# Presentation: 722848

## Update on 

- Update on
- Electronic Submission for PRAC

- Megan Columbus
- NIH Program Manager,
- Electronic Receipt of Grant Applications
- January 19, 2006

## NIH’s Electronic Receipt Goal

- We continue working towards the goal of requiring electronic submission through  Grants.gov using the SF 424 (R&R) for all NIH grant applications by the end of May 2007.

- 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)__ _

## 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 NIH Guide for Grants and Contracts

## NIH Planned Transition Dates of Mechanisms 

**Mechanism Abbreviation Key:**
- C06/U06   	Research Facilities Construction Grants
- D71/U2R 	International Training Cooperative Agreement/
-                 	Phase 2 of FIC mechanism D71
- 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	Preapplication

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

- Centers (P), M01, S06, R10/U10, U19, U54, U56, R24/U24  (Jun. 1, 2007)

**Current as of January 5, 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 (G), Career Development (K), S11, S21, S22 (Feb. 1, 2007)

**05**

**07**

**12**

**09**

**01**

**02**

**03**

- R03, R21/R33, R34(Jun. 1, 2006)

**04**

**05**

**2007**

- R01/U01, R18/U18, R25, C06/UC6 (Oct. 1, 2006)

- Fellowship (F) (Apr. 5, 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)

- X02 (April 18, 2006)

- We have begun!

## It Works

- Applicants can retrieve the application packages from the FOAs at Grants.gov
- We provide a direct link to download the application package from the NIH Guide for grants and Contracts to make this easier for our applicants
- Our systems can retrieve the applications from Grants.gov and check the applications for compliance with NIH business rules
- Applicants receive automatic e-mail notifications from NIH and Grants.gov alerting them to the status of their applications
- Applicants can log onto the Commons to get validation information and verify their application image
- The application images look good!
- NIH systems can assign the applications and make the images available for processing by NIH staff
- Applicants can track the progress of their applications in the eRA Commons.

## December Submissions

- Small business (SBIR/STTR)
- Over 1800 applications received
- In expected range
- Conference grants (R13)
- Over 150 applications received
- In expected range
- Very few applications submitted in paper
- NIH provided flexibility in submission dates to accommodate error corrections

## Grants.gov Handled Load Well!

- Submissions to NIH set a new Grants.gov daily record with 1,259 applications submitted on a single day (Dec. 1, 2005).
- NIH and Grants.gov have developed a strong working relationship

## What’s next?

- - R36 (Feb. 17, 2006)
- - R15 (Feb. 25, 2006)
- - S10 (Mar. 22, 2006)
**- Second round of SBIR/STTR (Apr 1, 2006) - ~ 2,000 applications expected**
- - X02 (April 18, 2006)
**- R03, R21/R33, R34 (Jun. 1, 2006) - ~ 4,000 applications expected**
- 56 NIH funding opportunity announcements currently require submission through Grants.gov and the SF 424 (R&R)

## Guiding Principles:

- NIH will not hold applicants accountable for Grants.gov or NIH system problems
- Applicants are expected to:
- Complete required registration processes prior to submission
- Complete both steps of application submission in a timely way
- Submission to Grants.gov
- Application verification

## NIH Implementation Teams

- Electronic Application Coordinating Group – maintaining link between policy, business process and technical development
- Contingency Planning
- Policy
- Technical Development
- Mechanism Conversion
- Communications and Training
- OPDIV Coordination
- Helpdesk Coordination

## NIH Learning from December Experience- Major Issues - 

- Helpdesk Overwhelmed –
- Initial actions to address include:
- Implementing web-based issue reporting for users
- Analyzing help desk statistics
- Implementing new model for help desk staffing
- Obtaining additional staffing resources
- This is a new process for NIH staff as well
-  Continued in-house training and discussion to bring them up to speed so they can help field questions

## NIH Lessons Learned (cont.)

- Volume of changed/corrected applications very high
- Evaluating most common issues
- Missing Credential (*Commons ID*) for PD/PI in Senior/Key Person Component
- Missing DUNS in Commons Profile for Organization
- Resolving system quirks
- Re-evaluating validation requirements
- Recognizing automated validations are catching many application errors that might have gone unnoticed in the paper process
- System validations ultimately lead to improved accuracy & fairness but do require applicants to carefully follow instructions
- Reviewing business rules enforced by the system

## NIH Lessons Learned (cont.)

- Revising instruction guides and funding opportunity announcements to incorporate helpful hints learned from initial submissions
- Looking for opportunities to improve the process
- Re-evaluation of verification requirements
- Will eliminate requirement for active Commons AOR/SO verification
- Discussions on-going with investigative folks (OIG & DoJ) re: PI verification requirement
- Reviewing ways to shorten time for eRA Commons registration
- Continued need for outreach and education to applicant community

## Collecting User Feedback

- NIH has established an e-mail address to collect comments and/or suggestions from users:  NIHElectronicSubmiss@mail.nih.gov.Share your successes and challenges!
- Let us know what resources are most useful (*Targeted e-mails, FAQs, Tips & Tools, Commons Alerts, Training tools*)
- Share specific suggestions for improvement
- NIH is carefully analyzing lessons learned and feedback from community to develop an action plan for addressing identified issues.
- This analysis includes an evaluation of the implementation timeline.

## Where to find more information

- Electronic Submission Website at:
- http://era.nih.gov/ElectronicReceipt/

## Tools to Educate the Community

- 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](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](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/CompleteApplication#demo](http://www.grants.gov/CompleteApplication#demo)_
- Archive of the January 11, 2006 training session.

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

- Demo Facility – By April, we plan to have an end-to-end demo facility for applicants to “practice” the entire process from finding an opportunity in Grants.gov through verifying a submitted application in the eRA Commons.
- Frequently Asked Questions http://era.nih.gov/ElectronicReceipt/faq.htm
- Electronic Submission Timeline http://era.nih.gov/ElectronicReceipt/strategy_timeline.htm
- Tips and Tools http://era.nih.gov/ElectronicReceipt/tips_tools.htm
- Communications and Outreach resources (brochures, presentations, drop-in newsletter articles) http://era.nih.gov/ElectronicReceipt/communication.htm

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