““The Grant Development, Submission and Award Process at YSU: The Grant Development, Submission and Award Process at YSU: The Role of Dept Chairs” The Role of Dept Chairs”

Office of Grants and Sponsored Programs (OGSP) x 2377 Office of Grants and Sponsored Programs (OGSP) x 2377 Ed Orona: Ed Orona: eorona@ysu.edu Cheryl Coy: Cheryl Coy: ckcoy@ysu.edu

Associate Provost for Research and Dean, Dr. Peter J. Kasvinsky Associate Provost for Research and Dean, Dr. Peter J. Kasvinsky (The (The onlyonly “Authorized Institutional Official”) “Authorized Institutional Official”)

November 8, 2011

on-line““Red Guidebook” Red Guidebook” http:///www.ysu.edu/ogsp/d_proposal_development_processing/Red_Guidebook.pdf

The Initial Phase: Planning and ClearanceThe Initial Phase: Planning and ClearanceYSU = Legal Applicant . Grant awards are made to the “University”YSU = Legal Applicant . Grant awards are made to the “University”Grant submission is a Grant submission is a formal processformal process: requires pre-approval : requires pre-approval YSU Proposal Authorization & Pre-Approval Form: YSU Proposal Authorization & Pre-Approval Form: “Blue Sheet”“Blue Sheet”PI/PD PI/PD Dept Chair Dept Chair Dean (approval signatures) Dean (approval signatures)

OGSP

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.

YSU Grant Activity

  

OFFICE OF GRANTS & SPONSORED PROGRAMS OFFICE OF GRANTS & SPONSORED PROGRAMS EXECUTIVE SUMMARYEXECUTIVE SUMMARY

  

Annual Report FY2010-11 Annual Report FY2010-11 July 1, 2010 - June 30, 2011July 1, 2010 - June 30, 2011

  Awarded Proposals (Number)Awarded Proposals (Number)

FY2010FY2010 FY2011FY2011Annual TotalAnnual Total $ 7,195,849 (98) $ 7,195,849 (98) $8,684,702 (80)$8,684,702 (80)

  Submitted Proposals (Number)Submitted Proposals (Number)

FY2010FY2010 FY2011FY2011Annual TotalAnnual Total $ 51,394,607 (162) $ 51,394,607 (162) $ 41,745,842 (111) $ 41,745,842 (111)

  Internal Grants to Faculty (awarded Spring 2011)Internal Grants to Faculty (awarded Spring 2011)

University Research Council Grants University Research Council Grants 13 awards to individual faculty or groups13 awards to individual faculty or groups $ 44,418 $ 44,418 

  Research Assistant AwardsResearch Assistant Awards91 to faculty in support of undergraduate and graduate student research91 to faculty in support of undergraduate and graduate student research $160,150  $160,150  

Faculty Incentives: Why Participate?Faculty Incentives: Why Participate?

Grant funds $ for creative scholarly activities and research Grant funds $ for creative scholarly activities and research Independence from constraints (politics) of Dept. budgetsIndependence from constraints (politics) of Dept. budgetsRe-assigned time (“buy-out” from Sponsor) during academic yearRe-assigned time (“buy-out” from Sponsor) during academic yearSupplemental pay in summer (up to 2-3 months)Supplemental pay in summer (up to 2-3 months)

Early Planning is important for better proposalEarly Planning is important for better proposal: : Get your Get your Department Chairs and College Deans involved.

*Early writing, esp. budget preparation improves project *Early writing, esp. budget preparation improves project planning and grant development !planning and grant development !

OGSP ServicesOGSP Services Project consultation and strategy development Project consultation and strategy development Funding opportunities: Requests for Proposals (RFPs), OGSP website: (use Funding opportunities: Requests for Proposals (RFPs), OGSP website: (use e-Grants Advisore-Grants Advisor, updated monthly), updated monthly)

Developing, reviewing and submitting external grant proposalsDeveloping, reviewing and submitting external grant proposals* Grant development: editing and budget assistance * Grant development: editing and budget assistance Agency and foundation liaison for contacts and visits Agency and foundation liaison for contacts and visits

*Accepting and authorizing awards (Notice of grant award)*Accepting and authorizing awards (Notice of grant award) Negotiating sponsor agreements and contracts (sub-grants)Negotiating sponsor agreements and contracts (sub-grants)* Interpreting award guidelines and Terms & Conditions * Interpreting award guidelines and Terms & Conditions

Mandated Compliance (by sponsors): Mandated Compliance (by sponsors): Responsible conduct of research (ethics); Responsible conduct of research (ethics); Human Subjects research (IRB);Human Subjects research (IRB); Animal Subjects (IACUC) - protocolsAnimal Subjects (IACUC) - protocols

Electronic (on-line) submission PortalsElectronic (on-line) submission Portals

OGSP “registers” OGSP “registers” YSU as the Legal Applicant at several YSU as the Legal Applicant at several sponsors: used to assign User IDs and PWssponsors: used to assign User IDs and PWs

Grants.Gov – submissions to federal agenciesGrants.Gov – submissions to federal agenciesNational Science Foundation (Fast Lane)National Science Foundation (Fast Lane)National Institutes of Health (eRA Commons)National Institutes of Health (eRA Commons)U. S. Department of Education (e-Grants)U. S. Department of Education (e-Grants)FedConnect: DoD, Dept. EnergyFedConnect: DoD, Dept. EnergySpace Telescope: STGMS systemSpace Telescope: STGMS systemU. S. Department of Justice (GMS)U. S. Department of Justice (GMS)Ohio Dept. Education (ODE): CCIP systemOhio Dept. Education (ODE): CCIP systemOhio Arts Council (OLGA) Ohio Arts Council (OLGA)

2. Reminder: Difference between “Grants” vs. “Gifts”2. Reminder: Difference between “Grants” vs. “Gifts”(Definitions: see pages 4-5(Definitions: see pages 4-5 in the RED Guidebook)in the RED Guidebook)

GiftsGifts: University Development office : University Development office

GrantsGrants: under OGSP within Academic Affairs Division: under OGSP within Academic Affairs Division(generally have “Deliverables”- Financial and other Progress Reports)(generally have “Deliverables”- Financial and other Progress Reports)

What OGSP is not.

1. Distinction between: Grant “Writing” vs. Grant “Development”1. Distinction between: Grant “Writing” vs. Grant “Development”

Grant-writing Tutorial Grant-writing Tutorial -- Go to: Go to: https://www.cfda.gov/index?static=grants&s=generalinfo&mode https://www.cfda.gov/index?static=grants&s=generalinfo&mode=list&tab=list&tabmode=list=list&tab=list&tabmode=list

PI Roles and ResponsibilitiesPI Roles and Responsibilities

1. Project management according to the approved scope of work, sponsor conditions 1. Project management according to the approved scope of work, sponsor conditions and budget (PI should review entire RFP and guidelines)and budget (PI should review entire RFP and guidelines)

2. Preparation and submission of progress reports and other deliverables2. Preparation and submission of progress reports and other deliverables Reminder: send copy to OGSP Reminder: send copy to OGSP http://www.ysu.edu/ogsp/pdfs/Performance.pdf

3. Supervision of expenditures in conformity with the budget and obtaining clearances 3. Supervision of expenditures in conformity with the budget and obtaining clearances from the University and Sponsor when proposing revisionsfrom the University and Sponsor when proposing revisions

4. Personnel Time and Effort (“activity”) reports – federal requirement; as needed 4. Personnel Time and Effort (“activity”) reports – federal requirement; as needed

5. Assist in review and validation of financial reports generated by Grants Accounting 5. Assist in review and validation of financial reports generated by Grants Accounting

6. Maintenance of records to establish documentation of expenditures and to 6. Maintenance of records to establish documentation of expenditures and to facilitate final project closeoutfacilitate final project closeout

7. Performance of project duties in conformity with generally accepted standards and 7. Performance of project duties in conformity with generally accepted standards and ethical responsibilities.ethical responsibilities.

Proposal Development and SubmissionProposal Development and Submission a. a. SEARCH FOR PROSPECTSSEARCH FOR PROSPECTS::

Use the “Grants Advisor” search engine to view (RFPs)Use the “Grants Advisor” search engine to view (RFPs)Federal/state govt. and foundation sourcesFederal/state govt. and foundation sources

http://www.ysu.edu/ogsp/ext_funding.shtml

Use professional organizations (discipline-specific)Use professional organizations (discipline-specific)

b. b. LETTER OF INTENT, OR PRE-PROPOSALLETTER OF INTENT, OR PRE-PROPOSAL: : Read the entire RFP and guidelines.Read the entire RFP and guidelines.

c. c. FULL PROPOSALFULL PROPOSAL: (set up meeting asap): (set up meeting asap)

10-20 pp Project Description or Narrative (Technical)10-20 pp Project Description or Narrative (Technical)

2-5 pp Budget Justification and Forms (sponsor versions) *2-5 pp Budget Justification and Forms (sponsor versions) *

Appendix materials: (endorsements and supporting documents) Appendix materials: (endorsements and supporting documents) (YSU information; Trustees; Financial statements; Assurances; (YSU information; Trustees; Financial statements; Assurances; ID#s, 501c3, EIN, SF424, “Cover page info”, etc.)ID#s, 501c3, EIN, SF424, “Cover page info”, etc.)

Budget: Direct v. Indirect CostsBudget: Direct v. Indirect Costs

Requested Funds = Direct + Indirect Costs Requested Funds = Direct + Indirect Costs Direct costs: salaries, fringe benefits, supplies, travel, equip. etc.Direct costs: salaries, fringe benefits, supplies, travel, equip. etc.

Indirect costs: (= “Facilities and Administrative”, F & A costs)Indirect costs: (= “Facilities and Administrative”, F & A costs) (funds – not available to the PI)(funds – not available to the PI)

Indirect Costs are “real and allowable costs” (cost of business) Indirect Costs are “real and allowable costs” (cost of business) YSU: has a formal federally-negotiated F&A rate (with DHHS) YSU: has a formal federally-negotiated F&A rate (with DHHS) Current Indirect rate = 51.5% of salaries and wagesCurrent Indirect rate = 51.5% of salaries and wages

If Sponsor indicates zero ($0) or a reduced % F&A rate, YSU accepts policy. If Sponsor indicates zero ($0) or a reduced % F&A rate, YSU accepts policy. Otherwise, YSU seeks full rate request for Indirect costs. Otherwise, YSU seeks full rate request for Indirect costs. PIs should PIs should notnot “negotiate” these independently with potential Sponsors. “negotiate” these independently with potential Sponsors.

““Waiver” - requires pre-approval, of written request by Authorized Official (PJK). Waiver” - requires pre-approval, of written request by Authorized Official (PJK). Reduced or no funds (for Indirect costs) = equates to “lost revenue” Reduced or no funds (for Indirect costs) = equates to “lost revenue”

Budget: Matching Funds Budget: Matching Funds Cost-Sharing or MatchCost-Sharing or Match: $ often required (1:1 or more), as part of submission. : $ often required (1:1 or more), as part of submission.

Pre-approvalPre-approval required by Dept Chairs and College Deans (if their account #) required by Dept Chairs and College Deans (if their account #)Blue Sheet: must identify source of match. Blue Sheet: must identify source of match.

Re-assigned timeRe-assigned time as cost-sharing: an important issue. as cost-sharing: an important issue. - Dept Chair/Dean approval needed, since involves $ for replacement faculty. - Dept Chair/Dean approval needed, since involves $ for replacement faculty. - Budget request for sponsor funds based on pro-rated salary during AY. - Budget request for sponsor funds based on pro-rated salary during AY.

Indirect costsIndirect costs. If 0 or reduced $ (for indirect costs) are in the budget request, then the . If 0 or reduced $ (for indirect costs) are in the budget request, then the amount of the “unrecovered” Indirects” can be used as $ match. (with sponsor OK)amount of the “unrecovered” Indirects” can be used as $ match. (with sponsor OK)

Match only the required $ amountMatch only the required $ amount. “Over-matching” – neither preferred nor . “Over-matching” – neither preferred nor necessary. necessary.

YSU Board Policy against “over-matching” – safeguard University budget. YSU Board Policy against “over-matching” – safeguard University budget. Sponsoring Agency- does not necessarily want or need Sponsoring Agency- does not necessarily want or need Audit/Compliance issues: more documents for tracking, record retention Audit/Compliance issues: more documents for tracking, record retention These $ sources cannot be used elsewhere. These $ sources cannot be used elsewhere.

““Third PartyThird Party” matching (non-YSU) is ok. Need $ commitment in writing, in advance. ” matching (non-YSU) is ok. Need $ commitment in writing, in advance.

Hot issue!

Scenarios: after proposal submissionScenarios: after proposal submission

““BAD Doggie” BAD Doggie” “A grant proposal was submitted WITHOUT adequate review and pre-approval by the appropriate institutional officials. Please be aware that the following may occur:

(a) YSU reserves the right to withdraw the proposal, if there are problems.(b) If proposal is funded, YSU may accept the award. However, 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: Awards are made to the University! The “Legal Applicant” and “Grantee” is Youngstown State University.

““GOOD Doggie”GOOD Doggie”

Thank you. Your proposal has been assigned an ID number by the Grants Office (S# 123-11). We appreciate your effort.

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)

PI gets > “PROFILE Sheet”: Summary of grant award info.

Budget Object Codes: ex. 211200-140999-701105 (supplies)

Personnel and Non-personnel codes: http://www.ysu.edu/vpadmin/servres.shtml

Grant Award: Banner “account” set-up Grant Award: Banner “account” set-up

when “Funded”

Office of Grants and Sponsored Programs (OGSP): (Coffelt Hall) ext. 2377

“PRE-award” Submission of grant proposalsAcceptance of awardGrant/contract agreements (sub-awards)Initial or “single point of contact” (SPOC) Budgets and budget revisionNo-cost extensionsOther 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 numberDocumentation of grant expendituresDeposit checks; electronic fund transfers (EFT)Billing and invoicingFinancial reports (interim & final); closeout procedures

Sponsor => Notice of Grant Award (NOGA): Sponsor => Notice of Grant Award (NOGA): “Terms and Conditions”“Terms and Conditions”

Award Acceptance: Terms and Conditions include Award Acceptance: Terms and Conditions include specificityspecificity about: about:

1.1. Reporting Requirements Reporting Requirements (Performance/Technical; Financial)(Performance/Technical; Financial)2.2. Restrictions on publicity (PR; disclaimers)Restrictions on publicity (PR; disclaimers)3.3. PublicationsPublications and dissemination and dissemination 4.4. IPIP: Intellectual Property rights (and protections): Intellectual Property rights (and protections)5.5. Compliance regulations (OMB Circulars A-21, A-133)Compliance regulations (OMB Circulars A-21, A-133)6.6. Changes in project PI or Scope (SOW) Changes in project PI or Scope (SOW) 7.7. Grant close-out or NCE (no-cost extensions)Grant close-out or NCE (no-cost extensions)

Other project-related issues. Follow-up to NOGA actions may include: Other project-related issues. Follow-up to NOGA actions may include: 1. 1. Re-budgetingRe-budgeting: object codes or $ amounts - revised with Sponsor approval. : object codes or $ amounts - revised with Sponsor approval. 2. 2. No-cost extensionNo-cost extension request: to complete project, not simply to use $ request: to complete project, not simply to use $

Notice of Grant Award: (cont.)Notice of Grant Award: (cont.)

Two Types of Awards (cost-reimbursement* or fixed price)Two Types of Awards (cost-reimbursement* or fixed price)

Terms & Conditions - Terms & Conditions - Most grants are “Cost-reimbursable”.Most grants are “Cost-reimbursable”.

A. A. Cost-reimbursementCost-reimbursement: YSU gets $ based on receipts (invoices) . : YSU gets $ based on receipts (invoices) . at closeout …at closeout …

All funds may not be expended (up to the original Project Award Total $), All funds may not be expended (up to the original Project Award Total $), and they become “de-obligated”. Funds are returned or not-used. and they become “de-obligated”. Funds are returned or not-used.

B. B. Fixed-Price Fixed-Price (“lump sum”): Total project $ awarded upfront. (“lump sum”): Total project $ awarded upfront. at closeout …at closeout …

if Exceed project costs, Dept/College pays the difference, OR if Exceed project costs, Dept/College pays the difference, OR if Fund balance exists, keep residual $ at YSU (Board Policy- on “use”)if Fund balance exists, keep residual $ at YSU (Board Policy- on “use”)

……. . “It all depends”“It all depends” (on the Sponsor Terms & Conditions) … (on the Sponsor Terms & Conditions) …

Use of Indirect Costs $:

PI: gets the

“Directs” YSU admin: gets the

“Indirects”

Allocation of Recovered Indirect Costs

25% to College/Dept 25% to Admin. & Finance (accounting) 50% Research Incentive Fund (PJK)

(for RAs, URC grants, match)

Supplemental Pay: FYISupplemental Pay: FYI

YSU Personnel Compensation Guidelines YSU Personnel Compensation Guidelines http://www.ysu.edu/ogsp/new_announce.shtml http://www.ysu.edu/ogsp/new_announce.shtml Policy (effective 1/1/09) – YSU Board of Trustees (#7023.03) Policy (effective 1/1/09) – YSU Board of Trustees (#7023.03) Use of grant funds for Supplemental compensation: Use of grant funds for Supplemental compensation:

(academic year or summer )(academic year or summer ) Academic yearAcademic year: cover reassigned time (# credit- hrs): cover reassigned time (# credit- hrs) if extra , based on overload rate of $1250 per credit if extra , based on overload rate of $1250 per credit

hour. hour. SummerSummer: up to 2-3 months, dependent upon Sponsor : up to 2-3 months, dependent upon Sponsor

Latest FORM (Supplemental pay) - available at websiteLatest FORM (Supplemental pay) - available at websitehttp://www.ysu.edu/ogsp/internalforms.shtml http://www.ysu.edu/ogsp/internalforms.shtml

““CONSULTING” - FYICONSULTING” - FYI

True “Consulting” refers to activities True “Consulting” refers to activities outsideoutside of the University setting of the University setting (without the use of Univ. resources, space, equipment, etc. ) - see (without the use of Univ. resources, space, equipment, etc. ) - see

CBACBA

State Law: ORC (Ohio Revised Code) Chapter 3356: covers “Consulting” State Law: ORC (Ohio Revised Code) Chapter 3356: covers “Consulting” and its relationship to YSU employees (at a public university in and its relationship to YSU employees (at a public university in

Ohio). Ohio).

Memo (“Continuing Reminder”) to Faculty: see OGSP websiteMemo (“Continuing Reminder”) to Faculty: see OGSP websitehttp://www.ysu.edu/ogsp/OGSP_YSU_Consulting_memo_updated_Fall_%202009.pdfhttp://www.ysu.edu/ogsp/OGSP_YSU_Consulting_memo_updated_Fall_%202009.pdf

On GrantOn Grant - Budget Justification or Narrative - Budget Justification or NarrativeOnly Only non-YSUnon-YSU personnel are paid as “consultants” personnel are paid as “consultants” Use the “Fees and Service” budget code (701805) in the Banner system. Use the “Fees and Service” budget code (701805) in the Banner system.

““Food for thought”Food for thought”1. Respect your Colleagues and their Time:1. Respect your Colleagues and their Time:

““Your priorities and my priorities are Your priorities and my priorities are notnot the same”. We are the same”. We are allall busy. busy. Please have patience: other colleagues may be ahead of you.Please have patience: other colleagues may be ahead of you.Allow sufficient time for review (YSU/OGSP) and obtaining signatures.Allow sufficient time for review (YSU/OGSP) and obtaining signatures.

2. Submission deadlines: Read and follow RFP instructions carefully. 2. Submission deadlines: Read and follow RFP instructions carefully. POLICYPOLICY. Give me 3 full business days – minimum. (better- 2 or 3 wks) . Give me 3 full business days – minimum. (better- 2 or 3 wks)

Deadline at OGSP is Deadline at OGSP is 3 days earlier 3 days earlier – than the Sponsor deadline. – than the Sponsor deadline.

3. Do NOT start a “project activity” prior to when grant/contract agreements and 3. Do NOT start a “project activity” prior to when grant/contract agreements and negotiations are fully signed and completed. (re: “Start Date”) negotiations are fully signed and completed. (re: “Start Date”)

4. Do NOT transfer funds or pay expenditures from a different grant account, prior 4. Do NOT transfer funds or pay expenditures from a different grant account, prior to a new Banner FOAPAL set-up. (“cost transfers”) to a new Banner FOAPAL set-up. (“cost transfers”) (Avoid red flags: late grant purchases; “co-mingling” - audit concerns). (Avoid red flags: late grant purchases; “co-mingling” - audit concerns).

5. Compliance – internal Qs about YSU expenditures; expect them.5. Compliance – internal Qs about YSU expenditures; expect them.

Summary Notes:Summary Notes:

Advice for Advice for NovicesNovices: Funding Opps – use SEARCH Engines; OGSP appt. : Funding Opps – use SEARCH Engines; OGSP appt. “ “Profiling” is not always bad! Profiling” is not always bad! (develop individual profile; receive auto. emails (develop individual profile; receive auto. emails 1. “Grants Advisor Plus”: http://www.grantadvisor.com/tgaplus/1. “Grants Advisor Plus”: http://www.grantadvisor.com/tgaplus/2. InfoED: SPIN, GENIUS/SMARTS” 2. InfoED: SPIN, GENIUS/SMARTS” http://www.infoed.org/home/officemenu.asp http://www.infoed.org/home/officemenu.asp

Advice for Advice for ExperiencedExperienced Faculty: Faculty:1. Review Sponsor grant/contract Agreements: Terms and Conditions1. Review Sponsor grant/contract Agreements: Terms and Conditions2. Check your budget expenditures regularly (quarterly and near close-out). 2. Check your budget expenditures regularly (quarterly and near close-out).

Advice for Advice for Dept. ChairsDept. Chairs: : 1. Discuss the planned submission with your faculty and Dean, as necessary1. Discuss the planned submission with your faculty and Dean, as necessary2. Refresh yourself on: Banner, YSU support office personnel. (workflow) 2. Refresh yourself on: Banner, YSU support office personnel. (workflow)

Other: The IRB must review and approve all research protocols involving Other: The IRB must review and approve all research protocols involving human subjectshuman subjects. w . NIH training requirement. w . NIH training requirement

Note: * NIH Training /Certification Requirement * Note: * NIH Training /Certification Requirement * still effective -Fall 2011!still effective -Fall 2011!

ContextContext for the near future: FY12, 13 for the near future: FY12, 13

1.1. Increasing sponsor Compliance and oversight - Increasing sponsor Compliance and oversight -

2.2. Tight YSU and Sponsor budgets - Tight YSU and Sponsor budgets -

3.3. Institutional Integrity and Ethics - Institutional Integrity and Ethics - YSU has a YSU has a fiduciary responsibilityfiduciary responsibility – to sponsors and – to sponsors and taxpayers to manage their grant funds wisely and ethically. taxpayers to manage their grant funds wisely and ethically.

*BOOKMARK the OGSP website! Go to: http://www.ysu.edu/ogsp/ *BOOKMARK the OGSP website! Go to: http://www.ysu.edu/ogsp/ Go to the first two pages: S.O.P. and Grant Development & Submission Go to the first two pages: S.O.P. and Grant Development & Submission

PUI (Predominately Undergraduate Institution)

“ERI”(Emerging Research Institution)

RIU(Research-Intensive University)

YSU – An emerging Urban Research University?

($10 – 15M in Research Expenditures)