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

Office of Grants and Sponsored Programs (OGSP)- Coffelt Hall Office of Grants and Sponsored Programs (OGSP)- Coffelt Hall 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)

Fall Semester, 2011

on-line

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

The Initial Phase: “Planning and Clearance”The Initial Phase: “Planning and Clearance”Grant awards are to the University (YSU = Legal Applicant) Grant awards are to the University (YSU = Legal Applicant) Grant submission is a Grant submission is a formal processformal process: requires pre-approval : requires pre-approval YSU Proposal Authorization & Pre-Approval Form: “Blue Sheet”YSU Proposal Authorization & Pre-Approval Form: “Blue Sheet”

• PI/PD PI/PD Dept Chair Dept Chair Dean (approval signatures) Dean (approval signatures)

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 FY2011FY2011

Annual 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 FY2011FY2011

Annual 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 Awards

91 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 importantEarly Planning is important: : Get your Get your Department Chairs and College Deans involved.

Prepare a better grant proposal: Prepare a better grant proposal:

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

OGSP Services (“Pre- and Post-Award”)OGSP Services (“Pre- and Post-Award”)

Project consultation and strategy development Project consultation and strategy development Funding opportunities: Requests for Proposals (RFPs), PAsFunding opportunities: Requests for Proposals (RFPs), PAs OGSP website (use 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 Accepting and authorizing awards

Negotiating sponsor agreements and contracts (sub-grants)Negotiating sponsor agreements and contracts (sub-grants)

Interpreting guidelines , Terms & Conditions, re; compliance with agency Interpreting guidelines , Terms & Conditions, re; compliance with agency and University policiesand University policies

Compliance : Compliance : Human Subjects research (IRB);Human Subjects research (IRB); Animal Subjects (IACUC); Animal Subjects (IACUC); Responsible conduct of research (ethics) Responsible conduct of research (ethics)

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 project Reports)(generally have “Deliverables”- Financial and other project 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

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

YSU is a “registered” institution: User ID and PWYSU is a “registered” institution: User ID and PW

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)Ohio Dept. Education (ODE): CCIP systemOhio Dept. Education (ODE): CCIP systemFedConnect: DoD, Dept. EnergyFedConnect: DoD, Dept. EnergySpace Telescope: STGMS systemSpace Telescope: STGMS systemU. S. Department of Justice (GMS)U. S. Department of Justice (GMS)

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

5. Review and validation of financial reports generated by Grants Accounting 5. 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; IDs, 501c3, EIN, SF424, “Cover page info”, etc.)IDs, 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. Direct costs: salaries, fringe benefits, supplies, travel, equip.

etc.etc.Indirect costs: (= “Facilities and Administrative”, F & A costs)Indirect costs: (= “Facilities and Administrative”, F & A costs)

(funds – not available by PI)(funds – not available 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 wagesCurrent Indirect rate = 51.5% of salaries and wages

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 independently with potential Sponsors. “negotiate” these independently with potential 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” – requires pre-approval of Authorized Official (PJK). A “waiver” – requires pre-approval of Authorized Official (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)

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

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. If 0 or reduced $ amount in the requested budget (waiver- by PJK). If 0 or reduced $ amount in the requested budget (waiver- by PJK) These “unrecovered Indirects” $ can be used as match. (if Sponsor These “unrecovered Indirects” $ can be used as match. (if Sponsor

approves) approves)

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.

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

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. 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.

““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.

Use of Indirect Costs $:

25% to College/Dept 50% Research Incentive Fund (PJK)

25% to VP Admin (accounting) (for RAs, URC grants, match)

PI: gets the

“Directs”

YSU admin: gets the

“Indirects”

↓

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

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)

Scenarios that may occur …. Scenarios that may occur …. “It all depends”“It all depends” on the Sponsor on the Sponsor 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) …

““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 Grant Projects On Grant Projects (re: narrative in Budget Justification) (re: narrative in Budget Justification)

Only Only non-YSUnon-YSU personnel are paid as “consultants” (term is okay) personnel are paid as “consultants” (term is okay)

If you are on a grant project (elsewhere), use the term If you are on a grant project (elsewhere), use the term “contracted” services “contracted” services instead, if you are contributing to and being paid as YSU personnel.instead, if you are contributing to and being paid as YSU personnel.

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

new FORM (Supplemental pay) - available at websitenew FORM (Supplemental pay) - available at website

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

““Food for thought”Food for thought”

1. Respect your Colleagues and their Time:1. Respect your Colleagues and their Time:

““Your priorities are Your priorities are notnot my priorities”. We are my priorities”. We are allall busy. busy.Show courtesy and have patience: other colleagues are ahead of you.Show courtesy and have patience: other colleagues are 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, 4. Do NOT transfer funds or pay expenditures from a different grant account, prior to a new Banner FOAPAL set-up. (“cost transfers”) prior to a new Banner FOAPAL set-up. (“cost transfers”) (Avoid red flags; “co-mingling” - audit concerns). (Avoid red flags; “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:

Bookmark website for OGSP! Go to: http://www.ysu.edu/ogsp/ Bookmark website for OGSP! Go to: http://www.ysu.edu/ogsp/

Advice for Advice for NovicesNovices: External Funding Opps - use the SEARCH Engines.: External Funding Opps - 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 interests)(develop individual profile; receive auto. emails based on interests)

1. “Grants Advisor Plus”: http://www.grantadvisor.com/tgaplus/1. “Grants Advisor Plus”: 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

Advice for Advice for ExperiencedExperienced Faculty: Faculty:

1. Review Sponsor grant/contract Agreements: Terms and Conditions1. Review Sponsor grant/contract Agreements: Terms and Conditions

2. 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: for the near future:

1.1. Increasing Compliance and oversightIncreasing Compliance and oversight

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

3.3. Institutional Integrity and EthicsInstitutional Integrity and EthicsYSU has a YSU has a fiduciary responsibilityfiduciary responsibility – to sponsors and – to sponsors and

taxpayerstaxpayers

to manage their grant funds wisely and ethically. 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/