Transcript The Grant Development Process at Youngstown State University

The Grant Development Process at YSU:
GRANTS 102: “Experienced”
Associate Provost for Research, Dr. Peter J. Kasvinsky
(The only Authorized Institutional Official)
Office of Grants and Sponsored Programs (OGSP)
Dr. Edward Orona: [email protected] Cheryl Coy: [email protected]
The Initial Phase: “Planning and Clearance”
Grant awards are to the University
Grant submission is a formal process: requires pre-approval
YSU Proposal Authorization & Approval Form: “Blue Sheet”
“Red Guidebook”
http:///www.ysu.edu/ogsp/d_proposal_development
_processing/Red_Guidebook.pdf
March 19-22, 2010
YSU submissions and awards
Total External Funding Awarded
$11,685,688
$12,000,000
Dollar Amount
$10,000,000
$8,000,000
$6,802,138
$6,000,000
$4,000,000
$2,000,000
$0
Fiscal Year
In FY 2008 and 2009, averaged 158 submissions requesting about $30 M annually.
In previous 5 years, averaged > $6 M per year in awarded grants and contracts.
OFFICE OF GRANTS & SPONSORED PROGRAMS
EXECUTIVE SUMMARY
FY09 Activity Report
July 1, 2008 - June 30, 2009
Awarded Proposals (Number)
Annual Total
FY2008
$ 6,802,138 (100)
FY2009
$ 11,685,688 (106)
Submitted Proposals (Number)
Annual Total
FY2008
$ 31,407,122 (171)
FY2009
$ 30,048,885 (146)
Internal Grants to Faculty (awarded Spring 2009)
University Research Council Grants
9 Individual faculty or group awards
$ 33,600
Research Assistant Awards
99 to faculty in support of undergraduate and graduate student research
$172,600
OGSP Services (“Pre-Award”)
Project consultation, strategy development (pre-award)
Research: program announcements and requests for proposals (RFPs)
Prospect identification (e-Grants Advisor, updated monthly)
Grant development: editing and budget assistance *
Proposal preparation and submission
Agency and foundation liaison for contacts and visits
Compliance, stewardship and progress reports
Committees : Human Subjects research (IRB), +100 protocols
Animal Subjects (IACUC)
Reminder: Difference between “Grants” vs. “Gifts”
Definitions: see pages 4-5 of RED Guidebook
Grants: under OGSP within Academic Affairs Division
Gifts: office of University Advancement
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:
Get your Department Chairs and College Deans involved.
Prepare a better grant proposal:
* Early preparation (esp. budget) improves project planning
and grant development !
Note: 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
Electronic (on-line) submission Portals
YSU is a “registered” institution: User ID and PW
GRANTS.GOV – submissions to federal agencies
National Science Foundation (Fast Lane)
National Institutes of Health (eRA Commons)
U. S. Department of Education
Ohio Dept. Education (ODE): CCIP system
Space Telescope: STGMS system
U. S. Department of Justice (GMS)
Proposal Development and Submission
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)
FULL PROPOSAL: Read the entire RFP and guidelines.
10-20 pp Project Description or Narrative (Technical)
2-5 pp Budget Justification and Forms *
Appendix materials: (endorsement and supporting documents)
(YSU information; Trustees; Financial statements; Assurances;
IDs, 501c3, EIN, SF424, “Cover page”, etc.)
(YSU in-house spreadsheet. All agencies have different formats.)
Name:
Dr. Frank N. Stein
Proposal S#
1234-09 (sample #)
Agency:
Federal Funding Agency
Project:
Year 1:
Period: 07/01/2009 - 06/30/2010
FY2010
Budget Example
AGENCY
Banner Code
(Acct)
Item
601300
Salaries:
Assistant Professor
Fringe (33%)
602300
Fac. Salary
Base
Direct Costs
605100
Fac. supplemental pay
Fringe (33%)
Graduate Assistant
Indirect Costs
Amount
$63,000
$4,056
(Base salary for 9 months)
Re-assigned 3 cr hours
($1050 /cr hr)
$3,150
$1,040
$1,622
replacement cost: 3 hours
(summer)
$7,000
$2,310
$10,000
$3,605
Pro-rated for 1 month
(acad. yr)
605430
Fringe (77%)
Research assistant
Fringe (5%)
$7,700
$3,000
$150
701105
701305
Supplies
Travel
$2,500
$3,000
701735
701330
701428
701436
701805
Equipment
Business-related expenses
Telephone
Postage
Fees and Services
$10,000
$300
$500
$1,000
$3,000
Total
$65,123
$5,150
77% w/ tuition remission
$1,545
$4,000
Year One Total Award
Year One cost-share
Total Project Cost
Source/Notes
$7,875
$2,599
Fringe (33%)
604310
YSU Match (cost-share)
$81,101
$4,000
$85,101
Identify source
(Equip: Federal definition
is $5000, single item)
$15,978
$4,000
Indirect Costs (or, Facilities & Administrative, F & A costs)
51.5 % of salaries & wages
NOTES:
1.Re-assigned Time: CALCULATION
3 credit hours: divide 24 hrs by 8
2.Summer: up to 3 months, pro-rated
CALC: divide $ base salary / 9 months
Budget: Direct v. Indirect Costs
Requested Funds = Direct + Indirect Costs
Direct costs: salaries, fringe benefits, supplies, travel, equip. etc.
Indirect costs: (aka. Facilities and Administrative, F & A costs)
(funds - not seen or used by PI)
Indirect Costs are “real and allowable costs” (cost of business)
YSU rate: formally negotiated with Dept. Health & Human Services
Current Indirect rate = 51.5% of salaries and wages (on campus)
If sponsor RFP has reduced % or $0 for Indirect costs, YSU accepts policy.
Otherwise, YSU seeks full rate request for Indirect costs.
PIs should not “negotiate” these independently with potential Sponsors.
Reduced or no funds (for indirect costs) = equates to “lost revenue”.
A “waiver” – requires pre-approval of Authorized Official (PJK)!
Budget: Matching Funds
Cost-Sharing or Match: for some grants, $ often required (non-voluntary)
Pre-approval required by Dept Chairs and College Deans (if their account #)
Must identify source of match on Blue Sheet.
Re-assigned time as cost-sharing: an important issue.
- needs Chair/Dean approval, since situation involves $ for replacement faculty.
Indirect costs. If 0 or reduced $ amount in the requested budget (waiver- by PJK)
The “unrecovered Indirects” $ can be used as match. (if Sponsor approves)
Match only the required $ amount, as described in the RFP.
“Over-matching” - not allowed:
YSU Board Policy against “over-matching” – safeguard University budget.
Sponsoring Agency- does not necessarily want or need
Audit/Compliance issue: difficult to trace and complicated
These $ sources cannot be used elsewhere.
Matching: from “Third party” (non-YSU) . Document $ amounts in writing.
Scenarios: after proposal submission
“GOOD Doggie”
Thank you. Your proposal has been assigned an ID number
by the Grants Office (S# --). We appreciate your effort.
“BAD Doggie”
A grant proposal was recently submitted WITHOUT adequate review and preapproval by the appropriate institutional officials. Please forward us the grant-related
correspondence with the external agency.
Be aware that the following may occur:
(a) Since it was submitted without proper review, YSU reserves the right to
withdraw the grant submission if there are potential problems.
(b) If proposal is funded, YSU may accept the award. However, the 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.
PI: gets the
“Directs”
Use of Indirect $:
25% to Univ. administration
25% to Dept/College
YSU admin:
gets the
“Indirects”
50% Research Incentive Fund
(for RAs, URC grants, match)
Grant Award: “account” Set-up
PRE-AWARD (OGSP)
Grant Submission FILE:
Proposal and Blue Sheet log-in: S#
Award Notice (or contract): Terms & Conditions
Budget: Excel spreadsheet
↓
POST-AWARD (Grants Accounting)
Grants Accounting → unique Banner account # (FOAPAL)
“Budget Object Codes” ex. 211200-140999
Personnel and Non-personnel codes: go to
http://www.ysu.edu/vpadmin/servres.shtml
Office of Grants and Sponsored Programs (OGSP):
(Tod Hall 357) 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) – Beth Kushner, 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), and closeout procedures
Banner FOAPAL
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 copies 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. Completion of personnel Time and Effort (“activity”) reports as required
5. Review and validation of financial reports generated by Grants Accounting
for submission to sponsor
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.
Sponsor => Notice of Grant Award (NOGA):
“Terms and Conditions”
Terms and Conditions include specificity about:
1. Acceptance of award
2. Reports (Performance/Technical and Financial)
3. Restrictions on publicity (PR; disclaimers)
4. Publications and dissemination
5. Intellectual Property rights (and protections)
6. Grant close-out or NCE (no-cost extensions)
7. Other project-related issues.
Notice of Grant Award (NOGA): (cont.)
Two Types of Awards (fixed price or cost-reimbursement)
A. Fixed-price (“lump sum”): Total project $ awarded upfront.
at closeout …
if Exceed project costs, Dept/College pays the difference, OR
if Balance of $ remain, keep the $ at YSU (Board Policy on their “use”)
B. Cost-reimbursement: YSU gets $ based on receipts (invoices) .
at closeout …
All funds may not be expended (up to Project Total $), or
other scenarios may occur.
…. “It all depends” (on the Sponsor Terms & Conditions) …
Follow-up 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 $
“CONSULTING” - notes
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 (2007- 2009): see OGSP website
http://www.ysu.edu/ogsp/OGSP_YSU_Consulting_memo_updated_Fall_%202009.pdf
On Grant Projects (re: narrative in Budget Justification)
Only non-YSU personnel are paid as “consultants” (term is okay)
If you are on a grant project (elsewhere), use the term “contracted” services
instead, if you are contributing to and being paid as YSU personnel.
Supplemental Pay: Info, Policy and Form
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
new FORM (Supplemental pay) - available at website
http://www.ysu.edu/ogsp/internalforms.shtml
“Food for thought”
1. Respect your Colleagues and their Time:
“Your priorities are not my priorities”. We are all busy.
Show courtesy and patience: other colleagues are ahead of you.
Allow sufficient time for review (YSU/OGSP) and obtaining signatures.
2. Submission deadlines: Read instructions and follow directions.
Give me 3 full business days – minimum notice.
earlier at OGSP – than the Sponsor RFP deadline.
** 1 day earlier for electronic; 2 days earlier for hard copy ** (memo)
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. (“co-mingling” – audit concern).
* Serious offenses. If suspect “Fraud” – contact Inspector General.
OGSP Website and News
BOOKMARK this Link ! Go to: http://www.ysu.edu/ogsp/
External Funding Opportunities: use the SEARCH Engines
“Profiling” is not always a bad thing!
(develop individual profile; receive auto. emails based on interests)
1. “Grants Advisor Plus”:
http://www.grantadvisor.com/tgaplus/
2. InfoED site: “SPIN and GENIUS/SMARTS”
http://www.infoed.org/home/officemenu.asp
 Other: The IRB must review and approve all research protocols involving
human subjects. w . NIH training requirement
Note: * NIH Training /Certification requirement * Coming in Fall 2010!
 COFFELT HALL –
April 2010. We are moving !