SF424 (R&R)
Cover Component
Page 1
SF424 (R&R) Cover Component Page 2
Component: SF424 (R&R) –
A Cover Component
• Similar to the PHS 398 Face Page
• Provides general information about the applicant
organization, contact information for the PD/PI
and AOR/SO
• Provides application-specific information (type,
title etc.)
3
SF424 (R&R) - A Cover
Component: A Few Data Issues
• Item 1, Type of Submission
– Pre-application - do not use unless
specifically noted in FOA
– Changed/Corrected Application—To be used
only when correcting an application that failed
system validations. This is NOT a
resubmission (amendment).
• Item 5, Applicant Information: This is for
the applicant organization
4
SF424 (R&R) - A Cover
Component: A Few Data Issues
• Item 5, Organizational DUNS: Must match
DUNS in eRA Commons profile for
Applicant Institution
– AOR should verify DUNS in Commons profile
before submission
– Use Organizational DUNS (not any DUNS for
a specific individual)
– If Organization has multiple DUNS, pick a
single one for NIH grants
5
SF424 (R&R) - 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 crosswalk provided in instructions
6
SF424 (R&R) - A Cover
Component: A Few Data Issues
• Item 10, CFDA Number & Title
– CFDA = Catalog of Federal Domestic Assistance
– Fields are pre-filled based on the specific
announcement
– Fields may be blank for applications in response
to an FOA that includes multiple CFDAs
– When multiple CFDAs are listed in an
announcement, a CFDA will be assigned by the
eRA system once a specific Institute assignment
is made
7
Project/Performance Site Locations
R&R Project/Performance
Site Locations
• Equivalent to the PHS 398 Form Page 2
Performance Site section
• Collects individual data for up to 8
locations
• >8 locations – information is provided in an
attachment (not structured data, just text)
• Format for the >8 attachment available on
SF424 (R&R) Forms Page:
http://grants.nih.gov/grants/funding/424/index.htm
9
Other Project
Information
R&R Other Project Information
• Includes information on involvement of Human
Subjects, Vertebrate Animals, Environmental
Impact, Foreign Involvement
• Includes separate PDF attachments for
– Project Summary/Abstract (Description)
– 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
11
Senior/Key
Person Profile
R&R Senior/Key Person
Version 1 & 2
• Captures personal profile information on the
PD/PI, Key Personnel, and Other Significant
Contributors
• Captures structured data for 8 individuals (PI
and 7 others)
• >8 information is provided in an attachment (not
structured data, just text)
• Format for the >8 attachment available on
SF424 (R&R) Forms Page:
http://grants.nih.gov/grants/funding/424/index.htm
13
Senior/Key
Person Profile
(Expanded)
Research & Related Senior/Key
Person (Expanded)
Version 2A
• This is the only change in the forms for
packages noted as Version 2A.
• Captures structured data for up to 40
Senior/Key Persons.
15
Senior/Key
Person Profile
(Expanded)
Additional
Senior/Key
Person Form
Attachments
Version 2A: Research & Related
Senior/Key Person (Expanded)
• Enter Senior/Key Person 1, click the Next
Person button to display the fields for Profile –
Senior/Key Person 2.
• After the first 8 are entered (PI + 7 others), the
Select to Extract the R&R Additional Senior/Key
Person Form button becomes active.
• Click to open a new page that allows up to four
additional Senior/Key Person (PureEdge)
components to be attached (each containing
another 8 individuals).
17
Senior/Key
Person Profile
(Expanded)
Additional
Senior/Key
Person Form
Attachments
Clicking on the “Select to Extract the R&R Additional Senior/Key
Person Form” button produces the PureEdge form shown above.
18
R&R Senior/Key Person &
Sr./Key Expanded
• Credential: Must enter the eRA Commons
User Name - for the PD/PI, this is a
mandatory field for NIH submissions.
(Most common validation failure to date)
• Biosketch is attached for each person
– Same data requirements exist; however, page
limits slightly change to just 4 pages
– Eliminated the 2-page limit for subsections
19
R&R Senior/Key Person &
Sr./Key Expanded
• Attachment for Current & Pending Support
(a.k.a. Other Support) is not required at
submission unless specified in FOA.
• For most applications, this will continue to
be a Just-In-Time submission
20
R&R Budget
Sections A & B
R&R Budget, Sections A & B
Personnel separated into 2 sections
• A. Senior/Key Person
– Allows 8 as named individuals & structured data
– > 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
22
R&R Budget, Sections A & B
• Change from Percent Effort to Person Months
– Must enter either Calendar, Academic and/or
Summer for all Senior/Key Persons
– Incorporated this business process change
throughout--See 4/2006 Interim change to PHS
398 & PHS 2590 Progress Report, including
Budget Pages, Other Support documentation,
Key Personnel Reports, etc.
– FAQs and Calculator available at:
http://grants.nih.gov/grants/policy/person_months_faqs.htm
23
R&R Budget
Sections C - E
R&R Budget, Sections C - D
• C. Equipment
– Allows itemization of up to 10
– >10 equipment items: details provided in an
attachment – total funds requested in
attachment are entered in Line 11
• D. Travel
– R&R separates out Domestic & Foreign
– This will not change any NIH policy/practice.
We will continue to award as a single
category.
25
R&R Budget, Section E
• E. Participant/Trainee Support Costs
– Will not be used by NIH unless specifically
noted in an announcement
– Tuition Remission will continue to be included
in Section F Other Direct Costs
26
R&R Budget
Sections F - K
R&R Budget, Sections F - I
• F. Other Direct Costs
– Itemizes: Supplies, Publication Costs,
Consultants, ADP/Computer Services,
Consortium Costs, Equipment or Facility
Rental/User Fees, Alterations & Renovations
– Have included agency-specific instructions to use
this section to also account for patient care costs
& tuition remission
• G. Total Direct Costs (A – F)
• H. Indirect Costs
• I. Total Costs (G+H)
28
R&R Budget, Sections J - K
• J. Fee
• K. Budget Justification – a PDF text
attachment
• Next Period Button: At the top of the last
budget page. All required data fields in
this component must be entered before
this button is available. This includes the
Budget Justification.
29
R&R Budget, General Notes
• Applicant prepares a detailed budget for
every budget period
• There is no summary budget page like the
PHS 398 Form Page 5
• A detailed Cumulative budget is systemgenerated
30
R&R Subaward Budget
Attachment Form
• Use for detailed budget from any
consortium grantee only when the prime is
submitting detailed budget
• Do not use if prime is submitting Modular
Budget
• Consortium grantee(s) must have
PureEdge installed
32
R&R Subaward Budget
Attachment Form
• Allows up to 10 separate budget attachments—
one for each consortium grantee
• Applicant sends the R&R 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
33
SBIR/STTR
Information
Page 1
SBIR/STTR Information Page 2
SBIR/STTR Information
• Includes eligibility questions answered by
both SBIR & STTR applicants as well as
separate sections for SBIR & STTRspecific questions
• Includes Commercialization Plan as PDF
Attachment
36
Agency-specific Components
(a.k.a. PHS 398 Components)
• PHS 398 Cover Letter File
• PHS 398 Cover Page Supplement
(supplements the R&R Cover)
• PHS 398 Modular Budget
• PHS 398 Research Plan
• PHS 398 Checklist
37
PHS 398 Cover Letter
• Provides a text attachment for a cover
letter
• Instructions to applicant remain the same
as in the PHS 398
• Is stored separately in the eRA Grant
Folder, not as a part of the main
application grant image
39
PHS 398 Cover Letter
• Is seen only by appropriate NIH staff; not
peer reviewers
• Required when submitting a
Changed/Corrected Application after
submission date
• If revising the cover letter for a
Changed/Corrected application, include all
previously submitted letter text
40
PHS 398
Cover Page
Supplement
Page 1
PHS 398
Cover Page
Supplement
Page 2
PHS 398 Cover Page
Supplement
• Companion form to the (R&R) 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
43
PHS 398 Cover Page
Supplement
• For the Business Official Contact, includes
complete contact information (title &
mailing address missing from section 5 of
the R&R Cover)
• Includes Human Embryonic Stem Cells
section
44
PHS 398
Modular
Budget
PHS 398 Modular Budget
• Provides data entry for each budget period
– A. Direct Costs
• DC less consortium F&A
• Consortium F&A
• Total DC
– B. Indirect Costs Calculation section
– C. Total Costs (A + B)
• Cumulative Budget is system-generated
• Budget Justification: PDF text attachments
for Personnel, Consortium and Other
46
PHS 398
Research
Plan
PHS 398 Research Plan
• Separate PDF attachments for each
section (designed to maximize benefits of
system validations & to accommodate
bookmarking of the image)
• Same formatting requirements in the
PHS 398 continue here – margins, page
limits, etc.
48
PHS 398 Research Plan
• Appendix Material
– Allows up to 10 separate attachments
– Will be stored separately in the eRA Grant
Folder, not as a part of the main application
grant image
– Will be accessible to appropriate NIH staff and
peer reviewers
– See recent changes in Appendix Material,
Guide Notice NOT-OD-07-018:
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-07-018.html
49
PHS 398 Research Plan
Helpful Hints
• Create as a single document using any word
processing software. Separate at the end
before uploading.
• Do not include headers or footers
• Include a section heading as part of the text
(i.e., Specific Aims, Background &
Significance)
• Avoid 2-column format for text (difficult for
reviewers to read electronically)
50
PHS 398
Checklist
Page 1
PHS 398
Checklist
Page 2
PHS 398 Checklist
• Captures additional information currently
in the PHS 398 Checklist
– Change of PI
– Change of Grantee Institution
– Inventions & Patents
– Program Income
– PDF text upload for an
Assurances/Certifications explanation
53
Application
Complete…
Next Steps
Megan
Columbus
Be sure to “Save”
the completed
application
package to your
local hard drive.
Be sure all Mandatory
Documents are completed
and moved to the
submission list.
Refer to the agency-specific
instructions for which Optional
Documents are required.
55
The Check Package
for Errors button
will ONLY show
Grants.gov errors.
You must Submit the
application for it to
go through the NIH
validation process.
NIH errors will be
shown in the eRA
Commons.
56
The AOR submits the application to Grants.gov.
Registration with Grants.gov and eRA Commons must
be
57
complete to successfully submit.
The AOR Signs & Submits
Only the AOR may sign and submit the
application on behalf of the organization.
58
AOR Submits
59
Submit Application
Scroll to the bottom of
the Grants.gov
confirmation screen to
receive your Tracking
Number and Date/Time
Stamp.
Applications are due 5
p.m. local time of the
applicant org. on day of
submission deadline.
60
Expected Turnaround Times
• Grants.gov response to an application
submission – generally within hours, up to 2
weekdays
• eRA Commons response to an application
submission – generally within hours, up to 1
weekday
• AOR/SO and PI review of application image –
within 2 weekdays of availability in eRA
Commons
61
Grants.gov Validations
• All Grants.gov mandatory fields have been
completed
• All mandatory documents have been
completed and moved to the Completed
Documents box (Submission List)
• Checks the DUNS #
• Checks date format, email address format,
and scans for viruses
62
Email Notifications – Grants.gov
• AOR receives emails
• Submission Receipt – app received and is being
validated
• Rejection Notice – app is not validated because
of Grants.gov errors
• Submission Validation Receipt – app has been
validated
• Grantor Agency Retrieval Receipt – app has
been retrieved by the agency
• Agency Tracking Number – app has been
assigned a tracking number by the grantor
agency
63
Check Status in eRA Commons
After submission, the eRA Commons
system will:
– Apply the NIH validations
– Assemble the grant image
– Generate a Table of Contents
– Include headers (PI name) & footers
(page numbers) on all pages
64
eRA Commons Validations
• The eRA Commons checks the application
against NIH business rules
– Detailed check against the instructions in
the application guide
– Validates against the instructions in the
specific FOA
– For a detailed list of NIH validations:
http://era.nih.gov/ElectronicReceipt/prepare_app.htm#5
65
Email Notifications - eRA Commons
AOR/SO and PI receive emails
Validations Complete/Check Assembled
Application
Validations Complete/Check Assembled
Application – Warnings Only
Action Required: Errors and/or Warnings, Missing
or Invalid Commons Username, System Error
SO has refused application – SO rejected the
application
66
Check Status in Commons – PD/PI
1. Click the Status tab to view the PI Status.
67
2. Find application that shows “eSubmission Error” in the Application Status column.
3. Follow the link on the Application ID to see specific Error/Warning messages.
View Errors/Warnings
68
Errors & Warnings
• Errors must be addressed before the
application can move on to Referral.
• Warnings may be fixed at the applicant’s
discretion but do not require action for the
application to move on.
• If the PI corrects any Warnings or Errors, they
should contact the AOR/SO. The AOR/SO must
submit the entire changed/corrected application
again through Grants.gov.
69
Check Status in Commons
AOR/SO
Search screen allows the AOR/SO to narrow the list of results. Click
Show Prior eSubmission Errors to view application errors.
70
Check Assembled Application
View the Application Image by clicking on the Application ID
71
Check Assembled Application
Next, click on the e-Application link to view the image.
72
Application Image
Be sure to review the entire
application carefully!
Your application is not considered
received by NIH until you see the
application image in the eRA
Commons.
73
Check Assembled Application
The AOR/SO has a 2 weekday viewing window to reject an application
that has system formatting errors. If the application is not rejected
within the 2 weekdays it will automatically proceed to Receipt &
Referral.
74
Application Complete!
75
Resources
for
Assistance
Electronic Submission Information:
http://era.nih.gov/ElectronicReceipt/
Resources
Sample Document: “eRA Assembly of the
SF424 (R&R) Application”
– Includes a sample Table of Contents,
and;
– a chart cross-referencing the location in
the forms components for each piece of
the grant image.
http://grants.nih.gov/grants/funding/424/index.htm
78
Application Guide(s), Sample Application Packages,
Additional Format Pages found at:
http://grants.nih.gov/grants/funding/424/index.htm
Training Tools
Registration
• eRA Commons Registration – Automated
Training Demo
http://era.nih.gov/virtualschool/external/c101_GranteeRegistrationPr
ocess.htm
Working with the Application Form
• A “Walk Through the SF424 (R&R)” - Video
http://helix.od.nih.gov/oervideo/grantsgov/A_Walk_Through_SF424/i
ndex.html
• “Completing an Application Package” –
Grants.gov Automated Demo
http://www.grants.gov/images/Application_Package.swf
80
Training Tools
Learning the Electronic Submission Process
• Interacting Electronically with NIH
– Part I & II – Videos
Hands-On Learning
• Creating a Commons Demo Account – Learn the
system and get familiar with the forms BEFORE you
submit!
– Check the status of sample applications in various stages
of submission
– View errors & warnings
– See application images
Videos/Hands-On: http://era.nih.gov/ElectronicReceipt/training.htm
81
Training Tools
Presentations
• Archive of this training session will be available in
streaming video and downloadable formats:
http://era.nih.gov/ElectronicReceipt/training.htm
Review the Application Guides &
Sample Application Packages
• SF424 (R&R) application guides, sample application
packages and related resources
http://grants.nih.gov/grants/funding/424/index.htm
82
Training Tools
• Registration in the eRA Commons (Demo)
http://era.nih.gov/virtualschool/external/c101_GranteeRegistrationPr
ocess.htm
• Grants.gov’s “How to Complete An
Application Package” Demo
• SF424 (R&R) application guides, sample
application packages and related
resources http://grants.nih.gov/grants/funding/424/index.htm
83
Other Tools
• Frequently Asked Questions
http://era.nih.gov/ElectronicReceipt/faq.htm
• Electronic Submission Transition Timeline
http://era.nih.gov/ElectronicReceipt/strategy_timeline.htm
• Avoiding Common Errors
http://era.nih.gov/ElectronicReceipt/avoiding_errors.htm
• Communications and Outreach Resources
(brochures, presentations, drop-in newsletter
articles) http://era.nih.gov/ElectronicReceipt/communication.htm
84
Finding Help: Grants.gov
Registration & Submission
If help is needed with the Grants.gov registration
process or with technical aspects of submitting
through the Grants.gov system or PureEdge:
– Check the resources available on the Grants.gov
website (http://grants.gov/ )
– Grants.gov help is also provided by the following
office:
Grants.gov Customer Support
Contact Center Phone: 1-800-518-4726
Business Hours M-F 7 a.m.- 9 p.m. EST
Email support@grants.gov
85
Finding Help: eRA Commons
Registration & Validations Processes
If help is needed with eRA Commons registration or
validations after submission through Grants.gov:
– Check the eRA Commons website:
https://commons.era.nih.gov/commons/index.jsp
– eRA Commons Help Desk
Use the web
support! Enter
your own help
ticket!
Phone: 301-402-7469
Toll Free: 866-504-9552
TTY:
301-451-5939
Business hours M-F, 7am-8pm EST
Web support: http://ithelpdesk.nih.gov/eRA/
86
Finding Help:
Application Preparation
• Review the Application Instruction
Guide(s)
• Contact Grants Info:
Grants Info
Phone: 301-435-0714
TTY: 301-451-0088
Email GrantsInfo@nih.gov
87
Finding Help
All of these resources and forms are found
on the Electronic Submission website at:
http://era.nih.gov/ElectronicReceipt/
88
Lessons
Learned
NIH Panel of
Experts
NIH Electronic Submission
Panel of Experts
Megan Columbus, NIH Program Manager for
Electronic Submission of Grant Applications
Suzanne Fisher, Director, Division of Receipt and
Referral, Center for Scientific Review
Jennifer Flach, eSubmission Technical
Development Manager
Scarlett Gibb, Manager, eRA Help Desk
Marcia Hahn, Director, Division of Grants Policy,
Office of Policy for Extramural Research
Administration
90
Lessons Learned
• Work with your Office of Sponsored
Research to determine your internal
process flow (review, approval, document
sharing etc.)
• Register now to be prepared
– All PIs and Fellows need to be registered
– Can take 2 – 4 weeks; up to 8 weeks for newly
established organizations
• Read and follow all instructions in the FOA
& the application package instructions!
91
Lessons Learned
• All non-PureEdge attachments MUST be in PDF
format
DO NOT:
• Use special characters in file names
• Write-protect the PDF file; you should disable all
security features in the PDF
• Scan text attachments. Generate using word
processing package and then convert to PDF.
For more information:
http://era.nih.gov/ElectronicReceipt/faq_prepare_app.htm#2e
92
Lessons Learned
• Organizational DUNS in the application
must match DUNS in the eRA Commons
profile for the Applicant Institution
• The “credential e.g., agency login” field on
the R&R Senior/Key Person Profile
component MUST contain the PI’s eRA
Commons User ID for NIH to process the
application submission
93
Lessons Learned
• When submitting a Changed/Corrected
application, make sure you check the
“Changed/Corrected” box in Field #1
Type of Submission
• Allow extra time for corrections
94
Lessons Learned
• Take time to closely review the grant
image within 2 weekdays of availability
– Ensure ALL PDFs are attached
– Check each one for proper conversion &
formatting
• New Process…but It’s Still About the
Science! Our philosophy and policy
has not changed!
95
Q&A
with the
NIH Panel of
Experts
How To Submit Questions
• Live Audience
– Index cards in your folder
– One question per card please!
• Videocast Audience
– Submit questions online using the Live Event
Feedback Form or;
– Send an email to the NIH Electronic
Submission mailbox
NIHElectronicSubmiss@mail.nih.gov
97
Collecting User Feedback
• NIH has established an email address to
collect comments and/or suggestions from
users:
NIHElectronicSubmiss@mail.nih.gov
• Share specific suggestions for improvement
• Share what resources are most useful
(Targeted Emails, FAQs, Avoiding Common
Errors, Commons Alerts, Training Tools etc.)
98
Thank
You!