Successful eSubmission
Prepare-Complete-Submit-Track-View
Electronic Research Administration
Office of Extramural Research
National Institutes of Health
June 2009
Sheri Cummins
eRA Customer Relationship Manager – eSubmission
Samuel Smith
eRA Service Desk Manager
Electronic Submission Required
All small business grant applications
must be submitted electronically
through Grants.gov using the SF424
(R&R) form set
More than 20,000 unique small
business electronic applications
received since December 2005
Electronic Submission of Grant Applications at NIH
PI
Find and
download
announcement,
instructions
and form
package.
PI
AOR/SO
PI prepares
application
per
institution
guidelines
and sends it
to AOR for
submission.
Authorized
Organization
Rep (AOR)
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.
Today’s eSubmission Topics
Prepare
Systems
Registration
Software
Plan
Find Opportunity
Download Instructions & Application Forms
Complete Application
Forms
Submit
Submit Application to Grants.gov
Today’s eSubmission Topics
Track
Track Application
Correct Any Errors
View
View Assembled Application in eRA Commons
Finding Help
Resources
Service Desks
Prepare
By failing to prepare, you are
preparing to fail.
-Benjamin Franklin
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.
Prepare to Apply: Registration
Registration – Grants.gov
Applicant Organization only (one time)
Registration not required to find download
opportunities
Designate E-Business Point of Contact
(E-Biz POC)
• Approves Authorized Organization
Representatives (AORs)
o Authority to legally bind the institution in grants
administration matters
START NOW! Can take 4 weeks; up to 8 weeks for
newly established or foreign businesses
http://www.grants.gov/applicants/get_registered.jsp
Prepare to Apply: Registration
Registration – eRA Commons
Applicant Organization
Designate a Signing Official (SO)
• Overall responsibility for account
administration
o Registers or affiliates Project
Director/Principal Investigator
(PD/PI)
• Maintains Institutional Profile
Allow 4 weeks to complete
http://era.nih.gov/ElectronicReceipt/preparing.htm
Prepare to Apply: Registration
Registration - eRA Commons
Project Director/Principal Investigator (PD/PI)
SO creates account for the PD/PI or affiliates
eRA Help
Desk can
PD/PI gets one account for his/her entire career
assist with
Account may be affiliated with multiple organizations
these
PD/PI role can not be combined with any administrative tasks
existing account with their organization
roles on the same account
• If same person is both SO and PD/PI, two separate accounts (one
with each role) are required
• Can have IAR (Internet Assisted Review) role if Reviewer
If PD/PI had previous NIH funding, but not a Commons account,
make sure prior support is captured
PD/PI is responsible for maintaining their Personal Profile
Allow 4 - 5 business days to complete
Registration
Tips for Success:
Start early – allow at least 4 weeks to complete
• NIH 2-week “good faith effort” for Commons registration
Grants.gov & Commons registrations may be completed
simultaneously once DUNS# is obtained
Update information in Central Contractor Registry (CCR)
yearly to keep Grants.gov credentials active
Do not combine SO and PI roles on single Commons account
If PD/PI has a Commons account, affiliate them to your
organization rather than creating new account
PIs should update their Commons profile prior to submitting
(e.g., degree info used to determine Early Stage Investigator
eligibility)
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/resources/download_softw
are.jsp
Adobe Reader
Applications opened with an incompatible software
(even if not saved) can become corrupted
Most attempts to use incompatible Adobe software are
caught and a cautionary pop-up message presented
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://era.nih.gov/ElectronicReceipt/sp.htm
Application preparation responsibilities
Sharing applications in progress
Internal review & approval process
Internal deadlines
Administrators and PIs must work together!
Find Opportunity
ALL applications must be submitted in
response to a Funding Opportunity
Announcement (FOA)
NIH simultaneously posts FOAs in:
• NIH Small Business Program Web page
http://grants.nih.gov/grants/funding/sbir.htm
• NIH Guide for Grants & Contracts
http://grants.nih.gov/grants/guide/index.html
• Grants.gov Find
http://grants.gov/applicants/find_grant_opportunities.jsp
Finding FOAs for Investigator –Initiated Research
NIH is committed to investigator-initiated
research and we want your unsolicited
applications!
“Parent” FOAs are available with generic
packages
Parent announcements listed at:
• http://grants.nih.gov/grants/guide/parent_
announcements.htm
Apply using the Parent FOA for your
chosen activity code
Finding Opportunities
NIH Office of Extramural Research
http://grants.nih.gov/grants/oer.htm
Screen shot for Parent Annoucement
NIH Guide for
Grants and
Contracts
Parent
Announcements
Small Business
(SBIR/STTR) page
Finding FOAs on Small Business Web site
Screen shot of Small Business page
SBIR Parent
PA-09-080
Follow link to
announcement
STTR Parent
PA-09-081
Funding Opportunity Announcement - Notes
Carefully read and follow all FOA instructions.
Funding Opportunity Announcement - Notes
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 pm local time
Opening Date: systems begin accepting applications
Expiration Date: announcement closed
Funding Opportunity Announcement - Notes
Pay special attention to
Section IV. Application and
Submission Information
Includes FOA-specific submission
instructions
Instructions in FOA supersede
instructions in the application
guide
Funding Opportunity Announcement - Notes
FOAs in the NIH Guide include button to
download app from Grants.gov
Apply for Grant Electronically button brings user to
Grants.gov download page for specific opportunity.
Download Application Package
Verify information
Click download
Download Application Instructions
Sign-up for Agency updates to FOA
Download application instructions
Download Application Instructions
All FOAs link to the latest set of instructions
Instructions
available in
Word and PDF
formats
Links to other
handy resources
Application Guide
Read and follow
application
guide
instructions
Agency-specific
instructions are
marked with the
HHS logo
Download Application Package
Download forms
Complete
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 an FOA
NIH applications include:
Federal-wide (R&R) components
Agency-specific (PHS 398) components
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
R&R Subaward Budget Attachment Form
SBIR/STTR Information
NIH agency-specific components (titled PHS 398):
PHS
PHS
PHS
PHS
398
398
398
398
Cover Letter File
Cover Page Supplement
Research Plan
Checklist
Completing the Application
Tips for Success:
Follow FOA-specific guidelines (e.g., special
attachments, specific section headings)
Follow application guide requirements
Follow guidelines for fonts, margins
Do not include headers or footers
• Section headings as part of the text (i.e., Specific
Aims, Background & Significance) are encouraged
Avoid 2-column format for text
Avoid “landscape” format
Grant Application Package Screen
Save the package locally.
*Application Form Screen - Top*
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.
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.
Prepare Application
Highlight form and use
the arrow buttons to move
forms to the Mandatory
Documents for
Submission box
Highlight form in
right box and click
Open Form or use
window scroll bars
to access form
SF424 (R&R) Cover
Use Application for first submission and
Changed/Corrected for subsequent
submissions to correct errors/warnings
App. DUNS = Grants.gov
DUNS = Commons DUNS
If New (box 8) Application
(box 1), leave blank. If New
box 8) Changed/
Corrected (box1), use
initial Grants.gov tracking #
Otherwise, use Institute and
Serial number of prior
application/grant
Contact email required by NIH
See App. Guide for explanation
of Application Type terminology
Application Type
New Term Grants.gov
Old Term - Notes
NIH
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
Non-competing (SNAP) are submitted directly to eRA
Commons for others paper is still submitted)
SF424 (R&R) Cover
* form cont.*
NIH will assign
CFDA postsubmission
Application
Title
PD/PI info
carries
throughout
form
SF424 (R&R) Cover
Manually
entered
See application
guide for full list
of NIH policies
& certifications
AOR Info.
Sr/Key Person Profile Expanded
Enter PI Commons Username
Enter Organization Name
eRA Commons
Username must
be supplied in
Credential field
for everyone with
PD/PI role – NIH
required field
Organization
name must be
supplied for all
listed–NIH
required field
See app guide for format
R&R Budget
Navigate through all budget pages
Include effort > zero
for all Sr/Key listed.
Individual
Sr/Key
Persons listed
in Section A
Aggregate
other
Personnel in
Section B
PHS 398 Research Plan
All attachments
must be in PDF
format.
Separate PDF
attachments
facilitate image
bookmarking.
Create in single
document then
split to ensure
you stay within
page limits
Appendix material
Final Application Check
Avoid Grants.gov & eRA Commons Errors:
SF424 (R&R) cover
• Does the DUNS number on your application match the
DUNS used for Grants.gov & Commons registration?
• Did you include the Contact Email address?
• Did you provide correct Type of Application, Federal
Identifier, and Type of Submission information?
Sr/Key Person Profile
• Did you include Commons ID in Credential field for all
PD/PIs?
• Did you include Organization name for all
Sr/Key?
Final Application Check
Avoid Grants.gov & eRA Commons Errors (cont.):
Did you include effort > 0 for all Sr/Key listed on
the R&R Budget form?
Did you include all required attachments?
Are all your attachments in PDF format?
Are all attachment names 50 characters or less and
use only letters, numbers and underscore (_)?
Submit
Submit early!!
Leave a cushion for unforeseen issues.
-Grants.gov & NIH
Route Application to AOR
Your completed application must be
routed to your institute’s Authorized
Organization Representative (AOR)
for Submission.
Submit Application
Save & Submit
button will not
become active until:
•All G.g mandatory
fields are completed
•All Mandatory docs are
moved to Mandatory
Documents for
Submission box
•Application is Saved
The Check Package for
Errors button only checks
for Grants.gov errors.
Must Submit application
for it to go through the
NIH validation process.
NIH errors/warnings
shown in the eRA
Commons.
Submit
Enter Grants.gov
username and
password – you must
be fully registered to
successfully submit.
Only the AOR can
Submit application.
Submit
Click Sign and
Submit
Application.
Submit
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
Track – Grants.gov
AORs can track application
status at Grants.gov.
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
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
Track Status – Grants.gov
Applicant interface
Grants.gov application status
Track – Commons
Signing Officials (SOs), Principal
Investigators (PIs) and Assistants (ASSTs)
can track status in eRA Commons.
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
Email notifications sent
Track Status- eRA Commons Notifications
eRA emails are sent to the AOR/SO, PD/PI and
contact emails 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)
Accessing eRA Commons
Go to: https://commons.era.nih.gov/commons/
Enter your Username and Password
Username
Password
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
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
Track Status in Commons – PD/PI
Select Recent/Pending eSubmissions
Or provide Grants.gov tracking
number from email notification
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
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://era.nih.gov/ElectronicReceipt/avoiding_errors.htm
Full list of Commons Validations
http://era.nih.gov/ElectronicReceipt/files/SF424RR_Validation.pdf
View
Trust, but verify.
- Ronald Reagan
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
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 to
address Warnings (if within error correction window)
or to address a system issue affecting the application
image
If Rejected after deadline for any other reason, application is
subject to late policy
PD/PI will receive email notification if SO rejects
application
If you can’t VIEW it, we can’t REVIEW it!
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
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!
Reject Application
Must have SO role
Enter Search Criteria
Click Search
Select Recent/ Pending eSubmissions
Reject Application
Select Reject
eApplication
Enter comment to
be sent with email
notification
Click Reject
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 approved
through and at the discretion of the Scientific
Review Officer in the form of addenda
eSubmission
Policies
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 2-business
day error correction window
Error Correction Window
NIH currently allows applicants to
correct errors/warnings during the
two (2) business days after the
submission deadline
Initial submission made “on time”
All registrations completed before deadline
Proof of "on time" submission and
description of post-deadline changes
documented in Cover Letter
IMPORTANT: AOR is expected to enforce that application changes are
restricted to those needed to fix identified errors/warnings.
NIH may reject any application that includes additional changes.
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.
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 timestamp 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
NIH Contingency Plans
Contingency plans
Address large-scale, extended system issues
• 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:
• Targeted emails to affected users
• Alerts on eRA Commons site
• Notice in NIH Guide for Grants & Contracts
http://grants.nih.gov/grants/guide/index.html
• Commons listservs
http://era.nih.gov/ElectronicReceipt/listserv.htm
• Electronic Submission Web site
http://era.nih.gov/ElectronicReceipt/index.htm
Grants.gov Status
Latest news and current Grants.gov system
status provided on their Blog.
Form Changes Ahead
NIH plans to move to updated Adobe forms later
this year
“ADOBE-FORMS-B” will incorporate changes
resulting from:
• Latest OMB renewal of PHS 398 form set
• Latest OMB renewal of SF424 (R&R) form set
• Federal Funding Accountability and Transparency Act
(FFATA)
• Peer Review redesign effort
Make sure you are using the latest application
package posted
Resources
Support Desks, FAQs, Web sites
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
Email: support@grants.gov
Business Hours: M-F 7 a.m.-9 p.m. ET
Help Page
Resources, FAQs, Troubleshooting Tips
http://www.grants.gov/CustomerSupport
Download Software Page
http://www.grants.gov/help/download_software.jsp
Grants.gov Web site
Screen shot of Grants.gov site
Learn About Grants
http://grants.nih.gov/
BASICS
NIH GUIDE
INITIATIVES
eRA, Commons,
eSubmission
GET CONECTED
GLOSSARY, FAQS
POLICY
FORMS & INSTRUCTIONS,
SUBMISSION DATES
NIH & eRA Commons Resources
eRA Commons Help Desk
Assistance with:
• eRA Commons registration, eRA system
validations
Create ticket on Web:
http://ithelpdesk.nih.gov/eRA/
Phone:
301-402-7469
Toll Free: 866-504-9552
TTY:
301-451-5939
Business hours M-F, 7am-8pm ET
NIH & eRA Commons Resources
Web sites:
eRA Commons:
https://commons.era.nih.gov/commons/
Electronic Research Administration:
http://era.nih.gov/commons/index.cfm
Electronic Submission Information:
http://era.nih.gov/ElectronicReceipt/
NIH Grants Information Page:
http://grants.nih.gov/grants/oer.htm
NIH Electronic Submission Web Site
http://era.nih.gov/ElectronicReceipt/
Questions?