# Presentation: 352904

## NIH

- Electronic Submission Overview

- Last updated: July 31, 2006

## NIH’s Electronic Receipt Goal

- By the end of September 2007, NIH plans to:
- Require electronic submission through Grants.gov for all NIH grant applications
- Transition from the PHS 398 application form to SF424 family of forms data set
- SF424 Research and Research-Related(SF424 (R&R))
- SF424 Discretionary (of limited use for NIH)

**Revised Timeline:**
- _[http://era.nih.gov/ElectronicReceipt/files/Electronic_receipt_timeline_Ext.pdf](http://era.nih.gov/ElectronicReceipt/files/Electronic_receipt_timeline_Ext.pdf)_
**Announced in the NIH Guide, Aug. 19, 2005:**
- _[http://grants.nih.gov/grants/guide/notice-files/NOT-OD-05-067.html](http://grants.nih.gov/grants/guide/notice-files/NOT-OD-05-067.html)_

## Why Transition to Electronic Receipt?

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

## Why Transition to SF424 (R&R)?

- SF424 (R&R) is the government-wide data set for research grant applications
- Applicants can use standard forms regardless of the program or agency to which they are applying
- Reduces administrative burden on the Federal grants community

## Why Transition?

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

## Why Now?

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

## This is a Huge Transition for All of Us!

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

## Multiple Systems Working Together

- Grants.gov – the Federal government’s single on-line 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

-          Each system has its own registration requirements and validation process.

**Important!**

## Registration Requirements

- Both Grants.gov and eRA Commons registration is required for electronic submission.
- These are separate processes that can be done simultaneously.
- All registrations must be _completed prior to application submission_.
- Failure to complete the required registrations prior to application submission may result in delay of review assignment and funding consideration.

- It is critical for institutions to begin these registrations **at least** **2 – 4 weeks before** applications are due!

## Registration Requirements – Grants.gov

_**Applicant organizations**_ must complete one-time only registration
- Principal Investigators do not need to register with Grants.gov
- Good for electronic submission to all Federal agencies
- Detailed instructions at: http://grants.gov/applicants/get_registered.jsp
- Grants.gov registration requires institutions to:
**Obtain a Data Universal Numbering System (DUNS) number **
**Register in Central Contractor Registry (CCR)***** New organizations should allow extra time for this step**
- Registration not required to find FOAs or download application package, only to submit completed app

- It is critical to begin this registration process **at least** **2 – 4 weeks before** applications are due!

## Registration Requirements – eRA Commons

- Applicant institutions must complete one-time only registration
- Principal Investigators (PIs) must work through their institutions to register
- The PI must hold a PI account and be affiliated with the applicant organization
- PIs currently registered only for Internet Assisted Review (IAR) must work through their institutions for full eRA Commons registration
- PI and Signing Official (SO) need separate accounts in eRA Commons

- It is critical for institutions to begin this registration process **at least** **2 – 4 weeks before** applications are due!

## Registration Requirements – eRA Commons

- Organizations must include a DUNS number in their institutional profile that matches the DUNS number on the submitted application
- NIH will consider starting the eRA Commons registration process **at least two weeks in advance** of the submission date a “good faith” effort to prepare for electronic submission. Applicants that make a “good faith” effort to register, will not be penalized for any NIH-caused registration processing delay.
- For additional information:
-     _[http://](http://era.nih.gov/ElectronicReceipt/preparing.htm)__[era.nih.gov/ElectronicReceipt/preparing.htm](http://era.nih.gov/ElectronicReceipt/preparing.htm)_

- It is critical for institutions to begin this registration process ** at least 2 – 4 weeks before** applications are due!

## Submission Methods

- Applicant organization can submit applications to NIH through Grants.gov in one of two ways:
**Direct submission - using PureEdge Viewer **** **
**System-to-system – using (XML) data stream to communicate with Grants.gov**
- Can be created by institution  OR
- Institution can establish an agreement with a commercial Service Provider _[http://era.nih.gov/ElectronicReceipt/sp.htm](http://era.nih.gov/ElectronicReceipt/sp.htm)_

## Software Requirements

- PureEdge viewer downloaded (free) from Grants.gov site at: _[http://](http://www.grants.gov/resources/download_software.jsp#pureedge)__[www.grants.gov/resources/download_software.jsp#pureedge](http://www.grants.gov/resources/download_software.jsp#pureedge)_
- PDF generation software
- Grants.gov lists some available tools and software _[http://www.grants.gov/agencies/software.jsp#3](http://www.grants.gov/agencies/software.jsp#Why Transition to Electronic Receipt?)_
- MAC users will need to use PC emulation software or download free CITRIX client application to take advantage of the CITRIX service offered by Grants.gov in partnership with NIH. http://www.grants.gov/resources/download_software.jsp#non_window
- PureEdge has committed to providing a MAC viewer by November 2006

## Using Standard Forms to ApplyA Very Different Model

- The application form and instructions will now be part of a package that NIH posts on Grants.gov along with each Funding Opportunity Announcement (FOA)
- Applicants will download the application package for the specific FOA from within Grants.gov
- This specific application package MUST be used to apply for the accompanying solicitation
- Some application fields are pre-filled from the announcement

## Funding opportunities will continue to be posted in the NIH Guide for Grants and Contracts (http://grants.nih.gov/grants/guide/)  
Button added to the NIH Guide announcements allows applicants to access the Grants.gov application package directly from the NIH Guide 

NIH will continue to use RFAs and PAs, but all solicitations will be referred to as Funding Opportunity Announcements (FOAs) in Grants.gov 
FOAs will simultaneously be posted to Grants.gov along with the appropriate application package
Note that you must search Grants.gov by opportunity number rather than CFDA number for NIH opportunities

The new model changes how we use the NIH forms website

- Button added to the NIH Guide announcements allows applicants to access the Grants.gov application package directly from the NIH Guide
- NIH will continue to use RFAs and PAs, but all solicitations will be referred to as Funding Opportunity Announcements (FOAs) in Grants.gov
- FOAs will simultaneously be posted to Grants.gov along with the appropriate application package
- Note that you must search Grants.gov by opportunity number rather than CFDA number for NIH opportunities
- The new model changes how we use the NIH forms website

- Posting Funding Opportunity Announcements (FOAs)

## NIH Forms and Applications Page

**NIH Forms and Applications Page**
- http://grants.nih.gov/grants/forms.htm

- `

## SF424 (R&R) Application 

**SF424 (R&R) Application **
**and Electronic Submission Information**
- http://grants.nih.gov/grants/funding/424/

- Application Guides

## SF424 (R&R) Application 

**SF424 (R&R) Application **
**and Electronic Submission Information**
- http://grants.nih.gov/grants/funding/424/

## Electronic Receipt: How It Works

_**Applying**__ for Grants at Grants.gov:_
- Step 1:	Search for and identify a grant opportunity in the NIH Guide for Grants and Contracts or on Grants.gov
- Step 2:	Download the grant application package
- Step 3:   Complete the application. Be sure to save a copy of the application locally on your computer.
- Step 4:   The Authorized Organizational Representative (AOR) submits the application to Grants.gov either directly or through a Service Provider. **All required registrations must be completed prior to submission.**
- Step 5:    Grants.gov performs basic form validation and virus check on submitted application

## Electronic Receipt: How It Works

_**Applying**__ for Grants (cont.):_
- Step 6:    Track the status of the submitted application package at Grants.gov until you are notified via email that NIH has received it
- Step 7:    eRA software performs NIH business rule validation on submitted application
- Step 8:    NIH notifies Authorized Organization Representative (AOR)/Signing Official (SO) and the Principal Investigator (PI) by email to check the eRA Commons for results of NIH validations check
- Step 9:    	AOR/SO and PI find out if the grant application passed or failed the rule check.  *If it failed: all errors must be corrected and the entire corrected application must be submitted to Grants.gov.*

## Electronic Receipt: How It Works

_**Apply**__ for Grants (cont.):_
- Step 10:	AOR/SO and PI will have two full week days after application assembly to review the application in the eRA Commons.
- Step 11:  	The AOR has the authority to “Reject” the assembled application if it does not correctly reflect the submission due to a Grants.gov or eRA Commons system issue (e.g., garbled or missing parts) or to address warnings.
- PIs must work through the AOR/SO to “Reject” the application.
- If no rejection occurs within 2 week days of application availability in eRA Commons, the submission process is complete and the application automatically moves forward to Receipt and Referral.
- Step 12:  	Applicants can track the progress of their application in eRA Commons.

## Expected Turnaround Times

- Registration – can take several weeks to complete; start a minimum of 2 – 4 weeks in advance of submission date
- Grants.gov response to application submission - up to 2 week days
- eRA Commons response to application submission - up to 1 week day

## NIH’s Transition Strategy

- NIH will transition by individual research program/funding mechanism
- _ALL_ applications in response to these announcements for transitioned mechanisms _will require_ electronic submission through Grants.gov on the SF424 family of forms
- Mechanisms not yet transitioned will continue to require paper PHS 398 submission
- NIH will announce plans to transition mechanisms in the NIH Guide for Grants and Contracts

## Important Announcement Dates

- Funding Opportunity Announcements will be posted in Grants.gov “Apply”, generally 2 months before the submission date
- Release Date – the date an application is posted. Posting allows downloading of the application package and the ability to start working
- Opening Date - the first date the completed application can be submitted to Grants.gov

## NIH Planned Transition Dates of Mechanisms 

**Mechanism Abbreviation Key:**
- C06/UC6   	Research Facilities Construction Grants
- DP1	NIH Director’s Pioneer Award Program
- D71/U2R 	International Training Cooperative Agreement/
-                 	Phase 2 of FIC mechanism D71
- G	Resource Program
- P	Research Program Projects and Centers
- R01         	Research Project Grant Program
- R03         	Small Grant Programs
- R10/U10   	Cooperative Clinical Research Grants
- R13/U13   	Support for Conferences & Scientific Meetings
- R15          	Academic Research Enhancement Awards (AREA)
- R18/U18   	Research Demonstration and Dissemination Projects

- R21/R33  	Exploratory/Development Research
- R24/U24  	Resource Related Research Projects
- R25         	Education Projects
- R34          	Clinical Trial Planning Grant Program
- R36          	Research Dissertation Grant Program
- SBIR       	Small Business Innovation Research
- STTR       	Small Business Technology Transfer
- S06,S10,S11	Biomedical Research
- S21,22	Health Disparities Endowment Grants
- U              	Cooperative Agreement Awards
- X01	High Throughput Screening
- X02	Preapplication

**Current as of February 21, 2006.** Visit the Web site for the latest version: _[http://era.nih.gov/ElectronicReceipt/](http://era.nih.gov/ElectronicReceipt/)_

**NIH Planned Transition Dates of Mechanisms **
**for Electronic Submission using the SF424 (R&R)**

**2006**

**12**

**10**

**11**

- Resource (G7, G8, G11, G13, G20), Career Development (K), S11, S21, S22 (Jun. 1, 2007)

**05**

**07**

**12**

**09**

**01**

**02**

**03**

- R03, R21, R21/R33, R34(June 1, 2006)

**04**

**05**

**2007**

- R18/U18, R25, C06/UC6 (Oct. 1, 2006)

- Fellowship (F)
- (Aug. 5, 2007)

- Project/Center (P), G12, M01, S06, R10/U10, U01, U19, U54, U56, R24/U24 (Oct. 1, 2007)

**01**

**02**

**03**

**04**

**06**

**08**

**06**

- S10 (Mar. 22, 2006)

- R15 (Feb. 25, 2006)

- R36 (Feb. 17, 2006)

- R13/U13* *(Dec. 15, 2005)

- SBIR/STTR (Dec. 1, 2005)

**10**

**07**

**09**

**08**

- X02 (April 18, 2006)

- R01(Feb. 1, 2007)

- Training (T&D), U45, D71/U2R
- (Sep. 10, 2007)

- Potential R01
- Multi-PI Pilot
- (Oct. 1, 2006)

- DP1(Jan. 22, 2007)

- X01 (May 18,
-       2006)

## Advice from Experience

**Read and follow all application instructions!**
- Failure to follow instructions has resulted in applicants having to submit corrected applications
- There are application fields not marked as mandatory on the federal-wide form that _are_ required by NIH
- For example, the credential field of the R&R Senior/Key Person Profile component MUST contain the PI’s assigned eRA Commons User ID for NIH to process the application submission

**Important!**

## Advice from Experience

**Register now to be prepared**
**Allow time for corrections**
**Make sure you check the assembled application in eRA Commons to view the completed application the way the reviewers will see it**
**When seeking support, be prepared to provide identifying information for your application and organization**
**Network with colleagues at other institutions to strategize ways to implement the change to NIH eSubmission at your organization**

## Next Steps for NIH

- We are analyzing all available data from completed submission rounds to identify areas for improvement.  Some examples of things we will be working on:
- Help desk staffing
- Educating NIH staff
- Revising text in application guide for clarity and to provide additional guidance
- Reviewing business rules enforced by the system
- Outreach to the applicant community
- We are looking for opportunities to streamline the process
- Comments and feedback are welcome! _[http://](http://era.nih.gov/ElectronicReceipt/feedback.htm)__[era.nih.gov/ElectronicReceipt/feedback.htm](http://era.nih.gov/ElectronicReceipt/feedback.htm)__ _

## Find More Information: 

- Find More Information:
- Electronic Submission Website
- http://era.nih.gov/ElectronicReceipt/

## Tools to Educate Yourselves and Your Communities

- Training _[http://era.nih.gov/ElectronicReceipt/training.htm](http://era.nih.gov/ElectronicReceipt/training.htm)_
- Video Library
- Overview of NIH Transition http://helix.od.nih.gov/oervideo/grantsgov/sf424_application/index.html
- A Walk Through the SF424 (R&R) 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)_
- SF424 (R&R) application guides, sample application packages and related resources _[http://grants2.nih.gov/grants/funding/424/index.htm](http://grants2.nih.gov/grants/funding/424/index.htm)_
- Grants.gov’s How to Complete An Application Package Demo http://www.grants.gov/images/Application_Package.swf
- Archive of the January 11, 2006 training session http://era.nih.gov/ElectronicReceipt/training.htm

## Tools to Educate Yourselves and Your Communities (Cont.)

- Frequently Asked Questions _[http://era.nih.gov/ElectronicReceipt/faq.htm](http://era.nih.gov/ElectronicReceipt/faq.htm)_
- Electronic Submission Timeline http://era.nih.gov/ElectronicReceipt/strategy_timeline.htm
- 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](http://era.nih.gov/ElectronicReceipt/communication.htm)_

## Where To Go for Help

- General information on Electronic Submission and the SF424 (R&R):
- _[http://](http://era.nih.gov/ElectronicReceipt)__[era.nih.gov/ElectronicReceipt](http://era.nih.gov/ElectronicReceipt)_
- Grants.gov registration, submission and Pure Edge questions:  http://www.grants.gov/contactus/contactus.jsp
- Grants.gov Customer Service
- E-mail: _[support@grants.gov](mailto:support@grants.gov)_
- Phone: 1-800-518-4726
- eRA Commons registration and post submission questions
- Support Page: _[http://](http://era.nih.gov/commons/index.cfm)__[era.nih.gov/commons/index.cfm](http://era.nih.gov/commons/index.cfm)_
- eRA Commons Help Desk
- E-mail: _[commons@od.nih.gov](mailto:commons@od.nih.gov)_
- Phone: 1-866-504-9552 OR 301-402-7469
- Web support: _[http://](http://ithelpdesk.nih.gov/eRA/)__[ithelpdesk.nih.gov](http://ithelpdesk.nih.gov/eRA/)__[/eRA/](http://ithelpdesk.nih.gov/eRA/)_
- Forms transition and questions on NIH’s overall plan for electronic receipt
- NIH Grants Information
- E-mail: _[grantsinfo@nih.gov](mailto:grantsinfo@nih.gov)_
- Phone: 301-435-0714

**New! Enter your own help ticket**

## Get Informed!Spread the Word!___________________Thank You!