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(The only Authorized Institutional Official)
The Initial Phase: “Planning and Clearance”
Grant awards are to the University
Grant submission is a formal process: requires pre-approval
YSU Proposal Authorization & Approval Form: “Blue Sheet”
“Red Guidebook” http:///www.ysu.edu/ogsp/d_proposal_development_processing/Red_Guidebook.pdf
March 19-22, 2010
In FY 2008 and 2009, averaged 158 submissions requesting about $30 M annually.
In previous 5 years, averaged > $6 M per year in awarded grants and contracts.
FY09 Activity Report
July 1, 2008 - June 30, 2009
Awarded Proposals (Number)
Annual Total$ 6,802,138 (100) $ 11,685,688 (106)
Submitted Proposals (Number)
Annual Total$ 31,407,122 (171) $ 30,048,885 (146)
Internal Grants to Faculty (awarded Spring 2009)
University Research Council Grants
9 Individual faculty or group awards $ 33,600
Research Assistant Awards
99 to faculty in support of undergraduate and graduate student research $172,600
Animal Subjects (IACUC)
Reminder: Difference between “Grants” vs. “Gifts”
Definitions: see pages 4-5of RED Guidebook
Grants: under OGSP within Academic Affairs Division
Gifts: office of University Advancement
Early Planning is important:
Get your Department Chairs and College Deans involved.
Prepare a better grant proposal:
* Early preparation (esp. budget) improves project planning and grant development !
Note: Grant “Writing” vs. Grant “Development
Grant-writing Tutorial” Go to:
YSU is a “registered” institution: User ID and PW
SEARCH FOR PROSPECTS:
FULL PROPOSAL: Read the entire RFP and guidelines.
(YSU information; Trustees; Financial statements; Assurances;
IDs, 501c3, EIN, SF424, “Cover page”, etc.)
Direct costs: salaries, fringe benefits, supplies, travel, equip. etc.
Indirect costs: (aka. Facilities and Administrative, F & A costs)
(funds - not seen or used by PI)
Hot issues !
Must identify source of match on Blue Sheet.
- needs Chair/Dean approval, since situation involves $ for replacement faculty.
The “unrecovered Indirects” $ can be used as match. (if Sponsor approves)
“Over-matching” - not allowed:
Thank you. Your proposal has been assigned an ID number by the Grants Office (S# --). We appreciate your effort.
A grant proposal was recently submitted WITHOUT adequate review and pre-approval by the appropriate institutional officials. Please forward us the grant-related correspondence with the external agency.
Be aware that the following may occur:
(a) Since it was submitted without proper review, YSU reserves the right to withdraw the grant submission 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.
Use of Indirect $:
25% to Univ. administration 50% Research Incentive Fund
25% to Dept/College (for RAs, URC grants, match)
YSU admin: gets the “Indirects”
Grant Submission FILE:
Proposal and Blue Sheet log-in: S#
Award Notice (or contract): Terms & Conditions
Budget: Excel spreadsheet
POST-AWARD (Grants Accounting)
Grants Accounting → unique Banner account # (FOAPAL)
“Budget Object Codes” ex. 211200-140999
Personnel and Non-personnel codes: go to http://www.ysu.edu/vpadmin/servres.shtml
(Tod Hall 357) ext. 2377
Submission of grant proposals
Acceptance of award
Grant/contract agreements (sub-awards)
Initial or “single point of contact” (SPOC)
Budgets and budget revision
Other changes in scope of project
Grants Accounting Office:
(Jones Hall 3009) – Beth Kushner, Dave Edwards
Post-award financial matters and questions (FPOC)
Establish a unique Banner FOAPAL ID number
Documentation of grant expenditures
Deposit checks; electronic fund transfers (EFT)
Billing and invoicing
Financial reports (interim & final), and closeout procedures
Reminder: send copies to OGSP http://www.ysu.edu/ogsp/pdfs/Performance.pdf
Terms and Conditions include specificity about:
Two Types of Awards (fixed price or cost-reimbursement)
at closeout …
if Exceed project costs, Dept/College pays the difference, OR
if Balance of $ remain, keep the $ at YSU (Board Policy on their “use”)
at closeout …
All funds may not be expended (up to Project Total $), or
other scenarios may occur.
…. “It all depends” (on the Sponsor Terms & Conditions) …
Follow-up 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 $
On Grant Projects (re: narrative in Budget Justification)
Academic year: cover reassigned time (# credit- hrs)
if extra , based on overload rate of $1250 per credit hour. Summer: up to 2-3 months, dependent upon Sponsor
1. Respect your Colleagues and their Time:
“Your priorities are not my priorities”. We are all busy.
Show courtesy and patience: other colleagues are ahead of you.
Allow sufficient time for review (YSU/OGSP) and obtaining signatures.
2. Submission deadlines: Read instructions and follow directions.
Give me 3 full business days – minimum notice.
earlier at OGSP – than the Sponsor RFP deadline.
** 1 day earlier for electronic; 2 days earlier for hard copy ** (memo)
3. Do NOT start a “project activity” prior to when grant/contract agreements and negotiations are fully signed and completed. (re: “Start date”)
4. Do NOT transfer funds or pay expenditures from a different grant account, prior to a new Banner FOAPAL set-up. (“co-mingling” – audit concern).
* Serious offenses. If suspect “Fraud” – contact Inspector General.
“Profiling” is not always a bad thing!
(develop individual profile; receive auto. emails based on interests)
1. “Grants Advisor Plus”:
2. InfoED site: “SPIN and GENIUS/SMARTS”
Note: * NIH Training /Certification requirement * Coming in Fall 2010!