Preparing for E-Notification & E-SNAP CWG, 5/19/2002 Marcia Hahn, OPERA

E-Notification: NIH Staff

Initially addressed as a need for NIH Program & Grants Management to be notified when E-SNAP data is received

E-Notification: NIH Staff Broader than just E-SNAP, will eventually include notification of all current and potential electronic “events”

E-Notification: NIH Staff Possible “Events” Electronically submitted progress reports (and eventually competing applications) Electronic 2271 data (X-TRAIN) Electronically submitted No-cost Extensions FSRs “accepted” by OFM ROT data changes (act. code, 901 changes etc) Release of IMPAC II-generated documents; e.g., Summary Statements, R15 Mailers, Priority Score Mailers, etc Notification of electronic sign-offs

E-Notification: NIH Staff Phased approach Phase 1 (Proposal): ICs to establish dedicated E-notification address (separate from NGA). Can use Outlook “rules” to auto forward.

E-Notification: NIH Staff Future Phase: More sophisticated system where individual users will be able to indicate which “events” they’ll be notified about and what type of notification Types of notification to individual Queue to be accessible when logged into IMPACII Application Continue using centralized

E-Notification: Grantees Non-competing (T-5) Notification

E-Notification: T-5 Notification for Grantees NIH will discontinue hard copy mailing of pre-printed face pages this summer (Last hard-copy mailing--grants with November 2002 starts) Guide Announcement issued 5/2/2002

E-Notification: T-5 Notification for Grantees A website is being developed that will provide T-5 due date information All grantees will have access Will have search & sort capabilities Will not include notification Will not provide pre-populated face pages

E-Notification: T-5 Notification for Grantees For grantees registered in the NIH Commons: New data element in Institutional Profile will be required—E-notification address. Different from address used for ed NGAs, will be used for a variety of “notifications” Hot Policy Topics Request for info; e.g., Financial Conflict of Interest Policies “Due” reports—T-5s, Closeout, Just-In-Time

E-Notification: T-5 Notification for Grantees Once registered, NIH will eventually provide T-5 notification ( incentive) These grantees will also have access to a PDF version of the “pre- populated” face page (incentive)

E-Notification: T-5 Notification for Grantees Success of T-5 Notification report will depend on IC use of the T-5 Receipt screen in IMPACII T-5s will only drop off of the “due” list as the “T-5 Receipt Date” field is entered Mandatory use of T-5 Receipt Date field in IMPAC II by August 2002—tracking of FY2003 T-5s

E-Notification: T-5 Notification for Grantees This and other Commons status reports will include assigned PO & GMS contact information PO assignment is already mandatory (mandatory for Summary Statement generation) Assigned GMS in IMPAC II, currently optional, will become mandatory in July 2002 New edit checks will be developed

E-Notification: T-5 Notification for Grantees Effect on NIH Staff Ideally--None Realistically, NIH staff will be involved in educating grantee community during transition period Provide website for new report Provide guidance on Commons Registration to benefit from e-notification

Preparing for E-SNAP

E-SNAP: What is it? Electronic submission of SNAP T-5 Progress Reports Grantee interface through NIH eRA Commons NIH IC staff will access data via IMPAC II applications (GM, ICO, Grant Folder)

E-SNAP: Differences from Paper Snap Basic reporting requirements remain identical (including answers to SNAP Qs) Differences have been established as “incentives” to encourage use of the E-SNAP application Differences were vetted through all applicable functional groups receiving final EPMC approval in July, 2001

E-SNAP: Differences from Paper Snap Submission Timing: 45 days before start (instead of 60 days) Research Accomplishments & Other Significant Changes: Will continued to be required as part of T-5 but will be a separate data section allowing for interim updates throughout the year as well

E-SNAP: Differences from Paper Snap Citations: If published, allow link to on-line journal in lieu of submitting hard copy

E-SNAP: Differences from Paper Snap Human & Animal Subjects Assurances: Some Assurance information will be incorporated into the Institutional Profile in the Commons Change grant-by-grant monitoring of IRB/IACUC approval to monitoring of grantee systems. Will not provide IRB/IACUC assurance #s & approval dates for each E-SNAP T-5 Institutions would have responsibility of assuring compliance before funds are drawn down As part of pilot, institutions will agree to provide a retrospective review—list could be system generated based on our data

E-SNAP: Differences from Paper Snap Assurances & Certifications: Are part of the Institutional Profile in the NIH Commons. Will be enhanced by including a date each was “assured”. If a requirement changes or a new requirement is added, no Commons submission will be permitted until Institutional Profile is updated Eliminates needs for grantee to certify compliance with every submission

E-SNAP: Differences from Paper Snap Personnel Data Page: System will store previous submission, providing for easy updates Data Submission: Still responsibility of an Authorized Official of the grantee institution. Grantees may delegate this authority to PIs

E-SNAP: When Pilot phase beginning Sept/Oct 2002 Eventually expect to do an evaluation of the process and “differences” from paper SNAP to determine what could potentially become new business practice for all SNAP and/or all non- competing progress reports

E-SNAP: Data Security & Authorization How will we know E-SNAP data is submitted from an authorized official? Commons Registration establishes a “Working Relationship” with Individual Grantee Organization Identification of Grantee Organization Commons S.O./Accounts Administrator Formalize agreement to communicate electronically (signed faxed form) Submission of Organization Contact Info. Verification of Organization Identity in NIH Enterprise Database (IMPAC II)

NIH Commons Grantee Organization Registration Interactive Form Open Site on Commons Verification of IPF# by NIH eRA Staff 2. Creation of S.O./Acct. Admin. Account by NIH eRA System 3. S.O./Acct. Admin. Account holder receives notification via including: Instructions -> url IPF# password = user name 4. Notification of Request to NIH Commons User Support 1. Faxable Form (signed)

E-SNAP: Data Security & Authorization Creation of S.O./Accts. Administrator account Provides S.O./Accts. Admin. with ability to create unlimited number of “secondary” accounts: S.O., A.O., P.I., Trainee Provides Password Administration Allows for Reassignment of Accounts Modification of Account permissions

E-SNAP: Data Security & Authorization NIH Commons offers security for grantee data Data Access Institutional authentication Verification of IPF by NIH as part of registration Authorization of institutional official via signed/faxed registration form User authentication Creation of user accounts only by AOs Validation of individual user’s profile by NIH staff prior to account creation Data Transmission: data encrypted “across the wire”

E-SNAP: How will it affect Grants Management? GM Users will be able to view data using the “View E-APP” button on the Award Screen Will also be stored in the Grant Folder

E-SNAP: How will it affect Grants Management? New IMPAC II data element: E-Flag To be added to Search Screen (hit list area), Workload Screen, T-5 Receipt Screen, GM Worksheet On T-5 Receipt screen “Receipt Date” field will be automatically populated New E-SNAP business rule for Human Subjects Assurance and IRB Date Fields

E-SNAP: How will it affect GM & Program Staff ? ICs may decide to handle internal T-5 distribution differently NIH staff will be notified electronically of the receipt of E-SNAP data Should electronically received progress reports be automatically printed off and distributed in hard copy to program staff? (IC decision—answer should be “No”) Other potential business process changes?