Electronic Research Administration Office of Extramural Research National Institutes of Health June 2009 Successful eSubmission Prepare-Complete-Submit-Track-View Sheri Cummins eRA Customer Relationship Manager – eSubmission Samuel Smith eRA 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/SO PI 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 Prepare Systems Registration Software Plan Find Opportunity Download Instructions & Application Forms Complete Application Forms Submit Submit Application to Grants.gov

Today’s eSubmission Topics Track Track Application Correct Any Errors View View Assembled Application in eRA Commons Finding Help Resources Service Desks

Prepare By failing to prepare, you are preparing to fail. -Benjamin Franklin

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.

Prepare to Apply: Registration Registration – Grants.gov Applicant Organization only (one time) Registration not required to find download opportunities Designate 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

Prepare to Apply: Registration Registration – eRA Commons Applicant Organization Designate a Signing Official (SO) Overall responsibility for account administration oRegisters or affiliates Project Director/Principal Investigator (PD/PI) Maintains Institutional Profile Allow 4 weeks to complete “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: Registration Registration - eRA Commons Project 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 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 obtained Update information in Central Contractor Registry (CCR) yearly to keep Grants.gov credentials active Do not combine SO and PI roles on single Commons account If PD/PI has a Commons account, affiliate them to your organization rather than creating new account PIs should update their Commons profile prior to submitting (e.g., degree info used to determine Early Stage Investigator eligibility)

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 are.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 provider Application preparation responsibilities Sharing applications in progress Internal review & approval process Internal 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 NIH Guide for Grants & Contracts Grants.gov Find

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: announcements.htm announcements.htm Apply using the Parent FOA for your chosen activity code

Finding Opportunities Screen shot for Parent Annoucement NIH Office of Extramural Research Small Business (SBIR/STTR) page Parent Announcements NIH Guide for Grants and Contracts

Finding FOAs on Small Business Web site Screen shot of Small Business page SBIR Parent PA STTR Parent PA Follow link to announcement

Funding Opportunity Announcement - Notes Carefully read and follow all FOA instructions.

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 instructions Instructions 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 Package Click download Verify information

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

Download Application Package Download forms

Complete

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 an FOA NIH applications include: Federal-wide (R&R) components Agency-specific (PHS 398) components

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 R&R Subaward Budget Attachment Form SBIR/STTR Information NIH agency-specific components (titled PHS 398): PHS 398 Cover Letter File PHS 398 Cover Page Supplement PHS 398 Research Plan PHS 398 Checklist

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, 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 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 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)

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 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 (_)?

Submit Submit early!! Leave a cushion for unforeseen issues. -Grants.gov & NIH

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 Click Sign and 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 – Grants.gov AORs can track application status at Grants.gov.

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

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

Track Status – Grants.gov Applicant interface Grants.gov application status

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 Status notifications sent

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)

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

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

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 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: Full list of Commons Validations

View Trust, but verify. - Ronald Reagan

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

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 policy PD/PI will receive notification if SO rejects application 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 assembled application 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 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

eSubmission Policies

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 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 deadline Proof 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 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.

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 timestamp 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

NIH Contingency Plans Contingency plans Address 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 s to affected users Alerts on eRA Commons site Notice in NIH Guide for Grants & Contracts Commons listservs Electronic Submission Web site

Grants.gov Status Latest news and current Grants.gov system status provided on their Blog.

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

Resources Support Desks, FAQs, Web sites

Grants.gov Support Resources Grants.gov Contact Center Assistance with: Grants.gov registration; form behavior & navigation; issues submitting to Grants.gov site Phone: Business Hours: M-F 7 a.m.-9 p.m. ET Help Page Resources, FAQs, Troubleshooting Tips Download Software Page

Grants.gov Web site Screen shot of Grants.gov site

Learn About Grants eRA, Commons, eSubmission POLICY NIH GUIDE FORMS & INSTRUCTIONS, SUBMISSION DATES GLOSSARY, FAQS INITIATIVES GET CONECTED BASICS

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 M-F, 7am-8pm ET

NIH & eRA Commons Resources Web sites: eRA Commons: Electronic Research Administration: Electronic Submission Information: NIH Grants Information Page:

NIH Electronic Submission Web Site

Questions?