WESTERN KENTUCKY UNIVERSITY
Office of Sponsored Programs
104 Foundation Building
Bowling Green, KY 42101-3576
Telephone:(502) 745-4652
FAX: (502) 745-4211
E-mail: Phillip.Myers@Wku.Edu
Home Page: http://wkuweb1.wku.edu/Dept/Support/SponsPrg/grants/home.htm
November 27, 1995
Table of Contents
- EXECUTIVE SUMMARY
- ABBREVIATIONS
- INTRODUCTION
- AWARDS RECEIVED
- Awards Received by Academic College or Other Units
- Awards Received by Academic Departments
- Awards Received by Chief Support Units
- Awards Received by Award Type
- Awards by Funding Sources
- Top Ten Sponsors in Dollars Awarded
- Awards Received by Academic College or Other Units
- PROPOSAL SUBMISSIONS
- Number and Amount
- Top 10 Units
- Other Units
- Proposals Submitted by Type
- Top Ten Sponsors by Proposals Submitted
- COST SHARING IN GRANTS AWARDED
- INDIRECT COST SHARING IN AWARDS
- COST SHARING IN PROPOSALS SUBMITTED
- INDIRECT COST SHARING IN PROPOSALS
- AFFILIATION AGREEMENTS BETWEEN WESTERN AND EXTERNAL AGENCIES
- ACTIVITIES OF THE OFFICE OF SPONSORED PROGRAMS
- General Activities
- Pre-Award Activities
- Post-Award Activities
- Western Online Newsgroups
- Coordination Meetings -- Vice-Presidents
- Coordination with the Library
- Coordination with Finance and Administration
- Human Subjects of Research
- Coordination with Institutional Research
- Coordination Campus-Wide
- Coordination for a General Representative in Washington, D.C.
- Grants Advisory Committee and Other Activities of the OSP
- APPENDIX A - AWARDS 1ST QUARTER 1996 BY DEPARTMENT/UNIT
- APPENDIX B - PROPOSALS 1ST QUARTER 1996 BY DEPARTMENT/UNIT
- APPENDIX C - INDIRECT COSTS RECOVERY FOR AWARDS, 2nd QUARTER, FY 1996
EXECUTIVE SUMMARYThe Annual Report covers the activities of Sponsored Programs at Western Kentucky University from July 1, 1995-September 30, 1995. During this period, the University received 87 awards totaling $6,121,009 and submitted 62 proposals in the amount of $6,278,359. Both were records. The award amount increased by 42% over a year ago and 63% over 1993. Funding of research awards increased by $916,316, or 150%, over Fall 1994. The dollar amount of proposals submitted increased by $3,922,719 (166%) compared to a year ago. The number of proposals submitted increased 63% compared to this time last year.
Awards received during first quarters have increased in amount by 463% over the last eight years. The average size of awards was $58,264, which is an 82% increase over seven years ago. Comparisons with previous years are:
This Report Period (FY 96)
87 Awards Totaled $6,121,009 Average Size: $70,356 62 Proposals Totaled $6,278,359 Average Size: $101,264
One Year Previous (FY 95)
68 Awards Totaled $4,311,568 Average Size: $63,405 38 Proposals Totaled $2,355,640 Average Size: $61,991
Two Year's Previous (FY 94)
68 Awards Totaled $3,745,240 Average Size: $55,077 51 Proposals Totaled $5,469,271 Average Size: $95,952
Three Year's Previous (FY 93)
59 Awards Totaled $3,914,081 Average Size: $66,340 30 Proposals Totaled $15,393,012 Average Size: $114,662
The University continued to meet the needs of principal investigators for cost sharing during this reporting period. A University space per square foot cost of $4.17 for University maintenance and facilities annual upkeep was computed by Institutional Research and was used for cash matching or in-kind support in proposals. Similar rates exist for other space.
The OSP continued to hold one-hour conflict of interest discussion groups in its library through August 14. Overall, 60 faculty and staff members participated and learned about the University Conflict of Interest Policy.
A search committee met to consider applications for the position of Sponsored Programs coordinator. After five conference calls and two on-campus interviews, Molly Daniel, who has had extensive experience in research and sponsored programs administration at the University of Mississippi and the Universität Bayreuth in Germany, accepted the position in early September.
The draft indirect cost policy was discussed and a final draft was submitted to the President.
Policies and procedures continued to be written and implemented to add form to operations. A new Human Subjects of Research Information Packet and Application was instituted. The Guide for the Preparation of Grants and Contracts was revised and fielded, as were policies and procedures for units that the OSP is in almost daily contact with, such as the Center for Training and Development. The OSP Policies And Procedures Manual was updated for use of office staff and other personnel who are key to operations, such as staff accountants.
Sponsored Programs continued to rely heavily on the WKUNET to expedite operations through widespread use of e-mail with project directors, grant developers and external and potential sponsors, network application programs and the Internet. Postings about grant opportunities deadlines, tips, policies and procedures, conflict of interest policies and disclosure statement and current news, human subjects, and intellectual property were made during the quarter. Internet addresses to provide faculty and staff members with information from the grant community nationwide were posted on local.grants. These addresses were also mailed directly to faculty and staff members in the Western grant making community. All faculty and staff members whose offices are wired into WKUNET, or who have modems, may access the Newsgroups and the internet and respond with their own postings or by e-mail. A second dimension to local.grants is local.grants.information, which carries the policies and procedures of developing, submitting, receiving and administering grants at the University. All policies and procedures will be posted to local.grants.information . Several new Newsgroups came Online. They are local.grants.conflict (information about the conflict of interest policy and current developments nationwide); local.grants.tips(how to improve your grant writing strategies and skills-a continuous grant workshop, in other words);local.grants.human_subjects; and local.grants.intellectual_property.
The OSP made presentations about services to the new faculty and graduate students. Other activities included preparations for basic and advanced grant workshops to occur in October.
The OSP worked with 61 pre- and post-award faculty and staff members, about 10 graduate students during the first quarter and performed 30 searches for potential sponsors on the (Sponsored Programs Information Network (SPIN) which is available to the campus via the WKUNET. This internet initiative brings a massive database of potential sponsors, fellowships and scholarships right into the offices of faculty and staff members. The package includes the Federal Register Online and the Commerce Business Daily (CBD) a listing of government contracts. This database is searched intuitively by keyword or sponsor.
Information must be disseminated in many ways to reach all constituents. To help achieve this goal, Sponsored Programs continues to subscribe to the Office of Federal Programs Deadlines and Reports, and passes on announcements and deadlines in a monthly direct mailing to deans, heads, project directors and others who join the list. All are encouraged to use the local.grants Newsgroups. Plans are being laid to construct a Sponsored Programs Home Page during the next fiscal year to facilitate information management and relieve the OSP of the burden of heavy printing costs.
As you can see by consulting any of the tables in the appendices, brevity is required for entries into the OSP database of awards and proposals. Each database sheet is a record containing one award or proposal. There are a number of fields in each record which require brevity. For this reason, the following abbreviations are used for consistency in creating reports and the data that the reports produce.
Funding Agencies
Abbreviation Complete Name ACF Administration on Children and Families BRADD Barren River Area Development Division BSSC Bluegrass State Skills Commission CCC Child Care Consortium City of BG City of Bowling Green DOD U.S. Department of Defense DOE U.S. Department of Energy EKU Eastern Kentucky University, Richmond, KY EPA U.S. Environmental Protection Agency EPSCoR Experimental Program to Stimulate Competitive Research FD FOUNDATION Franklin Prec Indus Franklin Precision Industries, Bowling Green HHS U.S. Department of Health & Human Services KY Kentucky KY Cabinet for Human Resources Kentucky Cabinet for Human Resources KY Cabinet for Workforce Dev Kentucky Cabinet for Workforce Development KY Council on Economic Ed Kentucky Council on Economic Education KDE Kentucky Department of Education KYCHE Kentucky Council on Higher Education KY DOD/EPSCoR Kentucky U.S. Department of Defense/Experimental Program to Stimulate Competitive Research KY DOE/EPSCoR Kentucky U.S. Department of Energy/ Experimental Program to Stimulate Competitive Research KY Info Resource Mgt Comm. Kentucky Information Resource Management Commission KIER Kentucky Institute for Educational Research KIRM Kentucky Information Resources Management Commission KY NSF/EPSCoR Kentucky National Science Foundation/Experimental Program to Stimulate Competitive Research KY NASA/EPSCoR Kentucky U.S. National Aeronautics and Space Administration/Experimental Program to Stimulate Competitive Research KY SCI & TECH COUNC Kentucky Science and Technology Council LECO LECO Corporation, St. Joseph, MI NASA U.S. National Aeronautics and Space Administration NIA National Institute on Aging NPS National Park Service NRC National Research Council NSF National Science Foundation ONR Office of Naval Research ONRL Oak Ridge National Laboratory Potter Potter College of Arts, Humanities & Social Sciences TSU Tennessee State University, Nashville, TN UKRF University of Kentucky Research Foundation UKRF/DOE/EPSCoR University of Kentucky Research Foundation/U.S. Department of Energy/Experimental Program to Stimulate Competitive Research ULRF University of Louisville Research Foundation U.S. Commerce U.S. Department of Commerce U.S. DoED U. S. Department of Education U.S. EDA U.S. Economic Development Agency U.S. SBA U.S. Small Business Administration TVA Tennessee Valley AuthorityINTRODUCTION
The Office of Sponsored Programs (OSP) performs pre- and post-award services with faculty and staff members and students seeking external support for research and development, instruction and public service, scholarships, and fellowships. The OSP maintains a database of faculty and staff members' interests; identifies potential sponsors and program opportunities; assists with proposal development; presents workshops; cooperates with grant development initiatives of the deans and units across the campus; provides individual consultation; renders contract compliance and institutional assurance; establishes internal budgets for awards; negotiates post-award modifications; and provides liaison with external agencies on behalf of the University.RECORD AWARDS RECEIVED, 1ST QUARTER FY96
In this reporting period, Western Kentucky University received 87 awards in the amount of $6,121,009 that included $378,317 in indirect recovery costs. Compared to last year, these data reflect an increase of 19 awards (+27%) and an increase of $1,809,441 (+42%). Compared to last year, there was an increase of $191,407 in indirect recovery costs (+102%) See Table 1. (Awards totals for individual departments not listed in Table 2 (directly below) may be viewed on the next page in Table 3.)
Table 1. AWARDS RECEIVED, 1ST QUARTER 1988-1996
FY-95, July 1, Number of Awards Amounts of Awards 1994-September 30 Received Received 1988 -- 1,087,089 1989 -- 1,118,347 1990 -- 1,583,701 1991 42 2,061,044 1992 46 2,626,151 1993 59 3,914,081 1994 68 3,745,240 1995 68 4,311,568 1996 87 6,121,009
Awards Received by Principal Unit 1ST QUARTER FY 96
Comparisons with previous year first quarter awards received are made with many of the programs in the last two columns of Table 2.(Indirect costs are included in the total award and are also broken out separately.)
Table 2. Awards Received, 1ST QUARTER FY 1996, by Principal Unit
Unit Totals: Total Awards Awds 1ST QTR Indirect Indirect 1ST QTR FY96 95 Costs 1ST Costs 1ST QTR FY96 QTR FY95 College of Education & 3,307,121 2,701,479 204,601 175,764 Behavioral Sciences Ogden College 1,763,519 725,237 132,927 854 Center for Training & 314,609 56,945 18,840 1,849 Development Educational Television 259,902 555,450 0 0 Institute for Economic 188,540 0 11,953 0 Development and Public Service Continuing Education 75,623 0 5,602 5,300 Admissions 75,000 0 0 0 Potter College of Arts, 59,793 91,503 4,394 3,143 Humanities and Social Sciences Counseling Services Center 43,800 0 0 0 Community College 16,655 54,695 0 0 Bowling Green College of 8,500 9,799 0 0 Business Library 7,947 2,020 0 0 Total: 6,121,009 4,197,128 378,317 186,910Awards Received by Academic Departments, 1ST QUARTER FY 96
Thirteen academic departments and 28 faculty members received 53% of the total awards and 61% of the indirect costs recovered. The former percent is +2% over the annual percentage for FY 95; and the latter percent is +8% over the annual percentage for FY 95. There were 2 fewer departments receiving awards than Fall 1995. (In Table 3 below, indirect costs are included in the total award and are also broken out separately.)
Table 3. Awards Received by Academic Department
Unit Awardees Total Award Indirect Costs 1. Physics and Astronomy C. McGruder, D. 1,162,024 115,679 Harper, G. Vourpopoulos 2. Psychology E. Lemerise, L. 593,927 51,215 Layne, K. Ball 3. Teacher Education V. Stayton, J. 470,854 21,230 Schliefer, B. Askins, J. Vokurka, T. Daniel, R. Roberts 4. Public Health L. Juett 257,000 0 5. Educational Leadership D. Cline, M. Barton, 229,586 13,235 C. Wagner 6. Agriculture L. Hughes, D. Coffey 157,300 13,958 7. Nursing M. Hazzard, S. Jones 96,195 3,290 8. Chemistry W.P. Pan, L. Shank 91,000 0 9. Journalism J. Highland 42,881 3,178 10. Communication and J. Ryan/C. 16,665 0 Broadcasting Springer(Journalism) 11. Consumer and Family Treva Mitchell 5,928 0 Sciences 12. Finance and CIS J. Post 8,500 0 13. History J. Thacker 500 0 Total: 3,223,225 230,199Awards Received by Chief Support Units, 1ST QUARTER FY 96
The first, third and fourth units in Table 4 below are counted in the College of Education and Behavioral Sciences in Table 2 above. They are broken out here, along with the Center for Training and Development (CTD) to show their contributions. These programs accounted for 38% of total awards and 36% of the indirect recovery costs for this quarter.
Table 4. Awards Received by Chief Support Units
Support Unit Total Awards Indirect Costs Training & Technical Assistance Services --C. Mendel 1,519,918 85,689 Center for Training and Development (CTD)--K. Mussnug 314,609 18,840 Upward Bound--L. Gaines 263,927 17,530 Veterans Upward Bound--G. Gray 222,981 15,702 Totals: 2,321,435 137,761
Awards Received by Type 1ST QUARTER FY 96
Awards received are categorized by award type: grants, memoranda of agreement or understanding, contracts, and subcontracts. Table 5 shows that grants composed 43% of the award amount; memoranda composed 49%; and subcontracts composed 6% of the awards; and contracts counted for 3%.
Table 5. Awards Received by Award Type 1ST Quarter FY 96
Award Type Number of Awards Amount of Awards Grants 28 2,216,206 Memoranda of Agreement or 48 1,343,944 Understanding Subcontracts 4 1,197,277 Contracts 7 1,363,582 Totals: 87 6,121,009
Grants increased by 114% over last fall. MOA's increased 68% over last fall. Subs were up 561% from last fall due to the 1,000,000 from TSU for Physics & Astronomy. Contracts were up $15,753
Awards Received by Project Type 1ST QUARTER 96
Nearly 13% of the amount of awards received were for Instruction projects, just one percent more than last year at this time; 27% percent supported research, an increase of $982,351 over first quarter last year, or an increase of 150% in research funding compared to the same time last year; and 59% supported Public Service projects, which was an increase of $537,269 over public service awards at this time last year. The average award size this year for the first quarter was $70,356 whereas last year it was $64,675.
Table 6. Awards Received by Project Type
Project Type Number of Amounts of Awards Awards Instruction 43 788,560 Research 5 1,637,979 Public Service 38 3,619,470 Scholarships 1 75,000 Totals: 87 6,121,009There were 20 more awards for Instruction than first quarter last year, an increase of $257,821 or 49%. Research $$ increased by $982,351 compared to first quarter last year, or +150%.
Awards by Funding Sources for 1ST QUARTER FY96
Federal sponsors funded 48% of the amount of awards received in this reporting period (exactly the same as for all of FY95.) The Federal awards amount, however, increased by $827,666 (+39%).
Table 7. Sources of Awards by Funding Sources
Funding Source Amount Awarded Number % of Total % # of Total of Amount Awards Awards Awarded Federal 2,927,923 13 48 15 State 1,181,819 40 19 46 Public (other 1,948,804 30 32 34 than state and Foundations) Foundations 62,463 4 1 5 Total: 6,121,009 87 100 100Large increase in the amount of Federal awards compared to a year ago. State Awards were up 39%. Awards from public agencies were up by $916,316.
Top Ten Sponsors In Dollars Awarded 1ST QUARTER FY96
In this reporting period, 59% of the number of awards (same as last year) and 87% of the total amount awarded 6.5% higher than last fall) came from the top ten sponsors listed in Table 8. The National Science Foundation (NSF) rejoined the top ten sponsors last year but dropped out this year. Funding from the National Institute on Aging increased 10% over last year. We are doing a great deal more with NASA than at any past time.
Table 8. Top Ten Sponsors 1ST QUARTER FY 96
Sponsor $ Awarded # of % of % # of Awards Total $ Awards Awarded 1. U.S. Department of Health & 1,456,377 3 20 24 Human Svcs.-Federal 2. NASA/Tennessee State 1,000,000 1 16 1 University-Federal Prime 3. U.S. Department of 590,499 3 10 3 Education-Federal 4. Kentucky Department of 431,588 9 7 10 Education-State 5. National Institute on 447,207 1 7 1 Aging-Federal 6. U. of Louisville Research 401,106 2 7 2 Foundation-Public 7. Bluegrass State Skills 311,042 25 5 29 Corporation-Public 8. KY Information Resources 259,902 3 4 3 Management-State 9. University of KY Research 238,599 4 4 5 Foundation-Public 10. U.S. Economic Development 163,540 1 3 1 Agency-Federal Total: 5,299,860 51 84 90Nearly $100,000 more in HHS dollars than this time last year. The $1,000,000, 5-year subcontract with Tennesse State will aid undergraduate research in Physics & Astronomy. Nearly $350,000 more in U.S. DoED awards compared to last fall (+136%). $639,705 accrued from partner at UKRF and ULRF.
In this reporting period, 18 academic departments, twice as many as last year, and 8 support units (also twice as many as last year at this time), comprising 29 faculty and 8 staff members submitted 63 proposals totaling $6,323,359 in funds requested of external sponsors. These record data reflect an increase of 67% in the number of proposals submitted and an increase of $3,967,719 (168%) in the dollar amount of submissions compared to the previous year. Five-year comparisons are in Table 9.
Table 9. Number and Amount of Proposals Submitted, 1st Quarter FY96
1ST Quarter FY-96 July Number of Proposals $Amount of Proposals 1, 1995-September 30, Submitted Submitted 1995 1991 39 3,244,065 1992 34 1,449,692 1993 30 3,439,847 1994 51 5,469,271 1995 38 2,355,640 1996 63 6,323,359
The top ten units by funding requested of external agencies, project directors and number of proposals if more than one, are seen in Table 10. The units submitted 44 of the 63 proposals (70%) for a total of $5,723,358 (91%) of the total submissions.
Table 10. Top 10 Units Submitting Proposals 1st Quarter FY 96
Name of Unit Amount of Project Directors (Total Submissions Submissions) 1. Educational Leadership 1,145,470 D. Nims, D. Cline, M. Barton, C. Wagner (4) 2. Physics and Astronomy 1,038,603 D. Harper, C. McGruder, R. Scott (3) 3. T/TAS 788,390 C. Mendel (1) 4. Psychology 648,194 K. Ball (2) 5. Teacher Education 574,920 T. Daniel, R. Roberts, V. Stayton, J. Vokurka, T. Wilson(8) 6. Chemistry 554,170 Wei Ping Pan(4) 7. Industrial Technology 466,050 T. Leeper (1) 8. Public Health 257,000 D. Dunn/L. Juett (1) 9. CTD 149,427 K. Mussnug (19) 10. Government 101,134 J. Petersen (1) Total: 5,723,358 20 Proposers and 44 ProposalsIn all, 16 departments, 13 academic and 5 support, submitted proposals of under $100,000. These units are listed in Table 11 with the project directors and number of proposals.
Table 11. Other Units Submitting Proposals Totaling under $100,000 in 1st Quarter FY96
Name of Unit Amount of Project Directors/Total Submissions Submissions 11. Philosophy and 99,387 C. Pinnick (1) Religion 12. Music 90,000 J. Duff (2) 13. Biology 81,580 R. Hoyt, Jeff Jack (2) 14. Continuing Education 75,623 S. Webb (1) 15. Mathematics 44,979 C. Wells (1) 16. Journalism 42,891 J. Highland (1) 17. Nursing 40,290 M. Hazzard, S. Jones (2) 18. Student Affairs 30,000 J. Wilder (1) 19. Institute for 25,000 S. House (1) Economic Development and Public Service 20. Geography and Geology 17,100 A. Petersen (1) 21. Finance and CIS 8,500 J. Post (1) 22. Center for 7,825 J. Martin (1); See also T. Mathematics Sciences and Wilson in Teacher Education Environmental Studies 23. Libraries 6,000 M. Binder (1) 24. Kentucky Museum 4,411 L. Lee (1) 25. Agriculture 1,200 D. Coffey (1) 26. History 500 J. Thacker (1) Totals: 575,286 18 Proposers and 19 proposalsAbout 55% of the dollar amount of proposals submitted supported Instruction and 27% supported Public Service. There were four more research proposals than last year for this reporting period. These four amounted to $2,454,539 more than research proposals for this period last year. (More detail is provided in Appendix B, pp. 21-26.)
Table 12. Proposals Submitted 1st Quarter FY 96 by Proposal Type
Proposal Type # of % of Total Amount of $ % of Amt. of $ Proposals Proposals Submitted Submitted Submitted 1.0 Instruction 35 55 957,271 15 2.0 Research 11 17 2,876,565 45 3.0 Public Service 17 27 2,489,523 39 Total: 63 99 6,323,359 99Table 13 Proposals Submitted by Agency Type
Agency Type # of % of Total Amount of $ % of Amount of Proposals Proposals Submitted $ Submitted Submitted 1. Federal 10 16 2,250,336 36 2. State 16 25 820,597 13 3. Other Public 28 44 1,890,744 30 4. Foundations 9 14 1,361,682 22 Total: 63 99 6,323,359 100Top Ten Sponsors In Proposals Submitted 1st Quarter FY 96
Over 62% of the proposals were submitted to ten sponsors. The value of these proposals was nearly 69% of the total proposals submitted. Since more are applying to more sponsors, the top ten Sponsors constituted lower percentages compared to first quarter last year.
Table 14. Top Ten Sponsors 1st Qtr FY 96-Proposals Submitted
Agency Number of Amount Submitted Submissions 1. Pew Charitable Trusts-Foundation 1 1,000,000 2. U.S. Department of Health & Human 1 788,390 Services-Federal 3. Kentucky DOE/EPSCoR--Federal 2 480,550 4. University of Louisville Research 2 471,534 Foundation-Other Public 5. National Institute on Aging--Federal 1 448,052 6. Kentucky Department of Education-State 7 344,585 7. Kentucky DOD/EPSCoR-Federal 1 298,927 8. Environmental Protection Agency--Federal 1 227,743 9. Bluegrass State Skills Corporation--Other 11 138,060 Public 10. Eastern Kentucky University--Other Public 12 135,616 Totals: 39 4,333,457 Percent of Total Submitted: 62 69COST SHARING IN GRANTS AWARDED FIRST QUARTER FY 96
Cost sharing records reflect full costing of budgets. Cost sharing in awards enables accurate cost sharing budget projections over the next five years. During the First Quarter 1996, $570,072, or 9% above the $6,121,009 awarded by external sponsors, consisted of WKU cost sharing as Table 15 shows. This percent is exactly the average of cost sharing compared to awards for FY 95. Since there were 50 more awards than in the first quarter last year, cost sharing this year increased $511,062. In FY 95 heaviest cost sharing in awards received fell in the second and fourth quarters. Now it appears that if awards continue to increase there will be substantially more cost sharing in each quarter compared to last year, which was the first time OSP kept such records. (See Appendix C, pp. 28-29 for detail.)
Of the 87 awards for first quarter FY 96, 19, or 22%, carried cost sharing obligations. Table 15 depicts the distribution and amounts of cost sharing for the fiscal year by award. These amounts will be charged against accounts in FY 96 and FY 97. Cost sharing in these awards falls heaviest in this FY, especially when obligations from last year's awards are added to cost sharing in awards this fall.
Table 15. Cost Sharing in Grants Awarded
During 1st Quarter FY 96
Total Cost Cost in Cost 96-7 Sharing 95-6 TOTAL FIRST QUARTER 96 570,072 557,253 12,819 TOTAL COST SHARING FY 95 112,066 APPLIED TO CURRENT YEAR TOTAL FY 95+ FY 96 669,319 12,819Just over 60% of cost sharing in awards for all of FY 95 fell in the first quarter in FY 96.
In comparison, about 80% of the cost sharing in awards for FY95 resulted from awards in the second and fourth quarters. WKU cost sharing in total awards for FY95 equalled 9% of the 10,828,541 in total awards. Table 13 shows these percentages compared to award amounts.
Table 16
Summary of Cost Sharing in Awards First Quarter FY 96
FY/Quarter Amount of Total Awards % of total % of total % Cost Cost Sharing Cost Awards Sharing in Sharing Total Awards FY 95/1 59,010 4,268,568 6 1 0 FY 95/2 476,808 2,467,034 50 19 4 FY 95/3 40,582 1,226,108 4 3 0 FY 95/4 372,809 2,866,831 39 13 3 Totals: 949,209 10,895,414 99 9 9 FY 96/1 570,072 6,121,009 9 22 9 Running Total: 1,519,281 16,949,550 100 9 9Indirect Cost Sharing in Awards First Quarter FY96
Indirect cost sharing occurs when the current negotiated rate of 56% of salaries is used for cost sharing (20% when over half of a project will occur off campus.) Generally, the amount of indirect money cost shared is the difference between 56% of salaries and 8% of direct costs, which is often the maximum indirect cost rate that sponsors will allow. For audit, the University will show $98,780 in indirect cost sharing for the first quarter of FY96. This amount includes $9,767 that was obligated in awards last year. The latter amount will increase as awards come in with indirect cost sharing during FY96. Departments that have received awards requiring indirect cost sharing are presented in Table 16.
Table 16. Summary of Cost Indirect Sharing in Awards by Department FY95
Department Indirect Cost Indirect Cost Total Share Obligated Share Obligated in FY95 for FY96 in FY96 for FY96 Agriculture 2,016 2,016 Chemistry 5,460 3,670 9,130 Communications and 3,161 3,161 Broadcasting Continuing Education 19,952 19,952 Mathematics 4,307 4,307 Physics & Astronomy 60,214 60,214 Total 9,767 89,013 98,780COST SHARING IN PROPOSALS SUBMITTED 1ST QTR FY 96
$743,586 of the total costs of proposals submitted consisted of cost sharing. This amount compares to only $87,759 during first quarter last year. Breakdowns are in Table 17. A complete chart organized by Project Directors may be found in the Appendix C, pp. 30-33, under Proposals 1st Quarter FY 96--Cost Sharing.
Table 17. Cost Sharing in Proposals Submitted
FY96 Total Cost Costed in Costed in Costed in Costed Sharing FY96 FY 97 FY 98 in FY 99 Total: 743,586 400,684 237,383 104,911 608 First QuarterTable 18. Indirect Cost Sharing in Proposals Submitted 1st Quarter FY 96
Quarter Amount of Indirect Cost Sharing in Proposals Submitted 1-July 1-September 30, 1995 251,959Table 18. Indirect Cost Sharing in Proposals Submitted 1st Quarter FY 96 by Department
Department Costed FY96 Costed FY97 Costed FY98 Total Teacher 6,255 4,563 10,818 Education Chemistry 144,675 10,898 11,442 167,015 Continuing Ed 19,952 19,952 International 9,028 9,481 9,955 28,464 Students Kentucky Museum 200 200 Geography/Geolog 1,333 1,333 y T/TAS 24,177 24,177 Totals: 181,443 49,119 21,397 251,959
AFFILIATION AGREEMENTS BETWEEN WESTERN AND EXTERNAL AGENCIES
The Office of Sponsored Programs assisted 2 academic departments with coordinating 90 affiliation agreements between the Departments of Allied Health and Nursing and external facilities to continue student internship programs during FY 1996. Many of these were updates of previous year agreements. All draft agreements were reviewed by University counsel before being executed. These agreements enable faculty members and students to interact with professionals throughout the region. They also contain the potential for future partnerships for grants and contracts with external sponsors. These programs are being encouraged to seek such activities to better fund their instructional, research and public service needs. Records of the agreements can be reviewed by requesting this report. A breakdown by department of this activity is depicted in Table 18 below.
Table 18. Affiliation Agreements by Department, 1st Quarter FY96
Department Quarter 1 Quarter 2 Quarter 3 Quarter 4 Total Allied Health 16 16 and Human Services Nursing 74 74 Total: 90 90
ACTIVITIES OF THE OFFICE OF SPONSORED PROGRAMS DURING FY 96
General Activities. A Sponsored Programs Policies and Procedures Manual was prepared for use in the OSP, AFS and other offices that the OSP maintains daily contact with. This manual clarifies staff responsibilities within the OSP and with other units. Conflict of Interest discussion groups were held throughout July and the first part of August to ensure that unit heads and grant writers were aware of the Federal Conflict of Interest Policy required before all Federal grants are submitted. This policy goes into effect on October 1, 1995. A search committee composed of representatives from each academic college, and various units in the administration selected Molly Daniel to fill the position of Sponsored Programs Development Coordinator. Molly will take the position on October 9, 1995. She brings extensive grant development experience to the University. The Director attended the Office of Federal Programs annual fall meeting in Washington in mid-September and returned with plans to create a resource strategy group with representatives of Accounts and Fiscal Services, Institutional Advancement, Academic Affairs and other units. The idea is to pool assets to best assist those seeking external funding. A plan will be developed and implemented during the second quarter of this year.
1. Pre-Award Activities. Grant Workshops: In coordination with the Teaching and Learning Center, Sponsored Programs organized the basic workshop to be given October 3-5; and the advanced grant workshop to be held October 17-19. The workshops will consist of 3 similar 3-hour sessions in Grise Hall 456. Both workshops will cover where to look on the internet for information pertaining to grants and the OSP Newsgroups. All participants will learn to use the Sponsored Programs Information Network (SPIN) search on computers. The basic grant writing workshop will cover material from finding sponsors through completing a proposal. In addition to teaching about grant information on the Internet and how to retrieve it, the advanced workshop will consist of submissions of grants and a review and discussion by a panel of experts drawn from various programs. By September 30, 55 faculty, staff and graduate students signed up for the basic workship and about 30 for the advanced workshop (which was limited to a maximum of 10 per session.)
SPIN Searches: During the first quarter 1996, SPIN searches for potential sponsors were conducted for about 20 faculty, staff and graduate students by Sponsored Programs staff. Faculty and staff members have immediate access through the WKUNET.
Grant development meetings about grants at different stages occurred with 41 faculty and staff members and students from Agriculture, Art, Biology, Chemistry, Continuing Education, Educational Leadership, Engineering Technology, Geography and Geology, Government, History, Journalism, Kentucky Museum, Music, Philosophy and Religion, Physical Education and Recreation, Psychology, Public Health, and Teacher Education.
2. Post-Award Activities. Post-award meetings were held with numerous project directors about budget control, modifications, carry over funds, extensions, and final reports. The Office of Sponsored Programs reviewed and approved all Form 4's and 16's that were grant funded.
60 Charts of Accounts were completed for awards.
3. Western Online Newsgroups. Grant Newsgroups activated during the Third Quarter of FY 1995 were updated on Western Online to support faculty and staff members' needs for grant sources, policies and procedures, tips for writing, Conflict of Interest, Human Subjects of Research, and Intellectual Property.
The first newsgroup is local.grants. It may be seen by going to the WKU Home Page, clicking in on Keyword and then entering "grants." Each announcement of an upcoming grant opportunity received in the OSP is posted to this newsgroup as well as circulated in hard copy to deans and heads. Information about other host addresses (URLs) is downloaded to this newsgroup from Internet sources. Faculty and staff members not yet in the WKUNET may access this newsgroup with a modem. This newsgroup is two-directional meaning that all faculty and staff members who have announcements of a university-wide nature may make postings. The newsgroup is moderated by Sponsored Programs, primarily for removing announcements that become outdated.
The second newsgroup is local.grants.information. This news group may be accessed through local.grants, and keying .information. after local.grants. This newsgroup includes the Guide to the Preparation of Grants and Contracts, our primary policy and procedures document. A Home Page is being planned to concentrate all of the newsgroups.
4. Coordination Meetings-Vice Presidents. Sponsored Programs continued to meet with the Vice Presidents for Academic Affairs and Institutional Advancement, the Development Officer, the Assistant Deans of Ogden College and the College of Education and Behavioral Sciences, and Directors in Accounts and Fiscal Services and Human Resources. The Compensation Policy was approved in January. The Conflict of Interest policy was approved in April. This Newsgroup may be reviewed on the WKUNET at Keyword grants, then keying in local.grants.conflict.. Other information of interest about the whole area of Conflict of Interest is and will be posted to this newsgroup.
5. Coordination with the Helm-Cravens Library. Materials were sent regularly to the Grant Information Center in the Reference Section.. Grants: A Bibliography of Selected Resources Available in the Helm Library Reference Area Grants Information Center, is available to complement SPIN. Moreover, the Reference Section contains publications of the Foundations Center which is a primary source of public information about private and community foundations.
6. Coordination with Finance and Administration. Meetings about fiscal matters were held with the Vice President and Assistant Vice Presidents for Finance and Administration. An outcome will be the assignment of indirect cost account numbers to Ogden College, CEBS and the OSP to comply with A-21 regulations. The OSP will monitor these accounts each month. The indirect cost policy draft was revised into final form after meetings between the OSP, Finance and Administration and Academic Affairs. Indirect cost allocations based on actual recovery for FY 95 will be returned to these units after the external audit. The Assistant Vice President for Finance and Administration is in charge of making the allocations. Numerous conversations about grant budgets were held with Sharon Young and Duncan Faxon, Staff Accountants. One product was a memo to project directors to alert Accounts and Fiscal Services about continuation of grant staff into the next fiscal year.
Procedures to determine status of grant-funded participants and human subjects who are supported by grants and who are not Western employees continue in effect. The cooperation of the Director of Accounts and Fiscal Services, the Director of Accounting and the Supervisor of Payroll, has smoothed out this problem. Under this procedure, grant developers follow a simple, coordinated process of completing one Determination of Status Form for each group of the participants who are non-Western employees, have it submitted by the Director of the Office of Sponsored Programs, and reviewed for decision by a committee in Accounts and Fiscal Services. In this manner, whether or not to withhold fringe benefits is determined before a grant is submitted.
7. Coordination with Institutional Research. A table of rates covering space continues to be used for in-kind contributions in grants and contracts. This table was produced by Ann Mead, Director of Institutional Research. The Lotus 1-2-3 program automatically calculates the WKU contribution. The 1995/96 formula funding rates for maintenance and operations are
$4.17 per square foot (classrooms, labs, offices,etc)
$3.44 per square foot (athletic, assembly, greenhouses,etc)
$5.54 per square foot (health care facilities)
8. Coordination Campus-Wide. The Office of Sponsored Programs sent weekly newsletters, abstracts of awards, proposal announcements (RFP's), proposal deadlines, legislative updates and grant tips to deans, heads, and individuals. Many announcements of interest to the campus were also placed online in the Newsgroup local.grants.information .
9. Coordination for a General Representative in Washington, D.C. A Personal Services Contract was approved by the governor on August 9, 1995 to hire a general representative, Kenneth Lee, for the University to inform about appropriations and legal issues in Washington. It is expected that these "early warnings" will increase Western's competitiveness in seeking external funding. Mr. Lee visited with many units on campus on September 26 and the result was a draft list of priorities which was approved by academic affairs and the deans. The priorities, which are listed on the next page, will assist the OSP in developing grants. The draft priorities are:
PRIORITIES FOR SPONSORED PROGRAMS
October 2, 1995
Revised October 3, 1995
Approved by Dean's Council, November 8, 1995
Context: On Tuesday, September 26, Kenneth Lee visited campus and participated in meetings to learn about needs to follow up on in Washington, D. C. with congressional delegations and federal agencies. As a contractor for the University in Washington, Ken's job will be to influence appropriations cycles to increase external funding for the University.
His responsibilities will be to work the appropriation's process to earmark funding. He will provide ongoing constituent services in working with the agencies. In this regard he will facilitate grant applications by "shopping proposals around." He will perform this task by networking with people in agencies who want the kinds of grants and contracts that we submit. He will have an impact on the language of grant announcements. The outcome for us will be announcements that fit us. He will shepherd proposals through the process by getting letters of support from congressmen and find "enthusiasms" of congressional staffs.
The following priorities were approved after discussion and review by the AcademicDean's Council and sent on to Ken.
The priorities imply interdisciplinary collaborations, partnerships with community agencies and the public schools, thinking about where we want to be in five years, and consideration of how priorities may influence and be influenced by instruction, research and public service strengths of the University. Concurrent activities could include problem formation and solving and assessments. Student service in the community and on faculty projects is another idea to consider with collaborations and partnerships. Groups upon which our grants and contracts should affect are citizens, school children, disadvantaged groups, and our faculty.
1. Workforce Development Programs.
This focus could be on white areas, enterprise zones and entrepreneurship in the region.
2. Drug and Alcohol Abuse and Violence.
WKU's strengths in training, research and demonstration components will bring together disciplines and involve Continuing Education for providing space for workshops and conferences. Funding for this priority will emanate from the Department of Health and Human Services, Justice, and the National Institutes of Health. For example, initiatives could involve many departments in Arts and Humanities (Sociology-Criminology), Education and Behavioral Sciences (Teacher Education-professional development of beginning teachers, early childhood; Psychology-assessments, emotional development and peer relations the life cycle and gathering problems; Educational Leadership-mediation and conflict resolution; and school adjustment of children throughout the grades.) Through the expertise in several departments, WKU could train state employees in protecting children and improving the training of social workers. Future programs could result in research and pilot programs.
3. Environmental Issues.
This priority could involve partnerships between several of our colleges and centers and the public schools and community agencies. An early step could be a feasibility study for a demonstration project. The priority could result in six to eight projects of $1-2 million each. These projects would need to be prioritized. These programs could explore biotechnology related to environmental issues in agriculture, coal combustion and solid waste, destructive environments, environmental impacts, regulation of viruses in plants, and the health and safety of rural society in such areas as ground water behavior.
4. Life Span Issues.
We are positioned to draw upon our interdisciplinary expertise in instruction, research and public service to focus this priority. There is expertise in behavior change with age risk reduction in Nursing, the life cycle and gathering problems in Family and Consumer Sciences, research and public service programs in Psychology. Retirement issues. Public Health and Allied Health and Human Services issues. Taxation comparison study.
5. Technology in Society.
Expertise exists among the faculty to study this issue philosophically and technically as well as how technology should affect education and professional development. This focus could involve the expertise of departments in all of the colleges.
Mr. Lee the Director of Sponsored Programs visited with Robin Bowen, a member of Senator McConnell's staff concerning impending legislation about workforce development training and other issues in Washington on September 19. Mr. Lee research appropriations bills in draft under discussion by the U.S. Seante Labor committee; Health and Human Service and Education appropriations and Federal reports for funding levels and projections. He pursued grant opportunities for the Departments of Music and Theatre and Dance.
10. Grants Advisory Committee. Other issues have been advanced to improve the infrastructure for sponsored activities on the campus. In September, the Director of the Office of Sponsored Programs recommended a Sponsored Programs Advisory Committee to discuss grant development with representatives from the academic colleges, the library, and the Divisions of Institutional Advancement and Student Affairs. When appointed, this committee will consider procedures for grants administrative management and collaborative grants.
11. The Guide to the Preparation of Grants and Contracts, which explains policies and standards of the University, was completed. All project developers should review this statement early in the preparation process. Copies are available on Western Online. Copies are also available from Sponsored Programs.
12. The Guide to Policies and Procedures of the Center for Training and Development were written and circulated to Academic Affairs and this Center. This document will clarify and expedite the transmission of agreements between the Center, sponsors and the University. It has undergone four revisions to further clarify policies and procedures as the first quarter closed.
- General Activities
- APPENDIX A - AWARDS 1ST QUARTER 1996 BY DEPARTMENT/UNIT
- APPENDIX B - PROPOSALS 1ST QUARTER 1996 BY DEPARTMENT/UNIT
- APPENDIX C - INDIRECT COSTS RECOVERY FOR AWARDS, 1st QUARTER, FY 1996
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Last update made 4/17/96. Send comments to:
Sponsored Programs Information Coordinator pamela.napier@wku.edu