Presentation on theme: "8/24/2014 1 1 Submitting Electronic Grant Applications to NIH A Practical Guide June 2012 Electronic Research Administration Office of Extramural Research."— Presentation transcript:
8/24/ Submitting Electronic Grant Applications to NIH A Practical Guide June 2012 Electronic Research Administration Office of Extramural Research National Institutes of Health Sheri Cummins eRA Customer Relationship Manager – eSubmission Aaron Czaplicki eRA Service Desk Specialist
2 Two Separate, but Linked Systems Grants.gov Federal-wide portal to find and apply for Federal grant funding Used by all 26 Federal grant-making agencies 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 IMPORTANT: Each system has its own registration and application requirements.
3 Process Overview AOR/SO Find and download announcement, instructions and form package. Prepare application per institution & agency guidelines. Authorized Organization Rep. (AOR) submits application to Grants.gov. eRA downloads application and verifies compliance with application instructions. PI/SO check submission status and view assembled application in eRA Commons.
4 eSubmission Website
5 Get Registered Grants.gov –Applicant Organizations only –Designate E-Business Point of Contact (E-Biz POC) Approves Authorized Organization Representatives (AORs) to submit applications –No registration needed to find opportunities or download forms eRA Commons –Applicant Organization & PD/PI –Designate Signing Official (SO) Registers or affiliates Project Director/Principal Investigator (PD/PI) NOTE: Many organizations are already registered. Check with your Office of Sponsored Projects.
6 Keys to Success If not yet registered, start the process at least 4 weeks before the deadline –Once DUNS number is obtained, Grants.gov and eRA Commons registrations can be done in tandem –NIH 2-week “good faith effort” for Commons registration Set-up multiple AOR and SO accounts Log in to accounts prior to deadline to ensure you have access to the systems Update Central Contractor Registration (CCR) information yearly to keep credentials active As of the end of July 2012, CCR services will be managed through SAM.gov.
7 Keys to Success Do not combine SO and PI roles on single Commons account PIs get one Commons account that follows them throughout their careers If PI is already registered, “affiliate” their existing account rather than creating a new one –PIs should update their Commons profile prior to submitting (e.g., degree info used to determine Early Stage Investigator eligibility)
8 Obtain Software Adobe Reader required for form- based submission PDF conversion program –Attachments must be converted to PDF Grants.gov download software page –http://www.grants.gov/help/download_so ftware.jsphttp://www.grants.gov/help/download_so ftware.jsp
9 Chose Submission Method Downloadable Adobe forms System-to-system using XML data stream Services of a commercial service provider –http://grants.nih.gov/grants/ElectronicReceipt/ sp.htmhttp://grants.nih.gov/grants/ElectronicReceipt/ sp.htm Approximately 30% of all apps to NIH used S2S in FY2011.
10 Make a Submission Plan Application preparation responsibilities Sharing applications in progress Internal review & approval process Internal deadlines Post-submission responsibilities Administrators and PIs must work together!
11 Find an Opportunity Funding Opportunity Announcements (FOAs) –Grants.gov –NIH Guide for Grants & Contracts Parent Announcements –Investigator-initiated research –Use Parent FOA for your chosen grant program (i.e. R01, R03, R21 etc.)
12 Finding Parent FOAs ‘ Parent’ FOAs for Administrative Functions (bottom of Parent Announcement Page)
13 Search for FOAs in Grants.gov For Applicants: Find Grant Opportunities
14 Search for FOAs in Grants.gov Enter search criteria and click Search Click Advanced Search or other desired search
15 Search for FOAs in Grants.gov Click Opportunity Title to access opportunity synopsis Click Application to access application package Now let’s get to the same step using the NIH Guide…
16 Search for FOAs in NIH Guide Enter search string or click Advanced Search NIH Guide for Grants & Contracts
17 Search for FOAs in NIH Guide In Advanced Search screen, enter search parameters and click on Search button. Enter search parameters Click Search
18 Search for FOAs in NIH Guide Click Announcement Number link to access FOA information
19 Announcement Notes Click Apply for Grant Electronically found within the NIH Guide announcement. Be aware of key dates
20 Announcement Notes Click downloadVerify information Can also get to this screen by clicking Application from Grants.gov synopsis… Use highest Competition ID if more than one choice is given Competition Title often provides additional selection advice
21 Download Package & Application Guide Download application instructions and Application Package Sign up for Agency updates to FOA Hands-on Exercise
22 Follow Application Guide Instructions Agency-specific instructions are marked with the HHS logo
23 SF424 R&R Data Set NIH uses the SF424 Research & Related (R&R) data set –Owned and maintained by Grants.gov NIH applications include: –Federal-wide (R&R) components NIH cannot build agency-specific business rules into federal-wide forms –Agency-specific (PHS) components
24 SF424 R&R Data Set Federal-wide forms –SF424 (R&R) –Project/Performance Site Location(s) –R&R Other Project Info –R&R Sr/Key Person Profile (Expanded) –Research & Related Budget –R&R Subaward Budget Attachment –SF424C – Construction Budget –SBIR/STTR Information
25 SF424 R&R Data Set Agency-specific (PHS) Forms – PHS Cover Letter – PHS 398 Cover Page Supplement – PHS 398 Modular Budget – PHS 398 Research Plan – PHS 398 Checklist – PHS 398 Career Dev. Award Supp. – PHS Fellowship Supplemental Form – PHS 398 Research Training Program Plan – PHS 398 Training Budget – Training Subaward Budget Attachment Form
26 Grant Application Package Make sure you have the correct application package. FOA information is automatically populated and not editable. Save the package locally. *Application Form Screen - Top* Mandatory Grants.gov fields highlighted yellow with red box.
27 Grant Application Package Mandatory Documents must be completed prior to submission. *Application Form Screen - Bottom* Complete the SF 424 (R&R) form first – info from this form populates fields in other forms in the package. See application guide to determine which Optional Documents you need to include.
28 Avoid Common Errors 1.Does the DUNS number on the SF424 (R&R) cover form match the DUNS number used for Grants.gov & Commons registrations?
29 Avoid Common Errors Primary site DUNS is required by NIH and is enforced with an agency validation
30 Avoid Common Errors 2.Did you provide correct Type of Submission (#1), Federal Identifier (#4), and Type of Application (#8) information on the SF 424 (R&R) cover form? Use Application for first submission attempt for the same deadline Use Changed/Corrected when submitting again to correct eRA- identified errors/warnings
31 Avoid Common Errors If box 1=Application and box 8=New, then leave blank If box 1=Changed/Corrected and box 8=New, then enter previous Grants.gv tracking number Otherwise, use Institute and serial # of previous NIH grant/app (e.g., use CA from 1R01CA ) See Application Guide for definition of application types
32 Avoid Common Errors Type of Application (#8) TermNotes NewAn application that is submitted for funding for the first time. (Type 1) RenewalPrevious years of funding for the project have elapsed. Competing for additional years of funding to continue original project. (Type 2) RevisionRequest 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) ResubmissionApplication previously reviewed. A revised or amended application that addresses reviewer feedback. (A1) ContinuationNIH 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.)
33 Avoid Common Errors 3.Did you include the eRA Commons ID in the Credential field of the R&R Sr/Key Person Profile form for all PD/PIs? 4.If submitting a Multiple-PD/PI application, did you give all PIs the PD/PI role on the Sr/Key Person Profile form?
34 Avoid Common Errors 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 Username Select PD/PI role for each PI
35 Avoid Common Errors 5.Did you include Organization name for all Sr/Key listed on the R&R Sr/Key Person Profile (Expanded) form? Organization Name PD/PI Organization will auto-populate from SF 424 (R&R) cover if available. NIH requires the Organization name for all Sr/Key listed. Enter Organization Name
36 Avoid Common Errors 6.Did you include all required attachments? –Whether an attachment is required or not is often based on how the applicant answers specific questions throughout the application –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
37 Avoid Common Errors Annotated form sets available on the Resources page of the Applying Electronically website are a great resource for helping identify many conditional requirements. Annotated form sets:
38 Avoid Common Errors 7.Are all your attachments in PDF format? –Use simple PDF-formatted files Do not use Portfolio or similar feature to bundle multiple files into a single PDF Disable security features such as password protection –Keep file names to 50 characters or less and use only letters, numbers and underscore (_) –Do not include headers or footers Section headings as part of the text (e.g., Specific Aims, Background & Significance) are encouraged –Follow guidelines for fonts and margins –Avoid 2-column and “landscape” format PDF Guidelines:
39 Avoid Common Errors 8.Did you follow the page limits specified in the FOA and application guide? Find page limits in: FOA text Application guide page limit table Application guide form field instructions
40 Avoid Common Errors 9.Did you 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 period Include effort > zero for all Sr/Key listed
41 Avoid Common Errors 10.Did you follow all special instructions noted in Section IV. Application and Submission Information of the announcement? –When the application guide and FOA instructions differ, the FOA wins –FOA-specific requirements are not typically system- enforced –Applications that do not comply with the instructions may be delayed or not accepted for review Hands-on Exercise
42 Submit Application Check Package for Errors only checks a subset of Grants.gov errors You must SUBMIT the application for it to be checked against NIH application instructions. NIH errors/warnings will be displayed in the eRA Commons. Save & Submit button will not become active until application is saved and mandatory information is completed.
43 Submit Application Enter your Grants.gov username and password – you must be fully registered to successfully submit. Only the AOR can submit application!
44 Submit Application Click Sign and Submit Application button to record electronic signature and initiate submission process to Grants.gov.
45 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
46 On-time Submission Error-free submission must be accepted by Grants.gov with a time stamp on/before 5:00 p.m. local time (of submitting organization) on due date –Submit early (days, not minutes) to have time to address system-identified errors or problems found during the application viewing window –All Changed/Corrected submissions must be made by the due date/time –NIH’s late policy does not allow for error corrections after the deadline
47 NIH Late Submission Policy Permission to submit late not given in advance Provides examples of scenarios that have/ have not been previously accepted –Failure to complete required registrations by the deadline and correcting errors/warnings are not acceptable reasons for late submissions Additional clarification regarding special dates for New Investigator resubmission deadlines NIH Guide Notice: NOT-OD http ://grants.nih.gov/grants/guide/notice-files/NOT-OD html http ://grants.nih.gov/grants/guide/notice-files/NOT-OD html NIH Guide Notice: NOT-OD Hands-on Exercise
49 Grants.gov Notifications AOR receives Grants.gov s –Receipt Grants.gov verifying receipt of application –Validation Grants.gov verifying successful submission to Grants.gov OR rejection due to errors –Transmission to Agency sent once agency retrieves submission sent when agency tracking number assigned
50 Grants.gov Validations AOR is authorized to submit on behalf of DUNS CCR Registration is active Grants.gov mandatory documents and fields completed DUNS# on application matches DUNS# in organization’s Grants.gov registration Attachments are –Virus-free –Have file names of 50 characters or less –Have file names with no spaces or special characters ( -, &, *, %, /, #, \); underscore (_) is OK
51 Track Application in Grants.gov Grants.gov application status
52 Track Status in Commons Commons Status is an integral part of electronic application submission –Applications are picked up by eRA Commons and checked against application guide and opportunity instructions –Processing result available in eRA Commons Status to SOs, PIs and delegated assistants – notifications sent
53 eRA Commons Notifications eRA s are sent to the AOR/SO, PD/PI and contact s listed on SF424 (R&R) form –Validation complete, check assembled application –Validation complete, check assembled application – Warnings only –Action required – Errors and/or Warnings –Action required – Missing or invalid eRA Commons Username (only sent to AOR/SO) –Action required – System Error –SO has refused electronic application (rejected) –NIH has auto-verified the application (after 2-day viewing window)
54 eRA Commons Username Password
55 Delegate Status PD/PIs can Delegate Status viewing privileges –Provides access to PI’s Status information including the ability to check for application submission errors/warnings and to view the assembled application image –DOES NOT provide access to application summary statement or priority score –Delegation can be made to any eRA Commons user at the PI’s institution with the Assistant (ASST) role
56 Track Status in Commons – PD/PI Select Recent/Pending eSubmissions Or provide Grants.gov tracking number from notification
57 Track Status in Commons – PD/PI Grants.gov tracking # and date are displayed followed by the list of errors/warnings for each submission attempt Indicates eSubmission Error Grants.gov Tracking #
58 Track Status in Commons Errors stop application processing and must be corrected before the deadline Warnings do not stop application submission and are corrected at the discretion of the applicant before the deadline Helpful Links Avoiding Common Errors page: Full list of Commons Validations:
59 Correcting Errors/Warnings Make needed corrections to the local application forms Check Changed/Corrected in the Type of Submission field located in box #1 of the SF 424 (R&R) form –Federal Identifier on SF 424 (R&R) cover (box #4) is a required field when Changed/Corrected is selected –If box #8=New, include original Grants.gov tracking number –Otherwise, continue to use the Institute/Center and serial number from original application/grant number (ex. CA987654) Include cover letter if after submission deadline and working with help desk on system issue Submit the entire Changed/Corrected application back through Grants.gov before the deadline Track submission through to Commons NOTE: Reviewers do not see applicant errors/warnings.
60 View Application Image Once an error-free application is received, the eRA system will: –Assemble the grant application image –Insert headers (PI name) & footers (page numbers) on all pages –Generate Table of Contents and bookmark important sections –Post the assembled application image in the PI’s eRA Commons account
61 Application Viewing Window Applicants have two (2) business days to view the assembled application before it automatically moves forward to NIH staff for further processing SO can Reject application within viewing window and submit a Changed/Corrected application prior to the due date If you can’t VIEW it, we can’t REVIEW it!
62 View Application Image View Appendices and Cover Letter Follow e-Application link to view assembled application image Follow link to detailed status info Status is Pending Verification
63 View Application Image TIP: Carefully review the entire application. This is your first chance to view/print the same application image that will be used by Reviewers!
64 Reject Application 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!
65 Reject Application Select Reject eApplication Enter comment to be sent with notification Click Reject
66 Submission Complete! If no action is taken during the two business day viewing window, the application automatically moves forward to NIH for further processing. Hands-on Exercise
67 What’s New?
68 Submitting Applications for Administrative Functions NIH now accepts electronic applications through Grants.gov for specific administrative functions –Administrative Supplement (Type 3) –Successor in Interest (Type 6) –Change of Institution (Type 7) If competing applications for an activity code can be submitted electronically, then administrative function requests for that activity code can also be submitted electronically –http://grants.nih.gov/grants/ElectronicReceipt/files/electro nic_activity_code_table.pdfhttp://grants.nih.gov/grants/ElectronicReceipt/files/electro nic_activity_code_table.pdf
69 Submitting Applications for Administrative Functions Speak with awarding institute before submitting Parent Announcement page has general use FOAs –http://grants.nih.gov/grants/guide/parent_announcements.htmhttp://grants.nih.gov/grants/guide/parent_announcements.htm 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)
70 Submitting Applications for Administrative Functions Similar submission process as competing applications, except: –Many of the business rule validations for competing applications are not enforced –The forms included in the packages may vary from competing applications for the same activity code Modular budget forms replaced with detailed R&R Budget forms Budget forms added to some Type 7 packages (e.g., DP1, DP2, DP3) Type 6 packages have only a few required forms
71 Submitting Applications for Administrative Functions After the two-day viewing window the application bypasses Receipt & Referral and goes directly to Grants Management staff for consideration –Type 6 & 7 requests will move to List of Applications (for PIs) and the General Search (for SOs) like competing applications
72 Submitting Applications for Administrative Functions After viewing window (cont.) –Administrative Supplement requests (Type 3s) will move to Admin Supp Status tab in Commons If Refused by Agency, it remains here If Awarded, it will move back to List of Applications Admin Supps submitted through Grants.gov will have a Grants.gov Tracking #
73 Submitting Applications for Administrative Supplements (Type 3s) Example: Parent Admin Supp FOA: PA Download package based on activity code of awarded grant
74 Submitting Change of Institution (Type 7) Requests Old institution submits Relinquishing Statement electronically through eRA Commons New institution submits app through Grants.gov Search for grant to relinquish Manage Relinquishing Statement
75 What’s Coming? Electronic Submission of NIH’s complex, multi-project applications –Application Submission System & Interface for Submission Tracking (ASSIST) –If you would like to participate in user acceptance testing, please contact: Sheri Cummins
76 eSubmission Odds & Ends
77 Dealing with 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 Help Desk to document issue and steps taken toward resolution –If verified system issue, this documentation can be used in place of tracking # and time stamp as proof of "on-time" submission –Document your issues and corrective actions, including support ticket numbers, in cover letter –If eRA Help Desk confirms a system issue, your application will not be considered late as long as you work diligently with the Help Desk to resolve problems as quickly as possible
78 NIH Contingency Plans Address large-scale, extended system issues on submission deadline dates –Individual issues, issues affecting small subsets of applicants, or issues lasting less than a half business day are handled case-by-case Sample actions: –Extending submission deadline Communicated through: –Alert on Commons log in screen –Notice in NIH Guide for Grants & Contracts: –Commons listservs:
79 Reference Letters Some NIH grant programs require the submission of reference letters in addition to the grant application (e.g., Mentored Career Development program) –Letters are NOT part of the application through Grants.gov –Submitted directly by the referee through eRA Commons –Commons registration not required to submit reference letter –Letters can be submitted in advance of application submission –Reference letters are due by the application submission deadline –Applications missing the required letters may not be accepted –Applicants can track the submission of reference letters in the Commons, but cannot view the actual letter FAQs:
80 Program-specific Considerations Fellowship (F) applications –Fellowship-specific Application Guide –Designate Sponsor on the R&R Sr./Key Person Profile (Expanded) form Select Role of “Other”, then indicate “Sponsor” in Other Role category –Complete PHS Fellowship Supplemental Form –PHS Cover Letter form is required Include list of referees that will submit reference letters through Commons
81 Program-specific Considerations Research Career Development Award Program (Ks, except K12 and KM1) applications –Complete PHS 398 Career Development Award Supplemental form –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 Commons
82 Program-specific Considerations Training (Ts & Ds) and Institutional Career Development (K12 and KM1) Program applications –Budget form used varies by FOA –Complete PHS 398 Research Training Program Plan –Data Tables – user defined bookmarks included in the attachment will be pulled into application image
83 Program-specific Considerations NIH Academic Research Enhancement Award (AREA) –US organizations only –Project Period limited to 3 years –The budget for the entire project period must be included in budget period one
84 Program-specific Considerations NIH Director’s Awards (DP1, DP2) and Type 1 Diabetes Targeted Research Award (DP3) –Application packages do not include a budget form –Put total budget request in the Estimated Project Funding section (item 15) of the SF424 (R&R) cover form
85 Watch for Policy Updates Keep an eye on the NIH Guide for Grants and Contracts for policy and process updates. Subscribe for weekly s of new Guide postings:
86 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 NIH Guide Notice: NOT-OD
87 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 NIH Guide Notice: NOT-OD NIH Guide Notice: NOT-OD
88 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 NIH Guide Notice: NOT-OD
Posted DatePolicy Change and Guide Notice NOT-OD /13/2012 New Electronic Submission Process Now Available for Administrative Supplement Requests NOT-OD /06/2012 Notice of NIH Plans to Transfer All Programs, Awards, and Applications Associated with the National Center of Research Resources to Other NIH Institutes and Centers NOT-OD /21/2011 Notice of Two Pilot Processes for Submitting Administrative Supplement Requests Electronically to NIH NOT-OD /05/2011 Update of NIH Late Application Policy to Reflect Change in Due Dates for New Investigator R01 Resubmission Applications NOT-OD /29/2011 Resubmission of Applications with Pending Appeals of NIH Initial Peer Review 89 Summary of Related Policy Changes
Posted DatePolicy Change and Guide Notice NOT-OD /13/2012 NIH, AHRQ, CDC, FDA and NIOSH to Release Updated Electronic Application Forms ADOBE-FORMS-B2 NOT-OD /08/2012 Change in the NIH Continuous Submission Policy for Reviewers with Recent Substantial Service NOT-OD /16/2011 Guidance for International Applicants Blocked from Registration Websites NOT-OD /26/2011 Notice of Change in Policy on the Submission of Letters of Reference for Career Development (K) Applications NOT-OD /25/2011 Reminder: Compliance with NIH Application Format and Content Instructions NOT-OD /07/11 ADOBE-FORMS-B1 for all electronic applications 90 Summary of Related Policy Changes
Posted DatePolicy Change and Guide Notice NOT-OD /08/2011 Notice of Change in Policy on the Submission of Reference Forms (Letters of Reference) for Kirschstein-NRSA Fellowship (F) Applications NOT-OD /29/2011 Change in Policy on the Submission of Plans for Instruction in the Responsible Conduct of Research (K applications) NOT-OD /11/2011 Change in Policy on the Submission of Plans for Instruction in the Responsible Conduct of Research (T and D applications) NOT-OD /25/11 End of two-day error correction window NOT-OD /25/11 ADOBE-FORMS-B1 required for F, K, T, D applications NOT-OD /25/11 Time limit (37 months) for NIH Resubmission applications 91 Summary of Related Policy Changes
92 Summary of Related Policy Changes Posted DatePolicy Change and Guide Notice NOT-OD /20/2011 Change in Policy on the Submission of Letters of Reference NOT-OD /13/2011 Updated late policy NOT-OD /07/11 End of A2 application submissions NOT-OD /07/11 New page limits for Ks NOT-OD /9/2010 New FOA format NOT-OD /25/10 New policy on post-submission application materials
93 Finding Help eRA Commons Help Desk Web: Phone: TTY: Hours : Mon-Fri, 7a.m. to 8 p.m. ET –Support for: Commons Registration, eRA system validations, Application Status, Post-submission questions Grants.gov Contact Center Toll-free: Hours : 24x7 (Except Federal Holidays) Resources: –Support for: Grants.gov Registration, form behavior, submission
94 Web Sites eRA Commons: https://commons.era.nih.gov/commons/ https://commons.era.nih.gov/commons/ Electronic Research Administration: Applying Electronically: NIH About Grants: