Inside eRA, November 12, 2002 (Volume 3, Issue 12)

NIH eRA Commons 2.0: Implications for Your IC

The NIH eRA Commons 2.0 will open registration to grantee institutions after Commons Working Group (CWG) pilot users verify functionality. eRA will employ a phased registration approach, starting with Commons 1.0 users, adding members of the Federal Demonstration Partnership, and finally opening registration to all institutions. Open enrollment, likely to begin in January 2003, represents a major milestone in achieving eRA’s mission of paperless grant administration. Institutes and Centers (ICs) are encouraged to review their business processes to determine how they can benefit from the new technology.

Gateway for New Software Applications

Members of the Commons Working Group (CWG) currently are piloting the NIH eRA Commons 2.0, which provides a virtual meeting place on the Web at commons.era.nih.gov for the electronic interchange of information between the NIH and its grantees. The NIH eRA Commons 2.0 will serve as the entry point for the following new electronic grant administration applications, which are being launched this calendar year. 

• eSNAP is a Web interface for the submission of electronic Simplified Non-competing Application Process Type-5 progress reports. CWG pilot users already have transmitted progress reports, an achievement which marks eRA’s first fully electronic end-to-end integration of a business process.        
• FSR enables the electronic submission of Financial Status Reports. FSR, now in pilot, will be opened to all registered NIH eRA Commons 2.0 users on November 18. See the NIH Guide Notice at http://grants1.nih.gov/grants/guide/notice-files/NOT-OD-03-008.html.       
• IAR pilot will begin in December. Internet Assisted Review will facilitate the capture and analysis of application critiques that are made as part of the NIH peer review process.

Using the technical architecture developed for the NIH eRA Commons, eRA plans to release new or redesigned systems including: CRISP on the Web; an expanded version of the Electronic Non-Competing Application Process (eNAP) to enable submission of progress reports for all types of grants; Interagency Edison (iEdison) for the submission and tracking of extramural invention reports; and a Grants Closeout module. Planning is underway to enable the submission of competitive applications using datastream technology through NIH eRA Commons 2.0.

Enhancement of Status Facility

Through the new Status screen, users will be able to track the progress of pending applications, obtain contact information for the assigned Scientific Review Administrator, Grants Management and Program Officers, link to study section rosters, and view Summary Statements and priority scores. The Status interface also will provide links to the Notice of Grant Award and access to a copy of a pre-populated face page of the PHS 2590, which will facilitate submission of the Non-Competing Progress Report (Type-5).

Phased Implementation of e-Notification

As part of the first release of NIH eRA Commons 2.0, NIH posts Type-5 due date information on a public Web site at era.nih.gov/userreports/pr_due.cfm. Grantee institutions can use this list for reminders of pending submissions of any type of progress report. In the near future, the eRA system will send notification of pending deadlines to a central institutional email address that institutions can incorporate into their institutional profile. In a future release, the NIH plans to implement e-Notification such that individual investigators and fellows will be notified of pending deadlines for each of their grants.

Basic IC Preparation for NIH eRA Commons 2.0

In preparation for allowing all grantee institutions to register for the NIH eRA Commons, each IC should take the following steps so that the dynamics of electronic interaction with grantees will occur smoothly.

• Verify that all IMPAC II records have assigned Program Officials and Grants Management Specialists and that their contact data is correct. Grantees will access this information through Status.       
• Make sure to log T-5 progress reports into IMPAC II when they are received. These reports will drop off the “due list” only if logged into the eRA system.       
• Be responsive when notified of data errors that must be corrected by IC staff.

Some Opportunities for Business Process Reengineering

Other benefits to reduce NIH staff burden result from the full implementation of the NIH eRA Commons.

• Since Principal Investigators (PIs) are able to access priority score information through Status, the NIH can consider eliminating snap-out mailers and other types of notification from CSR.       
• Since PIs are able access Summary Statements through Status, ICs can choose to cease mailing them.       
• ICs can explore electronic notification of funding potential instead of hardcopy pre- or post-council letters to PIs.       
• With eSNAPs arriving electronically, ICs can replace sequential, hardcopy routing and approval procedures with electronic routing and approval.       
• Scanning incoming paper SNAPs would enable all progress reports to be stored in the IMPAC II database and processed in the same manner.

For more information about the NIH eRA Commons 2.0, contact the NIH eRA Commons Helpdesk at commons@od.nih.gov or 866-504-9552.

eRA Requests Additional Funding

With the approval of the Steering Committee, eRA will request additional funding from the NIH Information Technology Board of Governors (IT BOG). These dollars are needed to finance the conversion to Java 2 Enterprise Edition (J2EE) technology and to integrate Electronic Council Book/Query-View-Reporting (ECB/QVR) and the Loan Repayment Program (LRP) with the eRA enterprise system.

eRA’s FY2003 $33.4 million budget originally was set in 2000, prior to the decision to move to J2EE. This year’s shortfall results from the unanticipated expense of maintaining the old Oracle Forms technology and simultaneously developing new J2EE modules. eRA will request $4.9 million in contingency funds to cover these costs.

Scope also has increased since estimates were made two years ago. For FY2004, eRA is seeking an increase to its base allocation plus a 10 percent contingency fund to finance initiatives such as the ECB/QVR and LRP integrations.

Direct your questions about the budget to Donna Frahm, eRA Chief Information Officer (CIO), at frahmd@od.nih.gov. 

eRA Implements New Procedures for Post-Review Deferrals

eRA recommends that Institutes and Centers (ICs) use the IMPAC II Institute and Center Operations (ICO) module to record council date changes for post-review deferrals. This new procedure applies to applications that have been scored and where only the council date is to be changed. In the past, this type of deferral typically has been processed by the Division of Receipt and Referral, Center for Scientific Review.

Deferrals that involve a change of primary IC and/or a change of review need to be submitted as a 901 request to the Division of Receipt and Referral, Center for Scientific Review.

For more information about how to enter council date change deferrals into ICO, contact the eRA Helpdesk at helpdesk@od.nih.gov or 301-402-7469.

Internet Assisted Review Pilot to Begin in December

Development of an eRA Internet Assisted Review (IAR) system is near completion, with a pilot slated for December 2002. IAR will be used by both internal staff (Scientific Review Administrators and Grants Technical Assistants) as well as by peer reviewers, who will access IAR through the NIH eRA Commons. To access IAR, reviewers must have registered and created an NIH eRA Commons account. This will allow reviewers to maintain their own professional profile information.

IAR will benefit the NIH and its grantees by expediting the scientific review of grant applications and by standardizing the process for the electronic submission of critiques and initial priority scores. More effective review meetings will result when reviewers are able to examine each other’s critiques online prior to meetings and to modify their own critiques after meetings. IAR also will accelerate the grants approval and funding process through more efficient administration of reviews. Critiques will be available immediately after review meetings, enabling automated construction of summary statements.

The December pilot release will be limited to selected members of the Review Users Group (RUG) and their reviewers. Initial functionality will include:

• Control Center for SRAs/GTAs to manage reviewer access during all IAR phases (SUBMIT, READ and optional EDIT)    
• Support for critiques in Word or text format    
• Display of critiques in Adobe PDF format    
• Matrix of initial scores with the option to designate certain applications as lower half    
• After the meeting, support for SRA/GTA view and download of a Word document to be used as the preliminary summary statement body

Future releases will include additional functionality for a broader user base.

NIAID’s Electronic Review system provided the proof of concept for the eRA IAR. Like other new eRA systems, IAR will be Web-based and constructed using Java 2 Enterprise Edition (J2EE).

For more information about IAR, contact eRA Analyst Tracy Soto at  sotot@od.nih.gov.

eRA Pilots Program Portal

On November 1, eRA launched the first phase of the Program Portal, a consolidated view of information for Program Officials (POs), one of the largest groups of eRA users. The initial pilot includes Pre-Submission and General Resources functionality.

The purpose of the portal is to give POs single-logon access to the applications, Web sites and tools needed to perform their responsibilities. The November 1 version will enable pilot users to link to the following resources:

Pre-Submission Section

• Human and animal subject guidelines  
• NIH Guide  
• Submission dates’ chart for 398 deadlines  
• NIH and CSR study section lists

General Resources Section

• PubMed  
• ClinicalTrials.gov  
• RFA/PA formats  
• OER home page  
• NIH Guide search  
• IC policy pages/intranets

The current pilot is a first step in using portal technology to help POs manage their portfolios. Ultimately, the Program Portal will allow POs to monitor and track the status of each application as it moves through all phases of the grant lifecycle, from pre-submission through post-award. For example, when a PO signs on, his/her current portfolio of work in progress for Type 1, 2 and 5 awards will be displayed, with the ability to access and process a specific grant through the portal.

The next phase of the Program Portal will incorporate the IRG, Council and Post-Award sections; phase 3 will include email, a calendar and additional customizable portlets. The portal will support access to IMPAC II databases and other Web-based applications.

For more information about the Program Portal, contact Bud Erickson at 301-435-4913.

Loan Repayment Program Plans Partial Integration with eRA

The NIH Office of Loan Repayment plans to integrate components of its electronic application system with eRA in calendar year 2003. The Loan Repayment Program (LRP) provides up to $35,000 toward the repayment of educational loan debt of qualified health professionals who agree to conduct research for two years. Participants may apply for additional, one-year renewal contracts and continue to receive loan repayment benefits if they remain engaged in research.

The 2003 Extramural LRPs include Clinical Research, Pediatric Research, Health Disparities Research, Contraception and Infertility Research, and Clinical Research for Individuals from Disadvantaged Backgrounds. This year’s Clinical Research and Pediatric Research LRPs differ from the 2002 programs in that the awards are no longer restricted to NIH grantees.

The Intramural (NIH-employee) LRPs provide educational loan repayment to attract highly qualified health professionals, particularly physicians, to research positions and fellowships (clinical and basic science) in the NIH intramural laboratories. There are three Intramural NIH LRPs: AIDS Research, Clinical Research for Individuals from Disadvantaged Backgrounds, and General Research.

All potential applicants are encouraged to read the eligibility requirements, benefits, application procedures, and conditions for participation posted at www.lrp.nih.gov. Applications are collected electronically and must be submitted through the Web site. The deadline for Extramural applications is 5:00 p.m. Eastern Standard Time (EST) on November 30, 2002; the deadline for Intramural applications is 5:00 p.m. EST on June 1, 2003.

By integrating components of the LRP system with eRA, NIH will be able to take advantage of the functionality of several IMPAC II modules. Users will continue to submit their applications to the LRP Web site, where they will be reviewed for eligibility. The LRP then will generate a PDF file containing the completed application and make the file available to the Center for Scientific Review (CSR), Division of Receipt and Referral (DRR). DRR users will enter the application into the IMPAC II Receipt and Referral module and refer it for review to the appropriate IC. The application will be available for processing in the Peer Review module and as a grant image in eRA.

For more information, contact the NIH Office of Loan Repayment by email at lrp@nih.gov or by telephone at 866-849-4047.

David Wright Joins eRA Team as Policy Analyst

David Wright, a former member of the Commons Working Group, has joined the eRA team as liaison to the extramural grantee community. To complement George Stone’s role as NIH eRA Commons Advocate, David will gather input from grantees and communicate their functional requirements to eRA technical staff.

David also will serve as Grants Policy Liaison, reporting to Regina White, director of the Office of Policy for Extramural Research Administration (OPERA). In this capacity, David will work closely with staff in OPERA to ensure that NIH grants policy and/or Federal guidelines are accurately and fully represented in eRA functional specifications.

Prior to joining the eRA team, David worked as a computer support specialist for the Office of Sponsored Programs at Emory University in Atlanta, Georgia, and more recently, as the Director of Research Information Systems for the Medical Branch of the University of Texas in Galveston. With more than eight years of experience in a university setting, David has first-hand knowledge of the needs and concerns of the extramural research community.

Eighteen ICs Now Ordering CDs for Reviewers

Eighteen Institutes and Centers (ICs) have begun ordering CDs for reviewers in place of conventional books of paper grant applications. Since the inception of the program last February, 520 study sections have ordered a total of 11,505 CDs. The May 2002 release of the IMPAC II Peer Review module expedited the process by enabling ICs to place orders online. See article in June Inside eRA for details.

During FY2002, all costs associated with CD production were absorbed by the eRA project. This fiscal year, eRA will phase out its subsidization of the CD program and begin transferring financial responsibility to the ICs. The FY2003 eRA budget includes $200K to cover costs during the transition. eRA currently is working with the Office of Research Services (ORS) to develop procedures for charging costs back to the ICs.

The CDs contain images of grant applications assigned to the study section, related prior summary statements, relevant Program Announcements (PAs) and Requests for Applications (RFAs), a template for R01 reviews (if the meeting contains R01s), and a CD user guide. Also included are a self-starting version of Adobe Acrobat and an Adobe user’s guide. IC-specific review guidelines can be added by providing the vendor with a Web link to this information.

Several ICs have inquired about ordering customized CDs (e.g., including appendices). Interested ICs can obtain a cost estimate by contacting Scott Swidersky of Quality Associates Incorporated (QAI) at sswidersky@qualityassociatesinc.com or 410-884-9100. All arrangements for special CDs are to be negotiated between the IC and the contractor.

For more information, contact eRA analyst Michael Cox.

Havekost Discusses E-Grants Initiative at eRA Retreat

Charles Havekost, federal E-Grants Program Manager, provided an update on E-Grants on October 10 at the eRA Project Team retreat in Warrenton, Virginia. E-Grants is a government-wide response to Public Law 106-107 and the President’s Management Agenda, both of which mandate improving access to federal grants via the Internet.

Eleven departments and agencies are working together to develop a one-stop electronic grant portal where potential grant recipients will receive full-service electronic grant administration. The Department of Health and Human Services has been designated the managing partner for this project.

E-Grants supersedes the Federal Commons, an initiative of the Inter-Agency Electronic Grant Committee (IEAGC), which previously had begun work on a single Web interface for grantees. The NIH and NSF were active partners in Federal Commons activities. E-Grants has continued with the Federal Commons plan to use GSA’s FedBizOpps system as the unified site for providing central access to all federal grant opportunity information, which now resides in more than 100 locations.

The transition from Federal Commons to E-Grants will have little impact on the progress of the eRA project. Havekost was very enthusiastic about eRA’s use of the Small Business Innovation Research (SBIR) Program to create solutions (see article in October 9 Inside eRA). SBIR awardees will develop tools and services to facilitate grantee electronic interaction with the NIH and E-Grants.

Of key interest to eRA was Havekost’s discussion of the data standards to be used to define interfaces for the electronic exchange of grant documents between grantees and government agencies. In 1994, representatives of grant-making agencies collaborated to develop a data standard for federal grants administration (grant applications and awards). After more than four years of work, this group developed the ANSI, ASC X12 194 Transaction Set (TS194), which became the standard for considerable software development efforts. E-Grants currently is relying on and maintaining these data standards.

The E-Grants “Core” application data elements include the widely accepted SF424 form data elements plus the Dun and Bradstreet DUNS number, and uses TS194 attributes. The data in the PHS 398 that is outside of the “core” will be collected by NIH as “non-core” (a.k.a. “agency-specific”) data. In this way, NIH solutions can conform to the E-Grants core while still collecting the full complement of information needed to complete the PHS 398.

For more information on the 194 Transaction Set, see "194 for Dummies."

eRA Implements e-Notification of ROTs and eSNAPs

This month, eRA will begin sending email notification of Resumes of Transaction (ROTs) and the receipt of electronic Non-competing Award Process (eSNAP) progress reports to a central mailbox designated by each Institute and Center. Notifications will be delivered to the same Division of Extramural Activities (DEA) address used for zipped copies of released Summary Statements. 

eRA issues ROTs to ICs whenever there is an official change to a grant application, such as the withdrawal of an application, a change of council date or review assignment. In the past, IMPAC I generated paper copies. IMPAC II will generate email messages.

eSNAP is a new application, which was deployed in a limited pilot on November 1 (see article in this issue). The eSNAP interface on the NIH eRA Commons will support electronic submission of SNAP Type-5s. After learning that an electronic SNAP Type-5 progress report has been received, IC staff can access it by using the “View E-APP” button on the Grants Management (GM) Award Screen or by retrieving it from the IMPAC II Grants Folder.

A number of ICs have not registered to receive zipped Summary Statements. For these ICs, ROTs and eSNAP notifications will be emailed to IC Grants Management staff until the ICs designate a central mailbox.

For the present, eRA will continue to email notifications of the receipt of electronic 2271 training forms and copies of Notice of Grant Awards (NGAs) to addresses established for these purposes.

The implementation of e-Notification of ROTs and eSNAPs for NIH IC staff will be complemented by similar e-Notification of grantee institutions of pending Type-5 deadlines (see article in this issue). It is important that IC GMO staff that receive Type-5 progress reports acknowledge receipt through the GM interface. In this way, the grant no longer will appear on the list of pending Type-5s that can be viewed by grantee institutional staff.

Direct questions about e-Notification to the eRA Helpdesk at helpdesk@od.nih.gov or 301-402-7469.

Highlights of Latest IMPAC II Deployment

IMPAC II applications were upgraded on November 1, 2002 (see table for highlights). Release notes are available on the IMPAC II Web site. For more information, contact the eRA Helpdesk.

Directory of eRA Assistance

eRA has several facilities for answering questions and addressing user issues. The table below will help you to direct your inquiries/comments through the most appropriate channel.

Follow Helpdesk Guidelines for Efficient Service

The eRA Helpdesk is open daily from 7:30 a.m. to 5:30 p.m. EST to answer your technical questions and to assist you with system and application problems. You can contact the Helpdesk by telephone or by email.

Help the Helpdesk to assist you more productively by following these guidelines:

• Provide full contact information: your name, address, email, phone number and institution name.   
• When calling, give the Helpdesk specialist the name of the software application you are working in and the action being performed. Describe the problem in detail.   
• When emailing, let the Helpdesk know the software application you are working in and the action being performed. Describe the problem in detail. If you receive error messages, forward them with the email.    
• Phone users will receive a ticket number from the Helpdesk specialist at the end of the call. Email users will receive an email from the Helpdesk specialist with a ticket number.   
• If you contact the Helpdesk to follow up, refer to your ticket number.   
• If you cannot remember your ticket number, tell the Helpdesk specialist that you have already reported the issue and briefly describe the problem.

The goal of the Helpdesk is to respond to tickets within four working hours.

Training Opportunities

The Human Resources Development Division (HRDD) has scheduled the following IMPAC II courses, which will be held at Executive Plaza South.

This three-hour session will provide hands-on training in the Population Tracking module. The purpose of the module is to record and store NIH tracking data on the women and minorities participating in NIH-supported clinical research. For more information, visit the HRDD Web site at http://learningsource.od.nih.gov/ or call 301-496-6211.