Award Folder Structure and Naming Conventions / January 11, 2017

KEY:

= Folder

n  = Document

Award Site

0000_Pending_Award_Number (This folder is for new activations which do not have a Coeus Award Number yet)

Proposal_Date Task Created (ex. FP00001234_10-12-16 or FP00001234_10.12.16)

Proposal (FP00001234) (See instructions on proposal folder below

  • NEGOTIATIONS (Contains initial agreement, final agreement in Word format, PI approval, negotiation correspondence.)

Coeus Award Number (ex. 012345)

n  AMT Closeout Checklist (012345 Closeout Checklist)

Proposal (FP00001234)

n  Contains budget, proposal (FP, IB or SB), internal forms (300, Pre-Award Cost Share Form, F&A Waiver)

Activations

YYMMDD_XXX

YYMMDD_XXX AMT GCO may create subfolders within the activation task folder for OAFs with multiple requests.

Abbreviations for use with date on folder name (XXX)

NOA / Notice of award - Use for initial agreement
NCE / No Cost Extension - Use if numbered award modification not given for a request for additional time.
REBU / Budget Change - Use if numbered award modification not given for monetary changes to account(s), including net-zero changes such as a rebudget.
BU_IN / Budget Increase – Use when increasing budget on an account without a sponsor award notice. This folder is commonly used with Consortiums where member accounts are transferring funds to manager account.
Best Practice: Add the acronym for the consortium member after the code “BU_IN”.
Ex: YYMMDD_BU_IN_Intel; YYMMDD_BU_IN_Motorola
BU_XFR / Budget Transfer – Use when transferring funds between accounts. This folder is commonly used with Consortiums where funds are being transferred from the manager account to an admin account or stand-alone project account.
Best Practice: Add the account number for the account receiving the transfer after the code BU_XFR”.
Ex: YYMMDD_BU_XFR_LWS0047
PRE / Pre-award or At-Risk Request - Use when OAF is received with Section A of Pre-Award box checked or with Section B completed.
MOD_# / Modification Ex: YYMMDD_MOD_#
Use for numbered award modifications. These modifications usually have the same NOA number; however a suffix maybe added (i.e. -01, -02) to denote it as a modification to the original NOA.
ADMN / Administrative Change
Use if numbered award modification not given for internally-generated requests that do not include time or money. Ex: Investigator Changes, CAS Exception Requests, Allocation Changes
Best Practice: Add the acronym of the administrative change after the code “ADMN”. Ex: YYMMDD_ADMN_Investigator_Change, YYMMDD_ADMN_CAS, YYMMDD_ADMN_Allocation_Change
RES_XFR / Fixed price residual transfer – Use when transferring revenue to PI’s sponsored residual account.
SUB / Subaward
Use for tasks when sole purpose is creation/modification of subaward.
Best Practice: Add the acronym of the subcontract after the code “SUB”, which is especially beneficial for projects with multiple Subawards. Ex: YYMMDD_SUB_SmithIndustry
ICP / Intra-University Consulting Pay Form (ORSPA Form 310)
CS / Cost share changes
Use for requests to adjust cost share commitments, such as decrease or increase overall cost share commitments, re-distribute obligations between contributing parties, change contributed/donated effort or third party partners.
STATE_CS / State-Funded Cost Sharing Account Request
INTERRELATEDNESS / Interrelated Projects Form (ORSPA Form 320)

Save documents in the following structure:

n  (Coeus Award Number) (PI Last Name) (Acronym) (Short Description)

Ex: 012345 Doe CO Sponsor Approval

012345 Doe PI Approval

098765 Doe AW

055555 Doe BU revised 071610

016543 Seq 6.1 AF

Only save documentation in the activation folder that pertain to the activation task:

n  Coeus Award Notice

n  Budget from increment of funding

n  Award Notice from sponsor

n  OAF (Request for ORSPA Action Form)

n  Correspondence for clarification of activation items (emails, memos or letters)

n  Membership agreement from consortiums or pooled spending accounts

n  Copies of checks received

n  G210 for backup of program income accounts

n  500 form – only for activations affecting Advantage budget

n  Advantage documents (A1, RB, EB, SI, GSum, and J1).

n  PDF copy of the Activation Task (AF)

Label documents for activations when multiple accounts are involved to identify the particular account it is associated with:

n  [(Agency/Org) Seq X.X 500 form] – only for activations affecting Advantage budget

n  [(Agency/Org) Seq X.X ADV] - Advantage documents (A1, RB, EB, SI, GSum, and J1)

Ex. ABC0123 Seq 10.1 500 Form

ABC0123 Seq 10.1 ADV

XYZ0987 Seq 5.1 500 form

XYZ0987 Seq 5.1 ADV

Miscellaneous Documentation (Misc)

YYMMDD_XXX_ Canceled (Canceled and unapproved activation tasks)

n  Everything else that doesn’t belong in sequence folder but should be saved.

Agency Org (ex. ABC0123) Non Sub - Separate entry with subfolders for each Agency Org

Submitted Invoices and Financial Reports

n  Invoices and backup documents

1.  ABC0123-01 (for original invoices)

2.  ABC0123-01R (for Revised invoices)

3.  ABC0123-01R BD (for backup documents)

n  Financial Reports and backup documents

1.  ABC0123 FSR MMDDYY

2.  ABC0123 FSR MMDDYY BD

Cash Management

n  Collection Correspondence (ABC0123-01R Collect 093009)

n  AR Logs (ABC0123 AR Log)

Working File

n  Excel file for Invoices & Reports

n  Misc. account reconciliations (ABC0123 ACCT Rec 093009)

n  IDC reconciliations (ABC0123 IDC Rec)

Miscellaneous

n  Open Cash Advances (ABC0123 CA YYMMDD ex. MGS0119 CA 120331) (YYMMDD equals date of application), Closed Cash Advances (ABC0123 CA YYMMDD CLOSED).

n  Everything else that doesn’t have a special naming convention but should be saved in the A/O folder.

Consortium Member Agreements

Consortium Member Name

This folder will hold the documentation for the consortium member of the named folder. This will include the membership agreement, proposal, and pertinent other information. Only items related to the specific member will be saved here.

Proposal Folder of Consortium Member (FP00001234)

n  Contains internal forms (300, F&A Waiver, etc.)

Membership Agreement for Consortium Member

n  Membership Agreement (11234567 Intel MBR)

Miscellaneous Documentation (Misc)

Cost Share

n  Cost Share Spent (012345 CS Rec 093009)

n  Cost Share Budgeted (012345 CS Budget 093009)

n  Cost Share Correspondence (012345 CS Co 093009)

CS Documentation

n  Certified Effort (Certified Effort 093009 CS)

n  Hourly and Non-Exempt Certified Effort (Certified Hourly Effort 093009 CS)

n  Companion Accounts (ABC1234 Companion Acct 093009 CS)

n  611E-W Reports (611EW 093009 CS)

n  3rd Party (3rd Party 093009 CS)

RAS (The items in this folder can create possible duplication as it would be for a proposal or activation.)

Excel file(s) for revised budget(s)

Excel file for revised cost share forms

Excel file(s) for OAF(s)

Correspondence

Revised narrative files (e.g. SOW, narrative, budget justification, etc.)

Working documents

Editable pdf documents, including revised allocation/300 forms

Subawards

ABC0123

Invoices

n  Invoice # (if no invoice #: Invoice Date)

n  Invoice # PI Approval (if no invoice #: Invoice Date + PI Approval)

n  Invoice # AP Memo (if no invoice #: Invoice Date + AP Memo)

n  Billing Sheet

n  Award Notification—DISTRIBUTE THIS NOTICE AS APPROPRIATE Agency/Org

Original

n  Agency/Org Original (example: ABC1234 Original)

Documentation

n  (i.e. Agency/Org SOW, Agency/Org Email to …, etc.)

Mod 1

n  Agency/Org-01 (example: ABC1234-01)

Documentation

n  (i.e. Agency/Org-01 Email to …, etc.)

Mod 2

n  Agency/Org-02 (example: ABC1234-02)

Documentation

n  (i.e. Agency/Org-02 Email to …, etc.)

Closeouts

n  Agency/Org-CO (example: ABC1234-CO)

Documentation

n  (i.e. Agency/Org-CO Closeout Docs, Agency/Org-CO Email to …, etc.)

Technical, Equipment and Patent Reports

n  Tech RPT (012345 Tech 093009)

n  Equipment RPT (012345 EQ 093009)

n  Patent RPT (012345 IP 093009)

n  Tech Correspondence (012345 Tech Co 093009)

Document Type Acronym Found in Award Structure

(ABBREVIATIONS SHOULD BE AT THE END OF FILE NAME)

Acronym / Description
500 / Account and Budget Setup (ORSPA Form 500)
ACCT Rec / Account Reconciliation
ADV / Advantage Documents (Documents prepared in Activations process)
AF / Activation File Task (PDF copy of the processed activation task)
AR Log / Accounts Receivable Log
AW / Sponsor Award Document (This could be an attachment to an email and not saved separately)
BD / Backup Documentation for Invoices or Financial Reports
BU / Budget
EA / Expense Advance
CAS / Cost Accounting Standards Exception
CO / Correspondence (brief detail on subject to follow CO)
Collect / Collection Correspondence
CS / Cost Share Documents (ORSPA Form 305 and other items)
EQ / Equipment/Property Report
FA / Funding Announcement or Program Announcement or RFP
FAW / F&A Waiver Request
FP / Full Proposal (proposal retrieved from the Sponsor website portal (i.e. proposal from NIH commons or Fastlane)
FSR / Financial Report
G210 / Grant Summary Report (Advantage Web Reports)
GSUM / Grant Summary Report
IB / Institutional Bundle
ICP / Intra-University Consulting Pay (ORSPA Form 310)
IDC / Indirect Costs Reconciliation
IP / Patent/Intellectual Property Report
IRP / Interrelated Projects (ORSPA Form 320)
OAF / ORSPA Action Form (Change request, At-Risk Accounts, or CAS exception)
PI Approval / PI Approval for Award Modifications
RES / Residual transfer
SB / Sponsor Bundle (proposal package retrieved from Research SP site as the final copy of the proposal to be submitted to the Sponsor (i.e Grants.gov package)
SUB / Subaward
SUPP / Supplemental Proposal Documents
Tech / Technical Report
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