1

Electronic Submission of

NIH Grant Prepare-Complete-Submit-Track-View

2

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.

3

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)

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Prepare

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Two Separate, but Linked Systems

Grants.govFederal-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.

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Registration

Grants.govApplicant 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 CommonsApplicant Organization & PD/PIDesignate Signing Official (SO)•Registers or affiliates Project Director/Principal

Investigator (PD/PI)

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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 accountsLog in to accounts prior to deadline to ensure you have access to the systemsUpdate Central Contractor Registration (CCR) information yearly to keep Grants.gov credentials active

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Registration

More Tips for Success:Do not combine SO and PI roles on single Commons accountPIs 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)

9

Obtain Software

Adobe ReaderOnly specific Adobe Reader versionsare compatible with Grants.gov forms

PDF conversion programAttachments must be converted to PDF

Grants.gov download software pagehttp://www.grants.gov/help/download_software.jsp

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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

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Make a Submission Plan

Internal organization considerations…Submission method•Downloadable forms

•System-to-system using XML data stream

•Services of a commercial service providerhttp://grants.nih.gov/grants/ElectronicReceipt/sp.htm

Application preparation responsibilitiesSharing applications in progress Internal review & approval processInternal deadlines

Administrators and PIs must work together!

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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 unsolicitedapplications

•http://grants.nih.gov/grants/guide/parent_announcements.htm

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Finding FOAs for Investigator–Initiated Research

Screen shot for Parent Annoucement

NIH Office of Extramural Researchhttp://grants.nih.gov/grants/oer.htm

Parent Announcements for Unsolicited Applications

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Screen shots of NIH Guide at http://grants.nih.gov/grant/guide/

Enter search string or advanced search

Finding FOAs in NIH Guide for Grants & Contracts

Enter search string or click Advanced Search

NIH Guide for Grants & Contractshttp://grants.nih.gov/grants/guide/

15

Finding FOAs in NIH Guide for Grants & Contracts

In Advanced Search screen, enter search parameters and click on Search button.

Enter search parameters

Click Search

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Finding FOAs in NIH Guide for Grants & ContractsReview list of FOAs matching your

criteria and find FOA of interest

Click Announcement Number link to access FOA information

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Announcement NotesCarefully read the entire announcement!Key dates:

Release/Posted Date: package and instructions available for download; begin preparing applicationApplication Submission/Receipt/Due Date: applications must be submitted by 5:00 p.m. local timeOpening Date: systems begin accepting applicationsExpiration Date: announcement closed

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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

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Announcement Notes

FOAs in the NIH Guide include button to download application from Grants.gov

Click Apply for Grant Electronically

Click download Verify information

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Download Application Instructions

Download application instructions

Sign-up for Agency updates to FOA

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Download Application Instructions

All FOAs link to the latest set of instructions

Instructions available in Word and PDF formats

Links to other handy resources

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Application Guide

Read and follow application guide instructions

Agency-specific instructions are marked with the HHS logo

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Download Application Package

Download forms

24

Complete

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SF424 (R&R) Data Set

NIH uses the SF424 Research & Related (R&R) data set

Owned and maintained by Grants.govAgencies combine form components to meet the data collection needs for a FOA

NIH applications include:Federal-wide (R&R) componentsAgency-specific (PHS 398) components

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SF424 (R&R) Data Set

SF424 (R&R) Components include:SF424 (R&R)—An application cover componentResearch & Related Project/Performance Site LocationResearch & Related Other Project InformationResearch & Related Senior/Key Person (Expanded)Research & Related BudgetResearch & Related Personal Data (NIH does not use)R&R Sub-award Budget Attachment FormSmall Business Technology Transfer (STTR) & Small Business Innovation Research (SBIR) Information

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SF424 (R&R) Data Set

NIH requires additional information for review of its biomedical research portfolio.NIH agency-specific components (titled PHS 398):

PHS 398 Cover Letter FilePHS 398 Cover Page Supplement (supplements the R&R Cover)PHS 398 Modular BudgetPHS 398 Research PlanPHS 398 ChecklistPHS 398 Career Development Award Supplemental FormPHS Fellowship Supplemental FormPHS 398 Research Training Program PlanPHS 398 Training Budget PHS 398 Training Sub-award Budget Attachment Form

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Grant Application Package Screen

Make sure you have the correct application package.

FOA information is automatically populated and not editable.

Save the package locally.

Mandatory Grants.gov fields highlighted yellow with red box.

*Application Form Screen - Top*

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Grant Application Package Screen

Mandatory Documents must be completed prior to submission.

*Application Form Screen - Bottom*

Complete the SF424 (R&R) form first – info from this form populates fields in other forms in the package.

See application guide to determine which Optional Documents you need to include.

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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 requirementsComplete the SF424 (R&R) form first – info from this form populates fields in other forms within the packageDo not cut & paste from Word docs into form fields•Some word processors alter special

characters (e.g., quotes)

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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

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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

eRA-identified 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)

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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 Non-competing (SNAP) are submitted directly to eRA Commons; for others paper is still submitted.)

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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) coverCredential field for PD/PIs on R&R Sr./Key Person Profile formOrganization 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

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Organization name must be supplied for all listed–NIH required field

eRA Commons Username must be

supplied in Credential field for everyone with

PD/PI role

Avoiding Common Errors

Enter PI Commons Username

Enter Organization Name

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Avoiding Common Errors

Include effort > 0 for all Sr./Key in R&R Budget

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.

Include effort > zero for all Sr./Key

listed.

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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 Commonshttp://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-029.html

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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 Commonso http://grants.nih.gov/grants/funding/424/416-1reference.doc

http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-106.html

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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

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Submit

42

Route Application to AOR

Route your completed application to your institute’s Authorized Organization Representative (AOR) for Submission.

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eSubmission: Submit Application

The Check Package for Errors button only checks for Grants.gov errors.

Must submit application for it to go through the NIH validation process.

Save & Submit activates when:•All G.g mandatory fields are completed•All mandatory docs are moved to right•Application is Saved

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eSubmission: Submit Application

Only the AOR can submit application.

Enter Grants.gov Username and Password – you must be fully registered to successfully submit.

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eSubmission: Submit Application

Click Sign and Submit Application.

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eSubmission: Submit Application

Grants.gov Tracking #

Date/Time Stamp - due 5 p.m. local time of the applicant org. on submission deadline date

Print/Save your confirmation screen info

*screen cont *

*top of screen *

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On-time Submission

On-time Submission

All registrations must be completedprior 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

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Track – Grants.gov

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Track Status - Grants.gov Notifications

AOR receives Grants.gov e-mailsReceipt•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

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Track Status – Grants.gov Validations

Grants.gov Error CheckingGrants.gov mandatory fields completedMandatory documents moved to the Mandatory Documents for Submission box and completedDUNS# on application matches DUNS# in organization’s Grants.gov registrationAttachments are •Virus-free

•Have file names of 50 characters or less

•Have file names with no spaces or special characters

( -, &, *, %, /, #, \) ; underscore (_) is OK

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Track Status – Grants.gov

Applicant interface

Grants.gov application status

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Track – Commons

Signing Officials (SOs), Principal Investigators (PIs) and Assistants (ASSTs)

can track status in eRA Commons.

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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 agency-specific business rules into the forms

Processing result available in eRA Commons Statuse-mail notifications sent

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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 applicationValidation complete, check assembled application – Warnings onlyAction required – Errors and/or WarningsAction required – Missing or invalid eRA Commons Username (only sent to AOR/SO)Action required – System ErrorSO has refused electronic application (rejected)NIH has auto-verified the application (after 2-day viewing window)

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Accessing eRA Commons

Go to: https://commons.era.nih.gov/commons/ Enter your Username and Password

UsernamePassword

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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 imageDOES 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

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PI Admin - Delegate Status

Select user to receive delegation from list of Current Institution Users and click Assign button

Navigate to Delegate Status

Only users with ASST role appear in list

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Track Status in Commons – PD/PI

Select Recent/Pending eSubmissions

Or provide Grants.gov tracking number from e-mail notification

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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

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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 Validationshttp://grants.nih.gov/grants/ElectronicReceipt/files/SF424RR_Validation.pdf

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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 deadlineAOR is expected to enforce that changes are restricted to fixing errors/warningsProof of "on time" submission and descriptionof changes documented in Cover Letter

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Correcting eSub Errors/Warnings

To correct errors/warnings in an application submission:

Make needed corrections to the local application formsCheck 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 deadlineSubmit the entire Changed/Corrected applicationback through Grants.govTrack submission through to CommonsNOTE: Reviewers do not see applicant errors/warnings.

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View

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View Application Image

Once an error-free application is received, the eRA system will:

Assemble the grant application imageInsert headers & footersBookmark important sectionsGenerate Table of ContentsPost the assembled application image in the PD/PI’s eRA Commons account

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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 rejectsapplication

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View Application Image

View Appendices and Cover Letter

Status is Pending Verification

Follow e-Application link to view assembledapplication image

Follow link to detailed status info

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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!

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Reject Application

Must have SO role

Select Recent/ Pending eSubmissions

Click Search

Enter Search Criteria

69

Reject Application

Select Reject eApplication

Enter comment to be sent with e-mail notification

Click Reject

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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

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eSub Odds & Ends

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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 resolutiono 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 windowDocument your issues and correctiveactions including support ticket numbers in Cover Letter

73

NIH Contingency Plans

Contingency plansAddress 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 & Contractshttp://grants.nih.gov/grants/guide/index.html

• Commons listservshttp://era.nih.gov/ElectronicReceipt/listserv.htm

• Applying Electronically Web site http://grants.nih.gov/grants/ElectronicReceipt/index.htm

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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 CommonsCommons registration not required to submit reference letterLetters can be submitted in advance of application submission• Letters are joined with the electronic application within the eRA

system once the submission process is completeApplications missing the required letters may be delayed in the review process or not accepted at allApplicants can track the submission of reference letters in the Commons, but cannot view the actual letter

75

FOA Posting Changes Ahead

Multiple application packages for a single FOA

Currently, NIH posts a separate announcement for each activity code accepted for that opportunityWill move to a single FOA with multiple application packages distinguished by Competition ID

Example of single opportunity with three posted packages:Opportunity Number: PA-10-123Opportunity 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

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Moving Forward

Future expansion of electronic submission: Revised FOAs Complex grant programs Administrative Supplements (Type 3s) Change of Institution (Type 7) applications

77

Resources

Support Desks, FAQs, Web sites

78

Grants.gov Support Resources

Grants.gov Contact CenterAssistance with: • Grants.gov registration; form behavior & navigation; issues

submitting to Grants.gov site

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

Help Page Resources, FAQs, Troubleshooting Tips http://www.grants.gov/CustomerSupport

Download Software Pagehttp://www.grants.gov/help/download_software.jsp

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NIH & eRA Commons Resources

eRA Commons Help DeskAssistance with:•eRA Commons registration, eRA system

validations

Create ticket on Web: http://itservicedesk.nih.gov/eRA/Phone: 301-402-7469Toll Free: 866-504-9552TTY: 301-451-5939Business hours Mon.-Fri., 7 a.m.-8 p.m. E.T.

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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

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Learn About Grants

NIH GUIDE

FORMS & INSTRUCTIONS,SUBMISSION DATES

GLOSSARY, FAQS

GET CONNECTED

http://grants.nih.gov/grants/oer.htm

BASICS

eRA, Commons,Applying Electronically

82http://grants.nih.gov/grants/ElectronicReceipt/

NIH Electronic Submission Web Site

83Same Web address: http://era.nih.gov/

NIH Electronic Research Administration Web Site

84

eRA Commons Training Resources

Commons Demohttps://commonsdemo.era.nih.gov/commons-demo/ Create Your Own Commons Demo Account with sample data •Check the status of sample applications

•View errors & warnings

•See sample application images

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Questions?