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  • The goal is to give some insight on what happens between putting an application in a FedEx drop box and receipt of a summary statement many months later What happens, who is involved, and things you can do.
  • Initially, receipt is not a scientific process. Moving paper. Why we ask for seemingly bureaucratic things like using special labels for RFAs, sending things by special dates. Don’t risk your application getting stuck in the mailroom. They guys work hard, sometimes have little distractions, and need applicants to follow the rules.
  • Transcript

    • 1. Electronic Grant Submission and Foreign Investigators
      • Mark R. Green, Ph.D.
      • Deputy Director
      • Office of Extramural Affairs
      • National Institute on Drug Abuse
    • 2. The Peer Review Process Summary Statement
    • 3. Over 75,000 applications submitted in FY2005 Why transition to electronic receipt?
    • 4. Why transition to electronic receipt?
    • 5. Why transition to electronic receipt?
    • 6.  
    • 7. Why transition to electronic receipt?
        • Eliminates the burden of paper-based data collection
        • Resulting efficiencies may allow NIH to shorten the cycle from application receipt to award
        • 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
    • 8. 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 . . .”
    • 9. What is
      • The Federal government’s single, online portal for any person, business, or State, Local and Tribal government to electronically:
        • Find Grant Opportunities
        • Apply for Grants
    • 10. What is
      • A cross-agency initiative involving
        • 900 grant programs
        • 26 grant-making agencies
        • Over $350 billion in annual awards
    • 11. NIH’s Transition Strategy
      • NIH will transition by individual research program/funding mechanism (e.g., R21 and R03 e-submission began June, 2006)
      • NIH will announce plans to transition mechanisms in NIH Guide for Grants and Contracts (e.g., R01 start e-submission February 1, 2007)
    • 12. NIH’s Transition Strategy
      • Funding Opportunity Announcements will be posted in “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
    • 13. NIH Timeline 2005 NIH Timeline: Submission of Grant Applications through Using SF424 Family of Grant Application Forms Post SBIR/STTR and R13/U13 Announcements on Post R15 Announcements on Submit SBIR/STTR via (12/1/05 ) Submit R13 & U13 via (12/15/05) Submit R15 via (2/25/06) 2006 Post R36 Announcements on Submit R36 via (2/17/06) AUG SEP OCT NOV DEC JAN FEB MAR
    • 14. NIH Timeline 2006 NIH Timeline: Submission of Grant Applications through Using SF424 Family of Grant Application Forms (cont.) Submit R01 via (2/1/07) Submit all Mechanisms via Submit R03, R21 & R33 via (6/1/06) Post R01 Announcements on Post NRSA (T&F), Careers & Complex Grants Announcements on APR FEB MAR MAY JUN JUL AUG SEP OCT NOV APR DEC JAN MAY JUN JUL AUG SEP 2007 Abbreviation/Mechanism Key: AREA/R15 Academic Research Enhancement HTS/X01 High Throughput Screening NRSA National Research Service Award R01 Research Project Grant Program R03 Small Grant Programs R13/U13 Conference Support R21/R33 Exploratory/ Development Research R36 Research Dissertation Grant Program SBIR/STTR Small Business Research
    • 15. Electronic Submission Website at: /
    • 16.  
    • 17.  
    • 18. Electronic Receipt: How it works
      • Applying for Grants at
      • After finding the grant opportunity on or NIH Guide:
      • Step 1 : Download the grant application package. (PureEdge Software required to view-available for free on website)
      • Step 2 : Complete the application.
      • Step 3: Submit the application to Processed through Authorized Organizational Representative (AOR)
      • Step 4 : Track the status of the application package you are notified it has been retrieved by NIH on the NIH Commons – 2 day window to check.
    • 19.
      • Applying for Grants (cont.):
      • Step 5: eRA software checks the application against NIH business rules; budget, page limits, required data.
      • Step 6: If the application passes NIH rules, SF424 (R&R)- grant image appears on Commons
          • Applicants have 2 days to view the image
          • If acceptable, nothing needs to be done; the application will be processed.
          • If there is a problem the SO rejects the application in Commons, makes changes and resubmits via (Principal Investigators should view image too, but authority to reject is with SO)
      Electronic Receipt: How it works
    • 20.
      • Applying for Grants (cont.):
      • Step 7 : If application does not pass NIH rules, errors and warnings are listed.
        • Warnings do not stop processing
        • Errors must be fixed and application resubmitted to
      • Step 8 : Applications without errors proceed to the referral process where Institute and review committee assignments are made.
      Electronic Receipt: How it works
    • 21. Finding a Funding Opportunity
    • 22. Preparing for Submission – Two Registrations
      • Applicant institutions must complete one time only registration
      • Good for electronic submission to all Federal agencies
      • Detailed instructions at:
        • 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
      It is critical for institutions to begin this registration process at least 4 weeks before applications are due!
    • 23.
      • eRA Commons
      • Applicant institutions must complete one-time only registration.
      • PI’s must work through their institutions to register
      It is critical for institutions & PI’s to begin this registration process at least 4 weeks before applications are due! Preparing for Submission – Two Registrations
    • 24. Preparing for Submission - Technology
      • An institution must be able to complete required fields
      • Download PureEdge Viewer from 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 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 for attachments (e.g., cover letter, appendices) . ( lists some available tools and software http:// .
    • 25.
      • I have heard that is not Macintosh compatible. What do I do if I use only a Macintosh?
      • is aware of the issues facing Macintosh users who apply for Federal grants electronically. is proud to partner with NIH (National Institutes of Health) to launch Citrix server availability for all users. Non-Windows users will be able to download and complete the PureEdge forms using a free Citrix server . Non-Windows users are also able to submit completed grant applications via the Citrix environment.
      • For details, please visit http://
    • 26.
      • I have heard that is not Macintosh compatible. What do I do if I use only a Macintosh?
      • Applicants can also use service providers (see Service Providers ) for a platform independent solution.
      • Cayuse Inc. http://
      • Click Commerce
      • Clinical Tools ht tp://
      • eRA Software Systems http://
      • Formatta Corp http:// /about/partners/nih/
      • iMedRIS Data Corporation /
      • InfoEd International
      • Research & Management Systems http://
      • Disclaimer Note: Information contained on this Service Providers webpage neither constitutes nor should be inferred to be an endorsement or recommendation by the National Institutes of Health.
    • 27. Frequently Asked Questions
      • I am an applicant who lives outside the U.S. and am unable to access the Central Contract Registration (CCR) site. What should I do?
      • A few countries may have trouble accessing the CCR website. The applicant should contact the CCR support directly if they find this to be the case. The CCR support center is open 24 hours and can be reached via email at [email_address] or by phone at 888-227-2423 (this number may not work from abroad) or 1-269-961-5757. Please email the NIH Electronic Submission mailbox at [email_address] if you encounter this issue, so NIH can track the prevalence of this occurrence.
    • 28. Frequently Asked Questions
      • Are International Organizations required to hold a DUNS and register in Yes.
      • Some of the data fields in the 424 (R&R) do not really apply to foreign organizations. How will this be handled?
      • For some of the data, special instructions for foreign organizations are included in the Application Guide.
      • What about the foreign institutions that do not have zip codes or state designation, which are required fields in the electronic application.  What do they do? In the field is large enough to include postal codes. At NIH, foreign addresses are accepted.
    • 29. Where to go for Help
      • General information on Electronic Submission and the SF424 (R&R): http://
      • Forms transition and questions on NIH’s overall plan for electronic receipt: NIH or
      • [email_address] or phone: 301-435-0714
      • eRA Commons registration and post submission questions on Commons functionality
        • Support Page:
        • Help Desk: [email_address] or: 1-866-504-9552 301-402-7469
      • registration and submission questions
        • Visit: http://
        • Customer Service: [email_address] or 1-800-518-4726
    • 30. Potential Unique International Issues
        • Limited, slow, and/or costly Internet Access- - Possible 3 service providers have been identified that would provide services (not including registrations) to foreign institutions at costs ranging from $200-$400—not settled.
        • Difficulty with registration- - for legal reasons service providers cannot provide the required institutional and investigator registrations required to submit applications , institutions will need to provide the web-based registrations that include: DUNS number (Institution), NCage number (Institution), Central Contractor Registration number (annual Institution), registration (Institution), NIH Commons (PI and Institution)
    • 31. Potential Unique International Issues
          • Communication, training, and outreach is primarily conducted via the Web
        • Deadlines may be difficult to meet– will have same deadlines as domestic institutions, but NIH will closely monitor problems.