How To Use Research Support (Rms)

Transcription

1 Edith Cowan University Research Management System Viewing and Recording Data A guide for Research Support Edith Cowan University June 2015 V3

2 Contents Introduction... 3 RMS grants administration summary... 3 Accessing RMS data... 5 Logging in... 5 Searching in RMS... 6 Proposal Development (PD)... 7 Create new proposal... 8 Expression of interest: accessing the e-form Expression of interest: completing the e-form Expression of interest: uploading supporting documents Expression of interest: submission Viewing data in RMS Navigating the RMS record Personnel Budget Detail Cost sharing Classification codes Awards Summary screen Detail Cost sharing Deliverables and scheduled payments Deliverables Deliverable complete Outstanding deliverables Deliverable linked to an invoice Scheduled payments Scheduled payment complete Attachments RMS guide: Research Support 1

3 Viewing an attachment Uploading an attachment Communications Adding a note Viewing a note Reporting Reporting tool alerts Discoverer reports Further assistance RMS guide: Research Support 2

4 Introduction The aim of this document is to provide the user with a guide to viewing and recording data in RMS, as well as outlining the RMS processes that each research grant will follow. If you d like to consider these instructions in the context of broader research administration processes please refer to the Process Handbook. RMS grants administration summary A typical grant application and award will progress through the following workflow: Pre award: 1. Developing: an RMS proposal has been created and the expression of interest (EOI) is not yet complete. 2. Under review: the EOI has been completed and submitted to the researcher s Head of School (awaiting approval). 3. Internal EOI approved: the researcher s Head of School has reviewed the EOI and supports its development into a full proposal. 4. Under review pre submission: the proposal is complete and has been reviewed by the RAO, who has moved the workflow on to the researcher s Head of School for their final approval. 5. Approved for submission: the researcher s Head of School has reviewed the final proposal and supports its submission to the funding body. 6. Pre-submission check required: the proposal is awaiting the review of the Coordinator, Research Administration (CRA) and the Manager, Research Operations (MRO). 7. Submission preparation required: the MRO has approved the proposal and has notified the Grants and Funding Liaison Officers (GFLOs) that it can be submitted to the funding body. 8. Submitted: the proposal has been submitted and is awaiting the outcome from the funding body. Post award: 1. Success statuses: a. Successful: An ECU administered grant application or an externally administered application where ECU is to receive funds was successful and funding has been awarded. b. Successful with conditions: the Chief Investigator (CI) must make revisions to their proposal before funding is awarded. c. Successful externally: the grant will be administered at another institution, with no funds received by ECU. The RMS record will progress to Active Externally where it will remain until the project closes. 2. Accepted by CI: the CI has reviewed the terms and conditions and accepts the award If accepted by CI (with conditions): RMS guide: Research Support 3

5 a. Dept. head review: the researcher s Head of School is reviewing the revised proposal. b. Accepted by school/centre/faculty: the Head of School has confirmed their approval. 3. Confirm project approvals: contract negotiations are complete and the CRA is required to confirm that all necessary approvals (for example, Ethics) are in place. 4. Project account code approval required: all approvals are in place and the MRO is reviewing the award prior to requesting an account code. 5. Project account code creation required: the MRO has approved the award and has requested that a Faculty Finance Coordinator opens a project account in Oracle. 6. Active: a project account is in place and the researcher is working on their research project. 7. Pending closure: the project is complete and all contractual obligations have been met. 8. Closed: Finance have confirmed that no funds remain in the project account. 9. Archived at ORI: the project has been archived. RMS guide: Research Support 4

6 Accessing RMS data Logging in RMS is accessed from the Staff Portal. Please be aware that off-campus users will need to be connected to ECU's VPN in order to access RMS. 1. Click on the Research Management System hyperlink under the Easy Logins menu on the Staff Portal. RMS will open in a new window. RMS guide: Research Support 5

7 Searching in RMS 1. From the RMS homepage select the Research Grants menu bar on the left of the screen. Alternatively, select My Items or Search For Items from the toolbar on the top of the home page. 2. When the menu has expanded click Locate Records or Locate My Records. 3. You can search using a number of different criteria: Proposal number : grant ID beginning with G (unless a subproject). RMS guide: Research Support 6

8 FMIS project account ID : the Oracle project account code. Sponsor/scheme : the funding body and scheme. Click Search to open a search window. Proposal Status : the current proposal status. Select a value from the drop-down menu. CI : the Chief Investigator. Click Search to open a search window, or type their surname into the (predictive) text box. Primary assoc dept : the Chief Investigator s school. Click Search to open a search window. Once you ve entered your criteria click search. To remove a search field from your criteria, click on the selected field and it will be moved back to the Available fields to search by column. 4. When the record appears, hover over the Item ID Number to expand more options. Options for Proposal Development (PD) and Proposal Tracking (PT) will appear. 5. Click on Edit or View as appropriate to open the record. Proposal Development (PD) Researchers (or their delegates) are responsible for creating the initial RMS proposal, and for completing and submitting their Expression of Interest (EOI). RMS guide: Research Support 7

9 Create New Proposal On the RMS homepage click followed by This will launch the Create New Proposal screen, as illustrated below. To complete the screen: 1. Select the CI. This will default to the profile creating the record (for example, the template above was created using the profile RMS System Administrator ). If the information is being entered on behalf of the CI the person creating the record should: a. Select the CI by typing in the name of the CI in the (predictive) text box: b. For example: if you are selecting the name Joe Investigator, you can begin by typing either Joe or Investigator in the predictive text box and the database will refresh with a collection of names that contains Investigator or Joe in the names: RMS guide: Research Support 8

10 c. Select their name from the drop-down menu by highlighting and click. 2. Select the sponsor (funding body) and scheme. a. Select the sponsor by typing in the name of the sponsor in the (predictive) text box. b. For example: if you are selecting the sponsor s name Edith Cowan University, you can begin by typing either Edith or Cowan or University in the predictive text box and the database will refresh with a collection of names that contain those word: c. Select the name of the sponsor from the drop-down menu by highlighting and click. 3. The proposal type will default to Expression of Interest. 4. Enter a proposed title for the project in the free text box. 5. Enter indicative start and end dates for the project. RMS guide: Research Support 9

11 a. Click on the calendar icon next to each field and a calendar prompt box will appear on screen. Select the appropriate dates. 6. Click Create Proposal. You should see the Processing screen followed by the Setup Questions landing page. Expression of Interest: Accessing the e-form Once the proposal has been created you will be presented with the Setup Questions page. RMS guide: Research Support 10

12 Click on Save and Continue to progress. The e-form is located under the Submission tab. Click the Expression of Interest : Edit icon next to the form entitled The e-form will appear as below: RMS guide: Research Support 11

13 Form controls: Saves the form during data entry. Details the history of the form. Converts the form to PDF for printing. Closes the browser of the form. Must be ticked once the form is complete; locks in answers, closes form and allows researcher to proceed with submission. Expression of Interest: Completing the e-form Before the researcher begins to complete the form they should expand their browser window so that it is displayed in full screen mode. Click the icon to expand the window. 1. Sponsor/scheme details. These details will have been populated automatically from the information entered on the Create New Proposal screen. If you need to change the name of the sponsor or scheme then click the Edit icon. 2. Closing date. Enter the date in the format DDMMYYYY. 3. Proposed project title. Enter the project title into the free text box. RMS guide: Research Support 12

14 4. Project summary Enter a brief description of the proposed project. The researcher will be restricted to a 100 word limit. 5. Research development support. This section asks whether or not you would like to request support from a Research Development Advisor (RDA). This section of the form is dynamic; by selecting Yes you will open more questions. Answer Yes or No by selecting the appropriate check boxes and, if applicable, select from the drop-down menu the name of the RDA with whom you ve been in contact. 6. Collaboration. This section asks whether or not your project will involve collaboration. The researcher should select Yes or No. This section of the form is also dynamic, and so selecting Yes will open up the Research Team External section. RMS guide: Research Support 13

15 7. Research team (ECU). Add a field to the Research Team ECU section for each member of the team by clicking the icon. This will add a line to the section. To add a team member s name, click the icon. This will open the Personnel window. You can locate a team member by clicking on the letter that corresponds with the first letter of the team member s surname, and then selecting them from the drop-down menu. Clicking Select will transfer these details to the e-form. Click the Save icon to create the research team record. 8. Research team (external). This section will be displayed if you have selected Yes to the Collaboration question. Clicking on the icon will add lines to this section, and these lines will contain free text boxes. Click on the icon to delete. Complete the external research team record by typing the relevant information into the free text boxes. 9. Save and complete. Click on the Save button then tick the Completed check box to confirm the responses and close the e-form. RMS guide: Research Support 14

16 Expression of Interest: Uploading supporting documents Closing the e-form will take you back to the Submission page in ECU RMS. The e-form will have the status Completed. If you wish to include supporting documentation in your expression of interest then you should click Add Institution Forms/Supporting Documents link that is situated underneath the e-form summary. This will launch the Upload new document window. 1. Enter a name for the document into the Name field. 2. Click Browse to locate the file. 3. Select the appropriate category from the drop-down menu. For expressions of interest this should be Proposal Documents. 4. Click Upload. You will then be prompted to close the window. These steps can be repeated to upload as many documents as the researcher requires. Expression of Interest: Submission When the e-form has been completed and any supporting documentation has been uploaded then the researcher can submit their expression of interest. To submit the expression of interest to the Head of School, click on the thumbs-up icon. RMS guide: Research Support 15

17 You will be prompted to certify that all sections of the expression of interest are correct. To progress, select Accepted and click Continue. Viewing data in RMS Navigating the RMS record Navigate the RMS record using the menu to the left of the screen. Click on a folder to view the associated data. RMS guide: Research Support 16

18 If a folder contains a subfolder it will have an the subfolders. icon. Click this icon to expand the folders and view Personnel To view the full research team click the Personnel tab. This information will have been entered by a Research Administration Officer (RAO) as per the proposal, and subsequently updated by the GFLO s if the project has been made active and there have been variations. Personnel are split into two categories: key personnel and non-key personnel. Key Personnel are those who have significant intellectual input and are named within the application as (for example) CI,PI, Partner Investigator and Associate Investigator 1. Examples of non-key personnel include: Research Assistants, Project Managers etc.. Note: if you are responsible for entering personnel, there should be one continuous sequence - the sequencing should not be restarted when non key personnel are entered. Any external investigators ( subcontractors ) named on the proposal will also be listed here, with their organisation named in the org column. 1 The NHMRC define Associate investigators as: An Associate Investigator (AI) is defined as an investigator who provides intellectual input into the research and whose participation warrants inclusion of their name on publications RMS guide: Research Support 17

19 The researcher s school ( dept ), their role on the project ( role ) and the FTE that they ll commit to the project ( % effort ) can be found on this screen. Budget The budget details the funding requested from the sponsor in the original proposal and is entered by an RAO during proposal development. Detail To view the budget, expand the Budget folder until you re able to select the Detail folder. RMS guide: Research Support 18

20 The budget is entered at a summary level, and can be found in the Non-Personnel Costs section. Each sponsor will have a separate line for cash and in-kind (if applicable). The budget detail screen also displays the name and organisation of any external collaborators involved. This can be found in the section subcontract/subawards. No costs will be listed against the external investigators in this section; any costs associated with external investigators will have been included in the summarised budget items above. Cost sharing The cost sharing screen is used to determine whether funds requested are cash or in-kind, and can be requested by expanding the Budget folder. The table at the top of the cost sharing screen provides a summary of funding, and also provides a key to the names of the columns. RMS guide: Research Support 19

21 As each of the budget items will have been entered at a summary level, under the category Other, it s only lines that are labelled Other that will be populated on the cost sharing page. 1. The first column will always detail the cash amount requested from the funding body. As it s automatically a cash column there will be no drop-down menu available to select Cash or In-Kind. 2. Because the budget is entered at a summary level the contribution share will always be 100%, and the dollar amount requested will be repeated beneath this. 3. If the sponsor will also be contributing in-kind an additional column will be required. This is because there is no option to mark funds as In-Kind in the first sponsor column. 4. In this example the funding body is contributing $5,000 in-kind; so In-Kind has been selected from the drop-down menu, with the percentage and amount contributed listed to the right of the menu. 5. Even though there s just one column for all other contributing parties, they ll still have a row per contribution. In this example Cash has been selected from the drop-down menu for the $20,000 contribution, with In-Kind selected for the $5,000 contribution. All other contributing parties will have just one column, even if they re contributing cash and in-kind. Classification codes To view the project s area(s) of strength and opportunity, the type of research, the field of research (FoR) codes and the socio-economic objective (SEO) codes, click on the Classification Codes tab. RMS guide: Research Support 20

22 This information will have been entered by an RAO at the proposal development stage, with the codes having been taken from the proposal or requested from the researcher. Awards If the proposal was successful and funding was awarded the Awards tab will have been completed by a CRA. You can access the awards tab by selecting Awards from the menu. The Awards tab details the funding committed by the sponsor, rather than actual income received. RMS guide: Research Support 21

23 Summary screen The award summary screen presents the following information: 1. Project start and end dates. The start date will be as per the contract, and the end date will be the date of the final contractual obligation. 2. Budget periods. There will be a line per calendar year that funding is awarded, with the award amount listed for each year. 3. The total funds awarded and the date they were awarded. Detail Awards are entered at a summary level and can be found in the Non-Personnel Costs section. Each sponsor will have a separate line for cash and in-kind (if applicable). The award detail screen also displays the name and organisation of any external collaborators involved. This can be found in the section subcontract/subawards. No costs will be listed against the external investigators in this section; any costs associated with external investigators will have been included in the summarised budget items above. RMS guide: Research Support 22

24 Cost sharing The Cost Sharing section of the Awards tab indicates whether funds awarded are cash and in-kind. Please see the Budget pages of this document for instructions on using the cost sharing screen. Deliverables and scheduled payments Deliverables The Deliverables tab contains information on all contractual obligations held by the Chief Investigator. These are most often progress, annual or final reports, which will be found under the Technical folder, or financial statements or acquittals, which will be found under the Financial folder. The information is entered by the Research Contracts team on receipt of the executed contract and schedule. Expand the Deliverables folder and the appropriate subfolder to select the deliverable you d like to view in detail. Alternatively, you can click on the Deliverables folder to open a summary of all deliverables required from the project. This page offers information on the deliverable due date, category, frequency of the report and whether or not the report has been completed and submitted. RMS guide: Research Support 23

25 Click the icon to open a deliverable s record. Deliverable complete You ll be able to check whether a deliverable has been completed and submitted to the funding body by viewing the top section of the deliverable record. 1. If a report has been completed and submitted the Reported/Completed and the Submitted boxes will be ticked. 2. The date that the reports were completed and submitted will be displayed in the Date field. 3. Under By in the Reported/Completed section will be the name of the person who completed the report and submitted it to ORI; under By in the Submitted section will be the name of the person who submitted the report to the funding body. If the Submitted fields are blank the deliverable has not been submitted to the funding body. RMS guide: Research Support 24

26 A copy of the deliverable will be found within the record s Documents section. Click the icon to view the document. Outstanding deliverables It is the responsibility of the GFLO s to monitor the deliverables and send out reminders and requests, and this is done on a monthly basis. The GFLO s will upload a copy of the reminder/request that they ve ed to the Chief Investigator to the documents section. The GFLO may also include a comment in the deliverable status history, which can be found towards the bottom of the screen. Deliverable linked to an invoice The final section of the deliverable record indicates whether or not the deliverable is linked to an invoice. 1. Milestone linked to an invoice: this will have the answer Yes, No, or Unspecified. 2. Invoice amount: the amount that should be invoiced on submission of the deliverable. 3. Invoice currency: by default the currency is set to Australian dollars. An alternative currency will have to be selected if the invoiced amount is a foreign currency. RMS guide: Research Support 25

27 Scheduled payments The scheduled payments information will have been entered by the Research Contracts team on receipt of the executed contract and schedule. Click Scheduled Payments on the menu to access the information. The summary screen will display all pending payments. To view a complete list of pending and completed scheduled payments click Show All. Click the icon to open a scheduled payment record. 7 The record holds the following information: RMS guide: Research Support 26

28 1. Invoice number. This is only present if a cash invoice has been issued. If the cash payment is pending then this field will be populated with TBA ; if it s a transfer or in-kind it will contain the words Transfer or In-Kind. 2. Invoice amount. 3. The date the invoice is due to be issued to the funding body. 4. The frequency with which the payments will be made (although there will be a separate scheduled payment record for each payment). 5. Payment basis. This will either be a Milestone Driven Invoice, to indicate that the invoice is linked to the completion of a deliverable, or Date Driven Invoice, which indicates that the invoice is determined by a date specified in the contract. 6. Description. If a scheduled payment is linked to a deliverable the name of the deliverable will be entered here. 7. To: This field is used to record the name of the funding body associated with this invoice. This information should be entered when the scheduled payment record is created as this information will feed through to the project summary sheet and appear on invoicing reports that are received by finance. Scheduled payment complete 1. If an invoice has been raised and submitted the Reported/Completed and the Submitted boxes will be ticked. 2. The date that the invoice was raised and submitted will be displayed in the date field. 3. Under By Set in the Reported/Completed section will be the name of the person who raised the invoice; under By Set in the submitted section will be the name of the person who submitted the invoice to the sponsor. 4. Under To Set will be the name of the person or organisation to which the invoice will be sent. This will have been set on scheduled payment creation. If the Submitted fields are blank the invoice has not been sent to the sponsor. A copy of the invoice will be found within the record s Documents section. Click the document. to view the RMS guide: Research Support 27

29 Attachments The RMS attachments structure reflects the filing structure and naming conventions of ORI s TRIM files. Viewing an attachment Attachments uploaded to a specific tab (for example, a contract uploaded to the Agreements tab) can be viewed from its original location and from the general Attachments folder. Documents uploaded to the attachments folder can only be viewed within the Attachments folder. 1. Expand the Attachments folder to view the subfolders, or to view the Attachments summary screen click the main folder. 2. You ll be presented with a list of the relevant uploaded documents. To view a document, click the icon. The attachment will open in a new window. Uploading an attachment From the attachments folder click the Add Document button. From all other tabs click the Add button (or equivalent) within the Documents section. You ll be presented with the Upload File window: RMS guide: Research Support 28

30 1. Name the document. 2. Select an appropriate category. 3. Select the Attachments folder in which the document should be located. 4. Locate the document in your file directory. 5. Click Upload. Communications The Communications tab is useful for recording conversations that indicate a change to the arrangement of the grant that haven t been recorded elsewhere (for example, a phone call that isn t supported by a follow-up ). It should also be used for changes to the RMS record that aren t generally traceable, such as a change to the FOR codes, or personnel. If a note has been added to the Communications tab of RMS it should also be included in the TRIM file. Adding a note 1. Click on the Communications folder on the menu. 2. On the summary screen, select the type of communication you wish to record. RMS guide: Research Support 29

31 3. Complete the Subject field and type your note into the text box below. Click Post. The note will then be displayed within the Communication History. Viewing a Note 1. Locate the relevant note under the Communication History, and then click the Detail icon. 2. The note will open in a new window. RMS guide: Research Support 30

32 Reporting Reporting Tool Alerts Reporting tool alerts are reports run automatically from RMS on a regular (daily/weekly/monthly) basis. Their purpose can be to inform, to remind, or to prompt the recipient to complete an action. If you are named as a recipient on the alert you ll receive an with a report attached. The reports are ed in HTML format. If you prefer working from Excel you can copy the information from the HTML report and paste it into an Excel worksheet. If you are working from the report in its HTML format you ll notice that the grant ID numbers are hyperlinks; clicking on one of these links will take you directly to that grant record in RMS. Copying the information and pasting it into Excel will remove the hyperlinks. Discoverer Reports You are able to view a number of reports using Discoverer Viewer. The reports are run nightly, and so the information available is accurate as of the previous evening. 1. Access Discoverer Viewer from the Staff Portal or from the RMS home page. a. Staff Portal: b. RMS homepage: RMS guide: Research Support 31

33 If you are using RMS to access Discoverer Viewer you ll be presented with a widget on the home page containing links to a guide to using Discoverer and an explanation of naming conventions. 2. Log in using the following details: User name: rms_readonly Password: prodpass1234 Database: rmsp End user layer: rms_eul 3. Select your report. Reports can be viewed for all faculties by selecting a report prefixed by All, or you can view reports that have been broken down per faculty by selecting a report prefixed by an abbreviation of the faculty s name. a. Expand the relevant row by clicking the icon. RMS guide: Research Support 32

34 This will reveal a hyperlink. b. Click the hyperlink to open the report. c. The Submitted and Successful reports have search filters, allowing you to select the range of dates for which you require information. If you d like to view all records leave these fields blank. 4. You may wish to export the data. To do this click Export under the Actions menu to the left of the page. RMS guide: Research Support 33

35 This will present a menu containing a number of options, including HTML, Excel and Oracle. Select the relevant program from the list and then click Export. You will then have the option to view or save the report. RMS guide: Research Support 34

36 Further assistance If you require instructions on RMS processes not included in this guide please consult the following manuals: Contracts and variations: a guide for Research Support Grants administration: a guide for Research Operations Reviewing research proposals in RMS: a guide for Heads of Schools and Research Institute Directors Submitting an expression of interest (EOI): a guide for researchers If you require further assistance please contact rms@ecu.edu.au. RMS guide: Research Support 35