ATTACHMENTS

• The Proposal Attachments section is the primary repository for most proposal documents on Grants.gov submissions.
  • Proposal: Upload all major documents for submission to Grants.gov via S2S into this tab (Research Strategy/Project Description, Specific Aims, Facilities, etc.). Best practice is not to use this tab for Non-S2S Proposals.
  • Personnel: Upload all personnel documents for submission on grants.gov into this tab (Biosketches, Current and Pending Support documents, & Conflict of Interest forms). Best practice is not to use this tab for Non-S2S Proposals.
  • Abstracts: Used to complete text boxes for specific S2S forms (please refer to the solicitation)
  • Internal: Upload UMass specific/internal documents needed for the OPAS-Review. This is also where you upload documents being sent to an email recipient such as a foundation or the lead organization when UMass is a subrecipient.
  • Notes: This is an optional field that can be used to provide information to the OPAS-Reviewer.
• Users can upload documents in bulk to minimize effort.
• Files should be marked appropriately as either DRAFT or FINAL. Please refer to the UMass 5-Day Proposal Submission Procedure.
• See also Attaching Files for more information.

ACCESS & SUPPLEMENTAL INFORMATION TABS

• Users can add access by other users on a proposal by proposal basis in the Access section. The recommended role for maximum editing rights is Aggregator Document Level.
• Please include both pre-award and post-award administrator contact information in the Supplemental section. The pre-award contact is usually the proposal developer or Kuali aggregator. The post-award contact is usually the department/college post-award business manager, research administrator, or bookkeeper. 

SUMMARY/SUBMIT

The Summary Submit screen provides a series of tabs with information across the entire proposal so that you can better review the proposal from this single tab.

For help with logging in, see the Kuali Research FAQ page. 

Overview

The Kuali Research Dashboard offers quick access to common tasks as well as links to all the Kuali Modules. It is the main page that users will see when logged into the Kuali Research system. It gives users tools to manage in-progress documents like proposal routing and approvals. A detailed overview can be found on the Kuali Knowledge Base.

Common Tasks

The Common Tasks tab in the Kuali Research Dashboard allows easy access to commonly used links in the application.

 

Proposal Workload

The Proposal Workload tab in the Kuali Research Dashboard shows all routing proposals at a specific approval stop and serves as a workload management tool. It allows a PI to see how busy the research administration office is.

 

 

Supplement

A supplement adds funding to an existing grant/contract typically either through supplementation or amplification of the original aims of the project. A revised scope of work and budget are typically in play.

If a Grants.gov (S2S) submission requires a “Revision” proposal type, select Supplement as the proposal type within Kuali. This designation is generally only used by the National Institutes of Health (NIH) for supplemental funding requests.

NIH also uses the Revision option for Change of Grantee Organization applications – applicable for incoming faculty transferring NIH awards to UMass from another institution. Again, within Kuali, select Supplement. Contact OPAS using the PI Arrival Questionnaire to coordinate the grant transfer process.

Proposal types used only by OPAS:

• New – Changed/Corrected
• Renewal – Changed/Corrected
• Resubmission – Changed/Corrected
• Supplement – Changed/Corrected
• Revision (S2S/NIH only) – Changed/Corrected

How to search for the existing Award ID (including legacy awards, Continuations, Supplements, Renewals, and some P&As and Internals)

Log in and select Common Tasks in left pane.

Next, select Search Awards.

 

On the Award Lookup page, enter as many search fields as needed to hone in on the targeted award (e.g. PI, Award Title, Sponsor, etc). Experiment with this. If a search field has a magnifying glass icon, select it and then search and “return value”.

• Use *asterisks* in front and back of the search terms – see Award Title field below.
• If searching by title, sometimes including fewer words from the title are better – try searching using a distinct two or three words only. Sometimes a title will change from one award action to another by just one word.
• After searching, run a report by selecting spreadsheet (found below the chart on the left).

 

• Next, select the Custom Data tab.
• Then select by Legacy Data click the hide button to review legacy (SmartGrant) data and confirm correct linkage.

 

Once the correct Kuali Award ID has been identified, add the Award ID Parent in the Award ID field (see below) for proposals under development. This applies to the following proposal types: Continuations and Supplements and when applicable Renewals. It also applies to some P&A (Unrestricted Award) and Internal (No Submission) if the award action should be added to an existing account.

Objective: Kuali offers the ability for faculty to identify and affiliate their proposal with active Centers and Institutes. This offers the opportunity to gain insight and run reports on Center and Institute productivity and allows RTF to be manually assigned to a Center or Institute based on identified and approved distributions. It is also the mechanism to add Center and Institute approvers to the proposal routing and approval list (as is the case for Institute for Applied Life Science (IALS) proposals).

STEP 1 - Log in to Kuali with your NetID and password and click Create Proposal.

STEP 2 - Enter the relevant information under the Basic tab to create a proposal.

STEP 3 - Click the Key Personnel tab on left and click the down arrow next to the Lead PI’s name.

 

STEP 4 - Click the Unit Details tab.

 

STEP 5 - Click Lookup/Add Multiple Lines as shown below. When the appropriate Center information appears, check the box as indicated below and click return selected.

TIP: Use Wildcard asterisk (*before and after*) to assist with searching for a specific Center or Institute.

 

Overview: Submitting a proposal through Kuali requires faculty to identify Facilities and Administration (F&A), also known as Indirect Cost, cost distributions to Research Trust Funds (RTF) for PI and Co-PIs as well as affiliated departments, colleges, and where applicable, centers and institutes. The distributions are as follows:

• 10% is distributed to participating Investigators as appropriate
• 8% is distributed to participating departments as appropriate
• 8% is distributed to participating schools/colleges as appropriate
• The cumulative RTF should sum to 26% in Kuali
• NOTE: A portion of the 26% can be assigned to centers and institutes where applicable. Affiliated Centers and Institutes must be added in the Unit Look up within the PI’s Personnel area in order to have a percentage assigned.
• NOTE: Institute of Applied Life Sciences (IALS) distributions do NOT need to be filled out in Kuali

Kuali also asks for Intellectual Credit distributions. The term Intellectual credit is used in the Kuali Proposal module to indicate how the PI and any Co-PIs will be credited for expenditure under the project. The data entered in the Intellectual credit section will be used by the campus to allocate credit for research expenditures to the home department of participating faculty in campus reporting of sponsored research expenditures (e.g., PI & co-PI each 50% credit on a $100,000 would end up reporting $50,000 each in expenditures).

• Intellectual credit should equal 100% on the Faculty fields.
• IMPORTANT: Regardless of how many PIs you have on the file or how the Intellectual Merit is split up, make sure that each PI has 100% listed next to their department line as well. This will prevent a data validation error.

STEP 1 – Click the Key Personnel Tab then Click Credit Allocations

 

STEP 2 – Enter in the appropriate amounts. Do NOT use the % sign and enter in whole numbers. Example: For 10% just enter 10. Click Save to load figure and verify totals.

Attaching Files in Kuali for Grants.gov and other Submissions

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Forms and User Attached Forms (Fillable PDF Forms)

Most forms are ported into Kuali from Grants.gov when you link to an opportunity. If some forms are not available in Kuali, you may need to load the form as a User Attached form before you will be able to connect to the opportunity. There are a couple of other places where fillable forms may be uploaded. However, do not upload any fillable forms in the Kuali Attachment section. This will cause a Grants.gov error on submission, even if Kuali does not generate a validation error prior to submission.

The two other places where you may need to upload a fillable form are both used predominately for NIH submissions: the Human Subject Study Attachment and the R&R Subaward Budget.

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NIH Human Subject Study Record

When developing a System-to-System NIH proposal with human subjects, PIs are often required to complete a Human Subjects Study Record. To include the study record, navigate to the Compliance tab in Kuali, then click Add compliance entry. Choose Human Subjects from the Type dropdown and Pending from the Approval Status dropdown. At the bottom, you will see Human Study Attachment with a Choose File button. This is where the Study Record is uploaded.

 

Download the PHS Human Subjects and Clinical Trials Information Form from Grants.gov. Open this form in Adobe, and click Click here to extract the Human Subject Study Record Attachment (you may need to answer the ‘Are Human Subjects Involved?’ and ‘Is the Project Exempt from Federal Regulations?’ questions ‘Yes’ and ‘No,’ respectively, before you are able to extract the Study Record).

 

For the Kuali S2S function to work properly, fillable PDF forms must be in the Forms section in the S2S Opportunity section, either as a Kuali provided form or as a User Attached form. As an exception, the Human Study Record form must be attached in the Compliance section under the Human Subject Pending entry. R&R Subaward budget form likewise gets attached via the Budget module under Subaward.

Save the extracted Study Record, open it in Adobe, and complete it, answering all the required questions and attaching all of the required attachments. If you are unsure which questions and attachments are required in your specific situation, please see the Study Record section of the Application Guide.

 

 

Search for the subrecipient organization by clicking the magnifying glass to the right of Organization ID. Once you have found your subrecipient, click Choose File next to File Name, and upload the RR Budget that the subrecipient provided, then click Add Subaward.

 

Be sure that you provide the subrecipient organization with the correct Grants.gov RR Budget form, downloaded from Kuali. It must be in PDF form – scanned documents will not work. Also, be sure to check that they have properly filled out the form. Check that the UEI is correct, that Subaward/Consortium is checked to the right of Budget Type, and that the budget period start and end dates are consistent with the UMass budget. Even if the subaward is for one year and the project is five years, the subaward budget must have the same number of periods and the same period start and end dates as the UMass budget.

 

Once you have successfully uploaded the subaward budget(s), the subaward amounts will automatically be added to the UMass budget.

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Attaching Files in Kuali – Non-S2S Submissions

For proposals that are submitted to the sponsor via a sponsor’s portal (such as NSF’s Research.gov or ProposalCentral), most of the files attached to a proposal will go in the Attachment section in Kuali, under the Internal Tab. You can use the Description field to let OPAS know which files go to the sponsor. For an email submission, it’s also okay to use the Proposal tab to show which files need to go to the sponsor. Warnings about the filenames can be ignored in this case.

Below is a summary of how to view, review, and approve proposals to the Office of Pre-Award Services (OPAS) for sponsor submission.

Procedure Overview: Kuali routing requires the standard two-stage approvals process (i.e. department and college level approvals). Please be aware of the OPAS five-day submission requirement, which requires that the proposal and all approvals be complete before OPAS logs in the proposal,  and includes the two- day deadline for final science documents.

IMPORTANT: Principal Investigators (PIs) and Co-PIs must complete two steps during routing if they have not certified the proposal prior to routing for approvals. Certification involves directly answering a few questions in the Proposal Person Certification Questionnaire which is found in the Key Person tab, in the Proposal Person Panel. When approving, PIs and Co-PIs will receive an error warning. Click Fix It and then Certify. Then go back to the Summary/Submit tab and Approve. See Kuali Knowledge Base Summary/Submit instructions for more details.

STEP 1 – When a proposal is ready for review, all approvers and delegates will receive an email with a link to the proposal and the option to go to your Action List (if you have multiple proposals to review).

Alternatively, you can log directly into Kuali and find proposals needing your approval via the Dashboard. See guide on Logging in and Navigating the Kuali Dashboard for additional information.

STEP 2 – Proposal Summary – When you access the proposal record, you can review proposal related information prior to routing, including: credit allocations, questionnaires, routing map, etc.

 

STEP 3 – Evaluating Credit Allocations – Click the Credit Allocation tab to evaluate both RTF and Intellectual distributions.

IMPORTANT: Regardless of how many PIs you have on the file or how the Intellectual Merit is split up, make sure that each PI has 100 listed next to their department line.

 

STEP 4 – Evaluating Budget – Click the Budget Summary tab to view and evaluate the budget.

 

STEP 5 – PI Certification (only for Key Personnel on the routing map) - When entering the proposal for review and approval click Approve.

 

From there a data validation will appear. Where is says “The Investigators are not all certified...”, click the blue Fix It link.

 

Investigators need to answer the certifications question, then click save.

PLEASE NOTE: AFTER INVESTIGATORS CERTIFY, THEY MUST GO BACK TO THE SUMMARY/SUBMIT SCREEN TO APPROVE.

 

STEP 6 – Approve or Return Proposal – On the Proposal Summary screen, click Approve or Return.

Reviewer/Approver Actions: The following are the approver options when a document is routed:

• Approve: This signifies your approval of the proposal and allows it to continue along the workflow path. You may receive a message asking if you wish to receive future approval requests if you also appear in a future workflow stop. Clicking Yes will require you to approve again at the future stop, whereas, clicking No will automatically approve on your behalf at the future stop.
• Return: If the proposal requires substantial corrections, the return action will return the proposal to the aggregator for necessary changes. If you click Return, you must then enter a reason for the action in the confirmation window that appears. Once returned, all of the proposal details, narratives, and budget can be fully edited by the aggregator and then resubmitted into the approval routing workflow for submission.

Other Resources

See also Kuali Knowledge Base instructions, including those for Ad Hoc Routing.

KEY CONCEPTS IN BUDGETING

For the purposes of proposal budgeting:

Academic Calendar: 9/1 - 5/31
Summer Calendar: 6/1 - 8/31
Calendar Year: Use the full budget period

• There will likely be multiple entries per person either for AY or summer effort. *See below for Scenarios
• Cost of Living Increases (COLAS) are calculated on July 1.
• Cumulative grant year effort should begin and end with the proposed project periods.
• Object Codes drive and assign the appropriate fringe benefit rate.
• Key Concept: Salary is entered with % of effort and not months (the system will do the translation to months for sponsor forms).

EXAMPLE SCENARIOS (This does not apply to faculty with Calendar Year [12M] Appointments)

• The start date is in the Academic Year and a faculty member is budgeting both Academic and Summer effort. You need TWO Academic entries and ONE Summer entry:

 

• The start date is in the Academic Year and a faculty member is budgeting only Academic effort. You need two Academic entries and no Summer entries:

 

• The start date is in the Academic Year and a faculty member is budgeting only Summer effort. You need only one Summer entry:

 

• The start date is in the Summer and faculty member is budget Academic and Summer effort. You need two Summer entries and one Academic entry:

 

• The start date is in the Summer and faculty member is budgeted for only Academic effort. You need only one Academic entry:

 

• Start date is in the summer and faculty member is budgeted for only summer. You need two Summer entries and no Academic entries:

 

AUTOCALCULATING – REPLICATING BUDGET PERIODS

• Kuali will replicate budget periods either by selecting clicking on “Autocalculate Periods” in the upper right hand corner of the Budget screen. Alternately, it will also ask you if you’d like to Autocalculate periods when you hit the Save and Continue after adding all your non-personnel entries into the first budget period.
  • NOTE: Once you click on the “Autocalculate Periods” button and confirm this process, than the button will disappear. However, if you delete ALL costs (including non-personnel) in the out years, the “Autocalculate button will reappear.
    • Non-personnel items can ALWAYS be extended into the out years by clicking on the line items “Details” screen and selecting the “Save and Apply to Other Periods” button.
  • NOTE: If you have a cost item that is only for one year it may be preferred to auto calculate first, then add the entry. Otherwise, you will need to delete those items in the other years.

SUBAWARDS

Kuali ZenDesk Proposal Budget - Subawards

• Subaward costs should be added to the Subaward tab. DO NOT add subaward values via the Non Personnel tab. These costs will then be added to the overall budget. For S2S proposals, make sure you upload the subrecipient R&R Budget into this screen.

PRINTING BUDGET & EXPORTING TO EXCEL

• The quickest and easiest way to share the budget with your PI is to navigate to the Summary Budget tab, expand all of the fields, select all table rows and then copy and paste the table into Excel. Formulas will not populate.
• To print a detailed PDF budget, click Budget Versions in the upper right hand corner, then click on the Action dropdown menu and select Print. Various budget reports will be available to print. 1 Budget Costshare Summary Report (if the budget includes cost-share) or 4 Budget Summary Report are good options that show the most detail. Select 5 Budget Summary Total Report to get a one page overview of the budget.

SUBAWARDS

View the Kuali Knowledge Base (ZenDesk) Proposal Budget - Subawards for step by step instructions and visual guidance.

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Add Subrecipients in ORGANIZATIONS & LOCATIONS Tab

1. Always add subrecipients (previously called subcontractors) in the Other Organizations tab.
2. Click the blue Add Organization button to search for your subrecipient organization.
3. If the organization is not in the system, use the Organization (Subrecipient) Request Form to have it added.
4. If this is a Grants.gov proposal, don’t forget to add the Congressional District.
   1. Click the white + Add Congressional District button.
5. Be sure to check the Yes, this proposal includes subawards box on the Sponsor & Program Information screen

NOTE: If there is no UEI Number listed, then you will need to make a request to R&E Help Desk to have it added.

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Add Subrecipient Key Personnel in PERSONNEL Section if required

1. This step is not required or desired if the proposal is not being submitted S2S.
2. Click the blue Add Personnel button.
3. Select Non-Employee.
4. Search for the subrecipient personnel or manually add the person in the Address Book by clicking Add New Address Book in in the upper right corner.
5. Fill out as much detail as possible including; Email, Phone and Address including 9-digit zip code.
6. Once added or selected, assign the role of Key Person and identify their role. Examples: Subrecipient PI, Subrecipient CO-I, etc.
7. Do not assign any non-UMass Amherst personnel the PI or Co-PI role. They must be assigned as a Key Person only. 

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Add the Subrecipient to the KUALI BUDGET under SUBAWARDS Tab

1. Click the white + Add Subaward button.
2. Search for Subrecipient Organization.
3. Once the organization is added, you can manually add the Direct and F&A Costs for each subrecipient for each year.
4. If a detailed R&R Subaward Budget Form is required (as when you are submitting a detailed NIH budget), upload the completed fillable R&R budget form. See also S2S Proposals - Using the Correct R&R Subaward Budget for more information.
5. Subrecipient cost will then be populated in the UMass Prime Budget.

Overview: Follow the instructions below to copy a proposal in the Kuali Proposal Development module in order to create a Revised Budget proposal. See also Kuali Knowledge Base article: Proposal - Copy.

STEP 1: Log in to Kuali and navigate to Common Tasks. Under Proposal Development, click Search Proposals and find your original proposal. Under the Actions column, select copy.

You can also copy an open Proposal Development record by clicking COPY in the top navigation bar.

STEP 2: The Copy to New Document dialog box will be displayed (if you use the second method to copy, the dialog box will be titled Copying this single proposal but will have the same selection choices). Select the Lead Unit from the drop down list. Check the box next to Yes. Include budget(s). If you need to include the attachments then click the box next to Yes. Include attachments. The Yes. Include questionnaires box will already be checked. Click Copy.

 

STEP 3: The Proposal Details screen will be displayed. Review the information that was copied from the original submission. Select Revised Budget from the dropdown list next to Proposal Type. A new field named Original Institutional Proposal ID was created when you selected Revised Budget.

 

STEP 4: Click the magnifying glass next to the Original Institutional Proposal ID field. The Institutional Proposal Lookup dialog box will appear.

 

Step 5: Type the PI’s name in the Proposal Person field. Click Search.

 

STEP 6: A list of the PI’s proposals will be returned. Under the Actions column, select the record for the original proposal – review carefully. Click Save.

 

The Original Institutional Proposal ID field has been populated.

 

STEP 7: Navigate to the Delivery Info screen and indicate how the revised budget will be submitted. Click Save.

 

STEP 8: Navigate to the Sponsor & Program Information screen and complete the Sponsor deadline and Sponsor Deadline Type fields.

 

STEP 9: Navigate to the Budget tab and revise the budget.

STEP 10: Load any necessary documents to the Attachments section. Remove any that are no longer relevant.

STEP 11: Complete the Revised Budget Questionnaire under the Questionnaire section. If the budget change is 25% or greater, the proposal will get re-routed for internal approvals. Otherwise, it will by-pass routing.

 

STEP 12: Once finished, navigate to the Summary/Submit screen and click the Submit for Review button.

Overview: Follow the instructions below to update proposal and budget periods for a proposal in the Kuali Proposal Development module.

STEP 1 – Search for your proposal and click Edit to open it in modify mode. The proposal should open with Proposal Details as the default display.

 

STEP 2 – To modify the proposal start and end dates, in the Proposal Details section click in the first Project Dates field (the start date) and override the existing date with the new start date. Then repeat the step for the end date field. Click Save at the bottom of the screen to save your changes.

 

STEP 3 – Once you change the project start and end date in the Proposal Details section, you will need to carry this change to the Budget dates. Navigate to the Budget screen and then click the blue hyperlink for the Budget Version you are currently working on.

 

STEP 4 – Once inside the correct Budget Version, navigate to the Periods & Totals section. When you access this panel, you will see that the Period Start and End Dates reflect the original Project Dates (the dates before the change in the Proposal Details section).

 

STEP 5 – Kuali does NOT automatically update the Budget start and end date after the proposal start and end dates have been modified. To modify the Budget dates so they match the dates in the Proposal Details section, click the Reset to period defaults button.

 

STEP 6 – A message should pop up that states: “Changing the budget period dates will result in changes being made to line item Expenses & recalculation of the budget. Do you want to proceed?” Click Yes.

 

STEP 7 – You will notice the Periods & Totals panel will be updated with the new budget periods:

 

Step 8 – Next Navigate to the Rates section and click the Sync All Rates button in the upper right.

 

STEP 9 – Next you will need to update the start and end dates of the Personnel Cost elements. Navigate to the Assign Personnel to Periods section to make the required changes.

 

As you can see here the dates for the calendar year appointment have changed appropriately to the updated start and end dates. However, the summer salary for the PI has simply shifted forward one month in accordance with the one month shift in our start date. Therefore, we need to update the summer salary start and end dates to match our correct summer period (June 1^st through August 31^st). This will also occur with academic salary appointments.

STEP 10 – Click the Details button and adjust the associated start and end dates as necessary.

 

Repeat Step 9 for all academic and summer appointments within your budget to ensure accuracy.

Overview: Sponsors sometimes require specific budget period start and end dates that are not aligned with standard 12-month project year start and end dates. Kuali has great flexibility when setting up non- standard budget periods (i.e. shorter or longer than 12 month periods). However, there are some key steps to take to be sure that budgets calculate as expected.

STEP 1 - Enter the overall start and end dates in Kuali under Basics > Proposal Details.

 

STEP 2 - Create a summary or detailed budget as needed. Click Periods & Totals to see the Period Start and End Dates that Kuali automatically creates. Note that the default is that all periods are for one year.

 

STEP 3 - Adjust all period dates before adding any costs. Adjust the dates in chronological order to avoid gaps in time. Save before adding additional budget periods. Kuali will warn you if the periods are not set up correctly. Click Save or Save and Continue. Below you can see that we now have a shorter first and last period.

 

For Graduate and Undergraduate Employees on Week-Based Appointments:

• In order to accurately enter the effort percentage for graduate students in Kuali, you must calculate based on hours/week during the time frame in question. The easiest way to do this is:
  
  Hours per week effort budgeted /40-hour week = % effort to enter in Kuali
   
• What if the student is working seven hours per week during the summer, but you only have one summer month available in one budget period and two summer months in another budget period? 7/40 = 17.5%, so enter 17.5% for each time frame regardless of length.
• What if the PI asks to budget a student at less than 38 AY weeks or less than 14 summer weeks? Just figure out the total number of hours that will be worked and divide by the number of hours available during that time frame. For example:
  
  10 hours x 8 weeks = 80 hours = 25%
  40 hours x 8 weeks = 320 hours
   
• Alternatively, you can also use the Kuali Salary Guide’s Graduate Student Calculator and adjust the number of weeks in the boxes highlighted in a peach color.

• Please note that the weeks highlighted in green should NEVER exceed those that are highlighted in peach. In fact, you should only change the numbers highlighted in peach when you have a period that is less than 12 months. 
• Once you have changed the weeks column that is highlighted in peach to represent the proper number of academic weeks and summer weeks in your shortened period, you can then move forward and use the graduate student calculator as it was originally intended.

Remember to enter the effort for the entire first year of the project, not just the first budget period if less than 12 months. If the first period is more than 12 months, you will also need to adjust the percentage used to indicate effort in the Key Personnel screen.

Calendar Year Example: On a calendar year appointment the project period is seven months instead of 12 months. Let’s budget one month effort for simplicity sake. Enter the Key Person Calendar Effort as 8.33% (which is 1/12) rather than the amount we entered into the budget in Kuali, which as you might remember, would have been 1/7 or 14.29%.

• Months Calendar Effort as Calculated by Kuali = % Effort for Calendar Effort 12 months

AY Salary Example: If you want to budget one academic month effort for a PI’s Salary but the budget period only includes five academic months available. Enter the Key Person AY Effort as 11.11% (which is 1/9) rather than the amount we entered into the budget in Kuali, which as you might remember, would have been 1/5 or 20%.

• Months Academic Effort as Calculated by Kuali = % Effort for Academic Year Effort 9 months

Summer Salary Example: If you are trying to apply summer effort on a shortened summer period you would use the same logic as above. Again, let’s budget one summer month effort. Now let’s you only have two available summer months. Enter the Key Person Summer Effort as or 33.33% (which is 1/3) rather than the amount we entered into the budget in Kuali, which as you might remember, would have been 1/2 or 50%.

• Months Summer Effort as Calculated by Kuali = % Effort for Calendar Effort 3 months

Example with a Longer Budget Period: If you want to budget eight academic months effort for a PI’s Salary and the budget period is 15 months. When we entered into the budget in Kuali, we would have used 8/15 or 53.33%. Because the rate is the same rate throughout the 12 month period, we would enter the Key Person AY Effort as 53.33%.

Please feel free to reach out to the R&E Help Desk with questions.

Overview: Cost sharing (also known as matching funds) is set up in the Proposal Development Module in Kuali. In some cases, the University requires additional approvals for cost sharing. All cost‐sharing must adhere to University policies and procedures.

Additional approvals are required for cost sharing that exceeds what the sponsor requires in their guidelines (voluntary cost‐sharing), for third party cost sharing (cost share or match provided by another institution), or to change the amount of F&A (indirect cost) charged to the sponsor. Please see our Cost Sharing Requirements and Procedures for more information.

STEP 1 – Create a detailed budget version in Kuali.

 

STEP 2 – Select personnel or non‐personnel costs for cost sharing. We recommend the following cost sharing sources and types in the following order of priority:

1. Tuition Credits
2. Academic Year Salary
3. Unrecovered F&A
4. Graduate student and other non‐faculty salary
5. Other cost share
6. Equipment
7. Third Party Cost Share
8. F&A waiver or reduction

Be aware that cost share funding sources are limited to non‐federal accounts. See list of allowable companion funds for cost share. 

STEP 3 – To cost share personnel costs, select Assign Personnel to Periods. Then click Details.

 

Change the amount of effort being charged to the sponsor.

 

STEP 4 – To cost share other kinds of costs, select Assign Non‐Personnel to add a new cost, or select an existing cost line by clicking Details.

 

Enter the Total Base Cost on the details tab. This is the amount that will be charged to the sponsor. Note: Make sure that Submit cost sharing is checked for all mandatory cost sharing. Uncheck if you don’t want to show the cost share in the budget that goes to the sponsor.

 

Next, click on the Cost Sharing tab and enter the desired dollar value in the Cost Sharing box and then click Save Changes. This is the amount that will be cost‐shared. The Total Base Cost plus the Cost Sharing are added together for the total project cost.

 

STEP 5 – Print Cost Share summary version of budget. Do this by clicking Budget Versions at the top of the screen, then Print on the Actions drop down button for the budget version you want.

 

Select Budget Cost Share Summary Report and click Print. A pdf will download.

 

STEP 6 – Update Institutional Commitments. While in the Budget section of Proposal Development, navigate to the Institutional Commitments tab and click Cost Sharing. The Cost Sharing screen provides a Distribution List section used to allocate any cost sharing committed in the prime or subaward budget to the appropriate source (such as UMass speedtype account).

 

Cost share needs to be allocated both by project period and by the funding source account (speedtype).

• First, delete the rows that Kuali automatically populates here. Then starting with Period 1, add a new row for each funding source. For example, we are cost sharing PI academic salary and fringe, along with the associated indirect costs to meet the sponsor’s 20% cost share requirement. In this case, cost share is mandatory, because the sponsor is requiring it.
• We need to add two rows per project period to account for these two Cost Share Types.
• Because Kuali automatically aggregates the Cost Share totals by project period, you will need to break out different funding sources for each project period.
• For example, Academic Year salary and fringe may be allocated to one account such as the department’s STATE account, while summer salary and fringe may be allocated to the PI’s RTF account.
• Indirect Costs should be allocated as Associated Indirect Costs or Waived F&A if the sponsor does not allow full indirect costs to be charged.

 

Continue the process until all cost share has been allocated. Note: Kuali will generate an error if the Total Unallocated amount is not zero.

Use the Cost Share Comment Box to add approver names and other important information about the cost sharing source. Click Save.

 

If the F&A rate (Indirect Cost Rate), has been reduced from the standard amount, you will need to follow the same procedure to allocate the unrecovered F&A as well. Click Unrecovered F&A to distribute unallocated expenses as needed.

How to Create a Group to Budget Personnel using On- and Off-Campus Indirect Cost Rates

Overview: Kuali creates groups for personnel on the Assign Personnel to Periods page based on their object codes (i.e., PI/Sr. Pers Academic, PI/Sr. Pers Summer). For example, all personnel with summer salary are automatically placed in the same group (PI/Sr. Pers Summer) with the same details and rates. A new group needs to be created for a person that is working off campus so that the budget will reflect the off campus indirect cost rate for that person. In the screenshot below, Gronkowski and Brady are in the same group with the same details and rates. Gronkowski will be working on campus, while Brady will be working off campus during the summer. Gronkowski and Brady need to be placed in separate groups because they need to have different details and rates.

 

STEP 1 – Navigate to Budget and open your budget. Go to Personnel Costs, then Assign Personnel to Periods, the Assign Personnel as you normally would. Click Assign to Period 1. As you can see below, Gronkowski’s group is set to default so the on campus indirect rate will be applied.

 

STEP 2 – An off campus indirect cost rate group needs to be created for Brady. In the Add Personnel to Period section, select Create New Group in the dropdown list next to Group. A New Group Name field will appear under the Group field. Type a name for your new group. Click the Assign to Period 1 button. Please note that a group can only be created when you initially add the person to the budget. If the person already exists in the budget then you will need to delete them and add them back in and create a new group or select an existing group from the dropdown list.

 

The new group will appear on the Assign Personnel to Periods page.

 

STEP 3 – Navigate to and click on the Details & Rates hyperlink for your new group (highlighted below in yellow).

 

The Details & Rates dialog box will appear. Under the General tab, uncheck On Campus. Then click Save Changes. The indirect cost rate for Brady is now set to the off campus rate of 26%.

 

Overview: Under the 2018 Farm Bill, a number of USDA NIFA grant programs limit indirect costs to 30 percent of Total Federal Funds Awarded (TFFA). However, if there is a subrecipient in the budget we will need to assess whether this 30% TTF rate or the university’s current negotiated rate (see Fact Sheet) will result in less F&A in the budget request. We have to provide USDA/NIFA with the better deal (i.e. less F&A). This guide will show you how to create an initial budget version using the Sponsor’s mandated rate and then create a new version of the same budget with our standard rate. More on calculation information and Frequently Asked Questions.

STEP 1 – After you have done your initial set up of the proposal, navigate to the Budget page and click the + Add Budget button.

 

STEP 2 – A pop-up screen will appear where you can name the initial budget version. Create a name that is easily distinguishable and something that clearly identifies the budget version and Indirect Cost type being used. Then select Create Budget.

 

STEP 3 – Once your initial budget is created go directly to the Budget Settings hyperlink at the top of the page and click into it.

 

STEP 4 – Another pop-up window will appear and about half way down the page you will see two drop down menus titled Unrecovered F&A Rate Type and F&A Rate Type. Select 30% Federal TC – No Sub IC for both drop down menus. Then click the blue Apply Changes button.

 

STEP 5 – A pop-up box will appear telling you that this change will cause a recalculation of the budget and ask if you want to move forward with the changes. Select Yes.

 

STEP 6 – Build out your budget.

STEP 7 – Once your budget is built and you are satisfied with where it stands, make sure you hit Save and then click either Return to Proposal in the upper right corner or click Budget Versions in the upper left corner.

 

Whichever button you decide to select you will be brought to a screen that looks like this:

 

STEP 8 – Click the Action drop down button next to your most recent/accurate budget version and select Copy.

 

STEP 9 – Another pop-up box will appear entitled Copy this Budget Version. Here it will ask you to create a new budget name. Again, create a name that is easily distinguishable and something that clearly identifies the budget version and Indirect Cost type being used. Then select the All Periods radio button and click the blue Copy Budget button.

 

STEP 10 – Once your new budget version is created go directly to the Budget Settings hyperlink at the top of the page and click into it.

 

STEP 11 – Another pop-up window will appear and about half way down the page you will see two drop down menus titled Unrecovered F&A Rate Type and F&A Rate Type. Select Standard Federal MTDC for both drop down menus. Then click the blue Apply Changes button.

 

STEP 12 – A pop-up box will appear telling you that this change will cause a recalculation of the budget and ask if you want to move forward with the changes. Select Yes.

 

STEP 13 – make sure you hit Save and then click either Return to Proposal in the upper right corner or click Budget Versions in the upper left corner.

 

Whichever button you decide to select you will be brought to a screen that looks like this:

 

STEP 14 – Click on the Action drop down button next to the budget with the LOWER overall total. Then click Include for Submission.

 

ATTACHING S2S GRANTS.GOV REQUIRED DOCUMENTS

Proposal - Attachments

• Navigate to the Kuali Research Attachments section.
• UMass only uses the Proposal and Personnel tabs when submitting S2S/Grants.gov based proposals (best practice is not to use the Proposal or Personnel tabs for non-Grants.gov proposals). These folders will generally house the majority of documents routed to the sponsor: 
  • Subaward budgets are loaded in the Subaward tab of the Kuali budget (see Attachments for details)
  • NIH proposals that include human subject research: The PHS Human Subjects and Clinical Trial Information form is loaded to the Compliance section (see Human Subject Study Record Attachment for detailed instructions.)
• Some sponsors include a requirement to use that is also called an “Attachments Form” – documents that must map to this form are still loaded through the Proposal tab, but be sure to add a unique description for each document and observe sponsor-required file name conventions.
• Go to the Proposal tab to upload non-personnel related documents.
• Select the +Add button or Drag and Drop to upload multiple attachments. Let go of the mouse (drop) when +copy appears – do not drop when +move shows. Hover over the blue tab Upload and Add.
• Make sure to select an Attachment Type to associate with your file. It is critical to select the correct Attachment Type. The Attachment types are very specific and map to the appropriate section of the sponsor proposal. If the document gets linked to the wrong attachment type, it will not be positioned in the correct location within the final synthesized proposal. This could create grounds for a proposal to be rejected by the sponsor.
• Select Status and choose either Final or Draft. Shortcut: Instead of picking from the Status drop down for each document, click the Select option at the right of the screen, select Final for example, and then select Set All Statuses. Then go back and reselect the Status options for the individual documents that should for example be in “Draft” form. The Science/Technical documents can be routed in draft form, with the final documents to be loaded and updated and status set to “Final” within 48 hours of the proposal deadline.
• In the Proposal tab when you add an Attachment Type of “Other” you must add a Description. This Description will map as the File Name into the proposal.
• Once done loading to the Proposal folder, select the Personnel tab to upload Biosketches and other personnel documents required by the sponsor – only load mandatory attachment types (e.g. don’t load Current & Pending for NIH). Be sure to follow the sponsor guidelines.

QUESTIONNAIRE

Depending on the federal agency and solicitation requirements, there will be additional tabs in the Questionnaire section of the proposal. These must be completed in order to populate data in certain Grants.gov forms. S2S - Supported forms.

PRINTING GRANTS.GOV FORMATTED PROPOSALS

Go to the S2S Opportunity page in the Basics section of the proposal record. Click Forms, then select the forms that will be submitted to the sponsor. Select Create PDF. NIH proposals also have the option for an NIH e-application. This version more closely resembles what will be transmitted to NIH and will exclude proposal elements that are separated during submission to eRA Commons, such as data management plans and cover letters.

DATA VALIDATIONS

When in doubt, use Data Validations to verify whether you are missing any data or documents. Note: Kuali will not validate for correct filenames for documents embedded in User Attached forms, the Subaward Budget, or the Human Subjects Study Record. Please review these files to ensure that unique filenames are used for each embedded document and that the filenames are in compliance with Grants.gov naming conventions.

Some proposals submitted via S2S in Kuali require that graduate students (the fellow) be listed as the PI. This will occur largely with NIH and in particular with the Kirschstein-NRSA Individual Predoctoral Fellowship (F31). For illustrative purposes, the NIH F31 application is assumed below.

Proposal development:

• Build the proposal in Kuali listing the Principal Investigator as the student.
• The faculty advisor who will be the student’s “Sponsor” should be listed as a Key Person from the pick list, and then further defined as “Sponsor” in the Key Person’s role will be: field.
• If the Sponsor is not a UMass Amherst faculty, there must be a UMass faculty member listed in the proposal as a “Co-Sponsor.” Select Key Person from the pick list and then in the Key Person’s role will be: field – type in “Co-Sponsor.”
• Be sure to populate the eRA Commons User Name field under Key Personnel > Details for the grad student fellow and all sponsors.
• Complete the rest of the proposal following sponsor guidance and running the validations within the Kuali proposal record.

Proposal routing:

• Add the UMass “Sponsor” to the routing via the “Ad Hoc” routing process. By adding the faculty advisor first, they will be the first to approve, and then initiate routing to the next levels (PI, Chair, Dean, OPAS).
• Select Submit for Review.
• Since the student is listed as the PI, they will be included in the routing at that level. They will be up next after the faculty advisor/Sponsor approves the proposal.
• After the student as PI approves, it continues through the rest of the routing and is ultimately logged in at OPAS.

Proposal Submission:

• The proposal is submitted by OPAS with the student as the PI. The proposal gets pulled into the NIH Commons correctly identifying the student as the PI as required by the NIH.

Post Submission:

• OPAS changes the PI from the student to the faculty advisor/Sponsor within the Kuali Institutional Proposal record.

Overview: Grants.gov provides many different versions of R&R Budgets and R&R Subaward Budgets. As a result, it can be easy to pick the wrong Grants.gov form when we are building proposals that involve subawards. This can cause system errors that cause delays in proposal routing and/or submission. The purpose of this QuickGuide is to ensure that you are downloading the proper R&R Subaward Budget form, which you can then send to the subrecipients to fill out.

STEP 1 – After you’ve connected your proposal to the correct Opportunity Announcement, navigate to the Basics section in Kuali. Enter the S2S Opportunity Search page and select the Forms tab. Once here, click on the RR_SubawardBudget link (the numbers that follow the document title will change depending on the solicitation).

 

STEP 2 – Navigate to This PC or your File Explorer on your computer. Then, open the Downloads folder. You will see a file entitled RR_Subaward (followed by some numbers). Open this document.

 

STEP 3 – Once inside the RR_Subaward document you will need to extract a second, and final, document. Click the large grey button highlighted below that appears on the top 1/3 of the document. The actual text on this document will vary from proposal to proposal, but the process will remain the same.

 

STEP 4 – After you click the large grey button in the middle of the document, simply save the resulting “R&R_Budget” to the appropriate location on your computer. Then you can send this blank document to your subrecipients to complete and return to you.

To ensure your modular budget is included in the forms submitted to NIH, after selecting the opportunity in the Basics > S2S Opportunity screen, select the Forms tab, and click the Include check box next to ‘PHS398_ModularBudget_1_2-V1.2.’ Be sure you do not select include for the RR or RR Subaward budgets.

 

To continue building your modular budget, navigate to the budget module by selecting Budget on the left side of the screen, then select + Add Budget, and name your budget.

 

Select Non-Personnel Costs on the left side of the screen. On the Non-Personnel Costs screen, click Assign Non-Personnel.

Then, select Start a detailed budget, and Yes to ‘Will this be a modular budget?’ Then click Create Budget.

 

Build your budget like you normally would, adding all personnel and non-personnel costs. Please note that, as in the past, you may choose to label some other direct costs as ‘Unallocated’ at proposal stage. Please keep in mind that these costs must be allocated at JIT stage.

After you have built your budget, if you find that you are over or under the number of modules you plan to request, click Periods and Totals on the left side of screen.

IMPORTANT NOTE: If your proposal contains subawards, enter them in the Subawards tab by searching for the institution and providing the direct and indirect costs. Be sure that the total direct costs in the Kuali budget is equal to the total number of modules requested plus the subaward indirects. For example, if you are requesting $150,000 each year, and your subaward indirects total is $20,000, your total direct costs should equal $170,000.

 

On this screen, you can choose to enter your desired number of modules in the Direct Cost Limit box for each period. Click Save after you have done so.

 

Next, navigate to your Non-Personnel Costs, and select an expense like Travel or Materials and Supplies that you would like to increase or decrease to meet the desired number of modules. Click on the Details button to the right of the expense.

 

On the details screen, select Sync to Period Direct Cost Limit, and the Total Base Cost will increase or decrease to bring your Total Direct Costs in line with the Direct Cost Limit you chose earlier. Repeat for your remaining budget periods.

Once you are satisfied with your detailed modular budget, you may select Modular Budget from the menu on the left side of the screen to view your summary modular budget.

 

 

After you have finished building your detailed or summary modular budget, and marked it complete and for submission, you may view your modular budget as it will appear in your submission to NIH. Click Basics on the left side of the screen, then select S2S Opportunity, then the Forms tab. Click the checkbox under Select and to the right of ‘PHS398_ModularBudget_1_2-V1.2.’ Then, select Create PDF at the bottom. You will now have a PDF copy of the modular budget you will submit to NIH.

 

 

Submitting National Institutes of Health (NIH) Research Performance Progress Report (RPPR)

Please note that RPPRs will continue to be completed in ERA Commons. However, a summary budget will need to be routed along with any necessary subrecipient documents to the Office of Pre-Award Services (OPAS) via Kuali.

STEP 1 - When creating a RPPR in Kuali, for the Proposal Type, select Continuation. Enter the upcoming budget period for the Project Dates. Be sure to use the same title as the original proposal for the Project Title.

 

STEP 2 - Click Save and Continue. On the Proposal Details screen, you will enter the Kuali parent Award ID – ending in 00001 this field will tie the RPPR to the original award and establish funding for the upcoming year.

 

NOTE: Skip over S2S Opportunity and continue to Delivery Info.

STEP 3 - Navigate to the Delivery Info screen. On this screen, select OPAS from the Submission By drop- down menu. For Submission Type, select Web Portal. In the Submission Description box, enter ERA Commons. Click Save and Continue.

 

STEP 4 - On the Sponsor & Program Information screen, complete all highlighted data fields. Leave Subawards unchecked if not applicable. Everything else on this screen may be left blank. Click Save and Continue.

 

STEP 5 - On the Organization & Location screen, click the Other Organizations tab, and click Add Organization to add any subrecipient organizations. See the Subawards Guide for more information. Click Save and Continue.

 

STEP 6 - On the Key Personnel screen, add UMass Principal Investigator(s) and Co-Investigators. This is also where you will add any Centers and Institutes for routing, and the RTF Distribution (Credit Allocation). Anyone listed in the routing map of the original proposal must be listed here on the RPPR – this includes Institutes and Centers such as IALS Models to Medicine. Please see the Tagging Centers & Institutes guide for more information on adding Institutes and Centers as well as Routing, RTF Distribution, etc. Click Save and Continue when you are finished.

 

NOTE: Be sure to complete the Credit Allocation section to populate RTF and Intellectual Credit distribution.

STEP 7- On the Compliance screen, select Add compliance entry to add any relevant compliance items such as human subjects, vertebrate animals, etc.

 

STEP 8 - On the Attachments screen, select the Internal tab. Click + Add or drag and drop to upload any relevant documents. Label the documents you have uploaded appropriately and mark them as final.

 

See: NIH Research Performance Progress Reports (RPPRs) for required documents. Also see: Attaching Files. When you are finished, click Save and Continue.

STEP 9 - On the Questionnaire screen, please answer all questions as they apply to your research. Be sure to scroll down and answer all questions before clicking Save and Continue.

 

STEP 10 - On the Budgets screen, select Add Budget

Summary Budget

Select Add Budget and enter a budget name, then select Start a summary budget. Answer No to the modular budget question. Click Create Budget.

Enter Direct Costs and Indirect Costs – draw from the Notice of Award (NOA) for the coming year. Please be sure to upload the NOA to Kuali Attachments>Internal.

 

Mark the Budget Complete in the Action column, click Save, and then Return to Proposal.

• Provide Access as needed, click Save and Continue.
• Supplemental Information – complete Proposal and Post-Award contact info, click Save and Continue.
• At Summary Submit, select Submit for Review to initiate routing to the PI.

Detailed Budget

See: Kuali Proposal Development - Budgeting

If a detailed budget is required, follow the steps as outlined in the Kuali Salary Guide found here.

If a detailed budget is not required, there are two options:

1. Create a summary budget consisting of the total direct costs and total indirect costs and cost share. Upload the NIH Salary Cap Excel Spreadsheet to the Internal tab of the Attachments screen or the worksheet used to determine the excess salary above the NIH cap and then follow the steps below for Option 1.
2. Create a detailed budget without all the details. Add personnel to the budget who are above the NIH Salary Cap and follow the Kuali Salary Guide found here to show the cost share and relevant accounts in the Institutional Commitments/Cost Sharing section of the Budget module. You may then lump all of your non-personnel costs into Other Direct – with F&A or Other Direct – No F&A as applicable.

If following Option 1, select Add Budget and enter a budget name, then select Start a summary budget. Answer No to the modular budget question. Click Create Budget.

On the Periods and Totals section, complete the following fields:

• Direct Cost – see NIH Notice of Award (NOA) for amount to enter for the coming year.
• F&A Cost – (same as above)
• Cost Sharing – determine amount of salary above the NIH salary cap for all personnel above the cap and enter that value here. This will then populate the Institutional Commitments/Cost Sharing section of the proposal – see left side menu when the budget is open and the budget menu is engaged.

 

Click Save. Then select Institutional Commitments on the menu at the left.

Select Cost Sharing and complete the following fields:

• Source Account – enter the speed type number. AY is normally the department account #; summer salary is PI or Co-PI RTF.
• Unit Details – enter the Department ID for Academic or Calendar year effort.
• Cost Share Type – select from the drop-down.
• The Salary and Fringe must be entered on a separate line item than the F&A costs.
• The name of the Approver for the Source Account needs to be entered in the Comment section.

 

Once done, click Save and Continue and mark the budget Complete.

Click the Is this budget ready to be submitted to the sponsor? check box, then OK.

 

When following Option 2, select Add Budget and enter a budget name, then select Start a detailed budget.Answer No to the modular budget question. Click Create Budget.

 

Follow the instructions in the Kuali Proposal Development - Budgeting and the Kuali Proposal Development – Kuali Salary Guide found here. to add personnel to your budget and correctly account for the salary and fringe in excess of the NIH salary cap.

When you are finished, click Non-Personnel Costs on the left side of the screen. Then select Assign Non- Personnel at the top right.

 

In the Add Assigned Non-Personnel box, select Other Direct – with F&A from the Object Code Name drop-down menu, and enter your total direct costs in the Total Base Cost box. Then click Add Non- Personnel Item to 1.

 

If you have costs excluded from F&A, repeat the step above, but select Other Direct – No F&A as the Object Code Name. This includes costs like tuition, equipment, etc. Click Save and Continue. Then Complete Budget.

 

Click the Is this budget ready to be submitted to the sponsor? check box, then OK.

 

Follow the Summary/Submit instructions in the Kuali Proposal Development – Basics Guide to finish the RPPR and send to OPAS for review.

NOTE: Be sure to route the RPPR to the appropriate OPAS Reviewer in the ERA Commons as well.

The current NIH salary cap is $221,900 for those on 12-month appointments, effective 1/1/24. Please note the Executive Pay Scale is updated annually, on or after, January 1^st.

STEP 1 - To apply the NIH salary cap to personnel in your budget, you should start by accessing the Kuali Salary Guide found here. In the Kuali Salary Guide, navigate to the NIH Salary Cap tab at the bottom of the Excel spreadsheet.

STEP 3 - For this example, we will use a faculty member ‘Serena Williams’ who has a 9-month base salary of $155,000.

Enter the Total Academic, Summer, and/or Calendar Effort (as applicable) for each fiscal year (budget period) involved in the project in the green columns under Academic and Summer Calculation.

In this example, the faculty member will be dedicating 11.11% Academic (1 academic month) and 33.33% Summer (1 summer month) in each budget period.

 

Based on this example, the table above now shows the amount of effort to be charged to the sponsor as well as the total effort committed to the project per year.

STEP 4 - In Kuali, navigate to your Budget, and click Personnel Costs, then Assign Personnel to Periods. Starting with the academic entries, click Details.

 

STEP 5 - On the Details screen, input the Total Effort from the green column under Academic Calculation into the Effort box, if you have not already done so. Then, enter the Effort Charged to Sponsor from the blue column under Academic Calculation into the Charged box. Click Save Changes.

In this example, we have already entered the effort for Serena and we are simply changing the Charged amount from 11.11 to 10.13, per the spreadsheet.

After saving, you will notice an amount next to Cost Sharing Amount. This is the portion of the salary and fringe that is over the salary cap and must be cost shared. Repeat the same process for the second Academic entry, if necessary.

 

Now, move down to the relevant Summer entries. Click Details

 

Repeat the process above using the effort amounts from the Summer Calculation section of the spreadsheet.

In our example, we are replacing the Charged amount with 30.40, per the spreadsheet. Click Save Changes.

Repeat the same process for the second Summer entry, if necessary.

Repeat the process for the rest of your personnel over the cap as well as subsequent budget periods – moving down one fiscal year on the spreadsheet for each budget period.

 

STEP 6 - Once you have finished adjusting the charged effort for all relevant personnel entries in each budget period, save, then click Budget Versions at the top right.

 

STEP 7 - If you have been working with multiple versions of the budget, select the correct one and click Action next to it. If you only have one version, click Action.

 

STEP 8 - From the drop-down menu, select Print.

 

STEP 9 - Next, click the checkbox under Select to the far right of Budget Cost Share Summary Report. Then click Print at the bottom right. This will give you a PDF breakdown of the cost share in your budget, which will assist you with the next step.

 

STEP 10 - Save the Budget Cost Share Summary Report PDF to your desktop (See below).

STEP 11 - Once you have your cost sharing summary PDF saved, click Institutional Commitments on the left side of the screen and select Cost Sharing from the drop-down menu.

 

STEP 12 - There will be one cost share entry for each budget period. Best practice is to delete all fields and rebuild by adding a line for each cost sharing type per year – select the trash can icon at the right of the screen. This helps keep the annual cost sharing batched together. If the original cost sharing lines are not deleted, it will end up out of order.

Note: If you enter the budget periods in reverse order (starting with the last year) it will end up in chronological sequence. It is also acceptable to begin your data entry with the first budget period, but it will show your last entry as the first line. In the sample below, data entry begins with the 1^st budget period and therefore will show in reverse chronological order.

 

Review Cost Share Type drop-down options.

Unit Details: This is the department ID.

Source Account: This is the speed-type account number.

After deleting each line, the screen should look like this:

 

STEP 13 - Open the cost sharing summary report PDF and review period one (see below).

Add up the academic year salary totals in the cost share column. In this case, we have $1,350.22 and

$172.15. Then add the fringe benefits in the cost share column. We have $617.25. That brings us to

$2,139.62.

Note: For the NIH salary cap purposes, because summer fringe is typically a small amount, you can leave it merged with the academic year fringe as done in the sample below, or you can opt to break it out.

NOTE: In this example, there is only one person over the cap. If you have multiple personnel over the cap, and their academic salary over the cap will come from different state accounts, you need to do this step for each person.

 

STEP 14 - In Kuali, click Add Cost Sharing on the top left.

 

STEP 15 - Select Period 1, then enter the 2,139.62 in the Amount box. This is the academic salary and all fringe (including fringe on summer if you elect that route – or tease out summer fringe and build in with summer salary over the cap) over the cap for period 1. Select NIH Salary Cap (State – AY) from the Cost Share Type drop-down menu. Add the speed type to the Source Account box. Finally, click Add.

 

When you are finished with the first entry, your cost sharing screen will look like this. Note that the Total Unallocated has gone down. You want that total unallocated to be $0 when all cost sharing has been data entered for all appropriate line items for each year.

 

STEP 16 - Repeat the steps above for any other personnel over the cap whose period 1 academic salary over the cap will be covered by a different Source Account.

Now, go back to the cost share summary report PDF, add up the summer salary totals in the cost share column for period 1. In this case, we have $1,534.02. (See below)

NOTE: If the faculty member has opted to waive their summer salary over the cap, enter the appropriate waived salary into the cost share type NIH Salary Cap (waived summer). Do not complete the Source Account or Unit Details fields.

Be sure to upload the PI waiver memo in the Internal tab in Attachments.

STEP 17 - PDF budget – review summer salary over the cap.

 

STEP 18 - In Kuali, click Add Cost Sharing on the top left again. Select Period 1, then enter 1,534.02 in the Amount box. This is the summer salary over the cap for period 1. Select NIH Salary Cap (RTF – SU) from the Cost Share Type drop-down menu. Add the speed type to the Source Account box. Finally, click Add. The Source Account will typically be the PI’s RTF speed type account number.

 

STEP 19 – Next, include the Approver(s) of the Source Account in the Comment section, and ensure the individual is included in the Routing Map. Repeat the steps above for any other personnel over the cap whose period 1 summer salary over the cap will be covered by a different RTF account.

STEP 20 - Repeat the steps above for the remaining budget periods. Once you are finished adding the academic and summer entries for each person over the cap, your screen will look like this:

 

STEP 21 - Notice that there are still a significant amount of unallocated funds. In our example, we have $8,038.50 remaining. These are the indirect costs associated with the salary and fringe over the cap. Verify that this number matches the indirect total in the cost sharing summary report PDF by adding the cost share indirect costs from each period:

 

Budget Period 2

 

Budget Period 3

 

In our example, we have $2,185.82, $2,668.91, and $3,183.77, which total $8,038.50, so we did all of the math correctly, and we can now allocate the indirect costs.

STEP 22 - Click Add Cost Sharing. Select Period 1, and put the indirect amount, in our case $8,038.50, in the Amount box. For Source Account, type N/A. In the Cost Share Type drop-down menu, select Associated Indirect Costs. Finally, click Add.

 

If you have done everything correctly, you should have $0 in unallocated.

 

PHS HUMAN SUBJECTS & CLINICAL TRIALS INFORMATION NIH HUMAN SUBJECT STUDY RECORD ATTACHMENT

 

Overview: This guide will address how this form is populated under different scenarios: not human subject research; not human subject research but involves human specimens/data; and human subject research (with or without clinical trials).

To start: All National Institutes of Health (NIH) funding opportunity announcements (FOAs) list whether they allow, require, or disallow clinical trials in the FOA’s title and in “Section II. Award Information.” You must select an FOA (solicitation) that accepts the type of research you wish to propose. Normally this is communicated clearly in the solicitation (FOA). For the Parent R01 solicitations, the options are expressed as follows:

• NIH Research Project Grant (Parent R01 Clinical Trial Not Allowed)
• NIH Research Project Grant (Parent R01 Clinical Trial Required)

Depending on the solicitation selected, and the responses provided in the “Grants.gov S2S Questionnaire” and the Compliance section, Kuali will validate accordingly.

For proposals that do not include human subject research (and therefore do not also involve clinical trials), there are two scenarios:

Scenario #1

If no human subjects, data, or human subject specimens are planned:

• Correlate to the correct solicitation (Clinical Trial Not Allowed)
• Grants.gov S2S Questionnaire: Answer No to whether or not human specimens or data is involved
• Compliance panel: Do not include a Human Subject option
• These responses map to the sponsor form set and when printed it will look like this:

 

Scenario #2:

If human subject data, or human subject specimens are planned, and the correct solicitation was selected (Clinical Trial Not Allowed):

• Grants.gov S2S Questionnaire: Answer Yes to whether or not human specimens or data is involved
• Compliance panel: Do not include a Human Subject option
• Human Subjects Explanation attachment is required for the Human Subjects Clinical Trials form when human specimens and/or data are involved. Select Attachments and then Proposal and load a document type PHS_HumanSubectsAndCT_InvolveHumanSpecExp. For help with this document, see the General Instructions For NIH & Other PHS Agencies
• Job done. These responses map to the NIH formset and when printed it will look like this:

 

For proposals that do include human subject research:

STEP 1 – Navigate to the Basics section in Kuali. Enter the S2S Opportunity page and select the Forms tab. Here you will see that the PHS Human Subjects and Clinical Trials Information form is marked Mandatory, Included, and Available.

 

• Click on the highlighted form link and save the document to your desktop
• Open this form
• In order to access the Human Subject Study Record form, select Yes to the question “Are Human Subjects Involved?”
• This activates the ability to download the document – select Click here to extract the Human Subject Study Record Attachment.

 

• Complete the Human Subject Study Record form following the NIH Guidelines for Study Records; save to your desktop

STEP 2 – Navigate to the Compliance section in Kuali.

• Select +Add compliance entry and choose Human Subjects from the Type dropdown
• Select Pending from the Approval Status dropdown
• Select Delayed Onset or Clinical Trial as applicable
• Select the Human Study Attachment browser
• Upload the completed Human Subject Study Record and click Save and Continue

 

STEP 3 – Complete the Grants.gov S2S Questionnaire

• Answer Yes to Does the proposed research involve human specimens and/or data?

 

All of the above steps will lead to a successful validation of a proposal that includes human subject research.