October 17, 2005October 17, 2005

Overview of the Transition to Overview of the Transition to Electronic Submission of the Electronic Submission of the

SF424 (R&R) ApplicationSF424 (R&R) Application

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NIH’s Electronic Receipt GoalNIH’s Electronic Receipt Goal

By the end of May 2007, NIH plans to:

1. Require electronic submission through Grants.gov for all NIH grant applications

2. Transition from the PHS 398 application form to SF424 family of forms data set SF424 Research and Research-Related

(SF424 (R&R)) SF424 Discretionary (of limited use for NIH)

Announced in the NIH Guide, Aug. 19, 2005: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-05-067.html

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This is a huge transition for This is a huge transition for all of us!all of us!

The simultaneous transition to electronic application submission and a new set of application forms is a huge initiative for NIH with an aggressive time table

It involves: Numerous funding mechanisms Tens of thousands of applications ranging widely in size and

complexity

The transition relies upon many pieces for its success: Technical development of eRA and Grants.gov systems Trans-agency resolution of policy and operational issues Lots of communications, training and outreach Acceptance of change by NIH staff Acceptance of change by our research partners in the

extramural community

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What is Grants.gov? What is Grants.gov? The Federal government’s single,

online portal for any person, business, or State, Local and Tribal government to to electronically:electronically: Find Grant Opportunities Apply for Grants

A cross-agency initiative involving 900 grant programs 26 grant-making agencies Over $350 billion in annual awards

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Why transition to electronic receipt?Why transition to electronic receipt? It benefits our applicant community, creates

efficiencies, and makes our jobs easier!

Eliminates the burden of paper-based data collection

Resulting efficiencies may allow NIH to shorten the cycle from application receipt to award

AREA grants – An early win!

Electronic submission creates a comprehensive repository of data that can be mined by knowledge management and other tools

Electronic validations improve data quality

Savings of >200,000,000 pieces of paper/year (estimated) and countless hours of human effort

Reductions of scanning, printing, and data-entry costs

Grant image is clearer and in color

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Why transition to SF424 family Why transition to SF424 family of forms?of forms?

SF424 consolidates forms currently used by SF424 consolidates forms currently used by Federal grant-making agenciesFederal grant-making agencies Applicants can use standard forms regardless of Applicants can use standard forms regardless of

the program or agency to which they are the program or agency to which they are applying.applying.

Reduces administrative burden on the Federal Reduces administrative burden on the Federal grants community.grants community.

SF424 (R&R) is the government-wide data SF424 (R&R) is the government-wide data set for research grant applicationsset for research grant applications

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Why transition? It’s the law…Why transition? It’s the law…

Public Law (PL) 106-107 Federal Financial Assistance Management Improvement

Act of 1999 Improve the effectiveness and performance of Federal

financial assistance programs Simplify Federal financial assistance application and

reporting requirements Improve the delivery of services to the public

President’s Management Agenda (2002) “Agencies to allow applicants for Federal Grants to apply

for, and ultimately manage, grant funds online through a common web site, simplifying grants management and eliminating redundancies . . .”

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Why now?Why now?

It’s been a long time coming. It’s time.

OMB has set the following FY 2006 Goal for Agencies: Post 75% of Funding Opportunities in Grants.gov “Find” on “Apply”

The PHS 398 OMB clearance expires in September, 2007

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NIH’s Transition StrategyNIH’s Transition Strategy

NIH will transition by individual research program/funding mechanism

ALL applications in response to these announcements for transitioned mechanisms will require electronic submission through Grants.gov on the SF424 family of forms

Mechanisms not yet transitioned will continue to require submission on PHS 398 on paper

NIH will announce plans to transition mechanisms in NIH Guide for Grants and Contracts

Funding Opportunity Announcements will be posted in Grants.gov “Apply”, generally 2 months before the submission date Posting announcement allows downloading of application package

and the ability to start working on the application “Open” date is the first date the completed application can be

submitted to Grants.gov

2005

AUG SEP OCT NOV DEC JAN FEB MAR

NIH Timeline:Submission of Grant Applications through Grants.gov

Using SF424 Family of Grant Application Forms

Post SBIR/STTR and R13/U13 Announcements on Grants.gov

Post R15 Announcements on Grants.gov

Submit SBIR/STTR via Grants.gov (12/1/05)

Submit R13 & U13 via Grants.gov (12/15/05)

Submit R15 viaGrants.gov (2/25/06)

2006

Post full schedule with all remaining mechanisms

Post R36 Announcements on Grants.gov

Submit R36 via Grants.gov (2/17/06)

2006

NIH Timeline:Submission of Grant Applications through Grants.gov Using SF424 Family of Grant Application Forms (cont.)

Submit R01 via Grants.gov (10/1/06)

OMB Clearance for PHS398 form Expires

Submit all Mechanismsvia Grants.gov

Submit R03, R21 & R33 via Grants.gov (6/1/06)

Post R01 Announcements on Grants.gov

Post NRSA (T&F), Careers & ComplexGrants Announcements on Grants.gov

APR FEB MARMAY JUN JUL AUG SEP OCT NOV APRDEC JAN MAY JUN JUL AUG SEP

2007

Abbreviation/Mechanism Key:AREA/R15 Academic Research Enhancement HTS/X01 High Throughput ScreeningNRSA National Research Service AwardR01 Research Project Grant ProgramR03 Small Grant ProgramsR13/U13 Conference Support R21/R33 Exploratory/ Development ResearchR36 Research Dissertation Grant ProgramSBIR/STTR Small Business Research

Post R03, R21 & R33 Announcements on Grants.gov

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SF424 (R&R) Grant Application SF424 (R&R) Grant Application PackagePackage SF424 (R&R) includes the following set of

standard components:

R&R Application/Cover Component R&R Project/Performance Site Location(s)

Component R&R Other Project Information Component R&R Senior/Key Person Component R&R Budget Component R&R Personal Data Component (NIH will not use)

R&R Sub-award Budget Attachment Component

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SF424 (R&R) Grant Application SF424 (R&R) Grant Application PackagePackage NIH requires additional data collection to

accommodate the unique information required for review of its biomedical research portfolio.

In addition to the standard components, the following “agency specific” components will be used by NIH as part of our application package:

PHS 398 Cover Letter File PHS 398 Cover Page Supplement PHS 398 Research Plan PHS 398 Modular Budget PHS 398 Checklist

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Using standard forms to apply through Using standard forms to apply through Grants.gov is a very different modelGrants.gov is a very different model

The application form and instructions will now be part of a package that NIH posts on Grants.gov along with each funding opportunity announcement (FOA).

Applicants will download the application package

for the specific funding opportunity announcement from within Grants.gov.

This specific application package MUST be used to apply for the accompanying solicitation. Some fields of application are pre-filled from

announcement

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Posting funding opportunity Posting funding opportunity announcements on Grants.govannouncements on Grants.gov

Funding opportunities will continue to be posted in Funding opportunities will continue to be posted in the NIH Guide and Contracts as usualthe NIH Guide and Contracts as usual NIH will continue to use RFAs and PAs, but all NIH will continue to use RFAs and PAs, but all

solicitations will be referred to as funding opportunity solicitations will be referred to as funding opportunity announcements in Grants.govannouncements in Grants.gov

They will simultaneously be posted to Grants.gov They will simultaneously be posted to Grants.gov by OER staff along with the appropriate application by OER staff along with the appropriate application packagepackage

The new model changes how we use the NIH The new model changes how we use the NIH forms websiteforms website

NIH Forms and Applications Pagehttp://grants1.nih.gov/grants/forms.htm

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SF424 (R&R) Application and Electronic Submission Informationhttp://grants1.nih.gov/grants/funding/424/index.htm

Preview Version only!

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SF424 (R&R) Application and Electronic Submission Informationhttp://grants1.nih.gov/grants/funding/424/index.htm

Important Note: Application packages on this page are samples only and cannot be completed and used to submit electronically to Grants.gov.

Application package downloaded from the specific funding opportunity announcement on Grants.gov MUST be used to apply.

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Electronic Receipt: How it worksElectronic Receipt: How it works

ApplyingApplying for Grants at Grants.gov: for Grants at Grants.gov:

After finding the grant opportunity on Grants.gov:After finding the grant opportunity on Grants.gov: Step 1:Step 1: Download the grant application package. Download the grant application package.

(PureEdge Software required to view.)(PureEdge Software required to view.)

Step 2: Complete the application.Step 2: Complete the application.

Step 3: Submit the application to Grants.gov. Step 3: Submit the application to Grants.gov. (Processed through Authorized Organizational (Processed through Authorized Organizational Representative (AOR))Representative (AOR))

Step 4: Track the status of the submitted application Step 4: Track the status of the submitted application package you are notified it has been package you are notified it has been retrieved by NIH.retrieved by NIH.

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Electronic Receipt: How it worksElectronic Receipt: How it worksApplyingApplying for Grants (cont.): for Grants (cont.):

Step 5: eRA software checks the application against Step 5: eRA software checks the application against NIH business rules.NIH business rules.

Step 6: NIH notifies PI and Signing Official via email Step 6: NIH notifies PI and Signing Official via email to check the eRA Commons for results of to check the eRA Commons for results of NIH rule checking.NIH rule checking.

Step 7: If the application passes NIH rules, SF424 Step 7: If the application passes NIH rules, SF424 (R&R)-based grant image appears.(R&R)-based grant image appears. Principal Investigator (PI) and Signing Official Principal Investigator (PI) and Signing Official

(SO) review application.(SO) review application. If acceptable, PI and SO verify application in

Commons. If not, the PI or SO rejects the application in

Commons, makes changes and resubmits via Grants.gov

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Electronic Receipt: How it worksElectronic Receipt: How it works

ApplyApply for Grants (cont.): for Grants (cont.):

Step 8: If application does not pass NIH rules, errors Step 8: If application does not pass NIH rules, errors and warnings are listed.and warnings are listed.

Fix errors and resubmit to Grants.govFix errors and resubmit to Grants.gov

Step 9: After verification, data and grant image are Step 9: After verification, data and grant image are saved and application begins getting saved and application begins getting processed by NIH staff.processed by NIH staff.

Grant image is available to reviewers.

Applicant can follow progress of application via the eRA Commons.

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Preparing for Submission – RegistrationPreparing for Submission – Registration

Grants.gov Applicant institutions must complete one time only registration Good for electronic submission to all Federal agencies Detailed instructions at: http://grants.gov/GetStarted

Grants.gov registration requires institutions to: Obtain a Data Universal Numbering System (DUNS) number Register in Central Contractor Registry (CCR)

Registration not required to find funding opportunity or download application package, only to submit completed application

eRA Commons Applicant institutions must complete one-time only registration PI’s must work through their institutions to register

PI’s currently registered only for IAR must work through their institutions for full Commons registration

It is critical for institutions to begin this registration process at least 4 weeks before applications are due!

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Preparing for Submission - TechnologyPreparing for Submission - Technology

Before an applicant institution can apply they must establish the capacity to complete fields required by application

Download PureEdge Viewer from Grants.gov site for direct submission Note: Mac users must currently use a PC emulator to work

with PureEdge forms.

OR Establish an electronic system that allows the institution to

submit to Grants.gov using system-to-system (XML) data stream

Can be created by institution OR Institution can establish an agreement with a commercial

Service Provider

PDF generator software is required for either approach. Grants.gov lists some available tools and software http://

www.grants.gov/assets/PDFConversion.pdf.

Where to find more informationWhere to find more information

Electronic Submission Website at:

http://era.nih.gov/ElectronicReceipt/

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Where to go for HelpWhere to go for Help General information on Electronic Submission and the

SF424 (R&R): http://era.nih.gov/ElectronicReceipt

Forms transition and questions on NIH’s overall plan for electronic receipt NIH GrantsInfo.gov

E-mail: grantsinfo@nih.gov Phone: 301-435-0714

eRA Commons registration and post submission questions on Commons functionality Support Page: http://era.nih.gov/commons/index.cfm Help Desk

E-mail: commons@od.nih.gov Phone: 1-866-504-9552 OR 301-402-7469

Grants.gov registration and submission questions Visit: http://www.grants.gov/CustomerSupport Grants.gov Customer Service

E-mail: support@grants.gov Phone: 1-800-518-4726 Phone: 1-800-518-4726

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Are you ready?Are you ready?

Ask questions. Get informed!Ask questions. Get informed!