WESTERN KENTUCKY UNIVERSITY
Office of Sponsored Programs
THIRD QUARTER Report, FY 96
January 1-March 29, 1996
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
May 25, 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
- Salary Savings Incentive Policy
- Pre-Award Activities
- Post-Award Activities
- Coordination with the Library
- Human Subjects of Research
- Coordination Campus-Wide
- Coordination for a General Representative in Washington, D.C.
- Resource Strategy Group
- APPENDIX A - AWARDS 3RD QUARTER 1996 BY DEPARTMENT/UNIT
- APPENDIX B - PROPOSALS 3RD QUARTER 1996 BY DEPARTMENT/UNIT
EXECUTIVE SUMMARYSummary Of WKU Sponsored Programs Awards And Proposals
Over The First Three Quarters Of FY96 (With Comparisons To FY95)
Awards from External Sponsors to date in FY 96 (April 16, 1996) = $10,150,631
Awards from External Sponsors in FY 95 (Through June 30, 1995) = $10,938,414
It appears that we will surpass last year's total because there are still 2.5 months to go in the fourth quarter of FY96 and as shown below, proposals have skyrocketed this year while awards have shown a 15% increase despite slowdowns and shutdowns in Washington, D.C.
In this year of doubt and consternation in the grants game, Western s Sponsored Programs staff was surprised to receive a recent report from the Office of Federal Programs in Washington, D.C. The report covered the period FY 95 through FY 96 (April 1). It compared gains and losses in proposals and awards between FY 95 and FY 96. The report indicated that out of thirty-one of our sister institutions surveyed, Western had the highest percentage change in the number of proposals submitted (+77%) and the next to highest in the number of awards received (+30.15%). As for dollar values, our increases were 91.55% for proposals and 15.5% for awards. The next highest institution showed a +17.88% gain in proposals and a +3.41% gain in awards. Most of the institutions were showing decreases in both proposals and awards. A copy of this report is available upon request. (Source: AASCU, Office of Federal Programs, Preliminary Results of OFP Subscriber Survey, May 15, 1996, p. 1.)
Awards
Time Frame # of Awards Award Amount
July 1, 1995-March 31, 1996 176 $9,198,699
July 1, 1994-March 31, 1995 138 $7,971,583
Compared to FY 95 over the first three quarters we are up 27% in the number of awards received and 15% in award amount.
Proposals
Time Frame #Proposals Proposal Amount
July 1, 1995-March 31, 1996 201 $18,829,219
July 1, 1994-March 31, 1996 115 $ 9,825,122
Compared to FY 95 over the first three quarters we are up 74% in the number of proposals submitted and 92% in the dollar amount of proposals submitted. We have already submitted more proposals for a larger amount over the first three quarters alone than in all of FY95.
Summary of Third Quarter FY96
From January 1, 1996-March 29, 1996 the University received 35 awards totaling $1,439,986 and submitted 65 proposals totaling $3,971,821. The award amount increased by 17% over a year ago and 46% over 1994. The dollar amount of proposals since last July 1 continued the upward trend this fiscal year. Proposals submitted increased by $9,122,570 (93%) compared to a year ago. The number of proposals submitted increased 77% compared to this time last year.
Comparisons with previous years are:
This Report Period (FY 96)
35 Awards Totaled $1,439,986 Average Size: $41,142
65 Proposals Totaled $3,971,821 Average Size: $61,105
One Year Previous (FY 95)
31 Awards Totaled $1,226,108 Average Size: $39,552
44 Proposals Totaled $4,858,707 Average Size: $110,425
Two Year's Previous (FY 94)
27 Awards Totaled $1,014,799 Average Size: $37,585
63 Proposals Totaled $3,844,749 Average Size: $61,028
Three Year's Previous (FY 93)
68 Awards Totaled $2,810,967 Average Size: $41,338
66 Proposals Totaled $4,544,325 Average Size: $68,853
The salary savings incentive policy was approved by the Academic Dean's Council during the Third Quarter.
Sponsored Programs continued to rely heavily on the WKUNET to expedite operations through the introduction of the Office of Sponsored Programs Home Page, 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. provided online announcements and deadlines of grant and contract opportunities. OFP contributed minutes of meetings on Capitol Hill and of Federal funding agencies. This information was, in turn, emailed or mailed direct to targeted faculty and staff members at Western. The profile of faculty interests for research, instruction, and public service projects grew from internal proposals communicated by the Dean of Graduate Studies and Research.
The OSP worked with nearly one hundred pre-award faculty and staff members, and several graduate students; and performed over fifty SPIN searches for them. (Faculty and staff continued performing searches from their offices with SPIN USA On-line.) The OSP worked with about ten graduate students during the third quarter.
In the post-award phase, nearly fifty 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 Alabama Human Resource Services Alabama Human Resource Services, Inc. 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 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 Fish & Wildlife Kentucky Department of Fish and Wild Life KY Info Resource Mgt Comm. Kentucky Information Resource Management Commission KDC Kentucky Division of Conservation KDE Kentucky Department of Education KET Kentucky Educational Television 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 NASA/KY Space Grant Consortium Kentucky Space Grant Consortium NIA National Institute on Aging NPS National Park Service NRC National Research Council NSF National Science Foundation NWP National Writing Project Corporation 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. Justice U.S. Department of Justice U.S. SBA U.S. Small Business Administration TVA Tennessee Valley Authority WCCD Warren County Conservation District
The Office of Sponsored Programs (OSP) performs pre- and post-award services with faculty, staff members and students seeking external support for research and development, instruction and public service, scholarships, and fellowships. The OSP coordinates proposal routing; maintains a database of faculty and staff members' interests; identifies potential sponsor; assists with proposal development; presents workshops; cooperates with grant development initiatives of the deans, Center for Teaching and Learning, 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, 3RD QUARTER FY96
In this reporting period, Western Kentucky University received 35 awards in the amount of $1,439,986 that included $82,292 in indirect recovery costs. (See Appendix A.) Compared to last year, these data reflect an increase of 4 awards (+13%) and a dollar increase of $96,655 (+7%).
At the end of the third quarter, we are $1,283,402 ahead of last year in the dollar amount of total awards over the first three quarters (+16%).
Compared to last year, there was a decrease of $34,931 in indirect recovery costs for the third quarter (-30%). We continue, however, to run $148,323 ahead of last year in indirect cost recovery over the first three quarters (+40%)
Table 1. AWARDS RECEIVED, 3RD QUARTERS 1988-1996
FY Number of Amounts of Awards Awards Received Received 1988 904,336 1989 1,557,592 1990 858,227 1991 35 1,501,234 1992 40 1,797,383 1993 40 1,606,560 1994 27 1,014,799 1995 31 1,226,108 1996 35 1,439,986Awards Received by Academic College or Other Units 3RD QUARTER FY 96 Comparisons with previous year third 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, 3RD QUARTER FY 1996, by Academic College or Other Units
Unit Totals: Total Awards Awds 3RD Indirect Indirect 3RD QTR FY96 QTR 95 Costs 3RD QTR Costs 3RDQTR FY96 FY95 Ogden College 465,967 242,893 16,793 1,324 Educational Television 246,012 0 0 0 Center for Training & 50,342 195,830 3,289 8,477 Development College of Education & 371,224 755,433 60,914 107,422 Behavioral Sciences Potter College 14,000 0 0 0 Admissions 6,000 32,000 0 0 Community College 6,000 0 0 0 Financial Management 63,613 62,670 0 0 Continuing Education 17,500 0 1,296 0 Library 1,142 1,666 0 0 Institute for Economic 12,000 5,000 0 0 Development & Public Service Public Safety 138,603 0 0 0 Student Health & 47,583 46,839 0 0 Wellness Center Sponsored Programs 0 1,000 0 0 Total: 1,439,986 1,343,331 82,292 117,223Awards Received by Academic Departments, 3RD QUARTER FY 96
Six academic departments and 8 faculty members received 52% of the total awards and 86% of the indirect costs recovered. One less academic department received awards than third 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. Ed. Leadership C. Wagner 27,857 0 2. English J. Hagaman 14,000 0 3. Physics and W. Buckman, R. 245,567 467 Astronomy Hackney, C. McGruder (2) 4. Psychology K. Ball 197,260 51,071 5. Public Health D. Dunn (2) 220,400 16,326 6. Teacher T. Wilson (2) 47,657 2,550 Education Total: 752,741 70,414Awards Received by Chief Support Units, 3RD QUARTER FY 96 Chief Support units contributed 48% of the awards for the third quarter. They contributed 14% of the indirect costs recovered from awards. In all, 12 project directors in 11 support units received awards.
Table 4. Awards Received by Chief Support Units
Unit Awardees Total Award Indirect Costs Admissions A. Wagoner 6,000 0 Community College J. Boles 6,000 0 Continuing M. Loveless 17,500 1,296 Education Center for K. Mussnug (4), 50,342 3,289 Training & N. Priest (9) Development Educational TV & D. Wilkinson 246,012 0 Radio Services Financial J. Nichols 63,613 0 Management Institute for S. House 12,000 0 Economic Development Library M. Binder (2) 1,142 0 Public Safety M. Wallace 138,603 0 Student Health and N. Givens 47,583 0 Wellness Center Training & C. Mendel 98,450 7,293 Technical Assistance Total: 687,245 11,878Awards Received by Type 3RD 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 23% of the award amount; memoranda composed 60%; and subcontracts composed 8.6% of the awards.
Table 5. Awards Received by Award Type 3RD Quarter FY 96
Award Type Number of Amount of Awards Awards Grants 8 604,430 Memoranda of 21 230,837 Agreement or Understanding Subcontracts 3 320,707 Contracts 3 284,012 Totals: 35 1,439,986Awards Received by Project Type 3RD QUARTER 96
Slightly over 44% of the amount of awards received were for Public Service projects; 14% percent supported research; and 42% supported Instruction.
Table 6. Awards Received by Project Type
Project Type Number of Amounts of Awards Awards Instruction 18 607,824 Research 1 197,260 Public Service 15 628,902 Scholarships 1 6,000 Totals: 35 1,439,986Awards by Funding Sources for 3RD 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 % # of Awarded of Total Total Awards Amount Awards Awarded Federal 843,875 7 59 20 State 87,514 5 6 14 Other Public 502,030 22 35 63 (other than state and Foundations) Foundations 6,567 1 1 3 Total: 1,439,986 35 100 100Top Ten Sponsors In Dollars Awarded 3RD QUARTER FY96
In this reporting period, 61% of the number of awards (20% less than last year) and 93% of the total amount awarded 6% less than last year) came from the top ten sponsors listed in Table 8. Federal agencies emphasizing a wide variety of functions topped the award amount.
Table 8. Top Ten Sponsors 3RD QUARTER FY 96
Sponsor $ Awarded # of Awards % of Total % # of $ Awarded Awards 1. U.S. Department of 246,012 1 17 3 Education/KTLN (Federal) 2. University of 220,400 2 15 6 Louisville Research Foundation (Other Public) 3. NASA (Federal) 206,000 1 14 3 4. National Institute on 197,260 1 14 3 Aging (Federal) 5. U.S. Department of 138,603 1 10 3 Justice (Federal) 6. Murray Head Start 98,450 1 7 3 (Other Public) 7. Kentucky Department of 80,515 4 6 11 Education (State) 8. Financial Management 63,613 1 4 3 Institute (Other Public) 9. Logan Aluminum, Inc. 54,071 6 4 17 (Other Public) 10. Bluegrass State 34,981 3 2 9 Skills Corporation (Other Public) Totals: 1,339,905 21 93 61In this reporting period, 14 academic departments, 5 more than third quarter last year, and 10 support units (5 more than last year at this time), comprising 29 faculty (same as last year) and 13 staff members (5 more than last year) submitted 65 proposals totaling $3,863,335. (See Appendix B.) These data reflect an decrease of 21% compared to third quarter 1995, and an increase of $9,716,636 (106%) in the dollar amount of submissions compared to the total after the first three quarters of the previous year. Since July 1, 1995, there have been 203 proposals submitted for $18,839,206. This result is the highest in the last five years. Five-year comparisons are in Table 9.
Table 9. Number and Amount of Proposals Submitted, 3rd Quarter FY91-96
3rd Quarter Number of $Amount of FY 91 to FY 96 Proposals Proposals Submitted Submitted 1991 44 2,745,818 1992 58 4,943,216 1993 66 4,544,325 1994 63 3,844,749 1995 44 4,858,707 1996 65 3,863,335The 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 86% of the total dollar amount of proposals and accounted for 46% of the total number of proposals that were submitted.
Table 10. Top 10 Units Submitting Proposals 3rd Quarter FY 96
Name of Unit Amount of Project Directors/Total Submissions Submissions 1. Journalism 963,579 J. Barnum, M. Morse 2. Psychology 575,542 J. Bilotta, J. Craig, L. Layne, S. Ramsay 3. Chemistry 466,320 Wei Ping Pan (4) D. Slocum, M. Kubasik, C. Lee (2), L. Shank 4. Educational TV 316,012 J. Barnaby, D. Wilkinson and Radio 5. Public Health 220,400 D. Dunn/L. Juett (2) 6. Biology 201,139 D. Balak, J. Jack (4), M. Stokes 7. History 162,312 C. Bussey, J. Hardin 8. Library 151,106 N. Baird/P. Wright 9. Educational 143,790 C. Manco, C. Wagner Leadership 10. Public Safety 138,604 M. Wallace Totals: 3,338,804 31In addition, 14 departments, 7 academic and 7 support, submitted proposals of $113,984 or less. They are listed in Table 11 with the project directors and number of proposals.
Table 11. Units Submitting Proposals under $114,000 in 3rd Quarter FY96
Name of Unit Amount of Project Directors/ Total Submissions Submissions 11. Government 113,984 J. Petersen 12. T/TAS 96,655 C. Mendel (2) 13. Financial Management 63,613 J. Nichols 14. Center for Training & 56,575 K. Mussnug (4), P. Myers (10) Development 15. Student Health 47,583 N. Givens 16. Mathematics 27,867 N. Iraniparast, B. Richmond 17. Physics/Astronomy 23,968 M. Carini (3), R. Gelderman (2), C. McGruder 18. Continuing Education 17,500 M. Loveless 19. Industrial Technology 15,000 M. Tiryakioglu C. Pinnick Philosophy & Religion 15,000 20. Geography/Geology 14,986 C. Groves 21. Teacher Education 13,800 J. Vokurka 22. Institute for Economic 12,000 S. House Development and Public Service 23. Community College 6,000 J. Boles Totals: 524,531 34Table 12 shows that about 44% of the dollar amount of proposals submitted supported Instruction and 38% supported Research. There were 22 more research proposals than last year for this reporting period. The Research proposals amounted to $1,299,136 more than research proposals for this period last year.
Table 12. Proposals Submitted 3rd Quarter FY 96 by Proposal Type
Proposal Type(By # of % of Total Amount of $ % of Amount program Proposals Proposals Submitted of $ classification Submitted Submitted numbers) 1.0 Instruction 22 34 1,717,108 44 2.0 Research 25 38 1,461,319 38 3.0 Public Service 14 22 660,608 17 8.1 Scholarships 4 6 24,300 1 Total: 65 100 3,863,335 100
Table 13 Proposals Submitted by Agency Type
Agency Type # of % of Total Amount of $ % of Amount Proposals Proposals Submitted of $ Submitted Submitted 1. Federal 15 23 1,341,563 35 2. State 13 20 358,398 9 3. Other Public 31 48 876,615 23 4. Foundations 6 9 1,286,759 33 Total: 65 100 3,863,335 100Top Ten Sponsors In Proposals Submitted 3rd Quarter FY 96
Over 38% of the proposals were submitted to ten sponsors. The top ten sponsors constituted lower percentages compared to third quarter last year. Then, the number of submissions to the top ten was 70% compared to this year's 38%. The dollar value of proposals to the top ten sponsors constituted 80% of the dollars in the total proposals submitted. Last year during third quarter the dollar value was 89%. As can be seen in Table 14, there was strong reliance on Federal and Foundation sponsors.
Table 14. Top Ten Sponsors 3rd Qtr FY 96-Proposals Submitted
Agency Number of Amount Submitted Submissions 1. John S. & James L. Knight 1 934,027 Foundation 2. U. S. Department of 3 879,539 Education (Federal) 3. University of Louisville 3 298,100 Research Foundation (Other State) 4. University of Kentucky 12 218,367 Research Foundation (Other State) 5. Ford Foundation 1 154,812 6. Ashland Oil Foundation 1 151,106 7. U. S. Department of 1 138,603 Justice (Federal) 8. Heritage Land Conservation 1 138,991 9. Alabama Human Resource 1 115,933 Services, Inc.(State) 10. Kentucky Educational 1 70,000 Television (State) Totals: 25 3,099,478 Percent of Total Submitted: 38 80Indirect Costs in Proposals Submitted Third Quarter FY 96
Indirect costs were included in 28 of the 65 proposals submitted (43%). Amounts by Academic College or unit are included in Table 15.
Table 15. Indirect Costs in Proposals Submitted Third Quarter FY 96
College or Unit Amount of Indirect Costs Submitted College of Education and 177,881 Behavioral Sciences Ogden College of Science, 143,871 Technology, and Health Potter College of Arts, 124,265 Humanities and Social Sciences Center for Training and 3,620 Development Continuing Education 1,296 Total: 450,933COST SHARING IN GRANTS AWARDED THIRD QUARTER FY 96
Cost sharing records reflect full costing of budgets and enables accurate cost sharing budget projections. During the Third Quarter 1996, $204,843, or 14% above the $1,439,976 awarded by external sponsors, consisted of WKU cost sharing as Table 15 shows. This percent is 5% above the average of cost sharing compared to awards for FY 95 and 11% above cost sharing in awards for Third Quarter 1995. In FY 95, heaviest cost sharing in awards received fell in the second and fourth quarters. This FY heaviest cost sharing in awards received has fallen in the first quarter (57%) with the second and third quarters being nearly the same.
Of the 35 awards for Third Quarter FY 96, 5, or 14%, carried cost sharing obligations. Table 16 depicts the distribution and amounts of cost sharing for the fiscal year to date. These amounts will be charged against accounts in FY 96, FY 97, and FY 98. Cost sharing in these awards falls heaviest in this FY.
Table 16. Cost Sharing in Grants Awarded During 3rd Quarter FY 96
Total Cost in 95/96 Cost 96/97 Cost 97/98 Cost Sharing TOTAL FIRST 570,072 557,253 12,819 0 QUARTER 96 TOTAL SECOND 223,155 97,189 107,210 18,756 QUARTER 96 TOTAL THIRD 204,843 111,555 48,870 10,458 QUARTER 96 TOTAL COST 998,070 765,997 168,899 29,214 SHARING TO DATE FY96/98In 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 10.5%. Table 17 shows these percentages compared to award amounts. A detailed list for the third quarter is available upon request.
Table 17. Summary of Cost Sharing in Awards to Date
FY/Quarter Amount of Total Awards % of total % of total % Cost Cost Sharing Cost Sharing Awards for Sharing in in Awards 95/1 to 96/3 Total Awards for Quarter for FY(s) to date 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 FY95 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 FY 96/3 204,843 1,439,986 10.5 14 2 Total Cost 1,947,279 18,927,636 10.2 Sharing:Indirect Cost Sharing in Awards Third 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 the maximum indirect cost rate that sponsors will allow. For audit, the University will show $0 in indirect cost sharing for the third quarter of FY96 because there were no awards that required indirect cost sharing. Table 18 indicates departments that received awards during the first two of FY96 and the amounts.Table 18. Summary of Indirect Cost Sharing in Awards by Department FY96
Department Indirect Cost Indirect Cost Total Share Obligated Share Obligated in FY95 for FY96 in FY96 for FY96 Agriculture 2,016 2,016 Biology 2,148 2,148 Chemistry 5,460 3,670 9,130 Communications 3,161 3,161 and Broadcasting Continuing 19,952 19,952 Education Mathematics 4,307 4,307 Physics & 61,545 61,545 Astronomy SBDC 40,918 40,918 Total 9,767 133,410 141,029COST SHARING IN PROPOSALS SUBMITTED THIRD QTR FY 96
In addition to the $3,863,335 requested of external agencies, $1,146,921 consisted of cost sharing. The sum of these numbers equals the total proposal budgets for the third quarter --$5,010,256. This cost sharing amount is $840,791 higher than during third quarter last year. Breakdowns for proposal cost sharing for FY96 to date are in Table 19.
Table 19. Cost Sharing in Proposals Submitted
FY96 Total Costed in Costed Costed Costed Costed Costed Cost FY96 in FY 97 in FY 98 in FY 99 FY 00 FY 01 Sharing Total: 1st Qtr. 743,586 400,684 237,383 104,911 608 Total: 2nd Qtr. 1,518,381 112,467 971,215 294,204 140,495 Total: 3rd Qtr. 1,146,921 207,862 530,531 184,689 195,437 15,152 13,250 Total FY96 to 3,408,888 721,013 1,739,12 583,804 336,540 15,152 13,250 date 9Indirect costs shared, which are included in the totals in Table 19, are broken out in Tables 20 and 21.
Table 20. Indirect Cost Sharing in Proposals Submitted through 3rd Quarter FY 96
Quarter Amount of Indirect Cost Sharing in Proposals Submitted 1. July 1 to September 30, 1995 251,959 2. October 1 to December 31, 132,935 1995 3. January 1 to March 29, 1996 190,528 Total FY96 to date 575,422Table 21. Indirect Cost Sharing in Proposals Submitted 3rd Quarter FY 96 by Department
Department Costed Costed Costed Costed Total FY96 FY97 FY98 FY99 Chemistry 41,563 43,457 6,997 92,017 SBDC 40,918 40,918 Totals: 40,918 41,563 43,457 6,997 132,935AFFILIATION AGREEMENTS BETWEEN WESTERN AND EXTERNAL AGENCIES
The Office of Sponsored Programs assisted 3 academic departments with coordinating 23 affiliation agreements with external agencies to initiate and continue student internship programs during FY 1996 and 1997. 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. Records of the agreements can be reviewed by requesting this report. A breakdown by department of this activity is depicted in Table 22 below.
Table 22. Affiliation Agreements by Department, 3rd Quarter FY96
Department 1st Qtr. 2nd Qtr. 3rd 4th Qtr. Total Qtr. Allied 16 2 9 27 Health and Human Services Nursing 74 1 13 88 Physical 0 0 1 1 Education & Recreation Total: 90 3 23 116ACTIVITIES OF THE OFFICE OF SPONSORED PROGRAMS
DURING THIRD QUARTER FY 96
General Activities. The Office of Sponsored Programs went online with its Home Page in the Third Quarter. The OSP Home Page is the primary communication device for Western faculty, staff and students to find sponsors, prepare grants and contracts, and engage in post-award activities. It is a veritable "road map" to successful ventures through grants and contracts! It is updated weekly with announcements in the general interest, new policies and procedures, new potential sponsors, and tips on how to discover funding success. It should be consulted regularly. The OSP Home Page may be found by going to the WKU Home Page, clicking on "Keyword", typing "grants" in the Keyword search box and clicking enter. The OSP Home Page can also be accessed at:
http://wkuweb1.wku.edu/Dept/Support/SponsPrg/grants/home.htm
A copy of the Table of Contents that you will see when you access the OSP Home Page is shown on the next two pages. As you can see, the Home Page contains information about the mission and resources of OSP, SPIN Online to find sponsors, resources, regulations and etc. All you need to do is click on the contents that interest you. There are links to all of the Federal Agencies, many foundations and other sites needed on the Internet to do grants. Before you know it, you will be pursuing your funding idea, or other needs, through the Internet.
A new policy to provide further incentive for faculty and staff members to do grants and contracts was approved by the Academic Dean’s Council. The text follows:
WESTERN KENTUCKY UNIVERSITY
SALARY SAVINGS INCENTIVES POLICYAfter direct expenses have been removed, in late July of each fiscal year, funds saved from grants and contract funding of faculty and staff positions from the previous fiscal year will be distributed on the formula basis listed below.
Upon approval by the Vice President for Academic Affairs, funds will be transferred to unit accounts.
In coordination with appropriate Vice Presidents and Deans, Academic Affairs will allocate funds to be transferred to appropriate "3001" accounts as follows:
- 40% General Fund
- 40% Individual Units (Vice President's Offices or Dean's Offices), depending on whose grants caused the salary savings
- 20% Office of the Vice President for Academic Affairs
Salary Savings Policy
February 20, 19961. Pre-Award Activities. Grant Workshops: Planning began for the Basic and Advanced Workshops to be held in April at the beginning of the Fourth Quarter. The workshops will consist of 3 similar 3-hour sessions in Grise Hall 457. Both workshops will cover funding sources on the Internet and the contents and links on and from the OSP Home Page. All participants will learn to use the computerized Sponsored Programs Information Network (SPIN) search for funding sources. They will also learn to locate Federal agencies and foundations on the Internet.
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.
SPIN Searches: During the third quarter 1996, approximately 66 SPIN searches for potential sponsors were conducted for 52 faculty, staff and graduate students by Sponsored Programs staff. This number of searches marked an increase of 22 faculty from the second quarter.
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.
Email Network: Daily messages were sent to faculty and staff that compose various targeted Sponsored Programs mailing lists across campus. These messages contained announcements for new grant competitions, deadlines for submissions, tips on writing to various sponsors, and recent compliance regulations as revised or initially incorporated by agencies.
2. Post-Award Activities. Post-award meetings were held with numerous project directors about budgets, modifications, carry over funds, extensions, and final reports. The following table indicates the number of charts of accounts established this FY.
Table 23. Charts of Accounts
Quarter Charts of Accounts Established 1 43 2 60 3 37 Total this 140 FY to Date:3. 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. The Bibliography was made available on the Sponsored Programs Home Page. Moreover, the Reference Section contains publications of the Foundations Center and manuals about grant writing.
4. Human Subjects of Research. The following projects were approved by the Human Subjects Review Board during the third quarter:
Table 24. Human Subjects Reviews Third Quarter 1996
Faculty /Sponsor Department Project Title Result of Director Review Tom Nicholson Public T. Nicholson Drugnet: A Survey of Expedited Health Recreational Drug Use Jim Craig Psychology Jim Craig Longitudinal case Expedited study of selected Kentucky middle and high schools on the implementation of KERA Michael Ann Folk Studies Kymberly Identity, Meaning and Expedited Williams Helbig Expression in Contemporary Tattoo Practices Susan Jones Nursing Susan Jones Empowering Rural Expedited Adolescents in Risk Reduction Martha Jenkins Consumer & Martha Jenkins Response to Texture, Expedited Family Color and Design in Sciences Textile Fabrics5. 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 both by email, announcements on the OSP Home Page, and by direct mail.
6. Coordination with the General Representative in Washington, D.C. Coordination continues on two projects: workforce assistance and safe drinking water.
7. Resources Strategy Group. Monthly meetings were held to involve OSP, Institutional Advancement, Vice Presidents, Deans, faculty and staff members with exchanging information about external funding efforts to meet once a month to share information to better meet the needs of the University.
8. 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. This document may be found on the OSP Home Page.
- APPENDIX A - AWARDS 3RD QUARTER 1996 BY DEPARTMENT/UNIT
- APPENDIX B - PROPOSALS 3RD QUARTER 1996 BY DEPARTMENT/UNIT
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Send comments to: Sponsored Programs Information Coordinator pamela.napier@wku.edu
All contents copyright (C) 1996. Western Kentucky University.
- General Activities