ST ScI ELECTRONIC GRANTS MANAGEMENT SYSTEM
INITIAL AUTHORIZING OFFICIAL’S RESPONSIBILITIES
Each institution has one Authorizing Official(AO). The official AO is the only individual who is authorized to do the following tasks to initialize the Grants Management System (STGMS) at an institution.
Type in (or verify existing payee) information
Delegate AO designee accounts (if applicable)
AO or AO Designee Initial Responsibilities
Add institutional administrators including Accounting Office staff (Main Menu – Account/Add)
Initialize existing institutional accounts
Enable each existing account and set password (Main menu - Account/Set Password)
Set Privileges (Main menu – Account/Privileges)
Assign Administrators to each investigator (Main menu – Account/Assign Staff)
Detailed Instructions for Authorizing Officials
Accessing the Grants Management System (STGMS)
The web address for the STGMS is: http://gms.stsci.edu/
Recommended Browser: Microsoft Internet Explorer or Netscape
Minimum Computer Requirements: See information on the above web site
Type or copy the address into your browser and press the "Enter" key.
Choose "Download Application" from the applicable platform.
The login box will appear once the application has been started.
Type in your *username, select your institution (if applicable), and type in your password.
*Please note that generally your last name is your username. However, if there is more than one person in our system with the same username, the list of Institutions with that username will appear. Please select the correct institution and enter your password.
Add a User Account (Only STScI can add Investigator accounts.)
Select the "Account" menu.
Select "Add." On the right of the screen, you will see the list of current authorized users. The Space Telescope Science Institute (STScI) entered the initial authorized users, and the AO or AO Designee entered others later. (Please note that only STScI can add Investigator Accounts.)
Fill in the appropriate information on the left side of the screen. Use the "Tab" key to move to the various entry fields. Please be sure to enter the e-mail address of the new user and select the preferred way that they should receive notification.
When completed, select "Add User".
To add another user, clear the screen of previously input data. You may then follow the steps above to add another user.
If you decide not to add a user, you may select "Cancel" to return to the Welcome Screen.
Setting/Modifying a Password
Before the user can access the STGMS, the AO or AO Designee must “enable” the user’s account and provide a password. This is accomplished through the "Set/Modify Password" function.
Select the "Account" menu.
Select "Set/Modify Password."
Select the username to receive the password.
Type the "New Password."
Retype the password in the "Verify Password" block.
Click the checkbox, "Enable Account."
Select the "Set/Modify Password" button.
If you decide not to set the password, select "Cancel" to return to the Welcome Screen.
After you have selected the “Set/Modify Password” button, the “Cancel” button will return you to the Welcome Screen.
Setting User Privileges
This function allows the AO or AO Designee to define specific privileges for their users based on their user type and the institutional rules and needs.
Select the "Account" menu.
Select "Privileges."
Select a username to receive the assigned privileges.
Select a User Type from the drop down menu. The choices are "*Investigator" "AO Designee" and "Administrator". Only the AO can assign the User Type "AO Designee."
Select the appropriate privileges from the drop down menus provided. You may choose to "Select All Privileges" to assign to a user, then one-by-one change them as appropriate. You may "Clear All Privileges" to remove all privileges at once.
Select "Change Privileges" to assign the privileges.
Select "Reset" to change privileges to the previously approved privileges (if any).
If you decide not to set the privileges, or are completed setting them, select "Cancel" to return to the Welcome Screen.
*Please note that the user type, "Investigator," is entered into the STGMS by S T ScI from an accepted proposal. An "Investigator" who is also the Program Principal Investigator or Program Administrative Principal Investigator is allowed to utilize the PI Program Management function, even if the institution does not allow him or her to utilize any of the other functions of the Grants Management System.
Assigning Staff
This function allows the AO or AO Designee to assign staff (Administrators, AO Designee user types) to specific investigators.
Select the "Account" menu.
Select "Assign Staff."
Select an Investigator username to receive the assigned staff member(s).
Check the staff member name(s) from those listed.
Select "Assign Administrators" button.
If you decide not to assign an administrator or administrators, or have completed your assignments, the "Cancel" will return you to the Welcome Screen.
Notes:
An Administrator can be assigned the privileges of preparing reports or performing other functions for specific investigators.
An AO Designee that has been assigned ALL Privileges will be able to see the grants and assign privileges for the entire institution. It is not necessary to assign specific investigators to the AO Designee.
The AO is by default authorized to perform all grant management functions for an institution.
The Accounting staff needs to have the Proposal/Grant Info “Manage” privilege if they are to enter the Institutions unique ID on the Grant Screen or the Budget. This information cannot be entered on the financial report. It will automatically appear on the financial report from the Grant Screen.
Proposal/Grant Functions
The Proposal/Grant functions are those that can be performed by all users with the appropriate privilege, however, the AO or AO Designee can reserve the privilege for submitting any of the documents so that they are checked for institutional compliance prior to submission to STScI. The following is a brief description of each function. Please see "HELP" for more detailed descriptions.
Step-by-step instructions are provided for approving and/or submitting the documents that traditionally are sent under the AO’s signature.
Functions that offer the "View/Print PDF" button must be "Saved" or "Submitted" prior to being able to view/print.
a. Proposal/Grant Information Screen
This screen is provided for the convenience of the grantee. It contains information specific to the Program/Grant, including the start and end dates for awarded grants, funds awarded, funds available, performance and financial report due dates, and payment information.
Select this screen by selecting the "Proposal/Grant" menu, then select "Proposal/Grant Information."
Select the Grant/Proposal Number, Investigator, Program Title, or Institution ID number, from the dropdown lists provided. Please note only one of these selections needs to be made to select the appropriate grant.
b. Budget
The Budget function is provided for the electronic submission of original and revised budgets for proposals, and supplemental budgets for awarded grants.
The budget is completed by adding specific estimated costs for each of the budget tabbed items (i.e. salaries, travel, equipment, etc.). A previously saved budget may be retrieved and used like a template to prepare a new budget for a program. Within each tabbed item, a new line can be added to the budget by clicking on one of the buttons at the bottom of the screen. A dynamically updated summary budget is available by clicking on the appropriate button on the screen. The budget narrative can be completed within the budget form using ascii text or you may cut and paste text into the document if you have downloaded the application.
Specific AO and AO Designee responsibility is for the verification of budget data, acceptance of the certifications, and submission of the budget.
The AO or AO Designee is notified by an e-mail message when a budget is waiting in the STGMS to be submitted for the Institution.
The following steps are applicable once an AO has been notified that a budget is awaiting approval and submission:
Access the STGMS System.
Select the "Proposal/Grant" Menu.
Select the "Budget" function.
From the Budget Screen, select the Grant/Proposal Number, Investigator, Program Title, or Institution ID number, from the dropdown lists provided. Please note only one of these selections needs to be made to select the appropriate grant.
If a proposal budget is selected, the budget should appear on the screen. If it is a supplemental budget, please select "Create New Budget" and choose "Create Supplement 1" from the dropdown menu.
Please look at the "Internal Review Comments" tab. If it contains an asterisk (*), then there are remarks waiting to be viewed by the AO or other reviewer. We suggest you review any internal remarks prior to proceeding because the remarks may have a bearing on the rest of your review.
Review the different categories of the budget, beginning with the "Budget Admin Data" tab and ending with the "Other (and Subcontracts)" tab. You may select the tabs on the screen or use the "Next" button to move from tab to tab.
Review the "Budget Narrative" and select the "Completed/Next" button. An asterisk will appear on the tab.
The tab, "Comment to ST ScI," is for the grantee to use to submit any special comments or concerns regarding the budget. When completed, or if there are no comments, select the "Completed/Next" button.
For the tab, "Internal/Review Comments, " if you have previously viewed the remarks in this section (if any), you may select the "Completed/Next" button.
The tab, "Certifications," must be reviewed and accepted prior to submitting a budget. There is a button marked, "Accept/Next" and "Accept" for this purpose. If the asterisk (*) appears next to the tab, then you have accepted the certifications.
The tab, "Current and Pending Support," can be filled in by the proposer or the user with the appropriate privilege. This can be copied and pasted from another text document. If it is completed, select "Completed/Next" to move to the next tab.
The tab, "Indirect Costs," requests the Cognizant Agency and the date of the latest Negotiated Rate Agreement for the institution. Additionally, if preparatory funds or cost sharing is noted, the amounts should be indicated on this screen.
For a new budget, this is the final step and the budget can be saved, submitted, and viewed/printed from this screen.
For a supplemental budget, the user must select the Spent to date/remaining tab and ensure that the spent-to-date and funds remaining areas are filled in prior to the submit action.
c. PI Program Management Function
The PI Program Management function is to allow the Program PI or Program Administrative PI to approve the amount of the co-investigator budgets, accept program funding, and submit program instrument, exposure, and target information. Only the Program Administrative PI, AO or AO Designee can submit program instrument information, approve co-investigator budgets and accept the funds approved for the program. The following are the instructions for approving co-investigator budgets:
Select the "Proposal/Grant" Menu.
Select the "PI Program Management" function.
Select the dropdown "Program" button.
Programs that require approval of the co-investigator budgets will be indicated with a ":" and the number of budgets awaiting approval. Additionally, the PI should notify the AO or AO Designee that he/she is expecting the co-investigator budgets for approval and give them the program number.
Select the appropriate program.
Review the budgeted amounts listed.
For each co-investigator, select the cell entitled "Approve," and select "approve" or "reject" from the dropdown menu.
When completed, select "Submit." This action releases all of the co-investigator budgets into the ST ScI system for further processing.
The following instructions are for entering the program instrument, exposure and target information. Only the PI can provide this information. The PI can also enter it. However, the AO and AO Designee have the privilege to enter it if the PI provides the information to them.
Select the “Proposal/Grant” Menu.
Select the “PI Program Management” function
Select the dropdown “Program” button.
Select the “Add Row” button under the Program Instruments area.
Select the appropriate instrument by clicking on the indicator.
Enter the number of scientific exposures/spectra (not used for calibration).
Enter the number (#) of distinct targets in the box provided.
When completed select the “Submit” button.
Select the “Cancel” button if you do not want to submit. If you have already submitted and are finished or if you decided to cancel prior to submission, the Cancel button will return you to the Welcome Screen.
d. Interim Performance Report Function
The Interim Performance Report should be prepared and may be submitted by the Principal Investigator or user with the "submit" privilege. If the PI has that authority, then you may want the PI to alert you that a performance report is in the system so that you can retrieve and print it for your records. Please see the Retrieve Document function below for specific instructions on how to retrieve any document in the STGMS System. Reports can be copied and pasted into the STGMS from a text document.
e. Equipment Request Function
It may be necessary to request the purchase of equipment that was not included in the original budget for a program/grant. Please note that anyone with the appropriate privilege can prepare and submit the equipment request.
To submit the Equipment Request to the ST ScI:
Select the "Proposal/Grant" Menu.
Select the "Equipment Request" function.
Select the Grant/Proposal Number, Investigator, Program Title, or Institution ID number, from the dropdown lists provided. Please note only one of these selections needs to be made to select the appropriate grant.
Review the Equipment Request form.
Select the "Submit" button to submit the request to ST ScI.
To Print a copy of the request, select the "View/Print Preview" button.
Please note that requests may be copied and pasted into the STGMS from a text document.
f. No Cost Extension Request Function
It may be necessary to request a no cost extension to a grant. Please note that anyone with the appropriate privilege can prepare and submit the No Cost Extension Request. An automatic one-year extension may be requested without justification. However, the request should still be completed and submitted through the STGMS. An additional extension of the grant period will require a justification of the reason that additional time is needed to complete the project.
To submit the No Cost Extension Request to the ST ScI:
Select the "Proposal/Grant" Menu.
Select the "No Cost Extension" function.
Select the Grant/Proposal Number, Investigator, Program Title, or Institution ID number, from the dropdown lists provided. Please note only one of these selections needs to be made to select the appropriate grant.
Complete the No Cost Extension Request form.
Select the "Submit" button to submit the request to ST ScI.
To Print a copy of the request, select the "View/Print Preview" button.
g. Grant Transfer Request Function
It may become necessary to request the transfer of a grant or grant funds from one institution to another, based on the investigator leaving his/her current institution, or on the deobligation of funds on the current grant for award to another institution. Please note that anyone with the appropriate privilege can prepare and submit the Grant Transfer Request.
To submit the Grant Transfer Request to the ST ScI:
Select the "Proposal/Grant" Menu.
Select the "Grant Transfer Request" function.
Select the Grant/Proposal Number, Investigator, Program Title, or Institution ID number, from the dropdown lists provided. Please note only one of these selections needs to be made to select the appropriate grant.
Complete the Grant Transfer Request form.
Select the "Submit" button to submit the request to ST ScI.
To Print a copy of the request, select the "View/Print Preview" button.
h. Interim Financial Report Function
Interim Financial Reports must be submitted either quarterly or monthly on every ST ScI grant. Ideally, The office that has the primary financial reporting responsibility for the institution, i.e. Research Accounting or Grants Accounting Office, should complete this report. However, any user with the appropriate privilege can perform this function. The AO may want to reserve the authority for submitting the financial report to ST ScI.
To submit the Interim Financial Report to the ST ScI:
Select the "Proposal/Grant" Menu.
Select the "Interim Financial Report" function.
Review the grants and amounts listed. Rows for grants that do not require submission on this report must be excluded or the expenditures should be entered to equal the payments. Please note that all basic grant information is provided by the STGMS System including the PI name, HST grant number, Institutional ID number,( if it has been provided by the grantee), grant end date, total grant amount, total amount available, cumulative payments to date. Only the Total Expenditures to Date and Advance Payments Requested need to be provided by the grantee institution.
The STGMS System automatically calculates the amount of the payment requested. Please note that negative payment requested amounts are displayed as "$0". No credits can be submitted on the Interim Financial Reports.
If interest earned is to be returned, select the "Interest" tab to review the interest reported for this financial report. Any and all rows listing grants that do not have interest to report must be excluded from the interest section of the report.
Select the "Internal Review Comments" tab to review any comments or instructions of the person preparing the report.
Select the "Summary/Submit" tab to review the Financial Report Summary. Please note that the Certifying Official for all grant documentation will be the Authorizing Official for the Institution.
Select the "Save" button to save the Financial Report.
Select the "Submit" button to submit the Financial Report to ST ScI.
To Print a copy of the Financial Report, select the "View/Print Preview" button.
Please note that the report will not submit if there is a row that has not been filled in or deleted.
i. Closeout Requirements Function
The Closeout Requirements Function menu includes the Final Financial Report, Final Performance Report, New Technology Report, and Final Equipment Report. All final documents must be received prior to the closeout function being initiated.
Only one individual grant can be listed on the Final Report. A Final Financial Report requiring the grantee to return funds to ST ScI may be submitted, however, it will not be processed until a check has been received for the amount of funds to be credited to the grant(s).
Please note that anyone with the appropriate privilege can prepare and submit the Final Reports. In all cases, the PI is responsible for the preparation of the Final Performance Report. However, the report can be copied and pasted into the STGMS from a text document by a user with the appropriate privilege. In addition, a user with the appropriate privileges can prepare all other final reports. The AO or AO Designee can reserve the privilege to SUBMIT any and all final reports.
The steps to submit the final reports are the same as for submitting other similar documents in the system.
j. Special Request Function
From time to time, it may be necessary to submit a request that is not covered by the requests provided. Please note that anyone with the appropriate privilege can prepare and submit the Special Request.
To submit the Special Request to the ST ScI:
Select the "Proposal/Grant" Menu.
Select the "Special Request" function.
Select the Grant/Proposal Number, Investigator, Program Title, or Institution ID number, from the dropdown lists provided. Please note only one of these selections needs to be made to select the appropriate grant.
Complete the Special Request form.
Select the "Submit" button to submit the request to ST ScI.
To Print a copy of the request, select the "View/Print Preview" button.
k. Retrieve Document Function
The STGMS System includes a function to retrieve all documents prepared and submitted by the Grantee to ST ScI and ST ScI to the Grantee, for review and printing. Any user with the appropriate privilege can retrieve documents. The documents that are retrieved with this function cannot be changed.
To retrieve a document:
Select the "Proposal/Grant" Menu.
Select the "Retrieve Document" function.
Select the Grant/Proposal Number, Investigator, Program Title, or Institution ID number, from the dropdown lists provided. Please note only one of these selections needs to be made to select the appropriate grant.
Select the document you wish to review or print and double click on it.
The document will be shown on the screen and can be printed from the browser.
Institution Level Functions
Institutions have information that applies to all proposals, grants, budgets, and the institution as a whole. Including base salary and fringe rates scales for their various employee types, load rates (indirect costs, overhead, G&A), disclaimer, contact list and *institution and payee information. In order to make it easier and more effective to use the STGMS, we have set up an area for the AO or AO Designee to enter institutional data into the system. Salary, Fringe, and Load Rates can then be accessed by those with the privilege and included in the budgets being prepared for submission to the Space Telescope Science Institute. Please note that this function is for the convenience and use of the Institution ONLY. The Space Telescope Science Institute will not access or alter this information in any way. *Only the AO can change Institutional and Payee Information.
Setting Salary and Fringe Rates
Select the "Institution" menu.
Select the "Salary/Fringe Rates" function.
Select "Add Row" to add a row to the table.
Select "Fiscal Year" to view the dropdown menu and choose the appropriate fiscal year.
Tab to "Personnel Type" to insert the title of the position for which salary is being entered (i.e. Professor, Grad Student, Post Doc, Administrative, etc.)
Tab to "Salary" and insert the appropriate salary for the personnel type.
Tab to "Hourly/Monthly" and choose the appropriate rate for the salary.
Tab to "Fringe Rate" and insert the institutional fringe benefits rate for the personnel type.
To continue to add Salary and Fringe Rates to the chart, follow the directions from number 3 above.
When complete select "Submit" to save the table.
Operations Tips:
If an error is made and you want to delete a row, highlight the row to be deleted and select "Delete Row(s)".
To clear the data in the table and start again without deleting any rows select "Clear".
To reset the table to the original data you have cleared, (prior to performing a "submit" action), select "Reset."
If you have completed and submitted your table, select "Cancel" to return to the Welcome Screen. Selecting "Cancel" at any time during the process described above, prior to a "submit" action will not save any data and will return you to the Welcome Screen.
Setting Load Rates
Select the "Institution" menu.
Select the "Load Rates" function.
Select "Add Row" to add a row to the table.
Select "Fiscal Year" to view the dropdown menu and choose the appropriate fiscal year.
Tab to "GA/IDC Rate" to insert the appropriate rate.
Tab to "Overhead Rate" to insert the overhead rate, if applicable.
To continue to add Load Rates to the chart, follow the directions from number 3 above.
When complete select "Submit" to save the table.
Operations Tips:
If an error is made and you want to delete a row, highlight the row to be deleted and select "Delete Row(s)".
To clear the data in the table and start again without deleting any rows select "Clear".
To reset the table to the original data you have cleared, (prior to performing a "submit" action), select "Reset."
If you have completed and submitted your table, select "Cancel" to return to the Welcome Screen. Selecting "Cancel" at any time during the process described above, prior to a "submit" action will not save any data and will return you to the Welcome Screen.
Creating a Contact List
The Contact List is created as Administrator and AO Designee accounts are added. The AO or AO Designee should go to the list and select among those persons listed the users to receive EVERY document prepared and submitted to the Institution from the Space Telescope Science Institute. The AO is always on the contact list and the box should be “checked” if the AO would like to receive the documents.
Select the "Institution" menu.
Select the "Contact List" function.
The AO or AO Designee can change the type of notification preferred by selecting the appropriate line in the chart and clicking on the Notification Type displayed. A dropdown menu will appear. Select from the choices: Email, USPS, or Both.
When complete, select "submit" to save the contact list.
Selecting "Cancel" at any time during the process described above, prior to a "submit" action will not save any changes and will return you to the Welcome Screen.
Modify Institute Address/Payee Address
As stated above, only the AO can enter or change the Institute Address/Payee Address information. This function cannot be delegated to the AO Designee. The payee name will always be the name of the University. Only the address and attention line can be modified.
Select the "Institution" menu.
Select the "Modify Institute Address/Payee Address" function.
The "Institute Info" tab is the first displayed. Select the appropriate institution official from the drop down menu. Then using the tab button to move from field to field, fill in the appropriate Institution address information.
Select the "Payee Info" to insert or change the Institution payee information. Again, using the tab button to move from field to field within the form. Please note that the Institution will always be the payee name and cannot be modified. Only the address and attention line can be changed.
When complete select "Submit" to save the table.
Selecting "Cancel" at any time during the process described above, prior to a "submit" action will not save any changes and will return you to the Welcome Screen.
Modify Disclaimer
A disclaimer may be entered in the STGMS and will appear on every page of the budget. To modify the Disclaimer:
Select the "Institution" menu.
Select the "Modify Disclaimer" function.
Insert the Institution disclaimer information.
When complete select "Submit" to save the table.
Selecting "Cancel" at any time during the process described above, prior to a "submit" action will not save any changes and will return you to the Welcome Screen.
Report Processing Functions
The purpose of the report screens is to allow the AO and AO Designee to review specific information pertaining to ST ScI approved proposal and grants awarded to the Institution.
All Reports can be retrieved in the following manner:
Select the "Reports" menu.
Select the Report Type you need (See below).
Select from the drop down menu the order in which you would like to retrieve the report data.
Select Print Preview to view the report in a separate browser window and follow the directions given to print the report.
Select Reset to return the Report Screen to the system default for the chosen report type.
Selecting "Cancel" at any time during the process described above will return you to the Welcome Screen.
REPORT SPECIFICS
The following is a list of the report types with the order in which that information can be retrieved. Please note, all of the following information can be found in the "Help" function of the STGMS System.
1. Proposal Report – Reports can be retrieved by
a. Proposal Number
b. Last Name, Institutional ID
c. Institutional ID
The following information will be displayed in columnar format:
HST Proposal Number
Institutional Identifying Number
PI Last Name
Date of First Observation
Title of Project
2. Grant Report – Reports can be retrieved by
a. Grant Number
b. Institutional ID
c. Last Name, Institutional ID
d. Last Name, Grant Number
e. Stop Date, Last Name
The following information will be displayed in columnar format:
HST Grant Number
Institutional Identifying Number
PI Last Name
Date of First Observation
Obligated Amount
Funds Immediately Available
Funds Contingently Available (Increment Amount)
Balance to Award
Start Date
Stop Date
Date Issued
Date of Last Amendment
Date Grant Closed
Title of Project
2. Grant Overdue Report – Reports can be retrieved by
a. Grant Number
b. Institutional ID
c. Last Name, Institutional ID
d. Last Name, Grant Number
The following information will be displayed in columnar format:
HST Proposal/Grant Number
Institution Identifying Number
PI Last Name
Title of Project
Stop Date
Payments to Date
Overdue Performance Reports (Interim or Final)
Date Due
Overdue Financial Reports (Interim or Final)
Date Due
2. Grant Interim/Final Performance Report – Reports can be retrieved by
a. Grant Number
b. Institutional ID
c. Last Name, Institutional ID
d. Last Name, Grant Number
The following information will be displayed in columnar format:
HST Proposal/Grant Number
Institutional Identifying Number
PI Last Name
Title of Project
Stop Date
Next Interim/Final Performance Report
Next Report Due Date
Next Interim/Final Financial Report
Next Report Due Date
2. Payment Report – Reports can be retrieved by
a. Grant Number, Check Date
b. Institutional ID, Check Date
c. Grant Number, Check Number
d. Institutional ID, Check Number
The following information will be displayed in columnar format:
HST Proposal/Grant Number
Institutional Identifying Number
PI Last Name
Awarded Funds
Funds Immediately Available
Grant Payment Amount
ST ScI Check Number
Check Date
Title of Project
2. Grant Ending Within Three Months Report – Reports can be retrieved by
a. Stop Date, Grant Number
b. Last Name
c. Stop Date, Institutional ID
The following information will be displayed in columnar format:
HST Proposal/Grant Number
Institutional Identifying Number
PI Last Name
Title of Project
Start Date
Stop Date
Awarded Funds
Payments to Date
Columns will appear in the same order on all reports; however, the data will be retrieved according to the criteria requested.
Manipulating Report Data for Institutional Purposes
If the user would like to use the data in the report for a separate spreadsheet, the user can copy and paste the report into an Excel spreadsheet. Select the data (point, click, hold), copy, and paste into the spreadsheet.
Please note that title information for the spreadsheet is returned in merged cells (for centering purposes). The merge command for these cells MUST be removed prior to any column manipulation in the spreadsheet. To remove the merge command, select the line to remove the cell merge command, select Format – Cells, select the Alignment tab, click to make sure there is no check mark in the Merge Cells check box.
You may then proceed to edit the spreadsheet as you see fit.
Please note that information pasted into an Excel spreadsheet cannot be manipulated and re-pasted into the ST ScI Grants Management System.