1. Electronic Research Administration Office of Extramural Research National Institutes of Health June 2012 eRA Commons Post-submission Functionality Scarlett Gibb eRA Commons Customer Relationship Manager Joe Schumaker eRA Communication Specialist

2. Today’s Post-submission Functionality Topics Using the eRA Commons o When Will I Use eRA Commons? o Status o Just-in-Time (JIT) o Notice of Award (NoA) o Administrative Supplements o No-cost Extension (NCE) o Progress Reports (eSNAP & RPPR) o Federal Financial Report (FFR) o Financial Conflict of Interest (FCOI) o xTrain o Closeout Resources 2

3. Using the eRA Commons

4. eRA Commons Check Review Assignment Check Review Outcome Submit Pre-award Information Prepare/Submit Post-award Reports CLOSEOUT GRANTS Electronic Interaction Points 4

5. Status

6. 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 6 Status is your link to the action!

7. Status Views—PI and SO Principal Investigators can view their Recent/Pending eSubmissions or List of Applications/Grants. 7 Signing Officials can search for/view all submissions for their institution.

8. Status Result—General Search Screen Select the Application ID link to view detailed status information for that particular application. 8

9. Review Info on Status Information Screen 9 Primary Institute or Center assignment Key contact information Study Section assignment

10. Review Outcome on Status Information Screen Only the PI can view Summary Statement, Priority Score and Percentile information. 10

11. Hands-on Exercise: Accessing eRA Commons 1. Click on the eRA Commons Demo shortcut on your computer’s 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 PI’s username and password. Enter the username and password into the appropriate fields under Commons Login. Note: eRA Commons Password is case-sensitive. 11

12. 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. 12

13. Just-in-Time (JIT)

14. 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 14

15. 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 applicant’s 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/NOT-OD-12-101.html 15

16. JIT Link on Status Result Screen (SO View) 16 Select JIT link.

17. Just-in-Time (JIT) Screen (PI View) 17 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.

18. 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. 18

19. Notice of Award (NoA)

20. Status—Notice 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. 20

21. No-Cost Extension

22. 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 22

23. Extension Link in Status 23 Signing Officials only—Select the Extension hyperlink from the Action column of the Status Result—General Search results list.

24. Extension Screen 24 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.

25. Progress Reports (eSNAP & RPPR)

26. 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 26

27. 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 27 Stay tuned for updates!

28. eSNAP Functions & Roles FunctionsPIPI DelegateAOSO 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 28

29. eSNAP—Grant 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. 29

30. Manage eSNAP—eSNAP 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. 30

31. eSNAP—Upload 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) 31

32. eSNAP—Upload 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. 32

33. My NCBI | eRA Commons Linked Commons is linked to the National Center for Biotechnology Information’s 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 33

34. Upload Science—Publications 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. 34

35. eSNAP—Edit 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 35

36. Edit Business—Org. Info Drop-down lists include all AOs and SOs at institution. Pulled from Institutio n Profile. Pulled from Personal Profile/ Employments/Preferred Address. 36

37. Edit Bus.—Project/Performance Site List First Performance Site listed is pulled from Institution Profile. Additional sites can be entered manually. Click to Save entry. 37

38. Edit Business—All Personnel List If person has Commons ID, you can choose to Pre- populate from Profile. 38

39. Edit Business—Research Subject 2000 character limit on text 39

40. 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. 40

41. Edit Business—Inclusion Enrollment Inclusion Enrollment Report Table must be completed for each study. 41

42. 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. 42

43. 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

44. 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 44

45. 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/NOT-OD-12-024.html If the parent award has transitioned to electronic submission, institutions may: (A) electronically submit using the SF424 (R&R) Application Forms and Grants.gov/Apply, or (B) electronically submit using the streamlined submission process of eRA Commons. 45

46. Administrative Supplements - Commons 46 Starting an Administrative Supplement in Commons you must find eligible grant and Initiate Request

47. Administrative Supplements - Commons 47 Complete Form – Required Fields are indicated with red asterisk

48. Administrative Supplements - Commons 48 For each Budget Period you will be able to enter different sections: Personnel, Equipment, Travel, Participant/Trainee, Other Direct, Total F&A (Indirect) Costs Total Requested will be calculated automatically

49. 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.cfm#XVIII 49

50. Federal Financial Report (FFR)

51. 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 51

52. 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 52

53. FFR / FSR Search Result The Grant Number is a hyperlink that will take you to the FFR/FSR form. 53

54. 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 54

55. Completing the FFR As current year entries are completed, calculations are done automatically. 55

56. 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.asphttp://ofm.od.nih.gov/fsr.asp 56

57. Financial Conflict of Interest (FCOI)

58. 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 58

59. 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 59

60. 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. 60

61. 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 61

62. FCOI Edit Fields are pre-populated, but can be edited. Delete uploaded file Delete entire record 62 Managed, Reduced, or Eliminated

63. xTrain

64. 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 64

65. 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 65

66. 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 66 Read more about the Sponsor and Sponsor Delegate at: http://era.nih.gov/commons/faq_commons.cfm#XVI http://era.nih.gov/commons/faq_commons.cfm#XVI

67. xTrain Trainee Roster Appointment Type: New Reappointment Amendment Appointment Status: In Progress PI In Progress Trainee Pending Agency Review Accepted Terminated Appointment/Termination Source: Paper or Electronic Termination Status: In Progress BO In Progress PI In Progress Trainee Pending Agency Review Accepted View: View 2271 View TN View Payback Action: 2271 Form Amend 2271 Initiate TN Term Notice Most xTrain actions are performed from the Trainee Roster screen. 67

68. 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/index.cfm http://era.nih.gov/training_career/index.cfm 68

69. Closeout

70. 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 Result—List of Applications/Grants screen. Final Federal Financial Report Final Progress Report Final Inventions Statement Requires Closeout link will appear in Status Action column 70

71. Closeout—Federal Financial Report 71 You must have an account with the FSR role to create/submit the FFR/FSR.

72. Closeout—Final Progress Report Either the PI or the SO can create/upload the Final Progress Report. Select Submit. Read certification information and select OK. Browse to select file for upload. 72

73. Closeout—Final Invention Statement 73 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.

74. Closeout—Add Invention Verify saved inventions. Remove any that do not apply. Add any that are missing. Select Verify. Select OK. 74

75. Closeout—Awaiting SO Verification Status of Final Invention Statement is changed to Awaiting SO Verification. SO can now verify and submit. 75

76. Hands-on Exercise: Closeout 1. From the Status Result—List 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 Result—List 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. 76

77. Resources

78. OER & eRA Self-Help Resources Websites: eRA Commons: https://commons.era.nih.gov/commons/ https://commons.era.nih.gov/commons/ Electronic Research Administration: http://era.nih.gov/ http://era.nih.gov/ Applying Electronically: http://grants.nih.gov/grants/ElectronicReceipt/ http://grants.nih.gov/grants/ElectronicReceipt/ NIH About Grants: http://grants.nih.gov/grants/oer.htm http://grants.nih.gov/grants/oer.htm 78

79. Electronic Research Administration Website 79 Visit us at http://era.nih.gov/http://era.nih.gov/ Presentations, demos, & handouts How-to steps FAQs User Guides & release notes News Helpful contact information

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/index.cfm#era http://era.nih.gov/help/index.cfm#era Phone: 301-402-7469 Toll-free: 866-504-9552 TTY: 301-451-5939 Business hours: Mon.-Fri. (except federal holidays) 7 a.m.-8 p.m. (Eastern Time) 80