Department of Health and Human Services


Part 1. Overview Information
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)
Division of Program Coordination, Planning and Strategic Initiatives, Office of Disease Prevention (ODP)
Division of Program Coordination, Planning and Strategic Initiatives, Office of Research Infrastructure Programs (ORIP)
Office of Behavioral and Social Sciences Research (OBSSR)
Office of Dietary Supplements (ODS)
Office of Research on Women’s Health (ORWH)
Office of Strategic Coordination (Common Fund

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):

C06 Research Facilities Construction Grant
D43 International Training Grants in Epidemiology
D71 International Training Program 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 Early Independence Award
DP7 NIH Director’s Workforce Innovation Award
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
G08 Resources Project Grant (NLM)
G13 Health Sciences Publication Support Awards (NLM)
G20 Grants for Repair, Renovation and Modernization of Existing Research Facilities
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
R01 Research Project Grant
R03 Small Grant Program
R13 Support for Conferences and Scientific Meetings
R15 Academic Research Enhancement Award (AREA)
R18 Research Demonstration and Disseminations Projects
R21 Exploratory/Developmental Research Grant Award
R21/R33 Phased Innovation Award
R24 Resource-Related Research Projects
R25 Education Projects
R33 Exploratory/Developmental Grants Phase II
R34 Clinical Trial Planning Grant Program
R36 Dissertation Award
R37 Method to Extend Research in Time (MERIT) Award
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
RC1 NIH Challenge Grants and Partnerships Program – Phase I
RC2 High Impact Research and Research Infrastructure Programs
RC3 Biomedical Research, Development, and Growth to Spur the Acceleration of New Technologies (BRDG-SPAN) Program
RC4 High Impact Research and Research Infrastructure Programs – Multi-Yr Funding
RM1 Research Project with Complex Structure
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
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
T42 Educational Resource Center Training Grants
T90/R90 Interdisciplinary Research Training Award/Interdisciplinary Regular Research Training Award
TL1 Linked Training Award
U01 Research Project – Cooperative Agreements
U13 Conferences Cooperative Agreements
U18 Research Demonstration – Cooperative Agreements
U2R International Training Cooperative Agreement
U24 Resource-Related Research Projects – Cooperative Agreements
U34
Clinical Planning Grant Cooperative Agreement
U44 Small Business Innovation Research (SBIR) Cooperative Agreements - Phase II
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
UL1 Linked Specialized Center Cooperative Agreement
UP5 Early Independence Award/Cooperative Agreement

Announcement Type

Reissue of PA-12-269

Related Notices

NOT-OD-12-132 and NOT-OD-12-133

  • January 30, 2014 - See Notice NOT-OD-14-044. Updated Electronic Application Forms (FORMS-C) Now Available for Administrative Supplement (non-competing Type 3), Successor-in-Interest (Type 6), and Change of Grantee Organization (Type 7) Applications.

Funding Opportunity Announcement (FOA) Number

PA-14-079

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.

Key Dates
Posted Date

January 30, 2014

Open Date (Earliest Submission Date)

January 30, 2014

Letter of Intent Due Date
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)
Scientific Merit Review
Advisory Council Review
Earliest Start Date(s)

Earliest start dates may vary by awarding IC.  Contact awarding IC for further guidance.

Expiration Date

January 31, 2017

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.


A compatible version of Adobe Reader is required for download. For Assistance downloading this or any Grants.gov application package, please contact Grants.gov Customer Support at http://www07.grants.gov/contactus/contactus.jsp.
Table of Contents

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

Part 2. Full Text of Announcement


Section I. Funding Opportunity Description

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 for NIH and Partner Agencies to determine if the activity code of the current award has transitioned to electronic submission and if the activity code is single-project or multi-project.  For activity codes that are multi-project or 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.

Section II. Award Information
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.

Section III. Eligibility Information


1. Eligible Applicants


Eligible Organizations

Higher Education Institutions

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

Nonprofits Other Than Institutions of Higher Education

For-Profit Organizations

Governments

Other

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.

Required Registrations

Applicant Organizations

Applicant organizations must complete and maintain the following registrations as described in the SF 424 (R&R) Application Guide to be eligible to apply for or receive an award. All registrations must be completed prior to the application being submitted. Registration can take 6 weeks or more, so applicants should begin the registration process as soon as possible. The NIH Policy on Late Submission of Grant Applications states that failure to complete registrations in advance of a due date is not a valid reason for a late submission.

Eligible Individuals (Program Director/Principal Investigator)

Generally a Successor-in-Interest request should include the same PD/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 encouraged 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.

2. Cost Sharing

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.

3. Additional Information on Eligibility


Number of Applications

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

Section IV. Application and Submission Information


1. Requesting an Application Package

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.

2. Content and Form of Application Submission

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.

Required and Optional Components

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.

Page Limitations

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 is single-project or multi-project and if it has transitioned to electronic submission (as of the submission date of the Successor-in-Interest application). Visit the list of Activity Codes Processed Electronically for NIH and Partner Agencies to determine if the activity code of the current award has transitioned to electronic submission and if the activity code is single-project or multi-project.

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.

3. Submission Dates and Times

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.

4. Intergovernmental Review (E.O. 12372)

This initiative is not subject to intergovernmental review.

5. Funding Restrictions

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.

6. Other Submission Requirements and Information

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 SAM. 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.

Post Submission Materials

Not Applicable

Section V. Application Review Information


1. Criteria

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.

2. Review and Award Process

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

Section VI. Award Administration Information


1. Award Notices

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.     

2. Administrative and National Policy Requirements

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.

3. Reporting

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. 

Section VII. Agency Contacts

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

Application Submission Contacts

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 301-435-0714
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

Scientific/Research Contact(s)

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.

Peer Review Contact(s)

Not Applicable

Financial/Grants Management Contact(s)

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.

Section VIII. Other Information

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.

Authority and Regulations

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.


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