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“How to Transition: from Pre-Award Proposal to Post-Award Funding”

“How to Transition: from Pre-Award Proposal to Post-Award Funding”. Office of Grants and Sponsored Programs (OGSP)- Coffelt Hall Ed Orona: eorona@ysu.edu Cheryl Coy: ckcoy@ysu.edu Associate Provost for Research and Dean, Dr. Peter J. Kasvinsky

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“How to Transition: from Pre-Award Proposal to Post-Award Funding”

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  1. “How to Transition: from Pre-Award Proposal to Post-Award Funding” • Office of Grants and Sponsored Programs (OGSP)- Coffelt Hall Ed Orona: eorona@ysu.edu Cheryl Coy: ckcoy@ysu.edu • Associate Provost for Research and Dean, Dr. Peter J. Kasvinsky (The only Authorized Institutional Official) The Initial Phase: “Planning and Clearance” • Grant awards are to the University (YSU = Legal Applicant) • Grant submission is a formal process: requires pre-approval • YSU Proposal Authorization & Pre-Approval Form: “Blue Sheet” • PI/PD  Dept Chair  Dean (approval signatures) on-line “Red Guidebook” http:///www.ysu.edu/ogsp/d_proposal_development_processing/Red_Guidebook.pdf Fall Semester, 2011

  2. YSU Grant Activity 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.

  3. OFFICE OF GRANTS & SPONSORED PROGRAMS  EXECUTIVE SUMMARY Annual Report FY2010-11 July 1, 2010 - June 30, 2011 Awarded Proposals (Number) FY2010FY2011 Annual Total$ 7,195,849 (98) $8,684,702 (80) Submitted Proposals (Number) FY2010FY2011 Annual Total$ 51,394,607 (162) $ 41,745,842 (111) Internal Grants to Faculty (awarded Spring 2011) University Research Council Grants  13 awards to individual faculty or groups $ 44,418  Research Assistant Awards 91 to faculty in support of undergraduate and graduate student research $160,150  

  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 writing, esp. budget preparation 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) • Developing, reviewing and submitting external grant proposals • Grant development: editing and budget assistance * • Agency and foundation liaison for contacts and visits • Accepting and authorizing awards • Negotiating sponsor agreements and contracts (sub-grants) • Interpreting guidelines , Terms & Conditions, re; compliance with agency and University policies • Compliance : Human Subjects research (IRB);Animal Subjects (IACUC); Responsible conduct of research (ethics)

  6. What OGSP is not. 1. Distinction between: Grant “Writing” vs. Grant “Development” Grant-writing Tutorial - Go to: https://www.cfda.gov/index?static=grants&s=generalinfo&mode=list&tab=list&tabmode=list 2. Reminder: Difference between “Grants” vs. “Gifts” (Definitions: see pages 4-5in the RED Guidebook) Gifts: University Development 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. 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.

  9. 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-specific) 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: (endorsements and supporting documents) (YSU information; Trustees; Financial statements; Assurances; IDs, 501c3, EIN, SF424, “Cover page info”, etc.)

  10. Budget: Direct v. Indirect Costs • Requested Funds = Direct + Indirect Costs Direct costs: salaries, fringe benefits, supplies, travel, equip. etc. Indirect costs: (= “Facilities and Administrative”, F & A costs) (funds – not available 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# 123-11). 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! The “Legal Applicant” is Youngstown State University.

  13. PI: gets the “Directs” YSU admin: gets the “Indirects” Use of Indirect Costs $: 25% to College/Dept 50% Research Incentive Fund (PJK) 25% to VP Admin (accounting) (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) Notice of Grant Award Notice (NOGA): Terms & Conditions Budget: Excel spreadsheet (object codes) ↓ POST-AWARD (Grants Accounting) Grants Accounting → unique Banner account # (FOAPAL) Budget Object Codes: ex. 211200-140999-701105 (supplies) PI gets > PROFILE Sheet: Summary of grant award info. Personnel and Non-personnel codes: go to http://www.ysu.edu/vpadmin/servres.shtml when “Funded”

  15. 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) – Theresa Orwell, 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); closeout procedures

  16. Sponsor => 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, A-133) • 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 $

  17. Notice of Grant Award: (cont.) Two Types of Awards (cost-reimbursement or fixed price) Scenarios that may occur …. “It all depends” on the Sponsor Terms & Conditions - Most grants are “Cost-reimbursable”. • 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”) …. “It all depends” (on the Sponsor Terms & Conditions) …

  18. “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: see OGSP website http://www.ysu.edu/ogsp/OGSP_YSU_Consulting_memo_updated_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.

  19. 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

  20. “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. (better- 2 or 3 wks) 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. (“cost transfers”) (Avoid red flags; “co-mingling” - audit concerns). 5. Compliance – internal Qs about YSU expenditures; expect them.

  21. 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.grantadvisor.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 * still effective -Fall 2011!

  22. 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 and taxpayers to manage their grant funds wisely and ethically. *BOOKMARK the OGSP website! Go to: http://www.ysu.edu/ogsp/

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