1. From your ideas… 1 … into our systems… …to advance medical discovery. Interacting Electronically with NIH Sheri Cummins NIH eRA Customer Relationship Manager Electronic Submission of Grant Applications Scarlett Gibb NIH eRA Customer Relationship Manager eRA Commons

2. NIH Grants Web Site NIH Guide / Grants.gov Grants.gov eRA Commons Electronic Interaction Points 2 Learn About Grants Find Opportunities Download App Package Submit Application Check Submission Status View Assembled Application Image

3. 3 Electronic Submission Required! Electronic submission via Grants.gov is required for ALL competing grant applications with the exception of Complex, Multi-project applications (Project/Centers)* *These grant mechanisms will continue to use the paper PHS 398 application process until a transition to electronic submission is scheduled, announced and implemented.

4. eSubmission Website http://grants.nih.gov/grants/ElectronicReceipt/index.htm 4

5. 5 Two Systems Working Together Grants.gov eRA Commons The Federal government’s single online portal to find and apply for Federal grant funding. Used by all 26 Federal grant-making agencies. Electronic Research Administration system that allows applicants, grantees, and Federal staff to access, share and transmit information related to applications and awarded grants. Used by NIH and other HHS components As of the end of July 2012, CCR services will be managed through SAM.gov.

6. 6 RegistrationGrants.gov Applicant organizations only Registration user guides, tutorials, and checklists http://www.grants.gov/applicants/get_registered.jsp No registration needed to find opportunities or download application forms eRA Commons Applicant organization, Signing Official (SO) & Project Director/Principal Investigator (PD/PI) Prepare to Apply and Register http://grants.nih.gov/grants/ElectronicReceipt/preparing.htm#4

7. 7 Obtain Software Adobe Reader Only specific Adobe Reader versions are compatible with Grants.gov forms PDF Conversion Programs Attachments must be converted to PDF NIH PDF guidelines and tips: http://grants.nih.gov/grants/ElectronicRecei pt/pdf_guidelines.htm http://grants.nih.gov/grants/ElectronicRecei pt/pdf_guidelines.htm

8. 8 Find Opportunity and Download Package NIH posts Funding Opportunity Announcements (FOAs) on: –NIH Guide for Grants and Contracts http://grants.nih.gov/grants/guide/index.html http://grants.nih.gov/grants/guide/index.html FOAs include “Apply for Grant Electronically” button to download forms package and instructions from Grants.gov –Grants.gov

9. 9 Find Opportunity NIH Office of Extramural Research http://grants.nih.gov/grants/ http://grants.nih.gov/grants/ Parent Announcements for Unsolicited Applications NIH Guide for Grants and Contracts http://grants.nih.gov/grants/guide/ http://grants.nih.gov/grants/guide/

10. 10 Finding FOAs in NIH Guide Review list of FOAs matching your criteria and find FOA of interest Click Announcement Number link to access FOA information

11. 11 Funding Opportunity Announcement Read and follow all announcement instructions Pay special attention to Section IV. Application and Submission Information –Includes any FOA-specific submission instructions –Instructions in FOA trump instructions in the application guide

12. 12 FOA Notes Click Apply for Grant Electronically button found within the FOA in the NIH Guide. Select highest available Competition ID if more than one choice is presented Click download. Excerpt from PA-11-260 FOA Links to Grants.gov Download Application page for the FOA

13. 13 Download App. Instructions & Package Download application instructions and application package Sign up for Agency updates to FOA

14. 14 Application Guide Read and follow application guide instructions Agency-specific instructions are marked with the HHS logo

15. SF 424 (R&R) Data Set NIH uses the SF424 Research & Related (R&R) data set –Owned and maintained by Grants.gov NIH electronic grant applications include: –Federal-wide (R&R) components NIH does not have control over which fields are marked required in these government-wide forms –Agency-specific (PHS) components 15

16. 16 Grant Application Package Screen Make sure you have the correct application package. FOA information is automatically populated and not editable. Save the package locally. Mandatory Grants.gov fields highlighted yellow with red box. *Application Form Screen - Top*

17. 17 Grant Application Package Screen Mandatory Documents must be completed prior to submission. *Application Form Screen - Bottom* Complete the SF 424 (R&R) form first—info from this form pre-populates fields in other forms in the package. See application guide to determine which Optional Documents you need to complete.

18. Completing the Application 18 Tips for Success: Follow FOA-specific guidelines (e.g., special attachments, specific section headings) Follow application guide requirements Follow guidelines for fonts and margins Do not include headers or footers - Section headings as part of the text are encouraged Avoid 2-column and “landscape” formats

19. Avoiding Common Errors Watch for fields that are required by NIH but not marked required on federal-wide forms ADOBE-FORMS-B1 & later: Project/Performance Site DUNS is not required by Grants.gov, but is still required by NIH for federal reporting. 19

20. More fields that are required by NIH but not marked required on federal-wide forms Organization name is used to determine reviewer conflicts and is required for all Sr/Key entries eRA Commons Username must be supplied in Credential field for everyone with PD/PI role Avoiding Common Errors Enter PI Commons Username Enter Organization Name 20

21. Avoiding Common Errors Use PDF format for all attachments –Use simple PDF-formatted files Do not use Portfolio or similar feature to bundle multiple files into a single PDF Disable security features like password protection –Keep file names to 50 characters or less and use only letters, numbers and underscore (_) –Do not include headers or footers Section headings as part of the text are encouraged –Follow guidelines for fonts and margins –Avoid 2-column and “landscape” format PDF Guidelines: http://grants.nih.gov/grants/ElectronicReceipt/pdf_guidelines.htm http://grants.nih.gov/grants/ElectronicReceipt/pdf_guidelines.htm 21

22. 22 AOR - Submit Application Check Package for Errors button only checks to make sure the application meets Grants.gov requirements. Save & Submit button will not become active until application is saved and mandatory information is completed. An AOR must submit the application for it to be checked against NIH application requirements. NIH errors/warnings will be displayed in the eRA Commons.

23. 23 AORs: Enter your Grants.gov username and password—you must be fully registered to successfully submit an application. Only AORs can submit! AOR - Submit Application

24. 24 AOR - Submit Application Click Sign and Submit Application button to record electronic signature and initiate submission process to Grants.gov.

25. 25 AOR - Submit Application Print/save your confirmation screen info. Grants.gov Tracking # Date/Time Stamp - due 5 p.m. local time of the applicant organization on deadline date

26. On-time Submission On-time Submission : Error-free applications must be accepted by Grants.gov with a time stamp on or before 5:00 p.m. local time of the submitting organization on the due date. A few important reminders: –NIH recommends submitting early (days, not minutes!) to allow time for correcting any errors found during the application viewing window prior to the due date –NIH’s late policy does not allow corrections after the due date –All registrations must be completed before the due date

27. Trouble submitting due to system issues? When Grants.gov or eRA system issues impact your on-time submission… –Contact appropriate support to try to get resolution If working with Grants.gov, contact eRA Commons Help Desk to document issue and steps taken toward resolution –If the eRA Commons Help Desk verifies that a system "bug" or service interruption has occurred, they will provide instructions to complete the submission Once resolution is provided, you must immediately (typically same business day) complete the submission Failure to quickly follow through after guidance is given may result in your application being denied further consideration –Document your issues and corrective actions including support ticket numbers in cover letter 27

28. 28 Track Application AORs track application status at Grants.gov Signing Officials (SOs), Principal Investigators (PD/PIs) and Assistants (ASSTs) track application status in the eRA Commons

29. Track Application – Grants.gov (AOR) Grants.gov application status 29

30. Track Application – eRA Commons Commons “Status” is an integral part of electronic application submission: –Applications are retrieved from Grants.gov by eRA Commons and checked against NIH application and funding opportunity instructions –Processing results are available in eRA Commons Status tab to SOs, PD/PIs and delegated assistants –E-mail notifications concerning processing results are sent 30

31. 31 Check Status in Commons – PD/PI Select Recent/Pending eSubmissions Or provide Grants.gov tracking number from e-mail notification

32. Track Status in eRA Commons – PD/PI Grants.gov tracking #/date are displayed, followed by the list of errors/warnings for each submission attempt 32 Indicates eSubmission Error Grants.gov tracking #

33. 33 Track Status in eRA Commons Errors stop application processing and must be corrected Warnings do not stop application processing and are corrected at the discretion of the applicant Helpful Links Avoiding Common Errors page: http://grants.nih.gov/grants/ElectronicReceipt/avoiding_errors.htmhttp://grants.nih.gov/grants/ElectronicReceipt/avoiding_errors.htm Full list of Commons Validations: http://grants.nih.gov/grants/ElectronicReceipt/files/SF424RR_Validation.pdf Errors/warnings must be corrected by the submission deadline in order for the submission to be considered on time!

34. 34 View Application Image Once an error-free application is received by NIH, the eRA system will: –Assemble the grant application image –Insert headers (PI name) and footers (page numbers) on all pages –Generate Table of Contents and bookmark important sections –Post the assembled application image in the PD/PI’s eRA Commons account

35. 35 Application Viewing Window Applicants have two (2) business days to view the assembled application image before the application automatically moves forward for further processing SO can Reject application within viewing window and submit a Changed/Corrected application If you can’t VIEW it, we can’t REVIEW it! prior to the due date

36. 36 Status – View Application Image View Appendices and Cover Letter Status is Pending Verification Follow e-Application link to view assembled application image Follow link to detailed status info

37. 37 Status – e-Application TIP: Carefully review the entire application. This is your chance to view/print the same application image that will be used by Reviewers!

38. 38 Submission Complete! If no action is taken during the two business day viewing window, the application automatically moves forward for further processing at NIH Any subsequent application changes are subject to the NIH policy on late submission of grant applications and the NIH policy on post-submission application materials

39. eRA Commons 39 Grant Administration in eRA Commons My application is submitted… …now what? Additional eRA Commons features Update Personal Profile and Institutional Profile Information Check Review Assignment Check Review Outcome Submit Pre-Award Information Prepare / Submit Post Award Information Closeout Grant NoA (Yes!!)

40. eRA Commons Check Review Assignment Check Review Outcome Submit Pre-award Information CLOSEOUT GRANTS Prepare/Submit Post-award Reports Electronic Interaction Points 40

41. 41 eRA Commons Features: –Profiles (Personal and Institutional) –Application and Award Tracking (Status) –Just-In-Time (JIT) –Internet Assisted Review (IAR) –Electronic Streamlined Non-competing Award Process (eSNAP) –Research Performance Progress Report (RPPR) –Administrative Supplements (Type 3) –Federal Financial Report/Financial Status Report (FFR/FSR) –No-cost Extension (NCE) –Closeout –xTrain –Financial Conflict of Interest (FCOI)

42. 42 Institutional Profile (IPF) The Institutional Profile: –Contains information necessary to facilitate processing and review of grant applications submitted by an institution –Is a central repository of information for Commons-registered organizations –Contains data established and maintained by Signing Officials at the organization. Only SOs can edit information in the IPF It includes information such as: –Preferred institution name and contact information –Signing Official’s name, e-mail, and phone number –Institutional DUNS number –Institutional Assurances –E-mail addresses to receive Notice of Award and other notificationsNotice of Award

43. 43 Personal Profile (PPF) The Personal Profile includes information such as: –Name, race/ethnicity, date of birth, contact information –Employment history –Reviewer work address –Degrees earned Personal Profile maintenance: –Individual Commons users are responsible for keeping their information accurate and up-to-date. –Commons will require a change of password every 90 days for security reasons. –Note: Always keep your e-mail address up to date. E-mail addresses are used to retrieve forgotten passwords and as the primary source of communicating grants-related information.

44. 44 Personal Profile Functions NIH uses information in the Personal Profile to: … display to the reviewer the status of eligibility for submitting under the continuous submission policy … determine whether a PD/PI is eligible for Early Stage Investigator (ESI) status … verify information submitted in grant applications … populate specific forms (e.g., Statement of Appointment form) … display to the user his or her publications residing in My NCBI … contact users via Agency notifications … compile aggregate reporting … monitor submission of reference letters

45. 45 Status eRA Commons Status allows users to: –Track the status of grant applications through the submission process –View assembled application images –View Notices of Award and other key documents –Perform several additional post-submission and post- award transactions User capabilities: –Remember: The functions available to a user are based on the role(s) associated with his or her Commons account!

46. 46 Establishing Institution Work Flow eRA Commons allows many functions to be delegated to other registered Commons users (e.g., Assistants with the ASST role). Delegate Progress Report: –Delegation can be made to any other eRA Commons user at the institution –Provides ability to complete/edit eSNAP information for the PD/PI’s grants (cannot Route or Recall) –SO can Delegate Submit authority to PD/PI Delegate PPF Edit: –Delegation can be made to any other eRA Commons user at the institution –Provides ability to edit PD/PI’s Personal Profile (PPF)

47. 47 Establishing Institution Work Flow Delegate Status –Delegation can be made to any eRA Commons user at the PD/PI’s institution with the Assistant (ASST) role –Provides access to PD/PI’s Status information, including the ability to check for submission errors/warnings and to view the assembled application image –DOES NOT provide access to applications’ summary statements or priority score Delegate xTrain Authority –Delegation can be made to any eRA Commons user at the PD/PI’s institution with the Assistant (ASST) role –Provides same xTrain capabilities as the PD/PI, except the ability to submit appointments to the Agency

48. Establishing Institution Work Flow Delegate Sponsor –A User with the Sponsor role can Delegate Sponsor. –Can initiate and facilitate termination of a fellow –Cannot submit termination Delegate FCOI –Allows user to work on and process an FCOI. Delegate cannot submit FCOI to NIH Delegate Submit –SOs and BOs can Delegate Submit authority to any PI at their institution. –Allows a PI to submit own eSNAP (Electronic Streamlined Non-competing Award Process) information to agency 48

49. 49 Status – List of Applications/Grants Click App ID link for detailed Status info Status is your link to the Action! Action links: JIT, eSNAP, Closeout, NCE (SO only), Reject eApplication (SO only)

50. 50 Track Assignment Info in Status Details Primary Institute Assignment Study Section Assignment Key Contact Information

51. 51 Track Review Outcome Only the PI can view Summary Statement, Priority Score and Percentile information.

52. 52 Just In Time Submission (JIT) Allows PD/PIs, AOs, and SOs to prepare and SOs to submit additional grant application information requested by NIH prior to an award decision –Other Support, IRB and/or IACUC Approval Dates, Human Subjects Education info Not an indication that application will be awarded Wait for a request from NIH to submit the information –System-generated e-mail or contact from the Grants Management Specialist (GMS) You may submit JIT info piece by piece! New JIT NOT-OD-12-101 Business Process Changes Beginning April 20, 2012

53. 53 Click on the JIT link in the Action column of the Status hit list. Just In Time

54. 54 eSNAP Electronic Streamlined Non-competing Award Process (eSNAP) Electronic submission of annual SNAP progress reports –Most non-competing grants at NIH are streamlined (check NOA) NOTE: NIH requires the use of the Commons eSNAP module for the submission of all SNAP progress reports!

55. 55 eSNAP Electronic Streamlined Non-competing Award Process (eSNAP) PD/PI or PD/PI Delegate can initiate the process, upload progress report, and enter the administrative data eSNAP can be routed to staff for approval SO submits the completed eSNAP to NIH –SO can delegate eSNAP submit privilege to PI(s) (Delegate Submit)

56. 56 eSNAP Begin the eSNAP either from the Action column of the Status hit list or the eSNAP tab on the menu bar.

57. 57 eSNAP Hit List PD/PI’s “Manage eSNAP” hit list shows all grants and applications with the Grant Number of eSNAP-eligible grants hyperlinked.

58. Managing Your Publications From the Awards View in My NCBI, eRA Commons users can: –Track their compliance with the NIH Public Access Policy –Start the manuscript submission process –Associate their NIH grant awards with their publications –Designate delegates to manage their bibliographies Note: PD/PIs must manage their professional bibliographies in My NCBI (My Bib feature). eRA Commons does not allow for the uploading of publications. http://www.ncbi.nlm.nih.gov/sites/myncbi/

59. 59 My BIB Publications in Progress Report Upload Science screen shows My BIB publications that can be associated with an eSNAP report. For more My NCBI & My Bib info: http://era.nih.gov/ncbi/ncbi_overview.cfm http://era.nih.gov/ncbi/ncbi_overview.cfm

60. 60 Research Performance Progress Report (RPPR) The NIH progress reports will transition to the federal-wide Research Performance Progress Report (RPPR). A new RPPR feature in Commons will replace the eSNAP feature. Will be used for all SNAP and non-SNAP awards Limited pilot started in April 2012 Fields will pre-populate when possible NIH-specific instructions will be marked with HHS logo (as in Application Guide) Special NIH reporting requirements will be requested in Special Reporting Requirements section Stay tuned for updates!

61. 61 Administrative Supplements (Type 3) Two Pilot Processes for Submitting Administrative Supplement Requests Electronically to NIH Reference NIH Guide Notice NOT-OD-12-024 http://grants.nih.gov/grants/guide/notice-files/NOT-OD-12-024.html If the parent award has transitioned to electronic submission, institutions may: (A) electronically submit using the SF424 (R&R) Application Forms and Grants.gov/Apply, or (B) electronically submit using the streamlined submission process of eRA Commons.

62. Administrative Supplements - Commons 62 Starting an Administrative Supplement in Commons you must find eligible grant and Initiate Request

63. 63 Federal Financial Report Federal Financial Report (FFR) Replaces the Financial Status Report (FSR) for the reporting of expenditure data elements Same data elements as the FSR, except only cumulative data is reported Due date for annual FFRs is 90 days after the end of the calendar quarter in which the budget period ends FFRs must be submitted in eRA Commons via the eFFR/FSR module

64. 64 FFR/FSR Search Screen For more about FFR/FSR, view the NIH Guide Notice and the eRA Overview: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-11-017.html http://era.nih.gov/services_for_applicants/reports_and_closeout/financial_status _report.cfm

65. 65 Financial Conflict of Interest (FCOI) FCOI allows grantee institutions to: –Initiate and prepare a FCOI notification –Submit the FCOI notification and supporting documents electronically to Agency Can provide comments to Agency –System accommodating new regulations –Changes accommodate annual requirements and inclusion of Significant Financial Interests and their values

66. 66 Commons FCOI & Internal FCOI Commons FCOI integration with internal (NIH) FCOI tracking system Commons FCOI and Internal FCOI systems will share information once daily Internal FCOI users can request additional information and rescind notifications –Notification to institution made from internal FCOI system and also is reflected in Commons FCOI history

67. 67 xTrain xTrain uses: Required for NIH grantees to prepare and submit appointments and termination notices for research training and career development awards, fellowships, and research education awards Grantee institution staff use xTrain to: –Create, route and submit appointments, re- appointments, amendments and termination notices –Track the status and timing of training actions

68. 68 Types of grants supported in xTrain –Kirschstein-NRSA Undergraduate Institutional Training Grants (T34) –Kirschstein-NRSA Pre-doctoral and Post-doctoral Institutional Training Grants (T32, T35, T90, TL1, TU2) –Kirschstein-NRSA Fellowships (F30, F31, F32, F33) –NLM Institutional Training Grants (T15) –Research Education Awards (RL5, RL9, R25, R90) –Institutional Career Development Grants (K12, KL2, KM1) xTrain resources and training materials available at: http://era.nih.gov/training_career/index.cfm http://era.nih.gov/training_career/index.cfm

69. 69 xTrain Commons Roles Several Commons roles associated specifically with xTrain: Sponsor –Supervises research training experience of fellow –Responsible for fellowship termination (for fellowships at non-federal U.S. organizations) Trainee –Person appointed to training grant –Currently, account set-up done through xTrain Business Official (BO) –Has signature or other authority related to administering training grants –Authorized to submit termination notices on behalf of the institution

70. 70 No-cost Extension No-cost Extension (NCE) allows SOs to: 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 (only) can extend project period up to 12 months E-mail notification sent to NIH Grants Management staff when SO processes the extension

71. 71 No-cost Extension Link Status Result - General Search screen shows grants that may be extended one time via a No-cost Extension (see Extension hyperlink in Action column).

72. 72 Closeout Closeout allows grantees to: Electronically submit required Closeout documents for grants in Closeout status NIH GM Specialist must mark the grant “ready for close out” for link to appear in Commons –Contact assigned GMS if link is not appearing Required Closeout items include: –Federal Financial Report (FFR) -Final Progress Report -Final Invention Statement

73. 73 Closeout Link Status Result - Closeout Search screen shows grants that are Closed or Requires Closeout.

74. 74 Finding Help Applicant & Grantee Resources

75. 75 Finding Help: Website Links –NIH About Grants website: http://grants.nih.gov/ http://grants.nih.gov/ –Electronic Research Administration: http://era.nih.gov/ http://era.nih.gov/ –NIH Applying Electronically website: http://grants.nih.gov/grants/ElectronicReceipt/index. htm http://grants.nih.gov/grants/ElectronicReceipt/index. htm –eRA Commons: https://commons.era.nih.gov/commons/ https://commons.era.nih.gov/commons/

76. 76 Subscription Lists Subscribe for eSubmission/Commons News & Updates http://grants.nih.gov/grants/ElectronicReceipt/li stserv.htm Subscribe for weekly e-mails of new postings in NIH Guide for Grants and Contracts: http://grants.nih.gov/grants/guide/listserv.htm

77. 77 Finding Help Grants.gov: For help with the Grants.gov registration process, downloading forms, form behavior or with technical aspects of submitting through the Grants.gov system: –Check the Grants.gov Website: www.grants.govwww.grants.gov –Grants.gov Contact Center Contact Center Phone: 1-800-518-4726 Business Hours: 24 hours/day; 7 days/week (closed on Federal Holidays) E-mail: support@grants.govsupport@grants.gov eRA Commons: For help with eRA Commons registration or system validations after submission through Grants.gov: –Check the eRA Commons Website: https://commons.era.nih.gov/commons/index.jsphttps://commons.era.nih.gov/commons/index.jsp –eRA Commons Help Desk Web support: http://era.nih.gov/help/index.cfm#erahttp://era.nih.gov/help/index.cfm#era Phone: 301-402-7469 Toll Free: 866-504-9552 TTY: 301-451-5939 Business hours: Mon. –Fri., 7 a.m. – 8 p.m. ET Grants Info: For help with grant policy, application content requirements and other general inquiries: –Review the Application Instruction Guide –Review the FOA –Grants Info Phone: 301-435-0714 E-mail: GrantsInfo@nih.govGrantsInfo@nih.gov

78. 78 Thank You!