Submitting and Editing Proposals and Tracking Proposal Activity and COI Compliance

Submitting and Editing
Proposals
and
Tracking Proposal Activity
and COI Compliance
1

Today’s Goals
1. Provide information on:
 Generating an Institutional Proposal
 Editing Institutional Proposal records
 Creating and updating Negotiations
 Verifying COI Compliance and Training
2. Give you the opportunity to perform each
procedure in KC
2

Generating an
Institutional Proposal (IP)
3

Generating an Institutional Proposal
 Process begins when the proposal development
document has been fully approved and
OSP/BC/CGA clicks the Submit to Sponsor
button, located on the Proposal Actions tab.
4
OSP / BC Submits
the Proposal to
the Sponsor
OSP/BC/CGA
Approves the
Proposal
OSP / BC Submits
the Proposal to
the Sponsor
OSP/BC/CGA
Submits the
Proposal to
the Sponsor
OSP / BC Submits
the Proposal to
the Sponsor
OSP Submits the
Proposal to
Grants.gov, if
applicable
KC automatically generates the
Institutional Proposal (IP)
document or IP versioning
options

Institutional Proposal Generation
 Proposal Type = New, No Money Agreement, Pre-
Proposal, Renewal, Research Gift, or Task Order
 System automatically generates the Institutional Proposal
Document
 Proposal Type = Continuation, Resubmission, Revision
or Award Revision
 System prompts the user to choose whether to generate a new
Institutional Proposal document, version an existing Institutional
Proposal document, or do nothing
5

Proposal Type = Continuation,
Resubmission, Revision or Award Revision
 Institutional Proposal Generation options:
• Generate a new version of a specific Institutional Proposal (you
will only see this option if the Institutional Proposal number was
entered in the Original Institutional Proposal ID field within the
Proposal Development document)
• Create a new version of an existing Institutional Proposal
Document (look up provided to identify the Institutional
Proposal)
• Generate a new Institutional Proposal Document
• Do not generate a new IP or version an existing IP record (note
that selecting this option will prevent the user from submitting
the proposal development document to Grants.gov)
6

Selecting the Appropriate Option
 Proposal Type = Resubmission
 select “Generate a new Institutional Proposal”
 This is for an application that was previously
submitted but not funded and is being resubmitted for
new consideration
 Proposal Type = Continuation
 Select “Do not generate a new IP or version an
existing IP record”
7

Selecting the Appropriate Option
 Proposal Type = Revision
 For Competing revisions and non-competitive
administrative supplements select “Generate a new
IP”
 For changes to award obligations or terms and
conditions of existing awards select “Do not generate
a new IP or version an existing IP record”
 For edits to the proposal questionnaire select “Create
a new version of an existing IP document”
 Proposal Type = Award Revision
 Select “Do not generate a new IP or version an
existing IP record”
8

Reminder! Grants.gov Proposals
 Remember that you must also click the Submit to
S2S button, if submitting the proposal electronically
to Grants.gov
 Submit to Sponsor – generates the Institutional Proposal
 Submit to S2S – submits the proposal data and
attachments to Grants.gov
9
OSP / BC Submits
the Proposal to
the Sponsor
OSP/BC/CGA
Approves the
Proposal
OSP / BC Submits
the Proposal to
the Sponsor
OSP/BC/CGA
Submits the
Proposal to the
Sponsor
OSP / BC Submits
the Proposal to the
Sponsor
OSP Submits the
Proposal to
Grants.gov, if
applicable
The Submit to S2S button will only appear if you have opened the
proposal in edit mode
The system requires that the same individual click both the submit
to sponsor and submit S2S buttons

Institutional Proposal
Edit
10

 The Institutional Proposal module contains the official
record of proposals submitted to sponsors
 Data for reporting on submitted proposals is generated from this
module, therefore it is critical that the data in the institutional
proposal matches what was submitted to the sponsor
 Institutional Proposal records are automatically
generated when the Submit to Sponsor button is
clicked in a Proposal, or they may be versioned based
on the Proposal Type of the proposal development
document
 An Institutional Proposal record will only be edited to
correct proposal data in order to match what was
included in the submitted proposal
11

Current State Process – Editing an
eTransmittal
OSP/BC/CGA revises
the eTransmittal to
correct the data
OSP/BC/CGA notifies
the unit the data has
been corrected
Discover data in
eTransmittal does not
match submitted
proposal
12

New Process – Editing an
OSP/BC edits the
Institutional Proposal to
correct the data*
OSP/BC notifies the unit
the data has been
corrected
Discover data in
does not match
submitted proposal
13
*Edits to the proposal questionnaire will be done using the Proposal Development module

Accessing an Institutional Proposal
 Central Admin Tab
 Pre-Award Channel > Institutional Proposal
search icon
• Allows administrators to search for any proposal
 Enter desired search criteria and click search
 A list of Institutional Proposals appear in a table
below the search categories
 Returns only the most recent, final version of an
Institutional Proposal record
 Click the open link to go directly to the
Institutional Proposal document
14

Accessing Institutional Proposal
information
15

Enter Search Criteria & Open
16
*breeding*

Accessing the Institutional Proposal
using Legacy App #
 Click on Doc Search
 Document Type: InstitutionalProposalDocument
 Organization Document Number: Enter Legacy App #
 A list of Institutional Proposals appear in a table
below the search categories
 Returns all versions of the Institutional Proposal record,
with the latest version listed at the top of the results
 Click the Document ID number to open the
Institutional Proposal document
17

Accessing the Institutional Proposal
using Legacy App #
18

Editing the Institutional Proposal
 Click the edit button to update the information in
the institutional proposal
 This will create a new version of the Institutional
Proposal
19

Institutional Proposal Tab
 Document Overview Panel
 Contains the description of the document that is
displayed in search results
 The Original Organizational Document number (legacy
app number) will automatically populate in the edited
version of the Institutional Proposal Panel
 Contains information about the project such as the
title, funding status and nature of the project
 Fields that are available to edit: Award ID, Status,
Proposal Type, Project Title, Activity Type
20

Document Overview and Institutional
Proposal Panels
21

Institutional Proposal Tab
 Sponsor & Program Information Panel
 Contains information related to the funding agency
such as sponsor, prime sponsor, deadline date, and
CFDA number
 All fields are available to edit
 Financial Panel
 Contains project dates and costs for the initial period
and total periods of the project
22

Sponsor & Program Information and
Financial Panels
23

Notes & Attachments, Delivery Info, and
Keywords
 Notes & Attachments Panel
 Comments and files related to the IP edit should be added
in this panel
• Notes and files do not flow from the proposal development
document
• Notes and files can be added, but not edited or removed
 Delivery Info Panel
 Captures information about how the proposal was submitted
 Keywords Panel
 Contains keywords identified for the project in the proposal
development document
 Keywords can be added or removed
24

Notes & Attachments, Delivery Info, and
Keywords
25

Key Personnel
 Located on the Contacts tab
 Lists the key personnel from the Proposal
Development document, including their roles,
and the distribution of F&A, Post Award Unit and
Space credit
 Personnel can be added or removed
 Data related to each person can be updated
 F&A Allocation, Post Award Unit and Space credit
information can be changed
26

Unit and Central Administration Contacts
 Unit Contacts can be added or changed
 There is a Sync All option that will bring in the most
up-to-date list of contacts for a department/college.
Please avoid selecting the Sync All button to adjust
Contacts as this information should reflect the contacts
that were responsible when the proposal was
submitted.
 Central Administration automatically populate in
based on what was selected as the Lead Unit
and can not be changed
28

Unit and Central Administration Contacts
Panel
29

Custom Data Tab
 Voluntary Cost Share Info contains the amount
of cost sharing that is voluntarily committed in
the proposal and can be updated
 This field will only be populated with data from
the Proposal Development module after April,
2017
30

Special Review Tab
 Special review identifies areas that may require
additional review or approval for the project
 This information can be added, removed, or
updated
32

Intellectual Property Review and
Distribution Tabs
 Intellectual Property Review
 Not utilized by MSU
 Distribution
 Not utilized by MSU
34

Intellectual Property Review and
Distribution Tabs
35

Finalize edits
 Navigate to the Institutional Proposal Actions tab
 Click submit
 Clicking submit finalizes the changes and creates a
new version of the Institutional Proposal
 Verify Status is Final
 Data from documents in Final status is pulled from
reporting (data from those in saved status are not
included)
 Only documents in Final status appear in the
Institutional Proposal document searches
36

Editing a Proposal Questionnaire
 The information collected on the Questionnaire in
the Proposal Development document does not
carryforward into the Institutional Proposal Module
 The data collected on the Questionnaire will be
utilized in reports collected by SPA and other units
on campus, therefore it is important that the data be
accurate
 To correct questionnaire questions that were
answered incorrectly, a Proposal Development
document should be copied and revised in order to
version the current IP record.
38

Process for Editing a Proposal
Questionnaire
39
OSP / BC Submits
the Proposal to
the Sponsor
Update the
questionnaire
OSP / BC Submits
the Proposal to
the Sponsor
Answer
investigator
certification
questions and
change budget
and attachment
status to
complete/final
OSP / BC Submits
the Proposal to the
Sponsor
Submit the
proposal for
approval
OSP / BC Submits
the Proposal to
the Sponsor
Copy Existing
Proposal
OSP / BC Submits
the Proposal to
the Sponsor
Proposal Type
= Revision
OSP / BC Submits
the Proposal to
the Sponsor
Select Option
to version the
original IP
OSP / BC Submits
the Proposal to
the Sponsor
Original IP is
versioned
OSP / BC Submits
the Proposal to
the Sponsor
Blanket
Approve
Proposal
OSP / BC Submits
the Proposal to
the Sponsor
Submit
proposal to
sponsor
OSP / BC Submits
the Proposal to
the Sponsor
OSP/BC
notifies the unit
the data has
been corrected

40
Edit an Institutional Proposal Exercise
 Use the handouts provided to edit an

Create a Negotiation
Document
41

Negotiation Module
 The Negotiation module allows the Office of
Sponsored Programs and Business Connect to
manage activities for proposals and awards
 Activities being tracked include:
 Contract/agreement negotiations
 Requests for JIT and other supporting documentation
 Proposal reviews
 Budget reviews/revisions
 Proposal revisions
 Creating subcontracts (Non-FDP)
 Contract/agreement modifications
42

Current State Process – Activity Log
OSP/BC receives a
communication
requiring the need to
start an Activity Log
record
OSP/BC starts an
Activity Log record
and assigns it to
someone
OSP/BC begins entering
transaction events
OSP/BC continues to log and
update events until the
transaction is complete
OSP/BC closes the
Activity Log record
43

New Process – Kuali Coeus,
Negotiation
OSP/BC receives a
communication requiring
the need to start a
Negotiation document
OSP/BC creates a
Negotiation document and
assigns it to someone
OSP/BC associates
the Negotiation
document with a
Proposal
Development,
Institutional Proposal,
or none
OSP/BC begins
entering activities
OSP/BC continues to
enter and update
activities until the
transaction is complete
OSP/BC closes the
44

Accessing the Negotiation module
 Pre-Award Channel > Negotiation create icon
• Allows administrators to initiate a Negotiation document
Note that department/colleges can view
negotiation records, however some information is
restricted to central administration users only
45

Creating a Negotiation document
 Document Overview panel
 Add a description; this will be the description that will be
displayed in doc search
 Negotiation panel
 Select Status: In progress (default)
 Select a Negotiator (the individual logging the activity)
 Select an Agreement Type
 Enter the Negotiation Start date: defaults to today’s date,
but may be changed
 Enter Draft Award Date, if applicable
 Type in the document folder name/location, if applicable
47

Negotiation panel: Linking a Negotiation
 Link to a Proposal Development, Institutional
Proposal, or select “None”
 Populates information from the linked document into
the Negotiation, such as title, lead unit, investigator,
sponsor, proposal type, etc.
 If the Negotiation Association Type is None, the above
fields will be editable so that the user can manually
enter data
48
If you have linked a document to the Negotiation in error, save the Negotiation
before changing the Negotiation Associate Type and Document

Complete document-specific fields
 Additional fields appear when Proposal Development or
Institutional Proposal documents are linked to a
 Select a Team
 Additional fields appear when Proposal documents are
linked to a Negotiation document
 Select the Complexity Level
 Check the box if the PI or Unit Submitted the proposal to the
sponsor.
 Check the box if the PI Decided Not to Submit
 Check the box if the proposal is for an Award Transfer
 Check the box if the Proposal [was] Submitted Before College
Approval
 Review the OSP Target Date and adjust as necessary 49

Creating a Negotiation document
50

Activities & Attachments
 Add an activity
 Select the Location
• An event with multiple locations will need to be logged as separate
activities
 Select an Activity Type
 Enter the Activity Start Date
 Enter the Activity End Date, if complete
 Enter a Follow-up Date, if a subsequent follow-up date is desired
 Type in a Description of the activity
• Click the Unrestrict button to make the Description visible to units
 Attach any documents
• Choose the File
• Add a file Description
• Click the Add Attachments button
 Click the Add Activity button
51

Displaying Activities
 Negotiation documents may contain many
activities
 Activities can be sorted by:
• Activity start date, activity type
• Last update, activity type
• Last update by, last update
• Activity type, last update
• Location
 Display all activities or just those that are pending
 Print all activities or just those that are pending
53

55
Creating a Negotiation Exercise
 Use the handouts provided to create a

Update a Negotiation
Document
56

Update Negotiation Activities
 Negotiation documents are updated in real-time
with new proposal and award activities
57

 Enter desired search criteria and click search
 A list of Negotiations will appear in a table below
the search categories
 Click the open link to go directly to the
Negotiations document
 Make the necessary changes to the Negotiation
document
 Click the save button to save your changes
Negotiations Search Results
58

Finding a Negotiation document
*Institute*
59

Closing a Negotiation
 Change the Negotiation Status to Complete
 The Negotiation End Date, as well as all activities that
do not have an end date entered will automatically be
filled in with today’s date when complete is selected as
the Negotiation Status
 After you have changed the status to Complete and
saved the document, review the Activity End Dates to
make sure they are correct
60

62
Update & Close Negotiation Exercise
 Use the handouts provided to update and close
a Negotiation

COI Disclosure and
Training Compliance
63

Compliance Process
64
OSP / BC Submits the
Proposal to the Sponsor
Perform Disclosure
search, using
Proposal or Award ID
Sponsor
Compare results of
the lookup to related
Proposal/Award key
personnel
Sponsor
Contact
investigator(s) –
Disclosure still
needed
Sponsor
Verify COI training
has been completed
Disclosure
Completed?
No
Yes
Sponsor
Contact
investigator(s) –
Training still needed
Training
Completed?
No
Yes
Done!

Proposal/Award Disclosure Search
 Pre-Submission Compliance channel > Disclosures
search icon
 Enter the Proposal or Award number
 Click search
 The system will return results for the key personnel
that have submitted a disclosure for the project
65

Checking Disclosures & Training
 Verify that a disclosure has been submitted
 Compare the search results to the Key Personnel
listed in the project
• If the individual is not listed, the disclosure has not been
started
• Disclosure Status field = Routed for Review or Review
Completed
• Contact investigator if they have not submitted a disclosure,
the Disclosure Status is In Progress or Disapproved
 Verify Training has been completed
 COI Training Completion field contains a date
66

For more information
 The following materials are available at http://ra-
project.vprgs.msu.edu/user-education-and-
resources:
 OSP/BC/CGA Internal Procedures for Revision
Requests that Require Notification or Approval job aid
 Using Look ups in KC to obtain Information job aid and
video
67

Questions???
Thank you for your attendance and participation!
68

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