The Scientific Review Program Training Program

THE SCIENTIFIC REVIEW PROGRAM TRAINING PROGRAM (SRPTP)

SRP REFERRAL

April 2017

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1 Goals for This Module Communicate how SRO assignments to initiatives, SEPs, and standing committees are made. Demonstrate how to view grant applications submitted to an RFA/PAR/PA and accepted by NIH for review in QVR. Explain how to view grant applications that are ready for SRO assignment. Introduce the members of SRP Referral and their roles. Explain the difference between creating SEPs for grant application review meetings and SEP Numbers for contract proposal review meetings. Explain how SEPs and SEP numbers are created. Inform SRP about who is responsible for creating shells for contract review meetings in IMPAC. Indicate where Referral.xls is located on the R: drive. Provide information about the reasons for making an Assignment Change Request and how to complete a 901 Form. Inform SROs that Awaiting Receipt of Application (ARA) requests are no longer needed and indicate where the NIH policy on this is located. Provide information about the reasons for submitting a Noncompliant Grant Application Tracking System (NGATS) request and how to complete an NGATS request form.

Table of Acronyms ACR Assignment Change Request PI Principal Investigator ARA Awaiting Receipt of Application QVR Query, View, Report CSR Center for Scientific Review RFA Request for Applications DRR Division of Receipt and Referral SEP Special Emphasis Panel FOA Funding Opportunity Announcement SOP Standard Operating Procedure NIAID National Institute of Allergy and Infectious Diseases SRO Scientific Review Officer NIH National Institutes of Health SRP Scientific Review Program NGATS Noncompliant Grant Application Tracking System RIMS Research Initiative Management System OA Office of Acquisitions RS Review Specialist PA Program Announcement PAR A PA with special receipt, referral or review considerations

2 Table of Contents

3 1.Introduction

This module describes the grant application and contract proposal assignment process in NIAID’s Scientific Review Program (SRP): 1) How SRO assignments are made to initiatives 2) The roles of SRP Referral team members 3) How applications are assigned to Standing Emphasis Panels (SEPs) and standing committees in IMPAC. 4) How SEP Numbers are created for contract review meetings 4) Procedures for submitting an Assignment Change Request or a Noncompliant Grant Application Tracking System (NGATS) request.

2.Who Makes SRO Assignments in SRP? SROs are assigned to specific Funding Opportunity Announcements (FOAs), applications, and proposals by the SRP Assignment Committee. SRO assignments are approved by SRP Management. Assignments to FOAs with set aside funding (RFA, RFP/BAA, PAR) are made up to 18 months in advance of the peer review deadlines. Assignments are put into the Research Initiative Management System (RIMS) by Bernice Mechanic.

3.Grant Application Receipt Process SROs can check in real time the grant application submissions made to the NIH. Use the SF424 Grant Queue standard report feature in QVR to check the status Center for Scientific Review’s (CSR) at NIH conducts a quality check for grant submissions. Applications that do not meet the submission requirements stated in the FOA are identified. NIH reserves the right to return an application that doesn’t meet the requirement of the solicitation. To see what grant applications NIH has accepted, run the Status 70 standard report or the REVASSIGN standard report for the FOA from QVR. It takes 5 to 10 business days to process all submissions received in response to a FOA. It is best to wait for few days after the receipt date to run these reports. If you run them too early, they may NOT display all the applications accepted by the NIH. Grant applications processed by the Center for Scientific Review’s (CSR) Division of Receipt and Referral (DRR) that are ready for assignment to a Special Emphasis Panel (SEP) or one of NIAIDs standing committees (AIDS, AITC, MID) or sub-committee (MID-B) appear in the Peer Review Module in List of Applications> IRG/SRG Reassignment Referral. Enter the Council date and select SRC for the Flex and run the query. SRP Referral checks the IRG/SRG Reassignment/Referral section in the Peer Review Module daily to check which applications CSR/DRR have completed processing and are ready for assignment to a SRO or standing committee.

4.How to Find Grant Applications Waiting to be Assigned to a SRO

I 1. In IMPAC’s Peer Review module, go to Application Administration > IRG/SRG Reassignment/Referral. 2. In the Query Parameters section: a. Enter the appropriate Council. b. Click Look Up to find the SRA/Flex (SRO’s initials)

4 3. This opens a selection dialog box. Go to the last page. 4. Scroll down to SRC in the SRA column and click select. SRC is the pipeline for unassigned SRP applications.

This brings you back to the IRG/SRG Reassignment/Referral tab, and the SRG and SRA (SRO) fields are filled in the Query Parameters field.

5. Click Run Query to display all applications that need assignment to an SRP SRO.SRO.  This displays unassigned applications in the Hit List section.

5.NEW Federal SROs – Flex Codes When a new Federal SRO comes on board, SRP Referral sends a New SRO Memo to David Alperin, NIAID Committee Management Officer, and Shan Liang, NIAID IMPAC II Coordinator, requesting flex codes for the new SRP Federal SRO. Flex codes are made up of the SRO’s initials and A, I, and M for DAIDS, DAIT and DMID. A new SRO must have flex codes in IMPAC for SRP Referral to be able to assign applications to that SRO.

Contract SROs do not have flex codes. Review meetings that contract SROs work on are assigned to Federal SROs. Only a Federal SRO can be the Federally Designated Official for a review meeting.

5 New SRO Memo Example:

Date: January 17, 2017 To: David Alperin, Director, Office of Committee Management Shan Liang, IMPAC II Coordinator Subject: Request for Addition of SRO Code/Associated Code Information Request that the following new SRO Designator Code be added to the current NIAID codes used for reassigning applications, initially assigned to ZAI1-SRC99, to NIAID SEPs and/or chartered committees: Name: Geetanjali Bansal, PhD SRO Designator: GEB FLEX: A, I, M As always for our SROs, please use the following generic address: SRO Name, Ph.D. Scientific Review Program DEA/NIAID/NIH/DHHS 5601 Fishers Lane, MSC-9834 Rockville, MD 20852 Phone: 301-496-2550; Fax: 301-480-2408 (For FED EX: Change only the zip code to 20892)

Thank you,

6.The SRP Referral Team . Sooyoun (Sonia) Kim, MS, NIAID’s Referral Officer, is NIAID’s point-of-contact with CSR/DRR to resolve NIAID Referral issues. NIAID SROs should not contact CSR/DRR directly regarding a referral issue.

. Frank De Silva, PhD, Scientific Review Officer, is the SRO Representative on the SRP Referral team. He is responsible for SRP Referral’s standard operating procedures (SOPs) and advises on complex referral issues.

. Lucy Dickson, MA, Program Analyst, assigns grant applications to SEPs and creates SEP numbers for contract review meetings.

Members of the SRP Referral Team are back-ups for each other.

7.How are Grant Applications Assigned by SRP Referral? Training and Career Development Award Applications: Based on the subject area, Training (T32, T35) and Career Development Award (K) applications are assigned to one of the NIAID standing committees (AIDS, AITC, MID) or subcommittee (MID-B). All other applications to be reviewed by NIAID are assigned to Special Emphasis Panels (SEPs).

6 8.How are Contract Proposal Submissions Assigned? Contract proposals are submitted to the Office of Acquisitions (OA) through NIH’s electronic Contract Proposal System (eCPS). The peer review of contract proposals is managed through the electronic Reviewer Support System (eRSS). SEPs are NOT created by SRP Referral for contract proposal review meetings. Contract proposals are not submitted to CSR’s Division of Receipt and Referral for processing and are not input into IMPAC after receipt. Only awarded contract information is input into IMPAC after the award is made. The amount of information about awarded contracts that can be downloaded from QVR is very limited The SRO or RS must provide the first page of the solicitation to SRP Referral who will create a SEP Number for the review. The first page of the solicitation contains all the information needed for SRP Referral to create a SEP Number for the contract review. The SEP Number for the contract review is emailed to the SRO in a SEP Announcement. The SEP Announcement for a contract proposal review notifies the SRO of the SEP Number to be used by the Review Specialist (RS) assigned to the review to create a shell for the meeting in IMPAC’s Committee Management module.

9.How SEP Names and SEP Numbers are Created

Examples: ZAI1-LR-M-J3 (grant review meeting SEP) ZAI1-LR-M-C2 (contract review SEP number)

ZAI1 is the prefix that NIAID uses for SEPs. The second part of the SEP number refers to SRO’s initials (Flex) in IMPAC. The third part of the SEP number indicates the Division: “A” for AIDS, “M” for DMID, or “I” for DAIT. The last part of the SEP number refers to the Council: “J” for January Council, “M” for May Council, or “S” for the August electronic Council and the Sept/October Council. J1 is the SRO’s first review meeting for January Council, J2 is the SRO’s second meeting for January Council, J3 is the SRO’s third meeting for January Council, etc.

All Contract SEP Numbers have a “C” ending: In SRP, we keep track of contract review meetings by Calendar Year not by Council. “C1” is SRO’s first contract meeting in the Calendar year, “C2” is the SRO’s second contract review meeting in the calendar year, etc.

10. SEP Announcements These are emailed to the Lead SRO by SRP Referral. CCs go to the SRP Assignment Committee, Bernice Mechanic, the Lead Review Specialists, the appropriate Branch Chief, and the Review Specialist (RS) assigned to the review (if known).

7 8 11. Referral.xls Referral.xls is the Excel workbook where SRP keeps track of all NIAID applications that have been assigned to NIAID SEPs and standing committees. It also contains a list of all SEPs and SEP Numbers that have been created for review meetings on the SEP List tab along with the RFA/PA/PAR or RFP/BAA number and the name of the Lead SRO assigned to the review. It is located at: R:\Referral - DEAS Shared\Referral.xlsx

The Referral-DEAS Shared folder is read-only. Items in this folder can only be updated by SRP Referral.

12. Assignment Change Requests (ACRs)

An Assignment Change Request (ACR) is used to request a change in or correct and error in grant number. SROs complete a 901 form and forward it to SRP Referral.

An ACR is NOT needed to change the Council date or NIAID SEP/Study Section. To change a SEP or study section for application(s) that NIAID reviews, contact SRP Referral. We can re-assign the application to a different NIAID SEP or standing committee in IMPAC. No paper 901 form is needed.

The SRP ACR SOP and the paper 901 form is located on the R drive at:

R:\SRP-DEAS-SHARED\Standard-Documents\Sorted_by_Training_Module\Receipt and Referral\PreMtg_SOP_Assignment Change Request (ACR).doc

R:\SRP-DEAS-SHARED\Standard-Documents\Sorted_by_Training_Module\Receipt and Referral\PreMtg_901 form.doc

Withdrawing Applications

Non-Responsive Applications:

If an application is non-responsive to an RFA, the SRO should alert the program officer. The program officer makes the final determination whether an application is non-responsive and initiates a withdrawal request in the ACR module attaching the notification letter that program sent to the applicant and authorized institutional representation.

Withdrawal by the Applicant:

 An applicant can withdraw an application by sending an email to CSR Division of Receipt and Referral ([email protected]) and attaching a letter that is signed by both the applicant and the institutional representative.  An applicant can sign into eRA Commons and directly request withdrawal of an application.

13. Awaiting Receipt of Application (ARA) – No Longer Required for Submission

9 SROs previously sent CSR an Awaiting Receipt of Application form when an SRO was made aware by an applicant of the possibility of a late submission. CSR does not need an ARA anymore to accept an application.

There is a two week window of consideration (unless the RFP states that no late applications will be accepted) after the application due date during which the NIH might consider accepting a late application as long as the reason described in the applicant’s cover letter is one of those listed in NOT-OD-15-039, Simplifying the NIH Policy for Late Application Submission: https://grants.nih.gov/grants/guide/notice- files/NOT-OD-15-039.html 14. 15. Noncompliant Grant Application Tracking System (NGATS) Requests

An NGATS request is initiated under the following circumstances:  An application that has overlapping aims with another application under review or submitted for the same review round.  A new application that provides an introduction page and/or responds to critiques from a previous submission or includes a progress report (i.e., it looks like a resubmission or renewal).  An application that has a missing section(s) that is critical to the review of the application.  An application that has grossly circumvented the page limits of the research strategy or has noncompliant appendix.  Activity code change.

SROs complete a paper NGATS form for the application and email it to SRP Referral. Sonia Kim will review and initiate the NGATS electronically. Note: Do not submit an NGATS form when an application is put erroneously into ZAI1-SRC99; for an application that should be reviewed by CSR. Usually a member of SRP Referral identifies this issue and contacts CSR/DRR.

The NGATS SOP and the NGATS request form are located on the R drive at:

R:\SRP-DEAS-SHARED\Standard-Documents\Sorted_by_Training_Module\Receipt and Referral\PreMtg_NGATS_SOP.doc

R:\SRP-DEAS-SHARED\Standard-Documents\Sorted_by_Training_Module\Receipt and Referral\PreMtg_NGATS_form.doc

Summary – When to Use ACR or NGATS

ACR NGATS

. Change or Correct an Error in . Duplicate/overlapping Grant Number applications (i.e., an application that has overlapping aims with another application under review or submitted for the same review round).

. A new application that provides an introduction page and/or

. Withdrawal of Non-Responsive responds to critiques from a Applications to RFA (The request previous submission or a progress should be submitted by the report (i.e., it looks like a Program Officer.) resubmission or renewal). . IC Assignment Change (The request should be submitted by . Overstuffing/page limits/ the Program Officer.) non-compliant appendix

. Missing section that is critical to the review of the application.

. Activity code change.

16. NIAID SOPS for Assignment Changes and Withdrawal of an Application The NIAID SOP for the withdrawal of nonresponsive applications contains a sample letter that a Program Officer can use to send a letter to the PI of non-responsive applications:

NIAID Request for Assignment Changes from CSR SOP: http://inside.era.nih.gov/topic/funding/sop/Pages/csrassignmentchanges.aspx

Withdrawal of a Nonresponsive Application SOP: https://www.niaid.nih.gov/research/grants-withdrawal-nonresponsive-application

Investigator Withdrawal of an Application SOP: https://www.niaid.nih.gov/research/investigator-application-withdrawal

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