1 electronic Research Administration Office of Extramural Research National Institutes of Health February 2010 Interacting Electronically with NIH Sheri Cummins eRA Customer Relationship Manager

2 Electronic Interaction Points Find Opportunities Submit Application Check Submission Status Download App Package View Assembled Application Image NIH Guide Web sites/ Resources Grants.gov eRA Commons Check Review Assignment Submit Pre-Award Information Check Review Outcome Prepare/Submit Post-Award Reports Closeout Grants Update Personal and Institutional Profile Information Grant Information & Support

3 eSubmission: Two Separate, but Linked Systems Grants.gov Federal-wide portal to find and apply for Federal grant funding Used by all 26 Federal grant-making agencies eRA Commons Agency system that allows applicants, grantees and Federal staff to share application/grant information Used by NIH and a few other divisions in the Department of Health & Human Services (CDC, FDA, AHRQ, SAHMSA) IMPORTANT: Each system has its own registration and validations requirements.

4 eSubmission: Registration Grants.gov Applicant Organizations only Designate E-Business Point of Contact (E-Biz POC) Approves Authorized Organization Representatives (AORs) providing authority to submit applications No registration needed to find opportunities or download forms eRA Commons Applicant Organization & PD/PI Designate Signing Official (SO) Registers or affiliates Project Director/Principal Investigator (PD/PI) TIP: Many organizations are already registered. Check with your Office of Sponsored Projects.

5 eSubmission: Registration Tips Tips for Success: Set-up multiple AOR and SO accounts Login to accounts prior to deadline to ensure you have access to the systems If not yet registered, start the process at least 4 weeks before the deadline Once DUNS number is obtained, Grants.gov and eRA Commons registrations can be done in tandem PIs should only have one Commons account that follows them throughout their careers If PI is already registered, “affiliate” their existing account rather than creating a new one

6 eSubmission: Obtain Software Adobe Reader Only specific Adobe Reader versions are compatible with Grants.gov forms PDF conversion program Attachments must be converted to PDF Grants.gov download software page are.jsp

7 Make a Submission Plan Internal organization considerations… Submission method Downloadable forms System-to-System using XML data stream Services of a commercial service provider Application preparation responsibilities Sharing applications in progress Internal review & approval process Internal deadlines Administrators and PIs must work together!

8 Electronic Submission of Grant Applications at NIH AOR/SO PI Find and download announcement, instructions and form package. PI prepares application per institution guidelines and sends it to AOR for submission. Authorized Organization Rep (AOR) submits application to Grants.gov. eRA retrieves application from Grants.gov and checks it for compliance with application instructions. PI and AOR/ Signing Official (SO) check submission status and view assembled application in eRA Commons. PI

9 eSubmission: Find Opportunity ALL applications must be submitted in response to a specific Funding Opportunity Announcement (FOA) NIH simultaneously posts FOAs in: NIH Guide for Grants and Contracts Grants.gov Find Some FOAs focus on specific areas of research and others provide instructions and forms for general grant programs Use “Parent” FOAs for unsolicited applications

10 eSubmission: Find Opportunity in NIH Guide NIH Grants Web site Parent Announcements for Unsolicited Applications NIH Guide for Grants & Contracts

11 eSubmission: Find Opportunity in NIH Guide Review list of FOAs matching your criteria and find FOA of interest Click Announcement Number link to access FOA information

12 eSubmission: Opportunity Announcements Carefully read the entire announcement Pay special attention to Section IV. Application and Submission Information Includes FOA-specific submission instructions Instructions in FOA supersede instructions in the application guide

13 eSubmission: Opportunity Announcements Key dates: Release/Posted Date: package and instructions available for download Opening Date: application can be submitted Expiration Date: announcement closed

14 eSubmission: Opportunity Announcements Click Apply for Grant Electronically found within the NIH Guide announcement. Click download Button will take directly to Grants.gov’s download screen for the specific FOA.

15 eSubmission: Download Forms & Instructions Download application instructions and Application Package Sign-up for Agency updates to FOA

16 eSubmission: Application Guide Read and follow application guide instructions Agency-specific instructions are marked with the HHS logo

17 eSubmission: Application Forms Highlight form and use the arrow buttons to move forms to the Mandatory Documents for Submission box Highlight form on right and click Open Form or use window scroll bars to access specific form

18 eSubmission: Application Preparation Tips Tips for Success: Complete the SF424 (R&R) form first – info from this form populates fields in other forms within the package Follow FOA and application guide requirements Watch for fields that are required by NIH but not marked required on federal-wide forms oContact on SF424 (R&R) cover oCredential field for PD/PIs on R&R Sr/Key Person Profile form oOrganization for all entries on R&R Sr/Key Person Profile form Use PDF format for all attachments Do not include headers or footers oSection headings as part of the text (i.e., Specific Aims, Background & Significance) are encouraged DUNS number on application must match the DUNS used for Grants.gov & Commons registration

19 eSubmission: AOR Submits Completed Application Route your completed application to your institute’s Authorized Organization Representative (AOR) for Submission.

20 eSubmission: Submit Application The Check Package for Errors button only checks for Grants.gov errors. Must Submit application for it to go through the NIH validation process. Save & Submit activates when: All G.g mandatory fields are completed All Mandatory docs are moved to right Application is Saved

21 eSubmission: Submit Application Only the AOR can Submit application. Enter Grants.gov User Name and Password – you must be fully registered to successfully submit.

22 eSubmission: Submit Application Click Sign and Submit Application.

23 eSubmission: Submit Application Grants.gov Tracking # Date/Time Stamp - due 5 p.m. local time of the applicant org. on submission deadline date Print/Save your Confirmation screen info

24 eSubmission: On-time Submission On-time Submission All registrations must be completed prior to initial submission Submission must be accepted by Grants.gov with a timestamp on or before 5:00 p.m. local time of submitting organization on deadline date Errors/Warnings must be corrected within the error correction window

25 eSubmission: Grants.gov Processing After submission Basic Grants.gov validation checks Virus-free AOR is authorized to submit for Organization DUNS included on SF424 R&R cover form notifications sent to address on file for submitting AOR TIP: Track application at Grants.gov until AOR receives indicating the grantor agency has retrieved the application.

26 eSubmission: eRA Commons Processing After NIH retrieves application from Grants.gov Application checked for compliance with announcement and application guide requirements Processing results posted in eRA Commons notifications sent to Contact, PD/PI and AOR addresses on application TIP: can be unreliable, proactively check Status in Commons.

27 eSubmission: Logging In to eRA Commons Go to: Enter your Username and Password Username Password

28 eSubmission: Track Status in Commons – PD/PI Select Recent/Pending eSubmissions Or provide Grants.gov tracking number from notification

29 eSubmission: Track Status in eRA Commons – PD/PI Indicates eSubmission Error Grants.gov Tracking # Grants.gov tracking # and date are displayed followed by the list of errors/warnings for each submission attempt

30 eSubmission – Errors/Warnings Errors stop application processing and must be corrected Warnings do not stop application submission and are corrected at the discretion of the applicant Helpful Links Avoiding Common Errors page: Full list of Commons Validations

31 eSubmission: Error Correction Window NIH currently allows applicants to correct errors and warnings during the 2 business days after the submission deadline Initial submission made “on time” All registrations completed before deadline AOR is expected to enforce that changes are restricted to fixing errors/warnings Proof of "on time" submission and description of changes documented in Cover Letter NIH Error correction window temporarily extended to 5 business days for application deadlines on/between Jan. 25 and May 7, 2010 (NIH Guide Notice NOT-OD ). X

32 eSubmission: Application Image Generation Once an error-free application is received, the eRA system will: Assemble the grant application image Insert headers & footers Bookmark important sections Generate Table of Contents Post the assembled application image in the PD/PI’s eRA Commons account

33 eSubmission: Application Viewing Window Applicants have two (2) business days to view the assembled application before it automatically moves forward to NIH for further processing SO can Reject application within viewing window to address Warnings (if within error correction window) or to address a system issue affecting the application image If Rejected after deadline for any other reason, application is subject to late policy PD/PI will receive notification if SO rejects application If you can’t VIEW it, we can’t REVIEW it!

34 eSubmission: View Application in Commons View Appendices and Cover Letter Status is Pending Verification Follow e-Application link to view assembled application image Follow link to detailed status info

35 eSubmission: View Application in Commons TIP: Carefully review the entire application. This is your first chance to view/print the same application image that will be used by Reviewers!

36 eSubmission: Submission Complete If no action is taken during the two business day viewing window, the application automatically moves forward to NIH for further processing Any subsequent application changes are approved through and at the discretion of the Scientific Review Officer in the form of addenda

37 eRA Commons Check Review Assignment Submit Pre-Award Information Check Review Outcome Prepare/Submit Post-Award Reports Closeout Grants eRA Commons My application is submitted… …now what? Additional eRA Commons functionality Update Personal Profile and Institutional Profile Information

38 eRA Commons: Basics The functions available to users are based on the “role” associated with their account Commons is laid out in a tertiary (3) menu fashion. The top tabs show the main functions which can drill-down two (2) levels of sub-menus

39 eRA Commons: Admin Admin Manage accounts (Administrative roles only) PIs can Delegate specific responsibilities Complete PI’s eSNAP information (Delegate PI) Update Personal Profile (Delegate PPF Edit) Check application Status except Review outcome (Delegate Status) Perform all PI tasks except submitting Appointments (Delegate xTrain Authority) SOs can Delegate specific responsibilities Allow PI to submit eSNAP information to Agency (Delegate Submit) Change Password

40 eRA Commons: Institutional Profile Institutional Profile File (IPF) Central repository of information for registered organizations Signing Official (SO) establishes and maintains profile data for applicant/grantee organization Includes: Preferred institution name and contact information Signing Official’s name(s), , and phone number Institutional DUNS number Institutional Assurances and Certifications addresses for electronic distribution of Notice of Award and other notifications

41 eRA Commons: Personal Profile Personal Profile File (PPF) Each Commons user is responsible for maintaining their profile information Includes: Identification of Continuous Submission eligibility for Reviewers Personal information such as name, contact information, date of birth, race/ethnicity, etc. Employment history Degrees and Residency information Publications Ability to monitor submission of Reference letters TIP: Update Degrees/Residency info to ensure system correctly calculates Early Stage Investigator status.

42 eRA Commons: Status Users with SO or other administrative roles use the Status Search screen to identify applications/grants to work on. PIs can choose to work from the list of Recent Pending eSubmissions or the List of Applications/Grants.

43 eRA Commons: Status Application/Grant Hit List STATUS is your LINK to the Action! Click App ID for detailed Status info Action links: JIT, eSNAP, Closeout, NCE (SO only), Reject eApplication (SO only)

44 eRA Commons: Status Review Assignment Primary Institute Assignment Study Section Assignment Key Contact Information

45 eRA Commons: Status Review Outcome Only the PI can view Summary Statement, Priority Score and Percentile information.

46 eRA Commons: Status - Just-In-Time Just-In-Time (JIT) Allows PIs, AOs & SOs to prepare and SOs to submit additional grant application information requested by NIH prior to making an award decision Other Support Date of Institutional Animal Care and Use Committee (IACUC) Date of Institutional Review Board (IRB) approval Human Subject Education documentation Available for applications that meet established business criteria and fall within a certain percentile or priority scoring range TIP: Only submit JIT information upon NIH request.

47 eRA Commons: Status - No Cost Extension No Cost Extension (NCE) Electronically submit a notification to exercise one- time authority to extend without funds the final budget period of a project period of a grant NCE link appears 90 days before the end of the project period SO can extend project period by 6, 9, or 12 months notification sent to NIH Grants Management staff when SO processes the extension

48 eRA Commons: Status - Closeout Closeout Electronically submit required Closeout documents for applications in Closeout status Final Financial Status Report Final Progress Report Final Invention Statement Grants Management Specialist at NIH must mark the grant “ready for close out” before link appears in Commons TIP: If you don’t see a Closeout link and you think it should be available, contact your assigned Grants Management Specialist.

49 eRA Commons: eSNAP Electronic Streamlined Non-competing Award Process (eSNAP) Electronic submission of annual SNAP Progress Reports Benefits: Submission deadline is 45 days prior to start date instead of 60 days Reduces duplicate data entry

50 eRA Commons: FSR Financial Status Report (FSR) Statement of expenditures usually due within 90 days from end of budget period or project period Schedule for submitting FSR is normally specified in the Notice of Grant Award Must have an account with the FSR role to create/submit the FSR

51 eRA Commons: xTrain xTrain Electronically process the required paperwork associated with awarded training grants Create, route and submit Appointments, Re- Appointments, Amendments and Termination Notices Track the status and timing of training actions TIP: NIH is moving towards requiring the use of xTrain. Gain experience now.

52 eRA Commons: Financial Conflict of Interest Financial Conflict of Interest (FCOI) Initiate and prepare a FCOI notification Submit the FCOI notification and supporting documents electronically to Agency Search and View FCOI notifications previously submitted through Commons Edit or rescind submitted notifications Access history of actions

53 Resources Support Desks, FAQs, Web sites

54 Grants.gov Support Resources Grants.gov Contact Center Assistance with: Grants.gov registration; form behavior & navigation; issues submitting to Grants.gov site Phone: Help Page Resources, FAQs, Troubleshooting Tips Download Software Page

55 NIH & eRA Commons Resources eRA Commons Help Desk Assistance with: eRA Commons registration, eRA system validations Create ticket on Web: Phone: Toll Free: TTY: Business hours M-F, 7am-8pm ET

56 NIH & eRA Commons Resources Web sites: eRA Commons: Electronic Research Administration: Electronic Submission Information: NIH Grants Information Page: Enhancing Peer Review: review.nih.gov/restructured_applications.htmlhttp://enhancing-peer- review.nih.gov/restructured_applications.html

57 Learn About Grants NIH GUIDE FORMS & INSTRUCTIONS, SUBMISSION DATES GLOSSARY, FAQS GET CONECTED BASICS eRA, Commons, eSubmission

58 Questions?