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National Council of University Research Administrators. The Announcement (FOA) and the NOA What Do They Tell You?. John Philipps Sr. Grants and Contracts Manager [email protected] Bonnie Dee Senior Grant & Budget Specialist [email protected]

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National Council of University Research Administrators

The Announcement (FOA) and the NOA

What Do They Tell You?

@ 2014 National Council of University Research Administrators

John Philipps

Sr. Grants and Contracts Manager

[email protected]

Bonnie Dee

Senior Grant & Budget Specialist

[email protected]

at the end of this session you ll be able to
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

where is the money searching for the funding opportunity announcement foa
Whereis the Money? Searching for the Funding Opportunity Announcement (FOA)

What is the FOA

Primary Federal Sources (NIH, NSF, DOD, DOE)

Online funding links;jsessionid=sqxgT4VJ9nvfsnFJVChJhQ8Dk4F3Szw0c7knY8WvzNymXRJxnsTl

The National Institutes of Health (NIH) Office of Extramural Research (OER)


Where is the Money? Searching for the Funding Opportunity Announcement (FOA)

National Science Foundation

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

nih sample numbering system
NIH Sample Numbering System

PA (PA-13-008)

RFA (RFA-CA-13-004)

Notice (NOT-OD-12-025)

BAA (NOT-AI-02-059)


reviewing the grant announcement
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
reviewing the grant announcement1
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
reviewing the grant announcement2
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
reviewing the grant announcement3
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
content of nih contract announcement rfp
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
content of nih contract announcement rfp1
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
content of nih contract announcement rfp2
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
content of nih contract announcement rfp3
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
content of nih contract announcement rfp4
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




contract exception letter
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

troublesome clauses
Troublesome Clauses


  • 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


  • Payment Provisions
  • Documentation and Reporting
  • Ownership of Equipment


  • Payment
  • Documentation and reporting
  • Equipment ownership
  • Audit


  • Indemnification
  • Insurance
  • Choice of law
  • Arbitration
  • Termination


  • Key personnel/staff approval
  • Technical direction and changes
  • Deliverables inspection and acceptance




reviewing the award document
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)
what is the notice of award
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
components of the noa
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

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)


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





Foundations – Finding Funding

Usually called RFAs (if anything)

No centralized search method

University Foundation Relations office

Foundation Directory Online – fee based



Foundation FOA Sample Language


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


Foundation FOA Sample Language


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


A: Sit All DaySTAND UP

  • B: Stand All DaySTAY SEATED

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


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


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


Scan FOA carefully for any restrictions on indirect costs


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


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


Read budgeting section of FOA very carefully


Foundation FOA Sample Language


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?


A: Be too cold


B: Be too hot



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


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

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


Submission requirements appear in several different places in the FOA – read carefully


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







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.


Foundation NOA Sample Language

Publishing/ Use of Name

Any public announcement of this grant shall be made pursuant to the approval of the foundation.

If Grantee desires to publish the results of this Project, Foundation shall have a minimum of 15 days to review and comment upon the document before submission for publication.


Right to approve is:

Acceptable for Use of Name - Not acceptable for Publishing for Academic Institutions


Foundation NOA Sample Language

Budgeting/ Rebudgeting/ Use of Funds

If the Grantee seeks to revise a grant budget line item by more than 10 percent, and/or that line item is greater than $5,000, the Grantee must seek advance approval from the foundation.

Any significant departure from the budget line items or allocations plan set forth in the proposal must be approved in writing by the program officer.


Foundation NOA Sample Language

Budgeting/ Rebudgeting/ Use of Funds

Any changes in the approved budget that exceed 15% of any line item must be approved in advance by the foundation.

All travel expenses must be pre-approved and accompanied by original receipts for reimbursement, and are not to exceed a cumulative total of $2,500.


Carefully read budget/use of funds language in the Notice of Award


Foundation NOA Language


None of the foundation’s fund will be used to make any subgrant

Foundation grant funds may not be used for re-granting to secondary organizations

Foundation grant funds may not be used for re-granting to secondary organizations except for payments for travel, lodging, and tuition


This language can appear even if a subcontract was included in the awarded proposal budget.


Foundation NOA Sample Language


Based on your proposal, it is our understanding that the final product resulting from this grant will be a series of reports and papers. As soon as this product is available, please provide us with two copies.

Interim reports are expected to be submitted 10 months after the start date.


Foundation NOA Sample Language


Grantee agrees to deliver to the Foundation both detailed expenditure reports and project status reports in a format acceptable to the Foundation….

Please keep the reports brief – progress reports should have seven or fewer pages.

Reports should not exceed 10 pages and should be double-spaced and printed in 12-point font.


Read reporting language in NOA very carefully


A: Submit and manage federal funding


B: Submit and manage non-federal funding



Foundation NOA Language

No Cost Extensions

Three months prior to the end date of a grant, an investigator may request a one-time no-cost extension (NCE) up to 6 months in order to complete necessary work. The carryover limit for NCE funds is 25% of the total award.

If a project’s work plan is delayed or cannot be completed within the original grant term, PIs should submit a written request to their program officer for a no-cost extension. All requests should include a new project end date.


Foundation NOA Language

Unspent Funds

Your organization is required to return any undispersed project funds on a prorate basis within two months after the end of the grant. Any refund of less than $100 will be waived.

The Grantee may keep unspent funds that do not exceed $1,000 at the end of the grant term and will use such funds in furtherance of its charitable purposes. The Grantee will note these unspent funds in the final financial report filed with the Foundation.


Foundation NOA Language

Unspent Funds

Any grant funds not expended or committed for the purposes of this grant will be returned to the Foundation.

If there are remaining funds after the project is complete, the principal investigator should contact his/her program officer, who will direct any further action.


Carefully read unspent fund language in the Notice of Award


A: Work in Research Administration


B: Work in anything except Research Administration