FOURTH QUARTER Report, FY 96
April 1-June 30, 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
August 7, 1996
EXECUTIVE SUMMARY
Summary Of WKU Sponsored Programs Awards And Proposals Over The First Four Quarters Of FY96 (With Comparisons To FY95)
The Annual Report for FY96 will show the highest number of awards and proposals and award and proposals amounts in the history of the university.
Year-End -- Awards
Amounts (The Annual Report will be out in early September.)
FY 96 = $13,300,482
FY 95 = $10,938,414
FY94 = $10,103,642
FY 96 represents a +22% in award amounts over FY95 and a +32% increase over
FY94.
Number
FY 96 = 255
FY 95 = 210
FY 94 = 193
FY 96 represents a +21% in award amounts over FY95 and a +32% over FY94.
Year-End -- Proposals
Amounts
FY 96 = $26,136,221
FY 95 = $16,537,952
FY 94 = $16,994,906
This represents a +58% in proposal amounts over FY95 and +54% over FY94.
Number
FY96 = 278
FY95 = 201
FY94 = 220
This represents a +38% in proposal numbers over FY95 and +26% over FY94.
Summary of Fourth Quarter FY96 (April 1-June 30, 1996)
Fourth Quarter --
Award Amounts
Fourth Quarter 96 = $3,195,496
Fourth Quarter 95 = $2,866,831
Fourth Quarter 94 = $3,606,350
This represents a +11% in award amounts over FY95 but a -11% compared to
FY94.
Award Numbers
Fourth Quarter 96 = 76
Fourth Quarter 95 = 72
Fourth Quarter 94 = 63
This represents a 5.5% in award numbers over FY95 and +21% over FY94.
Fourth Quarter -- Proposal Amounts
Fourth Quarter FY 96 = $5,876,995
Fourth Quarter FY 95 = $6,669,830
Fourth Quarter FY 94 = $4,074,439
This represents a -12% in proposal amounts over FY95 and +44% over FY94.
Size of awards and proposals Fourth Quarter 1996 compared with previous years
are:
This Report Period (FY 96)
76 Awards Totaled $3,195,496 Average Size: $42,046One Year Previous (FY 95)
75 Proposals Totaled $5,876,995 Average Size: $78,360
72 Awards Totaled $2,866,831 Average Size: $39,817Two Year's Previous (FY 94)
85 Proposals Totaled $6,669,830 Average Size: $78,469
63 Awards Totaled $3,606,350 Average Size: $57,244Three Year's Previous (FY 93)
57 Proposals Totaled $4,074,439 Average Size: $71,481
68 Awards Totaled $2,810,967 Average Size: $41,338The OSP provided basic and advanced grant workshops to about 20 faculty and staff in April. The dean's grant workshop coordinated by the Center for Teaching and Learning was held during the last two weeks in June. Four sets of faculty made up of two colleges and eight other faculty and staff members attended. Instruction was provided during part of each of the ten days. Participants were able to work on their own or interact with Sponsored Programs staff the rest of the day, or work independently. Judging from the evaluations, the benefits were excellent and a number of new proposals will be submitted during the coming year.
72 Proposals Totaled $4,178,857 Average Size: $58,040
The OSP worked with 109 pre- and post-award faculty and staff members, and several graduate students; and performed over seventy SPIN searches. (Faculty and staff continued performing searches from their offices with SPIN USA On-line.) The OSP worked with about ten graduate students during the fourth quarter.
In the post-award phase, 50 charts of accounts were prepared to implement new grant programs.
The OSP continued to collect information from the Graduate Office and the Faculty Research Council to construct a database of faculty profiles. This database will facilitate searches for potential sponsors and target individual faculty and staff members with announcements.
Pamela Napier joined the Sponsored Programs staff as a grants information specialist on June 3. Pamela will work with subgrants and affiliation agreements. She will also maintain several databases, work on the newsletter and assist with calls, visitors and correspondence. Welcome Pamela!
The OSP joined a committee to design a graduate level course in Information Literacy for graduate students during June. This semester course will involve three three-hour grants classes for graduate students and their faculty advisors.
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.
Abbreviation Complete Name
ACF Administration on Children and Families
AFOSR U.S. Air Force Office of Scientific Research
Alabama Human Resource Services Alabama Human Resource Services, Inc.
American Heart Assn American Heart Association
BRADD Barren River Area Development Division
BSSC Bluegrass State Skills Commission
CCC Child Care Consortium
City of BG City of Bowling Green
CPB Corporation for Public Broadcasting
DOD U.S. Department of Defense
DOE U.S. Department of Energy
EKU Eastern Kentucky University, Richmond
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
HHS/CDC/NIOSH Department of Health and Human
Services/Centfor Disease Control/National
Instiute for Occupational Safety & Health
Housing Authority BG Housing Authority of Bowling Green, KY
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
KY Commission on Human Rights Kentucky Commission on Human Rights
KYCHE Kentucky Council on Higher Education
KDA Kentucky Department of Agriculture
KY Dept Veterans Affairs Kentucky Department of Veterans Affairs
KY Dept for Libs & Archives Kentucky Department of Libraries & Archives
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 Econ Dev Cabinet Kentucky Economic Development Cabinet
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
KHC Kentucky Heritage Council
KHumC Kentucky Humanities Council
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 Real Estate Com. Kentucky Real Estate Commission
KY Sci & Tech Counc Kentucky Science and Technology Council
KWRI Kentucky Water Resources Institute
LECO LECO Corporation, St. Joseph, MI
Logan Aluminum, Inc. Logan Aluminum, Incorporated
Murray State Murray State University
NASA U.S. National Aeronautics and Space
Administration
NASA/KY Space Grant Consortium Kentucky Space Grant Consortium
NASP National Association of School Psychologists
Nature Conservancy The Nature Conservancy
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
RC Research Corporation
Retirement Res FD Retirement Research Foundation-Chicago
TSU Tennessee State University, Nashville
TVA Tennessee Valley Authority
UAB University of Alabama at Birmingham
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
United Way United Way of Southern Kentucky
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
Warren County Bar Assn. Warren County Bar Association
WCCD Warren County Conservation District
The Office of Sponsored Programs (OSP) provides pre- and post-award services for faculty, staff members and students seeking external support for research and proposal development, instruction and public service, scholarships, and fellowships. It assists faculty and staff members in writing memoranda of agreement and understanding, and contract and subcontracts (subgrants) with external sponsors. The OSP is the administrative representative for all externally funded programs and is the link between projects and the Office of Academic Affairs, Graduate Office, Budget Office and Accounting, academic Colleges and departments, and all support units of the University. On behalf of these entities, the OSP coordinates proposal routing; maintains a database of faculty and staff members' interests; identifies potential sponsors; assists with proposal development; presents workshops; cooperates with grant development initiatives of the deans, the Center for Teaching and Learning, and units across the campus; provides individual consultation; renders contract compliance and institutional assurance; establishes charts of accounts for awards; negotiates post-award modifications; and provides liaison with external agencies on behalf of the University.
AWARDS RECEIVED, FOURTH QUARTER FY96
In this reporting period, Western Kentucky University received 76 awards in the amount of $3,195,496 that included $240,628 in indirect recovery costs. (See Appendix A.) Compared to last year, these data reflect an increase of 4 awards (+5.5%) and a dollar increase of $328,665 (+11%).
At the end of the fourth quarter, we are $2,362,068 ahead of last year in the dollar amount of total awards over the four quarters of FY 96 (+21.5%), as the upcoming annual report for FY96 will indicate.
Compared to last year, there was an increase of $207,046 in indirect recovery costs for the fourth quarter (+162%). The upcoming annual report for FY96 with show at +56% increase in indirect cost recovery over the previous year.
Table 1. AWARDS RECEIVED, 4TH QUARTERS 1988-1996
FY Number of Amounts of Awards
Awards Received
Received
1988 - 887,042
1989 - 866,945
1990 - 1,998,970
1991 55 1,300,404
1992 44 1,340,936
1993 68 2,810,967
1994 63 3,606,350
1995 72 2,866,831
1996 76 3,195,496
Table 2: Awards Received by Academic College and Other Units 4TH QUARTER FY 96
Comparisons with previous year fourth 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.)
Unit Totals: Total Total Indirect Indirect
Awards Awards Costs Costs 4TH
4TH QTR 4TH QTR 4TH QTR QTR FY95
FY96 FY95 FY96
1. Ogden College 1,325,852 605,735 151,409 16,129
2. College of 1,151,916 1,238,182 76,966 57,525
Education &
Behavioral Sciences
3. Career Services 240,000 265,000 0 0
4. Center for 141,634 119,462 8,893 5,488
Training &
Development
5. Potter College 120,800 138,714 2,800 0
6. Educational 70,000 414,564 0 0
Television
7. Admissions 54,316 0 0 0
8. Counseling Center 43,800 43,800 0 0
9. Institute for 34,500 10,000 0 0
Economic
Development &
Public Service
10. Library 7,287 1,865 560 0
(Includes Special
Collections)
11. Minority 3,391 0 0 0
Student Services
Center
12. Community 2,000 73,309 0 0
College
13. Financial 0 0 0 0
Management
14. Continuing 0 0 0 0
Education
15. Public Safety 0 0 0 0
16. Student Health 0 0 0 0
& Wellness Center
Total: 3,195,496 2,910,631 240,628 79,142
Table 3: Awards Received by Academic Departments, 4TH QUARTER FY 96
Fourteen academic departments and 32 faculty members received 64% of the total awards and 80% of the indirect costs recovered during the fourth quarter. Two less academic department received awards than fourth quarter 1995. (In Table 3 below, indirect costs are included in the total award and are also broken out separately.) Individuals receiving more than one award in the quarter are so signified with the number of awards in parenthesis.
Unit Awardees Total Award Indirect
Costs
1. Physics/Astronomy C. McGruder, G. 610,918 137,637
Vourvopoulos
2. Chemistry D. Dahl, C. Lee (3), 445,053 0
M. Kubasik, W-P Pan,
D. Slocum
3. Teacher Education R. Roberts, V. 411,762 21,595
Stayton (3), J.
Vokurka (2)
4. Psychology J. Craig, L. Layne, 182,010 16,520
J. O'Connor, D.
Roenker
5. Biology K. Balak, R. Hoyt, 95,674 2,136
J. Jack (3)
6. Journalism J. Albers 75,000 0
7. Mathematics N. Iraniparast, D. 53,856 2,128
Neal, W. Weidemann
8. English J. Hagaman 37,800 2,800
9. Agriculture P. Dotson, R. 36,796 0
Hohnson, D. Coffey
10. Engineering J. Russell 34,690 1,820
Technology
11. Nursing M. Hazzard, S. Jones 32,320 7,520
12. Industrial M. Tiryakioglu (2) 15,168 168
Technology
13. Educational C. Wagner 15,000 0
Leadership
14. History C. Crowe-Carraco, J. 8,000 0
Hardin
Totals: 2,054,047 192,324
Table 4: Awards Received by Chief Support Units, 4TH QUARTER FY 96
Support units that do not report to academic colleges or academic departments contributed 19% of the awards for the fourth quarter. They contributed 4% of the indirect costs recovered from awards. In all, 10 project directors in 9 support units received awards.
Unit Awardees Total Award Indirect
Costs
1. Career Services J. Owen 240,000 0
2. Center for N. Priest (18) 141,634 8,893
Training and
Development
3. Educational TV J. Barnaby 70,000 0
and Radio Services
4. Admissions A. Wagoner 54,316 0
5. Counseling Center R. Greer (2) 43,800 0
6. Institute for S. House 34,500 0
Economic Development
7. Library (includes M. Binder (2), L. 7,287 560
Special Collections) Lee (2)
8. Minority Student P. Gatewood 3,391 0
Support
9. Community College J. Boles 2,000 0
Total: 596,928 9,453
Table 5: Awards Received by Type 4TH QUARTER FY 96
Awards received are categorized by award type: grants, memoranda of agreement or understanding (MOA/MOU), contracts, and subcontracts.
Award Type Number of % of total Amount of
Awards No. of Awards
Awards
Grants 22 29.9 1,418,020
Memoranda of 34 44.2 658,082
Agreement or
Understanding
Subcontracts 12 15.6 691,251
Contracts 8 10.3 428,143
Total: 76 100% 3,195,496
Table 6: Awards Received by Project Type 4TH QUARTER 96
Awards are categorized by project type: instruction, research, public service, and scholarships. Awards for research increased 252% over fourth quarter a year ago when the total was $341,413. On the other hand, awards were instruction decreased by 43% from a year ago when the total was $1,277,134. Awards for public service projects remained about the same as last year.
Project Type Number % of Awards Amount of Awards
of Awards
Instruction 30 39.4 728,864
Research 17 22.3 1,188,133
Public Service 28 36.8 1,224,183
Scholarships 1 1.3 54,316
Total: 76 99.8 3,195,496
Table 7: Awards by Funding Sources for 4TH QUARTER FY96
Federal awards were up by 90% over fourth quarter last year. State awards were down 48% compared to the fourth quarter last year. Federal awards decreased 32%; and state awards diminished by 46%. Public Service awards, however, were up 389%. Awards from foundations were down slightly compared to last year.
Funding Source Amount Awarded % of Number of % of
Amount Awards Number of
Awarded Awards
Federal 1,785,490 56 21 27.6
State 856,092 27 18 23.7
Other Public 406,272 12 33 42.8
(other than
state agencies)
Foundations 147,642 5 4 5.2
Totals: 3,207,619 100 76 100.0
Table 8: Top Ten Sponsors In Dollars Awarded 4TH QUARTER FY96
In this reporting period, 76% of the dollar amount of awards (4% more than last year) and 41% of the number of awards 1% more than last year) came from the top ten sponsors. Federal and state agencies emphasizing a wide variety of functions topped the award amount.
Sponsor $ Awarded % of $ % of # of
Awarded Awards
1. U. S. Department of 573,330 18 4
Education-Federal
2. Lockheed Martin Systems, 498,463 16 1
Inc-Federal
3. Air Force Office of 298,700 9 1
Scientific Research-Federal
4. Kentucky Higher Education 240,000 7 1
Assistance Authority-State
5. Kentucky Cabinet for Human 238,865 7 4
Resources-State
6. Kentucky Department of 172,201 5 8
Education-State
7. University of Kentucky 136,387 4 10
Research Foundation (includes
all EPSCoR awards)-Other Public
8. Blue Grass State Skills 128,424 4 10
Corporation-Other Public
9. National Aeronautics and 112,455 4 1
Space Administration-Federal
10. National Association of 75,000 2 1
School Psychologists
Total 2,473,825 76% 41%
PROPOSAL SUBMISSIONS
Table 9. Number and Amount of Proposals Submitted, 4th Quarter FY91-96
In this reporting period, 15 academic departments, 1 more than fourth quarter last year, and 11 support units, also 1 more than last year, comprising 32 faculty and 7 staff submitted 75 proposals (10 less than last year) totaling $5,876,995. (See Appendix B.) These data reflect a decrease of 12% both in the dollar amount and number of proposals compared to fourth quarter last year.
4th Quarters Number of $Amount of
FY 91-FY 96 Proposals Proposals
Submitted Submitted
1991 69 3,683,027
1992 76 7,118,579
1993 72 4,178,857
1994 57 4,074,439
1995 85 6,669,830
1996 75 5,876,995
4th Quarter 1996 Proposals in the Perspective of FY96
In FY 96 there was an increase of $9,611,269 (58%) in the dollar amount of proposals compared to the total for the previous year. From July 1, 1995 through June 30, 1996, 278 proposals were submitted for $26,106,221. This result is the highest for any year in the last 6 years.
Table 10: 4th Quarter 1996 Proposals by College or Principal Unit
College or $ Amount of % of Amount of # of % of # of
Principal Unit Proposals Proposals Proposals Proposals
CEBS 2,333,271 40 20 27
Ogden 2,475,193 42 22 29
Other 773,782 13 30 40
Potter 294,749 5 3 4
Totals: 5,876,995 100 75 100
Table 11. Academic Departments Submitting Proposals 4th Quarter FY 96
These units submitted 74.5% of the total dollar amount of proposals and accounted for 54% of the total number of proposals that were submitted.
Name of Unit Amount of Project Directors/Total
Submissions Submissions
1. Physics/Astronomy 1,859,493 M. Carini (2), R. Gelderman, K.
Hackney (2), R. Hackney (2), G.
Vourvorpoulos
2. Teacher Education 1,371,785 B. Askins (2), J. Schliefer, J.
Roberts, V. Stayton (2), J.
Vokurka (2)
3. Nursing 195,330 S. Jones, M. Hazzard
4. History 172,849 C. Bussey
5. Consumer & Family 120,376 T. Mitchell, J. Rasdall
Sciences
6. Psychology 112,187 L. Layne (2), J. O’Connor
7. Chemistry 94,069 D. Slocum
8. Biology 83,713 J. Jack (2)
9. Agriculture 77,825 P. Dotson, D. Coffey (2), L.
Hughes
10. Journalism 75,000 J. Albers
11. Educational 74,994 D. Nims, C. Wagner, S. House
Leadership
12. English 46,900 J. Hagaman/M. Dillingham
13. Engineering 34,690 J. Russell
Technology
14. Mathematics 18,028 D. Mooney, D. Neal
15. Industrial 1,545 M. Tiryakioglu
Technology
Total: 4,338,784 40
Table 12. Support Units Submitting Proposals in 4th Quarter FY96
In addition, 10 support units submitted proposals for $1,463,895.
Name of Unit Amount of Project Directors/Total
Submissions Submissions
1. T/TAS 295,616 C. Mendel (4)
2. Educational Talent 245,832 T. Ward
Search
3. Career Services 240,000 J. Owen
4. Office of Sponsored 223,896 Collaborators on Perkins
Programs II-c proposal: J. Boles,
M. Hazzard, R. Meador, P.
Myers-Project Director, J.
Rudolph
5. Veterans Upward Bound 222,981 R. Wilson
6. Center for Training & 129,415 P. Myers (20)
Development
7. Institute for Economic 44,500 S. House (3)
Development & Public
Service
8. Counseling Services 43,000 R. Greer (2)
Center
9. Community College 16,655 J. Boles (2)
10. Library (Special 2,000 L. Lee
Collections)
Total: 1,463,895 13 individuals
Table 13. Proposals Submitted 4th Quarter FY 96 by Proposal Type
44% of the dollar amount of proposals submitted supported Instruction (the same as the previous quarter) and 14.6% supported Research. The dollar amount of research proposals increased by $1,415,176 over the fourth quarter last year.
Proposal Type # of % of Amount of $ % of Amount (By program Proposals Total Submitted of $ classification Proposals Submitted numbers) Submitted 1.0 Instruction 33 44.0 1,997,165 34.0 2.0 Research 11 14.6 2,202,572 37.5 3.0 Public 30 40.0 1,622,942 27.5 Service 8.1 Scholarships 1 1.4 54,316 1.0 Total: 75 100 5,876,995 100
Table 14: Proposals Submitted by Agency Type
Agency Type # of % of Total Amount of $ % of Amount
Proposals Proposals Submitted of $
Submitted Submitted
1. Federal 19 25.3 3,997,172 68.0
2. State 23 30.7 1,231,259 21.0
3. Other 31 41.3 400,715 6.8
Public
4. Foundations 2 2.7 247,849 4.2
Total: 75 100 5,876,995 100
Table 15: Top Ten Sponsors In Proposals Submitted 4th Quarter FY 96
25% of the number of proposals were submitted to ten sponsors. The top ten sponsors constituted 35% less than the number of proposals the top 10 contributed during fourth quarter last year. Then, the number of submissions to the top ten was 58% compared to this year's 25%. The dollar value of proposals to the top ten sponsors constituted 76% of the total dollars of proposals. Last year during fourth quarter the dollar value was 79%. Federal and State sponsors were significant among the top ten.
Agency Number of Amount Indirect
Submissions Submitted Costs
Proposed
1. U. S. Department of 4 1,396,126 97,095
Education-Federal
2. NASA-Federal 2 636,079 31,977
3. U.S. Department of 1 554,980 111,491
Energy-Federal
4. Lockheed Martin Energy, Inc. 1 498,463 102,857
at Oak Ridge-Federal
5. Kentucky Department of 5 355,676 2,800
Education-State
6. Kentucky Council for Higher 2 309,310 0
Education-State
7. Kentucky Higher Education 1 240,000 0
Assistance Authority-State
8. Kentucky Cabinet for Human 2 237,809 17,171
Resources
9. Kentucky Department of 1 223,896 0
Education (Technical Education)
Totals: 19 4,452,339 363,391
Percent of Total Submitted: 25 76 51
Table 16: Indirect Costs in Proposals Submitted Fourth Quarter FY 96
Indirect costs were included in 42 of the 75 proposals submitted (56%).
College or Unit Amount of Indirect Costs
Proposed 4th Quarter
College of Education and 133,411
Behavioral Sciences
Ogden College of Science, 321,584
Technology, and Health
Potter College of Arts, 28,792
Humanities and Social
Sciences
Other Units 11,364
Total: 495,151
COST SHARING IN GRANTS AWARDED 4TH QUARTER FY 96
Cost sharing records reflect full costing of budgets and enables accurate cost sharing budget projections. During the Fourth Quarter 1996, $570,072, or 18% above the $3,195,496 awarded by external sponsors, consisted of WKU cost sharing as Table 16 shows. This percent is 6% above the average of cost sharing compared to awards for FY 96 and 5% above cost sharing in awards for Fourth Quarter 1995. In FY 96, heaviest cost sharing in awards received fell in the first and fourth quarters. In FY 95 heaviest cost sharing in awards received fell in the second and fourth quarters.
Of the 75 awards for Fourth Quarter FY 96, 25, or 33%, 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, FY 98 and FY 99. Cost sharing in these awards falls heaviest in FY95.
Table 17. Cost Sharing in Grants Awarded During 4TH Quarter FY 96
Total Cost Cost in 95-6 Cost 96-7 Cost 97-8 Cost 98-9
Sharing
1st Qtr. 96 570,072 557,253 12,819 0 0
2nd Qtr. 96 223,155 97,189 107,210 18,756 0
3rd Qtr. 96 204,843 111,555 48,870 10,458 0
4th Qtr. 96 573,844 86,567 358,845 63,003 65,429
Total To 1,571,914 852,564 527,744 92,217 65,429
Date for
FY96-99
WKU cost sharing in total awards for FY95 equalled 9% of the 10,828,541 in total awards. In FY 96, WKU cost sharing in total awards equals 11.8%. Table 17 shows these percentages compared to award amounts. A detailed list for the fourth quarter is available upon request.
Table 18. Summary of Cost Sharing in Awards to Date
FY/Quarter Amount of Total Awards % of total % Cost
Cost Sharing Cost Sharing Sharing in
in Awards Total Awards
for Quarter for the
quarter
FY(s) to
date
FY 95/1 59,010 4,268,568 6 0
FY 95/2 476,808 2,467,034 50 4
FY 95/3 40,582 1,226,108 4 0
FY 95/4 372,809 2,866,831 39 3
FY95 Totals: 949,209 10,895,414 99 9 FY 96/1 570,072 6,909,588 9 9 FY 96/2 223,155 1,910,213 13 10 FY 96/3 204,843 1,285,185 10.5 6 FY 96/4 573,844 3,195,496 18 2 Total Cost 2,521,123 24,195,896 10.4 Sharing:
Table 19: Indirect Cost Sharing in Awards Fourth Quarter FY96
Indirect cost sharing occurs when the current negotiated rate of 54% of salaries is used for cost sharing (22% when over half of a project will occur off campus.) Generally, the amount of indirect money cost shared is the difference between 54% of salaries and the maximum indirect cost rate that sponsors will allow. For audit, the University will show $240,628 in indirect cost sharing for the fourth quarter of FY96. Table 18 indicates departments that received awards with cost sharing obligations during FY96 and the amounts.
Dept. Indirect Indirect Indirect Indirect Indirect Cost Total
Cost Share Cost Share Cost Share Cost Share Share Oblig.
Oblig. in Oblig. in Oblig. in Oblig. in in FY99 for
FY95 for FY96 for FY96 FY97 for FY97 FY98 for FY98 FY99
FY96
Agricul. 2,016 2,016
Biol. 2,148 19,995 22,143
Chem. 5,460 3,670 88,505 43,768 45,398 186,801
Comm. & 3,161 3,161
Broadc.
Cont. Ed. 19,952 19,952
Math 4,307 4,858 9,165
Phys. & 61,545 61,545
Astr.
SBDC 40,918 40,918
Total 9,767 133,410 113,358 43,768 45,398 345,701
COST SHARING IN PROPOSALS SUBMITTED FOURTH QTR FY 96
In addition to the $5,876,995 proposed, $210,317 consisted of cost sharing. This amount was proposed in 13 proposals. The sum of these numbers equals the total proposal budgets for the fourth quarter --$6,087,312. This cost sharing amount is $1,673,245 below fourth quarter last year. However, looking at FY96 compared to FY 95, we proposed 92% more cost sharing. Table 20 includes breakdowns for proposal cost sharing for FY96.
Table 20. Cost Sharing in Proposals Submitted
FY96 Total Cost Costed Costed in FY Costed in Costed in Costed Costed
Sharing in FY96 97 FY 98 FY 99 FY 00 FY 01
1st Qtr. 743,586 400,684 237,383 104,911 608 0 0
2nd Qtr. 1,518,381 112,467 971,215 294,204 140,495 0 0
3rd Qtr. 1,146,921 207,862 530,531 184,689 195,437 15,152 13,250
4th Qtr. 210,317 11,179 161,634 19,032 18,472 0 0
Total 3,619,205 732,192 1,900,763 602,836 355,012 15,152 13,250
FY96 to
date
Indirect costs share proposed, which are included in the totals in Table 19, are broken out in Tables 20 and 21. The $11,191 proposed in indirect cost share this year for fourth quarter is $123,067 below last year. However, looking at FY96 in its entirety, $365,120 (+65%) more was cost shared in indirect costs than during the previous year.
Table 21. Indirect Cost Sharing in Proposals through 4th Quarter FY 96
Quarter Amount of Indirect Amount of Indirect Cost
Cost Sharing in Sharing in Proposals
Proposals Submitted FY 95
Submitted FY 96
1st Qtr. FY 1996 251,959 17,546
2nd Qtr. FY 1996 132,935 49,769
3rd Qtr. FY 1996 190,528 19,920
4th Qtr. FY 1996 11,191 134,258
Totals: 586,613 221,493
Table 22. Indirect Cost Sharing in Proposals Submitted by Department
Department Costed Costed Total
FY96 FY97
Mathematics 7,866 7,866
Phys. & Astr. 3,325 3,325
Totals: 11,191 11,191
AFFILIATION AGREEMENTS BETWEEN WESTERN AND EXTERNAL AGENCIES
The Office of Sponsored Programs assisted 5 academic departments with coordinating 63 affiliation agreements with external agenies to initiate and continue student internship programs during the quarter. These agreements enable faculty members and students to interact with professionals throughout the region to enhance curriculum. Records of the agreements can be reviewed by requesting this report. A breakdown by department of this activity for the year is depicted in Table 22 below.
Table 23. Affiliation Agreements by Department, FY96
Department 1st Qtr. 2nd 3rd 4th Qtr. Total
Qtr. Qtr.
Allied Health and 16 2 9 48 75
Human Services
Biology 0 0 0 1 1
Consumer & Family 0 0 0 9 9
Sciences
Nursing 74 1 13 4 92
Physical Education & 0 0 1 0 1
Recreation
Public Health 0 0 0 1 1
Total: 90 3 23 63 179
ACTIVITIES OF THE OFFICE OF SPONSORED PROGRAMS DURING FOURTH 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 “Keywords,” 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
The Home Page contains information about the mission and resources of OSP, SPIN Online to find sponsors, resources, regulations and links to all Federal agencies and many Foundations. The Home Page links you to the Foundation Center, which, in turn, will link you to many other foundations. Statistics about the Commonwealth of Kentucky to help strengthen need statements in proposals are available through this link. Another vital link from the OSP Home Page is to the Kentucky Department of Education. To access any of these links, merely click on contents of interest.
1. Pre-Award Activities. Grant Workshops: The Basic and Advanced Workshops were held in April at the beginning of the Fourth Quarter. The workshops consisted of 3 similar 3-hour sessions at both basic and advanced levels in Grise Hall 457. Both workshops covered funding sources on the Internet and the contents and links on and from the OSP Home Page. Participants learned to use the computerized Sponsored Programs Information Network (SPIN) search for funding sources on the Internet and the elements of a grant 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.
From May 6-17, OSP staff assisted the Center For Teaching and Learning in the third dean’s workshop for sets of faculty to learn how to write proposals and steps that need to be taken after an award. Participants evaluated the workshop at 89% (326 out of 360 possible points). Faculty and staff members teamed up in sets from CEBS, Ogden and Potter Colleges. Several other faculty and staff members attended on their own. As with last year’s event, this year’s two-week workshop proved to be successful. An improvement was the production of a Grant Writer’s Manual by OSP, which was printed and bound by CTL. Evaluations consistently ran at 4.5 to 5 out of five possible points on a Likert-type scale. Some of the comments by participants were:
“Each step of the proposal process was covered in great detail.
Everyone should participate in this workshop. May encourage faculty to seek external funding for ideas they already have.
This was all new to me but by the end of the workshop I felt I knew the basics.
Very valuable to know there is support for research and development (esp. for Humanities people!)
Everything started to come together during the second week when more time for writing and individual meetings was scheduled in.
Instructional sessions and time for work and interaction were integrated well.
Materials were instrumental in guiding us through the process of grant development.
Materials were well-organized--allowed one to construct the proposal section by section”
Some of the comments will be implemented in next year’s workshop: “Encourage participants to begin sponsor search before the workshop.
Grant workshop for Public School Personnel. The Director of the OSP gave a basic workshop to teachers and administrators at Apollo High School in Owensboro on June 23. This six-hour workshop was sponsored by the Green River Regional Education Consortium. An evaluation rating of 95% (709 of 750 possible points) was received from the 24 educators in attendance. The final hour of the workshop was spent in the computer lab. Participants were able to link to the OSP Home Page and find potential sponsors. For others it was their first introduction to the world wide web and they were fascinated. Some of the comments about the workshop were:
“I have used the ‘hit or miss’ approach to study grant writing over the past few years. This workshop pulled all of the pieces together into a coherent concept. I will now be able to follow through on my plans and instruction to use grants for the benefit of my students.
“This workshop has presented me with a great deal of information as well as seeds for ideas in a myriad of areas that will be helpful to my students. The entire process of writing a grant proposal--from concept to implementation--promotes creative thinking that will ultimately lead to self-examination and introspection on the part of the teacher.
“The presenter has built in many opportunities for participants to follow up by personal visits to his Office of Sponsored Programs, by E-mail, by phone and by correspondence.
“Prepared me for a new position as grant writer. So much information is out there to use.
“Excellent handouts--very useful.
SPIN Searches: During the fourth quarter 1996, approximately 20 SPIN (up 4 searches from the previous quarter) searches for potential sponsors were conducted for faculty, staff and graduate students by Sponsored Programs staff. This number of searches marked an increase of 26 faculty from the second quarter.
Grant development meetings about grants at different stages occurred with 23 faculty and staff members and students from Agriculture, Allied Health and Human Services, Biology, Chemistry, Community College, Counseling Services, Educational Leadership, Educational Television and Radio Services, Engineering Technology, English, Government, History, Industrial Technology, Institute for Economic Development and Public Service, Kentucky Museum and Library, Mathematics, Nursing, Physics and Astronomy, Teacher Education and TRIO. These conversations were backed up with discussions with Dean’s and Assistant Dean’s.
E-mail Network: Literally hundreds of grant announcement were faculty and staff that compose various targeted Sponsored Programs mailing lists. 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
4 48
Total this 188
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. Molly Daniel, Sponsored Programs Development Coordinator compiled Selected Kentucky Foundations to complement Grants: A Bibliography . . . mentioned above. Selected Kentucky Foundations is a directory that all Western grants writers will want to review while finding sponsors, since opportunities for funding increases with geographical proximity to Western. Personal copies are available upon request from the Office of Sponsored Programs at extension 4652 or by E-mail to any OSP staff member.
4. Human Subjects of Research. The following projects were approved by the Human Subjects Review Board during the fourth quarter:
Table 24. Human Subjects Reviews Fourth Quarter 1996
Faculty /Sponsor Department Project Director Title Result of Review
Dr. Betsy Psychology Sarah Leider Examination of Expedited
Schoenfelt (Graduate Perceptions of
Student) Procedural Justice
when Establishing a
Maternity Leave
Policy in a
University Setting.
Dr. Carl Myers Psychology Donna Ridenour The Assessment of Expedited
(Graduate Attention
Student) Deficit/Hyperactivit
y Disorder: A
National Survey of
School Psychology
5. 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 E-mail, 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. With appropriate support, this group will convene again during Fall Semester 1996.
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