What Will We Accomplish? • Brief history • Evolution of the SF 424 R&R • Agency implementations and lessons learned • University implementations and lessons learned
Grants.gov Brief History • President’s Management Agenda Applicants for federal grants apply for and manage grant funds through a common site, to simplify grant management and eliminate redundancy.
Grants.gov Brief History • One of 24 federal e-Government initiatives designed to improve access to government services via the Internet
Grants.gov Brief History Public Law 106-107 Purposes Include: • Simplify federal financial assistance application & reporting requirements • Facilitate greater coordination among those responsible for delivering such services
Grants.gov Brief History The Case for Grants.gov: • Cross-agency initiative • 1000+ programs • 26 agencies + others • >$400B annually awarded
Grants.gov Brief History A simple, unified “storefront” for all customers of federal grants to electronically: • Find grant opportunities • Apply electronically for grants
Applicant N Applicant 3 Applicant 1 Applicant 2 Applicant 2 Applicant 3 Applicant 1 Applicant N .…. Agency N Agency 1 Agency 2 Agency 3 .…. Old Inefficiencies
Old Inefficiencies Applicant N Applicant 3 Applicant 1 Applicant 2 Applicant 2 Applicant 3 Applicant 1 Applicant N .…. Agency N Agency 1 Agency 2 Agency 3 .…. Eliminated through “Trusted Broker”
Benefits in Streamlining Reduces time & cost to find & apply for grants • No need to learn multiple systems • Eliminate costs associated with copying and mailing • Single registration
Benefits in Streamlining Increased efficiency • Limits need to interface w/multiple agencies • Limits development and maintenance • Reduces redundant info/data requests
Why Submit Electronically? • Eliminates the burden of paper-based data collection, improves data quality • Reduces scanning, printing & data entry costs • May allow agencies to shorten the cycle from application receipt to award
Another Way To Look At It What if each agency had its own mail service? • They’d all need buildings & fleets • And a unique ZIP code system • What would postage cost? • What about package tracking?
VA EPA USDA NASA CNCS DHS DoD DOE DOEd DOI DOJ DOT DOC HHS DOL IMLS NARA NEA NEH NSF SBA SSA State Treas USAID HUD What About Curb Appeal?
Streamline/Standardize YEAH! • Institutions overwhelmed managing disparate paper applications • Support a simplified process to eliminate redundancy? • FDP ERA Core Principals?
Grants.gov FIND Status • Went “Live” in August 2003 • Today hosts announcements for 100% of Federal discretionary opportunities • Sends out 1 Million+ email notifications per week
Merged FIND & APPLY • Why two systems to start with? • December 19, 2005 cutover • Improved search and results • Backend and reporting enhancements
Grants.gov APPLY Status • Went “Live” October 2003 • ~1,000 applications in year 1 • ~15,000 applications in year 2 • Expect >45,000 applications this year (~17,000 Y-T-D)
New Business Process • Application form & instructions will now be part of a package posted on Grants.gov with each funding opportunity announcement (FOA) • Applicants will download the specific application package from the Grants.gov-posted FOA
New Business Process • This specific application package MUST be used to apply for the accompanying announcement. • Some fields of application are pre-filled from announcement
New Business Process • Authorized Representative (AR) submits application through Grants.gov • Basic form validation and virus check performed by Grants.gov • AR may track status at Grants.gov until notified that agency has received
Important Dates • Release Date –Date funding opportunity is posted on Grants.gov. Applicants may download application package and start working on application. • Opening Date - the first date the completed application can be submitted to Grants.gov.
Registration • Good news—only need to do it once! • Enables submission to every agency in Federal government • Changes at CCR w/IRS • Call center issues/e-biz POC duty • Takes time—start early
Why Now? • OMB has set the following FY 2006 Goal for Agencies: Post 75% of Funding Opportunities in Grants.gov “Find” on “Apply” • OMB clearance of existing agency forms will expire
“Families” of Forms Forms tailored to applicant needs: • SF 424 • SF 424—R&R • SF 424—Mandatory • SF 424—Short • SF 424—Individual
Forms Process • Agency conducts in-house review • Government-wide or agency-specific? • Alternative form available? • Use of attachment feasible? • Build, if needed; coordinate w/S2S
The SF 424 • Standard form for submission of grant applications to the Federal Government • Was developed for use in State and Local programs where the preponderance of Federal money is…
The SF 424 • Was not developed by, or with the input of, Federal Research Agencies • Did not include key information, including: • Biographical Information • Current and Pending Support
The SF 424 • Standard Budget Categories found in research proposals • Statutory or Regulatory Research Related Information • Demographic Data
Yes, But…. What about the Research Agencies???
Background Information • There was early recognition that the SF 424 would not work for most research applications • Creating a new application for use with research and related awards made the most sense
Background • Application consists of: • Forms • Associated Instructions for Completion of Each Data Element • Rule imposed that two or more agencies must require data for inclusion in the dataset
Background • Agency specific guidance will be issued by the agency via a standard application guide or as part of the funding opportunity
R&R Components • Cover, Pages 1 and 2 – (Includes certification and assurance language) • Project/Performance Site Location(s) • Other Project Information
R&R Components • Senior/Key Person Profile(s) • Personal Data (PD/PI & co-PD/PI only) Budget • Total Funds Requested; or • Total Federal & Non-Federal Funds • Subaward Budget Attachment
Basic Concepts • This is Version 1 – there will be a Version 2, 3, 4… • Application will be “built” through use of the component concept
Basic Concepts • With the exception of the Cover Pages, all other components are optional • R&R Working Group provided Grants.gov PMO with the first programmatic application (SBIR)
NIH Goals By the end of September 2007, NIH plans to: • Require electronic submission through Grants.gov for all NIH grant applications
NIH Goals 2. Transition from the PHS 398 application form to SF424 family of forms data set • SF424 Research and Research-Related (SF424 (R&R)) • SF424 Discretionary (of limited use for NIH)
This is a Huge Effort! • The simultaneous transition to electronic application submission and a new set of application forms is a huge initiative for NIH and the grantee community with an aggressive time table
Transition Involves • Many NIH funding mechanisms • Tens of thousands of applications ranging widely in size and complexity • Numerous communications from NIH staff & community regarding the new submission process and application form set
Transition Involves Systems Working Together • Grants.gov & eRA Commons – the NIH electronic Research Administration system that allows applicants/grantees to electronically receive and transmit application and award information. (Used by NIH & other HHS components)
Transition Plan • NIH will transition by individual research program/funding mechanism • Once transitioned, ALL applications will require electronic submission through Grants.gov on the SF424 family of forms
Transition Plan • Mechanisms not yet transitioned will continue to require paper PHS 398 submission • NIH will announce plans to transition mechanisms in NIH Guide for Grants and Contracts
Transition Timeline • Still on target for June 1, 2006 transition of Small Grant (R03), Exploratory/Development Grants (R21, R33), Clinical Trail Planning Grants (R34) • Changes from previous timeline: February 1, 2007: Traditional Research Grant (R01)
New Business Process eRA COMMONS REGISTRATION • Organizational registration required in both Grants.gov and eRA Commons prior to submission • PI registration in eRA Commons also required prior to submission