Grant Development at YSU

1
Grant Development at YSUThe Transition
Pre-Award Proposal to Post-Award Funding

• Office of Grants and Sponsored Programs (OGSP)-
  Coffelt Hall
• Dr. Edward Orona eorona_at_ysu.edu Cheryl Coy
  ckcoy_at_ysu.edu
• Associate Provost for Research, Dr. Peter J.
  Kasvinsky
• (The only Authorized Institutional Official)

• 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
November 16, 2010
2
YSU Grant Activity
In FY 2008 FY 2010, averaged 158 submissions
requesting about 30 M annually. In previous 5
years, averaged gt 7 M per year in awarded
grants and contracts.
3

•  
• OFFICE OF GRANTS SPONSORED PROGRAMS 
• EXECUTIVE SUMMARY
•  
• FY10 Activity Report
• July 1, 2009 - June 30, 2010
•  
• Awarded Proposals (Number)
• FY2009 FY2010 
• Annual Total 11,685,688 (106) 7,195,849
  (98)
•  
• Submitted Proposals (Number)
•  
• FY2009 FY2010
• Annual Total 30,048,885 (146) 51,394,607
  (162)
•  
• Internal Grants to Faculty (awarded Spring 2009)

4
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 !

5
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)
• Grant development editing and budget assistance
  
• Developing, reviewing and submitting external
  grant proposals
• Agency and foundation liaison for contacts and
  visits
• Accepting and authorizing awards
• Negotiating sponsor agreements and contracts
  (sub-grants)
• Interpreting guidelines on Compliance with
  agency and University policies
• Committees Human Subjects research (IRB)
  Animal Subjects (IACUC)

6
What OGSP is not.
1. Distinction between Grant Writing vs.
Grant Development
Grant-writing Tutorial - Go to
https//www.cfda.gov/index?staticgrantssgeneral
infomodelisttablisttabmodelist
2. Reminder Difference between Grants vs.
Gifts (Definitions see pages 4-5 of RED
Guidebook) Gifts University Advancement
office Grants under OGSP within Academic
Affairs Division (generally have Deliverables-
financial and other project reports)
7
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)

8
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-specifi
  c)
• 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 (endorsement sand supporting
  documents)
• (YSU information Trustees Financial
  statements Assurances

9
Name Dr. Frank N. Stein Budget Example Budget Example Budget Example Budget Example
Proposal S 127-09 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 Student (Research) Assistant Student (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 (Contractual) Fees and Services (Contractual) 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
10
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
• 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).

11
Budget Matching Funds
Hot issue!

• 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.

12
Scenarios after proposal submission
GOOD Doggie
Thank you. Your proposal has been assigned an ID
number by the Grants Office (S 123-10). 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!
13
PI gets the Directs
YSU admin gets the Indirects
Use of Indirect Costs 25 to Univ.
administration 50 Research Incentive
Fund 25 to Dept/College (for RAs,
URC grants, match)
14
Grant Award Banner account Set-up

• PRE-AWARD (OGSP)
• Grant Submission FILE
• Proposal and Blue Sheet log-in S (submission)
• 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
• PROFILE Sheet Summary of grant award info.
• Personnel and Non-personnel codes go to
  http//www.ysu.edu/vpadmin/servres.shtml

when Funded
15
Banner FOAPAL
16
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) 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 Financia
l reports (interim final) closeout procedures
17
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.

18
Sponsor gt Notice of Grant Award (NOGA)
Terms and Conditions

• Award Acceptance Terms and Conditions include
  specificity about
• 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)
• 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

19
Notice of Grant Award (cont.)

• Two Types of Awards (cost-reimbursement or fixed
  price)
• 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)
• or other scenarios may occur, . It all
  depends (on the Sponsor Terms Conditions)
  

20
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 (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.

21
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

22
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
  notice.
• 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.
• (Avoid red flags co-mingling - audit
  concerns).
• 5. Compliance internal Qs about YSU
  expenditures expect them.

23
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.grantadviso
  r.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 Now effective -Fall 2010!

24
Context for the near future

• Increasing Compliance and oversight
• Tight YSU and Sponsor budgets
• Institutional Integrity and Ethics
• YSU has a fiduciary responsibility to
  sponsors, taxpayers,
• to manage their grant funds wisely and
  ethically.
• BOOKMARK the OGSP website! Go to
  http//www.ysu.edu/ogsp/