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Successful eSubmission Prepare-Complete-Submit-Track-View. Sheri Cummins eRA Customer Relationship Manager – eSubmission Samuel Smith eRA Service Desk Manager. Electronic Research Administration Office of Extramural Research National Institutes of Health June 2009. - PowerPoint PPT Presentation
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Electronic Research AdministrationOffice of Extramural ResearchNational Institutes of Health
June 2009
Successful eSubmission
Prepare-Complete-Submit-Track-View
Sheri CumminseRA Customer Relationship Manager – eSubmission
Samuel SmitheRA Service Desk Manager
Electronic Submission Required
All small business grant applications must be submitted electronically through Grants.gov using the SF424 (R&R) form set
More than 20,000 unique small business electronic applications received since December 2005
Electronic Submission of Grant Applications at NIH
AOR/SOPI
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
Today’s eSubmission Topics
PrepareSystemsRegistrationSoftwarePlanFind OpportunityDownload Instructions & Application Forms
Complete ApplicationForms
SubmitSubmit Application to Grants.gov
Today’s eSubmission Topics
TrackTrack ApplicationCorrect Any Errors
ViewView Assembled Application in eRA Commons
Finding HelpResourcesService Desks
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.
Prepare to Apply: Registration
Registration – Grants.govApplicant Organization only (one time)Registration not required to find download opportunitiesDesignate E-Business Point of Contact (E-Biz POC)•Approves Authorized Organization Representatives (AORs)
oAuthority to legally bind the institution in grants administration matters
START NOW! Can take 4 weeks; up to 8 weeks for newly established or foreign businesses
http://www.grants.gov/applicants/get_registered.jsp
Prepare to Apply: Registration
Registration – eRA CommonsApplicant Organization Designate a Signing Official (SO)•Overall responsibility for account
administrationoRegisters or affiliates Project
Director/Principal Investigator (PD/PI)
•Maintains Institutional Profile
Allow 4 weeks to completehttp://era.nih.gov/ElectronicReceipt/preparing.htm
“Good Faith” Effort
Start Commons
registration 2+ weeks
before deadline and you
won’t be penalized if not
completed due to NIH
caused delay
Prepare to Apply: RegistrationRegistration - eRA CommonsProject Director/Principal Investigator (PD/PI)
SO creates account for the PD/PI or affiliates existing account with their organization
PD/PI gets one account for his/her entire career
Account may be affiliated with multiple organizations
PD/PI role can not be combined with any administrative roles on the same account
• If same person is both SO and PD/PI, two separate accounts (one with each role) are required
•Can have IAR (Internet Assisted Review) role if Reviewer
If PD/PI had previous NIH funding, but not a Commons account, make sure prior support is captured
PD/PI is responsible for maintaining their Personal Profile
eRA Help Desk can
assist with these tasks
Allow 4 - 5 business days to complete
Registration
Tips for Success:Start early – allow at least 4 weeks to complete• NIH 2-week “good faith effort” for Commons registration
Grants.gov & Commons registrations may be completed simultaneously once DUNS# is obtainedUpdate information in Central Contractor Registry (CCR) yearly to keep Grants.gov credentials active Do not combine SO and PI roles on single Commons accountIf PD/PI has a Commons account, affiliate them to your organization rather than creating new accountPIs should update their Commons profile prior to submitting (e.g., degree info used to determine Early Stage Investigator eligibility)
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/resources/download_software.jsp
Adobe Reader
Applications opened with an incompatible software (even if not saved) can become corrupted
Most attempts to use incompatible Adobe software are caught and a cautionary pop-up message presented
Make a Submission Plan
Internal organization considerations…Submission method•Downloadable forms
•System-to-System using XML data stream
•Services of a commercial service providerhttp://era.nih.gov/ElectronicReceipt/sp.htm
Application preparation responsibilitiesSharing applications in progress Internal review & approval processInternal deadlines
Administrators and PIs must work together!
Find Opportunity
ALL applications must be submitted in response to a Funding Opportunity Announcement (FOA)
NIH simultaneously posts FOAs in:•NIH Small Business Program Web page
http://grants.nih.gov/grants/funding/sbir.htm
•NIH Guide for Grants & Contractshttp://grants.nih.gov/grants/guide/index.html
•Grants.gov Findhttp://grants.gov/applicants/find_grant_opportunities.jsp
Finding FOAs for Investigator –Initiated Research
NIH is committed to investigator-initiated research and we want your unsolicited applications!
“Parent” FOAs are available with generic packages
Parent announcements listed at:
•http://grants.nih.gov/grants/guide/parent_announcements.htm
Apply using the Parent FOA for your chosen activity code
Finding Opportunities
Screen shot for Parent Annoucement
NIH Office of Extramural Researchhttp://grants.nih.gov/grants/oer.htm
Small Business (SBIR/STTR) page
ParentAnnouncements
NIH Guide for Grants and Contracts
Finding FOAs on Small Business Web site
Screen shot of Small Business page
SBIR ParentPA-09-080
STTR ParentPA-09-081
Follow link to announcement
Funding Opportunity Announcement - Notes
Key dates:Release/Posted Date: package and instructions available for download; begin preparing application
Application Submission/Receipt/Due Date: applications must be submitted by 5:00 pm local time
Opening Date: systems begin accepting applications
Expiration Date: announcement closed
Funding Opportunity Announcement - Notes
Pay special attention to Section IV. Application and Submission Information
Includes FOA-specific submission instructionsInstructions in FOA supersede instructions in the application guide
Funding Opportunity Announcement - Notes
FOAs in the NIH Guide include button to download app from Grants.gov
Apply for Grant Electronically button brings user to Grants.gov download page for specific opportunity.
Download Application Instructions
Download application instructions
Sign-up for Agency updates to FOA
Download Application Instructions
All FOAs link to the latest set of instructions
Instructions available in Word and PDF formats
Links to other handy resources
Application Guide
Read and follow application guide instructions
Agency-specific instructions are marked with the HHS logo
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 an FOA
NIH applications include:Federal-wide (R&R) componentsAgency-specific (PHS 398) components
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 BudgetR&R Subaward Budget Attachment FormSBIR/STTR Information
NIH agency-specific components (titled PHS 398):
PHS 398 Cover Letter FilePHS 398 Cover Page Supplement PHS 398 Research PlanPHS 398 Checklist
Completing the Application
Tips for Success:Follow FOA-specific guidelines (e.g., special attachments, specific section headings)Follow application guide requirementsFollow guidelines for fonts, margins Do not include headers or footers•Section headings as part of the text (i.e.,
Specific Aims, Background & Significance) are encouraged
Avoid 2-column format for text
Avoid “landscape” format
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*
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.
Prepare Application
Highlight form and use the arrow buttons to move forms to the Mandatory Documents for Submission box
Highlight form in right box and click Open Form or use window scroll bars to access form
SF424 (R&R) Cover
App. DUNS = Grants.gov DUNS = Commons DUNS
Contact email required by NIH
See App. Guide for explanation of Application Type terminology
If New (box 8) Application (box 1), leave blank. If New box 8) Changed/ Corrected (box1), use initial Grants.gov tracking #Otherwise, use Institute and Serial number of prior application/grant
Use Application for first submission and Changed/Corrected for subsequent submissions to correct errors/warnings
Application Type 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)
SF424 (R&R) Cover* form cont.*
Application Title
NIH will assign CFDA post-submission
PD/PI info carries throughout form
SF424 (R&R) Cover
Manually entered
AOR Info.
See application guide for full list of NIH policies & certifications
Sr/Key Person Profile Expanded
eRA Commons Username must be supplied in Credential field for everyone with PD/PI role – NIH required field
Organization name must be supplied for all listed–NIH required field
Enter PI Commons Username
Enter Organization Name
See app guide for format
R&R Budget
Individual Sr/Key Persons listed in Section A
Aggregate other Personnel in Section B
Include effort > zero for all Sr/Key listed.
Navigate through all budget pages
PHS 398 Research Plan
Separate PDF attachments facilitate image bookmarking.
Create in single document then split to ensure you stay within page limits
Appendix material
All attachments must be in PDF format.
Final Application Check
Avoid Grants.gov & eRA Commons Errors:SF424 (R&R) cover •Does the DUNS number on your application match the
DUNS used for Grants.gov & Commons registration?
•Did you include the Contact Email address?
•Did you provide correct Type of Application, Federal Identifier, and Type of Submission information?
Sr/Key Person Profile•Did you include Commons ID in Credential field for all
PD/PIs?
•Did you include Organization name for all Sr/Key?
Final Application Check
Avoid Grants.gov & eRA Commons Errors (cont.):
Did you include effort > 0 for all Sr/Key listed on the R&R Budget form?Did you include all required attachments?Are all your attachments in PDF format?Are all attachment names 50 characters or less and use only letters, numbers and underscore (_)?
Route Application to AOR
Your completed application must be routed to your institute’s Authorized Organization Representative (AOR) for Submission.
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. NIH errors/warnings shown in the eRA Commons.
Save & Submit button will not become active until:•All G.g mandatory fields are completed•All Mandatory docs are moved to Mandatory Documents for Submission box •Application is Saved
Submit
Enter Grants.gov username and password – you must be fully registered to successfully submit.
Only the AOR can Submit application.
Submit
Print/Save your Confirmation screen info
Grants.gov Tracking #
Date/Time Stamp - due 5 p.m. local time of the applicant org. on submission deadline date
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
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
Track – Commons
Signing Officials (SOs), Principal Investigators (PIs) and Assistants (ASSTs)
can track status in eRA Commons.
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 StatusEmail notifications sent
Track Status- eRA Commons Notifications
eRA emails are sent to the AOR/SO, PD/PI and contact emails 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)
Accessing eRA Commons
Go to: https://commons.era.nih.gov/commons/ Enter your Username and Password
UsernamePassword
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
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
Track Status in Commons – PD/PI
Select Recent/Pending eSubmissions
Or provide Grants.gov tracking number from email notification
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
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://era.nih.gov/ElectronicReceipt/avoiding_errors.htm
Full list of Commons Validationshttp://era.nih.gov/ElectronicReceipt/files/SF424RR_Validation.pdf
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
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 policyPD/PI will receive email notification if SO rejectsapplication
If you can’t VIEW it, we can’t REVIEW it!
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
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!
Reject Application
Must have SO role
Select Recent/ Pending eSubmissions
Click Search
Enter Search Criteria
Reject Application
Select Reject eApplication
Enter comment to be sent with email notification
Click Reject
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
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 2-business day error correction window
Error Correction Window
NIH currently allows applicants to correct errors/warnings during the two (2) business days after the submission deadline
Initial submission made “on time” All registrations completed before deadlineProof of "on time" submission and description of post-deadline changes documented in Cover Letter
IMPORTANT: AOR is expected to enforce that application changes are restricted to those needed to fix identified errors/warnings.
NIH may reject any application that includes additional changes.
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.
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 timestamp 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
NIH Contingency Plans
Contingency plansAddress large-scale, extended system issues • 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:• Targeted emails to affected users
• Alerts on eRA Commons site
• Notice in NIH Guide for Grants & Contractshttp://grants.nih.gov/grants/guide/index.html
• Commons listservshttp://era.nih.gov/ElectronicReceipt/listserv.htm
• Electronic Submission Web site http://era.nih.gov/ElectronicReceipt/index.htm
Form Changes Ahead
NIH plans to move to updated Adobe forms later this year
“ADOBE-FORMS-B” will incorporate changes resulting from:•Latest OMB renewal of PHS 398 form set
•Latest OMB renewal of SF424 (R&R) form set
•Federal Funding Accountability and Transparency Act (FFATA)
•Peer Review redesign effort
Make sure you are using the latest application package posted
Grants.gov Support Resources
Grants.gov Contact CenterAssistance with: • Grants.gov registration; form behavior & navigation; issues
submitting to Grants.gov site
Phone: 1-800-518-4726Email: [email protected] Business Hours: M-F 7 a.m.-9 p.m. ET
Help Page Resources, FAQs, Troubleshooting Tips http://www.grants.gov/CustomerSupport
Download Software Pagehttp://www.grants.gov/help/download_software.jsp
Learn About Grants
eRA, Commons,eSubmission
POLICY
NIH GUIDE
FORMS & INSTRUCTIONS,SUBMISSION DATES
GLOSSARY, FAQS
INITIATIVES
GET CONECTED
http://grants.nih.gov/
BASICS
NIH & eRA Commons Resources
eRA Commons Help DeskAssistance with:•eRA Commons registration, eRA system
validations
Create ticket on Web: http://ithelpdesk.nih.gov/eRA/Phone: 301-402-7469Toll Free: 866-504-9552TTY: 301-451-5939Business hours M-F, 7am-8pm ET
NIH & eRA Commons Resources
Web sites:eRA Commons: https://commons.era.nih.gov/commons/
Electronic Research Administration: http://era.nih.gov/commons/index.cfm
Electronic Submission Information: http://era.nih.gov/ElectronicReceipt/
NIH Grants Information Page: http://grants.nih.gov/grants/oer.htm