READING THE FUNDING OPPORTUNITY ANNOUNCEMENT (FOA)

Transcription

1 READING THE FUNDING OPPORTUNITY ANNOUNCEMENT (FOA) Overview of Federal, Non-Profit and Private Foundation Funding Opportunity Announcements Office of Sponsored Projects

2 WHAT IS A FUNDING OPPORTUNITY ANNOUNCEMENT? Funding Opportunity Announcement (FOA) is a publicly available document by which a United States Federal Agency makes known it s intentions to award discretionary grants or cooperative agreements, usually as a result of competition for funds. FOA may also be known as Program Announcements, Request for Applications, Notices of Funding Availability, Solicitations, or other names depending on the agency and type of program. Non-Profit and Private grant-making organizations use similar vocabulary to announce their grant programs.

3 WHERE CAN I FIND AVAILABLE FUNDING OPPORTUNITIES? Grants.gov Grants.gov is the source to FIND and APPLY for federal grants. All discretionary grants offered by the 26 federal grant-making agencies can be found on this site. FedConnect FedConnect portal is a one-stop location where you can find opportunities for federal contracts as well as opportunities for grants and assistance funds. proposalcentral proposalcentral is a e-grantmaking website that is shared by many government, non-profit, and private grant-making organizations. The site allows you to search for Funding Opportunities and apply through their portal. NIH Guide The NIH Guide for Grants and Contracts is the official publication for NIH medical and behavioral research grant policies, guidelines and funding opportunities. National Science Foundation (NSF) - Funding The NSF Funding Site list all the available Funding Opportunities. You can search by Recently Announced Funding Opportunities, Upcoming Due Dates, Programs Areas, etc.

4 WHERE CAN I FIND AVAILABLE FUNDING OPPORTUNITIES? CONT. Community of Science (CoS) The Community of Science (CoS) Funding Opportunities is a frequently updated database of announcements for funding opportunities, including grants, fellowships, and awards from governmental agencies, private foundations, and international sources. Please contact Amy Robb at the ADVANCE Program for help with additional database features or for any questions or concerns.

5 TYPES OF FOAS National Institutes of Health (NIH): Program Announcement/Program Announcements (PA) Identifies areas of increased priority and/or emphasis on particular funding mechanisms for a specific area of science. Used for common grant mechanisms by applicants who wish to submit unsolicited or investigator-initiated applications. Usually accepted on standard receipt dates on an on-going basis. Request for Applications (RFA) Identifies a more narrowly defined area for which one or more agencies have set aside funds for awarding grants. Usually has a single receipt date specified in the RFA. Request for Proposal (RFP) Solicits contract proposals. An RFP usually has one receipt date, as specified in RFP solicitation.

6 TYPES OF FOAS CONT. National Science Foundation (NSF): Program Description (PD) PD is usually NSF specific and includes broad, general descriptions of programs and activities in NSF Directorates/Offices and Divisions. Program Solicitation (NSF) Program Solicitations refer to formal NSF publications that encourage the submission of proposals in specific program areas of interest to NSF. They generally are more focused than program descriptions, and normally apply for a limited period of time.

7 TYPES OF FOAS CONT. Department of Defense (DoD): Broad Agency Announcement (BAA) A BAA announces an agency's research interests including criteria for selecting proposals and soliciting the participation of all offerors capable of satisfying the government's needs.

8 TYPES OF FOAS CONT. Private and Non-Profit Agencies: Private and Non-Profit grant-making organizations do not usually have defined FOA Type as Federal Agencies do. The Type of FOA will often vary from one private agency to another

9 WHAT IS ELSE IS NEEDED BESIDES THE FOA TO COMPLETE A PROPOSAL SUBMISSION? Many Agencies, in addition to issuing a FOA, will also publish General Guidelines that must be used in conjunction with the FOA. Both, the FOA and General Guide must be read and instructions must be followed. If the instructions in the General Guide differ from those in the FOA, the FOA takes precedence. Below are examples of Agencies General Guides: National Institutes of Health (NIH) and other Public Health Service (PHS) Agencies SF424 (R&R) Application Guides National Science Foundation (NSF) Grant Proposal Guide & Grants.gov Application Guide (A Guide for Preparation and Submission of NSF Applications via Grants.gov) Department of Defense Congressionally Directed Medical Research Programs (DOD CDMRP) General Application Instructions Private and Non-Profit Agencies will often publish on their website Established Policies and Procedures that apply to all the FOAs that they issue ***Note*** Each FOA will reference the Agency's General Guide if such is available. As a general rule, you always want to read any guidance the FOA references within the document.

10 FORMATOFTHEFOAS? Many of the Federal Agencies issue their FOAs using a standard format. This allows for consistency within the Agency and also, standardizes the information that is required. Private and Non-Profit Agencies have a less defined process and the format will often vary from one FOA to another.

11 NATIONAL INSTITUTES OF HEALTH (NIH) FORMAT NIH issues all their FOAs (PAs, RFPs, RFAs) using the following format: Part 1. Overview Information this part provides a quick snapshot of the FOA, summarizing some of the key elements in a table format. Part 2. Full Text of the announcement this part describes the FOA in detail. Within this section there are the following subsections: 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

12 NATIONAL SCIENCE FOUNDATION (NSF) FORMAT NSF issues their FOAs using either the Program Description format or Program Solicitations Program Description are usually 1-2 pages in length and utilize the generic eligibility and proposal preparation instructions specified in the Grant Proposal Guide (GPG), as well as the National Science Board (NSB) approved merit review criteria. A PD is composed of the following sections: Contacts Program Guidelines Due Dates Synopsis Related URLs This Program is Part of

13 NATIONAL SCIENCE FOUNDATION (NSF) FORMAT CONT. Program Solicitations - are issued when the funding opportunity has one or more of the following features: Provides supplemental proposal preparation guidance or deviates from the guidelines established in the Grant Proposal Guide; Contains additional specially crafted review criteria relevant to the program; Requires submission of a letter of intent or preliminary proposal; Deviates from (or restricts) the standard categories of proposers; Limits the number of proposals that may be submitted by any organization and/or researcher/educator; Specifies additional award conditions or reporting requirements; Anticipates use of a cooperative agreement; or Permits inclusion of the payment of fees to awardees, when appropriate.

14 DEPARTMENT OF DEFENSE (DOD) FORMAT Department of Defense agencies (ARO, ONR, AFOSR, DARPA) issue their FOAs using Broad Agency Announcement mechanisms. Sample Format of the BAA: General Information/Overview Funding opportunity description Award Information Eligibility Information Application and Submission Information (often divided into Technical Proposal and Cost Proposal) Evaluation Information/Application Review Award Administration Information Agency Contacts Other Information

15 PRIVATE AND NON-PROFIT FOA FORMAT Private and Non-Profit grant-making organizations do not usually have defined FOA format as Federal Agencies do. The format and information requested will often vary from one FOA to another.

16 THE KEY Is to read the FOA thoroughly no matter what type of FOA you are responding to! And

17 IDENTIFY THE KEY INFORMATION No matter what type of FOA you are applying for, you always want to make sure you located the following information within the announcement: Eligibility (Institutional and Individual) Due Date Is a Letter of Intent/Pre-Application Required? If so, what is the due date? Earliest/Anticipated Start Date Funding Instrument (Grant, Contract, Training Grant, etc.) Type of Program (R series, K series, Doctoral Dissertations, MURI, Etc.) Application Types Allowed (New, Resubmission, Revision, etc.) Project Period/Minimum and Maximum Number of Years for the Project Funds Available/Budget Restrictions/Cost Sharing Requirements Content and Form of Application Submission/Required Attachments (including formatting and page limits) Special Requirements

18 What are the Institutional and Individual Eligibility Criteria? Since Brown University is the Applicant Organization, it is essential that Brown meets the Institutional Eligibility Criteria (e.g. Higher Education Institutions, Nonprofits with 501(c)(3) IRS Status). If Brown University is eligibly to apply, then you want to ensure that the PI(s) meet the Individual Eligibility Criteria (e.g. must hold a PhD degree). YoucansubmitaproposalinresponsetoFOA,onlyifboth,the University and the PI meet the eligibility criteria. This information will often appear in the FOA under the Eligibility Information Section.

19 What are the Institutional and Individual Eligibility Criteria? Cont. Also, many funding agencies and foundations have established restricted submission policies and will only review a limited number of applications from each institution. These institutional limits are outlined clearly in the eligibility requirements of the FOA. The Vice President for Research at Brown, in coordination with the Dean of Medicine and Biological Sciences and the Dean of the Faculty, has established processes to facilitate the selection and submission of applications for programs with restricted submission policies. This Policy can be viewed at: ***NOTE*** Applications or nominations submitted without proper institutional endorsement, or submission of a number over the limit, may result in automatic rejection of all Brown proposals.

20 What is the Proposal Due Date? When is the proposal due to the Sponsor. This information is critical as submissions after the due date will often be returned without review. Also, keep in mind that in addition to the Sponsor Due Date, Brown University has an internal deadline that applies to all proposals (5 business days prior to the Sponsor Due Date). This information will often appear in the FOA under the Key Dates Section.

21 Is a Letter of Intent/Pre-Application Required? Letter of Intent is usually a brief letter explaining the PI s idea for the project submitted to a potential funding source as an initial contact. Depending on the FOA, a Letter of Intent may be: Required (What is the Due Date?) Encouraged, but not required Not Required/Not Applicable Often when a letter is required, individuals will receive an invitation to submit a full proposal. In that instance, a full proposal cannot be submitted without that invitation.

22 What is the Earliest/Anticipated Start Date? The earliest/anticipated start date is the date that the PI can propose the project to start. This is also the date you anticipate the funding to start. Same agencies will be very specific about this date (e.g. July 2012) while others will state that awards are anticipated to be made 6-9 months after application receipt (e.g. NSF). If specific date is provided it will often appear in the FOA under the Key Dates Section. Otherwise you may find this information under Award Section of the FOA.

23 What is the Funding Instrument? There are three basic funding mechanisms used to support sponsored programs: Grants Cooperative Agreements Contracts Since each particular type of funding mechanism carries with it different characteristics and objectives it is important to know at the time of the proposal what type of Funding mechanism will be used. This information will be usually provided under the Award Information Section of the FOA.

24 What is the Funding Instrument? Cont. Grant Purpose is to transfer money, property, services or anything of value to recipient in order to accomplish a public purpose No substantial involvement is anticipated between government and recipient during performance of activity Considered Assistance- generally, what the proposer wants to do. Cooperative Agreement Purpose is to transfer money, property, services or anything of value to recipient in order to accomplish a public purpose Substantial involvement is anticipated between government and recipient during performance of activity Considered Assistance- generally, what the proposer wants to do. Contract Principle purpose is to acquire property or services for direct benefit or use of the federal government Government determines that procurement contract is appropriate Very restrictive, can have high demands No expectation of cost sharing Federal Acquisition Regulations (FAR) applies

25 What Type of Program is Supported? Some agencies use various activity codes/names to differentiate the wide variety of research-related programs that they support, for example: Research Grants Career Development Awards, Research Training and Fellowships Doctoral Dissertations Small Business Innovation Research & Small Business Technology Transfer (SBIR/STTR) It is important to know the Program Type as each Program has a specific purpose that it intends to support (e.g. small scale projects, travel, fellowship support) and may have very specific requirements. This information will be usually provided next to the FOA Title or it may be incorporated into the FOA Title.

26 What Type of Program is Supported? Cont. NIH uses a standard notation (e.g. R01, K08) to identify the type of research grant program a particular FOA supports. Each activity code represents a specific grants program, for example: R01 R03 R21 P01 K08 T32 NIH Research Project Grant Program (R01) NIH Small Grant Program (R03) NIH Exploratory/Developmental Research Grant Award Research Program Project Grant Research Career Program - Clinical Investigator Award (CIA) Training Programs - Institutional National Research Service Award A comprehensive list of all NIH activity codes and the description for each is also available at the following site:

27 What Type of Program is Supported? Cont. NSF and DoD will often issue a specific FOA for the type of Program it intends to support and also include it in the title of the FOA. For example: Major Instrumentation Program (MRI) Instrument Acquisition or Development Doctoral Dissertation Research Improvements Grants (DDRIG) Integrative Graduate Education and research Traineeship Program (IGERT) Faculty Early Career Development Program (CAREER) Research Experience for Undergraduates (REU) Postdoctoral Fellowship Program (PFP)

28 What Type of Program is Supported? Cont. Non-Profit Agencies once again, have a less defined process for indentifying the Type of Program the FOAs support. The Type of Program supported will often vary from one FOA to another and from one agencies to the next.

29 What Type of Applications may be submitted? Before starting the proposal application you want to make sure that the type of application is appropriate for the project being proposed. There are several application types are and application types and they are primarily used by federal agencies; however, other types of sponsors may have similar applications.

30 What Type of Applications may be submitted? Pre-application, preliminary, pre-proposal or letter of intent A preproposal establishes communication between the sponsor and the applicant to determine whether a full proposal should be submitted and to obtain advice that will improve the proposal's chance of success. New Applications for projects that have not been previously funded by the sponsor. Resubmission Application that has been previously submitted but not funded. Renewal If awarded, the extended period of support is considered an extension of the original proposal. Supplemental A request for additional funds for a project. This information will be usually provided under the Award Information Section of the FOA.

31 What is the Project Period? At the proposal stage It is important to ask: What is the Time Frame? How much time will it take to complete the project objectives? Because Sponsors often limit the length of time they will offer funding for a given project. Do you need 3 months, 1 year, 5 years? If you need a longer time frame than is allowed by a funder, can your project/program be phased? This information will be usually provided under the Award Information Section of the FOA.

32 What is the Available Funding and are there any Budgetary Restrictions? At the proposal stage it is important to ask: What resources (people/expertise, partners, equipment, etc.) are need to accomplish the objectives(s) of the proposed project? What resources are already available? Because Sponsors often restrict the type of support, e.g., personnel, equipment, travel, etc., and the total amount that is available for any project (maximum Direct, Indirect or Total Cost). This information will be usually provided under the Award Information Section and more specifically Funding Restrictions Section of the FOA.

33 Is Cost Sharing Required? Sometimes the Sponsor may ask that the organization applying in response to the FOA commit allowable expenses (i.e., personnel, tuition, equipment or services) for which the research grant will not be charged. These expenses and the appropriate source must be identified at the proposal stage and appropriate departmental/institutional approvals must be obtained prior to proposal submission. This information will be usually provided under the Eligibility Information Section of the FOA. To learn more about Cost Sharing please register for Cost Sharing on Sponsored Project Training offered by OSP.

34 What are the proposal Content and Format Requirements? Keep in mind that conformance with Sponsor proposal Format Instructions is just as important as conformance with proposal Content Instructions. Proposal Content: What are forms (e.g. Modular Budget Form, Subaward Budget Form, etc.) and attachments required (e.g. Specific Aims, Abstract, Project Description, References Cited, Facilities and Equipment, Biosketches for Key Personnel, etc.)?

35 What are the proposal Content and Format Requirements? Cont. Proposal Format: Page limits Font, Spacing and Margin Requirements This information will be usually provided under the Application and Submission Information Section of the FOA. Also, in some FOAs you may see a statement similar to this one, directing you to the Agency s General Guidelines: It is critical that applicants follow the instructions in 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.

36 Are there any Special Requirements? Sometimes FOA will request Specific Information such as: Additional Information in the Appendix PI Effort Requirement Cover Letter from the PI and/or Institutional Signing Official (often seen in private FOAs) In Contract FOAs, you will often see the Terms and Conditions which will need to be reviewed by OSP prior to proposal submission. This information will be usually provided under Other/Special Submission Requirements Section of the FOA.

37 What is the submission mechanism? At the proposal stage it is important to know how the proposal will be submitted to the sponsor. Via S-2-S (Coeus/Grants.gov); Directly to the Agency (e.g. NSF Collaborative Proposals must be submitted via Fast Lane); Other portals such as proposalcentral; ed (common with Private Foundations); and/or Regular Mail (how many copies, staples, paper clips) This information will be usually provided under Required Registrations/Submission Section of the FOA.

38 What is the submission mechanism? Cont. Keep in mind that when submitting proposals via electronic submission portals there will often be a registration requirement for the organization and/or PI. Also affiliation of the PI to Brown University may also be required. The FOA will specify if such registration is required. Please contact your Contract Administrator if you are not sure whether Brown University has the required registration as Organizational Registrations are maintained by OSP. This information will be usually provided under Eligibility Section of the FOA.

39 Examples NIH Research Project Grant (Parent R01) NSF Sample Program Description DoD Army Research Office Broad Agency Announcement For Basic and Applied Scientific Research Non-Profit Sample Request for Proposal

40 Jeopardy