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The Transition: from Pre-Award Proposal to Post-Award Funding

Spring Semester, 2014. 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

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The Transition: from Pre-Award Proposal to Post-Award Funding

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  1. Spring Semester, 2014 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”) 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) go on-line http://www.ysu.edu/ogsp/ “Red Guidebook” ↓ web.ysu.edu/gen/ysu/Grant_Proposal_Development_m946.html

  2. 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

  3. Office of Grants and Sponsored Programs (OGSP)

  4. Positive Trends: Submissions and Awards (5 Yr Rolling Average: Current FY + 4 previous Yrs)

  5. 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 (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 !

  6. OGSP Services (“Pre- Award and some Post-Award”) • Project consultation and strategy development • Funding opportunities: Requests for Proposals (RFPs), PAs Use OGSP website (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 YSU Board and University policies • Research Compliance: Human Subjects research (IRB);Animal Subjects (IACUC); Responsible Conduct of Research (ethics) (RCR)

  7. 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 2. Reminder: Difference between “Gifts” vs. “Grants” (Definitions: see pages 4-5in the RED Guidebook) Gifts: University Development office Grants: under OGSP within Academic Affairs Division (generally have “Deliverables”- Financial , Progress Reports, etc.)

  8. 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 agencies • National Science Foundation (NSF - 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 (DOE) • Space Telescope: STGMS system • U. S. Department of Justice (GMS) • DHHS – Electronic Hand Books (EHB)

  9. 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.

  10. The Submission Process: • “Blue Sheet” = the YSU Proposal Authorization and Pre-Approval Form • Preferable – to give, at least, two weeks advance notice. • This form and process must be completed 3 days prior • to the submission of a proposal externally. • ==> Please provide:  • Deadline – Due Date, • Link to Request for Proposal (RFP) or Funding Opportunity, • Project Description (draft), • Budget and Budget Justification, etc.   

  11. 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, 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.)

  12. YSU Indirect Cost Rate: 53% of Salaries http://web.ysu.edu/gen/ysu/Grant_Proposal_Development_m946.html

  13. MTDC rate (8% -Educ.) (40-50%) at RIUs (Research Intensive Univ’s)

  14. Budget: Direct v. Indirect Costs (F&A) • 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 Services • Indirect Costs are “real and allowable costs” (cost of business) • Current Indirect Cost Rate base = 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” in the Sponsor request – requires pre-approval of YSU Authorized Official. • If “no requests for funds for Indirects” = equates to “lost revenue” !

  15. 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 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 complicated • These $ sources cannot be used elsewhere. • Matching: from “Third party” (non-YSU). Document $ amounts in writing.

  16. Scenarios: after proposal submission “GOOD Doggie” Thank you. Your proposal has been assigned an ID number by the Grants Office (ex. S# 1023-13). 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, 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!

  17. Sponsor => Notice of Grant Award (NOGA): “Terms and Conditions” “Award Acceptance”: Terms and Conditions include specificity on: • 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 of Work • 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 $

  18. Notice of Grant Award: (cont.) Two Types of Awards (cost-reimbursement or fixed-price) 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”) … “but, it all depends” (on the Sponsor Terms & Conditions) …

  19. Office of Grants and Sponsored Programs (OGSP): (Coffelt Hall) Ext. 2377 “PRE-award” primarily Submission of grant proposals Acceptance of award Grant/contract agreements (sub-awards) Initial or “single point of contact” (SPOC) Budgets and budget revisions No-cost extensions Other changes in Scope of project Controllers Office (formerly Grants Accounting): (Jones Hall) – Theresa Orwell, Alycia Sutherin “POST-award” Post-award financial matters and questions 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

  20. Grant Award: Banner FOAPAL Set-up when “Funded” 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-xxxxxx 2. PI gets - “Grants Profile Sheet”: Summary of award info.

  21. PI: gets the “Direct Costs” YSU Admin: gets the “Indirect Costs” Use of Indirect Costs $: 25% to College/Dept 50% Research Incentive Fund (Grad School) 25% to VP Admin (accounting) (for RAs, URC grants, match)

  22. “Food for thought” 1. Respect your Colleagues and their Time: “Your priorities are not my priorities”, and vice versa. 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. OGSP Submission Policy and Sponsor deadlines: Read RFP carefully. Give 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 Agreements are fully executed. (re: “Start Date”) – risk of not being reimbursed. 4. Do NOT transfer funds or pay expenditures from a different grant account, or 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.

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

  24. 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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