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1
Electronic Submission of
NIH Grant Prepare-Complete-Submit-Track-View
2
Overall Process
Find and download announcement, instructions and form package using
Grants.gov
Prepare application per guidelines.
Send application to Authorized Organization Rep. (AOR), who 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.
3
eSubmission Topics
•Prepare
•Complete Application
•Submit to Grants.gov
•Track & Correct and Errors
•View in eRA Commons
•eSubmission Odds & Ends
•Finding Help ( Resources, Service Desks)
4
Prepare
5
Two Separate, but Linked Systems
Grants.govFederal-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 validations requirements.
6
Registration
Grants.govApplicant 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 CommonsApplicant Organization & PD/PIDesignate Signing Official (SO)•Registers or affiliates Project Director/Principal
Investigator (PD/PI)
7
Registration
Tips for Success: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
•NIH 2-week “good faith effort” for Commons registration
Set-up multiple AOR and SO accountsLog in to accounts prior to deadline to ensure you have access to the systemsUpdate Central Contractor Registration (CCR) information yearly to keep Grants.gov credentials active
8
Registration
More Tips for Success:Do not combine SO and PI roles on single Commons accountPIs get one Commons account that follows them throughout their careers
If PI is already registered, “affiliate” their existing account rather than creating a new one
http://era.nih.gov/commons/steps_commons.cfm#step3
PIs should update their Commons profile prior to submitting (e.g., degree info used to determine Early Stage Investigator eligibility)
9
Obtain Software
Adobe ReaderOnly specific Adobe Reader versionsare compatible with Grants.gov forms
PDF conversion programAttachments must be converted to PDF
Grants.gov download software pagehttp://www.grants.gov/help/download_software.jsp
10
Adobe Reader
Applications opened with an incompatible software (even if not saved) version can become corrupted
Most attempts to use incompatible Adobe software are caught and a cautionary pop-up message presented
11
Make a Submission Plan
Internal organization considerations…Submission method•Downloadable forms
•System-to-system using XML data stream
•Services of a commercial service providerhttp://grants.nih.gov/grants/ElectronicReceipt/sp.htm
Application preparation responsibilitiesSharing applications in progress Internal review & approval processInternal deadlines
Administrators and PIs must work together!
12
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 unsolicitedapplications
•http://grants.nih.gov/grants/guide/parent_announcements.htm
13
Finding FOAs for Investigator–Initiated Research
Screen shot for Parent Annoucement
NIH Office of Extramural Researchhttp://grants.nih.gov/grants/oer.htm
Parent Announcements for Unsolicited Applications
14
Screen shots of NIH Guide at http://grants.nih.gov/grant/guide/
Enter search string or advanced search
Finding FOAs in NIH Guide for Grants & Contracts
Enter search string or click Advanced Search
NIH Guide for Grants & Contractshttp://grants.nih.gov/grants/guide/
15
Finding FOAs in NIH Guide for Grants & Contracts
In Advanced Search screen, enter search parameters and click on Search button.
Enter search parameters
Click Search
16
Finding FOAs in NIH Guide for Grants & ContractsReview list of FOAs matching your
criteria and find FOA of interest
Click Announcement Number link to access FOA information
17
Announcement NotesCarefully read the entire announcement!Key dates:
Release/Posted Date: package and instructions available for download; begin preparing applicationApplication Submission/Receipt/Due Date: applications must be submitted by 5:00 p.m. local timeOpening Date: systems begin accepting applicationsExpiration Date: announcement closed
18
Announcement
Follow specific announcement instructions
Pay special attention to Section IV. Application and Submission Information•Includes FOA-specific
submission instructions
•Instructions in FOA trump instructions in the application guide
19
Announcement Notes
FOAs in the NIH Guide include button to download application from Grants.gov
Click Apply for Grant Electronically
Click download Verify information
20
Download Application Instructions
Download application instructions
Sign-up for Agency updates to FOA
21
Download Application Instructions
All FOAs link to the latest set of instructions
Instructions available in Word and PDF formats
Links to other handy resources
22
Application Guide
Read and follow application guide instructions
Agency-specific instructions are marked with the HHS logo
23
Download Application Package
Download forms
24
Complete
25
SF424 (R&R) Data Set
NIH uses the SF424 Research & Related (R&R) data set
Owned and maintained by Grants.govAgencies combine form components to meet the data collection needs for a FOA
NIH applications include:Federal-wide (R&R) componentsAgency-specific (PHS 398) components
26
SF424 (R&R) Data Set
SF424 (R&R) Components include:SF424 (R&R)—An application cover componentResearch & Related Project/Performance Site LocationResearch & Related Other Project InformationResearch & Related Senior/Key Person (Expanded)Research & Related BudgetResearch & Related Personal Data (NIH does not use)R&R Sub-award Budget Attachment FormSmall Business Technology Transfer (STTR) & Small Business Innovation Research (SBIR) Information
27
SF424 (R&R) Data Set
NIH requires additional information for review of its biomedical research portfolio.NIH agency-specific components (titled PHS 398):
PHS 398 Cover Letter FilePHS 398 Cover Page Supplement (supplements the R&R Cover)PHS 398 Modular BudgetPHS 398 Research PlanPHS 398 ChecklistPHS 398 Career Development Award Supplemental FormPHS Fellowship Supplemental FormPHS 398 Research Training Program PlanPHS 398 Training Budget PHS 398 Training Sub-award Budget Attachment Form
28
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*
29
Grant Application Package Screen
Mandatory Documents must be completed prior to submission.
*Application Form Screen - Bottom*
Complete the SF424 (R&R) form first – info from this form populates fields in other forms in the package.
See application guide to determine which Optional Documents you need to include.
30
Prepare Application
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
31
Completing the Application
General Tips:Follow FOA-specific guidelines (e.g., special attachments, specific section headings)Follow application guide requirementsComplete the SF424 (R&R) form first – info from this form populates fields in other forms within the packageDo not cut & paste from Word docs into form fields•Some word processors alter special
characters (e.g., quotes)
32
Completing the Application
Attachment Tips:Use simple PDF-formatted files for all attachments• 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 (e.g., Specific Aims,
Background & Significance) are encouraged
Follow guidelines for fonts and margins
Avoid 2-column and “landscape” format
33
Avoiding Common Errors
Provide correct Type of Submission, Federal Identifier, and Type of Application information on SF424 (R&R) cover
Type of Submission (box 1)• Do not use Pre-application unless specifically noted in FOA
(e.g., X02)• Use Application for first submission attempt• Use Changed/Corrected when submitting again to correct
eRA-identified errors/warnings
Federal Identifier (box 4)• If box 1=Application and box 8=New, then leave blank• If box 1=Changed/Corrected and box 8=New, then enter
previous Grants.gov tracking number• Otherwise, use Institute and serial # of previous NIH
grant/app. (e.g., use CA987654 from 1R01CA987654-01)
34
Avoiding Common Errors
Type of Application (box 8)
New Term - Grants.gov
Old Term -NIH
Notes
New New An application that is submitted for funding for the first time. (Type 1)
Renewal Competing Continuation
Previous years of funding for the project have elapsed. Competing for additional years of funding to continue original project. (Type 2)
Revision Competing Supplement
Request for additional funds for a current award to expand the scope of work. Applicants should contact the awarding agency for advice on submitting any revision/supplement application. (Type 3)
Resubmission Revision or Amended Application
Application previously reviewed. A revised or amended application that addresses reviewer feedback. (A1/A2)
Continuation Progress Report
NIH does not use the SF424 (R&R) for Continuation Applications. (Type 5; Progress Reports for Simplified Non-competing (SNAP) are submitted directly to eRA Commons; for others paper is still submitted.)
35
Avoiding Common Errors
Watch for fields that are required by NIH but not marked required on federal-wide forms
Contact e-mail on SF424 (R&R) coverCredential field for PD/PIs on R&R Sr./Key Person Profile formOrganization for all entries on R&R Sr./Key Person Profile form
Contact e-mail is required.
Tip: Can use group address or dedicated
e-mail box. Contact e-mail
36
Organization name must be supplied for all listed–NIH required field
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
37
Avoiding Common Errors
Include effort > 0 for all Sr./Key in R&R Budget
Error: Senior/Key Person {0}, listed on the 424 RR Detailed Budget Page for budget year {1}, must include effort of a
value greater than zero in calendar months, academic months, or summer months. Note: use either calendar
months or a combination of academic and summer months.
Include effort > zero for all Sr./Key
listed.
38
Career Development (K) Applications
Research Career Development Award Program (Ks, except K12) applications transitioned to eSubmission February 12, 2009
Supplemental instructions for Career Development applications added to general Application Guide•http://grants.nih.gov/grants/funding/424/index.htm
(Part I, Section 7)
PHS Cover Letter Form is Required•Include list of Referees that will submit letters
through Commonshttp://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-029.html
39
Fellowship (F) Applications
Individual National Research Service Award (NRSA) Fellowships (F) applications transitioned to eSubmission August 8, 2009
Fellowship-specific Application Guide•http://grants.nih.gov/grants/funding/424/index.htm
Designate Sponsor on the R&R Sr./Key Person Profile form•Select Role of “Other”, then indicate “Sponsor” in
Other Role category
PHS Cover Letter Form is Required•Include list of Referees that will submit letters (in
specific format) through Commonso http://grants.nih.gov/grants/funding/424/416-1reference.doc
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-106.html
40
Training Applications
Institutional Training (Ts) and Institutional Career Development (K12) Program applications transitioned to eSubmission January 25, 2010
Supplemental instructions for Training applications added to general Application Guide• http://grants.nih.gov/grants/funding/424/index.htm (Part I,
Section 8)
Depending on FOA, one of three application packages is used; vary by budget requirements• R&R Budget (only)• PHS 398 Training Budget (only)• R&R Budget and PHS 398 Training Budget
Data Tables – user defined bookmarks included in the attachment will be pulled into application image
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-008.html
41
Submit
42
Route Application to AOR
Route your completed application to your institute’s Authorized Organization Representative (AOR) for Submission.
43
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
44
eSubmission: Submit Application
Only the AOR can submit application.
Enter Grants.gov Username and Password – you must be fully registered to successfully submit.
45
eSubmission: Submit Application
Click Sign and Submit Application.
46
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
*screen cont *
*top of screen *
47
On-time Submission
On-time Submission
All registrations must be completedprior 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 submission deadline date
Errors/Warnings must be corrected within the error-correction window
48
Track – Grants.gov
49
Track Status - Grants.gov Notifications
AOR receives Grants.gov e-mailsReceipt•Grants.gov E-mail Verifying Receipt
Validation•Grants.gov E-mail Verifying Successful
Submission•OR Rejection Due to Errors
Transmission to Agency•E-mail Sent Once Agency Retrieves
Submission•E-mail Sent When Agency Tracking Number
Assigned
50
Track Status – Grants.gov Validations
Grants.gov Error CheckingGrants.gov mandatory fields completedMandatory documents moved to the Mandatory Documents for Submission box and completedDUNS# on application matches DUNS# in organization’s Grants.gov registrationAttachments are •Virus-free
•Have file names of 50 characters or less
•Have file names with no spaces or special characters
( -, &, *, %, /, #, \) ; underscore (_) is OK
51
Track Status – Grants.gov
Applicant interface
Grants.gov application status
52
Track – Commons
Signing Officials (SOs), Principal Investigators (PIs) and Assistants (ASSTs)
can track status in eRA Commons.
53
Track Status – eRA Commons
Commons Status is an integral part of electronic application submission
Applications are picked up by eRA Commons and checked against application and opportunity instructions•Forms are owned by Grants.gov and used
by many agencies, so NIH cannot build agency-specific business rules into the forms
Processing result available in eRA Commons Statuse-mail notifications sent
54
Track Status- eRA Commons Notifications
eRA e-mails are sent to the AOR/SO, PD/PI and contact e-mails listed on SF424 (R&R) form
Validation complete, check assembled applicationValidation complete, check assembled application – Warnings onlyAction required – Errors and/or WarningsAction required – Missing or invalid eRA Commons Username (only sent to AOR/SO)Action required – System ErrorSO has refused electronic application (rejected)NIH has auto-verified the application (after 2-day viewing window)
55
Accessing eRA Commons
Go to: https://commons.era.nih.gov/commons/ Enter your Username and Password
UsernamePassword
56
PI Admin – Delegate Status
PD/PIs can Delegate Status viewing privileges
Provides access to PI’s Status information including the ability to check for application submission errors/warnings and to view the assembled application imageDOES NOT provide access to application summary statement or priority score Delegation can be made to any eRA Commons user at the PI’s institution with the Assistant (ASST) role
57
PI Admin - Delegate Status
Select user to receive delegation from list of Current Institution Users and click Assign button
Navigate to Delegate Status
Only users with ASST role appear in list
58
Track Status in Commons – PD/PI
Select Recent/Pending eSubmissions
Or provide Grants.gov tracking number from e-mail notification
59
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
60
Track Status in eRA Commons – 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:
http://grants.nih.gov/grants/ElectronicReceipt/avoiding_errors.htm
Full list of Commons Validationshttp://grants.nih.gov/grants/ElectronicReceipt/files/SF424RR_Validation.pdf
61
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 deadlineAOR is expected to enforce that changes are restricted to fixing errors/warningsProof of "on time" submission and descriptionof changes documented in Cover Letter
62
Correcting eSub Errors/Warnings
To correct errors/warnings in an application submission:
Make needed corrections to the local application formsCheck Changed/Corrected in the Type of Submission field located in box #1 of the SF424 (R&R) form • Federal Identifier on SF424 (R&R) cover (box #4) is a required
field when Changed/Corrected is selected
• If box #8=New, include original Grants.gov tracking number
• Otherwise, continue to use the Institute/Center and serial number from original application/grant number (ex. CA123456)
Include cover letter if after submission deadlineSubmit the entire Changed/Corrected applicationback through Grants.govTrack submission through to CommonsNOTE: Reviewers do not see applicant errors/warnings.
63
View
64
View Application Image
Once an error-free application is received, the eRA system will:
Assemble the grant application imageInsert headers & footersBookmark important sectionsGenerate Table of ContentsPost the assembled application image in the PD/PI’s eRA Commons account
65
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 If before deadline, applicant can make application content changes if they submit again before the deadline
If after the deadline and within error-correction window, can reject the application to address warnings or help desk confirmed system issue• Rejections after deadline for any other reason, application
is subject to late policy if resubmitted
PD/PI will receive e-mail notification if SO rejectsapplication
66
View Application Image
View Appendices and Cover Letter
Status is Pending Verification
Follow e-Application link to view assembledapplication image
Follow link to detailed status info
67
Status – e-Application
TIP: Carefully review the entire application.This is your first chance to view/print the same
application image that will be used by Reviewers!
68
Reject Application
Must have SO role
Select Recent/ Pending eSubmissions
Click Search
Enter Search Criteria
69
Reject Application
Select Reject eApplication
Enter comment to be sent with e-mail notification
Click Reject
70
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 accepted only at the discretion of the Scientific Review Officer
71
eSub Odds & Ends
72
Trouble submitting due to system issues?
When Grants.gov or eRA system issues threaten your on-time submission…
Contact appropriate support to try to get resolution•If working with Grants.gov, contact eRA Help Desk to
document issue and steps taken toward resolutiono If verified system issue, this documentation can be used in
place of tracking # and time stamp as proof of "on-time" submission
Continue to work through submission issues to complete process within error-correction windowDocument your issues and correctiveactions including support ticket numbers in Cover Letter
73
NIH Contingency Plans
Contingency plansAddress large-scale extended system issues on submission deadline dates• Individual issues, issues affecting small subsets of applicants,
or issues lasting less than a half business day handled case-by-case
Sample actions:• Extending submission deadline or error-correction window
Communicated through:• Alert on Commons log in screen
• Notice in NIH Guide for Grants & Contractshttp://grants.nih.gov/grants/guide/index.html
• Commons listservshttp://era.nih.gov/ElectronicReceipt/listserv.htm
• Applying Electronically Web site http://grants.nih.gov/grants/ElectronicReceipt/index.htm
74
Reference Letters
Some NIH grant programs require the submission of Reference letters in addition to the grant application (e.g., Mentored Career Development program)
Letters are NOT part of the electronic application through Grants.gov Submitted directly by the referee through eRA CommonsCommons registration not required to submit reference letterLetters can be submitted in advance of application submission• Letters are joined with the electronic application within the eRA
system once the submission process is completeApplications missing the required letters may be delayed in the review process or not accepted at allApplicants can track the submission of reference letters in the Commons, but cannot view the actual letter
75
FOA Posting Changes Ahead
Multiple application packages for a single FOA
Currently, NIH posts a separate announcement for each activity code accepted for that opportunityWill move to a single FOA with multiple application packages distinguished by Competition ID
Example of single opportunity with three posted packages:Opportunity Number: PA-10-123Opportunity Title: Great Opportunity for Biomedical Discovery (R01,R03,R21) Package #1: Competition ID = R01-ADOBE-FORMS-B Package #2: Competition ID = R03-ADOBE-FORMS-B Package #3: Competition ID = R21-ADOBE-FORMS-B
76
Moving Forward
Future expansion of electronic submission: Revised FOAs Complex grant programs Administrative Supplements (Type 3s) Change of Institution (Type 7) applications
77
Resources
Support Desks, FAQs, Web sites
78
Grants.gov Support Resources
Grants.gov Contact CenterAssistance with: • Grants.gov registration; form behavior & navigation; issues
submitting to Grants.gov site
Phone: 1-800-518-4726E-mail: [email protected]
Help Page Resources, FAQs, Troubleshooting Tips http://www.grants.gov/CustomerSupport
Download Software Pagehttp://www.grants.gov/help/download_software.jsp
79
NIH & eRA Commons Resources
eRA Commons Help DeskAssistance with:•eRA Commons registration, eRA system
validations
Create ticket on Web: http://itservicedesk.nih.gov/eRA/Phone: 301-402-7469Toll Free: 866-504-9552TTY: 301-451-5939Business hours Mon.-Fri., 7 a.m.-8 p.m. E.T.
80
NIH & eRA Commons Resources
Web sites:eRA Commons: https://commons.era.nih.gov/commons/
Electronic Research Administration: http://era.nih.gov/
Applying Electronically: http://grants.nih.gov/grants/ElectronicReceipt/
NIH Grants Information Page: http://grants.nih.gov/grants/oer.htm
81
Learn About Grants
NIH GUIDE
FORMS & INSTRUCTIONS,SUBMISSION DATES
GLOSSARY, FAQS
GET CONNECTED
http://grants.nih.gov/grants/oer.htm
BASICS
eRA, Commons,Applying Electronically
82http://grants.nih.gov/grants/ElectronicReceipt/
NIH Electronic Submission Web Site
83Same Web address: http://era.nih.gov/
NIH Electronic Research Administration Web Site
84
eRA Commons Training Resources
Commons Demohttps://commonsdemo.era.nih.gov/commons-demo/ Create Your Own Commons Demo Account with sample data •Check the status of sample applications
•View errors & warnings
•See sample application images
85
Questions?