Transcript The Grant Development Process at Youngstown State University

March 25, 2015
“The Transition from Submission to
Post-Award Funding (Grants 102)”
Office of Grants and Sponsored Programs (OGSP)
Scott C. Martin, PhD
Interim Associate Dean for Research
(Designated “Authorized Institutional Official”)
Cheryl Coy, Secretary, x2377, [email protected]
Gary Clark, Coordinator, x2228, [email protected]
Ed Orona, PhD, Director [email protected]
---------------OGSP – facilitate and coordinate the grant development and
submission process; contract development; finalize awards.
(=>> federal, state govts, other agencies, business, industry)
OGSP -EXECUTIVE SUMMARY
Annual Report FY2013-14
July 1, 2013 - June 30, 2014
Awarded Proposals (Number)
Annual Total
FY2013
$ 3,553,670 (68)
FY2014
$ 7,213,042 (67)
Submitted Proposals (Number)
Annual Total
FY2013
$ 20,537,924 (101)
FY2014
$ 18,920,361 (106)
Internal Funding – Award during Spring 2014
University Research Council Grants
14 awards to faculty
$ 35,600
Research Assistant Awards - FY 2013 (not 2014)
100 to faculty in support of student research:
$168,498
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 *
Liaison for Agency and Sponsor 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 (RCR)
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 principles.
“Grant Development and Submission”
The Initial Phase: Planning and Clearance Process
Grant awards are to the University. YSU = Legal Applicant
Grant submission is a formal process: requires pre-approval
Proposal Authorization & Pre-approval Endorsement Routing Form:
“Blue Sheet” (Pre-approval form – same as “transmittal” or clearance form)
PI/PD  Dept Chair  Dean
(approval signatures)
“Red Guidebook”
http://web.ysu.edu/gen/ysu/Grant_Proposal_Development_m946.html
http://web.ysu.edu/gen/ysu/YSU_Internal_Forms__Reports_m947.html
The Submission Process:
“Notice of Intent” (NOI) – send email to us. (ckc, gc, eo)
Preferable – give, at least, 3 weeks advance notice.
http://web.ysu.edu/gen/ysu/OGSP_Standard_Operating_Procedures_SOP_m942.html
“Blue Sheet” = YSU Proposal Authorization and Pre-Approval Form
http://web.ysu.edu/gen/ysu/YSU_Internal_Forms__Reports_m947.html
This form and process must be completed
at least 3 days prior to the submission
of an external proposal .
(Read 3-day Policy)
http://web.ysu.edu/gen/ysu_generated_bin/documents/basic_module/OGSP.3_Day_Policy.for_NOI_attachment.pdf
==> Provide:
Deadline – Due Date (at the Sponsor),
Link to Request for Proposal (RFP) or Funding Opportunity,
Project Description (draft),
Budget and Budget Justification.
Office of Grants and Sponsored Programs (OGSP):
(Coffelt Hall) Ext. 2377
“PRE-award” (and some Post-)
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
Grant Award: Banner FOAPAL Set-up
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 (budget sub- codes)
↓
POST-AWARD (Controller /Grants Accounting)
1. Grants Accounting → unique Banner account # (FOAPAL)
with Budget Object Codes: ex. 211200-140999-xxxxxx
2. PI gets - “Grant Profile Sheet”: Summary of award info.
Budget: includes
Direct and
Indirect Costs
Budget
Sub-codes
(left column)
http://web.ysu.edu/gen/ysu/Grant_Proposal_Development_m946.html
MTDC rate
(8% -Educ.)
(40-50%) at
RIUs
(at a Research
Intensive Univ):
This EXAMPLE
Banner: 
FOAP
Sponsor => Notice of Grant Award (NOGA):
“Terms and Conditions”
“Award Acceptance”: Terms and Conditions include specificity on …
1.
2.
3.
4.
5.
6.
7.
8.
Reporting Requirements (Performance/Progress; Financial)
Restrictions on publicity (PR; disclaimers)
Publications and dissemination (restrictions, timing)
IP: Intellectual Property rights (and protections)
Compliance regulations (OMB Circulars A-21, A-133)
Agency specific Terms: RCR, FCOI
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 $
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 thus, become “de-obligated”. Funds are returned or not-used. (“ok”)
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) …
“Post-Award Guidance” – see OGSP website
Start and End dates: the Start date – when you can first expend
– Start Date- when you can first expend. End Date- closure begins,… unless
– NCE (no-cost extension), not given simply to use remaining funds.
Timing of expenditures - “late” ordering may not be honored.
(example- equipment, travel)
Cost transfers - use of one Banner FOAP, changed to Grant FOAP
(problematic; audit concerns – red flags)
Supplemental pays to faculty v. independent contractors
(Grant-funded Supplemental Form v. Procurement office form)
CITI Training Modules – IRB and RCR
Supplemental Pay: FYI
YSU Personnel Compensation Guidelines
http://www.ysu.edu/ogsp/new_announce.shtml
Policy YSU Board of Trustees (#7023.03) (effective 1/1/09)
Use of grant funds for Supplemental compensation:
(academic year or summer )
Academic year: can cover reassigned time (# credit- hrs)
or, if extra , based on overload rate of $1250 per credit hour.
Summer: usually limited to 2 months, dependent upon Sponsor
FORM (Grant-Funded Supplemental Pay) - available at website
http://www.ysu.edu/ogsp/internalforms.shtml
“CONSULTING” - FYI
True “Consulting” refers to activities outside of the University setting
(without the use of Univ. resources, space, equipment, etc. ) - see CBA
– Be careful of Conflict of Interest, Conflict of Commitment
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: 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.
“Food for thought”
1. Respect your Colleagues and their Time:
“We don’t have the same priorities.” We are all busy.
Have some patience: other colleagues are ahead of you, in the queue.
2. OGSP Submission 3-Day Policy and Sponsor deadlines: Read RFP carefully.
Give Notice of Intent (NOI) 3 full business days – minimum (best- 3 weeks)
Deadline at OGSP is 3 days earlier – than the Sponsor deadline.
3. Do NOT start a “project activity” prior to when Banner FOAPAL set-up and
contract 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).
Summary Notes
Advice for Experienced: Bookmark the OGSP website! Go to: home page.
- Review the content on ALL the web pages. http://www.ysu.edu/ogsp/
“External Funding Opps” – use SEARCH Engines.
1. Grants Advisor Plus.
2. InfoED: (SPIN & GENIUS/SMARTS)
Develop Draft Budget: Use Template – “Budget Auto-Calculator”
http://web.ysu.edu/gen/ysu/Grant_Proposal_Development_m946.html#Budget
Advice for Experienced Faculty:
1. Review Sponsor grant/contract Agreements: Terms and Conditions
2. Focus on: Banner, YSU support office personnel. (workflow)
Training using CITI modules (Collaborative Institutional Training Initiative)
- The IRB must review and approve all research protocols involving
human subjects. * Certification requirement.
- RCR (Responsible Conduct of Research) * Effective – 2014-1015