Funding Proposals

Additional information may be found at eSRA.lbl.gov/topics.

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Contents

1 Budgets & Period of Performance
2 Proposal Questions seem to be missing
3 Concerns about People
4 Other Proposal Data Fields
1. 4.1 I can't upload an attachment to my proposal
2. 4.2 Financial Conflict of Interest (COI):
5 Related B&R Codes
6 Problems with Activity Buttons
1. 6.1 Create Document for Manual Submission
2. 6.2 Science is Final
7 Routing & Approvals
8 Mentor does not have the "Approve Fellowship for Division Review" activity
1. 8.1 PI Approval of the Non-Competing Continuation does not go to the Division Reviewer
9 Special Proposal Types:
10 Flow-Thru Proposal Scenarios
1. 10.1 My M&O Integrated Contractor proposal is a flow thru. How do I enter the Prime Sponsor?
2. 10.2 Sometimes we "know" that the proposal we submit where we are a subaward will be funded directly to us by the prime agency. How do we handle these?
11 After the Proposal has been submitted
12 Other Questions

Budgets & Period of Performance

I copied a proposal and changed the beginning date, but the end date won't change correctly.

This is an intermittent problem and we can't determine the cause; but it seems the original end date is getting stuck in the background of the proposal. Use this work-around:

Delete the last project period.
Click "save."
Add the last budget period back in.

If this does not solve the problem on the first try, submit a help request for technical assistance.

Budget Periods are Overlapping or the end date isn’t calculating correctly.

This is an intermittent problem and we can't determine the cause; but we have a work-around:

Option 1: Re-enter the Budget Periods

Delete all the budget periods and re-add them one at a time.
The correct dates should be filled in.

Option 2: Trigger individual budget periods to re-calculate the end date

Change the number of months on the period of performance in the first budget period with a problem.
Let eSRA re-calculate the end date for that period.
Change the budget period back to the correct number of months.
Repeat, if necessary, for each budget period affected.

If neither of those options fixes your problem, submit a help request for technical assistance.

How do I change the end date on the Period of Performance?

The end date is automatically calculated from the individual periods based on number of months.

First, enter the start date.
Second, adjust the number of periods and the length of the periods. This should correctly change your end date.

I need a specific end date for a Grants.gov application:

If the end date for a Grants.gov application cannot be derived in the normal way, then you need to manually adjust the end date in the SF424 application JUST BEFORE SUBMITTING the application to Grants.gov.
Work with the Budget Office Contracts Officer that will be submitting the proposal to Grants.gov.

I need a specific end date for a non-Grants.gov application:

Enter information in eSRA that will provide an end date close to what you need.
Communicate with the Budget Office or IPO Contracts Officer so the proposal is submitted to the sponsor correctly.
The specific end date on the award will be adjusted during award preparation based on the end date in the signed award document.

Proposal Questions seem to be missing

Why do some the proposal Views seems to skip numbers.

Questions have numbers for easy reference and to assist with training identification of specific questions.
Not all questions are required for all proposals. If your proposal, based on questions answered on previous Views, do not require all questions, they will not be displayed for you.

Question I used to answer are not available any more, what happened?

In FY17-FY18, eSRA is implementing a Streamlining (User Optimization) Project to identify questions that are not needed based on questions answered on previous Views. This Project will be implemented over several months and information about the optimizations will be posted on the eSRA Announcements page of this website.
If you believe an essential question is missing, please contact eSRAHelp@lbl.gov and the Team Leader of the Streamlining Project will investigate and answer questions for you. If a question was incorrectly removed, the eSRA Team needs to know this in order to remedy the situation.

Concerns about People

I can't find the people I need to add to my proposal.

Note: Every person involved with your proposal might not need to be listed.

I can’t find a scientist on the principal investigator selection list.

Two things are required for a scientist to be included on the principal investigator selection list:

the role of PI in the eSRA system, and
a Researcher Profile.

Follow the instructions in the eSRA Training Guides to create a Researcher Profile.
After the Profile is created, you should be able to select the scientist as a principal investigator.
If you are still not able to locate the person on the PI selection list, submit a help request to give the person the PI role.

The PI’s Research Division is incorrect on View 2 for the PI.

The information about the PI's Division comes from the HRIS system and we do not/cannot update the source data. We know that the following instances may require a correction to the Research Division in View 2:

When the PI is a Division Director, their Division might be listed as Administrative Services or Laboratory Directorate. These fields will need to be corrected on every proposal submitted.
When the PI is the Laboratory Director but is submitting a research proposal, it would be correct to select the Division in which the research will be managed.
When a PI works with multiple Divisions and is submitting a proposal to be managed in a Division other than his or her primary Division.

How do I fix it?

The instructions are in the help text of View 2.0.
Edit question 2.b to assign the Research Department for the PI. The Research Division specified in question 2.a will then be updated accordingly.
Unfortunately, this might require some trial and error since multiple Divisions have similar department names.
If you need assistance, submit a help request and specify the proposal #, the PI’s name, the correct Division and department.

Why is it important to update the Division in the proposal?

Division is one of the search criteria on the global proposal lists.
This is the field that drives the routing for approval by the Division. If this answer is incorrect, notifications will be sent to the wrong people (or none at all), and it will require the Help Desk to make a correction so the approvals can be completed.
This field is used for reporting purposes.

How do I give a co-PI (or others) access to the proposal?

The PI and RA automatically have access to proposals where they are named. Division Reviewers have access to proposals in their division.
To give a co-PI (or anyone) access to a proposal, the RA or PI can select them in questions 2.f (edit access) or 2.g (read access) when preparing the proposal or when you are able to edit the proposal because changes were requested.
If you need to add someone after the proposal has been submitted, contact the help desk and provide the specifics.

Other Proposal Data Fields

I can't upload an attachment to my proposal

We've found this problem to be associated with security permissions in Internet Explorer 9 ('IE9'). Contact the IT Help Desk for assistance changing the security settings in IE.
You might also try using a different browser.

Financial Conflict of Interest (COI):

eSRA has a place to upload the DFI-II and the 700U. Does eSRA send the forms to RIIO?

No. RIIO requires wet signatures on all DFI-II and 700U forms so the paper forms must still be submitted.

All DFI-II forms should be sent to the RIIO office.
Positive disclosures for the 700U should be sent to RIIO by the Division.
Negative disclosures for the 700U should be sent to the Contracts Officer at the IPO.

I can't get the FCOI signed before the application is due. How can I attach it to the application?

FCOI documents are required before submission and should always be uploaded before the proposal is sent. However, in the rare instance when you have the document, but not the signature, follow these steps:

Consult with the LBNL CO to confirm this will be programmatically acceptable.
Upload the draft of the FCOI with all questions answered and only the signature missing in the appropriate place in the eSRA proposal.
Answer the "yes/no" question to indicate the answer the scientist provided on the FCOI form.
When the signed form is obtained, use the "email team" activity and select the CO. In the comments box, explain the attachment and attach the document(s). This will send an email notification to the CO and store the communication in the history section of the eSRA proposal.
The CO needs to submit a help request to substitute the signed version inside the actual proposal in View 4. We request that the CO do this so the substitution of this important document does not happen without the CO’s involvement in the process.

I can't find the location I want on the NEPA-CEQA Building drop-down list.

First, remember this location does not need to be room-specific. You just need to identify the building.
If you need to have a building location added to the drop-down list; submit a help request.
Help Desk staff can make the addition to the list and you will be able to select the new location.

Related B&R Codes

How do I know which B&R Code to select?

You should select a code for which LBNL already receives funding from DOE in the WAS (Work Authorization Statement).
Check with the PI or your Division Management to determine which scientific codes you are funded under and use the code that accurately reflects the scientific nature of this research proposal.

Can you add 400903070?

No, that B&R code is a financial type of B&R code. For the funding proposal question LBNL requires a scientific Related B&R code. That code will usually start with two letters.

The Related B&R Code I need isn't on the list

WFO cannot receive funding in Related B&R codes where we are not already receiving funding directly from DOE. Therefore, all acceptable Related B&R Codes should be on the list for your WFO proposal.
If you cannot find your code and need to request it be added, please reference the specific WAS where LBNL received funding under this new code when you submit your help request ticket.
The Help Desk staff will then forward the request to a central OCFO staff person delegated with maintaining the related B&R codes for three separate systems so they remain in-sync with each other.

I need more information, such as longer descriptions, about Related B&R Codes to help me make a selection

eSRA and LBNL do not have more comprehensive lists, but you can refer to the DOE Budget and Reporting Classification Codes (BARC) Report at https://iportalwc.doe.gov/webcenter/content/conn/iPortalContent/path/MyWebCenterSpaces/EFASC1/BARC/index.htm

Problems with Activity Buttons

Create Document for Manual Submission

I only got the SF424 Subaward Budget PDF and not the rest of the documents.

Explanation: This activity will combine PDF documents into a single PDF document for submission to the sponsor. A fillable form PDF is an entirely different kind of document, which, unfortunately, has the same file extension and inclusion of a fillable PDF form in View 8.5 confuses the eSRA system.

Take these steps:

Remove the SF424 subaward fillable form budget from View 8.5.
Print the SF424 subaward budget as a PDF.
Upload the printed subaward budget into View 8.5.
Use Create Document for Manual Submission to create that single PDF for submission to the sponsor.
Send the fillable form PDF subaward document using Email Proposal Team to send it in an email to the LBNL Contracts Officer.

The activity displays multiple copies of each document to put into sequence.

Try it again in a different browser. Some people are having better experiences with different browsers, but since it is not consistently better with one browser over another, it might be related to your specific browser settings. If you are still having trouble, submit a help request.

How can I exclude a document when I compile the proposal for manual submission?

This activity is designed to compile all of the PDF documents included in View 8.5 into a single document for submission.
If a document should not be included in the submission to the sponsor, then it should not be uploaded into View 8.5.
If you have documents that you want to save with the proposal, but they do not belong in the submission to the sponsor, use "Log General Comment," add a comment about the document and attached it there. It will be stored in the history of the proposal.

Science is Final

I need to mark the science is final and I can't find the activity button.

It is most probable that you are trying to locate the activity while the proposal is in a state where you do not have edit permissions, such as after the proposal has been routed for approval.
Check the upper left of the screen just below the orange box to see if you have the "Edit Submission" button available to you.
If you need to mark the science is final after it has been routed, you need to request it be sent back to you for changes so this activity becomes available to you.

Routing & Approvals

How can I tell where my proposal is in the review and approval process?

The current state is displayed in the yellow/orange box in the upper left corner of the proposal workspace.

How can I tell who received notifications from the system?

Go to the history tab and click on the activity's hyperlink.
You will see additional information about the activity.
Click on the 'Notifications' tab.
Under the 'Recipients' heading, you will see who received notifications and the email address they have recorded in the eSRA system.
Notifications are sent from the system based on roles.
Some people have opted to remove their email address from eSRA and you will see their name listed along with an indication of no email address. For those people, they will still find the proposal, award, or modification inside of eSRA in its appropriate place, just no email notification.

The Link in Approval Request Notification email doesn’t work.

The most probable cause is because you are using a computer that is not connected to the LBNL network.
The eSRA System is behind the LBNL firewall.
Access through the email notification from outside of the Lab requires VPN access.
Enable the Virtual Private Network (VPN) on the computer and try again.
VPN information is available from the Lab's A‐Z Index. https://commons.lbl.gov/display/itDivision/VPN+-+Virtual+Private+Network
If the email link is not working for some other reason, you can access the proposal by logging directly into eSRA and finding the proposal in your personal workspace.

How can I Approve a Proposal when I’m Out of the Office?

Planning ahead is the best process.
With approval from the Contracts Officer, the PI can provide approval in eSRA for a proposal that is otherwise complete, but with draft science.
For Division Approval, most Divisions have a back‐up reviewer. That person might be able to review and approve the proposal.
People on travel or working remotely can access the system using VPN.
VPN (Virtual Private Network) information is available from the Lab's A‐Z Index. https://commons.lbl.gov/display/itDivision/VPN+-+Virtual+Private+Network

The proposal notification went to the wrong Division Reviewer.

Cause: Incorrect Division Reviewer specified for the Division.

The most likely cause of a person incorrectly receiving notifications is that their name is included on the Division Reviewer list for the Division's Profile.
If the Division reviewer list needs to be updated for your Division, the Division director, associate Division director, or Division business manager should submit a help request to update the list for their Division.

Cause: Incorrect Division identified in question 2.a of the proposal.

Submit a help request.
Help Desk staff will route the proposal back to the Research Team (PI and RA) for correction to the proposal. This will unlock the proposal and enable editing.
When the corrections are routed back to the Division for approval, the proposal will be in the inbox for the correct Division reviewers, but the notification will indicate that requested changes have been made rather than the notification requesting review and approval.
Additional communication may need to take place outside of eSRA with the Division reviewer to clarify what is needed from them.

Mentor does not have the "Approve Fellowship for Division Review" activity

Remember that only LBNL mentors will have access to the eSRA system.

The most common cause is incorrectly identifying the mentor in the eSRA proposal.
The Mentor must be named in the Fellowship section of View 4 (not the senior/key person section). This will be the last question on View 4.
The proposal is now in a state where it can only be routed forward or back by a mentor who hasn’t been identified. Submit a help request and the Help Desk staff will route the proposal back to the Research Team (PI and RA) for correction to the proposal. This will unlock the proposal and enable editing.
When the corrections are then routed back to the mentor for approval, the proposal will be in the inbox for the correct mentor, but the notification will indicate that requested changes have been made rather than the notification requesting review and approval.
Additional communication may need to take place outside of eSRA with the mentor to clarify what is needed from them.
Ask the Mentor to log in again (or refresh his or her browser) and the activity should be shown correctly.

PI Approval of the Non-Competing Continuation does not go to the Division Reviewer

This is correct. Division approval is not needed on NIH non-competing continuations.

Special Proposal Types:

Grants.gov proposals

The information for Grants.gov proposals is now contained on a separate page within the FAQs.

How do we submit proposals to NETL?

Although NETL is another DOE Lab, funding usually comes in through the WAS.
The proposal is submitted by the division with a FWP
Make the following proposal choices:

1.a.1 = DOE Direct
1.s.2 = DOE Other

ESNet proposals should not have Homeland Security Burden - How do I fix this?

Sometimes the Homeland Security Burden pops up on an ESNet proposal. Why does eSRA do that and how can I fix it?

eSRA applies the Homeland Security Burden when any of the Homeland Security questions are answered "yes." The problem with ESnet comes when the proposal is to one of the Defense or Intelligence agencies identified in the 4th question.

The workaround is this:

Indicate "no" in the 4th question
Document the proposal by logging a comment that the question was answered "no" as instructed by this workaround so the Homeland Security Burden will correctly not be applied.

UC Discovery

A UC Discovery proposal is a type of 'gift' and I'm having problems with View 9 since the new Gift process was implemented in November 2016

You are correct. Although UC Discovery is awarded as a specific type of 'Gift' the proposal is processed more like an SPP proposal. The eSRA Team is aware of the problem, but have not yet determined a solution.

The workaround is this:

Start to prepare your UC Discovery proposal with the normal answers. When you get to View 9.3.G, follow these instructions:

Jump to View 1.0 and change the answer to question 1.a.1 - Proposal Type to Strategic Partnership Program and 'Save'
Jump to View 9.A and enter the Project Period and budget type, then 'Save'
Jump to View 9.3.C and enter the budget information in the first questions and 'Save'
Jump to View 1.0 and change the answer to question 1.a.1 - Proposal Type back to Gifts and 'Save'
Jump to View 9.3.G and finish completing the proposal.

If you have further difficulties, contact eSRAHelp@lbl.gov and the Functional Team Leader will assist you.

Flow-Thru Proposal Scenarios

My M&O Integrated Contractor proposal is a flow thru. How do I enter the Prime Sponsor?

There are very few instances when the proposal flows through from an organization other than DOE and eSRA does not provide an option for M&O flow-thru in question 1.a.2. Please contact eSRAHelp@lbl.gov and provide the prime sponsor's name. The help desk will enter the information in the background for you. The prime sponsor will then be displayed in the proposal workspace and also carried forward to the award, if funded.

Sometimes we "know" that the proposal we submit where we are a subaward will be funded directly to us by the prime agency. How do we handle these?

First, the over-arching principle is that we enter the proposal into eSRA based on what we submit in the proposal.
Although it is highly likely that NASA or DOE will fund us directly rather than through another institution, that is not a certainty.
If we receive an award that is funded directly by the sponsor, we make those adjustments during negotiations.
Some of these types of scenarios pose complications. How to handle some of these are detailed here. If you have a different scenario, submit a help request for guidance. We will assist you and update these Knowledge Documents for future reference.

Scenario 1: We are subaward on a proposal to NASA:

Complication: It is most likely that we will be funded directly from NASA. FAC would be waived for a university or small business, but not for NASA. How to proceed?

Create the proposal budget with FAC included because it is most likely that we will be funded directly by NASA and you do not want to under propose.
When you enter the budget numbers into View 9.3__, put zero dollars for FAC, and instead, include those dollars in the Other Indirect Cost amount.
Let the CO know what you are doing and use "Log General Comment" in eSRA to document the file.
After the proposal is submitted to the sponsor the proposal editing will be locked, so the RA or CO will not be able to make any changes.
The CO should not send the proposal to DOE for review until the actual sponsor that will fund us is determined during the Negotiation stage.
If the proposal is awarded directly from NASA:

The Contracts Officer can use the activity "Update Sponsor and Application Number" to change the sponsor to NASA.
Jump to View 9.3 to confirm that the FAC Waiver has changed automatically with the change of the sponsor name.
Submit a help request to correct the individual budget periods moving the FAC dollars from the Other Indirect Costs into the FAC category.

If the proposal is awarded as a sub as originally proposed:

We need to notify the direct sponsor that FAC, included in the budget, will be waived for them and send them an adjusted budget.
Submit a help request to correct the individual budget periods moving the FAC dollars from the Other Indirect Costs into the FAC category so the FAC Waiver request to DOE-BSO will be correct.

Scenario 2: We are subaward on a proposal to DOE:

Complication: It is most likely that we will be funded directly from DOE. FAC would be waived for a university or small business, but would be "not applicable" for DOE. WFO proposals and DOE proposals are handled differently when awarded. How to proceed?

Prepare your budget without FAC.
After the proposal is submitted to the sponsor the proposal editing will be locked, so the RA or CO will not be able to make any changes.
Use "Log General Comment" in eSRA to document the file.
If the proposal is awarded directly from DOE:

Use the “Copy proposal” activity.
Use the “Discontinue Proposal” activity and include a note that the proposal was funded directly by DOE.
Use the link in the history section when the proposal was copied to go to the new eSRA proposal.
Edit the copied proposal and change the following answers to:
1.a.1 = DOE Direct
1.a.2 = DOE Office of Science, EERE, NNSA, or DOE Other [Note: The reason to not change this to “PS Project Creation” is that ghost data from the original proposal will remain and may cause system confusion.]
1.a.3 = N/A – no proposal sent
Review the proposal information and change the answers as necessary.
Proceed with the processes to generate a project from this proposal.
Submit a help request as needed.

If the proposal is awarded as a subaward as originally proposed:

No changes should be needed.

After the Proposal has been submitted

Change to “positive” answer on Financial Conflict of Interest (COI)

Scenario 1: CO requests updated FCOI during Negotiations with NIH (or other sponsors)

CO sends request to RA and/or PI using “email Proposal Team” and makes a note in the comments field that the FCOI forms need to be confirmed as still current or new ones submitted.
RA replies back using “email Proposal Team” to select the CO and makes a note in the comments field that the FCOI forms are still current or that new ones are attached. Attachments should be included with the “email Proposal Team” activity.
If there are any positive answers, CO uses activity “Request COI Approval” which will:

Send email to RIIO directing them to find the new forms in the history section of the proposal.
Change the COI approval status to “Pending Approval.”
Display the proposal in the inbox for RIIO.
Make the COI approval activity available to RIIO.

RIIO follows standard processes to review and approve.

Scenario 2: Division submits FCOI without prompting

Division staff should use “email Proposal Team” to send email to the CO and use the comment section to explain new FCOI forms are attached. Attachments should be included with the “email Proposal Team” activity.
If there are any positive answers, CO uses activity “Request COI Approval” which will:

Send email to RIIO directing them to find the new forms in the history section of the proposal.
Change the COI approval status to “Pending Approval.”
Display the proposal in the inbox for RIIO.
Make the COI approval activity available to RIIO.

RIIO follows standard processes to review and approve.

Add document to proposal after submission to sponsor

Scenario 1: CO relays a request from the sponsor for additional information

CO uses activity “Request Info for Sponsor” which sends the request to the Division. [Note: A PDF of the email request can be added to the request, if needed.]
Division uses activity “Upload Sponsor Requested Information” to reply.
CO sends the information to the sponsor outside of the eSRA system.

Scenario 2: PI receives request directly from the sponsor for additional information

Use the activity "email team" and select the CO.
In the comments box, explain what action is required with the file and attach the document(s).
CO sends the information to the sponsor outside of the eSRA system.

Scenario 3: We want to add support documentation for later reference

Use the activity "Log General Comment."
In the comments box, explain which file is being added (and why) and attach the document(s).
This document(s) will be stored in the history section of the eSRA proposal.
No email notifications are sent.

Scenario 4: We want to send support documentation to the CO, but it doesn’t need to go to the sponsor.

Use the activity " email team" and select the CO.
In the comments box, explain why this is being sent and attach the document(s).
This document(s) will be stored in the history section of the eSRA proposal.
Email notification is sent to the CO.

Update the Advance Information

If a signed Agreement has not been send out to the sponsor, and an invoice has not been generated by Accounting, can we update the Advance Invoice amount in eSRA?

Yes, that the information can be updated; but the method is dependent on several circumstances.

If the proposal has not been sent to the sponsor yet, the Contract Officer can route the proposal back to you for changes.
If the proposal has already been sent to the sponsor, then the proposal is locked and you would need to send a request to eSRAHelp@lbl.gov to update the advance in the proposal.
If the proposal is in the "Award Pending" state, then the proposal information has already been copied from the proposal to the award and the correction should be made by the Contract Officer in the Award.

How can I change the Related B&R code after the proposal is submitted?

The proposal is locked from edit once it is approved by the Contracts Officer. Submit your request including the funding proposal number and the correct Related B&R code to the help desk. A Site Administrator will update the proposal and log a comment that it was changed.