ITT � Statement of Requirements

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					                                                ITT – Statement of Requirements


Information Section

Background:
No single supplier produced IT System has been identified which supports the management and administration of a University's research programme from
pre-award through to post award. Research management and administration includes programme management, costing, application submission, contract
and project administration, monitoring and reporting. Universities commonly use a mixture of spreadsheets and databases, working alongside existing
finance and administration systems to manage these activities.


The aim of the Research Management and Administration System (RMAS) project is to scope and produce a modular Research Management and
Administration System for HEIs which allows for the management and administration of research projects from ‘cradle to grave’ . The system should
embody the best practice processes for research management and administration, whilst maintaining the capability (through open systems architecture)
to interface with a University's existing finance and administrative systems including HR and Student systems.

The project objective is to have the system developed, beta tested and implemented by Spring 2012.

Modules: The modules identified by the RMAS project pathfinders, University of Exeter, University of Kent and University of Sunderland are:

      Workflow
      Electronic Document Management                  May be individual modules or integral to other modules
      CRM

      Academic Expertise
      Funding Sourcing Tool
      Proposal Management
      Costing & Financial Management of Projects
      Post Award Management
      Outcomes & Outputs



                                                                           1
                                                                   Academic Expertise




                                                                                                                     Electronic Document
                                                                 Funding Sourcing Tool




                                                                                                                         Management
                                      Workflow
                                                                 Proposal Management


                             CRM
                                                           Costing & Financial Management

                                                                Post Award Management

                                                                  Outputs & Outcomes




Next Steps:
In responding to the ITT, suppliers need to be aware that there is little if any resource available in HEI's to facilitate the development of the RMAS system
as a totally bespoke system, particularly with regards to making resource available for detailed designs and/or large scale system testing.
Suppliers who have software solutions that already meet some of the functionality identified would be in a stronger position to meet the overall project
objectives.




                                                                              2
1     Statement of User requirements

           This section describes the functional requirements of the Research Management Administration System (RMAS) modules in detail.
1.1        In the response column the Supplier should enter one of the following:
                       Y – Available as an existing feature in current software.
                       P – Partially compliant. Supplier to provide details of the extent of compliance and the date by which the system will be fully
                       compliant with the requirement
                       S- Scheduled for a future release. Supplier to indicate target release date
                       B - New development Supplier to indicate approximate cost
                       U - Cannot be supplied

           The cost of all items marked Y, P, S or B is to be fully included in the tender pricing schedule.
           The University will not accept any additional charges for the delivery of these items.


1.2        Requirements are coded as follows:
           M Mandatory.
                         These requirements must be available within a current release of the application, be scheduled for development and release within
                         12 months from contract commencement or will be developed specifically to meet this requirement.
                         If the requirement is not available in the current release the Supplier must provide evidence of their capability to meet the
                         requirement.
                         The University is looking for a solution that will satisfy all its mandatory requirements and will not consider any Tenderer that cannot
                         satisfy a large percentage (over 80%) of the Mandatory requirements

           HD Highly Desirable
                         Whilst not essential, suppliers should recognise that these features will deliver important benefits to the University and that it is
                         unlikely that a proposal that cannot substantially satisfy these requirements within budget will be successful

           D Desirable
                         Satisfaction of these requirements within budget will enhance the proposal.
           I Information required




                                                                                3
                       Items marked as Information required will be used to gain a better understanding of the proposed solution. It is essential that these
                       are answered fully to allow a full evaluation of tender responses.


2                                                                      General Information
          The system is to facilitate the management and administration of a University's research grants from pre-award through to post award. Research
          management and administration includes grant management, costing, application submission, contract and grant administration, monitoring and
          reporting.

          The system will embody the best processes for research management and administration, whilst maintaining the capability (through open
          systems architecture) to interface with a University's existing finance and administrative systems.




Item No                     Function                                         Required                               Comments
   3      Generic Standards & Functions for all modules
          Support of CERIF XML to allow interfaces with other
          Research systems and organisation.
    3.1   http://www.eurocris.org/cerif/introduction/                             HD


          All data types will include permanent information e.g. Names,
          addresses etc.; and temporal information e.g. memberships
          of university networks, stakeholder statuses. Temporal data
    3.2                                                                           M
          will have “valid from” and “valid to” flags. –To include version
          control, date stamp

          Result sets should be available for reporting and output via
    3.3   EXCEL and CSV files and XML (CERIF).                                    M

          The system must provide sufficient security so that sensitive
          information, e.g. salaries can only be accessed by users with
    3.4                                                                           M
          the appropriate security level.

          Ability to convert sponsor price details to specified foreign
    3.5   currency particularly for EU reporting in Euro’s along with             M
          related reporting function showing breakdown of costs in



                                                                              4
         home and foreign currency. Ability to amend during a project
         but retain a history of exchange rates.

         Ability to group sponsors and link sponsors to HESA (and
 3.6     HEFCE / REF) sponsor codes                                             M

         It should be possible to create User Defined Fields (UDF’s)
 3.7     for dates or data.                                                     M

         Each module to have a selective archiving facility.
 3.8                                                                            M
         Organisation of projects into organisational units linked to
         Principal Investigator (PI) & Co-Investigators (CoIs) and not
         to individual projects – thus all projects/ portions of projects
 3.9                                                                            M
         for a PI booked to one unit. Important that proportions of
         projects can be attributed to individual CoIs and not just PIs.

         System to be capable of dealing with multi-institution
         projects. System ability to record and compute both the full
3.10     price of a multi-institutional bid along with the individual           M
         breakdown of each institutions allocation.

         System to allow for management of complex projects e.g.
         Multi partner grants, specific reporting requirements, EU
3.11     grants, collaborative work where one institution is acting as          M
         the lead but individual HEI level records need to be kept.

         Ability to record FTE and hours
3.12                                                                            M

3.13
                                  Reporting
         System to be structured so that a report can be compiled
         either within the system or by third party software that shows
         the number and value of applications by an individual
3.13.1   academic. Multi PI applications to be split not by budget              M
         value but by REF attribution. Thus a split project with a 50%
         REF attribution to PI (a) would equate to a 0.5 project for PI
         (a)



                                                                            5
         Reports should be capable of being output in multiple formats
3.13.2   including PDF, Excel, Word, XML [CERIF]                               M
         There should be the ability to create user defined reports
         (e.g. static reports, reports for funders, MI reports) from
3.13.3   scratch selecting relevant attributes from scratch or from            M
         standard templates.

         Appropriate reports to be available for all sponsors showing
         FEC at base and indexed prices and sponsor price and
3.13.4
         university contribution for each budget line
                                                                               M

         Create interface/export file that will calculate marginal costs
         to organisational unit of each project from FEC costings
         based on profiled budget and headcount information.
3.13.5                                                                         M
         To be capable of generation at point application is considered
         (i.e. at point of review by Head of School)

         Financial reporting/project monitoring must include but not be
         limited to:
               Import of actual expenditure/commitments (may be
                  imported from a finance system)
               Ability to enter manual commitments
               On screen generation of project statement showing
                  profiled project budget compared to actual
                  expenditure and incorporating standing data relating
                  to project such as start and end date, PI etc
3.13.6
               Ability to produce statements in PDF, Excel, XML
                                                                               M
               Access for individual PIs through web to generate
                  statement on demand
               Scheduling of and subscription to reports to enable
                  individual PIs to receive statements automatically




                                                                           6
3.14                         Help Functions

         The system should include context sensitive help function.
3.14.1   The help text should be modifiable locally.                         M

         The system should be intuitive, and include drop-downs,
3.14.2   selection boxes where appropriate.                                  M

         All drop down menus should be based on customer definable
3.14.3   reference data to allow changes to be made easily.                  M


3.15                        Search Functions

         All fields should be searchable and logical operators should
3.15.1   be able to be used including wildcards.                             M

         Searching the database should be intuitive. Queries should
         be easily refined using drop downs and there should be an
3.15.2                                                                       M
         option to save commonly used search strategies.

         Result sets should be available for global updating (e.g.to
         move a subset of staff from one organisational unit to
3.15.3                                                                       M
         another) and reporting/output.

         Result sets should be available for reporting and output via
         multiple formats including EXCEL and CSV files and XML
3.15.4                                                                       M
         (CERIF).


3.16               Organisation of Data in Module

         System must be able to reflect the hierarchal structure of an
         HEI so that data may be extracted or reported upon based on
3.16.1                                                                       M
         that structure. The hierarchal structure should be
         configurable to allow individual HEI’s to set up its own



                                                                         7
          structures.

          Identification of projects to organisational unit to be
          independent of department indicator from HR interface or the
          department indicator capable of being overwritten by the local
 3.16.2                                                                          M
          administrator where HR data does not produce correct
          results

          All PIs & CoIs to have a Unit of Assessment (UoA) indicator
          (separate from department indicator) A field should also be
 3.16.3   available for 2008 UoA and any future REF UoA. Version                 M
          control required

          Facility for a PI project to be re-allocated to a new PI and
          recorded in a Project History. Alternatively for application
 3.16.4                                                                          M
          details to copied to a new application.

          Facility to identify a non-research project (e.g. consultancy,
          organising an event etc) Particularly in relation to reporting
 3.16.5                                                                          M
          and VAT status

          System to be capable of dealing with multi-applicant/multi
          sponsor projects and producing data so that reporting is done
 3.16.6   by applicant, school and sponsor accurately and without                M
          duplications.




Item No                            Function                                 Required   Comments

  4.0                   Workflow across all modules
           From when an application is conceived through to closing a
           research project, transitions between workflow states must
           be able to have actions assigned to them such as assigning
  4.1                                                                            M
               review activities to individual(s), or sending email(s).
          Flexibility should be allowed for each HEI to configure its own
            workflow including required quality management activities.


                                                                             8
      Workflows should be variable dependant on user defined
      criteria though there also needs to be a facility for these to be
4.2   overridden by a system Administrator or authorised users                M
      when necessary.

      The workflow should be configurable to allow HEI’s to
      ‘personalise’ the approval process e.g. add insurance review,
      peer review, ethics review etc or where use of facilities
4.3                                                                           M
      entered approval from relevant facility manager must be
      entered

      It must be possible to make certain basic fields and User
      Defined Fields (UDFs) mandatory so that they can be built
      into and referenced in workflow. E.g. an application could not
4.4                                                                           M
      be progressed for approval unless all mandatory UDFs have
      been completed.

      Email alerts for project and internal process milestones to be
      automatically generated and to be configurable by HEI’s e.g.
4.5   Configurable email alerts to notify relevant parties that a             M
      deliverable is imminent

      Workflow to allow for additional processes to be run in
4.6   parallel e.g. Internal Peer Review’ ethics review etc                   M

      Workflow approval process to provide for selected key
      documents to be in place before workflow can progress for
      example disclosure agreements, intellectual Property IP and
      Patent management.
4.7                                                                           M
      Disclosure agreements start in the Application Process (AP),
      IP protection in AP/Award (AW), Patent at closure

      There needs to be the facility to record and track the
      workflow status of a project across the complete research
4.8                                                                           M
      lifecycle e.g. application, awarded etc




                                                                          9
       Ability to track status of award e.g. notified, award letter
       received acceptance letter received, stating certificate
4.9                                                                             M
       returned. (Tracking of deliverables and milestones)

       The facility to configure the tracking statuses, particularly for
4.10   reporting purposes.                                                      M

       Workflow to be configurable by HEIs to include approval
       processes e.g. to allow for governance of clinical trial
4.11                                                                            HD
       management, workflow of contract negotiation

       The modules must be fully integrated to allow for data
       transfer between modules without re-keying and for efficient
       approval processes e.g. when an application status is
4.12   changed the appropriate award record must be created                     M
       automatically and key personnel/departments must be
       automatically alerted.

       The ability to record contract deliverables i.e. specific
       contract requirements must be customisable by HEI and
4.13                                                                            M
       flexible to have different deliverables for different projects.

       Must allow for application status moving backwards as well
       as forward e.g. project can move from ready for approval
4.14                                                                            M
       back to draft.

       Ability to record key dates including the following:
       Sponsors application date;
4.15   Forecast decision date;                                                  M
       Application approved date (may be after application date).

       System to have facility whereby applicant can notify
       administrator of requirement for new sponsor to be input to
4.16                                                                            M
       the system

       Facility to record proposal outcome for example:
4.17        Pending,                                                           M
            Successful (only move to this status once award



                                                                           10
                  recorded),
                 Unsuccessful,
                 Declined internally (i.e. if not internally approved for
                  submission due to peer review process)

          Change of status to be controlled by a defined user.

          The list of statuses and the items that must be completed as
          mandatory to be defined by individual HEIs

          Authority to make changes to status of award restricted. For
          example:
 4.18     Notified – Principal investigator;                                      M
          Award letter received - RMAS administrator.

          Automatic alert sent from system to notify all appropriate
 4.19     parties of change of award status                                       M




Item No                         Function                                     Required   Comments
  5.0                  System / Module Interfaces                                 M
          All interfaces should require the minimum of developer
          resource to implement and where possible employ best
  5.1                                                                             M
          practise design such as in SOA. Using the specified ESB

          The modules must be integrated so that data flows from one
          module to another without having to be re-entered. Using the
  5.2                                                                             M
          specified ESB.

          Systems requiring interface with RMAS modules will include
          but not be limited to:
  5.3          Student record Systems (Bi-directional);                          M
               Finance systems (Bi-directional);
               HR Systems (Bi-directional) e.g. facility to record and


                                                                             11
                  collate PGR and RA’s number on applications and
                  awards.
                 BI systems
                 institutional repositories
                 proprietary Customer Relationship Management
                  systems
                 proprietary Electronic Document Management
                  systems

          Research Council applications to be capable of automatic
          submission direct from system to Je-S. The interface to be
          such that all facilities currently available within the Je-S
  5.4                                                                           M
          system with regard to data input, and authorisation are
          available with proposal development.

          A bulk upload/import function should be available via EXCEL
          and CSV files and XML [CERIF]. E.g. facilities to bulk change
  5.5     UoA and feed through the system correcting budget tables              M
          etc as appropriate.


          Data for PIs and CoI’s not included in the HR
  5.6
          interface

          New PIs and CoI’s due to join University to be set up before
          HR record set up and to be “rolled into” HR interface record
 5.6.1                                                                          M
          when PI set up in HR system.

          Description and classification of Staff Groups to be compliant
          with Transparent Approach to Costing (TRAC) guidelines and
 5.6.2                                                                          M
          Je-S requirements



Item No                            Function                                Required   Comments
  6.0                                                                           .
                  Electronic Document Management


                                                                           12
      The system will need to be able to link to a proprietary
      document management system and / or provide separate
6.1                                                                           M
      EDM capability.

      There needs to be functionality which provides for documents
      (e.g. Microsoft word, Adobe PDF documents, Excel
      spreadsheets) and other common electronic formats and/or
      paper based scans to be associated with an application or
      award and these to be version controlled including the ability
      to update any data held within the system e.g. CVs, Grant
6.2                                                                           M
      application form, separate costings held in word or excel,
      correspondence email or paper, responses from sponsor in
      various formats. Facility to record text and/or attach
      documents in relation to internal/external reviews– to include
      evaluation code and comments.

      Documentation to be available at different stages may
      include for example: disclosure agreements, Intellectual
      Property IP and Patent Management
6.3                                                                           D
      e.g. Disclosure agreements start in the Application Process
      (AP), IP protection in AP/Award (AW) and Patent at closure

      Ability to view scanned document images needs to be
      available within the RMAS system whether the EDM
6.4   functionality is externally linked to or provided by an internal        M
      module.

      Applications to be capable of automatic electronic submission
6.5   direct from system to sponsor and vice-versa, eg Je-S.




                                                                         13
Item No                             Function                                 Required   Comments
  7.0            Customer Relationship Management
          The system will need to be able to link to a proprietary CRM
          system and / or provide CRM capability for contacts related
  7.1                                                                             M
          to the projects.

          CRM Functionality
  7.2     The ability to manage corporate contacts and organisations              M

          The CRM element will store:
              Outcomes associated with the projects
              Contacts (People) Information
  7.3         External Organisation Information                                  M
              Internal Organisation structure
              Summary Project Information

          Communications records should be related to a contact (and
          copied/related to other relevant contacts) and contain “flags”
          that indicate the nature of the communication e.g. email,
  7.4     letter, meeting, visit, fax, phonecall. Communications may              M
          also relate to projects – therefore need to be easily relatable
          to the relevant project record.

          Historical data should be made unavailable for editing, but a
          screen should be available for the DB administrator to re-
  7.5                                                                             M
          activate data if necessary.

          Users should be able to flag records as historical, (provided
  7.6     they have the appropriate access rights).                               M

          All data types will include permanent information e.g. Names,
          addresses etc.; and temporal information e.g. memberships
          of university networks, stakeholder statuses. Temporal data
  7.7                                                                             M
          will have “valid from” and “valid to” flags. –To include version
          control, date stamp




                                                                             14
       Emails sent to contacts should be automatically recorded
       against the relevant Contact record as a communication
7.8                                                                           M
       record.

       Contact and Project record ownership should be assigned by
       organisational unit, and should only be accessible to users
       with the appropriate permission. Therefore each user will be
       assigned to a unit and will have write access only to those
       records “owned” by their unit.
7.9    In some cases Contact and Project records will be “owned”              M
       by more than one unit.

       Organisation records should be accessible (read only) by
       everyone.

       Events
       An events planning module is required. Events will have
       static and dynamic information.

       There should be a simple method of managing: venues,
       attendee lists, timings, event type, confirmations, event
       status.

       Creation of invites (mail-merge; emails etc), mailing lists and
7.10                                                                          HD
       badges should be included. Reporting function should be
       included to provide standard and ad-hoc reporting on events:
       success/failure; attendee targets met/not-met;
       Events could be stored in the projects table as there is some
       commonality between the record types. Events are a rarefied
       form of project.

       Additional functionality could include for example: seating
       planner or financial information.




                                                                         15
Item No                            Function                                 Required   Comments

  8.0                       Academic Expertise

          Academic Expertise to include Esteem indicators.
  8.1     Search facility to be based on academic expertise                      HD

          PGR Link to expertise element e.g. data held in student
          record system about PGR to be available within the system
  8.2                                                                            HD
          based on project they are currently undertaking + history




Item No                            Function                                 Required   Comments

  9.0                     Funding Sourcing Tool

          Funding source identification and support
  9.1                                                                            M
          The facility to build a Repository of opportunities and profile
  9.2     the opportunities with Individuals able to define their own            M
          view




Item No                            Function                                 Required   Comments

 10.0                     Proposal Management


 10.1     Application Date & Forecast Success Rates                              M




                                                                            16
         Ability to record key dates including the following:
               Sponsors application date
               Forecast decision date
10.1.1                                                                              M
               Application approved date (may be after application
                   date)

         Facility to allow analysis by user specified date.
10.1.2                                                                              M
         Facility to input forecast success rates as a % indicator with
10.1.3   an associated date field and hence forecast future income                  HD

         It should be possible to make certain basic fields and User
         Defined Fields (UDFs) mandatory so that an application
10.1.4   cannot be progressed for approval unless all mandatory                     M
         UDFs have been completed.


10.2     Multi institution/Organisation Unit Applications

         Allow for projects to be diced and sliced along different
         institutional lines both within the institution and cross
10.2.1                                                                              M
         institutional

         Allow for projects to be grouped & re-grouped across
10.2.2   organisational structures and institutions                                 M

         Modules should allow for major projects which consist of sub-
         projects initiated in different organisational units within the
         HEI but which will need to be combined into one project for
         submission to the sponsor. Approval processes should be
         configurable to allow processes to be put in place for sub
10.2.3                                                                              M
         projects and the main/ combined project.

         Also the Principal Investigator to have access to full project
         details

         For projects where the input from the other organisational
10.2.4                                                                              M
         units is relatively minor (e.g. project initiated in one school but



                                                                               17
         with input from staff in other schools ) the process should be
         configurable to second and subsequent units to review and
         approve input to project

         All budget lines to be analysed between organisational units
         with on screen reports available showing the breakdown of
10.2.5                                                                             M
         individual budget lines by unit.

         The line by line budget analysis of multi organisational unit
         applications indicates the inputs from organisational units into
         the project and forecast earnings from recharges. An
         alternative analysis of the income for the purpose of
         attributing external income – in particular for REF purposes-
         is required. This could be held as a UDF field but a more
10.2.6   satisfactory solution would be to have a facility to apportion            M
         the total income from a project on a percentage basis
         between the collaborating organisational units.

         A field to hold Intellectual Credit Split and for Financial Credit
         split (where they may differ)


10.3     Cash Limited Applications

         Facility to input cash limit for applications and system to flag
10.3.1   when cash limit has been exceeded.                                        M


10.4     Calculation of Sponsor Price

         Facility to input different specific inflation rates for sponsors
         that can be applied to base price costings to produce price to
10.4.1                                                                             M
         sponsor

         Facility to treat pay and non pay lines differently when
         inputting inflation rates to be applied to base price costings to
10.4.2                                                                             M
         produce sponsor price




                                                                              18
         Facility to select individual elements of FEC cost and include
         in sponsor price. This should include the ability to set up user
10.4.3   defined income templates as there are several different types           M
         required

         Facility to apply a sponsor template (eg RC's 80%) to all
10.4.4   eligible costs                                                          M

         Requirement for VAT to be added to or removed from price to
         be linked to contract type and sponsor type with facility to
10.4.5                                                                           M
         override


10.5     Report on FEC and Sponsor Price

         Appropriate reports to be available for all sponsors showing
         FEC at base and indexed prices and sponsor price and
10.5.1                                                                           M
         university contribution for each budget line


10.6     Foreign Currency

         Ability to convert sponsor price details to specified foreign
         currency particularly for EU reporting in Euro’s with related
10.6.1   reporting function showing breakdown of costs in home and               M
         foreign currency.


10.7     Sponsor Details

         Sponsors to be capable of (configurable) categorisation into
         major sponsor groups, with ability for sub division into sub
         groups e.g. Charities to be divided into peer reviewed and not
10.7.1   peer reviewed. Sub Groups which identify grants providing               M
         exclusive benefit to the public or can be classed as
         Philanthropic Donations.

10.7.2   Amendments to sponsor details only by authorised users so               M



                                                                            19
         to minimise multiple versions of sponsor details

         System to have facility whereby applicant can notify
         administrator of requirement for new sponsor to be input to
10.7.3                                                                          M
         the system

         Facility for administrator to flag a sponsor as "Closed" or to
10.7.4   remove sponsor to prevent subsequent use of that sponsor.              M


10.8     Export of Monthly Profiled Budget Data

         Accurate and detailed profiled budget data to be available
         from the system that analyses the budget into monthly
10.8.1   amounts. This information to be available for export in                M
         multiple formats e.g. Excel, CSV, XML etc.

         A head count of staff by category and/or project on given
         census dates – not FTE – to be available from the system for
10.8.2                                                                          M
         export to multiple formats including Excel, CSV or XML

         Create interface/export file that will calculate marginal costs
         to organisational unit of each project from FEC costings
         based on profiled budget and headcount information.
10.8.3                                                                          M
         To be capable of generation at point application is considered
         (i.e. at point of review by Head of School)


10.9     Proposal Outcome

          Facility to record proposal outcome e.g.
         - Pending
         - Successful (only move to this status once award recorded)
10.9.1   - Unsuccessful                                                         M
         - Declined internally (i.e. if not internally approved for
         submission due to peer review process)
         Change of status to be controlled by a defined user.



                                                                           20
          The list of statuses and the items that must be completed as
          mandatory to be defined by individual HEIs

          Facility to record/upload feedback from sponsor on
 10.9.2   application – to include evaluation code and comments                  M

          System to have facility for archiving unsuccessful
          applications so that they no longer appear on pick list of
 10.9.3   current proposals but are available if required for future             M
          reference or other purposes.


 10.10    Additional Data Required for Reporting and Analysis

          Module to hold data on PI time commitment to project applied
10.10.1   for and project successfully obtained.                                 M

          Module to hold additional data on PIs and CoIs for example
          “early career researcher” to allow reporting by category of
10.10.2   PI/CoI. To be completed by data held in HR system or user              D
          defined drop down menu if not available

          Facility to record and collate PGR and RA’s number on
10.10.3   applications and awards.                                               M

          Facility to record the reasons for failure of an application
10.10.4   other than the comments from sponsors covered by 10.9.2.               M




Item No                             Function                                Required   Comments

 11.0             Costing and financial management
          The system must be VAT compliant and provide facilities to
 11.1                                                                            M
          track VAT. The system will also need to provide the facility to



                                                                            21
       override VAT rules.

       Requirement for an “Institutional cost share” budget heading
       that reconciles to the difference between fEC and sponsor
11.2                                                                          M
       price (fEC Deficit)

       Facility to call up templates specific to a sponsor or group of
       sponsors that references the relevant cost eligibility,
       indexation factors, etc.

       Allow scenario planning and save versions of costings but
11.3                                                                          M
       freeze the final submitted costing.

       Version control so as to allow access to previous versions of
       costings.

       System to notify user with on screen message if project costs
       have changed because centrally held data has been updated
       e.g. estates, indirect rates, salary information etc. The user
       should be able to accept changes or not.
11.4                                                                          M
       Version control will be required keeping both original and
       latest available for view or reporting

       Ability to clone the costing element of an application from a
       previous application. Costings for cloned applications to be
11.5                                                                          M
       recalculated based on new start dates etc

       Ability to cost PI / CoI not currently on HR system
11.6                                                                          M
       Module to use additional data on PIs and CoIs for example
11.7   “early career researcher” to allow accurate costing.                   HD

       Budget codes will need to be catered for reporting and re-
       charging purposes. Multiple codes will be required and will be
11.8   different in each institution.                                         M




                                                                         22
 11.9     Calculation of Full Economic Cost of Projects

          All calculations performed by the module to be compliant with
          the TRAC guidance. Costings to be organised into TRAC
11.9.1    headings of directly incurred, directly allocated, exceptions              M
          and indirect costs.

          System to allow for 3 sets of figures to be calculated and
          retained: the cost (to the HEI); the price (application to
11.9.2                                                                               M
          funder) and the award value.

          Facility to input separate inflation rates for different budget
          headings. In particular separate rate for pay and non-pay
11.9.3                                                                               M
          headings and FTE related costs.

          Facility to input variable or fixed inflation rates for at least 10
11.9.4    future years.                                                              M

          Facility to input known salary increases part way through a
          given financial year to reflect staff costs where appropriate
11.9.5                                                                               M
          with sponsors.

          It should be possible to operate with more than one set of
11.9.6    base price salary rates.                                                   M

          Staff costs to be calculated as banded salaries and actual
          costs according to staff category or actual data held against
11.9.7    named person in HR. Banded salaries should be                              M
          institutionally configurable.

          Ability to select whether to apply discretionary pay points
11.9.8                                                                               M
          Facility to include staff cost at spot salaries for visiting
11.9.9    lecturers etc including on-costs                                           M

11.9.10   Facility to input different estates and indirect rates for all             M



                                                                                23
          departments hierarchically defined by users

          Ability to create a “database” of non staff costs e.g. facilities
          rates, travel rates that can be picked from a pick list and
11.9.11                                                                            M
          added to projects.

          Model accurately cost of studentships applying estates and
11.9.12   indirect rates as per the TRAC Guidance                                  M

          Ability to suppress/delete estates and indirect rates so that
          they do not appear in costing for selected projects. This is
11.9.13                                                                            M
          particularly required for studentship projects.

          All costs to have expenditure date or date range attached
11.9.14   allowing expenditure to be profiled over life of the project             M

          Module to accurately profile the cost of the project on a user
          defined timescale to produce an annual profiled budget
11.9.15                                                                            M
          based on appointment dates and purchase dates

          Module to have facility to apply “rules based profiles” to
          profile certain budget lines e.g. travel over the life of the
11.9.16                                                                            M
          project.


11.10     Budgets to be Linked to Finance System Codes


          For each budget line 2 budget codes are required e.g. project
11.10.1                                                                            M
          code and/or a recharge code.


11.11     Reporting

          Create interface/export file that will calculate marginal costs
11.11.1   to organisational unit of each project from FEC costings                 M
          based on profiled budget and headcount information.



                                                                              24
          To be capable of generation at point application is considered
          (i.e. at point of review by Head of School)

          Financial reporting/project monitoring must include but not be
          limited to:
                Import of actual expenditure/commitments (may be
                   imported from a finance system)
                Ability to enter manual commitments
                On screen generation of project statement showing
                   profiled project budget compared to actual
11.11.2            expenditure and incorporating standing data relating          M
                   to project such as start and end date, PI etc
                Ability to produce statements in PDF, Excel, XML
                Access for individual PIs through web to generate
                   statement on demand
                Scheduling of and subscription to reports to enable
                   individual PIs to receive statements automatically



 12.0                    Post Award Management

 12.1                           Tracking of Awards

          Ability to track status of award e.g. notified, award letter
          received acceptance letter received, stating certificate
12.1.1
          returned. (Tracking of deliverables and milestones)
                                                                                 M

          System ability to handle timesheets electronically and provide
          hourly rate calculations and allow for resultant staff costs to
12.1.2    be charged to grants. Time spent to be recorded against                M
          activities/individuals.

          Hold an individual time recording in a profiled way over time
12.1.3                                                                           D
12.1.4    Authority to make changes to status of award restricted. For           M


                                                                            25
         example
         Notified – Principal investigator
         Award letter received - RMAS administrator

         Automatic alert sent from system to notify all appropriate
12.1.5   parties of change of award status                                          M
         To be able to record time spent against activities/individuals
12.1.6                                                                              M

         Multi institution/Organisation Unit Applications
12.2

         Allow for projects to be diced and sliced along different
         institutional lines both within the institution and cross
12.2.1                                                                              M
         institutional

         Allow for projects to be grouped & re-grouped across
12.2.2   organisational structures and institutions                                 M

         Modules should allow for major projects which consist of sub-
         projects initiated in different organisational units within the
         HEI but which will need to be combined into one project for
         submission to the sponsor. Approval processes should be
         configurable to allow processes to be put in place for sub
12.2.3                                                                              M
         projects and the main/ combined project.

         Also the Principal Investigator to have access to full project
         details

         For projects where the input from the other organisational
         units is relatively minor (e.g. project initiated in one school but
         with input from staff in other schools ) the process should be
12.2.4                                                                              M
         configurable to second and subsequent units to review and
         approve input to project

         All budget lines to be analysed between organisational units
12.2.5                                                                              M
         with on screen reports available showing the breakdown of



                                                                               26
         individual budget lines by unit.

         The line by line budget analysis of multi organisational unit
         applications indicates the inputs from organisational units into
         the project and forecast earnings from recharges. An
         alternative analysis of the income for the purpose of
         attributing external income – in particular for REF purposes-
         is required. This could be held as a UDF field but a more
12.2.6   satisfactory solution would be to have a facility to apportion            M
         the total income from a project on a percentage basis
         between the collaborating organisational units.

         A field to hold Intellectual Credit Split and for Financial Credit
         split (where they may differ)


12.3     Foreign Currency

         Ability to convert sponsor price details to specified foreign
         currency particularly for EU reporting in Euro’s with related
12.3.1   reporting function showing breakdown of costs in home and                 M
         foreign currency.

         Facility to change the conversion rate during the period of the
         award and apply different conversion rates to different
12.3.2
         periods of the budget and maintain an exchange rate history.
                                                                                   M

         Facility to determine whether to round up or down, depending
12.3.3   on award requirements.                                                    M

12.4     Award Date

         Ability to record and retain dates including:
         Award date
12.4.1   Award recorded date                                                       M
         Announced start date
         Actual start date



                                                                              27
         End date
         Revised end date
         Closed date
         Facility to add user defined field in date format to allow
12.4.2
         analysis by date
                                                                               M

12.5     Organisation of data in the Module

         Organisation of data in the awards system to be as in the
12.5.1   application system.                                                   M
         System must be able to reflect the hierarchal structure of an
         HEI so that data may be extracted or reported upon based on
         that structure. The hierarchal structure should be
12.5.2                                                                         M
         configurable to allow individual HEI’s to set up its own
         structures.

         Identification of projects to organisational unit to be
         independent of department indicator from HR interface or the
         department indicator capable of being overwritten by the
12.5.3                                                                         M
         system administrator where HR data does not produce
         correct results

         All PIs & CoIs to have a Unit of Assessment (UoA) indicator
         (separate from department indicator) A field should also be
12.5.4   available for 2008 UoA and any future REF UoA. Version                M
         control required

         Facility for a PI project to be re-allocated to a new PI and
         recorded in a Project History. Alternatively for application
12.5.6                                                                         M
         details to copied to a new application.

         Facility to identify a non-research project (e.g. consultancy,
         organising an event etc) Particularly in relation to reporting
12.5.7                                                                         M
         and VAT status

         System to be capable of dealing with multi-applicant/multi
12.5.8                                                                         M
         sponsor projects and producing data so that reporting is done



                                                                          28
         by applicant, school and sponsor accurately and without
         duplications.


12.6     Award Value

         Ability to record award values for individual budget lines whist
12.6.1   retaining original FEC and Revenue applications budget                  M

12.7     Award Budget

         Ability to hold 3 versions of the budget;
         (i) FEC budget i.e. Cost
         (ii) Sponsor budget i.e. Price
12.7.1
         (iii) Awarded budget.
                                                                                 M


         Profiled award budget data to be available from the system
         that analyses the budget into user specified amounts. This
12.7.2   information to be available for export to Excel or other                M
         suitable systems.

         Profiling features to be same as for applications to include
         rules based profiles where appropriate.
12.7.3                                                                           M

         Accurate and detailed profiled budget data to be available
         from the system that analyses the budget into monthly
12.7.4   amounts. This information to be available for export in                 M
         multiple formats e.g. Excel, CSV, XML etc.

         A head count of staff by category and/or project on given
         census dates – not FTE – to be available from the system for
12.7.5                                                                           M
         export to multiple formats including Excel, CSV or XML

         Create interface/export file that will calculate marginal costs
12.7.6                                                                           M
         to organisational unit of each project from FEC costings



                                                                            29
         based on profiled budget and headcount information.

         To be capable of generation at point application is considered
         (i.e. at point of review by Head of School)

         Facility to adjust spend profile once project has been
         awarded
12.7.7                                                                          M


12.8     Supplementary Awards and Extensions

         Facility to record, change or add supplementary awards and
12.8.1   to profile the additional spending on a line by line basis.            M
         Facility to extend the time frame of projects and to choose
12.8.2   whether this will alter the spend profile.                             M
         System linked to HR systems for example to enable
         recording staff appointment details linked to grant, including
12.8.3
         name, job title, grade, spine-point and start/end dates.
                                                                                M

         Interface with Research Council Electronic Grant System (Je-
         S) to allow final expenditure details to be uploaded
12.8.4
         automatically.
                                                                                M

         System ability to record full expenditure on a project where it
         differs from the value showing on the finance system (e.g. to
         include overspends that have been covered by the University
12.8.5
         but must be shown in the expenditure report to the Research
                                                                                M
         Councils).




13.0                     Research Outcomes/Outputs

13.1     Research Publications must be linked to user specified repository and      M


                                                                           30
       include considerations of accessibility, location of closed files etc

       Research outputs and outcomes
       Can be the immediate output and could be more i.e. report on impact
13.2                                                                                M
       over time (i.e. ability to record success stories of research projects)

       Research outcomes need to be tracked, over several years, even
13.3   after a research project has been completed.                                 M

       For research outcomes definition see
13.4
       http://www.rcuk.ac.uk/research/ResearchOutcomes/Pages/home.aspx




                                                                               31
                                                                 Glossary
Abbreviation   Description

    AP         RMAS - Application process

    AW         RMAS - Post Award process

     BI        A system that collects, integrates, analyses and presents business information to support better business decision making.

    CoI        Co-Investigator- An individual selected by the Principal Investigator who typically provides support in preparing the proposal and
               who has specific responsibilities in the development, operations, or analysis phases of the investigation.

   CRM         Customer relationship management consists of the processes an organisation uses to track and organize its contacts with its
               current and prospective customers.

Departments    For the purpose of this document Departments are sub groups within schools and again may vary from institution to institution.
               Schools are referred to throughout the SOUR as the highest level academic units in an HEI however the use of term School
               may vary from institution to institution i.e. School could be a faculty. The system will have to be able to incorporate lower levels
               of the HEI’s organisational structure

    EAA        The Electronic Application and Assessment system is used by applicants and Research Organisations to apply for all of the
               MRC's grant schemes.

   EDM         Electronic Data Management is the management of different kinds of documents in an enterprise using computer programs and
               storage
    ETL        Extract, transform, and load (ETL) in database usage and especially in data warehousing involves:
                 * Extracting data from outside sources
                 * Transforming it to fit operational needs (which can include quality levels)
                 * Loading it into the end target (database or data warehouse)
               The advantages of efficient and consistent databases make ETL very important as the way data actually gets loaded.

    FEC        Full Economic Costing- a development of the Transparent Approach to Costing (TRAC) to provide a forecast of the full
               economic cost of undertaking a research project




                                                                         32
      FTE           Full-time equivalent: For staff, it refers to the extent of a member of staff’s contracted duties as compared to those of a typical
                    full-time member of staff in the same category

    HEFCE           The Higher Education Funding Council for England distributes public money for teaching and research to universities and
                    colleges. In doing so, it aims to promote high quality education and research, within a financially healthy sector. The Council
                    also plays a key role in ensuring accountability and promoting good practice.

      HEI           Higher education institution

      HR            Human Resources

       IP           Intellectual property is legal property rights over creations of the mind, both artistic and commercial, and the corresponding
                    fields of law.

      ITT           The Invitation to Tender process is used to select one or more suppliers to meet the participant organisations' requirements.

      Je-S          Je-S is the RCUK electronic submission system, designed to comply with the Je-S Framework. It will be rolled out across all
                    Research Councils to provide a common electronic system that supports research administration.

      MRC           The Medical Research Council is a publicly-funded organisation dedicated to improving human health.

Organisation Unit   Academic subjects, tasks or business functions within a university may be divided into organisational units. Examples would
                    include departments, schools etc.

      PGR           Post graduate Researcher

       PI           Principle Investigator- The individual recognised by the University as having lead responsibility for a research project or area




                                                                              33
 RAE      The Research Assessment Exercise was conducted jointly by the Higher Education Funding Council for England (HEFCE), the
          Scottish Funding Council (SFC), the Higher Education Funding Council for Wales (HEFCW) and the Department for
          Employment and Learning, Northern Ireland (DEL).
          The primary purpose of the RAE 2008 was to produce quality profiles for each submission of research activity made by
          institutions. The four higher education funding bodies intend to use the quality profiles to determine their grant for research to
          the institutions which they fund with effect from 2009-10. Any HEI in the UK that is eligible to receive research funding from one
          of these bodies was eligible to participate.
          HEFCE is working to develop new arrangements for the assessment and funding of research. The new arrangements - the
          Research Excellence Framework (REF) - will be introduced after the 2008 Research Assessment Exercise (RAE). See REF
          below.

RCUK      Research Councils UK is a strategic partnership between the seven UK Research Councils. RCUK was established in 2002 to
          enable the Councils to work together more effectively to enhance the overall impact and effectiveness of their research, training
          and innovation activities, contributing to the delivery of the Government’s objectives for science and innovation.

 REF      HEFCE is working to develop new arrangements for the assessment and funding of research. The new arrangements - the
          Research Excellence Framework (REF) - will consist of a single unified framework for the funding and assessment of research
          across all subjects. It will make greater use of quantitative indicators in the assessment of research quality than the RAE, while
          taking account of key differences between the different disciplines.

RMAS      Research Management and Administration system

Schools   Schools are referred to throughout the SOUR as the highest level academic units in an HEI however the use of term School
          may vary from institution to institution i.e. School could be a faculty. For the purpose of this document Departments are sub
          groups within schools and again may vary from institution to institution.

Sponsor   For the purpose of the SOUR sponsor means a person or organisation that provides funds or support for a project.
 UoA      Unit of Assessment- One of the 67 subject units of assessment defined for the 2008 RAE




                                                                   34

				
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