Interacting Electronically with NIH

1. Interacting Electronically with NIH Sheri Cummins & Scarlett Gibb Customer Relationship Managers Electronic Research Administration External Services – eSubmission & eRA Commons askera@mail.nih.gov

2. NIH Moving Forward From your ideas… …into our systems… …to advance medical discovery.

3. Electronic Interaction Points NIH Grant Web site Check ReviewAssignment Learn About Grants at NIH NIH Guide Find Opportunities Check ReviewOutcome Grants.gov Download App Package Submit Pre-AwardInformation Submit Application Check Submission Status Prepare/Submit Post-Award Reports eRA Commons View Assembled Application Image Closeout Grants

4. Learn About Grants http://grants.nih.gov/ BASICS NIH GUIDE INITIATIVES eRA, Commons,eSubmission GET CONECTED GLOSSARY, FAQS POLICY FORMS & INSTRUCTIONS, SUBMISSION DATES

5. eSubmission Transition Status All applications now require electronic submission with the exception of the following mechanisms* • Career Development • Fellowship • Training (T&D) • Complex, Multi-project Applications (Project/Centers) *These use the paper PHS398 application process

6. K, F and T Transition Plans February 12 – Research Career Development (K) April 8 - Individual National Research Service Awards (F) September 25 - Institutional National Research Service Awards and Other Training Grants (T, D) * Complex applications to be determined 2009 JAN FEB MAR APR MAY JUN JUL AUG SEP OCT NOV DEC K F T

7. eSubmission Process Prepare to Apply Find Opportunity and Download Application Package Prepare Application If errors, correct & submit again Submit Application to Grants.gov Check Submission Status Check Assembled Application Submission Complete

8. Two Systems Working Together • Grants.gov – the Federal government’s single online portal to find and apply for Federal grant funding • Used by all 26 Federal grant-making agencies • eRA Commons – electronic Research Administration system that allows applicants, grantees and Federal staff to access, share and transmit information related to their applications and grants • Used by NIH and a few other HHS components IMPORTANT:Each system has its own registration and validations requirements

9. Registration – Grants.gov Grants.gov – Organization • Applicant Organization only (one time) • Many organizations are already registered - ask your Office of Sponsored Research • Registration steps outlined at: http://www.grants.gov/applicants/get_registered.jsp • Important Tip: Update your Central Contractor Registry information yearly to keep your Grants.gov credentials active. START EARLY! Can take 2–4 weeks; up to 8 weeks for newly established or foreign businesses

10. Registration – eRA Commons eRA Commons – Organization • Register your organization/institution (one time); designate your Signing Official (SO) • List of registered orgs: http://era.nih.gov/commons/quick_queries/commons_registered_orgs.cfm • Not listed? Register here: https://commons.era.nih.gov/commons/registration/registrationInstructions.jsp • May be completed simultaneously with Grants.gov registration once the DUNS # is obtained Allow 2 – 4 weeks to complete http://era.nih.gov/ElectronicReceipt/preparing.htm

11. Registration – eRA Commons eRA Commons – PD/PI • Project Director/Principal Investigators (PD/PIs) must work through their institution’s Signing Official (SO) or others with account administration authority to ensure appropriate registration/affiliation • PIs have one account that follows them throughout their careers • Can be affiliated with multiple organizations • The PI and SO need separate accounts in eRA Commons because each has different privileges Allow 4 - 5 business days to complete

12. Make a Submission Plan There is more than one way to submit an electronic application. Check with your Office of Sponsored Research to find out what you use: • Forms-based submission using free viewer software • System-to-System using XML data stream • Services of a commercial service providerhttp://era.nih.gov/ElectronicReceipt/sp.htm

13. Administrators and PIs must work together on applications Internal Process Considerations Find Out How Your Organization Manages… • Internal review & approval processes • Sharing applications in progress • Last minute queue at Sponsored Programs

14. Obtain Software • Form software • PureEdge Viewer – current • Adobe Reader – beginning December 2008 • New Adobe-based forms will replace PureEdge-based forms • Forms are very similar and differ mainly in form navigation and formatting • May not be needed for System-to-System submissions • PDF conversion program – text attachments must be converted to PDF • Grants.gov download software Web page: http://www.grants.gov/resources/download_software.jsp

15. Must Use Compatible Adobe Reader! • Only specific Adobe Reader versions are compatible with Grants.gov forms • Currently Adobe Reader 8.1.2 or 9.0 are required to work with forms • Stay tuned to Grants.gov’sDownload Software page for changes (http://www.grants.gov/help/download_software.jsp) • A pop-up usually warns if you have a wrong version • If using an Adobe Acrobat product to create PDFs, check Grants.gov’s Web site for help on settings • To ensure the application reader opens in the correct version of Adobe Opening forms with non-compatible Adobe Reader may corrupt application and prevent successful submission!

16. Use PureEdge through Jan. 7 Small Business & Conference FOAs OCT NOV DEC JAN FEB Pilot completed NIH Transition to Adobe Forms Adobe forms available for Small Business & Conference FOAs Check FOA for new Adobe forms Begin using Adobe for most Jan. 1 receipts* • * Most receipt dates on or after Jan 1, 2009 must use Adobe, except… • Small business (R41,R42, R43, R44) and conference (R13/U13s) grant applications with Jan. 7, 2009 AIDS submission deadlines • FOAs expiring on or before January 31, 2009 will continue to use Pure Edge until the expiration date.

17. NIH Adobe Transition Schedule

18. eSubmission Process Prepare to Apply Find Opportunity and Download Application Package Prepare Application If errors, correct & submit again Submit Application to Grants.gov Check Submission Status Check Assembled Application Submission Complete

19. Find Opportunity & Download Package • ALL applications must be submitted in response to a Funding Opportunity Announcement (FOA) • NIH simultaneously posts FOAs on: • NIH Guide for Grants and Contracts http://grants.nih.gov/grants/guide/index.html • Announcements include button to download package and instructions from Grants.gov • Grants.gov

20. Investigator–Initiated Research • NIH is committed to investigator-initiated research and we want your unsolicited applications! • All applications now must be submitted in response to an FOA • “Parent” FOAs are available with generic packages • Apply using the Parent FOA for your chosen activity code Parent announcements listed at: http://grants.nih.gov/grants/guide/parent_announcements.htm

21. Parent FOAs NIH Office of Extramural Researchhttp://grants.nih.gov/grants/oer.htm Parent Announcements for Unsolicited Applications

22. Unsolicited or Investigator Initiated Apps Submit unsolicited or Investigator Initiated applications using the appropriate Parent Announcement

23. Finding FOAs in NIH Guide NIH Guide for Grants & Contractshttp://grants.nih.gov/grants/guide/ Enter search string or click Advanced Search

24. Finding FOAs in NIH Guide Enter search parameters Click Search

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

26. Announcement Notes • Carefully read the entire announcement • Key dates: • Release/Posted Date: package and instructions available for download • Opening Date: application can be submitted • Expiration Date: announcement closed

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

28. Download Package Download forms and instructions

29. NIH is waiting for updates to be made to the SF424 (R&R). System-to-System Providers should get in touch with Grants.gov for information on schema changes We expect to add the newly updated forms to the Funding Opportunity Announcements (FOAs) by December 2008 New forms for small business and conference FOAs will be available in early February 2009 More at: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-117.html Some FOAs are Being Published Without Electronic Application Forms Tip: Develop your research plan and attachmentsnow. Wait to complete the actual forms until you download the correct application in December.

30. eSubmission Process Prepare to Apply Find Opportunity and Download Application Package Prepare Application If errors, correct & submit again Submit Application to Grants.gov (AOR only) Check Submission Status Check Assembled Application Submission Complete

31. Grant Application Package Screen Mandatory Grants.gov fields highlighted; Check App Guide for additional NIH required fields Save locally Header info is pre-populated and not editable Complete the SF424 (R&R) first –populates fields in other forms Check Application Guide to determine which Optional Documents to submit

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

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

34. eSubmission Process Prepare to Apply Find Opportunity and Download Application Package Prepare Application If errors, correct & submit again Submit Application to Grants.gov (AOR only) Check Submission Status Check Assembled Application Submission Complete

35. Submit Application • Save & Submit button will not become active until: • All fields marked as mandatory on the forms are completed • All Mandatory Documents are moved to Mandatory Documents for Submission box and completed • The application is Saved Check Package for Errors only checks Grants.gov errors. You must Submit the application for it to go through the NIH validation process. NIH errors will be shown in the eRA Commons.

36. Submit Application Enter your Grants.gov username and password – you must be fully registered to successfully submit. Only the AOR can Submit application.

37. Submit Application Click Sign and Submit Application button to record electronic signature and initiate submission process to Grants.gov

38. Submit Application Print/Save your Confirmation screen info Grants.gov Tracking # Date/Time Stamp - due 5 p.m. local time of the applicant org. on submission deadline date

39. Upon Submission Grants.gov Will Check to Ensure: • All Grants.gov mandatory fields have been completed • All mandatory documents have been completed and moved to the Completed Documents box (Submission List) • The validity of the organizational DUNS # • Date format, e-mail address format, and virus-free 39

40. E-mail Notifications – Grants.gov AOR receives Grants.gov e-mails • Submission Receipt – app received and is being validated (Grants.gov validations only) 2. Rejection Notice – app is not validated because of Grants.gov errors OR Submission Validation Receipt – app has been validated (Grants.gov validations only) 3. Grantor Agency Retrieval Receipt – app has been retrieved by the agency 4. Agency Tracking Number – app has been assigned a tracking number by the grantor agency (NIH) 40

41. Back to NIH You’re not done yet! Make sure you follow the application through to NIH. 41

42. eSubmission Process Prepare to Apply Find Opportunity and Download Application Package Prepare Application If errors, correct & submit again Submit Application to Grants.gov Check Submission Status Check Assembled Application Submission Complete

43. Application Processing in eRA Commons • eRA system retrieves applications from Grants.gov and checks them against NIH business rules defined in application guide instructions and FOA • Complete list of NIH validations: http://era.nih.gov/ElectronicReceipt/prepare_app.htm#5 • Remember, the SF424 (R&R) forms are owned by Grants.gov and used by many agencies, so unfortunately we cannot build agency-specific business rules into the forms

44. E-mail Notifications - eRA Commons AOR/SO, PD/PI and Contact receive e-mails 44

45. Check Status in Commons – PD/PI Select Recent/Pending eSubmissions Or provide Grants.gov tracking number from email notification 45

46. Status – eSub Errors/Warnings Indicates eSubmission Error Grants.gov Tracking # Grants.gov tracking # and date are displayed followed by the list of errors/warnings for each submission attempt

47. Status – eSub Errors/Warnings • Errors stop application processing and must be corrected • Warnings do not stop application submission and are corrected at the discretion of the applicant Helpful LinksAvoiding Common Errors page:http://era.nih.gov/ElectronicReceipt/avoiding_errors.htm Full list of Commons Validations http://era.nih.gov/ElectronicReceipt/files/SF424RR_Validation.pdf

48. On-time Submission • All registrations must be completedprior to initial submission • Submission must be accepted by Grants.gov with a timestamp on or before 5:00 p.m. local time of submitting organization on submission deadline date • Errors/Warnings must be corrected within the 2-business day error correction window

49. Error Correction Window • NIH currently allows applicants to correct errors/warnings during the two (2) business days after the submission deadline • Referred to as “error correction window” • Your original application submission must have been submitted on time with all appropriate registrations in place • Cover letter identifying changes required See Notice in NIH Guide for Grants & Contracts (11/30/2007): http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-018.html

50. Correcting eSub Errors/Warnings Make changes to address the error/warning messages in the local copy of the application • Select Changed/Corrected on SF424 (R&R) cover (box #1) • Federal Identifier on SF424 (R&R) cover (box #4) is a required field when Changed/Corrected is selected • If New is selected in box #8, use Grants.gov tracking number for original submission • Otherwise, continue to use the Institute/Center and serial number from original grant award (ex. CA123456) • Include cover letter if after submission deadline • AOR must submit the entire changed/corrected application to Grants.gov • Track submission through to Commons NOTE:Reviewers do not see applicant errors/warnings.