Eyesight Foundation of Alabama

EyeSight Foundation of Alabama 2012-2013 Funding Guidelines and Application Instructions

Mission The EyeSight Foundation of Alabama, or ESFA, is a nonprofit foundation whose mission is to serve as a catalyst to improve eyesight through education, research and access to care.

Priority Areas of Interest: ESFA seeks to maximize the impact of its funding by supporting organizations and programs that can effectively and efficiently address needs that fit our priority areas of interest, including but not limited to:  Public education on preventive and routine eye care, and vision screening and referral  Eye care for the medically indigent  Low vision and rehabilitation services  Improved geographic access to general and specialty eye care services  Education and training of eye care professionals and scientific investigators  Research in the prevention and treatment of eye diseases, disabilities or impairment prevalent in Alabama and the development of effective methods of treatment, surgery or rehabilitation  Basic science research on the vision system

Funding Criteria: ESFA gives funding preference to requests that meet the following criteria:  Address a critical eye care need (see the Eye Health Needs Assessment on our website www.eyesightfoundation.org )  Avoid duplication of existing services unless they target a population not already being served  Involve collaboration and coordination with other organizations and agencies  Demonstrate a solid base of financial support for the requesting organization  Serve Alabamians, particularly in the service area of the Callahan Eye Hospital in Birmingham  Expand our knowledge base in visual research  Include an effective approach for measuring results and the impact of ESFA’s investment

Limitations & Restrictions The EyeSight Foundation of Alabama considers funding applications only from nonprofit organizations that provide services in Alabama and have tax-exempt status under Section 501(c)(3) of the Internal Revenue Service Code or are described as an appropriate beneficiary for a foundation under the Internal Revenue Service Code

No funds are provided to or for:  Individuals for personal needs  Indirect costs associated with a grant project  Religious organizations for religious purposes  Tickets for benefits  Political organizations or candidates for public office  Lobbying activities  Research projects substantially funded by extramural sources unless our financial support will enable investigators to obtain significant matching funding from the outside source

1 There are THREE separate types of applications, each with separate requirements: Continuation Requests, New Requests, and Research Bridge Funding Requests. If you have questions about which category your project fits best, contact our office to discuss.

CONTINUATION REQUESTS If you have a current, on-going grant for the period including July 1, 2011 through June 30, 2012 and you would simply like to renew the same project for another year, you need to submit a Continuation Request by April 2, 2012. As part of our efforts to streamline and simplify our grants process, we only require a short letter and budget as your continuation request. We will also refer to any Stewardship Reports that have been filed with our office as supporting material.

Submission Methods:  Email the continuation request letter and Project Budget Form to [email protected] with Grant Request in subject line. The request should be saved in Microsoft Word or a similar editable format (not PDF), and the budget as an Excel file.  Deliver or mail 1 signed hard copy of the continuation request letter and the Project Budget Form to the ESFA office.

Information Required: There is no “form” for the continuation request. Include the following information in your short letter: 1. Amount – the amount of the new request 2. Changes – Outline any changes occurring in the previous or current year (to the organization, the project, the previous budget, the scope of the grant, personnel, collaborators, etc.). 3. Funding and the Economy – Provide a short summary of how your organization and its projects have fared during the economic downturn. For example, have you lost funding that you previously counted on because of the economy? Have you gained funding? Have restrictions relaxed? Tightened? Describe any changes to your fundraising efforts and your funding level of support, whether increased or decreased. 4. Authorization – Signature of the primary contact, as well as the top officer or staff (executive director, president, department chair, dean, etc.) of the requesting organization.

Project Budget Form * Fill in the attached Excel spreadsheet with anticipated expenses related to the proposed project – not the organization’s total operating budget. If you are part of UAB, use accepted Contracts & Grants Accounting classifications/terminology. If your project is funded, you will use this same form to report actual expenses and to explain any variances at the end of the funding period. The budget may include costs for equipment, personnel, supplies, travel related to the project, etc. It may not include indirect costs or simple replacement of existing salary support.

* For UAB applicants: If filling in this budget form or complying with any other application requirement shifts your project into UAB Contracts and Grants, and you would prefer your project be treated as a Gift instead of a Grant, please contact our office to discuss potential modifications to support that goal.

CHECKLIST for CONTINUATION Requests  Deliver or mail one hard copy of the continuation request letter and the budget form to the ESFA office.  Email [email protected] with two attachments: the continuation request letter as an editable Microsoft Word document, and the budget form as an Excel file. Be sure Grant Request shows in the subject line. 2 NEW REQUESTS If this is a new, first-time request to ESFA for your proposed project, or if it is a request for a project that is not currently active and receiving ESFA funding, your grant request should include the following information, printed in 12 pt. type font with 1” margins, without binders, notebooks, folders or staples. Use paper clips or binder clips only. We photocopy and 3-hole punch all material, for distribution to the review committee. Therefore, if these instructions for margins, font size, etc. are not followed, your application will be returned. The deadline for submission is April 2, 2012.

Submission Methods:  Deliver or mail 1 signed hard copy of the grant request, budget and supporting documentation to the ESFA office by April 2, 2012.  Your grant request application and budget, in its entirety, must also be submitted via email to be considered for funding. The request application must be provided in Microsoft Word or a similar editable format (not PDF) and the Project Budget Form should be sent as an Excel file. However, supporting documents are allowed to be submitted as PDF attachments. Send to [email protected] with Grant Request in subject line.

Information Required: There is no “form.” Include the following information, in this order: 1. Organization Information – organization name (for UAB requests, also list school and/or department); organization’s primary contact (i.e., President, CEO, dean, department chairman) name, title and address. 2. Applicant Information – project’s primary contact name/title (this is the person most familiar with the grant application, whom we will contact about the grant. This is often someone other than the organization’s primary contact); address/city/state/zip; phone; fax; email; web address. For UAB Applicants: provide campus mail address and campus zip code. The application must be signed by the primary contact for the request, as well as by an officer or top staff (executive director, president, department chair, dean, etc.) of the requesting organization. 3. Project Information - project title; project summary (one-paragraph description); total project cost; amount of request. 4. Organization Background - mission; history; major programs; accomplishments; collaborations with other organizations. 5. Project or Program - specific eye care need or issue you will address; goals and objectives; activities that will be carried out to accomplish the objectives; key personnel and their qualifications; other organizations involved in your project; other organizations providing similar services. 6. Project Evaluation- your criteria for effectiveness; the methods you will use to analyze your results (measure your progress); who will assess the results? 7. Project Continuation - if the project is ongoing, list and describe your plans to continue beyond this funding period – donations from individuals, grants from foundations and other funding sources, earned income, insurance reimbursements, etc. 8. Additional Funding – List other foundations or sources to which you have submitted a proposal for this project, with the amount and status of each request – approved, declined, or pending. 9. Funding and the Economy – Provide a short summary of how your organization and its projects have fared during the economic downturn. For example, have you lost funding that you previously counted on because of the economy? Have you gained funding? Have restrictions relaxed? Tightened? Describe any changes to your fundraising efforts and your funding level of support, whether increased or decreased. 3 10. References – If your organization has never received funding from ESFA, list three professionals familiar with the work of your organization.

Project Budget Form * Fill in the provided Excel spreadsheet with anticipated expenses related to the proposed project – not the organization’s total operating budget. If you are part of UAB, use accepted Contracts & Grants Accounting classifications/terminology. If your project is funded, you will use this same worksheet to report actual expenses and to explain any variances at the end of the funding period. 11. Budget * - A line item expense budget for the project. The budget may include costs for equipment, personnel, salaries, supplies, consultants, etc. It may not include indirect costs or simple replacement of existing salary support.

* For UAB applicants: If filling in this budget form or complying with any other application requirement shifts your project into UAB Contracts and Grants, and you would prefer your project be treated as a Gift instead of a Grant, please contact our office to discuss potential modifications to support that goal.

Supporting Documentation: Not required of UAB applicants. Non-UAB applicants must provide the following: 12. Your organization’s current annual operating budget and an income and expense statement for your last fiscal year. Both should include sources of support as well as expenses. 13. A tax return or audited financial statement. 14. A list of your current Board of Directors, including the primary professional and/or civic affiliation of each member. 15. Your organization’s tax-exempt letter from the IRS.

CHECKLIST for NEW Requests  Are instructions followed for margins, type size, no staples, etc.?  Email [email protected] with two attachments: the request application as an editable Microsoft Word document, and the budget form as an Excel file. Be sure Grant Request shows in the subject line.  Deliver or mail one hard copy of the request application and the budget form to the ESFA office, with the following support documentation attached. Supporting Documentation - Non-UAB applicants must provide the following:  Current annual operating budget;  Income and expense statement for last fiscal year;  A tax return or audited financial statement;  A list of current Board of Directors, including affiliation of each member; and  Tax-exempt letter from the IRS.

4 PEER-REVIEWED, INVESTIGATOR-LED RESEARCH: BRIDGE FUNDING

The EyeSight Foundation of Alabama has suspended new grants for investigator-led, peer- reviewed research projects while we honor and fulfill:  our $3,500,000 commitment to the “Vision of Excellence,” a recruitment effort to move the Department of Ophthalmology at UAB into a top-tier ranking among vision programs at other institutions, and  our $1,200,000 commitment in support of the new Vision Science Research Laboratories at Volker Hall, the facility shared by ophthalmology, optometry and other vision science disciplines. We have made this deliberate, strategic decision to change the way we support research for the duration of these two projects.

We recognize that current investigators may need assistance when facing gaps between NIH or other funding cycles. We will consider bridge funding requests to protect the investments UAB, ESFA, the NIH and other sources have made to these investigators and their projects, studies, labs and support personnel. We solicit applications with a bare-bones budget and a plan to phase out ESFA support if and when funding is secured from NIH. We will consider bridge grants for investigators who meet ALL THREE of the following criteria: 1) the investigator has received NIH* funding for a specific project, 2) the investigator has applied for renewed NIH funding to continue this same project, and 3) the investigator is facing an unfunded gap while awaiting decision and/or funding from NIH.

 Research bridge funding is limited to $150,000 per year, for a maximum of two years, while the investigator seeks renewed NIH funding.  Once NIH is secured, any ESFA bridge grant will be terminated to avoid overlap; unused funds will be returned to ESFA; and future payments will be canceled.  ESFA has limited funds for this purpose, and submission does not guarantee funding.  The process is competitive, and the applications will go before our Scientific Advisory Committee for review and scoring.

* Anywhere NIH is mentioned, this also applies to DOD, CDC, or similar funding sources.

Instructions for RESEARCH BRIDGE FUNDING Grant Requests The deadline for submitting a Research Bridge Funding request is April 2, 2012. Your application should include the following information, printed in 12 pt. type font with 1” margins, without binders, notebooks, folders or staples. Use paper clips or binder clips only. We distribute 3-hole punched, black and white photocopies of all proposals and supporting documentation for review. Therefore, if these instructions for margins, font size, etc. are not followed, your application will be returned. If it is important that images appear in color, you must provide us with 5 (five) copies of each color page, clearly marked with a page number, so we can collate it into the photocopied material.

5 Submission Methods:  Submit 1 signed hard copy of the grant request, including the Project Budget Form and any supporting documentation, to ESFA by April 2, 2012.  Your proposal, in its entirety, must also be submitted electronically, via email, to be considered for funding. The application must be provided in Word or a similar editable format (not PDF), and the Project Budget Form as an Excel file. However, supporting documents such as items 13-17 are allowed to be submitted as PDF attachments. Send to [email protected] with Grant Request in subject line by April 2, 2012.

Information Required: 1. Organization Information – organization name (for UAB requests, also list school and/or department); organization’s primary contact (CEO, dean, department chairman) name and address. 2. Applicant Information - principal investigator name/title/degrees; address/city/state/zip; phone; fax; email; web address. For UAB Applicants: provide campus mail address and campus zip code. The application must be signed by the principal investigator for the request, as well as by an officer or top staff (executive director, president, department chair, dean, etc.) of the requesting organization. 3. Project Information - project title; total project cost; amount of request; one or two-year request (include breakdown of amount requested for each year). LIMIT: $150,000 per year, for up to two years. 4. Specific Aims - project summary in lay terms; project summary in scientific terms. (Include a one- paragraph abstract that briefly describes the specific aims of the proposed project in lay terms, and a separate paragraph in scientific terms.) 5. Support Team - co-investigators/titles; sponsoring institution; dean or department chair name/title/and signature. (Include NIH format Biographical Sketches and Other Support on all investigators as attachments). 6. NIH Grant Submission Timetable – provide a timetable regarding your grant submission (or resubmission) to the NIH or other funding source. Include NIH submission date(s), review date(s), and when you would receive your score and notification of funding, as well as when the grant funds would be released. 7. Background and Significance - a description of the background leading to the proposal, including an evaluation of existing related knowledge and identification of gaps the project is intended to fill; a concise statement of the importance and health relevance of the research. 8. Preliminary Studies - the principal investigator/program director’s preliminary studies relevant to the application that will help illustrate the qualifications of the investigator to pursue the proposed project. 9. Project Experimental Design and Methodology - describe the research design and procedures to be used to accomplish the specific aims of the project, including plan for data collection, analysis and interpretation; a description of any new methodology and its advantage over existing methodologies; potential difficulties and limitations of proposed procedures; alternative approaches; project timetable; any aspects of the project that may be hazardous to personnel and the precautions to be taken. 10. Budget and Justification – using accepted UAB Contracts & Grants Accounting classifications and terminology, provide detailed budget and justification. Under salaries, describe how the salaries will be covered during the bridge grant period, including any amount the institution will cover, any amount relying on pending grants, and any amount covered by already-secured grants, etc. The budget may include costs for equipment, personnel, supplies, and consultants. It may not include indirect costs. Include this narrative in section 10 of your proposal, which should correlate to the figures submitted on the Project Budget Form. 11. Plan for Management of Funds - description of oversight of funds management should be included, along with an expense timetable and plans for long-term funding of project. Describe your bridge funding end plan – how you would transition from ESFA bridge funding to NIH funding if/when it is secured. 12. Additional Sources of Funds Available for Project - list additional sources of funds currently available for the project.

6 Supporting Documentation: 13. NIH Format Biographical Sketches – on all individuals associated with the project. 14. A copy of the original application to NIH (or other funding source) 15. Study section critique (“Pink Sheet”) with score 16. Revised application to NIH (or other funding source) that addresses critiques 17. If the research project is approved, ESFA must receive official documentation with assurances that its design meets accepted standards for human use and animal use from the applicant organization before a check can be issued. This is not due until after the grant is approved.

CHECKLIST for RESEARCH BRIDGE FUNDING Requests  Follow instructions for margins, type size, no staples, etc.  E-mail the proposal as an editable Word document and the Budget Form as an Excel file to [email protected] with Grant Request in subject line  1 signed hard copy delivered or mailed to ESFA with the following support documentation attached  NIH FORMAT bio sketches on all individuals associated with project.  Original application to NIH (or other funding source)  Study section critique (“Pink Sheet”) with score  Revised application to NIH (or other funding source) that addresses critiques

CALENDAR FOR FY 2012-2013 GRANTS

Continuation Requests due for current, ongoing grants...... April 2, 2012 New Grant Requests due...... April 2, 2012 Research Bridge Funding Requests due...... April 2, 2012 Initial committee and board review...... April 2012 Final board decision...... July 2012 Notification of decision...... August 2012 Distribution of funds...... After July 1, 2012

Contact Information EyeSight Foundation of Alabama 700 South 18th Street, Suite 123 Birmingham, AL 35233 205/488-0771 Phone 205/325-8335 Fax

Torrey DeKeyser Executive Director [email protected]

Shirley Hamilton Assistant Director of Programs [email protected]

Carly Ginn Hines Office Services and Communication Specialist [email protected]