The Grant Development Process at YSU: GRANTS 102: “Experienced”

1. 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@ysu.edu Cheryl Coy: ckcoy@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

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

3. OFFICE OF GRANTS & SPONSORED PROGRAMS  EXECUTIVE SUMMARY FY09 Activity Report July 1, 2008 - June 30, 2009 Awarded Proposals (Number) FY2008FY2009 Annual Total$ 6,802,138 (100) $ 11,685,688 (106) Submitted Proposals (Number) FY2008FY2009 Annual Total$ 31,407,122 (171) $ 30,048,885 (146) Internal Grants to Faculty (awarded Spring 2009) University Research Council Grants  9 Individual faculty or group awards $ 33,600  Research Assistant Awards 99 to faculty in support of undergraduate and graduate student research $172,600 

4. 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 4-5of RED Guidebook Grants: under OGSP within Academic Affairs Division Gifts: office of University Advancement

5. 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?static=grants&s=generalinfo&mode=list&tab=list&tabmode=list

6. 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)

7. 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-specific) 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.)

8. (YSU in-house spreadsheet. All agencies have different formats.)

9. 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)!

10. 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.

11. 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.

12. 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”

13. Grant Award: “account” Set-up if “Funded” 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

14. 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

15. Banner FOAPAL

16. 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.

17. Sponsor => 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.

18. 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 $

19. “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_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.

20. 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

21. “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.

22. 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 !