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
March 1, 1996
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.
- Other Activities of the OSP
- Resource Strategy Group
- Guide to the Preparation of Grant and Contracts
- Guide to Policies and Procedures of the Center for Training and Development
- General Activities
- APPENDIX A - AWARDS 2ND QUARTER 1996 BY DEPARTMENT/UNIT
- APPENDIX B - PROPOSALS 2ND QUARTER 1996 BY DEPARTMENT/UNIT
EXECUTIVE SUMMARY
This report covers sponsored programs activities at Western Kentucky University from October 1, 1995-December 31, 1995. During this period, the University received 55 awards totaling $1,911,213 and submitted 75 proposals in the record-shattering amount of $8,652,512. The award amount decreased by 24% from a year ago and increased by 10% over 1994. Funding of research awards increased by $234,561, or 78%, over Fall 1994. The dollar amount of proposals continued the upward trend this fiscal year. Proposals submitted increased by $6,041,737 (131%) compared to a year ago. The number of proposals submitted increased 127% compared to this time last year.
Awards received during the second quarter have increased in amount by 97% over the last eight years. The average size of awards for this quarter was $34,749 which is an 82% increase over seven years ago. Comparisons with previous years are:
This Report Period (FY 96)
55 Awards Totaled $1,911,213 Average Size: $34,749 75 Proposals Totaled $8,652,512 Average Size: $115,367
One Year Previous (FY 95)
39 Awards Totaled $2,530,798 Average Size: $64,892 33 Proposals Totaled $2,610,775 Average Size: $79,114
Two Year's Previous (FY 94)
35 Awards Totaled $1,737,253 Average Size: $49,636 49 Proposals Totaled $3,606,447 Average Size: $73,601
Three Year's Previous (FY 93)
45 Awards Totaled $1,823,116 Average Size: $40,514 45 Proposals Totaled $4,615,351 Average Size: $102,563
Several policies were approved by appropriate Western councils. Five priorities for directing external fundings efforts were approved by the Academic Dean's Council in early November (see page 8 of the following report). The Executive Officers approved the indirect cost policy in late November (page 10 of the report).
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. The Office of Federal Programs in Washington, D.C. began to provide online announcements and deadlines of grant and contract opportunities. This information was, in turn, emailed or direct mailed to targeted faculty and staff members at Western. The profile of faculty interests for research, instruction, and public service projects grew.
Both Basic and Advanced Grant Workshops were held in October for faculty and staff members. Several program officers from external sponsors joined the workshop.
The OSP worked with 30 pre-award faculty and staff members and performed 50 SPIN searches for them. (Faculty and staff continued performing searches from their offices with SPIN USA On-line. The OSP worked with about 10 graduate students during the second quarter.
In the post-award phase, exactly sixty charts of accounts were prepared to implement new grant programs.
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 Authority
INTRODUCTION
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, 2ND QUARTER FY96
In this reporting period, Western Kentucky University received 55 awards in the amount of $1,911,213 that included $34,364 in indirect recovery costs. Compared to last year, these data reflect an increase of 16 awards (+41%) and a decrease of $619,585 (-24%). We continue to run $1,189,856 ahead of last year in total awards over the first two quarters(+17%). Compared to last year, there was a decrease of $33,318 in indirect recovery costs for the second quarter (-48%). We continue, however, to run $162,007 ahead of last year in indirect cost recovery over the first two quarters (+65%).
Table 1. AWARDS RECEIVED, 2ND QUARTER 1988-1996
FY Number of Awards Amounts of Awards
Received Received
1988 -- 968,635
1989 -- 1,069,945
1990 -- 1,085,834
1991 42 1,237,018
1992 63 1,964,223
1993 45 1,823,116
1994 35 1,737,253
1995 39 2,530,798
1996 55 1,911,213
Awards Received by Academic College or Other Units 2ND QUARTER FY 96
Comparisons with previous year second quarter awards 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.) Only units receiving awards this year are listed.
Table 2. Awards Received, 2ND QUARTER FY 1996, by Academic College or Other Units
Unit Totals: Total Awards Awds Indirect Indirect
2ND QTR FY96 2ND Costs Costs
QTR 95 2ND 2ND
QTR QTR
FY96 FY95
Ogden College 646,936 898,591 6,914 22,438
Educational Television 536,097 0 0 0
Center for Training & Development 335,175 47,451 20,029 1,320
College of Education & Behavioral 256,255 1,247,465 7,221 49,356
Sciences
Small Business Development Center 67,600 67,600 0 0
Vice President of Student Affairs 30,000 0 0 0
Minority Student Support Services 30,000 29,000 0 0
Continuing Education 8,324 0 200 0
Library 826 9,200 0 0
Total: 1,911,213 2,299,307 34,364 73,114
Awards Received by Academic Departments, 2ND QUARTER FY 96
Seven academic departments and 12 faculty members received 47% of the total awards and 32% of the indirect costs recovered. There were 5 fewer departments receiving awards than second quarter 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, R. 539,685 2,606
Scott, W. Vander Meer,
2. Teacher Education J. Vokurka (3), B. 188,437 3,296
Kacer, R. Otto, T.
Wilson
3. Educational Leadership D. Nims 59,993 3,925
4. Nursing M. Hazzard 30,000 0
5. Mathematics C. Wells 41,000 2,197
6. Agriculture L. Hughes, D. Coffey 29,750 1,629
(2)
7. Biology R. Hoyt 6,501 482
Total: 895,366 10,842
Awards Received by Chief Support Units, 2ND QUARTER FY 96
The Center for Training and Development is listed in Table 2. Other support units did not receive awards during this quarter. They received their annual awards during the previous quarter.
Awards Received by Type 2ND QUARTER FY 96
Awards received are categorized by award type: grants, memoranda of agreement or understanding (MOA/MOU), contracts, and subcontracts. Table 5 shows that grants composed 65% of the award amount; memoranda composed 31%; and subcontracts composed 4% of the awards.
Table 5. Awards Received by Award Type 2ND Quarter FY 96
Award Type Number of Awards Amount of Awards Grants 18 1,245,421 Memoranda of Agreement or 35 593,992 Understanding Subcontracts 2 71,800 Contracts 0 0 Totals: 55 1,911,213
Awards Received by Project Type 2ND QUARTER 96
Slightly over 44% of the amount of awards received were for Public Service projects; 28% percent supported research; and 28% supported Instruction. The average award size this year for the second quarter was $34,640 whereas last year it was $64,892.
Table 6. Awards Received by Project Type
Project Type Number of Amounts of
Awards Awards
Instruction 33 535,590
Research 3 534,200
Public Service 19 841,423
Totals: 55 1,911,213
There were 20 more awards for Instruction than second quarter last year, an
increase of $234,561 or 78%.
Awards by Funding Sources for 2ND QUARTER FY96
Federal and State awards were way down compared to the second quarter last year. Federal awards decreased 32%; and state awards diminished by 46%. Public Service awards, however, were up $663,812.
Table 7. Sources of Awards by Funding Sources
Funding Source Amount Number % of Total % # of
Awarded of Amount Total
Awards Awarded Awards
Federal 510,701 3 26 5
State 154,600 8 8 15
Public (other 1,050,265 39 55 71
than state and
Foundations)
Foundations 195,647 5 11 9
Total: 1,911,213 55 100 100
Top Ten Sponsors In Dollars Awarded 1ST QUARTER FY96
In this reporting period, 57% of the number of awards (9% more than last year) and 84% of the total amount awarded 35% higher than last year) came from the top ten sponsors listed in Table 8. Public agencies emphasizing a wide variety of functions topped the award amount. There was a noticeable absence of Federal and State agencies among the top ten.
Table 8. Top Ten Sponsors 2ND QUARTER FY 96
Sponsor $ # of % of % # of
Awarded Awards Total $ Awards
Awarded
1. Corporation for Public 536,097 4 28 7
Broadcasting-Public
2. NASA-Federal 500,000 1 26 1
3. Bluegrass State Skills 226,084 15 12 27
Corporation-Public
4. Kentucky Council on Higher 139,422 4 7 7
Education-State
5. University of KY Research 67,600 2 3.5 4
Foundation-Public
6. Eastern Kentucky 59,993 1 3 1
University-Public
7. GTE Foundation-Foundation 30,000 1 1.5 1
8. Southern Council on 30,000 1 1.5 1
Collegiate Education in
Nursing-Public
9. Monarch Environmental, 17,500 1 1 1
Inc.-Public
10. Span Tech-Public 15,027 1 0 1
Total: 1,621,723 31 84 51
In this reporting period, 13 academic departments, 5 fewer than second quarter last year, and 5 support units (3 less than last year at this time), comprising 29 faculty and 8 staff members submitted 75 proposals totaling $8,652,512 in funds requested of external sponsors. These record data reflect an increase of 206% compared to second quarter 1995, and an increase of $6,297,737 (131%) 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, 2nd Quarter FY96
2nd Quarter FY 91-FY 96 Number of Proposals $Amount of Proposals
Submitted Submitted
1991 62 3,119,939
1992 51 1,881,525
1993 45 4,615,351
1994 49 3,606,447
1995 33 2,610,775
1996 75 8,652,512
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. These units submitted 96% of the total amount of proposals and accounted for 83% of the total number of proposal that were submitted.
Table 10. Top 10 Units Submitting Proposals 2nd Quarter FY 96
Name of Unit Amount of Project Directors/Total
Submissions Submissions
1. Educational Leadership 3,124,452 C. Manco (4), C. Wagner
2. Chemistry 2,242,099 Wei-Ping Pan (5) D. Slocum
(3) D. Dahl, M. Kubasik,
J. Riley, L. Shank
3. Physics/Astronomy 1,015,147 C. McGruder (3), G.
Vourvopoulos (2), Sun-Yung
Chen, W. Buckman
4. Educational TV and 536,097 D. Wilkinson (4)
Radio
5. Physical 356,964 C. Daniel, K. Eddleman
Education/Recreation
6. Biology 276,226 J. Jack (2)
7. Teacher Education 226,334 J. Vokurka (3), S. Evans,
B. Kacer, V. Stayton, T.
Wilson
8. Psychology 203,419 K. Ball
9. Center for Training and 197,088 K. Mussnug (20)
Development
10. Nursing 107,586 M. Hazzard (2)
Totals: 8,285,412 62
In addition, 8 departments, 5 academic and 3 support, submitted proposals of under $100,000. They are listed in Table 11 with the project directors and number of proposals.
Table 11. Other Units Submitting Proposals Totaling under $100,000 in 2nd Quarter FY96
Name of Unit Amount of Project Directors/Total
Submissions Submissions
11. Mathematics 84,550 C. Ernst
12. SBDC 67,600 R. Horn
13. English 49,000 J. Hagaman
14. Industrial Technology 48,378 D. Jackson
15. Engineering Technology 44,512 J. Russell
16. Agriculture 39,750 D. Coffey (2), L. Brown,
L. Hughes,D. Stiles
Student Health & Wellness 24,986 N. Givens
Totals: 358,776 12
Table 12 shows that about 50% of the dollar amount of proposals submitted supported Instruction and 29% supported Public Service. There were 9 more research proposals than last year for this reporting period. These 9 amounted to $3,372,055 more than research proposals for this period last year.
Table 12. Proposals Submitted 2nd Quarter FY 96 by Proposal Type
Proposal Type # of % of Total Amount of $ % of Amount
Proposals Proposals Submitted Submitted of $ Submitted
1.0 Instruction 37 49 2,616,278 29
2.0 Research 16 21 3,538,081 43
3.0 Public Service 22 29 2,498,153 28
Total: 75 99 8,652,512 100
Table 13 Proposals Submitted by Agency Type
Agency Type # of % of Total Amount of $ % of Amount
Proposals Proposals Submitted Submitted of $ Submitted
1. Federal 30 40 5,889,105 68
2. State 7 9 136,895 2
3. Other Public 32 43 941,621 11
4. Foundations 6 8 1,684,891 19
Total: 75 100 8,652,512 100.0
Top Ten Sponsors In Proposals Submitted 2nd Quarter FY 96
Over 53% of the proposals were submitted to ten sponsors. The dollar value of these proposals constituted 91% of the total proposals submitted. As can be seen in Table 14, there was strong reliance on Federal sponsors. The top ten sponsors constituted lower percentages compared to second quarter last year when the number of submissions to the top ten was 79% compared to this year's 53%.
Table 14. Top Ten Sponsors 2nd Qtr FY 96-Proposals Submitted
Agency Number of Amount Submitted
Submissions
1. U. S. Department of Education-Federal 5 1,918,654
2. Ford Foundation-Foundation 1 1,500,000
3. U. S. Department of Energy-Federal 3 940,000
4. Kentucky DOE/EPSCoR-State 3 906,466
5. Kentucky NSF/EPSCoR-State 3 837,508
6. National Science Foundation-Federal 7 642,260
7. Center for Public Broadcasting-Other Public 4 536,097
8. National Aeronautics and Space 1 229,797
Administration-Federal
9. National Institute on Aging-Federal 1 203,419
10. Bluegrass State Skills Corporation-Other 12 190,019
Public
Totals: 40 7,904,220
Percent of Total Submitted: 53 91
COST SHARING IN GRANTS AWARDED SECOND QUARTER FY 96
Cost sharing records reflect full costing of budgets and enables accurate cost sharing budget projections. During the Second Quarter 1996, $223,134, or 12% above the $1,911,213 awarded by external sponsors, consisted of WKU cost sharing as Table 15 shows. This percent is 3% above the average of cost sharing compared to awards for FY 95 and 16.5% below cost sharing in awards for second quarter 1995, despite the fact that there were 16 more awards than in the second quarter last year. In FY 95 heaviest cost sharing in awards received fell in the second and fourth quarters.
Of the 55 awards for second quarter FY 96, only 9, or 16%, carried cost sharing obligations. Table 15 depicts the distribution and amounts of cost sharing for the fiscal year to date. These amounts will be charged against accounts in FY 96 and FY 97. Cost sharing in these awards falls heaviest in this FY.
Table 15. Cost Sharing in Grants Awarded During 2nd Quarter FY 96
Total Cost Cost in 95-6 Cost 96-7 Cost 97-8 Cost 98-9 Cost 99-00
Sharing
TOTAL FIRST 570,072 557,253 12,819
QUARTER 96
TOTAL 223,155 97,189 107,210 18,756
SECOND
QUARTER 96
TOTAL COST 793,227 654,442 120,029 18,756
SHARING TO
DATE FY 96
About 72% of cost sharing in awards for this FY thus far fell in the first quarter.
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. So far this year, WKU cost sharing in total awards equals 9.8%. Table 16 shows these percentages compared to award amounts. A detailed list for the second quarter is available upon request.
Table 16
Summary of Cost Sharing in Awards to Date
FY/Quarter Amount of Total Awards % of total % of total % Cost
Cost Sharing Cost Sharing Awards Sharing in
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
FY 96/2 223,155 1,911,213 13 12 10
Total Cost 1,742,436 18,927,636 100 9 9
Sharing:
Indirect Cost Sharing in Awards Second 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 $44,397 in indirect cost sharing for the second quarter of FY96. Departments that have received awards requiring indirect cost sharing are identified in Table 16.
Table 17. Summary of Indirect Cost Sharing in Awards by Department FY96
Department Indirect Cost Share Indirect Cost Total
Obligated in FY95 Share Obligated in
for FY96 FY96 for FY96
Agriculture 2,016 2,016
Biology 2,148
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 61,545 61,545
SBDC 40,918 40,918
Total 9,767 133,410 141,029
COST SHARING IN PROPOSALS SUBMITTED 2ND QTR FY 96
In addition to the $8,652,512 requested of external agencies, an additional $1,518,381 consisted of cost sharing. Adding these numbers means that total proposal budgets for the second quarter equalled $10,170,893. This cost sharing amount is $910,530 higher than during second quarter last year. Breakdowns for FY96 to date are in Table 17.
Table 17. Cost Sharing in Proposals Submitted
FY96 Total Cost Costed in Costed Costed Costed Costed Costed
Sharing FY96 in FY 97 in FY 98 in FY 99 FY 00 FY 01
Total: 743,586 400,684 237,383 104,911 608
First
Quarter
Total: 1,518,381 112,467 971,215 294,204 140,495
Second
Qtr.
Table 18. Indirect Cost Sharing in Proposals Submitted through 2nd Quarter FY 96
Quarter Amount of Indirect Cost Sharing in
Proposals Submitted
1-July 1-September 30, 1995 251,959
2-October 1-December, 31,1995 132,935
Table 18. Indirect Cost Sharing in Proposals Submitted 2nd Quarter FY 96 by Department
Department Costed Costed Costed Costed Costed Costed Total
FY96 FY97 FY98 FY99 FY2000 FY2001
Chemistry 41,563 43,457 6,997 92,017
SBDC 40,918 40,918
Totals: 40,918 41,563 43,457 6,997 132,935
AFFILIATION AGREEMENTS BETWEEN WESTERN AND EXTERNAL AGENCIES
The Office of Sponsored Programs assisted 2 academic departments with coordinating 3 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, 2nd Quarter FY96
Department Quarter 1 Quarter 2 Quarter 3 Quarter 4 Total Allied 16 2 18 Health and Human Services Nursing 74 1 75 Total: 90 3 93
ACTIVITIES OF THE OFFICE OF SPONSORED PROGRAMS DURING 2ND QUARTER FY 96
General Activities. Priorities for Sponsored Programs were discussed with the Academic Dean's Council early in the quarter, and the following priorities were approved to direct seeking sources for external funding.
Approved by Dean's Council, November 8, 1995
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 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.
1. Pre-Award Activities. Grant Workshops: In coordination with the Teaching and Learning Center, Sponsored Programs held the basic workshop during the afternoons of October 3-5; and the advanced grant workshop from October 17-19. The workshops consisted of 3 similar 3-hour sessions in Grise Hall 457. Both workshops covered funding sources on the Internet and the OSP Newsgroups. All participants learned to use the computerized Sponsored Programs Information Network (SPIN) search for funding sources.
The basic grant writing workshop covered 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 consisted of submissions of grants and a review and discussion by a panel of experts drawn from various programs. Twenty-three faculty, staff and graduate students attended the basic workship and about 8 faculty, staff and student attended the advanced workshop. The Basic Workshop received a rating of 4.5 out of 5. The Advanced Workshop received a rating of 3.875 out of 5 from the participants.
SPIN Searches: During the second quarter 1996, approximately 50 SPIN searches for potential sponsors were conducted for about 30 faculty, staff and graduate students by Sponsored Programs staff.
Grant development meetings about grants at different stages occurred with 19 faculty and staff members and students from Agriculture, Biology, Continuing Education, Educational Leadership, Engineering Technology, History, Kentucky Museum, Physical Education and Recreation, and Psychology.
2. Post-Award Activities. Post-award meetings were held with numerous project directors about budgets, modifications, carry over funds, extensions, and final reports. Forty-three charts of accounts were established for new awards in addition to the 60 that were established during the first quarter.
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. In this regard, staff of the OSP attended the HTML workshop hosted by the Microcomputing Center. The Office of Sponsored Programs Home Page will be planned and implemented during the third quarter.
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. The Indirect Costs Policy was approved during the second quarter, on November 29. A copy follows:
POLICY FOR INDIRECT COST RECOVERY
Approved November 28, 1995
The general policy of Western Kentucky University is to share Indirect Cost
Recovery funds coming to the university through grants and contracts. These
funds provide incentives to those units that are successful in attracting funds
and other valuable resources for the university. Incentives should focus on
rewarding units and individuals for research and grant development.
Funds accruing from indirect costs must have been received from the funding
agency before being included in the base for calculations of the formula
below.
Indirect cost recovery funds returned to a unit in a given fiscal period may be
carried over to the next fiscal year.
The funds will be shared in the following manner:
40% to the university’s General Fund
When indirect funds result from projects involving faculty in more than one
college, the deans of the colleges will be responsible for jointly recommending
indirect cost distribution to the Director of Sponsored Programs.
The Assistant Vice President for Finance and Administration will inform units
of their previous year’s Indirect Cost Recovery on or about October 1
annually. Following the approval of the Financial Statement by the Board,
funds from the previous year’s indirect cost recovery will be transferred
under the above-referenced formula into indirect cost center accounts.
Sponsored Programs will monitor the accounts monthly to assure compliance with
the A-21 regulations presented in the attachment.
40% to the College or appropriate Vice President
20% to the Office of Sponsored Programs
5. Coordination with the Helm-Cravens Library. 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 and manuals about grant writing. OSP personnel attended the First Search Workshop hosted by the Library.
6. Coordination with Finance and Administration. Meetings about fiscal matters were held with the Vice President and Assistant Vice Presidents for Finance and Administration. The OSP will monitor these accounts each month. Indirect cost allocations based on actual recovery for FY 95 were returned to these units. 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. Human Subjects of Research. The following projects were approved by the Human Subjects Review Board during the second quarter:
Faculty /Sponsor, Department, Project Director, Title
Dr. Dawn Bolton , Marketing, James R. Lytle, Jr., Women's Studies Research
Group
Status: Exempted Review, 11/3/96
Dr. Thad Cruz, PE/Rec., Jason Patterson, Effects of Mental Imagery on Free-Throw Shooting Accuracy in Basketball
Status: Exempted Review, 12/8/96
8. Coordination with Institutional Research.
9. Coordination Campus-Wide. The Office of Sponsored Programs sent monthly newsletters, abstracts of awards, proposal announcements (RFP's), proposal deadlines, legislative updates and grant tips to deans, heads, and individuals.
10. Coordination for a General Representative in Washington, D.C. Coordination continues on two projects: workforce assistance and safe drinking water.
11. Other Activities of the OSP. Director attended the national meeting of the National Council of Research Administrators in Washington, D.C. in early November. The Director and the Development Coordinator served on a panel entitled: "University-Industry Perspectives and Interdependence," at the Conference on Manufacturing Quality & Technology," November 30, December 1, 1995, at the Institute for Economic Development and Public Service.
12. Resources Strategy Group. Discussions were planned to involve OSP, Institutional Advancement, Vice President's, Deans, faculty and staff memebers who are involved with external funding efforts to meet once a month to share information to better meet the needs of the University.
13. The Guide to the Preparation of Grants and Contracts, which explains policies and standards of the University, was disseminated to facilitate the efforts of project developers.
14. 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 clarified and expedited the transmission of agreements between the Center, sponsors and the University. It has undergone five revisions to further clarify policies and procedures as the first quarter closed. Further time has been saved by using the attach feature in email to transmit documents from the Institute for Economic Development and Public Service, which houses the Center for Training and Development to the OSP.
APPENDIX A - AWARDS 2ND QUARTER 1996 BY DEPARTMENT/UNIT
APPENDIX B - PROPOSALS 2ND QUARTER 1996 BY DEPARTMENT/UNIT
APPENDIX C - INDIRECT COSTS RECOVERY 2ND QUARTER, FY 1996
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Last update made March 19, 1996.
Send comments to: Sponsored Programs Information Coordinator pamela.napier@wku.edu
All contents copyright (C) 1996. Western Kentucky University.