Successful eSubmission Prepare-Complete-Submit-Track-View

1. Successful eSubmissionPrepare-Complete-Submit-Track-View Sheri Cummins eRA Customer Relationship Manager – eSubmission Dorsey Gaines eRA Commons Help Desk – Team Lead Electronic Research Administration Office of Extramural Research National Institutes of Health June 2010

2. Electronic Submission of Grant Applications at NIH PI PI AOR/SO Find and download announcement, instructions and form package. Principal Investigator (PI) prepares application per institution guidelines. PI sends app. to Authorized Organization Rep. (AOR), who submits application to Grants.gov. eRA retrieves application from Grants.gov and checks it for compliance with application instructions. PI and AOR/Signing Official (SO) check submission status and view assembled application in eRA Commons.

3. Today’s eSubmission Topics • Prepare • Systems • Registration • Software • Plan • Find Opportunity • Download Instructions & Application Forms • Complete Application • Forms • Submit • Submit Application to Grants.gov

4. Today’s eSubmission Topics • Track • Track Application • Correct Any Errors • View • View Assembled Application in eRA Commons • eSubmission Odds & Ends • Reference Letters • Looking Ahead • Finding Help • Resources • Service Desks

5. By failing to prepare, you are preparing to fail. -Benjamin Franklin Prepare

6. Two Separate, but Linked Systems • Grants.gov • Federal-wide portal to find and apply for Federal grant funding • Used by all 26 Federal grant-making agencies • eRA Commons • Agency system that allows applicants, grantees and Federal staff to share application/grant information • Used by NIH and a few other HHS divisions IMPORTANT: Each system has its own registration and validations requirements.

7. Registration • Grants.gov • Applicant Organizations only • Designate E-Business Point of Contact (E-Biz POC) • Approves Authorized Organization Representatives (AORs) providing authority to submit applications • No registration needed to find opportunities or download forms • eRA Commons • Applicant Organization & PD/PI • Designate Signing Official (SO) • Registers or affiliates Project Director/Principal Investigator (PD/PI) Many organizations are already registered. Check with your Office of Sponsored Projects.

8. Registration • Tips for Success: • If not yet registered, start the process at least 4 weeks before the deadline • Once DUNS number is obtained, Grants.gov and eRA Commons registrations can be done in tandem • NIH 2-week “good faith effort” for Commons registration • Set-up multiple AOR and SO accounts • Log in to accounts prior to deadline to ensure you have access to the systems • Update Central Contractor Registration (CCR) information yearly to keep Grants.gov credentials active

9. Registration • More Tips for Success: • Do not combine SO and PI roles on single Commons account • PIs get one Commons account that follows them throughout their careers • If PI is already registered, “affiliate” their existing account rather than creating a new one • http://era.nih.gov/commons/steps_commons.cfm#step3 • PIs should update their Commons profile prior to submitting (e.g., degree info used to determine Early Stage Investigator eligibility)

10. Obtain Software • Adobe Reader • Only specific Adobe Reader versionsare compatible with Grants.gov forms • PDF conversion program • Attachments must be converted to PDF • Grants.gov download software page • http://www.grants.gov/help/download_software.jsp

11. Adobe Reader • Applications opened with an incompatible software (even if not saved) version can become corrupted • Most attempts to use incompatible Adobe software are caught and a cautionary pop-up message presented

12. Make a Submission Plan • Internal organization considerations… • Submission method • Downloadable forms • System-to-system using XML data stream • Services of a commercial service providerhttp://grants.nih.gov/grants/ElectronicReceipt/sp.htm • Application preparation responsibilities • Sharing applications in progress • Internal review & approval process • Internal deadlines Administrators and PIs must work together!

13. Find Opportunity • ALL applications must be submitted in response to a specific Funding Opportunity Announcement (FOA) • NIH simultaneously posts FOAs in: • NIH Guide for Grants and Contracts • Grants.gov Find • Some FOAs focus on specific areas of research and others provide instructions and forms for general grant programs • Use “Parent” FOAs for unsolicitedapplications • http://grants.nih.gov/grants/guide/parent_announcements.htm

14. Finding FOAs for Investigator–Initiated Research • Screen shot for Parent Annoucement NIH Office of Extramural Researchhttp://grants.nih.gov/grants/oer.htm Parent Announcements for Unsolicited Applications

15. Finding FOAs in NIH Guide for Grants & Contracts • Screen shots of NIH Guide at http://grants.nih.gov/grant/guide/ • Enter search string or advanced search NIH Guide for Grants & Contractshttp://grants.nih.gov/grants/guide/ Enter search string or click Advanced Search

16. Finding FOAs in NIH Guide for Grants & Contracts • In Advanced Search screen, enter search parameters and click on Search button. Enter search parameters Click Search

17. Finding FOAs in NIH Guide for Grants & Contracts • Review list of FOAs matching your criteria and find FOA of interest Click Announcement Number link to access FOA information

18. Announcement Notes • Carefully read the entire announcement! • Key dates: • Release/Posted Date: package and instructions available for download; begin preparing application • Application Submission/Receipt/Due Date: applications must be submitted by 5:00 p.m. local time • Opening Date: systems begin accepting applications • Expiration Date: announcement closed

19. Announcement • Follow specific announcement instructions • Pay special attention to Section IV. Application and Submission Information • Includes FOA-specific submission instructions • Instructions in FOA trump instructions in the application guide

20. Announcement Notes • FOAs in the NIH Guide include button to download application from Grants.gov Click Apply for Grant Electronically Click download Verify information

21. Download Application Instructions Sign-up for Agency updates to FOA Download application instructions

22. Download Application Instructions • All FOAs link to the latest set of instructions Instructions available in Word and PDF formats Links to other handy resources

23. Application Guide • Read and follow application guide instructions • Agency-specific instructions are marked with the HHS logo

24. Download Application Package Download forms

25. Complete

26. SF424 (R&R) Data Set • NIH uses the SF424 Research & Related (R&R) data set • Owned and maintained by Grants.gov • Agencies combine form components to meet the data collection needs for a FOA • NIH applications include: • Federal-wide (R&R) components • Agency-specific (PHS 398) components

27. SF424 (R&R) Data Set • SF424 (R&R) Components include: • SF424 (R&R)—An application cover component • Research & Related Project/Performance Site Location • Research & Related Other Project Information • Research & Related Senior/Key Person (Expanded) • Research & Related Budget • Research & Related Personal Data (NIH does not use) • R&R Sub-award Budget Attachment Form • Small Business Technology Transfer (STTR) & Small Business Innovation Research (SBIR) Information

28. SF424 (R&R) Data Set • NIH requires additional information for review of its biomedical research portfolio.NIH 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 • PHS 398 Career Development Award Supplemental Form • PHS Fellowship Supplemental Form • PHS 398 Research Training Program Plan • PHS 398 Training Budget • PHS 398 Training Sub-award Budget Attachment Form

29. Grant Application Package Screen *Application Form Screen - Top* Save the package locally. Make sure you have the correct application package. FOA information is automatically populated and not editable. Mandatory Grants.gov fields highlighted yellow with red box.

30. Grant Application Package Screen Mandatory Documents must be completed prior to submission. Complete the SF424 (R&R) form first – info from this form populates fields in other forms in the package. *Application Form Screen - Bottom* See application guide to determine which Optional Documents you need to include.

31. Prepare Application Highlight form and use the arrow buttons to move forms to the Mandatory Documents for Submission box Highlight form on right and click Open Form or use window scroll bars to access specific form

32. Completing the Application • General Tips: • Follow FOA-specific guidelines (e.g., special attachments, specific section headings) • Follow application guide requirements • Complete the SF424 (R&R) form first – info from this form populates fields in other forms within the package • Do not cut & paste from Word docs into form fields • Some word processors alter special characters (e.g., quotes)

33. Completing the Application • Attachment Tips: • Use simple PDF-formatted files for all attachments • Do not use Portfolio or similar feature to bundle multiple files into a single PDF • Disable security features like password protection • Keep file names to 50 characters or less and use only letters, numbers and underscore (_) • Do not include headers or footers • Section headings as part of the text (e.g., Specific Aims, Background & Significance) are encouraged • Follow guidelines for fonts and margins • Avoid 2-column and “landscape” format PDF Guidelines: http://grants.nih.gov/grants/ElectronicReceipt/pdf_guidelines.htm

34. Avoiding Common Errors • Provide correct Type of Submission, Federal Identifier, and Type of Application information on SF424 (R&R) cover • Type of Submission (box 1) • Do not use Pre-application unless specifically noted in FOA (e.g., X02) • Use Application for first submission attempt • Use Changed/Corrected when submitting again to correct eRA-identified errors/warnings • Federal Identifier (box 4) • If box 1=Application and box 8=New, then leave blank • If box 1=Changed/Corrected and box 8=New, then enter previous Grants.gov tracking number • Otherwise, use Institute and serial # of previous NIH grant/app. (e.g., use CA987654 from 1R01CA987654-01)

35. Avoiding Common Errors • Type of Application (box 8)

36. Avoiding Common Errors Watch for fields that are required by NIH but not marked required on federal-wide forms Contact e-mail on SF424 (R&R) cover Credential field for PD/PIs on R&R Sr./Key Person Profile form Organization for all entries on R&R Sr./Key Person Profile form Contact e-mail is required. Tip: Can use group address or dedicated e-mail box. Contact e-mail

37. Avoiding Common Errors eRA Commons Username must be supplied in Credential field for everyone with PD/PI role Enter PI Commons Username Organization name must be supplied for all listed–NIH required field Enter Organization Name

38. Avoiding Common Errors Include effort > 0 for all Sr./Key in R&R Budget Include effort > zero for all Sr./Key listed. Error: Senior/Key Person {0}, listed on the 424 RR Detailed Budget Page for budget year {1}, must include effort of a value greater than zero in calendar months, academic months, or summer months. Note: use either calendar months or a combination of academic and summer months.

39. Career Development (K) Applications • Research Career Development Award Program (Ks, except K12) applications transitioned to eSubmission February 12, 2009 • Supplemental instructions for Career Development applications added to general Application Guide • http://grants.nih.gov/grants/funding/424/index.htm (Part I, Section 7) • PHS Cover Letter Form is Required • Include list of Referees that will submit letters through Commons http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-029.html

40. Fellowship (F) Applications • Individual National Research Service Award (NRSA) Fellowships (F) applications transitioned to eSubmission August 8, 2009 • Fellowship-specific Application Guide • http://grants.nih.gov/grants/funding/424/index.htm • Designate Sponsor on the R&R Sr./Key Person Profile form • Select Role of “Other”, then indicate “Sponsor” in Other Role category • PHS Cover Letter Form is Required • Include list of Referees that will submit letters (in specific format) through Commons • http://grants.nih.gov/grants/funding/424/416-1reference.doc http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-106.html

41. Training Applications • Institutional Training (Ts) and Institutional Career Development (K12) Program applications transitioned to eSubmission January 25, 2010 • Supplemental instructions for Training applications added to general Application Guide • http://grants.nih.gov/grants/funding/424/index.htm (Part I, Section 8) • Depending on FOA, one of three application packages is used; vary by budget requirements • R&R Budget (only) • PHS 398 Training Budget (only) • R&R Budget and PHS 398 Training Budget • Data Tables – user defined bookmarks included in the attachment will be pulled into application image http://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-008.html

42. Submit early!!! Leave a cushion for unforeseen issues. -Grants.gov & NIH Submit

43. Route Application to AOR • Route your completed application to your institute’s Authorized Organization Representative (AOR) for Submission.

44. eSubmission: Submit Application The Check Package for Errors button only checks for Grants.gov errors. Must submit application for it to go through the NIH validation process. • Save & Submit activates when: • All G.g mandatory fields are completed • All mandatory docs are moved to right • Application is Saved

45. eSubmission: Submit Application Only the AOR can submit application. Enter Grants.gov Username and Password – you must be fully registered to successfully submit.

46. eSubmission: Submit Application Click Sign and Submit Application.

47. eSubmission: Submit Application *top of screen * Print/Save your confirmation screen info *screen cont * Grants.gov Tracking # Date/Time Stamp - due 5 p.m. local time of the applicant org. on submission deadline date

48. On-time Submission • On-time Submission • All registrations must be completedprior to initial submission • Submission must be accepted by Grants.gov with a timestamp on or before 5:00 p.m. local time of submitting organization on submission deadline date • Errors/Warnings must be corrected within the error-correction window

49. Track – Grants.gov AORs can track application status at Grants.gov.

50. Track Status - Grants.gov Notifications • AOR receives Grants.gov e-mails • Receipt • Grants.gov E-mail Verifying Receipt • Validation • Grants.gov E-mail Verifying Successful Submission • OR Rejection Due to Errors • Transmission to Agency • E-mail Sent Once Agency Retrieves Submission • E-mail Sent When Agency Tracking Number Assigned http://grants.nih.gov/grants/ElectronicReceipt/submit_app.htm#submit