The Grant Development Process at YSU: GRANTS 102:

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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 eorona_at_ysu.edu Cheryl Coy
  ckcoy_at_ysu.edu

• 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

on-line
Red Guidebook http///www.ysu.edu/ogsp/d_
proposal_development_processing/Red_Guidebook.pdf
March 19-22, 2010
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YSU submissions and awards
In FY 2008 and 2009, averaged 158 submissions
requesting about 30 M annually. In previous 5
years, averaged gt 6 M per year in awarded
grants and contracts.
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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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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
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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?staticgrantssgeneral
  infomodelisttablisttabmodelist

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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)

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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-specifi
  c)
• 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.)

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(YSU in-house spreadsheet. All agencies have
different formats.)
Name Dr. Frank N. Stein Budget Example Budget Example Budget Example Budget Example
Proposal S 1234-09 (sample ) Budget Example Budget Example Budget Example Budget Example
Agency Federal Funding Agency
Project Period 07/01/2009 - 06/30/2010 Period 07/01/2009 - 06/30/2010
Year 1 FY2010
AGENCY AGENCY YSU Match (cost-share) YSU Match (cost-share)
Banner Code (Acct) Item Base Direct Costs Indirect Costs Amount Source/Notes
Banner Code (Acct)
Salaries 63,000 (Base salary for 9 months)
601300 Assistant Professor 7,875 4,056 Re-assigned 3 cr hours
Fringe (33) 2,599
602300 Fac. Salary (1050 /cr hr) 3,150 1,622 replacement cost 3 hours
Fringe (33) 1,040
604310 Fac. supplemental pay (summer) 7,000 3,605 Pro-rated for 1 month
Fringe (33) 2,310
605100 Graduate Assistant (acad. yr) 10,000 5,150
Fringe (77) 7,700 77 w/ tuition remission
605430 Research assistant 3,000 1,545
Fringe (5) 150
4,000 Identify source
701105 Supplies 2,500
701305 Travel 3,000
701735 Equipment Equipment 10,000 (Equip Federal definition
701330 Business-related expenses Business-related expenses 300 is 5000, single item)
701428 Telephone 500
701436 Postage 1,000
701805 Fees and Services 3,000
       
Total 65,123 15,978 4,000

Year One Total Award 81,101 Indirect Costs (or, Facilities Administrative, F A costs) Indirect Costs (or, Facilities Administrative, F A costs) Indirect Costs (or, Facilities Administrative, F A costs)
Year One cost-share 4,000 51.5 of salaries wages 51.5 of salaries wages
Total Project Cost 85,101
           

NOTES 1.Re-assigned Time CALCULATION 1.Re-assigned Time CALCULATION 1.Re-assigned Time CALCULATION
3 credit hours divide 24 hrs by 8 3 credit hours divide 24 hrs by 8
2.Summer up to 3 months, pro-rated 2.Summer up to 3 months, pro-rated 2.Summer up to 3 months, pro-rated
CALC divide base salary / 9 months CALC divide base salary / 9 months CALC divide base salary / 9 months

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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)
• (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)!

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Budget Matching Funds
Hot issues !

• 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.

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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 pre-approval 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.
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PI gets the Directs
Use of Indirect 25 to Univ. administration
50 Research Incentive Fund 25 to
Dept/College (for RAs, URC
grants, match)
YSU admin gets the Indirects
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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)
• 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

if Funded
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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
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Banner FOAPAL
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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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Sponsor gt Notice of Grant Award (NOGA)
Terms and Conditions

• Terms and Conditions include specificity about
• Acceptance of award
• Reports (Performance/Technical and Financial)
• Restrictions on publicity (PR disclaimers)
• Publications and dissemination
• Intellectual Property rights (and protections)
• Grant close-out or NCE (no-cost extensions)
• Other project-related issues.

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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

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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_u
  pdated_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.

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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

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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.

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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 NIH Training /Certification
  requirement Coming in Fall 2010!
• COFFELT HALL April 2010. We are moving !