The Grant Development Process at YSU: GRANTS 101: novices

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The Grant Development Process at YSU GRANTS
101 novices

• Associate Provost for Research, Dean of Graduate
  Studies and Research
• Dr. Peter J. Kasvinsky
• (Authorized Institutional Official)
• Office of Grants and Sponsored Programs (OGSP)
• (grants and contracts from federal, state
  and
• local agencies, industry, private
  foundations)
• Dr. Edward Orona (director) eorona_at_ysu.edu
• Cheryl Coy (secretary) ckcoy_at_ysu.edu
• Contact info ext. 2377, Tod Hall 357

November 16-17, 2009
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Grant Development and Submission

• The Initial Phase Planning and Clearance
• Grant submission is a formal process requires
  pre-approval
• Grant awards are to the University, not to
  individuals
• YSU Policies and Procedures Red Guidebook
• http//www.ysu.edu/ogsp/d_proposal_develop
  ment_processing/Red_Guidebook.pdf
• Faculty as Principal Investigators (PIs) or
  Project Directors
• Involvement of Department Chairs and College
  Deans
• YSU Proposal Authorization and Approval Form
  Blue Sheet

- updated - on-line
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In previous 5 years, averaged gt 6 M per year in
awarded grants and contracts In FY 2008 and
2009, averaged 158 submissions requesting about
30 M annually
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•  
• OFFICE OF GRANTS SPONSORED PROGRAMS 
• EXECUTIVE SUMMARY
•  
• FY09 Activity Report
• July 1, 2008 - June 30, 2009
•  
• Awarded Proposals (Number)
• FY2008 FY2009 
• Annual Total 6,802,138 (100) 11,685,688
  (106)
•  
• Submitted Proposals (Number)
•  
• FY2008 FY2009
• Annual Total 31,407,122 (171) 30,048,885
  (146) 
•  
• Internal Grants to Faculty (awarded Spring 2009)

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Working Philosophy of OGSP

• Central role as a resource - faculty advocate
• Faculty development
• Institutional and academic advancement
• Help facilitate and coordinate the grant
• development and submission process
• Increase faculty recognition visibility of
  research and other scholarly activities

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Faculty Incentives Why Participate?

• Enhanced academic credentials
• Extra funds for creative scholarly activities
  and research (external and internal grants)
• Independence from constraints (politics) of dept.
  budgets
• Re-assigned time (grant buy-out from the
  Sponsor to engage in activities during academic
  year). Supplemental Pay summer (up to 3 months)

The Planning Process Why it is important.

• Early engagement and notice is critical
• Internal grant review a friendly, learning
  process
• Pre-approval faculty protection good intent
• Early planning and budget development improves
  the project and grant proposal !

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OGSP Services (Pre-Award)

• Project consultation, strategy and planning
• Research program announcements and requests for
  proposals (RFPs)
• Prospect identification (e-Grants Advisor,
  search engines)
• Budgets specific object codes and narrative
  (justification)
• Proposal preparation and submission
• Liaison to contact Sponsors reports (tech/
  performance, financial) , other issues
• Committees Human Subjects research (IRB),
  Animals (IACUC), other compliance
• NOTES
• 1. Difference between Grants vs. Gifts
  (defined pages 4-5 of RED Guidebook)
• Grants under OGSP within Academic Affairs
  (federal, state, local, industry,
• Gifts Office of University Advancement
  (private foundations)
• 2. Grant Writing vs. Grant Development
• OGSP is not grant-writing office. Can help edit,
  but cannot write technical project description
  he grant for you.
• Grant writing assistance Tutorials (under
  Construction- website)

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Stage I. Grant Planning and Development

• 1. Initial 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-specifi
  c)
• 2. Strategize and Develop Pre-Proposal Letter
  of Intent/inquiry
• Abstract, or
• 1-2 pp Proposal Text
• Preliminary Budget, Justification, Range
• Timeline

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Stage II. Grant Submission

• FULL PROPOSAL Read the RFP and guidelines.
• 10-20 pp Project Description (or Technical
  Narrative )
• 2-5 pp Budget Justification
• 1-2 pp Endorsement cover letters
• Appendix other materials, supporting documents
  
• (YSU info, Cover page Trustees Financial
  statements Assurances, compliance
  issues IDs 501c3, EINs, Dun and Bradstreet,
  etc.)

Note on Grant Writing Go to the
Tutorials - OGSP Website - under Construction
! One example at this CFDA site Writing
Grants
https//www.cfda.gov/index?staticgrantssgeneral
infomodelisttablisttabmodelist
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YSU in-house spreadsheet. All agencies have
different formats.
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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)
• overhead (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 in independent
  discussion with Sponsors.
• Reduced or no funds (for indirect costs)
  equates to lost revenue.
• A waiver (request for less) requires
  pre-approval of Authorized Official (PJK)!

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Budget Matching Funds
Hot issues !

• Cost-Sharing or Match for some grants, often
  required (non-voluntary)
• Needs YSU pre-approval must identify source
  of match. (on Blue Sheet)
• Pre-approval required by Dept Chairs and College
  Deans (if their account )
• Re-assigned time as cost-sharing an important
  issue.
• - needs Chair/Dean approval, since situation
  involves for replacement faculty.
• Indirect costs. re Waiver or reduced amount in
  the requested budget.
• The balance of the unrecovered indirect
  can be used as match.
• 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.

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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 Office)
• Grants Accounting ? unique Banner account and
  Training
• Budget Object Codes (FOAPALs)
• Personnel and Non-personnel codes (links on
  YSU website)

http//www.ysu.edu/vpadmin/foapal/GA_Banner_Expens
e_Codes_and_Descriptions-6-26-09(1).pdf
http//www.ysu.edu/vpadmin/foapal/banneraccountcod
esnon7xxxxx/pdf
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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.

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Food for thought

• I. Respect your Colleagues and their Time
• Your priorities are not my priorities. (and
  vice versa) - We are all busy.
• Show courtesy and patience other colleagues are
  ahead of you.
• Please allow sufficient time for review,
  obtaining signatures, and submission!
• Deadlines for signing (or OGSP meeting)
• advance notice - 3 full business days
• Deadlines for submission
• 1 day Earlier for electronic 2 days hard
  copy. (old memo)

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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 gt NIH training /certification
  requirement Coming soon in January!
• COFFELT HALL Spring 2010. We are moving !