under 2 CFR 215
!  One-time 12 month no-cost extension
!  Budget deviation thresholds
!  90-day pre-award spending

CONTRACT BASICS: DEFINITION
Contract
"  Principal purpose is to acquire specific property or services
for direct benefit or use of the sponsor;
"  Sponsor prepares the Scope of Work;
"  Often called a “procurement mechanism” or referred to as an
acquisition.

BEWARE, contracts can be challenging in a number of ways:
! 
more time consuming to negotiate
! 
more complex to administer because they are governed by
specific terms and conditions
! 
require specific standards of performance
! 
legally binding
! 
involve cultural and legal issues of foreign sponsors

CONTRACT BASICS: TYPES
! Memorandum of Understanding
! Letter Agreements
! Teaming Agreements
! Standard Research Agreements
! Purchase Orders
! “Consulting” Contracts
! Grants with terms and conditions
! Others: NDA/CDA, MTA, Data Use Agreements

Remember! It is the content of the agreement that will
determine if it is a contract, not the title!


CONTRACT BASICS: FUNDING MECHANISMS
! Fixed-Price: A firm-fixed-price contract provides for a
price that is not subject to any adjustment on the basis of
the contractor’s cost experience in performing the contract.
This contract type places upon the contractor maximum risk
and full responsibility for all costs and resulting profit or
loss. It provides maximum incentive for the contractor to
control costs and perform effectively and imposes a
minimum administrative burden upon the contracting
parties.
(FAR Part 16.2)

CONTRACT BASICS: FUNDING MECHANISMS
! Cost Reimbursement: Cost-reimbursement types of
contracts provide for payment of allowable incurred costs, to
the extent prescribed in the contract. These contracts
establish an estimate of total cost for the purpose of
obligating funds and establishing a ceiling that the contractor
may not exceed (except at its own risk) without the approval of
the contracting officer.
(FAR Part 16.3)


CONTRACTS: ACCEPTANCE
!  Contracts must be negotiated in accordance with
federal and State law, School policy, and specific
project needs.

!  Contracts previously negotiated with an
organization may be a good starting point, but may
not be appropriate for new work, and should be
carefully reviewed.

!  Only fully-executed contracts can be assigned a
fund number


CONTRACTS: COMMON DELAYS
! Proposal not submitted through ORA

! Revised budget required

! Unacceptable terms and conditions that require
negotiations

! Compliance concerns (i.e. export, human subjects,
conflict of interest, cost share)

! Contract received unsigned by Sponsor

CONTRACTS: TROUBLESOME CLAUSES
!  Financial Terms and Reporting
!  Payments
!  Scope of Work
!  Deliverables: Inspection and Acceptance
!  Publication Restrictions/ Nondisclosure
Requirements
!  Intellectual Property Rights
!  Export Control
!  Protection of Students
!  Termination
!  Audit
!  Indemnification

PRE-AWARD AT-RISK ACCOUNTS
! Federal grants with expanded authorities include
automatic authorization for 90 day pre-award
spending
! Pre-award spending on contracts requires explicit
authorization from Sponsor

! To request an At-Risk Account, please complete the
Request for an At-Risk Account Form (on our website)
and return it to ORA for processing

SUBCONTRACT BASICS: DEFINITIONS
!  Vendor:
!  Provides “off the shelf” goods/services
!  Provides goods/services to multiple purchasers
!  Operates in a competitive environment
!  Not subject to research compliance obligations

!  Consultant:
!  Individual
!  Specialized, highly technical, temporary services
!  Unsupervised by PI
!  “work for hire”

!  Subcontractor:
!  Independent 3rd party
!  Performs substantive programmatic work
!  Significant intellectual contribution to the project
!  “Collaborative” process
!  Subject to research compliance obligations


SUBCONTRACTS: CSM PROCESS
1.  PI identifies subcontractors at proposal stage
2.  Once prime award is accepted by CSM, PI
completes “Information required for a Subcontract”
AND Purchase Requisition and submits to ORA
3.  ORA prepares subcontract and submits to
Subcontractor with applicable prime award flow-
down terms
Additional information requested from Subcontractor (i.e. A-133
Certification, W-9, Rate Agreements)
4.  Subcontract review and negotiations (if necessary)
5.  Subcontract execution

SUBCONTRACTS: COMMON DELAYS
! Request to Issue Subcontract not submitted by PI

! Incomplete information from PI

! Incomplete information from Subcontractor

! Negotiations of terms and conditions
!  FARs, Intellectual Property, State of Colorado Special Provisions, etc.

! Prior Approval to enter into a subcontract required by
prime award

Post Award Management


!  Debbie Rickaby – Post Award Manager and
Grant Administrator
!  Lisa Martinez Conover – Grant
Administrator
!  Christina Reveles – Grant Administrator
!  Monica Hensen – Grant Administrator &
Closeout Specialist


Award management is a shared responsibility between the principal investigator
& ORA.

! 
Al owable costs are determined by the Grant or Contract Terms
! 
What are al owable costs?
◦  OMB circular A-21, “Cost Principles for Educations Institutions” defines al owable as:
! 
REASONABLE-A prudent business person would have purchased this & paid this price. It must be
necessary for the performance of the research
! 
ALLOCABLE – It can be assigned to the activity on some reasonable basis & the assigned costs benefits
the project.
! 
CONSISTENTLY TREATED – Like costs must be treated the same in like circumstances. A cost is either a
direct cost to the project or is al owable as a F&A cost which is paid for by the indirect cost paid by the
sponsor



!  Responsible for al aspects of the sponsored
project administration, both technical and financial.
◦  Al research and technical reporting
◦  Monitor Project Period of Performance
◦  Monitor Budgets & Balances includes Cost Share
◦  Closeout Memo (example in folder)

!  Reviews the fol owing for compliancy to award terms
and conditions and institution policies and procedures:
◦  Travel authorization & expense forms (TA & TE)
◦  Purchase Requisitions
◦  HR salary implementation contracts
◦  Interdepartmental Sales & Service forms (ISSV)
◦  Journal Entries & Salary Real ocations
(examples of above in folder)
!  Prepares and submits financial reports as required by
contract or grant.
!  Assists PI’s with financial & compliancy questions.


!  Document, Document, Document!
◦  Bottom line: Complete files protect you in an audit.
◦  Should have receipts with enough detail to support
the charge.
◦  Written explanation of how the expense benefited
the project

Travel Forms must be turned
in prior to traveling on any
research project. Forms are
Verify if you have domestic or foreign travel budgeted
located on Travel website
Within Start date of prjt
Within End date of prjt
under Control er’s Office.
!  TA
Please indicate reason for travel and how it pertains to
(Travel Approval)
the project for which you are working .
! 
Must have prior approval
before travel can be taken.
! 
Any travel charged to a
470053
research project without prior
approval could be at PI’s risk.
! 
Important to submit first
!  TE (Travel Expense)
! 
TA must be attached along
with back up paperwork
provided by Travel.
! 
Index/Fund No. cannot be
changed from original TA
without resubmittal of a new
TA.


Employee contracts are located
on the CSM Website under
Human Resources and
Graduate Office.
Contracts are fil ed out by
PI and their dept. which
then are submitted to HR
for ORA approval.
Types of Contracts:
• 
Academic Faculty
• 
Research Faculty
• 
Graduate Student
• 
Hourly Student
Important – Please check funding
470053
Must be within the projected
Check
availability and dates before submitting
time frame of the project
Avail.
a contract to prevent delay with pay.
Fund’g

470053

Things to Consider:

•  Do you have
equipment budgeted?
•  Do you have enough
funding in your
budget?

•  Is your equipment
fabricated or does it
stand alone?
Fabricated = 5909
Equipment = 5906
(questions can be directed to Matt
Roach, Plant Fund Accountant)


!  ISSV/ Interdepartmental Sale/Service
Voucher


!  For approved service centers, poster
printing, air/gas charges and SPACE
services. Sel ing department wil provide
Fund and invoices for sale/service.
!  Invoices must be included with the ISSV
in order for the expense to be
approved( except for posters)
!  Not to be used in place of the cost
transfer form, these are for sales and
services on campus only.

Most commonly
requested for non-
budgeted Items such as:
470053- 22000-
1200

•  Computer(s)
•  Laptop(s)

Forms are provided on ORA
website or by Grant Admin.
Approval required by Fund
Manager and ORA Director
before purchase can be made.

!  Cost Transfer/Journal Entry (after the fact
real ocation of costs)
!  CSM Cost Transfer Policy (90 days from the date
of original charge)

(Go to InsideMines.edu and type “Cost
Transfer Policy into the search box” )
!  Must meet al owability criteria 



•  Correct Index Codes
•  Correct Account Codes
•  Clear Descriptions
•  Detailed reason for
change
•  Backup!
DON’T

Forget
a) must be trailhead/eprint
BACKUP
copies of credit card
Documents!!!
receipts or emailed
receipts wil not be
accepted.

Index/Fund No. is
assigned once the award
has been finalized
through the contracts
and proposal stage
beginning with the
number 4 fol owed by
the agency:
0 = Federal
3 = State
5 = Private Domestic
7 = Private International
Also Includes:
• 
IDC Rate
• 
Sponsor Contact
• 
Tech. Contact
• 
Billing Terms/Address
• 
Deliverables
• 
Equipment Budgeted
• 
Other Provisions
• 
Type of Award (Fixed
or Cost Reimbursement)

!  Self Service Banner (SSB)
!  Eprints
!  Internet Native Banner (INB)
!  Examples of each of these are in your folder.

!  Trailhead
!  Self Service
!  Finance
!  Budget
!  Queries
Mastering the use of
Self Service Banner takes
Practice. Schedule an
Appointment with your
Grant Admin or sign
Up for classes!

"  Trailhead/Self Service/
Finance/
eprints
" Labor distribution reports
" Fund balance checkbook
detail
" Inception to date
Like the previous option
this option takes time to
master.

Cal your Grant
Administrator and set up
a tutorial session or sign
up for classes when they
are available.

"  This is the
financial system
used by
administration
"  If you are
interested in
utilizing this
system please fil
out the Banner
Finance System
application found
on the control ers
office website.

!  Barbara Schneider – Grant Bil ing Administrator
!  Invoicing
!  Col ections

!  Eleanor Maes – Consortium Administrator
!  Consortium Management
!  Payment Drawdowns
!  Time and Effort Reporting Manager
!  Cost Share Monitor

!  Invoice sponsor according to the bil ing
instructions in Contract or Grant
!  May require interaction with PI as some invoicing is
dependent upon deliverables.
!  Records Payments from Sponsors
!  Payment may be dependent on deliverables
!  Reconciles payment differences between
Sponsors and CSM
!  Col ects delinquent balances from Sponsors

!  Federal y-mandated Time & Effort Certs are the Government’s
means of verifying this sponsor-financed promised work,
!  These Certification wil be sent to you for review & signature after
each semester & must be returned to ORA within 30 days.
!  The Government has a mandated a timeframe for returning the
signed Certifications, so please take this seriously .
!  Signed by a person with first-hand knowledge(Employee, PI, Dept
Head or Co-PI.
!  If errors of +/- 5% don’t sign and contact ORA.

!  Cost share is the portion of total project costs borne by sources other
than the sponsor and has become an increasingly common aspect of
project funding
!  Cost share may be in the form of cash, in-kind, third party, or al three.
Details of cost share wil be clarified through the proposal process.
!  It is the responsibility of the faculty to keep track of the promised cost
share.
!  CSM has an internal form which wil be sent to you by ORA in accordance
with the policy of the sponsor. This serves as an aid to tracking your
cost share.
!  Some sponsors require monthly reporting of cost share, others require
reconciliation at the end of the project. ORA wil assist with this.

!  Closeout emails are electronical y generated and
emailed based upon the end date of the award.
!  90, 60, 30 day pre closeout reminders
•  0, 30, 60, 90, 120 day, etc. after end of project
!  Closeout memos accompany the electronic
emails. Must be returned to ORA to ful y close
the award.

(examples in folder)

This notice is being sent to inform you that cost reimbursement contract CSM Grant #400xxx with
Sandia National Laboratories has an expiration date of 09/30/2013.
As of this expiration date, al technical work should be complete. Al costs related to the work
should be incurred and recorded in the accounting system. These requirements are stipulated by
sponsor terms and conditions.
  In order to initiate the project closeout, please mark and complete the applicable items on the
Closeout Memorandum at the link at the end of this email.
  Once complete please return the memorandum to your Grant Administrator in the Office of
Research Administration within two weeks of the above date.
  The financial status of this project is located on the attached report. If the expenditure amounts
are incorrect, please contact your Grant Administrator.
  Thank you,
Office of Research Administration
    CLOSEOUT MEMORANDUM:
http://inside.mines.edu/UserFiles/File/finance/researchAdmin/Closeout_Memo.pdf