The Grant Development Process at YSU: “GRANTS 101”: novices Associate Provost for Research, Dean of Graduate Studies and Research Dr. Peter J. Kasvinsky Dr. Peter J. Kasvinsky (Authorized Institutional Official) Office of Grants and Sponsored Programs (OGSP) (grants and contracts: from federal, state and (grants and contracts: from federal, state and local agencies, industry, private foundations) local agencies, industry, private foundations) Dr. Edward Orona (director): Cheryl Coy (secretary): Contact info: ext. 2377, Tod Hall 357 November 16-17, 2009

Grant Development and Submission The Initial Phase: “Planning and Clearance” Grant submission is a formal process: requires pre-approval Grant awards are to the University, not to individuals YSU Policies and Procedures: “Red Guidebook” Faculty as Principal Investigators (PIs) or Project Directors Involvement of Department Chairs and College Deans YSU Proposal Authorization and Approval Form: “Blue Sheet” - updated - on-line

In previous 5 years, averaged > $6 M per year in awarded grants and contracts In FY 2008 and 2009, averaged 158 submissions requesting about $30 M annually

OFFICE OF GRANTS & SPONSORED PROGRAMS OFFICE OF GRANTS & SPONSORED PROGRAMS EXECUTIVE SUMMARY FY09 Activity Report July 1, June 30, 2009 Awarded Proposals (Number) FY2008 FY2009 FY2008 FY2009 Annual Total$ 6,802,138 (100) $ 11,685,688 (106) Submitted Proposals (Number) FY2008 FY2009 Annual Total$ 31,407,122 (171) $ 30,048,885 (146) Annual Total$ 31,407,122 (171) $ 30,048,885 (146) Internal Grants to Faculty (awarded Spring 2009) University Research Council Grants University Research Council Grants 9 Individual faculty or group awards$ 33,600 9 Individual faculty or group awards$ 33,600 Research Assistant Awards 99 to faculty in support of undergraduate and graduate student research $172, to faculty in support of undergraduate and graduate student research $172,600

Working Philosophy of OGSP Central role as a resource - faculty advocate Central role as a resource - faculty advocate Faculty development Institutional and academic advancement Help facilitate and coordinate the grant development and submission process Increase faculty recognition: visibility of research and other scholarly activities

Faculty Incentives: Why Participate? Enhanced academic credentials Extra funds $$ for creative scholarly activities and research (external and internal grants) Independence from constraints (politics) of dept. budgets Re-assigned time (“grant buy-out” from the Sponsor to engage in activities during academic year). Supplemental Pay – summer (up to 3 months) The Planning Process: Why it is important. Early engagement and notice is critical Internal grant review – a friendly, learning process Pre-approval = faculty protection; good intent Early planning and budget development improves the project and grant proposal !

OGSP Services (Pre-Award) Project consultation, strategy and planning Project consultation, strategy and planning Research: program announcements and requests for proposals (RFPs) Research: program announcements and requests for proposals (RFPs) Prospect identification (e-Grants Advisor, search engines) Prospect identification (e-Grants Advisor, search engines) Budgets: specific $ object codes and narrative (justification) Budgets: specific $ object codes and narrative (justification) Proposal preparation and submission Proposal preparation and submission Liaison to contact Sponsors: reports (tech/ performance, financial), other issues Liaison to contact Sponsors: reports (tech/ performance, financial), other issues Committees : Human Subjects research (IRB), Animals (IACUC), other compliance” Committees : Human Subjects research (IRB), Animals (IACUC), other compliance”NOTES: 1. Difference between “Grants” vs. “Gifts” (defined: pages 4-5 of RED Guidebook) Grants: under OGSP within Academic Affairs (federal, state, local, industry, Grants: under OGSP within Academic Affairs (federal, state, local, industry, Gifts: Office of University Advancement (private foundations) 2. Grant “Writing” vs. Grant “Development”: OGSP is not grant-writing office. Can help edit, but cannot write “technical” project description he grant for you. Grant writing assistance: Tutorials (“under Construction”- website)

Stage I. Grant Planning and Development 1. Initial Search for Prospects: Use the “Grants Advisor” search engine to view (RFPs) Federal/state govt. and foundation sources Use professional organizations (discipline-specific) 2. Strategize and Develop Pre-Proposal: Letter of Intent/inquiry Abstract, or 1-2 pp Proposal Text Preliminary Budget, Justification, $ Range Timeline

Stage II. Grant Submission FULL PROPOSAL: Read the RFP and guidelines pp Project Description (or Technical Narrative ) 2-5 pp Budget Justification * 1-2 pp Endorsement cover letters Appendix: other materials, supporting documents (YSU info, Cover page; Trustees; Financial statements; Assurances, compliance issues; IDs: 501c3, EINs, Dun and Bradstreet, etc.) (YSU info, Cover page; Trustees; Financial statements; Assurances, compliance issues; IDs: 501c3, EINs, Dun and Bradstreet, etc.) Note on: “Grant Writing” Go to the “Tutorials” - OGSP Website - under Construction ! One example at this CFDA site: “Writing Grants”

YSU in-house spreadsheet. All agencies have different formats.

Budget: Direct v. Indirect Costs Requested Funds = Direct + Indirect Costs Direct costs: salaries, fringe benefits, supplies, travel, equip. etc. Indirect costs: (aka. Facilities and Administrative, F & A costs) “overhead” (not seen or used by PI) Indirect Costs are “real and allowable costs” (cost of business) YSU rate: formally negotiated with Dept. Health & Human Services Current Indirect rate = 51.5% of salaries and wages (on campus) 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 in independent discussion with Sponsors. Reduced or no funds (for indirect costs) = equates to “lost revenue”. A “waiver” (request for less) – requires pre-approval of Authorized Official (PJK)!

Budget: Matching Funds Cost-Sharing or Match: for some grants, $ often required (non-voluntary) Needs YSU pre-approval; must identify source of match. (on Blue Sheet) Pre-approval required by Dept Chairs and College Deans (if their account #) Re-assigned time 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 costs. re: Waiver or reduced amount in the requested budget. The balance of the “unrecovered indirect $” can be used as match. The balance of the “unrecovered indirect $” can be used as match. Match only the required $ amount, as described in the RFP. “Over-matching” - not allowed: “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. Hot issues !

PRE-AWARD (OGSP) Grant Submission FILE: Proposal and Blue Sheet log-in: S# Award Notice (or contract): Terms & Conditions Budget: Excel spreadsheet ↓ POST-AWARD (Grants Accounting Office) Grants Accounting → unique Banner account # and Training “Budget Object Codes” (FOAPALs) Personnel and Non-personnel codes: (links on YSU website) Grant Award: “account” Set-up

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 deliverables Reminder: send copies to OGSP 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 as required 5. Review and validation of financial reports generated by Grants Accounting for submission to sponsor 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.

“Food for thought” I. Respect your Colleagues and their Time: “Your priorities are not my priorities”. (and vice versa) - We are all busy. Show courtesy and patience: other colleagues are ahead of you. Please allow sufficient time for review, obtaining signatures, and submission! Deadlines: for signing (or OGSP meeting) advance notice - 3 full business days Deadlines: for submission 1 day Earlier for electronic; 2 days hard copy. (old memo)

OGSP Website and News BOOKMARK this Link ! Go to: External Funding Opportunities: use the SEARCH Engines “Profiling” is not always a bad thing! (develop individual profile; receive auto. s based on interests) (develop individual profile; receive auto. s based on interests) 1. “Grants Advisor Plus”: 2. InfoED site: “SPIN and GENIUS/SMARTS”  Other: The IRB must review and approve all research protocols involving human subjects. w. NIH training requirement Note: > NIH training /certification requirement * Coming soon in January! Note: > NIH training /certification requirement * Coming soon in January!  COFFELT HALL – Spring We are moving !