Preparing forE-Notification & E-SNAP

CWG, 5/19/2002Marcia Hahn, OPERA

Hahnm@od.nih.gov

E-Notification: NIH Staff

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

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

E-Notification: NIH StaffPossible “Events”

Electronically submitted progress reports (and eventually competing applications)Electronic 2271 data (X-TRAIN)Electronically submitted No-cost ExtensionsFSRs “accepted” by OFMROT data changes (act. code, 901 changes etc)Release of IMPAC II-generated documents; e.g., Summary Statements, R15 Mailers, Priority Score Mailers, etcNotification of electronic sign-offs

E-Notification: NIH Staff

Phased approachPhase 1 (Proposal): ICs to establish dedicated E-notification E-mail address (separate from NGA). Can use Outlook “rules” to auto forward.

E-Notification: NIH StaffFuture Phase: More sophisticated system where individual users will be able to indicate which “events” they’ll be notified about and what type of notificationTypes of notification

E-mail to individualQueue to be accessible when logged into IMPACII ApplicationContinue using centralized e-mail

E-Notification: Grantees

Non-competing (T-5) Notification

E-Notification: T-5 Notification for

GranteesNIH 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

GranteesA website is being developed that will provide T-5 due date informationAll grantees will have access Will have search & sort capabilitiesWill not include e-mail notificationWill not provide pre-populated face pages

E-Notification: T-5 Notification for

GranteesFor grantees registered in the NIH Commons:

New data element in Institutional Profile will be required—E-notification e-mail address. Different from address used for e-mailed NGAs, will be used for a variety of “notifications”

Hot Policy TopicsRequest for info; e.g., Financial Conflict of Interest Policies“Due” reports—T-5s, Closeout, Just-In-Time

E-Notification: T-5 Notification for

GranteesOnce registered, NIH will eventually provide e-mail 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

GranteesSuccess of T-5 Notification report will depend on IC use of the T-5 Receipt screen in IMPACIIT-5s will only drop off of the “due” list as the “T-5 Receipt Date” field is enteredMandatory use of T-5 Receipt Date field in IMPAC II by August 2002—tracking of FY2003 T-5s

E-Notification: T-5 Notification for

GranteesThis 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 2002New edit checks will be developed

E-Notification: T-5 Notification for

GranteesEffect on NIH Staff

Ideally--NoneRealistically, NIH staff will be involved in educating grantee community during transition period

Provide website for new reportProvide 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 ReportsGrantee interface through NIH eRA CommonsNIH 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 applicationDifferences 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 CommonsChange 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-5Institutions would have responsibility of assuring compliance before funds are drawn downAs 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 updatedEliminates 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 updatesData Submission: Still responsibility of an Authorized Official of the grantee institution. Grantees may delegate this authority to PIs

E-SNAP: WhenPilot phase beginning Sept/Oct 2002Eventually 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 OrganizationIdentification of Grantee Organization Commons S.O./Accounts AdministratorFormalize 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 RegistrationNIH Commons Grantee Organization Registration

Interactive Form

Open Site on Commons

Verification of IPF#

by NIH eRA Staff

2.

Creation of S.O./Acct. Admin.

Accountby NIH eRA System

3.

S.O./Acct. Admin. Account holder receives notification via e-Mailincluding:• Instructions -> url • IPF#• password = user name

4.E-Mail

Notification of Request to NIH Commons User Support

1.

FaxableForm

(signed)

E-SNAP: Data Security & Authorization

Creation of S.O./Accts. Administrator accountProvides S.O./Accts. Admin. with ability to create unlimited number of “secondary” accounts: S.O., A.O., P.I., TraineeProvides Password AdministrationAllows for Reassignment of AccountsModification of Account permissions

E-SNAP: Data Security & Authorization

NIH Commons offers security for grantee dataData Access

Institutional authenticationVerification of IPF by NIH as part of registrationAuthorization of institutional official via signed/faxed registration form

User authenticationCreation of user accounts only by AOsValidation 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-FlagTo 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 populatedNew 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 dataShould 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?