NIH eRA Workshop Day

1. NIH eRA Workshop Day June 2014 electronic Research Administration (eRA) OER, OD, National Institutes of Health

2. Your Workshop Team • Gabrielle Caddle • eRA Customer Relationship Manager, xTrain & Closeout • Sheri Cummins • OER Communications & Outreach, Grants Information • Jessie Floura • eRA Customer Relationship Manager, eSubmission & ASSIST • Anastasiya Hardison • eRA Help Desk & Requirements Analyst • Joe Schumaker • eRA Communications and Outreach • Marcia Hahn • Director, Division of Grants Policy

3. Start • Accounts, Roles and Profiles • Electronic Application Submission Break • Electronic Application Submission (cont.) • Commons Detailed Status screen • Just-In-Time (JIT) • Questions & Morning Wrap-up Lunch Busy Morning Pre-Award 9:00 ~10:30 12:00

4. Start • Notice of Award • Financial Conflict of Interest (FCOI) • Progress Reports • No Cost Extension (NCE) • Grantee and Organizational Changes Break • Closeout • xTrain • Final Questions & Afternoon Wrap-up All done! Post-Award Busy afternoon 1:00 ~2:30 4:00

5. Accounts, Roles and Profiles What is era Commons? Accounts Password policy Roles Institutional Profile (IPF) Personal profile (PPF) Delegations Sheri

6. What is eRA Commons? The eRA Commons is an online interface where grant applicants, grantees and federal staff can access and share administrative information related to grant applications and awarded research grants. Applications eSubmission Errors/Warnings Assurances Assembled Application Image Certifications Review Assignment Profile Data Priority Score Progress Reports Summary Statement Financial Reports Notice of Award Invention Reports Training Appointment Actions Post-award Correspondence

7. Organization Registration • Organizations must register in eRA Commons • Many organizations are already registered • Check with your Administrative Office before starting the process • Quick Query: http://era.nih.gov/commons/quick_queries/index.cfm#commons • For new registrations, complete the online Institution Registration Form • Form: https://public.era.nih.gov/commons/public/registration/registrationInstructions.jsp • Carefully follow ALL steps including printing/signing/faxing registration page and responding to email verification messages

8. Signing Official (SO) During Commons registration, an applicant organization designates a Signing Official (SO) • SO has authority to legally bind the organization in grants administration matters • Equivalent to the Authorized Organization Representative (AOR) in Grants.gov • SO is responsible for: • maintaining institutional information • submitting documents that require signature authority to act on behalf of the organization • managing accounts

9. Account - Tips • Designate more than one Signing Official • Certain Commons actions can only be taken by users with the SO role and you will want a back-up • Administrators should always check to see if a user already has a Commons account before creating a new account with a scientific role • Ask the person if they already have an account, or search within the Commons • If a user already has an account with a different organization,the SO should affiliate the existing account with the user’s new organization

10. Changing a Password Available to any logged-in user. Enter current and new password. Click Submit.

11. Forgot Password/Unlock Account If the username and e-mail combination provided match what is in the system, a temporary password will be e-mailed to you.

12. Account Passwords • Password policy: • http://era.nih.gov/files/NIH_eRA_Password_Policy.pdf • Passwords must: • Contain at least eight (8) characters; no blank spaces • Contain a combination of at least 3 of the following: • Upper case letters • Lower case letters • Numbers • Non-consecutive special characters: ! # $ % - _ = + < > • Not begin or end with a number • Not contain username • Not be reused within one (1) year • Be changed every 90 days

13. Navigating the eRA Commons The eRA Commons navigation menu has three (3) levels. The top level displays the main functions (tabs) available. Clicking a top-level tab will display the second level; clicking a second-level tab will display the third level. 1 2 3

14. eRA Commons Roles • The functions that a user can perform in the Commons are based on the role(s) assigned to his or her Commons account • Full, printable list of eRA Commons roles: • http://era.nih.gov/files/eRA_Commons_Roles.pdf

15. Roles • Administrative • AA – Account Administrator • AO – Administrative Official • ASST –Assistant • BO – Business Official • SO – Signing Official • Scientific • Graduate Student • IAR – Internet Assisted Review • PI - Principal Investigator • Post-Doc • Project Personnel • Scientist • Sponsor • Trainee • Undergraduate PI ROLES

16. Roles 2 Other • FCOI (Financial Conflict of Interest) • FCOI_ASST • FCOI_VIEW • FSR (Financial Status Reporter) • PACR (Public Access Compliance Reporting) AA PI IAR FSR SO AO

17. Role - Tips • Don’t combine scientific roles with administrative or other roles on the same account • Other combinations are fine (e.g., PI and IAR; AO and FSR) • A person needing both scientific and administrative roles should have two separate accounts (one for scientific roles and another for other roles)

18. Each organization establishes and maintains their organization’s profile data • Depending on their role, users can view and/or update Institution Profile information • Only SOs can edit IPF information • IPF displayed as a read-only page for users with all other Commons roles • Includes two sections: Basic and Assurances & Certifications Institutional Profile File (IPF) Central repository for registered organization information Terminology Check: ‘Organization’ = ‘Institution’ = ‘Entity’

19. IPF - Basic Basic: general information about the institution • Name, address, Institution Contact information, list of Signing Officials, etc. Only SOs can edit Institution Profile

20. IPF – Assurances and Certifications Assurances and Certifications:data elements that comprise assurance/certification information about an institution • List of certifications (e.g., Financial Conflict of Interest, Human Subjects Research, Vertebrate Animals, etc.) Understand what you are agreeing to!

21. IPF Sections Institution Usage: summary of institution’s users • Lists Name, User Name and Role(s) of each user

22. New IPF View Coming July 2014, new IPF screen!

23. Individual Commons users are responsible for keeping their profile information accurate • Includes information such as: • Name • Demographics • Employment history • Education • Reference Letters • Publications • Very few staff members at NIH have access to change information (for emergencies only) Personal Profile (PPF) Central repository for individual user information

24. Personal Profile

25. Personal Profile Information is used to… • Verify information submitted in grant applications • Send you agency notifications • Complete aggregate reporting • Determine eligibility for Early Stage Investigator (ESI) and New Investigator (NI) status • Determine a reviewer’s eligibility for the Continuous Submission application submission policy

26. Terminology Check • New Investigator • A PD/PI who has not previously competed successfully as a PD/PI for a substantial independent research award. • See: http://grants.nih.gov/grants/new_investigators/index.htm • Early Stage Investigator • An individual who is classified as a New Investigator and is within 10 years of completing his/her terminal research degree or is within 10 years of completing medical residency (or the equivalent). • Continuous Submission • As a way of recognizing their service to NIH, reviewers with substantial review service are permitted to submit their research grant applications (R01, R21, or R34) on a continuous basis and to have those applications undergo initial peer review in a timely manner. • See: http://grants.nih.gov/grants/peer/continuous_submission.htm

27. PPF- Tips • When you change your password, you will be automatically redirected to the Personal Profile tab—take a moment to review and update your information • Be especially diligent about keeping your email addresses current • Email addresses are used to retrieve forgotten passwords and for communicating grants-related information

28. PPF • Status • Progress Report • Submit • xTrain • Sponsor Delegations eRA Commons allows users to give other users permission to do specific actions on their behalf

29. Delegations • PPF • Any user can delegate to any other user at their institution the ability to edit their Personal Profile information • Status • Any PI can delegate to any user at the PI’s institution with the ASST role the ability to access their status information, including the ability to check for application errors/warnings and to view their assembled application images • Ability to view application summary statements and scores is specifically withheld

30. Delegations • Progress Report • Any SO or a PI can delegate to any user at the PI’s institution with the ASST role the ability to complete progress report information for the PI’s grants • Remember: SOs register assistants in Commons • Ability to Route and Submit is specifically withheld • Submit • SOs and BOs can delegate to a PI the authority and ability to submit their own progress reports to agency • The PI will be listed as the authorized submitter on the submission

31. Delegations • xTrain • A PI can delegate to any user at their institution with the ASST role the authority to perform most actions within xTrain on their behalf • Ability to Submit appointments to agency is specifically withheld • Sponsor • A SO or Sponsor can delegate to any user at their institution the ability to initiate and facilitate termination of a fellow • Ability to Submit a termination is specifically withheld

32. Delegation (SO)

33. Delegation (PI)

34. Electronic Application Submission (eSubmission) http://grants.nih.gov/grants/ElectronicReceipt/

35. eSubmission: Prepare to Apply & Register Registrations High-level process Software needed Submission methods Submission plan

36. Electronic Submission -100% electronic for competing applications • NIH is now receiving 100% competing grant applications electronically. • Electronic submission is required for all, except Non competing submissions, such as : • Merit Extensions – Type 4 • For Multi Project Applications in response to: • Administrative Supplements - Type 3 • Change of Organization Status – Type 6 • Change of Grantee Organization – Type 7

37. 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 HHS divisions IMPORTANT: Each system has its own registration and application requirements.

38. Get Registered Grants.gov • Applicant Organizations only • Designate E-Business Point of Contact (E-Biz POC) • Approves Authorized Organization Representatives (AORs) to submit applications • No registration needed to find opportunities or download forms eRA Commons • Applicant Organization & PD/PI • Project Leads for multi project applications • Designate Signing Official (SO) • Registers or affiliates Project Director/Principal Investigator (PD/PI) • Commons IDs needed to prepare multi-project applications in ASSIST

39. Registration - Tips • If not yet registered, start the process at least 6 weeks before the deadline • Once DUNS number is obtained, Grants.gov and eRA Commons registrations can be done in tandem • NIH 2-week “good faith effort” for Commons registration • Set-up multiple AOR and SO accounts • Update System for Award Management (SAM) information yearly to keep credentials active • Formerly called Central Contractor Registration (CCR)

40. Registration - Tips • Log in to accounts prior to deadline to ensure you have access to the systems • PIs should update their Commons profile prior to submitting (e.g., degree info used to determine Early Stage Investigator eligibility)

41. Process Overview AOR/SO Authorized Organization Rep. (AOR) submits application via Grants.gov. Find and download announcement, instructions and form package. Prepare application per institution & agency guidelines. eRA downloads application and verifies compliance with application instructions. PI/SO check submission status and view assembled application in eRA Commons.

42. Obtain Software • Adobe Reader required for form-based submission • Internet browser required for ASSIST application preparation/submission and to work within eRA Commons • http://era.nih.gov/browser_support_ext.cfm • PDF conversion program • Attachments must be converted to PDF format • Grants.gov download software page • http://www.grants.gov/help/download_software.jsp

43. Identify Submission Method • Downloadable Adobe forms • Single-project applications only • Commercial service provider or custom system-to-system (S2S) solution using XML data stream • Ask your administrative office if this is an option • http://grants.nih.gov/grants/ElectronicReceipt/sp.htm • ASSIST (Application Submission System & Interface for Submission Tracking) • Multi-project applications only

44. Multi project Submissions - ASSIST • Submit application via a Web based interface (No more paper!) • Uses current eRA Commons credentials for access • Populates data from eRA Commons profiles • Prior to submission • Runs validations on federal wide and agency business rules • Print/preview applications in the format used by the agency • Automatic generation of table of contents, headers, footers, page numbers, etc.

45. Make a Submission Plan • Application preparation responsibilities • Sharing applications in progress • Internal review & approval process • Internal deadlines • Post-submission responsibilities Administrators and PIs must work together!

46. eSubmission: Find & Initiate an Application Finding opportunities Downloading application package Application instructions

47. Search For Opportunity NIH Guide for Grants & Contracts Grants.gov Search Opportunity

48. http://grants.nih.gov/ Parent FOAs Use for investigator-initiated research. Select Parent FOA for your chosen grant program (i.e. R01, R03, R21, etc.).

49. Use Announcement Number to link to FOA

50. FOA-Specific Application Information • Pay special attention to Section IV. Application and Submission Information • Includes any FOA-specific submission instructions • Instructions in FOA supersede instructions in the application guide