Preparing NIH Electronic Grant Applications Last updated 6282009

1
Preparing NIH Electronic Grant Applications
Last updated6/28/2009
2
Welcome

• Presenters
• Kenneth Kratz, PhD, Director, Office of Research
  Services
• Kkratz_at_lsuhsc.edu
• [phone]
• Nicole G. Barron, MBA, Coordinator of Grants and
  Development, Office of Research Services
• Nbarro_at_lsuhsc.edu
• [phone]

3
Agenda

• Overview of the Electronic Submission Process
• Walk Through the SF424 (RR) Application
• Lessons Learned
• Question Answer

4
Overview of Electronic Submission
5
(No Transcript)
6
(No Transcript)
7
Two Systems Working Together

• Grants.gov LSUHSC-NO is already registered
• Federal governments single online portal to find
  and apply for Federal grant funding
• Used by all 26 Federal grant-making agencies
• eRA Commons LSUHSC-NO is already registered
  PIs are registered by Office of Research Services
• Make sure that your listed address in Commons
  matches the address listed on grant applications!
• Also ensure that your position title (Assistant
  Professor, Associate Professor, etc.) is current.
• 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

8
Prepare to Apply

• Registration eRA Commons PD/PI
• PIs have one account that follows them throughout
  their careers the same account may be
  affiliated with multiple organizations.
• If you affiliated with another institution,
  please provide us with your Commons user id so
  that we can affiliate you here.
• Allow 4 - 5 business days to complete.

9
Prepare to Apply

• Download Software
• Grants.gov requires the use of very specific
  Adobe Reader versions in order to open, download
  and save the application forms. Currently,
  applicants are advised to use Adobe Reader 8.1.3
  or higher. Stay tuned to the Download Software
  page on the Grants.gov Web site for changes.
• In most circumstances, a pop-up warns users if
  they are using the wrong Adobe Reader version.
  Using the wrong version could corrupt your
  application.

10
Prepare to Apply

• Internal review and approval process
• At least 10 working days in advance of an
  application deadline, PIs should provide to the
  Office of Research Services
• A double-sided yellow routing sheet, completely
  filled out and signed by PI, Business Manager,
  and Department Head
• Yellow routing sheets without keywords will be
  returned without review.
• A project abstract (draft acceptable)
• A face page (including a signature line for
  institutional official)
• A budget
• A budget justification
• A checklist page (or other document showing FA
  calculations)
• Explanation of FA rate paid by sponsor (if less
  than negotiated rate)
• Information on regulatory (IRB/IACUC, etc.)
  approvals (if applicable)
• Consortium letter(s) (if applicable)
• SBIR/STTR letter(s) (if applicable)

11
Prepare to Apply

• Internal review and approval process (continued)
• Please do not submit extraneous paperwork (other
  portions of the application) they may be
  discarded
• An application will not be electronically
  submitted unless the paperwork referenced above
  has been approved and is on file with our office.
• 5 working days in advance of an application
  deadline, PIs should submit to the Office of
  Research Services a complete Grants.gov
  submission.  Acceptable forms of transmission
  include
• E-mail (nbarro_at_lsuhsc.edu Kkratz_at_lsuhsc.edu)
• CD
• DVD
• Flash drive
• Once an application has been retrieved by the NIH
  and is available for viewing by the PI and SO/AOR
  in Commons, it is the PIs responsibility to,
  within 2 weekdays, send an e-mail to Ken Kratz
  and Nicole Barron either requesting that the
  application be rejected, or agreeing to allow the
  application to proceed to receipt and referral.
• Applications will be reviewed, approved,
  submitted, and otherwise handled on a first-come,
  first-served basis.

12
Choose Submission Method

• Forms-based submission
• This is the option LSUHSC-NO is using right now.
• System-to-System using XML data stream
• We are examining this option with regard to
  PeopleSoft
• Use commercial service provider to submit
  applications on behalf of the organization

13
Investigator Initiated Research

• Since all applications must be submitted in
  response to a Funding Opportunity Announcement
  (FOA) the NIH has created Parent FOAs
• Apply using the Parent electronic application
  package for your chosen mechanism

14
Office of Extramural Researchhttp//grants1.nih.g
ov/grants/oer.htm
New Parent FOA page added for quick reference
to unsolicited applications.
15
Enter search criteria or Select Advanced Search
16
Select the FOA number to open the announcement.
17
Find Opportunity Download FOA

• Within the announcement Click the Apply for
  Grant Electronically button
• Note you cannot apply until the opening date
  shown on the FOA.
• Note the FOA takes precedence over the
  Grants.gov application guide.
• This will take you directly to Grants.gov so you
  may download the package

18
Download FOA From Grants.gov
19
Download Application Instructions
Important Tip Sign up to receive notification of
changes to the FOA!
Download the application and instructions from
this location.
20
Select Save to save the application package to
your local hard drive or network drive. You
will receive a warning message each time you save
until all required data is entered.
21
A Walk Through theSF424(RR)
22
Features of the SF424 (RR)

• A complete application to NIH will include a
  combination of (RR) components PHS 398
  components.
• The applicant must complete the application using
  the package attached to that particular FOA.
  Information from the specific FOA is used in the
  forms.
• Note that there is no version control built into
  the Grants.gov system take care in developing a
  sound naming convention for applications.

23
Features of the SF424 (RR)

• Applicants cannot use any sample form packages or
  form packages from other announcements.
• The applicant will complete data entry in all
  necessary components and upload appropriate
  attachments.

24
Features of the SF424 (RR)

• Application components include specific data
  fields as well as multiple attachments
• Most attachments are text
• NIH requires PDF text attachments
• Other sponsors who use Grants.gov may not require
  .pdf attachments nevertheless, get into the
  habit of converting all attachments to .pdf!
• Create attachments using any word processing
  software but convert to PDF before attaching to
  the application form
• Do not include headers or footers in the text
  pages

25
Features of the SF424 (RR) Application Guide

• NIH has developed 2 Application Guides specific
  to the SF424 (RR)
• General Instructions
• General SBIR/STTR
• Includes instructions embedded in the actual
  forms as well agency-specific instructions
• Agency-specific instructions denoted with the HHS
  Logo

26
Features of the SF424 (RR)Application Package
Header

• Header page is attached to every posted
  application package
• Header data is pre-filled from the announcement
• Notes which components are required (mandatory)
  and which are optional for the announcement
• Includes basic instructions
• Includes Application Submission Verification
  Signature screen

27
Prepare Your Application
Header Information Pre-filled from Announcement
All Mandatory Documents for the FOA will be
included in the application package.
28
Prepare Your Application
Grants.gov mandatory fields will have an asterisk
and will be highlighted. Application Filing
Name is your internal reference name, such as
File 3 Barron, Nicole NIH-NCI R01 Lung
Cancer. Make as specific as possible and
include PI name.
29
(No Transcript)
30
(No Transcript)
31
(No Transcript)
32
(No Transcript)
33
(No Transcript)
34
(No Transcript)
35
(No Transcript)
36
(No Transcript)
37
(No Transcript)
38
(No Transcript)
39
(No Transcript)
40
(No Transcript)
41
(No Transcript)
42
(No Transcript)
43
(No Transcript)
44
(No Transcript)
45
(No Transcript)
46
(No Transcript)
47
(No Transcript)
48
Application CompleteNext Steps
49
Be sure to Save the completed application
package to your local hard drive.
Be sure all Mandatory Documents are completed and
moved to the submission list.
Refer to the agency-specific instructions for
which Optional Documents are required.
50
The Check Package for Errors button will ONLY
show Grants.gov errors.
Our office must Submit the application for it to
go through the NIH validation process. NIH
errors will be shown in the eRA Commons.
51
Transmission to Signing Official

• Only the S.O. can actually click the submit
  button. Thus, it is the PIs responsibility to
  transmit the application package to Dr. Kratz
  and Ms. Barron well in advance (5 business days)
  of the submission deadline.
• Requests for submission should include a notation
  that the budget, abstract, etc. have already been
  approved in writing.
• Acceptable means of transmission include
• E-mail (Nbarro_at_lsuhsc.edu and Kkratz_at_lsuhsc.edu)
• CD
• DVD
• Flash drive

52
Submit Application

• The Office of Research Services will send all
  Grants.gov e-mail notices to the PI and to the
  person designated as contact on the yellow
  routing sheet (generally the departmental
  business manager and/or grants coordinator).

53
Expected Turnaround Times

• Grants.gov response to an application submission
  generally within hours, up to 2 weekdays
• eRA Commons response to an application submission
  generally within hours, up to 1 weekday
• AOR/SO and PI review of application image
  within 2 weekdays of availability in eRA Commons
• Note that weekdays include holidays.

54
Grants.gov Validations

• All Grants.gov mandatory fields have been
  completed
• All mandatory documents have been completed and
  moved to the Completed Documents box (Submission
  List)
• Checks the DUNS
• Checks date format, email address format, and
  scans for viruses

55
Email Notifications Grants.gov

• AOR receives emails (The Office of Research
  Services will transmit to the PI)
• Submission Receipt application received and is
  being validated
• Rejection Notice application is not validated
  because of Grants.gov errors
• Submission Validation Receipt application has
  been validated
• Grantor Agency Retrieval Receipt application
  has been retrieved by the agency
• Agency Tracking Number application has been
  assigned a tracking number by the grantor agency

56
Check Status in eRA Commons

• After submission, the eRA Commons system will
• Apply the NIH validations
• Assemble the grant image
• Generate a Table of Contents
• Include headers (PI name) footers (page
  numbers) on all pages

57
eRA Commons Validations

• The eRA Commons checks the application against
  NIH business rules
• Detailed check against the instructions in the
  application guide
• Validates against the instructions in the
  specific FOA
• For a detailed list of NIH validations
  http//era.nih.gov/ElectronicReceipt/prepare_app.h
  tm5

58
Email Notifications - eRA Commons

• AOR/SO and PI receive emails

59
Check Status in Commons PD/PI
1. Click the Status tab to view the PI Status. 2.
Find application that shows eSubmission Error
in the Application Status column. 3. Follow the
Show All Prior Errors link to see specific
Error/Warning messages.
60
View Errors/Warnings
61
Errors Warnings

• Errors must be addressed before the application
  can move on to 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 Ken Kratz and Nicole Barron. We
  must submit the entire changed/corrected
  application again through Grants.gov.

62
Check Assembled Application
View the Application Image by clicking on the
Application ID
63
Check Assembled Application
Next, click on the e-Application link to view the
image.
64
Application Image
Be sure to review the entire application
carefully! Your application is not considered
received by NIH until you see the application
image in the eRA Commons.
65
Check Assembled Application
The AOR/SO has a 2 weekday viewing window to
reject an application that has system formatting
errors. If the application is not rejected
within the 2 weekdays it will automatically
proceed to Receipt Referral.
66
Lessons Learned
67
Lessons Learned

• Work with your Office of Research Services to
  ensure a streamlined internal process flow
  (review, approval, document sharing etc.)
• Register now to be prepared
• All PIs and Fellows need to be registered in eRA
  Commons
• Can take 2 4 weeks
• Read and follow all instructions in the FOA the
  application package instructions!

68
Lessons Learned

• All attachments MUST be in PDF format
• DO NOT
• Use special characters in file names (most common
  error is using the symbol)
• Write-protect the PDF file you should disable
  all security features in the PDF
• Scan text attachments. Generate using word
  processing package and then convert to PDF.
• For more information
• http//era.nih.gov/ElectronicReceipt/faq_prepare_a
  pp.htm2e

69
Lessons Learned

• When submitting a Changed/Corrected application,
  make sure you check the Changed/Corrected box
  in Field 1 Type of Submission
• Allow extra time for corrections

70
Lessons Learned

• Take time to closely review the grant image
  within 2 weekdays of availability
• Ensure ALL PDFs are attached
• Check each one for proper conversion formatting
• New Processbut Its Still About the Science! The
  NIHs philosophy and policy has not changed!

71
Thank You!