Title: COMPETITIVE GRANTS
1COMPETITIVE GRANTS
- Opportunities and Approaches
- by
- David R. MacKenzie
- Executive Director
- NERA
2TWO SESSIONS
- Morning Session (I)
- Initiative for Future Agriculture and Food
Systems - Afternoon Session (II)
- Principles of Grantsmanship
3Initiative for FutureAgriculture and Food
Systems (IFAFS)Workshop Session I
4Acknowledgments
- Special thanks to
- Rodney Foil
- Director of IFAFS,
- Acting Associate Administrator
- CSREES, USDA
- Jim Hanson
- Assistant Director
- Maryland Cooperative Extension Service
5Session I Road Map
- History of IFAFS
- Review of the 01 RFP Whats new and whats not
- Analysis of 00 IFAFS Award Patterns
- Attributes of Successful Proposals
- Notes from a Successful 00 IFAFS Applicant
- Hints on stating your proposals relevance
- Describing your intended public goods
- How to develop a functionally integrated proposal
- Hints on team building
- How to build a proposal on an existing activity
- Management schemes for multi-institutional
consortia - Open Discussion/Questions/Comments
- Closing Comments
6A Definitionfor RFP
7IFAFSSection 1
8History of IFAFS
- 1996 Farm Bill (Freedom to Farm Act)
- Movement to market economy
- Ramping down the commodity subsidies
- Note 71 billion direct farm payments since
1996 - 1998 Farm Bill (Research Reform Act)
- Knowledge to keep U.S. Farming profitable
- Fill voids with research, extension and education
- Section 401 (aka IFAFS) inserted
- Federal Agricultural Improvement and Reform Act
of 1996 - Agricultural Research, Extension and Education
Reform Act of 1998
9What the 98 Farm BillSeeks to Do
- Better integrate research, extension and
education (i.e., teaching) - Encourage multistate programs
- Leverage scarce resources in an effective manner
- Support multi-institutional and multi-functional
approaches - Support activities at those institutions that are
best positioned to do so (competitive awards) - Provide some advantages to the smaller, less
successful institutions
10Section 401(a.k.a. IFAFS)
- 600 million over 5-year life of AREERA
- 120 million per year
- Grants to be awarded competitively
- Mandatory funding (i.e., not appropriated)
- Integrating education, research and extension
- Open to all applicants (Note only for 00)
- Purpose to support activities that address
- critical emerging agricultural issues related to
- 1) Future food production
- 2) Environmental quality and natural resource
management, OR - 3) Farm income
11Priority Missions (98 Farm Bill)
- Agricultural genome
- Food safety, food technology, and human nutrition
- New and alternative uses and production of
agricultural commodities and products - Agricultural biotechnology
- Natural resource management, including precision
agriculture - Farm efficiency and profitability, including the
viability and competitiveness of small- and
medium-sized dairy, livestock, crop, and other
commodity operations
12Politics of FFY 1999
- Authorization vs Appropriation Committees
- 1999 restrictions on funds to manage grants
- No awards possible in FFY 1999
- 2000 funds used to manage 1999 money
- Some sleight-of-hand used
- Challenged by Appropriations Members
- Finally allowed for past year (2000)
- Good congressional support for 2001
13Priorities and Distinctions
- Priorities
- Multi-state/Multi-institutional/Multidisciplinary,
and/or - Integration of functions (research, education and
extension) - Distinctions
- Concern for small mid-sized farm operations
- Emphasis on agricultural production issues
- Goal of supporting relatively large projects
14IFAFSSection 2
- Review of the 01 RFP
- Whats new, and whats not
15Eliminated This Year
- No consortia this year
- Programs 10.3 and 14.4 moved
- Now two joint RFPs
- NSF
- NASA
- These RFPs to be issued soon
16New Addresses
- US Postal Service
- Initiative for Future Agriculture and Food
Systems - c/o Proposal Service Unit, CSREES, USDA
- Stop 2245
- 1400 Independence Ave. S.W.
- Washington, DC 20250-2245
- Overnight
- Initiative for Future Agriculture and Food
Systems - c/o Proposal Service Unit, CSREES, USDA
- Room 1307 Waterfront Center 800 9th Street
S.W. - Washington, DC 20224
17Added to the 01 RFP
- Letter of Intent due March 23, 2001
- Eligibility limited to colleges and universities
their research foundations - Types of proposals expanded
- New and resubmitted
- Critical or emerging issues
- Multidisciplinary Graduate Education Traineeships
(MGET) - Bridge grants
1801 Funding Available
- 113,400,00
- Ag. Genome and Biotechnology - 32,800,000
- Food Safety, Tech. Nutrition - 21,900,000
- New and Alternative Uses - 10,000,000
- Natural Resource Management - 29,000,000
- Farm Efficiency and Profitability - 19,000,000
- MGET -
2,200,000 - Microbial Genome (w/NSF) - 9,000,000
- Precision Agriculture (w/NASA) - 9,500,000
1901 Deadlines
- Letter of Intent March 23, 2001
- Proposals April 23, 2001
- MGET April 23, 2001
- Critical/Emerging Issues June 1, 2001
- Public Comments in 6 months (9/23/01?)
20Agency Intentions
- Not to be redundant with NRI
- High quality activities with quick payoffs
- Functional integration
- Eligibility
- FFY 2001 appropriation designated LGUs only
- Subsequently all colleges and universities
- Provisions for sub-contracting
- Consideration given to international projects (to
enhance competitiveness)
21Granting Conditions
- Matching funds or in-kind support required for
- Commodity-specific activities
- Work not of national scope
- Priorities to be set by stakeholder listening
- Advantages given to small and mid-sized
institutions that have poor success patterns - No funding for buildings or facilities
- No funding for fixed equipment
- No funding for human cloning
22Priority Attention
- Multistate,
- Multi-institutional, or
- Multidisciplinary
- OR
- Projects that are integrated
- Teaching
- Research
- Extension
23Project Grants
- Limited to 5 million over 4 years
- A lead institution will administer funds to the
other participants - Larger proposals (over 1 million or many
participant institutions) must state - How it will be administered
- How it will be monitored
- Plans for maintaining and monitoring the
activities after the funding ends
24Bridge Grants
- Designated for institutions to sustain and
enhance important collaborations that might lead
to future grant getting success - Awards made only to small- and mid-sized
institutions - Review placed the proposal below the funding
cut-off point - Limited to a one time infusion of 100,000
25Critical or EmergingIssues Grants
- Topics that transcend specific elements of the
individual program areas - Up to 5 million over 4 years
- Cannot be submitted to another IFAFS program area
- To be judged for relevance by higher standards
- Must make the case for uniqueness or urgency
lack or fit to other programs
26Multidisciplinary Graduate Education Traineeships
- Support innovative, research-based, graduate
education and training activities in critical,
emerging areas of agricultural sciences - Must be cohesive multidisciplinary theme
- Must involve a diverse group of faculty
- Grants may total 2,200,000 for 4 years
- Stipend allowance is 18,000/year plus
cost-of-education allowance of 10,500/yr - Recipients must be US citizens or permanent
residents
27Priority Mission Areas
- Agricultural Genomics and Biotechnology
- Food Safety and Role of Nutrition in Health
- New Uses for Agricultural Products
- Natural Resources Management, Pest Management and
Precision Agriculture - Farm Efficiency and Profit
28More Information
- Application Kits
- www.reeusda.gov/IFAFS
- 202-401-5048
- psb_at_reeusda.gov
- RFP
- http//www.escop.msstate.edu/IFAFS.pdf
2901 Program Areas
- 10.0 Agricultural Genomics
- 10.1 Plant Genome
- 10.2 Animal Genome
- 10.3 Microbe Genome (offered separately in 01)
- 10.4 Bioinformatics
- 11.0 Agricultural Biotechnology
- 11.1 Effects of Agricultural Biotechnology on
Human, Animal, and Plant Health - 11.2 Social and Economic Aspects of
(Agricultural) Biotechnology - 11.3 Ecological Risk Management of Agricultural
Biotechnology (new)
3001 Program Areas(continued)
- 12.0 Food Safety and the Role of Nutrition in
Health - 12.1 Consumer Food Choices
- 12.2 Nutritional Impact of Functional Foods
- 13.0 New Uses for Agricultural Products
3101 Program Areas(continued)
- 14.0 Natural Resource Management, Including
Precision Agriculture - 14.1 Alternative Natural Resource Management
Practices for Private Lands - 14.2 Non-Native Invasive Species
- 14.3 Animal Manure Management
- 14.4 Application of Precision Technologies
(offered separately in 01) - 15.0 Farm Efficiency and Profitability
3201 Program Areas(continued)
- 16.0 (new) Critical or Emerging Issues Grants
- Created for those critical issues that transcend
other elements of IFAFS - Must be generally related to IFAFS interest, but
clearly falls outside the boundaries - Will be judged by much higher relevance standards
- Proposals for this category should have strong
evidence of uniqueness or urgency - Deadline is extended six weeks
- 17.0 (new) Multidisciplinary Graduate Education
and Traineeship Program
33Proposal Content
- Cover page
- Table of Contents
- Project Summary
- Response to Previous Review (NEW)
- Project Description (see next slide for details)
- References (in the project description)
- Appendices (to the project description)
- Key Personnel
- Conflict of Interest
- Collaborative and/or Sub-contractual Arrangements
- Budget and Budget Narrative
- Current and Pending Support
- Assurance Statements
- Certifications
- NEPA Compliance
34Project Description(see previous slide)
- Standard Projects
- Introduction
- Relevance Significance
- Approach
- Time Table
- Collaborative Arrangements
- Management Plan (for grants gt 1 million)
- Evaluation and Monitoring of Project
35Appendix A (Most Successful NE LGUs)
- Cornell Univ.
- Penn State Univ.
- Rutgers Univ.
- Univ. of Maryland College Park
- Univ. of Mass.-Amherst
36Appendix A The Advantaged NE LGUs
- UDC
- U. Del
- WVU
- UMD-Eastern Shore
- Del State U.
- U. Conn
- Conn. AES-NH
- URI
- UNH
- UVM
- U. Maine
37Reviews and Awards
- Preliminary review for responsiveness
- Peer review for
- Relevance
- Merit
- Grants not to exceed 4 years
- RFP limits time to 4 years
- Presumably allows for one year no cost
extensions
38IFAFS Review Process
PROGRAM DIRECTOR CSREES National Program
Leader Oversees each Program
PANEL MANAGER Active, established expert
Part-time USDA employee Assists Program
Director with panel tasks (selecting panelists
assigning reviewers to
proposals budget
decisions ) Chairs the Panel Meeting
39Panel Member Selection Criteria
- Education Research Experience
- Actively involved in research, extension, /or
education - Ability to assess relevance of proposals to
target audiences and program needs (may include
users and customers)
40Panel Member Selection
- Balanced For
- Discipline/activities
- Geography
- Organizational type
- Rank ( Prof Assoc. Prof Asst. Prof )
- Women minorities equitable age distribution
- Members that can judge usefulness
41Guidance to Panels RELEVANCE
- Relevant to critical emerging agricultural issues
related to future food production environmental
quality, natural resource management or farm
income, with - Documentation that the activities are directed
towards current or likely future agricultural
problem identified in the RFP - Evidence of linkage of research, education and
extension functions - Evidence of stakeholder involvement and/or
communities of interest
42Guidance to Panels MERIT
- Novelty, innovation, uniqueness, and originality
- Conceptual adequacy of the proposed activity
- Clarity and delineation of objectives
- Adequacy of description of undertaking, and
suitability and feasibility of methodology - Demonstration of feasibility
- Probability of success
43Guidance to Panels QUALITY
- Includes the most appropriate and qualified team
- Training and awareness of alternative approaches
- Time allocation is adequate to attaining
objectives - Institutional experience and competence in
subject - Adequacy of
- Facilities, personnel and equipment
- Plans for reporting, assessing and monitoring
- The planned administration and monitoring
44IFAFSSection 3
- Analysis of the
- 00 IFAFS Award Patterns
45AGRICULTURAL GENOMICS
- 184 Proposals received
- 15 Proposals funded
- 8.2 Success rate
- 320.3 million requested
- 19.76 million awarded
- Average size of award 1.32 million
46AGRICULTURAL BIOTECHNOLOGY
- 59 Proposals received
- 9 Proposals funded
- 15.3 Success rate
- 82.788 million requested
- 12.402 million awarded
- Average size of award 1.38 million
47Food Safety and the Role of Nutrition in Health
- 130 Proposals received
- 10 Proposals funded
- 7.7 Success rate
- 189.874 million requested
- 21.965 million funded
- Average size of award 2.20 million
48New Uses forAgriculture Products
- 73 Proposals received
- 8 Proposals funded
- 11 Success rate
- 87.015 million requested
- 9.070 million funded
- Average size of award 1.01 million
49Natural Resources, Including Precision Agriculture
- 336 Proposals received
- 25 Proposals funded
- 7.4 Success rate
- 486.512 million requested
- 30.913 million funded
- Average size of award 1.24 million
50Farm Efficiencyand Production
- 202 Proposals received
- 19 Proposals funded
- 9.4 Success rate
- 288.701 million requested
- 18.813 million funded
- Average size of award 0.99 million
51Who Competed ?
- Proposals Proposals
Percent Total Funds - Type of Institution Submitted
Successful Success Recommended - 1862 Land Grant 606 69 11.4
90,185,915 - Other Public Univ 74 3 4.0
2,082,500 - Non-Profit Orgs 74 5 6.7
5,358,679 - USDA, ARS 66 5 7.6
7,279,800 - 1890 Land Grant 37 2 5.4
4,271,453 - Private Univ. 28 2 7.1
3,246,983 - For Profit Orgs 26 0 0
560,000 - All Others 64 0 0
0 - Totals 978 87 8.9
112,985,330 - as self-reported not audited or corrected.
52Winners and Losers Review Process Results
Number of Proposals Percent Returned, No
Review 58 5.9 Do Not Fund 144 14.7 Som
e Merit 248 25.4 Subtotal 450 46.0 L
ow Priority 281 29.0 High
Priority 188 19.0 Outstanding 59
6.0 Subtotal 247 25.0 38.5 of these
proposals were funded.
53The Need to Submit
Number of Proposals Submitted
54Measures of Effort
- The correlation between the number of
proposals submitted from a state and the number
of awards granted to that state - WAS .73 !!
55For Those Institutions Receiving Awards
- Success Ratio Ranged
- from 2.6 to 20
- Average 10.2
- Or y0.1N
56What About the Contributions of Institutional
Reputation ?
57States That Were Above Average in Their Percent
of Success
CA, FL, WI, CO, WA, AR, SC, DE, MT, ND, AZ, SD,
NV, WY
58Some Surprised Institutions
- Cornell University
- Penn State University
- Kansas State University
- Michigan State University
- Virginia Tech
- The Tribal Colleges
59Pattern of Awardsin the Northeast for 00
- Non-LGUs
- NC 3.1
- S 2.6
- W 4.2
- NE 5.5
- LGUs
- NC 28.0
- S 23.6
- W 23.5
- NE 3.6
60IFAFS Section 4
- General Attributes of Successful Proposals
61Notes From a Successful00 IFAFS Applicant
- Jim Hanson
- Cooperative Extension
- University of Maryland
- TITLE Bridging the Urban-Rural Divide
Marketing Local Food in the Mid-Atlantic
62Points-to-Considerby Jim Hanson
- 1. Determine IFAFS to be an appropriate funding
source (read the RFP) - 2. Select a topic and define the scope
- 3. Invest in team building
- a. Overall
- b. Specific
- 4. Select criteria for focus
- 5. Plan for the stack-ups
- 6. Maintain complete transparency
631. Determine IFAFS to be anAppropriate Funding
Source
- Looking at future food production
- Issue was environmental quality and natural
resource management - Farm income was central to concerns
642. Select Topic and Define Scope
- Fitted to the program (not visa versa)
- Decided on going for Standard Grant
- Consortia were complicated
- Went for upper limit on amount
653. Invest in Team Building
- Issued open invitation
- Non-profits
- West Virginia U., Penn State U. and U. of
Maryland - Decision
- High value crops (UMD)
- Forage and Pasture (WVU)
- Crop production team (MCES, PCES, USDA/ARS BARC,
Wallace Center, Accokeek Foundation, Future
Harvest/CASA, Pa Assoc. of Sustainable Agriculture
664. Select Criteria for Focus(a. Overall)
- Small and medium-size farms
- How target audiences will benefit
- Finding new partnerships
- Took a systems approach
- Included
- Sustainability
- Community viability
674. Select Criteria for Focus(b. Specific)
- Management marketing (reducing costs)
- Effective marketing programs
- Farm-based value added
- Managing risks
- Decision-making tools
- Access to resources
- Environmental quality
685. Plan for the Stack-ups
- Held multiple meetings
- Gave assignments and tasks
- Worked on budget early (can be handled
simultaneously) - Finish completely 3 days before deadline
696. Maintain Complete Transparency
- Everybody knows
- How much everybody is getting
- What everybodys responsibilities are
70Points-to-Considerby Rodney Foil,IFAFS Director
- Functional integration
- Proposal content
- Goodness-of-fit to program
- Justification
- Clarity
- Perspective (i.e., just who has the money)
71Attributes ofSuccessful Proposals(Functional
Integration)
- Category Number Percent
- Multi-State 74 86
- Multi-Institutional 78 91
- Multi-Disciplinary 80 93
- Multi-Functional 82 95
72Attributes ofSuccessful Proposals(Proposal
Content)
- Innovative idea
- Highly relevant
- Likelihood of success
- Likely to provide impact on problem area during
duration of project (i.e., pick the low hanging
fruit) - Project can sustain itself after funding is over
73Attributes ofSuccessful Proposals(Goodness-of-fi
t to Program)
- Well-designed methodologies
- Evidence of technical expertise
- Appropriate activities for IFAFS
- If possible, show preliminary data or other
information to demonstrate feasibility
74Attributes ofSuccessful Proposals(Justification)
- Clear justification
- Relevance to mission of IFAFS (as stated in the
RFP) - Addresses stakeholder-identified priorities
- Consideration has been given to alternative
approaches
75Attributes ofSuccessful Proposals(Clarity)
- Thoughtful, up-to-date literature review
- Well-written, logical succinct
- Well focused
- Clear, well-stated objectives
- Well developed outreach or tech transfer plan
- Appropriate audiences/stakeholders identified for
education and extension programs
76Packaging a Good Idea
- Make it easy to read, i.e.,
- Write for the REVIEWER -
- Have a colleague to review proposal before
submitting - First impressions ARE important!
- Comply with print size, page limits
- Print only on one side
- Number order pages correctly
- Everything stapled attached
- Reconsider photo originals, or plates of
photographs - Check for typos sentence structure
77 - Attributes ofSuccessful Proposals(Perspective)
- Ask not what the Grantor can do for you ...
- Tell them what you can do for them !
-
78Essential Proposal Attributes
- Excellent idea
- Goodness-of-fit to program
- Scientific quality
- Valid design, with acceptable procedures
- Achievable objectives
- Well written
- Professional credibility
79Necessary, But Not Sufficient
- Relevance to stakeholder-identified need(s)
- Worthwhile deliverables
- Functional integration
- Partnerships (multistate, or at least
multi-institutional) - Qualified participants
- Some follow-on activities
- Sound management scheme
80Strategic Points-to-Consider
- 1. Stating your proposals relevance
- 2. Describing your intended public goods
- 3. Developing a functionally integrated proposal
- 4. Team building principles
- 5. Constructing a proposal on an existing
activity - 6. Planning for continuity
- 7. Management schemes for multi-institutional
consortia
811. Stating Your Proposals Relevance
- Stakeholder listening is important
- Get you States Plan(s) of Work
- Engage your users
- Cite AREERAs purposes
- State alignment with IFAFS programs purposes
- Link to strategic planning (esp. USDA/REE your
institutions) - Use the recent statement on NE regional
priorities for research and extension
82Current NE Prioritiesfor Research and Extension
- (1) Environment, natural resources, land
stewardship (a) intersection of urban/rural
communities related to land use (including open
space planning) and (b) water management
including wetlands, watershed, and water quality
and quantity and other topics. - (2) Family and youth, promoting health
lifestyles youth/families at risk and other
topics. - (3) Relationship of food to health, food
security throughout the food chain, including
integrated pest management and other topics. - (4) Rural and urban community vitality,
(a) agricultural viability, including
profitability, niche market opportunities,
ag-tourism, aquaculture systems, non-labor
intensive production and (b) community capacity
building, including leadership, urban-rural issue
policy formation/practice, access to new
technologies, workforce development and other
topics. - (5) Crop and livestock issues, (a) functional
genomics and bioinformatics (b) biobased products
(forest products, nutraceuticals, functional
foods, value-added products development consumer
acceptance of biotechnology products) and other
topics.
832. Describing Your IntendedPublic Goods
- Public sectors responsibilities the need to do
those socially important things that are - Not appropriable (no one can own it), and
- Not profitable (no one can make money)
- Expected impacts
- Pick the low hanging fruit
- Explain how the intended users will benefit
- Public good is not just making a small farm
profitable - Public Good is not Feel Good
843. Developing a Functionally Integrated Proposal
- Find your complementary partners and involve them
from the beginning - Build on their strengths, and yours
- Consider the needs of all participants
- Adopt their priorities, along with yours
- Be sensitive to sensitivities
- Share the rights to decision making
854. Team Building Principles
- Solicit initial members with care and attention
- Select a leader very early
- Write a founding document on who you are, what
is specifically to be done, and by whom - Agree on how your decisions will be made
- Define who can be a member of the team
- Agree on the assignment of tasks
- Agree on the allocation of resources (done as a
mechanism? As a fixed budget?)
865. Constructing a Proposalon an Existing Activity
- Review the entire multistate research portfolio
for opportunities - Consider existing projects as platforms
- Review professional society activities
- Consider teaching as a focus
- Consider international activities
- Ask about funding to meet as a group
87NE Multistate Research Portfolio
- 30 NE projects (ca. 40 million investment)
- All 15 NE SAES participate
- Many SAES beyond the region participate as well
- 1862 LGUs
- 1890 LGUs
- 1994 LGUs
- Extension participation
- 10 less-formal committees
- Several informal consortia
- A few regional centers and programs
886. Planning for Continuity
- There are expectations for an IFAFS-funded
project to continue after the funding ends. How
might that affect you planning for the project?
89Project Continuation Strategies
- Letter(s) of commitment from your administration
- Folding activities into your base program
- Commercialization plan
- Training-the-trainers
- Seeking other sponsors other donors
- Fees-for-services
- Objectives completed no need to follow-on
907. Management Schemes for Multi-institutional
Consortia
- Appoint a governing/oversight board (for program
and policy issues) - State the projects decision-making procedures
- Consider forming a technical advisory committee
- Provide a process for reporting results and
achievements - Include an internal monitoring system
- Plan a process for
- external review(s)
- external auditing capacities (program and fiscal)
- Design a processes for appeals to decisions
- Decide on a process for removal-from-project-for-c
ause
91Management Issues for Multi-institutional
Proposals
- Prior agreement on
- Organizational structure
- Contributions by each entity
- Budget allocations
- Disbursement procedures
- Plans for partnerships with other teams
- Terms of appointments
- Channels of communication
- Evaluation of work performance (reviews and
accountability)
- Property ownership
- Intellectual property assignments
- Publication rights
- Rights to data and materials
- Confidentiality
- Budget modification procedures
- Financial reports
- Division of incomes
- Arbitration of disputes
92Implementing an MOU
- Continuing agreement on management scheme by the
participating NE SAES for - Policy issues
- Organizational terms
- Operational considerations
- Additional partners agree to the management terms
by letter-of-commitment - Other regions SAES
- Extension
- ARS/FS/ERS
- Private sector
93Fabricating the Boilerplatefor a Proposal
- Adoption-by-reference of the management scheme
(MOU) (and adding the signed MOU to your
proposals appendix) - Include a statement on any special terms or
conditions not stated in the MOU (a check list
for this is under development) - Append letters-of-commitment from all other
partners (a model letter-of-agreement is under
development)
94Final Note
- The NERA Office of the Executive Director stands
ready to assist the regional association and its
member institutions in remedying the apparent
situation we found ourselves in this past IFAFS
competition.
95THE END
- For more information contact
- David R. MacKenzie
- 301-403-4242 (voice)
- dm184_at_umail.umd.edu (e-mail)