# Presentation: 127843

## Electronic Submission

**Applying for NIH Grants**
**A “Hands-On” Guide**
- NIH Electronic Submission Team
- December, 2006

**Notes:**
Welcome to a “hands-on” walk through applying for grants electronically with NIH.

Today we hope to “de-mystify” the online application process and show you the steps to submit your application successfully.  

Getting your application in the door is what we are here to help you accomplish...at the end of the day, it’s the science that will be measured.

## Electronic Submission to NIH Through Grants.gov

**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**

**Notes:**
In today’s session we will touch on each of these steps in the electronic submission process.

We will review registration requirements for both Grants.gov and eRA Commons.

We will find an opportunity and download the application form set. We’ll briefly look at the layout of forms pointing out some common gotcha’s. We’ll then work with a completed sample application and submit it to Grants.gov’s test facility.

We’ll take a short break and then the eRA team will walk you through checking for errors and warnings and viewing an assembled application image.  We’ll also go through a review of resources to assist you with the application process.

If we have time at the end of the session, we will quickly cover some additional Commons functionality.

Review contents of packet. 

## Two Systems Working Together

**Grants.gov** – the Federal government’s single online portal to find and apply for Federal grant funding.
- Used by all 26 Federal grant-making agencies.
**eRA Commons** – the 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.

**IMPORTANT:** Each system has its own registration and validations requirements.

**Notes:**
The Department of Health and Human Services, which includes NIH, is one of 26 Federal agencies that are mandated to use Grants.gov. Although NIH accounts for nearly half of all application submissions through Grants.gov, it represents less than 10% of the grant dollars provided through the Grants.gov portal. Grants.gov must support all kinds of Federal grant opportunities from arts, to highway construction to health research. Therefore, the solution provided by Grants.gov is not always an exact fit for NIH. 

Some challenges:
 Most funding agencies post opportunities for a single receipt date. NIH often posts opportunities for up to three years, making the incorporation of form changes a challenge.
 Most funding agencies provide opportunities from a single funding source (i.e., one CFDA per opportunity). NIH often has many CFDAs per opportunity and Grants.gov Find & Apply does not support that model well. Therefore, NIH applicants must ignore the CFDA number throughout the submission process and the CFDA is assigned after submission.
 The automated emails sent from the Grants.gov system sometimes contains language that is confusing to our applicant community. For example “Your application has been retrieved by the Grantor agency and is currently being reviewed.” This statement means something much different than intended to our applicants.

We continue to work closely with Grants.gov to make adjustments, but we need to work within their solution that must meet the needs of the full Federal grant community.

## Prepare to Apply

**Registration – Grants.gov**
- Applicant Organization only (one time)
- Register the Authorized Organization Reps (AORs) who can officially submit on behalf of your organization
- There are several steps and entities in the process.  Registration can take 2 – 4 weeks; up to 8 for newly established businesses

**Notes:**
The first step in the process is for the organization to get registered with Grants.gov and with the eRA Commons.

In order to register with Grants.gov:
The applicant organization will first need to obtain an Employee Identification Number (EIN) from the Internal Revenue Service.
Contact Dun & Bradstreet to get a DUNS (Data Universal Numbering System) number.
Register with the Central Contractor Registry (CCR) – identifying the eBusiness Point of Contact (POC) who is responsible for managing grant activities for the organization.  
You will designate through the Grants.gov Credential Provider your Authorized Organizational Reps (AORs) who will have the authority to sign and submit grant applications on behalf of the organization.

This process can take several weeks to complete so START EARLY to ensure that all steps are completed prior to your submission date.  

## Prepare to Apply

**Registration eRA Commons - Organization**
- Register your organization/institution (one time)
- Register your Signing Official (SO)
- Register and create a separate account for your Project Director/Principal Investigator
- Registration may be completed simultaneously with the Grants.gov registration (as soon as the DUNS # is obtained)
- Allow 2 – 4 weeks to complete

**Notes:**
For registration in the Commons:
Register your institution – this is a one-time registration.
Determine who will be the Signing Official (SO) responsible for signing and submitting applications.  This role is equivalent to the AOR in Grants.gov, but does not have to be the same person.  The SO will create user accounts, register the institution and update profiles. The SO should create a separate account for the PD/PI.
Register the SO in Commons and then the SO can establish PI accounts and/or affiliate the PI with the organization.
As soon as you have your DUNS # for Grants.gov registration, you can go ahead and begin the registration process with Commons.
START EARLY – registration with Commons can take 2 – 4 weeks.  You’ll want to be sure to have plenty of time to complete the process prior to your application submission deadline.

Good Faith Effort – If you start your registration in eRA Commons a minimum of 2 weeks prior to the receipt date, NIH will consider this a “Good Faith Effort” and you will not be penalized if your registration is not yet complete.  

## Prepare to Apply

**Registration - PI**
- PIs **do not** register with Grants.gov
- PIs need a single eRA Commons account with PI role (may also have IAR role if reviewer)
- PIs have one account that follows them throughout their careers
- PI account may not be combined with any other roles (i.e. SO, AO, AA etc.)
- Account may be affiliated with multiple organizations
- Allow 4 - 5 business days to complete

**Notes:**
PI registration:
PIs should work with their office of sponsored research if they do not already have an eRA Commons account.
If the PI has an account but is applying for a grant under a different sponsoring organization, the business office of the sponsoring organization must affiliate the PIs Commons account with their organization. Organizations will only see applications/grants for their own organizations. PIs will see all their applications/grants regardless of organization.
PIs are responsible for maintaining their own profiles through Commons.
The PIs Commons ID will need to be included in the R&R Senior/Key Person Profile component of the application in the “Credential, e.g. agency login” field.

## Prepare to Apply

- PureEdge software is required for forms-based submission.
- The software may be downloaded from Grants.gov: _[http://](http://www.grants.gov/resources/download_software.jsp)__[www.grants.gov/resources/download_software.jsp](http://www.grants.gov/resources/download_software.jsp)_
- Options for Mac users outlined at: http://era.nih.gov/ElectronicReceipt/files/mac_options.htm
- Free Citrix service, PC Emulation, PureEdge viewer
- PDF Conversion Programs – non-PureEdge application attachments *must* be converted to PDF documents.
- List of programs: _[http://www.grants.gov/resources/download_software.jsp#pdf_conversion_programs](http://www.grants.gov/resources/download_software.jsp#pdf_conversion_programs)_

**Obtain Software**

**Notes:**
     The required software has already been downloaded to the computers that you are using today; but you’ll need to do this at your institution in order to submit applications electronically.

 PureEdge – is required to view the online forms.  It can be downloaded for free from the Grants.gov site.  Unfortunately, the PureEdge software is not currently Mac compatible, but a PureEdge viewer for Macs is expected to be released soon.  For now, if you’re using a Mac, you can download a free Citrix server to remotely launch a Windows session and submit your application.  This is also available on the Grants.gov website on the Resources page, under “Download Software.”
 PDF Conversion Software – NIH requires that all application attachments be submitted as PDFs.  They may be created using any word processing program, however, they must be converted to a PDF prior to attaching to your application.  Exception: Attachments generated from the PureEdge forms (i.e. R&R SubAward Budget attachment form) should NOT be converted to PDF.
The Electronic Submission website has tips on creating PDF files that will be accepted by the eRA Commons system (e.g., no 0 byte attachments, no special characters in file names, no editable fields, no security features).

## Find Opportunity & Download Package

- Find Opportunity & Download Package

**Select Funding Opportunities in the NIH Guide for Grants and Contracts.**

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

## Find Opportunity & Download Package

- The NIH Guide for Grants and Contracts**http://grants.nih.gov/grants/guide/index.html**

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

**Notes:**
You will automatically see the Basic Search screen with an option for Advanced Search.

You can enter your search criteria here, or select the Advanced Search option.

Click on the Advanced Search link.

## Find Opportunity & Download Package

- Find Opportunity & Download Package

**The Advanced Search feature provides a lot of options to narrow your search.**
**Enter search criteria.**

**Notes:**
All applications to NIH must be in response to an FOA.

The Advanced Search option provides the most flexibility in searching for FOAs.  You can enter keywords, title text, search by Activity Code/Mechanism, or retrieve a list of “Parent” announcements.  

Parent announcements are for investigator-initiated (previously unsolicited) applications.  NIH will include the word “Parent” in all FOAs to be used for unsolicited, investigator-initiated applications.  There is also a search criteria on the page that will provide a list of ALL the Parent FOAs. 

Find R01 Parent announcement by clicking “Yes” in the Parent Announcement search criteria and clicking “Search” in the top right corner of the Advanced Search screen.

## Find Opportunity & Download Package

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

**Identify an FOA of interest and download the application package.**

**Notes:**
You’ll see that based on your search, “Parent” is included in the title.  Dates and Activity Codes have also been summarized for easy reference in the Search Results.  

Click on the Announcement Number to open the announcement.

Within the announcement, pay special attention to the Key Dates section.  Once posted an application package can be downloaded and started, but it cannot be submitted to Grants.gov until after the Opening Date. This is especially important for newly transitioned grant programs where the FOAs are typically posted at least 8 weeks in advance of the receipt date, but the Open date is 4 weeks in advance of the receipt date.

Any special application requirements that are unique to a particular FOA are found in Section IV. Application and Submission Information under Item 6 Other Submission Requirements.  The FOA instructions trump application guide instructions.  Be sure to read the full text of the announcement for details.

## Find Opportunity & Download Package

**Button added to the NIH Guide announcements allows access to the Grants.gov application package directly from the NIH Guide.**

**Notes:**

Click on the “Apply for Grants Electronically” button within the FOA.  You will automatically be redirected to the Grants.gov site and taken directly to the application package that is for the specific FOA you selected.

## Download Application Package

**Download FOA instructions and application package from Grants.gov **

**Notes:**
You are now on the Grants.gov site. 

NIH is populating the Competition ID field with the version of the application package. Currently, you may see nothing in the field (Version 1), “Version 2”, or “Version 2A”. Version 2 and 2A use the same application guide and differ only in the Sr./Key Person Profile form. Version 2A uses the Sr./Key Person (Expanded) form.

 As application packages are updated, the old packages are expired and are no longer accepted by Grants.gov.  It is critical that you pull the latest application package (forms and application guide) prior to filling out an application, especially when applying to opportunities with multiple receipt dates.

 To ensure you are using the application guide appropriate for the opportunity, download the application guide AND the application package at the same time.

Click “download” to get to the page with  the links to Download the Application Instructions and the Application Package.

## Download the application instructions and package from this location.

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

**Register to receive notification of changes.**

**Notes:**

 You have the option to sign up for notification of changes to the application package!  It is highly recommended that you sign up so you are always aware of changes to the package.  These changes could result in critical changes in submission requirements.

 When completing your application, you will download both the Application Instructions and the Application Package.  Be sure to save them to your computer’s hard drive, shared drive or other external location so that you can work on them.  
 The application guide includes both standard Grants.gov and agency-specific instructions. The NIH instructions are easily identified by the HHS bird logo.

 For purposes of this lab, we will only open the Application Package – click on the Download Application Package link to take a look at a Blank Application.

## Prepare Your Application

**All mandatory Grants.gov fields are highlighted and denoted with an asterisk. See Application Guide for additional NIH requirements.**

**Notes:**
The header page is part of every application package. The top section contains basic pre-filled information pulled directly from the opportunity. 

After you download the application package, you will want to immediately save it to your local machine or shared directory. You will get an error message stating one or more of the items in the form contains an invalid value. Since you haven’t yet filled out the forms, the message is expected. Click “yes” to proceed anyway. Once saved, you no longer need to be connected to Grants.gov to work on the application.

Within the application forms, all Grants.gov mandatory fields will be highlighted yellow and will have an asterisk. 

There are additional fields that are mandatory for submission to NIH that are not marked yellow or with an asterisk.  The SF424 (R&R) application is a generic form used across multiple federal agencies. Since not all agencies have the same requirements, the individual needs of an agency cannot always be reflected as mandatory fields on the form.  The Application Guide will provide instruction for which fields are required by NIH for the specific FOA. 

## Prepare Your Application

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

**All Mandatory Documents must be completed in order to submit.**

**NIH will use agency-specific forms labeled PHS 398.**

**Notes:**
Within the forms package, there are Mandatory Documents and Optional Documents.  All of the Mandatory documents must be completed in order to submit your application. 

In some opportunities you will see all budget related components listed in the Optional section. This is done so that the appropriate budget form can be chosen and included based on the application guide instructions and your specific application situation.

NIH agency-specific forms are labeled PHS 398.

When preparing an application, you should always fill out the SF424 (R&R) form first. Other form fields are populated with information pulled from this form. 

Click on the SF424 (R&R) form to highlight it;  then click the “Open Form” button.

## Prepare Your Application

**   ****The DUNS Number in the application must match the one used for the institution's Grants.gov registration and the eRA Commons account.**

**Select this icon to receive field-specific help.**

**Notes:**
Click on the button on the top of the PureEdge menu that has an arrow and a question mark.  This is a toggle button to turn on a hover text feature for field-specific Help.  Clicking again will disable the feature.  On SF424 (R&R) forms, the help text reflects Grants.gov’s requirements only...not agency-specific requirements. The hover text included in agency-specific forms (labeled PHS 398) will include NIH instructions, but applicants should still refer to the application guide and FOA announcement for full details.

The DUNS Number in the application MUST match the one used for the Grants.gov registration and the eRA Commons account.  (This is a common mistake made during submission.)
On the initial submission, field #1, Type Of Submission, will be “Application.” For subsequent submissions to correct errors/warnings, select  “Changed/Corrected” in this field. NIH does not use “Pre-Application”.
Note that field #8, Type of Application, does not change from one submission attempt to the next. Lexicon:
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

Close the SF424 (R&R) form and Open R&R Budget form.

## R&R Budget

**Business process change from percent effort to person months.**** **
**FAQs and a Calculator available at:** http://grants.nih.gov/grants/policy/person_months_faqs.htm

**Applicant sends the R&R budget component to the consortium grantee for completion; it is returned to the applicant; applicant attaches the PureEdge form to this component.**** **

**Notes:**
 Use for detailed budget from any consortium grantee, only when the prime is submitting a detailed budget
 Do not use if prime is submitting Modular Budget
 Consortium grantee(s) must have PureEdge installed
 Allows up to 10 separate budget attachments—one for each consortium grantee
 Applicant still needs to include the total costs for all consortiums in their own detailed budget, Section F.5

Steps: 1. Extract the R&R budget component and save it to your hard drive.  2. Send the R&R budget component to the consortium grantee for completion (it can be sent via email)  3. The consortium completes the form (using their own DUNS #) and returns it to the applicant organization. 4. You attach the completed form for each consortium grantee in this component.

Close the R&R Subaward form and open the R&R Senior/Key Person Profile form.

## PI eRA Commons  User ID must be supplied here for successful submission. 

**PI eRA Commons  User ID must be supplied here for successful submission. **
**This is one of the most common app errors.**

**Enter PI Commons User ID**

**Notes:**
	 Under the PD/PI section: the Credential, e.g., agency login field is a mandatory field for NIH (one of the most common application errors) but does not appear as mandatory in the Grants.gov system. 

	IMPORTANT: As mentioned previously, mandatory fields on this form are Grants.gov required information.  NIH has additional mandatory fields and validations that may not be “flagged” by the system.  Getting through the Check Application for Errors in Grants.gov does not mean that the application has been cleared by NIH.

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

	(Switch to PowerPoint screen shot of Expanded form attachment.)

**Expanded form allows for collection of up to 40 Senior/Key persons using structured fields. Each attachment contains 8 Senior/Key persons.**

**Notes:**
With the R&R Senior/Key Person Profile (Expanded) form this screen appears after the PD/PI and the next 7 senior/key persons are entered. 
To add the ninth person you need to click on the Select to Extract Additional Senior/Key Person Form button. This will open a form that allows up to an additional 8 senior/key persons. Once the form is completed it can be attached in its PureEdge format (i.e., do not turn it into a PDF prior to attachment). The process can be repeated until 40 senior/key persons are included. 

The Additional Senior/Key Person Profile attachment at the bottom of the form cannot be used unless more than 40 senior/key persons need to be listed. If you have more than 40 senior/key persons, this attachment must be a PDF.

Close the Sr./Key Person form and open the PHS 398 Cover Letter File form.

## PHS 398 Cover Letter

**Required for all applications submitted after the receipt deadline.**
**If *****revising***** the cover letter for a Changed/Corrected application, include all previous submitted cover letter text.**

**Notes:**
 Provides a text attachment for a cover letter
 Instructions remain the same as in the PHS 398
 Stored separately in the eRA Grant Folder, not as a part of the main application grant image
 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 cover letter text

Close Cover Letter form and open the PHS 398 Research Plan.

**Separate attachments maximize benefit of system validations & accommodate image bookmarking.**
**Appendix material.**

## Prepare Your Application

**Select “Save” to save the application package to your local hard drive.**

**Application will be saved locally using this file name. If prepared by the PI, it must be routed to AOR for submission.**

**Notes:**
The Application Filing Name field is the name that the application will be saved under on your local computer.  This is to assist you with filing and searching through multiple applications.

The Submit button will not become active until the application is saved.

Now let’s close this application and move to one that has already been completed. 

(AOR/SOs should take over the keyboard). The PI has just notified you that they have completed their application and it is ready for submitting. Find the file named SBIR Version 2 – sample and double-click to open. 

Open the SF424 (R&R) form.

Change the title (field #11) and close the form.

## Submit Application

**Submit button will not become activated until:**
- All _**Mandatory Fields**_ have been completed.
- All _**Mandatory Documents**_ have been completed and moved to the Completed box.
- All _**applicable Optional Documents**_ have been completed and moved to the Completed box.
_**Only an AOR/SO can submit a grant!**_

- AOR

**Notes:**
	Once all of the required documents are completed and moved to the completed box, use the “Check Package for Errors” button to find incomplete Mandatory Fields. Make any necessary corrections and then save the package. This button will NOT help applicants identify any NIH validation errors. The Submit button at the top will not activate until the application has no Grants.gov form errors and has been saved.  

	Be sure to save your application locally to your computer.  If the application is being completed by the PD/PI, they will need to Save the package and then work with their Central Grants Office and the AOR assigned, to submit the application on their behalf. 

	Only the AOR for the organization can Submit the application to Grants.gov.  Click the Submit button to submit your application.  

## Submit Application

**Enter your Grants.gov username and password – you must be fully registered to successfully submit.**

- AOR

**Notes:**
When your application is complete and ready to be submitted, the AOR will login to Grants.gov with their username and password to electronically sign and submit the application.    

## Submit Application

**Scroll to the bottom of the confirmation screen to receive:**
** ****Grants.gov Tracking Number**
** ****Date/Time Stamp - ****grants are due 5 p.m. local time of the applicant org. on day of submission deadline.**

- AOR

**Notes:**
Once submitted, the AOR will receive an immediate confirmation online with a Grants.gov Tracking Number and a Date/Time stamp of receipt.  Keep this information for reference.  If you need to contact any of the Help Desk folks, they will need this information.

## AOR receives emails
Submission Receipt – app received and is being validated
Rejection Notice – app is not validated because of Grants.gov errors
Submission Validation Receipt – app has been validated
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 (only for error-free applications that result in an image)

- Submission Receipt – app received and is being validated
- Rejection Notice – app is not validated because of Grants.gov errors
- Submission Validation Receipt – app has been validated
- 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 (only for error-free applications that result in an image)

- Email Notifications – Grants.gov

## AOR/SO, PI and contact receives emails
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)

- 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)

- Email Notifications – eRA Commons

## Correction Window

- As everyone is learning the new process, NIH will allow changed/corrected applications to be submitted to address errors/warnings in the **five business days** after the receipt date.
- All registrations must be completed prior to initial submission
- Initial application submission to Grants.gov must have been made by 5:00 p.m. local time on receipt date
- Changes must be made in response to identified errors/warnings
- Cover letter required

- Limited Time Only

**Notes:**
 NIH currently has in place a grace period for Error Correction. NIH is allowing the one-week (5 weekdays) correction window to address errors and warnings but initial submission must be made on-time and the changes must be in response to errors/warnings (not extra time to tweak the application). This policy will change once all of the mechanisms have transitioned to Electronic Submission.

As a reminder: Any application submitted after the submission date (even if within the one-week correction window that NIH is allowing as we transition) must include a cover letter. The cover letter is not saved from one application submission attempt to the next, so the cover letter submitted with the final assembled application should include ALL the information that you want to convey to NIH. 

## eRA Commons

- After the AOR submits...
- What’s Next?

## Advice From Experience

- Most common problems with applications to date:
- The credential field on the R&R Senior/Key Person Profile component *MUST* contain the **PI’s assigned eRA Commons User ID**.
- When entering the PD/PI name on the SF424 (R&R) form, box #15, remember not to enter a SPACE after the last letter in the first name and last name.
- All non-PureEdge attachments *MUST* be in PDF format – Most problems with the final assembled application image are because of PDFs not converting as anticipated. Check your PDF conversions *before *attaching them to the application.
- When submitting or resending a corrected application, please be aware that the “type of application” box #8 will never change throughout the submission.

## eSubmission in Commons

- Check Application Status
- View Errors/Warnings
- Check Assembled Application

- The PI and AOR/SO Perspectives

## PI View – Check Errors/Warnings

**Application Status shows eSubmission Error**

- PI

**Notes:**
	Once the application has been received by NIH, AOR/SOs and PIs can log into the eRA Commons (commons.era.nih.gov/commons) to view any Errors/Warnings that may have been triggered.

	When PIs log into Commons - they automatically see all their applications.  This may cross multiple organizations if the PI is affiliated with multiple groups. 

	Click on the Status tab and find the application that shows “eSubmission Error” in the Application Status column.  Follow the link under the Application ID to see the specific Error/Warning messages for the application.

## Errors and warnings listed at the top of the status screen. 

**Errors and warnings listed at the top of the status screen. **

- PI

**Notes:**
Errors and warnings are displayed at the top of the status screen.

Since the sample data was loaded to Commons Demo, NIH has updated its error messages to include more specific information on how to find and correct errors.

Go back to the previous screen (hit list).

## Errors stop the submission process and must be addressed before the application can move on to Receipt & Referral.

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.

**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.

- Errors & Warnings

**Notes:**
 Warnings can be fixed at the applicant’s discretion but do not require action for the application to move on to Receipt & Referral.
 Errors must be addressed before the application can move on to Referral. 
 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.

## PI View – Check Assembled Application

**Application Status shows Received**

- PI

**Notes:**

	We will now look at an error-free application submission which resulted in an application image.

	When an application image is generated an Accession Number (AN:xxxxxx) is assigned. 

	Find an application with an AN# and “Received” Application Status and open it by clicking on the accession number link. 

## Check Assembled Application

**The application image, appendices and cover letter can be found in Other Relevant Documents.**
**Click links to access documents.**

- PI

**Notes:**
The Other Relevant Documents section includes the application image (eApplication), appendices, and cover letter.

The cover letter is only accessible to appropriate NIH staff (i.e., reviewers do not see cover letter).

Click eApplication to view the image of the assembled application.

## Check Assembled Application

**Applicants have two weekdays to view the assembled application. **
**PIs must work through SO to reject application if system issue found. **

- PI

**Notes:**
You have two week days (including holidays) to view the assembled application. This is the first chance to see the application just as a reviewer will see it. The entire application (including attachments) can be printed if desired.

Carefully check each form and attachment to ensure all aspects of the application look correct. 

In rare instances, some information may become garbled due to a system issue. If the application image does not correctly reflect the information you submitted, contact the eRA Commons help desk immediately. NIH will not penalize you for system issues outside of your control. You can work through your SO to reject the application and the help desk will assist you and your SO with any corrective actions needed.

Log-out by clicking the link in the upper right-hand corner. 

Now it’s the AOR/SOs turn. AOR/SOs login to Commons Demo using the information provided by trainer.

## AOR/SO View-Querying for Applications

**Since  AOR/ SOs have access to all institutional applications, their view provides the ability to limit the list of applications they see.**

- SO

**Notes:**
The AOR/SO will have access to view all of the applications for their own organization.  In the General Search screen they can enter search criteria to narrow the results when searching for a specific application.

## AOR/SO View-Querying for Applications

- Click on the Status Tab			3. Select Show Prior eSub Errors
- Click on eApplications on the left menu	4. Remove “From” & “To” Received Dates
- 						5. Click Search

**4**

**3**

**2**

**5**

**1**

- SO

**Notes:**
To view applications, the AOR/SO must query for the eApplication.

1) Click on Status tab
2) Click on eApplication from the menu (left side)
3) Select the radio button beside Show Prior eSubmission Errors
4) Remove date from the received date section both From and To
5) Select Search

## AOR/SO View – Check Errors/Warnings

**Use the Grants.gov tracking number to identify the submission and follow the link to view errors/ warnings. **

**Application Status shows eSubmission Error**

- SO

**Notes:**

Use the Grants.gov tracking number to find  the application that shows “eSubmission Error” in the Application Status column.  Follow the link under the Application ID to see the specific Error/Warning messages for the application.

## Viewing Errors/Warnings

- SO

**AOR/SO must ensure all errors are corrected and submit the entire changed/ corrected application to Grants.gov.**

**Depending on the errors found, the system may not be able to list all errors at once (e.g. DUNS error prevents further processing).**

**Notes:**
The validation process can be iterative – depending on the errors found, the system may not be able to list all errors at once. For example, if a Credential or DUNS issue is found the validation process stops immediately. Also, changes to entries may trigger other errors.

The application can move forward with Warnings. Reviewers can not see Warning information.

## Checking the Assembled Application

- SO

**Accession number assigned when application image is generated. **
**Follow link to view image. **

**eApplication Status shows “Pending Verification” within 2-day viewing window, “Submission Complete” after it moves forward and “Refused” if Rejected by AOR/SO.**

**Notes:**
Once an error-free application Is submitted, an application image is generated and made available for viewing by the PI and AOR/SO.

Both the PD/PI and the AOR/SO can view the application image to check for accuracy.

Remember, you only have two week days to view the image before it automatically moves forward to Receipt and Referral. After the application moves forward, any corrections must be made through and at the discretion of the scientific Review Administrator (SRA).

Go back to the hit list and open an application with an AN# and “Received” Application Status. 

## Check Assembled Application

- SO

**The application image, appendices and cover letter can be found in Other Relevant Documents.**
**Click links to access documents.**

**Notes:**

Click on the eApplication link to view the application image.

## Slide 46

**Notes:**
Be sure to check each PDF attachment to be sure that it is formatted correctly.  

Also make sure that each of your attachments have been included.

## Rejecting an Application

**The AOR/SO can reject an application from the hit list if system issue has affected the image.**** **

- SO

**Notes:**
After the image of the application is available in Commons, there is a 2 week day viewing window for the AOR/SO to reject an application that has system formatting errors.  PIs must work through their AOR/SO to reject an application.

If an application is Rejected, it has to be submitted again to Grants.gov and a cover letter is required. The reject option is not a way to tweak an application after a receipt date. If an application is rejected after a receipt date for any reason other than a system issue (e.g., submitted information is clean, but appears garbled in the image) or to correct warnings (if one-week correction window is in effect), the application will be subject to the late policy and may not be accepted.

If the application is not rejected during the 2 weekday viewing window, it will automatically proceed to Receipt and Referral.

We will not complete the reject process in this lab, because the next class will not be able to see the Reject Link.  
Go ahead and click on the Reject eApplication link to see the screen.  

## Rejecting an Application

**Comment required to complete the rejection process – comment sent in notification to AOR/SO and PI of rejection.**** **

- SO

**Notes:**
Note that a comment is required.  This comment will be included in the automatic notification that goes to the SO and PI when an application is rejected.  

Click Cancel.

## Additional Resources 

- Electronic Submission Assistance

## Finding Help

**Grants.gov**
- Grants.gov – registration, submission & PureEdge questions: _[http://www.grants.gov/CustomerSupport](http://www.grants.gov/CustomerSupport)_
- 	Grants.gov Customer Service
- E-mail: _[support@grants.gov](mailto:support@grants.gov)__  _
- Phone: 1-800-518-4726
**eRA Commons**
- eRA Commons – registration and post submission questions:
- Support Page: _[http://era.nih.gov/commons/index.cfm](http://era.nih.gov/commons/index.cfm)__ _
- 	eRA Commons Help Desk
- Web support: _[http://ithelpdesk.nih.gov/eRA/](http://ithelpdesk.nih.gov/eRA/)__  _
- Phone: 1-866-504-9552 or 301-402-7469

**Enter your own support ticket!**

**Notes:**
Help Desk and support assistance.

## Finding Help

- NIH’s overall plan – for electronic receipt, application preparation:
- 	**NIH Grants Information**
- 	E-mail: _[grantsinfo@nih.gov](mailto:grantsinfo@nih.gov)__  _
- 	Phone: 301-435-0714
- Electronic Submission and the SF424 (R&R) – steps, news, training, presentations, resources etc.
- Website: _http://era.nih.gov/ElectronicReceipt_
- Listserv(s): http://era.nih.gov/ElectronicReceipt/listserv.htm Join for news, information and the latest updates!

**Notes:**
Help Desk and support assistance.

## Electronic Submission Website

**Electronic Submission Information:**
- _[http://era.nih.gov/ElectronicReceipt/](http://era.nih.gov/ElectronicReceipt/)_

**Notes:**
The Electronic Submission website has tips on Avoiding Common Errors, Frequently Asked Questions, Detailed information for each step in the Electronic Application process, Training information, Resources and much more! 

## Resources & Links

**Grants.gov Registration** _[http://www.grants.gov/applicants/get_registered.jsp](http://www.grants.gov/applicants/get_registered.jsp)_
**eRA Commons Registration** _[http://era.nih.gov/ElectronicReceipt/preparing.htm](http://era.nih.gov/ElectronicReceipt/preparing.htm)_
**NIH Guide for Grants & Contracts (Find FOAs)** _[http://grants.nih.gov/grants/guide/index.html](http://grants.nih.gov/grants/guide/index.html)_
**PureEdge Software (free)** http://www.grants.gov/resources/download_software.jsp#pureedge
**PDF Software Resources** http://www.grants.gov/agencies/software.jsp#3
**MAC Citrix Software (free)** http://www.grants.gov/resources/download_software.jsp#non_window
**Generic Validations Listing** _[http://era.nih.gov/ElectronicReceipt/files/GenericValidations.htm](http://era.nih.gov/ElectronicReceipt/files/GenericValidations.htm)_
**eRA Commons** – Check status, review application image https://commons.era.nih.gov/commons/
**OER Home Page** http://grants.nih.gov/grants/oer.htm
**Transition Timeline** http://grants.nih.gov/grants/guide/notice-files/NOT-OD-06-035.html

**eSubmission Website **– Info, training, resources, news, etc. _[http://era.nih.gov/ElectronicReceipt/](http://era.nih.gov/ElectronicReceipt/)_
**SAMPLE Application Guides & Packages** (may NOT be used for submission) _[http://grants.nih.gov/grants/funding/424/index.htm](http://grants.nih.gov/grants/funding/424/index.htm)_
**Video training library** - A Walk Through the SF424 (R&R) _[http://helix.od.nih.gov/oervideo/grantsgov/A_Walk_Through_SF424/index.html](http://helix.od.nih.gov/oervideo/grantsgov/A_Walk_Through_SF424/index.html)_
**Registration in the eRA Commons: Demo** _[http://era.nih.gov/virtualschool/external/c101_GranteeRegistrationProcess.htm](http://era.nih.gov/virtualschool/external/c101_GranteeRegistrationProcess.htm)__ _
**Grants.gov’s “How to Complete An Application Package Demo”** http://www.grants.gov/images/Application_Package.swf
**Frequently Asked Questions** http://era.nih.gov/ElectronicReceipt/faq.htm
**Tips on Avoiding Common Errors** http://era.nih.gov/ElectronicReceipt/avoiding_errors.htm
**Communications and Outreach** resources (brochures, presentations, drop-in newsletter articles) http://era.nih.gov/ElectronicReceipt/communication.htm

**Notes:**
Keep this page as a handy reference tool for Resources and Links to assist you in the application process!

## Collecting User Feedback

- NIH has established an e-mail address to collect comments and/or suggestions from users:  NIHElectronicSubmiss@mail.nih.gov
- Share your experiences—successes and challenges
- Share specific suggestions for improvement
- What resources are most useful (*Targeted e-mails, FAQs, Avoiding Common Errors, Commons Alerts, Training tools*)

**Notes:**
Please contact us and share your feedback!

## eRA Commons

- Grant Administration in Commons

- We don’t often have the time to cover the remaining slides in class,
- but it is great information so take some time to read on!

**Notes:**
This concludes the eSubmission portion of Commons.

## Administration after Submission

- eRA Commons Features:
- Grant Status
- Just In Time (JIT)
- Electronic Streamline Non-competing Award Process (eSNAP)
- Closeout
- No-Cost Extension
- Financial Status Reports (FSR)
- Internet Assisted Review

**Notes:**
These are other Commons features that complete the grants cycle. 

For training purposes, a Commons Demo Facility has been created by NIH to show samples of applications in various stages of submission.  You may create a Commons Demo account at any time to view the samples.

## GRANT STATUS

**Search screen allows the SO to narrow the list of results.  PI search automatically selects all applications belonging to the PI.**

**Notes:**
The General Search Screen provides initial access to the Status module. Standard query options for the Signing Official (SO) and the Administrative Official (AO) are available. The screen provides an interface for launching application specific functionality such as eSNAP, Just In Time, and Project Extensions when available for a particular application within the query results. 

## STATUS Hit List

**1. Application ID is the link to the application details.  **
**2. Right side of hit list are links to other Commons functionality.**

**1**

**2**

**Notes:**
The Status Results Hit List provides a listing of grant numbers as hypertext links. Selecting a grant number launches the Status Information Screen, which displays general grant information, status history, contacts and more for the selected grant number. 

## STATUS Details

**Only the PI can see the priority score, percentile, and summary statement.**** **

**Notes:**
The Other Relevant Documents section displays varying documents in the form of hypertext links.  These links appear in the section based on the status of the selected grant and also the authority level of the specific Commons account. 

## Just In Time

- Capability to electronically submit Just-In-Time pieces of the application (*Other Support, IRB and/or IACUC Approval Dates, Human Subjects Education info*)
**Not** an indication that application will be awarded
- Wait for a request to submit the information
- You should receive either a system-generated email or be contacted by the Grants Management Specialist (GMS)
- Consult assigned GMS to be sure

**Notes:**
Prior to award, Just In Time (JIT) information for Other Support Documentation, IACUC, IRB, and Human Subjects Education may be submitted through the NIH eRA Commons when requested by NIH. 

## Just In Time

**Click on the JIT link in the Actions column of the Status hit list.**

**Notes:**
Link appears for applications with a priority score between 100 and 300 or percentile < = 30.0

## Just In Time

**PI can enter the Other Support File, IRB Date, IACUC date, and HS Education information, but the ****SO must submit**** the information to NIH.**

**Notes:**
Only Signing Officials (SO) may submit JIT information, with only one opportunity to submit JIT information automatically through the NIH eRA Commons. 
• Other Support is always required. 
• IACUC and IRB dates are also required when the application involves animal or human subjects. 
• Human subjects education information is required for new key personnel on grants involving human subjects. 

## eSNAP

- _E_lectronic _S_treamline _N_on-competing _A_ward _P_rocess
- Electronic submission of annual SNAP Progress Reports
- First NIH-wide eSubmission system
- Most non-competing grants at NIH are streamlined
- SO can enable the organization to submit eSNAPs
- Benefits:
- Submission deadline is 45 days prior to start date instead of 60 days
- Reduces duplicate data entry
- Testing a streamlined business process for research involving Vertebrate Animals and/or Human Subjects Research

**Notes:**
eSNAP, the electronic Streamlined Non-competing Award Process, is a streamlined process for the submission of information necessary to receive a non-competing award. The eSNAP system allows extramural grantee institutions to submit an electronic version of a PHS2590 Progress Report to the NIH via a web interface. 

## Electronic Streamline Non-competing Award Process

PI or designated assistant can begin the process, upload progress report, and enter any or all of the administrative data

eSNAP can be routed to staff for approval

SO submits the completed eSNAP to NIH
SO can delegate submit privileges to any or all PIs at the organization

- _E_lectronic _S_treamline _N_on-competing _A_ward _P_rocess
- PI or designated assistant can begin the process, upload progress report, and enter any or all of the administrative data
- eSNAP can be routed to staff for approval
- SO submits the completed eSNAP to NIH
- SO can delegate submit privileges to any or all PIs at the organization

**Notes:**
eSNAP capabilities include: 
• Electronic submission of SNAP’s 
• Grantee notification of Progress Report status via email 
• PI (Principal Investigator) delegation to allow updating of PPF (personal profile) to an authorized user via Commons system 
• Electronic routing of SNAPs to authorizing officials for review and approval 
• Streamlining of BPR (Business Process Redesign) benefits 
• Delegation of ‘release’ and ‘submit’ capabilities 
• Identification of eSNAPs in IMPAC II application screens/reports 
• NIH notification of an eSNAP receipt via system generated email 
• eSNAP reporting available via IMPAC II and eRA Commons Status 
• Correspondence between grantee via email hypertext link, regarding eSNAP submission 

## eSNAP

**Begin the eSNAP either from the Action column of the Status Hit List or the eSNAP item on the menu bar.**

**Notes:**
Select the eSNAP access tab. The Manage eSNAP screen appears 

## eSNAP Hit List

**PI hit list shows all grants and applications with the Grant Number of eSNAP-eligible grants hyperlinked.**

**Notes:**
When a PI accesses the eSNAP system, the Manage eSNAP screen displays a list of all assigned awards. The grants that are eligible for submission are displayed as a hypertext link. 

## Close Out

- Electronically submit required Closeout documents for applications in Closeout status
- GM Specialist at NIH must mark the grant “ready for close out” before link appears in Commons  (*contact assigned specialist if records are not appearing*)
- Items are:
- FSR
- Final Progress Report
- Final Invention Statement

**Notes:**
Grantee institutions query in the Commons Status system for those grants that are in a closeout status. Commons users can then enter the Closeout screens to electronically process and submit the required reports. 
For the final progress report, users will attach a PDF, Word, or text file. For the Final Financial Status Report users are directed to the eRA Commons FSR system. 
For the Final Inventions Statement users indicate if any Inventions are being reported and when yes, are provided with text entry areas to report inventions. Each required report can be submitted independently; however, grantees are reminded that closeout is not complete until all reports have been submitted. 

## Close Out

**Notes:**
For the final progress report, users will attach a PDF, Word, or text file. 
For the Final Financial Status Report users are directed to the eRA Commons FSR system. 
For the Final Inventions Statement users indicate if any Inventions are being reported and when yes, are provided with text entry areas to report inventions. 
Each required report can be submitted independently; however, grantees are reminded that closeout is not complete until all reports have been submitted. 

## No-Cost Extension

- Electronically submit no-cost extension notification to NIH
- Grants in the last support year of the project period may be extended 1 time, only by the SO, for 6, 9, or 12 months
- Extension may not involve any additional costs
- Email notification sent to NIH Grants Management staff when SO processes the extension

**Notes:**
Project Extensions may be performed automatically one-time only by the Signing Official (SO) no earlier than 90 days before the end of the project and no later than the end date. 

## No-Cost Extension

**Notes:**
Grantees may extend the final budget period of the project period one time for a up to 12 months beyond the original expiration date, shown in the Notice of Grant Award (NGA), when the following conditions are met: 
• If no additional funds are required to be obligated by the NIH awarding office. 
• If there will be no change in the project’s originally approved scope, and; 
• If any one of the following applies:
     1. Additional time beyond the established expiration date is required to   ensure adequate completion of the originally approved project.
     2. Continuity of NIH grant support is required while a competing continuation application is under review. 
     3. The extension is necessary to permit an orderly phase out of a project that will not receive continued support. 

## Financial Status Report

- Statement of expenditures usually due within 90 days from end of budget period or project period
- Schedule for submitting FSR is normally specified in the Notice of Grant Award
- Can be searched by individual grant number, FSRs for the institution, or status of the FSR

## FSR Search Screen

**Notes:**
Queries can be performed using one or more query parameter fields. However, performing a search using only one of these fields could cause FSR to return a large set of records. Therefore, using more query parameters provides a smaller, filtered Hit List. 

The definitions in the Latest FSR Status drop-down list:
Received- submitted to NIH, system received
Pending- FSR pending NIH review
Due- Status report due
Late- Status report late
Revision Pending- FSR that has been retrieved back from NIH for corrections
In review- NIH in process of reviewing FSR
Accepted- FSR submitted, reviewed, and accepted
Rejected- NIH rejected FSR

## FSR Hit List

**Notes:**
The Hit List displays 10 records per page with navigation buttons that provide access to the Next and Previous pages. 

## Internet Assisted Review

**IAR **
**The Internet Assisted Review (IAR) module allows reviewers to submit critiques of grant applications and view each other's reviews before the actual meeting. **
**Scientific Review Administrators (SRA) and Grants Technical Assistants (GTA) are able to view all critiques and generate preliminary score reports and pre-summary statement bodies.**** **

**Notes:**
The eRA Internet-Assisted Review (IAR) system is a Web-based system to manage the process of electronic submission of critiques by reviewers. 

IAR expedites the scientific review of grant applications by standardizing the current process of critique and initial priority score submissions by reviewers via the Internet. IAR enables reviewers to submit critiques and view each other's reviews before the actual meeting. As a result, review meetings can contain more informed discussions because reviewers are able to read the evaluations entered by others prior to the review meeting (except where there is a conflict of interest). 

## Internet Assisted Review

**Reviewers use this screen to submit their critiques and preliminary scores. Individual critiques (in Word or text format) are uploaded.**

**Notes:**
IAR Reviewer capabilities include: 
• electronically submit critiques and preliminary scores prior to scheduled meetings 
• review the critiques submitted by others online 
• modify critiques after the scheduled meeting 
• maintain personal information (single point of ownership) 
• acceptance of critiques in Microsoft Word (*.doc) or plain text (*.txt) format 

## Thank You!

**Notes:**
Thank you so much for taking time out of your busy schedule to join us today!