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.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 validations requirements.

6 Registration Grants.gov Applicant 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 Commons Applicant Organization & PD/PI Designate 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 accounts Log in to accounts prior to deadline to ensure you have access to the systems Update 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 account PIs 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 PIs should update their Commons profile prior to submitting (e.g., degree info used to determine Early Stage Investigator eligibility)

9 Obtain Software Adobe Reader Only specific Adobe Reader versions are compatible with Grants.gov forms PDF conversion program Attachments must be converted to PDF Grants.gov download software page

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 provider Application preparation responsibilities Sharing applications in progress Internal review & approval process Internal 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 unsolicited applications htm

13 Finding FOAs for Investigator–Initiated Research Screen shot for Parent Annoucement NIH Office of Extramural Research Parent Announcements for Unsolicited Applications

14 Screen shots of NIH Guide at 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 & Contracts

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 & Contracts Review list of FOAs matching your criteria and find FOA of interest Click Announcement Number link to access FOA information

17 Announcement Notes Carefully read the entire announcement! 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 p.m. local time Opening Date: systems begin accepting applications Expiration 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.gov Agencies combine form components to meet the data collection needs for a FOA NIH applications include: Federal-wide (R&R) components Agency-specific (PHS 398) components

26 SF424 (R&R) Data Set SF424 (R&R) Components include: SF424 (R&R)—An application cover component Research & Related Project/Performance Site Location Research & Related Other Project Information Research & Related Senior/Key Person (Expanded) Research & Related Budget Research & Related Personal Data (NIH does not use) R&R Sub-award Budget Attachment Form Small 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 File PHS 398 Cover Page Supplement (supplements the R&R Cover) PHS 398 Modular Budget PHS 398 Research Plan PHS 398 Checklist PHS 398 Career Development Award Supplemental Form PHS Fellowship Supplemental Form PHS 398 Research Training Program Plan PHS 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 requirements Complete the SF424 (R&R) form first – info from this form populates fields in other forms within the package Do 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 CA from 1R01CA )

34 Avoiding Common Errors Type of Application (box 8) New Term - Grants.gov Old Term - NIH Notes New An application that is submitted for funding for the first time. (Type 1) RenewalCompeting Continuation Previous years of funding for the project have elapsed. Competing for additional years of funding to continue original project. (Type 2) RevisionCompeting 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) ResubmissionRevision or Amended Application Application previously reviewed. A revised or amended application that addresses reviewer feedback. (A1/A2) ContinuationProgress 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 on SF424 (R&R) cover Credential field for PD/PIs on R&R Sr./Key Person Profile form Organization for all entries on R&R Sr./Key Person Profile form Contact is required. Tip: Can use group address or dedicated box. Contact

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 (Part I, Section 7) PHS Cover Letter Form is Required Include list of Referees that will submit letters through Commons

39 Fellowship (F) Applications Individual National Research Service Award (NRSA) Fellowships (F) applications transitioned to eSubmission August 8, 2009 Fellowship-specific Application Guide 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 Commons ohttp://grants.nih.gov/grants/funding/424/416-1reference.dochttp://grants.nih.gov/grants/funding/424/416-1reference.doc

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 (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

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 All registrations must be completed prior 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 s Receipt Grants.gov Verifying Receipt Validation Grants.gov Verifying Successful Submission OR Rejection Due to Errors Transmission to Agency Sent Once Agency Retrieves Submission Sent When Agency Tracking Number Assigned

50 Track Status – Grants.gov Validations Grants.gov Error Checking Grants.gov mandatory fields completed Mandatory documents moved to the Mandatory Documents for Submission box and completed DUNS# on application matches DUNS# in organization’s Grants.gov registration Attachments 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 Status notifications sent

54 Track Status- eRA Commons Notifications eRA s are sent to the AOR/SO, PD/PI and contact s listed on SF424 (R&R) form Validation complete, check assembled application Validation complete, check assembled application – Warnings only Action required – Errors and/or Warnings Action required – Missing or invalid eRA Commons Username (only sent to AOR/SO) Action required – System Error SO has refused electronic application (rejected) NIH has auto-verified the application (after 2-day viewing window)

55 Accessing eRA Commons Go to: Enter your Username and Password Username Password

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 image DOES 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 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: Full list of Commons Validations

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 deadline AOR is expected to enforce that changes are restricted to fixing errors/warnings Proof of "on time" submission and description of 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 forms Check 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 deadline Submit the entire Changed/Corrected application back through Grants.gov Track submission through to Commons NOTE: 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 image Insert headers & footers Bookmark important sections Generate Table of Contents Post 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 notification if SO rejects application

66 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

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 resolution oIf 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 window Document your issues and corrective actions including support ticket numbers in Cover Letter

73 NIH Contingency Plans Contingency plans Address 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 & Contracts Commons listservs Applying Electronically Web site

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 Commons Commons registration not required to submit reference letter Letters can be submitted in advance of application submission Letters are joined with the electronic application within the eRA system once the submission process is complete Applications missing the required letters may be delayed in the review process or not accepted at all Applicants 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 opportunity Will move to a single FOA with multiple application packages distinguished by Competition ID Example of single opportunity with three posted packages: Opportunity Number: PA Opportunity 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 Center Assistance with: Grants.gov registration; form behavior & navigation; issues submitting to Grants.gov site Phone: Help Page Resources, FAQs, Troubleshooting Tips Download Software Page

79 NIH & eRA Commons Resources eRA Commons Help Desk Assistance with: eRA Commons registration, eRA system validations Create ticket on Web: Phone: Toll Free: TTY: Business hours Mon.-Fri., 7 a.m.-8 p.m. E.T.

80 NIH & eRA Commons Resources Web sites: eRA Commons: Electronic Research Administration: Applying Electronically: NIH Grants Information Page:

81 Learn About Grants NIH GUIDE FORMS & INSTRUCTIONS, SUBMISSION DATES GLOSSARY, FAQS GET CONNECTED BASICS eRA, Commons, Applying Electronically

82 NIH Electronic Submission Web Site

83 Same Web address: NIH Electronic Research Administration Web Site

84 eRA Commons Training Resources Commons Demo 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?