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The Grant Development Process at YSU: GRANTS 101: novices


... Policies and Procedures: 'Red ... has reduced % or $0 for Indirect costs, YSU accepts policy. ... YSU Board Policy against 'over-matching' safeguard ... – PowerPoint PPT presentation

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Title: The Grant Development Process at YSU: GRANTS 101: novices

The Grant Development Process at YSU GRANTS
101 novices
  • Associate Provost for Research, Dean of Graduate
    Studies and Research
  • Dr. Peter J. Kasvinsky
  • (Authorized Institutional Official)
  • Office of Grants and Sponsored Programs (OGSP)
  • (grants and contracts from federal, state
  • local agencies, industry, private
  • 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
  • Grant awards are to the University, not to
  • YSU Policies and Procedures Red Guidebook
  • http//
  • Faculty as Principal Investigators (PIs) or
    Project Directors
  • Involvement of Department Chairs and College
  • YSU Proposal Authorization and Approval Form
    Blue Sheet

- updated - on-line
In previous 5 years, averaged gt 6 M per year in
awarded grants and contracts In FY 2008 and
2009, averaged 158 submissions requesting about
30 M annually
  • FY09 Activity Report
  • July 1, 2008 - June 30, 2009
  • Awarded Proposals (Number)
  • FY2008 FY2009 
  • Annual Total 6,802,138 (100) 11,685,688
  • Submitted Proposals (Number)
  • FY2008 FY2009
  • Annual Total 31,407,122 (171) 30,048,885
  • Internal Grants to Faculty (awarded Spring 2009)

Working Philosophy of OGSP
  • 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.
  • 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
  • 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
  • Research program announcements and requests for
    proposals (RFPs)
  • Prospect identification (e-Grants Advisor,
    search engines)
  • Budgets specific object codes and narrative
  • Proposal preparation and submission
  • Liaison to contact Sponsors reports (tech/
    performance, financial) , other issues
  • Committees Human Subjects research (IRB),
    Animals (IACUC), other compliance
  • 1. Difference between Grants vs. Gifts
    (defined pages 4-5 of RED Guidebook)
  • 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
  • Federal/state govt. and foundation sources
  • http//
  • Use professional organizations (discipline-specifi
  • 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.
  • 10-20 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,

Note on Grant Writing Go to the
Tutorials - OGSP Website - under Construction
! One example at this CFDA site Writing
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
Hot issues !
  • 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
  • - 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.
  • 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
  • Audit/Compliance issue difficult to trace and
  • These sources cannot be used elsewhere.

Grant Award account Set-up
  • 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
  • Budget Object Codes (FOAPALs)
  • Personnel and Non-personnel codes (links on
    YSU website)

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
  • 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 as required
  • 5. Review and validation of financial reports
    generated by Grants Accounting for submission to
  • 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

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
  • Profiling is not always a bad thing!
  • (develop individual profile receive auto.
    emails based on interests)
  • 1. Grants Advisor Plus
  • http//
  • 2. InfoED site SPIN and GENIUS/SMARTS
  • http//
  • Other The IRB must review and approve all
    research protocols involving human subjects.
    w . NIH training requirement
  • Note gt NIH training /certification
    requirement Coming soon in January!
  • COFFELT HALL Spring 2010. We are moving !