The Grant Development Process at YSU: The Grant Development Process at YSU: “GRANTS 101”: novices“GRANTS 101”: novices

Associate Provost for Research, Dean of Graduate Studies and ResearchAssociate Provost for Research, Dean of Graduate Studies and Research Dr. Peter J. Kasvinsky Dr. Peter J. Kasvinsky

(Authorized Institutional Official)(Authorized Institutional Official)

Office of Grants and Sponsored Programs (OGSP)Office of Grants and Sponsored Programs (OGSP) (grants and contracts: from federal, state and (grants and contracts: from federal, state and

local agencies, industry, private foundations)local agencies, industry, private foundations)

Dr. Edward Orona (director): Dr. Edward Orona (director): eorona@ysu.eduCheryl Coy (secretary): Cheryl Coy (secretary): ckcoy@ysu.edu

Contact info: ext. 2377, Tod Hall 357Contact info: ext. 2377, Tod Hall 357

November 16-17, 2009

Grant Development and SubmissionGrant Development and Submission The Initial Phase: “Planning and Clearance”The Initial Phase: “Planning and Clearance”

Grant submission is a Grant submission is a formal processformal process: requires pre-approval : requires pre-approval Grant awards are to the University, not to individualsGrant awards are to the University, not to individualsYSU Policies and Procedures: “Red Guidebook”YSU Policies and Procedures: “Red Guidebook”

http://www.ysu.edu/ogsp/d_proposal_development_processing/Red_Guidebook.pdf

Faculty as Principal Investigators (PIs) or Project DirectorsFaculty as Principal Investigators (PIs) or Project DirectorsInvolvement of Department Chairs and College DeansInvolvement of Department Chairs and College DeansYSU Proposal Authorization and Approval Form: “Blue Sheet” YSU Proposal Authorization and Approval Form: “Blue Sheet”

- updated -

on-line

In previous 5 years, averaged > $6 M per year in awarded grants and contracts In FY 2008 and 2009, averaged 158 submissions requesting about $30 M annually

  

OFFICE OF GRANTS & SPONSORED PROGRAMS OFFICE OF GRANTS & SPONSORED PROGRAMS 

EXECUTIVE SUMMARYEXECUTIVE SUMMARY

  FY09 Activity ReportFY09 Activity Report

July 1, 2008 - June 30, 2009July 1, 2008 - June 30, 2009

  

Awarded Proposals (Number)Awarded Proposals (Number)

FY2008FY2008 FY2009FY2009  

Annual TotalAnnual Total $ 6,802,138 (100)$ 6,802,138 (100) $ 11,685,688 (106) $ 11,685,688 (106)

  

Submitted Proposals (Number)Submitted Proposals (Number)

  

FY2008FY2008 FY2009FY2009

Annual TotalAnnual Total $ 31,407,122 (171) $ 31,407,122 (171) $ 30,048,885 (146)$ 30,048,885 (146)  

  

Internal Grants to Faculty (awarded Spring 2009)Internal Grants to Faculty (awarded Spring 2009)

University Research Council Grants University Research Council Grants 

9 Individual faculty or group awards9 Individual faculty or group awards $ 33,600 $ 33,600 

  

Research Assistant AwardsResearch Assistant Awards

99 to faculty in support of undergraduate and graduate student research99 to faculty in support of undergraduate and graduate student research $172,600  $172,600 

Working Philosophy of OGSPWorking Philosophy of OGSP

Central role as a resource - faculty advocateCentral role as a resource - faculty advocate

Faculty development Faculty development Institutional and academic advancementInstitutional and academic advancementHelp facilitate and coordinate the grantHelp facilitate and coordinate the grant

development and submission processdevelopment and submission processIncrease faculty recognition: visibility of research Increase faculty recognition: visibility of research and other scholarly activitiesand other scholarly activities

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

Enhanced academic credentialsEnhanced academic credentialsExtra funds $$ for creative scholarly activities and research Extra funds $$ for creative scholarly activities and research (external (external and internal grants)and internal grants)Independence from constraints (politics) of dept. budgetsIndependence from constraints (politics) of dept. budgetsRe-assigned time (“grant buy-out” from the Sponsor to engage in activities Re-assigned time (“grant buy-out” from the Sponsor to engage in activities

during academic year). Supplemental Pay – during academic year). Supplemental Pay – summersummer (up to 3 (up to 3 months)months)

The Planning Process: Why it The Planning Process: Why it isis important. important.

Early engagement and notice is critical Early engagement and notice is critical

Internal grant review – a friendly, learning process Internal grant review – a friendly, learning process

Pre-approval = faculty protection; good intentPre-approval = faculty protection; good intent

Early planning and Early planning and budgetbudget development improves development improves the the project and grant proposal !project and grant proposal !

OGSP Services (Pre-Award)OGSP Services (Pre-Award)

Project consultation, strategy and planningProject consultation, strategy and planning Research: program announcements and requests for proposals (RFPs)Research: program announcements and requests for proposals (RFPs) Prospect identification (Prospect identification (e-Grants Advisor, search enginese-Grants Advisor, search engines))

BudgetsBudgets: specific $ object codes and narrative (justification) : specific $ object codes and narrative (justification) Proposal preparation and submissionProposal preparation and submission Liaison to contact Sponsors: reports (tech/ performance, financial) , other issuesLiaison to contact Sponsors: reports (tech/ performance, financial) , other issues

Committees : Human Subjects research (IRB), Animals (IACUC), other compliance” Committees : Human Subjects research (IRB), Animals (IACUC), other compliance”

NOTES:NOTES:1. Difference between “Grants” vs. “Gifts” (defined: pages 4-51. Difference between “Grants” vs. “Gifts” (defined: pages 4-5 of RED Guidebook)of RED Guidebook)

Grants: under OGSP within Academic Affairs (federal, state, local, industry,Grants: under OGSP within Academic Affairs (federal, state, local, industry,

Gifts: Office of University Advancement (private foundations)Gifts: Office of University Advancement (private foundations)

2. Grant “Writing” vs. Grant “Development”:2. Grant “Writing” vs. Grant “Development”:OGSP is not grant-writing office. Can help edit, but cannot write “technical” project OGSP is not grant-writing office. Can help edit, but cannot write “technical” project description description he grant for you. he grant for you. Grant writing assistance: Tutorials (“under Construction”- website) Grant writing assistance: Tutorials (“under Construction”- website)

Stage I. Grant Planning and DevelopmentStage I. Grant Planning and Development

1. Initial Search for Prospects:1. Initial Search 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)

2. Strategize and Develop Pre-Proposal: Letter of Intent/inquiry2. Strategize and Develop Pre-Proposal: Letter of Intent/inquiry

Abstract, orAbstract, or1-2 pp Proposal Text1-2 pp Proposal TextPreliminary Budget, Justification, $ RangePreliminary Budget, Justification, $ RangeTimelineTimeline

Stage II. Grant SubmissionStage II. Grant Submission

FULL PROPOSAL: Read the RFP and guidelines.FULL PROPOSAL: Read the RFP and guidelines.

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

2-5 pp Budget Justification *2-5 pp Budget Justification *

1-2 pp Endorsement cover letters1-2 pp Endorsement cover letters

Appendix: other materials, supporting documents Appendix: other materials, supporting documents (YSU info, Cover page; Trustees; Financial statements; Assurances, (YSU info, Cover page; Trustees; Financial statements; Assurances, compliance issues; IDs: 501c3, EINs, Dun and Bradstreet, etc.)compliance issues; IDs: 501c3, EINs, Dun and Bradstreet, etc.)

NoteNote on: on: “Grant Writing” “Grant Writing” Go to the “Tutorials” - OGSP Website - under Construction !Go to the “Tutorials” - OGSP Website - under Construction !One example at this CFDA site: “Writing Grants” One example at this CFDA site: “Writing Grants”

https://www.cfda.gov/index?static=grants&s=generalinfo&mode=list&tab=list&tabmode=list

YSU in-house spreadsheet. All agencies have different formats.

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: (aka. Facilities and Administrative, F & A costs)Indirect costs: (aka. Facilities and Administrative, F & A costs)““overhead” (not seen or used by PI)overhead” (not seen or used by PI)

Indirect Costs are “real and allowable costs” (cost of business) Indirect Costs are “real and allowable costs” (cost of business) YSU rate: formally negotiated with Dept. Health & Human ServicesYSU rate: formally negotiated with Dept. Health & Human ServicesCurrent Indirect rate = 51.5% of salaries and wages (on campus)Current Indirect rate = 51.5% of salaries and wages (on campus)

If sponsor RFP has reduced % or $0 for Indirect costs, YSU accepts policy. If sponsor RFP has reduced % or $0 for Indirect costs, 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 in independent discussion with Sponsors. “negotiate” these in independent discussion with Sponsors.

Reduced or no funds (for indirect costs) = equates to “lost revenue”. Reduced or no funds (for indirect costs) = equates to “lost revenue”. A “waiver” (request for less) – requires pre-approval of Authorized Official A “waiver” (request for less) – requires pre-approval of Authorized Official (PJK)!(PJK)!

Budget: Matching Funds Budget: Matching Funds

Cost-Sharing or MatchCost-Sharing or Match: for some grants, $ often required (non-voluntary) : for some grants, $ often required (non-voluntary) Needs YSU pre-approval; must identify source of match. (on Blue Sheet) Needs YSU pre-approval; must identify source of match. (on Blue Sheet)

Pre-approvalPre-approval required by Dept Chairs and College Deans (if their account #) required by Dept Chairs and College Deans (if their account #)

Re-assigned timeRe-assigned time as cost-sharing: an important issue. as cost-sharing: an important issue. - needs Chair/Dean approval, since situation involves $ for replacement faculty. - needs Chair/Dean approval, since situation involves $ for replacement faculty.

Indirect costsIndirect costs. re: Waiver or reduced amount in the requested budget. . re: Waiver or reduced amount in the requested budget. The balance of the “unrecovered indirect $” can be used as match. The balance of the “unrecovered indirect $” can be used as match.

Match only the required $ amountMatch only the required $ amount, as described in the RFP. , as described in the RFP. “ “Over-matching” - not allowed:Over-matching” - not allowed:

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 issue: difficult to trace and complicatedAudit/Compliance issue: difficult to trace and complicatedThese $ sources cannot be used elsewhere. These $ sources cannot be used elsewhere.

Hot issues !

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)

Grant Award: “account” Set-up Grant Award: “account” Set-up

http://www.ysu.edu/vpadmin/foapal/banneraccountcodesnon7xxxxx/pdf

http://www.ysu.edu/vpadmin/foapal/GA_Banner_Expense_Codes_and_Descriptions-6-26-09(1).pdf

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 deliverablesReminder: send copies to OGSP Reminder: send copies to OGSP http://www.ysu.edu/ogsp/pdfs/Performance.pdfhttp://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. Completion of personnel Time and Effort (“activity”) reports as required 4. Completion of personnel Time and Effort (“activity”) reports as required

5. Review and validation of financial reports generated by Grants Accounting 5. Review and validation of financial reports generated by Grants Accounting for for submission to sponsorsubmission to sponsor

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.

““Food for thought”Food for thought”

I. Respect your Colleagues and their Time:I. Respect your Colleagues and their Time:

““Your priorities are Your priorities are notnot my priorities”. (and vice versa) - We are my priorities”. (and vice versa) - We are allall busy. busy.Show courtesy and patience: other colleagues are ahead of you.Show courtesy and patience: other colleagues are ahead of you.

Please allow sufficient time for review, obtaining signatures, and submission!Please allow sufficient time for review, obtaining signatures, and submission!

Deadlines: for signing (or OGSP meeting) Deadlines: for signing (or OGSP meeting)

advance notice - 3 full business days advance notice - 3 full business days

Deadlines: for submission Deadlines: for submission

1 day 1 day EarlierEarlier for electronic; 2 days hard copy. (old memo) for electronic; 2 days hard copy. (old memo)

OGSP Website and NewsOGSP Website and News

BOOKMARK this Link ! Go to: http://www.ysu.edu/ogsp/ BOOKMARK this Link ! Go to: http://www.ysu.edu/ogsp/

External Funding Opportunities: use the SEARCH EnginesExternal Funding Opportunities: use the SEARCH Engines

““Profiling” is not always a bad thing! Profiling” is not always a bad thing!

(develop individual profile; receive auto. emails based on (develop individual profile; receive auto. emails based on interests)interests)

1. “Grants Advisor Plus”:1. “Grants Advisor Plus”:

http://www.grantadvisor.com/tgaplus/http://www.grantadvisor.com/tgaplus/

2. InfoED site: “SPIN and GENIUS/SMARTS”2. InfoED site: “SPIN and GENIUS/SMARTS”

http://www.infoed.org/home/officemenu.asp http://www.infoed.org/home/officemenu.asp

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 * Coming soon in January!Coming soon in January! COFFELT HALL – Spring 2010. We are moving ! COFFELT HALL – Spring 2010. We are moving !