Electronic Submission

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Electronic Submission

• Applying for NIH Grants
• A Hands-On Guide
• NIH Electronic Submission Team
• December, 2006

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Electronic Submission to NIH Through Grants.gov
Prepare to Apply
Find Opportunity and Download Application Package
Prepare Application
Submit Application to Grants.gov (AOR submits)
Check Submission Status in Commons
Check Assembled Application
Submission Complete
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Two Systems Working Together

• Grants.gov the Federal governments single
  online portal to find and apply for Federal grant
  funding.
• Used by all 26 Federal grant-making agencies.
• eRA Commons the 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.

IMPORTANT Each system has its own registration
and validations requirements.
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Prepare to Apply

• Registration Grants.gov
• Applicant Organization only (one time)
• Register the Authorized Organization Reps (AORs)
  who can officially submit on behalf of your
  organization
• There are several steps and entities in the
  process. Registration can take 2 4 weeks up
  to 8 for newly established businesses

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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

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Prepare to Apply

• Registration - PI
• PIs do not register with Grants.gov
• PIs need a single eRA Commons account with PI
  role (may also have IAR role if reviewer)
• PIs have one account that follows them throughout
  their careers
• PI account may not be combined with any other
  roles (i.e. SO, AO, AA etc.)
• Account may be affiliated with multiple
  organizations
• Allow 4 - 5 business days to complete

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Prepare to Apply

• Obtain Software

• PureEdge software is required for forms-based
  submission.
• The software may be downloaded from Grants.gov
  http//www.grants.gov/resources/download_software.
  jsp
• Options for Mac users outlined at
  http//era.nih.gov/ElectronicReceipt/files/mac_opt
  ions.htm
• Free Citrix service, PC Emulation, PureEdge
  viewer
• PDF Conversion Programs non-PureEdge
  application attachments must be converted to PDF
  documents.
• List of programs http//www.grants.gov/resources/
  download_software.jsppdf_conversion_programs

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Find Opportunity Download Package
Office of Extramural Research home
pagehttp//grants.nih.gov/grants/oer.htm
Select Funding Opportunities in the NIH Guide for
Grants and Contracts.
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Find Opportunity Download Package
The NIH Guide for Grants and Contractshttp//gra
nts.nih.gov/grants/guide/index.html
Enter search criteria or Select Advanced Search
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Find Opportunity Download Package
The Advanced Search feature provides a lot of
options to narrow your search. Enter search
criteria.
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Find Opportunity Download Package
Identify an FOA of interest and download the
application package.
Select the FOA number to open the announcement.
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Find Opportunity Download Package
Button added to the NIH Guide announcements
allows access to the Grants.gov application
package directly from the NIH Guide.
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Download Application Package
Download FOA instructions and application package
from Grants.gov
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Register to receive notification of changes.
Download the application instructions and package
from this location.
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Prepare Your Application
All mandatory Grants.gov fields are highlighted
and denoted with an asterisk. See Application
Guide for additional NIH requirements.
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Prepare Your Application
All Mandatory Documents must be completed in
order to submit.
Refer to the agency specific instructions for
which Optional Documents are required.
NIH will use agency-specific forms labeled PHS
398.
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Prepare Your Application
Select this icon to receive field-specific help.
The DUNS Number in the application must match
the one used for the institution's Grants.gov
registration and the eRA Commons account.
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RR Budget
Business process change from percent effort to
person months. FAQs and a Calculator available
at http//grants.nih.gov/grants/policy/person_mon
ths_faqs.htm
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Applicant sends the RR budget component to the
consortium grantee for completion it is returned
to the applicant applicant attaches the PureEdge
form to this component.
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PI eRA Commons User ID must be supplied here for
successful submission. This is one of the most
common app errors.
Enter PI Commons User ID
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Expanded form allows for collection of up to 40
Senior/Key persons using structured fields. Each
attachment contains 8 Senior/Key persons.
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PHS 398 Cover Letter
Required for all applications submitted after the
receipt deadline. If revising the cover letter
for a Changed/Corrected application, include all
previous submitted cover letter text.
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Separate attachments maximize benefit of system
validations accommodate image
bookmarking. Appendix material.
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Prepare Your Application
Select Save to save the application package to
your local hard drive.
Application will be saved locally using this file
name. If prepared by the PI, it must be routed to
AOR for submission.
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Submit Application
AOR

• Submit button will not become activated until
• All Mandatory Fields have been completed.
• All Mandatory Documents have been completed and
  moved to the Completed box.
• All applicable Optional Documents have been
  completed and moved to the Completed box.
• Only an AOR/SO can submit a grant!

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Submit Application
AOR
Enter your Grants.gov username and password you
must be fully registered to successfully submit.
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Submit Application
AOR

• Scroll to the bottom of the confirmation screen
  to receive
• Grants.gov Tracking Number
• Date/Time Stamp - grants are due 5 p.m. local
  time of the applicant org. on day of submission
  deadline.

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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 (only for
  error-free applications that result in an image)

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Email Notifications eRA Commons

• AOR/SO, PI and contact receives emails
• Validation complete, check assembled application
• Validation complete, check assembled application
  Warnings only
• Action required Errors and/or Warnings
• Action required Missing or invalid eRA Commons
  Username (only sent to AOR/SO)
• Action required System Error
• SO has refused electronic application (rejected)
• NIH has auto-verified the application (after
  2-day viewing window)

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Correction Window
Limited Time Only

• As everyone is learning the new process, NIH will
  allow changed/corrected applications to be
  submitted to address errors/warnings in the five
  business days after the receipt date.
• All registrations must be completed prior to
  initial submission
• Initial application submission to Grants.gov must
  have been made by 500 p.m. local time on receipt
  date
• Changes must be made in response to identified
  errors/warnings
• Cover letter required

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eRA Commons

• After the AOR submits
• Whats Next?

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Advice From Experience

• Most common problems with applications to date
• The credential field on the RR Senior/Key Person
  Profile component MUST contain the PIs assigned
  eRA Commons User ID.
• When entering the PD/PI name on the SF424 (RR)
  form, box 15, remember not to enter a SPACE
  after the last letter in the first name and last
  name.
• All non-PureEdge attachments MUST be in PDF
  format Most problems with the final assembled
  application image are because of PDFs not
  converting as anticipated. Check your PDF
  conversions before attaching them to the
  application.
• When submitting or resending a corrected
  application, please be aware that the type of
  application box 8 will never change throughout
  the submission.

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eSubmission in Commons
The PI and AOR/SO Perspectives

• Check Application Status
• View Errors/Warnings
• Check Assembled Application

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PI View Check Errors/Warnings
PI
From the Status screen use the Grants.gov
tracking number to identify the submission and
follow the link to view errors/ warnings.
Application Status shows eSubmission Error
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PI
Errors and warnings listed at the top of the
status screen.
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Errors Warnings

• Errors stop the submission process and must be
  addressed before the application can move on to
  Receipt Referral.
• Warnings may be fixed at the applicants
  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.

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PI View Check Assembled Application
PI
Error-free applications result in an assembled
application image Accession Number assigned.
Follow link to view image.
Application Status shows Received
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Check Assembled Application
PI
The application image, appendices and cover
letter can be found in Other Relevant
Documents. Click links to access documents.
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Check Assembled Application
PI
Applicants have two weekdays to view the
assembled application. PIs must work through SO
to reject application if system issue found.
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AOR/SO View-Querying for Applications
SO
Since AOR/ SOs have access to all institutional
applications, their view provides the ability to
limit the list of applications they see.
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AOR/SO View-Querying for Applications
SO
1
2
3
4
5

• Click on the Status Tab 3. Select Show Prior
  eSub Errors
• Click on eApplications on the left menu 4. Remove
  From To Received Dates
• 5. Click Search

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AOR/SO View Check Errors/Warnings
SO
Use the Grants.gov tracking number to identify
the submission and follow the link to view
errors/ warnings.
Application Status shows eSubmission Error
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Viewing Errors/Warnings
SO
Depending on the errors found, the system may not
be able to list all errors at once (e.g. DUNS
error prevents further processing).
AOR/SO must ensure all errors are corrected and
submit the entire changed/ corrected application
to Grants.gov.
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Checking the Assembled Application
SO
Accession number assigned when application image
is generated. Follow link to view image.
eApplication Status shows Pending Verification
within 2-day viewing window, Submission
Complete after it moves forward and Refused if
Rejected by AOR/SO.
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Check Assembled Application
SO
The application image, appendices and cover
letter can be found in Other Relevant
Documents. Click links to access documents.
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(No Transcript)
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Rejecting an Application
SO
The AOR/SO can reject an application from the hit
list if system issue has affected the image.
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Rejecting an Application
SO
Comment required to complete the rejection
process comment sent in notification to AOR/SO
and PI of rejection.
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Additional Resources
Electronic Submission Assistance
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Finding Help

• Grants.gov
• Grants.gov registration, submission PureEdge
  questions http//www.grants.gov/CustomerSupport
• Grants.gov Customer Service
• E-mail support_at_grants.gov
• Phone [phone]
• eRA Commons
• eRA Commons registration and post submission
  questions
• Support Page http//era.nih.gov/commons/index.cfm
  
• eRA Commons Help Desk
• Web support http//ithelpdesk.nih.gov/eRA/
• Phone [phone] or 301-402-7469

Enter your own support ticket!
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Finding Help
NIHs overall plan for electronic receipt,
application preparation NIH Grants Information
E-mail grantsinfo_at_nih.gov Phone
301-435-0714 Electronic Submission and the SF424
(RR) steps, news, training, presentations,
resources etc. Website http//era.nih.gov/Electro
nicReceipt Listserv(s) http//era.nih.gov/Electro
nicReceipt/listserv.htm Join for news,
information and the latest updates!
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Electronic Submission Website
Electronic Submission Information http//era.nih.
gov/ElectronicReceipt/
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Resources Links

• eSubmission Website Info, training, resources,
  news, etc. http//era.nih.gov/ElectronicReceipt/
• SAMPLE Application Guides Packages (may NOT be
  used for submission) http//grants.nih.gov/grants/
  funding/424/index.htm
• Video training library - A Walk Through the SF424
  (RR) 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_Gra
  nteeRegistrationProcess.htm
• Grants.govs How to Complete An Application
  Package Demo http//www.grants.gov/images/Applica
  tion_Package.swf
• Frequently Asked Questions http//era.nih.gov/Elec
  tronicReceipt/faq.htm
• Tips on 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

• Grants.gov Registration http//www.grants.gov/appl
  icants/get_registered.jsp
• eRA Commons Registration http//era.nih.gov/Electr
  onicReceipt/preparing.htm
• NIH Guide for Grants Contracts (Find FOAs)
  http//grants.nih.gov/grants/guide/index.html
• PureEdge Software (free) http//www.grants.gov/res
  ources/download_software.jsppureedge
• PDF Software Resources http//www.grants.gov/agenc
  ies/software.jsp3
• MAC Citrix Software (free) http//www.grants.gov/r
  esources/download_software.jspnon_window
• Generic Validations Listing http//era.nih.gov/Ele
  ctronicReceipt/files/GenericValidations.htm
• eRA Commons Check status, review application
  image https//commons.era.nih.gov/commons/
• OER Home Page http//grants.nih.gov/grants/oer.htm
  
• Transition Timeline http//grants.nih.gov/grants/g
  uide/notice-files/NOT-OD-06-035.html

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Collecting User Feedback

• NIH has established an e-mail address to collect
  comments and/or suggestions from users
  NIHElectronicSubmiss_at_mail.nih.gov
• Share your experiencessuccesses and challenges
• Share specific suggestions for improvement
• What resources are most useful (Targeted e-mails,
  FAQs, Avoiding Common Errors, Commons Alerts,
  Training tools)

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eRA Commons

• Grant Administration in Commons

We dont often have the time to cover the
remaining slides in class, but it is great
information so take some time to read on!
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Administration after Submission

• eRA Commons Features
• Grant Status
• Just In Time (JIT)
• Electronic Streamline Non-competing Award Process
  (eSNAP)
• Closeout
• No-Cost Extension
• Financial Status Reports (FSR)
• Internet Assisted Review

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GRANT STATUS
Search screen allows the SO to narrow the list of
results. PI search automatically selects all
applications belonging to the PI.
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STATUS Hit List
2
1
1. Application ID is the link to the application
details. 2. Right side of hit list are links to
other Commons functionality.
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STATUS Details
Only the PI can see the priority score,
percentile, and summary statement.
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Just In Time

• Capability to electronically submit Just-In-Time
  pieces of the application (Other Support, IRB
  and/or IACUC Approval Dates, Human Subjects
  Education info)
• Not an indication that application will be
  awarded
• Wait for a request to submit the information
• You should receive either a system-generated
  email or be contacted by the Grants Management
  Specialist (GMS)
• Consult assigned GMS to be sure

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Just In Time
Click on the JIT link in the Actions column of
the Status hit list.
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Just In Time
PI can enter the Other Support File, IRB Date,
IACUC date, and HS Education information, but the
SO must submit the information to NIH.
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eSNAP

• Electronic Streamline Non-competing Award Process
• Electronic submission of annual SNAP Progress
  Reports
• First NIH-wide eSubmission system
• Most non-competing grants at NIH are streamlined
• SO can enable the organization to submit eSNAPs
• Benefits
• Submission deadline is 45 days prior to start
  date instead of 60 days
• Reduces duplicate data entry
• Testing a streamlined business process for
  research involving Vertebrate Animals and/or
  Human Subjects Research

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eSNAP

• Electronic Streamline Non-competing Award Process
• PI or designated assistant can begin the process,
  upload progress report, and enter any or all of
  the administrative data
• eSNAP can be routed to staff for approval
• SO submits the completed eSNAP to NIH
• SO can delegate submit privileges to any or all
  PIs at the organization

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eSNAP
Begin the eSNAP either from the Action column of
the Status Hit List or the eSNAP item on the menu
bar.
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eSNAP Hit List
PI hit list shows all grants and applications
with the Grant Number of eSNAP-eligible grants
hyperlinked.
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Close Out

• Electronically submit required Closeout documents
  for applications in Closeout status
• GM Specialist at NIH must mark the grant ready
  for close out before link appears in Commons
  (contact assigned specialist if records are not
  appearing)
• Items are
• FSR
• Final Progress Report
• Final Invention Statement

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Close Out
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No-Cost Extension

• Electronically submit no-cost extension
  notification to NIH
• Grants in the last support year of the project
  period may be extended 1 time, only by the SO,
  for 6, 9, or 12 months
• Extension may not involve any additional costs
• Email notification sent to NIH Grants Management
  staff when SO processes the extension

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No-Cost Extension
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Financial Status Report

• Statement of expenditures usually due within 90
  days from end of budget period or project period
• Schedule for submitting FSR is normally specified
  in the Notice of Grant Award
• Can be searched by individual grant number, FSRs
  for the institution, or status of the FSR

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FSR Search Screen
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FSR Hit List
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Internet Assisted Review

• IAR
• The Internet Assisted Review (IAR) module allows
  reviewers to submit critiques of grant
  applications and view each other's reviews before
  the actual meeting.
• Scientific Review Administrators (SRA) and Grants
  Technical Assistants (GTA) are able to view all
  critiques and generate preliminary score reports
  and pre-summary statement bodies.

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Internet Assisted Review
Reviewers use this screen to submit their
critiques and preliminary scores. Individual
critiques (in Word or text format) are uploaded.
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Thank You!