“Grant Development and Submission:The Pre-Award Proposal Stage (Grants 101)”

Office of Grants and Sponsored Programs (OGSP)

Scott C. Martin, PhD Interim Associate Dean for Research

(The designated “Authorized Institutional Official”)

Cheryl Coy, Secretary, x2377, ckcoy@ysu.edu Gary Clark, Coordinator, x2228, gaclark@ysu.edu

Ed Orona, PhD, Director. eorona@ysu.edu

===========OGSP – facilitate and coordinate the grant development and submission process; finalize awards for grants and contracts.

>> federal, state govts, other agencies, industry

Fall - Oct. 6, 2014

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

“Grant Development and Submission”

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” (approval form – same as a “routing” or clearance form)PI/PD Dept Chair Dean (approval signatures)

“Red Guidebook”

http://web.ysu.edu/gen/ysu/YSU_Internal_Forms__Reports_m947.html

http://web.ysu.edu/gen/ysu/Grant_Proposal_Development_m946.html

Office of Grants and Sponsored Programs (OGSP)

Positive Trends:

Submissions and Awards

(5 Yr Rolling Average: Current FY + 4 previous Yrs)

Office of Grants and Sponsored Programs (OGSP)

External Funding: Activity and Success

Significant growth in twelve years (2002-2014) $3M ~ $8M

In past 5 years: averaged ~ 126 proposals, requested ~ $34M

In past 5 years: avg. ~ $7.5 M/year - in awarded grants, contracts

FY09 – highest in YSU history (> $11.68 M) FY11 – second highest at YSU (> $8.6M) FY14 - ended June 30. > $7.2 M = 3rd highest in history *

Faculty Incentives: Why Participate?

Grant funds $ for creative scholarly activities and research Promotion and tenure considerations Independence from constraints of Dept. (Univ.) budgetsRe-assigned time (“buy-out” from Sponsor funds) during AY Supplemental compensation (summer, AY) Students – increase their involvement (Mentoring)

Early Planning is important:

Early engagement with OGSP and “Notice of Intent” (NOI) is critical.

Get your Dept. Chairs and College Deans involved.

Internal grant pre-review – a learning and communication process

Early planning and budget creation improves development of the proposal!

OGSP: Pre-and Post-Award Services

Project consultation, prospect identification (Grants Advisor Plus, search engines)Responding to funding opportunities or Requests for Proposals (RFPs) Developing, reviewing and Submitting external grant proposalsAuthorizing grant Budgets (and revisions, extensions) *

Accepting and authorizing Awards (and sub-awards)Developing sponsor Agreements and Contracts (and sub-grants)Interpreting University policies and guidelines; grant Terms & Conditions

Helping to fulfill and track regulatory Compliance Requirements Committees : Human Subjects research (IRB), Animal Subjects (IACUC).Training - Responsible Conduct of Research (RCR)

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

Gifts: University Development office

Grants: under OGSP within Academic Affairs Division(generally have “Deliverables”- Financial , Progress Reports, etc.)

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

OGSP – assists with “Grant Development”

Electronic (on-line) submission Portals

YSU is a “registered” institution: OGSP – manages the User IDs and PW

SAM: federal System for Award Management (replaces CCR)Grants.Gov – submission to federal agenciesNational Science Foundation (NSF - Fast Lane)National Institutes of Health (eRA Commons)U. S. Department of Education (e-Grants)Ohio Dept. Education (ODE): CCIP systemFedConnect: DoD, Dept. Energy (DOE)Space Telescope: STGMS systemU. S. Department of Justice (GMS)DHHS – Electronic Hand Books (EHB)

PI Roles and Responsibilities

1. Project management according to the approved scope of work, sponsor conditions and budget

2. Preparation and submission of progress reports and other deliverables

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

4. Completion of “personnel activity” reports (Time and Effort)

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.

Searching, Planning - overview

A. SEARCH FOR PROSPECTS:

Use the “Grants Advisor” search engine to view (RFPs)Federal/State govt. and Foundation sources

http://web.ysu.edu/gen/ysu/External_Funding_Opportunities_m975.html

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, as needed)

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.)

The Submission Process:

“Blue Sheet” = the YSU Proposal Authorization and Pre-Approval Form

This form and process must be completed 3 days prior to the submission of a proposal externally.

Notice of Intent - Preferable – give, at least, 2-3 weeks advance notice.

   http://web.ysu.edu/gen/ysu/YSU_Internal_Forms__Reports_m947.html

==> Please provide:  Deadline – Due Date, Link to Request for Proposal (RFP) or Funding Opportunity,

Project Description (draft), Budget and Budget Justificationc.   >> (See next – Handout)

 

http://web.ysu.edu/gen/ysu/Grant_Proposal_Development_m946.html

YSU Indirect Cost Rate: 53% of Salaries

MTDC rate (8% -Educ.)

RIUs (Research Intensive Univ.): MTDC: 40-50%

YSU Indirect Cost Rate: based on 53% of Salaries

Budget: Direct v. Indirect Costs (F&A)

Requested Total Project Funds from a Sponsor = Direct + Indirect Costs

Direct Costs: salaries, fringe benefits, supplies, travel, equip. etc.

Indirect Costs: = “Facilities and Administrative” costs (F&A) ‘Institutional Overhead’ (funds – not available to the

PI)

Indirect Costs are “real and allowable costs” (cost of business) YSU rate (53% salaries): federally-negotiated rate (DHHS)

If sponsor RFP has 0 rate or reduced %, YSU accepts policy. Otherwise, YSU seeks full rate request for Indirect costs. PIs should not “negotiate” these independently with potential Sponsors.

A “waiver” of Indirect costs in the Sponsor budget request – requires pre-approval of YSU Authorized Official.

If no requests for funds for Indirects = equates to “lost revenue” !

Budget: Matching Funds Cost-Sharing or Match: for some grants, $ often required, up to 1:1 (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 is requested = “Unrecovered Indirects”. The “unrecovered Indirects” can be used as $ match with Sponsor

approval.

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 complicatedThese $ sources cannot be used elsewhere.

Matching: from “Third party” (non-YSU). Document $ amounts in writing.

Hot issue!

Scenarios: after proposal submission

“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, 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: The “Legal Applicant” is Youngstown State University. Grant and contract “awards” are made to the University!

“GOOD Doggie”

Thank you. Your proposal has been assigned an ID number by the Grants Office (ex. S# 1023-13). We appreciate your effort.

PRE-AWARD (OGSP)

Grant Submission FILE:

OGSP Proposal and Blue Sheet log-in: S# (submission)

Notice of Grant Award Notice (NOGA): Terms & Conditions

Budget: Excel spreadsheet (object codes)

↓

POST-AWARD (Controller /Grants Accounting)

1. Grants Accounting → unique Banner account # (FOAPAL)

with Budget Object Codes: ex. 211200-140999-22

2. PI gets - “Grants Profile Sheet”: Summary of award info.

Grant Award: Banner FOAPAL Set-up

when “Funded”

Use of Indirect Costs $:25% to College/Dept 50% Research Incentive Fund (Grad School)25% to VP Admin (accounting) (for RAs, URC grants, match)

PI: gets the “Direct Costs”

YSU Admin: gets the

“Indirect Costs”

↓

Summary:

Advice for Novices: Bookmark OGSP website: http://www.ysu.edu/ogsp/

- Initially, review the first 2 web pages on Menu.

Advice for Novices: “External Funding Opps” – use 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: “SPIN & GENIUS/SMARTS” http://www.infoed.org/home/officemenu.asp

Develop Draft Budget: Template – “Budget Auto-Calculator” http://web.ysu.edu/gen/ysu/Grant_Proposal_Development_m946.html#Budget

CITI Training: The IRB approves research protocols involving human subjects.(CITI - Certification Requirement) *

CITI: Responsible Conduct of Research (RCR) – re: NSF Fall 2014!

Context for the near future:

1. Increasing Compliance and oversight

2. Tight YSU and Sponsor budgets

3. YSU – major Administrative changes

4. Institutional Integrity and EthicsYSU has a fiduciary responsibility – to sponsors and

taxpayers

to manage their grant funds wisely and ethically.

THANK YOU! Comments, Questions ?