# Presentation: 719074

## Timeline for Electronic Receipt and SF424(R&R) Conversion

- Megan Columbus
- NIH Program Manager for Electronic Receipt of Grant Applications
- Megan.columbus@nih.gov
- Tel. 301-435-0937
- Peer Review Advisory Committee
- September 26, 2005

## NIH’s Electronic Receipt Goal

- By the end of May 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)

- 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)__ _

## 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:
- Numerous funding mechanisms
- Tens of thousands of applications ranging widely in size and complexity
- 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 communication, training and outreach
- Acceptance of change by NIH staff
- Acceptance of change by our research partners in the extramural community.

## What is Grants.gov?

- A cross-agency initiative involving
- 900 grant programs
- 26 grant-making agencies
- Over $350 billion in annual awards.
- The Federal government’s single, online portal for any person, business, or State, Local and Tribal government to electronically:
- _Find_ Grant Opportunities
- _Apply_ for Grants

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

NIH’s aggressive timeline for Electronic Receipt enables NIH to meet Federal goals.

## Why transition to electronic receipt?

- It benefits our applicant community, creates efficiencies, and makes 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 clearer and in color

**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
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 transition to SF424 family of forms?

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

## Why transition?  It’s the law...

- 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 “Find” on Grants.gov “Apply”
- The PHS 398 OMB clearance expires in September, 2007

## 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 424 family of forms
- Mechanisms not yet transitioned will continue to require submission on PHS 398 on paper or through service providers
- NIH will announce plan to transition mechanisms in NIH Guide for Grants and Contracts
- Funding Opportunity Announcements will be posted in Grants.gov “Apply”, generally 2 months before the submission date.

## SF424 (R&R) Grant Application Package

- SF424 (R&R) includes the following set of standard components:
- R&R Application/Cover Component
- R&R Project/Performance Site Location(s) Component
- R&R Other Project Information Component
- R&R Senior/Key Person Component
- R&R Budget Component
- R&R Personal Data Component (NIH will not use)
- R&R Sub-award Budget Attachment Component

**Notes:**
Commons registration captures personal data information so eliminates the need to use the personal data form component.

## SF424 (R&R) Grant Application Package

- 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
- NIH requires additional data collection to accommodate the unique information required for review of its biomedical research portfolio.

## NIH Timeline:

**2005**

**NIH Timeline:**
- Submission of Grant Applications through Grants.gov
- Using SF424 Family of Grant Application Forms

- Post SBIR/STTR and R13/U13 Announcements on Grants.gov

- Post R15 Announcements on *Grants.gov*

- Submit SBIR/STTR via Grants.gov* **(12/1/05)*

- Submit R13 & U13  via Grants.gov *(12/15/05)*

- Submit R15 via
- Grants.gov* (2/25/06)*

**2006**

- Post full schedule with all remaining mechanisms

## NIH Timeline:

**NIH Timeline:**
- Submission of Grant Applications through Grants.gov
- Using SF424 Family of Grant Application Forms (cont.)

- Submit R01 via Grants.gov * (10/1/06)*

- OMB Clearance for PHS398 form Expires

**Submit all Mechanisms**
**via Grants.gov**

- Submit R03 & R21 via Grants.gov *(6/1/06)*

- Post R01 Announcements on Grants.gov

- Post NRSA (T&F), Careers & Complex
- Grants Announcements on Grants.gov

**APR**

**FEB**

**MAR**

**MAY**

**JUN**

**JUL**

**AUG**

**SEP**

**OCT**

**NOV**

**APR**

**DEC**

**JAN**

**MAY**

**JUN**

**JUL**

**AUG**

**SEP**

**2007**

_**Abbreviation/Mechanism Key:**_
- AREA/R15	Academic Research Enhancement HTS/X01	High Throughput Screening
- NRSA	National Research Service Award
- R01	Research Project Grant Program
- R03	Small Grant Programs
- R13/U13	Conference Support
- R21	Exploratory/ Development Research
- SBIR/STTR	Small Business Research

## What’s next?

- Our plans are a work in progress.  Many other mechanisms will be added to our timeline as we work towards full transition...Stay tuned!

## Getting Started – Registration Grants.gov and eRA Commons registration is required

- Grants.gov Registration
- One time only registration good for electronic submission to all Federal agencies
- Registration on Grants.gov required _only for institutions_
- Detailed instructions at: _[http://grants.gov/GetStarted](http://grants.gov/GetStarted)__ _
- Grants.gov registration requires institutions to:
- Obtain a Data Universal Numbering System (DUNS) number - if you don’t already have one.
- Register in Central Contractor Registry (CCR) - if you haven’t already.

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

**Notes:**
As part of Grants.gov registration you will need to:
Obtain a Data Universal Numbering System (DUNS) number - if you don’t already have one.
Register in Central Contractor Registry (CCR) - if you haven’t already.
Register with Grants.gov.

As part of NIH eRA Commons registration:
You will need to set up institution and person profiles.

## Getting Started – Registration Grants.gov and eRA Commons registration is required

- eRA Commons Registration
- Allows NIH to receive applications electronically from Grants.gov and validate them against NIH business rules.
- Provides a way for NIH and registered users to communicate electronically after submission.
- _Both_ organizations and PIs need to register
- One time only registration
- Detailed instructions at: _[https://commons.era.nih.gov/commons](https://commons.era.nih.gov/commons)__  _

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

**Notes:**
As part of Grants.gov registration you will need to:
Obtain a Data Universal Numbering System (DUNS) number - if you don’t already have one.
Register in Central Contractor Registry (CCR) - if you haven’t already.
Register with Grants.gov.

As part of NIH eRA Commons registration:
You will need to set up institution and person profiles.

## Preparing for Submission

- Before an applicant institution can apply they must establish the capacity to fill out applications
- Download PureEdge Viewer (from Grants.gov site)
- OR
- Establish an electronic system that allows the institution to submit to Grants.gov using system-to-system (XML) datastream
- Can be created by institution  OR
- Institution can establish an agreement with a commercial Service Provider

## Electronic Receipt: How It Works

_**Find**__ Grant Opportunities at Grants.gov_:
- Search for grant opportunities on Grants.gov
- Identify Grant Opportunity

## Electronic Receipt: How it works

_**Applying**__ for Grants at Grants.gov:_
- Step 1: Download the grant application package. (PureEdge Software required to view.)
- Step 2: Complete the application.
- Step 3: Submit the application to Grants.gov. (Processed through Authorized Organizational Representative (AOR))
- Step 4: Track the status of the submitted application package you are notified it has been retrieved by NIH.

## Electronic Receipt: How it works

_**Applying**__ for Grants (cont.):_
- Step 5: eRA software checks the application against NIH business rules.
- Step 6: NIH notifies PI and Signing Official via email to check the eRA Commons for results of NIH rule checking.
- Step 7: If the application passes NIH rules, SF424 (R&R)-based grant image appears.
- Principal Investigator (PI) and Signing Official (SO) review application.
- If acceptable, PI and SO verify application in Commons.
- If not, the PI or SO rejects the application in Commons, makes changes and resubmits via Grants.gov

## Electronic Receipt: How it works

_**Apply**__ for Grants (cont.):_
- Step 8: If application does not pass NIH rules, errors and warnings are listed.
- Fix errors and resubmit to Grants.gov
- Step 9: After verification, data and grant image are saved and application begins getting processed by NIH staff.

## Where to find more information

**NIH eRA’s Electronic Receipt*****  *****Web Site**: _[http://](http://era.nih.gov/ElectronicReceipt)__[era.nih.gov/ElectronicReceipt](http://era.nih.gov/ElectronicReceipt)_/
- Note: A presentation is posted on this website that your staff can use as they go to professional meetings, etc.
**NIH Guide Notices: **_**[http://grants1.nih.gov/grants/guide/index.html](http://grants1.nih.gov/grants/guide/index.html)**_
**IC Electronic Receipt Contacts (soon to be posted on intranet site currently under development)**
** **

## NIH is ready for Electronic Receipt...are you?Register Now!