Grants Administration Guidelines for NICHD, DIR

The below guidelines outline the policies and procedures governing the administration of grants within the Division of Intramural Research (DIR). It pertains to applications funded both by federal and by non-federal sources, and applies to all investigators and trainees within the DIR. Intramural investigators and trainees may apply for grants where the announcement is shared with the general public and there is a competition/review process in place to receive the award funds. Moreover, it has been determined that it is acceptable to use appropriated NIH funds in seeking such outside grant monies.

The objective of these guidelines is to ensure that NICHD intramural scientists are fully supported by the administrative units of the DIR responsible for applications and financial management, including the Office of the Scientific Director (OSD), the Administrative Management Branch (AMB), and the Office of Education (OE). Our intention is to maximize the success of applicants in securing grant support, as well ensuring that we follow all applicable federal government policies.

The NICHD intramural program also gathers comprehensive data on grant applications for all members of the DIR, from the application through awards process, to recognize our successes, identify training needs or areas for improvement, and ensure full compliance with NIH regulations.

Key Players

Office of Record: The OSD and OE maintains the grants tracking system from application through award dates, for investigators and fellows respectively
Scientific Director (SD): The SD reviews and approves all applications prior to submission, including renewals
Financial Oversight: The AMB is responsible for all budgetary review, planning for and management of funded awards, where applicable
Submissions of Federal Grants: The OE does electronic submissions through grants.gov and works with fellows and PIs on the preparation of their applications

Timetable

Communication by applicants with all interested DIR parties, well in advance of a submission deadline, will ensure that appropriate planning and approvals occur without undue complications or risk of error and oversight. For individuals who may be submitting an application for the first time, appropriate planning will help to ensure the candidate’s chances of success are maximized.

Notifications	Federal		Non-Federal
Required action marked with *	Fellow	PI	Fellow	PI
Intent to apply, advance notice	*	*	*	*
Meet with Director, OE	* 5-6mo lead		* 2-3mo lead
SD approval to apply	*	*	*	*

2 Months before:
NIH eRA Commons Account	*	*
SD letter of support/institutional commitment	*	*	*	*

Two weeks before:
Review of completed app by SD	*	*	*	*
Review of completed app by OE	*		*
Review of budget by AMB		*		*

Submission:
72 hours minimum before, for grants.gov	*	*
72 hours before, SD signature if applicable			*	*

Financial Planning
At time of submission, with AMB		*		*

Receipt of Grant
Notification of OSD & AMB of receipt of award	*	*	*	*

Guidance on Selected Topics

Intellectual Property

The OSD, OE, and AMB refers all grant agreements to the NIH Office of General Counsel for review and negotiation of intellectual property (IP) clauses and other terms that may be in conflict with federal regulations. All applicants are strongly urged to review the Terms and Conditions of a grant prior to submission of an application, in the event there are explicit prohibitions affecting a federal employee broadly or at NIH in particular.

To ensure that we are in compliance with the IP clauses and agreements of many awards, a fellowship application must contain the following language:

“If the fellowship is awarded, the terms of the fellowship are subject to review by the NICHD and its advisors in the NIH Office of General Counsel prior to formal acceptance of the award.”

Nonfederal Grants

For applications from senior and tenure-track investigators, the investigator must submit the completed application in advance (see TIMETABLE) to the OSD for review and signoff by the SD. The Principal Investigators (PI) will be notified by email of the approval, at which point the application may be submitted. An electric copy of all applications will be maintained in a shared drive in the OSD and OE. All investigator applications and awards will also be tracked by the OSD, so that we have a comprehensive profile of grants activity within the DIR.

For applications from fellows, the fellow submits the completed application in advance (see TIMETABLE) to the OE for review and to obtain necessary signatures. The fellow will be notified by email of the approval, at which point the application may be submitted. An electronic copy of all applications will be maintained in a shared drive in the OSD and OE. All fellow applications and awards will also be tracked by the OE, so that we have a comprehensive profile of grants activity within the DIR.

Careful, advance review of the budget with AMB, especially for complex multi-institution applications involving multiple PIs, is required. Options for personnel support (e.g., contractual, trainees, or collaborators/volunteers) need to be discussed with the Administrative Officer (AO) prior to submission to identify the most beneficial approaches, for administrative ease and to minimize overhead charges.

Federal Grants

All applications must be routed through the OE, unless otherwise agreed to. The Signing Officer (SO) for NICHD intramural applications to any agency of the government is the SD, with delegation to the Authorized Organizational Representative, the Director, OE.

Careful, advance review of the budget with AMB, especially for complex multi-institution applications involving multiple PIs, is required. Options for personnel support (e.g., contractual or collaborators/volunteers) need to be discussed with the AO prior to submission to identify the most beneficial approaches, for administrative ease and to minimize overhead charges.

Practical Tips on Grant Submission

eRA Commons: To submit a grant to NIH, you must have an eRA Commons account (your “credential” on NIH applications), affiliated with NICHD. Dr. Yvette Pittman creates accounts for the DIR. This is how you track the progress of your applications through the NIH system. Your role may need to be added to your profile, depending upon the grant (e.g., PI, sponsor).
Application forms: Download the application forms directly from grants.gov for the specific NIH Award, because these are regularly modified and updated.
The DIR has standard information that must be entered on the cover page of your application (DUNS number, DIR title, EIN, etc.). Be sure to obtain from Dr. Yvette Pittman in the OE.
OSD review and signoff is still required for investigators wishing to serve as a collaborator or consultant on a grant application and will not receive any funding. Typically, the investigator is asked to provide a letter confirming their role in the project, and this letter should include an approval line for the SD signoff.

Receipt of Outside Funding

Grant funding (DIR PI and/or DIR fellows): For grants that are awarded, the standard processing is to have these funds reviewed by the Office of General Counsel (OGC) and the Ethics office. Once cleared, they are accepted through the NICHD Budget Office and processed as a “gift.” These funds follow the same rules and regulations as appropriated funding. Please see the following guidance: https://oir.nih.gov/sourcebook/ethical-conduct

Department of Defense/The US Army Medical Research and Materiel Command (USAMRMC)/Office of the Congressionally Directed Medical Research Program (CDMRP) : There are no prohibitions against NIH/NICHD intramural submitting applications to the CDMRP programs. The NICHD DIR and Executive Officer require that applications be routed through the OSD, which may submit an application through an approved Foundation. Based on their experience, the ease and speed with which processing of grants occurs, the competitive indirect cost rate, and their ability to manage funds or in some cases make financial transfers to the NICHD gift fund for a PI’s award, the Henry Jackson Foundation has been selected to receive and process awards to NICHD. The following provision will be included in all of their grant awards to NIH (eff. July 2013):

Notwithstanding any of the foregoing provisions, USAMRAA and the Henry Jackson Foundation understand and acknowledge that the NIH is an agency of the United States Government and, as such, the funds provided to the agency under the agreement constitute a grant, and that the NIH intends to comply with the foregoing terms and conditions only to the extent they are consistent with applicable law, regulation, and policy.

Fellows: K99/R00 Awards

For any fellow who is planning an academic career, the ability to write a successful grant application requires planning and practice, mentoring, and acquisition of skills and new knowledge. Both through NICHD’s OE and the central Office of Intramural Training and Education (OITE), grantsmanship and writing workshops are offered annually. Fellows are encouraged to consult their mentors and the OE at least 5-6 months in advance, to formulate their training plan in this area. The K99/R00 Pathway to Independence award is the premier career transition award, open both to domestic and to international fellows.

Fellows must apply before the conclusion of their fourth year of postdoc training including for a resubmission, effective February 2014. Detailed support materials and consultations are available through the NICHD OE.

Other fellowship opportunities may be accessed through Science Careers at http://www.sciencemag.org/careers/where-search-funding and on the NICHD fellows wiki site https://science.nichd.nih.gov/confluence/display/fellows/Funding+Opportunities+for+NIH+Intramural+Fellows. Eligibility requirements should be reviewed carefully, because not all programs are open to trainees in federal government labs; some awards are restricted to citizens and permanent residents.

Last updated, July 2020