Transcript The Grant Development Process at Youngstown State University

“The Grant Development, Submission and Award Process at YSU:
The Role of Dept Chairs”
Office of Grants and Sponsored Programs (OGSP) x 2377
Ed Orona: [email protected] Cheryl Coy: [email protected]
Associate Provost for Research and Dean, Dr. Peter J. Kasvinsky
(The only “Authorized Institutional Official”)
The Initial Phase: Planning and Clearance
YSU = Legal Applicant . Grant awards are made to the “University”
Grant submission is a formal process: requires pre-approval
YSU Proposal Authorization & Pre-Approval Form: “Blue Sheet”
PI/PD  Dept Chair  Dean
(approval signatures)
OGSP
“Red Guidebook”
http:///www.ysu.edu/ogsp/d_proposal_development
_processing/Red_Guidebook.pdf
November 8, 2011
YSU Grant Activity
Total External Funding Awarded
$12,000,000
Dollar Amount
$10,000,000
$8,000,000
$6,000,000
$4,000,000
$2,000,000
$0
Fiscal Year
In FY 2008 – FY 2011, averaged 150 submissions annually, requesting about $30-40 M.
In previous 5 years, averaged > $7 M per year in grant awards and contracts.
OFFICE OF GRANTS & SPONSORED PROGRAMS
EXECUTIVE SUMMARY
Annual Report FY2010-11
July 1, 2010 - June 30, 2011
Annual Total
Awarded Proposals (Number)
FY2010
FY2011
$ 7,195,849 (98)
$8,684,702 (80)
Submitted Proposals (Number)
FY2010
FY2011
Annual Total
$ 51,394,607 (162) $ 41,745,842 (111)
Internal Grants to Faculty (awarded Spring 2011)
University Research Council Grants
13 awards to individual faculty or groups
$ 44,418
Research Assistant Awards
91 to faculty in support of undergraduate and graduate student research
$160,150
Faculty Incentives: Why Participate?
Grant funds $ for creative scholarly activities and research
Independence from constraints (politics) of Dept. budgets
Re-assigned time (“buy-out” from Sponsor) during academic year
Supplemental pay in summer (up to 2-3 months)
Early Planning is important for better proposal:
Get your Department Chairs and College Deans involved.
*Early writing, esp. budget preparation improves project
planning and grant development !
OGSP Services
Project consultation and strategy development
Funding opportunities: Requests for Proposals (RFPs), OGSP website: (use
e-Grants Advisor, updated monthly)
Developing, reviewing and submitting external grant proposals
* Grant development: editing and budget assistance
Agency and foundation liaison for contacts and visits
*Accepting and authorizing awards (Notice of grant award)
Negotiating sponsor agreements and contracts (sub-grants)
* Interpreting award guidelines and Terms & Conditions
Mandated Compliance (by sponsors):
Responsible conduct of research (ethics);
Human Subjects research (IRB); Animal Subjects (IACUC) - protocols
Electronic (on-line) submission Portals
OGSP “registers” YSU as the Legal Applicant at several
sponsors: used to assign User IDs and PWs
Grants.Gov – submissions to federal agencies
National Science Foundation (Fast Lane)
National Institutes of Health (eRA Commons)
U. S. Department of Education (e-Grants)
FedConnect: DoD, Dept. Energy
Space Telescope: STGMS system
U. S. Department of Justice (GMS)
Ohio Dept. Education (ODE): CCIP system
Ohio Arts Council (OLGA)
What OGSP is not.
1. Distinction between: Grant “Writing” vs. Grant “Development”
Grant-writing Tutorial - Go to:
https://www.cfda.gov/index?static=grants&s=generalinfo&mode=
list&tab=list&tabmode=list
2. Reminder: Difference between “Grants” vs. “Gifts”
(Definitions: see pages 4-5 in the RED Guidebook)
Gifts: University Development office
Grants: under OGSP within Academic Affairs Division
(generally have “Deliverables”- Financial and other Progress Reports)
PI Roles and Responsibilities
1. Project management according to the approved scope of work, sponsor conditions
and budget (PI should review entire RFP and guidelines)
2. Preparation and submission of progress reports and other deliverables
Reminder: send copy to OGSP http://www.ysu.edu/ogsp/pdfs/Performance.pdf
3. Supervision of expenditures in conformity with the budget and obtaining clearances
from the University and Sponsor when proposing revisions
4. Personnel Time and Effort (“activity”) reports – federal requirement; as needed
5. Assist in review and validation of financial reports generated by Grants Accounting
6. Maintenance of records to establish documentation of expenditures and to
facilitate final project closeout
7. Performance of project duties in conformity with generally accepted standards and
ethical responsibilities.
Proposal Development and Submission
a. SEARCH FOR PROSPECTS:
Use the “Grants Advisor” search engine to view (RFPs)
Federal/state govt. and foundation sources
http://www.ysu.edu/ogsp/ext_funding.shtml
Use professional organizations (discipline-specific)
b. LETTER OF INTENT, OR PRE-PROPOSAL:
Read the entire RFP and guidelines.
c. FULL PROPOSAL: (set up meeting asap)
10-20 pp Project Description or Narrative (Technical)
2-5 pp Budget Justification and Forms (sponsor versions) *
Appendix materials: (endorsements and supporting documents)
(YSU information; Trustees; Financial statements; Assurances;
ID#s, 501c3, EIN, SF424, “Cover page info”, etc.)
Budget: Direct v. Indirect Costs
Requested Funds = Direct + Indirect Costs
Direct costs: salaries, fringe benefits, supplies, travel, equip. etc.
Indirect costs: (= “Facilities and Administrative”, F & A costs)
(funds – not available to the PI)
Indirect Costs are “real and allowable costs” (cost of business)
YSU: has a formal federally-negotiated F&A rate (with DHHS)
Current Indirect rate = 51.5% of salaries and wages
If Sponsor indicates zero ($0) or a reduced % F&A rate, YSU accepts policy.
Otherwise, YSU seeks full rate request for Indirect costs.
PIs should not “negotiate” these independently with potential Sponsors.
“Waiver” - requires pre-approval, of written request by Authorized Official (PJK).
Reduced or no funds (for Indirect costs) = equates to “lost revenue”
Budget: Matching Funds
Cost-Sharing or Match: $ often required (1:1 or more), as part of submission.
Pre-approval required by Dept Chairs and College Deans (if their account #)
Blue Sheet: must identify source of match.
Re-assigned time as cost-sharing: an important issue.
- Dept Chair/Dean approval needed, since involves $ for replacement faculty.
- Budget request for sponsor funds based on pro-rated salary during AY.
Indirect costs. If 0 or reduced $ (for indirect costs) are in the budget request, then the
amount of the “unrecovered” Indirects” can be used as $ match. (with sponsor OK)
Match only the required $ amount. “Over-matching” – neither preferred nor necessary.
YSU Board Policy against “over-matching” – safeguard University budget.
Sponsoring Agency- does not necessarily want or need
Audit/Compliance issues: more documents for tracking, record retention
These $ sources cannot be used elsewhere.
“Third Party” matching (non-YSU) is ok. Need $ commitment in writing, in advance.
Scenarios: after proposal submission
“GOOD Doggie”
Thank you. Your proposal has been assigned an ID number by
the Grants Office (S# 123-11). We appreciate your effort.
“BAD Doggie”
“A grant proposal was submitted WITHOUT adequate review and pre-approval by the
appropriate institutional officials. Please be aware that the following may occur:
(a) YSU reserves the right to withdraw the proposal, if there are problems.
(b) If proposal is funded, YSU may accept the award. However, budget revisions
may be needed (ex. to resolve inappropriate or inaccurate fringe rates,
indirect costs, cost-sharing issues, etc).
(c) YSU reserves the right to not accept the grant award. ”
Remember: Awards are made to the University!
The “Legal Applicant” and “Grantee” is Youngstown State University.
Grant Award: Banner “account” set-up
PRE-AWARD (OGSP)
Grant Submission FILE:
Proposal and Blue Sheet log-in: S# (submission)
Notice of Grant Award Notice (NOGA): Terms & Conditions
Budget: Excel spreadsheet (object codes)
↓
POST-AWARD (Grants Accounting)
Grants Accounting → unique Banner account # (FOAPAL)
PI gets > “PROFILE Sheet”: Summary of grant award info.
Budget Object Codes: ex. 211200-140999-701105 (supplies)
Personnel and Non-personnel codes:
http://www.ysu.edu/vpadmin/servres.shtml
Office of Grants and Sponsored Programs (OGSP):
(Coffelt Hall) ext. 2377
“PRE-award”
Submission of grant proposals
Acceptance of award
Grant/contract agreements (sub-awards)
Initial or “single point of contact” (SPOC)
Budgets and budget revision
No-cost extensions
Other changes in scope of project
Grants Accounting Office:
(Jones Hall 3009) – Theresa Orwell, Dave Edwards
“POST-award”
Post-award financial matters and questions (FPOC)
Establish a unique Banner FOAPAL ID number
Documentation of grant expenditures
Deposit checks; electronic fund transfers (EFT)
Billing and invoicing
Financial reports (interim & final); closeout procedures
Sponsor => Notice of Grant Award (NOGA):
“Terms and Conditions”
Award Acceptance: Terms and Conditions include specificity about:
1.
2.
3.
4.
5.
6.
7.
Reporting Requirements (Performance/Technical; Financial)
Restrictions on publicity (PR; disclaimers)
Publications and dissemination
IP: Intellectual Property rights (and protections)
Compliance regulations (OMB Circulars A-21, A-133)
Changes in project PI or Scope (SOW)
Grant close-out or NCE (no-cost extensions)
Other project-related issues. Follow-up to NOGA actions may include:
1. Re-budgeting: object codes or $ amounts - revised with Sponsor approval.
2. No-cost extension request: to complete project, not simply to use $
Notice of Grant Award: (cont.)
Two Types of Awards (cost-reimbursement* or fixed price)
Terms & Conditions - Most grants are “Cost-reimbursable”.
A. Cost-reimbursement: YSU gets $ based on receipts (invoices) .
at closeout …
All funds may not be expended (up to the original Project Award Total $),
and they become “de-obligated”. Funds are returned or not-used.
B. Fixed-Price (“lump sum”): Total project $ awarded upfront.
at closeout …
if Exceed project costs, Dept/College pays the difference, OR
if Fund balance exists, keep residual $ at YSU (Board Policy- on “use”)
…. “It all depends” (on the Sponsor Terms & Conditions) …
Allocation of Recovered Indirect Costs
PI: gets
the
“Directs”
YSU admin:
gets the
“Indirects”
Use of Indirect Costs $:
25% to College/Dept
25% to Admin. & Finance (accounting)
50% Research Incentive Fund (PJK)
(for RAs, URC grants, match)
Supplemental Pay: FYI
YSU Personnel Compensation Guidelines
http://www.ysu.edu/ogsp/new_announce.shtml
Policy (effective 1/1/09) – YSU Board of Trustees (#7023.03)
Use of grant funds for Supplemental compensation:
(academic year or summer )
Academic year: cover reassigned time (# credit- hrs)
if extra , based on overload rate of $1250 per credit hour.
Summer: up to 2-3 months, dependent upon Sponsor
Latest FORM (Supplemental pay) - available at website
http://www.ysu.edu/ogsp/internalforms.shtml
“CONSULTING” - FYI
True “Consulting” refers to activities outside of the University setting
(without the use of Univ. resources, space, equipment, etc. ) - see CBA
State Law: ORC (Ohio Revised Code) Chapter 3356: covers “Consulting”
and its relationship to YSU employees (at a public university in Ohio).
Memo (“Continuing Reminder”) to Faculty: see OGSP website
http://www.ysu.edu/ogsp/OGSP_YSU_Consulting_memo_updated_Fall_%202009.pdf
On Grant - Budget Justification or Narrative
Only non-YSU personnel are paid as “consultants”
Use the “Fees and Service” budget code (701805) in the Banner system.
“Food for thought”
1. Respect your Colleagues and their Time:
“Your priorities and my priorities are not the same”. We are all busy.
Please have patience: other colleagues may be ahead of you.
Allow sufficient time for review (YSU/OGSP) and obtaining signatures.
2. Submission deadlines: Read and follow RFP instructions carefully.
POLICY. Give me 3 full business days – minimum. (better- 2 or 3 wks)
Deadline at OGSP is 3 days earlier – than the Sponsor deadline.
3. Do NOT start a “project activity” prior to when grant/contract agreements and
negotiations are fully signed and completed. (re: “Start Date”)
4. Do NOT transfer funds or pay expenditures from a different grant account,
prior to a new Banner FOAPAL set-up. (“cost transfers”)
(Avoid red flags: late grant purchases; “co-mingling” - audit concerns).
5. Compliance – internal Qs about YSU expenditures; expect them.
Summary Notes:
Advice for Novices: Funding Opps – use SEARCH Engines; OGSP appt.
“Profiling” is not always bad! (develop individual profile; receive auto. emails
1. “Grants Advisor Plus”: http://www.grantadvisor.com/tgaplus/
2. InfoED: SPIN, GENIUS/SMARTS”
http://www.infoed.org/home/officemenu.asp
Advice for Experienced Faculty:
1. Review Sponsor grant/contract Agreements: Terms and Conditions
2. Check your budget expenditures regularly (quarterly and near close-out).
Advice for Dept. Chairs:
1. Discuss the planned submission with your faculty and Dean, as necessary
2. Refresh yourself on: Banner, YSU support office personnel. (workflow)
 Other: The IRB must review and approve all research protocols involving
human subjects. w . NIH training requirement
Note: * NIH Training /Certification Requirement * still effective -Fall 2011!
Context for the near future: FY12, 13
1. Increasing sponsor Compliance and oversight 2. Tight YSU and Sponsor budgets 3. Institutional Integrity and Ethics -
YSU has a fiduciary responsibility – to sponsors and
taxpayers to manage their grant funds wisely and ethically.
*BOOKMARK the OGSP website! Go to: http://www.ysu.edu/ogsp/
Go to the first two pages: S.O.P. and Grant Development & Submission
YSU – An emerging Urban Research University?
PUI
(Predominately
Undergraduate
Institution)
“ERI”
(Emerging
Research
Institution)
($10 – 15M in
Research Expenditures)
RIU
(ResearchIntensive
University)