Electronic Submission: A Primer

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Electronic Submission A Primer

• Electronic Submission
• 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, and more than 350 billion
  in annual awards. It provides a 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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TIMELINE
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Benefits of electronic submission

• What are the expected 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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NIH Notice 1/6/06

• NIH Makes Major Changes to its Grant Application
  Process
• As announced in the NIH Guide notice,
  NOT-OD-06-021, NIH will hold a training session
  on the electronic submission program on January
  11.  Dont miss this excellent opportunity to get
  informed!
• Dear Organizational Representative
• After months of intense preparation, the National
  Institutes of Health opened its doors in November
  to receive its first round of grant applications
  electronically through the Federal web portal of
  Grants.gov. Almost 2,000 small business and
  conference grant applications streamed in
  electronically to NIH for December receipt dates
  via Grants.gov, marking a major stride forward in
  NIHs ongoing electronic submission efforts.  
• Beginning with the December 1, 2005, submission
  date for SBIR/STTR applications, one by one, all
  competing research grant programs (mechanisms,
  such as R01, R03, etc.) will transition from
  paper submission of the PHS 398 to electronic
  submission through Grants.gov using the Standard
  Form 424 Research and Research Related (SF424
  (RR)). Applicants should take careful note of
  the transition schedule (timeline) to ensure they
  are using the appropriate mode of application
  transmission and application form. Applications
  for the transition submission date of a mechanism
  (even if submitted in advance of the date) and
  thereafter 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. 
• This change affects both how NIH does business
  and how you, our applicant community, do business
  with the NIH.
• REGISTER NOW! One-time registrations for both
  Grants.gov and eRA Commons systems must be
  completed before application submission. These
  are two distinct systems with separate
  registration requirements. 
•          The registration process can take
  several weeks, especially when close to
  submission dates when registration volume peaks.
  Start early to avoid delays! NIH recommends
  starting the registration process now, or at a
  minimum two-four weeks ahead of your target
  submission date.  New organizations may need to
  start the Grants.gov registration process even
  earlier to obtain the necessary DUNS numbers and
  CCR registrations required for Grants.gov
  registration.
•          Applicant organizations must register
  both in Grants.gov and eRA Commons, but Principal
  Investigators (PIs) need only register in eRA
  Commons.
•          The PI must hold a PI account and be
  affiliated with the applicant organization in the
  eRA Commons.
•          Both the Principal Investigator (PI)
  and Signing Official (SO) need separate accounts
  in eRA Commons since both need to verify the
  application. If you are the SO for your
  organization as well as a PI of the grant, you
  will need two separate accounts with different
  user names - one with SO authority and one with
  PI authority.
•          Organizations must include their DUNS
  number in their Commons profile that matches the
  DUNS number to be used on the submitted
  applications.
•          Grants.gov and eRA Commons registration
  processes may be done concurrently.
• FOLLOW ALL INSTRUCTIONS CAREFULLY! Each funding
  opportunity announcement (program
  announcement/request for application (PA/RFA))
  includes an application package with an
  application guide (sample guide). This document
  is critical to submitting a complete and accurate
  application to NIH. There are fields within the
  SF424 (RR) components that are not marked as
  mandatory on the federal-wide form but that are
  required by NIH (e.g., the Credential field of
  the RR Senior/Key Person Profile component must
  contain the PIs assigned eRA Commons User ID).
  Agency-specific instructions for such fields are
  clearly identified in the application guide. The
  funding opportunity announcement to which you are
  applying also may include guidance on application
  submission. Taking advantage of these resources
  will save you time in the long run by avoiding
  the need to correct errors and resubmit your
  application.
• GET INFORMED! We are using the Electronic
  Submission website, http//era.nih.gov/ElectronicR
  eceipt/, as our primary tool for communications.
  We continually update this site to provide you
  with the latest information and answers to your
  questions.
•          Look at the timeline to determine when
  the transition impacts research grant programs of
  interest to your organization and learn about the
  new submission process. (Note that only
  Authorized Organization Representatives (AOR)
  (i.e., Signing Officials (SO)) can submit
  applications to Grants.gov.)
•          Take advantage of our training
  resources
• -         Training Session. NIH will host a
  training session at the Natcher Conference Center
  in Bethesda, MD, on January 11, 2006. NIH is
  offering this train-the-trainer opportunity as a
  way to reach individual institutions in an
  interactive format. There is space for 1,000
  people to attend in person others can access the
  conference remotely free of charge through
  VideoCast, NIHs streaming video service.
  Registration and information on this training
  opportunity are available at http//era.nih.gov/t
  raining/ElectronicSubmission/.
• -         SF424 (RR) application guides, sample
  application packages and related resources at
  http//grants2.nih.gov/grants/forms.htm.

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Multiple Systems Working Together

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

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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Posting funding opportunity announcements

• FOAs will simultaneously be posted to Grants.gov
  along with the appropriate application package
• Note that you must search Grants.gov by
  opportunity number rather than CFDA number for
  NIH opportunities.
• The new model changes how we use the NIH forms
  website
• Funding opportunities will continue to be posted
  in the NIH Guide and Contracts (http//grants2.nih
  .gov/grants/guide/)
• Button added to the NIH Guide announcements
  allowing applicants to access the Grants.gov
  application package directly from the NIH Guide
• NIH will continue to use RFAs and PAs, but all
  solicitations will be referred to as funding
  opportunity announcements (FOA) in Grants.gov

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Grants.gov home page
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LIST of CFDA s, etc
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Example of Funding Opportunity Listing
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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)A Cover Component A Few Data Issues

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

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Submission Methods

• Applicant organization can submit applications to
  NIH through Grants.gov in one of two ways
• Direct submission - using PureEdge Viewer
• System-to-system using (XML) data stream to
  communicate with Grants.gov
• Can be created by institution OR
• Institution can establish an agreement with a
  commercial Service Provider http//era.nih.gov/Ele
  ctronicReceipt/sp.htm

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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 PHS 398 Cover Letter

• Provides a text attachment for a cover letter
• Instructions to applicant remain the same as in
  the PHS398
• Will be stored separately in the eRA Grant
  Folder, not as a part of the main application
  grant image
• Will be 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 PHS 398 Cover Page Supplement

• Companion form to the (RR) Cover Component
• For the PI, includes New Investigator Code
  Degree fields (Note, PD/PI info at the top is
  pre-filled. Provided here for reference only)
• Includes Clinical Trial Phase-III defined
  clinical trial indicators
• For the Business Official Contact, includes
  complete contact 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
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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

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Component Research and Related Budget, Sections
A B

• Personnel separated into 2 sections
• A. Senior/Key Person
• Allows 8 as named individuals structured data
• gt 8 information is provided in 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 from Percent Effort to
  Person Months
• NIH will be 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
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PHS 398 Modular Budget
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Component Research and Related Senior/Key Person

• Captures personal profile information on the
  PD/PI, Key Personnel, and Other Significant
  Contributors
• Captures structured data for 8 individuals (PI
  and 7 others)
• gt 8 information is provided in an attachment (not
  structured data, just text)
• Format for the gt8 attachment available on SF424
  (RR) Forms Page http//grants.nih.gov/grants/fun
  ding/424/index.htm

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Component Research and Related Senior/Key Person
(cont.)

• Credential Must enter the eRA Commons User
  NameFor the 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 slightly change to just 4 pages
• Eliminating the 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
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Component Research and 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 this upload for the Relevance
  section of the 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
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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 separate budget attachmentsone
  for each consortium grantee
• Applicant sends the RR budget component to the
  consortium grantee for completion it is returned
  to the applicant applicant attaches it in this
  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 the 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 eRA Commons Registration
Validations Processes

• If help is needed with the eRA Commons
  registration process for the applicant
  organization and principal investigators, or with
  the application validation process in the eRA
  Commons after submission through Grants.gov,
  contact
• eRA Commons help deskPhone 301-402-7469/866-504-
  9552 (Toll Free) 301-451-5939 (TTY) Business
  hours M-F 7am-8pm Eastern Standard TimeEmail
  commons_at_od.nih.gov
• Also visit
• eRA Commons website https//commons.era.nih.gov/c
  ommons/index.jsp
• eRA website http//era.nih.gov

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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

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Collecting User Feedback

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