Electronic Research Administration

1
eRA CommonsPost-submission Functionality
Scarlett Gibb eRA Commons Customer Relationship
Manager Joe Schumaker eRA Communication
Specialist

• Electronic Research Administration
• Office of Extramural Research
• National Institutes of Health
• June 2012

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Todays Post-submission Functionality Topics

• Using the eRA Commons
• When Will I Use eRA Commons?
• Status
• Just-in-Time (JIT)
• Notice of Award (NoA)
• Administrative Supplements
• No-cost Extension (NCE)
• Progress Reports (eSNAP RPPR)
• Federal Financial Report (FFR)
• Financial Conflict of Interest (FCOI)
• xTrain
• Closeout
• Resources

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Using the eRA Commons
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Electronic Interaction Points
Check Review Assignment
Submit Pre-award Information
eRA Commons
Check Review Outcome
Prepare/Submit Post-award Reports
CLOSEOUT GRANTS
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Status
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Overview of Status

• Status allows Signing Officials, Principal
  Investigators, and their delegates to perform a
  number of functions, which are based on the
  role(s) associated with their Commons account.
• Track the status of grant applications through
  the submission process
• View applications, Notices of Award, and other
  key documents
• Perform several post-submission and post-award
  functions

Status is your link to the action!
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Status ViewsPI and SO
Principal Investigators can view their
Recent/Pending eSubmissions or List of
Applications/Grants.
Signing Officials can search for/view all
submissions for their institution.
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Status ResultGeneral Search Screen
Select the Application ID link to view detailed
status information for that particular
application.
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Review Info on Status Information Screen
Primary Institute or Center assignment
Study Section assignment
Key contact information
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Review Outcome on Status Information Screen
Only the PI can view Summary Statement, Priority
Score and Percentile information.
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Hands-on Exercise Accessing eRA Commons

• 1. Click on the eRA Commons Demo shortcut on your
  computers desktop. If the short is unavailable,
  enter the following URL into an internet browser
• eRA Commons Demo (non-production environment)
  https//public.uat.era.nih.gov/commons/
• 2. Your handouts include a PIs username and
  password. Enter the username and password into
  the appropriate fields under Commons Login.
• Note eRA Commons Password is case-sensitive.

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Hands-on Exercise Status

• 1. Identify a grant on your Status Result List
  of Applications Search results list. Click on the
  Grant Number link in the Application ID column.
• 2. Locate the link for application. Click on the
  link to view the application.

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Just-in-Time (JIT)
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Overview of Just-in-Time (JIT)

• The JIT feature allows an applicant organization
  to submit additional grant application
  information after the completion of the peer
  review, and prior to funding.
• Applicants should never submit JIT info until
  specifically requested to do so by NIH. A JIT
  link or request from NIH are not indications that
  a grant award will be made.
• Other Support File, Budget Upload, Other Upload,
  Institutional Review Board (IRB) Date, Human
  Subject Education
• PD/PI can save info in Commons, but only SO can
  submit JIT info to NIH
• Must be PDF format

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Overview of Just-in-Time (JIT)

• NEW POLICY FOR JUST IN TIME!
• New Electronic Submission Policy
• Applicants are required to submit their
  information using the JIT feature of the eRA
  Commons at least 60 days before the applicants
  proposed project period start date (or sooner if
  requested by the IC). If the requested JIT
  information is not submitted, funding may be
  delayed and the Project Director(s)/Principal
  Investigator(s) and Signing Official may be
  contacted directly requesting prompt submission
  of timely information.  
• See Guide Notice NOT-OD-12-101
• http//grants.nih.gov/grants/guide/notice-files/NO
  T-OD-12-101.html

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JIT Link on Status Result Screen (SO View)
Select JIT link.
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Just-in-Time (JIT) Screen (PI View)

• Other Support documentation is required. It is
  provided in a PDF attachment. Use the Import
  button to begin the upload.

IRB approval date should be within the last 12
months.
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Hands-on Exercise Just-in-Time

• 1. Identify a grant on your Status results list
  with a JIT link in the Action column. Click on
  the JIT link.
• 2. Upload the Other Support File provided in the
  Workshop Computers folder on your desktop.
• 3. Upload the Budget Upload file provided in the
  Workshop Computers folder on your desktop.
• 4. Provide a date in the IRB Date field. Remember
  that the date must be within the past 12 months.
• 5. Provide some text in the Human Subject
  Education field. Click Save.

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Notice of Award (NoA)
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StatusNotice of Award (NoA)

• The Notice of Award is the official document
  notifying the grantee and others that a grant has
  been awarded. The NoA
• Contains or refers to all terms and conditions of
  the grant
• Is posted in the Other Relevant Documents section
  of the Status Information page (after searching
  for a grant application, click the Accession
  Number in the Application ID column to access
  Status Information)

Follow Latest NOA link to access document.
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No-Cost Extension
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Overview of No-Cost Extension (NCE)

• Grantee organizations have a one-time authority
  to extend, without additional funding, the final
  budget period of a project period of a grant.
• The NCE feature in Commons allows organizations
  to submit an electronic notification to the
  agency that they have exercised this one-time
  authority.
• Only SOs can submit the NCE notification
• May be submitted no earlier than 90 days before
  end of project and no later than project end date
• Can request extension of 1-12 months, in
  one-month increments

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Extension Link in Status
Signing Officials onlySelect the Extension
hyperlink from the Action column of the Status
ResultGeneral Search results list.
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Extension Screen
On the Extension screen, choose an extension of 1
to 12 months.
Note In Fall 2011, NIH will be mandating the use
of the Commons No-Cost Extension feature to
submit an extension request! Watch for a guide
notice to be released soon.
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Progress Reports (eSNAP RPPR)
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Overview of eSNAP

• Grantee organizations have a one-time authority
  to extend, without additional funding, the final
  budget period of a project period of a grant.
• The NCE feature in Commons allows organizations
  to submit an electronic notification to the
  agency that they have exercised this one-time
  authority.
• Commons e SNAP feature mandatory for submission
  of 2590 progress reports
• Notice of Award indicates whether grant award is
  eSNAP-eligibile
• Can request extension of 1-12 months, in
  one-month increments

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Upcoming Transition to RPPR

• The NIH progress reports will transition to
  the federal-wide Research Performance Progress
  Report (RPPR). A new RPPR feature in Commons will
  replace the eSNAP feature.
• Will be used for all SNAP and non-SNAP awards
• Limited pilot in April 2012
• Fields will pre-populate when possible
• NIH-specific instructions will be marked with HHS
  logo (as in Application Guide)
• Special NIH reporting requirements will be
  requested in Special Reporting Requirements
  section

Stay tuned for updates!
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eSNAP Functions Roles
Functions PI PI Delegate AO SO
Initiate ? ?
Upload Science ? ? ? ?
Edit Business ? ? ? ?
Validate eSNAP ? ? ? ?
Route to other user ? ? ?
Recall (PI can recall at any time others must be current eSNAP reviewer.) ? ? ?
View Routing History ? ? ? ?
View eSNAP Report ? ? ? ?
Submit to Agency (Submitter must be the current eSNAP reviewer.) ? Delegated by SO ?
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eSNAPGrant List

• The eSNAP Grant List
• Displays all of your grants
• Hyperlinked grant numbers are eSNAP eligible
• Displays the Due Date, Status, and Current
  Reviewer
• OVERDUE will display in Due Date column if
  overdue

Select Grant Number to access the eSNAP Menu.
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Manage eSNAPeSNAP Menu

• Manage eSNAP, also known as eSNAP Menu screen,
  displays list of available functions and Status
  of Completion.

Status of Completion shows the completion status
of each page of the eSNAP. This is an optional
tool and does not need to be completed in order
to submit the eSNAP report.
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eSNAPUpload Science

• The Upload Science tab is used to import and
  upload information (PDF files) associated with
  the progress report, including the
• Progress Report File
• Brief presentation of the accomplishments on the
  research project during the reporting period
• Research Accomplishments File
• Only provide if specifically directed by the
  Program Officer
• Other File
• Place to upload additional information, such as a
  biographical sketch for new senior/key personnel
• Cover Letter file
• Not required but can be provided if necessary
• Citations/Publications (from link to My NCBI
  system)

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eSNAPUpload Science
Progress Report File is required. Click Import to
upload file.
Use Browse button to locate file and Upload File
button to include in eSNAP report.
Files section updated.
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My NCBI eRA Commons Linked

• Commons is linked to the National Center for
  Biotechnology Informations My NCBI system.
  Inside My NCBI, users can store their
  publications and other authored works in the My
  Bibliography section. For this data to appear in
  Commons, it must be uploaded to/saved in My NCBI.
• Citation data saved in My NCBI appears in Commons
  Personal Profile (PPF) and eSNAP Upload Science
  screens.
• Users must link Commons account to My NCBI
  account

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Upload SciencePublications
Upload Science screen shows citations that can be
associated with an eSNAP report. This includes
citations that a user has entered into My NCBI /
My Bibliography.
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eSNAPEdit Business

• From the Edit Business tab, users can access the
  following screens
• Organization Information
• Contains items such as Project Title, Contact PI
  name/contact information, etc.
• Project/Performance Sites
• A primary site must be selected and a DUNS number
  provided for that site
• All Personnel
• List all personnel who participate in the project
  during the current budget period for at least 1
  person month or more
• Research Subject
• Information about the involvement of human
  subjects and live vertebrate animals
• SNAP and Other Progress Report Questions and
  Checklist

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Edit BusinessOrg. Info
Pulled from Institution Profile.
Pulled from Personal Profile/ Employments/Preferre
d Address.
Drop-down lists include all AOs and SOs at
institution.
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Edit Bus.Project/Performance Site List
Additional sites can be entered manually.
Click to Save entry.
First Performance Site listed is pulled from
Institution Profile.
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Edit BusinessAll Personnel List
If person has Commons ID, you can choose to
Pre-populate from Profile.
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Edit BusinessResearch Subject
2000 character limit on text
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SNAP and Other Progress Report Questions
Checklist

• List of questions about
• Changes in other support and level of effort for
  Senior/Key personnel
• Unobligated balances
• Changes in select agent research
• Change in multi-PD/PI leadership plan
• Change in HESC used
• Inventions and patents
• Program income
• Facilities and administrative costs
• Yes answers require explanation.

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Edit BusinessInclusion Enrollment
Inclusion Enrollment Report Table must be
completed for each study.
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Completing the eSNAP

• Once all the eSNAP sections are complete
• If the SO has delegated authority to submit, the
  PI can submit the eSNAP to the agency.
• If not, the PI can route the eSNAP to the SO and
  the SO can submit.

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Research Performance Progress Report - RPPR

• Federal-wide research performance progress report
  (RPPR)
• Mandated by OMB and OSTP, after many years of
  development under the Research Business Models
  Subcommittee
• Standardizes information required by federal
  agencies
• Goal to reduce administrative burden on grantees
• http//www.nsf.gov/bfa/dias/policy/rppr/index.jsp

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RPPR NIH Implementation Plan

• Commitment to implement solely in an electronic
  format
• RPPR will replace
• PHS 2590 Non-competing Continuation Progress
  Report
• eSNAP module in the eRA Commons
• PHS 416-9 National Research Service Award
  Individual Fellowship Progress Report for
  Continuation Support
• NIH implementation will include other PHS
  agencies
• Food and Drug Administration
• Agency for Healthcare Research and Quality
• Centers for Disease Control and Prevention

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Administrative Supplement

• Two Pilot Processes for Submitting Administrative
  Supplement Requests Electronically to NIH
• Reference NIH Guide Notice NOT-OD-12-024
• http//grants.nih.gov/grants/guide/notice-files/NO
  T-OD-12-024.html
• If the parent award has transitioned to
  electronic submission, institutions may
• (A) electronically submit using the SF424 (RR)
  Application Forms and Grants.gov/Apply, or
• (B) electronically submit using the streamlined
  submission process of eRA Commons.

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Administrative Supplements - Commons

Starting an Administrative Supplement in Commons
you must find eligible grant and Initiate Request
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Administrative Supplements - Commons

Complete Form Required Fields are indicated
with red asterisk
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Administrative Supplements - Commons
For each Budget Period you will be able to enter
different sections Personnel, Equipment,
Travel, Participant/Trainee, Other Direct, Total
FA (Indirect) Costs Total Requested will be
calculated automatically
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Administrative Supplements Resources

• eRA Commons Administrative Supplement Module
  User Guide
• http//era.nih.gov/files/eRA_Commons_Admin-Supp_UG
  .pdf
• Administrative Supplements (Type 3s) Frequently
  Asked Questions
• http//era.nih.gov/commons/faq_commons.cfmXVIII

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Federal Financial Report (FFR)
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Overview of Federal Financial Report (FFR)

• NIH transitioned to the mandatory use of the
  Federal Financial Report (SF 425/SF 425A) for
  reporting expenditure data as of February 1,
  2011.
• FFRs are submitted in eRA Commons via the FFR/FSR
  feature.
• Cash transaction data still submitted via Payment
  Management System
• All revisions of Financial Status Reports (FSRs)
  and financial reports started before Feb. 1, 2011
  continue to use the FSR format
• All new financial reports for NIH use the FFR
• eRA Commons partner agencies, including AHRQ,
  CDC, FDA and SAMHSA, are currently piloting the
  FFR

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Overview of Federal Financial Report (FFR)

• FSR role for users who have the authority to
  view, enter, and submit an FFR on behalf of
  institution
• Annual FFR due date FFR must be submitted each
  budget period within 90 days of the calendar
  quarter in which the budget period ended
• Final FFR due date based on the Project Period
  End Date (PPED)
• Pending Status If the FFR is not submitted and
  it is within 90 days of the PPED
• Due Status If the FFR is not submitted and it is
  between the PPED and 90 days past the PPED
• Late If the FFR is not submitted and it is more
  than 90 days past the PPED

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FFR / FSR Search Result
The Grant Number is a hyperlink that will take
you to the FFR/FSR form.
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FFR Details Screen

• Clicking the hyperlinked grant number opens the
  FFR Details screen, which displays
• FFR Status
• Received, Accepted, Rejected, In Review, or
  Revision Pending
• Available Actions
• Accepted status View or Create New
• Rejected status View or Create New
• Received status View or Correct
• Revision Pending status View or Edit
• In Review status View

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Completing the FFR
As current year entries are completed,
calculations are done automatically.
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Submission of a FFR
Once FFR/FSR is Submitted, Latest FSR status
changes to Received
If a mistake is made on the FFR and the status
has changed to In Review, the institution should
contact the NIH OFM staff and have them reject
the FFR/FSR so that revisions can be made. OFM
staff are assigned by NIH Institute/Center.
Identify the correct OFM staff member to speak to
by using this link http//ofm.od.nih.gov/fsr.asp
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Financial Conflict of Interest (FCOI)
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Overview of Financial Conflict of Interest (FCOI)

• The FCOI feature in Commons allows grantee
  institutions to
• Initiate and prepare a FCOI report
• Submit the report, any necessary supporting
  documents, and comments (optional) to the agency
• Search and view previously submitted FCOI reports
  (those submitted via Commons only)
• Edit or rescind submitted reports (rescinding
  involves agency involvement)
• Access the history of actions

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FCOI Account Administration

• Signing Official at the institution can assign
  the FCOI role to a registered Commons user who
  will manage the FCOI process for the institution.
• Multiple people at the institution can have FCOI
  role
• Only users with FCOI role can submit FCOI
  notifications to the agency
• User(s) with FCOI role can delegate ability to
  user with FCOI ASST role to assist with data
  entry and completion of reports
• Can also delegate FCOI View-only access

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Initiating FCOI Notification
System provides Contact PD/PI name after initial
save. Provides additional info to check that the
correct grant is entered.
System will pull the latest Support Year of the
grant.
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Search for Existing FCOI

• Can search by FCOI , Grant , or Name of
  Investigator with Conflict. Provides list of
  awarded grants for this institution with
  previously created FCOI notifications.

Available actions
Links to FCOI History
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FCOI Edit
Fields are pre-populated, but can be edited.
Managed, Reduced, or Eliminated
Delete uploaded file
Delete entire record
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xTrain
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Overview of xTrain

• The use of the Commons xTrain feature is required
  for the electronic submission of appointment
  forms and termination notices related to
  institutional research training, fellowship,
  education and career development awards.
• System for grantees, institution staff and agency
  staff to create, manage, route, submit and
  process appointments, reappointments, amendments,
  and termination notices electronically
• Track the status and timing of training actions
• Paper forms and notices are NOT accepted

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xTrain User Roles

• The following roles specifically relate to
  xTrain
• Business Official (BO)
• Similar to a Signing Official has signature or
  other authority related to administering grantee
  institution training grants
• Trainee
• A person appointed to and supported by a training
  award
• Can view, update and route his or her own
  appointments, amendments, and terminations

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xTrain User Roles

• Sponsor
• A person who mentors a fellow (recipient of a
  fellowship award)
• Can initiate and facilitate the termination of a
  fellowship can submit termination notice for
  foreign and federal fellowships only
• Sponsor Delegate
• Can perform functions similar to the Sponsor
  role, but cannot submit the fellowship
  termination notice to the agency

Read more about the Sponsor and Sponsor Delegate
at http//era.nih.gov/commons/faq_commons.cfmXVI
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xTrain Trainee Roster

• Most xTrain actions are performed from the
  Trainee Roster screen.

Action 2271 Form Amend 2271 Initiate TN Term
Notice
Appointment/Termination Source Paper or
Electronic
Appointment Status In Progress PI In Progress
Trainee Pending Agency Review AcceptedTerminated
Termination Status In Progress BOIn Progress
PI In Progress Trainee Pending Agency
Review Accepted
View View 2271 View TN View Payback
AppointmentType NewReappointmentAmendment
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Types of Grants Supported in xTrain

• Kirschstein-NRSA Undergraduate Institutional
  Training Grants (T34)
• Kirschstein-NRSA Pre-doctoral and Post-doctoral
  Institutional Training Grants (T32, T35, T90,
  TL1, TU2)
• Kirschstein-NRSA Fellowships (F30, F31, F32,
  F33)
• NLM Institutional Training Grants (T15)
• Research Education Awards (R25, R90, RL5, RL9)
• Institutional Career Development Grants (K12,
  KL2, KM1)

xTrain instructions training resources
available at http//era.nih.gov/training_career/i
ndex.cfm
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Closeout
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Overview of Closeout

• Closeout is a Commons feature that allows a
  grantee to file the information necessary to
  complete grant closeout reporting requirements.
• Can find grants requiring Closeout by performing
  a Closeout Search in Status (SOs only) or on
  Status ResultList of Applications/Grants screen.
• Final Federal Financial Report
• Final Progress Report
• Final Inventions Statement
• Requires Closeout link will appear in Status
  Action column

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CloseoutFederal Financial Report
You must have an account with the FSR role to
create/submit the FFR/FSR.
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CloseoutFinal Progress Report
Either the PI or the SO can create/upload the
Final Progress Report.
Browse to select file for upload.
Select Submit.
Read certification information and select OK.
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CloseoutFinal Invention Statement
If inventions are to be reported, the specific
inventions must be listed.Either the PI or the
SO can start the process, but the SO must verify
the report before submitting it to the agency.
If Yes is selected, Add Invention screen appears.
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CloseoutAdd Invention

• Verify saved inventions.
• Remove any that do not apply.
• Add any that are missing.

Select Verify.
Select OK.
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CloseoutAwaiting SO Verification
Status of Final Invention Statement is changed to
Awaiting SO Verification. SO can now verify and
submit.
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Hands-on Exercise Closeout

• 1. From the Status ResultList of
  Applications/Grants screen, locate a grant that
  Requires Closeout. Click the Process Final
  Progress Report link in the Action column to
  create and upload the Final Progress Report.
• 2. From the Status ResultList of
  Applications/Grants screen, locate a grant that
  Requires Closeout. Click the Process Final
  Invention Statement link in the Action column to
  initiate and verify the Final Invention
  Statement.

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Resources
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OER eRA Self-Help Resources

• Websites
• eRA Commons https//commons.era.nih.gov/commons/
  
• Electronic Research Administration
  http//era.nih.gov/
• Applying Electronically http//grants.nih.gov/gra
  nts/ElectronicReceipt/
• NIH About Grants http//grants.nih.gov/grants/oer
  .htm

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Electronic Research Administration Website
Helpful contact information
FAQs
User Guides release notes
Presentations, demos, handouts
News
How-to steps
Visit us at http//era.nih.gov/
80
Finding Help

• Contact the eRA Commons Help Desk for assistance
  with
• Commons registration, eRA system validations,
  post-submission functionality
• Create ticket on Web http//era.nih.gov/help/inde
  x.cfmera
• Phone [phone]
• Toll-free 866-504-9552
• TTY 301-451-5939
• Business hours Mon.-Fri. (except federal
  holidays)
• 7 a.m.-8 p.m. (Eastern Time)