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.