Electronic Grant Submission: What you need to know

1
"Electronic Grant SubmissionWhat you need to
know"

• Stephanie Wasserman, M.S.
• Director, Office of Sponsored Programs
• Steve Berry, Ph.D.
• Director, Academic Research Computing
• Marie Vrabel
• Associate Director, Office of Sponsored Programs
• Hernan Santana
• Research Administrator, Department of Medicine

2
Agenda

• Overview of eSubmission
• Technical Aspects
• eSubmission Concepts SF424 Form
• Grants.gov and NIH eRA Commons  

3
eSubmission Overview 

• Starting with December 1, 2005 submission
  deadline, all competing research grant mechanisms
  (such as R01, R03, etc.) will transition from PHS
  398 paper to electronic submission through
  Grants.gov using the Standard Form 424 Research
  and Research Related SF424 (RR). Applicants
  should review Transition Timeline to ensure use
  of appropriate application form and transmission.
  Applications for the transition submission date
  of a mechanism must use the SF424 (RR) form and
  be submitted electronically through Grants.gov. 
  Once a mechanism transitions, the change applies
  to all subsequent Requests for Applications and
  Program Announcements. No paper applications
  will be accepted for transitioned mechanisms!

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eSubmission Setup

• Institutional setup is complete
• Grants.gov, CCR, etc.
• Point of Contact (POC) responsible for management
  of grant activities and assigning privileges is
  complete
• Authorized Organization Representative (AOR)
  submits grants on behalf of the organization
• Investigator prepares grant applicationbut does
  not submit

5
Submission Process

• Impact of Grants.gov on internal deadlines to
  ensure timely eSubmission (revised submission
  timeline to OSP)
• BIDMC business process impact (e.g. proposal
  routing)
• Grants.gov submission, approval process impact on
  internal deadlines

6
Communication, Outreach, Training

• Education training of all staff
• New form requirements for reporting budgets,
  effort, etc.
• Exploring new and different communication methods
  to increase awareness
• Support of existing PureEdge submissions for
  interim milestones

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How to Prepare for Upcoming Events and Deadlines

• Establish a NIH eCommons accountif you dont
  already have one (contact OSP at
  resadmin_at_bidmc.harvard.edu)
• Contact your Research Administrator as soon as
  you plan to respond to a solicitation that will
  require eSubmission
• Direct questions to Stephanie Wasserman at
  swasserm_at_bidmc.harvard.edu
• Working together we shall get through this!

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Where to go for Help

• BIDMC Grants.gov information sitehttp//research.
  bidmc.harvard.edu/ost/eSubmission/NIHeSubmission.a
  sp
• General info on Electronic Submission
  SF424http//era.nih.gov/ElectronicReceipt
• Grants.gov registration, submission PureEdge
  questions
• http//www.grants.gov/CustomerSupport
• Grants.gov Customer Service
• Email support_at_grants.gov Phone
  1-800-518-4726
• eRA Commons registration post submission
  questions
• http//era.nih.gov/commons/index.cfm
• eRA Commons Help Desk
• Email commons_at_od.nih.gov Phone [phone]
  OR 301-402-7469
• Transition questions on NIHs plan for
  electronic receipt
• NIH Grants Information
• Email grantsinfo_at_nih.gov Phone [phone]

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Technical Aspects of the New Process

• Stephen Berry, PhDDirectorAcademic and Research
  Computing

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Why Grants.gov ?
Grant Applicants
MIT
UCLA
Duke
Harvard
..
Applicant 3
Applicant 2
Applicant N
..

• Part of Federal Cost Control Mandate
• Facilitate System-to-System (S2S) Data Exchange

• ? Costs, ? Productivity
• Identify commonalities among
  agency-specific data

Grants.gov Trusted Broker
HHS/NIH
DOD
DOE
USDA
..
Granting Agencies
Benefits Both Grant Applicants (green) and
Agencies (blue)
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eSubmission Technical Aspect

• Applicant Organizations have two methods of
  completing submitting grant applications to
  Grants.gov
• PureEdge Forms and Viewer
• System to System (S2S)

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eSubmission Technical Aspect

• PureEdge Forms and Viewer
• Federal agencies post PureEdge funding
  opportunities applications (FOA) on web
• Researcher finds FOA and saves locally
• Use PureEdge to open complete package
• Add text, converted to PDF, as attachments
• Issues
• Must install client (does not work on Mac)
• Manage and protect the package
• PDF conversion issues
• Duplicate data entry unable to extract

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eSubmission Technical Aspect

• System to System (S2S)
• Use BI existing submission process
• Researcher selects FOA, system gets data form
  requirements
• Document Management system for text files
• OSP approval creates electronic package and
  transfers to Grants.gov
• Issues
• Must Buy or Build! (significant time / costly)
• Eliminates redundant data entry
• Tighter integration between our Submission System
  Applications sent to Grants.gov

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eSubmission Technical Aspect

• BIDMC eSubmission Current State
• Preparing S2S Solution Options
• Review Commercial App Cost options
• Develop Build Project Plan and Timeline
• Both options will take time to implement
• Implement PureEdge Solution
• Especially for immediate deadline 6/06
• In parallel with development of S2S
• Train and equip the RA and PI community

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eSubmission Technical Aspect

• PureEdge Project Outline
• Working on a Metaframe solution for all
  Researchers (PureEdge Acrobat)
• Use eSubmission folder on Research (R) drive for
  common shared storage
• Check-in file process to link PureEdge documents
  to electronic submission
• Access via document anywhere but only one person
  at a time
• Workflow will move completed package to read-only
  location

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eSubmission Information Sharing

• Communication Web Site
• http//research.bidmc.harvard.edu/ost/NIHeSubmiss
  ion.asp
• NIH and Grants.gov announcements
• BIDMC Communication information
• Training links and schedules
• Technology links
• Technical Documentation links

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Electronic Submission A Primer

• Marie Vrabel
• Paper No More, Use 424 (RR)

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What is Grants.gov ?

• What is Grants.gov?Grants.gov is a cross-agency
  initiative spanning 900 grant programs in 26
  grant-making agencies, more than 350 billion
  in annual awards. Single source to find Federal
  government-wide competitive grant opportunities.
  It is the Federal government's single, online
  portal for any person, business, or State, Local
  and Tribal government to electronically find
  grant opportunities and apply for grants.
• What functionality does Grants.gov
  provide?Grants.gov provides robust functionality
  for the grant community, including
• "Find Grant Opportunities" allows users to search
  for available grant opportunities and register to
  receive notification of grant opportunities.
• "Apply for Grants" allows users to search for and
  download application packages, complete
  application packages offline, submit completed
  application packages and track the status of
  submitted applications.
• See also Grants.gov Web site

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Grants.gov Agencies (26 federal agencies)
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Why Transition?

• Public Law (PL) 106-107
• Federal Financial Assistance Management
  Improvement Act of 1999
• Improve the effectiveness and performance of
  Federal financial assistance programs
• Simplify Federal financial assistance application
  and reporting requirements
• Improve the delivery of services to the public
• Presidents Management Agenda (2002)
• Agencies to allow applicants for Federal Grants
  to apply for, and ultimately manage, grant funds
  online through a common web site, simplifying
  grants management and eliminating redundancies .
  . .

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Why Now?

• Its been a long time coming. Its time.
• OMB has set the following FY 2006 Goal for
  Agencies Post 75 of Funding Opportunities in
  Grants.gov Find on Apply
• The PHS 398 OMB clearance expires in September,
  2007

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Timeframe
23
Timeframe
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Benefits of electronic submission

• Benefits of electronic submission include
• Facilitates efficiencies to shorten the cycle
  from application receipt to award
• Provides clear, color grant image
• Creates a comprehensive repository of data that
  can be mined by knowledge management and other
  portfolio tools
• Improves data quality (e.g., enforcement of
  business validations)
• Saves gt200,000,000 pieces of paper/year
  (estimated) and countless hours of human effort
• Reduces scanning, printing and data-entry costs

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Multiple Systems Working Together

• Grants.gov Federal governments single on-line
  portal to find apply for grant funding
• Used by all 26 Federal grant-making agencies.
• Used by NIH and other HHS components.
• eRA Commons the NIH electronic Research
  Administration system that allows
  applicants/grantees to electronically receive and
  transmit application and award information

Each system has its own registration
requirements and validation process
Important!
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Electronic Submission Information
http//era.nih.gov/ElectronicReceipt/
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Funding Opportunity Announcements

• FOAs simultaneously posted to Grants.gov along
  with appropriate application package
• Note must search Grants.gov by opportunity
  number rather than CFDA number
• New model changes use of NIH form website
• Funding opportunities continue to be posted in
  the NIH Guide and Contracts (http//grants2.nih.go
  v/grants/guide/)
• Button on NIH Guide announcement allows access
  Grants.gov application package
• NIH continue to use RFAs and PAs, but
  solicitations will be referred to as funding
  opportunity announcements (FOA) in Grants.gov

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Grants.gov Home Page
29
LIST of CFDA s, etc
30

Parent R21 Program Announcement (PA) Number
PA-06-181
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Parent R21 as it appears in Grants.gov Find
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Funding Opportunity
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New TerminologyType of Application
RR Type of Application also include
Continuation. This is equivalent to our
Progress Report or T-5. NIH will not use the RR
for progress reports.
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New Terminology
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SF424 (RR) Few Data Issues

• Item 8, Type of Application - New Terminology
• New is the same
• Resubmission is equivalent to Revision (a
  revised or amended application)
• Renewal is equivalent to Competing Continuation
• Continuation is equivalent to Progress Report.
  For the purposes of NIH other PHS agencies,
  box for Continuation will not be used and should
  not be checked.
• Revision is somewhat equivalent to a Competing
  Supplement
• Terminology cross-walk in instructions

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Parent R21 application packet
37
Agency-specific Components (a.k.a. PHS 398
Components)

• PHS398 Cover Letter File
• PSH398 Cover Page Supplement (supplements the RR
  Cover)
• PHS 398 Modular Budget
• PHS 398 Research Plan
• PHS 398 Checklist

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Component PHS398 Cover Letter

• Provides a text attachment for a cover letter
• Instructions to applicant remain the same as in
  the PHS398
• Stored separately in eRA Grant Folder, not a part
  of main application grant image
• Seen only by appropriate NIH staff not peer
  reviewers
• Required when submitting a Changed/ Corrected
  Application
• If revising the cover letter for a Changed/
  Corrected application, include all previous
  submitted letter text

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SF424 (RR) Cover Component Page 1
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Component PHS398 Cover Page Supplement

• Companion form to (RR) Cover Component
• Includes New Investigator Code Degree fields
  (Note PD/PI info is pre-filled. Provided here
  for reference only)
• Includes Clinical Trial Phase-III defined
  clinical trial indicators
• Business Official Contact, includes complete
  information (title mailing address missing from
  section 5 of the RR Cover)
• Includes Human Embryonic Stem Cells section

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PHS 398 Cover Page Supplement Page 1
43
Component Research and Related Budget, General
Notes

• Applicant prepares a detailed budget for every
  budget period
• There is no summary budget page like the PHS398
  Form Page 5
• A detailed Cumulative budget is system-generated

44
Component Research and Related Budget, Sections
A B

• Personnel separated into 2 sections
• A. Senior/Key Person
• Allows 8 named individuals (structured data)
• gt8 provided as an attachment (not structured
  data, just text)
• Info for PD/PI must be entered even if 0
• B. Other Personnel
• Postdocs, Grad Students, Undergrads captures
  only
• NIH will request more detail in Budget
  Justification
• Business Process Change fromPercent Effort to
  Person Months
• NIH incorporating this business process change
  throughout
• Other Support documentation Interim change to
  PHS398 PHS2590 Progress Report in process

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RR Budget Sections A B
46
PHS 398 Modular Budget
47
Component Research and Related Senior/Key Person
(cont.)

• Credential Must enter eRA Commons User NameFor
  PD/PI, this is a mandatory field for NIH
  submissions. (1 Validation Failure to date)
• Biosketch is attached for each person
• Same data requirements exist however, page
  limits change to just 4 pages
• Eliminating 2 page limit for subsections
• Note, Attachment for Current Pending Support
  (a.k.a. Other Support) will not be used at time
  of submission unless specified in FOA. For most
  applications, this will continue to be a
  Just-In-Time submission

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Senior/Key Person Profile
49
Component Research Related Other Project
Information

• Includes information on involvement of Human
  Subjects, Vertebrate Animals, Environmental
  Impact, Foreign Involvement
• Includes separate PDF attachments for
• Project Summary/Abstract
• Project Narrative
• NIH will use for Relevance section of Abstract
• Separate component developed for Research Plan
• Bibliography References (previously section G.
  Literature cited)
• Facilities Other Resources
• Equipment resources

Equivalent to PHS 398 Resources Format Page
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Other Project Information
51
PHS 398 Research Plan
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Component RR Subaward Budget Attachment Form

• Used for detailed budget from any consortium
  grantee
• Allows up to 10 budget attachments - one for each
  consortium grantee
• Applicant sends RR budget component to
  consortium grantee for completion returned to
  applicant applicant attaches in there component
• Applicant still needs to include the total costs
  for all consortiums in their own detailed budget,
  Section F.5

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Component PHS 398 Checklist

• Captures additional information currently
  captured in PHS398 Checklist
• Change of PI
• Change of Grantee Institution
• Inventions Patents
• Program Income
• PDF Text Upload for and Assurances/Certifications
  explanation

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PHS398 Checklist Page 1
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Finding Help Application Preparation

• Review application instruction guide(s)
• Contact Grants Info
• Grants Info
• Phone [phone]
• 301-451-0088 (TTY)
• Email GrantsInfo_at_nih.gov
• All these help resources are found at
  http//era.nih.gov/ElectronicReceipt/support.htm

57
Collecting User Feedback

• NIH has established an e-mail address to collect
  comments and/or suggestions
• NIHElectronicSubmiss_at_mail.nih.gov.
• Share your experiences successes and challenges
• Share specific suggestions for improvement
• What resources are most useful (Targeted e-mails,
  FAQs, Tips Tools, Commons Alerts, Training
  tools)

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INTERACTION
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Agenda eRA

• 24 E-Government Initiatives
• eRA Commons
• eRA Commons Registration Requirements
• Grants.gov and eRA Commons interaction
• Create, Verify an Account and update your
  Personal Profile
• eRA Roles and Structure
• eSNAP Electronic Progress Report Submission

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What is eRA Commons?

• NIH leader in electronic government
• eRA is NIH's model for conducting interactive
  electronic transactions for the receipt, review,
  monitoring, and administration of NIH grant
  awards to biomedical investigators worldwide. eRA
  integrates two parallel systems, the NIH Commons
  and IMPAC II. The Commons enables communication
  with NIH's partners in the research community,
  whereas IMPAC II is used by NIH staff. The NIH
  Commons will mesh with the Federal Commons.
  http//era.nih.gov

NIH Commons is the External face of eRA
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Registration Requirements

• Principal Investigators (PIs) do not need to
  register with Grants.gov
• The PI must hold a PI account and be affiliated
  with the applicant organization in eRa Commons
• PIs currently registered only for Internet
  Assisted Review (IAR) must request full eRA
  Commons registration

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Agencies Grant Community
63
Agencies Grant Community
64
Agencies Grant Community
65
How Grants.gov interacts with eRA Common
Applicant
Grants.gov
eRA Services eRA
2
Grants.gov basic validation and virus
check Processing
3
Pure Edge Forms
download
eRA Services Business Validation DB Load Image
generation
1
4
E R A
eRA COMMONS
5
6
Validation Results Notification
eRA COMMONS Interface Status Validation
results Image Verification Automatic Sign-Off
after 2 days
email
Web forms interface
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Search for and identify a Funding Opportunity
Announcement (FOA) on Grants.gov
Download the grant application package in Pure
Edge
1
2
Posted 2 month before submission date
Complete the application and Save a copyon a
secure computer
PI/SO verify (Optional) the application. After
2 days the applications is accepted
eRA Commons saves the data and grant image,
and NIH begins processing the application
3
6
Within 2 business days of availability in eRA
Commons
PI RA
email
7
The PI and SO find out if the grant
applicationpassed or failed the rule check
Signing Official reviews and submits the
application to Grants.gov
FAILD
Track Application Statusin eRA Commons
Resubmission
4
5
Grants.gov response to application submission -
up to 2 business days
eRA Commons response to application submission -
up to 2 business days
PASSED
Email Tracking
E-mail Tracking
FAILD
67
Creating an eRA account

• Contact Marie Vrabel
• resadmin_at_bidmc.harvard.edu

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Training-Support-Outreach-eRA

• Web Sites
• Commons Home Page http//commons.era.nih.gov
• eRA Home Page
• http//era.nih.gov
• Commons Support Page
• http//era.nih.gov/commons/
• Revamp of websites is underway

69
Advice from Experience

• Read and follow all application instructions!
• Failure to follow instructions has resulted in
  applicants having to submit corrected
  applications.
• There are application fields not marked as
  mandatory on the federal-wide form but that are
  required by NIH
• For example, the credential field of the RR
  Senior/Key Person Profile component MUST contain
  the PIs assigned eRA Commons User ID for NIH to
  process the application submission

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Advice from Experience

• Register now to be prepared
• Allow time for corrections
• See it through to verification in eRA Commons to
  complete the application process
• When seeking support, be prepared to provide
  identifying information for your application and
  organization
• Network with colleagues at other institutions to
  strategize ways to implement the change to NIH
  e-submission at your organization

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Educational Links

• Frequently Asked Questions http//era.nih.gov/Elec
  tronicReceipt/faq.htm
• Electronic Submission Timeline http//era.nih.gov/
  ElectronicReceipt/strategy_timeline.htm
• Tips and Tools http//era.nih.gov/ElectronicReceip
  t/tips_tools.htm
• Communications and Outreach resources (brochures,
  presentations, drop-in newsletter articles)
  http//era.nih.gov/ElectronicReceipt/communication
  .htm
• SF424 (RR) application guides, sample
  application packages and related resources
  http//grants2.nih.gov/grants/funding/424/index.ht
  m
• Grants.govs How to Complete An Application
  Package Demo http//www.grants.gov/CompleteApplica
  tiondemo
• Demo Facility By April, NIH plans to have an
  end-to-end demo facility for applicants to
  practice the entire process from finding an
  opportunity in Grants.gov through verifying a
  submitted application in the eRA Commons.