Скачать презентацию New York University Office of Sponsored Programs Submitting Скачать презентацию New York University Office of Sponsored Programs Submitting

626ce6793c3520a19eefdab079ce96f4.ppt

  • Количество слайдов: 126

New York University Office of Sponsored Programs Submitting NIH Proposals through Grants. gov via New York University Office of Sponsored Programs Submitting NIH Proposals through Grants. gov via Pure. Edge Software January, 2007

Electronic Submission Process • Prepare to Apply. • • Verify internal & NIH deadlines Electronic Submission Process • Prepare to Apply. • • Verify internal & NIH deadlines Register in e. RA Commons Find a PC Download/install Pure. Edge Software • Find Opportunity and Download Application Package. • Prepare Application. • Submit Application to Grants. gov via OSP. • Check Submission Status in Commons. • Check Assembled Application. 2

Internal Submission Deadlines l Notify OSP of intent to submit at least one full Internal Submission Deadlines l Notify OSP of intent to submit at least one full week before agency deadline l OSP must receive a completed proposal shell (all forms, final budget, budget justification) at least 72 hours in advance of the posted deadline. l Provide Dean’s Office with hard copy of the entire application, along with the original signed synopsis form at least 72 hours in advance of the posted deadline. l OSP must receive completed, final, saved, and uploaded version of the Pure. Edge file no later than one full business day prior to the sponsor due date. 3

NIH Submission Deadlines l Research Grants - R 01 (new) l l Research Grants NIH Submission Deadlines l Research Grants - R 01 (new) l l Research Grants - R 01 (renewal, resubmission, revision) l l Feb 12, June 12, Oct 12 Research Career Development – all K series (renewal, resubmission, revision) l l Jan 25, May 25, Sept 25 Research Career Development – all K series (new) l l March 16, July 16, Nov 16 Program Project Grants and Center Grants – all P Series (new, renewal, resubmission, revision) l l Feb 16, June 16, Oct 16 Research Grants - R 03, R 21, R 33, R 21/R 33, R 34, R 36 (renewal, resubmission, revision) l l March 5, July 5, Nov 5 Research Grants - R 03, R 21, R 33, R 21/R 33, R 34, R 36 (new) l l Feb 5, June 5, Oct 5 March 12, July 12, Nov 12 Individual Ruth L. Kirschstein National Research Service Awards (Standard) – all F series Fellowships. (new, renewal, resubmission) l April 8, Aug 8. Dec 8 4

e. RA Commons PI/PD Registration l Effective May 10, 2006, an e. RA Commons e. RA Commons PI/PD Registration l Effective May 10, 2006, an e. RA Commons name must be used on all applications submitted to NIH. l To register in e. RA Commons, go to OSP’s web site: http: //www. nyu. edu/osp/res/ and follow directions. l OSP will set up an e. RA Commons account, generally within two business days. l When the account is established, the PI will receive an email from NIH that includes a temporary password and the e. RA Commons weblink to access accounts. 5

e. RA Commons Personal Profile l The Personal Profile section must be completed and e. RA Commons Personal Profile l The Personal Profile section must be completed and maintained to prevent errors when a proposal is submitted. l The PI name, faculty rank, degrees, and departmental affiliation shown on the grant forms must be identical to the information in the Personal Profile. l PI’s may delegate “ASST” authority to another individual who will maintain their Personal Profile account. l Instructions for completing the Personal Profile are at: http: //www. nyu. edu/osp/proposal. html 6

New Terminology Old NIH Language vs. New NIH Language New Terminology Old NIH Language vs. New NIH Language

New Terminology: Electronic Submissions l NIH Term (old term) l PA and/or RFA l New Terminology: Electronic Submissions l NIH Term (old term) l PA and/or RFA l Principal Investigator (PI) l Authorized Signing Official (SO) Other Support l l Electronic Submissions Term (new term) l Funding Opportunity Announcement (FOA) l PI/PD: combined term Principal Investigator/Project Director l Authorized Organizational Representative (AOR) l Current & Pending Support 8

New Terminology: Proposal Types l NIH Term (old term) l Electronic Submissions Term (new New Terminology: Proposal Types l NIH Term (old term) l Electronic Submissions Term (new term) l l New Competing Continuation Revision or Amendment l Competing Supplement l l l New (same) Renewal Resubmission (equivalent to Revision) Revision (somewhat equivalent to a Competing Supplement 9

New Terminology: Proposal Sections l NIH Term (old term) l Electronic Submissions Term (new New Terminology: Proposal Sections l NIH Term (old term) l Electronic Submissions Term (new term) l Bibliography & References Cited l Literature Cited (Part G of PHS 398 Research Plan) l Consortium Budget l Subaward Budget l Project Description l Summary/Abstract AND Narrative l 10

Introducing Grants. gov 11 Introducing Grants. gov 11

What is it? What’s it for? GRANTS. GOV is l the single cross-agency, web-based What is it? What’s it for? GRANTS. GOV is l the single cross-agency, web-based US Government portal for accessing federal grant programs l GRANTS. GOV provides: l information on all federal grant opportunities l a mechanism to obtain the forms related to a specific opportunity l a mechanism to transmit the forms to the sponsoring agency l 12

Pure. Edge Software Required for Grants. gov submissions l To open and use Grants. Pure. Edge Software Required for Grants. gov submissions l To open and use Grants. gov application packages, you will need to download and install the free software package “Pure. Edge Viewer. ” The link is found at: http: //www. grants. gov/apply_for_grants. jsp Pure. Edge software was designed for Windows-based computers. If you use a Mac or other non-windows system, go to the linked support page. 13

Find/Apply for Grants through NIH OER Home Page and Grants. gov Find/Apply for Grants through NIH OER Home Page and Grants. gov

Find/Apply for Grants l Go to: http: //grants 1. nih. gov/grants/oer. htm Select Parent Find/Apply for Grants l Go to: http: //grants 1. nih. gov/grants/oer. htm Select Parent Announcements (for unsolicited proposals) OR l Select Funding Opportunities (for specific PAs, PARs or RFAs) l 15

For unsolicited proposals 16 For unsolicited proposals 16

Click on Announcement Number to Select 17 Click on Announcement Number to Select 17

Print out the specific announcement. It contains the instructions needed to prepare a proposal Print out the specific announcement. It contains the instructions needed to prepare a proposal that will conform to Commons validation rules. 18

19 19

Click here to download application 20 Click here to download application 20

You must have Pure. Edge Software installed on your computer before downloading. Enter your You must have Pure. Edge Software installed on your computer before downloading. Enter your email address here Click on hyperlinks to download instructions and application 21

Completed by NIH on receipt Date posted/date expires, not deadline 22 Completed by NIH on receipt Date posted/date expires, not deadline 22

Saving the Application Package l When you click on “Save” to save a downloaded Saving the Application Package l When you click on “Save” to save a downloaded application package, you will receive a warning message stating that the form contains an invalid value. This is because no data have been entered. l You will receive this message each time you save the document until all data are entered. l Click “YES” to ignore message. 23

24 24

For Specific PA/PAR/RFA l Select Funding Opportunities (RFAs, PAs) l Search by Keyword OR For Specific PA/PAR/RFA l Select Funding Opportunities (RFAs, PAs) l Search by Keyword OR l Search listing of all PAs/PARs/RFAs 25

For response to specific RFA/PA/PAR 26 For response to specific RFA/PA/PAR 26

Use when searching for a specific PA/PAR/RFA only 27 Use when searching for a specific PA/PAR/RFA only 27

Click on any of the headers to sort Click on the PA number of Click on any of the headers to sort Click on the PA number of the desired program; follow steps for unsolicited proposals 28

Application Documents 29 Application Documents 29

Mandatory & Optional Documents l Certain fields in the Mandatory & Optional Documents sections Mandatory & Optional Documents l Certain fields in the Mandatory & Optional Documents sections automatically populate based on the PA/RFA/FOA. l IMPERATIVE – read the PA/RFA/FOA to determine the specific documents required for the type of announcement to which you are responding. l Each announcement will have specific forms requirements: l Example: Certain R 01 FOAs require the use of the PHS 398 Modular Budget forms; others require the use of the full Research & Related Budget pages, which are also included under the Optional Documents. 30

Mandatory Documents l Open forms by highlighting the document title, then clicking on the Mandatory Documents l Open forms by highlighting the document title, then clicking on the “Open Form” button. l Complete all the Mandatory Document forms. SF 424 (R&R) l l l PHS 398 Research Plan PHS 398 Cover Page Supplement PHS 398 Checklist Research & Related Other Project Information Research & Related Senior/Key Person Research & Related Project Performance Site/Location 31

Optional Documents l Open and complete the Optional Document(s) forms if needed for your Optional Documents l Open and complete the Optional Document(s) forms if needed for your application l Read the PA/RFA to determine the budget requirements. Select either: l l Research & Related Budget PHS 398 Modular Budget Research & Related Subaward Budget PHS 398 Cover Letter File Save the application package every time you close a form. l If no optional docs are needed, leave forms blank. l 32

Forms Navigation • • Click the “Next” tab to move to other pages. Click Forms Navigation • • Click the “Next” tab to move to other pages. Click the “Previous” tab to go back to the previous page. Click the “Close Form” tab once the form is completed. Save the entire package each time you close a form. 33

SF 424 (R&R) Application Guide l NIH has developed an Application Guides specific to SF 424 (R&R) Application Guide l NIH has developed an Application Guides specific to the SF 424 (R&R): General Instructions Includes instructions embedded in the actual forms as well agency-specific instructions. l Agency-specific instructions denoted with the HHS Logo. l l Field-by-field instructions. 34

SF 424 (R&R) Form SF 424 (R&R) Form

SF 424(R&R) Cover Component Page 1 36 SF 424(R&R) Cover Component Page 1 36

SF 424 (R&R) Cover Component Page 2 37 SF 424 (R&R) Cover Component Page 2 37

SF 424 (R&R) NOTE: Required Fields are Yellow until completed l l Item 1: SF 424 (R&R) NOTE: Required Fields are Yellow until completed l l Item 1: Type of Submission Item 2: Date Submitted Item 3: Leave this field blank Item 4: Federal Identifier For renewals (competing continuations) or revisions (resubmissions) only, enter the NIH-assigned number l Example: MH 111111, EY 045678 l Item 5: Applicant Information (NYU not the PI/PD) l Legal Name (in caps): NEW YORK UNIVERSITY l Organizational DUNS: 041968306 l Department: Office of Sponsored Programs l Division: Provost’s Office l Street 1: 665 Broadway Suite 801 l City, County, State, Zip: New York, NY 10012 l Item 6: Employer Identification: 135562308 l l Item 7: Type of Applicant 38

SF 424 (R&R) l l l Item 8: Item 9: Item 10: Item 11: SF 424 (R&R) l l l Item 8: Item 9: Item 10: Item 11: Item 12: Item 13: Item 14: Item 15: Item 16: Item 17: Item 18: Item 19: l Type of Application Name of Federal Agency - pre-filled. CFDA Number Descriptive TITLE of your Project Areas Affected By Project Proposal Project – Start/End Date Congressional Districts of Project PI/PD Contact Information Estimated Project Funding Unless directed otherwise, check “No” Check the “I agree” box Authorized Representative Richard L. Louth, Director, Office of Sponsored Programs l Item 20: Pre-application: Do not check this box unless specifically directed to do so in the FOA 39

Research & Related: Project/Performance Site Location(s) Component Research & Related: Project/Performance Site Location(s) Component

41 41

Project/Performance Site Location(s) Component l Project/Performance Site Primary Location This information is equivalent to Project/Performance Site Location(s) Component l Project/Performance Site Primary Location This information is equivalent to the PHS 398 Form Page 2 Performance Site section l Complete this section for the Primary Location l l To additional Project/Performance Site Locations click “Next Site” 42

Research & Related: Other Project Information Component Research & Related: Other Project Information Component

Other Project Information 44 Other Project Information 44

R&R Other Project Information Component l l l Item 1. Human Subjects Item 2. R&R Other Project Information Component l l l Item 1. Human Subjects Item 2. Vertebrate Animals Item 3. Proprietary/Privileged Information Item 4. Impact on the Environment Item 5. Activities outside the US/partnership with International Collaborators Item 6. Summary/Abstract Item 7. Narrative Item 8. Bibliography & References Cited Item 9. Facilities & Other Resources Item 10. Equipment Item 11. Other Attachments 45

Research & Related: Senior/Key Person Profile Component Research & Related: Senior/Key Person Profile Component

Senior/Key Person Profile 47 Senior/Key Person Profile 47

Senior/Key Person Profile (Expanded) 48 Senior/Key Person Profile (Expanded) 48

Senior/Key Person Profile (Expanded) Additional Senior/Key Person Form Attachments 49 Senior/Key Person Profile (Expanded) Additional Senior/Key Person Form Attachments 49

Senior/Key Person Profile Component l Start with the PD/PI PROFILE l l l Credential, Senior/Key Person Profile Component l Start with the PD/PI PROFILE l l l Credential, e. g. agency login - this is your ERA Commons username. It is a mandatory field. The PI name, faculty rank, degrees, and departmental affiliation shown on the grant forms must be identical to the information in the Personal Profile. Project Role l l Select a project role from the list. Select “Other” if an appropriate role is not listed. l Other Project Role Category: If Senior/Key Person is not a Co. Investigator, selected “Other Professional” or “Other” as a project role. Example: Other Professional could be a Project Coordinator/Data Manager/Postdoc Fellows, etc. 50

Senior/Key Person Profile Component l Attach Biographical Sketch (four-page limit, includes the table at Senior/Key Person Profile Component l Attach Biographical Sketch (four-page limit, includes the table at the top of the first page) l Document should include: l l l Positions and Honors Selected peer-reviewed publications or manuscripts in press (in chronological order) Research Support – ongoing and completed (during the last three years) research projects (Federal and non-Federal support). DO NOT CONFUSE “RESEARCH SUPPORT” WITH “OTHER SUPPORT” (Current and Pending). l Do not attach Current & Pending Support; this will continue to be a Just-In-Time (JIT) submission for most NIH applications. 51

Senior/Key Person Profile Component l List remaining Senior/Key individuals in alphabetical order. l l Senior/Key Person Profile Component l List remaining Senior/Key individuals in alphabetical order. l l Definition of Senior/Key Person: Key Personnel are defined as individuals who contribute to the scientific development or execution of the project in a substantive, measurable way, whether or not salaries are requested. Biosketch, including Research Support information, is required. Also use this section to list any “Other Significant Contributors (OSCs). List OSCs after ALL Key Persons. l OSC definition: Individuals who have committed to contribute to the scientific development or execution of the project, but are not committing any specified measurable effort to the project. Typically “zero percent” effort or “as needed”. (Consultants if they meet the definition; also appropriate designation for mentors on Career awards). 52

Research & Related: Non-Modular Budget Component Research & Related: Non-Modular Budget Component

R&R Non-Modular Budget Component l Three separate screens for each year Sections A and R&R Non-Modular Budget Component l Three separate screens for each year Sections A and B l Sections C through E l Sections F through K l l Each year of support must have a separate detailed budget. l As each year is completed, a cumulative budget will be generated automatically. 54

R&R Budget Sections A & B 55 R&R Budget Sections A & B 55

R&R Budget Sections C -E 56 R&R Budget Sections C -E 56

R&R Budget Sections F-K 57 R&R Budget Sections F-K 57

R&R Non-Modular Budget – Sections A & B l Organizational l Budget l Name R&R Non-Modular Budget – Sections A & B l Organizational l Budget l Name DUNS: Pre-filled item Type: Check the appropriate box of Organization: New York University – pre-filled l Start Date and End Date: Must be entered l Click “Next” to move to the next page. for each budget period 58

R&R Non-Modular Budget - Sections A & B Senior/Key Person - Information for the R&R Non-Modular Budget - Sections A & B Senior/Key Person - Information for the PD/PI must be entered even if $ = 0 l Other Persons l Number of Personnel – BY PROJECT ROLE l (PD/PI, Co-PD/PI, Faculty, Postdoc, Other professional, Graduate Student, Undergraduate, Technician, Consultant, Other) Calendar Months vs Academic Months/Summer Months l Requested Salary l Fringe Benefits l 59

Effort l Effort no longer shown in percentages l Calendar months: use only if Effort l Effort no longer shown in percentages l Calendar months: use only if person is on an 11 - or 12 -month appointment l Academic months/Summer months: use if person is on a 9 -month appointment 10% academic-year time =. 9 AY month 100% summer time = 3 summer months 60

R&R Non-Modular Budget - Section F l Other Direct Costs l l l l R&R Non-Modular Budget - Section F l Other Direct Costs l l l l l Materials and Supplies Publication Costs Consultant Services ADP/Computer Services Subawards/Consortium/Contractual Costs Equipment or Facility Rental/User Fees Alterations and Renovations Other (example: Tuition remission, maintenance agreements) Blank Fields for items not listed above 61

R&R Non-Modular Budget – Sections G, H, I, J & K l Section G. R&R Non-Modular Budget – Sections G, H, I, J & K l Section G. Direct Costs l Section H. Indirect Costs l l l Cognizant Federal Agency: DHHS Contact: Robert I. Aaronson/212 -264 -2069 Date: June 1, 2006 l Section I. Total Direct & Indirect Costs l Section J. Fee (do not use for NYU) l Section K. Budget Justification 62

R&R Additional Non-Modular Budget Periods l If you are requesting funds for more than R&R Additional Non-Modular Budget Periods l If you are requesting funds for more than one budget period, click the “Next Period” button at the top of the 3 rd budget screen (Sections F through K). l You must complete all the required information (highlighted fields and those noted with an “*”) before the “Next Period” button can be activated. l If no funds are requested for a required field, enter “ 0”. 63

Research & Related: Subaward Budget To other institutions when NYU is the prime applicant Research & Related: Subaward Budget To other institutions when NYU is the prime applicant

65 65

Subaward Budgets l PI from applicant organization (prime) l l Select the Subaward Budget Subaward Budgets l PI from applicant organization (prime) l l Select the Subaward Budget Attachment Form from the Optional Documents in the Grant Application Package. Open the form, and click the “Click here to extract the R&R Subaward Budget Attachment” button in the middle of the form. Save the file using an abbreviation of the subawardee organization’s name as the file name and leave “. xfd” as the file extension. (The extracted file is a Pure. Edge document. ) Email the form to the consortium grantee. l Note: Subaward grantee must install Pure. Edge Viewer before the form can be opened and completed. 66

Subaward Budgets l Subaward grantee must complete all the budget information. l l l Subaward Budgets l Subaward grantee must complete all the budget information. l l l Organizational DUNS and Name of Organization fields must reflect that of the subaward/consortium grantee. The subaward grantee must email the subaward budget file to the PI/PD Subaward budget attachment must be a Pure Edge (. xfd) document, NOT a. pdf file. l PI (prime) receives. xfd budget file and attaches the subaward grantee’s budget file to the “Subaward Budget Attachment Form. ” l Subaward Budget Justification should be incorporated into the budget justification of the prime institution. 67

PHS 398 Cover Letter PHS 398 Cover Letter

69 69

PHS 398 Cover Letter l PDF Text attachment l Instructions remain the same as PHS 398 Cover Letter l PDF Text attachment l Instructions remain the same as in the PHS 398 l Required when submitting a Changed/Corrected Application l If revising the cover letter for a Changed/Corrected application, include all previous text contained in the letter. 70

PHS 398 Cover Page Supplement PHS 398 Cover Page Supplement

PHS 398 Cover Page Supplement Page 1 72 PHS 398 Cover Page Supplement Page 1 72

PHS 398 Cover Page Supplement Page 2 73 PHS 398 Cover Page Supplement Page 2 73

PHS 398 Cover Page Supplement l l l Similar to the PHS 398 Face PHS 398 Cover Page Supplement l l l Similar to the PHS 398 Face Page l Provides general information about the applicant organization, contact information for the PD/PI and Authorized Organizational Representative (AOR). Item 1. Project Director/Principal Investigator Item 2. Human Subjects Item 3. Applicant Organization Contact Item 4. Human Embryonic Stem Cells 74

Research & Related: PHS 398 Modular Budget Component Research & Related: PHS 398 Modular Budget Component

PHS 398 Modular Budget 76 PHS 398 Modular Budget 76

PHS 398 Modular Budget Component l Budget Period: 1 – Start Date and End PHS 398 Modular Budget Component l Budget Period: 1 – Start Date and End Date l Section A - Direct Costs l l Section B - Indirect Costs l l l Direct Costs Less consortium F&A Consortium F&A Total Direct Costs Cognizant Agency Name/Contact: DHHS - Robert I. Aaronson, 212 -264 -2069 Indirect Cost Rate Agreement: June 1, 2006 Section C - Total Direct and Indirect Costs Budget Period 1: sum of section A + section B 77

PHS 398 Modular Budget Component l Budget l Periods 2 -5: Follow steps in PHS 398 Modular Budget Component l Budget l Periods 2 -5: Follow steps in Budget Period 1 for all out years of the project. l Budget Justification l Cumulative budget is system-generated l Individual PDF text attachments for Personnel, for Subawards and for Other. 78

PHS 398 Research Plan Component PHS 398 Research Plan Component

PHS 398 Research Plan 80 PHS 398 Research Plan 80

R&R PHS 398 Research Plan Component Item 1. Application Type: This section is repeated R&R PHS 398 Research Plan Component Item 1. Application Type: This section is repeated from the SF 424 (R&R) Cover Page and PHS 398 Checklist l Item 2. Research Plan Attachments: l Separate. PDF attachments for each section l 1. Introduction to Application l (for Resubmission or Revision ONLY) l l l 2. Specific Aims 3. Background and Significance 4. Preliminary Studies/Progress Report 5. Research Design and Methods 6. Inclusion Enrollment Report (renewals only) 7. Progress Report Publication List (renewals only) 81

R&R PHS 398 Research Plan Component l Human Subjects Section l l l Protection R&R PHS 398 Research Plan Component l Human Subjects Section l l l Protection of Human Subjects Inclusion of Women & Minorities Targeted/Planned Enrollment Table Inclusion of Children Other Research Plan Sections l l l l 8. 9. 10. 11. 12. Vertebrate Animals 13. Select Agent Research 14. Multiple PI Leadership Plan 15. Consortium/Contractual Arrangements 16. Letters of Support 17. Resource Sharing Plan(s) Appendix: Allows up to 10 separate attachments 82

PHS 398 Checklist Component PHS 398 Checklist Component

PHS 398 Checklist Page 1 84 PHS 398 Checklist Page 1 84

PHS 398 Checklist Page 2 85 PHS 398 Checklist Page 2 85

R&R PHS 398 Checklist Component l Item 1. Application Type l l For renewals R&R PHS 398 Checklist Component l Item 1. Application Type l l For renewals (competing continuations) or revisions (resubmissions) only: enter the NIH -assigned number Example: MH 111111, EY 045678 Item 2. Change of Investigator / Change of Institution Questions l Item 3. Inventions and Patents l Item 4. Program Income l 86

Completion of Documents Completion of Documents

Completion of Documents Once all documents are complete, move each file to the appropriate Completion of Documents Once all documents are complete, move each file to the appropriate “Completed Documents for Submission” Section. l Click “Check Package for Errors” tab. If errors are detected, correct errors and click “Check Package for Errors” again. l Save the file again and send the file to OSP as an email attachment: osp. [email protected] edu l l Email subject line should read: GG_[yourname]_sponsor_deadline (MMDDYYYY) 88

Move documents from left to right 89 Move documents from left to right 89

Formatting and Special Instructions Formatting and Special Instructions

Formatting l Font: Arial, Helvetica, Georgia, Palatino Linotype l l l Size 11 points Formatting l Font: Arial, Helvetica, Georgia, Palatino Linotype l l l Size 11 points or larger l No more than 15 characters per inch l No more than 6 lines/inch l 8 ½ x 11 margins NO HEADERS, FOOTERS, or PAGE NUMBERS Figures, Graphics, Charts, Tables, etc l l No other font/size is acceptable Color can be used in figures; however all text must be in black. Text may be a smaller type size but must be in black font color. Page Limits; Same as previous NIH 398 applications All attached files must be in Portable Document Format without editable fields (. pdf format). 91

R 01 Parent Application (PA-07 -070) Research Project (Investigator-initiated Research) Grant l Supports a R 01 Parent Application (PA-07 -070) Research Project (Investigator-initiated Research) Grant l Supports a discrete, specified, circumscribed project to be performed by named PI(s) in areas representing the investigators’ specific interests and competencies, based on the mission of the NIH and the Institute to which the proposal is submitted. l If you anticipate naming multiple PIs, pls consult with OSP early in the proposal develoopment process. l 92

R 01 Special Instructions l l l Use modular budget when annual direct costs R 01 Special Instructions l l l Use modular budget when annual direct costs are $250, 000 or less (excluding consortium F&A costs). Use detailed budget when annual direct costs exceed $250, 000. Prior approval (at least 6 weeks) from Institute/Center staff is required when annual direct costs exceed $500, 000. 25 -page limit for items 2 -5 of the Research Plan, including tables, graphs, figures, diagrams, and charts. New limits on Appendix material (see NOT-OD-07 -018: http: //grants. nih. gov/grants/guide/notice-files/NOT-OD-07 -018. html) All attachments must be converted to PDF before uploading. 93

R 03 Applications (PA-06 -180) l Investigator-Initiated Small Grant (R 03) l Typical projects R 03 Applications (PA-06 -180) l Investigator-Initiated Small Grant (R 03) l Typical projects supported include: Pilot or feasibility studies l Secondary analysis of existing data l Small, self-contained research projects l Development of research methodology l Development of new research technology l l Not accepted by all institutes. l Renewal applications not allowed. 94

R 03 Special Instructions l Use the modular budget format l Direct costs limited R 03 Special Instructions l Use the modular budget format l Direct costs limited to two $25, 000 modules, or $50, 000/year, for up to two years. l 10 -page limit for items 2 -5 of the Research Plan, including tables, graphs, figures, diagrams, and charts. l Introduction (required for a resubmission application) limited to one page. 95

R 21 Applications (PA-06 -181) l Exploratory/Developmental Grants l For projects that may lead R 21 Applications (PA-06 -181) l Exploratory/Developmental Grants l For projects that may lead to a breakthrough in a particular area, or to the development of novel techniques, agents, methodologies, models, or applications that could have a major impact on a field of biomedical, behavioral, or clinical research. l Not accepted by all institutes. l Competing renewal applications not allowed. 96

R 21 Special Instructions l Use the modular budget format. Total direct costs limited R 21 Special Instructions l Use the modular budget format. Total direct costs limited to $275, 000 over a two-year period. l No more than $200, 000 in direct costs allowed in any single year. l 15 -page limit for items 2 -5 of the Research Plan, including tables, graphs, figures, diagrams, and charts. l Introduction (required for a resubmission application) limited to one page. l Preliminary data are not required but may be included if available. l 97

Submission to NYU OSP l Email file to osp. proposals@nyu. edu l Print out Submission to NYU OSP l Email file to osp. [email protected] edu l Print out all documents and provide OSP (and the Dean’s Office) with a hard copy of the application, along with the signed synopsis form. l If the proposal includes a modular budget, OSP requires a full, detailed budget for internal purposes. 98

Warning from OSP ¯THE RESPONSIBILITY OF THE PD/PI DOES NOT END WITH SENDING THE Warning from OSP ¯THE RESPONSIBILITY OF THE PD/PI DOES NOT END WITH SENDING THE PROPOSAL FILE TO OSP!!!!!!!!! 99

Expected Turnaround Times l Grants. gov response to an application submission – generally within Expected Turnaround Times l Grants. gov response to an application submission – generally within hours, up to 2 weekdays. l e. RA Commons response to an application submission – generally within hours, up to 1 weekday. l AOR and PI review of application image – within 2 weekdays of availability in e. RA Commons. 100

Validation Errors Once OSP signs and submits the proposal: If GRANTS. GOV validation finds Validation Errors Once OSP signs and submits the proposal: If GRANTS. GOV validation finds errors, these errors must be corrected and the entire proposal must be resubmitted. l If NIH Commons validation finds errors, these errors must be corrected and the entire proposal resubmitted through GRANTS. GOV. Warnings found in the Commons validation process may require correction as well. l If errors/warnings result from anything other than a Grants. gov/Commons system problem, they must be corrected and the proposal resubmitted before the deadline or the proposal will be subject to the NIH late policy. l 101

Grants. gov Validations l All Grants. gov mandatory fields have been completed. l All Grants. gov Validations l All Grants. gov mandatory fields have been completed. l All mandatory documents have been completed and moved to the Completed Documents box (Submission List). l Checks the DUNS #. l Checks date format, email address format, and scans for viruses. 102

Grants. gov Email Notifications l Emails to AOR only. l l l Submission Receipt Grants. gov Email Notifications l Emails to AOR only. l l l Submission Receipt – app received and is being validated. Rejection Notice – app is not validated because of Grants. gov errors. Submission Validation Receipt – app has been validated. Grantor Agency Retrieval Receipt – app has been retrieved by the agency. Agency Tracking Number – app has been assigned a tracking number by the grantor agency 103

e. RA Commons Validations l After retrieval from Grants. gov, the e. RA Commons e. RA Commons Validations l After retrieval from Grants. gov, the e. RA Commons system will: l Apply the NIH validations. l l l Detailed check vs. instructions in the application guide Validates against the instructions in the specific FOA For a detailed list of NIH validations: http: //era. nih. gov/Electronic. Receipt/prepare_app. htm#5 Assemble the grant image. l Generate a Table of Contents. l Include headers (PI name) & footers (page numbers) on all pages. l 104

Commons Email Notifications Emails to AOR and PD/PI: l Validations Complete/Check Assembled Application OR Commons Email Notifications Emails to AOR and PD/PI: l Validations Complete/Check Assembled Application OR l Validations Complete/Check Assembled Application – Warnings Only OR l Action Required: Errors and/or Warnings, Missing or Invalid Commons Username, System Error OR l AOR has refused/rejected application (when assembled package is incorrect). 105

Errors & Warnings l Errors must be addressed before the application can move on Errors & Warnings l Errors must be addressed before the application can move on to Referral. l Warnings may be fixed at the applicant’s discretion but do not require action for the application to move on to referral. l If the PI corrects any Warnings or Errors, contact the AOR. The AOR must submit the entire changed/corrected application again through Grants. gov. 106

Warning from OSP l Correction of system errors/warnings must be completed within two weekdays Warning from OSP l Correction of system errors/warnings must be completed within two weekdays of submission. l Any corrections made to the proposal other than for system errors/warnings or minor changes must be made before the deadline or the proposal will be considered a resubmission (formerly revision). 107

Check Status in Commons: PD/PI 1. Click the Status tab to view the PI Check Status in Commons: PD/PI 1. Click the Status tab to view the PI Status. 2. Find application that shows “e. Submission Error” in the Application Status column. 108 3. Follow the link on the Application ID to see specific Error/Warning messages.

View Errors/Warnings 109 View Errors/Warnings 109

Check Assembled Application View the Application Image by clicking on the Application ID 110 Check Assembled Application View the Application Image by clicking on the Application ID 110

View Application Image Next, click on the e-Application link to view the image. 111 View Application Image Next, click on the e-Application link to view the image. 111

Application Image Be sure to review the entire application carefully! Your application is not Application Image Be sure to review the entire application carefully! Your application is not considered received by NIH until you see the application image in the e. RA Commons. 112

Rejection by OSP The AOR has a two weekday viewing window to reject an Rejection by OSP The AOR has a two weekday viewing window to reject an application that has system formatting errors. If the application is not rejected within the two weekdays, it will automatically proceed to Receipt & Referral. 113

Common Submission Errors l l l l Missing Commons User. ID. Information in PD/PI’s Common Submission Errors l l l l Missing Commons User. ID. Information in PD/PI’s Commons profile does not match information in proposal. PDF issues. Start date for budget year 1 ≠ proposed project start date. Total cost ≠ sum of direct and indirect costs. Both modular and detailed budgets included. Missing PI/PD info on detailed budget page. 114

Required Items for Subawards l NYU as Prime Applicant l NYU as Subawardee (in Required Items for Subawards l NYU as Prime Applicant l NYU as Subawardee (in addition to NYU proposal & synopsis) l l l Subawardee scope of work Subawardee budget (full detailed budget if modular) Consortium agreement letter signed by subawardee’s authorized official/individual (email, scanned letter, etc) l l Signed synopsis form Scope of work NIH budget page(s) (full detailed budget if modular) NYU Cooperating Institution form (NIH) http: //www. nyu. edu/osp/proposal. html l Copy of full proposal submitted by the prime (after submission if necessary) 115

Just for non-Windows Users…. . l Pure. Edge software was created for use with Just for non-Windows Users…. . l Pure. Edge software was created for use with PCs – if you have any other type of system, you will not be able to submit from that computer without employing elaborate work-arounds. l Mac users can now use Virtual PC that Microsoft bundled with Office 10 professional. Allow extra time for proposal preparation. l Notify your OSP Projects Officer if you plan to use a work-around. 116

Alternate Solutions l Alternate solution 1: GRANTS. GOV’s Citrix solution l Manual: l Citrix Alternate Solutions l Alternate solution 1: GRANTS. GOV’s Citrix solution l Manual: l Citrix client for OS X: l Citrix connection file for Grants. gov: http: //www. umresearch. umd. edu/ORAA/era/grantsgov_docs/grants _gov_instructions_for _Citrix. Client_for Macs 2. pc http: //www. umresearch. umd. edu/ORAA/era/grantsgov_docs/Mac. IC A_OSX. dmg http: //www. umresearch. umd. edu/ORAA/era/grantsgov_docs/PEClie nt. Citrix. ica Documentation courtesy of the University of Maryland (College Park) l Alternate solution 2: IBM Workplace Forms (Pure. Edge) Viewer for Macintosh (doesn’t support Intel Macs). http: //www. grants. gov/resources/download_software. jsp#pureedgevie wer 117

Mac Solution: Citrix Server 118 Mac Solution: Citrix Server 118

Mac Solution: IBM viewer 119 Mac Solution: IBM viewer 119

Resources for Assistance Resources for Assistance

l Additional information: l l NYU’s End-User Guide to Grants. gov: http: //www. nyu. l Additional information: l l NYU’s End-User Guide to Grants. gov: http: //www. nyu. edu/osp/proposal. html NYU’s Submitting NIH Proposals through Grants. gov using Pure. Edge Software – January 2007 Grants. gov User Guide: http: //www. grants. gov/Customer. Support# NIH User Guide: http: //era. nih. gov/Electronic. Receipt/index. htm select: SF 424 (R&R) Application Guide (June 15, 2006) 121

NIH Training Tools l e. RA Commons Registration – Automated Training Demo http: //era. NIH Training Tools l e. RA Commons Registration – Automated Training Demo http: //era. nih. gov/virtualschool/external/c 101_Grantee. Registration. Process. htm l A “Walk Through the SF 424 (R&R)” - Video http: //helix. od. nih. gov/oervideo/grantsgov/A_Walk_Through_SF 424/index. html l “Completing an Application Package” – Grants. gov Automated Demo http: //www. grants. gov/images/Application_Package. swf l SF 424 (R&R) application guides, sample application packages and related resources http: //grants. nih. gov/grants/funding/424/index. htm l Electronic submission: http: //era. nih. gov/Electronic. Receipt 122

Other NIH Tools l Frequently Asked Questions http: //era. nih. gov/Electronic. Receipt/faq. htm l Other NIH Tools l Frequently Asked Questions http: //era. nih. gov/Electronic. Receipt/faq. htm l Avoiding Common Errors l Communications and Outreach Resources (brochures, presentations, drop-in newsletter articles) http: //era. nih. gov/Electronic. Receipt/avoiding_errors. htm http: //era. nih. gov/Electronic. Receipt/communication. htm l Electronic Submission Transition Timeline http: //era. nih. gov/Electronic. Receipt/strategy_timeline. htm 123

Finding Help: e. RA Commons l e. RA Commons Help Desk Phone: 301 -402 Finding Help: e. RA Commons l e. RA Commons Help Desk Phone: 301 -402 -7469 Toll Free: 866 -504 -9552 TTY: 301 -451 -5939 Business hours M-F, 7 am-8 pm EST Web support: http: //ithelpdesk. nih. gov/e. RA/ 124

Finding Help: Application Preparation l Review the Application Instruction Guide(s) l Contact Grants Info: Finding Help: Application Preparation l Review the Application Instruction Guide(s) l Contact Grants Info: Grants Info Phone: 301 -435 -0714 TTY: 301 -451 -0088 Email Grants. [email protected] gov 125

Help: the Ultimate Resource Your OSP Projects Officer 126 Help: the Ultimate Resource Your OSP Projects Officer 126