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Interacting Electronically with NIH: Interacting Electronically with NIH:

Interacting Electronically with NIH: - PowerPoint Presentation

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Interacting Electronically with NIH: - PPT Presentation

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

grants application submission gov application grants gov submission nih era apply commons guide htm amp status http assist errors type submit format

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Slide1

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?