eRA Commons
Post-submission Functionality
Electronic Research Administration
Office of Extramural Research
National Institutes of Health
June 22, 2011
Scarlett Gibb
eRA Commons Customer Relationship Manager
Sarah Binder
eRA Commons Communications Specialist
Today’s Post-submission Functionality Topics
•Using the eRA Commons
oWhen Will I Use eRA Commons?
oStatus
oJust-in-Time (JIT)
oNotice of Award (NoA)
oNo-cost Extension (NCE)
oProgress Reports (eSNAP & RPPR)
oFederal Financial Report (FFR)
oFinancial Conflict of Interest (FCOI)
oxTrain
oCloseout
•Resources
2
Using the eRA Commons
When Will I Use eRA Commons?
Application
Submission
Process
Application
Intake at
Receipt &
Referral
• Review errors/warnings identified during the
submission process
• Check final application image for assembly
issues
• View information on the review assignment
of your grant application
4
When Will I Use eRA Commons?
Peer Review
Process
Pre-award
Process
Award
Process
• View Summary Statement & Priority Scores
• Submit Just-in-Time data
(e.g., Other Support, Certifications)
• View Notice of Award (NoA)
5
When Will I Use eRA Commons?
Post-award
Process
Closeout
Process
• Prepare progress reports
• Prepare Federal Financial Reports
• Prepare final financial report, progress
report, invention statement and
certification, and population tracking data
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Status
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 Views—PI 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 Result—General 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.
12
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://commonsdemo.era.nih.gov/commons-demo/
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 Login is not case-sensitive.
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Hands-on Exercise: Status
1. Identify a grant on your Status Result—Recent/Pending
eSubmissions Search results list. Click on the Accession Number
link in the Application ID column.
2. On the Status Information screen, identify the review outcome
data.
3. Locate the Summary Statement link. Click on the link to view the
Summary Statement.
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Just-in-Time (JIT)
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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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)
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.
21
No-Cost Extension
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 only—Select the Extension hyperlink
from the Action column of the Status Result—General
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.
25
Progress Reports
(eSNAP & RPPR)
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
Next year, 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 January 2012; projected full release in
summer 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


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Route to other user


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Recall

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
(PI can recall at any time; others must be
current eSNAP reviewer.)
View Routing History



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View eSNAP Report




Submit to Agency

(Submitter must be the current eSNAP
reviewer.)

Delegated by SO
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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.
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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.
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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)
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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.
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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
•
•
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.
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
36
Edit Business—Org. Info
Pulled
from
Institutio
n Profile.
Pulled from Personal Profile/
Employments/Preferred 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 Business—All Personnel List
If person has
Commons ID, you can
choose to Prepopulate from Profile.
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Edit Business—Research Subject
2000 character limit on text
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.
41
Edit Business—Inclusion Enrollment
Inclusion Enrollment Report Table
must be completed for each study.
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.
43
Hands-on Exercise: eSNAP
1. Migrate through the various eSNAP tabs in eRA Commons Demo
to familiarize yourself with initiating an eSNAP. Have fun!
44
Federal Financial Report
(FFR)
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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Hands-on Exercise: Performing FFR Search
1. If you have logged out, log in to Commons using your username
and password. Click on the FFR/FSR tab.
2. Choose a status code from the Latest FFR/FSR Status drop down
menu.
3. Click on the Submit button.
4. View the list of search results.
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Completing the FFR
As current year
entries are
completed,
calculations are
done automatically.
51
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)
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.
Links to FCOI History
Available actions
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FCOI History
An event record is generated in the FCOI History log each time a
user takes an action on the record.
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FCOI Edit
Fields are pre-populated,
but can be edited.
Managed,
Reduced, or
Eliminated
Delete entire
record
Delete
uploaded
file
59
xTrain
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.cfm#XVI
63
xTrain Trainee Roster
Most xTrain actions are performed from the Trainee
Roster screen.
Appointment/Termination
Source:
Paper or Electronic
Appointment
Type:
New
Reappointment
Amendment
Appointment Status:
In Progress PI
In Progress Trainee
Pending Agency Review
Accepted
Terminated
Termination Status:
Action:
2271 Form
Amend 2271
Initiate TN
Term Notice
In Progress BO
In Progress PI
In Progress Trainee
Pending Agency Review
Accepted
View:
View 2271
View TN
View
Payback
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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/index.cfm
65
Hands-on Exercise: xTrain
1. If you have logged out, log in to Commons using your PI
username and password. Click on the xTrain tab.
2. Choose a grant and click on View Trainee Roster in the Action
column.
3. Click on Create New Appointment beside the desired grant.
4. Click on Identify Trainee and enter your PI’s name in the Last
Name field to search.
5. Click Create New Appointment link next to trainee account
(account starts with TRArizona).
6. Complete necessary appointment data. DO NOT SAVE.
66
Closeout
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
•
•
•
•
68
Closeout—Federal Financial Report
You must have an account with the FSR role to create/submit
the FFR/FSR.
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Closeout—Final 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.
70
Closeout—Final 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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Closeout—Add Invention
•Verify saved
inventions.
•Remove any
that do not
apply.
•Add any
that are
missing.
Select Verify.
Select OK.
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Closeout—Awaiting SO Verification
Status of Final Invention
Statement is changed to
Awaiting SO Verification. SO
can now verify and submit.
73
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.
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Resources
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/grants/ElectronicReceipt/
NIH About Grants:
http://grants.nih.gov/grants/oer.htm
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Electronic Research Administration Website
Helpful contact
information
User Guides &
release notes
FAQs
Presentations, demos, & handouts
News
How-to steps
Visit us at http://era.nih.gov/
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Finding Help
Contact the eRA Commons Help Desk for
assistance with:
Commons registration, eRA system validations,
post-submission functionality
Create ticket on Web:
http://itservicedesk.nih.gov/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)
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