Electronic Grant Applications to NIH: A Practical Guide

1. Electronic Research Administration Office of Extramural Research National Institutes of Health Submitting Electronic Grant Applications to NIH A Practical GuideJune 2012 Sheri Cummins eRA Customer Relationship Manager – eSubmission Aaron Czaplicki eRA Service Desk Specialist

2. 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 Two Separate, but Linked Systems 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 http://grants.nih.gov/grants/ElectronicReceipt/

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_software.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.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 http://grants.nih.gov/ ‘ Parent’ FOAs for Administrative Functions (bottom of Parent Announcement Page)

13. Search for FOAs in Grants.gov http://grants.gov For Applicants: Find Grant Opportunitieshttp://grants.gov/applicants/find_grant_opportunities.jsp

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 Application to access application package Click Opportunity Title to access opportunity synopsis Now let’s get to the same step using the NIH Guide…

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

17. Search for FOAs in NIH Guide Enter search parameters • In Advanced Search screen, enter search parameters and click on Search button. Click Search

18. Search for FOAs in NIH Guide Click Announcement Number link to access FOA information

19. Announcement Notes Be aware of key dates Click Apply for Grant Electronically found within the NIH Guide announcement. 19

20. Announcement Notes Can also get to this screen by clicking Application from Grants.gov synopsis… Verify information Click download • Use highest Competition ID if more than one choice is given • Competition Title often provides additional selection advice

21. Download Package & Application Guide Sign up for Agency updates to FOA Download application instructions and Application Package 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 *Application Form Screen - Top* Save the package locally. Make sure you have the correct application package. FOA information is automatically populated and not editable. Mandatory Grants.gov fields highlighted yellow with red box.

27. Grant Application Package Mandatory Documents must be completed prior to submission. Complete the SF 424 (R&R) form first – info from this form populates fields in other forms in the package. *Application Form Screen - Bottom* See application guide to determine which Optional Documents you need to include.

28. Avoid Common Errors • 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 • 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 CA987654 from 1R01CA987654-01) • See Application Guide for definition of application types

32. Avoid Common Errors Type of Application (#8)

33. Avoid Common Errors • Did you include the eRA Commons ID in the Credential field of the R&R Sr/Key Person Profile form for all PD/PIs? • 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 eRA Commons username must be supplied in the Credential field Enter PI Commons Username 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 • Did you include Organization name for all Sr/Key listed on the R&R Sr/Key Person Profile (Expanded) form? PD/PI Organization will auto-populate from SF 424 (R&R) cover if available. NIH requires the Organization name for all Sr/Key listed. Organization Name Enter Organization Name

36. Avoid Common Errors • 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: http://grants.nih.gov/grants/ElectronicReceipt/communication.htm

38. Avoid Common Errors • 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: http://grants.nih.gov/grants/ElectronicReceipt/pdf_guidelines.htm

39. Avoid Common Errors • 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 • 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 • 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 Save & Submit button will not become active until application is saved and mandatory information is completed. You must SUBMIT the application for it to be checked against NIH application instructions. NIH errors/warnings will be displayed in the eRA Commons.

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-11-035http://grants.nih.gov/grants/guide/notice-files/NOT-OD-11-035.html NIH Guide Notice: NOT-OD-12-001http://grants.nih.gov/grants/guide/notice-files/NOT-OD-12-001.html Hands-on Exercise

48. Track Application Status • Grants.gov • Authorized Organization Representatives (AORs) • eRA Commons • Signing Officials (SOs) • Principal Investigators (PIs) • Delegated Assistants (ASSTs)

49. Grants.gov Notifications • AOR receives Grants.gov e-mails • Receipt • Grants.gov e-mail verifying receipt of application • 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 http://grants.nih.gov/grants/ElectronicReceipt/submit_app.htm#submit

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