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Contracts & Grants - Proposal File Specifications

File Header Record Description
Position Element Length   Field Format
 1 Proposal File Code   (value:'P') 1    Alphanumeric
 2-3 UC Location Code 1 - Major Location 2    Alphanumeric
 4 Header Record Indicator 1    Alphanumeric
 5-24 Literal   (value:'HEADER SP DATA FOR') 20    Alphanumeric
 25 Fiscal Quarter Code - UC 1    Alphanumeric
 26-27 Fiscal Year - UC 2    Alphanumeric
 28-32 Filler 5    Alphanumeric
 33-38 File Creation Date 6    Alphanumeric
39-660 Unused 622   Blank
Total Record Length 660

File Layout - Physical Characteristics
File Name:     SPXPRP.Qqyy
where q is the quarter and yy is the fiscal year
Record Format Fixed Block
Record Length: 660

The input file is to be transmitted via secure FTP (File Transfer Protocol) to UCOP's vsftp server, and deposited in the following directory: ftphome/ftpusr[n] where [n]is the campus numeric code or location alpha code.

1 - Berkeley  8 - Santa Barbara
2 - San Francisco  9 - Irvine
3 - Davis 10 - Merced
4 - Los Angeles ar - Agricultural and Natural Resources
5 - Riverside  u - Office of the President
6 - San Diego lb - Lawrence Berkeley National Laboratory
7 - Santa Cruz

See secure FTP guidelines for vsftp.ucop.edu for more information on vsftp transmittal.

Each transmission will be accompanied by an E‐mail note with the following minimum information: Campus Contact Name and Phone Number File Name Record Count Creation Date - If the file is a resubmission, please indicate it

The file transmittal note should be sent to dwcshelp@ucop.edu.

Position Element Length   Field Format
 1 Proposal File Code 1    Alphanumeric
 2-3 UC Location Code 1 ‐ Major Location 2    Alphanumeric
 4-7 Sponsor Code 4    Alphanumeric
 8-11 Originator Sponsor Code 4    Alphanumeric
 12 Filler 1    Blank
 13 Contract / Grant Code 1    Alphanumeric
 14-63 Project Identifier Number 50    Alphanumeric
 64-319 Project Name 256    Alphanumeric
320 F&A Class Code 1   Alphanumeric
321 Project Type Code 1   Alphanumeric
322-324 Project Duration - Proposed 3   Alphanumeric
325 SBIR/STTR Award Indicator 1   Alphanumeric
326-375 Proposal Identifying Number 50   Alphanumeric
376 Filler 1   Blank
377-386 Project Cost ‐ Proposed 10   Numeric
387-396 Matching Funds 10   Numeric
397-403 Indirect Cost Exception Number 7   Alphanumeric
404-409 Account Number‐Project 6   Alphanumeric
410 Special Fund Source 1   Alphanumeric
411 Filler 1   Alphanumeric
412-441 Principal Investigator Last Name 30   Alphanumeric
442-471 Principal Investigator First Name 30   Alphanumeric
472-501 Principal Investigator Middle Name 30   Alphanumeric
502-512 Principal Investigator Employee Identifier 11   Alphanumeric
513-532 Principal Investigator Researcher Identifier 20   Alphanumeric
533-562 Co‐Principal Investigator Last Name 30   Alphanumeric
563-592 Co‐Principal Investigator First Name 30   Alphanumeric
593-622 Co‐Principal Investigator Middle Name 30   Alphanumeric
623-633 Co‐Principal Investigator Employee Identifier 11   Alphanumeric
634-653 Co‐Principal Investigator Researcher Identifier 20   Alphanumeric
654 Filler 1   Blank
655-660 Transaction Reference Number SPX 6   Alphanumeric
Total Record Length 660

ACCOUNT NUMBER - PROJECT

 Field Length: 6, Type: alphanumeric Applies to: Proposal and Award The number code taken from the campus list of accounts which identifies the actual expenditure account where costs under the project are charged.  For new projects in which no account number has been assigned by the Accounting Office, it is necessary to ascertain and enter one of the responsible department's standard account numbers. The use of the Account Number in the CGX System is to identify the department or ORU name, by reference to the campus list of account numbers, and to identify the academic discipline.  If an Account Number not in the campus list of accounts is used, this will result in the contract, grant or cooperative agreement being disassociated from the appropriate department.


CONTRACT/GRANT CODE

Field Length: 1, Type: alphanumeric Applies to: Proposal and Award All award and proposal transactions, including project agreements, task orders or individual awards issued pursuant to a Basic Agreement or Master Contract, must indicate whether they are for a contract, grant or cooperative agreement. If an award instrument is not identified by the sponsor as a grant or cooperative agreement, it may be identified as a contract.
K   Contract G   Grant A   Cooperative Agreement


F&A CLASS CODE

Field Length: 1, Type: alphanumeric Applies to: Proposal and Award The nature of the project for purposes of broadly categorizing Indirect Cost Recovery or Facilities & Administration rates.   The categories of “Instruction”, “Organized Research” and “Other Sponsored Activities” generally follow the definitions provided by OMB Circular A-21, “Cost Principles for Educational Institutions”.  Two additional categories are recognized “Intergovernmental Personnel Agreement” and “Other”.

I    Instruction Organized Research S   Other Sponsored Activity P   Interagency Personnel Agreement O  Other

F&A Class Code Definitions:

From OMB Circular A-12 “Instruction means the teaching and training activities of an institution. Except for research training as provided in subsection b, this term includes all teaching and training activities, whether they are offered for credits toward a degree or certificate or on a non credit basis, and whether they are offered through regular academic departments or separate divisions, such as a summer school division or an extension division. Also considered part of this major function are departmental research, and, where agreed to, university research….

Organized research means all research and development activities of an institution that are separately budgeted and accounted for. It includes:
(1) Sponsored research means all research and development activities that are sponsored by Federal and non Federal agencies and organizations. This term includes activities involving the training of individuals in research techniques (commonly called research training) where such activities utilize the same facilities as other research and development activities and where such activities are not included in the instruction function.
(2) University research means all research and development activities that are separately budgeted and accounted for by the institution under an internal application of institutional funds. University research, for purposes of this document, shall be combined with sponsored research under the function of organized research.   Other Sponsored Activities means programs and projects financed by Federal and non Federal agencies and organizations which involve the performance of work other than instruction and organized research. Examples of such programs and projects are health service projects, and community service programs. However, when any of these activities are undertaken by the institution without outside support, they may be classified as other institutional activities.”

Intergovernmental Personnel Agreements means assignments made to or from Federal agencies.

Other means awards that can not be categorized as any of the above for F&A purposes.”


INDIRECT COST EXCEPTION NUMBER 

Field Length: 7, Type: numeric Applies to: Proposal and Award The number assigned by the Indirect Cost Exception module of the Research Enterprise Management System (REMS).   Any project involving less than full indirect cost recovery, as determined by University policy, should be associated with an Indirect Cost Exception Number.


MATCHING FUNDS

Field Length:10, Type: numeric Applies to: Proposal and Award The amount of State funds, if any, pledged as matching funds in awards. Matching funds are reported to the Office of the President as the current cumulative total amount of matching funds, not the amount of increase or decrease. This is in contrast to reporting changes in the "Award Amount". There is no ultimate difference between matching and cost sharing, rather the difference is categorically made by the sponsor and in the absence of a categorical assertion by the sponsor then is a matter of degree. For reporting purposes, matching funds means a University contribution of 19900 funds (in cash, or in-kind values that are funded by 19900 funds). Matching excludes cost sharing which is voluntary and not legally obligated to be performed or is provided under institutional cost sharing agreements.


PRINCIPAL INVESTIGATOR LAST NAME

PRINCIPAL INVESTIGATOR FIRST NAME

PRINCIPAL INVESTIGATOR MIDDLE NAME

Field Length: 30, Type: alphanumeric, each name field Applies to: Proposal and Award The full name of the principal investigator.  Name data should match PATH names.


PRINCIPAL INVESTIGATOR EMPLOYEE IDENTIFIER

Field Length: 11, Type: alphanumeric Applies to: Proposal and Award


PRINCIPAL INVESTIGATOR RESEARCHER IDENTIFIER

Field Length: 20, Type: alphanumeric Applies to: Proposal and Award This data element is intended for future use, when the ORCID system or similar identifier system is implemented by the University.


CO-PRINCIPAL INVESTIGATOR LAST NAME

CO-PRINCIPAL INVESTIGATOR FIRST NAME

CO-PRINCIPAL INVESTIGATOR MIDDLE NAME

Field Length: 30, Type: alphanumeric, each name field Applies to: Proposal and Award The name, if any, of the investigator who is working with the Principal Investigator on the sponsored project.  Name data should match PATH names.


CO-PRINCIPAL INVESTIGATOR EMPLOYEE IDENTIFIER

Field Length: 11, Type: alphanumeric Applies to: Proposal and Award


CO-PRINCIPAL INVESTIGATOR RESEARCHER IDENTIFIER

Field Length: 20, Type: alphanumeric Applies to: Proposal and Award This data element is intended for future use, when the ORCID system or similar identifier system is implemented by the University.


PROJECT ID NUMBER

Field Length: 50, Type: alphanumeric Applies to: Proposal and Award Every Proposal and Award record must be associated with a Project Identifier Number.  The purpose of this identifier is to establish a connection between multiple proposals associated with a single project that have different Proposal Identifying Numbers and multiple awards associated with a single project that have different Award Identifying Numbers, as is often the case with award renewals and continuations.  If the local data system does not automatically provide such an overarching identifier, then reporting locations may use an arbitrary number or a project’s initial Proposal Identifying Number as the Project Identifier Number, so long as that is maintained for the lifespan of the project.


PROJECT NAME

Field Length: 256, Type: alphanumeric Applies to: Proposal and Award The complete descriptive title of the project. The title should not contain acronyms and should clearly convey the activity for which funding has been received.


PROJECT TYPE CODE

Field Length: 1, Type: alphanumeric Applies to: Proposal and Award Identifies the award or proposal by purpose and nature of the major activity supported by the award.  The categorization by purpose may not always correspond to the F&A Class Code, as in the case of a grant that is coded as “Instruction” in terms of F&A , but the main activity is research.  The project type is reported for the total award, not for the individual transaction. For instance, if a modification to a basic research project is made to authorize equipment purchase, the project type remains basic research. All awards and proposals must be identified by one of the following: 1 - Basic Research 2 - Applied Research 3 - Developmental Research A - Clinical Trial Research 4 - Other Research 5 - Training 6 - Public Service 7 - Other Service 8 - Equipment B - Material Transfer C – Scholarship or Fellowship 9 – Other
Project Type Code Definitions:
1. Basic Research - research that is directed toward increase of knowledge in science wherein the primary aim of the investigator is a fuller knowledge or understanding of the subject under study, rather than a clear or direct practical application thereof. This includes analytical and experimental activities that primarily seek to increase the understanding of fundamental phenomena. The end product is usually a report, although experimental hardware may be involved. In basic research, the particular use of the knowledge is not foreseen or identified at the beginning of the effort.
2. Applied Research - consists of the effort that: 1) normally follows basic research, but may not be severable from the related basic research; 2) attempts to determine and expand the potentialities of new scientific discoveries or improvements in technology, materials, processes, methods, devices, and techniques; and 3) attempts to "advance the state of the art".  Applied research involves the study of phenomena relating to specific, known needs in connection with the functional characteristics of a system. Applied research does not include any efforts where the principal aim is the design, development, or test of specific articles or services to be offered for sale, which are within the definition of the term development.
3. Developmental Research - the systematic use and practical application of investigative findings and theories of a scientific or technical nature toward the production of, or improvements in, useful products to meet specific performance requirements, but exclusive of manufacturing and production engineering. The dominant characteristic is that the effort be pointed toward specific problem areas to develop and evaluate the feasibility and practicability of proposed solutions and determine their parameters. Development includes studies, investigations, initial hardware development and ultimately development of hardware, systems or other means for experimental or operational test.
A. Clinical Trial Research - the controlled clinical testing of investigational new drugs, devices, treatments or diagnostics, or comparisons of approved drugs, devices, treatments, or diagnostics, to assess their safety, efficacy, benefits, costs, adverse reactions, and/or outcomes, if any, in human subjects. Such studies may be conducted under either a sponsor-developed or an investigator-developed protocol. These studies are conducted in conjunction with obtaining new drug or device approval from the U.S. Food and Drug Administration, under Phase I, II, III, or IV. Pre-clinical laboratory studies or studies in animals are not included under the term clinical trial research and neither are projects designed to develop new compounds, as well as test them; such projects are reported in one of the other research categories.
4. Other Research - used only if a research project cannot be classified as basic, applied, developmental, or clinical trial research.
5. Training (benefiting the University) - for the purposes of reporting to Office of the President, this category means the conduct of scholarly, professional or occupational instruction for matriculated students or University employees in forms such as classes, seminars, workshops, conferences, etc. This category includes sponsorship of students or employees who are "in training" primarily but not exclusively at the graduate and postgraduate levels. The scope of this code also includes sponsored training awards made to The Regents which provide for selection of student recipients by academic departments, and the institutional support which is either included in the training grant or is applied for and awarded separately. Excluded from this group and from this contract and grant information requirement are fellowships or other similar awards made directly from sponsors to students, and Student Aid programs.
Awards and proposals that require both the development of training materials and the conduct of training as part of the same award should be identified as Training, (Category 5).
Awards and proposals that are primarily for development of training materials and curricula should be identified as Developmental Research, (Category 3).
Training projects that are intended for the training to be conducted by the University for presentation to and for primary benefit to the public, i.e., individuals or groups external to the University, should be identified as Public Service, (Category 6).
6. Public Service - as the term is interpreted in the context of sponsored projects, Public Service means externally sponsored projects where the sponsor, particularly the Federal and state Government, desire to have the University provide the benefits of scholarly or professional training or services to individuals or sponsor-designated recipient groups that are external to the University. Examples of public service may include programs such as those sponsored by the Agency for International Development, the National Endowment for the Humanities and the National Institutes of Health in the area of biomedical services or training. The principal characteristic of public service is that individuals and groups external to the University are the intended beneficiaries.
7. Other Service - includes services which the University provides or makes available which do not fit within the categories of training or public service, such as the use of University facilities as provided by Regulation 4.
8. Equipment - applications or awards that are restricted by the sponsor for the sole purpose of the University's procurement of equipment. This may include direct grants of equipment, or full or partial funding to enable the University to purchase equipment, where in both cases the sponsor intends to transfer or have title to the equipment vest in the University.
B. Material Transfer - used for agreements whose sole purpose is to govern the transfer of materials to the University from the provider, wherein the provider restricts the use of the material to a designated research project. Such agreements often include rights granted back to the provider. Materials may include, but are not limited to, cultures, cell lines, plasmids, nucleotides, proteins, bacteria, transgenic animals, pharmaceuticals, devices, models, reagents or other chemicals. When terms pertaining to the transfer of materials are integrated into an agreement that provides for both the funding of research and the transfer of materials, use the project type appropriate for the financial transaction (e.g. Basic Research).
C. Scholarship or Fellowship - used for awards that are intended to support students or post-doctoral fellows through payment of tuition and fees, as a stipend, or in support of project work.  The award funds may be used to conduct research as part of the individual student’s or postdoctoral fellow’s program of study or training.
9. Other - to be used only if a project can not be classified by one of the above categories.


PROPOSAL FILE CODE

Field Length: 1, Type: alphanumeric Applies to: Proposal Every record in the Proposal Data File, including the Header Record,  must begin with the letter ‘P’, signifying that the data pertain to Proposals.


PROPOSAL IDENTIFYING NUMBER

Field Length: 50, Type: alphanumeric Applies to: Proposal An identifying number assigned by the campus contract and grant office. Some campuses have formulated a system that allows the proposal number to convey information concerning the fiscal year in which the proposal is made and in some cases to indicate whether the proposal is a revision or a multiple solicitation. Numbers assigned by sponsors to their requests for proposals, invitations for bids, or other solicitation methods, etc. are not to be used.  Proposal Identifying Numbers are required when reporting Awards in SPX.


PROJECT COST - PROPOSED

Field Length: 10, Type: numeric Applies to: Proposal Enter the anticipated project cost including indirect costs. The first time the proposal is reported, the Proposed Project Cost will be the total anticipated project cost. When reporting subsequent revisions to the proposed project cost (required in the original reporting quarter only), only the amount of change (positive or negative) will be reported.


PROJECT DURATION - PROPOSED

Field Length: 3, Type: alphanumeric Applies to: Proposal The number of months proposed as the performance period.


SBIR/STTR AWARD INDICATOR

Field Length: 1, Type: alphanumeric Applies to: Proposal and Award Federal Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Awards are identified with this indicator.


SPECIAL FUND SOURCE

Field Length: 1, Type: alphanumeric Applies to: Proposal and Award This data element is used to identify special funding programs. It is currently used to identify ARRA (Recovery Act) funds and may include other values in the future.


SPONSOR CODE

Field Length: 4, Type: alphanumeric Applies to: Proposal and Award All contract and grant activity must be reported using sponsor codes that identify the organization sponsoring the project. Sponsor codes are provided on the Sponsor Code Table maintained and updated by campuses and the Office of the President.


ORIGINATOR SPONSOR CODE

Field Length: 4, Type: alphanumeric Applies to: Proposal and Award When the University receives a subaward or subcontract, the Originator of the award, which may be a governmental agency or a private entity, is identified with the Originator Sponsor Code data element.  The Sponsor Code data element is used to identify the Prime Contractor for the award or contract, that is, the party issuing the subaward or subcontract to UC.


TRANSACTION REFERENCE NUMBER SPX

Field Length: 6, Type: alphanumeric Applies to: Proposal and Award The Transaction Reference Number is assigned at the option of the campus and is not required. It is a number derived from a source document or generated by the system which uniquely identifies a transaction on a campus input file. It is printed on edit reports when invalid data is encountered to facilitate identifying the unique source document or system generated transaction causing the error.


UC LOCATION CODE 1- MAJOR LOCATION

 Field Length: 2, Type: alphanumeric Applies to: Proposal and Award Identifies the major organizational unit within the University submitting the data. 01 - Berkeley 02 - San Francisco 03 - Davis 04 - Los Angeles 05 - Riverside 06 - San Diego 07 - Santa Cruz 08 - Santa Barbara 09 - Irvine 10 - Merced 20 - Office of the President 21 - Lawrence Berkeley National Laboratory 52 - Agriculture and Natural Resources