Research and Conference Grants. Administration System (RCGAS) Operational Guide. for Principal Investigator (PI)
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1 Research and Conference Grants Administration System (RCGAS) Operational Guide for Principal Investigator (PI) Prepared by CITINet Systems Limited September 2004
2 Contents Introduction... 1 Chapter 1: How to submit an application proposal?... 2 Chapter 2: How to revise/withdraw a proposal?... 3 Chapter 3: How to inquire proposal status?... 4 Chapter 4: How to confirm a newly approved project?... 5 Chapter 5: How to endorse/return a proposal?... 6 Chapter 6: How to view financial status?... 7 Chapter 7: How to view my own projects?... 8 Chapter 8: How to search all HKU projects?... 9 Chapter 9: How to view project assessment? Chapter 10: How to prepare a change request? Chapter 11: How to revise a change request? Chapter 12: How to view change requests? Chapter 13: How to prepare a progress/final report? Chapter 14: How to revise a progress/final report? Chapter 15: How to view progress/final reports? Chapter 16: How to search publications? Chapter 17: How to maintain own record? Chapter 18: How to view outstanding tasks? Chapter 19: How to input a proposal? Chapter 20: How to input a project? Appendix: Workflow for management of proposals and project reports... 22
3 Introduction This operational guide aims to facilitate principal investigators (PIs) of HKU to mange proposals, projects and their related activities through Research and Conference Grants Administration System (RCGAS). PIs can follow the steps below to login to the RCGAS: Step 1: Start a web browser; i.e. Internet Explorer 6.0 or above; Step 2: Go to HKU Portal web site by entering into the navigation bar; Step 3: Enter your login id and password; Step 4: Click the tab MyUIS; Step 5: Select Research and Conference Grants Administration System from the Research group and you will be directed to your personal webpage. CITINet Systems Limited Page 1
4 Chapter 1: How to submit an application proposal? You must be a valid PI (i.e. current academic staff members or post graduate students) before you can use the function. After logging into RCGAS, please follow the steps below to prepare an application proposal (only limited internal funding schemes are open for electronic submission at the moment). Step 1: Click Prepare Internal Grant Proposal function on the vertical menu bar; Step 2: Click the hyperlink here to add a new proposal; Step 3: Select a funding scheme you want to apply for; Step 4: Select one of the following approaches to prepare and submit a proposal; Approach A: Web-based application (recommended approach) Step (a): Click the hyperlink web-based application ; Step (b): Fill in the form; Step (c): Click Save and Submit button to submit the completed proposal. te: Users can click Save without submission button to save the filled proposal temporarily into the database. The saved proposals can be retrieved by clicking Prepare Internal Grant Proposal function on the vertical menu bar. Approach B: MS Word-based application Step (a): Click the hyperlink Download a blank form ; Step (b): Fill in the application form offline; Step (c): Click the hyperlink Upload the completed Word document. te: You will receive an notification on the status of your submission approximately 15 minutes after your proposal is uploaded. You can also use View Proposal Status function to check the actual status of the proposal 10 minutes after it is uploaded and submitted successfully. CITINet Systems Limited Page 2
5 Chapter 2: How to revise/withdraw a proposal? PIs can revise/withdraw the proposal returned by Head or Research Services. After logging into RCGAS, please follow the steps below to revise/withdraw the submitted proposal. Step 1: Click Revise Proposal function on the vertical menu bar; Step 2: Select the project you want to revise/withdraw; Step 3: Click the hyperlink Revise to revise the proposal or the hyperlink Withdraw to withdraw the proposal. CITINet Systems Limited Page 3
6 Chapter 3: How to inquire proposal status? PIs can inquire the status of the submitted proposal at any time. After logging into RCGAS, please follow the steps below to inquire the status of the submitted proposal. Step 1: Click Inquire Proposal Status function on the vertical menu bar; Step 2: Corresponding status of the submitted proposals will be displayed e.g. Submitted to Head, Submitted to RS, Under Consideration, Awarded, Rejected etc. CITINet Systems Limited Page 4
7 Chapter 4: How to confirm a newly approved project? Only the responsible PI can confirm the newly approved project. After logging into RCGAS, please follow the steps below to confirm the newly approved project. Step 1: Click Manage Proposal Confirm New Project function on the vertical menu bar; Step 2: Select a project you want to accept/decline; Step 3: Click Accept button to confirm the acceptance of the award or click Decline to decline the project; te: PI can click the hyperlink View to view the award letter and click the hyperlink Change Request to make a change request. CITINet Systems Limited Page 5
8 Chapter 5: How to endorse/return a proposal? You must be a valid PI (i.e. supervisor) before you can use the function. PIs can endorse/return a proposal submitted by his/her post graduate student. After logging into RCGAS, please follow the steps below to endorse/return an application proposal submitted by PIs (i.e. post graduate student). Step 1: Click Manage Proposal Endorse Proposal function on the vertical menu bar; Step 2: Select a project you want to endorse/return; Step 3: Choose the appropriate action (Endorse/Return) from the column Action;. Step 4: Click Confirm button; Step 5: An template sent to PI will be displayed for PIs to edit or confirm; Step 6: Click Confirm button. CITINet Systems Limited Page 6
9 Chapter 6: How to view financial status? PIs can view financial status of the on-going projects. After logging into RCGAS, please follow the steps below to view the financial status of the approved project. Step 1: Click View Financial Status function on the vertical menu bar; Step 2: Select a project you want to view; Step 3: Click Select button to view the details of the financial budget item. te: PI can click the hyperlink here to access details of the financial transactions of the project at FEO web site. CITINet Systems Limited Page 7
10 Chapter 7: How to view my own projects? PIs can view their own projects information. After logging into RCGAS, please follow the steps below to view the detailed project information. Step 1: Click View My Project function on the vertical menu bar; Step 2: A list of projects as PI and a list of projects as Co-I will be displayed. CITINet Systems Limited Page 8
11 Chapter 8: How to search all HKU projects? PIs can search and view basic information of all HKU projects. After logging into RCGAS, please follow the steps below to search for all HKU projects. Step 1: Click Search All HKU Projects function on the vertical menu bar; Step 2: Choose a search criterion from the available options; Step 3: Enter the search criteria in the relevant search screen; Step 4: Click Search button at the bottom of the same screen; Step 5: A list of HKU projects will be displayed. CITINet Systems Limited Page 9
12 Chapter 9: How to view project assessment? PIs can view the proposal assessment and progress/final report assessment. After logging into RCGAS, please follow the steps below to view the assessment details: Step 1: Click View Project Assessment function on the vertical menu bar; Step 2: Click the hyperlink View in the column Proposal Assessment or P/F Report Assessment to view the proposal assessment or progress or final report assessment respectively; CITINet Systems Limited Page 10
13 Chapter 10: How to prepare a change request? PIs can make change requests for project objectives, project start date, project extension, team members and project budget after accepting the award. After logging into RCGAS, please follow the steps below to prepare a change request. Step 1: Click Change Request Prepare Change Request function on the vertical menu bar; Step 2: Select a project you want to make a change request and then click Select button; Step 3: Select the nature of the change request and then click Submit button; Step 4: Fill in the changes with justification; Step 5: Click Submit button to submit the change request. CITINet Systems Limited Page 11
14 Chapter 11: How to revise a change request? PIs can revise/withdraw the change request returned by RS user. After logging into RCGAS, please follow the steps below to revise/withdraw the submitted change request. Step 1: Click Change Request Revise Change Request function on the vertical menu bar; Step 2: A list of change request records returned by RS user will be displayed and then select a change request record you want to revise; Step 3: Click Submit button to submit the change request again or click Withdraw button to withdraw the change request. CITINet Systems Limited Page 12
15 Chapter 12: How to view change requests? PIs can view the change requests he/she submitted. After logging into RCGAS, please follow the steps below to view the submitted change requests. Step 1: Click Change Request View Change Request function on the vertical menu bar; Step 2: A list of change request records will be displayed. Please select a change request record you want to view; Step 3: Click View button to view the details of the change request. CITINet Systems Limited Page 13
16 Chapter 13: How to prepare a progress/final report? PIs can prepare a progress/final report. After logging into RCGAS, please follow the steps below to submit the progress/final report: Step 1: Click Progress/Final Report Prepare P/F Report function on the vertical menu bar; Step 2: Select a project and then click Select button; Step 3: For the progress/final report of internal funding schemes: PI can click the hyperlink Submit to fill in the progress/final report online and then submit it or click the hyperlink View to view the submitted progress report/final report; For the progress/final report of CERG: Step (a): Click the hyperlink Download to download the blank form of progress/final report; Step (b): Fill in the blank form offline; Step (c): Click the hyperlink Upload to upload the completed progress/final report; Step (d): PIs can click the hyperlink Download to view the submitted progress/final report. CITINet Systems Limited Page 14
17 Chapter 14: How to revise a progress/final report? PIs can revise the progress/final report returned by RS user. After logging into RCGAS, please follow the steps below to revise the returned progress/final report: Step 1: Click Progress/Final Report Revise P/F Report function on the vertical menu bar; Step 2: Select a project and then click Select button; Step 3: For the progress/final report of internal funding scheme: PI can click the hyperlink Submit to revise the progress/final report online and then submit it again. For the progress/final report of CERG: Step (a): Click the hyperlink Download to download the returned progress/final report; Step (b): Revise the form offline; Step (c): Click the hyperlink Upload to upload the revised progress/final report; CITINet Systems Limited Page 15
18 Chapter 15: How to view progress/final reports? PIs can view his/her progress/final reports. After logging into RCGAS, please follow the steps below to view the progress/final reports: Step 1: Click Progress/Final Report View P/F Report function on the vertical menu bar; Step 2: Click the hyperlink View P/F Report of a project to view the report details. CITINet Systems Limited Page 16
19 Chapter 16: How to search publications? PIs can search and view his/her publications. After logging into RCGAS, please follow the steps below to view the publications: Step 1: Click Search Publication function on the vertical menu bar; Step 2: Enter the search criteria in the relevant search screen; Step 3: Click Search button at the bottom of the same screen. CITINet Systems Limited Page 17
20 Chapter 17: How to maintain own record? PIs can maintain their own CVs. After logging into RCGAS, please follow the steps below to maintain CVs: Step 1: Click Maintain Own Record function on the vertical menu bar; Step 2: Click Browse button to select the CV in PDF file format; Step 3: Click Upload button to upload the CV in PDF file format. CITINet Systems Limited Page 18
21 Chapter 18: How to view outstanding tasks? PIs can view their outstanding tasks. After logging into RCGAS, please follow the steps below to view outstanding tasks: Step 1: Click Outstanding Tasks function on the vertical menu bar; Step 2: A list of outstanding task will be displayed for PI s action; Step 3: Click the hyperlink of outstanding task and you will be directed to the action page. CITINet Systems Limited Page 19
22 Chapter 19: How to input a proposal? PIs can input a proposal (excluding those internal grant proposals that can be submitted through Prepare Internal Grant Proposal functions) by entering details of research grant applications. After logging into RCGAS, please follow the steps below to input a proposal: Step 1: Click Input Proposal function on the vertical menu bar; Step 2: Click the hyperlink here to add a new proposal; Step 3: Select a funding scheme; Step 4: Click the hyperlink here to input proposal information; Step 5: Fill in the form; Step 4: Click Save and Submit button to submit the completed proposal. te: Users can click Save without submission button to save the filled proposal temporarily into the database. All the saved proposals can be retrieved by clicking Input Proposal function on the vertical menu bar; CITINet Systems Limited Page 20
23 Chapter 20: How to input a project? PIs can input a project (excluding those projects that are approved through normal university channels) by entering project details. After logging into RCGAS, please follow the steps below to input a project: Step 1: Click Input Project function on the vertical menu bar; Step 2: Click the hyperlink here to add a new project; Step 3: Select a funding scheme; Step 4: Click Next button to input project information; Step 5: Fill in the form; Step 6: Click Save and Submit button to submit the project. te: Users can click Save without submission button to save the filled project temporarily into the database. All the saved projects can be retrieved by clicking Input Project function on the vertical menu bar; CITINet Systems Limited Page 21
24 Appendix: Workflow for management of proposals and project reports Workflow Diagram tations The following notations are used to describe the workflow for RGAS operations: Process Decision Manual operation Manual input backend process Predefined process Document Terminator/ Page connector e-submission of Proposal-Web Approach Researcher: RGAS: 1 2 Basic Personal Information extracted from RGAS db Extract and verify basic proposal info Successful? Fill in proposal online /attached supporting document in Word/PDF format Save proposal to RGAS db Complete? Submit & verify proposal Save proposal info to RGAS db Generate full proposal in PDF and record the path ref to RGAS db Inform Researcher of the submission failure via End Prompt error message Successful? Set proposal status to `Submitted ' End Inform Researcher and Head (cc to AU) via 3 CITINet Systems Limited Page 22
25 e-submission of Proposal-Word Approach Researcher: Login Eligibility checking and list valid grant types (at backend) Choose a Grant Type Prompt applicant to confirm personal record Eligible? Display ineligibility message End Generate tailor-made application form (PI's info pre -filled ) WS Word Prepare proposal in Word or on Web? Web-based 1 Download application form in Word Fill in application form offline Complete? Choose a Grant Type Upload and submit application files 2 Endorsement of Proposal Submission Head: Researcher: 3 Download and verify proposal in PDF & attachments Login Proposal in order? Set proposal status to 'Returned by Head' Revise proposal Set proposal status to 'Endorsed by Head' Re-submit the revised proposal RGAS: Inform RS GT-L via tify Researcher via Set proosal status to "Resubmitted " 4 Inform Head via CITINet Systems Limited Page 23
26 RS (GT-L): 4 Validation of Proposal Researcher: Assign proposal to GT-R Inform GT-R via Assign GT-R? Returned by Panel? RS GT-L/GT-R: Download and verify proposal & attachments against the checklist Login Set status to "Endorsed by RS" Proposal in order? Revise proposal RGAS: Assign proposal a Panel to Set proposal status to 'Returned by RS' Re-submit the revised proposal Inform Panel Leader (cc to RS GT-L) via tify Researcher (cc to RS/Head) via Set proosal status to "Resubmitted " 5 Inform RS (cc to Head) via Panel Leader (P-L)/GT-L: Vetting of Proposal 5 PR required? Assign Panel Responsible (P- R) Person to a proposal Inform P -R (cc to GT- L/P-L) via Panel Responsible Person (P-R)/P-L: Download proposal in PDF/attachments and evaluate proposal Set proposal status to 'Returned by panel' Additional Information Required? Proposal approved? Set proposal status to 'Rejected by panel' Inform RS about the additional information required via Enter comments in web form Set proposal status to 'Approved by panel' Inform RS GT-L the Rejection decision via Inform RS GT-L the 4 Approval decision via 6b 6a CITINet Systems Limited Page 24
27 Deliberation of Proposal RS(GT-L/GT-R): 6a Enter comments in web form Entered by GT-L? Set proposal status to `Approved by RS' 6b Enter comments in web form Entered by GT-L? Set proposal status to `Rejected by RS' Confirm proposal status as "Approved" Convert proposal to project Generate award letter and inform Researcher (cc to RS) via Inform Head via Confirm proposal status as "Rejected" Generate rejection letter and inform Researcher (cc to RS) via Inform Head via 7 End CITINet Systems Limited Page 25
28 Confirmation of Award Researcher: 7 Accept? Change Request? Set proposal status to 'Withdrawn by PI' Change Request Inform RS (cc to Researcher) via Confirm acceptance of award Stop RGAS: Set proposal status to 'Accepted by PI' Inform RS (cc to Researcher) via 8 CITINet Systems Limited Page 26
29 Project Initiation RS (GT-L/GT-R): RGAS: 8 Change Request? Change Request Update & Confirm Project record Set proposal status to 'Awarded' Update FEO system End CITINet Systems Limited Page 27
30 Start Project Change Request (CR) RGAS: Fill in Change Request (CR) on the web Change CRstatus to 'Submitted' Save CR into RGAS db Complete? Submit CR online Infom HoD via Endorsement Required? InfomRS(GT-L/GT-R) via 2 3 CITINet Systems Limited Page 28
31 Project Change Request (CR) Head/Dean: 2 Review CR online Seek clarifications? Set CR status to R'Revision require by HoD' Inform R via Start Endorse? Set CR status to R'Rejected by HoD' Inform R via End Set CR status to E'Endorsed by HoD' Inform RS(GT-L/GT-R) via 3 CITINet Systems Limited Page 29
32 Project Change Request (CR) RS (GT-L/GT-R): 3 Review CR online Seek clarifications? Approved? Set CR status to R'Returned by RS' Set CR status to A'Approved' Set CR status to R'Rejected' RGAS: Inform Researcher (cc to RS GT-L/GT-R) via Save the changes to project tables & keep the CR log Inform reseacher (cc to RS GT-L/GT-R) via 4 Inform reseacher (cc to RS GT-L/GT-R) via End Principal Investigator (PI): 4 Project Change Request (CR) RGAS : Revise Change Request (CR) on the web Save CR into RGAS db Change CR status to 'Re-submitted' Complete? Inform RS (GT-L/GT-R) via Submit CR online 3 CITINet Systems Limited Page 30
33 Web-based P/F Report Submission Principal Investigator (PI): Start Fill in P/F report online Save P/F report to RGAS db Complete? Submit report form Inform RS (GT-L/ GT-R) via R1 RS (GT-L/GT-R): Approval of Report Submission R1 Principal Investigator (PI): Review the progress/final report online Inform PI via Require revision? Set report status to 'Approved' and input receipt date Is final report? Set report status to 'Returned' Any outstanding item? Change project status to 'Completed' Login Revise report online Re-submit the revised report RGAS: Change project status to 'Completed with Outstanding Items Update FEO system Change report status to "Resubmitted" Inform RS (GT-L/GT-R) via Inform PI via End CITINet Systems Limited Page 31
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