Creating a grant submission record in Themis

Transcription

1 Creating a grant submission record in Themis Creating a submission record for a grant requires completion of a number of screens. You will be able to monitor your progress on the progress train that displays at the top of the screen. Note: you may save the record as a draft at any stage prior to submission. This will allow you to retrieve the record and update or complete the information at a later date. Enter the submission details 1 Log on to Themis using the UOM Research Self Service responsibility. 2 Select the Submissions Workbench function. The Submission Search Page will display. 3 Click on the Create New Submission button. The Submission Type screen will display. Enter the submission type The submission type you select will determine the information that you will need to complete during later stages of the record creation process. Important: While you may change the research type at a later date, prior to submission, you should check all steps before you submit the record to ensure that any extra screens/fields are completed. 1 Complete the Submission Type information. Submission Type (Radio Button) Click on the radio button to select the appropriate grant type. The information that you need to complete later in the application will depend on the option you select. Application is the first stage of a multi-staged grant selection - used for initial round of selection that involves more than one selection round (e.g.: expressions of interest, preliminary grant). Application for a grant where UOM is the lead - used for most grants advertised by the UoM and involving external funding bodies. Participating in a grant where another institution is the lead - used for successful grants lodged by an institution other than UoM in which a UoM staff member is listed as a participant. Applying for an internal grant sponsored by UOM - used for grants funded by the university to promote research internally (e.g.: Early Career Research and Melbourne Research Grants). 2 Click on the Save button. 3 Click on the Next button. The Submission Details screen will display. Get the most out of Themis - check out Themis reference cards Copyright The University of Melbourne, 2009 Page 1

2 Enter the submission details The information you enter on the Submission Details screen is common to all types of submissions. 1 Complete the submission description information. Title Enter the title of the grant submission. This field must be completed before you will be able to submit the record, but may be left blank at the draft stage. However, it is advisable to enter a title as soon as possible to assist you in identifying individual records. Summary Enter the summary of the grant submission. This field is optional. 2 Complete the organisation details. Owning Department Owning Section Project Details This field will default to the primary department recorded against your HR record in Themis, but you may select an alternative department from the dropdown list if required. Select the appropriate section from the drop-down list. Please leave this field blank as it is not currently being used. This field must be completed before you will be able to submit the record, but may be left blank at the draft stage. The values contained in this list are dependent on the department selected. This field will default to 00 - No Section if no value is selected. 3 Enter the funding plan details. Click on the Add Funding Year button in the Funding Plan table and enter the funding details in the blank row that displays. Repeat this step for each year of funding required. Funding Year Enter the year of funding. This information will populate the Funding Details attributes screen when the record transfers across to the Proposal and Agreements modules. Amount Required Enter the amount required for the specified year. You may record cents, but do not include a dollar sign or comma (e.g.: you should enter not $12,500.50). This field will default to 0 if no amount is entered. Note: if you wish to remove a funding year record, tick the appropriate checkbox (located in the Select column) and click on the Delete Selected Funding Year(s) button. 4 Review and update, if required, the information in the Other Details section. Currency Total Value This field will default to Australian Dollar but you may select an alternate currency from the drop-down list, if required. This field will auto-populate the sum of the amounts recorded in the Funding Plan table. 5 Click on the Save button. 6 Click on the Next button. The Regulatory Issues Clearances screen will display. Get the most out of Themis - check out Themis reference cards Copyright The University of Melbourne, 2009 Page 2

3 Enter the clearance information You will need to indicate whether or not clearance is required for the grant submission. Where clearance is required, you will need to record the relevant clearance, instances for approval and the status of the application. 1 Indicate whether clearance is required for the submission by selecting Yes or No from the drop-down list. If clearance is required, go to step 2. Otherwise go to step 7. 2 Click on the Add Clearance button in the Required Clearances table. 3 Complete the clearance information. Clearance Type Clearance Application Number Clearance Status Select the appropriate type of clearance required from the drop-down list. Enter the application number, if known. Select the appropriate clearance status from the drop-down list. You must enter an application number if the application has been approved. Values available are: Not Submitted, Pending, Approved, Evidence Sighted, Additional Sponsor Requirements, and Finalised. 4 Click on the Show hyperlink to display the clearance committee fields. 5 Complete the clearance committee information. Location of Committee Internal Committee Name Host Organisation Name External Committee Name Other Host Organisation Name Select the appropriate location from the drop-down list. appropriate committee from the list of values. This field will default to the University of Melbourne, but may be changed if required. Enter the name of the clearance committee. Enter the name of the clearance organisation. Values available are: Internal, and External. The value selected will determine which additional committee information you enter. This field must be completed before you can submit the record. You should complete this field if you selected Internal in the location field, above. If Internal is selected in the location field this field will default and should not be changed. If External is selected in the location field, select the appropriate host from the list of values. Complete this field if you selected External in the location field. Complete this field if you selected External in the location field and the Host is not available in the list of values. 6 Click on the Add Clearance button and repeat the above steps for each type of clearance required. Note: if you wish to remove a clearance record, tick the appropriate checkbox (located in the Select column) and click on the Delete Selected Clearance(s) button. 7 Click on the Save button. 8 Click on the Next button. The Research Codes screen will display. Get the most out of Themis - check out Themis reference cards Copyright The University of Melbourne, 2009 Page 3

4 Enter the research code information The Research Codes screen is used to record Field of Research (FoR) and Socio-Economic Objectives (SEO) codes applicable to the project record. It is not compulsory to record codes for non-financial applications, but you may do so if you wish. Note: while Themis will accept multiple FoR and SEO codes at this stage, you should not enter more than 5 in each of the sections, as only 5 will be accepted at the validation stage. Recording FoR Codes 1 Click on the Add FoR Code button in the Field of Research Codes table. 2 Complete the FoR code information. FoR Code Percentage appropriate code from the list of values. Enter the percentage figure that should be allocated to this code. You may search by full or partial code, if known (e.g.: enter 16% to retrieve all codes beginning with 16), or you may enter a keyword/s for which to search (e.g.: enter %computer% to retrieve all codes containing computer in the description). Once you have entered the percentage, press Tab to exit the field. Themis will automatically calculate the total of the percentages entered. Important: the total percentage of codes must add up to 100 in order to submit the record. 3 Click on the Add FoR Codes button and repeat the above step for each code required. Note: if you wish to remove a code record, tick the appropriate checkbox (located in the Select column) and click on the Delete Selected Rows button. Recording SEO Codes 4 Click on the Add SEO Code button in the Socio-Economic Objective Codes table. 5 Complete the SEO code information. SEO Code Percentage appropriate code from the list of values Enter the percentage figure that should be allocated to this code You may search by full or partial code, if known (e.g.: enter 89% to retrieve all codes beginning with 89), or you may enter a keyword/s for which to search (e.g.: enter %crop% to retrieve all codes containing crop in the description). Once you have entered the percentage, press Tab to exit the field. Themis will automatically calculate the total of the percentages entered. Important: the total percentage of codes must add up to 100 in order to submit the record. 6 Click on the Add SEO Codes button and repeat the above step for each code required. Note: if you wish to remove a code record, tick the appropriate checkbox (located in the Select column) and click on the Delete Selected Rows button. 7 Click on the Save button. 8 Click on the Next button. The Participants screen will display. Get the most out of Themis - check out Themis reference cards Copyright The University of Melbourne, 2009 Page 4

5 Enter the participant information The Participants screen is used to record the parties associated with the submission. Note: you must enter at least one internal staff member and assign an Agreement Administrator before you will be able to submit the record for review. Recording Internal Academic Roles 1 Click on the Add Staff button in the Internal Academic Roles table. 2 Complete the internal staff information. Role Full Name Primary Contact The field will default to Chief Investigator, but may be changed if required. appropriate staff member from the list of values. Check this box if the staff member listed is to be the primary contact. Chief Investigator will be used in the majority of cases. Alternate Academic Contact should be used when there is no internal investigator or those named do not wish to be the primary contact. Principal Supervisor should be used when the only investigator named is a student. Use the % wildcard to widen your search (e.g.: if you enter Free% you will retrieve all staff members whose family name begins with Free). Only a staff member with an active Themis account can be selected as the Primary Contact. This will be checked at the validation stage. Only one staff member can be nominated as the Primary Contact. This will be checked at the validation stage. While notifications related to the submission record are not sent to the Primary Contact (they are sent to the Agreement Administrator), this information is necessary when the record transfers across to the Proposals module. 3 Click on the Add Staff button and repeat the above step for each academic required. Note: if you wish to remove an academic staff record, tick the appropriate checkbox (located in the Select column) and click on the Delete Selected Rows button. Recording Student Roles 4 Click on the Add Student button in the Student Roles table. 5 Complete the student information. Role Full Name The field will default to Student Researcher (IP). appropriate student from the list of values. The list of values is drawn from the student database (Merlin). Where a student is yet to be identified or yet to enrol, you will be unable to record them in this screen. Use the % wildcard to widen your search (e.g.: if you enter Mint% you will retrieve all students whose family name begins with Mint). 6 Click on the Add Student button and repeat the above step for each student required. Note: if you wish to remove a student record, tick the appropriate checkbox (located in the Select column) and click on the Delete Selected Rows button. Get the most out of Themis - check out Themis reference cards Copyright The University of Melbourne, 2009 Page 5

6 Recording External Academic Roles 7 Click on the Add External button in the External Academic Roles table. 8 Complete the external academic information. Role Full Name The field will default to External Chief Investigator. appropriate external academic from the list of values. Use the % wildcard to widen your search (e.g.: if you enter Mint% you will retrieve all external academics whose family name begins with Mint). If the external academic does not yet exist in the database, you will be able to create them using the Create New External function. Refer to Creating an External Participant information sheet. 9 Click on the Add External button and repeat the above step for each external academic required. Note: if you wish to remove an external record, tick the appropriate checkbox (located in the Select column) and click on the Delete Selected Rows button. Recording Departmental Roles 10 Click on the Add Department Role button in the Departmental Roles table. 11 Complete the departmental role information. Role Full Name The field will default to Agreement Administrator. appropriate staff member from the list of values. An Agreement Administrator must be entered before you will be able to submit the record for review. Use the % wildcard to widen your search (e.g.: if you enter Free% you will retrieve all staff members whose family name begins with Free). Only staff members with an active Themis account will be available in the list of values. 12 Click on the Save button. 13 Click on the Next button. The Researcher Order screen will display. Specify the researcher order The Order Participants list displays only those participants assigned to a role involved in the research (i.e.: Chief Investigators, Students and External Chief Investigators). To add a name to, or delete a name from, this list you will need to return to the Participants screen and update the appropriate table. Note: the order in which researchers are listed in this screen will be the order that will be allocated to them when the record transfers to the Proposals module. 1 Type the appropriate order number in the Ranking field for each participant as required. Note: if you have a large number of participants and wish to change the order of a single participant, you may do so by entering a decimal rank (e.g.: to reorder participant 20 to second place, enter 1.2 in their Ranking field). Themis will adjust the order as required when you save the record. 2 Click on the Save button. 3 Click on the Next button. The Sponsorship screen will display. Get the most out of Themis - check out Themis reference cards Copyright The University of Melbourne, 2009 Page 6

7 Enter the sponsorship details The Sponsorship screen allows you to record the funding body for the research application. You must enter at least one sponsor before you will be able to submit the application for review. Note: in the case of non-lead grants, enter the institution which lodged the successful application as the sponsor. 1 Complete the sponsor information. Scheme Year Round Sponsor Sponsor Reference Number appropriate scheme from the list of values. This field will default from the scheme selected above. This field will default from the scheme selected above. This field will default from the scheme selected above. Enter the reference number used when communicating with the sponsor, if known. You may perform a search (and/or sort the search results) by the Scheme Name, Year or Round as well as the Sponsor Name. Note: this list will only display active schemes as recorded in Themis. The active date of the scheme/round is calculated as five calendar days after the internal closing date and before the expiry of the external closing date. Where the submission is an internal grant, only active schemes where the sponsor is listed as the University of Melbourne will display. If the scheme does not exist in Themis, use the Other Scheme Name and Sponsor for Other Scheme fields to record the details. Refer below for details. Note: do not enter the Themis Customer ID number in this field. If a scheme does not exist in Themis, go to step 2. Otherwise go to step 3. 2 Complete the other scheme information. Other Scheme Name Sponsor for Other Scheme Enter the name of the new scheme and the external closing date. Enter the name of the sponsor and a URL link to the sponsor and scheme details. 3 Click on the Save button. 4 Click on the Next button. The Attachments screen will display. Get the most out of Themis - check out Themis reference cards Copyright The University of Melbourne, 2009 Page 7

8 Enter the attachment details You may use the Attachments screen to attach relevant files, URL addresses or text to the submission record (e.g.: ethics clearance, draft contracts, budget, etc.). Note: the documents that you must attach to the submission record are listed in the Required Attachments section on the screen. 1 Click on the Add Attachment button. The Add Attachment screen will display. 2 Complete the Attachment information. Add Description Category Type This field will default to Desktop File/Text/URL, do not change. Enter an appropriate description for the attachment. Select the appropriate attachment category from the drop-down list. Click on the radio button to select the appropriate type of attachment. This field must be entered in order to be able to save the attachment record. Values available are: Checklist, Costing and Pricing, Draft Contract, Ethics Clearance, and Miscellaneous. File: click on the Browse button to search for and select the document you wish to attach. URL: enter the URL address you wish to attach. Text: enter the text you would like to attach and, if desired, enter a name for the text attachment. If you wish to add additional attachments, go to step 3. Otherwise go to step 4. 3 Click on the Add Another button and repeat the above step for all attachments required. 4 Click on the Apply button. A confirmation message will display advising that your attachment has been added but not saved. 5 Click on the Save button. 6 Click on the Next button. The Validation screen will display. Get the most out of Themis - check out Themis reference cards Copyright The University of Melbourne, 2009 Page 8

9 Check the validation details When you progress to the Validation page Themis will check the business rules appropriate to your submission and identify any requirements that have not been met. Note: you will not be able to progress your submission record to the review or approval stage unless all requirements are met. 1 Review the information in the Data Validation Error table. 2 Select the information you would like to update and click on the associated icon in the Go To Page column. This will link you directly to the appropriate page. 3 Update the information as required and click on the Save button. 4 Use the drop-down list ( ) at the top or bottom of the screen to return to the Validation page. 5 Repeat the steps above for each of the validation errors. 6 When all errors have been corrected, click on the Next button to progress to the Submission Status screen. Note: the Next button will only display once all validation errors have been corrected. Submitting the record for review The Submission Status screen will enable you to progress your application through the departmental review and approval process. Once approved by the Head of Department (or nominee), the submission will be forwarded to the Research Office for further processing. 1 Complete the submission status information. Select New Status Select a Reviewer Alternate Approver Comments Select the appropriate status for the submission. If you are submitting the record for review, click on the torch icon and retrieve the appropriate staff member from the list of values. If you are submitting the record to an approver other than the one indicated on the screen, click on the torch icon and retrieve the appropriate staff member from the list of values. Enter any appropriate comments for the reviewer or approver. The status displayed in this list will depend on the person viewing the submission and the stage it is at in the process. Refer below for a table of available submission statuses. Use the % wildcard to widen your search (e.g.: if you enter Free% you will retrieve all staff members whose family name begins with Free). By default, the submission will be sent to the Head of Department listed unless you enter an alternative approver. Note: the alternate approver selected must have the authority to approve the submission on behalf of the Head. Comments entered in this field will display in the notification record. 2 Click on the Submit button. A confirmation message will display, advising that the application has been submitted successfully. Get the most out of Themis - check out Themis reference cards Copyright The University of Melbourne, 2009 Page 9

10 Submissions status The status of a submission indicates where the application is in the process flow. Status Rules Notification Draft Under Review Forwarded to HOD Submitted to Research Office Draft (reinstated) Transferred to Proposal (Research Office use only) Closed Default status of application upon creation. The user cannot progress the application for review unless all validation rules have been met. Submit the application for review. A reviewer may be any other university staff member. It is recommended that a department identifies one or more staff members responsible for the review process. Submit application for approval. The creator may bypass the review status and send the submission directly to the Head or Alternate Approver. The reviewer may send the submission to the Head or Alternate Approver. Status indicating the Head of Department or Alternate Approver has approved the record and it has been submitted to the Research Office. The Reviewer, Head (or Alternate Approver) or Research Office may reinstate a record to Draft status if they require additional information. Status confirming the record has passed the Research Office preliminary administrative checks and now exists as a record in the Proposal module. Status available for use by departments to indicate a record is inactive (e.g.: has not met internally selected processes for submission). Once a record is closed it will be locked and will not be able to be updated by the researcher or department reviewer. A system-generated will be sent to the reviewer selected. Head of Department and Alternate Approver will receive an overnight workflow notification. A system-generated will be sent to the Agreement Administrator. A reason for the change should be entered in the Comment field, so they can be addressed by either the Administrator or responsible Chief Investigator. Note: The creator or a named participant may alter the record only if it is at Draft status. Access for users will be locked once the submission progresses to Under Review or Approval. Staff in the Research Office will have access to all records across most statuses. However, once a submission record has been transferred to the Proposal module it can no longer be updated. Get the most out of Themis - check out Themis reference cards Copyright The University of Melbourne, 2009 Page 10