# Presentation: 573793

## Preparing for NIH Electronic Grant Applications We’ve Come a Long Way! Dec. 5, 2006

- Preparing for NIH Electronic Grant Applications *We’ve Come a Long Way!** **Dec. 5, 2006*

## Welcome

- Presenters:
**Charles Selden**, *Extramural Staff Training Officer, STEP Program Director*
**Megan Columbus**, *NIH Program Manager for Electronic Submission*
**Marcia Hahn**, *Director, Division of Grants Policy*

**Notes:**
Chuck Selden

Welcome live and online attendees
Introduce the speakers 

## Agenda

- Overview of the Electronic Submission Process
- Walk Through the SF424 (R&R) Application
- Lessons Learned – Presented by the NIH Panel of Experts
- Question & Answer

**Notes:**
Chuck Selden

Overview of the Electronic Submission Process
Walk Through the SF424 (R&R) Application
Lessons Learned – Presented by the NIH Panel of Experts
Question & Answer

Goals for the training session...

## How To Submit Questions

- Live Audience
- Index cards in your folder
- One question per card please!

- Videocast Audience
- Submit questions online using the Live Event Feedback Form or;
- Send an email to the NIH Electronic Submission mailbox
- NIHElectronicSubmiss@mail.nih.gov

**Notes:**
Chuck Selden

Videocast attendees will be able to participate in the Question & Answer portion of the presentation online.  Submit questions via the Live Event Feedback Form or send an email to NIHElectronicSubmiss@mail.nih.gov

For those of you here with us today you will find index cards in your package of information.  Please write only 1 question per index card and we will have you pass them to the aisle prior to the Q&A session with the panel.

Megan will get us started with the Overview.

## Overview of Electronic SubmissionMegan Columbus

- Overview of Electronic Submission*Megan Columbus*

**Notes:**
Megan Columbus

## Electronic Submission Process

- New Process...New Forms...but *It’s Still About the Science!*
- Our philosophy and policy has not changed!

**Notes:**
Today we are going to be talking a lot about new processes and procedures for submitting grant applications electronically to NIH.  

While this is important information that needs to be conveyed, we want to take the time to mention that it’s a new process...but the end goal is the same.  It’s Still About the Science!  Our philosophy and policy has not changed...just the way that the information is received.

## The Plan

- 	OMB set the following FY 2007 goal for agencies: Post 100% of funding opportunities on Grants.gov “Apply”.
- By the end of Sept. 2007, 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)

**Notes:**
You’ll see we have aggressive goals for 2007!

## We’ve Come A Long Way

- NIH has received over 18,000 unique electronic applications
- Over 16 mechanisms have transitioned
- Record-breaking June submissions went smoothly
- eRA Processing capabilities have increased dramatically from Dec. 2005

**Notes:**
Despite some of the challenges, we’ve come a long way since December 2005 and accomplished many things!

## Successful Transitions

**Notes:**
All of the mechanisms you see here transitioned to electronic submission over the past year.

## Transitioning in 2007

**Notes:**
Looking ahead to 2007...

## NIH Preparation for R01s

- We expect 4,500-5,000 unique R01 applications in February
- We have already accepted R01 applications as part of a pilot for multi-PI applications in September
- We have done extensive risk analysis and capacity planning to ensure readiness
- Increased resources for Help Desk and staff training

**Notes:**
NIH is prepared to take on the largest mechanism submission...

## 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

## Prepare to Apply

- Registration

**Notes:**
Ok...it’s not THAT bad...but can be time consuming!

## Prepare to Apply

**Registration – Grants.gov**
- Applicant Organization *only* (one time)
- Obtain EIN from IRS
- Request DUNS from Dun & Bradstreet
- Register with 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**

**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.

## 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

## Prepare to Apply

**Registration eRA Commons – PD/PI**
- Principal Investigators (PIs) must work through their institutions 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.

## Prepare to Apply

**Software**
- PureEdge Viewer – free at Grants.gov:
- 	http://www.grants.gov/resources/download_software.jsp#pureedge
- PDF generation software – list provided on Grants.gov website
- 	http://www.grants.gov/agencies/software.jsp#3

## Prepare to Apply

**Options for Mac users ****(using downloadable forms)**
- Download free CITRIX server to remotely launch a Windows session
- Use PC emulation software
- Download the IBM Workplace Forms (PureEdge) Viewer for Mac
- Early release version with significant limitations
- See the Grants.gov website for detailed info:
- http://www.grants.gov/resources/download_software.jsp#non_window

**Notes:**
Unfortunately, the native IBM PureEdge platform is not compatible with Macintosh computers.  The following options are available for Mac users:
 Download a free Citrix server to remotely launch a Windows session
 Use PC emulation software
  If you do not have access to a Windows machine, Windows emulation software, or the Citrix server you may be able to use the IBM Workplace Forms (PureEdge) Viewer that has recently been made available.
Keep in mind that it is an early release version with significant limitations:
It may have occasional crashes which would cause the loss of unsaved data, 
Inability to submit large applications (greater than 20-40 MB depending on your system and network) 
Inability to run on Intel-based Macs or any Mac OS version prior to 10.4.6 
No support for screen readers for visually impaired users

Grants.gov has said that they expect IBM to release a version for Intel-based Macs within the next few months.

## Prepare to Apply

- Determine your internal review & approval process
- Determine how you will share applications in progress
- Decide how to manage the last minute queue at Sponsored Programs (rather than using an airport FedEx drop box!)

## Choose Submission Method

- 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

## Find A Funding Opportunity

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

## Find Opportunity & Download Package

- ALL applications must be submitted in response to a Funding Opportunity Announcement (FOA)
- NIH will simultaneously post FOAs in the *NIH Guide for Grants and Contracts* and Grants.gov *Find*
- The *NIH Guide* is located on the Office of Extramural Research Homepage at: _[http://](http://grants.nih.gov/grants/oer.htm)__[grants.nih.gov/grants/oer.htm](http://grants.nih.gov/grants/oer.htm)_

## Investigator – Initiated Research 

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

## 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!

## A Walk Through theSF424(R&R)Marcia Hahn

- A Walk Through theSF424(R&R)*Marcia Hahn*

## 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 any sample form packages or 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

- There are two versions of the application guide in use.
- Version 1 (expires end of 2006)
- Competition ID field will be blank
- Version 2 (including 2A)
- Competition ID field includes VERSION-2-FORMS or VERSION-2A-FORMS
- A link to the appropriate application guide is 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.)

**Notes:**
As you familiarize yourself with the forms, use the Application Guide.  Many agency-specific instructions have been added to provide clarity for some data elements

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

## SF424 (R&R) - A Cover Component: 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 (not any DUNS for a specific individual)
- If Organization has multiple DUNS, pick a single one for NIH grants

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

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

## 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
- Bibliography & References (previously section G. Literature cited)
- Facilities & Other Resources
- Equipment Resources

## Senior/Key Person Profile

**Senior/Key Person Profile**

## R&R Senior/Key Person

**Version 1 & 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

## 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 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

## 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 74

## 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

## 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 81

## 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

## 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

## Application Complete...Next StepsMegan Columbus

- Application Complete...Next Steps*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.**

**Notes:**
Once all of the Mandatory and Optional components are completed (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 or network.

## 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 day of submission deadline.**

**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 weekdays
- eRA Commons response to an application submission – generally within hours, up to 1 weekday
- AOR/SO and PI review of application image – within 2 weekdays of availability in eRA Commons

## Grants.gov Validations

- 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 DUNS #
- Checks date format, email address format, and scans for viruses

## Email Notifications – Grants.gov

- 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

## Check Status in eRA Commons

- 	After submission, the **eRA Commons system will**:
- Apply the NIH validations
- Assemble the grant image
- Generate a Table of Contents
- Include headers (PI name) & footers (page numbers) on all pages

**Notes:**
Once the application has been received by NIH, the eRA Commons sends status emails to both the AOR/SO and PI.  Email can be unreliable, so proactively check the Commons for your application.

## eRA Commons Validations

- The eRA Commons checks 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

## 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.**

**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.

PIs - Log into the eRA Commons and click on the Status Tab. Follow the link under the Application ID to see the specific Error/Warning messages for the application.

## View Errors/Warnings

**Notes:**
NIH currently has in place a grace period for Error Correction. NIH is allowing a one-week (5 weekday) correction window to address errors and warnings but the applicant must include a cover letter. 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. 

## Errors & Warnings

**Errors must be addressed before the application can move on to 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.

## 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.

**Notes:**
The AOR/SO will have access to view all of the applications for their own organization.  
When PIs log into Commons - they automatically see all their applications.  This may cross multiple organizations if the PI is affiliated with multiple groups. 

## Check Assembled Application

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

**Notes:**
Once all Errors have been corrected, the application image becomes available in the eRA Commons.

## Check Assembled Application

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

**Notes:**
Once all Errors have been corrected, the application image becomes available in the eRA Commons.

## 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.**

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

Be sure to check each PDF attachment to ensure that it is formatted correctly.  

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

## 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.

**Notes:**
After the image of the application is available in Commons, there is a 2 weekday 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.

## Application Complete!

## Resourcesfor Assistance

- Resourcesfor Assistance

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

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

## Resources

- 	Sample Document: “eRA Assembly of the SF424 (R&R) Application”
- Includes a sample Table of Contents, and;
- a chart cross-referencing the location in the forms components for each piece of the grant image.
- http://grants.nih.gov/grants/funding/424/index.htm

## Application Guide(s), Sample Application Packages, Additional Format Pages found at: http://grants.nih.gov/grants/funding/424/index.htm

**Application Guide(s), Sample Application Packages, Additional Format Pages found at:** _[http://grants.nih.gov/grants/funding/424/index.htm](http://grants.nih.gov/grants/funding/424/index.htm)_

## Training Tools

- Registration
- eRA Commons Registration – Automated Training Demo http://era.nih.gov/virtualschool/external/c101_GranteeRegistrationProcess.htm
- Working with the Application Form
- A “Walk Through the SF424 (R&R)” - Video
- 	http://helix.od.nih.gov/oervideo/grantsgov/A_Walk_Through_SF424/index.html
- “Completing an Application Package” –  Grants.gov Automated Demo
- 	http://www.grants.gov/images/Application_Package.swf

## Training Tools

- Learning the Electronic Submission Process
- Interacting Electronically with NIH
- Part I & II – Videos
- Hands-On Learning
- Creating a Commons Demo Account – Learn the system and get familiar with the forms BEFORE you submit!
- Check the status of sample applications in various stages of submission
- View errors & warnings
- See application images
- Videos/Hands-On: http://era.nih.gov/ElectronicReceipt/training.htm

## Training Tools

- Presentations
- Archive of this training session will be available in streaming video and downloadable formats: http://era.nih.gov/ElectronicReceipt/training.htm
- Review the Application Guides & Sample Application Packages
- SF424 (R&R) application guides, sample application packages and related resources http://grants.nih.gov/grants/funding/424/index.htm

## Training Tools

- Registration in the eRA Commons (Demo) http://era.nih.gov/virtualschool/external/c101_GranteeRegistrationProcess.htm
- Grants.gov’s “How to Complete An Application Package” Demo
- SF424 (R&R) application guides, sample application packages and related resources http://grants.nih.gov/grants/funding/424/index.htm

## Other Tools

- Frequently Asked Questions http://era.nih.gov/ElectronicReceipt/faq.htm
- Electronic Submission Transition 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

## 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 validations after submission through Grants.gov:
- Check the eRA Commons website:
- 	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://ithelpdesk.nih.gov/eRA/**

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

**Registration & Validations Processes**

## Finding Help: Application Preparation

- Review the Application Instruction Guide(s)
- Contact Grants Info:
- 		Grants Info
- 		Phone: 301-435-0714
- 		TTY:	  301-451-0088
- 		Email GrantsInfo@nih.gov

## Finding Help

- 	All of these resources and forms are found on the Electronic Submission website at:
- 		http://era.nih.gov/ElectronicReceipt/

## Lessons LearnedNIH Panel of Experts

- Lessons Learned*NIH Panel of Experts*

## NIH Electronic SubmissionPanel of Experts

**Megan Columbus**, *NIH Program Manager for Electronic Submission of Grant Applications*
**Suzanne Fisher**, *Director, Division of Receipt and Referral, Center for Scientific Review*
**Jennifer Flach**, *eSubmission Technical Development Manager*
**Scarlett Gibb**, *Manager, eRA Help Desk*
**Marcia Hahn**, *Director, Division of Grants Policy, Office of Policy for Extramural Research Administration*

## Lessons Learned

- Work with your Office of Sponsored Research to determine your internal process flow (review, approval, document sharing etc.)
- Register now to be prepared
- All PIs and Fellows need to be registered
- Can take 2 – 4 weeks; up to 8 weeks for newly established organizations
- Read and follow all instructions in the FOA & the application package instructions!

**Notes:**
Marcia Hahn
Work with your Office of Sponsored Research to determine your internal process flow (review, approval, document sharing etc.)
Register now to be prepared
All PIs and Fellows need to be registered
Can take 2 – 4 weeks; up to 8 weeks for newly established organizations

Read and follow all instructions in the FOA & the application package instructions!  Be sure to choose the correct FOA; making sure that it’s the one you intend to submit your application under.

## Lessons Learned

- All non-PureEdge attachments MUST be in PDF format
**DO NOT:**
- Use special characters in file names
- Write-protect the PDF file; you should disable all security features in the PDF
- Scan text attachments.  Generate using word processing package and then convert to PDF.
- For more information:
- http://era.nih.gov/ElectronicReceipt/faq_prepare_app.htm#2e

**Notes:**
Jen Flach
All non-PureEdge attachments MUST be in PDF format
DO NOT:
Use special characters in file names
Write-protect the PDF file; you should disable all security features in the PDF
Scan text attachments.  Generate using word processing package and then convert to PDF.

For more information and tips about PDFs, refer to the link on your handout.

## Lessons Learned

- Organizational DUNS in the application must match DUNS in the eRA Commons profile for the Applicant Institution
- The “credential e.g., agency login” field on the R&R Senior/Key Person Profile component MUST contain the PI’s eRA Commons User ID for NIH to process the application submission

**Notes:**
Scarlett Gibb
Organizational DUNS in the application must match DUNS in the eRA Commons profile for the Applicant Institution

The “credential e.g., agency login” field on the R&R Senior/Key Person Profile component MUST contain the PI’s eRA Commons User ID for NIH to process the application submission...if you don’t know your PI Commons User ID...DON’T MAKE IT UP!  

## Lessons Learned

- When submitting a Changed/Corrected application, make sure you check the “Changed/Corrected” box in Field #1 *Type of Submission*
- Allow extra time for corrections

**Notes:**
Megan Columbus

When submitting a Changed/Corrected application, make sure you check the “Changed/Corrected” box in Field #1 Type of Submission on the SF424 (R&R) form

Start early so that you can allow extra time for corrections

## Lessons Learned

- Take time to closely review the grant image *within 2 weekdays* of availability
- Ensure ALL PDFs are attached
- Check each one for proper conversion & formatting
- New Process...but *It’s Still About the Science!** *Our philosophy and policy has not changed!

**Notes:**
Suzanne Fisher

 Take time to closely review the grant image within 2 weekdays of availability
		Ensure ALL PDFs are attached
		Check each one for proper conversion & formatting

 This is a new application process...but It’s Still About the Science! Our philosophy and policy has not changed!

## Q&A with theNIH Panel of Experts

- Q&A with the*NIH Panel of Experts*

## How To Submit Questions

- Live Audience
- Index cards in your folder
- One question per card please!

- Videocast Audience
- Submit questions online using the Live Event Feedback Form or;
- Send an email to the NIH Electronic Submission mailbox
- NIHElectronicSubmiss@mail.nih.gov

## Collecting User Feedback

- NIH has established an email address to collect comments and/or suggestions from users:
- 		NIHElectronicSubmiss@mail.nih.gov
- Share specific suggestions for improvement
- Share what resources are most useful (Targeted Emails, FAQs, Avoiding Common Errors, Commons Alerts, Training Tools etc.)

## Thank You!