Participating Organization(s)	National Institutes of Health (NIH) NOTE: Where this Funding Opportunity Announcement (FOA) provides specific written guidance that differs from the general guidance provided in the Application Guide, please follow the instructions given in this FOA.
Components of Participating Organizations	National Cancer Institute (NCI) National Eye Institute (NEI) National Heart, Lung, and Blood Institute (NHLBI) National Human Genome Research Institute (NHGRI) National Institute on Aging (NIA) National Institute on Alcohol Abuse and Alcoholism (NIAAA) National Institute of Allergy and Infectious Diseases (NIAID) National Institute of Arthritis and Musculoskeletal and Skin Diseases (NIAMS) National Institute of Biomedical Imaging and Bioengineering (NIBIB) Eunice Kennedy Shriver National Institute of Child Health and Human Development (NICHD) National Institute on Deafness and Other Communication Disorders (NIDCD) National Institute of Dental and Craniofacial Research (NIDCR) National Institute of Diabetes and Digestive and Kidney Diseases (NIDDK) National Institute on Drug Abuse (NIDA) National Institute of Environmental Health Sciences (NIEHS) National Institute of General Medical Sciences (NIGMS) National Institute of Mental Health (NIMH) National Institute of Neurological Disorders and Stroke (NINDS) National Institute of Nursing Research (NINR) National Institute on Minority Health and Health Disparities (NIMHD) National Library of Medicine (NLM) Fogarty International Center (FIC) National Center for Complementary and Alternative Medicine (NCCAM) National Center for Advancing Translational Sciences (NCATS) Office of the Director (OD), including Common Fund (Roadmap)
Funding Opportunity Title	Successor-in-Interest (Type 6 Parent)
Activity Code	Successor-in-Interest applications may be submitted in response to this FOA for the following Activity Code(s): R01 Research Project Grant R03 Small Grant Program R21 Exploratory/Developmental Research Grant Award R33 Exploratory/Developmental Grants Phase II U01 Research Project Cooperative Agreements R41 Small Business Technology Transfer (STTR) Grant - Phase I only R41/R42 Small Business Technology Transfer (STTR) Grant - Phase I, Phase II, and Fast-Track R41/R42 Small Business Technology Transfer (STTR) Grant - Phase I and Phase II R42 Small Business Technology Transfer (STTR) Grant - Phase II only R43 Small Business Innovation Research (SBIR) Grant - Phase I only R43/R44 Small Business Innovation Research (SBIR) Grant - Phase I, Phase II, and Fast-Track R43/R44 Small Business Innovation Research (SBIR) Grant - Phase I and Phase II R44 Small Business Innovation Research (SBIR) Grant - Phase II only D43 International Research Training Grants D71 International Research Training Planning Grant DP1 NIH Director’s Pioneer Award (NDPA) DP2 NIH Director’s New Innovator Awards DP3 Type 1 Diabetes Targeted Research Award DP4 NIH Director’s Pathfinder Award- Multi-Yr Funding DP5/UP5 Early Independence Award/Cooperative Agreement F05 International Research Fellowships F30 Individual Predoctoral NRSA for MD/PhD Fellowships F31 Predoctoral Individual National Research Service Grant Award F32 Postdoctoral Individual National Research Service Award F33 National Research Service Awards for Senior Fellows F34 MARC (NRSA) Faculty Fellowship G08 Resources Project Grant (NLM) G13 Health Sciences Publication Support Awards (NLM) K01 Research Scientist Development Award - Research & Training K02 Research Scientist Development Award Research K05 Research Scientist Award K06 Research Career Awards K07 Academic/Teacher Award (ATA) K08 Clinical Investigator Award (CIA) K12 Physician Scientist Award (Program) (PSA) K18 Career Enhancement Award K22 Career Transition Award K23 Mentored Patient-Oriented Research Career Development Award K24 Midcareer Investigator Award in Patient-Oriented Research K25 Mentored Quantitative Research Career Development Award K26 Midcareer Investigator Award in Biomedical and Behavioral Research K99/R00 Career Transition Award/Research Transition Award KL2 Mentored Career Development Award KM1 Institutional Career Enhancement Awards R13 Support for Conferences and Scientific Meetings R13/U13 Support for Conferences and Scientific Meetings R15 Academic Research Enhancement Award (AREA) UA5 AREA Cooperative Agreement R18 Research Demonstration and Disseminations Projects U18 Research Demonstration Cooperative Agreements R21/R33 Phased Innovation Award R25 Education Projects R34 Clinical Trial Planning Grant Program R36 Dissertation Award R37 Method to Extend Research in Time (MERIT) Award S07 Biomedical Research Support Grants S10 Biomedical Research Support Shared Instrumentation Grants S11 Minority Biomedical Research Support Thematic Project Grants S21 Research and Institutional Resources Health Disparities Endowment Grants Capacity Building S22 Research and Student Resources Health Disparities Endowment Grants Educational Programs SC1 Research-Enhancement Award SC2 Pilot Research Project SC3 Research Continuance Award T14 Conferences T15 Continuing Education Training Grants T32 Institutional National Research Service Award (NRSA) T34 MARC Undergraduate NRSA Institutional Grants T35 National Research Service Award (NRSA) Short -Term Research Training T36 MARC Ancillary Training Activities Grant T37 Minority International Research Training Grants T90/R90 Interdisciplinary Research Training Award/Interdisciplinary Regular Research Training Award TL1 Linked Training Award U34 Clinical Planning Grant Cooperative Agreement U43 SBIR Cooperative Agreement Phase 1 U44 SBIR Cooperative Agreement Phase 2 U2R International Research Training Cooperative Agreements UC4 High Impact Research and Research Infrastructure - Cooperative Agreement Programs UH2 Exploratory/Developmental Cooperative Agreement Phase I UH2/UH3 Phase Innovation Awards Cooperative Agreement UH3 Exploratory/Developmental Cooperative Agreement Phase II
Announcement Type	New
Related Notices	NOT-OD-12-132 and NOT-OD-12-133 January 30, 2014 - This PA has been reissued as PA-14-079.
Funding Opportunity Announcement (FOA) Number	PA-12-269
Companion FOA	None
Number of Applications	See Section III. 3. Additional Information on Eligibility.
Catalog of Federal Domestic Assistance (CFDA) Number(s)	93.077, 93.113, 93.121, 93.142, 93.143, 93.172, 93.173, 93.213, 93.233, 93.242, 93.273, 93.279, 93.281, 93.282, 93.286, 93.307, 93.310, 93.350, 93.351, 93.352, 93.361, 93.389, 93.393, 93.394, 93.395, 93.396, 93.397, 93.398, 93.399, 93.701, 93.702, 93.837, 93.838, 93.839, 93.846, 93.847, 93.853, 93.855, 93.856, 93.859, 93.865; 93.866, 93.867, 93.879, 93.989
FOA Purpose	The National Institutes of Health (NIH) hereby notify grantee organizations holding specific types of NIH research grants, listed in the full Funding Opportunity Announcement (FOA), that applications for change of grantee organization status, often referred to in this announcement as Successor-In-Interest, may be submitted in response to this FOA. Applications for change of grantee organization status are considered prior approval requests (as described in Section 8.1.2.8 of the NIH Grants Policy Statement) and will be routed for consideration directly to the Grants Management Specialist named in the current award. Although requests for change of grantee organization may be submitted through this FOA, there is no guarantee that an award will be transferred to the new organization. All applicants are encouraged to discuss potential requests with the awarding IC before submission.

Posted Date	August 24, 2012
Open Date (Earliest Submission Date)	August 24, 2012
Letter of Intent Due Date	Not Applicable
Application Due Date(s)	A successor-in-interest request must be made before the anticipated start date at the new organization and preferably several months in advance.
AIDS Application Due Date(s)	Not Applicable
Scientific Merit Review	Not Applicable
Advisory Council Review	Not Applicable
Earliest Start Date(s)	Earliest start dates may vary by awarding IC. Contact awarding IC for further guidance.
Expiration Date	(Now Expiring March 1, 2014 per issuance of PA-14-079), Originally August 16, 2015
Due Dates for E.O. 12372	Not Applicable

Required Application Instructions

It is critical that applicants follow the instructions in the NIH Grants Policy Statement and the SF 424 (R&R) Application Guide except where instructed to do otherwise (in this FOA or in a Notice from the NIH Guide for Grants and Contracts). Conformance to all requirements (both in the Application Guide and the FOA) is required and strictly enforced. Applicants must read and follow all application instructions in the Application Guide as well as any program-specific instructions noted in Section IV. When the program-specific instructions deviate from those in the Application Guide, follow the program-specific instructions. Applications that do not comply with these instructions may be delayed or not accepted for administrative review.

Part 1. Overview Information
Part 2. Full Text of the Announcement
Section I. Funding Opportunity Description
Section II. Award Information
Section III. Eligibility Information
Section IV. Application and Submission Information
Section V. Application Review Information
Section VI. Award Administration Information
Section VII. Agency Contacts
Section VIII. Other Information

This funding opportunity announcement provides direction for the submission Successor-in-Interest applications through Grants.gov. Successor-in-Interest applications may only be submitted using this announcement for currently active awards and for activity codes that have transitioned to electronic submission. Visit the list of Activity Codes Processed Electronically by eRA to determine if the activity code of the current award has transitioned to electronic submission. For activity codes that have not yet transitioned to electronic submission, paper Successor-in-Interest applications must still be submitted.

Successor-in-Interest actions generally require the submission of multiple applications and can involve awards from numerous NIH ICs. Therefore, the grantee should contact lead NIH awarding IC before submitting applications through this FOA.

Funding Instrument	Grant
Application Types Allowed	Revisions
Funds Available and Anticipated Number of Awards	The amount of an award is contingent upon the submission of a acceptable application and, unless otherwise instructed by the awarding IC, the direct costs relinquished by the original grantee institution.
Award Budget	Unless otherwise instructed by the awarding IC, application budgets are limited to the direct costs relinquished by the original grantee institution, plus applicable F&A costs for the new institution. Budgets must reflect actual needs of the proposed project.
Award Project Period	The project period should not exceed the amount of time remaining in the original project period.

NIH grants policies as described in the NIH Grants Policy Statement will apply to the applications submitted and awards made in response to this FOA.

Higher Education Institutions

• Public/State Controlled Institutions of Higher Education
• Private Institutions of Higher Education

The following types of Higher Education Institutions are always encouraged to apply for NIH support as Public or Private Institutions of Higher Education:

• Hispanic-serving Institutions
• Historically Black Colleges and Universities (HBCUs)
• Tribally Controlled Colleges and Universities (TCCUs)
• Alaska Native and Native Hawaiian Serving Institutions

Nonprofits Other Than Institutions of Higher Education

• Nonprofits with 501(c)(3) IRS Status (Other than Institutions of Higher Education)
• Nonprofits without 501(c)(3) IRS Status (Other than Institutions of Higher Education)

For-Profit Organizations

• Small Businesses
• For-Profit Organizations (Other than Small Businesses)

Governments

• State Governments
• County Governments
• City or Township Governments
• Special District Governments
• Indian/Native American Tribal Governments (Federally Recognized)
• Indian/Native American Tribal Governments (Other than Federally Recognized)
• Eligible Agencies of the Federal Government
• U.S. Territory or Possession

Other

• Independent School Districts
• Public Housing Authorities/Indian Housing Authorities
• Native American Tribal Organizations (other than Federally recognized tribal governments)
• Faith-based or Community-based Organizations
• Regional Organizations
• Non-domestic (non-U.S.) Entities (Foreign Institutions)

Foreign Institutions

Unless otherwise noted in the Funding Opportunity Announcement under which the original award was funded:

Non-domestic (non-U.S.) Entities (Foreign Institutions) are eligible to apply.
Non-domestic (non-U.S.) components of U.S. Organizations are eligible to apply.

Foreign components, as defined in the NIH Grants Policy Statement, are allowed.

Applicant organizations must complete the following registrations as described in the SF 424 (R&R) Application Guide to be eligible to apply for or receive an award. Applicants must have a valid Dun and Bradstreet Universal Numbering System (DUNS) number in order to begin each of the following registrations.

• Central Contractor Registration (CCR) must maintain an active registration, to be renewed at least annually
• Grants.gov
• eRA Commons

For Successor-In-Interest applications, the grantee is responsible for assuring existing CCR and DUNS registration is updated to reflect the change in organization status as appropriate.

All Program Director(s)/Principal Investigator(s) (PD(s)/PI(s)) must also work with their institutional officials to register with the eRA Commons or ensure their existing eRA Commons account is affiliated with the eRA Commons account of the applicant organization.

All registrations must be completed by the time of application. Applicant organizations are strongly encouraged to start the registration process at least four (4) weeks prior to the anticipated submission date.

Generally a Successor-in-Interest request should include the same PD(s)/PI(s) as on the currently funded grant. Individual(s) must hold an active grant or cooperative agreement and the research proposed should not exceed the amount of time remaining in the original project period. Individuals are invited to work with the awarding IC of the current award for further guidance and with their organization to develop applications for support.

For awards that include multiple PD(s)/PI(s), the Successor-in-Interest request should be submitted by a PD(s)/PI(s) from the grantee organization (in accordance with the existing leadership plan). Do not use this change of organization application to add, delete, or change the PD(s)/PI(s) listed on the current award. Visit the Multiple Program Director(s)/Principal Investigator(s) Policy in the SF424 (R&R) Application Guide for more information.

Generally, NIH does not require cost sharing as defined in the NIH Grants Policy Statement. See the Funding Opportunity Announcement under which the original award was funded.

Applicant organizations must submit one successor-in-interest application for each active award.

Applicants must download the SF424 (R&R) using the Apply for Grant Electronically button associated with this funding opportunity and then selecting the appropriate application package for the activity code of the funded award.

NIH may request additional information necessary to accomplish its review of the Successor-in-Interest request.

It is critical that applicants follow the instructions in the NIH Grants Policy Statement and the SF424 (R&R) Application Guide, except where instructed in this funding opportunity announcement to do otherwise. Conformance to the requirements in the Application Guide is required and strictly enforced. Applications that are out of compliance with these instructions may be delayed or not accepted for review.

For information on Application Submission and Receipt, visit Frequently Asked Questions Application Guide, Electronic Submission of Grant Applications or contact the awarding Institute/Center for specific policies regarding change of grantee organization applications.

The forms package associated with this FOA includes all applicable components, mandatory and optional. Please note that some components marked optional in the application package are required for submission of applications for this FOA. Follow all instructions in the SF424 (R&R) Application Guide to ensure you complete all appropriate optional components.

All page limitations described in the SF424 Application Guide and the Table of Page Limits must be followed, with the following exception:

If the FOA to which the application for this grant was originally submitted had exceptions to the page limitations, then page limitations of the original FOA apply.

Application Submission

Prior to submission, grantees are required to contact the GMO of the lead NIH awarding IC to explain the nature of the change in organizational status and receive guidance on whether it will be treated as a name change or SII. The lead awarding IC ordinarily will be the IC with which the organization has the most NIH grants. Applications must only be submitted at the direction of the lead awarding IC.

The process for submitting an application varies depending on whether the activity code of the current award requires electronic submission (as of the submission date of the Successor-in-Interest application). Visit the list of Activity Codes Processed Electronically by eRA to determine if the activity code of the current award has transitioned to electronic submission.

• If the current award s activity code has not transitioned to electronic submission, do not use this FOA. Instead, use the PHS398 Application Forms and follow the PHS398 Application Guide for paper submission directly to the lead IC.
• If the current award s activity code has transitioned to electronic submission, either (A) electronically submit using the SF424 (R&R) Application Forms and Grants.gov/Apply or (B) submit using the paper-based PHS398 Application forms and the PHS398 Application Guide.

Instructions for Submissions using Grants.gov/Apply for electronic-based submissions

For grants with activity codes that have transitioned to electronic submission using the SF424 (R&R) application forms, change of grantee organization applications may be submitted electronically through grants.gov. Prepare applications using the SF424 (R&R) application forms associated with this announcement. Please note that some components marked optional in the application package are required for submission of applications for this announcement. Follow all instructions in the SF424 (R&R) Application Guide and this FOA to ensure you complete the appropriate required and optional components.

Required Forms

Cover Component

Follow all instructions in the Application Guide. Successor-in-Interest applications submitted electronically should enter grant number (e.g. CA987654) of current award in Field 4 (Federal Identifier); be marked as a "Revision" in Field 8 (Type of Application) on the R&R Cover Page, and then mark E. Other and insert Successor-In-Interest in the corresponding text field.

Senior/Key Personnel Form

Follow all instructions in the Application Guide. Include updated biographical sketches for the PD/PI and existing senior/key personnel and biographical sketches for any proposed new senior/key personnel.

SF424 - Other Project Information Component

All instructions in the Application Guide must be followed. Unless otherwise instructed, complete the required items only.

Optional Forms

R&R Detailed Budget Form

Provide budget forms only if instructed to do so by NIH.

Part I. Overview Information contains information about Key Dates. Applicants are encouraged to submit formal requests for change in organizational status as soon as possible.

Organizations must submit electronic applications via Grants.gov, the online portal to find and apply for grants across all Federal agencies. Applicants must then complete the submission process by tracking the status of the application in the eRA Commons, NIH’s electronic system for grants administration.

Applicants are responsible for viewing their application in the eRA Commons to ensure accurate and successful submission.

This initiative is not subject to intergovernmental review.

All NIH awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement.

Pre-award costs are allowable only as described in the NIH Grants Policy Statement.

Applications must be submitted using the instructions specified above. NIH may request additional information necessary to accomplish its review of the Successor-in-Interest and Name Change request.

Applicants must complete all required registrations before the application can be submitted. Section III. Eligibility Information contains information about registration.

For assistance with your electronic application or for more information about the electronic submission process, visit Applying Electronically.

Important reminders:
For applications submitted electronically, all PD(s)/PI(s) must include their eRA Commons ID in the credential field of the Senior/Key Person Profile Component of the SF 424(R&R) Application Package. Failure to register in the Commons and to include a valid PD/PI Commons ID in the credential field will prevent the successful submission of an electronic application to NIH.

The applicant organization must ensure that the DUNS number it provides on the application is the same number used in the organization’s profile in the eRA Commons and for the Central Contractor Registration (CCR). Additional information may be found in the Application Guide.

See more tips for avoiding common errors.

Upon receipt, applications will be evaluated for completeness by the awarding Institute or Center.

Not Applicable

Successor-in-Interest applications are not evaluated for scientific and technical merit through the NIH peer review system. Instead, NIH will administratively review the application to determine whether the organization will continue to meet the grant program’s eligibility requirements.

NIH may request additional information necessary to accomplish its administrative review of the change of organizational status request.

Applications will be evaluated by NIH program and grants management staff. Assignments are shown in the eRA Commons.

NIH will issue formal notification of a Successor-in-Interest in the form of a revised Notice of Award (NoA) to show the transferee as the grantee of record.

The NoA signed by the grants management officer is the authorizing document and will be sent via email to the grantee’s business official.

Awardees must comply with any funding restrictions described in Section IV.5. Funding Restrictions.

All NIH grant and cooperative agreement awards include the NIH Grants Policy Statement as part of the NoA. For these terms of award, see the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General and Part II: Terms and Conditions of NIH Grant Awards, Subpart B: Terms and Conditions for Specific Types of Grants, Grantees, and Activities. More information is provided at Award Conditions and Information for NIH Grants.

When multiple years are involved, awardees will be required to submit the Non-Competing Continuation Grant Progress Report (PHS 2590) annually and financial statements as required in the NIH Grants Policy Statement.

A final progress report, invention statement, and the expenditure data portion of the Federal Financial Report are required for closeout of an award, as described in the NIH Grants Policy Statement.

The Federal Funding Accountability and Transparency Act of 2006 (Transparency Act), includes a requirement for awardees of Federal grants to report information about first-tier subawards and executive compensation under Federal assistance awards issued in FY2011 or later. All awardees of applicable NIH grants and cooperative agreements are required to report to the Federal Subaward Reporting System (FSRS) available at www.fsrs.gov on all subawards over $25,000. See the NIH Grants Policy Statement for additional information on this reporting requirement.

We encourage inquiries concerning this funding opportunity and welcome the opportunity to answer questions from grantees considering requesting a change of grantee organization.

Grants.gov Customer Support (Questions regarding Grants.gov registration and submission, downloading or navigating forms)
Contact Center Phone: 800-518-4726
Email: support@grants.gov

GrantsInfo (Questions regarding application instructions and process, finding NIH grant resources)
Telephone 301-710-0267
TTY 301-451-5936
Email: GrantsInfo@nih.gov

eRA Commons Help Desk (Questions regarding eRA Commons registration, tracking application status, post submission issues)
Phone: 301-402-7469 or 866-504-9552 (Toll Free)
TTY: 301-451-5939
Email: commons@od.nih.gov

For any scientific or research-related questions on this successor-in-interest announcement please contact the Program Officer listed on NoA of the most recent award.

Not Applicable

For any financial or grants management questions on this successor-in-interest announcement please contact the Grants Management Specialist or Grants Management Officer listed on the NoA of the most recent award.

Recently issued trans-NIH policy notices may affect your application submission. A full list of policy notices published by NIH is provided in the NIH Guide for Grants and Contracts. All awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement.

Successor-in-Interest awards are made under appropriate authorities as referenced in a specific Notice of Award. For reference to specific authorities, refer to the original funding opportunity announcement used for the last competing application and/or the most recent Notice of Award.