1. 1 SPONSORED PROJECTS BRIO TRAINING bri·o n. - vigor, vivacity (source: dictionary.com)

2. 2 Workshop Agenda 1.Introductions & Logistics 2.Review of Workshop Manual Contents 3.Data Overview ( PowerPoint ) a)User Support & Communications b)Data Warehouse Overview c)Award/Proposal Data Mart Overview d)Subcontract Data Mart Overview Break 4. Hands-on intro to Brio, Sponsored standard reports and simple queries

3. 3 User Support & Communications

4. 4 Brio Support – Web & Listserv General Brio Send email to: Business-Intelligence@cornell.edu Brio-L – For CIT to communicate technical concerns Sponsor Data Warehouse http://www.research.cornell.edu/RAIS/SponsDW/

5. 5 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

6. 6 Sponsored Data Warehouse Overview

7. 7 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)

8. 8 Data Warehouse Building Blocks 1) Data are collected from various sources OSP Number = 42947 Sponsor = NATIONAL SCIENCE FOUNDATION Principal Investigator = P. COOK CFDA Number = 32.400 Award Amount = $300,000 Period of Performance = 6/1/2003 – 5/31/2006 Department = NUTRITIONAL SCIENCE Sponsor ID = 01-34562R Proposal Sent Date = 10/17/2002 Award Function = ORGANIZED RESEARCH Sponsor Type = FEDERAL GOVERNMENT

9. 9 2) DATA are stored in COLUMNS 3) Related COLUMNS are grouped into TABLES GCO Award/Proposal GCO InvestigatorSponsor Data Warehouse Building Blocks 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

10. 10 4) TABLES are joined into one or more DATA MODELS using unique identifiers (keys) Data Warehouse Building Blocks Dept Code OSP Number Sponsor ID GCO Sponsor GCO Award/Proposal Department GCO Investigator

11. 11 Sponsored Data Warehouse - Proposals and Awards Brio Sponsored Data Warehouse Status GroupProgram Distribution GCO Deliverable Award Proposal F & A Rates History Department Sponsor Investigator Sponsored Projects Portal

12. 12 Sponsored Data Warehouse - With Accounts and Subrecipients Brio Sponsored Data Warehouse Status GroupProgram Distribution GCO Deliverable Award Proposal F & A Rates History Department Sponsor Investigator Sponsored Projects Portal Pre FY11 ADW Subcontracts KFS Accounts

13. 13 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

14. 14 Data Access Policy Can be provided at college, department, PI or project 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/

15. 15 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.htmlhttps://brio.cit.cornell.edu/UPTIME.html

16. 16 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.eduhttps://portal.research.cornell.edu or https://my.research.cornell.edu/ 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

17. 17 Sponsored Portal vs. Brio Why Use the Sponsored Portal: Look up individual awards and proposals based on pre-defined criteria Submit new account request forms, subcontract requests, change requests Why Use Brio: Look up groups of awards and proposals based on criteria you define in queries Present results in a variety of formats including charts or pivot tables Save the queries and reports as templates so you can process them as needed

18. 18 Sponsored Award/Proposal Data Mart Overview

19. 19 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

20. 20 Award/Proposal Model Status GroupProgram Name Distribution GCO Deliverable Award Proposal F & A RatesHistory Department Sponsor Investigator

21. 21 Award/Proposal Model Status GroupProgram Name Distribution GCO Deliverable Award Proposal F & A RatesHistory Department Sponsor Investigator Core Table

22. 22 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.

23. 23 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.

24. 24 Award/Proposal Model Status GroupProgram Name Distribution GCO Deliverable Award Proposal F & A RatesHistory Department Sponsor Investigator Lifecycle Tracking Tables

25. 25 Project Timeline (from pending proposal or active award perspective) PastPresentFuture History Table Status Group Table Deliverables Table

26. 26 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

27. 27 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. PPURS-PRE-PROPOSAL UNDER REVIEW BY SPONSOR: A pre-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.

28. 28 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. 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. 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 POST-AWARD ACTIVITY: A post-award request has been submitted by OSP and is pending approval from the sponsor (e.g. no-cost extension). --(note that this one replaces the old AWARD PENDING AMENDMENT with same status code). ATIP-AWARD TRANSFER IN PROGRESS: The award is being transferred to another university

29. 29 Award Status Codes (cont.) AOH-AWARD ON HOLD: There has been no activity from the sponsor or PI in the last 60 days. AAF-AWARD AWAITING FEEDBACK: Additional information is required from the Sponsor, PI or other office before additional action can be taken. university APFF-AWARD PENDING FLOW-THRU FUNDING: Funding is expected but our sponsor has not received funding from their prime sponsor. ARO-AWARD RECEIVED BY OSP: OSP has received the amendment but has not yet reviewed it. AMNAC-AMENDMENT NOT ACCEPTED BY CORNELL: The amendment was approved by the sponsor but was declined by Cornell. AMPC-AMENDMENT PENDING COMPLIANCE: The amendment acceptance is on hold until all compliance requirements are completed. AMPFF-AMENDMENT PENDING FLOW-THRU FUNDING: Additional funding is expected but our sponsor has not yet received funding from their prime sponsor. AMRO-AMENDMENT RECEIVED BY OSP: OSP has received the amendment but has not yet reviewed it. AMSC-AMENDMENT SIGNED BY CORNELL: The amendment has been signed by Cornell and returned to the sponsor. Cornell is waiting for the sponsor to return the fully executed amendment. AMURO-AMENDMENT UNDER REVIEW BY OSP: OSP has received the amendment and is reviewing it. AMOH-AMENDMENT ON HOLD: There has been no activity from the sponsor or the PI in the past 60 days. AMAF-AMENDMENT AWAITING FEEDBACK: Additional information is required from the Sponsor, PI or other office before additional action can be taken.

30. 30 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.

31. 31 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 or PPRUS) The proposal has been submitted and is under consideration by the sponsor. "Pending Award": (status of ARO, AURO, AAF, AS, APFF, 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, APA, AMRO, AMURO, AMAD, AMPC, AMPFF or AMSC) The award documents have been signed. The project work is underway. There may or may not be amendments under consideration. "Pending & Active Award": (status ARO, AURO, AAF, AS, APFF, APC, APA, ASAP, ATIP, APA, AMRO, AMURO, AMAD, AMPC, AMPFF or AMSC) 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 PPURS, PURS, ARO, AURO, AAF, AS, APFF, APC, APA, ASAP, ATIP, APA, AMRO, AMURO, AMAD, AMPC, AMPFF or AMSC) The project is in some stage of activity by the sponsor, OSP office and/or researcher. “Post-Award Activity”: (status APA, AMRO, AMURO, AMAF, AMPC, AMPFF, AMSC, AMOH) The award has been accepted and currently has an amendment action in progress.

32. 32 Status Groups Active Award Pending Award Pending Proposal & Active Award Pending Proposal PURS ARO AUROAIN AS APC APA ASAP Pending & Active Award AAC AC PURO PNF PW PG PA ANA ANF All Proposals & Awards PFUD PPA ACOSP AAF PUDD PAD ATIP PPURS AM… APFF

33. 33 Status Group Table

34. Status Qualifiers Certain statuses have a qualifing value: Proposal Under Development  Form 10, Notice of Submission, Other Related Material, Scope of Work, Solicitation Award Awaiting Feedback From, Award on Hold  Sponsor, PI, Other Research Admin Office Award Pending Compliance  Biological Agents & Toxin,Conflict of Interest, Delinquent Final Technical Report, Export Control,Foreign Activity, Form 10, GMO, Hazardous Material, IACUC, IRB, MTA Statement, Radiation, rDNA, Stem Cell 34

35. 35 PastPresentFuture History Table Status Group Table Deliverables Table Project Timeline (from pending proposal or active award perspective)

36. 36 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

37. 37 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

38. 38 Example History Records

39. 39 PastPresentFuture History Table Status Group Table Deliverables Table Project Timeline (from pending proposal or active award perspective)

40. 40 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

41. 41 Example Deliverable Records

42. 42 Award/Proposal Model Status GroupProgram Name Distribution GCO Deliverable Award Proposal F & A RatesHistory Department Sponsor Investigator Primary Detail Tables

43. 43 Investigator Table Includes PI, CoPIs, Key Persons and Research Fellow Only one PI per proposal/award Use Investigator Role to limit results to PI Values are PI, CO, KP and FE Without PI limit, may return multiple records per project Data elements include name, netid, home department, college

44. 44 Example Investigator Records

45. 45 OSP Department Table Department administering the award. May be different than PI’s home department Use KFS Org Codes for department designation

46. KFS Org Codes in Dept Table Org in Sponsored DW maps to control account Org in KFS Three level rollup structure: College (KFS Org Type C) Department (KFS Org Type D) Assigned Org (KFS Org Type D or S).  If Type D then Department and Assigned Org will be same value. Org usage rules are defined by colleges 46

47. KFS Org Example – A&EP Engineering assigns sponsored accounts to D-type Orgs * 2300 - College of Engineering (C) - 2301 - Academic (G) - 2303 - Academic Departments (G) #,^ 2371 - Applied & Engineering Physics (D) * College # Department ^ Assigned Org on Sponsored Awards 47

48. KFS Org Example – Animal Sci CALS assigns sponsored accounts to S-type Orgs * 0100 - CALS - College of Ag. & Life Sciences (C) - 0101 - CALS Ithaca Campus (G) - 01AC - Academic (G) # 0127 - CALS Animal Science (D) - 01B7 - CALS AS Department Operations (S) ^ 01B8 - CALS AS Morrison/General Operations (S) * College # Department ^ Assigned Org on Sponsored Awards 48

49. Example Org Data 49 Field NameA&EPAnimal Science College NameCollege of Eng.CALS – Ag & Life Sci College Code23000100 Department NameApplied & Eng. PhysicsCALS Animal Science Department Code23710127 Org NameApplied & Eng. PhysicsCALS AS Morrison/Gen Ops Org Code237101B8 Org TypeDS

50. 50 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

51. 51 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.

52. 52 Example Sponsor Data

53. 53 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 tracks programs for multiple purposes including Limited Submissions and ARRA reporting

54. 54 Award/Proposal Model Status GroupProgram Name Distribution GCO Deliverable Award Proposal F & A RatesHistory Department Sponsor Investigator Additional Detail Tables

55. 55 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/)

56. 56 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)

57. 57 Example F&A Records

58. 58 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

59. 59 Sponsored Subcontract Data Mart Overview

60. 60 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 )

61. 61 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

62. 62 Subcontract Model Subcontract HistoryStatus Group Prime Project Summary Subcontractor Profile

63. 63 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

64. 64 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

65. 65 Closed Subcontract Status Codes SAC-Awaiting Closeout SC-Closed SNA-Not Accepted SNF-Not Funded

66. 66 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.

67. 67 Subcontract Status Groups

68. 68 Subcontract Status Groups Active Subcontracts Pending Subcontracts SIPCSIN SS SPC SPA SSAP Pending & Active Subcontracts SAC SC SNA SNF All Subcontracts

69. 69 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)

70. 70 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.

71. 71 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

72. 72 Summary Comments

73. 73 Current Brio Models: Award/Proposal Subcontracts Key Performance Indicators

74. 74 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

75. 75 Workshop Agenda 1.Introductions & Logistics 2.Review of Workshop Manual Contents 3.Data Overview ( PowerPoint ) a)User Support & Communications b)Data Warehouse Overview c)Award/Proposal Data Mart Overview d)Subcontract Data Mart Overview Break 4. Hands-on intro to Brio, Sponsored standard reports and simple queries