SPO FAQs

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General

  1. How do I know which campus office I should submit a specific proposal and/or agreement to for review and approval/signature?
  2. What are my responsibilities as a Principal Investigator (PI)?
    • The Principal Investigator is responsible for the scientific integrity and management of the project; financial management of project funds (including recovery of full indirect costs) and adherence to all University policies and to externally-imposed sponsor terms and conditions including reporting and record-keeping requirements contained in the award document. The award document is the funding agency’s official obligation of funds for a project. Many awards cover a multi-year project period made up of several shorter (usually 12-month) budget periods. Funds often are awarded in budget period installments. More details: Responsibilities: PIs/Department Administrators.
  3. How do I submit a request to change a primary administrative contact? 
    • Follow the instructions for changing a primary administrative contact on the Post-Proposal Actions page.
  4. What reporting and disclosure requirements are required by federal sponsors/agencies regarding international involvement and activities? 
    • The Office of Research has developed guidance to ensure that research and educational activities at UC Davis are compliant with federal regulation, state law, university policy, and research sponsor requirements – specifically relating to disclosing foreign relationships and activities.
  5. Is a Cayuse SP Internal Processing Form (IPF; also referred to as the “proposal”) required for a particular proposal, post-proposal or award action?

Budget

  1. Is an internal budget required?
    • A detailed internal budget is strongly encouraged even when not required by the sponsor. This aids the Sponsored Programs Office (SPO) in conducting a detailed and accurate review. This should be uploaded in the Proposal Attachments section. Select the document type of “Budget”. SPO encourages use of the OR Budget Templates.
  2. How does SP calculate salary? 
    • Salary is calculated automatically through HR Connect. Salary information will updated to the latest information available in PPS twice per month. If you make changes to this in your Cayuse 424 professional profile, those changes will be overwrote to match the PPS system during the next update.
  3. What document type should I select when uploading the budget spreadsheet or internal budget as a Proposal Attachment?
    • For all submissions for SPO review, select the document type of “Budget”. Note that “Budget (UCD Health) should only be selected when submitting an industry-sponsored clinical trial protocol for review by the UC Davis Health Contracts Clinical Trials Contracts Office.
  4. Can budget and submission notes be marked as private?
    • A note’s access can be limited to unit approvers and administrators. The budget comment box is visible to anyone who has access to the proposal.
  5. How do I enter/indicate cost sharing on the Cayuse SP Budget form? Is anything else required? 
  6. Why is my modular budget from Cayuse 424 not showing?
    • DO NOT use the pair with 424 functionality in SP. 
  7. Will Cayuse SP accept 0% for the F&A Rate? 
    • Yes. Cayuse SP does accept 0% for the F&A Rate. Enter 0% in the F&A Rate text field the bottom of the F&A Rate pop-up screen and select Change Rate. Do not enter an amount in the relevant Base for F&A field(s). Instead, include that amount in the Sponsor Direct Costs field.

Cayuse SP General Access and Login

  1. How do I obtain access to Cayuse SP? 
    • You should be able to access Cayuse SP with your Kerberos. If you are unable to login, email [email protected] and provide your Kerberos ID, UC Davis email address and employee ID.
  2. Is training required to obtain access to/ or submit proposals in Cayuse SP?
    • No training is required to access and/or submit a proposal in Cayuse SP. Find guides and training materials at Learn: Cayuse SP.
  3. What is an IPF?
    • The IPF, or Internal Processing Form, is the formal name for the electronic “proposal” in Cayuse SP.
  4. I receive an error message when attempting to login to Cayuse SP. What do I do? 
    • If you are using Mozilla Firefox or Google Chrome, please clear your cache/browser history and try again. If you are not using Mozilla Firefox or Google Chrome, please try again in one of those browsers. If you still cannot login, email [email protected] and provide details of what you are experiencing. If possible, please also provide a screenshot.
  5. Cayuse SP went down. It’s now back online, but I still cannot login. What should I do? 
    • First, close and reopen the browser and try to login. If that doesn’t work, clear the cookies/cache in your browser. Then close and reopen the browser again and try to login.
  6. I need to submit a proposal in Cayuse SP, but the Principal Investigator does not have a UC Davis appointment yet.
    • The department may either (1) complete and process a Temporary Affiliate Form for the newly appointed individuals or (2) list the Department Chair as the Principal Investigator until the new individual is appointed.
  7. How do I get access to view and/or approve Cayuse SP records?
    • Contact the Role Manager for the unit to which you need access.
    • Determine the appropriate Role Manager by selecting Research Contacts from the main Cayuse page (titled “Cayuse Research Suite”) and locating the unit on the unit list.
    • Instructions for identifying Role Managers and other assignments are also available in the Handbook for Role Managers or by watching this short YouTube video on How to Identify Role Assignments  (if the video doesn’t start, refresh the video and it should then work).
  8. Why are no proposals appearing in Proposals in My Unit or no awards in Awards in My Unit? 
    • You need to obtain Proposal Data Access and/or Awards Data Access for the administering unit. Contact the Role Manager for your unit to request access. Determine the appropriate Role Manager by selecting Research Contacts from the main Cayuse page (titled “Cayuse Research Suite”) and locating the unit on the unit list.
    • Instructions for identifying Role Managers and other assignments are also available in the Handbook for Role Managers or by watching this short YouTube video on How to Identify Role Assignments  (if the video doesn’t start, refresh the video and it should then work).
  9. How do I establish a Role Manager for my unit?
  10. How do Role Managers grant permissions for their units?
    • Go to Research Contacts from the main Cayuse page.
    • Select Manage Research Roles.
    • If the person is not already listed as a Research Contact, add the user and assign roles.
    • If the person is already listed as a Research Contact, select the user’s name and assign roles.
    • For further instructions, see Managing User Roles in the Handbook for Role Managers.
  11. How can I access a proposal not in my unit?
    • Contact the Role Manager for the unit that is administering the proposal and request Proposal Data Access for that unit/department.
    • Instructions for searching for department role assignments are available in the Handbook for Role Managers or by watching this short YouTube video on How to Identify Role Assignments (if the video doesn’t start, refresh the video and it should then work).
  12. Why are there Active Projects under My Awards and/or Awards in My Unit when I have no awards?
    • Projects serve as the overarching “folder” in which proposals (formally known as IPFs in Cayuse SP, or Internal Processing Forms), awards and subawards/subcontracts are housed. Therefore, an award is not necessary for an Active Project to exist.
  13. Why can I not download or view attachments on a Project, Proposal, Award or Subaward?
    • Access to attachments depends on the access level of the individual document/attachment and the user’s role. Users listed on the Investigators/Research Team of the corresponding Cayuse SP record (Project, Proposal, Award or Subaward) may access attachments unless the document has restricted access. For example, only Sponsored Programs and other Admin (Approving) Offices have access to documents placed in “Admin Office” view. Additionally, users with Proposal Data Access may view Proposal attachments. Users with Award Data Access may view Project, Award and Subaward attachments.
  14. How do I view the Role assignments for my or another department/unit?
    • Determine role assignments by selecting Research Contacts from the main Cayuse page (titled “Cayuse Research Suite”) and locating the unit on the unit list.
    • Instructions for identifying Role Managers and other assignments are available in the Handbook for Role Managers or by watching this short YouTube video on How to Identify Role Assignments (if the video doesn’t start, refresh the video and it should then work).
  15. What do the various Cayuse SP Numbers mean and how do they relate to one another? 
    • Cayuse SP generates Project, Proposal, Award and Subaward Numbers. Each of these numbers is a unique identifier for that item. A Project Number (A24-9999, for example) is the prime account/overarching folder that links all associated Proposals, Awards and (outgoing) Subawards. While the Proposal Number is unique (23-8888, for example) and does not correlate in terms of values to the Project Number, the Project Number serves as the base for the Award (A24-9999-001, for example) and Subaward Numbers (A24-9999-002, for example).
  16. Is the proposal process mandatory, or can you go straight to creating the award?
    • Yes, the proposal process is mandatory for all full proposals. However, on occasion, a proposal is not submitted through SPO before an award is received. In this case, the department administrator or PI will be asked to submit a proposal in Cayuse SP, called an After-the-Fact proposal, so the award may be processed.
  17. Is there a Conflict of Interest interface with Cayuse SP?
  18. Can I submit my Financial Conflict of Interest (COI) disclosures in Cayuse SP?
    • No. The COI system is different than Cayuse SP. Form 800, and other e-disclosures, are filed at or-forms.ucdavis.edu.
  19. Does Cayuse SP integrate with NIH ASSIST?
    • No, Cayuse SP does not but Cayuse 424, which is linked to grants.gov and is used to submit proposals to most federal sponsors, can be used to submit NIH proposals in place of ASSIST. In fact, using Cayuse 424 is preferred as the Sponsored Programs Office has greater access to it, which speeds the review process. If using ASSIST or any other electronic submission system, give your assigned Sponsored Programs analyst access to your application in the other system or upload all documents in Cayuse SP.
  20. How are personnel and their roles added to Cayuse SP? 
    • We are leveraging the HR System to create new persons and adding salary and appointment information. Employees, post-docs and students in HR Connect are imported into the system. Any additional student not on that list will need to be added manually. People that are not employees can be set up with an affiliate ID. Furthermore, the Role Manager for each unit has the ability to assign roles.
  21. Does the system have reporting functions?
    • Yes, but these reports are not currently accurate. It is not recommended that users run reports on the Reporting tab. However, the lists available from the Proposal Dashboard are accurate and may be exported to Excel.
  22. Do I still submit a Datasheet?
    • The data sheet has been replaced by the Cayuse SP system and signature approvals will be electronic. We are no longer accepting data sheets.
  23. Does the historical data sheet information go anywhere and what happens after Cayuse SP is implemented? 
    • Yes, currently, the information goes into reports for the Vice Chancellor for Research.

Cayuse SP Routing, Approval and Workflow

  1. How do I submit an IPF/proposal for approval?
  2. How do I give edit access to my proposal/IPF?
    • Add those requiring edit access to the Investigators/Research Team tab of the IPF with either the Proposal Editor or Other Participant – No Routing role. All other roles will require the relevant unit
      head(s) approval of the IPF.
  3. How do I edit my proposal/IPF after submitting for approvals?
    • Email [email protected] and request the IPF be placed back in Unsubmitted status. Provide the PI’s full name and the Cayuse SP Proposal Number.
    • Select Submit for Routing after making the necessary revisions. Please note all IPF approvals obtained will be deleted. A new email will be sent to the IPF Approvers once the IPF is submitted for routing again.
  4. As a PI or co-PI, how do I certify my proposal/IPF?
  5. As an IPF Approver, how do I approve an IPF?
  6. How do I find out my SPO analyst for a proposal?
    • If you initiated the proposal or are listed on the Investigators/Research Team tab, go to My Proposals and select the Submitted Proposals tab.
    • If you did not initiate the proposal and are not listed on the Investigators/Research Team tab, go to Proposals in My Unit.
    • Select the Proposal Number.
    • The Proposal Analyst (Contract Specialist) will be listed next to Proposal Specialist at the top of the page.
  7. How do I check the status of my proposal/IPF?
    • If you initiated the proposal or are listed on the Investigators/Research Team tab, go to My Proposals and select the Submitted Proposals tab.
    • If you did not initiate the proposal and are not listed on the Investigators/Research Team tab, go to Proposals in My Unit.
    • The status will be displayed to the far right.
    • To see further details, select the Proposal Number.
    • Go to the Notes tab.
    • For further instructions see Checking the Status of a Routed Proposal in the Cayuse SP Handbook for PIs, Department C&G Staff and Approvers.
  8. Will the Sponsored Programs Office (SPO) begin a proposal review before all IPF Approvers have authorized the Proposal/IPF?
    • No. The IPF/Proposal will not route to the Sponsored Programs Office (SPO) for review until IPF Approvals from the administering unit, units with Key Personnel involved in the proposal and the Dean’s Office, if applicable, have been obtained. Additionally, the project PI and Co-PIs must also certify the IPF before SPO will assign it to an analyst for review.
  9. Do the proposal approvals have to be done in sequence, or can the approvals be done simultaneously, for example, if there are multiple departments?
    • Simultaneous approvals are possible depending on how the routing is defined and if the user (approver) wants to flag the approvals to be done in sequence or parallel. However, the Admin Unit must always approve first. Furthermore, any parent unit listed must be listed after the “child” unit. Instructions are available in the Cayuse SP Handbook for PIs, Department C&G Staff and Approvers.
  10. Can an approver be added for their information or acknowledgment only?
    • Yes, a user can be given access as an editor or viewer by the person initiating the proposal.
  11. Can an approver (Department Chair or Dean) establish delegates to review and approve proposals in his or her absence? 
    • Cayuse SP does not allow users to establish delegates. However, the assigned Role Manager for that unit may give others the appropriate access at any time. It is strongly recommended that at least two approvers be established for each unit. See Learn: Managing Roles in Cayuse SP for more information.
  12. What happens if there is a personnel change to a Department Chair or Dean?
    • The new Department Chair or Dean will need to be given approver access. There is a Role Manager in each department responsible for making such changes. The Sponsored Programs Office (SPO) will not make changes to approvers. See Learn: Managing Roles in Cayuse SP for more information.
  13. If an IPF Approver is changed after a proposal/IPF has been submitted for routing, will the new IPF Approver be able to view and approve or reject the proposal?
    • Yes, the new IPF Approver should be able to review and approve or reject the proposal within 10 minutes of the change being made.
  14. What should I do if my IPF/Proposal is “stuck in routing?” 
    • First review the Units and Authorizing Person(s) listed on the Approvals tab. The status of each authorization is listed under Authorizing Decision. If a line under Authorizing Person(s) is blank or lists “OR Cayuse Help”, the proposal will not route to the Sponsored Programs Office (SPO). Email [email protected] with the Lead Principal Investigator’s name and Proposal Number. Then identify the correct unit to be used instead of the one listed on that same line, make the correction on the IPF and proceed as instructed by the Cayuse Help Desk.
  15. How does Cayuse SP coordinate its submission process with Grants.Gov and Research.gov?
    • Cayuse SP is integrated with Cayuse 424. However, do not use the Pair with 424 functionality in Cayuse SP as this will overwrite permissions in Cayuse 424. Instead, enter “See 424 Proposal” in the Submission Notes section of the Cayuse SP IPF. Cayuse SP is not connected to NSF’s Research.gov in any way.
  16. How is Contracts and Grants Accounting (CGA) notified of new awards?
    • CGA receives a report every morning at 4:00 am of new awards.

Cayuse SP Statuses

    1. How can I view that status of a proposal/IPF (Internal Processing Form)?
      • To view the status of a proposal/IPF, go to the My Proposals tab (if you are the initiator) or the Proposals in My Unit tab (if you are not the initiator and have the appropriate access). Filter the list by selecting Unsubmitted Proposals or Submitted Proposals.
    2. A proposal indicates it has been funded. Does this mean the associated award has been processed? 
      • The proposal status automatically changes to Funded when an associated award has been received or is forthcoming. This does not mean the funds have arrived. Open the award (from the My Awards tab) to check whether the status is Pending (still being processed) or Active (agreement fully executed and forwarded to Contracts & Grants Accounting for next steps).
    3. How can I view the status of an award? 
    4. How do I view the status of a subaward?
    5. How do I check the status of an Advance Account?
      • To check the status, go to the Proposal for which the advance account was requested. Then go to the Advance Accounts tab. The status will be listed as Authorized when/if it is approved. The primary contact will also be notified by the Sponsored Programs Office (SPO) via email.
    6. What do the various statuses in Cayuse SP mean? 
      • See the relevant table below.

    Proposal Status Definition

      • Unsubmitted Not submitted for routing
      • Dept Approval in Process Pending IPF approvals; submitted for routing
      • Admin Office in Process Received by SPO but not assigned
      • PS Review Under review by Proposals Analyst (Proposals Specialist)
      • CS Review Under review by Awards Analyst (Contracts Specialist)
      • Proposal Approved Proposal approved for submission to sponsor
      • Reopened Proposal was rejected by an IPF approver and may need revision
      • Submitted to Sponsor Proposal has been submitted to the sponsor
      • Withdrawn Proposal withdrawn by the Principal Investigator
      • Not Funded Proposal not funded by the sponsor or the IPF was submitted for a letter of intent or pre-proposal that was invited by the sponsor to submit a full proposal
      • JIT Request Received SPO or Principal Investigator received a JIT request from the sponsor
      • JIT Request Approved SPO has approved the JIT information provided by the Principal Investigator /department
      • JIT Request Unsubmitted The Principal Investigator decided not to submit JIT information
      • Funded Notice of Award received by the sponsor (This does not mean the award has been executed)

    Award Status Definition

      • Pending The award is not fully executed
      • Active The award has been fully executed and routed to Contracts and Grants Accounting
      • Suspended The sponsor was requested to negotiate the award but no response has been received
      • Closed (Work Complete) Award is complete or terminated if reporting designation is Active/Obligated; Award was suspended by Sponsored Programs is reporting designation is: Pending/Anticipated

    Subaward Status Definition

      • (Awaiting) Admin Dept Action is required by the Principal Investigator /department
      • (Awaiting) Award Mgr/Analyst Action is required by the Award Analyst
      • (Awaiting) Subcontractor Action is required by the Subcontractor/Subawardee
      • Fully Executed The Subaward/Subcontract is fully executed and has been sent to CGA

Proposal Submission

  1. What is an IPF?
    • An Internal Processing Form or IPF is the electronic “proposal” that is created and routed in Cayuse SP for internal approvals required by policy. The PI and all Co-PIs must certify the IPF, and the department chair/unit director must authorize the IPF on behalf of the department/unit. For the Schools of Medicine and Veterinary Medicine, the dean’s offices also authorize the IPF.
  2. Do letters of intent (LOIs), preliminary proposal (pre-proposals), white papers and other similar materials need to be submitted to the Sponsored Programs Office (SPO) for review before they are submitted to the sponsoring/funding agency?
    • LOIs, pre-proposals and other similar materials must be submitted to SPO for review and approval if the sponsor requires:
      • A budget amount
      • Agreement to terms and conditions at that phase, or
      • Institutional approval, endorsement, or signature.
    • Submit the materials in Cayuse SP as an IPF and do the following:
      • Proposal Type: Select LOI/Preliminary Proposal.
      • Investigators/Research Team tab (appears once general info has been entered): List only the Lead Principal Investigator and any Proposal Editors.
      • Complete the rest of the IPF to the best of your knowledge
      • If applicable, indicate in Submission Notes that a budget and/or budget justification is not required. This said, SPO strongly recommends you include both.
    • More information: Handbook for Department Contract & Grant Staff, Principal Investigators and Approvers.
  3. How to do I submit a proposal/application to Sponsored Programs for review?
  4. What Proposal Type should I choose?
  5. What needs to be submitted along with my IPF?
    • All proposal requests should include:
      1. A scope of work
      2. A detailed budget, and
      3. A budget justification.
    • Additional documents may be necessary if required in the specific call.
  6. Can a department administrator complete the proposal on behalf of the PI so the PI does not have to login to the system?
    • Anyone can initiate an IPF for a PI. However, the PI will need to login to Cayuse SP to approve/certify the IPF. If the PI begins the IPF, he or she may grant edit access to a department administrator by adding that person to the Investigators/Research Team tab with the role of Proposal Editor.
  7. Can someone other than the PI or the person who started an IPF edit that IPF? 
    • Anyone listed on the Investigator/Research Team tab may edit an IPF that is in Unsubmitted status.
  8. Can more than one Primary Administrative Contact be listed on an IPF?
    • Only one Primary Administrative Contact may be listed on the IPF. List the person the Sponsored Programs Office (SPO) should contact regarding the IPF. If someone other than the indicated Primary Administrative Contact should be included if the proposal is awarded, add a note in the Submission Notes tab of the IPF that “x should be listed as the Primary Administrative Contact on the Project.”
  9. When completing the IPF what is the difference between Sponsor and Prime Funding Agency?
    • The Sponsor is the direct or lead organization that will issue the award to UC Davis.  The Prime Funding Agency is where the funds for that award originated from.  For example: University of Arizona (Sponsor) will issue an award to UC Davis, in which they have received funding from NIH (Prime Funding Agency).
  10. What do I do if the sponsor is not listed on the Sponsor list?
    • Select Miscellaneous Sponsors from the Sponsor list and type the sponsor’s name and contact information in Submission Notes. To speed the process, you may also email sponsor details to [email protected] and request that the sponsor be added to the Cayuse Research Suite.
  11. What unit should be listed as the Admin unit?
    • The Admin unit is the department or unit that receives credit for the proposal.
  12. What Proposal Type should I choose?
  13. What is the purpose of the “Applied Research” Activity Code? 
  14. What is an Affiliated Unit?
    • An Affiliated Unit is a unit whose resources are being used for a project and/or that needs to provide authorization of the IPF yet does not have researchers participating as Key Personnel. Example: the Primate Center.
  15. What deadline do I select when my proposal is due on a Saturday, Sunday or holiday?
    • Choose the business day prior to the deadline to ensure your proposal is reviewed and approved.
  16. Who should be entered on the Investigators/Research Team tab of the IPF?
    • Key Personnel and those needing edit access should be listed on this tab, including those needing access to the associated award. The Lead Principal Investigator is required and defined as the lead investigator of the overall project. If the sponsor allows multiple Program Directors/Principal Investigators (PD/PIs), this would be the contact PI. The Principal Investigator role should only be selected if the sponsor allows multiple PIs. Other roles that may fall under this designation include Research Scientist, Research Specialist, Research Associate, or Scholar. Those needing edit access to the proposal but who are not Key Personnel should be given the Proposal Editor or Other Participant – No Routing role. Note that IPF creators should add themselves as a Proposal Editor or Other Participant – No Routing if they need access to the associated award. IPF Approvers of all units with personnel listed in any role other than Proposal Editor and Other Participant – No Routing will be required to authorize the IPF before it arrives in SPO. A list of Role Definitions is available in the Cayuse SP Handbook for PIs, Department C&G Staff and Approvers.
  17. What does “allocation of credit” mean? 
    • “Allocation of credit” is determined by the lead principal investigator to demonstrate the contribution of the lead principal investigator and co-investigators for a specific project. This data will be used for ad hoc reports from campus leadership regarding investigator productivity and contribution to campus research. These reports are often requested in the context such as retention, space allocation and invitations for panel discussion participation, etc. “Allocation of credit” must equal 100% across all Key Personnel on the Investigators/Research Team tab. If “allocation of credit” is not entered on the IPF received, Sponsored Programs will allocate the credit equally across the lead principal investigator and co-investigators.
  18. What department/unit affiliation should be used for an investigator without an Academic appointment, such as UCDH Hospital employees? 
    • First check Research Contacts from the main Cayuse page to determine whether the relevant unit/department has an established IPF Approver. If the Unit does have an IPF Approver established, use that unit for the investigator in question. If the unit does not have an IPF Approver established, use the Admin Unit of IPF and upload a letter or email from the head of the unit of the investigator in question that approves their effort on the proposal.
  19. The home department/unit listed for a Key Personnel member on the Investigators/Research Team tab of the IPF is incorrect. Can this be corrected? 
    • Yes, you can change it for this proposal by selecting the appropriate home unit/department in that field. This can be changed for all future proposals by updating the user’s Professional Profile in Cayuse 424.
  20. What do I do if the subcontractor is not listed on the Subcontractor list? 
    • Select Miscellaneous Sponsors from the Subcontractor list and type the subcontractor’s name and contact information in Submission Notes. If you are also using Cayuse 424, ensure the subcontractor is listed as an institution in Cayuse 424. Instructions are available in the Handbook for Submitting a Proposal with Subawards. Email [email protected] with subcontractor details if the institution is not in Cayuse 424.
  21. What does selecting “yes” to “Give permission to make my abstract publicly accessible” mean? 
    • Marking “yes” allows anyone with access to the IPF to view the abstract and for the abstract to be populated in associated reports, though such reports are not commonly run. Alternatively, if “no” is selected the abstract will not populate into reporting.
  22. Is there a size limitation on the abstract? 
    • The character limit is large and will allow more than one page of text.
  23. Is there a specific format I should use when uploading Proposal Attachments?
    • It is best to create file names that clearly indicate what the file is. For example, an appropriate budget file title would be “Budget_Apple-NSF”. Also, do not use special characters. Including a comma, for example, may result in the attachment not being downloadable in some web browsers.
  24. Do I need to upload the grant solicitation/Request for Proposals (RFP), etc. into the IPF?
    • The Sponsored Programs Office must be provided the solicitation in order to review the IPF/external proposal for compliance with sponsor and program guidelines. If you have the solicitation downloaded, please upload it as a Proposal Attachment. If the solicitation is online, provide a link on the general tab of the IPF.
  25. What documents are needed when submitting a proposal with cost sharing?
  26. What are Submission Notes and why should I use them?
    • Submission Notes are important as they can speed the review process. This is where the PI, department and SPO can provide additional and helpful information related to the proposal action that is being submitted for review.
  27. If there are portions of the proposal that someone else completes, can I leave it partially completed and come back to it later? 
    • While in “unsubmitted” status, the proposal is accessible and can be edited/completed by anyone who has edit access to the proposal. To give someone edit access, add them to the Investigators/Research Team tab in the Proposal. If they are not Key Personnel, assign them the role of Proposal Editor or Other Participant – No Routing. All other roles will cause the person’s home unit to be included as an Approving Unit. The IPF can be found by selecting the “Unsubmitted Proposals” tab from My Proposals.
  28. What happens when a proposal is submitted? 
    • Once a proposal is submitted, it will route for PI/Co-PI certification(s) and Unit Lead/Dean authorizations, then arrive at the Sponsored Programs Office (SPO) for institutional review. The IPF will no longer be editable except by SPO.
  29. Can the IPF be changed while in routing?
    • The approving person can make changes on behalf of the initiator instead of returning it for revision. However, the initiator cannot make changes after a proposal has been routed unless the proposal is returned (rejected) by the unit/person the approval has been assigned to (this can be the Department Chair, Dean or SPO depending on where the proposal is in the routing process). Changes can be made to a returned proposal and then that proposal can resubmitted for routing.
  30. Can the attachments be changed while in routing?
    • The IPF creator and those listed on the Investigators/Research Team tab can upload attachments throughout the process. To do so, go to the Proposal Attachments tab, find the document on your computer and select “Next.” Please inform your assigned Sponsored Programs Office (SPO) analyst if anything is uploaded after the IPF has been assigned in SPO. SPO does not receive notification of uploaded documents or changes to IPFs.
  31. Why do I receive an error message when trying to view Proposal Attachments and no attachments are displaying? I know that documents were attached. 
    • This error may be encountered when a file/attachment name includes commas. You may wish to try another web browser. If this does not correct the issue, please email [email protected] for further assistance.
  32. Why do PIs and Co-PIs need to certify proposal requests?
    • By certifying a proposal request in Cayuse, the PI and Co-PIs are affirming that they understand the responsibilities and requirements associated with proposal administration.  Because it is a vital piece of the proposal request, the Sponsored Programs Office (SPO) is unable to assign any proposal for review until the certification(s) have been provided. More details, including how to certify an IPF: Responsibilities: PIs/Department Administrators.
  33. I am required to submit a form to the sponsor as part of my proposal. Will SPO complete and sign the form? 
    • The SPO Proposals team does not complete and/or sign forms unless it is a certification related directly to the submittal of a proposal.  Forms should be completed and signed by the university official with appropriate signature authority. Responsibility for facilitating completion and signature lies with the campus department.
  34. How do I submit a proposal to SPO for review after the proposal was submitted to the sponsor?
    • Follow the instructions for submitting an After-the-Fact (ATF) proposal on the Proposal Submission page.
  35. What is an After-the-Fact (ATF) proposal?
    • ATF proposals are proposals routed after submission to the sponsor because either the proposal was:
      1. Not required by the sponsor, or
      2. Was not reviewed by SPO prior to submission.
    • Do NOT submit an ATF to SPO unless action is needed from SPO in order to receive an award.
  36. How do I submit a post-proposal action, such as Just-in-Time (JIT) requests from the sponsor?
  37. Can Key Personnel be changed after Sponsored Programs Office review and approval?
    • Key personnel may be changed. However, this change will require re-routing the IPF for certification by the newly added personnel as well as authorization by the department of the newly added personnel before ending in the Sponsored Programs Office for institutional review/approval.
  38. Many PIs answers to questions rarely change. Can they be auto-filled if there have been no changes? 
    • Cayuse SP includes the capability to copy an IPF but this function should not be used as it also copies SPO administration information from the previous proposal.
  39. How does the copy feature for proposals work? 
    • Cayuse SP includes the capability to copy an IPF but this function should not be used as it also copies SPO administration information from the previous proposal.
  40. Is there a way to see an audit log to see who last touched the proposal?
    • No, but you will see an audit trail as the proposal is routed, approved and awarded.
  41. How do I remove an Affiliated Unit from an IPF?
    • Select the added Affiliated Unit. Uncheck the box next to the selected Affiliated Unit in the list, and then choose Select.
  42. What are considered nanomaterials for the purpose of the Regulatory Compliance tab of the IPF? 
    • Nanomaterials are engineered nanoparticles/nanomaterials of any shape. See SafetyNet #132 for more information.

Cayuse 424

  1. How do I obtain access to Cayuse 424? 
    • You should be able to access Cayuse 424 with your Kerberos. If you are unable to login, email [email protected] and provide your Kerberos ID, UC Davis email address and employee ID.
  2. I receive an error message when attempting to login to Cayuse 424. What do I do? 
    • If you are using Mozilla Firefox or Google Chrome, please clear your cache/browser history and try again. If you are not using Mozilla Firefox or Google Chrome, please try again in one of those browsers. If you still cannot login, email [email protected] and provide details of what you are experiencing. If possible, please also provide a screenshot.
  3. Is training required to access or submit proposals in Cayuse 424?
    • No training is required to access and/or submit a proposal in Cayuse SP or Cayuse 424. However, guides and training materials are found at Learn: Cayuse 424 and NIH ASSIST.
  4. How can I grant access to someone else to be able to edit my Cayuse 424 Professional Profile?
  5. The opportunity I want to apply to is not in Cayuse 424, and Cayuse 424 is not able to download the opportunity. How can I get the needed opportunity imported into Cayuse 424? 
    • This is likely occurring because the program opportunity was recently released. Please email [email protected] for assistance.
  6. I am applying for an NIH supplement to an existing NIH grant. How do I determine which opportunity in Cayuse 424 to select?
    • Unless directly instructed otherwise by the relevant program officer, select the supplement package that matches the existing/parent grant type. For example, if the existing/parent grant is an R01, select the supplement package that is indicated in the Comp. Title column as “Use for research grants (e.g, R’s, DP’s), cooperative agreement equivalents and endowment programs, P’s”
  7. How do I upload a non-PDF attachment to my Cayuse 424 proposal?
    • Only system administrators and Sponsored Programs Office (SPO) analysts may upload non-PDF attachments to include in proposal submission to the sponsor. Provide the necessary document for upload the assigned SPO analyst.
  8. How do I prepare a proposal with outgoing subawards? 
  9. How do I submit a proposal as a Subaward institution (when UC Davis is the subawardee)? 
    • In Cayuse 424, go to the Proposals tab. Then select Create Proposal. Select Research Subaward Proposal from the list. After the proposal is approved by the Sponsored Programs Office, export the file and email it to the prime applicant.
  10. Either the Principal Investigator or someone else on the Approval and Routing chain approved the proposal in Cayuse 424, but a change is needed. How do I reopen the proposal for revision? 
    • The person(s) that approved the proposal first needs to retract their approval. This is done by re-selecting the check box. After retracting the approval, go to the Permissions tab and select the “Write” access checkbox for anyone other than the Principal Investigator. Contact [email protected] if assistance is needed.
  11. What are some advantages of submission via Cayuse 424 in place of grants.gov’s Workspace or NIH ASSIST?
    • Auto-population of institutional data in the SF 424.
    • The ability for multiple users to view and edit the proposal simultaneously.
    • The ability for a PI to continue work on the science/research section while the Sponsored Programs Office (SPO) reviews finances and potential issues regarding compliance with sponsor and university policies.
    • 424 validates proposals against sponsoring agency mechanism guidelines and Grants.gov requirements.
    • Can copy proposals for resubmission, reducing data entry.
    • As the system administrator for almost all Cayuse functions, SPO has more ability to assist users compared to eRA Commons.
    • Much faster response time from Cayuse support for issues vs. eRA Commons support.
    • 424 stores documents relevant to the proposal, facilitating file search and communication.
    • 424 automatically integrates subaward budgets and personnel information with a prime proposal.

Awards

  1. Is this a Gift or Grant?
    • Determination can only reliably be made after review of the award documents. Your Sponsored Programs Office (SPO) award analyst is able to assist you with this determination.
    • Regardless of whether an award is designated as a gift or a grant (or a contract), it will be subject to the research review process as well as to the administrative rules and procedures which apply to all University funds. The processing of gifts does not include the application of indirect costs, but may include assessment of a campus gift fee. Processing of grants and contracts will include the application of indirect costs in accordance with University policy (see Rates).
    • Gifts are processed by the Office of Development and Alumni Relations. In general, gifts have the following characteristics:
      • Donor does not impose contractual requirements.
      • Funds are awarded irrevocably, (no obligation to return unspent funds).
      • No obligation or agreement to share data/research results with donor; donor willing to sign gift agreement relinquishing intellectual property and data rights to University. Donor may request progress reports.
      • Qualifies for tax treatment as charitable contribution by donor.
    • In general, grants have the following characteristics:
      • Provision for audits by or on behalf of the grantor.
      • The grantor is entitled to receive some consideration such as a detailed technical report of research results or a report of expenditures.
      • Testing or evaluating of proprietary products is involved.
      • The research is directed to satisfying specific grantor requirements (e.g., terms and conditions stating a precise scope of work to be done rather than a general area of research).
      • A specified period of performance is prescribed or termination is at the discretion of the grantor.
      • Funds unexpended at end of period shall be returned to the grantor;
      • Patent rights requested by grantor.
  2. How do I get a new Award entered?
    • Email the Notice of Award to [email protected] and include the Cayuse SP Proposal number.
  3. How do I find out my SPO analyst for an Award?
    • If you initiated the associated proposal or are listed on the Investigators/Research Team tab, from the Proposal Dashboard in Cayuse SP, go to My Awards.
    • If you did not initiate the proposal and are not listed on the Investigators/Research Team tab, from the Proposal Dashboard in Cayuse SP go to Awards in My Unit.
    • Under the Awards tab, select the Award Number.
    • On the Award Administration screen, select the Proposal tab. Click on the Proposal Number.
    • On the top/center of the Proposals Administration screen, the Award Analyst (or Contract Specialist) will be listed in the Specialists row next to your Proposal Specialist.
  4. How do I view the status of an Award?
  5. How do I view Award documents?
    • If you initiated the associated proposal or are listed on the Investigators/Research Team tab, go to My Awards.
    • If you did not initiate the proposal and are not listed on the Investigators/Research Team tab, go to Awards in My Unit.
    • The status will be displayed to the far right.
    • To see further details, select the Proposal Number.
    • Go to the Attachments tab.
    • For further instructions see Checking the Status of an Award in the Cayuse SP Handbook for PIs, Department C&G Staff and Approvers.
  6. How do I submit No Cost Extensions for existing awards?
  7. How do I change the Department Admin listed for an Award or on a Project in Cayuse SP?
  8. How do I submit a change in Principal Investigator request?
  9. How do I submit an award modification to the Sponsored Programs Office (SPO)? 
  10. How do I submit a proposal to SPO for review after receiving a draft award agreement from the sponsor when no proposal was submitted to SPO before receiving an award agreement?
  11. How do I submit a Progress Report to the sponsor?
  12. How are new accounts established for funded awards?
    • Contracts and Grants Accounting (CGA) establishes new accounts. CGA is notified via a feed at 4:00 am each business day of awards that are fully executed/finalized and made Active the prior business day.
  13. What costs/expenses require prior written approval by the sponsor/funding agency?
    • Read all of the sponsor and program guidelines to identify their requirements for prior approval specific to your award.
    • According to Code of Federal Regulations (CFR) Part 200.407, when the funding entity is federal, the following actions require prior written approval from the funding entity:
      • Cost Sharing or Matching – Voluntary cost sharing is not permitted on any federal proposal. Using the unrecovered indirect costs (when solicitation limits recovery of indirect costs to less than the full negotiated rate) to offset a cost-share component in proposals that require mandatory cost-sharing requires agency prior approval. If this is included in proposal budgets, it must be specifically requested via the budget justification section.
      • Program Income – If a project generates program income and the PI wishes to retain it to carry out the purpose of the award, prior approval must be secured. Otherwise, program income must be used to offset sponsor expenses on the award.
      • Revision of Budget and Program Plans – A reduction in PI’s effort of 25% or more requires prior approval. Rebudgeting of funds earmarked for participant support costs requires prior approval. Prior approval is required for re-budgeting cost share. (Specifically, cost share must be delivered for the purpose for which it was promised.)
      • Fixed-amount Subawards — Agency prior approval is required to enter into a fixed-amount subaward rather than a cost-reimbursement subaward, and the total value of each fixed-amount subaward may not exceed $150,000. To expedite agency approval and subsequent issuance of the subaward, PIs/departments should add a new justification statement to proposals contemplating a fixed-amount subaward.
      • Administrative or Clerical Costs — Prior approval is required. In instances where these costs are contemplated, to expedite matters in the event of an award it is recommended that prior approval be sought at the proposal phase (i.e., include in the budget and fully justify and request via the budget justification).
      • Compensation – Personal services.
      • Incidental activities – Incidental activities for which supplemental compensation is allowable under written institutional policy (at a rate not to exceed institutional base salary) must either be specifically provided for in the federal award budget or receive prior written approval by the federal awarding agency. Charges of a faculty member’s salary to a federal award must not exceed the proportionate share of the Institutional Base Salary (IBS) for the period during which the faculty member worked on the award and requires prior approval if not included in the award budget.
      • Entertainment costs – Where possible and when necessary for the project, these costs will need to be included in the application to the funding agency or be the subject of a prior approval request after the award has been made.
      • Exchange Rates — PIs/departmental administrators, should notify the Sponsored Programs Office (SPO) ASAP if they feel their project qualifies for additional funding as a result of fluctuation in exchange rates (e.g., foreign subs, etc.).
      • Memberships, Subscriptions, and Professional Activity Costs — Costs of membership in any civic or community organization are allowable with prior approval by the federal awarding agency or pass-through entity.
      • Participant Support Costs – Inclusion of this direct cost requires prior approval. For expediency, in the approval process include and fully justify in proposal applications when necessary to carry out the project.
      • Pre-award Costs – Such costs are allowable only to the extent that they would have been allowable if incurred after the date of the federal award and only with the written approval of the federal awarding agency.
      • Travel Costs – Dependent care travel costs cannot be included in proposal budgets unless the strict criteria in G-28 Travel Regulations is met. PIs need to understand that this allowance of dependent care costs is NOT to pay for the travel expenses of their dependents accompanying them on their travel, but rather to pay for temporary expenses that are above and beyond normal care and that are a direct result of the employee’s travel.
  14. I received an award from the National Science Foundation (NSF) and must provide information regarding the UC Davis policy or code-of-conduct regarding sexual harassment, other forms of harassment, or sexual assault, and that includes clear and accessible means of reporting violations of the policy or code-of-conduct. Where can I find the code-of-conduct or policy? 

Subawards

  1. What is an outgoing Subaward?
    • An outgoing subaward is an agreement with a third-party organization to have them perform a portion of a UCD research project or program. The terms of the relationship (subgrant/subcontract) are influenced by the prime agreement that details the award to the University. A subrecipient works collaboratively with the prime award recipient to carry out a portion of the prime award’s scope of work. Just because another entity is involved in carrying out a sponsored project does not mean that a true subrecipient relationship exists. Since it is sometimes difficult to tell the difference between a subrecipient and a vendor, it may be easy to confuse the two. This can lead to problems managing a sponsored project, so it is important to ascertain if the work to be carried out meets the definition of a “subaward” at the proposal stage. If a vendor relationship is required remember that indirect costs will need to be charged on the entire amount of the transaction. Please see this helpful information:
  2. How do I submit a proposal as a subaward institution (when UC Davis is the subawardee)?
    • Submit the proposal as usual in Cayuse SP. The sponsor should be listed as the institution to which UC Davis is submitting (the prime applicant). The Prime Sponsor should be listed as the sponsor to which the prime applicant is submitting. Instructions are available in the Handbook for Submitting a Proposal as a Subawardee Institution.
  3. How do I prepare a proposal with outgoing subawards? 
  4. What do I do if the subcontractor is not listed on the subcontractor list (under Add Subcontractor) in Cayuse SP?
    • Select Miscellaneous Sponsors from the subcontractor list and type the subcontractor’s name and contact information in Submission Notes.
  5. What do I do if the subrecipient organization is not listed as an institution in Cayuse 424?
    • If the subrecipient’s organization cannot be found, request an Institutional Profile from [email protected] by providing the following information:
      • Institution name
      • Institution address
      • Unique Entity Identifier # (UEI) or other institutional ID numbers
      • Type of institution (e.g., “Private Institution of Higher Education”)
      • If known or applicable:
        • Human Subjects/Animal Welfare Assurance Numbers
        • Dates of HHS certifications
        • Institution base fringe rate (and other fringe categories)
        • Indirect cost types and rates
        • Escalation rates for budget items
        • Organizational units
  6. How do I access an outgoing subaward in Cayuse SP?
  7. How do I initiate Subaward after receiving a Notice of Award (NOA)?
  8. How do I initiate Subaward that was not included in the original proposal?
    • In most cases, a sponsor’s prior approval will be required if the request to engage a subrecipient was not included in the original proposal to the sponsor. PIs are responsible for initiating such prior approval requests by contacting their SPO award analyst, and are also responsible for obtaining the countersignature of their authorized sponsor official as required. Subawards may not be issued until all necessary sponsor approvals are obtained. See Send a Subaward Request to SPO.
  9. How do I check the status of a Subaward?
    • If you initiated or are on the Investigators/Research Team tab of the associated proposal, from the Cayuse SP dashboard (on left) go to My Awards.
    • If you did not initiate the proposal or are not listed on the Investigators/Research Team tab of the associated proposal, from the Cayuse SP dashboard (on left) go to Awards in My Unit.
    • Select the Active Projects tab.
    • Select the associated Project.
    • Go to the Subcontracts tab.
    • The status will be listed (in middle column).
    • For further details, select the Subcontract Number, then go to the Notes tab.
  10. How do I view Subaward documents?
    • If you initiated or are on the Investigators/Research Team tab of the associated proposal, from the Cayuse SP dashboard (on left) go to My Awards.
    • If you did not initiate the proposal or are not listed on the Investigators/Research Team tab of the associated proposal, from the Cayuse SP dashboard (on left) go to Awards in My Unit.
    • Select Active Projects.
    • Select the associated Project.
    • Go to the Subcontracts tab, and click on the associated Subcontract No.
    • Select the tab with the paperclip icon.
  11. May outgoing subaward funds be spent as pre-award spending before the prime award is fully executed?
    • A subaward will not be issued, nor payments to a Subrecipient authorized, prior to receipt and acceptance by the Sponsored Programs Office (SPO) of a funding commitment from the prime sponsor. A UC Davis PI or designee may not authorize a subrecipient to begin working without a fully executed subaward agreement in place. Proposed subrecipients who commence work without a fully signed subaward agreement from SPO do so at their own risk and have no assurance of payment from UC Davis.
  12. Are there different instructions for working with international subrecipients and small organizations?
    • Please note that many international subrecipients or small organizations may not be familiar with requirements under federal awards such as obtaining a UEI number and registering in the federal System for Award Management (SAM). As such, PIs who are expecting to receive federal funding and working with an international, and/or a small organization subrecipient, should inform the subrecipient of the potential need to (a) obtain a UEI number and (b) register in the federal System for Award Management (SAM) at the time of proposal. UC Davis is prohibited by Federal law from releasing subaward funding until a UEI number is provided. Further, many international and small organizations do not have a federally negotiated indirect cost rate. If the subrecipient does not have a current federally negotiated rate in place they have the options detailed on the Prepare a Proposal with Subawards page.

Advance Accounts

  1. What is an Advance Account?
    • An Advance account (or Pre-Award Spending) request provides a Principal Investigators (PI) an opportunity to initiate a project and begin accruing charges for that project prior to receipt of a confirmed award. An Advance Account may be established only if certain strict criteria are met. See Request an Advance Account for details.
  2. How do I request an Advance Account? 
  3. Why am I receiving an error message that there are no designated approvers for a department/unit? 
    • This warning displays when there are no College/School level Pre-Award Spending Approvers for the administering unit of the proposal. No action is needed unless the unit code displayed in the warning is the unit code of the administering unit. If the unit code displayed is the administering unit, contact the Role Manager for that unit.
      • How to Identify Role Assignments (length: 0:59 – if the video doesn’t start on the first try — “This video is unavailable” — refresh the video and it should then work.
  4. How do I update the project dates on an Advance Account request I submitted? 
    • If there is an award document from the sponsor, ask the Sponsored Programs Office (SPO) to update the request via email to [email protected]. If there is not yet an award document from the sponsor, send the email to [email protected].
  5. How do I check the status of an Advance Account?
    • From the Cayuse SP Proposal Dashboard, find the applicable proposal.
      1. If you initiated the proposal or are listed on the Investigators/Research Team tab, go to My Proposals and select the Submitted Proposals tab.
      2. If you did not initiate the proposal and are not listed on the Investigators/Research Team tab but have been granted Proposal Data Access by your unit’s Role Manager, go to Proposals in My Unit.
    • On the Proposal Routing Status screen, go to the Advance Account
    • The status will display on the list.
      1. Submitted = Not yet approved
      2. Authorized = Approved (The Sponsored Programs Office (SPO) will also email you when/if the request is approved).
    • For further instructions see Checking Advance Account Request Status in the Handbook for Department Contract & Grant Staff, Principal Investigators and Approvers.
  6. As a Pre-Award Spending Approver, how do I approve/endorse an Advance Account request?
    • Note: Pre-Award Spending Approvers must also be assigned Proposal Data Access by their unit’s Role Manager to view the relevant Proposal attachments.
      1. From the Cayuse SP Proposal Dashboard, select Advance Account Inbox (also referred to as Pre-Award Spending Inbox).
      2. On the Pre-Award Spending Approver Inbox screen, click on the Project Title to download and view a PDF of the IPF.
      3. To view relevant Proposal attachments, note the Proposal Number from the downloaded IPF and find the Proposal from the Proposals in My Unit tab in the Proposal Dashboard.
        1. Click on the Prop No, then on the Proposal Routing Status screen, check the attachments under the Attachments tab (indicated with a paperclip icon) to ensure appropriate and accurate documents are in place. Note: This is where evidence of firm commitment from the sponsor should be saved.
          1. Alternatively, you can click on the Proposal number in the top left of the Proposal Routing Status screen then click on Proposal Attachments in the left column to view and open attachments.
        2. If all looks good and you are in either the School of Medicine or the School of Veterinary Medicine, click open the Notes tab (indicated with a page icon) on the Proposal Routing Status screen and enter a Note that “Advance Account Request is endorsed by the unit.” The Pre-Award Spending Approver for the SOM and SVM Dean’s Office is responsible for the remaining steps.
        3. All other units, return to the Advance Account Inbox and this time for the project, select Manage at the far right.
        4. Select View/Print Advance Account Request to review the description of assurances of funding in the PDF to ensure necessary information was provided.
        5. If you endorse the request, select If you do not endorse the request, select Rejected.
          1. Endorsing the Advance Account Request confirms the administering unit will fund any costs incurred with this request in the event the sponsor does not fund the project.
        6. For further instructions, see Endorsing Advance Accounts (Pre-Award Spending) in Your Unit in the Handbook for Department Contract & Grant Staff, Principal Investigators and Approvers.