Reviewing a Funding Announcement Guide

Last updated: 06/05/2019 - 11:14am

REVIEWING A FUNDING ANNOUNCEMENT GUIDE

 

Instructions:  The purpose of this guide is to assist reviewers of funding announcements or contract solicitations in the identification of key items for consideration during proposal development.   This guide covers the most common items but is not all inclusive.  Be sure to read the full funding announcement or solicitation carefully and note page numbers as well as other pertinent information as needed.  All items in the Award Considerations section that are marked “yes” that pertain to award Terms & Conditions should be brought to Pre-Award Services' attention immediately for review.         

 

QUESTIONS

 

 

ANSWERS

 

Proposal Basics

Do you have the most recent funding announcement or contract solicitation, including all amendments, for the program you are applying to? Examples - check Grants.gov or FedBizOps; sign up for email notifications for funding announcement/solicitation updates

Yes  ____   

No   ____  

Is a letter of intent suggested?

 

Is a letter of intent required?

Yes on ________________(date/time)

 

Yes on ________________(date/time)

 

No   ____

Is a pre-proposal submission required?  If so, what type of submission (e.g. letter, white paper, quad chart, etc.)?

Yes on _________________(date/time)

No ____

When is the full proposal due?

On ____________________(date/time)

Eligibility Information

Is ASU eligible to submit a proposal? See WI-DO-05, Screen for Eligibility section and/or Institutional Eligibility Topical Guide

Yes  ____   

No   ____  

 

Is the PI eligible to submit a proposal? See WI-DO-05, Screen for Eligibility section and/or PI Eligibility Topical Guide

Yes  ____     

No   ____  

Is there a limit on the number of proposals ASU can submit?

If yes, please see WI-DO-50

Yes ____ How many? ____

No  ____

Is there a limit on the number of proposals a PI can submit?

If yes, please see WI-DO-50

Yes ____ How many? ____

No  ____

Is there a limit on the number of awards ASU can receive/hold?

If yes, and if the sponsor has not published a list of award recipients, please contact the sponsor to determine ASU’s eligibility prior to preparing proposal.

Yes ____ How many? ____

No  ____

Is there a limit on the number of awards a PI can receive/hold?

Yes ____ How many? ____

No  ____

Is there a requirement to pay an application fee in order to submit the application?

If yes, the lead financial unit on the proposal or project is responsible for managing any fees associated with applying for, or receiving  funding from, sponsors with application fee requirements.

Yes ____ What is the cost? ____

No  ____

Is there a membership required to apply for or receive funds from the sponsor?

If yes, the sponsor will determine price of membership, payment obligations and schedule. Membership Fees may be required to apply for funding or as a condition of award. The lead financial unit on the proposal or project is responsible for managing any fees associated with applying for, or receiving  funding from, sponsors with membership requirements. Contact the Proposal GCO or RAHelp@asu.edu for clarification or additional consideration as appropriate.

 

Yes ____ What is the cost? ____

No  ____

Proposal Financial Information

Is there a minimum and/or maximum total budget?

Min: $ _______

Max: $ _______

Is there a maximum budget per year?

Max/year: $_______

Are there other budget restrictions, such as required or prohibited expenses?

If yes, note below.

Yes  ____      

No   ____

Is it clear from the FOA that a certain piece of the funding will NOT come to ASU? For example:

  • Funds that will go directly to an NIH Center participating on an ASU-lead project

  • A stipend that will go directly to a fellow while some institutional costs will be managed by ASU, etc.

Yes  ____ (Exclude the non-ASU costs from the ERA budget – even if they will be included in the application budget form[s])    

No   ____ (If it is unclear whether or not ASU would manage a portion of the funds, include the costs in the ERA budget and assess F&A as appropriate in order to cover costs in the event that ASU administers all monies.)

Is there a minimum and/or maximum number of years?

Min:  ____ years

Max: ____ years

Is cost sharing or matching required?

If yes, please see Cost Sharing Sitelet for additional information.

Yes  $__________ or ____% of ___________ costs

No   ____

Are there Facilities and Administrative (F&A) costs restrictions?

If yes, please use the Facilities and Administrative (F&A) Costs Wizard.

Yes  $__________ or ____% of ___________ costs

No   ____

What is the earliest start date for the project?

On ____________________(date/time)

Is there a required end date for the project?

Yes on _________________(date/time)

No   ____

Proposal Preparation

Are there special components, sections, or documents (e.g. data management plan, IP plan, quality assurance or control plan, small business subcontracting plan, etc.) that must be included in the proposal and may require Pre-Award Services assistance/input?  

If yes, list and contact assigned Pre-Award Services' Proposal GCO.

Yes ____    

No  ____

 

Does the proposal involve transfer and/or exchange students?

Examples of programs with this type of student may be found on ASU’s Programs & Initiatives webpage.

Keywords to watch for in FOAs include:

transfer student, student exchange, study abroad, cohorts, undergraduate or graduate education program. 

If yes, Provost approval is required. Route proposal in accord with instructions in ERA Grants Workflow Tutorial

Yes ____    

No  ____

Are there special proposal page limits or formatting requirements? 

Yes ____    

No  ____

Does the proposal require ASU's University seal?

If yes, follow these instructions to obtain approval

Yes ____    

No  ____

Are there special review criteria that must be addressed in the proposal?

Yes ____    

No  ____ 

Is information needed on past performance or other federal contracts or agreements?

Yes ____    

No  ____

Award Considerations

Note: Notify Pre-Award Services of all award considerations that apply

Are there any data/IT/cyber security requirements present?

See ASU Information Security Policy. Look for key words - DFARS 252.204-7012, NIST 800-53, NIST 800-171, FISMA, controlled unclassified information, covered defense information, privacy, HIPAA, personally identifiable information, secure server, information security plan, data security plan, cyber security, FAR 52.204-21, safeguarding of contractor information or information systems    

Yes ____    

No  ____

 

Does the solicitation have a Standard Form SF33 or other cover sheet that requires signature by a person authorized to bind the university?

Yes  (See authorized officials at Standard Institutional Information)   

No  

If the funding mechanism is expected to be a grant, contract, or cooperative agreement, what type of financial arrangement is anticipated (cost reimbursement, fixed price, T&M, labor hour, etc.)?  

Contact assigned Pre-Award Services Proposal GCO for questions about agreement type - preferred type is cost reimbursement.

Type of financial arrangement: ______________

 

N/A  

Does this proposal involve Special Requirements (defined as; Specialized Opportunities, OKED Institutes & Initiatives, High Profile Applications, Significant Partnerships/Relationship Building and/or requires a dedicated GCO), for which other ASU units such as ASU Purchasing, Office of General Counsel, Skysong Innovations, LLC, Office of Research Integrity and Assurance (ORIA), ASU Property Control, University Technology Office (UTO), or ASU Risk Management, etc., may need to be involved? 

If so, contact Proposal GCO for assistance, engaging other ASU units as needed.

Yes ____    

No  ____

 

Are Terms & Conditions provided (e.g. draft agreement) which may include Federal Acquisition Regulation (FAR) and/or FAR supplement (DFAR, EDGAR, DEARS, AIDAR, etc.)  clauses or regulations referenced? 

If yes, using ERA, request Pre-Award Services review of terms and conditions as soon as possible.

Yes ____    

No  ____

Are there terms related to Intellectual Property?  Will any background intellectual property be utilized in the project?  

If yes, contact Pre-Award Services Proposal GCO immediately who will engage Skysong Innovations, LLC, if needed, to insure IP terms and conditions are addressed appropriately in the proposal.

Yes ____    

No  ____

 

Is a letter of transmittal or letter of intent to subcontract allowed/needed? (Note:  this may be the only place where exceptions to terms and conditions can be taken.)

Yes ____    

No  ____

Are there representations and certifications forms or questions that must be completed and filed with this proposal?

Yes ____ (Fill in Reps & Certs as much as possible, ask for Pre-Award Services Proposal GCO input if needed; GCO obtains necessary signatures.)

No  ____

Does the FOA indicate that ASU must file institution-wide representations and certifications to be eligible for funding?

Examples:

  • Tax Status and Organizational Structure

  • Nondiscrimination Assurances

  • Financial Capacity and Accounting System Reports

  • IT Controls

Yes____(Notify Proposal GCO if it appears that institutional Reps/Certs need to be completed or renewed.)

No  ____ 

Is a Certificate of Current Cost or Pricing Data needed?

If yes, see the Request for Execution of Certificate of Current Cost or Pricing Data Job Aid

Note this certification is only associated with federal contracts.

Yes ____    

No  ____

Is a Small Business Subcontracting Plan required with the proposal?  

Note: Unless stated otherwise, recipients of federal contracts greater than $700,000 are required to prepare a “Small Business Subcontracting Plan”, a plan that identifies ASU’s approach to awarding subcontracts to small business.  Are there additional small business participation requirements (e.g. veteran, disadvantaged, or women-owned business goals or reporting requirements)?  

If yes, please make note of any additional requirements.

Yes ____ (Contact Pre-Award Services Proposal GCO for assistance.)    

No  ____

Are there any special requirements such as security clearance requirements (access to classified), export controls, foreign national involvement, publication restrictions, use of human subjects and animals, etc.? 

If yes, direct the PI to Research Integrity and Assurance (ORIA) website for guidance and to obtain any necessary approvals

Yes ____    

No  ____

Is information needed on ASU’s capacity to manage the contract (may be called “Evidence of Responsibility”)?

Yes  ____ (Contact Pre-Award Services Proposal GCO for assistance in collecting this information.)    

No   ____ 

Will ASU be subcontract any of the work?

If yes, review the Subarwards sitelet and the Subrecipient vs Vendor/Contractor vs Consultant topical guide

Yes ____    

No  ____

 

Does the funding announcement direct ASU to subcontract with a specific source/entity? (e.g. federal lab, specific company, etc.)  

If so, contact Pre-Award Services for assistance on how to address these FA requirements in the proposal.

Yes ____    

No  ____

Is the level of detail in the subcontract/subaward budget the same as in the prime budget?

Yes ____    

No  ____

 

Is documentation such as Reps & Certs, F&A agreement, Certificate of Current Cost & Pricing Data, etc. needed from the subcontractor/subawardee?

Yes ____    

No  ____

Will there be for-profit subcontractors/subawardees?

If yes, this may include fixed-fee arrangements or involve additional Terms & Conditions that may need to be identified to assist subawardees with bidding.  Contact Pre-Award Services Proposal GCO for assistance.

 

Yes ____    

No  ____

Will there be foreign subcontractors/subawardees?  

If yes, direct the PI to the Research Integrity and Assurance (ORIA) website and/or ASU Global Operations to insure issues such as export control, foreign nationals, foreign travel, foreign taxes, etc. are adequately addressed in the proposal.                      

 

Yes ____    

No  ____

 

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