Second Quarter Report -- FY 1996-97
October 1, 1996 through December 31, 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. The OSP helps faculty and staff members write grants, memoranda of agreement, contracts and subcontracts (subgrants). 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 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, Second Quarter FY 97

In this reporting period, Western Kentucky University received 35 awards in the amount of $2,253,970 that included $138,620 in indirect costs awarded. (See Appendix A.) Compared to last year, these data reflect a decrease of 20 awards (-36%). Despite fewer awards, the dollar amount supassed last year by $342,757, or +18%. The dollar amount of awards was the second highest for a second quarter. Compared to Second Quarter last year, there was a large increase of $104,256 in indirect recovery costs (+203%).

Table 1: AWARDS RECEIVED, Second Quarters 1988-1997

First Quarters	Number of Awards Received	Amounts of Awards Received
1988	--
1989	--
1990	--
1991	42	1,237,018
1992	63	1,964,223
1993	45	1,823,116
1994	35	1,737,253
1995	39	2,530,798
1996	55	1,911,213
1997	35	2,253,970

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

Comparisons with previous year second quarter awards are made with many of the programs in of Table 2. (See pp. 20-24 for more information).

Colleges & Other Units Second 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	1,342,888	256,255	1,247,465	58,118	7,221	49,356
2. Ogden College of Science, Technology and Health	567,060	646,936	898,591	60,260	6,914	22,438
3. Ed TV & Radio Services	0	536,097	0	0	0	0
4. Potter College of Arts, Humanities and Social Sciences	0	0	0	0	0	0
5. Community College & Continuing Education	0	8,324	0	0	200	0
6. College of Business	201,600	67,600	67,600	13,968	0	0
7. Student Affairs	113,877	30,000	29,000	4,764	0	0
8. Center for Training & Development	24,874	335,175	47,451	1,510	20,029	1,320
9. Library	3,671	826	9,200	0	0	0
Totals:	2,253,970	1,881,213	2,299,307	138,620	34,364	73,114

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

Ten academic departments, three more than last year, but two less than 1995, and 20 faculty members (16 less than last year) received 57% of the total awards and 56% of the indirect costs. Last year seven academic departments received 24% of total awards and 32% of indirect costs. (In Table 3 below, indirect costs are included in the total award and are also broken out separately.) In Table 3b Individuals receiving more than one award are signified with the number of awards in parenthesis. Summaries appear in the following two tables. (See pp. 25-30 for more information).

Table 3a: Second 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	10	20	57	56
1996	7	13	24	32
1995	12	24	48	53

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

Unit	Awardees	Total Award	Indirect Costs
1. Teacher Education	T. Daniel, S. Evans, R. Otto, J. Roberts, T. Wilson	278,078	16,153
2. Physics & Astronomy	K. Hackney, R. Scott, G. Vourvopoulos	242,476	46,699
3. Agriculture	D. Coffey, G. Jones, J. Martin/K. Matthew	140,568	2,853(1)
4. Consumer & Family Sci.	L. Fong	120,000	8,889
5. Psychology	L. Layne (2), E. Lemerise	44,016	0
6. Nursing	S. Jones	28,000	0
7. Educational Leadership	M. Barton	27,888	1,033
8. Biology	R. Hoyt	13,166	952
9. Chemistry	L. Shank	12,150	0
10. Public Health	D. Dunn	11,700	867
Totals:	20 faculty members	918,042	76,494

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

The Training and Technical Assistance Center (T/TAS) in the College of Education and Behavioral Sciences contributed 42% of the awarded dollars. T/TAS contributed 30% of the indirect costs awarded.

First Quarter	FY 97 Awards	FY96 Awards	FY 95 Awards	FY 97 Indirect Costs	FY96 Indirect Costs	FY95 Indirect Costs
1. T/TAS	943,046	0	833,878	40,932	0	28,524

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

There were 5 fewer grants totaling $9,951 less than last year. There were 22 fewer MOAs totaling $185,101 less than last year. The were 5 more subcontracts totaling $514,643 more than last year. There were two more contracts totaling 23,166 more than last year. (See pp. 31-38 for more information).

Award Type	# of Awards	% of # of Awards	$ Amount of Awards	% of $ Awarded	$ Amount of Indirect Costs	% of Indirect Costs Recovered
Grants	13	37	1,235,470	55	60,801	44
MOAs	13	37	408,891	18	11,432	8
Subcontracts	7	20	586,443	26	64,694	47
Contracts	2	1	23,166	1	1,693	1
Totals:	35	95	2,253,970	100	138,620	100

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

Compared to last year, there were 19 fewer awards for instruction. The dollar amount of awards for instruction decreased $225,457. There was 1 more award for research but for $74,843 fewer dollars. There were 3 fewer awards for public service than last year but award amount increased $593,557. (See pp. 39-44 for more information]

Project Type	# of Awards	% of # of Awards	$ Amount of Awards	% of $ Awarded	$ Amount of Indirect Costs	% of Indirect Costs Recovered
Instruction	14	40	310,133	14	13,684	10
Research	4	11	459,357	20	62,420	45
Public Service	16	46	1,434,980	64	62,516	45
Scholarships	1	3	49,500	2	0	0
Totals:	35	100	2,253,970	100	138,620	100

Table 7: Awards by Funding Sources Second Quarter FY 97

There were 5 more federal awards than last year for $856,983 more dollars. There was 1 more state award than last year for $309,184 more dollars. We received 25 fewer awards from other public institutions (research foundations and regional companies) but for $708,347 fewer dollars. We received one fewer award from foundations for $115,063 fewer dollars. The large increases in awards from federal and state sources explains our increase in total awards over last year. (See pp. 45-52 for more information).

Funding Source	# of Awards	% of # of Awards	$ Amount of Awards	% of $ Awarded	$ Amount of Indirect Costs	% of Indirect Costs Recovered
Federal	8	23	1,367,684	61	104,291	75
State	9	26	463,784	21	22,096	16
Other Public	14	40	341,918	15	11,366	8
Foundations	4	11	80,584	3	867	1
Totals	35	100	2,253,970	100	138,620	100

Table 8: Top Ten Awarding Agencies Second Quarter FY 1997

Thirty-five sponsors made awards to WKU during this reporting period. The top ten are listed below. These ten sponsors contributed 96% of the dollars awarded and 98% 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 two out of the three years because of the efforts of T/TAS. (See pp. 53-56 for more information).

Agency/Type	$ Amount of Awards	# of Awards	% of $ Awarded	$ Amount of Indirect Costs	% of Indirect Costs Recovered
1. HHS/ACF-Federal	943,406	2	42	40,932	30
2. Kentucky Institute for Educational Research-Other Public	283,178	2	13	9,856	7
3. KY DOE/EPSCoR-Federal	206,085	2	9	43,675	32
4. Kentucky Departmet of Education-State	184,438	4	8	10,663	8
5. U. S. EDA-Federal	134,000	1	6	13,968	10
6. Kentucky Department of Agriculture-State	100,000	1	4	0	0
7. University of Kentucky Research Foundation-Other Public	95,600	2	4	0	0
8. Kentucky Council for Higher Education-State (Eisenhower Program)	79,346	2	4	5,877	4
9. Kentucky Science and Technology Council-State	75,000	1	3	5,556	4
10. U. S. Department of Education-Federal	64,314	1	3	4,764	3
Totals:	2,165,367	18	96	135,291	98

PROPOSAL SUBMISSIONS

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

The third highest number of proposals in this period were submitted during the second quarter FY 97. The dollar amount of proposals was the third highest also. In this reporting period, 16 academic departments, 3 more than last year, and 8 support units, also 3 more than last year, comprising 34 faculty and 7 staff, submitted 56 proposals (19 less than last year) totaling $4,491,333. (See Appendix B.) Compared to last year, there was a -25% decrease in the number of proposals and a -48% decrease in the dollar value of proposals. (See pp. 57-61 for more information).

Second Quarter FY 91-FY 97	Number of Proposals Submitted	$ Amount of Proposals Submitted
1991	62	3,119,939
1992	51	1,881,525
1993	45	4,615,351
1994	49	3,606,447
1995	33	2,610,775
1996	75	8,652,512
1997	56	4,491,333

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

College/Principal Unit	$ Amount of Proposals	% of Amount of Proposals	# of Proposals	% of # of Proposals
Ogden	1,991,142	44	24	43
CEBS	1,633,796	36	18	32
Business	431,351	10	2	4
Other	344,244	8	9	16
Potter	90,800	2	3	5
Totals:	4,491,333	100	56	100

Table 11. Academic Departments Submitting Proposals Second Quarter FY 97

Academic departments submitted 78% of the total dollar amount of proposals and accounted for 71% of the total number of proposals that were submitted. Three more faculty submitted proposals than last year. Two more academic departments submitted proposals than last year. The academic departments accounted for 85% of the indirect costs proposed. (See pp. 62-69 for more information).

Department	$ Amount of Submissions	$ Indirect Costs	Project Directors/Total Submissions
Physics & Astronomy	1,197,059	159,145	M. Carini, R. Hackney, C. McGruder, G. Vourvopoulos (2)
Teacher Education	1,071,585	45,639	J. Becker, S. Evans, L. Flynn, B. Kacer, R. Otto, J. Roberts, P. Wilson, T. Wilson (2)
Finance and CIS	363,751	0	J. Post
Computer Science	255,421	68,069	T. Crews
Biology	237,147	21,696	J. Jack (4), Z. Murrell (2)
Engineering Technology	154,379	2,875	J. Darnell, D. George, R. Handy (2), J. Russell
English	86,800	2,800	J. Hagaman, C. Mosby
Agriculture	47.048	3333	D. Coffey, J. Martin
Chemistry	38,356	0	T. Green, Wei Ping Pan
Mathematics	37,032	3,410	C. Wells
Public Health	24,700	1,830	D. Dunn (2)
Psychology	20,098	0	L. Layne
Physical Ed and Recreation	17,677	2,306	F. Wyatt
Educational Leadership	14,246	1,055	D. Cline
History	4,000	0	P. Minter
Totals:--15 departments	3,522,298	312,158	32 Faculty Members-40 Proposals

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

Seven support units unaffiliated with academic colleges submitted 11 proposals for $615,359. Of this amount, $34,560 was in indirect costs. Compared to last year, three more units submitted proposals. However, this year the support units submitted $13,324 less in proposals than last year. (See pp. 62-69 for more information).

Name of Unit	$ Amount of Proposals	$ Amount of Indirect Costs	Project Directors/Total Submissions
Student Support Services	203,515	15,075	K. Dyrsen
ED TV & Radio Services	220,689	18,662	J. Barnaby
Small Business Development Center	67,600	0	R. Horn
Student Health and Wellness	49,563	0	N. Givens
Minority Student Support Services	29,814	0	C. J. Woods
Student Affairs	29,977	0	J. Wilder
Center for Training & Development	14,201	823	P. Myers/N. Priest (5)
Totals:-7 Units	615,359	34,560	7 staff submitted 11 proposals

Table 12. Proposals Submitted Second Quarter FY 97 by Proposal Type

Nearly 50% of the dollar amount of proposals submitted supported Research, whereas 43% of the dollar amount supported research last year. The dollar amount of research proposals in this FY was $1.5 million less than last year, despite 9 more research awards than last year. There were 18 fewer proposals for Instruction than last year, and the dollar amount was $1,606,685 less. There were 2 fewer Public Service proposals than last year for $1,023,009 less. (See pp. 70-75 for more information).

Proposal Type(By program classification numbers)	# of Proposals	% of Total Proposals	$ Amount of Proposals	% of $ Amount	$ Amount of Indirect Costs
1.0 Instruction	19	34	1,009,593	22	32,330
2.0 Research	17	30	2,006,596	45	270,914
3.0 Public Service	20	36	1,475,144	33	64,684
8.1 Scholarships	0	0	0	0	0
Total:	56	100	4,491,333	100	367,928

Table 13: Proposals Submitted Second 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. (See pp. 76-85 for more information).

Agency Type	# of Proposals	% of Total Proposals	$ Amount of Proposals	% of $ Amount	$ Amount of Indirect Costs
1. Federal	20	36	2,579,628	57	302,807
2. State	15	27	474,541	11	30,991
3. Other Public	14	25	897,203	20	30,957
4. Foundations	7	12	539,961	12	3,173
Total:	56	100	4,491,333	100	367,928

Table 14: Top Ten Sponsors In Proposals Submitted Second Quarter FY 97

36% of the proposals were submitted to ten sponsors. These top ten sponsors constituted 17% less than the number of proposals to the top 10 last year. Then, the number of submissions to the top ten was 53%. The dollar value of proposals to the top ten sponsors constituted 67% of the total dollars proposed. Last year the dollar value was 91%. Federal sponsors were conspicuous among the top ten. Over 78% of the indirect costs proposed were submitted to the top ten sponsors below. (See pp. 84-95 for more information).

Agency	# of Proposals	% of Total Proposals	$ Amount of Proposals	% of $ Amount	$ of Indirect Costs
1. Department of Defense-Federal	1	2	774,000	0	108,731
2. NSF-Federal	6	11	464,793	19	76,699
3. U. S. Department of Education-Federal	2	4	417,462	9	30,922
4. BellSouth Foundation	1	2	398,833	9	0
5. Oracle-Other Public	1	2	363,751	8	0
6. Corporation for Public Broadcasting-Other Public	1	2	220,689	5	0
7. NASA-Federal	2	4	209,121	5	1,229
8. Department of Energy-Federal	1	2	202,746	5	48,042
9. Kentucky Council on Higher Education	4	7	194,428	4	12,861
10. Western Carolina Center-Other Public	1	2	148,279	3	10,984
Totals:	19	36	$3,394,102.00	67	$289,468.00

Table 15: Indirect Costs in Proposals Submitted Second Quarter FY 97

Indirect costs were included in 33 of the 56 proposals submitted (59%). Indirect costs composed 8% of the proposal total of $4,491,333. This data is 46% below what would have been proposed had we been able to propose our full on campus indirect cost rate of 54% for each proposal.

College or Unit	Amount of Indirect Costs Proposed Second Quarter FY97
College of Education and Behavioral Sciences	85,284
Ogden College of Science, Technology, and Health	260,359
Potter College of Arts, Humanities and Social Sciences	2,800
Other Units	19485
Total:	$367,928.00

COST SHARING IN GRANTS AWARDED SECOND QUARTER FY 97

Cost sharing by the university reflects full costing of budgets and enables accurate cost sharing budget projections. During the Second Quarter FY 1997, $393,503, or 17% above the $2,252,970 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 $2,647,473. The university cash cost shared 23% more than in the previous year as Table 17 shows.

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

Second Quarter	FY 95	FY 96	FY 97	Total
$ Amount	476,808	223,155	393,503	$1,093,466.00
% of Award $$	19	12	17
OSP Contributions	208,440	33,077	142,742	$384,259.00
Indirect Costs Shared	40,789	141,029	64,411	$246,229.00

The table above discloses several points. The 35 awards for Second Quarter FY 97, 15, or 43%, carried cost sharing obligations. Table 17 depicts the distribution and amounts of cost sharing for the Second Quarter. 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. Less was awarded Second Quarter last year, however, but more than either of the last two years was awarded Second Quarter FY 95. In Second Quarter of the current year, $20,114 of the costs shared from OSP contributions accounts are for FY 98. So $122,628 will be collected during this fiscal year. (See pp. 96-98 for more information).

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 Second Quarter 97	393,503		298,184	78,979	16,340
Total Cost Sharing	2,732,088	852,564	1,220,301	437,069	193,141	12,715	13,250

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

As the Table 17 above shows, $142,742 was awarded out of Sponsored Programs Contributions Accounts in Second Quarter FY 97. Of that amount, $122,628 was committed for FY97. The 6 awards that drew upon the contributions accounts constituted 17% of the 35 total awards.

FY/ Qtr

# Awds

Instruction Account No. 2-11001

Research Account No. 2-11501

Public Service Account No. 2-18001

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
97/2	6				10805				51486

Indirect Cost Sharing in Awards Second 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 $64,611 in indirect cost sharing for Second Quarter FY97, all to be certified in FY97. Table 19 indicates departments that received awards with cost sharing obligations during Second Quarter FY97 and the amounts. For comparisons over the past three years, in Second Quarter FY96 six academic departments and two support units cost shared $141,029; and in Second Quarter FY95 one support unit cost shared $40,789.

Table 19: Indirect Cost Sharing in Awards in Second Quarter FY 97

Department	for FY97	for FY98	for FY99	for FY00	for FY01	Total
Physics&Astronomy	17882					17882
Chemistry	3670					3670
SBDC	42859					42859
Total	64411					64411

COST SHARING IN PROPOSALS SUBMITTED SECOND QUARTER FY 97

In addition to the $4,491,333 external funds requested, $565,685 was proposed as university cost sharing. The sum of these numbers equals the total proposal budgets for Second Quarter FY 97--$5,057,018. This amount was proposed in 28 proposals, or 50% of the 56 proposals. This cost sharing amount is $952,696 less than last year. (Last year's Second Quarter cost sharing in proposals was $1,518,381. To date, 11 of the 28 proposals with cost sharing obligations (about 20%) were funded. Thirteen of the 28 proposals (23% of the 56 total proposals) carried cost sharing obligations from Sponsored Programs Contributions accounts. To date 3 of the 13 (23%) have been funded. Table 20 includes breakdowns for proposed cost sharing for Second Quarter FY97 and comparisons with second quarters the previous two years. (See pp. 99-101 for more details).

Table 20: Cost Sharing in Proposals Second Quarter 1997

Second 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	607,851	99,055
1996	1,518,381	971,215	294,204	140,495
1997	565,685	219,110	311,357	30,976	4,242
Totals:	2,691,917	1,289,380	605,561	171,471	4,242

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

FY/ Qtr

# Proposals

Instruction

Research

Public Service

Total

FY		96	97	98	96	97	98	97	98	99
97/1	27	0	300		0	2000	68000	15285	11029		96614
97/2	13			147308		14590	4328	37570	1600	1600	206996

Indirect costs sharing proposed is broken out in Table 22. The $60,741 proposed in indirect cost share this year is $132,935 below last year (-46%).

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

Quarter/FY	Amount of Indirect Cost Sharing
Second Quarter 95	40,789
Second Quarter 96	132,935
Second Quarter 97	60,741
Totals:	234,465

AFFILIATION AGREEMENTS BETWEEN WESTERN AND EXTERNAL AGENCIES

The Office of Sponsored Programs assisted 3 academic departments and 1 support unit with coordinating 19 affiliation agreements. Eighteen were with external agencies to initiate and continue student internship programs. One was with a WKU unit for an intern in radio and television. 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 16 more affiliation agreements than in the Second Quarter last year. (See pp. 102-103 for more details).

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

Department	Quarter 1	Quarter 2	Quarter 3	Quarter 4	Total
Allied Health and Human Services	2	10
Biology	0	0
Consumer & Family Sciences	0	0
Nursing	80	7
Physical Education & Recreation	0	1
Public Health	0	0
Educational Television	0	1
Total:	82	19

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

General Activities. The Office of Sponsored Programs went online with its Home Page in the Third Quarter of FY 96. 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 twice each month with new grant announcements and deadlines, new 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 grant cover sheets. Applications for approval of protocols for human subjects of research and disclosure statements for conflict of interest and intellectual property may be downloaded and submitted by attaching the application to email. 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.

http://wkuweb1.wku.edu/Dept/Support/SponsPrg/grants/home.htm

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." In the Second Quarter, issues focused on "Industry and University Collaboration" and "Funding Sources 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 Molly Daniel, Sponsored Programs Development Coordinator, 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 and published in On Campus.

1. Pre-Award Activities. Grant Workshops: These workshops are coordinated by Molly Daniel, the Sponsored Programs Development Coordinator. 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. 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. None Second Quarter.

SPIN Searches: During Second Quarter FY 1997, 21 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 41 faculty and staff members and students from Agriculture, Center for Training and Development, Chemistry, Computer Science, Educational Television and Radio Services, English, Geography and Geology, History, Institute for Economic Development and Public Service, Journalism, Kentucky Museum and the Library, Mathematics, Music, Nursing, Physical Education and Recreation, Physics and Astronomy, Psychology, Public Health, Small Business Development Center, Teacher Education, and Training and Technical Assistance Services. These conversations were backed up with monthly discussions with Dean's and Assistant Dean's.

Email Network: Over 100 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/Quarter	97	96	Total
1	77	60	137
2	32	43	75

3. New Sources about Grant Writing. Writing Grant Proposals: A Resource Guide, Was compiled by OSP staff during the Fourth Quarter of FY96. 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 by emailing any OSP staff member.

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

Human Subjects Review Board Actions

FY/Quarter	Full Board	Expedited	Exempted	Total
97/1	4	0	0	4
97/2	5	3	0	8

5. Coordination with the General Representative in Washington, D.C. Workforce development, education and welfare, unified curriculum project with Theater, status of VA/HUD appropriations, satellite renewal list, and the appropriations report for funding targets are initiatives being pursued.

6. Resources Strategy Group. This group was not convened during the Second Quarter.

7. 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.

Extramural Award Policy Approved: On November 26, 1996, the Council of Academic Dean's approved a new policy that all notices from sponsors after proposal submission should be sent to the Office of Sponsored Programs. The OSP will then contact the proposer about the notices. This policy will expedite post-award activities and record keeping. The complete policy follows:

Approved by the Council of Academic Deans, Tuesday, November 26, 1996

Extramural Award Policy and Rationale

Rationale:

The Office of Sponsored Programs (OSP) is mandated to facilitate pre- and post-award activities for project directors. The OSP addresses these matters daily on behalf of the University. It has a professional staff with special skills, experiences, and insights to help proposals and awards along the way to completion. If a uniform address is not used, award documents are often delayed in reaching the OSP to facilitate post-award activities on behalf of project directors.

Often original award documents are received after the project start date. In these instances, time is saved if the documents are mailed by the sponsor directly to the Office of Sponsored Programs for action rather than clearing through the proposer first.

Under the current system, the OSP does not always receive notification of an award or non-award by the project director until after a reporting period is over. This delay detracts from the validity of reports and reward system to accurately represent efforts by faculty and staff to submit proposals and receive awards in a timely manner.

Policy

Unless excepted in writing by the appropriate dean or vice president and the Director of the Office of Sponsored Programs, to facilitate post-award processing, grant and contract cover sheets or letters submitted with proposals to external sponsors should carry the official address for notification of funding or non-funding as:

Office of Sponsored Programs
105 Foundation Building
Western Kentucky University
1 Big Red Way
Bowling Green, KY 42101-3576

Upon receipt of an award or non-award document, the OSP will immediately notify the project director and the dean. If an award is received, the OSP will ask the project director whether the award should be accepted or advise the project director to negotiate award matters (for example, when the award is for less than the requested amount) with the sponsor. If the project director desires, the OSP will handle negotiations with the sponsor in coordination with the project director.

As an enhancement of this policy for proposals to the National Science Foundation (NSF), effective November 21, 1996 at 3:00 p.m., NSF will email a weekly listing of awards for the previous week to the OSP as verification of the award letters received. Sponsored Programs will immediately inform the principal investigator/project director and the dean. NSF will e-mail Sponsored Programs a negative report if no awards are granted during a particular week and the OSP will update principal investigators and deans.

If not funded, and if reviewers' comments were not included with the packet, the OSP will request the comments to improve another possible submission and to use anonymously, (if approved by the project director), in the basic and advanced grant workshops.

The OSP will enter award or non-award information in the database for monthly, quarterly and annual reports. Non-award information is confidential and used anonymously to provide a clearer picture of extramural funding efforts.

If the award is accepted, the OSP will complete and return any award documents required by the sponsor in coordination with the project director. Copies of all actions will be made and sent to the project director. Originals required by the external auditors will be sent to the staff accountant with the chart of accounts. If the signature of the authorized fiscal representative or other university official is required, Sponsored Programs will procure them on behalf of the project director as is currently the practice.

The OSP will prepare the chart of accounts and route it to the project director for review as currently done and follow up to ensure that the chart is returned within the week so that the beginning of the grant or contract period is not delayed.

9. Search. A search was completed for a Sponsored Programs Specialist to assist with pre- and post-award activities. Ms. Marilyn Anderson accepted the position on December 3, 1996 and was scheduled to begin work on January 2, 1997. The Specialist will manage the routing system for proposals and awards, verify budgets, prepare charts of accounts of awards, maintain the database of proposals and awards, assist with reports and correspondence, and assist the Human Subjects Review Board.