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Document1

The National Research Information System: Technical Documentation

Data Specification

Version 1.1.1 August 2018

Version History

Version

Date

Key Updates

1.0

December 2017

1.1

April 2018

Detailed list of changes as per table below

Minor formatting changes made to document

1.1.1

August 2018

Removing out-of-date references to the timeline

Section number

Item number

Description of change

2.3.3

Section heading changed for consistency (from Data Access to Data Collection)

5.2.2

1.92.1

Code set name updated

5.2.2

1.92.2

Field name and code set reference changed from Appropriation Type to Appropriation Period

5.2.2

1.92.3

Code set name updated

5.3

2.4

Field name and definition updated to match code set name

5.3.2

2.92.4

Sentence fragment removed from Additional Information

5.4

3.96

Name updated (with term “Objective”) to be consistent with items 3.96.1 and 3.96.2

5.4.6

3.96.1

Code set name added for consistency with other ANZSRC sections

5.5

4.10

Field name updated to match definition and code set name

5.5

4.12

Code set name updated from Organisation Type to Organisation ID Type

5.7

6.96

Name updated (with the term “Objective”) to be consistent with items 6.96.1 and 6.96.2

5.7.3

6.93.91

Section reference added

5.7.7

6.96.1


6.2

11.91

Section numbering updated to 6.2.1

6.2

11.94

Name updated (with term “Objective”) to be consistent with items 11.94.1 and 11.94.2

6.2.4

11.94.1


6.3.3

12.93.91

Section reference added

6.5

14.92

Name updated to be consistent with section 6.5.2 naming

7.2

21.91


Incorrect section numbering updated

7.2

21.92



7.2

21.93


7.2

21.94


7.2

21.95


7.2

21.96

Incorrect item and section numbering updated

7.3

Sections moved to appropriate order and numbering updated. This includes the following changes:

22.92 – now 22.91

22.93 – now 22.92

22.91 – now 22.93

7.4

23.91


7.4

23.92


10.6

Minor updates to definitions within code set

10.17

Added guide for use to code set

11.6

Addition of “Secondary school” and “Primary school” to Organisation Type code set

The National Research Information System: Technical Documentation – Data Specification

August 2018

Ministry of Business, Innovation and Employment

WELLINGTON

ISBN978-1-98-853541-8

This work is licensed under the Creative Commons Attribution 3.0 New Zealand License.

To view a copy of this license, visit http://creativecommons.org/licenses/by/3.0/nz/ or send a letter to Creative Commons, PO Box 1866, Mountain View, CA 94042, USA.

Table of Contents1.What is the purpose of this document?82.What is the National Research Information System (NRIS)?92.1.What information will be in NRIS?102.2.Where do I find NRIS documentation?112.3.What is in this document?123.What information does NRIS hold?153.1.Raw Data153.2.Business Data Vault153.3.Data Mart153.4.The purpose of the data collected by NRIS164.Data Collection204.1.Record Structure204.3.Data Collection – Code Sets and User-specified information214.4.ANZSRC Classifications224.5.Data Collection – Identifiers224.6.RS&I Concept Model (source: NRIS Conceptual Framework)234.7.Who Provides NRIS Data244.8.Worked Example – Endeavour Fund254.9.Asset Pool allocation of Resources335.Data Collection for Asset Pool (e.g. Fund) Managers345.1.NRIS Identifiers375.2.Asset Pool (M if distributing public funds)385.3.Asset Pool Planned Distribution (O)455.4.Application (Request for Resources) (O)505.5.Application Review (O)595.6.Application Decision (O)625.7.Award Granted (M if distributing public funds)645.8.Resource Distributed (M if distributing public funds)776.Data Collection for RS&I Managers806.1.NRIS Identifiers836.2.Project (M if using public funds)846.3.Award Received (M if using public funds)946.4.Resource Received (M if receiving public funds)1036.5.Output (M if using public funds)1067.Data collection for People and Organisation records1097.1.NRIS Identifiers1107.2.Person Record (M)1117.3.Organisation Record (M)1207.4.Group (People or Organisations) (O)1257.5.Facility (O)1288.Data Access Logical Data Model1299.Data Mart View – Entities, Elements and Attributes13010.Award and Project Code Sets13110.1.Code Set | Vote13210.2.Code Set | Appropriation13210.3.Code Set | Appropriation Period13310.4.Code Set | Appropriation Estimate Type13510.5.Code Set | Distribution Period Type13510.6.Code Set | Allocation Method13710.7.Code Set | Resource Type13910.8.Code Set | Resource Measure14110.9.Code Set | Constraint Type14210.10.Code Set | Application/Award Type14310.11.Code Set | Application Phase14410.12.Code Set | Review Method14410.13.Code Set | Review outcome14610.14.Code Set | Application Decision14710.15.Code Set | Status14810.16.Code Set | Project Type14910.17.Code Set | Distribution Basis15410.18.Code Set | Access Type15510.19.Code Set | Output Identifier Type15510.20.Code Set | Public Sector Research Alignment15610.21.Code Set | Centre of Research Excellence Theme15710.22.Code Set | National Science Challenge Theme16110.23.Code Set | Health Research Council Theme16610.24.Code Set | MPI Theme16610.25.Code Set | Vision Mātauranga Theme16710.26.Code Set | Benefiting Region16811.People and Organisation Code Sets17011.1.Code Set | Person Identifier Type17011.2.Code Set | Person Career Stage17111.3.Code Set | Person Application Role17211.4.Code Set | Organisation Identifier Type17211.5.Code Set | Organisation Name Type17411.6.Code Set | Organisation Type17511.7.Code Set | Personnel (Project) Roles18311.8.Code Set | Organisation Project Role185Appendix A: Key Definitions187Appendix C: Data Collection Logical Data Models192Appendix D: References209

Figures and Tables

Figure 1 NRIS Data and Access15

Table 1 Purpose and Review Schedule for NRIS documents11

Acronyms and abbreviations used in this document

ANZSRCAustralian and New Zealand Standard Research Classification

BERDBusiness expenditure on research and development

CoRECentre of Research Excellence

CRICrown Research Institute

EUEuropean Union

FTEfull-time equivalent

GSTgoods and services tax

HRCHealth Research Council

IROIndependent research organisation

MBIEMinistry of Business, Innovation and Employment

MPIMinistry for Primary Industries

NRISNational Research Information System

NSCNational Science Challenge

NSNNational Student Number

NZBNNew Zealand Business Number

OIAOfficial Information Act 1982

ORCID iDOpen Researcher and Contributor ID

R&Dresearch and development

RAiDresearch activity identifier

RfPrequest for proposal

RS&Iresearch, science and innovation

RS&Tresearch, science and technology

STEMscience, technology, engineering and mathematics

TECTertiary Education Commission

What is the purpose of this document?

This document provides a view of the data supplied to, used by, and accessed via the National Research Information System (NRIS). The information within this document describes data to be supplied to NRIS, the code sets used, and provides a view of the entity and attribute information accessible via NRIS.

The document provides guidance for partner organisations to assess the way business operations may need to adjust to enable data sharing with NRIS, and the types of information likely to be available from NRIS.

This document is intended to be read alongside the NRIS Conceptual Framework. The NRIS Overview may also be helpful.

What is the National Research Information System (NRIS)?

NRIS is an information hub where people can easily find information about research, science and innovation (RS&I) in New Zealand.

It will contain data sourced from organisations active in the New Zealand research, science and innovation system.

NRIS will help people answer questions such as: What projects are underway? Who is working on them? Who is an expert I can contact on a particular topic? What are they working on? How much is being spent on a particular area? Which areas need additional resources and support?

NRIS will initially contain information about research funded wholly, or in part, by the New Zealand Government. As experience and confidence with the system grows, we expect information on other research, science and innovation (RS&I) activities, such as privately-funded research, could be included.

NRIS is not a repository, ie it will not hold the actual results of research (such as published papers) or research data[footnoteRef:1]. Most of the information about research, science and innovation that NRIS holds will come from funders such as the Ministry of Business, Innovation and Employment (MBIE) and the Ministry for Primary Industries (MPI), and research institutions such as Crown Research Institutes and Universities. [1: Research data is data that is collected, observed, or created, for purposes of analysis to produce research results]

In line with the government’s information and data management principles, NRIS supports an open data[footnoteRef:2] approach to research information, with information easily accessible and widely available. That said, some research information is commercially sensitive or raises privacy issues and needs protecting. When this need exists, such information will be protected within NRIS. Creating NRIS does not affect legal frameworks, such as what can be disclosed under the Official Information Act (OIA) or who makes decisions about disclosure. [2: Open data is data that anyone can access, use or share]

NRIS is expected to be operational in 2018 with data from MBIE, the Health Research Council (HRC) and the Royal Society Te Apārangi. Over the next five years, we expect all major suppliers of data to be progressively integrated. As part of this process, we will help organisations meet data collection and quality standards.

Development is being led and managed by MBIE. The development and operation of NRIS is driven by a commitment to collaboration, co-governance and co-design. MBIE is working in partnership with the RS&I sector, including the Māori research community, to build a system that benefits all participants and users.

What information will be in NRIS?

NRIS will contain information about the inputs to, and outputs of, research, science and innovation (RS&I) as well as the context in which RS&I is conducted[footnoteRef:3]. [3: After CERIF – see “Research Information the CERIF approach” (section 4, Research information) downloaded 1 September 2017 from http://helios-eie.ekt.gr/EIE/bitstream/10442/13864/1/IJMSO_2014_CERIF_authorFinalVersion.pdf]

This includes information about:

· people, groups and organisations

· projects

· the funding environment

· facilities, equipment, and services

· events (such as scientific conferences and workshops or periods of observation or experiment)

· outputs and processes

· measurements and indicators including outputs, outcomes and impacts.

The information in NRIS excludes the actual results of research, science and innovation (ie data, copies of outputs etc). NRIS will, however, contain metadata on the activities and outputs. For example, NRIS will include information about who is doing a Master’s or PhD thesis and the topic of their research, but not the actual thesis and associated data. The metadata may include information on where to find the outputs of RS&I activities.

Where do I find NRIS documentation?

Three main sources of documentation describe NRIS

· NRIS Overview

· NRIS Conceptual Framework

· NRIS technical documentation

These documents are available at www.mbie.govt.nz search: ‘NRIS’

Their purpose and update schedule are set out in the following table:

Table 1 Purpose and Review Schedule for NRIS documents

Document

Purpose

Current Version

NRIS Overview

Overview of the purpose, benefits and design of NRIS

Release 1.1 – August 2018

NRIS Conceptual Framework

Concepts and high-level data transfer model for NRIS

Release 1 – October 2017

NRIS technical documentation

Technical information on the development and operation of NRIS, including data standards and security view

NRIS Data Specifications (December 2017, minor document updates May 2018)

Further releases on specific aspects of NRIS as they become available

What is in this document?

The focus of this document is to describe the complete initial set of data that can be supplied to NRIS, why it is required, and how that data may be logically structured for use.

This document describes the:

· data collection record structure – the forms of data that organisations will need to supply when they join NRIS

· logical data model for NRIS – how MBIE expects to structure the data held in NRIS for use

· Code Sets – details of code sets which are specific to NRIS

This document does not include:

· data related business rules

· information about how, and how often, records will be submitted to NRIS

· information about data security and access control

· a data collection implementation plan

· information about how code set updates and versioning will be managed

These topics will be addressed in 2018. This further technical documentation will be released as it becomes available.

This data specifications document is intended to be read alongside the NRIS Conceptual Framework.

What data and information does NRIS hold?

NRIS holds information about people and organisations within the RS&I sector, and their role(s) in relation to each other and to resources, awards, projects, and outputs.

NRIS will hold data relating to:

· Asset Pool (e.g. Fund) Management:

· resources available to support RS&I

· planned allocation activity (e.g. funding round)

· applications for use of those resources

· awards made to allocate resources to projects

· distribution of awarded resource(s)

· RS&I Management:

· awards of resources granted to support a project

· receipt of awarded resource(s)

· project planned outputs, activity and staffing

· distribution of awarded resource(s)

· project activity and status

· outputs

Data Collection Records

The entities and attributes to be supplied to NRIS by Asset Pool Managers and by RS&I Managers are described, including identification of the minimum data set for entity.

Sections 5 to 7 help organisations plan for the future by setting out the technical minimum data standards for data transfer for those who distribute resources, and those who receive resources. These minimum data standards will assist research collaborations such as Centres of Research Excellence (CoREs) and National Science Challenges (NSCs).

It is important to note that the minimum technical data standards specify the information which is technically mandatory. In some cases, data which is not technically mandatory may be mandatory for business reasons (‘business mandatory’). For example, in some cases information about successful applications may be required to be supplied to NRIS. Business mandatory data may vary between asset pools and planned distributions.

Data Collection Record

Technically Mandatory?

Asset Pool Manager

RS&I Manager

Asset Pool

Yes (if managing public funds)

X

Planned Distribution

No

X

Application

No

X

Application Review

No

X

Application Decision

No

X

Award Granted

Yes (if managing public funds)

X

Resource Distributed

Yes (if using public funds)

X

Project


X

Award Received


X

Resource Received


X

Output


X

Person Record

Yes

X

X

Organisation

Yes

X

X

Group (People or Organisation)

No

X

X

Data Collection Logical Data Model

The logical data model is a representation of the likely data mart view of the entities, attributes, and relationships held in NRIS. This model is derived from the conceptual model, reproduced in section 4.7 (refer to the conceptual framework for details). This is not the physical data model. NRIS uses a data vault and multiple data marts to store data and provide access to information.

Entities, Elements and Attributes

The key entities for NRIS are:

· Asset Pool (a Fund is a particular type of Asset Pool) : a collection of resources, managed by a single administrator, to be used to enable RS&I activities in order to achieve the specified purpose of the asset pool

· Award a formal agreement by an asset pool to supply resources for RS&I activity, either directly to a project or person (to deliver agreed output), or to another asset pool (to achieve an agreed outcome)

· Resource an asset which can be used to perform RS&I activities (e.g. money, data set access, infrastructure, research inputs)

· Project a set of planned, managed RS&I activities, intended to deliver output(s) which increase RS&I capability

· Outputa service or product produced as a result of RS&I activity

· Person an individual human being

· Organisation an organised group of people with a particular purpose, such as a business or government department

Information about awards and resources relates to both an asset pool (as the organisation granting or distributing resources) and the RS&I manager (as the recipient of the award, and of the distributed resources).

Code sets

The code sets specific to NRIS are specified in Sections 10 and 11.

Note that versioning of code sets will be addressed in later releases of this document.

MINISTRY OF BUSINESS, INNOVATION & EMPLOYMENT79NATIONAL RESEARCH INFORMATION SYSTEM: DATA SPECIFICATION

What information does NRIS hold?

Figure 1 NRIS Data and Access

Raw Data

The raw data vault contains the unit records supplied by organisations to NRIS. These records are initially stored in the staging data store, and once checked and accepted, the data is permanently stored in the raw data vault.

Business Data Vault

The business data vault contains structured data derived from the raw data via business rules. If new rules are added, or existing rules change, the business data vault can be populated with that data by processing the raw data again using the relevant rules.

Data Mart

A Data Mart contains reporting views of the business data, derived from the data in the business data vault, and tailored for the specific purpose and intended users of that Data Mart. One initial Data Mart is expected to be produced for NRIS to support end user data access. Additional Data Marts may be added for specific purposes (e.g. a simple overview Data Mart with a limited range of entities and attributes could be delivered for a group of users, or Data Mart which combines NRIS data with additional data from other sources for targeted analysis purposes).

The purpose of the data collected by NRIS

The relationship between each record collected for NRIS and the RS&I Domain Plan Data Questions:

NRIS Identifiers

Asset Pool

Asset Pool Planned Distribution

Application (Request for Resources)

Application Review


Award Granted


Project

Award Received

Resource Received

Output

Person Record

Organisation Record

Group (People or Organisations)

Data from NRIS a key input

Data Q1 What research is being done in NZ? What is the breakdown of total R&D expenditure (performing measure) on an annual basis by: (i) field of research; (ii) socioeconomic objective; (iii) research type; (iv) horizons; (v) performing institution; (vi) region where research conducted?

x

x

x

x

x

x

x

Data Q2 How much does the government provide for R&D in total, and how is this split by: (i) field of research; (ii) socioeconomic objective; (iii) research type; (iv) horizons; (v) research theme or government goal (including Vision Mātauranga); (vi) funder, funding programme, funding mechanism; (vii) performing institution, research provider type, researcher; (viii) region where research is conducted; (ix) benefitting region?

x

x

x

x

x

x

x

x

x

x

Data Q3 How much does the private sector (business, IROs and private non-profit) spend on R&D in total, and how is this split by: (i) field of research; (ii) socioeconomic objective; (iii) research type; (iv) horizons; (v) performing institution and industry sector; (vi) region where research is conducted?

x

x

x

x

x

x

Data Q4 How much funding for R&D comes from overseas (other governments, international organisations, foreign firms) in total, and how is this split by: (i) field of research; (ii) socioeconomic objective; (iii) research type; (iv) horizons; (v) performing institution; (vi) region where research is conducted?

x

x

x

x

x

x

Data Q5 How is government funding for R&D projects actually spent (including against its designated purpose)?

x

x

x

x

x

x

x

Data Q6 How much co-funding is leveraged for particular contracts, researchers, funding programmes, sectors, disciplines or research to particular socioeconomic objectives?

x

x

x

x

x

x

x

x

Data Q7 What support ($) does government provide directly for hubs and precincts as well as incubators?

x

x

x

x

x

x

x

x

x

Data Q8 What are the funding sources of R&D performed in CRIs and universities by (i) government sources; (ii) non-government domestic sources; and (iii) overseas?

x

x

x

x

x

x

x

x

x

Data Q11 What are the characteristics of researchers and organisations applying for research funding? For each fund, who are the principal investigators and proposed contracting research organisations and what is the amount of funding sought? Science leader/principal investigator broken down by: (i) field of research; (ii) age; (iii) gender; (iv) ethnicity; (v) affiliated institution and type; (vi) qualification details; (vii) career stage. Research proposal data broken down by: (i) industry sector; (ii) socioeconomic objective; (iii) research type; (iv) horizons; (v) research theme or government goal (including Vision Mātauranga); (vi) named researchers (proposed FTEs) and their IDs (Scopus, ORCID, NSN); (vii) proposed collaborations; (viii) length of project(s)?

x

x

x

x

x

x

x

x

x

Data Q12 What is the quantity and quality of R&D outputs of NZ-based researchers by: (i) field of research; (ii) socioeconomic objective; (iii) research type; (iv) horizons; (v) research theme or government goal (including Vision Mātauranga); (vi) funder, funding programme, funding mechanism; (vii) performing institution, research provider type; (viii) researcher characteristic; (ix) region where research is conducted?

x

x

x

x

x

x

x

x

x

x

Data Q13 What research capacity and capability exists in NZ? How many active researchers are there in NZ and how are they split by: (i) institution, industry sector, research provider type; (ii) career stage; (iii) field of research; (iv) qualification details (the level, place of study, and field of qualification); (v) funder, funding programme, funding mechanism; (vi) research project; (vii) age; (viii) gender; (ix) ethnicity?

x

x

x

x

x

x

Data Q15 What is the involvement and achievement of NZ students in STEM subjects? How is this changing over time? How is this split by: (i) age; (ii) gender; (iii) ethnicity; (iv) decile; (v) rural/urban split?

x

x

x

Data Q16 What are the post-study employment outcomes and career trajectories for Master’s and PhD graduates and what does this look like by: (i) age; (ii) gender; (iii) ethnicity?

x

x

x

Data Q17 What is the mobility of NZ’s researchers and what are the trends? What proportion and type of researcher (by ANZSRC field of research category) stay in NZ, go overseas, or return? What is the movement within the university and CRI sector and between public institutes and the private sector?

x

x

x

Data Q19 Who are the top and emerging researchers?

x

x

x

x

x

x

Data Q23 How much does the government spend on providing direct support to business innovation, excluding R&D?

x

x

x

x

x

x

x

x

x

Data Q26 What is the extent, nature and quality of collaboration between researchers, either in NZ or offshore (eg collaboration on joint R&D and innovation projects, co-authorship, co-invention in patents, contract R&D, exchanges, conference/event attendance)? Who is doing what with whom?

x

x

x

x

Data Q27 What is the extent, nature and quality of collaboration between researchers and end users (cut at project level), and between research institutions and end users?

x

x

x

x

x

x

Data Q28 How much resource do universities and research institutes allocate to knowledge exchange activities?

x

x

x

x

x

Data Q31 How much direct revenue is generated from the commercialisation of NZ research (eg patenting, licensing, spin-outs) and in what industry and field of research? Which researchers/research providers were responsible?

x

x

x

x

Data Q33 What is the level and types of engagement/communication between the science sector and the public?

x

x

x

Data Q34 What are the levels of engagement between researchers and Māori?

x

x

x

x

x

x

Data Q37 What are the costs of doing research (ie inputs) in NZ?

x

x

x

x

x

x

x

Data Q38 What are the transaction costs in the research system, including governance costs of particular funding mechanisms?

x

x

x

x

x

x

x

Will require information to be finalised in subsequent NRIS releases (eg use of outputs, infrastructure)

Data Q30 What are the adoption rates or ‘use’ rates of research outputs and knowledge exchange activities of researchers and scientists, such as participation on panels, round tables and assessments, engagement with policymakers in central and local government?

x

x

x

x

Data Q35 What is NZ’s physical infrastructure for research and what is its financial value?

Data Q36 What is the demand for research infrastructure from different sectors?

x

Data from NRIS supplements other existing or planned RS&I data sources

Data Q10 What is R&D as a percentage of revenue or added value in each industry (R&D intensity) and for each institution?

x

x

x

x

Data Q14 What STEM skills exist in NZ and what are the trends over time?

x

Data Q20 Who supervises research students?

x

x

Data Q21 What is the absorptive capacity of NZ business? What is BERD on an annual basis and what is the breakdown of BERD by: (i) firm size and by distribution (eg top 25, top 100 R&D spenders); (ii) industry; (iii) firm type; (iv) grant/non-grant recipients; (v) age of firm; (vi) length of R&D project?

x

x

x

Data Q24 What are the characteristics (eg investment in capital, level of exports, level of collaboration) of firms performing R&D and innovative firms? What is the performance (as measured by revenue, value-add, productivity) of firms performing R&D?

x

x

x

x

Data Q29 What are the citation rates of research outputs, including publications and patents, and who is doing the citing (cut by individuals, institutions, field of research, industry sector, domestic/international)?

x

x

x

x

Data Q32 What is the quality of commercialisation skills of NZ researchers, research providers and businesses?

Out of scope for NRIS

Data Q9 How much are industry sectors required to spend on R&D into specific topics (due to legislative requirements)? How much levy funding is spent on R&D and in which industry?

Data Q18 What is the level of managerial and entrepreneurial skills in NZ?

Data Q22 What are the innovation rates of NZ firms by: (i) firm size and by distribution; (ii) industry; (iii) firm type; (iv) grant/non-grant recipients; (v) age of firm? How much do firms spend on innovation?

Data Q25 What are the factors driving firms’ decisions on investment in R&D and who should perform it? What are the barriers to increasing investment in R&D?

Data Collection Record Structure

Sections 5-7 of this document describe the elements and key attributes for each entity for which data is collected. As NRIS develops, the elements and attributes will continue to be extended and updated. Where an element can be derived via calculation or by using existing elements, it has been excluded.

Each individual element has a definition, purpose, additional comments, and an indication of whether the information is technically mandatory.

If an element is technically mandatory, it must be supplied for the record to be accepted into the raw data vault. Business rules may require some data which is not technically mandatory to be supplied in specific circumstances – e.g. some funds distributing financial resources supplied by MBIE are currently required to supply information about successful applications. This can be described as ‘business mandatory’ data. Which data will be business mandatory depends on the agreements between the organisations who are involved in the distribution of resources.

Each data element has been defined according to a set of attributes that are based on ISO Standard 11179 Information Technology – Specification and standardization of data elements, 2003. These attributes, set out in the table below, describe the essential nature of each data element.

Term

Description/Guidance for completing

Item

A letter-number identifier for an element. The identifier is unique across the entire data specification. Whole numbers (1, 2, etc) are used for elements. Sub elements are identified as fractions of the whole number (1.1, 1.2, 1.3, etc).

Name

The name of the element.

Obligation

0..1 Optional, single value to be supplied

0..n Optional, up to n values can be supplied

0..* Optional, multiple values can be supplied

1 Mandatory, single value to be supplied

1..n Mandatory, up to n values can be supplied

1..* Mandatory, multiple values can be supplied

Definition

A statement that expresses the essential nature of the element and its differentiation from all other elements.

Additional Information

(Comments) Additional guidance to inform the use of the element.

Purpose (Reason)

Details of why the element is necessary.

Sub Element Obligations

When a set of attributes for an element may be supplied multiple times (e.g. project personnel identifiers), the attribute set is listed at the end of the element table, and appears in bold.

The attribute set is specified in a sub element table following the element table.

The obligation for the entire sub element is documented in the element table. The obligation for each attribute of the sub element is then documented in the sub element table.

Data Collection – Code Sets and User-specified information

In some specific areas for data collection, finding a single, comprehensive, and appropriate code set for describing data is difficult. Examples include personnel roles on projects and output types. In these cases, a custom code set is likely to impose significant compliance costs on data providers and limit the information data providers can supply.

One approach to this problem is to combine one or more standard code sets, and collect an optional descriptive field with the organisation’s current description. The code set values can be used to group and summarise data. The descriptive values can be used for analysis and research, findings from which can then be used to develop a more accurate code set.

This approach will also allow any group with values not effectively captured by an existing code set to ensure their data can be captured for future use, analysis, and research.

This approach is proposed for two particular data collection areas:

· Personnel Role – there are many subtly different roles people play in the RS&I sector. Rather than limit the roles available to a code set, a combination of a relatively high level standardised role code set (for rollup and reporting) and a descriptive field for the actual role title assigned by the organisation involved is proposed.

· Output Type – multiple code sets are in use in the sector, and different types of RS&I activity have significantly different types of output (sometimes described in different ways). Rather than attempt to create a new, definitive code set, the proposed approach is to use a combination of the ORCID Output Type code set (mandatory), and the TEC code set (optional for those who currently use TEC output type), and a descriptive field for the output type as described by the organisation involved.

This approach may also be taken for data collection for other data elements in the future.

ANZSRC Classifications

Applications and projects will be expected to supply ANZSRC codes for:

· Type of Activity (TOA)

· Fields of Research (FOR)

· Socio-economic Objective (SEO)

Data Collection – Identifiers

Three forms of identifier are used in data collection:

· NRIS identifiers – persistent, unique to NRIS identifiers used for data collection and data management

· Local identifier – a persistent, unique (to the data provider) identifier used by that data provider for an entity (e.g. the Project ID used by a university to identify a specific project)

· External identifier – a persistent, unique identifier used by multiple data providers and recognised by NRIS. This includes a range of sector identifiers (e.g. ORCiD, RAiD, NZBN), and allows for a range of identifiers to be used over time

NRIS identifiers must be used to identify the data provider and organisation supplying data. This enables NRIS to clearly identify the original source of data, and the organisation who provided the data to NRIS.

Local identifiers enable the linking of data supplied by a single data provider over time.

External identifiers allow the linking of data across multiple data providers.

RS&I Concept Model (source: NRIS Conceptual Framework)

This model describes the core concepts within the RS&I sector, and the relationships between those concepts. For a complete description of the concept model, refer to the NRIS Conceptual Framework

Who Provides NRIS Data

There are two primary data provider roles:

Asset Pool Managers: Organisations responsible for administration of an asset pool provide data about that asset pool, awards made, and resources distributed. They can also supply information about planned distribution of resources, applications, reviews, and decisions.

Some asset pools may resource only RS&I projects, others may resource projects which include RS&I and non-RS&I activities. Only RS&I related data is to be supplied to NRIS.

RS&I Managers: Organisations responsible for administration of RS&I activities provide data about awards received, projects, and outputs.

Both sets of data providers will need to supply information about people and organisations who are involved in awarding resources, or performing RS&I activities.

One organisation may act as both an Asset Pool manager, and as an RS&I Manager. Note that it is possible one organisation may supply data to NRIS (the data provider) on behalf of another organisation (the data owner).

Worked Example – Endeavour Fund

The model below shows a view of the allocation of resources from the Endeavour Fund to a variety of projects, one of which also receives an award from another (non-NRIS) asset pool, and another project subcontracts some of the RS&I activity to be performed by their project. A variety of outputs are produced, some directly resulting from a single project, others as a result of multiple projects.

In order to build this picture, the Endeavour Fund and the funded projects need to supply information to NRIS. The diagrams on the following pages (4.8.1 to 4.8.4) explore this in more detail.

Asset Pool Data

The Endeavour Fund needs to supply information about the awards that have been granted, and the resources which have been distributed.

The Fund may also supply information about the applications received for resources, and the decisions made when reviewing those applications.

Note: In some cases, asset pools will award resources to another asset pool, rather than a project (“devolving” resources) and that asset pool will then award resources to a project.

Project A Data

Project A needs to supply information about the project, the award the project has received from the Endeavour Fund, the resources received, and the related outputs produced. Project A may also in future supply information about the award from the Fonterra Research Fund (see main diagram 4.8).

Project B, C1, and X Data

Project B, C1 and X need to supply information about the project, the award the project has received, the resources the project has received, and the related outputs produced.

Project C2 Data

Project C2 needs to supply information about the project, the award the project has received and made(the subcontract issued), the resources received and distributed, and the related outputs produced.

Business Processes and the availability of data for NRIS

This model shows a high level view of the processes involved in allocating and using resources in the RS&I sector.

1. Set up Asset Pool For the Endeavour Fund, the allocation process is contestable, and guidelines are issued for applications.

2. Applications For the Endeavour Fund, processing applications for resources takes two forms, one for Smart Ideas and the other for Research Programmes:

3. Complete Project For each Project, the activities required must be planned, undertaken, and resources requested as agreed in the award contract. Outputs may be delivered by the project, or at a later date as knowledge is disseminated.

,

Asset Pool allocation of Resources

NRIS assumes a single asset pool is responsible for granting an award. In some cases, the resources being granted may be sourced from multiple asset pools. In this case, one of two approaches can be used:

· One or more asset pool(s) devolve resources to another asset pool, and that asset pool then grants the award; OR

· Each asset pool providing resources grants an individual award

The first instance should only be used when the asset pool receiving the devolved resources has complete control over the distribution of the resources.

Data Collection for Asset Pool (e.g. Fund) Managers

In order to populate NRIS, an organisation managing one or more asset pools can supply the following records to describe each asset pool and the resources it controls, applications for resources received, awards made, and resources distributed to recipients.

Only records relating to RS&I activity need to be supplied. For some asset pools, only a portion of an award will be used for RS&I activity (e.g. MPI awards may provide resources for a mixture of RS&I activity and operational activities). In this case, only the RS&I component of the award should be supplied to NRIS.

Technically mandatory data must be supplied for a record to be accepted by NRIS. Business rules may require some data which is not technically mandatory to be supplied in specific circumstances – e.g. some funds distributing financial resources supplied by MBIE are often currently required to supply information about successful applications. This can be described as ‘business mandatory’ data. Which data will be business mandatory depends on the agreements between the organisations supplying and distributing resources.

Asset Pool perspective of the RS&I sector:

Record

Required? (if managing public funds)

Technically Mandatory Information

Technically Optional Information*

Asset Pool

Yes

· Identifiers^

· Name

· Additional Names

· Establishment Date

· Disestablishment Date

· Resources

Planned Distribution

No

· Identifiers^

· Allocation Process

· Award Completion Date

· Name

· Distribution Period(s)

· Resources to Distribute

· Conditions of Use

Application

No

· Identifiers^

· Application Type

· Application Phase

· Goal

· Primary Person

· Affiliated Organisation

· Submitting Organisation External ID

· Personnel

· Resources

· Activities

Application Review

No

· Identifiers^

· Review Date

· Review Method

· Review Group

· Host Organisation

· Reviewers

· Review Score Range (min/max)

· Review Score

· Recommendation


No

· Identifiers^

· Decision Date

· Decision Type

· Decision

· Additional Information

· Decision Group

· Decision Makers

Award Granted

Yes

· Identifiers^

· Title

· Description

· Start Date

· End Date

· Award Status

· Award Type

· Admin. Organisation

· Additional Organisations

· Personnel

· Resources

· Publish Sector Research Alignment


Yes

· Identifiers^

· Recipient Type

· Resource

· Type

· Quantity

· Measure

· Distribution Basis

· Start Date

· End Date

· Resource Value (NZD)

*Business rules for a particular asset pool may mean some of these attributes are mandatory for business reasons.

^Three forms of identifier are used in data collection:

· NRIS identifier – a persistent, unique to NRIS identifier used for data collection and data management

· Local identifier – a persistent, unique (to the data provider) identifier used by that data provider for an entity (e.g. the Project ID used by a university to identify a specific project)

· External identifier – a persistent, unique identifier used by multiple data providers and recognised by NRIS. This includes a range of sector identifiers (e.g. ORCiD, RAiD, NZBN), and allows for a range of identifiers to be used over time

NRIS Identifiers

The following identifiers must be included with every asset pool related record supplied to NRIS.

For an organisation submitting data for themselves, no data owner identifier is required.

For an organisation submitting data on behalf of another organisation, the data owner identifier must be supplied.

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

0.1

Data Provider ID

1

The NRIS identifier for the organisation submitting the record

This identifier is supplied by the NRIS administrator

To facilitate NRIS data linking

0.2

Data Owner ID

0..1

The NRIS identifier for the organisation administering the asset pool

This identifier is supplied by the NRIS administrator


Asset Pool (M if distributing public funds)

The asset pool record identifies and names an asset pool, and may include information about resources controlled by that asset pool.

It is mandatory for every asset pool to supply an identifier and at least one name for the asset pool. In addition, information can be supplied about the time period over which the asset pool is active, and the resources controlled by the asset pool.

Asset Pool records are only supplied to NRIS when change occurs, e.g. a new or changed name, or the addition of new resources to the pool.

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

1.1

Local Asset Pool ID

1

The local identifier for this asset pool

This identifier is generated by the data provider


1.2

Establishment Date

0..1

The date the asset pool was established

1.3

Disestablishment Date

0..1

The date the asset pool was disestablished

1.4

Purpose

0..1

The reason for the existence of the asset pool

An asset pool may be publicly funded, in which case the purpose will be specified in the appropriation. For private sector asset pools, this should briefly explain why the asset pool has been created

To provide information about the purposes for which resources are allocated within the RS&I sector

1.91

Asset Pool Name

1..*

The name or title of the asset pool (e.g. fund or scheme)

Refer to Section 5.2.1

1.92

NZ Public Sector Financial Resource

0..*

Financial resources controlled by this asset pool provided by the public sector


1.93

Other Resource

0..*

All resources controlled by this asset pool provided by the private sector, or the non NZ public sector


Note – The resources controlled by an asset pool are not necessarily the resources distributed by that asset pool (e.g. an asset pool may control a capital fund and distribute the earnings of that fund)

Asset Pool | Name

At least one name must be supplied for an asset pool. It is expected most asset pools will supply at least a short name (for use in reporting) and a legal and/or known as name.

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

1.91.1

Asset Pool Name

1

The name used for this asset pool

Enter the name as it should be displayed

For presentation when selecting and viewing data

1.91.2

Asset Pool Name Type

1

The type of name being supplied

Code Set | Organisation Name Type

An asset pool may have multiple names, e.g. a short name for use in report data, a legal name, and a Māori name. Identifying the name type allows the most appropriate name to be used

1.91.3

Asset Pool Name start date

0..1

The date on which this name first came into use

To enable accurate representation of the name over time

1.91.4

Asset Pool Name end date

0..1

The date on which this name ceased to be in use

To enable accurate representation of the name over time

1.91.5

Asset Pool Name Comment

0..1

Short additional comment

To allow supplementary information to be stored for reference

Asset Pool | Public Sector Financial Resource

It is optional to supply information about financial resources supplied by the New Zealand Government which are controlled by the asset pool.

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

1.92.1

Appropriation

1

The appropriation from which the funds are received

To link awards back to appropriations and therefore the effects of funding of each appropriation

Code Set | Appropriation

To link awards back to appropriations and therefore the effects of funding of each appropriation

1.92.2

Appropriation Period

1

The period for which the appropriation is valid

Code Set | Appropriation Period

1.92.3

Vote

1

The Vote containing the appropriation

A Vote is a grouping of one or more appropriations that are the responsibility of one or more Ministers of the Crown and are administered by one department

Code Set | Vote

To capture the original source of government funding

1.92.4

Scope

1

The legal boundary of use of the funds

A short description of the scope of use of the funds

1.92.5

Amount

1

The financial value of the resource being supplied

All financial values must be supplied excluding GST

1.92.6

Estimate Type

1

The type of appropriation estimate

Code Set | Appropriation Estimate Type

To determine whether the amount is final

1.92.7

Start Year

0..1

The year in which the appropriation starts

Appropriations are granted from 1 July in this year

1.92.8

End Year

0..1

The year in which the appropriation ends

Appropriations end on 30 June in this year

Asset Pool | Other Resource

It is optional to supply information about financial and non-financial resources supplied by organisations or individuals which are controlled by the asset pool. When supplying information, it is optional to identify the specific organisation or individual contributing the resources to the asset pool.

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

1.93.1

Supplier Organisation Type

1

The type of organisation

Code Set | Organisation Type

To inform organisation demographics

1.93.2

Supplier Organisation Industry

0..1

The type of industry in which the supplier organisation is active

ANZSIC 2006 Level 2

Identify the industries supplying resources for RS&I activity

1.93.3

Supplier Organisation Identifier Type

0..1

The type of identifier used to identify the organisation contributing resources to the asset pool

Code Set | Organisation Identifier Type

1.93.4

Supplier Organisation Identifier

0..1

The identifier value for the organisation contributing resources to the asset pool

A local or external identifier can be supplied

1.93.5

Funding Person Identifier Type

0..1

The type of identifier used to identify the person supplying the resources

Code Set | Person Identifier Type

Identify individuals supplying resources for RS&I activity

1.93.6

Funding Person Identifier

0..1

The identifier value for the person supplying the resources

A local or external identifier can be supplied

1.93.7

Purpose

0..1

The goal or purpose intended to be achieved as a result of use of the resources

A brief description of the purpose(s) for which the resources may be used

1.93.8

Scope

0..1

Limitations on the allocation or use of the resources

A brief description of the limitations on the use of the resources

1.93.9

Resource Type

1

The type of resource being supplied

Code Set | Resource Type

1.93.10

Minimum Resource Quantity

1

The minimum quantity of the resource to be distributed

If a fixed quantity is available specify the quantity as the minimum quantity and do not populate the maximum quantity

1.93.11

Maximum Resource Quantity

0..1

The maximum quantity of the resource to be distributed

If the resource quantity is variable, populate both the minimum and maximum quantity values

1.93.12

Resource Measure

1

The measure of the resource being supplied

Code Set | Resource Measure

1.93.13

Resource Value

0..1

The financial value of the resource being supplied in NZ dollars at the time the record is submitted

In some cases (e.g. provision of facilities, allocation of FTE) a resource value can be specified. In some cases (e.g. use of a restricted data set) a value may not be able to be specified

1.93.14

Start Date

0..1

The start date of the period for which the resources are available

1.93.15

End Date

0..1

The end date of the period for which the resources are available

Asset Pool Planned Distribution (O)

The asset pool planned distribution record describes how the asset pool plans to allocate resources over a particular timeframe. This may be a contestable process (with applications, reviews, and decisions leading to awards) or a negotiated or on-demand process.

Any asset pool which regularly distributes resources, and plans that distribution (ie has a specific period for applications or distribution of resources) can supply the following information to NRIS to describe their process. An asset pool which negotiates awards on an irregular basis may not need to supply this information or may set up a single planned distribution for the expected lifespan of the asset pool.

If an asset pool planned distribution record is supplied to NRIS, information about the allocation method and award completion date is technically mandatory.

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

2.1

Local Asset Pool ID

1




2.2

Local Distribution ID

1

The local identifier assigned by the asset pool administrator for this planned distribution of resources


A planned distribution is any time-bound plan to distribute specified resources, e.g. a funding round, or a calendar year, or some other period


2.3

Distribution Name

0..1

The name used to describe this planned distribution of resources (e.g. MacGyver Fund 2016-18 Round)

2.4

Allocation Method

1

The method which will be used to allocate resources

Code Set | Allocation Method

2.5

Expected Award Determination Date

0..1

The date by which the allocation award decisions are expected to have been made

A planned distribution which is allocated on demand or by negotiation may not have an expected award determination date

2.91

Distribution Period

0..*

The periods of planned activity


2.92

Resources to Distribute

0..*

The resources which will be available for distribution


2.93

Conditions

0..*

Conditions applicable to distribution of resources


Planned Distribution | Distribution Period

Information about the timing of the activities required to distribute resources (e.g. call for applications, review, notification of award).

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

2.91.1

Period Type

1

The type of activity being undertaken in the period

Code Set | Distribution Period Type

To understand the activity being undertaken in the period

2.91.2

Period Start Date

1

The first date in the period

2.91.3

Period End Date

1

The last date in the period

2.91.4

Period Comment

0..1

Short additional comment

Additional information that may be of use to data users

Planned Distribution | Resources to Distribute

Information about the resources available to an asset pool plan for distribution to applicants, noting it is possible not all available resources will be allocated.

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

2.92.1

Resource Type

1

The type of resource to be distributed


2.92.2


1



2.92.3


0..1



2.92.4

Resource Measure

1

The measure of the resource to be distributed


Planned Distribution | Distribution Condition

Information about any constraints on distribution of resources which limit the award (e.g. match funding required, actual costs only).

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

2.93.1

Constraint Type

1

The type of constraint applicable to awards made via this distribution of resources

Code Set | Constraint Type

2.93.2

Constraint

1

The specific constraint on this distribution of resources

A brief description of the constraint (e.g. No more than 10% of award to be used for capital costs)

2.93.3

Constraint additional information

0..1

Supplementary information


Application (Request for Resources) (O)

The application record describes a particular request for resources from an asset pool, including who made the application, what kind of resources were requested, why they were requested, the people involved in the proposed work, and metadata about the proposal.

When information about an application made by an individual or organisation for resources is supplied to NRIS, a description of the application, the stage of the application, the applicant, and the lead practitioner for organisational applications must be included. Information about the personnel, resources, and activities may also be supplied.

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

3.1

Local Asset Pool ID

1




3.2


0..1

The local identifier for the planned distribution of resources


If the application is for a planned distribution of resources, the Distribution ID should be supplied


3.3

Local Application ID

1

The local identifier for the request for resources



3.4

Prior Local Application ID

0..1

The local identifier for a prior application

If multiple applications are submitted, identify the prior application (e.g. a prior version of the current application, or an application from an earlier stage in the allocation process)


3.5

Application Type

1

Whether this application is an individual or organisational application for resources

Code Set | Application Type

3.6

Application Phase

1

The stage of the application

Code Set | Application Phase

3.7

Proposal Title

0..1

The title of the proposal

e.g. New model of sea temperatures

3.8

Outcome Goal

0..1

The goal outcome delivering the proposed outputs will support achieving

3.9

Applicant Person Identifier Type

0..1

The type of identifier used to identify the applicant (individual application only)


Mandatory if application type = I

3.10

Applicant Person Identifier

0..1

The identifier value for the applicant (individual application only)

Mandatory if application type = I

3.11

Applicant Organisation Identifier Type

0..1

The type of identifier used to identify the applicant organisation (organisational application only)


Mandatory if application type = O or M

3.12

Applicant Organisation Identifier Value

0..1

The identifier value for the applicant organisation (organisational application only)

Mandatory if application type = O or M

3.13

Submitting Organisation Identifier Type

0..1

The type of identifier used to identify the organisation submitting the application (when one organisation submits an application on the organisation or person requesting resources)


If an organisation submits an application on behalf of a person or another organisation, this information must be supplied

3.14

Submitting Organisation Identifier Value

0..1

The identifier value for the organisation submitting the application

If an organisation submits an application on behalf of a person or another organisation, this information must be supplied

3.15

Affiliated Organisation Group ID

0..1

The identifier for a group of organisations involved in the application (e.g. consortia, research partnership)

Refer to Section 7.4 Group

3.91

Proposed Personnel

0..*

The identifiers for the proposed personnel specified in the application


3.92

Requested Resource

0..*

The resources requested in the application


3.93

Proposal

0..*

The proposal(s) associated with the application


3.94

ANZSRC Type of Activity Distribution

1..6

The distribution of resources by ANZSRC Activity code


3.95

ANZSRC Field of Research Distribution

1..5

The distribution of resources by ANZSRC Field of Research


3.96

ANZSRC Socioeconomic Objective Distribution

1..5

The distribution of resources by ANZSRC Socioeconomic Objective


1.1.2. Application | Proposed Personnel

Information about the personnel identified in the application, and their role on the proposed project. For an organisational application, the lead practitioner must be supplied.

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

3.91.1

Person Identifier Type

1

The type of identifier used to identify the person


3.91.2

Person Identifier Value

1

The identifier value for the person

3.91.3

Role

1

The role the person performs

Code Set | Personnel Role

Application | Requested Resource

Information about the resources requested in the application, and the planned period of use.

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

3.92.1

Resource Type

1



3.92.2


1



3.92.3


1



3.92.4

Resource Measure

1



3.92.5

Resource Value

0..1


All financial values must supplied excluding GST

3.92.6

Start Date

0..1

The anticipated start of the period of use of the resources

3.92.7

End Date

0..1

The anticipated end of the period of use of the resources

1.1.3. Application | Proposal

Information about the personnel identified in the application, and their role on the proposed project. For an organisational application, the lead practitioner must be supplied.

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

3.93.1

Local Proposal ID

0..1

The local identifier for the proposal associated with the application (if relevant)

If an independently identifiable proposal is part of the application, include this identifier

3.93.2

Proposal Title

0..1

The title of the proposal

e.g. New model of sea temperatures

Application | ANZSRC Type of Activity Distribution

Information about the planned use of resources by ANZSRC.

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

3.94.1

P6

ANZSRC Type of Activity

1

The Type of Activity according to the ANZSRC over the life of the project

Code Set | ANZSRC

See ANZSRC classification. This is determined by the overall intention or focus of the project at its outset. In general, an application will fall under one Type of Activity, but in some instances an application may fall under more than one Type of Activity

To understand the level of resources devoted to the different Types of Activity. These are important when designing policy and investment parameters

3.94.2

P6.1

Share of ANZSRC Type of Activity

1

Estimate of the proportion of each Type of Activity code within each project

Shares across all Type of Activity responses should sum to one for an application

To derive the level of resources devoted to the different Types of Activity

Application| ANZSRC Field of Research Distribution

Information about the distribution of project activity by ANZSRC Field of Research.

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

3.95.1

P7

ANZSRC Field of Research (6 digit)

1

The field of research according to the ANZSRC over the life of the project

Code Set | ANZSRC

See ANZSRC classification. This is determined by the overall intention or focus of the project at its outset

To capture the scope and reach of the project according to the 6 digit FoR classification. Input measures by FoR are needed to understand the balance of investments by field of research, identify collaboration opportunities, and to link inputs and outputs by fields of research

3.95.2

P7.1

Share of ANZSRC Field of Research (6 digit)

1

Estimate of the proportion of each Field of Research code within each project

Shares across all FoR responses should sum to one for a project

To derive the level of resources devoted to the different Fields of Research

Application| ANZSRC Socioeconomic Objective

Information about the distribution of project activity by ANZSRC socio-economic objective.

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

3.96.1

P8

ANZSRC Socio-Economic Objective (6 digit)

1

The socio-economic objective of the project according to the ANZSRC over the life of the project

Code Set | ANZSRC

See ANZSRC classification. Determined by the overall intention or focus of the project at its outset

To capture the scope and reach of the project according to the 6 digit SEO classification. Input data by SEO is needed to demonstrate effort in particular areas. SEO classifications can provide an indication of expected end users

3.96.2

P8.1

Share of ANZSRC Socio-Economic Objective (6 digit)

1

Estimate of the proportion of each Socio-Economic Objective code within each project

Shares across all SEOs. Responses should sum to one for a project

To derive the level of resources devoted to the different Socioeconomic objectives

Application Review (O)

The application review record describes the output of reviewing an application, and who is involved in completing the review.

When information about a review is supplied to NRIS, information about the date, type and method of review must be supplied. Information about the reviewers, scoring, and any recommendations may also be supplied.

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

4.1


1

The local identifier for the application



4.2

Local Review ID

1

The local identifier for a prior review of this application



4.3

Assignment Date

0..1

The date the review was assigned

The date the review was allocated for review to be completed

4.4

Review Date

1

The date the review output(s) were recorded

4.5

Prior Local Review ID

0..1




4.6

Review Method

1

The method used to review the application

Code Set | Review Method

4.7

Review Score

0..1

The overall review score (e.g. aggregated score of the group of reviewers)

4.8

Review Score Minimum

0..1

The minimum possible score for a review

Must be supplied if a score is supplied

Enables interpretation of the review score

4.9

Review Score Maximum

0..1

The maximum possible score for a review



4.10

Review Outcome

0..1

The recommended outcome of the review

Code Set | Review Outcome

4.11

Review Group ID

0..1

The identifier value for the review group


4.12

Host Organisation Identifier Type

0..1

The type of identifier used to identify the organisation managing and/or hosting the review process


Identify the host organisation for the review

4.13

Host Organisation Identifier Value

0..1

The identifier value for this organisation

4.91

Reviewers

0..*

The individual reviewers and their review output


Application Review | Reviewers

Information about an individual reviewer of an application.

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

4.91.1


1

The type of identifier used to identify the reviewer


4.91.2


1

The identifier value for the reviewer

4.91.3

Lead Reviewer Flag

1

Whether this person is the lead reviewer for this application

4.91.4

Review Score

0..1

The individual review score

4.91.5

Review Score Minimum

0..1

The minimum possible score for a review



4.91.6

Review Score Maximum

0..1

The maximum possible score for a review



Application Decision (O)

The application decision record describes the decision made about an application, and who is involved in making the decision.

When information about a decision is supplied to NRIS, information about the date, and decision must be supplied. Information about the decision makers may also be supplied.

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

5.1


1

The local identifier for the application record



5.2

Local Decision ID

1

The local identifier for the decision record



5.3

Prior Local Decision ID

0..1


If a decision is reviewed, the prior application decision may be identified (e.g. if the decision was Not eligible, but new information has been supplied and a new decision has been made)


5.4

Decision Date

1

The date the review output(s) were recorded

5.7

Decision

1

The decision made about the application

Code Set | Application Decision

5.8


0..1

Supplementary information


5.9

Decision Group

0..1

The identifier value for the review group


5.91

Decision Makers

0..*

The individual decision makers within the group


Decision Makers

Information about the individuals contributing to a decision, and their role.

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

5.91.1


1

The type of identifier used to identify the decision maker


5.91.2


1

The identifier value for the decision maker

5.91.3

Lead Decision Maker Flag

1

Whether this person is the lead decision maker for this application

Award Granted (M if distributing public funds)

The award granted record describes resources granted via an award by an asset pool to an applicant or another asset pool.

When information about an award is supplied to NRIS, information about the asset pool, the recipient, the award, and the resources is required. Additional information about the application, the personnel, and type of activities may also be supplied.

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

6.1

Local Asset Pool ID

1

The local identifier for this asset pool.



6.2


0..1

The local identifier for this planned distribution of resources



6.3


0..1

The local identifier for the application

If an award has been allocated without an application (e.g. uncontested sub-contract) no application ID is required.


6.4

Local Award ID

1

The local identifier for this award



6.5

Parent Local Award ID

0..1

The local identifier for the parent award of this award

If an award is a sub-contract, the parent Award ID should be supplied.


6.6

Local Contract ID

1

The unique identifier for the contract for this award


6.7

Parent Local Contract ID

0..1

The local identifier for the parent contract of this contract

If an award is a sub-contract, the parent Contract ID should be supplied.


6.8

Award Title

1

The short headline description of this award

This should be as stated in the contract

To communicate the nature of the award

6.9

PA4

Award Description

1

The brief description of the award that is understandable by an informed but non-specialist reader (e.g. a public statement)

This may be the description of the expected outcomes of the award or, in the case of an award funding a single project, the project's description

To understand what the award is about, what the award seeks to achieve, and enable search functionality

6.10

PA10

Award Start Date

1

Start date as indicated in award agreement or most recent variation

To understand when financial contributions to the system are made

6.11

PA11

Award End Date

1

End date as indicated in award agreement or most recent 6.7 variation

To understand when financial contributions to the system are made

6.12

PA12

Award Status

1

The status of the award

Code Set | Status

To identify when awards are actively being utilised

6.13

Award Type

1

Whether this award has been made to an individual, organisation, or asset pool

Code Set | Application/Award Type

To identify whether resources are being devolved or allocated to proposed projects

6.14

Asset Pool Recipient Identifier Type

0..1

The type of identifier used for the recipient asset pool

This may be a local ID or and NRIS ID

This must be supplied if the award is devolving resources from one asset pool to another

6.15

Asset Pool Recipient Identifier

0..1

The identifier value for the recipient asset pool

6.91

Award Organisation

1..*

The identifiers and roles for the organisations party to the award


6.92

Agreed Personnel

0..*

The identifiers for the agreed personnel specified in the award


6.93

Allocated Resource

0..*

The allocated resources specified in the award


6.94

ANZSRC Type of Activity Distribution

1..6

The distribution of resources by ANZSRC Activity code


6.95

ANZSRC Field of Research Distribution

1..5

The distribution of resources by ANZSRC Field of Research


6.96

ANZSRC Socio-economic Objective Distribution

1..5

The distribution of resources by ANZSRC Socio-economic Objective


6.97

Public Sector Research Alignment

0..n

Project alignment with public sector research themes


Award Granted | Organisation

Information about the organisations connected to an award, and their role in relation to that award.

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

6.91.1

Organisation Identifier Type

1

The type of identifier used to identify this organisation


To identify the different organisations involved in the award, and their role

6.91.2

Organisation Identifier Value

1

The identifier value for this organisation

6.91.3

Organisation Role

1

The role of the organisation in relation to the award

Code Set | Organisation Project Role

Award Granted | Agreed Personnel

Information about the individuals assigned to the project, and their role on that project.

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

6.92.1


1

The type of identifier used to identify the person


6.92.2


1

The identifier value for the person

6.92.3

Role

1

The role the person will fill

Code Set | Personnel (Project) Role

6.92.3

Local Role Description

0..1

The position title for this person on this project

Free text

To provide information for approved research and ongoing code set analysis

Award Granted | Allocated Resource

Information about the resources (financial and other) granted in the award, and any constraints on their use.

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

6.93.1

Local Resource ID

1

The local identifier for this resource



6.93.2

Resource Type

1



6.93.3


1



6.93.4


0..1



6.93.5

Resource Measure

1



6.93.6

Resource Value

0..1


All financial values must supplied excluding GST

In some cases (e.g. provision of facilities, allocation of FTE) a resource value can be specified. In some cases (e.g. use of a restricted data set) a value may not be able to be specified

6.93.7

Start Date

1

The agreed start of the period of use of the resources

6.93.8

End Date

1

The agreed end of the period of use of the resources

6.93.91

Constraint

0..*

Constraint(s) on use of resources

e.g. capital vs operational expenditure, maximum administrative utilisation, requirements for matching awards from other organisations, data access


Award Granted | Allocated Resources | Constraints

Information about constraints that apply to use of a particular resource.

Item

Item (Mar 17)

Name

Obl.

Definition


Reason

6.93.91.1

Constraint Type

1

The type of constraint applied to the resource

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