Title: American Recovery and Reinvestment Act ARRA General considerations
1American Recovery and Reinvestment Act (ARRA)
General considerations
- OSP website for all opportunities
nyu.edu/osp/recovery - Each federal sponsor is enacting differently
(check agency website) - There is considerable confusion and
misinformation on the web (check with your
Program Officer) - Grants.gov is expected to fail throughout the
process (so leave plenty of time) - OSP cannot be responsible for eligibility or
acceptability (there are too many variables and
information is changing constantly)
2ARRA general considerations
- All ARRA funded projects will eventually require
a detailed budget - Large unexpended balances will not be tolerated
- Justifications for personnel retention and/or new
hires should be tied to the science and based on
program needs PIs should spend some time on
this section it is a major criterion for
selection for some programs
3National Science Foundation ARRA
- 2 Billion additional
- All grants issued will be standard grants with
durations of up to 5 years - Funding of New PIs and high-risk, high-return
research will be top priorities - Most awards will be those which are already
in-house - Major Research Instrumentation Program
solicitation scheduled for this Spring
4Department of Energy
- Energy Efficiency and Renewable Energy
Announcements - State Energy Program Formula Grants (Reference
Number DE-FOA-0000052) - see NY State http//economicrecovery.ny.gov
5DOE, contd
- Applications of Nuclear Science and Technology
(Reference Number DE-PS02-09ER09-13) - RD on Alternative Isotope Production Techniques
(Reference Number DE-PS02-09ER09-14) - Clean Cities FY09 Petroleum Reduction
Technologies Projects for the Transportation
Sector (Reference Number DE-PS26-09NT01236-04)
6NIH Funding OpportunitiesAmerican Recovery and
Reinvestment Act (ARRA)
6
7Context
- Purpose of all NIH ARRA funding is to stimulate
economy, by promoting job creation, economic
development and accelerating the pace and
achievement of scientific research - Funding available only during FYs 2009 2010
- Geography
- NIH will consider regional distribution along
with scientific merit in making awards - Projected Numbers of Awards
- High End Instrumentation 40 awards nationally
- Challenge Grants 200 nationally
- Others not specified, but specifics may be
available at Institute level
8Context, continued
- It is essential for PIs to Contact NIH Program
Officers prior to submitting because - The rules keep changing
- Each institute is implementing differently
- POs will have authority to determine who gets
awards, especially for non-competitive
supplements
9Summary of Opportunities NIH
10 Construction/Renovation
11 Instrumentation
12 New Programs
13Competitive Revision Applications(formerly
Competitive Supplements)
- NOT-0D-09-058
- http//www.grants.nih.gov/grants/guide/notice-file
s/NOT-OD-09-058.html - Deadline April 21, 2009
14Competitive Revision Applications
- Purpose
- For revision applications (formerly competitive
supplements) to support a significant expansion
of scope or research protocol of already approved
and funded projects - Background
- One of three ARRA NIH supplement/revision notices
- Eligibility
- For revisions to ACTIVE NIH Research Grants,
including, but not limited to R01, R03, R15,
etc. Program Project, Center, Training grants
cooperative agreements. Most K and T awards are
eligible under NOT-OD-09-056.
15Competitive Revision ApplicationsNOT-0D-09-058(c
ontinued)
- Budget and Funding Information
- Scope and budget must reflect aims that can be
accomplished within two year timeframe - No maximum dollar amount (no approval needed from
IC staff to submit an application gt 500K direct
costs) - Limitations on funding to foreign collaborators
may not exceed 10 or total request or 25K/year,
whichever is less
16How to Apply
- Applicants must submit through Grants.gov, using
the Funding Opportunity Announcement (FOA) that
was used for the parent grant. If FOA is not
active, use Parent FOA that matches the activity
code (e.g. R01, R15, etc.) of the award - For certain Program Project, Center, and Training
grants, a FOA is not required and paper
applications may be used. Mention this in cover
letter and notify your OSP Projects Officer
17How to Apply
18Application Review
- Competitive Revision applications will be
assigned to ICs of parent grants - Considerations
- scientific merit of the new work proposed
- appropriateness of proposed expansion of scope
- Committee may refer back to responses to comments
from prior scientific review group
19Application Review Process, contd
- Criteria used will be standard review criteria
for each application type - Summary statements will be available via eRA
Commons.
20Reporting
- If the application includes support for a future
year, a Non-Competing Continuation Grant Progress
Report (PHS 2590) will be required - Grantees must comply with reporting requirements
in the Recovery Act
21Administrative Supplements
- Recovery Act Funds for Administrative Supplements
- NOT-0D-09-056
- http//www.grants.nih.gov/grants/guide/notice-fil
es/NOT-OD-09-056.html - Deadlines Open, but See Institute/Center Sites
for specific deadlines (the earlier, the better)
22Recovery Act Funds for Administrative
SupplementsNOT-0D-09-056
- Purpose
- Accelerating the pace of scientific research
- May be submitted in all scientific and
programmatic areas funded by NIH - Up to 2 years of support may be requested
23Eligibility
- All active NIH Research Grants, Research Program
and Center Grants (Ps), Career Development Awards
(Ks), Institutional Training Grants (Ts),
Cooperative Agreement (Us) and Educational
Development Awards - Institutes and Centers (ICs) post detailed
eligibility information on their websites
http//grants.nih.gov/recovery.ic_supp.html
24Eligibility, continued
- Some ICs only considering supplements in target
areas. To determine project eligibility go to
http//grants.nih.gov/recovery/ic_supp.html - Can be used to cover cost increases associated
with increasing tempo of funded research OR
achieving new research objectives within scope of
parent project
25Examples Including but not limited to
- Equipment purchases under 100K
- Enhancing clinical trial activities (increasing
enrollment or data analysis) - Additional funded time under K99/R00 or other
awards - Employment for predoctoral students, including
dental, clinical psychology students seeking
extended time off for research or during semester
breaks
26Examples Including but not limited to
continued
- Employment for postdocs, including extending
support for senior postdocs - Employment for recent college and masters degree
graduates - Comparative effectiveness research
- NOTE Requests solely to restore previously
applied budget adjustments or to supplant
institutional commitments WILL NOT BE CONSIDERED
27Budget
- Request funding for FY 2009 2010 only
- Research Grants no maximum dollar limit, in
line with research proposed. - NIH expects to award supplements of no more than
50 of the parent grant - For Research Career Devel Awards most requests
limited to 50K (see IC website) - One additional year of support may be requested
for K99 and K22 awards - Limitations on funding to foreign collaborators
may not exceed 10 or total request or 25K/year,
whichever is less
28How to Apply
- Applications will be prepared on paper and
submitted to Institute via email. Consult
website for address. - Use PHS 398 Format http//grants1.nih.gov/grants/
funding/phs398/phs398.html
29How to Apply
30Application Review
- Selection Factors will include
- Relevance of proposed activities to the parent
grant - Relevance to target areas/priorities of IC
- Activities are within existing peer-reviewed and
approved scope of project - Adequate progress on parent grant
- Well-described plan
- Expertise of research team
- Appropriateness to Recovery Act goals in
promoting job creation, economic development and
accelerating the pace and achievement of
scientific research
31Reporting
- Separate Non-Competing Continuation Grant
Progress Report (PHS 2590) and financial
statement will be required IN ADDITION TO any
annual progress report required for parent grant - Grantees must comply with reporting requirements
in the Recovery Act
32Recovery Act Funds for Administrative Supplements
Providing Summer Research Experiences for
Students and Science Educators
- NOT-0D-09-060
- http//www.grants.nih.gov/grants/guide/notice-file
s/NOT-OD-09-060.html - Deadlines Institutes/Centers have published
specific deadlines
33Recovery Act Funds for Administrative
Supplements/Summer Research Experiences
- Purpose
- Encourage students to pursue health-science
related research career and provide elementary,
middle and high school teachers, community
college faculty and faculty from non-research
intensive institutions with short term research
experiences in NIH-funded labs - May be submitted in all scientific and
programmatic areas funded by NIH - Up to 2 years of support may be requested
-
34Eligibility
- Active NIH Research Grants, Research Program and
Center Grants (Ps), and Cooperative Agreements
(Us) - Parent grant must be currently active (includes
no-cost extension period) - Some ICs only considering supplements in target
areas and some not participating. To determine
project eligibility go to http//grants.nih.gov/re
covery/ic_supp.html
35Priorities
- Summer Research Opportunities for High School and
Undergraduate Students - Summer Research Opportunities for Science
Educators (e.g., Elementary, Middle School and
High School Teachers, Community College Faculty,
and Faculty from Non-research Intensive
Institutions) - NIH encourages participation of individuals from
racial and ethnic groups underrepresented in
biomed behavioral research as well as
individuals with disabilities or with
disadvantaged backgrounds
36How to Apply
37Budget
- High School Students comply with minimum wage
guidelines - Undergraduate Students No more than 10/hr
unless justified - Science teachers and faculty up to 18,000 plus
fringe benefits (to max of 2,500)
38How to Apply
- Applications will be submitted via email
directly to the appropriate Grants Management
Specialist in the appropriate Institute or Center
(IC). Consult website for address
39Application Review
- Selection Factors will include
- Relevance of proposed activities to the parent
grant - Relevance to target areas/priorities of IC
- Activities are within existing peer-reviewed and
approved scope of project - Adequate progress on parent grant
- Well described plan
- How experience would foster goals of students
and/or educators - Appropriateness to Recovery Act goals in
promoting job creation, economic development and
accelerating the pace and achievement of
scientific research
40Reporting
- Separate Non-Competing Continuation Grant
Progress Report (PHS 2590) and financial
statement will be required IN ADDITION TO any
annual progress report required for parent grant - Grantees must comply with reporting requirements
in the Recovery Act
41High End Instrumentation
- Recovery Act Limited Competition High End
Instrumentation Grant Program (S10) - PAR-09-118 (http//grants.nih.gov/grants/guide/pa-
files/PAR-09-118.html) - Deadline May 6, 2009
42Recovery Act Limited Competition High End
Instrumentation Grant Program (S10)PAR-09-118
- Purpose/Objectives
- To make available to a broad community of basic
and clinical scientists the next generation of
instruments to speed the translation of basic
research to treatments and cures
43Purpose - continued
- Encourage applications from groups of
NIH-supported investigators to purchase a SINGLE
major item of equipment to be used for biomedical
research - Costs at least 600,000 but not more than
8,000,000 - Funds to be spent within 18-24 months of award
date
44Funding
- Total of Approximately 160 million in FY 2010 to
fund roughly 40 new awards - Funding is for one year direct costs only
- Eligibility,PI responsibilities, proposal
elements are the same as the regular Shared
Instrumentation Program
45Eligibility
- To be eligible, the application must identify
three or more major users, AT LEAST three of
which must be NIH funded investigators (PIs on
active P01, R01, U01, R35, R37, DP1 or DP2
Research Grants) who will be users of the
equipment - PI NIH funding must be active during the time of
the application AND award - Must show clear need for instrumentation by
projects supported by multiple NIH peer reviewed
research grants (including those listed above) - Demonstrate that these projects will require AT
LEAST 75 of the total usage of the instrument - No institutional limit however applications
must request different types of equipment
46Proposal elements
- Proposal may include NIH extramural awardees for
other nearby institutions - The PI named must be an individual who can assume
administrative/scientific oversight
responsibility for instrumentation. Specialized
oversight is deemed necessary in order to ensure
that the high level of technical expertise needed
to operate and manage such instruments is
adequately addressed.
47PI Responsibilities
- Naming of internal advisory committee to assist
in administering the grant and overseeing the
responsibility for the instrument. - Working with institution to request no-cost
extensions, submit all required reports
48PI Responsibilities, continued
- PI and committee are together responsible for
- The development of guidelines for maximum
instrument utilization - Detailed plan for day-to-day management and safe
operation of instrument - A plan to ensure that human or animal subjects
matters are adequately addressed - Financial plan for long-term operation and
maintenance of instrument - Relocation of instrument if needed
49Examples of key instruments Including but not
limited to
- Biological Imagers
- multinuclear spectroscopy and functional magnetic
resonance and PET imaging instruments - Nuclear Magnetic Resonance Spectrometers
- Mass Spectrometers
- Electron Microscopes
- Supercomputers (for use in computational biology)
50Budget
- Awards for direct costs only - 600K to 8
million - If amount requested does not cover total cost of
instrument, application must describe proposed
funding for balance of cost of instrumentation - No matching required, but institution must commit
to appropriate level of support e.g. building
alterations, renovations, service contracts and
technical personnel
51How to Apply
- Applications will be submitted via Grants.gov
using FOA for this opportunity PAR -09-118
Available in Cayuse. - Deadline is May 6, 2009 500 pm
- Note special instructions in FOA The
Instrumentation Plan (formerly research plan)
must include
52How to Apply - continued
- Instrumentation Plan (to be saved as a single
file and attached as item 11 Other attachments) - Justification of need
- Technical Expertise
- Research Projects (including summary table)
- Institutional Commitment
- Administration of Instrument
- Financial Administration including plan for
long-term operation of instrument - Letters of support needed from institutional
officials
53How To Apply - continued
- Current and Pending support required for PI and
each major user and/or technician at time of
submission. - Project Summary/Abstract
54Application Review
- Elements of Review Criteria (for full criteria,
see FOA) - Is need justified, essential and appropriate and
will it have significant impact on
biomedical/behavioral research and contribute to
advancement of human health? - Is necessary technical expertise available to
make effective use of the equipment, and are
participating investigators well qualified to
operate and maintain?
55Application Review
- Elements of Review Criteria, continued
- Will instrument advance knowledge and
understanding of the proposed projects? How
would research project of each investigator be
enhanced? Will results be broadly disseminated? - What is evidence of institutional commitment to
support instrument? Institutional infrastructure?
Institutional track record for making technology
available? Financial plan adequate? - Is plan for management maintenance appropriate?
Plans for maximizing effectiveness of the
investments? Advisory committee oversight
appropriate?
56Limited Competition NIH Challenge Grants in
Health and Science Research (RC1)
- RFA-0D-09-003
- http//grants.nih.gov/grants/guide/rfa-files/RFA-O
D-09-003.html - Deadline April 27, 2009
57Recovery Act Limited Competition NIH Challenge
Grants in Health and Science Research (RC1)
- Purpose
- Support of novel research in areas that address
specific knowledge gaps, scientific
opportunities, new technologies, data generation
or research methods - To provide investigators with the opportunity to
address knowledge gaps and need for new
technologies identified by the NIH
58Purpose, continued
- Projects that would benefit from 2-year jumpstart
funds - Institutes Centers (ICs) will fund selected
Challenge Grant topics ICs have listed their
particular topics on their own websites. - Direct links to these sites are available by
linking to NYUs ARRA site at http//www.nyu.edu/o
sp/recovery/
59Challenge Areas
- Behavior, Behavioral Change and Prevention
- Bioethics
- Biomarker Discovery and Validation
- Clinical Research
- Comparative Effectiveness Research
- Enabling Technologies
- Enhancing Clinical Trials
- Genomics
- Health Disparities
- Information Technology for Processing Health Care
Data - Regenerative Medicine
- Science, Technology, Engineering Math Ed
- Smart Biomaterials Theranostics
- Stem Cells
- Translational Science
60Eligibility
- Institutes and Centers (ICs) post detailed
eligibility information on their websites - http//grants.nih.gov/recovery/ic_supp.html
- Or link to these sites via http//www.nyu.edu/osp/
recovery/
61Considerations for Prospective Applicants
- Only 200 awards are projected nationwide
- Thousands of applications are being planned
nationwide - PIs must be in contact with NIH prior to
developing a proposal
62Considerations for Prospective Applicants
- New PIs
- The announcement states that new PIs Early
Stage Investigators are invited to apply. - Remember
- If a new PI receives funding through this
mechanism, s/he relinquishes new investigator
status.
63Considerations for Prospective Applicants
- Multiple Applications
- The announcement states that a PI may submit more
than one application, provided applications are
scientifically distinct - However
- OSP has heard directly from NIH Program Officers,
as well as from PIs who have been in contact with
POs, that multiple applications are being
discouraged
64Budget
- Request funding for FY 2009 2010 only
- Maximum of 500K total costs/year 1mil total
costs over two year period - No cost sharing required
- Limitations on total funding to foreign
collaborators may not exceed 10 or total
request or 25K/year, whichever is less
65How to Apply
- Applications must be submitted via Grants.gov
- Application package is available in Cayuse 424.
If you have not submitted via Cayuse, please
contact your Projects Officer - Revised Format for Research Plan
66How to Apply
- Research Plan components 12 Page limit
- Preliminary Data may be included. No detailed
Scientific Plan should be provided
67Application Review Process
- Selection Factors will include
- Overall Impact
- Core Review Criteria
- Significance
- Investigators
- Innovation
- Approach
- Environment
68Challenge Grant Reporting
- Separate Non-Competing Continuation Grant
Progress Report (PHS 2590) and financial
statement will be required
69Research and Research Infrastructure Grand
Opportunities (RC2)
- http//grants.nih.gov/grants/guide/rfa-files/RFA-O
D-09-004.html - Deadline LOI 4/27/09 Applications 5/27/09
- Most institutes are participating
http//grants.nih.gov/recovery/ic_go.html - (but not NEI or NIDDK)
- Eligibility All investigators, including
multiple investigators no limit to number of
applications permitted, but see
Institute-specific guidelines - Funds available 200 million number of awards
will vary
70GO grants, continued
- Purpose
- GO grants support high impact ideas that lend
themselves to short-term funding, and may lay the
foundation for new fields of investigation. They
will support - large-scale research projects that accelerate
critical breakthroughs - early and applied research on cutting-edge
technologies and - new approaches to improve the synergy and
interactions among multi and interdisciplinary
research teams. - The initiative seeks novel approaches in areas
that address specific knowledge gaps, scientific
opportunities, new technologies, data generation,
or research methods that would benefit from an
influx of funds to quickly advance the area in
significant ways.
71How to apply GO grants
- Budget
- 500,000 or more in total costs per year
- total cost for awards will vary
- commensurate with the scope and complexity of the
project and the number of participating
institutions. - limited to two years duration
72How to apply GO grants
- Overall Impact. Reviewers will provide an overall
impact/priority score to reflect their assessment
of the likelihood for the project to exert a
sustained, powerful influence on the research
field(s) involved, in consideration of the
following five core review criteria, and
additional review criteria (as applicable for the
project proposed). - Core Review Criteria
- Significance.
- Investigator(s).
- Innovation.
- Approach.
- Environment.
73How to apply
- Through grants.gov
- Standard 424 (all components)
- Research plan must address all of the following
requirements - A detailed statement addressing
the following bullets should be included as part
of the application Research Plan (and in summary
form in the Letter of Intent)
73
74How to apply GO projects should demonstrate
- The work cannot be reasonably expected to be
carried out successfully without support provided
by GO grants. - Specific outcomes of the proposed project promote
and advance the mission of the NIH to improve
health. - The project is ready to be deployed immediately
upon funding.
74
75How to apply GO projects, continued
- A rapid infusion of significant funding will
accelerate current and future research in the
area of study and there are appropriate
measurable outcomes to evaluate the short and
long-term effects of the project. - The proposed project is something that no other
entity is likely or able to do, and is there a
public health benefit to having the results of
the research in the public domain.
75
76How to apply GO projects, continued
- The project or generated results and resources
can be expected to become integrated with other
NIH and privately funded research within a
reasonable timeframe. - provide a detailed plan for maintaining the
research efforts without any expectation of
further financial assistance from the sponsoring
IC or other NIH components. Applicants are
expected to provide a list of outcomes and
include plans to obtain long-term support for
research endeavors carried out with GO grant
funding.
76
77How to apply GO projects, continued
- In addition, the Research Plan should include a
timeline with critical milestones, measurable
outcomes, and mid-term and end project
deliverables.
77
78GO grants - reporting
- Non-Competing Continuation Grant Progress Report
(PHS 2590) annually and financial statements as
required - Requirements set forth in the Recovery Act and
DHHS implementation of the Act
79Supporting New Faculty Recruitment to Enhance
Research Resources through Biomedical Research
Core Centers
- http//grants.nih.gov/grants/guide/rfa-files/RFA-O
D-09-005.html - Deadline LOI April 29,2009
- Applications May 29, 2009
80Biomedical Research Core Centers, contd
- Purpose
- To support the hiring of newly-recruited faculty
to develop research projects within the context
of Biomedical Core Centers. - Defined as a community of multidisciplinary
researchers focusing on areas of biomedical
research relevant to NIH, such as centers,
departments, programs, and/or trans-departmental
collaborations or consortia. Â - Designed to enhance innovative programs of
excellence by providing scientific and
programmatic support for promising research
faculty and their areas of research. - Institutional awards that provide funding to
- hire,
- provide appropriate start-up packages
- develop pilot research projects for newly
independent investigators, - With the goal of augmenting and expanding the
institutions community of multidisciplinary
researchers focusing on areas of biomedical
research relevant to NIH
81Biomedical Research Core Centers, contd
- Eligibility
- PI should be senior official, e.g., Dean,
Department Chair - ICs allow different no. of applications
- Funds available
- 100 million, IC specific amounts
82Biomedical Research Core Centers, contd
- How to apply
- Through CSR with copies to the specific Institute
- using PHS 398 on PAPER
- Cover letter directing to Institute
- Letters of commitment from institution
- Following PHS 398 instructions
83Biomedical Research Core Centers, contd
- How to apply, contd
- 12 page Research Plan, including
- Existing research infrastructure
- Problem to be addressed
- Plans for recruitment
- Collaborative research activities
- Faculty Development Plans
- Intra-inter-institutional links
- Institutional commitment and plan for continuity
2 years beyond award
84Core Centers review criteria
- Overall Impact, in consideration of the following
five core review criteria, and additional review
criteria  - Core Review Criteria
- Significance. Does Core Center contribute to
building a community of multidisciplinary
researchers focusing on a common research problem
and enhance the ability of the institution/organiz
ation to conduct research in the specified
area(s) of science? Will new faculty members
hired under this initiative conduct research
projects and receive career development support
that will foster independent research careers and
lead toward applications for future independent
research project grants to further the mission of
the Core Center? - Investigator(s). Does the PD/PI have the ability
and institutional authority to provide scientific
and administrative leadership and direction for
the Core Center, and to work with Core Center
investigators to develop relevant research
projects?
85Core Centers review criteria
- Innovation. Â Does the application identify
critical research program needs and seek creative
ways to incorporate Core Center resources, new
tenure-track faculty and new research projects to
help address those needs? - Approach. Are the plans for recruiting and
appointing new investigators within the Core
Center adequate and appropriate for furthering
the scientific mission of the Center? Â Â Is the
plan for evaluation thorough and rigorous? Are
the proposed scientific goals of the Core Center,
as well as the plans to achieve those goals,
feasible, innovative and of high
scientific/technical merit? - Environment. Will the scientific environment
contribute to success? Current infrastructure
conducive to conducting research projects
relevant to the research ? Will the research
activities foster career development for
newly-independent  investigators? New faculty
members hired have at least 75 protected
research time?
86Core Centers - Reporting
- Non-Competing Continuation Grant Progress Report
(PHS 2590) annually and financial statements as
required - Requirements set forth in the Recovery Act and
DHHS implementation of the Act
87Reporting requirements for ARRA funds
- Grantees must comply with reporting requirements
in the Recovery Act - Excerpts from the ARRA Terms Conditions follow
- Not later than 10 days after the end of each
calendar quarter, starting with the quarter
ending June 30, 2009 and reporting by July 10,
2009, the recipient must submit quarterly reports
to HHS that will be posted to Recovery.gov,
containing the following information
88Reporting, continued
- a. Total amount of ARRA funds under this award
- b. Amount of ARRA funds received under this award
that were obligated and expended to projects or
activities - c. Amount of unobligated award balances
- d. Detailed list of all projects or activities
for which ARRA funds under this award were
obligated and expended, including - e. Detailed information on any sub-awards
(sub-contracts or sub-grants) (for full Terms
Conditions see http//grants.nih.gov/grants/policy
/NIH_HHS_ARRA_Award_Terms.pdf)
89ARRA Grant Reporting and Financial Management at
NYU
- For awards received with ARRA Funding, SPA will
- Establish a unique program code to identify
recovery funds. - Link program to parent project
- Enter a detailed budget for the amount of
stimulus funds at the program-project level
90ARRA Reporting, contd
- Programmatic
- Description of Project
- Evaluation of completion status
- Estimate of jobs created and retained
- Sub-awards name of entity, amount,
transaction type, CFDA no., Program source,
title, location of entity, location of
performance - Dont worry about this now we will come up with
a set of procedures to address the requirements