The Announcement (FOA) and the NOA What Do They Tell You?

1. National Council of University Research Administrators The Announcement (FOA) and the NOA What Do They Tell You?

2. @ 2014 National Council of University Research Administrators John Philipps Sr. Grants and Contracts Manager philipps@uchicago.edu Bonnie Dee Senior Grant & Budget Specialist deebonnie@wustl.edu

3. At the end of this session, you’ll be able to… Identify common web sites to locate funding opportunities Clearly recognize details/ requirements in the announcement Recognize terms and conditions that are usually not acceptable Review and understand the award notice

4. FEDERAL FUNDING OPPORTUNITY ANNOUNCEMENTS (FOAs)

5. Where is the Money?

6. Whereis the Money? Searching for the Funding Opportunity Announcement (FOA) What is the FOA Primary Federal Sources (NIH, NSF, DOD, DOE) Online funding links Grants.gov http://www.grants.gov/web/grants/home.html;jsessionid=sqxgT4VJ9nvfsnFJVChJhQ8Dk4F3Szw0c7knY8WvzNymXRJxnsTl The National Institutes of Health (NIH) Office of Extramural Research (OER) http://grants.nih.gov/grants/guide/index.html

7. Where is the Money? Searching for the Funding Opportunity Announcement (FOA) National Science Foundation www.nsf.gov/funding/ Other federal agencies, go directly to their website E-mail Announcements specific and general provided by the various Federal agencies through online subscription Weekly NIH Funding Opportunities and Notices (RFAs/PAs/Notices) Institution website for Announcements and Funding Opportunities

8. How do I get some?

9. Opportunity Types

10. Types of Funding Opportunity Announcements(Federal Agencies) PA RFA BAA RFP RFQ NOT

11. NIH Sample Numbering System PA (PA-13-008) RFA (RFA-CA-13-004) Notice (NOT-OD-12-025) BAA (NOT-AI-02-059) (BAA-NIH-NIAID-NCRR-DMID-03-036)

12. Reviewing the Grant Announcement Content of NIH Grant/Cooperative Agreement Announcement (FOA): Part 1. Overview Information • FOA title • key dates • related notices • CFDA number • opportunity purpose

13. Reviewing the Grant Announcement Part 2. Full Text of the Announcement Section I: Funding Opportunity Description • provides background information • goals of program • post–application requirements and expectations Section II: Award Information • information on the anticipated funding amount • number of awards • length of project periods • for cooperative agreements • description of institutes’ anticipated substantial involvement in project

14. Reviewing the Grant Announcement Section III: Eligibility Information • describes entities eligible to apply • application disqualification factors • any cost-sharing requirements • number of applications allowed per institution Section IV: Application and Submission Information • application and submission requirements  Section V: Application Review Information • criteria reviewers will use to evaluate and score applications • information on the application review and award selection process • anticipated announcement and award dates

15. Reviewing the Grant Announcement Section VI: Award Administration Information • information on award notices • administrative and national policy requirements • post-award reporting requirements Section VII: Agency Contacts • program office contact • grants management contact • application submission contacts Section VIII: Other Information • award authority and regulations • additional information • references to helpful websites • application checklist

16. Content of NIH Contract Announcement (RFP) Part I Schedule Section A: Solicitation/Contract Form • RFP number • announcement issue date • project title • issuer • submission information • solicitation contact Section B: Supplies/Services & Prices/Costs • summary of procurement services • contractor cost summary estimate • direct cost provisions • advance understandings • Section C: Descriptions/Specifications/ • Work Statement • statement of Work • reporting requirements • Section D: Packaging and • Marking • deliverable specifications for contractor

17. Content of NIH Contract Announcement (RFP) Section E: Inspection and Acceptance • who performs for government and where Section F: Deliveries or Performance • period of performance • level of effort by contractor • clauses incorporated by reference

18. Content of NIH Contract Announcement (RFP) • Section G: Contract Administration Data • identification of key government personnel • identification of contractor key personnel • instructions for invoicing and financial reporting • government property provisions • contractor performance evaluation reporting • Section H: Special Contractor Requirements • subcontracting provisions • information and physical security access provisions • accessibility to electronic and information standards • contractor FCOI policy requirements • other specified general policies

19. Content of NIH Contract Announcement (RFP) Part II - Section I: Contract Clauses • based upon organizational structure and cost type • additional contract clauses not provided above Part III - Section J: List of Attachments • Solicitation • Technical proposal • Business proposal • Informational

20. Content of NIH Contract Announcement (RFP) PART IV – Representations and Instructions Section K: Representations/Certifications Section L: Instructions, Conditions, and Notices to Offerors • General • Technical Proposal • Business Proposal Section M: Evaluation Factors for Award • General • Cost/price • Data sharing • Technical criteria • Past performance • Small Disadvantaged Business Participation

21. Contract Proposal Preparation

22. Contract Exception Letter Documents the recipients concerns with specific proposed terms and conditions If not specified when submitting the proposal may not be eligible for negotiation after award is made

23. Troublesome Clauses Academic • Publication • Confidentiality and Non-Disclosure • Publicity/Disclosure of Sponsorship • Restricted, Proprietary, and Classified Research • Rights in Data • Intellectual Property/Work for Hire/Rights in Data Financial • Payment Provisions • Documentation and Reporting • Ownership of Equipment Financial • Payment • Documentation and reporting • Equipment ownership • Audit Legal • Indemnification • Insurance • Choice of law • Arbitration • Termination Management • Key personnel/staff approval • Technical direction and changes • Deliverables inspection and acceptance

24. FEDERAL FUNDING NOTICE OF AWARD (NOAs)

26. Reviewing the Award Document • Grants/Collaborations • What is a Notice of Award (NoA)? • Legally binding document • Award data and fiscal information • Grant payment info • Terms and conditions of award • Grantee accepts terms and conditions of award when it begins to draw down funds from the Payment Management System (PMS)

27. What is the Notice of Award? • Legally Binding Document • Identifies grant number, grantee, PI • Establishes funding level, support period • Sets forth terms and conditions • Includes NIH Contact Information for assigned Program Director & Grants Management Specialist • E-mailed to the grantee-provided address • Available in eRA Commons Status

28. Components of the NOA • Section I: Award Data • Summary totals for current and future years • Fiscal year of award • Indicates whether an unobligated balance has been applied to the award amount • Co-funding by another NIH Institute/Center or Office • Section II: Payment/Hotline Information • Grant Payment Information • OIG Hotline Information • Other terms/info that apply to all awards

29. NOA – Terms and Conditions NoA Section III: Terms & Conditions Grant program legislation and regulations Restrictions on the expenditure of funds in appropriation acts 45 CFR 74 or 92 as applicable NIH Grants Policy Statement Federal Demonstration Partnership institutions noted Carryover - automatic or prior approval Included/excluded from Streamlined Noncompeting Award Process (SNAP) Phase III Clinical Trials (when applicable) ClinicalTrials.gov

30. NOA – Terms and Conditions NoA Section III: Terms & Conditions cont. • Requirements for DUNS # and CCR registration • Transparency Act • Multi-Year Funded • Public Access • Closeout term (when applicable) • Co-funding (when applicable) • Program Income NoA Section IV: IC Special Terms and Conditions • Cooperative Agreement • Restrictive terms • Key personnel • Information items • Staff Contact Information • Spreadsheet Summary

31. Contract Negotiations

32. So You Have the Contract…Why Don’t You Sign it Already?!?!?!?

33. FOUNDATION FUNDING OPPORTUNITY ANNOUNCEMENTS (FOAs)

34. Foundations – Finding Funding Usually called RFAs (if anything) No centralized search method University Foundation Relations office Foundation Directory Online – fee based https://fconline.foundationcenter.org/ ScanGrants– http://www.scangrants.com/

35. Foundation FOA Sample Language Miscellaneous Usually no set deadline schedule Submission via online website or email – rarely through sponsored research office Biosketch page length restrictions can vary from 1 page to 6 pages Check FOA for listing of webinars or conference calls being offered to assist with submission

36. Foundation FOA Sample Language Miscellaneous Formatting and page limits vary widely depending on agency Some agency submissions don’t require institutional signature Unsolicited applications are rarely allowed. Must have been invited to submit Budget templates vary widely depending on the agency

37. A: Sit All DaySTAND UP • B: Stand All DaySTAY SEATED

38. Foundation FOA Sample Language Budget Guidelines – Indirect Costs Although indirect costs are not encouraged, we allow up to 10% Indirect costs, tuition, travel, professional membership dues, general office supplies, institutional administrative charges, publication charges and any other expenses not directly related to the project are not allowable expenses The foundation does not allow overhead to be charged on incentive costs

39. Foundation FOA Sample Language Budget Guidelines – Indirect Costs The combined expense of administrative costs and fringe benefits cannot exceed 20% of the total budget The foundation does not allow overhead to be calculated on subawards Indirect expense is allowed at 15% of salary expense only

40. Foundation FOA Sample Language Budget Guidelines – Indirect Costs Indirect costs may not exceed 15% of total direct costs including indirects costs for subcontracts The foundation does not pay indirect costs on any proposal requesting an award of $75,000 or less TAKE AWAY: Scan FOA carefully for any restrictions on indirect costs

41. Foundation FOA Sample Language Budget Guidelines – Other The project has a single three-year budget period 75% of the requested funding must be distributed as stipends to graduate students Applicants may apply for a ceiling amount of $480,275, including indirects, per year

42. Foundation FOA Sample Language Budget Guidelines – Other Travel costs are not permitted Applicants must demonstrate a minimum 25% effort for 12 months for both years of funding. Time cannot be apportioned differently in the summer TAKE AWAY: Read budgeting section of FOA very carefully

43. Foundation FOA Sample Language Eligibility Applications for projects which will be conducted outside of the United States will not be considered for this RFA. Principal investigators must be between 5 and 15 years post Ph.D. Does your organization have an annual operating budget of at least $100,000?

44. A: Be too cold STAND UP B: Be too hot STAY SEATED

45. Foundation FOA Sample Language Submitting the Proposal The total size of all uploaded files may not exceed the equivalent of 80 pages when printed The link below will allow you to enter the foundation’s new Grantee Portal. All applications, reports and invoices will be submitted via the portal The proposal should indicate how costs not sought from the foundation will be covered

46. Foundation FOA Sample Language Submitting the Proposal The foundation does not accept unsolicited proposals You will be required to attach electronic copies of • Board of Directors and Organization’s Senior Staff List • Organization’s Most Recent Audited Financial Statements • Most Recent IRS Form 990

47. Foundation FOA Sample Language Submitting the Proposal Wide variety in font, margins, template use We require you to provide your bank information for ACH electronic payments and that you also attach a copy of a voided check or letter from your bank TAKE AWAY: Submission requirements appear in several different places in the FOA – read carefully

48. Foundation FOA Sample Language Cost Sharing Applicant is required to contribute resources from own, private or local sources. There is no minimum or maximum amount but some must be provided (USAID) Cost-sharing/matching is not required for this program A letter is required from the Dean committing matching funds for at least 100% of the total budget amount requested

49. THE FOUNDATION NOTICE OF AWARD (NOA)

50. Foundation NOA Sample Language Publishing/ Use of Name The foundation reserves the right to review and approve the possible use of its name. University researchers are free to publish the results of research supported thereunder, however Principal Investigator shall supply a copy of any such publication(s) to foundation sixty (60) days prior to release.