# Presentation: 207444

## Everything You Always Wanted to Know About the NIH Grant Application Process

**NIH Regional Seminar**

**Megan Columbus**, *NIH Program Manager for Electronic Submission*
**George Gardner**, *Assistant Grants Policy Officer*

## Agenda

- eSubmission Overview
- Finding a Funding Opportunity and Downloading Application
- Walk Through the SF424 (R&R) Application
- Submitting and Tracking the Application
- Pop Quiz!
- Question & Answer

**eSubmission**
**Agenda**

- 1. Overview
- 2. Find Opp & Download
- 3. Walk-Through SF424
- 4. Submit &  Track App
- 5. Pop Quiz
- 6. Q&A

## eSubmission Overview

## Electronic Submission Process

- New Process...
- New Forms...but
***It’s Still About the Science!***
- Our philosophy and policies
- have not changed!
**Let’s examine the process...**

## The Plan

**OMB set the following FY 2007 goal for agencies:**
- Post 100% of funding opportunities on Grants.gov “Apply”.
**NIH plans to:**
- Require electronic submission through Grants.gov for all NIH grant applications
- Transition from the PHS 398 application form to the SF424 (R&R)

## Successful Transitions

**12**

- R03, R21,
- R21/R33,
- R34

**2006**

- R18/U18, R25, C06/UC6

- S10

- R15

- R36

- R13/U13

- SBIR/STTR

- X02

- R01 Multi-PI Pilot

- X01

**12**

**11**

**10**

**09**

**08**

**07**

**06**

**05**

**04**

**03**

**02**

**01**

**02**

**01**

**2007**

- DP1

**R01**

## Future Transitions

**Mechanisms still to transition:**
- Resource – May 25, 2007
- Career Development – tbd
- Fellowship - tbd
- Training (T&D) - tbd
- Project/Center - tbd

## Paper or Electronic?

*Once a mechanism makes the switch to electronic it doesn’t go back!*
*All* transitioned mechanisms _require_ electronic submission of the SF424 (R&R) through Grants.gov
- Mechanisms that have not yet transitioned to electronic applications _require_ continued use of paper PHS 398 forms

## We’ve Come A Long Way

**Some of our accomplishments:**
- NIH has received over 25,000 electronic applications
- We have transitioned over 16 mechanisms
- Processing capabilities have increased dramatically since we began just over a year ago

## Electronic Submission Process

**Prepare to Apply**

**Find Opportunity and Download Application Package**

**Submit Application to Grants.gov ****(AOR submits)**

**Prepare Application**

**Check Submission Status in Commons**

**Check Assembled Application**

**Submission Complete**

## Two Systems Working Together

**Grants.gov**
- Federal government’s single online portal to find and apply for Federal grant funding
- Used by all 26 Federal grant-making agencies
**eRA Commons**
- NIH electronic Research Administration system that allows applicants/grantees to electronically receive and transmit application and award information
- Used by NIH and other HHS components

## Grants.gov - Be Sure Your Organization Is Registered!

**Registration – Grants.gov**
- Many organizations are already registered
- Full info at _[http://](http://www.grants.gov/applicants/get_registered.jsp)__[www.grants.gov/applicants/get_registered.jsp](http://www.grants.gov/applicants/get_registered.jsp)_
- Applicant Organization *only* (one time)
- Obtain EIN from IRS (new businesses)
- Request DUNS from Dun & Bradstreet
- Register with Central Contractor Registry (CCR) – identify the eBiz Point of Contact (POC)
- Register the Authorized Organization Reps (AORs) who can officially submit on behalf of your organization

**Can take 2 – 4 weeks; up to 8 for newly established businesses.  START NOW!**

**Notes:**
Obtain an Employer Identification Number from the IRS if your organization does not already have one.
Request a Data Universal Numbering System (DUNS Number) from Dun & Bradstreet
Register with the Central Contractor Registry and identify the eBiz Point of Contact for your organization
Register the Authorized Organization Representatives (AORs) who are authorized to officially submit on behalf of your organization

This process can take 2 – 4 weeks for established organizations and up to 8 weeks for new businesses who have to get an EIN number.

## eRA Commons – Both Organization and PI Registration Required!

**Registration eRA Commons - Organization**
- Register your organization/institution (one time); register your Signing Official (SO)
- List of registered orgs: _[http://era.nih.gov/commons/index.cfm](http://era.nih.gov/commons/index.cfm)_
- Not listed? Register here: _[https://commons.era.nih.gov/commons/registration/registrationInstructions.jsp](https://commons.era.nih.gov/commons/registration/registrationInstructions.jsp)_
- Register and create a separate account for your Project Director/Principal Investigator or affiliate them
- May be completed simultaneously with the Grants.gov registration (as soon as the DUNS # is obtained)
- Allow 2 – 4 weeks to complete

## Registration eRA Commons – PD/PI
Principal Investigators (PIs) must work through their institution’s SO to register.

The PI and Signing Official (SO) need separate accounts in eRA Commons because each has different privileges.

PIs have one account that follows them throughout their careers – the same account may be affiliated with multiple organizations

Allow 4 - 5 business days to complete.

- Principal Investigators (PIs) must work through their institution’s SO to register.
- The PI and Signing Official (SO) need separate accounts in eRA Commons because each has different privileges.
- PIs have one account that follows them throughout their careers – the same account may be affiliated with multiple organizations
- Allow 4 - 5 business days to complete.

- eRA Commons – Both Organization and PI Registration Required!

## Choose Your Submission Method

**There is more than one way to submit an electronic application**
- Forms-based submission using PureEdge software
- System-to-System using XML data stream
- Use commercial service provider to submit applications on behalf of the organization

## Make Sure You Have Necessary Software

**Software Requirements**
- PureEdge Viewer – free at Grants.gov
- May not be needed if your organization uses a system to system approach
- Macs – New IBM Workplace Forms PureEdge Viewer Available
- All other options still available: Citrix service & PC emulation
- 	_[http://www.grants.gov/resources/download_software.jsp](http://www.grants.gov/resources/download_software.jsp)_
- PDF generation software – list provided on Grants.gov website
- 	_[http://www.grants.gov/agencies/software.jsp#3](http://www.grants.gov/agencies/software.jsp#eSubmission Overview)_

## Upcoming Change! Grants.gov Moving to Adobe eForms

- New Adobe eForms will replace PureEdge
- Platform Independent
- Only requires free Adobe Reader
- Change will happen summer/fall of 2007

**Not *****THAT***** Adobe...**

***THIS***** Adobe!**

## Internal Process Considerations

**Think of How Your Organization Will Manage...**
- Internal review & approval processes
- Sharing applications in progress
- Deciding how to manage the last minute queue at Sponsored Programs (rather than using an airport FedEx drop box!)

## Finding A Funding Opportunity& Downloading the Application

**Notes:**
You don’t have to search far and wide...just go to the NIH Guide for Grants & Contracts!

## Find Opportunity & Download Package

- New paradigm: ALL applications must be submitted in response to a Funding Opportunity Announcement (FOA)
- NIH simultaneously posts FOAs in the *NIH Guide for Grants and Contracts* and Grants.gov *Find*
- The *NIH Guide*
*	*_*[http://grants.nih.gov/grants/guide/index.html](http://grants.nih.gov/grants/guide/index.html)*_

## Investigator – Initiated ResearchUse “Parent” Announcements

- NIH is committed to investigator-initiated research and we want your unsolicited applications!
- Since all applications now must be submitted in response to an FOA – we’ve created “Parent” FOAs
- Apply using the Parent electronic application package for your chosen mechanism

**Parent FOAs**

- Parent announcements listed at:
- _[http://](http://grants.nih.gov/grants/guide/parent_announcements.htm)__[grants.nih.gov/grants/guide/parent_announcements.htm](http://grants.nih.gov/grants/guide/parent_announcements.htm)_

## Office of Extramural Researchhttp://grants.nih.gov/grants/oer.htm

**Office of Extramural Research****http://grants.nih.gov/grants/oer.htm**

**New “Parent” FOA page added for quick reference to unsolicited applications.**

**Notes:**
So let’s go through the process!

First you would go to the Office of Extramural Research’s website and find the Funding Opportunities area.  Then you would click on the Funding Opportunities link.

## Enter search criteria or

**Enter search criteria or**
**Select *****Advanced Search***

**Notes:**
That link automatically takes you to the Basic Search screen to begin looking for a Funding Opportunity.  You can enter your basic search criteria here or click the Advanced Search to narrow your search results.

## Select the FOA number to open the announcement.

**Select the FOA number to open the announcement.**

**Notes:**
Once you find the Funding Opportunity – you’ll click on the Announcement Number to open up the announcement.

## Find Opportunity & Download FOA

- Within the announcement – Click the ***Apply for Grant Electronically*** button
- This will take you directly to Grants.gov so you may download the package

**Notes:**
When you open the announcement, you’ll see a button that says “Apply for Grant Electronically.”  Clicking that button will take you directly to the Grants.gov site where you can download the package you selected.

## Download FOA From Grants.gov

**Notes:**
You’ll automatically be taken to this screen.  Remember that you’ll need PureEdge before you can download the package!  Click the download link.

## Download Application & Instructions

**Important Tip: Sign up to receive notification of changes to the FOA!**

**Download the application and instructions from this location.**

**Notes:**
Be sure to verify that the Opportunity listed on this screen is the one that you are interested in.

We highly recommend that you take advantage of the opportunity to sign up for notification if there are any changes to the FOA.  If you don’t, we will have no way of contacting you prior to submission.

At this time, you’ll download BOTH the Application Instructions and the Application Package.

**Select “Save” to save the application package to your local hard drive.  **
**You will receive a warning message each time you save until all required data is entered.**

**Notes:**
When you download the application, the appropriate package will automatically open.  You’ll need to save the package to your local hard drive.  You will receive an error message when you save the application package for the first time since the fields are all blank – just disregard it and save to your local hard drive or network so that you can work on the package offline until you are ready to submit the application.

Once downloaded, you can open each of the application package components and complete the requirements based on the Application Guide and the Application Instructions for the particular FOA.

At this time, Marcia Hahn is going to take you on a tour of the form components!

## Walk Through the SF424 (R&R)

**George Gardner**
**How to navigate **
**the maze!**

## Features of the SF424 (R&R)

- A complete application to NIH will include a combination of (R&R) components & PHS 398 components.
- The applicant **must** complete the application using the package attached to that particular FOA. *Information from the specific FOA is used in the forms.*

## Features of the SF424 (R&R)

- Applicants *cannot* use form packages from other announcements.
- The applicant will complete data entry in all necessary components and upload appropriate attachments.

## Features of the SF424 (R&R)

- SF424 (R&R) Components include:
- SF424 (R&R)—*An application cover component*
- Research & Related Project/Performance Site Location (s)
- Research & Related Other Project Information
- Research & Related Senior/Key Person (Expanded)
- Research & Related Budget
- Research & Related Personal Data *(NIH will not use)*
- R&R Subaward Budget Attachment Form
- SBIR/STTR Information

## Features of the SF424 (R&R)

- 	NIH requires additional information for review of its biomedical research portfolio.  Therefore, NIH has developed 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

## Features of the SF424 (R&R)

- Application components include specific data fields as well as multiple attachments
- Most attachments are text
- NIH requires PDF text attachments
- Create attachments using any word processing software but convert to PDF before attaching to the application form
- Do *not *include headers or footers in the text pages

## Features of the SF424 (R&R):  Application Guide

- NIH has developed 2 Application Guides specific to the SF424 (R&R):
- General Instructions
- General +SBIR/STTR
- Includes instructions embedded in the actual forms as well agency-specific instructions
- Agency-specific instructions denoted with the HHS Logo

## Application Guide

**Current Application Guide:**
- Version 2 (including 2A)
- Competition ID field includes VERSION-2-FORMS or VERSION-2A-FORMS
- A link to the appropriate application guide is automatically included in the FOA application package

## Features of the SF424 (R&R):  Application Guide

- Documents have same ‘part’ structure as PHS 398 Instructions:
**Part I:**		Instructions for Preparing and 			Submitting 	an Application
**Part II:****	**Supplemental Instructions for 			Preparing the Human Subjects 			Section of the Research Plan
**Part III:**	Policies, Assurances, Definitions

## Features of the SF424 (R&R):Application Package Header

- Header page is attached to every posted application package
- Header data is pre-filled from the announcement
- Notes which components are required (mandatory) and which are optional for the announcement
- Includes basic instructions
- Includes Application Submission Verification & Signature screen

## Prepare Your Application

- Header Information
- Pre-filled from Announcement

**All Mandatory  Documents for the FOA will be included in the application package.**

**The CFDA Number will be left blank for NIH Opportunities**

## Prepare Your Application

**Click this button for field-specific help.**

**Grants.gov mandatory fields will have an asterisk and will be highlighted**

## SF424 (R&R) 

**SF424 (R&R) **
**Cover Component**
**Page 1**

## SF424 (R&R) Cover Component Page 2

**SF424 (R&R) Cover Component Page 2**

## Component: SF424 (R&R) – A Cover Component

- Similar to the PHS 398 Face Page
- Provides general information about the applicant organization, contact information for the **PD/PI** and **AOR/SO**
- Provides application-specific information (type, title etc.)

## Component: SF424 (R&R) – A Few Data Issues

**Item 1, Type of Submission**
- Pre-application - do *not* use unless specifically noted in FOA
- Changed/Corrected Application—To be used only when correcting an application that failed system validations.  This is NOT a resubmission (amendment).
**Item 5, Applicant Information:**  This is for the applicant organization

## Component: SF424 (R&R) – A Few Data Issues

**Item 5, **Organizational DUNS:  *Must *match DUNS in eRA Commons** **profile for Applicant Institution
- AOR should verify DUNS in Commons profile before submission
- Use Organizational DUNS (do not use DUNS for a specific individual)
- If Organization has multiple DUNS, pick a single one for NIH grants

## Component: SF424 (R&R) – A Few Data Issues

**Item 8, Type of Application--New Terminology**
**New** is the same
**Resubmission** is equivalent to a Revision (a revised or amended application)
**Renewal** is equivalent to a Competing Continuation
**Continuation** is equivalent to a Progress Report. For the purposes of NIH and other PHS agencies, the box for Continuation will not be used and should *not* be checked.
**Revision** is somewhat equivalent to a Competing Supplement
- Terminology crosswalk provided in instructions

## Component: SF424 (R&R) – A Few Data Issues

**Item 10, CFDA Number & Title**
- CFDA = Catalog of Federal Domestic Assistance
- Fields are pre-filled based on the specific announcement
- Fields may be blank for applications in response to an FOA that includes multiple CFDAs
- When multiple CFDAs are listed in an announcement, a CFDA will be assigned by the eRA system once a specific Institute assignment is made

## Project/Performance Site Locations

**Project/Performance Site Locations**

## R&R Project/Performance Site Locations

- Equivalent to the PHS 398 Form Page 2 Performance Site section
- Collects individual data for up to 8 locations
- >8 locations – information is provided in an attachment (not structured data, just text)
- Format for the >8 attachment available on SF424 (R&R) Forms Page: _[http://grants.nih.gov/grants/funding/424/index.htm](http://grants.nih.gov/grants/funding/424/index.htm)_

## Other Project Information

**Other Project Information**

## R&R Other Project Information

- Includes information on involvement of Human Subjects, Vertebrate Animals, Environmental Impact, Foreign Involvement
- Includes separate PDF attachments for
- Project Summary/Abstract (Description)
- Project Narrative
- NIH will use this upload for the “Relevance” section of the Abstract
- Separate component developed for Research Plan
- Facilities & Other Resources
- Equipment Resources

## Senior/Key Person Profile

**Senior/Key Person Profile**

## R&R Senior/Key Person

**Version 2**
- Captures personal profile information on the PD/PI, Key Personnel, and Other Significant Contributors
- Captures structured data for 8 individuals (PI and 7 others)
- >8 information is provided in an attachment (not structured data, just text)
- Format for the >8 attachment available on SF424 (R&R) Forms Page: 	_[http://grants.nih.gov/grants/funding/424/index.htm](http://grants.nih.gov/grants/funding/424/index.htm)_

## Senior/Key Person Profile (Expanded)

## Research & Related Senior/Key Person (Expanded)

**Version 2A**
- This is the only change in the forms for packages noted as Version 2A.
- Captures structured data for up to 40 Senior/Key Persons.

- Senior/Key Person
*Expanded*

## Senior/Key Person Profile (Expanded)

**Additional Senior/Key Person Form Attachments**

## Version 2A: Research & Related Senior/Key Person (Expanded)

- Enter Senior/Key Person 1, click the *Next Person* button to display the fields for Profile – Senior/Key Person 2.
- After the first 8 are entered (PI + 7 others), the *Select to Extract the R&R Additional Senior/Key Person Form* button becomes active.
- Click to open a new page that allows up to four additional Senior/Key Person (PureEdge) components to be attached (each containing another 8 individuals).

## Senior/Key Person Profile (Expanded)

**Senior/Key Person Profile (Expanded)**
**Additional Senior/Key Person Form Attachments**

**Clicking on the “Select to Extract the R&R Additional Senior/Key Person Form” button produces the PureEdge form shown above.**

## R&R Senior/Key Person & Sr./Key Expanded

- Credential:  Must enter the eRA Commons User Name - for the PD/PI, this is a mandatory field for NIH submissions. (Most common validation failure to date)
- Biosketch is attached for each person
- Same data requirements exist; however, page limits slightly change to just 4 pages
- Eliminated the 2-page limit for subsections

## R&R Senior/Key Person & Sr./Key Expanded

- Attachment for Current & Pending Support (a.k.a. Other Support) is not required at submission unless specified in FOA.
- For most applications, this will continue to be a Just-In-Time submission

## R&R Budget Sections A & B

**R&R Budget Sections A & B**

## R&R Budget, Sections A & B

- Personnel separated into 2 sections
- A.  Senior/Key Person
- Allows 8 as named individuals & structured data
- > 8 information is provided in an attachment (not structured data, just text)
- Info for PD/PI must be entered, even if $ = 0
- B.  Other Personnel
- Postdocs, Grad Students, Undergrads:  captures # only
- NIH will request more detail in Budget Justification

## R&R Budget, Sections A & B

- Change from Percent Effort to *Person Months*
- Must enter either Calendar, Academic and/or Summer for all Senior/Key Persons
- Incorporated this business process change throughout--See 4/2006 Interim change to PHS 398 & PHS 2590 Progress Report, including Budget Pages, Other Support documentation, Key Personnel Reports, etc.
- FAQs and Calculator available at:  _[http://grants.nih.gov/grants/policy/person_months_faqs.htm](http://grants.nih.gov/grants/policy/person_months_faqs.htm)_

## R&R Budget

**R&R Budget**
**Sections C - E**

## R&R Budget, Sections C - D

- C. Equipment
- Allows itemization of up to 10
- >10 equipment items: details provided in an attachment – total funds requested in attachment are entered in Line 11
- D. Travel
- R&R separates out Domestic & Foreign
- This will not change any NIH policy/practice.  We will continue to award as a single category.

## R&R Budget, Section E

- E. Participant/Trainee Support Costs
- Will not be used by NIH unless specifically noted in an announcement
- Tuition Remission will continue to be included in Section F *Other Direct Costs*

## R&R Budget

**R&R Budget**
**Sections F - K**

## R&R Budget, Sections F - I

- F. 	Other Direct Costs
- Itemizes: Supplies, Publication Costs, Consultants, ADP/Computer Services, Consortium Costs, Equipment or Facility Rental/User Fees, Alterations & Renovations
- Have included agency-specific instructions to use this section to also account for patient care costs & tuition remission
- G. 	Total Direct Costs (A – F)
- H. 	Indirect Costs
- I.  	Total Costs (G+H)

## R&R Budget, Sections J - K

- J. 	Fee
- K. 	Budget Justification – a PDF text attachment
*Next Period* Button:  At the top of the last budget page.  All required data fields in this component must be entered before this button is available. This includes the Budget Justification.

## R&R Budget, General Notes

- Applicant prepares a detailed budget for every budget period
- There is no summary budget page like the PHS 398 Form Page 5
- A detailed Cumulative budget is system-generated

## Slide 71

## R&R Subaward BudgetAttachment Form

- Use for detailed budget from any consortium grantee *only* when the prime is submitting detailed budget
- Do *not* use if prime is submitting Modular Budget
**Consortium grantee(s) must have PureEdge installed**

## R&R Subaward BudgetAttachment Form

- Allows up to 10 separate budget attachments—one for each consortium grantee
- Applicant sends the R&R budget component to the consortium grantee for completion; it is returned to the applicant; applicant attaches it in this component
- Applicant still needs to include the total costs for all consortiums in their own detailed budget, Section F.5

## R&R Subaward BudgetAttachment Form - Tips

***Budget Type*****:** Prime applicant selects the “Project” checkbox; subaward/consortium organization selects the “Subaward/Consortium” checkbox
***DUNS #:*** Prime applicant’s DUNS is prepopulated from the Cover Component; subaward organization should enter their own DUNS #*. This is a mandatory field.
- 	*If the subaward/consortium does not have a DUNS # by the receipt date, enter nine zeros in the field as a workaround.

## SBIR/STTR Information

**Page 1**

## SBIR/STTR Information Page 2

## SBIR/STTR Information

- Includes eligibility questions answered by both SBIR & STTR applicants as well as separate sections for SBIR & STTR-specific questions
- Includes Commercialization Plan as PDF Attachment

## Agency-specific Components (a.k.a. PHS 398 Components)

- 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

## Slide 79

## PHS 398 Cover Letter

- Provides a text attachment for a cover letter
- Instructions to applicant remain the same as in the PHS 398
- Is stored separately in the eRA Grant Folder, not as a part of the main application grant image

## PHS 398 Cover Letter

- Is seen only by appropriate NIH staff;
- 	not peer reviewers
- Required when submitting a Changed/Corrected Application after submission date
- If revising the cover letter for a Changed/Corrected application, *include all previously submitted letter text*

## PHS 398 

**PHS 398 **
**Cover Page Supplement **
**Page 1**

## PHS 398

**PHS 398**
**Cover Page Supplement **
**Page 2**

## PHS 398 Cover Page Supplement

- Companion form to the (R&R) Cover Component
- For the PI, includes New Investigator Code & Degree fields (Note, PD/PI info at the top is pre-filled. Provided here for reference only.)
- Includes Clinical Trial & Phase-III defined clinical trial indicators

## PHS 398 Cover Page Supplement

- For the Business Official Contact, includes complete contact information (title & mailing address missing from section 5 of the R&R Cover)
- Includes Human Embryonic Stem Cells section

## PHS 398 Modular Budget

**PHS 398 Modular Budget**

## PHS 398 Modular Budget

- Provides data entry for each budget period
- A.  Direct Costs
- DC less consortium F&A
- Consortium F&A
- Total DC
- B. Indirect Costs Calculation section
- C. Total Costs (A + B)
- Cumulative Budget is system-generated
- Budget Justification: PDF text attachments for Personnel, Consortium and Other

## PHS 398 Research Plan

**PHS 398 Research Plan**

## PHS 398 Research Plan

- Separate PDF attachments for each section (designed to maximize benefits of system validations & to accommodate bookmarking of the image)
- Same formatting requirements in the   PHS 398 continue here – margins, page limits, etc.

## PHS 398 Research Plan

- Appendix Material
- Allows up to 10 separate attachments
- Will be stored separately in the eRA Grant Folder, not as a part of the main application grant image
- Will be accessible to appropriate NIH staff and peer reviewers
- See recent changes in Appendix Material, Guide Notice NOT-OD-07-018:
- _[http://grants.nih.gov/grants/guide/notice-files/NOT-OD-07-018.html](http://grants.nih.gov/grants/guide/notice-files/NOT-OD-07-018.html)_

## PHS 398 Research PlanHelpful Hints

- Create as a single document using any word processing software.  Separate at the end before uploading.
- Do not include headers or footers
- Include a section heading as part of the text (i.e., Specific Aims, Background & Significance)
- Avoid 2-column format for text (difficult for reviewers to read electronically)

## PHS 398

**PHS 398**
**Checklist Page 1**

## PHS 398

**PHS 398**
**Checklist**
**Page 2**

## PHS 398 Checklist

- Captures additional information currently in the PHS 398 Checklist
- Change of PI
- Change of Grantee Institution
- Inventions & Patents
- Program Income
- PDF text upload for an Assurances/Certifications explanation

## Submitting & Tracking the Application

**	****	****	****	****	****Megan Columbus**

## Be sure all Mandatory Documents are completed and moved to the submission list.

**Be sure all Mandatory Documents are completed and moved to the submission list.**

**Refer to the agency-specific instructions for which Optional Documents are required.**** **

**Be sure to “Save” the completed application package to your local hard drive.**

## The Check Package for Errors button will ONLY show Grants.gov errors.

**The Check Package for Errors button will ONLY show Grants.gov errors.**

**You must *****Submit***** the application for it to go through the NIH validation process.  NIH errors will be shown in the eRA Commons.**

## The AOR submits the application to Grants.gov.  Registration with Grants.gov and eRA Commons must be complete to successfully submit.

**The AOR submits the application to Grants.gov.  Registration with Grants.gov and eRA Commons must be complete to successfully submit.**

## The AOR Signs & Submits

**Only the AOR may sign and submit the application on behalf of the organization.**

## AOR Submits

## Submit Application

**Scroll to the bottom of the Grants.gov confirmation screen to receive your Tracking Number and Date/Time Stamp.**
**Applications are due ****5 p.m. local time of the applicant org. on receipt date.**

**Notes:**
Be sure to print and keep a copy of this for your records.  If you have to contact support for assistance, they will need the Grants.gov tracking number.

## Expected Turnaround Times

- Grants.gov response to an application submission – generally within hours, up to 2 business days
- eRA Commons response to an application submission – generally within hours, up to 1 business day
- AOR/SO and PI review of application image – within 2 weekdays of availability in eRA Commons
- 	(*Monday – Friday, includes holidays*)

## Upon Submission Grants.gov Will Check to Ensure:

- All Grants.gov mandatory fields have been completed
- All mandatory documents have been completed and moved to the Completed Documents box (Submission List)
- Checks the organizational DUNS #
- Checks date format, email address format, and scans for viruses

## On-Time Submission

- All registrations must be completed prior to initial submission.
- Initial submission must have a Grants.gov timestamp on or before 5:00p.m. local time of submitting organization on the receipt date.
- Errors/Warnings must be corrected within the 5 business day window after the submission deadline

## Email Notifications – Grants.gov

**AOR receives emails**
- Submission Receipt – app received and
- 	is being validated (Grants.gov validations only)
- Rejection Notice – app is not validated because of Grants.gov errors
- Submission Validation Receipt – app has been validated (Grants.gov validations only)
- Grantor Agency Retrieval Receipt – app has been retrieved by the agency
-  Agency Tracking Number – app has been assigned a tracking number by the grantor agency (NIH)

## eRA Commons Validations

- Once NIH retrieves the application from Grants.gov, eRA systems check the application against NIH business rules.
- Detailed check against the instructions in the application guide
- Validates against the instructions in the specific FOA
- For a detailed list of NIH validations: _[http://era.nih.gov/ElectronicReceipt/prepare_app.htm#5](http://era.nih.gov/ElectronicReceipt/prepare_app.htm#The Plan)_
- Remember, the SF424 (R&R) forms are used by many agencies, so unfortunately NIH cannot build our specific rules into the forms.

## System Check of Application May Result in Errors & Warnings

**Errors***** ***_***must***_*** *****be addressed for the application to move on to NIH Receipt & Referral.**
**An application must be error-free in order for eRA systems to generate an image of the application for viewing.**
**Warnings** may be fixed at the applicant’s discretion but **do not require action** for the application to move on.
- If the PI corrects any Warnings or Errors, they should contact the AOR/SO.  The AOR/SO must submit the entire ‘Changed/Corrected’ application again through Grants.gov.

## Check Status in eRA Commons

-  If the application is error-free the eRA Commons system will:
- Assemble the grant image
- Generate a Table of Contents
- Include headers (PI name) & footers (page numbers) on all pages

## Email Notifications - eRA Commons

**AOR/SO and PI receive emails**

| Validations Complete/Check Assembled Application |
| --- |
| Validations Complete/Check Assembled Application – Warnings Only |
| Action Required: Errors and/or Warnings, Missing or Invalid Commons Username, System Error |
| SO has refused application – SO rejected the application |

## Check Status in Commons – PD/PI

**1. Click the Status tab to view the PI Status.**
**2. Find application that shows “eSubmission Error” in the Application Status column.**
**3. Follow the link on the Application ID to see specific Error/Warning messages.**

## View Errors/Warnings

## Check Status in Commons AOR/SO

**Search screen allows the AOR/SO to narrow the list of results.  Click *****Show Prior eSubmission Errors***** to view application errors.**

## Check Assembled ApplicationTo Ensure Successful Transmission

**View the Application Image by clicking on the Application ID**

## Check Assembled Application

**Next, click on the e-Application link to view the image.**

## Application Image

**Be sure to review the entire application carefully!**
**Your application is not considered received by NIH until you see the application image in the eRA Commons & the 2-day viewing window has elapsed.**

## Check Assembled Application

**The AOR/SO has a 2 weekday viewing window to reject an application that has system formatting errors.  If the application is not rejected within the 2 weekdays it will automatically proceed to Receipt & Referral.**

## Application Image – Viewing Window

- After NIH receives an error-free application, an assembled application image is generated and placed in the eRA Commons.
- Applicants have ***two weekdays*** (M-F *including holidays*) to view the assembled application before it automatically moves forward to NIH’s Division of Receipt and Referral.
- Signing Official (SO) has option to “Reject”.
- If “Rejected” after receipt date for any reasonother than a system formatting issue, subsequent corrected submission is subject to the NIH late policy.
- PI will receive e-mail notification if SO rejects application.

## Correction Window

- 	NIH will allow changed/corrected applications to be submitted to address errors/warnings in the **five business days** after the receipt date.
- Initial application submission to Grants.gov must have been made on time
- Changes must be made in response to identified errors/warnings
- Cover letter required

## To Reiterate: On-Time Submission

- All registrations must be completed prior to initial submission.
- Initial submission must have a Grants.gov timestamp on or before 5:00p.m. local time of submitting organization on the receipt date.
- Errors/Warnings must be corrected within the 5 business day window after the submission deadline

## Application Complete!

## Electronic Submission

- Resources for Assistance

## http://era.nih.gov/ElectronicReceipt/

- _[http://](http://era.nih.gov/ElectronicReceipt/)__[era.nih.gov/ElectronicReceipt](http://era.nih.gov/ElectronicReceipt/)__[/](http://era.nih.gov/ElectronicReceipt/)_

**Application Instructions, Assembly Info, Person Months Conversion Calculator and more!**
- _[http://grants.nih.gov/grants/funding/424/index.htm](http://grants.nih.gov/grants/funding/424/index.htm)_

## Training Tools

**Automated Training Tutorials**
- eRA Commons Registration
- Completing an Application Package (Grants.gov)
- Find & Download a Funding Opportunity
- Check Submission Status & View Assembled Application (PI & SO versions)

- _[http://era.nih.gov/ElectronicReceipt/training.htm](http://era.nih.gov/ElectronicReceipt/training.htm)_

## Training Tools

**Hands-On Learning**
- Create Your Own Commons Demo Account
- Check the status of sample applications
- View errors & warnings
- See sample application images
- Hands-On Workshop Guide
- Step-by-step notes & instructions from the NIH eSubmission training labs
- eSubmission Pop-Quiz
- Test your understanding of eSubmission Basics

- _[http://](http://era.nih.gov/ElectronicReceipt/training.htm)__[era.nih.gov/ElectronicReceipt/training.htm](http://era.nih.gov/ElectronicReceipt/training.htm)_

## Finding Help – 1st Steps

- Frequently Asked Questions _[http://](http://era.nih.gov/ElectronicReceipt/faq.htm)__[era.nih.gov/ElectronicReceipt/faq.htm](http://era.nih.gov/ElectronicReceipt/faq.htm)_
- Avoiding Common Errors _[http://](http://era.nih.gov/ElectronicReceipt/avoiding_errors.htm)__[era.nih.gov/ElectronicReceipt/avoiding_errors.htm](http://era.nih.gov/ElectronicReceipt/avoiding_errors.htm)_
- Presentations, Quick Reference Materials, Brochures, Drop-in newsletter articles
- 	_[http://](http://era.nih.gov/ElectronicReceipt/communication.htm)__[era.nih.gov/ElectronicReceipt/communication.htm](http://era.nih.gov/ElectronicReceipt/communication.htm)_
- Training Videos, Videocast Archives
- 	_[http://](http://era.nih.gov/ElectronicReceipt/training.htm)__[era.nih.gov/ElectronicReceipt/training.htm](http://era.nih.gov/ElectronicReceipt/training.htm)_

## Finding Help 

- Knowing Where You Are in the Submission Process Will Tell You Where to Go For Help!

**IMPORTANT**

## Finding Help: Grants.gov 

- 	If help is needed with the Grants.gov registration process or with technical aspects of submitting through the Grants.gov system or PureEdge:
- Check the resources available on the Grants.gov website (_[http://](http://grants.gov/)__[grants.gov](http://grants.gov/)__[/](http://grants.gov/)_ )
- Grants.gov help is also provided by the following office:
- 			Grants.gov Customer Support
- 			Contact Center Phone: 1-800-518-4726
- 			Business Hours M-F 7 a.m.- 9 p.m. EST
- 			Email _[support@grants.gov](mailto:support@grants.gov)_

**Registration & Submission**

## Finding Help: eRA Commons

- 	If help is needed with eRA Commons registration or system validations after submission through Grants.gov:
- Check the eRA Commons website:
- 	_[https://](https://commons.era.nih.gov/commons/index.jsp)__[commons.era.nih.gov/commons/index.jsp](https://commons.era.nih.gov/commons/index.jsp)_
- eRA Commons Help Desk
- Phone:     301-402-7469
- Toll Free: 866-504-9552
- TTY: 	     301-451-5939
- Business hours M-F, 7am-8pm EST
**Web support:**** **_[http://](http://ithelpdesk.nih.gov/eRA/)__[ithelpdesk.nih.gov](http://ithelpdesk.nih.gov/eRA/)__[/eRA/](http://ithelpdesk.nih.gov/eRA/)_

**Use the web support! Enter your own help ticket!**

**Registration & Validations Processes**

## Finding Help: Application Preparation

- I.  Review the Application Instruction Guide
- II. Review the FOA
- 			Contact Grants Info:
- 			Grants Info
- 			Phone: 301-435-0714
- 			TTY:	  301-451-0088
- 			Email _[GrantsInfo@nih.gov](mailto:grantsinfo@nih.gov)_

## Feedback – Contact Us

- NIH has established an email address to collect comments and/or suggestions from users:
- 		_[NIHElectronicSubmiss@mail.nih.gov](mailto:NIHElectronicSubmiss@mail.nih.gov)_
- Please share your successes and challenges with us!
- We especially like specific suggestions for improvement
- Tell us what resources are most useful (Targeted Emails, FAQs, Avoiding Common Errors, Commons Alerts, Training Tools etc.)

## eSubmission Pop Quiz!

## 
 NOW!

- <footer>

** ****NOW!**

**When Should You Start the Registration Process?**

-    Register now to be prepared
-    All PIs and Fellows need to be registered

##  PDF!

- <footer>

**All Application Attachments Must Be in What Format?**

** ****PDF!**

- Saving a document with a .pdf extension does not count!
- For specific guidelines on creating PDFs Visit: _[http://era.nih.gov/ElectronicReceipt/pdf_guidelines.htm](http://era.nih.gov/ElectronicReceipt/pdf_guidelines.htm)_

##  Only the AOR

- <footer>

**Who Has the Authority to Submit an Application on Behalf of the Organization?**

** ****Only the AOR**

- If a Principal Investigator needs to submit an application or needs to make a change to a submission; they must work through the organization’s AOR/SO.

## What Are the Two Elements of 

- <footer>

**What Are the Two Elements of **
**On-Time Submission?**

**Initial submission must have a Grants.gov timestamp *****on or before 5:00p.m.***** local time of submitting organization on the receipt date. **
**All registrations must be completed prior to initial submission.**
**Errors/Warnings must be corrected within the 5 business day window after the submission deadline**

##  TWO WEEKDAYS

- <footer>

**How Many Days Do You Have to Review Your Assembled Application Image?**

** ****TWO WEEKDAYS**
**(holidays count!)**
**then it automatically goes to NIH Receipt & Referral**

##  FIVE BUSINESS DAYS*

- <footer>

**If You Submit On-Time & Need to Correct Errors/Warnings –**** How Much Time Do You Have?**

** ****FIVE BUSINESS DAYS***
**After the Receipt Date**

- Don’t forget that you must include a Cover Letter when submitting a Changed/Corrected Application after the receipt date.
- *This is a temporary correction window. Target an error-free application by receipt date!

## NO

- <footer>

**Can you have the PI role and SO role on the *****same***** Commons account?**

**NO**

- The PI and SO can be the same *person *(seen most with small business) but they must have *two separate accounts*.

## If Instructions in the Application Guide and FOA Conflict, Which One Wins?

- <footer>

**If Instructions in the Application Guide and FOA Conflict, Which One Wins?**

**	****Instructions in the FOA trump the application guide.**

## 	NO!

- <footer>

**Does the ‘Check Package for Errors’ button in PureEdge check against NIH business rules?**

**	****NO!**
**Only Grants.gov form errors are detected.**

- Remember, the R&R forms are used by many different agencies.  There is no way to pre-check your application against NIH validations using the downloadable form solution.  Start early to allow time for corrections.

## 	Application Errors

- <footer>

**What Stops the Submission Process and MUST be Corrected?**

**	****Application Errors**

- WARNINGS do not stop submission and may be corrected at the applicant’s discretion.

## Remember: Slow & steady wins the race! Start early, follow directions & check your work.

- <footer>

**Remember: Slow & steady wins the race!**** ****Start early, follow directions & check your work.**

**Don’t worry!**

## And when you’re done...

- <footer>

**And when you’re done...**

**You can show ‘em your big smile of relief!**

## New Process...New Forms...but It’s Still About the Science!Our philosophy and policieshave not changed!

**Thank You!**
**Questions?**