Interacting Electronically with NIH From your ideas… …into our systems… …to advance medical discovery. Sheri Cummins NIH eRA Customer Relationship Manager Electronic Submission of Grant Applications Scarlett GibbNIH eRA Customer Relationship Manager eRA Commons
Electronic Interaction Points Learn About Grants NIH Grants Web Site Find Opportunities NIH Guide / Grants.gov Download App Package Grants.gov Submit Application Check Submission Status eRA Commons View Assembled Application Image
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.
eSubmission Website http://grants.nih.gov/grants/ElectronicReceipt/index.htm 4
Two Systems Working Together As of the end of July 2012, CCR services will be managed through SAM.gov. 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 IMPORTANT: Each system has its own registration and application requirements.
Registration Grants.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 Many organizations are already registered. Check with your Office of Sponsored Research. 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
Obtain Software Adobe Reader • Only specific Adobe Reader versionsare compatible with Grants.gov forms • Grants.gov Download Software Web Page: • http://www.grants.gov/resources/download_software.jsp PDF Conversion Programs • Attachments must be converted to PDF • NIH PDF guidelines and tips: http://grants.nih.gov/grants/ElectronicReceipt/pdf_guidelines.htm
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 • FOAs include “Apply for Grant Electronically” button to download forms package and instructions from Grants.gov • Grants.gov
Find Opportunity NIH Office of Extramural Researchhttp://grants.nih.gov/grants/ NIH Guide for Grants and Contractshttp://grants.nih.gov/grants/guide/ Parent Announcements for Unsolicited Applications 9
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
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
FOA Notes Excerpt from PA-11-260 FOA Click Apply for Grant Electronicallybuttonfound within the FOA in the NIH Guide. Links to Grants.gov Download Application page for the FOA Click download. Select highest available Competition ID if more than one choice is presented 12
Download App. Instructions & Package Sign up for Agency updates to FOA Download application instructions and application package
Application Guide • Read and follow application guide instructions • Agency-specific instructions are marked with the HHS logo
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
Grant Application Package Screen Save the package locally. *Application Form Screen - Top* Make sure you have the correct application package. FOA information is automatically populated and not editable. Mandatory Grants.gov fields highlighted yellow with red box.
Grant Application Package Screen Mandatory Documents must be completed prior to submission. Complete the SF 424 (R&R) form first—info from this form pre-populates fields in other forms in the package. *Application Form Screen - Bottom* See application guide to determine which Optional Documents you need to complete.
Completing the Application • 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 18
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
More fields that are required by NIH but not marked required on federal-wide forms Avoiding Common Errors eRA Commons Username must be supplied in Credential field for everyone with PD/PI role Enter PI Commons Username Organization name is used to determine reviewer conflicts and is required for all Sr/Key entries Enter Organization Name 20
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 21
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.
AOR - Submit Application 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 Click Sign and Submit Application button to record electronic signature and initiate submission process to Grants.gov.
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
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
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 correctiveactions including support ticket numbers in cover letter 27
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 28
Track Application – Grants.gov (AOR) Grants.gov application status 29
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
Check Status in Commons – PD/PI Select Recent/Pending eSubmissions Or provide Grants.gov tracking number from e-mail notification 31
Track Status in eRA Commons – PD/PI Indicates eSubmission Error Grants.gov tracking # Grants.gov tracking #/date are displayed, followed by the list of errors/warnings for each submission attempt 32
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 Errors/warnings must be corrected by the submission deadline in order for the submission to be considered on time! Helpful Links Avoiding Common Errors page:http://grants.nih.gov/grants/ElectronicReceipt/avoiding_errors.htm Full list of Commons Validations: http://grants.nih.gov/grants/ElectronicReceipt/files/SF424RR_Validation.pdf 33
View Application Image Once an error-free application is received by NIH, the eRA systemwill: • 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
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 prior to the due date If you can’t VIEW it, we can’t REVIEW it! 35
Status – View Application Image Status is Pending Verification Follow link to detailed status info Follow e-Application link to view assembled application image View Appendices and Cover Letter
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! 37
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 policyon late submission of grant applications and the NIH policy on post-submission application materials
Grant Administration in eRA Commons NoA (Yes!!) Update Personal Profileand Institutional Profile Information My application is submitted… …now what? Additional eRA Commons features Prepare / Submit Post Award Information Check Review Assignment Check Review Outcome Submit Pre-Award Information Closeout Grant eRA Commons 39
Electronic Interaction Points Submit Pre-award Information Check Review Assignment eRA Commons Prepare/Submit Post-award Reports Check Review Outcome CLOSEOUT GRANTS
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) 41 41
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 notifications 42 42
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. 43 43
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 44
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! 45 45
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) 46
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 47
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
Status – List of Applications/Grants Action links: JIT, eSNAP, Closeout, NCE (SO only), Reject eApplication (SO only) Click App ID link for detailed Status info • Status is your link to the Action! 49 49
Track Assignment Info in Status Details Primary Institute Assignment Study SectionAssignment Key Contact Information 50 50