Application submission checklist

Transcription

1 Quick Reference Guide Grant Applications Application submission checklist Application Standards Data in Pure is relied upon internally for dashboards, reporting to the Commonwealth, and for display on the Bond Research Portal. Having accurate, consistent records is important. This document specifies the desired standard to be used for an Application prior to submission to Faculty for approval. Related QRGs For details on how to complete any of the information on the Application records, please refer to these Quick Reference Guides: Starting an Application Add Applicants / Award Holders Fundings and Budget Adding In-Kind Funding Upload Documents Handling a Withdrawn Application Commonwealth classification data (FOR, SEO, TOA codes) Section / Field Req. Notes / expected data / validation check Classifications Application type Check selection matches the following table: Grant Fellowship Contract Research Tender Donations Consultancy Research Scholarship Application for a competitive research grant from a funder Application for a competitive grant providing salary support for an individual researcher Application for contract research or consultancy to Government or industry Application for funding through a competitive tender process Gift for funding for research purposes not tied to a specific research proposal Application for funding for the provision of expert services with no resulting University research output Application for competitive funding scheme providing support for post graduate student Nature of activity type Typically Research or Travel Identification Title Full title of the Application. If a sentence, exclude the final full stop. Short Title, Acronym // Add if relevant to boost understanding Description 1-2 paragraph description of the Application (a copy-paste from submission is adequate) IDs > Funding ID Required if the Funder uses an ID system (eg. NHMRC/ARC) Applicants Persons / Organisations All applicants listed Application managed by Order in Pure matches the order on supporting docs External Persons have their full name listed External Persons are linked to high-level organisation (eg. University of Queensland not UQ Business School ) Managing organisational unit Check this accurately reflects the Faculty or Research Centre that is managing the project, e.g. if the managing unit is CREBP, choose CREBP, not HSM Collaborative application Collaborative application Should reflect yes if more than one Institution applying for funding (even if there is no financial element for them) If yes, One institution should be marked as Lead should reflect the lead institution, that is, the institution that is managing the Grant (cont. overleaf) Version 1, 14-Dec-2017 Page 1 of 2

2 Quick Reference Guide Section / Field Req. Notes / expected data / validation check Funding opportunity Funding opportunity Must be linked, if Application relates to advertised opportunity from a Funder Fundings Fundings All funders listed, including cash and in-kind contributions For each Funder listed, check: > HERDC income category Correct category selected according to HERDC specifications: > Funding project scheme Field to include any pertinent details about the source of the funds, especially relevant if Application is not linked to Funding Opportunity > Applied amt in applied currency // Should be blank, unless grant currency is not AUD (eg. GBP, USD, etc.) > Applied amount Total amount of funding requested from the funder > Split between collaborative partners Only displays for Collaborative applications Totals = Applied amount >> Budget Budget exists and is linked to correct Bond Department Funder status, Life cycle Lines mirror any documents submitted to the Funder Includes line for Overheads if relevant Submission date, Funder reply // Leave blank until Application is submitted to Funder Expected start date Matches documentation submitted to Funder Expected end date Matches documentation submitted to Funder Documents Documents to be uploaded by Researcher include: Application documents as submitted to the Funder (PDF format) // Optionally any costings, appendices, etc. Discipline assessment and Keywords Field of Research (FOR) codes FOR codes total 100% Socio-Economic (SEO) codes Min 1x SEO code added Type of Activity (TOA) codes TOA codes total 100% Page 2 of 2 Bond University Research Services

3 Quick Reference Guide General Understanding FOR, SEO and TOA codes Field of Research (FOR), Social-Economic Objective (SEO) and Type of Activity (TOA) codes are used for reporting data to the Commonwealth. For data integrity and reporting purposes, we should include codes for all of these schemas on every Pure record: Person FOR SEO TOA Research Output (ERA)!! Application Award Project These instructions apply to Person, Application, Award and Project screens.!! FOR codes on Research Output On standard Research Output records leave the FOR codes blank, as FOR data is stored in Pure s specialised ERA assessment module. Note: When creating a new Project from an existing record FOR codes automatically copy across, however SEO and TOA codes do not i.e. SEO and TOA codes must be re-added to the new Project. Add Field of Research (FOR) codes Scroll down to Disciple Assessment and click Add Field of Research Click Add Field of Research again (yes, really). Into the pop-up, search for the six digit FOR code. As you type, search results appear in yellow. Click on the code you wish to use in the yellow result. The code you searched for will be shown in the list below and will flash briefly. Click it. Example of all completed codes on an Application / Project: Enter the Apportionment (% this FOR code relates to the research) and click Create. Example of completed FOR codes on an Award / Person: Repeat this process by again clicking Add Field of Research until 100% of the FOR is allocated. Version 1, 14-Dec-2017 Page 1 of 2

4 Quick Reference Guide Adding Type of Activity (TOA) codes Click Add type of activity (TOA) codes in the Keywords section. Adding Social-Economic (SEO) codes Click Add socio-economic keywords (anzrc) in the Keywords section. In the pop-up, click the triangle to expand a category, then choose the relevant weighting. In the pop-up, search for the six-digit SEO code, and click on the correct search result in yellow. You can also search by name, or browse the list by clicking the triangles to expand the categories. The code you searched for will be shown in the list below and will flash briefly. Click it. Repeat this process until the codes add to 100%. Repeat this process for any other relevant SEO codes. Note: Where there are multiple SEO codes they are deemed to have equal weight. Page 2 of 2 Bond University Research Services

5 Quick Reference Guide Grant Applications Starting an Application Pure tracks Funding Applications (internal and external) and is used to obtain approval from Faculty and the University prior to submission to the Funder. This document outlines the key steps to start the process of creating an Application and references other QRGs to be used to complete the Application before it is submitted to Faculty for Approval. There are seven types of Applications in Pure, defined as follows: Grant Fellowship Contract Research Tender Donations Consultancy Research Scholarship Application for a competitive research grant from a funder Starting an Application Application for a competitive grant providing salary support for an individual researcher Application for contract research or consultancy to Government or industry Application for funding through a competitive tender process Gift for funding for research purposes not tied to a specific research proposal Application for funding for the provision of expert services with no resulting University research output Application for competitive funding scheme providing support for post graduate student In Personal, Editor or Award Management, hover over Applications and click the plus sign to the right. The Application screen loads with the Application Type you selected. To select the Nature of Activity type, click the button, choose an option (typically Research) and click Attach. Add identification details the complete Title and a Description (usu 1-2 paragraphs). This should match any specifics from the submission. If the Funder s online submission system uses an ID number to track your application (eg. NHMRC/ARC), add it by clicking the Add ID button. Select Funding ID from the Source list, enter the number, and click Create. In the Applicants section, add the Chief Investigators and any other named collaborators on the submission. A window pops-up. Click the relevant Application Type from the table above (eg. Grant) and click Proposal. See QRG for Grants - Add Applicants Check the Application managed by field has defaulted to the correct Centre/Faculty. This determines which Faculty will receive the Application for approval. Tip! To easily see the definitions from the table above, hover over any of the category names (Grant, Fellowship, etc.) Version 1, 14-Dec-2017 Page 1 of 3

6 Quick Reference Guide Select if this is a Collaborative Application i.e. you are working with people from other institutions. Note: there does not have to be shared Funding for an Application to be considered collaborative. Please note that where Bond University (Research Services) or a faculty have agreed to commit funds to support a project, a separate application must be completed for each funding source. For an example and process see the following QRG: See QRG Fundings and Budget (Internal) If Collaborative application = Yes, make sure the grey Lead tag is beside the correct Collaborator. Click Mark as Lead to change the lead Collaborator. Add Lifecycle details use the calendar or simply the the date: ddmmyy or dd/mm/yy both work. Click to make Bond the lead Tag indicates USYD is currently marked as lead If this Application relates to an advertised Funding Opportunity, click on the (+) sign to link the records. This step will be relevant for major grants only. Start typing in the Funding Opportunity name and select the correct one. To upload documents: See QRG Upload Documents Please note the next section in the form is for Administrators only: Funder Status If relevant, start to add related projects, applications, awards and ethical reviews that are based on this application by clicked on the + button below each title. Start to add Funding and Budget details by clicking Add Funding. Funding is required before the record can be saved. The Budget can be added later, but must be complete before submitting to Faculty for approval. See QRG Fundings and Budget (External) Page 2 of 3 Bond University Research Services

7 Quick Reference Guide Next under Discipline Assignment add the six-digit Field of Research (FOR) code most relevant to your research. The percentage must total 100%. Then add at least one SEO code. Then add TOA codes. These must add up to 100% The In Progress /Draft record is automatically chosen by clicking the Save at the bottom of the window. To submit click on Send to Internal Approval located at the bottom under Application Approval Route. You may choose to add a comment at this stage. See QRG Understanding FOR, SEO and TOA codes Next complete the following sections: o peer review status of an application, o the funding round closing date, o relevant ethics approval evidence. Page 3 of 3 Bond University Research Services

8 Quick Reference Guide Grants Add Applicants / Award Holders Persons and Organisations are linked to Grants via the Applicants / Award holders section. Roles such as Chief Investigator can be assigned, allowing individual researchers to see the grants they have applied for and held both currently and historically. List Order Bond Researchers and Researchers at External Organisations should be listed in the order they appear on the Grant Application or Award. Searching Pure contains an extensive list of current and historic Bond staff, and previous collaborators. Ensure you search for a person before creating a new record. Who to add? Only persons specifically named on the Application or Award should be added. Support staff (eg. Research assistants) can be added separately to the Project. Note Data quality: If you find existing information about a person but it is incorrect, still use the existing record, but contact Research Services requesting it be fixed. Note Bond Staff now at a new Institution If you re collaborating with a person who has left Bond for another institution don t link to their Bond record. Create a new External person using the steps overleaf. Once you ve clicked on a name in the search list, the Edit Person screen appears. Select the Role, drag the slider to set the Academic Ownership (if known) and check only the correct Faculty/Centre is selected. This is useful to indicate the full time equivalent commitment to the project. Click Create. Add Person via search includes all Bond staff, and any previous collaborators With an Application / Award open in Edit mode, scroll to the Applicants / Award Holders section and click Add Person. Untick one of these In the screen that pops-up, search by starting to type the name of applicant, and click on their name. Repeat until All CIs and collaborators have been added and are listed in the correct order. If necessary, use the arrows on the right to change the order of the list. Clicking Edit will allow you to change the Person s title or Org Unit. Note Searching: Always search first! Try variations of spelling, or use part of the name e.g. if you re not sure if someone is called Chris or Christopher, search the simplest version. You can find Chris Del Mar by simply typing a few letters from both names e.g. chr del. If you can t find a record for an External person, skip to the next section. Version 1, 14-Dec-2017 Page 1 of 2

9 Quick Reference Guide Create External Person use only for any new collaborators or previous Bond Researchers now at a new institutions With an Application / Award open in Edit mode, scroll to the Applicants / Award Holders section and click Add Person. Search by starting to type the name of applicant. As they have not been found, click Create external person. Tip! Try a few variants of the Institution/Organisation name for the best results, including spelling out any acronyms for example try searching UNSW, Uni of NSW, Uni of New South Wales Note: Naming conventions in Pure have been standardised around the highest practical complete organisation name e.g. for UQ School of Medicine choose the parent organisation University of Queensland. Click on the correct Organisation Name and the screen will close. Check the information and click Create: Enter First and Last Names, select their Role and their Country (if known). Tip! Tab to the Country field and start typing to more quickly select the Country The person is now added to the record. Repeat this process by clicking Add Person until all Applicants / Award Holders have been added. And remember always search first! Click Add organisational unit and in the pop-up now search for the Organisation/Institution name: Page 2 of 2 Bond University Research Services

10 Quick Reference Guide Grant Applications Upload Documents Metadata vs Documents Pure contains a high-level overview of an Application, or what we refer to as metadata. Documents are required to provide the full detail of the Application that was submitted to the funder. These should be PDF. Categories of Application documents: Application Appendix Acknowledgement of Receipt Funder Outcome Notification Cost Other Document version control Pure allows for version-control of Application documents should you need to keep an earlier version of a file. Uploading a Document With an Application open, scroll down to the Document section and click Add Document. Uploaded Documents: Change name Open document Understanding Version Control for Application Documents Delete When you upload a new document into the same category as an existing document Pure asks what you d like to do with the Current version (i.e. the existing document/s). Find the file you want to attach and add via drag and drop or click and browse your computer. File title will automatically populate based on file name. Change if needed. Select the document Type from the drop-down menu and click Create. Drag and drop here Your options are: Mark is as an old version. Makes the existing document an old version. This is useful if you need to keep a history (e.g. Funder asked for more information or a resubmission). Earlier versions are automatically hidden. For example: Update if needed Select the document type. Repeat this process for any other documents. Delete the current version Replaces the existing document with the new version you re uploading. Useful if you had a draft application uploaded and you are replacing it with the final. Nothing Keeps all documents. Use if multiple documents required by the Funder and all need to be visible. If in doubt select Nothing. This is the least destructive option and can be changed later by selecting Edit. Remember, uploads should be in PDF format. Page 1 of 1 Version 1, 14-Dec-2017 Research Services

11 Quick Reference Guide Grant Applications Fundings and Budget (Internal) When the University or a faculty commits specific funds to a separate internal cost centre for the use of a project, track it by creating a new separate application for each funding source, e.g. if an applicant applies for an ARC grant and both the applicant s faculty and Bond University is committing funds, 3 separate applications will be required: ARC, Bond University Faculty of Law, Bond University Open an Application or Award and click the pencil to enter Edit mode. Scroll down to the Fundings section and click Add Funding to open the Funding setup window. In the Fundings screen, click Add Budget or Edit beside an existing budget. Select the Centre/Faculty from the Organisation list (or type to search). Field Funding Org HERDC Catgeory Funding Project Scheme Applied amount Budget In the Funding Organisation field use the following specifics: Enter/Search/Select Bond University/Faculty Internal Research Income Note which Faculty contributing funds (and attach supporting docs to the Application/Award, see Upload Documents QRG) $ contributed by Faculty Details how funds should be used Setup the Budget lines (rows). Select a category from the list and click Add line. Repeat until you have added ALL required lines. Next, set the columns / years that the Budget runs over. Click the (+) to add a new year. Adding / Editing Budgets If you don t already have the Budget screen open (pictured at bottom) open an Application or Award and click the pencil to enter Edit mode. In the Fundings section, click Edit beside the funding the Budget applies to. Type the year and click Add. Repeat until all years are added. Fill in the fields you ve added until your budget is complete. Then click Create / Update. Note: remember to also click the Save button at the bottom of the main Application / Award screen. Version 1, 15-Dec-2017 Page 1 of 1

12 Quick Reference Guide Grant Applications Fundings and Budget (External) Funding data in Pure is used to run financial reports, so it should be accurate at all times. Pure allows for multiple fundings per award, allowing for capture of internal and external funding. Budgets are attached to Fundings and should mirror anything submitted to the Funder. Adding Funding External Funder Open an Application or Award and click the pencil to enter Edit mode. Scroll down to the Fundings section and click Add Funding to open the Funding setup window. If this is a Collaborative Application, enter the split between the Collaborative partners. Note: there is no automatic calculation to check these fields add up to Applied Amount. This data is crucial for reporting. Please take the time to ensure it is accurate. If unsure, just put in the correct total amount for Bond University. In the Funding Organisation field search/start typing the funder name and select the correct one. Select the HERDC Income Category if known (for more details, refer to HERDC Specs via DET) Use the Funding Project Scheme field for any extra detail about the source of the funds. QUICK TIP! Not all orgs are setup with acronyms, so you might need to search WHO or World Health In the Financial summary section, add the total amount of funding applied for into the Applied amount field. This should always be in AUD, ex GST. If the funding is from an international source, use the Applied amount in applied currency field and select the currency. Then make an indicative conversion. Click here for help with currency conversion. Applications and Awards should include Budget information about how the funds will be spent. Click Add Budget to open the Budget entry screen. Select the Centre/Faculty from the Organisation list (or type to search). Setup the Budget lines (rows). Select a category from the list and click Add line. Repeat until you have added ALL required lines. Next, set the columns / years that the Budget runs over. Click the (+) to add a new year. Version 1, 14-Dec-2017 Page 1 of 2

13 Quick Reference Guide Click Create to return to the Application entry screen. Click Edit to reopen the screen and make any changes. Note: remember to also click the Save button at the bottom of the main Application / Award screen. Page 2 of 2 Bond University Research Services

14 Quick Reference Guide Grants Adding In-kind funding Adding In-Kind contributions If you don t already have an Application or Award open, find a record, open it and click the pencil to enter Edit mode. In the Fundings section and click Add Funding to open the Funding setup window. As with a financial contribution, in the case of a collaborative application you can specify which institution receives the In-Kind support. Click Create to return to the Application entry screen. In the Funding Organisation field search/start typing the funder name and select the correct one, or create. (Note: if the funder is internal, start by typing Bond University as this is usually set as a prefix). Click Edit to reopen the screen and make any changes. Select the HERDC Income Category: Internal Research Income Select the In-kind radio button Fill in the estimated value (in AUD) and add a description this is helpful so at a glance you can understand what the In-kind contribution covers: Version 1, 27-Feb-2018 Page 1 of 1

15 Quick Reference Guide Grants Internal Application for Conference Travel Related to Research Dissemination Starting an Application In Personal, Editor or Award Management, hover over Applications and click the plus sign to the right. In the Applicants section, add the name of those that are travelling. See QRG for Grants - Add Applicants A window pops-up. Click on Grants and then on Proposal. Check the Application managed by field has defaulted to the correct Centre/Faculty. This determines which Faculty will receive the Application for approval. To select the Nature of Activity type, click the button, choose Conference and click Attach. Go straight to Fundings. The Collaborative Partners and Funding Opportunity sections are not required, however, funding is required before the record can be saved and submitted to Faculty for approval. Start by clicking on Add Funding. Funder will be Bond University and the Income Category will be Internal Research Outcome as illustrated in the diagram below: The complete Title (convention is Year/First and Last Name/Research Dissemination, e.g., 2018 Rebecca Jones Research Dissemination) and a Description (containing reason for travel, managing organisation and/or faculty). Use the ID button to add the financial cost centre for your Faculty. Select FinanceOne Cost Centre from the Source list, enter the relevant number: BBS: FA14 FSD: FB14 Law: FD14 HSM: FX15 and click Create. See QRG for Grants Fundings and Budget (Internal) Version 1, 06-Feb-2018 Page 1 of 2

16 Quick Reference Guide Add Lifecycle details to indicate dates of travel use the calendar or simply the the date: ddmmyy or dd/mm/yy both work. Choose the type of grant from the scroll down menu in the Classification of Travel Grant section in Keywords: In the Documents section, click Add documents. You must include the following: Conference acceptance letter to present, Copy of publication that is to be presented, Approval to Travel form. You can now choose to add any relations to the application, e.g., related award. and go straight to Save. The In Progress /Draft record is automatically chosen by clicking the Save at the bottom of the window. To submit click on Send to Internal Approval located at the bottom under Application Approval Route. You may choose to add a comment at this stage. Page 2 of 2 Bond University Research Services

17 Quick Reference Guide Grant Applications Handling a Withdrawn Application Sometimes an Application entered into Pure may not proceed if the Bond CI or the partners at a collaborating institution withdraw prior to submission. These records should not be deleted, instead, the CI or Central Admin should mark the Application as Withdrawn. Handling a Withdrawn Application Open the Applications screen Into the search field at the top, type any related words and press [RETURN] to find the Application. Click on the Application name it to open it. Check you have opened the correct record, and click the Withdraw button in the bottom-right. Add a comment be brief but informative include dates and specifics (if known) to avoid having to refer back to s. Click Withdraw. The record will be marked Withdrawn and will now be visible in the Withdrawn section in Applications. Page 1 of 1 Version 1, 14-Dec-2017 Research Services