Transcript The Grant Development Process at Youngstown State University

“How to Transition: from Pre-Award Proposal
to Post-Award Funding”
Office of Grants and Sponsored Programs (OGSP)- Coffelt Hall
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”
Grant awards are to the University (YSU = Legal Applicant)
Grant submission is a formal process: requires pre-approval
YSU Proposal Authorization & Pre-Approval Form: “Blue Sheet”
PI/PD  Dept Chair  Dean
(approval signatures)
“Red Guidebook”
http:///www.ysu.edu/ogsp/d_proposal_development
_processing/Red_Guidebook.pdf
Fall Semester, 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
Awarded Proposals (Number)
Annual Total
FY2010
$ 7,195,849 (98)
FY2011
$8,684,702 (80)
Submitted Proposals (Number)
Annual Total
FY2010
$ 51,394,607 (162)
FY2011
$ 41,745,842 (111)
Internal Grants to Faculty (awarded Spring 2011)
University Research Council Grants
13 awards to individual faculty or groups
Research Assistant Awards
91 to faculty in support of undergraduate and graduate student research
$ 44,418
$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:
Get your Department Chairs and College Deans involved.
Prepare a better grant proposal:
* Early writing, esp. budget preparation improves project
planning and grant development !
OGSP Services (“Pre- and Post-Award”)
Project consultation and strategy development
Funding opportunities: Requests for Proposals (RFPs), PAs
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
Negotiating sponsor agreements and contracts (sub-grants)
Interpreting guidelines , Terms & Conditions, re; compliance with agency
and University policies
Compliance :
Human Subjects research (IRB); Animal Subjects (IACUC);
Responsible conduct of research (ethics)
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 project Reports)
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 (e-Grants)
Ohio Dept. Education (ODE): CCIP system
FedConnect: DoD, Dept. Energy
Space Telescope: STGMS system
U. S. Department of Justice (GMS)
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 – federal requirement
5. 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;
IDs, 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 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
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)
These “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# 123-11). We appreciate your effort.
“BAD Doggie”
“A grant proposal was submitted WITHOUT adequate review and pre-approval by the
appropriate institutional officials. Be aware that the following may occur:
(a) YSU reserves the right to withdraw the proposal, 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. ”
Remember: grants awards are made to the University!
The “Legal Applicant” is Youngstown State University.
PI: gets
the
“Directs”
YSU admin:
gets the
“Indirects”
↓
Use of Indirect Costs $:
25% to College/Dept
25% to VP Admin (accounting)
50% Research Incentive Fund (PJK)
(for RAs, URC grants, match)
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)
Budget Object Codes: ex. 211200-140999-701105 (supplies)
PI gets > PROFILE Sheet: Summary of grant award info.
Personnel and Non-personnel codes: go to
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)
Scenarios that may occur …. “It all depends” on the Sponsor
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) …
“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 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: 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
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 have patience: other colleagues are 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; “co-mingling” - audit concerns).
5. Compliance – internal Qs about YSU expenditures; expect them.
Summary Notes:
Bookmark website for OGSP! Go to: http://www.ysu.edu/ogsp/
Advice for Novices: External Funding Opps - 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
Advice for Experienced Faculty:
1. Review Sponsor grant/contract Agreements: Terms and Conditions
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:
1. Increasing 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/