Grants'gov at UMB

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Grants.gov at UMB

• Last updated June 29, 2006
• Prepared by Janet Simons
• Dawn R. Wilkins
• Jeanne Galvin-Clarke
• Office of Research and Development

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What is Grants.gov?

• Web-based electronic system that provides a
  simple, unified electronic storefront for
  interactions between grant applicants and the
  Federal agencies that manage grant funds
• Data transfer via a common portal
• Main goal is to provide a single, secure and
  reliable location for finding and applying for
  Federal grant funds online

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What is driving this change?

• The Federal Financial Assistance Management
  Improvement Act of 1999 (Public Law 106-107) and
  the President's Management Agenda have been
  driving Federal Agencies to
• Simplify Federal financial assistance application
  requirements
• Improve coordination and consistency among
  Federal grant-making agencies
• The Grants.gov Program is one of 24 Federal
  cross-agency E-Government initiatives focused on
  improving access to government services via the
  Internet

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What does this mean for us?

• New instructions, new forms, new software
• Start earlier on preparation and routing
• Our viability as a research institution and as
  individual investigators depends upon
  successfully meeting this requirement. (Dr.
  Bruce Jarrell)

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NIH Transition

• Grants.gov submission already required for
• R13 (conference grants)
• R15 (AREA)
• S10 (Shared Instrumentation)
• R03 (Small grants)
• R21, R33, R34 (Exploratory/Developmental Grants
  Clinical Trial Planning Grants)
• See NIH Transition Plan for schedule
• http//era.nih.gov/ElectronicReceipt/strategy_tim
  eline.htm
• February 1, 2007 - R01 applications
• Once a mechanism transitions to Grants.gov, paper
  submissions are no longer permitted for that
  mechanism

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Getting Started with Grants.gov

• DO NOT register on Grants.gov or in CCR - the
  University is registered as an institution
• ORD staff are registered as Authorized
  Organizational Representatives (AORs)
• Faculty applying for NIH grants must register in
  NIH eRA Commons
• Contact Colin Hunter (chunter_at_umaryland.edu) to
  get logins for NIH eRA Commons, NSF FastLane
• The PI will also need a login for the web-based
  routing form
• PIs may request username and login online via the
  link at https//ord2.umaryland.edu/uom/index.las
  so

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Getting Started

• Download PureEdge Viewer - free via the
  Grants.gov website
• http//www.grants.gov/DownloadViewer
• The Grants.gov Grant Application Packages can
  only be viewed with PureEdge Viewer
• Mac/Non-Windows users will also need to purchase
  Windows emulation software (recommended) or
  install the Citrix client application to access
  the free Citrix server
• Ensure that you have software to create PDF files
  (to convert from Word or other applications to
  PDF)

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A quick introduction to Grants.gov
Your Grant Application
Grants.gov
Federal Agency
Submitted by ORD via web interface
Application retrieved from Grants.gov by Agency
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Find and Apply

• Try the Find Grant Opportunities function on
  Grants.gov - http//www.grants.gov/search/searchHo
  me.do
• Do not use the CFDA to search for NIH funding
  opportunities
• For NIH grant announcements, we recommend the NIH
  website
• http//grants.nih.gov/grants/guide/index.html
• HINT The NIH now refers to the general,
  investigator-initiated program opportunity as the
  PARENT - eg Parent R03

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Find and Apply (continued)

• You must download the Grant Application Package
  for a specific Funding Opportunity Announcement,
  and save it on your computer for completion.
• The Grant Application Package is specific to a
  given Funding Opportunity Announcement
• For example, the Grant Application Package
  downloaded from an R03 Program Announcement may
  not be used for an R21 application.
• Also download the Instructions as well as a copy
  of the Funding Opportunity Announcement. Follow
  any links within these documents for additional
  information.

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What is a Grant Application Package?

• The Grants.gov Grant Application Package is
  comprised of documents (forms) containing data
  entry fields and fields for attachments
• The Grant Application Package is a PureEdge
  application file which has an .xfd extension

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The Grant Application Package

• The Grant Application Package can only be viewed
  using the PureEdge Viewer application
• The Grant Application Package is saved on your
  hard drive or server. Re-save as you add
  information (similar to working with a Word
  document - save early and often!)
• When you Save, be sure that you are overwriting
  the same file, to avoid creating multiple copies
  in various places.

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A quick introduction to the Grant Application
Package

• The next slide is a screen-shot of what you see
  when you open the PureEdge file, identifying the
  specific Funding Opportunity Announcement, and
  the required and optional documents for that
  program/mechanism.
• Fields in Yellow are mandatory fields in
  Grants.gov.
• The yellow field called Application Filing Name
  on the next slide is to be used for our internal
  tracking purposes and appears in Grants.gov
  emails and status tables. Please include the PI
  last name as part of this field.
• To open a document (form), highlight the form
  name and then click the open form button.
• Then, complete fields and add required
  attachments. Be sure to look for a Next button
  because some forms have more than one page.

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Attachments

• You will create attachments in Word or similar
  applications. Once they are final, convert the
  attachment to a pdf format (more on this later).
• We recommend using file names for your pdf
  attachments relevant to the application section,
  eg, ProjectSummary.pdf or BudgetJustification.p
  df
• Upload attachments to the Grant Application
  Package. Be sure to save the Grant Application
  Package as you add attachments.
• Once you have added an attachment, your pdf file
  name will appear in the field and the Delete
  Attachment and View Attachment buttons will be
  activated. You should then be able to open and
  view your pdf file, or delete it and upload the
  correct or updated pdf file.

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Ready to Submit

• As you complete forms, move them from the box
  marked Mandatory Documents or Optional
  Documents to the corresponding Completed
  Documents box.
• Click the Check Package for Errors button -
  PureEdge will tell you if you missed any of the
  Yellow fields.
• However, it will not check for requirements of
  the funding agency or the specific Funding
  Opportunity Announcement.

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Ready to Submit
Submit button will become activated after the
following steps have been completed

• All Mandatory Fields have been completed
• All Mandatory Documents have been completed and
  moved to the Completed box
• All applicable Optional Documents have been
  completed and moved to the Completed box
• Check Package for Errors button has been clicked
  and reveals No Errors

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Ready to Submit

• Electronic submission through Grants.gov means
  that PIs no longer submit the application to NIH
  or other Federal agencies this is now ORDs
  responsibility.
• The School of Medicine has implemented a grant
  routing policy - other schools have similar
  policies
• Grants to Deans Office 9 business days before
  the deadline
• Grants in FINAL form to ORD by 7 business days
  before the deadline

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Submission Timeline

• The next slide depicts the review and submission
  timeline.
• Provide to ORD the FINAL version of the Grant
  Application Package at least 7 business days
  before the deadline (follow your School policy).
  
• ORD reviews within 3-4 days (this anticipates
  heavy volume of applications, eg major NIH
  deadlines)
• ORD notifies PI and/or department if corrections
  need to be made
• ORD submits the application via Grants.gov - this
  is the official date/time of application receipt
  (unless a changed/corrected application is
  submitted)
• Grants.gov receives, validates
• Agency retrieves, validates
• Errors identified by Grants.gov or Agency must be
  fixed and the application resubmitted.
• ORD submits changed/corrected application - this
  then becomes the official date/time of
  application submission.
• Submission of a changed/corrected application
  must occur before the Agency deadline unless the
  Agency has provided different information about
  corrected applications.

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Submission Timeline
FINAL Grant Application Package to ORD
3 to 5 days
Receipt Validation Retrieval Errors/Warnings? Resu
bmission
Deadline
Proposal submission
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Routing (or, how does ORD get the PureEdge file?)

• Use the UMB web-based routing form
• https//ord2.umaryland.edu/uom/index.lasso
• Complete and submit the form. The PI will
  receive an emailed PDF of the routing form, with
  signature lines
• Print out the emailed PDF routing form and attach
  (hard copy) the budget and a DRAFT of the
  proposal to obtain signatures
• Upload the FINAL completed PureEdge file (Grant
  Application Package) to the existing routing form
  
• Email your ORD contact person to advise that the
  FINAL file has been uploaded for ORD review.

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The Big Picture
Routing form print-out of budget, draft
proposal
Routing for signatures
PI/Dept prepare application forms
attachments Web-based routing form is
completed
Grants.gov review/ validation
Agency receipt/ error check
ORD review
ORD submits application
Upload to web-based Routing Form
Resubmission, when required
PureEdge Grant Application Packet
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Save form data and send PDF instructs the
program to send Routing Form pdf to PI and other
contact person to be printed out for routing.
Screen shot of routing form
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Click on View Routing Forms to access an existing
routing form. Then, click on Upload Files.
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Upload the Budget in the first field, and the
PureEdge Grant Application Package in the next
field
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In Review

• ORD accesses the uploaded PureEdge file via its
  database, and opens each form and attachment for
  review
• This takes 60-90 minutes per application
• ORD reviews, as usual, the budget and
  administrative parts of the application, focusing
  on agency requirements. ORD verifies that
  attachments are in PDF format.
• The BUDGET should be supplied as an Excel
  spreadsheet, to provide detail to the Deans
  Office and ORD not included in the Grant
  Application Package, and to allow ORD to verify
  the budget information in the application.
• ORD notifies the PI and administrator of any
  concerns.

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In Review

• ORD can make minor corrections to data in the
  form fields.
• ORD cannot correct or change the content of PDF
  files.
• If substantive changes are needed, such as
  revised PDF attachments, ORD may request that an
  updated PureEdge file with the necessary
  corrections be provided to ORD.
• Upload the corrected PureEdge file to the
  existing routing form, and email ORD to advise
  that the file is available.
• ORD requests that you give the revised PureEdge
  file a new file name (such as SmithR03Version5.xf
  d)

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Submission!

• ORD submits the application through Grants.gov
• A confirmation page is provided on the website,
  then a series of email messages are sent by
  Grants.gov and usually from the agency as well,
  to confirm receipt and validation by Grants.gov
  and the agency.
• ORD forwards emails to the PI and Administrator

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ERRORS WARNINGS

• An application with an ERROR will not go forward
  for review
• Applications with Errors must be corrected and
  resubmitted via Grants.gov prior to the agency
  deadline
• Warnings may be important or minor - review and
  correct as required. Applications with Warnings
  will go forward for review. Corrected/changed
  applications must be resubmitted via Grants.gov
  prior to the agency deadline.
• Most Warnings have been minor and have not
  required correction/resubmission.

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NIHs Most Common Errors

• Missing PIs Commons User ID on the Senior/Key
  Person form, Credential field
• PDF issues
• NIH only accepts attachments in PureEdge or PDF
  format. Do not submit attachments in other
  formats such as Microsoft Word, Word Perfect,
  etc.
• Do not put special characters in file names.
• Disable all security features in the PDF
  document.
• Do not send PDF documents with editable fields
  (fields that can be changed).
• http//era.nih.gov/ElectronicReceipt/pdf_guideline
  s.htm

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Review in NIH eRA Commons

• If an application has no Errors, NIH assembles a
  PDF file from the data and attachments
  transmitted via Grants.gov and posts the pdf
  document in eRA Commons.
• NIH allows 2 business days for the PI and Signing
  Official (SO) to review the application in eRA
  Commons, during which time the SO may reject the
  application.
• This option should be used if the PI or SO
  determines that warnings should be addressed.
• A changed/corrected application must be submitted
  within the two day viewing window.
• Per NIH on 6/29/06, business days means
  weekdays and includes holidays
• If no action is taken within the 2-day period,
  the application will automatically move forward
  in the NIH review process.

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Notes on checking the assembled application (NIH
- eRA Commons)

• Log on to Commons (https//commons.era.nih.gov/com
  mons/ )
• Click the Status tab, then click on
  e-applications on the left
• If the application is acceptable to the PI,
  notify ORD - no further action is necessary in
  Commons.
• Only the AOR/SO (ORD Contract Officer) has the
  ability to reject the application within the
  two business days to address warnings or if the
  assembled application in eRA Commons does not
  correctly reflect the submitted application
  package due to system issues with eRA Commons or
  Grants.gov (i.e. some part of the application was
  lost during the submission process or did not
  transfer correctly).
• NIH states that applicants will not be penalized
  for NIH or Grants.gov system issues.

From http//era.nih.gov/ElectronicReceipt/
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Rejecting in NIH eRA Commons and Resubmitting

• If the AOR/SO rejects the application before the
  submission deadline, a changed/corrected
  application can be submitted to Grants.gov within
  the two-day viewing window.
• If the AOR/SO rejects the application after the
  submission deadline for some reason other than
  system issues, a changed/corrected application
  can be submitted to Grants.gov but it will be
  subject to the NIH late policy and may not be
  accepted. A cover letter will need to be attached
  to the application package, explaining the reason
  why the application is late.

From http//era.nih.gov/ElectronicReceipt/
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Other Agencies

• ORD currently recommends that if an agency does
  not have a validation/verification process (as do
  NIH and NSF), the PI/department should contact
  the Agency Program Office to verify that the
  application with all required components was
  received.

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QUESTIONS???
Contact your ORD Contract Officer or Jeanne
jclarke_at_umaryland.edu Dawn dwilk001_at_umaryland.ed
u Janet jsimons_at_umaryland.edu
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Resources

• ORD website
• http//www.ord.umaryland.edu/electronic_submission
  s/electronic_submissions.html
• Grants.gov Customer Support website
• http//grants.gov/CustomerSupport
• NIH eRA Commons website
• http//era.nih.gov/ElectronicReceipt/
• NIH - Avoiding Common Errors
• http//era.nih.gov/ElectronicReceipt/avoiding_erro
  rs.htm