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How do I Apply for a Grant using Grants.gov?

NATIONAL SBIR CONFERENCE – May 14-16 Track 3: Application & Evaluation (Non-DOD)

Session Chair: Matthew Portnoy, Ph.D.

Room: Baltimore 1-2, 1:15 – 2:05 p.m

Matthew E. Portnoy, Ph.D., NIH SBIR/STTR Program Coordinator

Director, Division of Special Programs | OEP, OER, NIH, DHHS

Phone: 301-435-2688 | Fax: 301-480-0146

mportnoy@mail.nih.gov

Carl Hebron, Department of Energy SBIR/STTR Program Coordinator

Phone: 301-903-1414 | Fax: 301-903-5488

Carl.Hebron@science.doe.gov

Catherine Henry, Founder, Grow Emerging Companies LLC

Phone: 303-990-2114 | Fax: 303-265-9097

Chenry@grow-ec.com

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Which federal agencies award grants?

Grant Agencies

Department of Agriculture

Department of Education - National Institute on

Disability and Rehabilitation Research (NIDRR)

Department of Energy

Department of Health and Human Services (NIH,

CDC, FDA, ACF)

National Science Foundation

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Which federal agencies award contracts?

Contract Agencies

Department of Commerce – NIST, NOAA

Department of Defense – DOD

Department of Education - Institute of Education Sciences (IES)

Department of Homeland Security

Department of Transportation

Environmental Protection Agency

National Aeronautics and Space Administration

Department of Health and Human Services (NIH, CDC contract

solicitation)

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Electronic Submission for Grants:

Registration Basics

1. General Components of Registration

in preparation for Grants.gov

submission

2. Agency-specific requirements for

Grants.gov

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Grants.gov requirement: EIN Number*

*Employer Identification Number (EIN) or Taxpayer Identification Number (TIN):

http://www.irs.gov/Businesses/Small-Businesses-&-Self-Employed/Apply-

for-an-Employer-Identification-Number-(EIN)-Online

• Note that you do not have to have employees to apply for an EIN number, and

you can apply online. The EIN you receive when you apply is your permanent

number and can be used immediately for most of your business needs,

including opening a bank account, applying for licenses, filing tax returns, and

moving on to the application for a DUNS number.

• However, “it will take up to two weeks before your EIN becomes part of the

IRS's permanent records. You must wait until this occurs before you can: File

an electronic return, Make an electronic payment, or pass an IRS Taxpayer

Identification Number (TIN) matching program.”

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Grants.gov Registration Process: D&B DUNS number

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http://fedgov.dnb.com/webform

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http://www.sbir.gov/registration

Grants.gov

Submission

Prerequisite:

SBA Firm

Registration

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SAM - System for Award Management

• Replaces what used to be the Central

Contractor Registration (CCR)

• If you were previously registered in CCR,

you will need to go to SAM to create a

SAM account. • Your e-mail address will link your new SAM

account with your old CCR info.

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Steps for Registering Your Entity in SAM

1. Go to www.sam.gov

2. Create a Personal Account and Login

3. Click “Register New Entity” under “Manage Entity”

4. Select type of Entity

5. Select “No” to “Do you wish to bid on contracts?”

6. Select “Yes” to “Do you want to be eligible for

grants and other federal assistance?”

7. Complete “Core Data”

8. Complete “Points of Contact”

9. Wait for registration validation from SAM

10.*Keep checking your registration status

Information (1-9) is from:

Ihttps://www.acquisition.gov/SAM_Guides/Quick%20Guide%20for%20Grants%20Registrations%20v1.pdf

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SAM.gov: System for Award Management

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Fill out Purpose of

Registration

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“Core Data” includes:

DUNS validation (verify DUNS #)

Business Information

General Information

Financial Information

Executive Compensation

Proceeding Details

This information is from:

https://www.acquisition.gov/SAM_Guides/Quick%20Guide%20for%20Grants%20Registrations%20v1.pdf

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Fill out all Core

Data Sections and

review the

information

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SAM

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Grant administrators cannot see that you have completed SAM

Registration unless you authorize your information to be

displayed in SAM’s Public Search

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Each section will be changed from a red X to a green

check box as you complete the section. You will need

to complete your POCs (Points of Contact) to complete

your SAM Registration. The Electronic Business Point

of Contact role is very important: this person is the “E-

Biz POC” in Grants.gov who approves your AORs.

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Know about potential issues:

• It takes at least a day before a SAM modification is available in

Grants.gov

• If an applicant modifies a SAM data element, SAM may report to

Grants.gov that the record is “in process,” which would cause

Grants.gov to reject an application.

• Grants.gov rejects any submitted applications until the data is

synchronized again.

• If an applicant needs to modify any of the registration record data,

they should do so well ahead of the deadline.

• Applicants should log in to SAM, Grants.gov and any agency-specific

submission site (Fastlane, eRA Commons) prior to the deadline to

verify that they can access the required systems.

• If a problem with access arises, it may take more than a day to

resolve.

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Registration Status

1. Work in Progress

2. Submitted

3. Pending IRS

Validation

4. Pending CAGE

Code Validation

5. Active.

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SAM.gov is supported by the Federal Service Desk:

https://www.fsd.gov.

US Calls: 866-606-8220

International Calls: 334-206-7828

DSN: 866-606-8220

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Grants.gov registration is required for all SBIR/STTR electronic grant submissions*

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*with one exception

www.grants.gov

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National Science Foundation and Grants.gov vs. Fastlane

Electronic Requirements quote from NSF’s Proposal and Award

Policies and Procedures Guide (effective January 14, 2013)

Proposals to NSF must be submitted electronically via the NSF

FastLane System or via use of Grants.gov. For proposals

prepared and submitted via Grants.gov, the guidelines specified

in the NSF Grants.gov Application Guide apply.

For proposers who cannot submit electronically, an authorization

to deviate from the electronic submission requirements must be

approved in advance of submission of the paper proposal in

accordance with GPG Chapter II.A.

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Translation: Submit all proposals through NSF’s

submission website at: https://www.fastlane.nsf.gov/

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National Science Foundation’s Fastlane Submission Website

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NSF requires

registration in

Fastlane for all

SBIR/STTR

grant

submissions

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Fastlane Electronic Application Screen

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Grants.gov Registration – Organization Registration

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Grants.gov Registration – final steps

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Grants.gov Registration – E-Biz Point of Contact Login

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Image of Grants.gov E-Biz POC login and approval process

Steps here

Last step in Grants.gov Registration: E-Biz Point of Contact AOR Approval

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Grants.gov Registration – E-Biz Point of Contact Approval of AOR

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The final step in the Grants.gov

registration process: Approval of the

Authorized Organizational

Representative (AOR) by the E-Biz

Point of Contact (i.e., the SAM

system Electronic Business POC)

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Grants.gov registration is completed

Final Grants.gov image of AOR

approved status in Grants.gov

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Help and Support for Grants.gov: • Hours of Operation: 24x7 except federal holidays.

• Email: support@grants.gov

• Phone: 800-518-4726

• Web site: Grants.gov

• Help Page: Grants.gov/help/help.jsp

• On-line help request: grants-

portal.psc.gov/Welcome.aspx?pt=Grants

• Click on Contact Us in upper right corner

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Department of Energy Submission on Grants.gov

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Application & Award Timelines

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*with one exception

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*with one exception

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*with one exception

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Portfolio Analysis and Management System

(PAMS) Registration

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DOE Application Package

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DOE Grants.gov Application

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New for FY13: Fast Track

DOE Grants.gov Application

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DOE Grants.gov Application

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Submitting Electronic Grant

Applications to NIH

Matthew Portnoy, PhD

NIH SBIR/STTR Program

Coordinator

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Electronic Research Administration

Office of Extramural Research

National Institutes of Health

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Two Separate, but Linked Systems

Grants.gov

• Federal-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

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IMPORTANT: Each system has its own

registration and application requirements.

Keys to Success

• Do not combine SO and PI roles on single Commons account – Use two accounts (one SO & one PI) if you serve both

the administrative and scientific functions for your app

• PIs 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 – PI accounts can be affiliated with multiple organizations

– PIs should update their Commons profile prior to submitting (e.g., degree info used to determine Early Stage Investigator eligibility)

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ALL applications must be submitted in response to a Funding

Opportunity Announcement (FOA)

NIH: NIH simultaneously posts at:

• NIH Small Business Program Web page: http://sbir.nih.gov

• NIH Guide for Grants & Contracts:

http://grants.nih.gov/grants/guide/index.html

• Grants.gov Find Grant Opportunities:

http://grants.gov/applicants/find_grant_opportunities.jsp

DOE: http://science.energy.gov/sbir/

NSF: http://www.nsf.gov/funding/pgm_summ.jsp?pims_id=13371&org=IIP

USDA: http://www.nifa.usda.gov/fo/sbir.cfm

Department of Education: http://www2.ed.gov/programs/sbir/index.html

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NIH Announcement Notes

Click Apply for Grant Electronically

found within the FOA

Be aware of

key dates

Carefully read and follow all FOA instructions

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Helpful Pop-up

Small Business applicants get the following pop-up

before being sent to Grants.gov download page

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Click to proceed

Announcement Notes

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Click download Verify information. Use highest Competition

ID if more than one choice is given.

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Download Package & Application Guide

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Download application instructions

and Application Package

Sign up for Agency updates to FOA

Avoiding Common Errors

Watch for fields that are required by NIH but

not marked required on federal-wide forms

Project/Performance Site

DUNS is no longer required by

Grants.gov, but is still required

by NIH for federal reporting.

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More fields that are required by NIH but not

marked required on federal-wide forms

Avoiding Common Errors

Organization name is

used to determine

reviewer conflicts and is

required for all Sr/Key

entries

eRA Commons

Username must be

supplied in Credential

field for everyone with

PD/PI role Enter PI Commons Username

Enter Organization Name

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Avoiding Common Errors

Use PDF format for all attachments

– Use simple PDF-formatted files • 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 are encouraged

– Follow guidelines for fonts and margins

– Avoid 2-column and “landscape” format PDF Guidelines: http://grants.nih.gov/grants/ElectronicReceipt/pdf_guidelines.htm 52

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Avoiding Common Errors

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Annotated form sets

available on the

Resources page of

the Applying

Electronically

website are a great

resource for helping

identify many

conditional

requirements.

Annotated form sets: http://grants.nih.gov/grants/ElectronicReceipt/communication.htm

Submit Application

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Check Package for Errors

only checks a subset of

Grants.gov errors

You must SUBMIT the

application for it to be

checked against NIH

application instructions.

NIH errors/warnings will be

displayed in the eRA

Commons.

Save & Submit

button will not

become active

until application

is saved and

mandatory

information is

completed.

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On-time Submission

Error-free submission must be accepted by

Grants.gov with a time stamp on/before 5:00 p.m.

local time (of submitting organization) on due date

– Submit early (days, not minutes) to have time to

address system-identified errors or problems found

during the application viewing window

– All Changed/Corrected submissions must be

made by the due date/time

– NIH’s late policy does not allow for

error corrections after the deadline

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But wait, there’s more (for NIH)…

YOU ARE NOT DONE YET!

– Submitting to Grants.gov is NOT the final step

– Applicants must track their applications to

ensure an application image is accessible in

eRA Commons for review consideration

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Track Application Status

• Grants.gov

– Authorized Organization Representatives

(AORs)

• eRA Commons

– Signing Officials (SOs)

– Principal Investigators (PIs)

– Delegated Assistants (ASSTs)

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Grants.gov Notifications

• AOR receives Grants.gov e-mails

– Receipt

• Grants.gov e-mail verifying receipt of application

– Validation

• Grants.gov e-mail verifying successful submission to

Grants.gov

• 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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http://grants.nih.gov/grants/ElectronicReceipt/submit_app.htm#submit

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Grants.gov Validations

• AOR is authorized to submit on behalf of DUNS

• SAM (CCR) Registration is active

• Grants.gov mandatory documents and fields

completed

• DUNS# on application matches DUNS# in

organization’s Grants.gov registration

• Attachments 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 in Commons

Commons Status is an integral part of

electronic application submission

– Applications are picked up by eRA Commons

and checked against application guide and

opportunity instructions

– Processing result available in eRA Commons

Status to SOs, PIs and delegated assistants

– E-mail notifications sent

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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 application

– Validation complete, check assembled application – Warnings only

– Action required – Errors and/or Warnings

– Action required – Missing or invalid eRA Commons Username (only sent to AOR/SO)

– Action required – System Error

– SO has refused electronic application (rejected)

– NIH has auto-verified the application (after 2-day viewing window)

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eRA Commons

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Username

Password

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Track Status in Commons – PD/PI

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Select Recent/Pending eSubmissions

Or provide Grants.gov tracking

number from e-mail notification

Track Status in Commons – PD/PI

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Grants.gov tracking #

and date are displayed

followed by the list of

errors/warnings for

each submission

attempt

Indicates eSubmission Error

Grants.gov Tracking #

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Track Status in Commons

• Errors stop application processing and

must be corrected before the deadline

• Warnings do not stop application

submission and are corrected at the

discretion of the applicant before the

deadline

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Helpful Links

Avoiding Common Errors page:

http://grants.nih.gov/grants/ElectronicReceipt/avoiding_errors.htm

Full list of Commons Validations:

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

Dealing with System Issues

When Grants.gov or eRA system issues threaten your on-time submission…

– Contact appropriate support team to try to get resolution • If working with Grants.gov, contact eRA Help Desk to document

issue and steps taken toward resolution

– If verified system issue, this documentation can be used in place of tracking # and time stamp as proof of "on-time" submission

– Document your issues and corrective actions, including support ticket numbers, in cover letter

– If eRA Help Desk confirms a system issue, your application will not be considered late as long as you work diligently with the Help Desk and follow provided guidance to resolve issue

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Finding Help

Grants.gov Contact Center

• Toll-free: 1-800-518-4726 Hours : 24x7 (Except Federal Holidays) Email : support@grants.gov Resources: http://www.grants.gov/help/help.jsp

– Support for: Grants.gov Registration, form behavior, submission

eRA Commons Help Desk

• Web: http://era.nih.gov/help/index.cfm#era Phone: 1-866-504-9552 TTY: 301-451-5939 Hours : Mon-Fri, 7a.m. to 8 p.m. ET

– Support for: Commons Registration, eRA system validations, Application Status, Post-submission questions

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Web Sites

• NIH Small Business Program Web page

http://sbir.nih.gov

• eRA Commons: https://commons.era.nih.gov/commons/

• Electronic Research Administration: http://era.nih.gov/

• Applying Electronically: http://grants.nih.gov/grants/ElectronicReceipt/

• NIH About Grants: http://grants.nih.gov/grants/oer.htm

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Questions?