oppUSDA-NIFA-BFR-006411-cfda10.311-instructions.pdf

United States Department of Agriculture NIFA

GRANTS.GOV

APPLICATION

GUIDE

National Institute of Food and Agriculture

A Guide for Preparation and Submission of NIFA Applications via

Grants.gov

National Institute of Food and Agriculture, USDA Grants.Gov Application Guide A Guide for Preparation and Submission of NIFA Application via Grants.gov April 27, 2016

Summary of Recent Changes to the Guide

Summary of Recent Changes

Change included in versions dated April 27, 2016

Part V 2.18 Modified the certification language.

Part V 4.12 Under item (1), updated language to meet the felony and tax requirements.

Change included in versions dated September 23 and October 8, 2015

Part V 7.9 Included additional indirect cost information.

Change included in version dated June 17, 2015

Part V 4.12 Under item (1), updated language and document to meet the felony and tax requirements.

Change included in version dated March 30, 2015

This version includes updates to links throughout the document.

Part IV 1.9 Included additional information about late applications.

Part V 7.9 Updated the indirect cost language.

Change included in version dated January 14, 2015

This version includes updates to links throughout the document.

Part V 4.12 Under item (1), included language and document to meet the felony and tax requirements.

Change included in version dated January 8, 2015

Update throughout of references that changed as a result of implementation of 2 CFR Part 200.

Part V 7.9 Removed reference to section in Small Business Innovation Research RFA.

Change included in version dated December 17, 2014

Part V 7.9 Modified the indirect cost language.

Change included in version dated July 24, 2014

This version includes changes throughout the document. Because of the number of changes, NIFA is not providing a summary listing.

Change included in version dated April 15, 2014

Part V 2.18 Language included that if the application results in an award and the applicant will collect, store, process, transmit, or use information on behalf of NIFA, the applicant agrees to be compliant with the Federal Information System Security Management Act of 2002 (FISMA).

Change included in version dated February 5, 2014

Part V 4.12 Deleted the felony and tax requirements. The requirements will be included in a RFA if it is applicable to awards under a RFA.

A Guide for Preparation and Submission of NIFA Application via Grants.gov

Table of Contents

I. INTRODUCTION

1. BACKGROUND

2. PURPOSE AND SCOPE

3. INTENDED AUDIENCE

4. DOCUMENT SYMBOLS

5. REFERENCED DOCUMENTS

5.1 NIFA Funding Opportunity

5.2 Grants.gov Applicant User Guide

II. GENERAL INSTRUCTIONS FOR SUBMISSION VIA GRANTS.GOV

1. REGISTRATION PROCESS

2. SOFTWARE REQUIREMENTS

2.1 Adobe Reader

III. NIFA-SPECIFIC INSTRUCTIONS FOR SUBMISSION VIA GRANTS.GOV

1. COMMENTS ON NIFA INSTRUCTIONS

2. COMPONENTS OF A NIFA APPLICATION

3. CONFORMANCE WITH APPLICATION PREPARATION REQUIREMENTS

3.1 Attachments (Required to be in pdf)

4. SUBMISSION OF SAME APPLICATION TO MULTIPLE AGENCIES

5. SUBMISSION OF AN APPLICATION FOR NIFA REVIEW

6. APPLICATION STATUS

6.1 Grants.gov Application Status and Viewing the Application Manifest

6.2 USDA/NIFA Application Status

7. GRANTS.GOV AND NIFA ASSISTANCE

7.1 Grants.gov Contact Center

7.2 NIFA Help

7.3 Application File Update – Post Submission

IV. GRANT APPLICATION PACKAGE INSTRUCTIONS

1. GRANT APPLICATION PACKAGE

1.1 Verify Grant Information

1.2 Enter a Name for the Application

1.3 Complete Mandatory Documents

1.4 Add and Complete Optional Documents

1.5 Navigating the Forms

1.6 Accessing Help Tips

1.7 Saving the Application

1.8 Check Package for Errors

1.9 Submitting an Electronic Application

V. RESEARCH AND RELATED (R&R) FORMS AND INSTRUCTIONS

1. OVERVIEW

2. SF-424 (R&R) (COVER SHEET)

2.1 Enter a Type of Submission (Field 1 on the Form)

2.2 Enter Date Submitted and Applicant Identifier (Field 2 on the Form)

2.3 Enter Date Received by State and State Application Identifier (Field 3 on the Form)

2.4 Federal Identifier (Field 4 on the Form)

2.5 Enter Applicant Information (Field 5 on the Form)

A Guide for Preparation and Submission of NIFA Application via Grants.gov

2.6 Enter Employer Identification (EIN) or (TIN) (Field 6 on the Form)

2.7 Enter Type of Applicant (Field 7 on the Form)

2.8 Select Type of Application (Field 8 on the Form)

2.9 Name of Federal Agency (Field 9 on the Form)

2.10 Catalog of Federal Domestic Assistance Number and Title (Field 10 on the Form)

2.11 Enter Descriptive Title of Applicant's Project (Field 11 on the Form)

2.12 Enter Proposed Project (Field 12 on the Form)

2.13 Enter Congressional Districts (Field 13 on the Form)

2.15 Enter Project Director/Principal Investigator Contact Information (Field 14 on the Form)

2.16 Enter Estimated Project Funding (Field 15 on the Form)

2.17 Is Application Subject to Review by State Executive Order 12372 Process? (Field 16 on the Form)

2.18 Complete Certification (Field 17 on the Form)

2.19 Enter SFLLL (Disclosure of Lobbying Activities) or Other Explanatory Documentation (Field 18 on the Form)

2.20 Enter Authorized Representative (Field 19 on the Form)

2.21 Enter Pre-Application (Field 20 on the Form)

2.22 Enter Cover Letter Attachment (Field 21 on the Form)

3. R&R PROJECT/PERFORMANCE SITE LOCATION(S)

3.1 Enter Project/Performance Site Primary Location

3.2 Project/Performance Site Location 1

3.3 Additional Locations

4. R&R OTHER PROJECT INFORMATION

4.1 Are Human Subjects Involved? (Field 1 on the Form)

4.2 Are Vertebrate Animals Used? (Field 2 on the Form)

4.3 Is Proprietary/Privileged Information Included in the Application? (Field 3 on the Form)

4.4 Does this Project Have an Actual or Potential Impact on the Environment? (Field 4 on the Form)

4.5 Is the Research Performance Site Designated, or Eligible to be Designated, as a Historic Place? (Field 5 on the Form)

4.6 Does this Project Involve Activities Outside the U.S. or Partnership with International Collaborators? (Field 6 on the Form)

4.7 Attach Project Summary/Abstract (Field 7 on the Form)

4.8 Attach Project Narrative (Field 8 on the Form)

4.9 Attach Bibliography & References Cited (Field 9 on the Form)

4.10 Attach Facilities & Other Resources (Field 10 on the Form)

4.11 Attach Equipment (Field 11 on the Form)

4.12 Add Other Attachments (Field 12 on the Form)

5. R&R SENIOR/KEY PERSON PROFILE (EXPANDED)

5.1 Enter Profile – Project Director/Principal Investigator

5.2 Attach Biographical Sketch

5.3 Attach Current and Pending Support

5.4 Enter Profile – Senior/Key Person 1

6. R&R PERSONAL DATA

6.1 Enter Project Director/Principal Investigator

6.2 Enter Co-Project Director/Co-Principal Investigator Information

7. R&R BUDGET (FED/NON-FED)

7.1 Enter Budget Information and the R&R Subaward Budget Attachment Form

7.2 Enter Senior/Key Person (Field A on the Form)

7.3 Enter Other Personnel (Field B on the Form)

7.4 Enter Equipment Description (Field C on the Form)

7.5 Enter Travel (Field D on the Form)

7.6 Enter Participant/Trainee Support Costs (Field E on the Form)

A Guide for Preparation and Submission of NIFA Application via Grants.gov

7.7 Enter Other Direct Costs (Field F on the Form)

7.8 Verify Total Direct Costs (Field G on the Form)

7.9 Enter Indirect Costs (Field H on the Form)

7.10 Verify Total Direct and Indirect Costs (Field I on the Form)

7.11 Enter Fee (Field J on the Form)

7.12 Attach Budget Justification (Field K on the Form)

7.13 Research and Related Budget (Fed/Non-Fed) - Cumulative Budget

8. R&R SUBAWARD BUDGET (FED/NON-FED) ATTACHMENT(S) FORM

VI. NIFA-SPECIFIC AND CROSS-AGENCY FORMS AND INSTRUCTIONS

1. SUPPLEMENTAL INFORMATION FORM

1.1 Funding Opportunity (Field 1 on the Form)

1.2 Program to which you are applying (Field 2 on the Form)

1.3 Type of Applicant (Field 3 on the Form)

1.4 Additional Applicant Types (Field 4 on the form)

1.5 Supplemental Applicant Types (Field 5 on the Form)

1.6 ASAP Recipient Information (Field 6 on the Form)

1.7 Key Words (Field 7 on the Form)

1.8 Conflict of Interest List (Field 8 on the Form)

2. AFRI PROJECT TYPE FORM

2.1 Project Type

2.2 Grant Type

3. SBIR/STTR INFORMATION

3.1. Program Type (select only one)

3.2. SBIR/STTR Type (select only one)

4. KEY CONTACTS FORM

4.1. Applicants Organization Name

4.2. Contact 1

5. ATTACHMENTS FORM

VII. APPLICATION PREPARATION CHECKLIST

VIII. ADMINISTRATION OF AWARDS

A Guide for Preparation and Submission of NIFA Application via Grants.gov

Introduction

I. INTRODUCTION

1. Background

The National Institute of Food and Agriculture (NIFA) is an agency within the U.S. Department of Agriculture (USDA), part of the executive branch of the federal government. Congress created NIFA through the Food, Conservation, and Energy Act of 2008 (also known as the 2008 Farm Bill). NIFA replaced the former Cooperative State Research, Education, and Extension Service (CSREES), which had been in existence since 1994.

2. Purpose and Scope

This instruction document will help you prepare and submit applications to NIFA via Grants.gov. Where appropriate, relevant sections of the Grants.gov User Guide have been incorporated by reference.

3. Intended Audience

Any individuals, organizations, etc. that is interested in submitting an application to NIFA in response to a funding opportunity.

4. Document Symbols

The following symbols are used throughout this document to highlight information that is of particular interest or importance:

This symbol indicates NIFA-specific instructions.

This symbol represents a link to an important reference material.

* This symbol and yellow highlights represents a required field.

5. Referenced Documents

5.1 NIFA Funding Opportunity

A NIFA Funding Opportunity (e.g., request for applications, full announcement) provides information specific to a NIFA funding opportunity. A request for applications (RFA) includes, among other things, eligibility information and guidance for preparing and submitting applications to NIFA. NIFA makes active funding opportunities available via Grants.gov (http://www.grants.gov) or the NIFA web site.

NIFA Funding Opportunities via the NIFA web site: http://nifa.usda.gov/page/search-grant

5.2 Grants.gov Applicant User Guide

The Grants.gov Applicant User Guide is a comprehensive reference to information about Grants.gov. You may download the User Guide as a pdf document.

Grants.gov Applicant User Guide: http://www.grants.gov/web/grants/applicants/applicant-resources.html http://www.grants.gov/ http://nifa.usda.gov/page/search-grant http://www.grants.gov/web/grants/applicants/applicant-resources.html

A Guide for Preparation and Submission of NIFA Application via Grants.gov

NIFA-Specific Instructions for Submission via Grants.gov

II. GENERAL INSTRUCTIONS FOR SUBMISSION VIA GRANTS.GOV

1. Registration Process

Before using Grants.gov for the first time, each organization must register to create an institutional profile. Once registered, your organization may apply for a NIFA grant-any government grant- on the Grants.gov website.

Because of the time required to register, you should initiate this process well in advance of submitting an application.

Grants.gov Registration for organizations: http://www.grants.gov/web/grants/applicants/organization-registration.html Grants.gov Registration for individuals: http://www.grants.gov/web/grants/applicants/individual-registration.html

The registration process includes Central Contractor Registration (CCR). CCR is the official, FREE on-line registrant database for the U.S. Federal Government. CCR collects, validates, stores and disseminates data in support of agency acquisition and award missions. CCR validates the registrant information and electronically shares the secure and encrypted data with the finance offices of federal agencies to facilitate paperless payments through electronic funds transfer (EFT). Registrants must update or renew their registration at least once per year to maintain an active status.

Entities (private non-profits, educational organizations, state and regional agencies, etc.) that apply for assistance awards from the federal government through Grants.gov must register with CCR. Each entity that applies and does not have an exemption under Sec. 25.110 of 2 CFR must: (1) Register in CCR prior to submitting an application or plan; (2) Maintain an active CCR registration with current information at all times while it has an active federal award or an application or plan under consideration by an agency; and (3) Provide its DUNS number in each application or plan it submits to an agency (DUNS number are assigned by Dun & Bradstreet, Inc. (D&B) to identify unique business entities).

Registration in no way guarantees that the award of a contract or assistance award. Note that any information provided in your registration may be shared with authorized federal government offices.

The Grants.gov validation process includes a check for an active CCR registration (applicants with expired CCR registrations will be rejected).

The System for Award Management (SAM) combines eight federal procurement systems, including CCR, and the Catalog of Federal Domestic Assistance into one new system. CCR activities are conducted through SAM (the CCR website will redirect users to SAM).

2. Software Requirements1

2.1 Adobe Reader

You must have a version Adobe Reader that is compatible with Grants.gov in order to access, complete and submit applications. This software is essential to apply for NIFA federal assistance awards. See the Grants.gov User Guide for basic system requirements and download instructions.

Grants.gov has a test package that can help you determine if you have a compatible version of Adobe Reader.

Grants.gov Adobe Versioning Test Package: http://www.grants.gov/web/grants/support/technical-support/software/adobe-reader-compatibility.html

1 Note: Contact your organization’s system administrator if you have problems setting up software on your machine.

http://www.grants.gov/web/grants/applicants/organization-registration.html http://www.grants.gov/web/grants/applicants/organization-registration.html http://www.grants.gov/web/grants/applicants/individual-registration.html http://www.grants.gov/web/grants/applicants/individual-registration.html http://www.grants.gov/web/grants/support/technical-support/software/adobe-reader-compatibility.html http://www.grants.gov/web/grants/support/technical-support/software/adobe-reader-compatibility.html

A Guide for Preparation and Submission of NIFA Application via Grants.gov

III. NIFA-SPECIFIC INSTRUCTIONS FOR SUBMISSION VIA GRANTS.GOV

1. Comments on NIFA Instructions

To submit comments to NIFA regarding the content of the NIFA Grants.gov Application Guide send an e-mail to:

policy@nifa.usda.gov (this e-mail address is intended only for receiving comments). Please include “NIFA Grants.gov Application Guide” in the subject line of the e-mail and detailed information regarding the comment.

2. Components of a NIFA Application

The documents listed in Table 1 may be part of a NIFA application. The Grants.gov Application Package will identify which forms you must submit as part of the application and which one(s), if any, are optional.

Table 1: Components of a NIFA Application

Document Instructions

R&R SF424 Cover Sheet See Part V.

R&R Project/Performance Site Location(s) See Part V.

R&R Other Project Information See Part V.

R&R Senior/Key Person Profile (Expanded)

See Part V.

R&R Personal Data See Part V.

R&R Budget See Part V.

R&R Subaward Budget Attachment See Part V.

Supplemental Information See Part VI.

AFRI Project Type Form See Part VI.

SBIR/STTR Information See Part VI.

Key Contact Form See Part VI.

Attachment Form See Part VI.

3. Conformance with Application Preparation Requirements

Applications must conform to the application preparation and submission instructions. All attachments to an application must comply with NIFA font, spacing and margin requirements and MUST be in .pdf (portable document format) (see Part III., 3.1) otherwise the application is at risk of being excluded from NIFA consideration. Note that NIFA RFAs may include specific requirements; in these instances, it is critical to follow the language in the RFA. NIFA may exclude from consideration applications that are not consistent with these special instructions.

mailto:policy@nifa.usda.gov

A Guide for Preparation and Submission of NIFA Application via Grants.gov

3.1 Attachments (Required to be in pdf)

A. Format of Contents: Attachments to an application should be a typed or word processed document using font no smaller than 12 point, regardless of line spacing, and with at least 1-inch margins.

Number each page of an attachment sequentially. These specifications apply unless the RFA specifies otherwise. This guide or the RFA will indicate if a page limitation applies to a specific attachment.

B. File Format: NIFA REQUIRES that attachments be in .pdf. Using pdf format allows applicants to preserve the formatting of their documents.

C. File Name Restrictions: File names of .pdf attachments must be limited to 50 characters, may not include special characters (e.g., &,–,*,%,/,#), periods (.), blank spaces or accent marks, and must be unique (i.e., no other attachment may have the same file name). An underscore (example:my_Attached_File.pdf) may be used to separate a file name.

D. File Protections: The pdf attachment must NOT be password protected. Lead institutions of multi-organization applications must ensure, that documents from collaborators are NOT password protected.

ANY APPLICATION CONTAINING ATTACHMENTS THAT ARE NOT COMPLIANT

WITH A. THROUGH D. ABOVE ARE AT RISK OF BEING EXCLUDED FROM

CONSIDERATION.

ATTENTION: There is a paper clip icon on the left side of the page in every application. Do NOT attach documents with this function. If you attach documents under this function your application will be incomplete and cause errors.

4. Submission of Same Application to Multiple Agencies

Concurrent submission of an application to other organizations for simultaneous consideration will not prejudice its review.

5. Submission of an Application for NIFA Review

You may submit an application only once. Duplicate or substantially similar applications that are submitted concurrently for review by more than one program will be excluded from consideration.

6. Application Status

6.1 Grants.gov Application Status and Viewing the Application Manifest

Within 2 days of submitting a grant application, Grants.gov will send you two email messages:

The first email will confirm receipt of the application.

The second email will indicate whether the application has been validated by the system OR has been rejected due to errors.

If the application was successfully validated, Grants.gov will send you a third e-mail notifying you the application has been passed to the agency.

There are two ways to verify the status of an application submitted to Grants.gov. One way is to use the “Track My Applications” tool under the Applicants section of Grants.gov. This does not require a user name or password. The second way is to “Check My Application Status” under Applicant Login located under the Applicants section of Grants.gov. This tool requires a user name and password. This option gives you the opportunity to view a “manifest” of submitted forms and files within Grants.gov. This manifest will allow you to review the list of forms and file attachments that were properly uploaded and received.

A Guide for Preparation and Submission of NIFA Application via Grants.gov

OPTION 1 – Check status of application

Check Grants.gov Application Status on the Track My Application Page:

http://www.grants.gov/web/grants/applicants/track-my-application.html.

Once on the Track My Application page, enter up to five Grants.gov tracking numbers (one per line) and select the Track button. The system will display general information about the status of each application in a chart format as shown below.

OPTION 2 – Check status of application and view manifest of submitted forms and files

Check Grants.gov Application Status on the Check My Application Status Page:

http://www.grants.gov/web/grants/applicants/track-my-application.html

Once logged in using the above link you will be in the Applicant Center where you should select the “Check My Application Status” link. You will be given the option to search for your application(s) in several different ways.

Choose the one you are searching for and how the information should be displayed. Your selection(s) will be presented in a chart as shown below. One of the columns in the chart is entitled, Submission Name/Files. You may view the list of particular application’s file(s) and attachment(s) (i.e., the manifest) by selecting the link in the Submission Name/Files column for that application.

It is important that you thoroughly review the manifest to ensure that required attachments outlined in the RFA are included and follow .pdf requirements (see Part III Section 3.1 of this guide for NIFA attachment specifications). Submitted applications that do not contain the required forms and file attachments will not be reviewed.

If issues are found with the manifest, you should submit the application:

PRIOR to the deadline – We prefer that you correct the application and submit it prior to the established deadline. You MUST notify the Agency Contact (identified in Part VII of the applicable request for applications) via telephone or email so s/he is aware that there are two applications and that one is to be accepted and the other removed from consideration. Without this notification, both applications may be excluded from consideration per Section 5. of this Part.

FOLLOWING the deadline – We advise you to correct the application and submit it as soon as possible.

Note, however, you must provide documentation of the extenuating circumstance (e.g., hurricane, flood, fire) along with the late application (see “meeting the deadline” under Part IV, 1.9 of this Guide). You MUST notify the http://www.grants.gov/web/grants/applicants/track-my-application.html http://www.grants.gov/web/grants/applicants/track-my-application.html

A Guide for Preparation and Submission of NIFA Application via Grants.gov

Agency Contact (identified in Part VII of the applicable request for applications) via telephone or email so s/he is aware that there are two applications and that one was submitted prior to the deadline with issues and a corrected version submitted following the deadline. Without this notification, both applications may be excluded from consideration per Section 5. of this Part. If the late application is not accepted for consideration, it is possible that the one submitted prior to the deadline may be accepted for consideration if it meets Grants.gov and agency validation processes.

6.2 USDA/NIFA Application Status

We will send you two email messages.

The first will confirm NIFA’s receipt of your application.

The second will indicate whether NIFA has accepted OR declined to review the application.

7. Grants.gov and NIFA Assistance

7.1 Grants.gov Contact Center

If you need help with the Grants.gov registration process, downloading or navigating Adobe forms, or with the technical aspects of submitting to the Grants.gov system, first check the resources available on the Grants.gov web site (http://www.grants.gov). The Grants.gov Help page (http://www.grants.gov/web/grants/support.html) contains useful information including answers to frequently asked questions (FAQs).

Grants.gov assistance is also available as follows:

Grants.gov customer support 1-800-518-4726 Toll-Free or 606-545-5035 Business Hours: 24 hours a day, 7 days a week. Closed on federal holidays.

Email: support@grants.gov

If the Authorized Representative (AR) has not received a confirmation message from Grants.gov within 48 hours of submitting an application, contact Grants.gov customer support.

Grants.gov issues a ticket number to track a response. You should maintain the ticket number as documentation of an electronic issues associated with your application.

Grants.gov Help Desk operations process is described below

Tier 1: Grants.gov Contact Center Operator

Handles the initial contact and attempts to resolve the call.

If the issue cannot be resolved, the operator files a research request (escalation).

Tier 2: Research Analyst

Escalations go to the research analyst who does further research on the issue.

If resolution is still not possible, the issue escalates to the Grants.gov Program Management Office

(PMO).

Tier 3: Grants.gov PMO

The Research Analyst works with the PMO to resolve issue.

Typical escalations: involve policy questions/system bugs/training or meeting requests.

7.2 NIFA Help

If you still need assistance after reviewing the NIFA Grants.gov Application Guide and the applicable RFA, contact:

Email: electronic@nifa.usda.gov

Phone: 202-401-5048 http://www.grants.gov/ http://www.grants.gov/web/grants/support.html http://www.opm.gov/policy-data-oversight/snow-dismissal-procedures/federal-holidays/ mailto:support@grants.gov mailto:electronic@nifa.usda.gov

A Guide for Preparation and Submission of NIFA Application via Grants.gov

Business hours: Monday through Friday, 7:00 am – 5:00 pm Eastern Time, excluding Federal holidays.

7.3 Application File Update – Post Submission

Applications submitted through Grants.gov are considered official submissions to the federal government. You should immediately contact the appropriate NIFA Agency Contact (as identified in the RFA) to change or correct a previously submitted application.

A Guide for Preparation and Submission of NIFA Application via Grants.gov

Research and Related (R&R) Forms and Instructions

IV. GRANT APPLICATION PACKAGE INSTRUCTIONS

1. Grant Application Package

A Grant Application Package is tied to a particular funding opportunity. You may submit an application ONLY to the particular funding opportunity to which the Grant Application Package is associated.

1.1 Verify Grant Information

Verify the required information corresponds to the grant to which you are applying. Grants.gov will auto-populate the following information:

Opportunity Title

Offering Agency

Catalog of Federal Domestic Assistance (CFDA) Number

CFDA Description

Opportunity Number

Competition ID (NIFA does not use this field, therefore, no information will be pre-populated in the field; the field will be blank. Do not enter any information in the field.

Opportunity Open Date

Opportunity Close Date

Agency Contact

You may submit an application only to the federal funding opportunity from which it is obtained. For example, you may NOT use a Grant Application Package downloaded for a funding opportunity in one fiscal year to submit an application to another funding opportunity in another year even if it is the same program.

This electronic grants application is intended to be used to apply for the specific Federal funding opportunity referenced here.

If the Federal funding opportunity listed is not the opportunity for which you want to apply, close this application package by clicking on the “Cancel” button at the top of this screen. You will then need to locate the correct Federal funding opportunity, download its application and then apply.

A Guide for Preparation and Submission of NIFA Application via Grants.gov

1.2 Enter a Name for the Application

A. Check the box indicating that you will be submit an application on your own behalf (if applicable). The check box will only be shown on funding opportunities that are open to individuals.

B. Enter a name for the application in the * Application Filing Name field. This field is required. This name is solely for you to track the application through the Grants.gov submission process; NIFA will not use the filing name. You may use any combination of letters and/or numbers to name the application file.

1.3 Complete Mandatory Documents

Complete all of the documents listed in the “Mandatory” section. Complete the SF-424 (R&R) first. Data on the SF-424 (R&R) will populate other mandatory and optional forms where possible.

To access a form or document, click on the form/document name. Alternatively, you need only scroll up or down, as appropriate, to locate the desired form/document.

1.4 Add and Complete Optional Documents

These documents can be used to provide additional support for the application or may be required for specific types of funding opportunities.

To add an “Optional” form/document to the application package→ simply check the box to the left of the desired form/document.

1.5 Navigating the Forms

The SF-424 (R&R) Cover Sheet and R&R Budget forms/documents are two or more pages in length. You must complete the mandatory fields on each page of the form/document. To navigate to the next page of a form/document, simply scroll down the screen.

To go back to the first page of the form/document or to the Grant Application Package screen, simply scroll up the screen. You must save the application package from the Grant Application Package screen. More information on saving the application package is available in Section 1.7, Saving the Application.

You may enter up to five budget periods on the R&R Budget form/document. To add a new budget period, you must first complete Budget Period 1 including attaching a budget narrative. The “Next Period” button at top of page 3 of the R&R Budget form/document will become active once all the required fields in Budget Period 1 are completed.

A Guide for Preparation and Submission of NIFA Application via Grants.gov

Many of the forms/documents in the application package require you to attach files. As stated in Section 3.1, Portable Document Format (.pdf), NIFA REQUIRES that ALL attachments be submitted in pdf format. All attachments also must have a unique name to identify them. Attachment file names should indicate the file contents (e.g., Project Summary).

1.6 Accessing Help Tips

To access help tips scroll over a field on the form/document to reveal the help text for that field. Not every field has a help tip.

1.7 Saving the Application

The application package can only be saved from the Grant Application Package screen. We recommend you save the application package after you complete each form/document. You may save the application package by clicking on the “Save” button at the top of the Grant Application Package Screen. Note that the application package will be saved to the last active directory on your computer. Therefore, you should save the application package to your hard drive where it can be easily accessed. You may save your application package at any time and should save it with the same file name each time.

1.8 Check Package for Errors

To initiate the Grants.gov edit check process, simply click on the “Check Package for Errors” button at the top of the screen.

This process will identify all mandatory fields that you have not been completed. These errors will be displayed one at a time.

The Grants.gov validation process includes a check for an active Central Contract Registry (CCR) registration (applicants with expired CCR registrations will be rejected) (see section 1.9 below for further information about the submission process); CCR registration activities are conducted through the System for Award Management (SAM). See Part II.1. for detailed information.

ATTENTION: There is a paper clip icon on the left side of the page in every application. Do NOT attach documents with this function. If you attach documents under this function your application will be incomplete and cause errors.

1.9 Submitting an Electronic Application

REMINDER: See Part III, 3.1 for pdf attachment requirement information. ANY APPLICATION

WITH ATTACHMENTS THAT ARE NOT COMPLIANT WITH ITEMS A. THROUGH D.

OF PART III, 3.1 IS AT RISK OF BEING EXCLUDED FROM CONSIDERATION.

The AR must open the browser, open the application and then press the Submit button. To submit the application:

1. Close all open browser(s) and running applications.

2. Open the internet browser.

A Guide for Preparation and Submission of NIFA Application via Grants.gov

3. Navigate to the physical location where the application file is located. Select the application to open.

4. The internet browser will open the application. This may take a few moments.

5. Once the application is completely open, click the Save button. (The Save and Submit button will not become active until all mandatory documents have been properly completed, there are no errors in the application, and you have saved the file after opening the internet browser.)

6. Click Save and Submit.

7. A dialog box will appear and you will need to enter your Grants.gov username and password.

8. Click Login.

Once you have saved the application using the Save & Submit button, a dialog box will appear and you will need to enter your Grants.gov username and password. Follow all onscreen instructions for submission.

Only the AR has the authority and user rights to Sign and Submit an application to Grants.gov. Additional application tips are available at the Grants.gov website.

Grants.gov Application Tips: http://www.grants.gov/web/grants/applicants/applicant-tips.html

You must complete all of the following steps for an application to be considered for competitive peer review:

1) Meeting the deadline: A date and time stamp is attached to the application when you click on the Submit button to electronically send the application to Grants.gov. The date and time stamp determines whether the application was received by Grants.gov before the deadline, which is 5:00 p.m. Eastern Time (ET) on the date identified in the applicable RFA. An application submitted or resubmitted after the deadline is late (an application is considered on time at 5:00.59 pm ET but it is late at 5:01 pm ET). Consideration of late applications is only given in extenuating circumstances (e.g., natural disasters, confirmed Grants.gov outage) with proper documentation and support of the Agency Contact (see Part VII of the request for applications; for the Small Business Innovation Research program (SBIR) the Program Contacts are specified under subsection 1.5 of the SBIR Program Solicitation). The occurrence of one of these situations does not automatically ensure that a late application will be accepted. You should contact the

Agency Contact if you want a late application considered under an extenuating circumstance. Also see http://nifa.usda.gov/resource/late-application-consideration).

Successful Grants.gov validation: The Grants.gov system performs a limited check of the application (see Section 1.8 above), and Grants.gov will notify you of the outcome of the initial review. The Grants.gov validation process includes a check for an active CCR registration (applicants with expired CCR registrations will be rejected). The System for Award Management conducts CCR registration activities. See Part II.1. for more information.

2) Grants.gov sends applications that are successfully validated to NIFA for further processing. Applications that fail Grants.gov validation may be resubmitted to Grants.gov if NIFA’s deadline has not passed. (Note that the Grants.gov system may allow applications to be submitted after the deadline, but the application is considered late by NIFA.)

3) Successful agency validation: NIFA staff perform precursory review of the application. The agency validation process includes meeting eligibility requirements and following NIFA application guidelines

(e.g., formatting, page limitations, limits on budget requests). NIFA will notify you of the outcome of this review.

http://www.grants.gov/web/grants/applicants/applicant-tips.html http://nifa.usda.gov/resource/late-application-consideration

A Guide for Preparation and Submission of NIFA Application via Grants.gov

Checking the List of Forms and File Attachments in Grants.gov

After submitting an application, you may review a “manifest” of forms and file attachments that were properly uploaded and received by Grants.gov.

For information about how to check an application’s status within Grants.gov, how to view its manifest, and what to do should there be issues with the manifest, see Part III, 6.1.

It is important for you to thoroughly review the manifest to ensure you include all of the required attachments outlined in the RFA and follow .pdf requirements (see Part III Section 3.1 of this guide for NIFA attachment specifications).

A Guide for Preparation and Submission of NIFA Application via Grants.gov

V. RESEARCH AND RELATED (R&R) FORMS AND INSTRUCTIONS

1. Overview

This section contains both the SF-424 (R&R) instructions and any applicable NIFA-specific instructions (NIFA-specific and cross-agency forms and instructions are included in Part VI). The NIFA-specific instructions are identified by the USDA logo. Conformance is required and will be strictly enforced unless a deviation has been approved. NIFA may exclude from consideration applications that are not consistent with these instructions. The following SF 424 (R&R) forms are required as part of the application package:

• SF 424 (R&R) Cover Sheet;

• SF 424 (R&R) Performance Site Locations;

• SF 424 (R&R) Other Project Information;

• SF 424 (R&R) Senior/Key Person (Expanded);

• SF 424 (R&R) Personal Data; and

• SF 424 (R&R) Budget

The SF 424 (R&R) Subaward Budget Attachment form is optional and only should be submitted when appropriate:

Detailed instructions for other forms that may be part of the application package are included in Part VI or may be included in the RFA. The following sections contain detailed instructions for each of the application forms.

A Guide for Preparation and Submission of NIFA Application via Grants.gov

2. SF-424 (R&R) (Cover Sheet)

2.1 Enter a Type of Submission (Field 1 on the Form)

Select a type of submission. If this submission is to change or correct a previously submitted “New” application, click the Changed/Corrected Application box and enter the Grants.gov tracking number in the Federal Identifier field. If this submission is to change or correct a “resubmission”, “renewal”, “continuation”, or “revision” application, leave the Federal identifier field as previously filled with the existing identifier (e.g. Award number).

A Guide for Preparation and Submission of NIFA Application via Grants.gov

Do NOT insert the Grants.gov tracking number in these cases. Unless requested by the agency, applicants may not use this to submit changes after the closing date. This field is required.

You should submit a changed/corrected application only after the appropriate NIFA program contact has been contacted. Use the changed/corrected application to modify an application you have ALREADY submitted through Grants.gov and that the original application was submitted PRIOR to the established deadline.

Unless specifically required by a NIFA RFA, pre-applications are not required and should not be submitted.

2.2 Enter Date Submitted and Applicant Identifier (Field 2 on the Form)

Enter the date the application is submitted to Federal agency (or State if applicable). Please use mm/dd/yyyy format (e.g., 08/13/2009). Enter the Applicant’s control number (if applicable) in the Applicant Identifier field.

Use the Applicant Identifier field when an institution has its own system for tracking applications. This field allows the applicant to enter their application identifier on the application, if applicable.

2.3 Enter Date Received by State and State Application Identifier (Field 3 on the Form)

Enter the date received by state (if applicable). Enter the state application identifier (if applicable) in the State Application Identifier field.

NIFA does not use this information; therefore, leave the Date Received by State and State Application Identifier field blank.

2.4 Federal Identifier (Field 4 on the Form)

Field Name Input

Federal Identifier If this is a continuation, revision, or renewal application, enter the assigned Federal identifier number (for example, award number)—even if submitting a changed/corrected application.

Agency Routing Identifier

Enter the agency-assigned routing identifier per the agency-specific instructions. This is an optional field.

Previous Grants.gov Tracking ID

Enter the previous Grants.gov tracking number, if applicable.

New project applications should leave these fields blank unless you are submitting a changed/corrected application. When submitting a changed/corrected “New” application, enter the Grants.gov tracking number in Field 4c. If you are submitting a renewal application (see 2.8 of this section), enter the NIFA-assigned award number of the previously-funded application in the Federal Identifier field (Field 4a. on the form). If you are submitting a resubmission application (see 2.8 of this section), enter the NIFA-assigned proposal number of the previously-submitted application in the Federal Identifier field (Field 4a. on the form). If you are submitting a resubmission renewal application (see 2.8 of this section), enter the NIFA-assigned proposal number of the previously-submitted application in the Federal Identifier field (Field 4a. on the form). If you are submitting a continuation application (see 2.8 of this section), enter the NIFA-assigned award number of the previously-funded application in the Federal Identifier field (Field 4a. on the form).

NIFA does not use the Agency Routing Identifier field; it may be left blank.

2.5 Enter Applicant Information (Field 5 on the Form)

Enter the DUNS or DUNS+4 number of the applicant organization in the * Organizational DUNS field. This field is required.

For the Legal Name field enter the legal name of the applicant organization or individual (i.e., in whose name an award, if appropriate, should be made).

If you check the box on the Grant Application Package main page to indicate that you are submitting an applicant on your own behalf (see Part IV section 1.2), the Organizational DUNS field will prepopulate.

A Guide for Preparation and Submission of NIFA Application via Grants.gov

Field Name Input

*Legal Name Enter legal name of applicant, which will undertake the assistance activity, enter the complete address of the applicant (including county and country), and name, telephone number, e-mail, and fax of the person to contact on matters related to this application. This field is required.

Department Enter the name of primary organizational department, service, laboratory, or equivalent level within the organization which will undertake the assistance activity.

Division Enter the name of primary organizational division, office, or major subdivision which will undertake the assistance activity.

*Street 1 Enter first line of the street address in “Street1” field for the applicant. This field is required.

Two lines are available for street address input. The first line is required information. The second line is not required.

Street 2 Enter second line of the street address for the applicant in “Street2” field. This field is optional.

*City Enter the city for address of applicant. This field is required.

County/Parish Enter the county/parish for address of applicant.

*State Enter (select) the State where the applicant is located. This field is required if the applicant is located in the United States.

Province Enter the Province.

*Country Select the country for the applicant address. This field is required.

*Zip/Postal Code Enter the nine-digit Postal Code (e.g., ZIP code) of the primary performance site location. This field is required if the Project Performance Site is located in the United States.

Person to be contacted on matters involving this application:

Prefix Enter the prefix (e.g., Mr., Mrs., Rev.) for the person to contact on matters related to this application.

*First Name Enter first (given) name of the person to contact on matters related to this application. This field is required.

Middle Name Enter the middle name of the person to contact on matters related to this application.

*Last Name Enter the last (family) name of the person to contact on matters related to this application. This field is required.

Suffix Enter the suffix (e.g., Jr, Sr, PhD) for the name of the person to contact on matters related to this application.

*Phone Number Enter the daytime phone number for the person to contact on matters related to this application. This field is required.

Fax Number Enter the fax number for the person to contact on matters related to this application.

Email Enter the e-mail address for the person to contact on matters related to this application.

2.6 Enter Employer Identification (EIN) or (TIN) (Field 6 on the Form)

Employer Identification (EIN) or (TIN) - Enter either TIN or EIN as assigned by the Internal Revenue Service. If your organization is not in the U.S., type 44-4444444. This field is required.

2.7 Enter Type of Applicant (Field 7 on the Form)

Type of Applicant - Select the appropriate applicant type code. This field is required.

If Small Business is selected as Type of Applicant, then note if the organization is Woman-owned and/or Socially and Economically Disadvantaged.

Woman Owned - Check if you are a woman-owned small business - a small business that is at least 51% owned by a woman or women, who also control and operate it.

Socially and Economically Disadvantaged - Check if you are a socially and economically disadvantaged small business as determined by the U.S. Small Business Administration pursuant to section 8(a) of the Small Business Act, U.S.C. 637(a).

2.8 Select Type of Application (Field 8 on the Form)

Select the type from the following list. Check only one.

New - An application that is being submitted to an agency for the first time.

Resubmission - An application that has been previously submitted, but not funded, and is being resubmitted for new consideration.

A Guide for Preparation and Submission of NIFA Application via Grants.gov

Renewal - An application requesting additional funding for a period subsequent to that provided by a current award. A renewal application competes with all other applications and must be developed as fully as though the applicant is applying for the first time.

Continuation - A non-competing application for an additional funding/budget period within a previously approved project period.

Revision - An application that proposes a change in - 1) the Federal Government's financial obligations or contingent liability from an existing obligation; or, 2) any other change in the terms and conditions of the existing award.

This field is required.

Check Part II, B. of the RFA for the types of applications that you submit in response to the RFA. If you are submitting a renewal application, enter the NIFA-assigned award number of the previously-funded application in the Federal field (Field 4 on the form). If you are submitting a resubmission application, enter the NIFA-assigned proposal number of the previously-submitted application in the Federal field (Field 4 on the form). If you are submitting a resubmission renewal application, select “resubmission” and enter the NIFA-assigned proposal number of the previously-submitted application in the Federal field (Field 4 on the form). ). If submitting a continuation application, enter the NIFA-assigned award number of the previously-funded application in the Federal field (Field 4 on the form).

If a revision mark the appropriate box(es): A. Increase Award, B. Decrease Award, C. Increase Duration, D.

Decrease Duration, E. Other (specify). If "Other" is selected, please specify in text box provided. May select more than one.

The type of application accepted may vary by funding opportunity. The RFA will stipulate the type of application that you may submit in response to the funding opportunity.

* Is this application being submitted to other agencies? – Enter yes or no. This field is required If yes, enter Agency name.

List the names or acronyms of all other public or private sponsors including other agencies within USDA to which your application has been or might be sent. In the event you decide to send your application to another organization or agency at a later date, you must inform the identified NIFA Program Contact as soon as practicable. Submitting your application to other potential sponsors will not prejudice its review by NIFA; however, submitting the same application to another NIFA program is not permissible.

2.9 Name of Federal Agency (Field 9 on the Form)

* Name of Federal Agency – This is the name the Federal agency from which assistance is being requested by this application. This information is pre-populated from the opportunity package.

2.10 Catalog of Federal Domestic Assistance Number and Title (Field 10 on the Form)

This is the Catalog of Federal Domestic Assistance number and title of the program under which assistance is requested. This information is pre-populated from the opportunity package.

2.11 Enter Descriptive Title of Applicant's Project (Field 11 on the Form)

* Descriptive Title of Applicant's Project - Enter a brief descriptive title of the project. This field is required.

The title should be a brief (140-character-maximum including spaces), clear, and specific designation of the proposed project. Project titles are read by a variety of nonscientific people; therefore, you should avoid highly technical words or phraseology where possible. In addition, you should not use introductory phrases such as “investigation of,” “research on,” “education for,” or “outreach that.”

A Guide for Preparation and Submission of NIFA Application via Grants.gov

2.12 Enter Proposed Project (Field 12 on the Form)

* Start Date – Enter the proposed start date of the project. This field is required. Please use mm/dd/yyyy format (e.g., 08/13/2009).

* Ending Date – Enter the proposed end date of the project. This field is required. Please use mm/dd/yyyy format (e.g., 08/13/2009).

The proposed duration for which support is requested must be consistent with the nature and complexity of the proposed activity. In some situations, a funding opportunity may limit the duration of requested support. In such cases, RFA will address the limitations. Specification of a desired starting date for the project is important and helpful to our staff; however, we may not always be able to meet the requested dates. In such cases, we will consult with you.

2.13 Enter Congressional Districts (Field 13 on the Form)

* Applicant - Enter the applicant's Congressional District.