Application Preparation amp Submission Sheri Cummins amp Laurie Roman October 2016 Set Ready Submit Todays Topics How to Apply Application Guide Prepare to Apply and Register ID: 712934
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Interacting Electronically with NIH: Application Preparation & Submission
Sheri Cummins
& Laurie RomanOctober 2016
Set!
Ready!
Submit!Slide2
Today’s TopicsHow to Apply – Application GuidePrepare to Apply and RegisterFormat and WriteSubmission ProcessFinding Help
ASSIST Demo
2Slide3
NIH Grants & Funding3
http://grants.nih.govSlide4
How to Apply – Application Guide
4http://grants.nih.gov/grants/how-to-apply-application-guide.htm
General Application Process Information
Form & Field InstructionsSlide5
Prepare to Apply and RegisterGet Ready!
5Slide6
Make a Submission PlanGather teamVerify registrations are in place and activeDetermine application preparation responsibilitiesMake sure everyone is aware of processSharing
applications in progress Internal review & approval processInternal deadlinesPost-submission responsibilitiesHow to deal with errors/warnings
Who will verify application in eRA Commons?6Make a plan before you need one!Slide7
Grants.goveRA CommonsUnderstand Key Systems & Roles
E-Business Point of Contact (EBiz POC)Authorized Organization Representative (AOR)
Signing Official (SO)Principal Investigator (PI)7
http://grants.nih.gov/grants/how-to-apply-application-guide/prepare-to-apply-and-register/key-systems-and-roles.htmSlide8
Organization RegistrationDUNS – provides unique organization identifier
SAM (System for Award Management) – needed to do business with governmentRequires annual renewal
Grants.gov – required to submit grantseRA Commons – required to do business with NIHSBA (Small Business Administration) – requiredfor SBIR/STTR applications
8Your organization must be registered in multiple systems to submit. Start early – can take 6 weeks!
http://grants.nih.gov/grants/how-to-apply-application-guide/prepare-to-apply-and-register/registration/org-representative-registration.htmSlide9
Visibility of SAM Registration Status in ASSIST9
Initiate Screen
Application Information ScreenSlide10
Pending SAM Expiration ValidationeRA will provide a Warning if your SAM registration is within 14 days of expirationPre-submissionVisible when you use the Validate Application action in ASSIST
Post-submissionIncluded in list of errors/warnings in eRA Commons upon submission through Grants.gov using any submission method
10Slide11
ASSIST Pop-up For Expired SAM RegistrationASSIST pop-up will appear if you try to submit and your SAM registration has expiredInformational only - does not prevent submission to Grants.gov, but if expired Grants.gov will reject the application
11Slide12
Visibility of SAM Registration Status in eRA Commons
12Slide13
Individual RegistrationsGrants.govAt least one Authorized Organization Representative (AOR)eRA Commons
At least one Signing Official (SO)Project Director/Principal Investigator (PD/PI) and any multiple-PD/PIs Component leads on a multi-project application Sponsor
on a fellowship application (NOT-OD-14-129 – August 2014)Candidates for diversity and re-entry supplementsPrimary mentor identified on individual mentored career development applications (NOT-OD-16-082 – March 2016)
13http://grants.nih.gov/grants/how-to-apply-application-guide/prepare-to-apply-and-register/registration/investigators-and-other-users/era-commons-user-registration.htmSlide14
Find & Understand FOAsNIH posts all funding opportunity announcements (FOAs) in:Grants.govNIH Guide for Grants and Contracts
Take a tour of an annotated FOA for tips and key informationhttp://grants.nih.gov/grants/Annotated_FOA.pdfSection IV. Application and Submission Information
includes announcement-specific instructions thatmay differ from the application guide instructions14
http://grants.nih.gov/grants/how-to-apply-application-guide/prepare-to-apply-and-register/find-and-understand-foas.htmSlide15
Follow All GuidanceNotices in the NIH Guide for Grants and contractsFunding Opportunity AnnouncementSection IV. Application and Submission
InformationApplication GuideIncluding Supplemental Instructions
15
Precedence / ImportanceSlide16
Parent FOAsBroad announcements allowing applicants to propose research on unsolicited topics.
Select Parent FOA for your chosen grant program (i.e. R01, R03, R21, etc.).
16http://grants.nih.gov/grants/guide/parent_announcements.htm
Not all institutes participate on all parents.
Check for fit, before you submit!
Parent R01Slide17
Identify Type of Application Submission17
Number
TypeStage/DescriptionType 1*New - Request for support of a project that has not yet been funded. Type 2*Renewal - Request for additional funding for a period subsequent to that provided by a current award.Type 3*
Competitive Revision* – Request for additional funds to expand the scope of a current award.
Administrative Supplement – Request for additional funds to cover unforeseen, increased costs to carry out current award.Type 6Change of Organization Status (Successor-in-Interest)
Type 7Change of Grantee or Training Institution* Resubmission -
An unfunded application that has been modified following initial review and resubmitted for new consideration.
http://grants.nih.gov/grants/how-to-apply-application-guide/prepare-to-apply-and-register/type-of-application-submission.htmSlide18
Application Submission Options18
http://grants.nih.gov/grants/how-to-apply-application-guide/prepare-to-apply-and-register/choose-a-submission-option.htmSlide19
ASSISTManaged by NIHFeaturesMulti-user accessPre-population from eRA Commons profile information
Pre-submission validationsPre-submission preview in agency formatTracking in a single systemAbility to copy application data to another opportunity or to a different application package for the same opportunity
Super handy feature during form updates!19Slide20
System-to-system (S2S) SolutionManaged by institution or service providerFeatures vary by solutionExamples of potential features
Secure, on-line data entryConcurrent user supportIntegration with institutional databases and grant systems to reduce data entry
Pre-submission verification of some NIH business rulesPre-submission preview of assembled application image in generic or agency formateRA Commons application status information20Slide21
Grants.gov downloadable formsManaged by Grants.gov No registration required until submissionOffline data entryG
ood when internet connectivity is unavailable or unreliableNo visibility to agency errors/warnings or application image prior to submissionMust track in multiple systems
21Slide22
Grants.gov workspaceManaged by Grants.govHybrid of online application management and downloadable formsAllows forms to be completed individually by different usersNo visibility to agency errors/warnings or application image prior to submission
Must track in multiple systems
22Slide23
Available Options for Application Types23
Type
ASSIST
System-to-System Solution
1
Grants.gov
Down-loadable Forms
Grants.gov
Workspace
eRA Commons
Paper
Single-project (SP)
Competing Applications
(Type 1, 2, 3)
Multi-Project (MP)
Competing Applications
(Type
1, 2, 3)
Administrative Supplement
(Administrative Type 3)
(
SP
)
(
SP
)
(
SP
)
(
SP
)
(
SP
)
(SP, MP)
Successor-in-Interest
(Administrative Type 6)
(
SP
)
(
SP
)
(
SP
)
(
SP
)
(SP, MP)
Change of Institution
(Administrative
Type 7)
(
SP
)
(
SP
)
(
SP
)
(
SP
)
Relinquishing Statement
(SP, MP)
1
Availability varies by applicant organization and S2S
solutionSlide24
Your Application will be…Subject to the same registration requirementsCompleted with the same data items
Routed through Grants.govValidated against the same NIH business rulesAssembled in a consistent format for review considerationTracked in eRA Commons
24…regardless of submission option used.Slide25
What Submission Option Are Applicants Using?More and more Grants.gov Downloadable Forms/Workspace users switching to ASSIST
25Slide26
FOA “Apply” Buttons
Excerpt from single-project FOA in NIH Guide…
26Slide27
Obtain SoftwareBrowserLatest versions of Internet Explorer, Mozilla Firefox and Google Chrome – fully supported & testedMany others work fine
Adobe ReaderVersions compatible with Grants.gov downloadable formshttp
://www.grants.gov/web/grants/support/technical-support/recommended-software.html PDF conversion programAll application attachments must be converted to PDF format27Slide28
Format and WriteGet set!28Slide29
GrantsmanshipTips for developing strong applications & budgetsHow to Apply – Application Guide siteInstitute sitesYour office of sponsored research and colleagues (especially those with review experience)
ListservsConferences
29http://grants.nih.gov/grants/how-to-apply-application-guide/format-and-write/write-your-application.htmhttp://grants.nih.gov/grants/how-to-apply-application-guide/format-and-write/develop-your-budget.htmSlide30
Format AttachmentsUse simple PDF-formatted files Do not use Portfolio or similar feature to bundle multiple files into a single PDFDisable security (e.g., password protection, encryption) Keep
filenames to 50 characters or less Use meaningful filenamesDo not include headers or footersSection headings as part of the text
(e.g., Significance, Innovation, Approach) are encouragedFollow guidelines for fonts and margins 30
http://grants.nih.gov/grants/how-to-apply-application-guide/format-and-write/format-attachments.htmSlide31
Follow Specified Page Limits31
http://grants.nih.gov/grants/how-to-apply-application-guide/format-and-write/table-of-page-limits.htmSlide32
Use Format Pages32
http://grants.nih.gov/grants/forms/format-pages.htmSlide33
Submission Process
Submit!
33Slide34
Ready to Submit?34
At this point you should have: Verified
all required registrations Identified a funding opportunity announcement and due date Chosen a submission method Prepared your application forms per the
announcement and application guide instructions Routed your application to the person authorized to
submit (i.e. Grants.gov user with the Authorized Organization Representative (AOR) role) Slide35
Submission Process - High Level
Submit AOR submits application to
Grants.govTrack Applicant tracks submission status in Grants.gov and eRA CommonsApplicant addresses all identified errors Warnings addressed at applicant’s discretion View Once an error-free application is received, eRA assembles an application image
by combining submitted forms and attachmentsAdds: headers, footers, table of contents, bookmarksApplicant views assembled application image in eRA Commons After 2-business day application viewing window, the application moves forward to receipt and referral staff for further processing
35Slide36
Submission Process – Submit
AOR
submits application to Grants.gov
Grants.gov checks application and records status
AOR
checks status in Grants.gov
Rejected
with Errors
Applicant corrects application errors
Validated
(No errors)
Application queued for agency retrieval
36Slide37
Submission Process – Track
eRA system downloads application
eRA checks application and puts status in eRA Commons
Applicant checks status in eRA Commons
Errors
found
Applicant makes corrections before deadline
AOR
submits changed/correct application to Grants.gov and begins process again
No errors,
Warnings OK
Application image generated in eRA Commons
37Slide38
Submission Process – View
Happy with
image in eRA Commons?
Looks
good
After 2 business days the application automatically moves forward to Receipt & Referral
Change
desired
B
efore
deadline?
Yes
SO rejects app in eRA Commons (w/in viewing window) or withdraws app (after) & prepares changed/correct application
AOR
submits to Grants.gov and begins process again
No
Which option?
Let application move forward without change
Make change and be subject to late policy
SO rejects application in eRA Commons
38
Apply for
later due dateSlide39
On-time SubmissionError-free applications must be accepted by Grants.gov with a time stamp on or before 5:00 p.m.
local time of the submitting organization on the due date.I
mportant reminders:NIH recommends submitting early (days, not minutes!) to allow time for correcting any errors found during the application viewing window prior to the due dateNIH’s late policy does not allow corrections after the due dateAll registrations and SAM renewal must be completed before the due date39Slide40
Application Checks (Validations)We really care about the detailsMultiple levels of application checks for completeness
Grants.goveRA systemsAgency staff
40https://grants.nih.gov/grants/how-to-apply-application-guide/submission-process/check-your-application.htmSlide41
Validations Done by Grants.govCan you think of some examples?Active System for Award Management (SAM) registration
Submitter has AOR role for DUNS on applicationSubmission made to active opportunity and application packageVirus checkFilenames include only appropriate characters
A-Z, a-z, 0-9, underscore, hyphen, space, period, parenthesis, curly braces, square brackets, ampersand, tilde, exclamation point, comma, semi colon, apostrophe, at sign, number sign, dollar sign, percent sign, plus sign, and equal sign41Slide42
Validations Done by eRA SystemsCan you think of some examples?Fields required by agency, but not required federal-wide
R&R Sr/Key formCredential for PD/PIs (and a few others)Organization name for all
sr/keyBiosketch attachment for all sr/key (Grants.gov only enforces for PD/PI)Project/Performance Site Location formDUNS for primary siteAttachments in PDF format Adherence to page limits in our Table of Page Limits (unless otherwise specified in the announcement) Included appropriate attachments (eRA checks many but not all)
42Slide43
Avoiding Common Errors
43
Annotated form sets
are
a great resource to help avoid errors enforced by eRA validation checks.
Annotated form sets:
http://
grants.nih.gov/grants/how-to-apply-application-guide/resources/annotated-form-sets.htm Slide44
Checks Done by Agency StaffCan you think of some examples?Fit with NIH's and participating institute’s missionEligibility“
Overstuffing” – application doesn’t include inappropriate information in attachments to get around page limitsOn-time submissionSimultaneous review of essentially same application
Adherence to funding opportunity announcement specific instructions Correct number of reference letters received by the due date (if applicable) Adherence to font and margin guidelines Agreement from institute to accept application requesting over $500K in direct costs in any budget period
44Slide45
Dealing with System Issues45
You must follow NIH’s standard ‘system issue’ procedure if you run into
problems beyond your control that threaten your on-time submission: http://grants.nih.gov/grants/ElectronicReceipt/support.htm#guidelines Slide46
Finding HelpHelp DesksOn-line resources &Web sites
46Slide47
eRA Commons Help DeskGrants.gov Contact CenterHelp Desks
Web: http://grants.nih.gov/support/
Toll-free: 1-866-504-9552Phone: 301-402-7469Hours : Mon-Fri, 7a.m. to 8 p.m. ETToll-free: 1-800-518-4726Phone: 606-545-5035Hours : 24x7 (Except Federal Holidays)Email : support@grants.gov
Resources: http://www.grants.gov/help/help.jsp
47Slide48
Online Resources & WebsitesHow to Apply – Application Guide
http://grants.nih.gov/grants/how-to-apply-application-guide.htm
Annotated form sethttp://grants.nih.gov/grants/how-to-apply-application-guide/resources/annotated-form-sets.htm ASSIST
public.era.nih.gov/assist
ASSIST Online helpera.nih.gov/
erahelp/ASSIST/
eRA ASSIST Training page:
http://era.nih.gov/era_training/assist.cfm
48Slide49
Live ASSIST DemoInitiate applicationManage AccessForm navigation & data entryPre-submission validationPre-submission preview
Tracking Submission StatusAnd More!
49Remaining slides are for notes only. Content will be covered during demo.Slide50
Initiate Application
50Slide51
Initiate Screen51
FOA information pulled from Grants.gov
Enter Project Title
Drop-down list of organizations affiliated with your eRA Commons accountSlide52
Initiate: Pre-population52
Data pre-populated from organization selection
Can manually enter PD/PI information or provide
eRA Commons username to auto-populateSlide53
Automatic Application AccessASSIST automatically provides application access to some individuals based on their Commons roles or role on the applicationExamples:Users with Commons accounts that have the Signing Official (SO) or Administrative Official (AO) role have
edit access to all applications for their organizationAll PD/PIs (once eRA Commons credentials are provided) have edit access for the entire
applicationUser who initiates the application has edit access for the entire application53Slide54
Manage AccessApplication access can be given to additional users with Commons IDsApplication access can be controlled across these variables:Read vs. Edit
Budget vs. Non-budget dataEntire application vs. specific components (multi-project)
54Slide55
ASSIST: Signing Officials (SOs)SOs at the applicant institution canManage application access for other usersManage application status
Delegate Access Maintainer and Status Maintainer authorityto other users within their
institutionAccess the Submit action55Slide56
Providing Application Access to a User
56Slide57
Data Entry57
Click each tab to access form data entry screens
Clicking
Edit
blocks other users from editing formSlide58
Adding Optional Forms58
Select form and click
Submit
The form tab is added to navigation Slide59
Validate Application59
Errors and Warnings are displayedSlide60
Generating Application Preview60
V
iew last preview
Generate new previewSlide61
View Submission Status Details
61
Click View Submission Status Details
61Slide62
Tracking Submission Status
62
Happy path…ASSIST =
SubmittedGrants.gov =
Agency Tracking Number Assigned Agency =
Processed
Agency Tracking #
link brings you to the detailed status screen in eRA CommonsSlide63
Viewing Your Application in Commons
63
eApplication
is the application image reviewers will use so check it carefully.
Also check the Cover Letter and Appendices which are stored separate from the image.Slide64
64Questions?