Office of Sponsored Programs
First Quarter Report FY 97
July 1, 1996-September 30, 1996

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. 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 link between extramural projects and the Offices of Academic Affairs, Graduate College, Accounts and Fiscal Services, and Budget and Information Management. The OSP coordinates with 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, First Quarter FY 97

In this reporting period, Western Kentucky University received 84 awards in the amount of $5,373,982 that included $317,686 in indirect recovery. (See Appendix A.) Compared to last year, these data reflect a decrease of 5 awards (-5%) and a dollar decrease of $1,535,606(-22%). However, both the number and dollar amount of awards were the second highest in Western's history of extramural funding.

Compared to First Quarter last year, there was a decrease of $81,878 in indirect recovery costs (-20%). However, this year's indirect cost recovery was an increase of 70% over two year ago.

Table 1: AWARDS RECEIVED, First Quarters 1988-1997

First Quarters	Number of Awards Received	Amounts of Awards Received
1988	--	1,087,089
1989	--	1,118,347
1990	--	1,583,701
1991	42	2,061,044
1992	46	2,626,151
1993	59	3,914,081
1994	68	3,745,240
1995	68	4,311,568
1996	86	6,909,588
1997	84	5,373,982

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

Comparisons with previous year first quarter awards are made with many of the programs in the last two columns of Table 2.

Colleges & Other Units First Quarter 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	2,829,240	4,085,065	2,701,479	171,251	225,060	175,764
2. Ogden College of Science, Technology and Health	1,205,454	1,763,519	725,237	11,630	133,715	854
3. Ed TV & Radio Services	541,725	259,902	555,450	0	0	0
4. Potter College of Arts, Humanities and Social Sciences	449,749	59,793	91,503	116,445	4,394	3,143
5. Community College	157,844	16,655	54,695	5,601	0	0
6. College of Business	109,000	188,540	0	4,834	11,953	0
7. Student Affairs	64,314	0	0	4,764	0	0
8. Center for Training & Development	50,695	314,609	56,945	3,161	18,840	1,849
9. Library	7,961	7,947	2,020	0	0	0
Totals:	5,415,982	6,696,030	4,187,329	317,686	393,962	181,610

Table 3: Awards Received by Academic Departments, First Quarter FY 97

Seventeen academic departments, four more than last year, and two more than 1995, and 36 faculty members (8 more than last year) received 49% of the total awards and 59% of the indirect costs. Last year twenty academic departments received 53% of total awards and 61% of indirect costs. (In Table 3 below, indirect costs are included in the total award and are also broken out separately.) Individuals receiving more than one award are signified with the number of awards in parenthesis. Summaries appear in the following two tables.

First Quarter FY 97-Summary of Academic Departments' Contributions to Awards

First Quarter	# of Departments Receiving Awards	# Faculty Receiving Awards	% Awards Received by Faculty	% Indirect Costs
1997	17	36	49	59
1996	13	28	53	61
1995	15	34	49	52

First Quarter FY 97 Academic Departments' Contribution to Awards

Unit	Awardees	Total Award	Indirect Costs
1. Physics & Astronomy	M. Carini (2), R. Gelderman (2), R. Hackney (3), W. Vander Meer	658,053	0
2. Teacher Education	B. Askins (2), J. Becker/S. Schnacke, R. Roberts, J. Schliefer, J. Vokurka (3), T. Wilson (3)	497,000	853
3. Journalism	M. Morse	375,000	113,645
4. Educational Leadership	C. Manco, D. Nims	265,678	19,680
5. Psychology	L. Layne, D. Roenker (2)	209,976	37,478
6. Nursing	K. Carr, M. Hazzard, S. Jones	164,921	7,268
7. Agriculture	D. Coffey (3), P. Dotson, L. Hughes (2), J. Rudolph, N. Speer	159,000	0
8. Computer Science	D. Pigford	67,800	0
9. Mathematics	D. Mooney, W. Weidemann	48,818	2,115
10. Allied Health & Human Services	R. Meador (2)	46,385	0
11. English	J. Hagaman	37,800	2,800
12. Chemistry	J. Riley	33,477	0
13. Music	J. Duff	29,999	0
14. Geography & Geology	C. Groves, A. Petersen	27,000	2,247
15. Philosophy & Religion	E. Schoen	6,000	0
16. Consumer & Family Sciences	T. Mitchell	5,928	0
17. History	M. Lucas	950	0
Totals:	36 Faculty Members	2,633,785	186,086

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

Support units in the College of Education and Behavioral Sciences contributed 3% of the awarded dollars. They contributed 36% of the indirect costs recovered from awards. In all, 3 project directors in 3 support units in the College received awards.

First Quarter	FY 97 Awards	FY96 Awards	FY 95 Awards	FY 97 Indirect Costs	FY96 Indirect Costs	FY95 Indirect Costs
1. T/TAS	1,406,103	1,519,918	1,415,510	82,389	85,689	82,494
2. Upward Bound	263,927	263,927	0	17,530	17,530	0
3. Student Support Services	179,828	0	0	13,321	0	0
Totals:	1,849,858	1,783,845	1,415,510	113,240	103,219	82,494

Table 5: Awards Received by Award Type First Quarter FY 97

There were 16 more grants totaling $1,171,305 over last year. There were 17 fewer MOAs totaling $775,906 less than last year. The number of subcontracts and contracts remained about the same. However, there were $1,078,953 fewer dollars awarded in subcontracts than last year.

Award Type	# of Awards	% of # of Awards	$ Amount of Awards	% of $ Awarded	$ Amount of Indirect Costs	% of Indirect Costs Recovered
Grants	44	52	3,387,511	63	200,697	63
MOAs	31	37	568,038	11	10,626	3
Subcontracts	5	6	118,324	2	6,559	2
Contracts	4	5	1,300,109	24	99,804	32
Totals:	84	100	5,373,982	100	317,686	100

Table 6: Awards Received by Project Type First Quarter FY 97

Compared to last year, there were 12 fewer awards for instruction. But the dollar amount of awards for instruction increased $728,238. There were 5 more awards for research projects but for $809,427 fewer dollars. There were 2 more awards for public service than last for a decrease of $599,838. All of the projects for this year were greater than two years ago in both number of awards and dollar amount except that there were 10 research awards both this year and year before last.

Project Type	# of Awards	% of # of Awards	$ Amount of Awards	% of $ Awarded	$ Amount of Indirect Costs	% of Indirect Costs Recovered
Instruction	31	37	1,516,798	28	150,278	47
Research	10	12	828,552	15	38,375	12
Public Service	40	48	3,019,632	56	129,033	41
Scholarships	3	3	9,000	1	0	0
Totals:	84	100	5,373,982	100	317,686	100

Table 7: Awards by Funding Sources First Quarter FY 97

There were 6 more federal awards than last year but for $132,998 fewer dollars. There were 9 fewer state awards than last year for $158,969 fewer dollars. We received the same number of awards from other public institution (research foundations and regional companies) but for $871,396 fewer dollars. Journalism received a large award from a foundation. This increased awards $416,336 over last year.

Funding Source	# of Awards	% of # of Awards	$ Amount of Awards	% of $ Awarded	$ Amount of Indirect Costs	% of Indirect Costs Recovered
Federal	19	23	2,794,925	52	147,589	46
State	31	36	1,022,850	19	3,653	1
Other Public	30	36	1,077,408	20	52,799	17
Foundations	4	5	478,799	9	113,645	36
Totals	84	100	5,373,982	100	317,686	100

Table 8: Top Ten Awarding Agencies First Quarter FY 1997

Forty-one sponsors made awards to WKU during this reporting period. The top ten are listed below. These ten sponsors contributed 73% of the dollars awarded and 80% of the indirect costs. Last year the top ten contributed 84% of the funding; and in 1995 the top ten contribution was 81%. The Department of Health and Human Services remained at the top all three years.

Agency/Type	$ Amount of Awards	# of Awards	% of $ Awarded	$ Amount of Indirect Costs	% of Indirect Costs Recovered
1. HHS-Federal	1,331,929	3	25	89,657	28
2. Corporation for Public Broadcasting-Other Public	503,725	4	9	0	0
3. NASA-Federal	533,053	7	8	0	0
4. Kentucky Department of Education	490,517	8	9	2,800	1
5. John S. & James L. Knight Foundation	375,000	1	7	113,645	36
6. Kentucky Cabinet for Workforce Development	228,237	11	4	0	0
7. Kentucky Council for Higher Education	210,905	2	4	0	0
8. Eastern Kentucky University	135,609	2	3	10,045	3
9. Barren River Regional Development District	115,970	1	2	8,618	3
10. University of Alabama-Birmingham	94,006	2	2	28,860	9
Totals:	4,018,951	41	73	253,625	80

PROPOSAL SUBMISSIONS

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

The highest number of proposals ever were submitted during the first quarter in FY 97. The dollar amount of proposals trailed only last year's amount, which was the highest in Western history. In this reporting period, 17 academic departments, 3 more than last year, and 16 support units, 4 more than last year, comprising 37 faculty and 10 staff, submitted 82 proposals (19 more than last year) totaling $5,634,372. (See Appendix B.) Since fall quarter of FY 1991 there has been a 110% increase in the number of proposals submitted and a 74% increase in the dollar amount of proposals. Compared to last year, there was a -28% decrease in the number of proposals and a -28% decrease in the dollar value of proposals.

First Quarter FY 91-FY 97	Number of Proposals Submitted	$ Amount of Proposals Submitted
1991	39	3,244,065
1992	34	1,449,692
1993	30	3,439,847
1994	51	5,469,271
1995	38	2,355,640
1996	64	6,278,359
1997	82	5,634,372

Table 10: First Quarter FY 1997 Proposals by College or Principal Unit

College/Principal Unit	$ Amount of Proposals	% of Amount of Proposals	# of Proposals	% of # of Proposals
Business	32,000	0	1	1
CEBS	2,569,681	46	17	21
Ogden	1,844,457	33	30	37
Other	1,078,320	19	28	34
Potter	109,914	2	6	7
Totals:	5,634,372	100	82	100

Table 11. Academic Departments Submitting Proposals First Quarter FY 97

These units submitted 40% of the total dollar amount of proposals and accounted for 56% of the total number of proposals that were submitted. Four more faculty submitted proposals than last year. Two fewer academic departments submitted proposals than last year. The academic departments accounted for 52% of the indirect costs proposed.

Department	$ Amount of Submissions	$ Indirect Costs	Project Directors/Total Submissions
1. Chemistry	491,576	120,413	Wei Ping Pan (2), J. Riley, L. Shank, D.W. Slocum
2. Biology	435,788	43,660	R. Hoyt, J. Jack, M. Stokes
3. Teacher Education	295,812	1,594	J. Becker/S. Schnacke, T. Daniel, S. Evans, R. Roberts, J. Vokurka (2), T. Wilson (3)
4. Public Health	256,000	0	D. Dunn
5. Agriculture	213,600	0	D. Coffey (2), L. Hughes (2), G. Jones, N. Speer
6. Consumer & Family Sciences	120,000	8,889	L. Fong
7. Nursing	72,000	0	K. Carr, S. Jones
8. Computer Science	67,800	0	D. Pigford
Physics & Astronomy	61,095	3,003	M. Carini (2), R. Gelderman (2), R. Scott, W. VanDerMeer
9. Music	52,064	3,254	J. Duff (2)
10. English	46,900	2,800	J. Hagaman
11. Allied Health & Human Services	46,385	0	R. Meador (2)
12. Mathematics	40,377	2,115	W. Weidemann
13. Educational Leadership	27,888	2,066	M. Barton
14. Industrial Technology	22,836	3,542	M. Tiryakioglu
15. Geography & Geology	17,000	2,040	C. Groves
16. Philosophy & Religion	6,000	0	E. Schoen
17. History	4,950	0	M. Lucas, J. Thompson
Totals:	2,278,071	193,376	37 Faculty Members-46 Proposals

Table 11a: Support Units Submitting Proposals First Quarter FY 97

Six support units unaffiliated with academic colleges submitted 25 proposals for $919,320 in proposal amounts and $32,143 in indirect costs. Compared to last year, one fewer unit submitted proposals. However, this year the support units submitted $621,034 more in proposals than last year.

Name of Unit	$ Amount of Proposals	$ Amount of Indirect Costs	Project Directors/Total Submissions
1. ED TV & Radio Services	541,725	0	J. Barnaby (2), J. Moore (2), D. Wilkinson
2. Community College	141,739	5,601	J. Boles, P. Rice
3. Public Safety	107,606	18,520	H. Johnson
4. Student Life	64,314	4,764	H. Bailey
5. Center for Training & Development	55,204	3,258	P. Myers/N. Priest (13)
6. Library	8,732	0	M. Binder (2), L. Lee
Totals:	919,320	32,143	10 staff submitted 25 proposals

Table 13. Proposals Submitted First Quarter FY 97 by Proposal Type

Nearly 20% of the dollar amount of proposals submitted supported Research, whereas 45% of the dollar amount supported research last year. The dollar amount of research proposals in this FY was $517,002 less than last year, despite 9 more research awards than last year. There were 13 fewer proposals for instruction than last year, but the dollar amount was $105,383 higher. There were 3 fewer public service proposals than last year for $1,003,864 more than last year.

Proposal Type(By program classification numbers)	# of Proposals	% of Total Proposals	$ Amount of Proposals	% of $ Amount	$ Amount of Indirect Costs
1.0 Instruction	30	36	893,943	16	30,437
2.0 Research	14	17	1,120,977	20	186,390
3.0 Public Service	35	43	3,610,452	64	157,869
8.1 Scholarships	3	4	9,000	0	0
Total:	82	100	5,634,372	100	374,696

Table 14: Proposals Submitted First Quarter FY 1997 by Agency Type

There were 11 more Federal proposals for $1,1204,442 more than last year. There were 6 more proposals to state agencies for $225,575 more than last year. There were 2 more proposals to other public agencies but for $929,230 less than last year. There were 9 proposals to foundations both years, but for $1,159,380 less than last year.

Agency Type	# of Proposals	% of Total Proposals	$ Amount of Proposals	% of $ Amount	$ Amount of Indirect Costs
1. Federal	21	26	3,454,778	61	326,234
2. State	22	27	1,046,172	19	18,352
3. Other Public	30	37	931,120	17	26,856
4. Foundations	9	10	202,302	3	3,254
Total:	82	100	5,634,372	100	374,696

Table 15: Top Ten Sponsors In Proposals Submitted First Quarter FY 97

32% of the proposals were submitted to ten sponsors. The top ten sponsors constituted 29% less than the number of proposals to the top 10 last year. Then, the number of submissions to the top ten was 62%. The dollar value of proposals to the top ten sponsors constituted 84% of the total dollars of proposals. Last year the dollar value was 69%. Federal and State sponsors were significant among the top ten. Over 90% of the indirect costs proposed were submitted to the top ten sponsors below.

Agency	# of Proposals	% of Total Proposals	$ Amount of Proposals	% of $ Amount	$ of Indirect Costs
1. U. S. Department of Health & Human Services	2	2	1,885,303	33	100,468
2. NSF	3	4	842,759	15	163,121
3. Corporation for Public Broadcasting	4	5	505,917	9	0
4. Kentucky Department of Education	7	9	403,643	7	14,496
5. U. S. Department of Education	2	2	328,241	6	22,294
6. University of Louisville School of Medicine	1	1	256,000	5	0
7. U. S. Econ. Development Administration.	2	2	166,000	3	17,598
8. Kentucky Cabinet for Workforce Development	4	5	156,509	3	0
9. U. S. Department of Justice	1	1	107,606	2	18,520
10. Kentucky Department of Agriculture	1	1	100,000	2	0
Totals:	27	32	4,751,978	85	336,497

Table 16: Indirect Costs in Proposals Submitted First Quarter FY 97

Indirect costs were included in 37 of the 82 proposals submitted (45%). Indirect costs consumed 6.5% of the proposal total of $5,634,372. This data is 47.5% below what would have been proposed had we been able to propose our full on campus indirect cost rate of 54%.

College or Unit	Amount of Indirect Costs Proposed First Quarter FY97
College of Education and Behavioral Sciences	133,998
Ogden College of Science, Technology, and Health	183,662
Potter College of Arts, Humanities and Social Sciences	6,054
Other Units	47,352
Total:	$371,066.00

COST SHARING IN GRANTS AWARDED First Quarter FY 97

Cost sharing by the university reflects full costing of budgets and enables accurate cost sharing budget projections. During the First Quarter FY 1997, $394,373, or 7% above the $5,373,982 awarded by external sponsors, consisted of WKU cost sharing as Table 17 shows. Adding the university cost sharing to the awards from external sponsors, means that the total amount of cash awards was $5,768,355. The university cash cost shared 2.1% less than in the previous year as the following table shows.

Summary of Cash Cost Sharing by WKU First Quarters FY 95-97

First Quarter	FY 95	FY 96	FY 97	Total
$ Amount	59,010	570,072	394,373	$1,023,455.00
% of Awards	1	9	6.9
OSP Contributions	4,000	22,360	135,168	$161,528.00
Indirect Costs Shared	6,025	89,013	132,774	$227,812.00

The table above discloses several points. Cash cost sharing from OSP accounts and from indirect costs have climbed steadily as the numbers of proposals and awards have increased over the past three years. More was awarded last year, however. As Row 4 in the table above points out, $60,000 of the costs shared from OSP contributions accounts are for FY 98. So $75,168 will be collected during this fiscal year.

In FY 96, heaviest cost sharing in awards received fell in the first and third quarters. In FY95, heaviest cost sharing in awards fell in the second and fourth quarters.

Of the 84 awards for first quarter FY 97, 57, or 25%, carried cost sharing obligations. Table 17 depicts the distribution and amounts of cost sharing for the first quarter. These amounts will be charged against accounts from FY 97 through FY 2001. Cost sharing in these awards falls heaviest in FY97. A detailed list for the first quarter FY 97 is available on the pp. 52-56.

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

Quarter Awarded	Total Cost Sharing	Cost 96	Cost 97	Cost 98	Cost 99	Cost 00	Cost 01
Total First Quarter 96	570,072	557,253	12,819	0	0
Total Second Quarter 96	223,155	97,189	107,210	18,756	0
Total Third Quarter 96	204,843	111,555	48,870	10,458	0
Total Fourth Quarter 96	573,844	86,567	358,845	63,003	65,429
Total 96	1,571,914	852,564	527,744	92,217	65,429	0	0
Total First Quarter 97	766,671		394,373	265,873	111,372	12,715	13,250
Total Cost Sharing	2,338,585	852,564	922,117	358,090	176,801	12,715	13,250

Table 18: Cost Sharing in Awards from Sponsored Programs Contributions Accounts, First Quarter FY 97

As the Table 17 above shows, $766,671 was awarded in WKU cost in first quarter FY 97. $394,373 was committed for FY97. The 14 awards that drew upon the contributions accounts constituted 16.6% of the 84 total awards.

FY/ Qtr

# Awds

Instruction

Research

Public Service

FY		96	97	96	97	98	99	96	97	98
96/1	19	1116	0	7500	3000	0	0	0	0	0
96/2	9	0	0	0	0	0	0	29450	3606	0
96/3	5	0	0	0	0	0	0	0	1782	10458
96/4	24	6000	66441	0	19699	2500	2500	0	0	11844
Tot:	57	7116	66441	7500	22699	2500	2500	29450	5388	22302
97/1	14		66441		19699	17500	2500	24,028	20,000	20,000

Table 19: Indirect Cost Sharing in Awards First Quarter 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. The University will show $132,774 in indirect cost sharing for first quarter FY97. Table 19 indicates departments that received awards with cost sharing obligations during FY 96 and the amounts. Table 19a indicates the departments that received awards with indirect costs sharing obligation during first Quarter FY 97 and the amounts. Much less was cost shared in indirect costs in FY 95--$59,145.

Table 19: Indirect Cost Sharing in Awards in FY 96

Department	Indirect Cost Share Obligated in FY95 for FY96	Indirect Cost Share Obligated in FY96 for FY96	Indirect Cost Share Obligated in FY96 for FY97	Indirect Cost Share Obligated in FY96 for FY98	Indirect Cost Share Obligated in FY96 for FY99	Total
Agriculture		2,016				2,016
Biology		2,148	19,995			22,143
Chemistry	5,460	3,670	88,505	43,768	45,398	186,801
Communications and Broadcasting		3,161				3,161
Continuing Education		19,952				19,952
Mathematics	4,307		4,858			9,165
Physics & Astronomy		61,545				61,545
SBDC		40,918				40,918
Total	9,767	133,410	113,358	43,768	45,398	345,701

Table 19a: Indirect Cost Sharing in Awards in First Quarter FY 97

Department	for FY97	for FY98	for FY99	for FY00	for FY01	Total
Biology	19995	0	0	0	0	19,995
Upward Bound	214	0	0	0	0	214
Chemistry	74976	43768	45398	0	0	164,142
SBDC	0	25717	0	0	0	25,717
Mathematics	2442	2573	0	0	0	5015
Industrial Tech.	5460	0	0	0	0	5,460
Physics&Astronomy	0	1397	0	0	0	1,397
Total	103,087	73,455	45,398	0	0	221,940

COST SHARING IN PROPOSALS SUBMITTED FIRST QUARTER FY 97

In addition to the $5,634,372 external funds requested, $557,719 was proposed as university cost sharing. The sum of these numbers equals the total proposal budgets for first quarter FY 97--$6,192,091. This amount was proposed in 27 proposals, or 33% of the 82 proposals. This cost sharing amount is $185,867 less than last year. Table 20 includes breakdowns for proposal cost sharing for FY96.

Table 20: Cost Sharing in Proposals First Quarter 1997

First Qtr/FY	Total Cost Sharing	Costed in FY 97	Costed in FY 98	Costed in FY 99	Costed in FY 00	Costed in FY 01	Costed in FY 02
1995	87,759	11,495	0	0	0	0	0
1996	743,586	237,383	104,911	608	0	0	0
1997	557,719	143,615	353,814	41,876	14,010	4,404	0
Totals:	1,389,064	392,493	458,725	42,484	14,010	4,404	0

Table 21: Cost Sharing of Proposals from Sponsored Programs Contributions Accounts First Quarter 1997

FY/ Qtr

# Proposals

Instruction

Research

Public Service

Total

FY		96	97	96	97	98	99	97	98
97/1	27	0	300	0	2000	68000	0	15285	11029	96614

Indirect costs sharing proposed is broken out in Table 22. The $586,613 proposed in indirect cost share this year is $365,120 above last year (+65%).

Table 22. Indirect Cost Sharing in Proposals First Quarter FY 97

Quarter	Amount of Indirect Cost Sharing
July 1-September 30, 1994	17,546
July 1-September 30, 1995	251,959
July 1-September 30, 1996	42,352
Totals:	311,857

AFFILIATION AGREEMENTS BETWEEN WESTERN AND EXTERNAL AGENCIES

The Office of Sponsored Programs assisted 2 academic departments with coordinating 82 affiliation agreements 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 curriculum. A breakdown by department of this activity for the year is depicted in Table 22 below. There were 8 fewer affiliation agreements than in the previous year.

Table 23. Affiliation Agreements by Department, First Quarter FY 97

Department	Quarter 1	Quarter 2	Quarter 3	Quarter 4	Total
Allied Health and Human Services	2
Biology	0
Consumer & Family Sciences	0
Nursing	80
Physical Education & Recreation	0
Public Health	0
Total:	82

ACTIVITIES OF THE OFFICE OF SPONSORED PROGRAMS DURING First Quarter FY 97

The Sponsored Programs 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.

Grant Newsletter: The newsletter, local.grants, was initiated during the first quarter of FY 97. Each issue of "local.grants" contains a main theme 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." 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.

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 just after the tenth of each month.

1. Pre-Award Activities. Grant Workshops: The Basic and Advanced Workshops were held in October. Fifteen participants evaluated the Basic workshop at 92% successful. Six participants evaluated the Advanced workshop as 97% successful. (Evaluations are attached to this report.) The workshops consisted of 3 similar 3-hour sessions at both basic and advanced levels in Grise Hall 457 and Room 111 of Cravens. 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) during the last hour of the basic workshop in the Grise Hall Computer Lab, 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 advanced workshop consisted of submissions of grants and a review and discussion by a panel of experts drawn from various programs.

Comments about the basic workshop by participants were:

"This was a nicely presented seminar. It was a very informative overview of the proposal writing procedure. The pace of the course was also good.

"I now have a place to begin to search for appropriate sources. Good workshop."

"The presentation . . . was very successful."

"Lab work was GREAT! Lots of new information. Opens a whole world of possibilities."

"Excellent workshop. I liked the 'hands-on' opportunity."

"After the introductory workshop, I would like to see some discipline specific workshops."

Evaluations of the Advanced Workshop:

"This workshop really helped me to outline my proposal. It also gave me some other people's names in the university with whom I might network. As a new faculty member, this is invaluable."

Grant workshop for Public School Personnel. The Director of the OSP gave a basic workshop to teachers and administrators at Adair County High School in Columbia on August 8. This six-hour workshop was sponsored by the Green River Regional Education Consortium (GRREC). An evaluation rating of 84% (1055 of 1250 possible points) was received from the 25 educators in attendance. Some of the comments about the workshop were:

"[The workshop] provided vital information that I needed to write grants."

"The information about grant writing will help me to write grant to obtain material and create projects for my school to improve student performance."

"It gave me a better understanding of all the grant that are possible to apply for funding. It also allowed me to have the resources to accumulate those grants."

"Very organized. Lots of examples."

"The presenter has built in many opportunities for participants to follow up by personal visits to his Office of Sponsored Programs, by email, 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 first quarter FY 1997, approximately 50 SPIN (up about 30 from the previous year) 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 46 faculty and staff members and students from Agriculture, Biology, Career Services, Center for Training and Development, Chemistry, Community College, Computer Science, Consumer and Family Sciences, Counseling Services, Educational Leadership, Educational Television and Radio Services, English, Geography and Geology, History, Industrial Technology, Institute for Economic Development and Public Service, Journalism, Kentucky Museum and the Library, Minority Student Services, Music, Nursing, Philosophy and Religion, Physical Education and Recreation, Physics and Astronomy, Psychology, Public Health, Teacher Education and TRIO. These conversations were backed up with monthly discussions with Deans and Assistant Deans.

Email Network: Literally 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. 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 quarter.

Table 24. Charts of Accounts

Charts of Accounts Established

FY	97	96	Total
1	77	60	137

3. New Sources about Grant Writing. Writing Grant Proposals: A Resource Guide, Was compiled by OSP staff during the Fourth Quarter. This 70 page booklet addresses why grants are developed, how one can tell a good proposal from a not-so-good attempt, pre-proposal steps, working with program officers at sponsors, a checklist that grant reviewers use, same proposal letters for foundations, sample budget, and a proposal writing short course. 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 in the Library 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 email to any OSP staff member.

Human Subjects of Research. Four projects were approved by the Human Subjects Review Board during first quarter FY 97. All four received full review.

5. Coordination with the General Representative in Washington, D.C. A luncheon meeting was held with the representative in October in Washington. Workforce development and physics and astronomy initiatives are being pursued.

6. Resources Strategy Group. This group was not convened during the first quarter.

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.

8. Policy Formation. The OSP is working with the Director of Budget and Management Information to revise the indirect cost policy. The revision will incorporate changes from the revised A-21 circular of May 8, 1996. Quarterly allocations of indirect costs recovery is another issue under consideration.