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					Reviewing the RFA:
   A Case Study


                         David E. Lynch, Mayo Clinic
Jennifer L. Rosa, Children’s Hospital of Philadelphia
Welcome and introductions
In this session we will:
• Introduce you to the various types of federal
  procurement methods for research and development
• Agencies/sponsors and typical funding instruments
• Compare/contrast and see which will best fit (and
  see if we can influence the decision)
• Small group exercise
Types of Procurement for R&D
• Request for Applications (RFA)
• Request for Proposals (RFP)
• Broad Agency Announcements (BAA)
• Program Announcements (PA)
• Invitation for Bid (IFB)
Request for Applications (RFA)
Announcements that indicate the availability of
  funds for a topic of specific interest to the
  sponsor. Proposals submitted in response to
  RFAs generally result in the award of a grant.
  Specific grant announcements may be
  published in the Federal Register and/or
  sponsor publications.
Request for Proposals (RFP)
Announcements that specify a topic of research,
  methods to be used, products to be delivered,
  and appropriate applicants to be sought.
  Proposals submitted in response to RFPs
  generally result in the award of a contract.
  Federal RFP notices are published in the
  Commerce Business Daily.
Broad Agency Announcement (BAA)
An announcement of a federal agency’s general
  research interests that invites proposals and
  specifies the general terms and conditions
  under which an award may be made.
Program Announcement (PA)
An announcement of a federal agency’s general
  research interests that invites proposals and
  specifies the general terms and conditions
  under which an award may be made.
Invitation for Bid (IFB)
A solicitation issued to prospective bidders. An
  IFB describes what is required and how the
  bidders will be evaluated. Award is based on
  the lowest bid, without negotiation.
Types of Awards

• Grants (Patron)
• Contracts (Purchaser)
• Cooperative Agreements (Partner)
Types of Awards (continued)

Grant
• Investigator initiated, with limited (if any)
  agency programmatic involvement
• Award providing “assistance”
• PI retains flexibility
Types of Awards (continued)
Contract
• Legally binding
• Supplies/services provide direct benefit to
  government
• Procurement mechanism
• Government has significant oversight of
  project
• Announced via RFP, RFQ, solicitation, PO (if
  <$100K)
Types of Awards (continued)

Cooperative Agreement
• Project goals are developed by agency, which
  shares in programmatic involvement
• Also considered to be an “assistance”
  mechanism
Source: Research Administrators
Certification Council (RACC)      Grant                           Cooperative                    Contract
                                                                  Agreement
Basic Purpose                     Provide assistance with few     Provide assistance with        Procure tangible goods
                                  restrictions                    substantial involvement        and services
                                                                  between parties

Solicitation Method               Application kit or guidelines   Request for Application        Request for Proposal or
                                                                                                 Quote
Award Instrument                  Short, may refer to general     Describes involvement, party   Long, detailed specs,
                                  conditions                      relationships                  clauses, regulations and
                                                                                                 expected result
Involvement by                    Generally none                  Substantial                    May be extensive
Sponsor
Rebudgeting                       Flexible                        Usually flexible               More restrictive
Equipment Title                   Grantee                         Varies                         Varies
Performance Period                Specified in Grant              Specified in Coop. Agreement   Specified in Contract

Patent Rights                     Usually favor recipient         May be involved                Provision in Contract
Publications                      May ask to be informed          May ask to be informed         May require prior
                                                                                                 review/approval
Technical                         Annual summary report           No more than quarterly         Detailed, may be monthly
Types of Sponsors
  – Federal, State and Local Government
  – Private Foundations
  – Associations and Societies
  – Industry
  – International Sponsors
Federal Funding Sources
• National Institutes of Health (NIH)
  – 27 Institutes and Centers, 24 awarding
  – PA’s, RFP’s, RFA’s
  – NIH Guide, NIH Grants Policy Statement
Federal Funding Sources
• National Science Foundation
  – 7 Directorates, 3 offices awarding
  – Grant Proposal Guide & Grant Policy Manual
Federal Funding Sources
• Department of Defense
  – Office of Naval Research (ONR), Air Force Office of
    Scientific Research (AFOSR), Army Research Office
    (ARO), Defense Advanced Research Projects
    (DARPA)
  – All utilize annual and specialized BAA mechanism
  – Each Office has individual terms and conditions
Federal Funding Sources
• Department of Energy (DOE)
  – Located in Office of Science
• National Aeronautics and Space
  Administration (NASA) and National
  Endowment for the Humanities (NEH)
  – Independent agencies
Federal Funding Sources
• Small Business Programs
   – SBIR and STTR
   – Specific eligibility
     criteria
Private Funding Sources
  – Non-Profits
     • American Heart Association, American Cancer Society,
       March of Dimes, etc
     • Each has specific application guidelines, requirements
Industry Sources
  – For-Profits
     • Pharmaceutical, Biotech
So your investigator wants to apply…..

• Identify the sponsor and specific application
• READ the guidelines thoroughly
What to look for….
  – Key dates (LOI, application due date, review dates,
    earliest start date)
  – Eligibility
     • Scientific
     • Institutional
     • Individual
What to look for…. (continued)
  – Award information
     •   Funds available
     •   Budget limitation
     •   Page limits
     •   Cost Sharing and other special criteria
  – Reporting requirements
  – Required resources
     • Sufficient personnel, lab space, equipment
Proposal preparation

• Scientific proposal

• Business proposal (sometimes)
Proposal preparation

Cost Basis

• Cost-reimbursement

• Fixed price
Budget preparation
• Sponsor requirements

• Use prescribed forms (do not assume grant
  budget forms can be used)

• Best offer, be precise, specify quantity, be
  prepared to provide detail if requested
Budget preparation

• Estimate effort

• Travel must be necessary

• No voluntary cost sharing
Budget preparation
• Consultants
• Subcontractors
  – Approved by authorized official
  – Budget detail same as offeror’s
  – Applicable documentation: certs, F&A
    agreement
  – For-profit subs may include fixed fee
 Proposal Evaluation Prior to Submission

Logistical Considerations
  •Application type
  •Period of performance
  •Personnel, effort
  •Human/animal involvement, risks
  •Terms and conditions
Proposal Evaluation Prior to Submission

  Fiscal Considerations
     •Budget
     •Fringe benefits
     •Indirect Costs
     •Other facilities/core use
     •Cost sharing
     •Subcontracts
Proposal Evaluation Prior to Submission

•   Is all key institutional information accurate?
•   Does the budget meet the guidelines?
•   Is the science cohesive within the page limitation?
•   Are there any obvious typos/errors?
•   Is all required information provided/attached?
•   Have all appropriate parties signed off?
Proposal Evaluation by Sponsor
• Technical review
• Cost, price, management analysis
• Past performance
• Site visit
• Pre-award discussions
• Final proposal revision
When you return to your desk…..
Contracts differ significantly from grants

Budgets and invoicing are closely scrutinized

Task orientation vs. advancing the science
When you return to your desk…..

Contracts require cultural changes in academia

Scientific <-> Administrative interrelationships

Requesting/obtaining approvals
When you return to your desk…..

Detailed, frequent reporting requirements

Increased administrative workload
When you meet with your scientific staff….

Be the interpreter for PI and project team

Do the same for business office staff

Empower both with knowledge and information
 resources
When you meet with your scientific staff….

Build relationships through communication and
  follow-through

Anticipate and prepare for change

Facilitate department  central research office
  communications
Be a partner with scientific staff

Be a liaison with sponsor staff

Plan, communicate, and anticipate
change
Small Group Exercise with RFA/RFP Examples

• Federal
• Foundation/Non-Profit
• Industry
Small Group Exercise - Federal
Small Group Exercise - Foundation
Small Group Exercise - Industry
In this session we have:
• Introduced you to:
   – the various types of federal procurement
     methods for research and development
   – Agencies/sponsors and typical funding
     instruments
• Compared/contrasted the mechanisms of support
• Identified the key components of an application
Think outside the box,




                 perform within the box.
Contact Information

David E. Lynch
dlynch@mayo.edu

Jennifer L. Rosa, CRA
rosaj@email.chop.edu

				
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posted:4/27/2013
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