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System User Guide for Officers

1 Intro to for KR Proposal Development for Officers

2 Access to KR Proposal Development for Officers

3 Review a Proposal Development Document as an Officer

3.1 Basics

3.2 Key Personnel

3.3 Compliance

3.4 Attachments

3.5 Questionnaire

3.6 Budget

3.7 Supplemental Information

3.8 Summary/Submit

Go to Institutional Proposal


Intro to KR Proposal Development for Officers

The Proposal Development document will be in Read-only mode when it reaches the OSPOfficeRouting (Officers’ Group) node for Approval (i.e. Federal Officers, Non-Federal Officers, Industry Contract Officers)The only section of the proposal that is editable in the OSP node is the Compliance tab. Officers can also replace Proposal Type attachments in the Attachments tab (but cannot add new attachments).

Access to KR Proposal Development for Officers

To access a Proposal Development Document as an Officer, click on the link from the Action Item email from kr-admin@uci.edu.

Or, you may access the proposal from the Institutional Review queue from the Research tab in Zot!Portal:

  1. Go to https://portal.uci.edu. Log in (upper right corner).
  2. Under Faculty & Staff > Research > Institutional Review Queue.
  3. Select your name from the Assigned Officer filter. Click “Reprompt.”
  4. Click on the Proposal Number to open the Proposal Development Document in KR.

  

Obtain Short URL Link to Proposal

Click on link to acquire a quick URL link to the proposal. Anyone with access to the Proposal can click on the link to view the Proposal Development Document. 

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Review a Proposal Development Document as an Officer

Navigate through the proposal sections by clicking on any of the tab options in the left navigation panel. (Note that many of the fields are not required for completion by Proposal Creator/Initiator. For more information, refer to the KR Proposal Development Training Guide for Initiators.)

Basics

3.1 Basics

3.1.1 Proposal Details

3.1.2 Delivery Info

3.1.3 Sponsor and Program Information

3.1.4 Organization and Location

3.1.5 Cayuse 424 Link

Proposal Details

Basic proposal information including Proposal Type, Lead Unit, Activity Type, Project Dates, Project Title, Sponsor, and Prime Sponsor (if applicable.) Dropdown options are available for certain fields:

  • Proposal Type 

  • Lead Unit (access to create proposals is managed in KSAMS)

  • Activity Type

 

Delivery Info

  • Submission by (Optional)

  • Submission Type (Optional. Officers can assume Electronic unless otherwise indicated.)

 

Sponsor & Program Information

  • Sponsor Deadline Date & Time – this information will populate in the Institutional Review Queue.
    • The time is optional. Officers can assume 5:00 PM PST unless otherwise indicated
  • Sponsor Deadline Type

  • Anticipated Award Type. If the Type selected is Multiple Campus Subaward or Subcontract (i.e. UCI will receive an incoming subcontract from a pass through entity) then there should also be a Prime Sponsor listed in the Proposal Details section. There is no system validation to check this.

  • Subawards checkbox is located here. True means that the Initiator marked the checkbox ('yes') for Subawards. False means that the Initiator left the box unchecked ('no').
    • Subawards: If there are Subaward(s) as indicated in this field, Officers should find the Subrecipient Package(s) in the Attachments Section, and Compliance line entry for each Subaward in the Compliance Section.
    • Most of the other fields in this section can be left blank.

Organization and Location

Officers can skip this section entirely – it is no longer a requirement to enter building/campus location information. This requirement has been replaced by On/Off campus flag in the Supplemental Information section.

Cayuse424 Link

If the proposal was prepared in Cayuse 424, this is where Officers can find the link to the Cayuse 424 proposal. This takes the place of a Proposal Package or Grants.gov Proposal Package in the Attachments Tab. If the Initiator has utilized the Sync timestamp (to pull over basic proposal data and key personnel from Cayuse into KR) there will be a “Sync timestamp.” It is optional to utilize this functionality.

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Key Personnel

3.2 Key Personnel

3.2.1 NIH Sponsors and Prime Sponsors

3.2.2 Non-NIH Sponsors and Prime Sponsors

3.2.3 PI Eligibility Validation (None)

3.2.4 PI Certification Questions (None)

3.2.5 Checking COI Disclosure Status for UCI Investigators

3.2.6 Checking COI Training Status for UCI Investigators

3.2.7 SBIR/STTR Proposals (NIH Prime Sponsor Only)

Key Personnel

This section contains all the Key Personnel listed on the proposal. The Key Personnel options that appear are driven by sponsor.

  • NIH sponsors/prime sponsors: The system requires one Principal Investigator with the role PI/Contact. In the case of a Multi-PI Project, the lead PI must be assigned the role PI/Contact, and the non-lead PI(s) must be assigned the role PI/Multiple. All other key personnel are assigned the role Key Person.

  • Non NIH sponsors/prime sponsors: The system requires one Principal Investigator with the role Principal Investigator. All other key personnel are assigned the role Co-PI or Key Person.

  • No PI eligibility system validation.
  • No PI certification questions. The certification status will show up as “Certification Completed and Answered by-”; this is expected.

  • Checking COI Disclosure Status in KR PD for UCI Investigators Prior to Proposal Submission
    • Check for completion of the Annual Disclosure status from the Key Personnel tab, for PHS and NSF proposals. (At JIT / Award, Officers will use the Personnel Conflict of Interest Status report via Cognos to check on Annual Disclosure and COI training status.)
    • The Annual Disclosure status appears below the Investigator’s name.
      • For PHS/NSF: the status options are Positive, Negative or Incomplete, depending on the status of completion.
      • For non-PHS/NSF: the status will show Not Applicable.
      • Please note: After the proposal is approved and submitted, the status will no longer be updated on this page. To check COI disclosure and COIR training status at JIT/Award, refer to the “Personnel Conflict of Interest Status” Cognos report available on the Research tab in Zot!Portal

 

  • Checking COI Training Status
    • If the person has completed COI Training in UCLC, the date(s) of completion will appear under Person Training Details. (Click the dropdown triangle next to the person’s name to expand person details.)
    • If the person has not completed COI Training, the Person Training Details section will appear blank.

 

  • SBIR/STTR Proposals (NIH Prime Sponsor only)
    • Special consideration should be given for SBIR/STTR proposals which meet certain exception criteria. (Officers can check whether a proposal is in response to a SBIR/STTR solicitation, and if so, which phase. See the Questionnaires > General.)
    • SBIR/STTR Phase I Special Exception for Proposals with NIH Prime Sponsor:
      • Navigate to the Questionnaire in PD, and check the questions under the General Questionnaire to see if the proposal is in response to an SBIR or STTR solicitation, and is for Phase I Funding. If yes for both conditions, annual disclosure is not required. Please Note: This is a case where investigator’s incomplete or positive Annual Disclosure status in KR can be ignored.
      • If you see SBIR or STTR with no indication of Phase I funding on the General Questionnaire, as shown in Questionnaires > General Section, then annual disclosure is required.  SPA should proceed as usual with requesting annual disclosure from the investigator.

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Compliance 

3.3 Compliance

3.3.1 About Compliance Entries

3.3.2 HSCRO, IACUC, IBC, IRB

3.3.3 Outgoing Subaward

3.3.4 SPA ONLY: Export Control Review

3.3.5 SPA ONLY: Reviewing Officer

3.3.6 SPA ONLY: COI Disclosure

3.3.7 SPA ONLY: COI-SR 

3.3.8 SPA ONLY: COI Non-UCI

3.3.9 SPA ONLY: COI Training

3.3.10 SPA ONLY: Collect 700U

3.3.11 SPA ONLY: Collect IDC Exception

3.3.12 SPA ONLY: Non-standard Terms and Conditions

3.3.13 SPA ONLY: Submitted without full review

3.3.14 SPA ONLY: Approved Indirect Cost Waiver

3.3.15 Other

The Compliance section is the only tab in PD that Officers can edit. Officers should review the Compliance section to ensure that all entries are relevant and add those that are necessary Initiator should have removed/updated any entries that were copied over from another Proposal document. The contents of this Section will be copied over to the Institutional Proposal upon “Submit to Sponsor”, and can serve as flags or reminders to follow up at the JIT/Award stage.

Review Compliance entries entered by Initiator by expanding the compliance line (by clicking the dropdown triangle), and/or use the following Compliance Types as needed.

Compliance Entry Types:

 

Compliance Entry Approval Statuses:

  • HSCRO, IACUC, IBC, IRB
    • Regulatory compliance protocols should be entered by the Initiator. For these types, valid approved protocols entered in the Protocol Number field will be mapped to the SPA Database upon finalization. All other approval statuses will transfer over as Pending.
    • If any regulatory compliance protocols are entered, corresponding questions in the Questionnaire Section should be marked as ‘yes.’ There is no validation check in KR for valid protocol numbers.
  • Outgoing Subaward
    • If there are outgoing Subaward(s) as indicated in the Sponsor & Program Information tab as ‘True’, Initiator should also have entered a separate compliance entry for each outgoing Subaward. Note that the character limitation in the Protocol number field is 20 characters. Initiators are trained to enter an abbreviated version of the Subaward name should it exceed 20 characters.

    • Additionally, if subrecipient is following UCI policy, “ – COI” should be included next to the subrecipient organization name.

 

  • SPA ONLY: Export Control Review
    • Select this type if Export Control Review will be needed at the JIT/Award stage.
    • It is recommended that SPA review the Export Control questions in the Questionnaire > Compliance to aid in determining whether an Export Control Review compliance entry should be added.
    • Approval Status should be “Approval Not Required”
    • Comments are optional and may help the Officer at time of JIT/Award.
    • The entry should look like this:

  • SPA ONLY: Reviewing Officer
    • Select this type if the SPA Officer who is reviewing the proposal is different than the officer assigned to the proposal. Use as needed for coverage purposes.
    • Protocol Number: name of reviewing officer (free text entry, limited to 20 characters). The name entered here will also display in the Institutional Review Queue.
    • Approval Status should be “Approval Not Required”
    • The entry should look like this:

  • SPA ONLY: COI Disclosure
    • Refer to “COI Procedures Using Institutional Proposal” document for guidance.
  • SPA ONLY: COI-SR
    • Refer to “COI Procedures Using Institutional Proposal” document for guidance.
  • SPA ONLY: COI Non-UCI
    • Refer to “COI Procedures Using Institutional Proposal” document for guidance.
  • SPA ONLY: COI Training
    • Refer to “COI Procedures Using Institutional Proposal” document for guidance.
  • SPA ONLY: Collect 700U
    • Select this type if a 700U is required but has not been collected yet.
    • The entry should look like this. (Click the blue “Add Entry” button to add the line.):

 

  • SPA ONLY: Collect IDC Exception
    • Select this type if an Indirect Cost Waiver is required but has not been collected yet.
    • The entry should look like this. (Click the blue “Add Entry” button to add the line.):

  • SPA ONLY: Non-standard Terms and Conditions
    • Select this type if there are non-standard terms and conditions in the award that may require review/negotiation at the JIT/Award stage.
    • Comments are optional and may help the Officer at time of JIT/Award.
    • The entry should look like this. (Click the blue “Add Entry” button to add the line.):

 

  • SPA ONLY: Submitted without full review
    • Select this type if the proposal was submitted to the sponsor without full review (in cases such as a last-minute submission.)
    • Comments are optional and may help the Officer at time of JIT/Award
    • The entry should look like this. (Click the blue “Add Entry” button to add the line.):

 

  • SPA ONLY: Approved Indirect Cost Waiver
    • Select this type if an Indirect Cost Waiver has already been obtained in REMS from UCOP.
    • Select Approved for Approval Status
    • Enter the waiver number in the Protocol Number field. For this type of Compliance line, the Protocol Number will map to the SPA database > FA waiver # number field.
    • Comments are optional and may help the Officer at time of JIT/Award
    • The entry should look like this. (Click the blue “Add Entry” button to add the line.):

Other

  • Select this type if there are any other notes to add to the file that do not fit under one of the other compliance types.
  • Comments are optional and may help the Officer at time of JIT/Award, especially if Other was selected as the Compliance Type.
  • The entry should look like this. (Click the blue “Add Entry” button to add the line.):

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Attachments

3.4 Attachments

3.4.1 Reviewing Attachments

3.4.1.1 Subaward Attachments

3.4.1.2 Proposal Return Attachment

3.4.1.3 Notes

3.4.2 Replacing Attachments

3.4.2.1 Proposal Cover Letter

SPA no longer has the ability to ADD attachments, but can REPLACE existing attachments in the Proposal and Internal tab. Initiators are advised that Personnel and Abstracts tabs should not be used for file attachments. All attachments should be uploaded under Proposal or Internal.

Reviewing Attachments

Proposal – below are the proposal type attachments available for Initiators.

  • Grants.gov Package - DRAFT Scope of Work
  • Grants.gov Package - FINAL Scope of Work
  • Proposal Package complete per RFA - DRAFT Scope of Work
  • Proposal Package complete per RFA - FINAL Scope of Work
  • Proposal Cover Letter
  • Budget
  • SPA ONLY: Final proposal-as submitted
  • MCA/Subrecipient Commitment form
  • Other proposal attachment

Internal – below are the internal type attachments available for Initiators.

  • Proposal Return Attachment
  • California 700U Form
  • Indirect Cost Exception Request
  • Subrecipient Proposal Package
  • PI Clinical Trial Questionnaire
  • Sponsor Guidelines
  • Draft Agreement
  • Third Party Cost Share Commitment Letters
  • Off-Campus Rate Request
  • Clinical Trial Protocol
  • CR Cost Share Commitment Letter
  • Form 900SR for Non-UCI Investigators
  • Other Internal Attachment
  • Form 800SR for Non-UCI Investigators
  • Other

Subaward Attachments 

Subrecipient Proposal Package should be uploaded here (if Subawards are included, as indicated in the Sponsor & Program Information section.)

  • If applicable, Form 800SR for Non-UCI Investigators or Form 900SR for Non-UCI Investigators is uploaded as well. The PI or Department Administrator generally provides the completed forms 800SR and 900SR for Non-UCI and Subrecipient investigators.
    • Forms for subrecipients are typically included in the subrecipient proposal packages.
    • Forms for Non-UCI investigators may be attached in PD, under the Attachments tab.
    • Please note: Attachments in KR do not carry over from PD to Institutional Proposals (IP). This means that at JIT / Award, even though the IP will be used for updating information about the project, Officers can look in PD for the status of completed forms 800SR and 900SR.

Proposal Return Attachment – if SPA returns the proposal to Initiator for revisions, and uploads a return attachment, it will appear in the Internal Attachments as type "Proposal Return Attachment."

 

Notes 

Officers can view notes added by Initiator.

Replacing Attachments

Officers do not have the ability to ADD attachments, but can REPLACE existing attachments in the Proposal and Internal tab. Click on the Details button in the Action column to open the Details window. To replace the attachment, click the 'Choose File' button in the File field to open the browse/search window and select another file to replace the existing one.  Once all desired edits are made click the save button to update with changes.  

Proposal Cover Letter 

In the case where Officers need to provide a signed cover letter or commitment form, the Initiator should have uploaded a placeholder file for Proposal Cover Letter (or other) type. If there is a placeholder file present, Officers can replace the existing one with the signed version.

Send KR Notification to inform Initiator of Replacement – After you’ve replaced an Attachment, you have the option to send a KR-generated notification to the Proposal Creator/Initiator. The notification recipient list will include the Proposal Creator/Initiator by default. To opt out of sending the notification, click cancel.

    • The Subject and Message can be edited if desired.
    • If you would like to include additional recipients to this notification, click the blue ‘Add More Recipients’ button.

 

    • You will need to search (Employee only) for the individual and add them as a recipient.

  • When your recipient list is complete, click the blue ‘Send Notifications’ button. Note that you will not see a confirmation screen. Because this notification is sent directly from KR server (kr-admin @ uci.edu), you will not be able to locate the message in your email outbox or sent items. Feel free to contact the ERA team if confirmation is needed.

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Questionnaire

3.5 Questionnaire

3.5.1 General

3.5.2 Clinical Trial

3.5.3 Compliance

3.5.4 EH&S

The new Questionnaire section has been simplified to include fewer questions. In addition, there are no system error/warning validations tied to the question responses, so Initiators and reviewers should take care to verify that questions have been answered consistently with the other contents of the proposal. The Questionnaire is broken up into four sections: General, Clinical Trial, Compliance, and EH&S. Note that certain child questions are displayed only when the parent question is answered ‘Yes.’

  • General
    • Below are the questions in this section:

  • Special consideration for SBIR/STTR Phase I Proposals (NIH Prime Sponsor only): if the response to the first question, “Is this proposal in response to an SBIR or STTR solicitation” is ‘Yes’ and indicates that it is for Phase I Funding (as it appears in the screenshot above), Officers may wish to consult COI guidance provided by referring to Section: Key Personnel > SBIR/STTR Proposals.

  • Clinical Trial
    • Below are the questions in this section:

 

  • Compliance
    • Regulatory Compliance
      • If any regulatory compliance protocols (IRB, IACUC, IBC, and HSCRO) are entered, corresponding questions in the Questionnaire Section should be marked as ‘yes.’ Below are the questions in this section:

 

    • Conflict of Interest
      • Below are the questions in this section. Note that the second and third questions are dynamically displayed and required depending upon how the first question is answered. Also, the last two questions referencing subrecipients and non-UCI Investigators are displayed and required only when the sponsor is NSF or in the PHS/NIH hierarchy.

      • How Disclosure Status of Non-UCI Investigators and Subrecipient Investigators is Managed in KR: When there are Non-UCI Investigators and/or subrecipients, the above question(s) will have been answered, “Yes” by the initiator when the proposal is created in KR PD. Refer to Section: Attachments > Reviewing Attachments > Internal > Subaward Attachments on guidance for locating subaward attachments.
    • Export Control
      • When the proposal is in the Officer's node for review, only the options selected by Initiator will display. You can click the blue info icon next to the question to display all options at any time. Below are the checkbox options in this section:

 

  • EH&S

Marking “yes” to any of these questions will cause a notification to be sent to EH&S representatives when the proposal is Approved and Submitted to Sponsor. Below are the questions in this section:

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Budget

The Budget section has been simplified to require less information. The only fields that will display in the Budget Summary are: Direct Cost Dollar Amount, F&A Dollar Amount, Total Dollar Amount, Project Start Date and Project End Date.

To view additional budget information, such as Budget Period breakdown (if applicable) and Cost Sharing (if applicable), click on the Budget Name to open. Select the version that has been marked for submission. 

Note that although KR automatically generates budget periods in one year increments if the project is longer than one year, it is not a requirement to break down the budget into 12-month periods, so the Initiator may choose to represent the entire budget in only one line. The only system requirement is that the Total budget period aligns with the project start and end date as entered in Basics > Proposal Details. 

  • F&A Rate and F&A Rate Type
    • Note that the F&A Rate and F&A Rate Type are not located in this Budget section. You can find this information in the Supplemental Information section.

 

  • Subawards
    • Subaward information is not located in this Budget section. The Subawards subsection of the Budget should be left blank.

 

  • Cost Share
    • To view cost share, you will need to be inside the Budget. Once you are inside the budget, you can view the cost sharing amount.
    • The Cost Sharing details are located under Institutional Commitments. The cost sharing should always be entered as one lump sum; KR is no longer collecting the source breakdown by VCR, Dept/School, Third-Party.
    • The Source Account field will be dummy text (but the system requires a non-blank entry). Percentage and Unit details are to be left blank

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Supplemental Information

Supplemental Information is a new section containing project specific information required UCI that is not collected elsewhere in the proposal. The required fields in this section are marked with a red asterisk.

  • Sponsor Contact Information – this field includes sponsor contact information, such as sponsor addressee name, email, address, or phone number. This field is optional.
  • On/Off Campus – Initiator must indicate whether the project will take place on or off campus to verify that the appropriate F&A Rate/Type are being used. Only one can be selected. (Please ignore the ‘onoffcampus_argval’ text that appears below the On or Off campus selection.)

  • F&A Rate – Initiator must enter a F&A Rate for the proposal. Currently, only one F&A Rate can be included for the proposal. Please contact ERA if there is a need to enter multiple F&A Rates.
  • F&A Rate Type – F&A Rate Type dropdown selection options are MTDC, TDC, TC, None, and Other. (Please ignore the ‘faRateType’ text that appears below the F&A Rate Type.)

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Summary/Submit

3.8 Summary/Submit

3.8.1 Return for Edit

3.8.2 Recall 

3.8.3 Approve/Submit to Institutional Proposal (IP)

3.8.4 Generate Institutional Proposal (IP)

Officers can review the tabbed Proposal sections across the top to view the contents of the Proposal Development Document. Additionally, there are several system functions that Officers may choose to use. 

  • Return for Edit
    • There is no longer a concept of "major" and "minor" edit. Once the proposal routes through workflow once, all returns by Officers will bypass approvals that were already collected. 
    • All returns are now minor edit, meaning that after the Initiator, the Proposal Development Document will bypass workflow approvals that have already been collected.
    • SPA has the option to include a return comment and return attachment upon returning for edit. The Return Attachment will appear in the Attachments Section of the Proposal Development Document. 
  • Recall
    • At the Officer's node, clicking Recall will send the Proposal Development Document back to the Initiator and force it to go back through the entire workflow. Therefore, Officers should just use Return for Edit. Initiators should not use Recall once the Proposal Development Document is in Officer's queue. 
  • Approve/Submit to Sponsor to generate the Institutional Proposal (IP)
    • Officers must click both Approve and Submit to Sponsor buttons to finalize the proposal. The order does not matter, but both actions must be taken.
    • A red error banner indicating that the proposal has been locked may display if the Initiator does not properly close out of a proposal. This will not prevent Officers from Approving or Submitting, but if preferred, Officers may request that Initiator enter the Proposal Development Document and click the close button at the bottom.
  • Generate Institutional Proposal
    • Once the proposal has been Approved and Submitted to Sponsor, and the page has had a moment to refresh, KR will display a confirmation message indicating that the Institutional Proposal has been generated, (e.g. “Institutional Proposal 05550028 has been generated.”) Additionally, the status in the document header will show Approved and Submitted.
    • Certain Proposal Types (Continuation, Supplement, Renewal) will prompt you to choose one of the following. Please select “Generate a new Institutional Proposal.

  • Once you have Approved and Submitted to Sponsor, review the Institutional Proposal User Guide for instructions on how to access Medusa and the Institutional Proposal.

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Continue to KR Institutional Proposal System User Guide for Officers


Still have questions?

Please contact the ERA Team < era@research.uci.edu> for assistance.

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