Overview
Awarding agencies often require grantees to periodically submit project reports according to express terms and conditions in the award instrument, which may include financial, technical, intellectual, procurement, property and other specialized reports during the life of a research project. Such reports can be configured, produced, printed, exported, and tracked in the Kuali Research system by using the Award Report Tracking lookup, which provides customizable lookup screen functionality. This lookup information pulls from entered information in the Reports panel of the Payment, Reports & Terms tab of the Award. Award Reporting Lookup allows you to generate timely, accurate reports that can be used to comply with sponsor reporting requirements and avoid loss of payment or future funding from a sponsor. More information on this functionality and how to do the initial configuration via maintenance tables and parameters is found below.
Reports Panel in Award
Within the Payment, Reports & Terms tab of the Award the Reports tab has the available Report Classes (Financial, Intellectual Property, Procurement, etc.) where you can add the desired report information for the award.
Report Class examples maintained out of the box are described below but these can be configured via the Report Class maintenance document to meet your institutional needs.
- Financial - Provides a formal summary of the financial reports and/or invoices required on a sponsored project, prepared as required by the sponsor’s terms and conditions in the award.
NOTE: this Report Class Type (1) must be enabled as active for other Types to work as expected. - Intellectual Property - Displays a formal summary of the property reports required of the institution on property purchased with project funds during the awarded project period.
- Procurement - Displays a formal summary of reports for the purchasing, leasing, renting, or selling of services or supplies as required by the sponsor’s terms and conditions in the award. Reports include items for both purchasing and subcontracting activities.
- Property - Displays a formal summary of the property reports required of the institution on property purchased with project funds during the awarded project period.
- Proposals Due - Includes information on requirements for continuation proposals or other proposals required for the award.
- Technical/Management - Displays a formal summary of progress and/or results reporting as required by the sponsor’s terms and conditions in the award.
Closeout Panel in Award
The Award Closeout section will display the Report Classes where a report is included and the due date of the report. For example, the if one or multiple report(s) are included under the Report Class of Technical/Management then Technical will display in the Award Closeout section with the due date of the report(s). Please note, if there is more than one report with different due dates included under a Report Class than it will display MULTIPLE as the due date.
Adding & Managing Reports
Within the Reports panel you can add any of the above mentioned report classes by filling out the required fields in the drop-downs:
- Report Type - The type of report on this row
- Frequency - The frequency at which this report is generated. Examples of Frequencies Your choices in a dropdown list depend on selections you made in a previous field. For example, the choices in the Frequency dropdown list vary based on your selection in the Payment Type field. If they do not automatically refresh, click to refresh the dropdown list choices.
- Frequency Base - The base on which the frequency is calculated. Your choices in a dropdown list depend on selections you made in a previous field. For example, the choices in the Frequencydropdown list vary based on your selection in the Payment Type field. If they do not automatically refresh, click to refresh the dropdown list choices.
- OSP File Copy - OSP file requirements. Examples of OSP File Copy: Click in the dropdown list tool to select the OSP File Copy for this report type.
- Due Date - Required. The date this report is due. Enter the Due Date in MM/DD/YYYY format or click in the date selection icon tool to select it.
When you have filled out the drop-downs click 'add' to save your new entry in the Reports Classes section. Once added the associated Recipients and Details subsections are collapsed beneath the entry but can be expanded to complete.
The Recipients subpanel gives you the option to add additional recipients for the given report by either using a configured Contact Type or lookup and return an Address Book entry.
The Details subsection in the Report Classes subsection contains read-only fields with report data generated from other sections or sources. The top section gives you the option to do a mass update/change to all or some of the reports by using the Select checkbox next to each row you want to update. For example, updating the Status or Activity Date of a given report. Be aware that only reports with a Status of 'Due' will trigger notifications mentioned below.
The permissions associated with the Award Report Tracking functionality for view/edit:
• 'Maintain Award Reporting' permission – A user with a role that includes the Maintain Reporting permission can create and edit Report Tracking data for Units to which their permissions apply
• 'Maintain Award Report Tracking' permission – A user with a role that includes the Maintain Reporting permission can view, create and update all Report Tracking fields.
• 'Limited Modify Award Report Classes' permission - A user with a role that includes the Limited Modify Award Report Classes permission can modify/save Report Details within an Award on the 'Payment, Reports & Terms' tab without requiring an edit to the Award. Works also in conjunction with the LIMITED_EDITABILITY_REPORT_CLASSES parameter to configure which Report Classes to allow edit.
Award Report Tracking Lookup
In order to track and manage all entered reports for awards users can access the Award Report Tracking lookup via the Unit or Central Admin menus:
Typically, OSP Administrators have the ability to change data based on sponsor award modifications and internally-approved change requests, and thus are expected to use Award Report Tracking in Kuali Research to fulfill their responsibility for maintenance of the award, while Unit/Dept. Admins and PI/Co-PI/Key Personnel have access to view the award, the list of required reports and the status.
Searching for an existing Award Report
If you are a Central Administrator with sufficient permission, you can search for existing Award Reports using the Award Report Tracking lookup. You can refine your search as desired using the entry and selection tools in the search criteria section of the Award Reporting Lookup screen (for example, by selecting a Report Class).
Along the bottom of the Award Reporting Lookup you have the a number of action buttons available that allow you to do a variety of functions as described below.
Button | Function |
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Will perform a lookup in Award Report Tracking search based on the selected criteria (if any). |
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Will clear out any entered search criteria to have a fresh lookup. |
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Takes user out of the Award Report Tracking lookup and returns them back to the main menu of Kuali Research. |
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Allows you to collapse the search criteria to better view the lookup results. |
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Upon initial search it will automatically hide the lookup options but the show search will display the search criteria again if you want to make adjustments. |
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Kuali Research provides the Award creator/maintainer with the ability to customize the appearance of the report tracking information to best meet their needs. Users with the Modify Award role are able to choose attributes to customize the view of existing report tracking information. The change view button causes a popup window to appear that allows you to select an option from a list of predefined views (PI, Award, or Sponsor) that are optimized for target audiences, or a Customize option that allows you to further refine the report display information details to be included by selecting data field attributes by either Group or Detail levels of information. |
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Lookup results appear in a table format below the search criteria entry/selection area of the Award Reporting Lookup screen. The left column displays show buttons for each row that allow you to expand the display of all fields for a particular report result table row. Use the Aggregate view when you want to be able to directly open an Award document from the search result table. When you initially navigate to the Award Report Tracking lookup it defaults to the aggregate view. FYI: The Aggregate view does not provide export options. For download/save and print capability, use the report view. |
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When in Aggregate View the print button allows you to generate a PDF of the results in a nice table format as it displays in the lookup. |
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Use the Report view when you want the ability to export the results to a local file and be able to e-mail them to others or print them. FYI: The Report view displays results in a table format that do not include links or buttons that allow you to directly open the Award documents. |
Aggregator View:
The Aggregator View is what appears by default upon search. The Aggregate view will allow you to directly open an Award document from the search result table and expand to view all associated reports within the Award. On the far right you can either open the Award or Print the report list for the specific award - or use the general print on the top to print all results in a PDF as displayed.
Report View
While in Aggregate view, the report view button changes the result table display to report view, which displays different columns of data, some of which display content that is underlined – which means active “drill-down” links you can click to display additional details. The button then acts as a toggle, wherein the label on the button changes to aggregate view.
Configuration
Below outlines the associated maintenance tables, steps to configure the Award Report dropdown options, and parameters that enable or disable options around this functionality. Out of the box there are seven specific Report Classes (Financial, Property, Intellectual Property, Technical/Management, Procurement, Payment/Invoice, Proposals Due) included three 'Placeholder' options that can be repurposed as an institution desires. All these Report Classes also have built in associated Notifications that can be configured which is also explained below.
Maintenance Tables
- Valid Class Report Frequency - This table allows you to configure the logic for dropdown selections available in the Award Reports section. For example, for each Report Class which Reports are available for selection > once Report is selected which Frequency is available for that particular Report.
- Valid Frequency Base - Works in conjunction with the Valid Class Report Frequency table to give logic when certain Reports and Frequency is selected what Frequency Base(s) should be selectable from the dropdown.
- Frequency - This table will give calculation logic to the frequency selections so it will schedule out the reports as desired when added/generated in the Reports section of the Award; for example: Monthly, 30 days after expiration, etc.
- Frequency Base - This table will allow you do specify what the base should be for the selected Frequency. For example, if you select a Monthly Frequency you then chose the appropriate base for this monthly calculation; like Project End Date or Obligated Start Date, etc. The As Required frequency allows you to manually enter the Due Date which will be used to base the Frequency schedule calculation. Although it allows you to add additional Frequency Bases in the maintenance table please be aware that only the out of the box options will have the coded logic to trigger entries for report tracking based on the specified basis. The out of the box options are Execution Date, Project Start Date, Obligation End Date, Project End Date, Obligation Start Date, and As Required.
- OSP File Copy - The Office of Sponsored Projects (OSP) designates which documents you should retain as a hard copy in the OSP award file for future use. This table allows you to configure what options are selectable to flag for OSP to retain with Award; for example: Letter Only, Letter + Report, etc.
- Report - This table gives you the ability to configure the different types of Reports you want available in the Award Report section. For example, SF 270 or other sponsor specific reports you want to enter for a given Award. If the report is marked YES for Final Report it will also be inserted to the bottom Closeout Report panel in the award when added.
- Report Class - This table has all the available Report Classes that a report could fall into which controls which panel the report will display in the Award Report section. For example, Financial, Property, Technical, etc.
- Report Status - The status of the report can be configured via this table to indicate what stage the report is in for the award. For example, Pending, Received, Not Required, Due, etc.
- Award Report Tracking Notifications - You can see previously sent notifications regarding Award Report Tracking with this table in the maintenance tab. This allows you to delete entries if you wish to resend reminders - more information on this functionality can be found in the Maintenance - Award Report Tracking Notifications article.
Steps to Create Award Report Tracking Dropdown Options
STEP 1: Determine the desired values for the following tables:
- Report
- Report Class
- Report Status
- Frequency
- Frequency Base
- OSP File Copy
STEP 2: Use the Valid Class Report Frequency to customize the dropdown logic for the Report and Frequency dropdown options within the Award Report panel fields. First you would add the desired report to the Valid Class Report Frequency table with as many entries as required for the number of Frequency options you want available to the user for the given form.
STEP 3: Use the Valid Frequency Base tables to customize the dropdown logic for the Frequency Base field based on the Frequency selection. Again, you would need to add as many entries as required for all the associated Frequency Base selections you want to make available for each Frequency selection.
STEP 4: Repeat for all desired forms in all the Report Classes (aka Award Report panels).
EXAMPLE: Lets walk through these steps with the specific form of 'SF 270 (Final Report)' which we want to add to the Financial Report panel field dropdown selections. First, let's add all the necessary entries in the Valid Class Report Frequency table:
This will result in the 'SF 270 (Final Report)' to be available in the Report dropdown for the Financial panel and have the available 6 Frequency options to chose from:
Lastly, we need to associate the Frequency Base selections with the Frequency that a user selects. For this example let's associate three Frequency Bases with the Frequency of 'Monthly'. First we'd add the desired entries for this Frequency in the Valid Frequency Base table:
This will result in having these three Frequency Base options available when the Frequency of 'Monthly' is selected by the user:
Parameters
A number of parameters control the notification functionality around award report tracking and whether they are enabled and at what schedule they send. More information about each is below and you can also click on the parameter link to have more detailed information about the given parameter.
- REPORT_TRACKING_NOTIFICATIONS_BATCH_ENABLED - Parameter that determines whether or not award report tracking notifications should be sent (default value is N). If Y, it will send all Award Report Tracking Notifications that are active in the Notifications table scheduled on the below cron trigger parameters that have to have a valid entry to fire.
- REPORT_TRACKING_NOTIFICATIONS_BATCH_CRON_TRIGGER - Determines, via a quartz cron expression, the frequency of when batch notifications related to Award Report Tracking will be sent - this is specific to notifications not related to the Digest Notifications which have their own cron expression parameter for scheduling (see below).
- REPORT_TRACKING_NOTIFICATIONS_BATCH_RECIPIENT - This will be the user who receives the report tracking notification batch log to track the process. Default value quickstart (username) - will show upon Action List FYI and email.
- REPORT_TRACKING_NOTIFICATIONS_BATCH_SKIP_MISFIRE - Determines whether if a report tracking notification batch job misses its start time if it will skip that time and run again at the next time or trigger a new batch instantly. Default value true.
- Report_Tracking_PI_Digest_Notification_Cron_Trigger - Determines, via a quartz cron expression, the frequency of when batch notification due/overdue digest by PI should be sent.
- Report_Tracking_UNIT_Digest_Notification_Cron_Trigger - Determines, via a quartz cron expression, the frequency of when batch notification due/overdue digest by Unit should be sent to Deans and Department Chairs (using the Unit Administrator table types).
- Ascend_Unit_Hierarchy_For_Report_Tracking_Digest_Unit_Admins - Parameter to determine whether or not award report tracking digest notifications should be sent to all Unit Administrators at or above the units associated with reports in the digest (default value is true).
Notifications
Notifications related to award report tracking can be configured via the Notifications maintenance table. There are a number of notifications that can be configured with content and recipients and when activated (along with the appropriate parameters explained above) they will automatically send to desired users. The available notifications related to Award Report Tracking are listed below and users with the appropriate permissions can edit/configure these notifications to meet their institutional needs. Be aware that only reports with a Status of 'Due' will trigger notifications mentioned below.
Notification Id |
Description |
10152 |
Fiscal Report 90 days |
10154 |
Fiscal Report 60 days |
10156 |
Fiscal Report 30 days |
10158 |
Fiscal Report Overdue |
10160 |
Property report 90 days |
10162 |
Property report 60 days |
10164 |
Property report 30 days |
10166 |
Property report Overdue |
10168 |
Intellectual Property report 90 days |
10170 |
Intellectual Property report 60 days |
10172 |
Intellectual Property report 30 days |
10174 |
Intellectual Property report Overdue |
10176 |
Technical management report 90 days |
10178 |
Technical management report 60 days |
10180 |
Technical management report 30 days |
10182 |
Technical management report Overdue |
10184 |
Procurement report 90 days |
10186 |
Procurement report 60 days |
10188 |
Procurement report 30 days |
10190 |
Procurement report Overdue |
10380 |
Award Report Tracking PI Digest Notification |
10382 |
Award Report Tracking Unit Overdue Digest Notification |
Within the text of these emails you can customize the verbage of the notifications and insert Notification Tokens to pull information from the Award or Report. Please be aware that any Notification Token for Award Report Tracking Notifications must be within the `{BEGIN_REPEAT_SECTION}` and `{END_REPEAT_SECTION}` tags of the Notification.
NOTE: You can see previously sent notifications regarding Award Report Tracking via the Award Report Tracking Notifications table in the maintenance tab. This allows you to delete entries if you wish to resend reminders - more information on this functionality can be found in the Maintenance - Award Report Tracking Notifications article.
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