“The 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

Interim Associate Dean for Research, Dr. Scott C. Martin (The designated Authorized Institutional Official)

Fall Semester, 2013

on-line

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

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)

Office of Grants and Sponsored Programs (OGSP)

Office of Grants and Sponsored Programs (OGSP)

External Funding: Activity and Success

Significant growth since OGSP inception (1994-95)

FY09 – highest in YSU history (> $11.68 M) FY11 – second highest in history (> $8.6M)

In past 5 years: averaged ~ $7.5 M per year in awarded grants and contracts

In past 5 years: averaged ~ 126 submissions requesting about $34.1 M annually

Incentives: Why Participate?

Grant funds $ for creative scholarly activities and research Independence from constraints (politics) of dept. budgetsRe-assigned time (“buy-out” from Sponsor) during academic yearSupplemental pay in summer (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 !

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) (RCR)

2. Reminder: Difference between “Grants” vs. “Gifts”(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

Electronic (on-line) submission Portals

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

Grants.Gov – submissions to federal agenciesNational Science Foundation (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)

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 deliverablesReminder: 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.

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.)

MTDC Base rate: used at other RUIs(8-50%)

Budget: Direct v. Indirect Costs

Requested Funds from a Sponsor = Direct + Indirect Costs Direct Costs: salaries, fringe benefits, supplies, travel, equip.

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

(funds – not available to the PI)

YSU rate: formal federal rate with Dept. Health & Human ServicesIndirect Costs are “real and allowable costs” (cost of business) Current Indirect Cost Rate = 53.0% 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.

A “waiver” – 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 (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, 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: The “Legal Applicant” is Youngstown State University. Grant “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.

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”

↓

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 (Grants Accounting)

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

Budget Object Codes: ex. 211200-140999-701105 (supplies)

2. 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

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) – Theresa Orwell, Deanna Parsons

“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): Terms and Conditions

“Award Acceptance”: Terms and Conditions include specificity on:

1. Reporting Requirements (Performance/Technical; Financial)2. Restrictions on publicity (PR; disclaimers)3. Publications and dissemination 4. IP: Intellectual Property rights (and protections)5. Compliance regulations (OMB Circulars A-21, A-133)6. Changes in project PI or Scope of Work 7. 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 $

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) …

“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. POLICYGive Notice of Intent (NOI) 3 full business days – minimum (best- 2/3 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”) – risk of not being reimbursed.

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.

Summary Notes:

Advice for Novices: Bookmark the website for OGSP! Go to:

- Review the first 2 web pages on Menu. http://www.ysu.edu/ogsp/

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

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. (NIH Training – being replaced)

Note: *CITI Training /Certification Requirement * coming Spring 2014!

Context for the near future:

1. Increasing Compliance and oversight

2. Tight YSU and Sponsor budgets

3. Institutional Integrity and EthicsYSU 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/