WESTERN KENTUCKY UNIVERSITY

Office of Sponsored Programs ANNUAL Report, FY 97

JULY 1, 1996-JUNE 30, 1997

Office of Sponsored Programs

106 Foundation Building

Bowling Green, KY 42101-3576

Telephone:(502) 745-4652

FAX: (502) 745-4211

E-mail: Sponsored.Programs@Wku.Edu

Home Page: http://www.wku.edu/Dept/Support/SponsPrg/grants/home.htm

JANUARY 2, 1998

EXECUTIVE SUMMARY

Introduction

This Annual Report covers the activities of the Office of Sponsored Programs at Western Kentucky University from July 1, 1996 -- June 30, 1997. During this period, the University received 216 awards totaling $11,531,856 and submitted 268 proposals totaling $24,242,741. There were 39 fewer awards than a year ago and the dollar amount of awards decreased by 13%. Included in the awards was $619,251 in indirect costs. A year ago, $717,684 was awarded in indirect costs. There was a decrease of 14% in indirect costs awarded compared to a year ago; but an increase of 42% over two years ago. In addition, WKU cash cost shared $1, 174,999 above the $11,531,856 awarded. Total awards therefore equaled $12,706,855. WKU contributed 9% to the total award dollars.

Included in the 268 proposals totaling $24,242,741, was $1, 923,180 in indirect costs. WKU cash cost shared $2,627,400 in addition to the $24,242,741 requested of external sponsors. This makes total proposals equal to $26,870,141. WKU cost shared 9.7% of the total amount proposed. Thirty-Seven percent of the dollar amount of proposals submitted supported Research, whereas 41% of the dollar amount supported research last year. The dollar amount of research proposals in this FY was $1,719,105 less than last year. There were 3 more Federal proposals for $3,122,413 more than last year. There were 25 more proposals to state agencies for $476,934 more than last year.

Awards

The 13% decrease in award amount was caused principally by 11 fewer awards for research for $1,594,707 fewer dollars, despite 7 more awards for research. The dollar amount of awards for instruction increased $546,320, however. Federal and state sponsors, in that order, contributed the most awards. The average size of awards this year was $53,388, which is a 2% increase over a year ago.

Proposals

The dollar amount of proposals submitted not counting WKU cost sharing decreased by $1,863,480 (7%) compared to a year ago. Counting WKU cost sharing, the dollar amount of proposals decreased by $3,461,412, or 13% There were 7 fewer proposals than a year ago, a 9% decline.

Summary Awards and Proposals Comparisons with Previous Years

Western received the lowest amount of award dollars in the last 3 years. The dollar amount of proposals, however, was unprecedented for any quarter. The following table summrizes the data.

Other Activities in the Sponsored Programs Community

Sponsored Programs continued to rely heavily on the WKUNET to expedite operations through widespread use of e-mail with project directors (consisting of over 500 messages to grant developers. Postings of grant opportunities, deadlines, tips, and policies and procedures, were made. Internet addresses were posted on the OSP home page to provide faculty and staff members with information from the grant community nationwide. These addresses were mailed directly to faculty and staff members. Issues of local.grants, the OSP newsletter, were placed on the OSP home page and direct mailed. Monthly tallies of awards received and proposals submitted were published in On Campus and on the OSP web page.

Summary of Other Activities of the OSP during the Fourth Quarter FY 97

The OSP assists departments with subgrants and non-cash affiliation agreements. Whenever possible, three-year affiliation agreements were made. During FY 97, the OSP coordinated 29 subgrants to other institutions totaling $240,745, and 226 affiliation agreements with regional hospitals, clinics, and medical offices on behalf of internship programs in Allied Health and Human Services, Biology, Consumer and Family Sciences, Educational Television and Radio Services, Nursing, Physical Education and Recreation, and Public Health.

OSP staff attended professional workshops and chaired or served on university committees dealing with intellectual property, conflict of interest, faculty research, human subjects of research, women's issues and records management.

Funding Agencies

ABBREVIATIONS USED IN REPORTS

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

INTRODUCTION

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. The OSP helps faculty and staff members develop grants, memorandum of agreements, contracts, subcontracts (subgrants), and affiliation agreements. The OSP is the link between extramural projects and the Offices of Academic Affairs, Graduate College, Accounts and Fiscal Services, and Budget and Information Management. For example, the office works closely with Budget and Management Information in projecting extramural expenditures and revenues.

The OSP coordinates with academic colleges and departments, and all support units of the University. On behalf of these entities, the OSP coordinates proposal and award routing; maintains records of faculty and staff members' interests; identifies potential sponsors; assists with proposal development; presents grant development and compliance 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; provides liaison with external agencies on behalf of the University, and computes the University indirect cost rates and negotiates the rates with the cognizant Federal agency. The OSP manages intellectual property and copyright matters.

AWARDS RECEIVED, FY 97

In this reporting period, Western Kentucky University received 216 awards in the amount of $11,531,856 that included $619,251 in indirect costs awarded. (See Appendix A.) Compared to last year, these data reflect a decrease of 39 awards. The award dollar amount decreased from last year by $1,769,326, or -13%. The dollar amount of awards was the second highest in Western's history.

Compared to last year, there was a decrease of $98,433 in indirect recovery costs (-14%). Indirect costs awarded a year ago equalled $717,684.

Table 1: AWARDS RECEIVED, 1995-1997

Table 2: Awards Received by Academic College and Other Units FY 97

Comparisons with previous year fourth quarter awards are made with many of the programs in Table 2. (The Institute for Economic Development and Public Service, and the Small Business Development Institute awards for FY 97 are included in the College of Business. The Financial Management Institute award for FY 97 is included in Continuing Education).

Colleges & Other Units FY 97	Awards FY 97	Awards FY 96	Awards FY 95	Indirect Costs FY97	Indirect Costs FY 96	Indirect Costs FY95
1. College of Education & Behavioral Sciences	5,942,158	5,703,075	5,902,010	345,501	330,628	369,702
2. Ogden College of Science, Technology and Health	2,776,306	4,213,369	2,471,132	114,795	308,831	40,335
College of Business	648,151	8,500	9,799	18,802	0	0
Ed TV & Radio Services	577,841	1,112,011	970,014	0	0	0
Potter College	501,764	194,593	234,404	119,245	7,194	3,143
Career Services	244,370	240,000	265,000	0	0	0
Community College	194,410	24,655	128,004	5,601	0	0
Center for Training & Development	172,319	847,584	411,211	10,543	51,420	17,134
Public Safety	138,603	138,603	0	0	0	0
Admissions	88,500	135,316	32,000	0	0	0
Student Life	64,314	30,000	0	4,764	0	0
Student Health & Wellness	49,563	47,583	46,839	0	0	0
Counseling Services Center	43,800	87,600	0	0	0	0
Continuing Education	43,555	93,123	71,440	0	6,898	5,300
Minority Student Support Center	28,000	33,391	29,000	0	0	0
Library	18,202	17,202	14,751	0	560	0
Academic Affairs	0	8,324	0	0	200	0
Financial Management Inst.	0	63,613	62,670	0	0	0
Small Business Development Center	0	67,600	67,600	0	0	0
Institute for Economic Development & Public Service	0	235,040	178,540	0	11,953	0
Totals:	11,531,856	13,301,182	10,894,414	619,251	717,684	435,614

Awards Received by Academic Departments, FY 97

Twenty-two academic departments, eleven more than last year, and six more than 1995, and 68 faculty members (36 more than last year) received 125 awards. This number of awards was 58% of the total awards, 48 percent of the award dollars, and 54% of the indirect costs. Last year 15 academic departments received 36% of total number of awards, 46% of award dollars and 63% of indirect costs. In Table 3b, individuals receiving more than one award are signified with the number of awards in parenthesis.

Table 3a: FY 97-Summary of Academic Departments' Contributions to Awards

Table 3b: Academic Departments' Contribution to Awards FY 97

The other nine academic departments received no awards.

Table 4: Awards Received by Chief Support Units, FY 97

Chief support units contributed 51% of the dollar amount of awards. They contributed 43% of the indirect costs derived from awards. In all, 20 project directors in 19 support units received awards. Support units in academic colleges are so designated below.

Table 5: Awards Received by Award Type FY 97

There were 30 more grants that totaled $913,985 more than last year. There were 58 fewer MOAs for $973,002 fewer dollars than last year. There were 5 fewer subcontracts for $1,319,385 less than last year. There were 6 fewer contracts totaling $390,924 less than last year.

Table 6: Awards Received by Project Type FY 97

Compared to last year, there were 49 fewer awards for instruction. The dollar amount of awards for instruction increased $546,320, however. There were 7 more awards for research but for $1,594,707 fewer dollars. There were 3 fewer public service awards but for $993,943 fewer dollars than last year. There was a $31,316 dollar decrease in the amount of research scholarships awarded. Student Services (Career Services) received one award as noted; and a small Operations award was received by Agriculture.

Table 7: Awards by Funding Sources FY 97

There were 8 more federal awards than last year but for $900,334 fewer dollars. There were 18 more state awards than last year for $435,011 more dollars. We received 63 fewer awards from other public institutions (research foundations and regional companies) for $1,698,753 fewer dollars. We received 2 fewer awards from foundations but for $394,750 more dollars. The large decreases in awards from federal and other public sources explains our decrease in total awards compared to last year.

Table 8: Top Ten Awarding Agencies FY 1997

Eighty-one sponsors made awards to WKU during this reporting period. The top ten are listed below. These ten sponsors contributed 82% of the dollars awarded and 62% of the indirect costs. Last year the top ten contributed 68% of the funding; and in 1995 the top ten contribution was 72%.

PROPOSAL SUBMISSIONS

Table 9. Number and Amount of Proposals Submitted, FY 88-97

The largest dollar amount of proposals in this period were submitted during the fourth quarter FY 97. In this reporting period, 13 academic departments, 2 less than last year, and 8 support units, 3 less than last year, comprising 31 faculty (1 less than last year) and 9 staff (2 more than last year), submitted 68 proposals (7 less than last year) totaling $9,511,391. (See Appendix B.) Compared to last year, there was a -9% decrease in the number of proposals but, more importantly, a 62% increase in the dollar value of proposals.

Table 10: Proposals by College and Other Units, FY 97

Table 11. Academic Departments Submitting Proposals, FY 97

Academic departments submitted 58% of the total dollar amount of proposals and accounted for 64% of the total number of proposals that were submitted. Twelve more faculty submitted proposals than last year. Four more academic departments submitted proposals than last year. The academic departments accounted for 69% of the indirect costs proposed. The academic department submitted $7,422,699 less in proposals than last year.

Table 11a: Support Units Submitting Proposals, FY 97

Twenty-three support units submitted 171 proposals for $10,239,525. Of this amount, $602,027 was in indirect costs. Compared to last year, 3 more units submitted proposals. However, this year the support units submitted $5,698,310 more in proposals than last year.

Table 11b: Proposals Submitted by Support Units in Academic Colleges, FY97

Included in the units in Table 11a were nine support units in academic colleges that submitted proposals amounting to $8,279,355 which included $477,502 in indirect costs proposed. These proposals were submitted by 9 project directors and represented 30 projects.

Table 12. Proposals Submitted by Proposal Type, FY 97

Thirty-seven percent of the dollar amount of proposals supported Research, whereas 41% of the dollar amount supported research last year. The dollar amount of research proposals in this FY was $1,719,105 less than last year. There were 15 more proposals for research than last year. There were 42 fewer proposals for Instruction than last year, and the dollar amount was $3,697,578 less. There were 16 more Public Service proposals than last year and the dollar amount this year was $3,580,719 more.

Table 13: Proposals Submitted by Agency Type, FY 97

There were 7 more Federal proposals for $3,122,413 more than last year. There were 25 more proposals to state agencies for $476,934 more than last year. There were 44 fewer proposals to other public agencies for $1,585,377 less than last year. There were 3 more proposals to foundations but for $3,877,450 less than last year.

Table 14: Top Ten Sponsors In Proposals Submitted, FY 97

36% of the proposals were submitted to ten sponsors. These top ten sponsors constituted 14% more than the number of proposals to the top 10 last year. Then, the number of submissions to the top ten was 22%. The dollar value of proposals to the top ten sponsors constituted 74% of the total dollars proposed. Last year the dollar value was 62%. Federal sponsors were conspicuous among the top ten. Exactly 80% of the indirect costs proposed were submitted to the top ten sponsors below, which was 40% over last year.

Table 15: Indirect Costs in Proposals Submitted, FY 97

Indirect costs were included in 139 of the 268 proposals submitted (52%).

COST SHARING IN GRANTS AWARDED, FY 97

Cost sharing by the university reflects full costing of budgets and enables accurate cost sharing budget projections. During the FY 1997, $1,174,999, or 9% above the $11,531,856 awarded by external sponsors, consisted of WKU cost sharing as Table 16 shows. The OSP Contributions accounts contributed 22.5% of the total costs WKU shared in awards, $264,648. Adding the university cost sharing to the awards from external sponsors means that the total amount of cash awards was $12,706,855. The university cash cost shared 25% less than in the previous year.

Table 16: Summary of Cash Cost Sharing Awarded by WKU FY 95-97

The table above discloses several points. Of the 268 awards for FY 97, 56, or 21%, carried cost sharing obligations. Table 17 depicts the distribution and amounts of cost sharing compared to FY 96. Much less cost sharing was awarded this year in total dollar amount than in FY 96.

Table 17. Cost Sharing in Grants Awarded FY 96 & 97

Table 18: Cost Sharing in Awards from OSP Contributions Accounts, FY 97

As the Table 18 above shows, $288,776 was awarded out of OSP Contributions Accounts in FY 97.

Table 19: Total and Indirect Cost Sharing in Awards by Unit FY 97

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. There was $117,680 in indirect cost sharing for 8 units in FY97. In FY 96, 8 units indirect cost shared $345,701; in FY 95, 5 units cost shared $59,145.

COST SHARING IN PROPOSALS SUBMITTED FY 97

In addition to the $24,242,741 external funds requested, $2,627,400 was proposed as university cost sharing. The sum of these numbers equals the total proposal budgets for FY 97--$26,870,141. This amount was proposed in 98 proposals, or 36.5% of the 268 proposals. This cost sharing amount is $1,597,932 less than last year as Table 20 shows.

Table 20: Cost Sharing in Proposals 1997

Table 21: Cost Sharing of Proposals from OSP Contributions Accounts 1997

12 percent, or $316,100 of the total of $2,627,400 cost shared for proposals came from the three Sponsored Programs Contributions accounts as shown below.

Table 22: Total and Indirect Cost Sharing in Proposals by Unit FY 97

AFFILIATION AGREEMENTS BETWEEN WESTERN AND EXTERNAL AGENCIES

The Office of Sponsored Programs assisted 7 academic departments with coordinating 226 affiliation agreements with 11 faculty members. All were with external agencies to initiate and continue student internship programs. These agreements enable faculty members and students to interact with professionals throughout the region to enhance instruction. A breakdown by department submissions for this activity for the year to date is depicted in Table 23 below. There were 54 more affiliation agreements submitted than last year and 194 more than two years ago.

Table 23. Affiliation Agreements by Department, FY 97

SUBGRANT ACTIVITIES FY97

WKU awarded or extended 29 subgrants to other universities for $240,745. Twelve were new subgrants and 16 were extensions. Seventeen subgrants were awarded or extended to researchers at the University of Kentucky through the University of Kentucky Research Foundation. One subgrant each was awarded or extended at Eastern Kentucky University, Murray State University, and Northern Kentucky University. Two subgrants were extended at Morehead State University. At the University of Louisville, one subgrant was declined, one was extended, and a new subgrant was awarded.

ACTIVITIES OF THE OFFICE OF SPONSORED PROGRAMS DURING FY 97

General Activities. The Office of Sponsored Programs Home Page has been online for over two years. The OSP Home Page continues as 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 frequently with new grant and workshop announcements, deadlines, policies and procedures, new potential sponsors, and tips on how to discover funding success. The web site contains downloadable forms for submitting grants. It has a fact page for commonly used information on proposal cover sheets. Applications for approval of protocols for human subjects of research, and disclosure statements for conflict of interest and intellectual property and copyright may be downloaded and submitted by attaching the application to email.

The Home Page contains information about OSP staff to contact, current announcements of changes in protocols by sponsors, new considerations for preparing and administering grants and contracts, the mission and resources of OSP, SPIN Online to find sponsors, resources, regulations and links to all federal agencies. 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.

The OSP web site may be accessed at: http://www.wku.edu/Dept/Support/SponsPrg/grants/home.htm

Grant Newsletter: The newsletter, local.grants, was initiated during the first quarter of FY 97 to help faculty, staff and students with developing and administering their grants. The first issue in September highlighted how the OSP can help the grants community. The second issue in October was headlined "Funding for Undergraduate Institutions." In the Second Quarter, issues focused on "Industry and University Collaboration" and "Funding Sources for Undergraduate Institutions". One newsletter was disseminated during the Third Quarter. It focused on "On-line Resources for Proposals Writers. Each issue contains good-to-know information for grant writers such as new web sites, policies and procedures and program descriptions and deadlines. Faculty and staff may contribute information. Pamela Napier, the Sponsored Programs Information Coordinator, composes local.grants. Faculty and staff members are welcome to send her information for the newsletter. The next newsletter is slated to come out during first quarter FY 98 and it will welcome new faculty and provide agency updates among other items.

Monthly Reports of Proposals and Awards: Beginning in September of 1996, the OSP began to compile and disseminate a list of faculty and staff who submitted proposals to external sponsors and received awards. It is distributed to the grants community and published in On Campus. Copies disseminated may be found in the Appendices to the quarterly reports and on the OSP web site.

1. Pre-Award Activities.

Grant Workshops: Basic and Advanced workshops were presented in October and March. In partnership with the academic deans and he Center for Teaching and Learning, the OSP staff presented the annual two-week workshop to 4 teams of faculty in May. Each team was composed of two faculty members from two different colleges. This was the third annual workshop funded by the Academic Deans and hosted by the Center for Teaching and Learning. The 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), searched for funding sources on the Internet and learned the elements of a grant proposal. In addition to teaching about grant information on the Internet and how to retrieve it, the workshop consisted of submissions of grants and a review and discussion by a panel of experts drawn from various programs. Group reviews of the elements of the proposals proved to be a highlight of the workshop and will be a feature of future workshops. The participants evaluated the workshop at 95% successful.

Grant workshop for Public School Personnel. The OSP presented the Basic Grants Workshop to 36 public school teachers and administrators from over 15 districts in the region on June 23 at the Institute for Economic Development and Public Service. The workshop was hosted and funded by the Green River Regional Education Consortium.

The OSP Development and Information Coordinators presented the OSP web site and SPIN to the Department of Economics on the afternoon of June 24.

SPIN Searches: During FY 1997, 139 searches for potential sponsors were conducted for faculty, staff and graduate students by Sponsored Programs staff.

Grant development meetings about grants at different stages occurred with 301 faculty and staff members and students from Agriculture, Biology, Chemistry, Consumer and Family Sciences, Counseling Services Center, Economics, Educational Television Service, Engineering Technology, English, Finance and CIS, Geography and Geology, the Library, Physics and Astronomy, Modern Languages and Intercultural Studies, Psychology, Teacher Education, and TRIO, and other programs.

E-mail Network: Hundreds of grant announcements were emailed to faculty and staff on 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. The community was informed when comments were requested by various government agencies during the formulation of new policies

2. Post-Award Activities. 73 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 during FY 97.

Table 24. Charts of Accounts

3. Human Subjects of Research (HSRB). 31 projects were approved by the Human Subjects Review Board during FY 97. The level of approval is shown in the table below. All human subjects information, links to federal sources and application forms are available on the OSP Home Page.

Human Subjects Review Board Actions

4. Coordination with the General Representative in Washington, D.C. Workforce development, status of VA/HUD appropriations, and the appropriations report for funding targets are initiatives being pursued.

5. The Guide to the Preparation of Grants and Contracts may be found on the OSP Home Page.

6. Policy Formation. A policy for compensating twelve-month adminstrators for overload activtiies was drafted.

7. Professional Development Activities of the OSP Staff. Staff attended the Office of Federal Program Annual Meeting and the NCURA Annual Meeting during the fall, and the NCURA regional meeting in the spring. The OSP staff members attended the State Grant's Officer's Meeting hosted by the University of Kentucky on May 29 and 30 in Lexington. Numerous topics were discussed. A highlight was a presentation by the NSF EPSCoR staff on co-funding procedures. The UK STAIRS program for transmitting grant announcements and maintaining pre-award data was introduced and a later meeting to present the program was discussed. A legislative update was given by Bill Schweri, the governmental relations director at UK.

The Director of the OSP attended the National Council of University Research Administrator's Region III Conference in New Orleans from April 19-23 and chaired a session on surveying how faculty find funding sources. He also attended a follow-up reception for new faculty.

The OSP staff attended the afternoon Team Building Workshop hosted by the Office of Human Resources on April 16.

The OSP Development Coordinator attended the one-day state EPSCoR meeting on May 5.

The OSP offices were painted.

The OSP was visited by two prospective faculty members for the Department of Physical Education and Recreation during on campus interviews.

8. Task Forces. Members of the OSP staff served on task forces dealing with internationalizing Western, the status of women on campus, and university records.

9. Intellectual Property Committee. A commercialization agreement document was created and approved. The copyright committee was combined with the IP Committee. A request was made to change the "Patents" Committee to Intellectual Property Committee. The institutional intellectual property policy is under revision.

10. Conflict of Interest Review Committee. This committee considerd one case.

Appendices are available in hard copy format only. Please contact the Office of Sponsored Programs at x4652, if you would like to look at them.

END