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

2. Sheri Cummins  OER Communications & Outreach Chief, Grants Information  cumminss@od.nih.gov cumminss@od.nih.gov Jessie Floura  Electronic Research Administration (eRA) Customer Relationship Manager  flouraj1@od.nih.gov flouraj1@od.nih.gov 2

3. Submission Options Prepare to Apply & Register Walk-through the Submission Process  Find Opportunity  Make a Submission Plan  Initiate Your Application  Build Your Team  Enter Application Data  Avoiding Common Errors  Finalize Your Application  Submit Your Application  Track & View Your Application 3

4. Demo & Discussion  Downloadable Forms  ASSIST Grantee and Organization Changes Reference Letters Program-specific Considerations Submission Policies Finding Help & Resources Questions & Wrap-up 4

5. 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 5

6. 6 Downloadable Forms* System-to-System ASSIST * Single-project only

7. Key features  Online data entry  Multiple user access  Pre-submission verification of application against agency 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 7

8. Available for all multi-project programs Support expanding to single-project programs in 2015  NIH Guide notices will announce ASSIST availability for each set of activity codes once in place 8 Training (Ts & Ds), K12, KM1, R18, U18, R25, R33, R21/R33, UH2/UH3, R34, U34, R36, R15, UA5, R13, U13, RF1, UF1, RM1, UM1 July 2015 R03, R21 R01, U01, Career Dev (Ks except KM1 and K12) Jan/April 2015 SBIR/STTR (R41, R42, R43, R44, U43, U44) September 2015 Fellowships (Fs) October 2015 G07, G08, G11, G12, G13, G20, R24, U24, S06, S10, S11, S21, S22, SC1, SC2, SC3, UG1, DP1, DP2, DP3, DP4, DP5, UP5, DP7, UG1, X01, X02, UH4, RC1, RC2, RC3, RC4, UC1, UC2, UC3, UC4, C06/UC6 December 2015 Timeline: http://grants.nih.gov/grants/ElectronicReceipt/files/Timeline_for_Single-Project_ASSIST_Support.pdf

9. 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 ReaderGrants.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 9

10. 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 10

11. Subject to the same registration requirements Completed with the same data items Routed through Grants.gov Validated against the same NIH business rules Assembled in a consistent format for review consideration Tracked in eRA Commons 11 …regardless of submission option used.

12. REGISTRATIONS SOFTWARE NEEDED 12 Success depends upon previous preparation, and without such preparation there is sure to be failure. -Confucius

13. Allow a minimum of 6 weeks to complete all registrations! 13 http://grants.nih.gov/grants/ElectronicReceipt/files/registration_handout.pdf

14. 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) After obtaining your DUNS, you can begin SAM, eRA Commons and SBA Company (small business only) registrations 14 http://fedgov.dnb.com/webform Telephone Number: 866-705-5711 http://fedgov.dnb.com/webform Telephone Number: 866-705-5711

15. 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 15 www.sam.gov Telephone Numbers: US Calls: 866-606-8220 International Calls: 334-206-7828 DSN: 866-606-8220 www.sam.gov Telephone Numbers: US Calls: 866-606-8220 International Calls: 334-206-7828 DSN: 866-606-8220

16. 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 16 Telephone Numbers: US Calls: 1-800-518-4726 International Calls: 606-545-5035 Telephone Numbers: US Calls: 1-800-518-4726 International Calls: 606-545-5035

17. 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 Commons registration 17 Support: http://grants.nih.gov/support/index.html Support: http://grants.nih.gov/support/index.html

18. 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 https://public.era.nih.gov/chl/public/search/commonsRegisteredOrgs.era New registrations  Institution Registration Form: https://public.era.nih.gov/commons/public/registration/registrationInstructio ns.jsp https://public.era.nih.gov/commons/public/registration/registrationInstructio ns.jsp  Carefully follow ALL steps including printing/signing/faxing registration page and responding to email verification messages 18

19. 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 19

20. 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 20

21. 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 eligibility Log in to accounts prior to deadline to ensure you have access to the systems 21

22. At least 1 Signing Official (suggest having back-ups) PD/PI(s) Sponsor on a Fellowship application (NOT-OD-14-129)NOT-OD-14-129 Component leads of multi-project applications Candidates for diversity supplement support Anyone doing application data entry in ASSIST 22

23. 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 23 FAQs: http://www.sbir.gov/faq/general FAQs: http://www.sbir.gov/faq/general

24. 24 RegistrationOrganizationIndividuals DUNSAll SAMAllE-Biz POC* Grants.govAllE-Biz POC AOR eRA CommonsAllSO* PD/PI Multi-project Component Leads Fellowship Sponsor Diversity Supplement Candidate Data Entry in ASSIST SBASmall Business Only *Designated as part of organization registration

25. 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 http://www.grants.gov/web/grants/support/technical- support/recommended-software.html PDF conversion program  All application attachments must be converted to PDF format 25

26. 26 Find Find Opportunity Enter Data Enter application data Submit Make a submission plan Plan Track Track status and view final application image Finalize Finalize application and prepare for submission Initiate application Build Team Define team and provide application access

27. FINDING OPPORTUNITIES PARENT ANNOUNCEMENTS FUNDING OPPORTUNITY ANNOUNCEMENTS APPLICATION INSTRUCTIONS 27 Find Track PlanInitiate Build Team Enter Data FinalizeSubmit

28. 28 NIH Guide for Grants & Contracts Grants.gov Search Opportunity Each system has robust search capabilities.

29. Used for investigator- initiated research. Select Parent FOA for your chosen grant program (i.e. R01, R03, R21, etc.). 29 http://grants.nih.gov/

30. 30

31. 31 Standard Due Dates Standard AIDS Due Dates Check for FOA updates & new policy guidance

32. 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 32

33. Read and follow application guide instructions  Part I: Instructions for Preparing and Submitting an Application Agency-specific instructions are marked with the HHS logo 33 http://grants.nih.gov/grants/funding/424/index.htm

34. 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) Become familiar with what is included in the application guide, then use it as an electronic resource 34

35. 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 35 http://grants.nih.gov/grants/funding/424/index.htm

36. MAKE A SUBMISSION PLAN 36 Track Find Initiate Build Team Enter Data FinalizeSubmit Plan

37. 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? 37 Make a plan before you need one!

38. INITIATE APPLICATION IN ASSIST DOWNLOAD APPLICATION FORMS FROM GRANTS.GOV 38 Track Find PlanInitiate Build Team Enter Data FinalizeSubmit

39. Excerpt from single-project FOA in NIH Guide… 39

40. 40

41. Excerpt from single-project FOA in NIH Guide… 41

42. 42 Sign up for email alerts of application package changes Use links to download application instructions and forms package

43. 43 Track Find PlanInitiate Enter Data FinalizeSubmit Build Team

44. 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 44

45. 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  Signing Officials (SOs) and Administrative Officials (AOs) already have ability to view status so delegation is not necessary 45

46. 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 46

47. Application access can be given to additional users with Commons IDs using the Manage Access action  Must be SO or have been given ‘Access Maintainer’ authority Application access can be controlled across these variables:  Read vs. Edit  Budget vs. Non-budget data  Entire application vs. specific components (multi-project) 47

48. WORKING WITH GRANTS.GOV’S DOWNLOADABLE FORMS WORKING WITH ASSIST AVOIDING COMMON ERRORS 48 Enter Data Track Find PlanInitiate Build Team FinalizeSubmit

49. 49 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*

50. 50 *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

51. 51 Use Search Applications to access your in progress application

52. 52 ASSIST messages Screen tips Access online help Available actions vary based on application context and access Form navigation

53. 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 Take advantage of posted ‘Additional Format Pages’  http://grants.nih.gov/grants/funding/424/index.htm http://grants.nih.gov/grants/funding/424/index.htm 53

54. 54

55. 1. Does the DUNS number on the SF424 (R&R) cover form match the DUNS number used for Grants.gov & Commons registrations? 55

56. Primary site DUNS is required by NIH and is enforced with an agency validation 56

57. 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? 57 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

58. 58 Federal ID & Types of Applicationis If Resubmission/Renewal/Revision in field #8, use Institute and serial # of previous NIH grant/app (e.g., use CA987654 from 1R01CA987654-01) See Application Guide for definition of application types

59. Type of Application on SF424 (R&R), field #8 59 TermNotes 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.)

60. 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?  For multi-project, multi-PD/PI applications, all PD/PIs for the entire application should be included in the Overall Component 60

61. 61 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

62. 5. Did you include Organization name for all Sr/Key listed on the R&R Sr/Key Person Profile (Expanded) form? 62 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

63. 6. Include a biosketch for every Sr/Key entry in correct format. 63 Biosketch required for all, but only marked required on the federal-wide form for the PD/PI.

64. 7. 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 64

65. 65 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: http://grants.nih.gov/grants/ElectronicReceipt/communication.htm

66. 8. 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 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., Specific Aims, Background & Significance) are encouraged  Follow guidelines for fonts and margins 66 PDF Guidelines: http://grants.nih.gov/grants/ElectronicReceipt/pdf_guidelines.htm http://grants.nih.gov/grants/ElectronicReceipt/pdf_guidelines.htm

67. 9. Did you follow all specified page limits? 67 Find page limits in: Table of Page Limits http://grants.nih.go v/grants/forms_pa ge_limits.htm FOA text Application guide

68. 10. 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 budget period 68

69. 11. 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 withdrawn from consideration 69

70. 70 Track Find PlanInitiate Build Team Enter Data FinalizeSubmit

71. Give your application one last good check Obtain internal approvals If using ASSIST, update application status from Work In Progress to Ready for Submission 71

72. SUBMITTING YOUR APPLICATION ON-TIME SUBMISSION 72 Track Find PlanInitiate Build Team Enter Data FinalizeSubmit

73. 73 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

74. 74 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.

75. 75 Submit Application button is only active for SOs Must be an eRA SO and a Grants.gov AOR to submit

76. 76 View Submission Status Details

77. Error-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 77

78. 78 Application Successfully submitted to NIH Submitting to Grants.gov is NOT the last step in the process!

79. NOTIFICATIONS TRACKING YOUR APPLICATION IN ERA COMMONS VIEWING YOUR APPLICATION IN COMMONS REJECTING AN APPLICATION SUBMISSION COMPLETE – HAPPY DANCE! 79 Find PlanInitiate Build Team Enter Data FinalizeSubmit Track

80. 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 80 http://grants.nih.gov/grants/ElectronicReceipt/email_notifications.htm#grants

81. 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) and delegated assistants  E-mail notifications sent 81

82. 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 Email can be unreliable – proactively check eRA Commons for status 82 http://grants.nih.gov/grants/ElectronicReceipt/email_notifications.htm#grants

83. Who can access application information in eRA Commons?  Signing Officials (SOs)  Administrative Officials (AOs)  Principal Investigators (PD/PIs)  Delegated Assistants (ASST) 83

84. 84 eRA Commons: https://public.era.nih.gov/commons https://public.era.nih.gov/commons

85. 85 Select Recent/Pending eSubmissions Or provide Grants.gov tracking number from confirmation screen or email notification

86. 86 Indicates eSubmission Error Grants.gov tracking #

87. Errors stop application processing and must be corrected Warnings do not stop application processing and are corrected at the discretion of the applicant 87

88. 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 88

89. 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 89 If you can’t VIEW it, we can’t REVIEW it!

90. 90 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

91. 91 TIP: Carefully review the entire application. This is your chance to view/print the same application image that will be used by Reviewers!

92. 92 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!

93. 93 Enter comment to be sent with e-mail notification

94. 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 94

95. 95

96. 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 96

97. 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 97

98. 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 98

99. 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 99

100. Parent Announcement page has general use FOAs  http://grants.nih.gov/grants/guide/parent_announcements.h tm#post http://grants.nih.gov/grants/guide/parent_announcements.h tm#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) 100

101. 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) 101

102.  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 102

103. NOT-OD-12-132  Notice of Pilot Processes for Submitting of Post-Award Relinquishing Statements to NIH NOT-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 103

104. 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 forms 1  Streamlined eRA Commons process 1  Commons pre-populates much of the data needed for request from awarded grant  Institutional system-to-system solutions 1  Paper process 104 1 Available for single-project activity codes for which competing applications are submitted through Grants.gov.

105. Parent Announcement page has general use FOAs  http://grants.nih.gov/grants/guide/parent_announcements.h tm#adminsupp http://grants.nih.gov/grants/guide/parent_announcements.h tm#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) 105

106. 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 106

107. NOT-OD-12-043  New Electronic Submission Process Now Available for Administrative Supplement Requests 107

108. REFERENCE LETTERS 108

109. Some 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 required Can be submitted in advance of application submission Due by the application due date/time Applicants 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 109 FAQs: http://grants.nih.gov/grants/ElectronicReceipt/faq_full.htm#12http://grants.nih.gov/grants/ElectronicReceipt/faq_full.htm#12

110. 110

111. FELLOWSHIP CAREER DEVELOPMENT TRAINING MULTI-PROJECT APPLICATIONS 111

112. 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 field Cover Letter is required  Include list of referees that will submit reference letters through Commons Complete PHS Fellowship Supplemental Form 112

113. Notice to Emphasize the Requirement for Additional Educational Information  NOT-OD-14-135 (Parent F31 – Diversity) NOT-OD-14-135  NOT-OD-14-134 (Parent F31) NOT-OD-14-134  NOT-OD-14-133 (F30) NOT-OD-14-133 Notice to Discontinue Requirement for Additional Educational Information  NOT-OD-14-137 (Parent F32) NOT-OD-14-137 Sponsor eRA Commons Username Requirement  NOT-OD-14-129 NOT-OD-14-129 113

114. (Ks, except K12 and KM1) Program-specific considerations 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 114

115. 115 Combined page limit

116. 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 116

117. (Ts, Ds, K12 & KM1) Program-specific considerations 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 117

118. 118 Combined page limit Faculty Biosketches Data Tables

119. 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 119

120. Multi-Project Application: Overall Component 120 Core-001 Project Title: Research Core 1 Project Lead: Ben A. Round Organization: A Project Title: Research Core 1 Project Lead: Ben A. Round Organization: A Core-002 Project Title: Research Core 2 Project Lead: Abel Tu Lead Organization: B Project Title: Research Core 2 Project Lead: Abel Tu Lead Organization: B Project-003 Project Title: Fabulous Research Focus 3 Project Lead: Ima Doer Organization: C Project Title: Fabulous Research Focus 3 Project Lead: Ima Doer Organization: C Project-002 Project Title: Fabulous Research Focus 2 Project Lead: Quin T. Sential Organization: B Project Title: Fabulous Research Focus 2 Project Lead: Quin T. Sential Organization: B Project-001 Project Title: Fabulous Research Focus 1 Project Lead: Cher D. Money Organization: A Project Title: Fabulous Research Focus 1 Project Lead: Cher D. Money Organization: A Subaward Budget Organization: D Component Type: Project Component Type: Core Admin Core-001 Project Title: Administrative Core Project Lead: Jed I. Knight Organization: A Project Title: Administrative Core Project Lead: Jed I. Knight Organization: A Component Type: Admin Core Overall Component PD/PIs: Cher D. Money, Ben A. Round Organization: A Project Title: Research Center to Cure the Diseases of the World PD/PIs: Cher D. Money, Ben A. Round Organization: A Project Title: Research Center to Cure the Diseases of the World Single Overall component Provides an overview of the entire application Examples: P01, P20, P50

121. Multi-Project Application: Component Types 121 Core-001 Project Title: Research Core Project Lead: Ben A. Round Organization: A Project Title: Research Core Project Lead: Ben A. Round Organization: A Core-002 Project Title: Research Core 2 Project Lead: Abel Tu Lead Organization: B Project Title: Research Core 2 Project Lead: Abel Tu Lead Organization: B Project-003 Project Title: Fabulous Research Focus 3 Project Lead: Ima Doer Organization: C Project Title: Fabulous Research Focus 3 Project Lead: Ima Doer Organization: C Project-002 Project Title: Fabulous Research Focus 2 Project Lead: Quin T. Sential Organization: B Project Title: Fabulous Research Focus 2 Project Lead: Quin T. Sential Organization: B Project-001 Project Title: Fabulous Research Focus 1 Project Lead: Cher D. Money Organization: A Project Title: Fabulous Research Focus 1 Project Lead: Cher D. Money Organization: A Subaward Budget Organization: D Component Type: Project Component Type: Core Admin Core-001 Project Title: Administrative Core Project Lead: Jed I. Knight Organization: A Project Title: Administrative Core Project Lead: Jed I. Knight Organization: A Component Type: Admin Core Overall Component PD/PIs: Cher D. Money, Ben A. Round Organization: A Project Title: Research Center to Cure the Diseases of the World PD/PIs: Cher D. Money, Ben A. Round Organization: A Project Title: Research Center to Cure the Diseases of the World 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

122. Multi-Project Application: Components 122 Core-001 Project Title: Research Core Project Lead: Ben A. Round Organization: A Project Title: Research Core Project Lead: Ben A. Round Organization: A Core-002 Project Title: Research Core 2 Project Lead: Abel Tu Lead Organization: B Project Title: Research Core 2 Project Lead: Abel Tu Lead Organization: B Project-003 Project Title: Fabulous Research Focus 3 Project Lead: Ima Doer Organization: C Project Title: Fabulous Research Focus 3 Project Lead: Ima Doer Organization: C Project-002 Project Title: Fabulous Research Focus 2 Project Lead: Quin T. Sential Organization: B Project Title: Fabulous Research Focus 2 Project Lead: Quin T. Sential Organization: B Project-001 Project Title: Fabulous Research Focus 1 Project Lead: Cher D. Money Organization: A Project Title: Fabulous Research Focus 1 Project Lead: Cher D. Money Organization: A Subaward Budget Organization: D Component Type: Project Component Type: Core Admin Core-001 Project Title: Administrative Core Project Lead: Jed I. Knight Organization: A Project Title: Administrative Core Project Lead: Jed I. Knight Organization: A Component Type: Admin Core Overall Component PD/PIs: Cher D. Money, Ben A. Round Organization: A Project Title: Research Center to Cure the Diseases of the World PD/PIs: Cher D. Money, Ben A. Round Organization: A Project Title: Research Center to Cure the Diseases of the World Some number of components within a component type Announcements will clearly indicate the required minimum and/or maximum number of components expected

123. Subaward Budget Organization: B Multi-project Application Forms 123 Core-001 Project Title: Research Core Project Lead: Ben A. Round Organization: A Project Title: Research Core Project Lead: Ben A. Round Organization: A Core-002 Project Title: Research Core 2 Project Lead: Abel Tu Lead Organization: B Project Title: Research Core 2 Project Lead: Abel Tu Lead Organization: B Project-003 Project Title: Fabulous Research Focus 3 Project Lead: Ima Doer Organization: C Project Title: Fabulous Research Focus 3 Project Lead: Ima Doer Organization: C Project-002 Project Title: Fabulous Research Focus 2 Project Lead: Quin T. Sential Organization: B Project Title: Fabulous Research Focus 2 Project Lead: Quin T. Sential Organization: B Project-001 Project Title: Fabulous Research Focus 1 Project Lead: Cher D. Money Organization: A Project Title: Fabulous Research Focus 1 Project Lead: Cher D. Money Organization: A Subaward Budget Organization: D Component Type: Project Component Type: Core Admin Core-001 Project Title: Administrative Core Project Lead: Jed I. Knight Organization: A Project Title: Administrative Core Project Lead: Jed I. Knight Organization: A Component Type: Admin Core Overall Component PD/PIs: Cher D. Money, Ben A. Round Organization: A Project Title: Research Center to Cure the Diseases of the World PD/PIs: Cher D. Money, Ben A. Round Organization: A Project Title: Research Center to Cure the Diseases of the World “Optional” Forms PHS Additional Indirect Costs Required Forms SF424 (R&R) Project/Performance Sites R&R Other Project Info R&R Senior/Key Persons PHS 398 Cover Page Supplement PHS 398 Research Plan “Optional” Forms R&R Subaward Budget Planned Enrollment Report Cumulative Inclusion Enrollment Required Forms SF424 (R&R) Project/Performance Sites R&R Other Project Info R&R Senior/Key Persons PHS 398 Cover Page Supplement PHS 398 Research Plan R&R Budget

124. 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) 124 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

125. Friday, May 8 2:00-3:15 Maryland D 125

126. SYSTEM ISSUES DUE DATES ON HOLIDAYS & WEEKENDS LATE POLICY POST-SUBMISSION APPLICATION MATERIALS CONTINUOUS SUBMISSION RULES FOR RESUBMISSIONS EVALUATION OF OVERLAPPING APPLICATIONS APPENDIX POLICY & “OVERSTUFFED” APPLICATIONS 126

127. 127 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

128. 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 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 128 NIH Guide Notice: NOT-OD-13-054 http://grants.nih.gov/grants/guide/notice-files/NOT-OD-13-054.html http://grants.nih.gov/grants/guide/notice-files/NOT-OD-13-054.html

129. When a submission due date falls on a weekend or Federal holiday, the application deadline is automatically extended to the next business day. Federal holiday 129

130. Two-week window of consideration  See notice for exceptions Permission is not granted in advance Late applications are accepted only in extenuating circumstances Cover letter required Evaluated on a case-by-case basis 130 NIH Guide Notice: NOT-OD-15-039 http://grants.nih.gov/grants/guide/notice-files/NOT-OD-15-039.html http://grants.nih.gov/grants/guide/notice-files/NOT-OD-15-039.html

131. 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 131 NIH Guide Notice: NOT-OD-10-115 http://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-115.html http://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-115.html

132. 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). 132 Continuous Submission page: http://grants.nih.gov/grants/peer/continuous_submission.htm http://grants.nih.gov/grants/peer/continuous_submission.htm

133. 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 133 NIH Guide Notice: NOT-OD-10-080 http://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-080.html http://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-080.html NIH Guide Notice: NOT-OD-12-128 http://grants.nih.gov/grants/guide/notice-files/NOT-OD-12-128.html http://grants.nih.gov/grants/guide/notice-files/NOT-OD-12-128.html

134. 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 134 NIH Guide Notice: NOT-OD-14-074 http://grants.nih.gov/grants/guide/notice-files/NOT-OD-14-074.html http://grants.nih.gov/grants/guide/notice-files/NOT-OD-14-074.html NIH Policy on Resubmission Applications page: http://grants.nih.gov/grants/policy/amendedapps.htm http://grants.nih.gov/grants/policy/amendedapps.htm

135. 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. 135 NIH Guide Notice: NOT-OD-14-074 http://grants.nih.gov/grants/guide/notice-files/NOT-OD-14-074.html http://grants.nih.gov/grants/guide/notice-files/NOT-OD-14-074.html

136. 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 136 NIH Guide Notice: NOT-OD-11-080 http://grants.nih.gov/grants/guide/notice-files/NOT-OD-11-080.html http://grants.nih.gov/grants/guide/notice-files/NOT-OD-11-080.html

137. Page limit extended from 4 to 5 pages Up 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 137 NIH Guide Notice: NOT-OD-15-032 http://grants.nih.gov/grants/guide/notice-files/NOT-OD-15-032 http://grants.nih.gov/grants/guide/notice-files/NOT-OD-15-032

138. HELP DESKS ON-LINE RESOURCES &WEB SITES 138

139. eRA Commons Help Desk Grants.gov Contact Center Web: http://grants.nih.gov/su pport/ http://grants.nih.gov/su pport/ 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 : support@grants.gov support@grants.gov Resources: http://www.grants.gov/h elp/help.jsp http://www.grants.gov/h elp/help.jsp 139

140. Application guide, supplemental instructions, format pages:  http://grants.nih.gov/grants/funding/424/index.htm http://grants.nih.gov/grants/funding/424/index.htm Annotated Form Set:  http://grants.nih.gov/grants/ElectronicReceipt/communication.htm# forms http://grants.nih.gov/grants/ElectronicReceipt/communication.htm# forms Avoiding Common Errors Web page:  http://grants.nih.gov/grants/ElectronicReceipt/avoiding_errors.htm http://grants.nih.gov/grants/ElectronicReceipt/avoiding_errors.htm PDF Guidelines:  http://grants.nih.gov/grants/ElectronicReceipt/pdf_guidelines.htm http://grants.nih.gov/grants/ElectronicReceipt/pdf_guidelines.htm 140 Guides Resources Websites

141. eRA Commons: https://commons.era.nih.gov/commons/ https://commons.era.nih.gov/commons/ Electronic Research Administration: http://era.nih.gov/ http://era.nih.gov/ Applying Electronically: http://grants.nih.gov/grants/ElectronicReceipt/ http://grants.nih.gov/grants/ElectronicReceipt/ NIH About Grants: http://grants.nih.gov/grants/oer.htm http://grants.nih.gov/grants/oer.htm 141

142. 142