Reviewing a Funding Announcement Guide

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 follow guidance provided on the F&A Sitelet, including the F&A Waivers tab	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. IP plan, quality assurance or control plan, small business subcontracting plan, etc.) that must be included in the proposal and may require GCO assistance/input? If yes, list and contact assigned 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, use the ASU logo instead. The university seal is reserved for official documents and presidential communications and it is not typically recommended for use in proposals. It is better to use an official ASU logo instead of introducing the university seal into the proposal. If an exception is needed, follow these instructions to obtain approval to use the seal.	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? If yes, the PI/RA/Unit will need to identify appropriate past projects to list, based on the requirements of the proposal.	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? If yes, contact assigned Proposal GCO, the GCO will obtain appropriate Research Operations signatures.	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 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 Proposal GCO immediately. Skysong Innovations, LLC, will be engaged, if needed, to ensure 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.) If yes, coordinate with Proposal GCO	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 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 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 Proposal GCO for assistance in collecting this information.) No ____
Will ASU 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 Proposal GCO 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 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 ensure issues such as export control, foreign nationals, foreign travel, foreign taxes, etc. are adequately addressed in the proposal.	Yes ____ No ____
Notes:

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)

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 follow guidance provided on the F&A Sitelet, including the F&A Waivers tab

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. IP plan, quality assurance or control plan, small business subcontracting plan, etc.) that must be included in the proposal and may require GCO assistance/input?

If yes, list and contact assigned 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, use the ASU logo instead.

The university seal is reserved for official documents and presidential communications and it is not typically recommended for use in proposals. It is better to use an official ASU logo instead of introducing the university seal into the proposal.

If an exception is needed, follow these instructions to obtain approval to use the seal.

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?

If yes, the PI/RA/Unit will need to identify appropriate past projects to list, based on the requirements of the proposal.

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?

If yes, contact assigned Proposal GCO, the GCO will obtain appropriate Research Operations signatures.

Yes (See authorized officials at Standard Institutional Information)

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 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 Proposal GCO immediately. Skysong Innovations, LLC, will be engaged, if needed, to ensure 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.)

If yes, coordinate with Proposal GCO

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 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 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 Proposal GCO for assistance in collecting this information.)

No ____

Will ASU 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 Proposal GCO 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 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 ensure issues such as export control, foreign nationals, foreign travel, foreign taxes, etc. are adequately addressed in the proposal.

Yes ____

No ____

Notes:

Suggestions/Feedback?