NIH

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NIH

• Electronic Submissions

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HOW DOES IT WORK?

• PI downloads the Pure Edge Software from
  Grants.gov.
• PI prints Grants.gov SF424 (RR) Application
  Guide (Version 1 or 2)
• PI finds FOA (Funding Opportunity Announcement)
  through Grants.gov and downloads the application
  package (SF424/RR), which provides program
  specific application requirements.
• These FOAs will typically be available 30 days
  before the deadline

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Searching for the Funding Opportunity Announcement
First click On Find Grant Opportunities
Then, click on Search Grant Opportunities
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Click on Basic Search to search by Keyword, FOA
, and CFDA
If you know the FOA , you type it here.
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Click on the Opportunity Title This opens the
synopsis of the FOA.
Click on How to Apply to download the
instructions and PureEdge Package. You will also
want to click on the Full Announcement link for
the full FOA.
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Click on Download
The Application Instructions indicated here, is
only a resource. You need to open the Full
Announcement on the prior screens for specific
instructions.
Click on Download Application Package to
download the PureEdge Software.
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Enters Application Filing Name and saves to safe
directory on computer. Note A shortened version
of the projects descriptive title is
recommended, as this title is how the project
will be identified in Commons (30-40 characters
max).
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PI must open and complete all forms indicated
under Mandatory Documents. For Optional
Document guidance, refer to Program
Instructions.
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HSC Deadline Policy for NIH Electronic
Submissions ONLY
5-Day
10-Day

• PI emails PreAward FINAL proposal in PureEdge to
  the HSC general mailbox.
• If errors or questions, PI and/or contact point
  on PDS are e-mailed (or telephoned) with
  concerns.
• If no questions or concerns, PreAward submits
  application through Grants.gov.
• Between 2 hours 2 days, Grants.gov formats the
  application and sends an e-mail indicating there
  are errors or that processing has occurred.
• If errors found at NIH, PI corrects and e-mails
  back to PreAward process begins again.

• PI submits required PDS, COI and other forms as
  necessary. PI must print technical file and FOA
  and include in paper package to PreAward. Submit
  DRAFT PureEdge file via email to
  HSC-PreAward_at_salud.unm.edu. All Institutional
  information, budgets and budget justification
  must be final this includes your subawardee
  budget information as well.
• PreAward logs project into PreAward database for
  tracking and reviews as normal.
• PreAward makes comments to PI/contact point
  person if questions or errors detected.

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What Happens When Documents are Complete?

• The PI will e-mail the Pure Edge Software package
  to
• HSC-Preaward_at_salud.unm.edu
• 10 business days prior to submit date when
  everything is complete (except technical portion
  can still be in draft). Moving items over to
  Mandatory Complete Documents for Submission is
  an organizing tool to be used to indicate when
  all information has been completed in each form.
  (Forms can still be opened on this side or moved
  back.)

Email to HSC-Preaward_at_salud.unm.edu Subject
CGA Name-NIH Electronic Submission
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PreAward Personnel Receives Package

• The Pure Edge package is one large unit with many
  subcomponents.
• PreAward Person will open and review every
  Mandatory Form completed by the PI. If something
  is missing or incorrect, the PreAward person will
  notify the PI to make the correction and Re-email
  corrected package again.
• PreAward will focus on the correct institutional
  information, such as correct DUNS Number and
  Credentials (eRA Commons Username). This
  information is critical in relating the
  application to this institution, as well as,
  applying it to the correct PI.

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After PreAward Review

• PI will email FINAL package to PreAward with all
  their forms moved over to Mandatory Documents
  Completed 5 business days prior to submit date.
• PreAward will then Check the Page for Errors
  and press the Submit Button if everything is a
  go.

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Internal Submission Process
Submit signed internal forms (PDS, COI)
Send completed PureEdge file 10 business days
prior to deadline.
Initiate eRA Commons Registration
Send FINAL PureEdge file 5 business days prior to
NIH deadline
Correct errors in Application if necessary
Preaward submits Application to Grants.gov
if errors
Submission Complete
Status in Check Submission Commons
View the Application Image
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After SubmissionWhat Next?

• PreAward receives four e-mail confirmations from
  Grants. Gov. (up to 48 hours to complete)
• The eRA Commons software checks the applications
  against NIH Business Rules list of validation
  checks in detail at http//era.nih.gov/ElectronicR
  eceipt/prepare_app.htm5.
• NIH notifies Signing Official (PreAward) via
  email to check the eRA Commons for results of NIH
  rule checking.
• The final confirmation from Grants.gov tells us
  that the application has been received by NIH.

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When Application is Received by NIH

• There will be an e-mail notification to PI that
  will indicate whether any errors or warnings
  resulted during validation process.
• PI and PreAward log in to eRA Commons and review
  assembled application and list of
  warnings/errors.
• 2 Business days to review if acceptable, no
  action needed, if unacceptable CGA rejects
  application.
• If rejected, PI corrects errors and submission
  process starts again.

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Avoiding Common Causes for Rejected Applications

• File and/or attachments are not in PureEdge or
  PDF format
• Other formats may be allowed through
  Grants.gov but are not accepted by NIH.
• Special characters in file namesFor instance,
  brackets such as "" and "" are not accepted.
• Signature not turned off
• When using Adobe Acrobat (and possibly
  other tools), the signature has to be off when
  you create the originals. Go to the security
  options menu selection in Adobe to ensure the
  signature is off. If you do not have the
  originals, copy the content of the signed
  documents and create a new document. Save this
  document without signing it

• Submitting protected PDF documents
• Make sure security settings are not marked.
  Check Document Security tab under Document
  Properties (directly from the tab) and set the
  security parameters to ensure open access so NIH
  can process the content. Do not password protect
  or mark Content Extraction or Copying Document
  Assembly, etc. as Not Allowed.
• NOTE If you are having trouble fixing the
  PDF settings, simply cut and paste from the PDF
  document into a Microsoft Word document and then
  reconvert (in some cases it may be better to use
  another PDF converter).

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Avoiding Common Causes for Rejected Applications

• PDF documents saved with editable fields
• Do not save PDF files with fields that can
  be changed. If for example, you are using Adobe,
  use your PDF printer tool (Go to File and click
  on Print and select the output device for
  printing to Adobe PDF) to create an Adobe PDF
  print version file. Send the Adobe PDF print
  version file, not the original editable version.
  If you do not have a PDF print tool, click on the
  link below to see a recommended list of tools
  http//www.grants.gov/assets/PDFConversion.pdf

• Missing Commons User ID
• The application did not include the PIs
  Commons User ID in the field called Credential,
  e.g. agency login. This field is not marked as
  required on the government-wide form but is
  required by NIH.
• See full list of most common errors in NIH
  Handout.
• NOTE Applicants have to read the agency
  specific instruction in the application guide to
  know what to include in this field.

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How to Find Your Errors in Commons
First, log into eRA Commons.
Then, click on the Status tab.
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Click on eApplications
Make sure Show Prior eSubmission Errors button
is checked. Everything else stays the way it is.
Make sure there are no dates in the date fields.
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eRA Commons Errors
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Complete Submission
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Preparation Checklist

• Ensure PI has NIH E-Common user ID, remembers
  password has filled in all personal info.
• Ensure PI has downloaded PureEdge software
  (free).
• Ensure PI has PDF Software and is trained in use.
  (Recommend Adobe 7.0 Technical - 40 at CIRT)
• Ensure PI is using the correct DUNS number for
  UNM 868853094.
• Ensure PI Always Reads Application
• Ensure PI attends HSC training or reads
• http//era.nih.gov/ElectronicReceipt/training.
  htm and practices the demo application.
• Ensure HSC timelines are followed.

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E-Commons Fill in all Personal Info After
Registered
Step through and fill out
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Completing the SF424 (RR)

• Consolidates forms used by Federal grant making
  agencies so applicants can use familiar forms
  regardless of the program or agency.
• FOA will indicate which components are required,
  and which are optional.
• Not all components will be used for FOA.
• You have to complete a new SF424 for each
  project, and you may not use ANY sample form
  package.

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SF424 (RR) Components

• Application Package Header
• SF424 (RR)An application cover component
• Research Related Project/Performance Site
  Location(s)
• Research Related Other Project Information
• Research Related Senior/Key Person Profile
  (Expanded in 2a Version)
• Research Related Budget
• RR Subaward Budget Attachment Form

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SF424 (RR) - Cover Component Avoiding Errors -
A Few Data Issues
Non-Competing Continuations are processed through
eRA Commons

• Item 8, Type of Application--New Terminology
• New A new application is expected to be
  substantially different in content and scope with
  more significant differences than are seen in a
  resubmitted application
• Resubmission is equivalent to a Revision (a
  revised or amended application). Only two
  resubmissions are allowed. A 3rd Resubmission
  will NOT be considered, however, there is no
  longer a 2 year limit for resubmissions.
• Renewal is equivalent to a Competing Continuation
• Continuation is for non-competing continuations
  for only select agencies. It is equivalent to a
  Progress Report, so for the purposes of NIH and
  other PHS agencies, the box for Continuation will
  not be used and should not be checked.
• Revision is equivalent to a Competing Supplement
  (after initial award its used to request
  additional support for current period)
• Preapplication Do not use unless specifically
  instructed
• Terminology cross-walk provided in instructions

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SF424 (RR) - Cover ComponentAvoiding Errors
More Data Issues

• Item 5, Organizational DUNS Must match DUNS in
  eRA Commons profile for Applicant Institution
• Item 14, Congressional District Should be listed
  in Alpha-numeric form with 2-letter State
  designation, a dash, and 3-digit district number
  i.e. NM-001, or NM-003, or NM-all
• Use Organizational DUNS (not any DUNS for a
  specific individual)
• If Organization has multiple DUNS numbers, pick a
  single one for grants

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SF424 (RR) - A Cover ComponentAvoiding Errors
Final Data Issues

• Item 10, CFDA Number Title
• CFDA Catalog of Federal Domestic Assistance
• Fields are pre-filled based on the specific
  announcement
• Fields may be blank for applications in response
  to an FOA that includes multiple CFDAs
• When multiple CFDAs are listed in an
  announcement, a CFDA will be assigned by the eRA
  system once a specific Institute assignment is
  made

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SF424 (RR) Cover Component Page 1

• Similar to PHS 398 Face Page
• Provides general information about the applicant
  organization and contact information for the
  PD/PI and AO (PreAward)
• Provides application- specific information
• Federal Identifier in field 4 is only for
  renewals or submissions that have had previously
  assigned grant numbers. (8 character limit i.e.
  CA123456)
• Note Field 11 (descriptive title) has 80
  character limit

For Multi-PI Projects, Contact PI Goes Here
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SF424 (RR) Cover Component Page 2 Note In the
Position/Title field for your Authorized
Representative, use an ampersand in place of the
word and to remain within character
limitations i.e. Contract Grant
Administrator. Also Do not use the Plus-4
suffix on our zip code (exceeds character limit)
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Component Research and Related
Project/Performance Site Locations

• Equivalent to the PHS 398 Form Page 2 Performance
  Site section
• Collects individual data for up to 8 locations
• gt8 locations information is provided in an
  attachment (not structured data, just text) and
  uploaded in the Additional Locations field
• Format for the gt8 attachment available on SF424
  (RR) Forms Page http//grants.nih.gov/grants/fun
  ding/424/index.htm

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Project/Performance Site Location(s)
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Component Research and Related Other Project
Information

• Includes information on involvement of Human
  Subjects, Vertebrate Animals, Environmental
  Impact, Foreign Involvement
• Caution Human Subjects number is alpha-numeric
  and has a ten character limit. Do not leave a
  space between letters and numbers or you may
  exceed the character limit for this field.
• Includes separate PDF attachments for
• Project Summary/Abstract (Description)
• Project Narrative
• More detail about contribution to Public Health.
  NIH will use this upload for the Relevance
  section of the Abstract
• Separate component developed for Research Plan
• Bibliography References (previously section G.
  Literature cited in Research Plan)
• Facilities Other Resources
• Equipment Resources

Equivalent to PHS 398 Resources Format Page (Used
to be 1 document)
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Other Project Information
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Component Research and Related Senior/Key Person

• Captures personal profile information on the
  PD/PI, Key Personnel, and Other Significant
  Contributors
• Alphabetical order is recommended but not
  required
• Captures structured data for 8 individuals (PI
  and 7 others)
• Version 2A has second page for expanded Senior
  Key Personnel (such as for multiple PI
  applications)
• gt8 information is provided in an attachment (not
  structured data, just text)
• Format for the gt8 attachment available on SF424
  Version 2A (RR) Forms Page http//grants.nih.gov
  /grants/funding/424/index.htm

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Data Issues Research and Related Senior/Key
Person

• Credential Must enter the eRA Commons User Name
  - for the PD/PI, this is a mandatory field for
  NIH submissions. (1 Validation Error to date)
• Biosketch is attached for each person
• Same data requirements exist however, page
  limits slightly change to just 4 pages and it
  must be converted to a PDF file
• Eliminated the 2-page limit for subsections
• Note, Attachment for Current Pending Support
  (a.k.a. Other Support) will not be used at time
  of submission unless specified in FOA. For most
  applications, this will continue to be a
  Just-In-Time submission

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Senior/Key Person Profile
Enter PI eRA Commons User Name
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Component Senior Key Personnel
Expanded

• The new Expanded form allows for the collection
  of up to 40 Senior Key Persons in structured data
  fields.
• For more than 8 Senior Key Persons you will be
  instructed to open the supplementary form-in-form
  for each additional 8 Senior Key Persons up to 40
• The form-in-form model is similar to how the RR
  Subaward Budget form works you will attach
  PureEdge forms within the PureEdge form
• Do NOT convert the supplemental forms to PDF
  before attaching (these are PureEdge forms)
• Beware Grants.gov will still allow you to attach
  additional Senior Key persons in 1 PDF
  attachment, but NIH will not!

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Note New Page
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Component Research and Related Budget, Sections
A B

• Personnel separated into 2 sections
• A. Senior/Key Personnel
• Allows 8 as named individuals structured data
• gt8 information is provided in an attachment (not
  structured data, just text)
• Info for PD/PI must be entered, even if 0
• Note NIH Salary cap increase to 186,600
• B. Other Personnel
• Postdocs, Grad Students, Undergrads captures
  only
• NIH will request more detail in Budget
  Justification
• (See specific application instructions)

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Component Research and Related Budget, Sections
A B

• Business Process Change from Percent Effort to
  Person Months
• Must enter in Calendar months, either Academic
  and/or Summer for all Senior/Key Persons
• Incorporated this business process change
  throughout--See 4/2006 Interim change to PHS 398
  PHS2590 Progress Report, including Budget
  Pages, Other Support documentation, Key Personnel
  Reports, etc. Announced 4/7/2006 in NIH Guide
  Notices.
• FAQs and a Calculator available at
  http//grants.nih.gov/grants/policy/person_months_
  faqs.htm

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RR Budget Sections A B
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Component Research and Related Budget, Sections
C E

• C. Equipment
• Allows itemization of up to 10
• gt10 equipment items details provided in an
  attachment total funds requested in attachment
  are entered in Line 11
• D. Travel
• RR separates out Domestic Foreign
• This will not change any NIH policy/practice. We
  will continue to award as a single category.
• E. Participant/Trainee Support Costs
• Will not be used by NIH unless specifically noted
  in an announcement
• Tuition Remission will continue to be included in
  Section
• F. Other Direct Costs

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RR Budget Sections C E
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Component Research and Related Budget, Sections
F - K

• F. Other Direct Costs
• Itemizes Supplies, Publication Costs,
  Consultants, ADP/Computer Services, Consortium
  Costs, Equipment or Facility Rental/User Fees,
  Alterations Renovations
• This section may also be used to account for
  patient care costs tuition remission (refer to
  agency-specific instructions)
• G. Total Direct Costs (A F)
• H. Indirect Costs
• I. Total Costs (GH)
• J. Fee
• K. Budget Justification a PDF text attachment
• Next Period Button At the top of the last
  budget page. All required data fields in this
  component must be entered before this button is
  available. This includes the Budget Justification.

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RR Budget Sections F - K

• Section F Other Direct Costs
• Item 5 should show grand total of Subaward
  dollars
• Patient Care Fees and Tuition Remission can be
  listed in Items 8 and 9
• All budget figures should be in whole numbers

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CUMULATIVE BUDGET
Applicant prepares a detailed budget for every
budget period There is no summary budget page
like the PHS 398 Form Page 5 The detailed
Cumulative budget is system-generated
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Component RR Subaward Budget Attachment Form

• Use for detailed budget from any consortium
  grantee only when the prime is submitting
  detailed budget
• Do not use if prime is submitting Modular Budget
• Consortium grantee(s) must have PureEdge
  installed
• Allows up to 10 separate budget attachmentsone
  for each consortium grantee (over 10 add to
  Budget Just.)
• Applicant sends the RR budget component to the
  consortium grantee for completion it is returned
  to the applicant applicant attaches it in this
  component
• Applicant still needs to include the total costs
  for all consortiums in their own detailed budget,
  Section F.5

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If more than 10 Subawardees add in Budget
Justification
Note Remind your Subawardees that the
designation of PI should only be used if the main
project is a multi-PI project.
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Agency-specific Components (a.k.a. PHS 398
Components)

• PHS 398 Cover Letter File
• PSH 398 Cover Page Supplement (supplements the
  RR Cover)
• PHS 398 Modular Budget
• PHS 398 Research Plan
• PHS 398 Checklist

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Component PHS 398 Cover Letter

• Provides a text attachment for a cover letter
• Should not be scanned in. Create as Word
  Processing file then convert to PDF so that NIH
  can data mine if needed
• Instructions to applicant remain the same as in
  the PHS 398
• Is stored separately in the eRA Grant Folder, not
  as a part of the main application grant image
• Is seen only by appropriate NIH staff not peer
  reviewers
• Required when submitting a Changed/Corrected
  Application after submission date
• If revising the cover letter for a
  Changed/Corrected application, include all
  previous submitted letter text

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Component PHS 398 Cover Page Supplement

• Companion form to the (RR) Cover Component
• For the PI, includes New Investigator Code
  Degree fields (Note, PD/PI info at the top is
  pre-filled. Provided here for reference only.)
• Includes Clinical Trial Phase-III defined
  clinical trial indicators
• For the Business Official Contact, includes
  complete contact information (title mailing
  address missing from section 5 of the RR Cover)
• Includes Human Embryonic Stem Cells section

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PHS 398 Cover Page Supplement Page 1
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PHS 398 Cover Page Supplement Page 2
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PHS 398 Modular Budget

• Provides data entry for each budget period for
• Direct Costs (less Consortium FA)
  Consortium FA Total Direct Costs
• B. Indirect Costs
• Calculation section
• C. Total Costs
• (A B)

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MODULAR CUMULATIVE BUDGET
Cumulative Budget is system-generated Budget
Justification PDF text attachments for
Personnel, Consortium and Other
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Component PHS 398 Research Plan

• Separate PDF attachments for each section
  (designed to maximize benefits of system
  validations to accommodate bookmarking of the
  image)
• Same formatting requirements in the PHS 398
  continue here margins, page limits, etc.
• Appendix Material
• Allows up to 10 separate attachments
• Will be stored separately in the eRA Grant
  Folder, not as a part of the main application
  grant image
• Will be accessible to appropriate NIH staff and
  peer reviewers
• Use links to on-line journals for publication
  references when available. See Guide Notice
  http//grants.nih.gov/grants/guide/notice-files/NO
  T-OD-06-051.html

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Component PHS 398 Research Plan Helpful Hints

• Create as a single document using any word
  processing software. Separate only at the end
  before uploading.
• Do not include headers or footers
• Do include a section heading as part of the text
  i.e., Specific Aims, Background Significance
• Avoid 2-column format for text (difficult for
  reviewers to read electronically)
• Avoid scanning when text has been generated using
  a word processing tool (Specific Aims, etc.)

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PHS 398 Research Plan
Note Leadership Plan Attachment Required For
Multi-PI Projects
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Component PHS 398 Checklist

• Captures additional information currently in the
  PHS 398 Checklist
• Change of PI
• Change of Grantee Institution
• Inventions Patents
• Program Income
• PDF text upload for an Assurances/Certifications
  explanation

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PHS 398 Checklist Page 1
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PHS 398 Checklist Page 2
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What Will a Completed Application Look Like?

• After submission, the eRA system will
• Assemble the grant image
• Generate a Table of Contents
• Include headers (PI name) footers (page
  numbers) on all pages
• Sample Document eRA Assembly of the SF424 (RR)
  Application
• Includes a sample Table of Contents, and
• a chart cross-referencing the location in the
  forms components for each piece of the grant
  image.
• http//grants.nih.gov/grants/funding/424/index.ht
  m

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Cross Terminology
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Advice From Experience Important Document
Creation Recap

• Tips for creating PDF files
• Use no special characters in file names
• Do not add headers and footers/NIH will generate
• Do not write-protect the PDF file disable all
  security features in the PDF document
• Avoid scanning text attachments (particularly
  abstract specific aims). Generate using word
  processing package and then convert to PDF.
• For more information see Avoiding Common Errors
• http//era.nih.gov/ElectronicReceipt/avoiding_erro
  rs.htm

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Advice From Experience

• Register in eRA Commons now to be prepared
• Allow time for corrections
• Take time to review the image
• When calling the Help Desk, be prepared to
  provide identifying information for your
  application and organization
• Only the AOR/SO (PreAward) is allowed to submit

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Business Process Change Option to
Review

• PI strongly recommended to view grant image
  within 2 weekdays of availability in the NIH
  Commons
• Only AOR/SO (PreAward) has authority to Reject
  the image if there are errors
• If no rejection within 2 weekdays of image
  availability, application automatically proceeds
  to next step in NIH processing
• http//grants.nih.gov/grants/guide/notice-fil
  es/NOT-OD-06-055.html

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Other Tools

• UNMHSC PreAward Web-site http//hsc.unm.edu/co
  ntroller/preaward/
• Frequently Asked Questions http//era.nih.gov/Elec
  tronicReceipt/faq.htm
• Electronic Submission Timeline http//era.nih.gov/
  ElectronicReceipt/strategy_timeline.htm
• Avoiding Common Errors http//era.nih.gov/Electron
  icReceipt/avoiding_errors.htm
• Communications and Outreach Resources (brochures,
  presentations, drop-in newsletter articles)
  http//era.nih.gov/ElectronicReceipt/communication
  .htm

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Finding Help eRA Commons/Grants.gov

• If help is needed with the eRA Commons
  registration or review process in the eRA Commons
  after submission through Grants.gov
• Check the resources available on the Grants.gov
  website first (http//grants.gov/ )
• Grants.gov help is also provided by the following
  office
• Grants.gov Customer Support
• Contact Center Phone [phone]
• Business Hours M-F 7 a.m.-9 p.m. EST
• Email support_at_grants.gov
• Check the resources available on the eRA Commons
  website
• https//commons.era.nih.gov/commons/index.jsp
• eRA Commons Help DeskPhone 301-402-7469
• Toll Free 866-504-9552 TTY
  301-451-5939
• Business hours M-F, 7am-8pm EST
  Email commons_at_od.nih.gov
• Web support http//ithelpdesk.nih.gov/eRA/

New Enter your own help ticket!
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THANK YOU

• Call Your Contract Grant Administrator in
  PreAward for Help 272-6264
• QUESTIONS???