Electronic Submission of
NIH Grant
Prepare-Complete-Submit-Track-View
1
Overall Process
Find and download announcement,
instructions and form package using
Grants.gov
Prepare application per guidelines.
Send application to Authorized
Organization Rep. (AOR), who submits
application to Grants.gov.
eRA retrieves application from Grants.gov
and checks it for compliance with
application instructions.
PI and AOR/Signing Official (SO) check
submission status and view assembled
application in eRA Commons.
2
eSubmission Topics
•Prepare
•Complete Application
•Submit to Grants.gov
•Track & Correct and Errors
•View in eRA Commons
•eSubmission Odds & Ends
•Finding Help ( Resources, Service Desks)
3
Prepare
4
Two Separate, but Linked Systems
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
IMPORTANT: Each system has its own
registration and validations requirements.
5
Registration
Grants.gov
Applicant Organizations only
Designate E-Business Point of Contact (E-Biz POC)
• Approves Authorized Organization Representatives
(AORs) providing authority 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)
6
Registration
Tips for 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 Grants.gov credentials
active
7
Registration
More Tips for 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
http://era.nih.gov/commons/steps_commons.cfm#step3
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
Only specific Adobe Reader versions
are compatible with Grants.gov forms
PDF conversion program
Attachments must be converted to PDF
Grants.gov download software page
http://www.grants.gov/help/download_software.jsp
9
Adobe Reader
Applications opened with an incompatible software
(even if not saved) version can become corrupted
Most attempts to use incompatible Adobe software are
caught and a cautionary pop-up message presented
10
Make a Submission Plan
Internal organization considerations…
Submission method
• Downloadable forms
• System-to-system using XML data stream
• Services of a commercial service provider
http://grants.nih.gov/grants/ElectronicReceipt/sp.htm
Application preparation responsibilities
Sharing applications in progress
Internal review & approval process
Internal deadlines
Administrators and PIs must work together!
11
Find Opportunity
ALL applications must be submitted in response to a
specific Funding Opportunity Announcement
(FOA)
NIH simultaneously posts FOAs in:
• NIH Guide for Grants and Contracts
• Grants.gov Find
Some FOAs focus on specific areas of research and others
provide instructions and forms for general grant programs
• Use “Parent” FOAs for unsolicited
applications
• http://grants.nih.gov/grants/guide/parent_announcements.
htm
12
Finding FOAs for Investigator–Initiated Research
NIH Office of Extramural Research
http://grants.nih.gov/grants/oer.htm
Screen shot for Parent Annoucement
Parent Announcements for Unsolicited Applications
13
Finding FOAs in NIH Guide for Grants & Contracts
Screen shots of NIH Guide at
http://grants.nih.gov/grant/guide/
NIH Guide for Grants & Contracts
Enter search string http://grants.nih.gov/grants/guide/
or advanced search
Enter search string or
click Advanced Search
14
Finding FOAs in NIH Guide for Grants & Contracts
Enter search parameters
In Advanced Search screen, enter
Click
search parameters and click
onSearch
Search button.
15
Finding FOAs in NIH Guide for Grants & Contracts
Review list of FOAs matching your criteria and
find FOA of interest
Click Announcement Number link to access FOA information
16
Announcement Notes
Carefully read the entire announcement!
Key dates:
Release/Posted Date: package and instructions
available for download; begin preparing application
Application Submission/Receipt/Due Date:
applications must be submitted by 5:00 p.m. local time
Opening Date: systems begin accepting applications
Expiration Date: announcement closed
17
Announcement
Follow specific announcement
instructions
Pay special attention to
Section IV. Application and
Submission Information
• Includes FOA-specific submission
instructions
• Instructions in FOA trump
instructions in the application guide
18
Announcement Notes
FOAs in the NIH Guide include button to
download application from Grants.gov
Click Apply for Grant Electronically
Verify information
Click download
19
Download Application Instructions
Sign-up for Agency updates to FOA
Download application instructions
20
Download Application Instructions
All FOAs link to the latest set of instructions
Instructions
available in
Word and
PDF formats
Links to other
handy resources
21
Application Guide
Read and follow
application
guide
instructions
Agency-specific
instructions are
marked with the
HHS logo
22
Download Application Package
Download forms
23
Complete
24
SF424 (R&R) Data Set
NIH uses the SF424 Research & Related
(R&R) data set
Owned and maintained by Grants.gov
Agencies combine form components to meet
the data collection needs for a FOA
NIH applications include:
Federal-wide (R&R) components
Agency-specific (PHS 398) components
25
SF424 (R&R) Data Set
SF424 (R&R) Components include:
SF424 (R&R)—An application cover component
Research & Related Project/Performance Site Location
Research & Related Other Project Information
Research & Related Senior/Key Person (Expanded)
Research & Related Budget
Research & Related Personal Data (NIH does not use)
R&R Sub-award Budget Attachment Form
Small Business Technology Transfer (STTR) & Small
Business Innovation Research (SBIR) Information
26
SF424 (R&R) Data Set
NIH requires additional information for review of its
biomedical research portfolio.
NIH agency-specific components (titled PHS 398):
PHS
PHS
PHS
PHS
PHS
PHS
PHS
PHS
PHS
PHS
398 Cover Letter File
398 Cover Page Supplement (supplements the R&R Cover)
398 Modular Budget
398 Research Plan
398 Checklist
398 Career Development Award Supplemental Form
Fellowship Supplemental Form
398 Research Training Program Plan
398 Training Budget
398 Training Sub-award Budget Attachment Form
27
Grant Application Package Screen
*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.
28
Grant Application Package Screen
Mandatory Documents must be completed prior to submission.
Complete the SF424 (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.
29
Prepare Application
Highlight form and use the
arrow buttons to move forms to
the Mandatory Documents for
Submission box
Highlight form on
right and click
Open Form or
use window scroll
bars to access
specific form
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Completing the Application
General Tips:
Follow FOA-specific guidelines (e.g., special
attachments, specific section headings)
Follow application guide requirements
Complete the SF424 (R&R) form first – info
from this form populates fields in other forms
within the package
Do not cut & paste from Word docs into form
fields
• Some word processors alter special characters
(e.g., quotes)
31
Completing the Application
Attachment Tips:
Use simple PDF-formatted files for all attachments
• Do not use Portfolio or similar feature to bundle multiple files into a
single PDF
• Disable security features like 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
32
Avoiding Common Errors
Provide correct Type of Submission, Federal
Identifier, and Type of Application information on
SF424 (R&R) cover
Type of Submission (box 1)
• Do not use Pre-application unless specifically noted in FOA (e.g.,
X02)
• Use Application for first submission attempt
• Use Changed/Corrected when submitting again to correct eRAidentified errors/warnings
Federal Identifier (box 4)
• If box 1=Application and box 8=New, then leave blank
• If box 1=Changed/Corrected and box 8=New, then enter previous
Grants.gov tracking number
• Otherwise, use Institute and serial # of previous NIH
grant/app. (e.g., use CA987654 from 1R01CA987654-01)
33
Avoiding Common Errors
Type of Application (box 8)
New Term Grants.gov
Old Term NIH
Notes
New
New
An application that is submitted for funding for the first time.
(Type 1)
Renewal
Competing
Continuation
Previous years of funding for the project have elapsed.
Competing for additional years of funding to continue
original project. (Type 2)
Revision
Competing
Supplement
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
Revision or
Amended
Application
Application previously reviewed. A revised or amended
application that addresses reviewer feedback. (A1/A2)
Continuation
Progress
Report
NIH does not use the SF424 (R&R) for Continuation
Applications. (Type 5; Progress Reports for Simplified Noncompeting (SNAP) are submitted directly to eRA Commons;
for others paper is still submitted.)
34
Avoiding Common Errors
Watch for fields that are required by NIH but
not marked required on federal-wide forms
Contact e-mail on SF424 (R&R) cover
Credential field for PD/PIs on R&R Sr./Key
Person Profile form
Organization for all entries on R&R Sr./Key Person
Profile form
Contact e-mail is
required.
Tip: Can use group
address or dedicated
e-mail box.
Contact e-mail
35
Avoiding Common Errors
Enter PI Commons Username
Enter Organization Name
eRA Commons
Username must be
supplied in Credential
field for everyone with
PD/PI role
Organization name
must be supplied for all
listed–NIH required field
36
Avoiding Common Errors
Include effort > 0 for all Sr./Key in
R&R Budget
Include effort > zero
for all Sr./Key listed.
Error: Senior/Key Person {0}, listed on the 424 RR Detailed Budget
Page for budget year {1}, must include effort of a value greater
than zero in calendar months, academic months, or summer
months. Note: use either calendar months or a combination of
academic and summer months.
37
Career Development (K) Applications
Research Career Development Award Program
(Ks, except K12) applications transitioned to
eSubmission February 12, 2009
Supplemental instructions for Career Development
applications added to general Application Guide
• http://grants.nih.gov/grants/funding/424/index.htm (Part
I, Section 7)
PHS Cover Letter Form is Required
• Include list of Referees that will submit letters through
Commons
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-029.html
38
Fellowship (F) Applications
Individual National Research Service Award
(NRSA) Fellowships (F) applications transitioned
to eSubmission August 8, 2009
Fellowship-specific Application Guide
• http://grants.nih.gov/grants/funding/424/index.htm
Designate Sponsor on the R&R Sr./Key Person
Profile form
• Select Role of “Other”, then indicate “Sponsor” in Other
Role category
PHS Cover Letter Form is Required
• Include list of Referees that will submit letters (in specific
format) through Commons
o http://grants.nih.gov/grants/funding/424/416-1reference.doc
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-106.html
39
Training Applications
Institutional Training (Ts) and Institutional Career
Development (K12) Program applications transitioned
to eSubmission January 25, 2010
Supplemental instructions for Training applications added to
general Application Guide
• http://grants.nih.gov/grants/funding/424/index.htm (Part I, Section
8)
Depending on FOA, one of three application packages is
used; vary by budget requirements
• R&R Budget (only)
• PHS 398 Training Budget (only)
• R&R Budget and PHS 398 Training Budget
Data Tables – user defined bookmarks included in the
attachment will be pulled into application image
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-008.html
40
Submit
41
Route Application to AOR
Route your completed application to
your institute’s Authorized
Organization Representative (AOR)
for Submission.
42
eSubmission: Submit Application
The Check Package for
Errors button only checks
for Grants.gov errors.
Save & Submit activates when:
•All G.g mandatory fields are completed
•All mandatory docs are moved to right
•Application is Saved
Must submit application
for it to go through the
NIH validation process.
43
eSubmission: Submit Application
Only the AOR can
submit application.
Enter Grants.gov
Username and
Password – you
must be fully
registered to
successfully submit.
44
eSubmission: Submit Application
Click Sign and
Submit
Application.
45
eSubmission: Submit Application
*top of screen *
*screen cont *
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
On-time Submission
All registrations must be completed
prior to initial submission
Submission must be accepted by
Grants.gov with a timestamp on or
before 5:00 p.m. local time of submitting
organization on submission deadline date
Errors/Warnings must be corrected
within the error-correction window
47
Track – Grants.gov
48
Track Status - Grants.gov Notifications
AOR receives Grants.gov e-mails
Receipt
• Grants.gov E-mail Verifying Receipt
Validation
• Grants.gov E-mail Verifying Successful
Submission
• OR Rejection Due to Errors
Transmission to Agency
• E-mail Sent Once Agency Retrieves Submission
• E-mail Sent When Agency Tracking Number
Assigned
49
Track Status – Grants.gov Validations
Grants.gov Error Checking
Grants.gov mandatory fields completed
Mandatory documents moved to the Mandatory
Documents for Submission box and 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
50
Track Status – Grants.gov
Applicant interface
Grants.gov application status
51
Track – Commons
Signing Officials (SOs), Principal
Investigators (PIs) and Assistants (ASSTs)
can track status in eRA Commons.
52
Track Status – eRA Commons
Commons Status is an integral part of
electronic application submission
Applications are picked up by eRA
Commons and checked against application
and opportunity instructions
• Forms are owned by Grants.gov and used by
many agencies, so NIH cannot build agencyspecific business rules into the forms
Processing result available in eRA Commons
Status
e-mail notifications sent
53
Track Status- eRA Commons Notifications
eRA e-mails are sent to the AOR/SO, PD/PI and
contact e-mails listed on SF424 (R&R) form
Validation complete, check assembled application
Validation complete, 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)
54
Accessing eRA Commons
Go to: https://commons.era.nih.gov/commons/
Enter your Username and Password
Username
Password
55
PI Admin – Delegate Status
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
56
PI Admin - Delegate Status
Navigate to Delegate Status
Only users with
ASST role
appear in list
Select user to receive
delegation from list of
Current Institution Users
and click Assign button
57
Track Status in Commons – PD/PI
Select Recent/Pending eSubmissions
Or provide Grants.gov tracking
number from e-mail notification
58
Track Status in eRA Commons – PD/PI
Indicates eSubmission Error
Grants.gov
Tracking #
Grants.gov tracking #
and date are displayed
followed by the list of
errors/warnings for
each submission
attempt
59
Track Status in eRA Commons – Errors/Warnings
Errors stop application processing and
must be corrected
Warnings do not stop application
submission and are corrected at the
discretion of the applicant
Helpful Links
Avoiding Common Errors page:
http://grants.nih.gov/grants/ElectronicReceipt/avoiding_errors.htm
Full list of Commons Validations
http://grants.nih.gov/grants/ElectronicReceipt/files/SF424RR_Validation.pdf
60
Error-Correction Window
NIH currently allows applicants to correct errors
and warnings during the 2 business days after
the submission deadline
Initial submission made “on time”
All registrations completed before deadline
AOR is expected to enforce that changes are
restricted to fixing errors/warnings
Proof of "on time" submission and description
of changes documented in Cover Letter
61
Correcting eSub Errors/Warnings
To correct errors/warnings in an application submission:
Make needed corrections to the local application forms
Check Changed/Corrected in the Type of Submission
field located in box #1 of the SF424 (R&R) form
• Federal Identifier on SF424 (R&R) cover (box #4) is a required field
when Changed/Corrected is selected
• If box #8=New, include original Grants.gov tracking number
• Otherwise, continue to use the Institute/Center and serial number
from original application/grant number (ex. CA123456)
Include cover letter if after submission deadline
Submit the entire Changed/Corrected application
back through Grants.gov
Track submission through to Commons
NOTE: Reviewers do not see applicant errors/warnings.
62
View
63
View Application Image
Once an error-free application is received,
the eRA system will:
Assemble the grant application image
Insert headers & footers
Bookmark important sections
Generate Table of Contents
Post the assembled application image in the
PD/PI’s eRA Commons account
64
Application Viewing Window
Applicants have two (2) business days to view the
assembled application before it automatically moves
forward to NIH for further processing
SO can reject application within viewing window
If before deadline, applicant can make application content
changes if they submit again before the deadline
If after the deadline and within error-correction window, can
reject the application to address warnings or help desk
confirmed system issue
• Rejections after deadline for any other reason, application
is subject to late policy if resubmitted
PD/PI will receive e-mail notification if SO rejects
application
65
View Application Image
Status is Pending Verification
Follow link to detailed status info
Follow e-Application
link to view assembled
application image
View Appendices
and Cover Letter
66
Status – e-Application
TIP: Carefully review the entire application.
This is your first chance to view/print the same
application image that will be used by Reviewers!
67
Reject Application
Must have SO role
Enter Search Criteria
Click Search
Select Recent/ Pending eSubmissions
68
Reject Application
Select Reject
eApplication
Enter comment to
be sent with email notification
Click Reject
69
Submission Complete
If no action is taken during the two business
day viewing window, the application
automatically moves forward to NIH for
further processing
Any subsequent application changes are
accepted only at the discretion of the
Scientific Review Officer
70
eSub Odds & Ends
71
Trouble submitting due to system issues?
When Grants.gov or eRA system issues threaten
your on-time submission…
Contact appropriate support to try to get resolution
• If working with Grants.gov, contact eRA Help Desk to
document issue and steps taken toward resolution
o If verified system issue, this documentation can be used in place
of tracking # and time stamp as proof of "on-time" submission
Continue to work through submission issues to
complete process within error-correction window
Document your issues and corrective
actions including support ticket
numbers in Cover Letter
72
NIH Contingency Plans
Contingency plans
Address large-scale extended system issues on submission
deadline dates
• Individual issues, issues affecting small subsets of applicants, or
issues lasting less than a half business day handled case-by-case
Sample actions:
• Extending submission deadline or error-correction window
Communicated through:
• Alert on Commons log in screen
• Notice in NIH Guide for Grants & Contracts
http://grants.nih.gov/grants/guide/index.html
• Commons listservs
http://era.nih.gov/ElectronicReceipt/listserv.htm
• Applying Electronically Web site
http://grants.nih.gov/grants/ElectronicReceipt/index.htm
73
Reference Letters
Some NIH grant programs require the submission of
Reference letters in addition to the grant application
(e.g., Mentored Career Development program)
Letters are NOT part of the electronic application through Grants.gov
Submitted directly by the referee through eRA Commons
Commons registration not required to submit reference letter
Letters can be submitted in advance of application submission
• Letters are joined with the electronic application within the eRA system once
the submission process is complete
Applications missing the required letters may be delayed in the review
process or not accepted at all
Applicants can track the submission of reference letters in
the Commons, but cannot view the actual letter
74
FOA Posting Changes Ahead
Multiple application packages for a single FOA
Currently, NIH posts a separate announcement for
each activity code accepted for that opportunity
Will move to a single FOA with multiple application
packages distinguished by Competition ID
Example of single opportunity with three posted packages:
Opportunity Number: PA-10-123
Opportunity Title: Great Opportunity for Biomedical Discovery (R01,R03,R21)
Package #1:
Competition ID = R01-ADOBE-FORMS-B
Package #2:
Competition ID = R03-ADOBE-FORMS-B
Package #3:
Competition ID = R21-ADOBE-FORMS-B
75
Moving Forward
Future expansion of electronic submission:
Revised FOAs
Complex grant programs
Administrative Supplements (Type 3s)
Change of Institution (Type 7) applications
76
Resources
Support Desks, FAQs, Web sites
77
Grants.gov Support Resources
Grants.gov Contact Center
Assistance with:
• Grants.gov registration; form behavior & navigation; issues
submitting to Grants.gov site
Phone: 1-800-518-4726
E-mail: support@grants.gov
Help Page
Resources, FAQs, Troubleshooting
Tips
http://www.grants.gov/CustomerSupport
Download Software Page
http://www.grants.gov/help/download_software.jsp
78
NIH & eRA Commons Resources
eRA Commons Help Desk
Assistance with:
• eRA Commons registration, eRA system
validations
Create ticket on Web:
http://itservicedesk.nih.gov/eRA/
Phone:
301-402-7469
Toll Free: 866-504-9552
TTY:
301-451-5939
Business hours Mon.-Fri., 7 a.m.-8 p.m. E.T.
79
NIH & eRA Commons Resources
Web sites:
eRA Commons:
https://commons.era.nih.gov/commons/
Electronic Research Administration:
http://era.nih.gov/
Applying Electronically:
http://grants.nih.gov/grants/ElectronicReceipt/
NIH Grants Information Page:
http://grants.nih.gov/grants/oer.htm
80
Learn About Grants
BASICS
http://grants.nih.gov/grants/oer.htm
NIH GUIDE
eRA, Commons,
Applying Electronically
GLOSSARY, FAQS
GET CONNECTED
FORMS & INSTRUCTIONS,
SUBMISSION DATES
81
NIH Electronic Submission Web Site
http://grants.nih.gov/grants/ElectronicReceipt/
82
NIH Electronic Research Administration Web Site
Same Web address: http://era.nih.gov/
83
eRA Commons Training Resources
Commons Demo
https://commonsdemo.era.nih.gov/commonsdemo/
Create Your Own Commons Demo Account with
sample data
• Check the status of sample applications
• View errors & warnings
• See sample application images
84
Questions?
85