1. October 17, 2005 Overview of the Transition to Electronic Submission of the SF424 (R&R) Application

2. 2 NIH’s Electronic Receipt Goal By the end of May 2007, NIH plans to: 1. 1. Require electronic submission through Grants.gov for all NIH grant applications 2. 2. Transition from the PHS 398 application form to SF424 family of forms data set   SF424 Research and Research-Related (SF424 (R&R))   SF424 Discretionary (of limited use for NIH) Announced in the NIH Guide, Aug. 19, 2005: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-05-067.html http://grants.nih.gov/grants/guide/notice-files/NOT-OD-05-067.html

3. 3 This is a huge transition for all of us! The simultaneous transition to electronic application submission and a new set of application forms is a huge initiative for NIH with an aggressive time table It involves: Numerous funding mechanisms Tens of thousands of applications ranging widely in size and complexity The transition relies upon many pieces for its success: Technical development of eRA and Grants.gov systems Trans-agency resolution of policy and operational issues Lots of communications, training and outreach Acceptance of change by NIH staff Acceptance of change by our research partners in the extramural community

4. 4 What is Grants.gov? to electronically: The Federal government’s single, online portal for any person, business, or State, Local and Tribal government to electronically: Find Grant Opportunities Apply for Grants A cross-agency initiative involving 900 grant programs 26 grant-making agencies Over $350 billion in annual awards

5. 5 Why transition to electronic receipt? It benefits our applicant community, creates efficiencies, and makes our jobs easier! Eliminates the burden of paper-based data collection Resulting efficiencies may allow NIH to shorten the cycle from application receipt to award AREA grants – An early win! Electronic submission creates a comprehensive repository of data that can be mined by knowledge management and other tools Electronic validations improve data quality Savings of >200,000,000 pieces of paper/year (estimated) and countless hours of human effort Reductions of scanning, printing, and data-entry costs Grant image is clearer and in color

6. 6 Why transition to SF424 family of forms? SF424 consolidates forms currently used by Federal grant-making agencies SF424 consolidates forms currently used by Federal grant-making agencies  Applicants can use standard forms regardless of the program or agency to which they are applying.  Reduces administrative burden on the Federal grants community. SF424 (R&R) is the government-wide data set for research grant applications SF424 (R&R) is the government-wide data set for research grant applications

7. 7 Why transition? It’s the law… Public Law (PL) 106-107 Federal Financial Assistance Management Improvement Act of 1999 Improve the effectiveness and performance of Federal financial assistance programs Simplify Federal financial assistance application and reporting requirements Improve the delivery of services to the public President’s Management Agenda (2002) “Agencies to allow applicants for Federal Grants to apply for, and ultimately manage, grant funds online through a common web site, simplifying grants management and eliminating redundancies...”

8. 8 Why now? It’s been a long time coming. It’s time. OMB has set the following FY 2006 Goal for Agencies: Post 75% of Funding Opportunities in Grants.gov “Find” on “Apply” The PHS 398 OMB clearance expires in September, 2007

9. 9 NIH’s Transition Strategy NIH will transition by individual research program/funding mechanism ALL applications in response to these announcements for transitioned mechanisms will require electronic submission through Grants.gov on the SF424 family of forms Mechanisms not yet transitioned will continue to require submission on PHS 398 on paper NIH will announce plans to transition mechanisms in NIH Guide for Grants and Contracts Funding Opportunity Announcements will be posted in Grants.gov “Apply”, generally 2 months before the submission date Posting announcement allows downloading of application package and the ability to start working on the application “Open” date is the first date the completed application can be submitted to Grants.gov

10. 2005 AUG SEPOCTNOVDECJANFEBMAR NIH Timeline: Submission of Grant Applications through Grants.gov Using SF424 Family of Grant Application Forms Post SBIR/STTR and R13/U13 Announcements on Grants.gov Post R15 Announcements on Grants.gov Submit SBIR/STTR via Grants.gov (12/1/05) Submit R13 & U13 via Grants.gov (12/15/05) Submit R15 via Grants.gov (2/25/06) 2006 Post full schedule with all remaining mechanisms NIH TimelineNIH TimelineNIH TimelineNIH Timeline Post R36 Announcements on Grants.gov Submit R36 via Grants.gov (2/17/06)

11. 2006 NIH Timeline: Submission of Grant Applications through Grants.gov Using SF424 Family of Grant Application Forms (cont.) Submit R01 via Grants.gov (10/1/06) OMB Clearance for PHS398 form Expires Submit all Mechanisms via Grants.gov Submit R03, R21 & R33 via Grants.gov (6/1/06) Post R01 Announcements on Grants.gov Post NRSA (T&F), Careers & Complex Grants Announcements on Grants.gov APR FEB MAR MAY JUN JUL AUGSEP OCT NOV APR DECJAN MAY JUN JUL AUG SEP 2007 Abbreviation/Mechanism Key: AREA/R15Academic Research Enhancement HTS/X01High Throughput Screening NRSANational Research Service Award R01Research Project Grant Program R03Small Grant Programs R13/U13Conference Support R21/R33Exploratory/ Development Research R36Research Dissertation Grant Program SBIR/STTRSmall Business Research NIH TimelineNIH TimelineNIH TimelineNIH Timeline Post R03, R21 & R33 Announcements on Grants.gov

12. 12 SF424 (R&R) Grant Application Package SF424 (R&R) includes the following set of standard components: R&R Application/Cover Component R&R Project/Performance Site Location(s) Component R&R Other Project Information Component R&R Senior/Key Person Component R&R Budget Component R&R Personal Data Component (NIH will not use) R&R Sub-award Budget Attachment Component

13. 13 SF424 (R&R) Grant Application Package NIH requires additional data collection to accommodate the unique information required for review of its biomedical research portfolio. In addition to the standard components, the following “agency specific” components will be used by NIH as part of our application package: PHS 398 Cover Letter File PHS 398 Cover Page Supplement PHS 398 Research Plan PHS 398 Modular Budget PHS 398 Checklist

14. 14 Using standard forms to apply through Grants.gov is a very different model The application form and instructions will now be part of a package that NIH posts on Grants.gov along with each funding opportunity announcement (FOA). Applicants will download the application package for the specific funding opportunity announcement from within Grants.gov. This specific application package MUST be used to apply for the accompanying solicitation. Some fields of application are pre-filled from announcement

15. 15 Posting funding opportunity announcements on Grants.gov Funding opportunities will continue to be posted in the NIH Guide and Contracts as usual Funding opportunities will continue to be posted in the NIH Guide and Contracts as usual NIH will continue to use RFAs and PAs, but all solicitations will be referred to as funding opportunity announcements in Grants.gov NIH will continue to use RFAs and PAs, but all solicitations will be referred to as funding opportunity announcements in Grants.gov They will simultaneously be posted to Grants.gov by OER staff along with the appropriate application package They will simultaneously be posted to Grants.gov by OER staff along with the appropriate application package The new model changes how we use the NIH forms website The new model changes how we use the NIH forms website

16. NIH Forms and Applications Page http://grants1.nih.gov/grants/forms.htm

17. 17 SF424 (R&R) Application and Electronic Submission Information http://grants1.nih.gov/grants/funding/424/index.htm Preview Version only!

18. 18 SF424 (R&R) Application and Electronic Submission Information http://grants1.nih.gov/grants/funding/424/index.htm Important Note: Application packages on this page are samples only and cannot be completed and used to submit electronically to Grants.gov. Application package downloaded from the specific funding opportunity announcement on Grants.gov MUST be used to apply.

19. 19 Electronic Receipt: How it works Applying for Grants at Grants.gov: After finding the grant opportunity on Grants.gov: Step 1:Download the grant application package. (PureEdge Software required to view.) Step 2: Complete the application. Step 3: Submit the application to Grants.gov. (Processed through Authorized Organizational Representative (AOR)) Step 4: Track the status of the submitted application package you are notified it has been retrieved by NIH.

20. 20 Electronic Receipt: How it works Applying for Grants (cont.): Step 5: eRA software checks the application against NIH business rules. Step 6: NIH notifies PI and Signing Official via email to check the eRA Commons for results of NIH rule checking. Step 7: If the application passes NIH rules, SF424 (R&R)-based grant image appears. Principal Investigator (PI) and Signing Official (SO) review application. Principal Investigator (PI) and Signing Official (SO) review application. If acceptable, PI and SO verify application in Commons. If not, the PI or SO rejects the application in Commons, makes changes and resubmits via Grants.gov

21. 21 Electronic Receipt: How it works Apply for Grants (cont.): Step 8: If application does not pass NIH rules, errors and warnings are listed. Fix errors and resubmit to Grants.gov Fix errors and resubmit to Grants.gov Step 9: After verification, data and grant image are saved and application begins getting processed by NIH staff. Grant image is available to reviewers. Applicant can follow progress of application via the eRA Commons.

22. 22 Preparing for Submission – Registration Grants.gov Applicant institutions must complete one time only registration Good for electronic submission to all Federal agencies Detailed instructions at: http://grants.gov/GetStartedhttp://grants.gov/GetStarted Grants.gov registration requires institutions to: Obtain a Data Universal Numbering System (DUNS) number Register in Central Contractor Registry (CCR) Registration not required to find funding opportunity or download application package, only to submit completed application eRA Commons Applicant institutions must complete one-time only registration PI’s must work through their institutions to register PI’s currently registered only for IAR must work through their institutions for full Commons registration It is critical for institutions to begin this registration process at least 4 weeks before applications are due!

23. 23 Preparing for Submission - Technology Before an applicant institution can apply they must establish the capacity to complete fields required by application Download PureEdge Viewer from Grants.gov site for direct submission Note: Mac users must currently use a PC emulator to work with PureEdge forms. OR Establish an electronic system that allows the institution to submit to Grants.gov using system-to-system (XML) data stream Can be created by institution OR Institution can establish an agreement with a commercial Service Provider PDF generator software is required for either approach. Grants.gov lists some available tools and software http://www.grants.gov/assets/PDFConversion.pdf. http://www.grants.gov/assets/PDFConversion.pdf

24. Where to find more information Electronic Submission Website at: http://era.nih.gov/ElectronicReceipt/

25. 25 Where to go for Help General information on Electronic Submission and the SF424 (R&R): http://era.nih.gov/ElectronicReceipt Forms transition and questions on NIH’s overall plan for electronic receipt NIH GrantsInfo.gov E-mail: grantsinfo@nih.govgrantsinfo@nih.gov Phone: 301-435-0714 eRA Commons registration and post submission questions on Commons functionality Support Page: http://era.nih.gov/commons/index.cfmhttp://era.nih.gov/commons/index.cfm Help Desk E-mail: commons@od.nih.govcommons@od.nih.gov Phone: 1-866-504-9552 OR 301-402-7469 Grants.gov registration and submission questions Visit: http://www.grants.gov/CustomerSupporthttp://www.grants.gov/CustomerSupport Grants.gov Customer Service E-mail: support@grants.govsupport@grants.gov Phone: 1-800-518-4726 Phone: 1-800-518-4726

26. 26 Are you ready? Ask questions. Get informed!