# Presentation: 719076

## 
Christopher L. Hatch, Ph.D.
Chief, Program Coordination and Referral Branch
Division of Extramural Activities, NCI

**Christopher L. Hatch, Ph.D.**
**Chief, Program Coordination and Referral Branch**
**Division of Extramural Activities, NCI**

**Electronic Submission (eSubmission) of Grant Applications to the NIH**
**NCI Orientation for Extramural Staff**
**January 29, 2007**

##  Mandated by Federal law and the President’s Management Agenda

 Use of the Standard Form (SF) 424 Research & Research-Related (R&R) instead of the Public Health Service (PHS) 398 Form

 Electronic Pre-Registrations of Institutions and Applicants/Principal Investigators (PIs)

 Use of Grants.gov instead of mail and express couriers

-  Use of the Standard Form (SF) 424 Research & Research-Related (R&R) instead of the Public Health Service (PHS) 398 Form
-  Electronic Pre-Registrations of Institutions and Applicants/Principal Investigators (PIs)
-  Use of Grants.gov instead of mail and express couriers

- eSubmission vs. Hard Copy Submission of Grant Application

## Advantages of eSubmission, eReceipt, and eReview of Grant Applications

- Eliminates the burden of paper-based data handling (including scanning) – possible savings of >200 million pieces of paper/year
- Electronic validations improve data quality
- Grant images are clearer (than scanned copies) and enable presentation of high resolution color figures
- Electronic data can be mined by knowledge management and other tools
- Resulting efficiencies may allow NIH to shorten the cycle from application receipt to award

**Notes:**
Example of shortened cycle from application receipt to award:
Submission dates for Academic Research Enhancement Awards (AREA; R15) extended by 1 month, resulting in shortened receipt to awardElectronic receipt is only one factor in determining NIH’s ability to shorten receipt to award time

## NIH’s Electronic Grants Goal

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

## NIH Timeline

**2006**

**12**

**10**

**11**

- Resource (G), S11, S21, S22 (May 25, 2007)

**05**

**07**

**12**

**09**

**01**

**02**

**03**

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

**04**

**05**

**2007**

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

- Fellowship (F) (Aug. 8, 2007)

- Training (T&D), Projects/Centers (P), M01, R10/U10, S06, U01, U19, U54, U56, R24/U24, others (Sept. 25, 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. 5, 2007)**

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

- DP1(Jan. 16, 2007)

**Timeline of Transition**

**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
- 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
- X02	Pre-application for Interdisciplinary Research Consortium

**Current as of January 5, 2007.** Visit the Web site for the latest version: _[http://era.nih.gov/ElectronicReceipt/](http://era.nih.gov/ElectronicReceipt/)_

-  Career Dev. Ks - K12 (Jun 12, 2007)

- K12(Oct. 12, 2007)

**Notes:**
The aggressive timeline will allow NIH to meet it’s electronic receipt goals.

For the December 1, 2005 receipt date and thereafter, all SBIR and STTR (R41, R42, R43, R44), non-AIDS related applications will require electronic application submissions through Grants.gov using the SF 424 (R&R) dataset.
AIDS related SBIR/STTR applications will also require electronic application submissions through Grants.gov using the SF 424 (R&R) dataset beginning with the January 2, 2006 receipt date.

The timeline currently shows only a portion of the mechanisms that must be transitioned.

Per OMB, NIH must provide to Grants.gov a complete ramp up schedule for FY2006 by the end of October. NIH will post this schedule on it’s electronic receipt website in mid-November.

In most cases, Funding Opportunity Announcements will be open for two months. Some exceptions will occur early on in the transition.

## Funding OpportunityAnnouncements (FOAs)

- All eApplications must be created with use of an appropriate SF424 and submitted to the NIH through Grants.gov in response to an FOA.
- All FOAs will be posted on Grants.gov by NIH staff along with the appropriate application package.
- All FOAs will continue to be posted in the NIH Guide for Grants and Contracts.
- NIH will continue to use the terms Requests for Applications (RFAs) and Program Announcements (PAs), but all grants “solicitations” will be referred to as FOAs in Grants.gov.

## Current Funding OpportunityAnnouncements (FOAs)

- 			_NCI’s_	  _NCI on other IC’s_   _NIH’s_
- R03 FOAs	    7		   15		       83
- R21 FOAs	  33		   39		     170
- R01 FOAs	  27		   45		     225

## Slide 8

## Slide 9

| Numbers of Applications Received per Cycle |  |  |  |  |
| --- | --- | --- | --- | --- |
|  |  |  |  |  |
| Type | NCAB | ALL NIH | CA 1o | CA 1o+ 2o |
|   |   |   |   |   |
| R03 | Jan-05 | 1237 | 125 | 137 |
|   | May-05 | 1359 | 154 | 228 |
|   | Oct-05 | 1353 | 146 | 151 |
|   | Jan-06 | 1136 | 151 | 157 |
|   | May-06 | 1376 | 171 | 225 |
|   | Oct-06 | 1311 | 165 | 171 |
|   | Jan-07 | 1099 | 188 | 191 |
|   | May-07 | 1081 | 147 | 189 |

## Slide 10

| Numbers of Applications Received per Cycle |  |  |  |  |
| --- | --- | --- | --- | --- |
|  |  |  |  |  |
| Type | NCAB | ALL NIH | CA 1o | CA 1o+ 2o |
| R21 | Jan-05 | 2956 | 565 | 672 |
|   | May-05 | 3422 | 618 | 798 |
|   | Oct-05 | 3541 | 497 | 806 |
|   | Jan-06 | 3607 | 580 | 853 |
|   | May-06 | 4044 | 699 | 862 |
|   | Oct-06 | 3934 | 743 | 913 |
|   | Jan-07 | 3988 | 785 | 892 |
|   | May-07 | 4278 | 793 | 975 |

## Slide 11

| Numbers of Applications Received per Cycle |  |  |  |  |
| --- | --- | --- | --- | --- |
|  |  |  |  |  |
| Type | NCAB | ALL NIH | CA 1o | CA 1o+ 2o |
| R01 | Jan-05 | 10297 | 1476 | 2017 |
|   | May-05 | 11317 | 1715 | 2415 |
|   | Oct-05 | 11160 | 1601 | 2339 |
|   | Jan-06 | 10322 | 1607 | 2300 |
|   | May-06 | 11494 | 1671 | 2489 |
|   | Oct-06 | 10425 | 1554 | 2092 |
|   | Jan-07 | 10158 | 1433 | 1946 |
|   | May-07 | 10493 | 1497 | 2137 |

## NIH Guide for Grants and Contracts(http://grants1.nih.gov/grants/guide/index.html)

_**Basic Search**_
**Search For Exact Keyword(s) or Phrase(s)**
**Preset Search for:**
- Active Funding Opportunities Only (RFAs & PAs)
- Recent Notices Only (Released in Last 12 Months)
- Both Active Funding Opportunities & Recent Notices
- _[Advanced Search](http://grants1.nih.gov/grants/guide/search_guide.htm)_
- Search by number  (e.g. RFA-HL-05-018 or PA-05-058)
- Search by title or keyword
- Search matches exact keyword or phrase - Leave blank to display all records
- Search by grant mechanism (R01, R21, R03, etc.)
- Separate Multiple Search Terms  with comma  (e.g. diabetes,  liver disease,  kidney disease)
- Search for Active and Inactive Announcements

## What is Grants.gov?                     

- The Federal government’s single, online portal for any eligible person, business, institution, organization, and State, local, or Tribal government to electronically find and apply for grant opportunities
- A cross-agency initiative involving:
- 1000 grant programs
- 26 grant-making agencies
- Over $400 billion in annual awards

**Notes:**
Grants.gov is managed by the Department of Health and Human Services, the largest provider of Federal grants.

Grants.gov is one of 24 Federal cross-agency E-Government initiatives designed to improve access to services via the Internet.

NIH was the first grant making agency to post 100% of Funding Opportunities on Grants.gov Find.

Currently, Grants.gov has two distinct systems: Find and Apply. In October, Grants.gov will integrate all Find functionality into Apply. This will provide a single look and feel for Find and Apply and allows access to all functionality with a single sign-on.

## Searching Grants.gov

- To perform a **basic search** for a grant, go to _[http://www.grants.gov/search/basic.do](http://www.grants.gov/search/basic.do)__ and complete:_
- Keyword Search;
- Search by Funding Opportunity Announcement number; **OR**
- Search by Catalog of Federal Domestic Assistance (CFDA) number field;
- 	then click the "Search" button.
- For the Advanced Search capability, go to _[http://www.grants.gov/search/advanced.do](http://www.grants.gov/search/advanced.do)__ _

**Notes:**
Grants.gov is managed by the Department of Health and Human Services, the largest provider of Federal grants.

Grants.gov is one of 24 Federal cross-agency E-Government initiatives designed to improve access to services via the Internet.

NIH was the first grant making agency to post 100% of Funding Opportunities on Grants.gov Find.

Currently, Grants.gov has two distinct systems: Find and Apply. In October, Grants.gov will integrate all Find functionality into Apply. This will provide a single look and feel for Find and Apply and allows access to all functionality with a single sign-on.

## NCI’s Catalog of Federal Domestic Assistance (CFDA) Numbers and Categories

- 93392	Cancer Construction
- 93393	Cancer Cause and Prevention
- 93394	Cancer Detection and Diagnosis
- 93395	Cancer Treatment
- 93396	Cancer Biology
- 93397	Cancer Centers Support
- 93398	Cancer Research Manpower
- 93399	Cancer Control

**Notes:**
Grants.gov is managed by the Department of Health and Human Services, the largest provider of Federal grants.

Grants.gov is one of 24 Federal cross-agency E-Government initiatives designed to improve access to services via the Internet.

NIH was the first grant making agency to post 100% of Funding Opportunities on Grants.gov Find.

Currently, Grants.gov has two distinct systems: Find and Apply. In October, Grants.gov will integrate all Find functionality into Apply. This will provide a single look and feel for Find and Apply and allows access to all functionality with a single sign-on.

## Using Standard Forms to Apply through Grants.gov is a Very Different Model

- The application form and instructions (i.e., for the SF424 (R&R)) will now be part of a package that NIH posts on Grants.gov along with each FOA – a direct link to this package can also be found on the first page of the FOA in the NIH Guide
- After downloading a free PureEdgeTm (or soon-to-arrive replacement) software package onto their desktops (or utilizing the system-to-system software of a third-party provider), applicants can download the application package for the specific FOA from within Grants.gov

**Notes:**
Not all Funding Opportunity Announcements will use the same subset of components.

## Features of the SF424 (R&R)

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

## Modifications of SF424 (R&R) Grant Application Package for NIH

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

**Notes:**
The term “PHS 398” is used for NIH’s agency specific components. The term was chosen since it is the OMB approved method of collecting the data. Also, by not branding the forms as “NIH” it allows for the use of the components by other agencies.

## Preparing for eSubmission– Registration with Grants.gov

- _Applicant institutions_ must complete a one-time-only registration
- Detailed instructions at _[http://grants.gov/GetStarted](http://grants.gov/GetStarted)__ _
- Grants.gov registration requires institutions to:
- Obtain a D&B Data Universal Numbering System (DUNS) number; and
- Register in Central Contractor Registry (CCR)
- Registration not required to find funding opportunities or to download application packages, only to submit completed grant applications

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

**Notes:**
It is important to note that only APPLICANT ORGANIZATIONS register with Grants.gov.

Early registration is highly recommended. If you wait until the last minute to register, the timeliness of your application is at risk.

## Preparing for Submission– Registration with eRA Commons

- _Applicant institutions_ must complete one-time only registration
- _PI’s_ must work through their institutions to register
- PI’s currently registered only for Internet-Assisted Review (IAR) must work through their institutions for full Commons registration

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

**Notes:**
It is important to note that only APPLICANT ORGANIZATIONS register with Grants.gov.

Early registration is highly recommended. If you wait until the last minute to register, the timeliness of your application is at risk.

## Find FOA in NIH Guide or on Grants.gov, then download application package by clicking “button” on first page

**Program Announcement (PA) Number: **PA-07-298
- For Assistance downloading this or any Grants.gov application package, please contact Grants.gov Customer Support at _[http://](http://grants.gov/CustomerSupport)__[grants.gov/CustomerSupport](http://grants.gov/CustomerSupport)_

- APPLY FOR GRANT ELECTRONICALLY

## Program Announcement (PA) Number: PA-07-298 

For Assistance downloading this or any Grants.gov application package, please contact Grants.gov Customer Support at http://grants.gov/CustomerSupport 

- For Assistance downloading this or any Grants.gov application package, please contact Grants.gov Customer Support at _[http://](http://grants.gov/CustomerSupport)__[grants.gov/CustomerSupport](http://grants.gov/CustomerSupport)_

- Find FOA in NIH Guide or on Grants.gov, then download application package by clicking “button” on first page

- APPLY FOR GRANT ELECTRONICALLY

## Electronic Receipt: How It Works

_**Applying**__ for Grants at Grants.gov_
- After finding the funding opportunity on Grants.gov, the applicant:
- Step 1:	Downloads the grant application package (PureEdgeTm or replacement software [or uses a system-to-system ‘package”] required to view);
- Step 2: Completes the grant application (with prior use of pdf conversion software for attachments);
- Step 3: Submits the application to Grants.gov (through Authorized Organizational Representative [AOR]) by 5:00 PM on the receipt deadline date;
- Step 4: Tracks status of the submitted application (e.g., notification of retrieval by NIH) -- fixes errors, if necessary, and resubmits;

**Notes:**
Once notification from Grants.gov is received stating the application has been retrieved, SOs and PIs are encouraged to check the eRA Commons for status.

## Electronic Receipt: How It Works

_**Applying**__ for Grants (continued); the applicant:_
- Step 5: Waits for electronic Research Administration (eRA) software to check the application against NIH business rules;
- Step 6: Receives notification (with simultaneous notification of AOR) via email to check eRA Commons for results of NIH rule-checking;
- Step 7: Sees errors and warnings (if application does not pass NIH rules), then
- fixes errors, and AOR resubmits entire application to Grants.gov;

## Electronic Receipt: How It Works

_**Applying**__ for Grants (continued); the applicant:_
- Step 8: Sees SF424 (R&R)-based grant image appear (if it passes NIH rules), and,
- If acceptable to PI and AOR, AOR verifies application in Commons; and
- Step 9: Knows that data and grant image have been saved, and that the application will be processed by NIH staff.

**Grant image becomes available to**
**NIH staff and to assigned peer reviewers**
**Applicant can follow progress of application**
**via the NIH eRA Commons**

## Generic Validations of eApplications

- Means that NIH can automatically:
- Check for type of application;
- Match to prior application(s) when applicable;
- Check numbers of resubmissions (amendments);
- Verify and match DUNS number and Commons ID(s);
- Check Exception and Assurance numbers;
- Ensure one page limit for project summary;
- Ensure one page Introduction for resubmissions;
- Ensure adherence to other page limitations;
- Check budgets for basic eligibility and accuracy;
- Verify presence of components of Research Plan;
- Check for Inclusion Plans, Clinical Trials, etc.; and
- Check for other required elements.

## Receipt & Referral of Electronic Applications

- CSR electronically receives & assigns applications using IMPAC II;
- NCI releases & refers applications electronically using the Referral Module of the Workbench system; and
- Weekly, PCRB sends emails to Cancer Activity Point of Contact listing all applications awaiting action that were referred the previous week.

## Advantages of eReceipt and eReferral of eApplications

- CSR will no longer have to receive and physically process paper copies of grant applications;
- CSR Project Control Staffers will process all applications electronically;
- Applications should be more complete and error free;
- CSR Referral Officers and NCI (and other IC) Referral Officers will view and assign applications only electronically (with eventual use of “IT” knowledge management tools and easier identifications of duplicate applications).

## eReview of Grant Applications

- Means that:
- CSR and NCI scientific review administrators will no longer have to deal with printing/copying/mailing paper grant applications;
- Peer reviewers will generally not receive paper copies of grant applications to read and critique;
- Internet-Assisted Review (IAR) will hopefully improve the efficiency of the peer review process; and
- Applicants will be able to more easily check milestones for their applications.

## Clearance for Application Submission with Use of Awaiting Receipt of Application (ARA) through Workbench

- Reasons for use of ARA include:
- Unsolicited R01 applications requesting greater than $2.5M direct costs (d.c.) for any year (Executive Committee [EC] approval required);
- P01 applications requesting greater than $6.0M d.c. for any year (EC approval required);
- Applications (new, revised, type 2) requesting > or = $500,000 d.c. for any year, but <$2.5 M for an R01 or <$6.0M for a P01;
- Locus of review should be NCI (Provide justification in 'ARA Justification' Box);
- Application with special programmatic interest;
- Late receipt.

## Adjustments to Applications with Use of the 901 Form

- 901 form is available in two electronic formats on the DEA intranet site (_[http://deaintranet.nci.nih.gov/form901/](http://deaintranet.nci.nih.gov/form901/)__)._
- 901 form is used for the following purposes:
- To Change Study Section;
- From CA to another IC or CSR;
- To CA from another IC or CSR;
- To Change Council Date;
- To Change Application Number; and
- To Withdraw or Return an Application.
- (A 901 function is being developed for the Workbench.)

## The 901 Form is Not Used:

- To correct a P.I.’s name;
- To change the institution;
- To change an SRG within CSR;
- To change an FOA number; and
- To change anything not listed on the 901 form.

## Where to Go for Help

- General information on Electronic Submission and the SF424 (R&R)
_**Visit: **__[http://era.nih.gov/ElectronicReceipt](http://era.nih.gov/ElectronicReceipt)_
- Forms transition and questions on NIH’s overall plan for electronic receipt
- Visit GrantsInfo.gov
- E-mail: _[grantsinfo@nih.gov](mailto:grantsinfo@nih.gov)_
- Phone: 301-435-0714
- eRA Commons registration and post submission questions on Commons functionality
- Visit: _[http://era.nih.gov/commons/index.cfm](http://era.nih.gov/commons/index.cfm)_
- E-mail: _[commons@od.nih.gov](mailto:commons@od.nih.gov)_
- Phone: 1-866-504-9552 or 301-402-7469
- Grants.gov registration and submission questions
- Visit:  _[http://www.grants.gov/CustomerSupport](http://www.grants.gov/CustomerSupport)_
- E-mail: _[support@grants.gov](mailto:support@grants.gov)_
- Phone: 1-800-518-4726

## Thanks for Listening!

- My contact information:
- Christopher L. Hatch, Ph.D.
- Chief, Program Coordination and Referral Branch
- Division of Extramural Activities
- National Cancer Institute
- 6116 Executive Boulevard, Room 8047
- Bethesda, MD 20892-8329
- Rockville, MD 20852 (for express delivery)
- Telephone: 301-594-1403
- Fax: 301-402-0275
- E-mail: _[ch29v@nih.gov](mailto:ch29v@nih.gov)__ or __[ncirefgrp@mail.nih.gov](mailto:ncirefgrp@mail.nih.gov)__ _