October 2015 electronic Research Administration (eRA) OER, OD, National Institutes of Health.

NIH eRA Workshop:Grant Application Preparation & Submission

October 2015

electronic Research Administration (eRA)OER, OD, National Institutes of Health

Your Workshop Team

Sheri Cummins Office of Extramural Research (OER) Communications &

Outreach Chief, Grants Information

[email protected]

Jessie Floura Electronic Research Administration (eRA)

Customer Relationship Manager [email protected]

2

mailto:[email protected]


Today’s Topics

Submission OptionsPrepare to Apply & RegisterProcess OverviewWalk-through the Submission ProcessDemo & Discussion

Downloadable Forms

ASSIST

Finding Help & Resources

3

More Topics (time permitting)

Grantee and Organization ChangesReference LettersProgram-specific ConsiderationsSubmission PoliciesAdditional Questions & Wrap-up

4

Submission Options

ASSISTSYSTEM-TO -SYSTEM

DOWNLOADABLE FORMS

5

You've got to think about big things while you're doing small things, so that all the small things go in the right direction.

-Alvin Toffler

Electronic Submission…

Required for All competing single and multi-project grant applications

Encouraged for Single-project applications in response to:

Administrative Supplements - Type 3 Change of Organization Status – Type 6 Change of Grantee Organization – Type 7

Not yet available for Merit extensions – Type 4 Multi-project applications in response to:

Administrative Supplements - Type 3 Change of Organization Status – Type 6 Change of Grantee Organization – Type 7

6

Electronic Application Submission Options

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Downloadable Forms*System-to-System ASSIST* Single-project only

ASSIST

Key features Online data entry Multiple user access Pre-submission verification of application against

many agency and Grants.gov business rules Pre-submission preview of assembled application

image in agency format Tracking application status within single system

Considerations All ASSIST users working on an application must

have eRA Commons accounts

8

ASSIST Support Target Timeline

Available for all multi-project programsSupport expanding to single-project programs in

2015 NIH Guide notices will announce ASSIST availability for

each set of activity codes once in place

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Timeline: http://grants.nih.gov/grants/ElectronicReceipt/files/Timeline_for_Single-Project_ASSIST_Support.pdf

http://grants.nih.gov/grants/ElectronicReceipt/files/Timeline_for_Single-Project_ASSIST_Support.pdf



Grants.gov Downloadable Forms

Key features Offline data entry

Especially good option when Internet connectivity is unreliable No registration required to begin application data entry

Considerations Single-project applications only Requires a Grants.gov compatible version of Adobe Reader Applicants must track the application status in separate

eRA Commons system after submitting to Grants.gov No pre-submission verification of application against

agency business rules Unable to preview assembled application image in agency

format prior to submission Data entry access restricted to one user at a time

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http://www.grants.gov/web/grants/support/technical-support/software/adobe-reader-compatibility.html

System-to-System Solutions

Key features Features vary by solution Some integrate with institutional databases and grant

systems Some provide pre-submission verification of

application against agency business rules Some provide pre-submission preview of assembled

application image in agency format

Considerations Consult your institutional officials for preferred

method of submission

11

Your Application will be…

Subject to the same registration requirementsCompleted with the same data itemsRouted through Grants.govValidated against the same NIH business rulesAssembled in a consistent format for review

considerationTracked in eRA Commons

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…regardless of submission option used.

Prepare to Apply & Register

SOFTWARE NEEDEDREGISTRATIONS

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Success depends upon previous preparation, and without such

preparation there is sure to be failure.

-Confucius

Obtain Software

Browser Internet Explorer, Mozilla Firefox – fully supported &

tested Many others work fine

Adobe Reader Versions compatible with Grants.gov downloadable forms

http://www.grants.gov/web/grants/support/technical-support/recommended-software.html

PDF conversion program All application attachments must be

converted to PDF format

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Multiple Organization Registrations Required

Allow a minimum of 6 weeks to complete all registrations!

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http://grants.nih.gov/grants/ElectronicReceipt/files/registration_handout.pdf




DUNS

A free nine-digit identification number issued by Dun & Bradstreet (D&B) is used to uniquely identify your business/ institution

Dun & Bradstreet Data Universal Numbering System (DUNS) Begin the process at:

http://fedgov.dnb.com/webform

After obtaining your DUNS, you can begin other registrations System for Award Management

(SAM) eRA Commons SBA Company

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http://fedgov.dnb.com/webformTelephone Number:

866-705-5711




System for Award Management (SAM)

Register your entity (i.e., organization) to do business with the Federal Government

Designate an E-Business Point-of-Contact (E-Biz POC)

SAM registration and E-Biz POC needed for Grants.gov registration

Annual SAM renewal needed to keep Grants.gov credentials active

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www.sam.gov Telephone Numbers:

US Calls: 866-606-8220International Calls: 334-206-7828

DSN: 866-606-8220

http://www.sam.gov/

https://www.sam.gov/

Grants.gov

Federal-wide portal to find and apply for Federal grant funding

Used by all 26 Federal grant-making agencies

Prior to registering in Grants.gov you must obtain a DUNS number and register in SAM

E-Biz POC approves Authorized Organization Representatives (AORs) to submit applications

No registration needed to find opportunities or download forms

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Telephone Numbers:US Calls: 1-800-518-4726

International Calls: 606-545-5035

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

Designate a Signing Official (SO) Registers or affiliates Project

Directors/Principal Investigators (PD/PIs) and other users

NIH 2-week “good faith effort” for eRA Commons registration

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Support:http://grants.nih.gov/support/index.html

http://grants.nih.gov/support/index.html


eRA Commons Organization Registration

Organizations must register in eRA Commons

Already registered? Check with your Administrative Office before starting the

process Quick Query: https://

public.era.nih.gov/chl/public/search/commonsRegisteredOrgs.era

New registrations Institution Registration Form:

https://public.era.nih.gov/commons/public/registration/registrationInstructions.jsp

Carefully follow ALL steps including printing/signing/faxing registration page and responding to email verification messages

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https://public.era.nih.gov/chl/public/search/commonsRegisteredOrgs.era

https://public.era.nih.gov/chl/public/search/commonsRegisteredOrgs.era



Signing Official (SO)

During Commons registration, an applicant organization designates a Signing Official (SO)

SO has authority to legally bind the organization in grants administration matters

Equivalent to the Authorized Organization Representative (AOR) in Grants.gov

SO is responsible for: maintaining institutional information submitting documents that require signature

authority to act on behalf of the organization managing accounts

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Account - Tips

Designate more than one Signing Official Certain Commons actions can only be taken by users

with the SO role and you will want a back-up

Administrators should always check to see if a user already has a Commons account before creating a new account with a scientific role Ask the person if they already have an account, or

search within the Commons If a user already has an account with a different

organization, the SO should affiliate the existing account with the user’s new organization

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Registration - Tips

Don’t combine administrative and scientific roles (e.g., SO and PI) on the same account Other combinations are fine

E.g., PI and Internet Assisted Review (IAR) roles are OK together

A person needing both the PI and SO roles should have two separate accounts - one for scientific roles (e.g., PI and IAR) and another for administrative roles (e.g., SO, AO)

PIs should update their Commons profile prior to submitting E.g., degree info used to determine Early Stage

Investigator eligibilityLog in to accounts prior to deadline to ensure

you have access to the systems

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Who needs Commons Accounts?

At least 1 Signing Official (suggest having back-ups)

PD/PI(s)Sponsor on a Fellowship application (

NOT-OD-14-129)

Component leads of multi-project applications

Candidates for diversity supplement supportAnyone doing application data entry in

ASSIST

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http://grants.nih.gov/grants/guide/notice-files/NOT-OD-14-129.html

SBA Company Registry

All SBIR and STTR applicants are required to register with the Company Registry Database

http://www.sbir.gov/registration

Applies to all HHS SBIR/STTR programs, including NIH, CDC, FDA, and ACF

Attach proof of registration in the Other Attachments section of the Other Project Information form See section IV.2 of your FOA

instructions for details

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FAQs:http://www.sbir.gov/faq/general




http://www.sbir.gov/faq/general

http://www.sbir.gov/faq/general

Required Registrations26

Registration Organization Individuals

DUNS All

SAM All E-Biz POC*

Grants.gov All E-Biz POCAuthorized Organization

Representative (AOR)

eRA Commons All Signing Official (SO)*PD/PI

Multi-project Component Leads

Fellowship SponsorDiversity Supplement

CandidateData Entry in ASSIST

SBA Small Business Only

*Designated as part of organization registration

Process Overview

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Find Enter Data SubmitPlan TrackFinalizeInitiate Build

Team

Find Opportunity

FINDING OPPORTUNITIESPARENT ANNOUNCEMENTS

FUNDING OPPORTUNITY ANNOUNCEMENTSAPPLICATION INSTRUCTIONS

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Find TrackPlan Initiate Build Team

Enter Data Finalize Submit

Find an Opportunity29

NIH Guide for Grants & ContractsGrants.gov Search

Opportunity

Each system has robust search capabilities.

Terminology Check

Funding Opportunity Announcement (FOA)A publicly available document by which a

Federal Agency makes known its intentions to award discretionary grants or cooperative agreements, usually as a result of competition for funds. Specific types of NIH FOAs include:

Parent Announcement Program Announcement (PA)

PA with special receipt, referral, and/or review considerations (PAR)

PA with set-aside funds (PAS) Request For Application (RFA)

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Parent FOAsUsed for investigator-initiated research.

Select Parent FOA for your chosen grant program (i.e. R01, R03, R21, etc.).

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http://grants.nih.gov/

http://grants.nih.gov/

Use Announcement Number to link to FOA

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Key FOA Sections33

Standard Due Dates

Standard AIDS Due Dates

Check for FOA updates & new policy guidance

FOA-Specific Application Information

Read and follow all announcement instructions

Pay special attention to Section IV. Application and Submission Information Includes FOA-specific submission

instructions Instructions in FOA supersede

instructions in the application guide

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Application Guide

Read and follow application guide instructions Part I: Instructions for

Preparing and Submitting an Application

Agency-specific instructions are marked with the HHS logo

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http://grants.nih.gov/grants/funding/424/index.htm


Application Guide - Tips

Be sure to select the appropriate application guide for your opportunity Based on type of grant program

General Application Guide SF424 (R&R) SBIR/STTR Application Guide SF424 (R&R) Individual Fellowship Application Guide SF424

(R&R)Will be rolled into general guide in November

2015

Become familiar with what is included in the application guide, then use it as an electronic resource

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Supplemental Instructions

Refer to Supplemental Instructions as needed

Part II: Supplemental Instructions for Preparing the Protection of Human Subjects Section of Research Plan

Part III: Policies, Assurances, Definitions and Other Information

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Plan

MAKE A SUBMISSION PLAN

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TrackFind Initiate Build Team

Enter Data Finalize SubmitPlan

Make a Submission Plan39

Make a plan before you need one!

Read the FOA and note any special requirements

Agree on application preparation responsibilities

Decide how you will share applications in progress

Discuss your internal review & approval process Set internal deadlines

Define post-submission responsibilities How to deal with errors/warnings Who will verify application in Commons?

Initiate Your Application

INITIATE APPLICATION BASED ON SUBMISSION OPTION

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TrackFind Plan Initiate Build Team


FOA “Apply” Buttons

Excerpt from single-project FOA in NIH Guide…41

Build Team42

TrackFind Plan Initiate Enter Data Finalize SubmitBuild

Team

Build Your Team

Signing Official (eRA Commons)Authorized Organization Representative

(Grants.gov)Project Director/Principal Investigators

(PD/PIs)Others?

Administrative Official Sponsor Mentor Collaborator Assistant Someone with review experience

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Enter Application Data

SF424 (R&R) DATASETTIPS

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Enter Data TrackFind Plan Initiate Build

Team Finalize Submit

SF424 (R&R) Data Set

NIH uses the SF424 Research & Related (R&R) data set Owned and maintained by Grants.gov

NIH applications include: Forms used federal-wide

Identified as: R&R, Research & Related NIH cannot build agency-specific business rules into

federal-wide forms Forms used only by NIH and our serviced partners

Identified as: PHS for Public Health Services

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Federal-wide Forms

SF424 (R&R)Project/

Performance Site Location(s)

R&R Other Project Info

R&R Sr/Key Person Profile (Expanded)

R&R BudgetR&R Subaward

Budget Attachment

SF424C – Construction Budget

SBIR/STTR Information

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Agency-specific Forms

PHS 398 Cover Page Supp.

PHS 398 Modular Budget

PHS 398 Research Plan

PHS 398 ChecklistPHS 398 Career Dev.

Award Supp.PHS Fellowship Supp.

Form

PHS 398 Research Training Program Plan

PHS 398 Training Budget

Training Subaward Budget Attachment Form

Planned Enrollment Report

Cumulative Inclusion Enrollment

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Our agency-specific forms expired Sept. 2015. We anticipate having updated application forms (FORMS-D) in place for due dates on or after

May 25, 2016. For now, continue to use current forms (FORMS-C).NOT-OD-15-146


Follow Instructions

Follow FOA-specific (e.g., special attachments, specific section headings) and application guide requirements eRA systems will catch many, but not all errors – some

items are checked by staff post-submission FOA-specific requirements are not typically system-

enforced Applications that do not comply with the instructions

may be withdrawn from consideration

Take advantage of posted ‘Additional Format Pages’ http://grants.nih.gov/grants/funding/424/index.htm

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Include All Required Attachments

Whether or not an attachment is required is often based on how you answer specific application questions

Examples: Human Subjects = Yes, then Human Subjects section of

the PHS 398 Research Plan required Vertebrate Animals = Yes, then Vertebrate Animals

attachment is required More than one entry on the R&R Sr/Key Person Profile

form with the role of “PD/PI,” then the Multiple PD/PI Leadership Plan attachment on the PHS 398 Research Plan form is required

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Annotated Form Sets50

Annotated form sets are a great resource for helping identify many conditional

requirements.

Annotated form sets:http://grants.nih.gov/grants/ElectronicReceipt/communication.htm

http://grants.nih.gov/grants/ElectronicReceipt/communication.htm

http://grants.nih.gov/grants/ElectronicReceipt/communication.htm

Use PDF Format for All Attachments

Use simple PDF-formatted files Do not use Portfolio or similar features to bundle multiple files

into a single PDF Disable security features such as password protection and

encryption Keep file names to 50 characters or less Use meaningful filenames

Other Project Information form, Other Attachments section Appendices

Do not include headers or footers Section headings as part of the text (e.g., Significance, Innovation,

Approach) are encouraged Follow guidelines for fonts and margins

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PDF Guidelines: http://grants.nih.gov/grants/ElectronicReceipt/pdf_guidelines.htm

http://grants.nih.gov/grants/ElectronicReceipt/pdf_guidelines.htm

Adhere to Page Limits52

Find page limits in:• Table of Page Limits

http://grants.nih.gov/grants/forms_page_limits.htm • FOA text

http://grants.nih.gov/grants/forms_page_limits.htm

Finalize Application53



Finalizing Your Application

Give your application one last good checkObtain internal approvalsIf using ASSIST, update application status

from Work In Progress to Ready for Submission

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Submit

SUBMITTING YOUR APPLICATIONON-TIME SUBMISSION

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Submitting an Application

All NIH Applications Route Through Grants.gov regardless of submission option

Only AOR’s can submitYour Grants.gov timestamp

is used to determine “on-time” submission

56

Date/Time Stamp - due 5 p.m. local time of the applicant organization on deadline date even though timestamp recorded in Eastern Time

On-time SubmissionError-free applications must be accepted by Grants.gov with a time stamp on or before 5:00 p.m. local time of the submitting organization on the due date.

Important reminders:NIH recommends submitting

early (days, not minutes!) to allow time for correcting any errors found during the application viewing window prior to the due date

NIH’s late policy does not allow corrections after the due date/time

All registrations must be completed before the due date/time

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You’re Not Finished Yet…58

Application Successfully submitted to NIH

Submitting to Grants.gov is NOT the last step in the process!

Track

NOTIFICATIONSTRACKING YOUR APPLICATION IN ERA COMMONS

VIEWING YOUR APPLICATION IN COMMONSREJECTING AN APPLICATION

SUBMISSION COMPLETE – HAPPY DANCE!

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Find Plan Initiate Build Team

Enter Data Finalize Submit Track

Grants.gov Notifications

AOR receives Grants.gov e-mails Submission Receipt

Grants.gov e-mail verifying receipt of application Submission Validation

Grants.gov e-mail verifying successful submission to

Grants.gov OR rejection due to errors

Transmission to Agency E-mail sent once agency retrieves submission E-mail sent when agency tracking number assigned

Sent to email address on file for submitting AOR

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http://grants.nih.gov/grants/ElectronicReceipt/email_notifications.htm#grants

Track Status in Commons

eRA Commons Status is an integral part of electronic application submission

Applications that pass Grants.gov validations are picked up by eRA Commons and checked against application guide and opportunity instructions

Processing result available in eRA Commons Status to: Signing Officials (SOs) Administrative Officials (AOs) Principal Investigators (PIs) Delegated assistants

E-mail notifications sent

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eRA Commons Notifications

eRA e-mails Check assembled application 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)

Sent to the AOR/SO, PD/PI and contact e-mails listed on SF424 (R&R) form

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http://grants.nih.gov/grants/ElectronicReceipt/email_notifications.htm#grants

Email is Unreliable

Many email notifications are sent throughout the process

DO NOT depend solely on email notifications, it is YOUR responsibility to proactively check your application status in eRA Commons

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eRA Commons Login64

eRA Commons: https://public.era.nih.gov/commons

https://public.era.nih.gov/commons

Track Application – Commons Status65

Select Recent/Pending eSubmissions

Or provide Grants.gov tracking number from confirmation screen or email notification

Track Application - Commons66

Indicates eSubmission Error

Grants.gov tracking #

Corrective submissions must be made BEFORE the submission deadline and overwrite previous submissions.

Errors stop application processing and must be corrected

Warnings do not stop application processing and are corrected at the discretion of the applicant

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Correcting Errors Found After Submission

To correct system-identified errors found after submission:Make corrections to local copy of the applicationUpdate SF424 (R&R) form

Check “Changed/Corrected” as “Type of Submission” Enter “Previous Grants.gov Tracking ID” (e.g.,

GRANT12345678) in field 4cSubmit the entire Changed/Corrected application

back through Grants.gov before the deadline Track submission through to eRA Commons

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NOTE: Reviewers do not see applicant errors/warnings.

View Application Image

Once an error-free application is received by NIH, the eRA system will:

Assemble the grant application image Insert headers (PI name) and footers (page numbers)

on all pages Generate Table of Contents and bookmark important

sections Post the assembled application image in the PD/PI’s

eRA Commons account Send notifications

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Application Viewing Window

Applicants have two (2) business days to view the assembled application image before the application automatically moves forward for further processing

SO can Reject application within viewing window and submit a Changed/Corrected application before the submission deadline

70

If you can’t VIEW it, we can’t REVIEW it!

eRA Commons Status (PI View)71

Status is Pending Verification

Follow e-Application link to view assembled application image

Application ID links to detailed status info

View Appendices and Cover Letter

View Application Image72

TIP: Carefully review the entire application.This is your chance to view/print the same

application image that will be used by Reviewers!

Reject eApplication73

Must have SO role

Select Recent/ Pending eSubmissions

Click Search

Enter Search Criteria

PIs: If the application image in the eRA Commons does not properly reflect the submitted material, work with your SO to reject the application!

Reject eApplication Request74

Enter comment to be sent with e-mail notification

Submission Complete!

If no action is taken during the two business day viewing window, the application automatically moves forward for further processing at NIH

Any subsequent application changes are subject to the NIH policy on late submission of grant applications and the NIH policy on post-submission application materials

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Finding Help & Resources

SERVICE DESKSON-LINE RESOURCES &WEB SITES

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eRA Commons Service Desk

Grants.gov Contact Center

Service Desks

Web: http://grants.nih.gov/support/index.html

Phone: 1-866-504-9552

Hours : Mon-Fri, 7a.m. to 8 p.m. ET

Toll-free: 1-800-518-4726

Hours : 24x7 (Except Federal Holidays)

Email : [email protected]

Help Resources: http://www.grants.gov/web/grants/support.html

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• ASSIST • eRA Commons

• eRA Commons Registration

• eRA warnings & errors

• Status of application • Post-award administration

Contact for assistance with:





http://www.grants.gov/web/grants/support.html



Websites

eRA Commons: https://commons.era.nih.gov/commons/

Electronic Research Administration: http://era.nih.gov/

Applying Electronically: http://grants.nih.gov/grants/ElectronicReceipt/

NIH About Grants: http://grants.nih.gov/grants/oer.htm

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https://commons.era.nih.gov/commons/



http://era.nih.gov/

http://era.nih.gov/

http://era.nih.gov/

http://grants.nih.gov/grants/ElectronicReceipt/

http://grants.nih.gov/grants/ElectronicReceipt/

http://grants.nih.gov/grants/oer.htm



Stay Connected – Subscribe to Listservs

eRA-Information-L For administrators, principal investigators and the people

that support them Used by NIH to notify the community of information related

to eRA Commons, ASSIST and eSubmission

NIH_ESUB_SYS2SYS-L For technical personnel involved in system-to-system

solution development and planning Used to exchange information related to the

implementation of system-to-system solutions for grant application preparation and submission to NIH

79

Live ASSIST Demo

INITIATE APPLICATIONMANAGE ACCESS

FORM NAVIGATION & DATA ENTRYPRE-SUBMISSION VALIDATION

PRE-SUBMISSION PREVIEWTRACKING SUBMISSION STATUS

80

Slides are for notes only & will be covered during demo.

Apply Online Using ASSIST Button


Initiate Application82

Initiate Screen83

FOA information pulled from Grants.gov

Enter Project Title

Drop-down list of organizations

affiliated with your eRA Commons

account

Initiate: Pre-population84

Data pre-populated from

organization selectionCan manually enter

PD/PI information or provide

eRA Commons username to auto-

populate

Searching for In-progress Applications85

Use Search Applications to access your in progress application

Working with ASSIST86

ASSIST messages

Screen tips

Access online help

Available actions vary based on application context and access

Form navigation

Automatic Application Access

ASSIST automatically provides application access to some individuals based on their Commons roles or role on the application

Examples: Users with Commons accounts that have the Signing

Official (SO) or Administrative Official (AO) role have access to all applications for their organization

All PD/PIs listed in the Overall component of the application have edit access for the entire application

87

Manage Access

Application access can be given to additional users with Commons IDs

Application access can be controlled across these variables: Read vs. Edit

Budget vs. Non-budget data

Entire application vs. specific components (multi-project)

88

ASSIST: Signing Officials (SOs)

SOs at the applicant institution can Manage application access for other users

Manage application status

Delegate Access Maintainer and Status Maintainer authorityto other users within their institution

Access the Submit action

89

Providing Application Access to a User90

Data Entry

91

Click each tab to access form data entry screens

Clicking Edit blocks other users from

editing form

Adding Optional Forms92

Select form and click Submit

The form tab is

added to navigation

Validate Application93

Errors and Warnings

are displayed

Generating Application Preview94

View last preview

Generate new

preview

ASSIST: Submit Application 95

Submit Application button is only active for SOs

Must be an eRA SO and a Grants.gov AOR to submit.

View Submission Status Details96

Click View Submission Status Details

96

Tracking Submission Status97

Happy path…

• ASSIST = Submitted

• Grants.gov = Agency Tracking Number Assigned

• Agency = Processed

Agency Tracking # link brings you to the detailed status screen

in eRA Commons

Viewing Your Application in Commons 98

eApplication is the application image reviewers will use so check it carefully.

Also check the Cover Letter and Appendices which are stored separate from the image.

Live Downloadable Forms Demo

GRANTS.GOV DOWNLOADABLE FORMSAVOIDING COMMON ERRORS

99


Apply Using Downloadable Forms Button


Grants.gov Application Package Screens

101

Sign up for email alerts of application package changes

Use links to download application instructions and forms package

Working with Grants.gov’s Downloadable Forms102

Make sure you have the correct application package.

FOA information is automatically populated and not editable.

Mandatory Grants.gov fields highlighted with red box.Not all fields required by NIH will be highlighted.

*Application Form Screen - Top*

Working with Grants.gov’s Downloadable Forms103*Application Form Screen - Bottom*

Complete the SF 424 (R&R) form first—info from this form pre-populates fields in other forms in the package

See application guide to determine which Optional forms you need to complete

Save the package locally

Grants.gov: Submit Application104

Check Package for Errors button only checks to make sure the application meets Grants.gov requirements. Agency requirements checked upon submission.

Save & Submit button will not become active until application is saved and mandatory information is completed.

Must be AOR

Submit Application – Grants.gov Confirmation105

Grants.gov Tracking #

Date/Time Stamp - due 5 p.m. local time of the applicant organization on deadline date

Print/save your confirmation screen info.

Avoiding Common Errors106


Avoid Common Errors – SF424 RR DUNS

DUNS number on the SF424 (R&R) cover form must match the DUNS number used for Grants.gov & Commons registrations

107

Avoid Common Errors – Sites DUNS

Primary site DUNS is required by NIH and is enforced with an agency validation

108

Avoid Common Errors – Fields 1, 4 & 8

Provide correct Type of Submission (#1), Federal Identifier (#4), and Type of Application (#8) information on the SF 424 (R&R) cover form

109

• Use Application for first submission attempt for the same deadline

• Use Changed/Corrected when submitting again to correct eRA-identified errors/warnings

If Changed/Corrected in field #1, then enter previous Grants.gov tracking number

110

Fed ID & Type of ApplicationFederal ID & Types of Applicationis

If Resubmission/Renewal/Revision in field #8, use Institute and serial #of previous NIH grant/app (e.g., useCA987654 from 1R01CA987654-01)

See Application Guide for definition of application types

Terminology Check

Type of Application on SF424 (R&R), field #8

111

Term Notes

New An application that is submitted for funding for the first time and includes no references to a prior review. (Type 1; A0)

Renewal Competing for additional years of funding to continue original project. (Type 2)

Revision Request for additional funds for a current award to expand the scope of work. Applicants should contact the awarding agency for advice on submitting any revision/supplement application. (Type 3)

Resubmission Application previously reviewed. A revised or amended application that addresses reviewer feedback. (A1)

Continuation NIH does not use the SF 424 (R&R) for Continuation applications. (Type 5; progress reports for simplified non-competing (SNAP) applications are submitted directly to eRA Commons; for others, paper apps. are still submitted.)

Avoid Common Errors

Include the eRA Commons ID in the Credential field of the R&R Sr/Key Person Profile form for all PD/PIs Also needed for:

Sponsor on a Fellowship application (NOT-OD-14-129) Component leads of multi-project applications Candidates for diversity supplement support

If submitting a Multiple-PD/PI application, give all PIs the PD/PI role on the Sr/Key Person Profile form

112

113

Credential Field

Enter PI Commons Username

eRA Commons username must be

supplied in the Credential field

For multiple PD/PI applications, select the PD/PI role for each PI and provide their eRA

Commons username in the Credential field

Enter PI Commons UsernameSelect PD/PI role for each PI

Avoid Common Errors – Organization Name

Include Organization name for all Sr/Key listed on the R&R Sr/Key Person Profile (Expanded) form

114

Organization Name

PD/PI Organization will auto-populate from SF424 (R&R) cover if available.

NIH requires the Organization name for all Sr/Key listed.

Enter Organization Name

Avoiding Common Errors - Biosketch

Include a biosketch for every Sr/Key entry in correct format

115

Biosketch required for all, but only marked required on the federal-wide form for the PD/PI.

Avoid Common Errors - Effort

Include effort > 0 for all Sr/Key personnel listed on the R&R Budget form

Use either calendar months or a combination of academic and summer months

PD/PI must have effort >0 for every budget period

116

Grantee and Organizational Changes

SUBMITTING A CHANGE OF GRANTEE OR TRAINING INSTITUTION REQUEST (TYPE 7) USING

GRANTS.GOV

SUBMITTING A CHANGE OF ORGANIZATION STATUS/SUCCESSOR IN INTEREST

(TYPE 6) REQUEST USING GRANTS.GOV

SUBMITTING AN ADMINISTRATIVE SUPPLEMENT REQUEST USING GRANTS.GOV

117

Change of Grantee (Type 7) Requests

Also known as Change of Institution or transfer.

Request for support of a funded project that has been transferred from one grantee or training institution to another

Current submission options: Grants.gov downloadable forms Institutional system-to-system

solutions

118

Change of Organization Status (Type 6) Request

Formerly known as Successor-In-Interest.

Request for support of a funded project at an institution where the legal status has been changed

Current submission options: Grants.gov downloadable forms Institutional system-to-system

solutions

119

Type 6/7 Requests – Grants.gov

Available for post-award requests for single-project activity codes for which competing applications are submitted through Grants.gov

Though not yet required, applicants are encouraged to use and become familiar with the electronic option

Talk to your awarding Institute prior to submission

120


Parent Announcement page has general use FOAs http://

grants.nih.gov/grants/guide/parent_announcements.htm#post

When completing package… Follow all FOA-specific instructions Carefully choose appropriate application package Use Revision as the Application Type (SF424 RR, item

#8) Include IC and Serial number of awarded grant as the

Federal Identifier (SF424 RR, item #4a)

121

http://grants.nih.gov/grants/guide/parent_announcements.htm#post





Similar to competing application process, except:

Many of the NIH business rule validations for competing applications are not enforced

Required forms may vary from competing applications Modular budget forms not an option; must use detailed

R&R Budget forms No cover letters Type 6

Only a few required forms• SF424 (R&R) cover, Other Project Information, SR/Key

Information Optional forms vary by program

Type 7 Budget forms added to some form packages (e.g., DP1,

DP2, DP3)

122


After the two-day viewing window, the request bypasses Receipt & Referral and goes directly to Grants Management staff for consideration Requests move to List of Applications for PIs and General

Search (for SOs) like competing applications

123

Grantee & Org. Changes – Policy Notices

NOT-OD-12-132 Notice of Pilot Processes for Submitting of Post-Award

Relinquishing Statements to NIHNOT-OD-12-133

Notice of Pilot for Processing Post-Award Changes in Grantee Organizational Status: Successor-in-Interest

NOT-OD-12-134 Notice of Pilot Processes for Post-Award Change of

Grantee Organization Applications to NIH

124




Administrative Supplements

A request for additional funds during a current project period to provide for an increase in costs due to unforeseen circumstances.

Requested additional costs must be within the scope of the peer reviewed and approved project

Current submission options: Grants.gov downloadable forms1

Streamlined eRA Commons process1

Commons pre-populates much of the data needed for request from awarded grant

Institutional system-to-system solutions1

Paper process

125

1Available for single-project activity codes for which competing applications are submitted through Grants.gov.

Admin. Supplement Requests– Grants.gov

Parent Announcement page has general use FOAs http://

grants.nih.gov/grants/guide/parent_announcements.htm#adminsupp

NIH Institutes can also post FOAs for administrative supplements targeting specific programs

When completing package… Follow all FOA-specific instructions Carefully choose appropriate application package Use Revision as the Application Type (SF424 RR, item

#8) Include IC and Serial number of awarded grant as the

Federal Identifier (SF424 RR, item #4a)

126

http://grants.nih.gov/grants/guide/parent_announcements.htm



Admin. Supplement Requests– Grants.gov

Similar submission process as competing applications, except: Many of the NIH business rule validations for

competing applications are not enforced Required forms may vary from competing applications

for the same activity code Modular budget forms not an option; must use detailed

R&R Budget forms No cover letters

After the two-day viewing window the request bypasses Receipt & Referral and goes directly to Grants Management staff for consideration Move to Admin Supp Status tab in Commons

127

Admin. Supplement – Policy Notices

NOT-OD-12-043 New Electronic Submission Process Now Available for

Administrative Supplement Requests

128


Reference Letters

REFERENCE LETTERS

129

Reference LettersSome NIH grant programs require the submission of reference letters in addition to the grant application (e.g., Fellowship & Mentored Career Development programs)

NOT part of the application through Grants.gov

Submitted directly by the referee through eRA Commons

Commons registration not requiredCan be submitted in advance of

application submissionDue by the application due date/timeApplicants can track the submission

of reference letters in the Commons, but cannot view the actual letter

With FORMS-C, Fellowship reference letters no longer have a required format – just a letter

130

FAQs: http://grants.nih.gov/grants/ElectronicReceipt/faq_full.htm#12

http://grants.nih.gov/grants/ElectronicReceipt/faq_full.htm#12

Reference Letters131

Program-Specific Considerations

FELLOWSHIPCAREER DEVELOPMENT

TRAININGMULTI-PROJECT APPLICATIONS

132

Fellowship Applications

Program-specific considerations

Use Fellowship-specific Application Guide

Designate Sponsor on the R&R Sr/Key Person Profile form Select Role of “Other”, then indicate

“Sponsor” in Other Role category Include eRA Commons username in

Credential fieldCover Letter is required

Include list of referees that will submit reference letters through Commons

Complete PHS Fellowship Supplemental Form

133

Fellowship – Policy Notices

Notice to Emphasize the Requirement for Additional Educational Information NOT-OD-14-135 (Parent F31 – Diversity) NOT-OD-14-134 (Parent F31) NOT-OD-14-133 (F30)

Notice to Discontinue Requirement for Additional Educational Information NOT-OD-14-137 (Parent F32)

Sponsor eRA Commons Username Requirement NOT-OD-14-129

134






Research Career Development Award Program Applications

(Ks, except K12 and KM1)


PHS Cover Letter form is required for mentored Ks (K01, K07, K08, K18, K22, K23, K25, K99) Include list of referees that will

submit reference letters through eRA Commons

Complete PHS 398 Career Development Award Supplemental form

135

136

PHS 398 Career Development Supplemental

Form

Combined page limit

Career Development – Policy Notices

NOT-OD-14-088 Notice of Clarification of Career (K) Award Eligibility

Clarification related to Foreign Components

NOT-OD-15-013 Notice of Clarification of 4-Year Limit of Postdoctoral

Research Eligibility for K99

137



Training and Institutional Career Development Program Applications

(Ts, Ds, K12 & KM1)


Budget form used varies by FOA Training Budget Only

T15, T32, T34, T35, T36 R&R Budget Only

K12, T37, KM1 D71, D43, U2R Dual budgets

T01, T02, T03, T14, T42, T90, TU2

Complete PHS 398 Research Training Program Plan

Data Tables – user defined bookmarks included in the attachment will be pulled into application image

138

139

PHS 398 Research Training Program Plan

Combined page limit

Faculty Biosketches

Data Tables

Multi-project Applications

Single grant application submission with multiple, interrelated components with defined work, personnel, sites and budgets that share a common focus or objective.

All electronic multi-project applications include:

A single Overall component Some number of additional

components Automatically prepared data

summaries

140

Multi-Project Application: Overall Component

141

Core-001

Project Title: Research Core 1Project Lead: Ben A. RoundOrganization: A

Core-002

Project Title: Research Core 2Project Lead: Abel Tu LeadOrganization: B

Project-003

Project Title: Fabulous Research Focus 3Project Lead: Ima DoerOrganization: C

Project-002

Project Title: Fabulous Research Focus 2Project Lead: Quin T. SentialOrganization: B

Project-001

Project Title: Fabulous Research Focus 1Project Lead: Cher D. MoneyOrganization: A

Subaward Budget

Organization: D

Component Type: ProjectComponent Type: Core

Admin Core-001

Project Title: Administrative CoreProject Lead: Jed I. KnightOrganization: A

Component Type: Admin Core

Overall Component

PD/PIs: Cher D. Money, Ben A. RoundOrganization: AProject Title: Research Center to Cure the Diseases of the World

• Single Overall component• Provides an overview of the entire

application

Examples:P01, P20, P50

Multi-Project Application: Component Types

142

Core-001

Project Title: Research CoreProject Lead: Ben A. RoundOrganization: A

Core-002


Project-003


Project-002


Project-001


Subaward Budget

Organization: D


Admin Core-001



Overall Component


Some number of additional component types• Component types allowed will vary by

opportunity• Funding Opportunity Announcements (FOAs)

will clearly indicate the types of components expected in a responsive application

Multi-Project Application: Components

143

Core-001


Core-002


Project-003


Project-002


Project-001


Subaward Budget

Organization: D


Admin Core-001



Overall Component


Some number of components within a component type• Announcements will clearly

indicate the required minimum and/or maximum number of components expected

Subaward Budget

Organization: B

Multi-project Application Forms

144

Core-001


Core-002


Project-003


Project-002


Project-001


Subaward Budget

Organization: D


Admin Core-001



Overall Component


“Optional” FormsPHS Additional Indirect Costs

Required FormsSF424 (R&R)Project/Performance SitesR&R Other Project InfoR&R Senior/Key PersonsPHS 398 Cover Page SupplementPHS 398 Research Plan

“Optional” FormsR&R Subaward BudgetPlanned Enrollment ReportCumulative Inclusion Enrollment

Required FormsSF424 (R&R)Project/Performance SitesR&R Other Project InfoR&R Senior/Key PersonsPHS 398 Cover Page SupplementPHS 398 Research PlanR&R Budget

Multi-project Application Assembly

Understand how your application image will be assembled by NIH for funding consideration

The Overall component is presented first Including system-generated data summaries

Additional component types are presented in alphabetical order (e.g., Cores before Projects) Components of the same type are grouped together Components are identified by type and sequential

number (e.g., Core-001, Core-002)

145

Check out this resource: http://grants.nih.gov/grants/ElectronicReceipt/files/multi-project_application_image.pdf

http://grants.nih.gov/grants/ElectronicReceipt/files/multi-project_application_image.pdf

http://grants.nih.gov/grants/ElectronicReceipt/files/multi-project_application_image.pdf

Check Out This Seminar Session

Friday, Oct. 162:00-3:15

146

Submission Policies

SYSTEM ISSUESDUE DATES ON HOLIDAYS & WEEKENDS

LATE POLICYPOST-SUBMISSION APPLICATION

MATERIALSCONTINUOUS SUBMISSION

RULES FOR RESUBMISSIONSEVALUATION OF OVERLAPPING

APPLICATIONSAPPENDIX POLICY & “OVERSTUFFED”

APPLICATIONS

147

Watch for Policy Updates148

Keep an eye on the NIH Guide for Grants and Contracts for policy and process updates.

Subscribe for weekly e-mails of new postings: http://grants.nih.gov/grants/guide/listserv.htm

http://grants.nih.gov/grants/guide/listserv.htm

System Issues

When Grants.gov or eRA system issues threaten your on-time submission…

Contact appropriate support team to try to get resolution If working with Grants.gov, contact eRA Service Desk to

document issue and steps taken toward resolution If eRA Service Desk confirms a system issue, your

application will not be considered late as long as you work diligently with the Service Desk to resolve problems as quickly as possible

149

NIH Guide Notice: NOT-OD-13-054http://grants.nih.gov/grants/guide/notice-files/NOT-OD-13-054.html


Due Dates on Holidays & Weekends

When a submission due date falls on a weekend or Federal holiday, the application deadline is automatically extended to the next business day.

150

http://www.opm.gov/Operating_Status_Schedules/fedhol/2010.asp

Late Applications

Two-week window of consideration See notice for exceptions

Permission is not granted in advanceLate applications are accepted only in

extenuating circumstancesCover letter requiredEvaluated on a case-by-case basis

151



Post-submission Application Materials

NIH will only accept post-submission grant application materials resulting from unforeseen administrative issues for most applications

See Guide Notice for details on acceptable and unacceptable material, exceptions, and page limits

When exceptions do apply, materials must be received at least 30 days prior to the peer review meeting and must be sent by (or with the explicit concurrence of) the AOR

152



Continuous Submission

Alternative submission policy for PD/PIs serving as appointed members of NIH chartered standing study sections, NIH Boards of Scientific Counselors, NIH Advisory Boards or Councils, NIH Program Advisory Committees, and/or peer reviewers who have served as regular or temporary members six times in 18 months

Applies to R01, R21, and R34 applications that would normally be received on standard application submission dates (not special receipt dates)

153

Continuous Submission page:http://grants.nih.gov/grants/peer/continuous_submission.htm

http://grants.nih.gov/grants/peer/continuous_submission.htm

http://grants.nih.gov/grants/peer/continuous_submission.htm

Rules for Resubmissions

NIH allows a single Resubmission (A1)

Applicants must submit Resubmission applications (A1) within thirty-seven (37) months of the initial New, Renewal, or Revision application due date

154





Rules for Resubmissions (cont.)

Following an unsuccessful resubmission (A1) application, applicants may submit the same idea as a new (A0) application for the next appropriate new application due date

155


NIH Policy on Resubmission Applications page:http://grants.nih.gov/grants/policy/amendedapps.htm


http://grants.nih.gov/grants/policy/amendedapps.htm

http://grants.nih.gov/grants/policy/amendedapps.htm

Evaluation of Overlapping Applications

While NIH no longer limits the number of times you can submit an application with essentially the same content and scope as an earlier unsuccessful application, it is not allowable to have overlapping applications under review at the same time.

156



Appendix Policy & “Overstuffed” Applications

Applicants must follow application guide and announcement instructions regarding appropriate appendix materials

Applicants should not use the Appendix section to circumvent page limits In particularly egregious cases NIH has the authority to

withdraw the application from review or consideration for funding

157

Don’t Overstuff: NOT-OD-11-080http://grants.nih.gov/grants/guide/notice-files/NOT-OD-11-080.html

Full Appendix Policy: NOT-OD-07-018






New Biosketch Format

Page limit extended from 4 to 5 pagesUp to 5 significant contributions to science

Up to 4 relevant peer-reviewed publications or non-publication research products

Option to include link to full list of published work

Required for due dates on/after May 25, 2015

158

NIH Guide Notice: NOT-OD-15-032http://grants.nih.gov/grants/guide/notice-files/NOT-OD-15-032


159

Questions?

October 2015 electronic Research Administration (eRA) OER, OD, National Institutes of Health.

Documents

Transcript of October 2015 electronic Research Administration (eRA) OER, OD, National Institutes of Health.