Working Successfully with Grants'Gov

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Working Successfully with Grants.Gov
Presented by the Office of Sponsored Programs
Peggy Candler Grants Administrator Stewart
Craig Assistant Director for Grants November
2006
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Grants.gov Education Objectives

• Why Grants.gov?
• A New Standard Application Package
• Implementation Strategies
• Grants.gov
• Agency Specific
• Challenges in Institutional Implementation
• New Practices for Application Submission
• What is Different and What Stays the Same?
• School of Medicine Practices

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Grants.gov Education Objectives (Cont.)

• Using Grants.gov
• New Terminology
• Important Data in the Application Process
• Find Apply Features
• Walkthrough of the Grants.gov Application Package
  (SF424 RR) Using the Grants.gov Survival Guide
• Agency Specific Components in Application
• Application Has Been Submitted What now?
• Lessons Learned
• Resources and Contacts
• Questions and Feedback

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Why Grants.gov?

• Public Law 106-107 - Federal Financial Assistance
  Management Act of 1999 requires
• Financial assistance application and reporting
  requirements be simplified
• Improvements in coordinating granting activities
  of 26 agencies
• Improvements in delivery of services to the
  public
• E-Govt. initiatives resulting from this law
  mandate improved access to governmental services
  via the internet

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Purpose of Grants.gov

• Provide a single, online storefront for all
  customers to electronically
• - FIND grant opportunities
• - APPLY for grant funding
• Scope
• - 26 Grant-Making Agencies
• - 1,000 grant programs
• - 400 billion in grant funding

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A New Application Package SF424 (RR)

• SF424 (RR)
• official Grants.gov application package
• discrete software file saved and prepared on your
  computers hard drive using the Pure Edge Viewer
  application
• form pages are arranged in components
• Not all components will be used in every
  Funding Opportunity Announcement (FOA)
• Attachments can be created using any office
  software program BUT THEN must be converted to
  PDF format before being attached to the form
  component

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A New Application Package SF424 (RR)

• The FOA indicates which components are
  mandatory and which are optional
• Agencies construct application packages and
  instructions for each FOA using Grants.gov
  standard packages and agency specific forms
• Agencies can and do customize the standard forms
• Using an application package from one FOA for
  another FOA will result in submission failure

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Agency Specific Implementation Plans

• See Handouts
• The bulk of NIH grant mechanisms including R01s
  will require Grants.gov submission by February
  2007 - some mechanisms have already transitioned
• All NIH grants by Sept. 2007
• NSF will mandate Grants.gov submission for a
  small number of programs in 2007. For other
  programs, Grants.gov will be an optional
  alternative for FastLane. Currently, no
  collaborative proposals or proposals with
  subcontracts will use Grants.gov.

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Agency Specific Implementation Plans (Cont.)

• See Handouts
• Department of Energys Office of Science requires
  use of Grants.gov.
• NASA allows use of Grants.gov or its own NSPIRES
  system for proposal submissions (for some
  programs). Posting 100 of the Research
  Opportunities in Space and Earth Sciences in
  Grants.gov.
• Other agencies are generally adopting Grants.gov,
  but its important to read the application
  instructions.

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Challenges in Grants.gov Implementation

• Local technical issues and internet congestion
  are not excuses for late submissions
• Agency grace periods for late submissions will be
  phased out
• In many instances, application packages with
  errors require full resubmission prior to the
  Grants.gov deadline

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Challenges in Grants.gov Implementation (Cont.)

• Agencies tailor application packages for each FOA
• Once submission is past the Grants.gov portal,
  each agency has non-uniform methods of processing
• Meeting these new challenges means changes to
  U.Va.s business practices for application
  submission

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Challenges in Grants.gov Implementation (Cont.)

• Not all aspects of the new application packages
  are intuitive instructions are critical
• Growing pains NIH has published pages of errors
  and omissions that can result in rejected
  applications
• Hot News Mac native Grants.gov software is
  before the end of the year.
• Quoting the Feds Grants.gov is in possession of
  the IBM Workplace Forms Viewer Special Edition
  for the Mac delivered 11/1/06. Grants.gov is
  currently discussing with IBM usability issues
  and IBM's support for it's product. This current
  status is also based on the feedback of end users
  from the grant community.
• Until it arrives
• Citrix server solution at Univ. of Wisconsin
  http//apple.doit.wisc.edu/grants.gov/
• Virtual PC
• Borrow a Windows based PC

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A Culture Shift in Proposal Application New
Submission Processes

• Draft proposals will not be accepted
• Incomplete proposal packages will not be accepted
  (budgets, proposal narratives, etc.)
• The current practice of grant submissions (last
  minute preparation/submission) creates
  unacceptable risk for late submissions through
  Grants.gov
• If application packages are received near the
  announced sponsor deadline, it will be physically
  impossible to review, correct, and submit to
  Grants.gov prior to the established deadline
  (typically 5 p.m. ET)

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U.Va. Approach on Grants.gov Electronic
Submissions

• Formally submit application packages through
• - Office of Sponsored Programs (OSP)
• - School of Medicine Office of Grants and
  Contracts Administration
• Electronic Proposal Packages must be COMPLETE and
  ERROR FREE (subject to OSP/SOM final review) to
  ensure timely submission
• Complete submission to OSP/SOM includes 1)
  complete and signed Goldenrod, 2) paper copy of
  the application package, and 3) an electronic
  file
• Incomplete proposal packages or those with errors
  noted during the OSP/SOM review will be returned
  to the School or Dept., as appropriate, for
  correction and resubmission to OSP/SOM

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OSP Strategies New Submission Processes

• OSP/SOM pre-award grants administrators are
  cross-trained and authorized to submit Grants.gov
  applications to meet high-volume deadlines
• OSP/SOM is allocating resources to faculty,
  departments, and central offices for assistance
  and education through
• A dedicated, secure server will receive
  Grants.gov applications over the internet,
  reducing the need to transmit applications via
  e-mail or storage media (CDs, DVDs) TARGET DATE
  December 2006
• Grounds-wide education sessions for faculty and
  staff
• U.Va. Web-based educational tools will soon be
  available

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What is Different and What Stays the Same?

• Different
• More lead time needed for successful application
  submissions
• One standard application across all granting
  agencies (not)
• Complete and final electronic application must
  arrive at OSP/SOM
• Each application package can be tailored for a
  particular program

• The Same
• A completed Goldenrod and paper copy of
  application still must route to OSP/SOM
• Fundamentals of proposal preparation have not
  changed
• Reading the application instructions matters
  more than ever
• Once beyond Grants.gov, the proposal will be
  managed by an Agency specific system

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More on What is Different and What Stays the
Same?

• Different
• OSP/SOM is now FedEx but OSP/SOM has fewer
  delivery trucks
• Only one attachment format allowed PDF
• Applications now are more likely to be rejected
  for technical errors by agency
• Cant divide components among multiple users and
  then reassemble one package for all to work on

• The Same
• Typeface, page limits and spacing restrictions
  still must be followed for attachments to the
  application
• Submitting a proposal is still a collaborative
  effort between the PI, Department, School and
  OSP/SOM

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School of Medicine Specific Practices

• Application filing naming convention (40
  character limit)
• PIName.AgencyAbbreviation.FOANumber.
  DateofSubmission
• Example HugoFirst.NIH.PA06361.04012006
• How to get the Pure Edge files to SOM!
• Upload the files to the SoM Z drive (preferred)
• E-mail (not advisable for larger applications)
• Thumb Drive or Writable CD Rom

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New Terminology
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New Terminology (Cont.)
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Important Data in the Application Package

• Data Universal Numbering System
• DUNS 065391526
• Do not use the Department of Education DUNS
• Authorized Organizational Representative (AOR)
• Gerald J. Kane, (for non-SoM proposals) Director
  of Grants and Contracts,
• Sarah J. White, (for SoM proposals) Assistant
  Dean for Research Administration
• Office of Sponsored Programs, P.O. Box 400195,
  Charlottesville, VA 22904-4195
• Ph. 434-924-4270
• Fax [phone]
• Email osp-grantsgov_at_virginia.edu
• Email (for SoM) sjw2b_at_virginia.edu
• Employer Identification Number (EIN) 54-6001796

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Important Data in the Application Package (Cont.)

• Cognizant Government Agency
• Department of Health Human Services (DHHS)
• Paul Nacon, Director
• Division of Cost Allocation
• Tel [phone]

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Using the FIND Functionality at Grants.gov
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A Brisk Jog Through The SF424 (RR)
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Agency Specific Components

• NIH still requires many forms that derive from
  its PHS 398 application kit
• PHS398 Cover Letter File
• PHS398 Cover Page Supplement (supplements the RR
  Cover)
• PHS 398 Modular Budget
• PHS 398 Research Plan
• PHS 398 Checklist

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Agency Specific Components (Cont.)

• NSF requires specific forms
• NSF Grant Application Cover Page
• NSF Application Checklist
• NSF also provides a number of optional documents
• NSF Deviation Authorization
• NSF Suggested Reviewers
• NSF FastLane System Registration Do Not Use
• Some agencies require applicants to find
  standalone .pdf forms on their websites -
  complete those separately and attach them to the
  Grants.gov application

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Other Forms You Might Encounter

• CD-511 Lobbying Certification Form This is
  acceptable to complete
• SF-LLL Disclosure of Lobbying Activities Not
  applicable to U.Va. If mandatory, insert N/A for
  responses and provide AOR contact information at
  bottom

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Application Submitted What Now?

• Grants.gov will check the application for
• - timely submission, documented with a date and
  time stamp, and compared against the open
  solicitation deadline
• - any viruses
• - a correct DUNS number matching the number of
  the submitting institution
• Rejection at this level requires resubmission of
  a corrected application package, assuming
  deadline requirements can still be met
• Once validated by Grants.gov, the application
  package is retrieved by the Grantor agency
• Application goes through a much more stringent
  level of checks at the agency

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NIH Application Submitted What Now?

• eRA Commons system will assemble an annotated
  grant image
• NIH provides a two-day window for the PI and AOR
  to VIEW the proposal in the Commons to ensure
  that it is complete and readable. This step is
  optional.
• If application is not rejected (stopped) by the
  AOR during that time frame, it is routed for the
  next level of review
• Most common error not using .pdf attachments

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NSF Application Submitted What Now?

• NSF converts Grants.gov proposals to FastLane
  proposals
• All post-submission errors and issues are
  addressed through existing FastLane procedures

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Hot Off the Press!

• NIHs unsolicited R01 parent announcement should
  be available this week
• Version 2(a) of the forms will enable up to 40
  Senior/Key Personnel from the current 8
• Effective April 1, 2007 the Adobe-based
  replacement software for PureEdge will appear
• After September 30, 2007, no PureEdge-based
  applications will be accepted.
• The average ratio of submissions/successful
  applications has dropped from 4 in Dec. 2005 to
  1.7 in June 2006

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Application Submitted Email Trail

• A blizzard of email to submitting official (AOR)
• Grants.gov submission receipt (with Grants.gov
  tracking )
• Grants.gov rejection notice (BAD!)
• Grants.gov Submission Validation Receipt
• Grants.gov Grantor Agency Retrieval Receipt
• Grantor Agency Tracking Number Assignment
• Grantor Agency emails to submitting official
  (AOR) and PI with notice of acceptance, errors,
  warnings, and additional actions needed
• Warnings do not need to be fixed right away
• Errors must be addressed for the application to
  move forward

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Tools Needed

• PureEdge viewer downloaded free from Grants.gov
  site at http//www.grants.gov/DownloadViewer
• PDF generation software (Adobe Acrobat and others
  tools) listed at http//www.grants.gov/assets/PDFC
  onversion.pdf
• Mac-native PureEdge software is coming they
  swear!

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Course Summary Lessons Learned

• START EARLY/SUBMIT EARLY build in several days
  lead time to allow agency feedback and error
  correction
• Last minute submissions are a roll of the dice
• OSP/SOM cannot accept draft or piecemeal
  proposals

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Course Summary Lessons Learned

• Each FOA can be unique read application
  instructions carefully
• SF424 RR yellow fields are required Use N/A
  or not applicable when needed
• Practice version control over the working
  application
• Grants.gov submissions can fail for no apparent
  reason

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Course Summary Lessons Learned

• Certain high level errors can stop NIH Commons
  error checking in its tracks, resulting in a
  partial report of errors
• This all but guarantees the next submission will
  fail
• Non-mandatory fields in Grants.gov are required
  by NIH and are a common source of errors

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Course Summary Lessons Learned

• PIs must have a valid NIH Commons User Account
  before utilizing the Apply function ACT NOW!
• Commons registration process should be completed
  at least 2-4 weeks prior to application deadline
• Avoid major reason for rejection PD/PI
  credential information on the Senior/Key Person
  Profile component form must be an exact match to
  the NIH Commons user name of the PD/PI
• We still are learning what generates errors

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U.Va. Resources and Contacts

• OSP Personnel http//www.virginia.edu/sponsoredpr
  ograms/stafflist.html
• Grants.gov Liaison Stewart Craig (spc4bj/4-4744)
• Pre-Award Grants Administrators
• OSP Web Site - http//www.virginia.edu/sponsoredpr
  ograms/
• OSP Connection Periodic update

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External Resources and Contacts

• Grants.gov - http//www.grants.gov/
• Grants.gov Get Started page http//www.grants.go
  v/GetStarted
• Grants.gov Grant Making Agencies Resource page
  http//www.grants.gov/applicants/agencies_that_pro
  vide_grants.jsp
• Complete an Application Package Demo
• http//www.grants.gov/CompleteApplicationdemo
• Help Desk (1-800-518-4726)
• NIH E-Application website http//era.nih.gov/El
  ectronicReceipt/
• NIH sample versions of application packages and
  application guides
• http//grants.nih.gov/grants/funding/424/index.ht
  m
• (Must first have PureEdge installed)
• Review training brochures and video web casts
• http//era.nih.gov/ElectronicReceipt/training.htm
  

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More External Resources and Contacts

• NSF Grants.gov application guide
• http//www.nsf.gov/bfa/dias/policy/docs/grantsgovg
  uide.pdf
• Implementation Plan for FY2006
• http//www.nsf.gov/bfa/dias/policy/docs/grantsovad
  visory.pdf

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QUESTIONS AND USER FEEDBACK