WESTERN KENTUCKY UNIVERSITY

Office of Sponsored Programs FOURTH QUARTER Report, FY 98
APRIL 1, 1998 -- JUNE 30, 1998
Prepared September 27, 1998

Office of Sponsored Programs
106 Foundation Building
Bowling Green, KY 42101-3576
Telephone: (502) 745-4652
FAX: (502) 745-4211
E-mail: Phillip.Myers@Wku.Edu
Web Site: http://www.wku.edu/Dept/Support/SponsPrg/grants/home.htm

EXECUTIVE SUMMARY

Introduction

This Fourth Quarter Report covers the activities of the Office of Sponsored Programs at Western Kentucky University from April 1, 1998, through June 30, 1998. During this period, the University received 64 awards totaling $2,812,427, the second highest in the last three years; and submitted 59 proposals totaling $8,494,548, the second highest in the last three years, and the second highest in the last eight years. There were 6 more awards than a year ago and the dollar amount of awards increased by 21%. Included in the awards was $232,654 in indirect costs, which is the second largest amount of indirect costs awarded in the fourth quarter in the last three years. A year ago, $100,510 was awarded in indirect costs, an increase of 131% in indirect costs awarded compared to a year ago; but a decrease of 10% compared to two years ago. In addition, WKU cash cost shared $277,876 above the $2,812,427 awarded. Total awards therefore equaled $3,090,303. WKU cost shared 10% of the total award dollars.

Included in the 59 proposals was $756,523 in indirect costs. WKU cash cost shared $382,494 in addition to the $8,494,548 proposed. Total proposals therefore equaled $8,877,042. WKU cost shared 22% of the total amount proposed.

Awards

The 21% increase in award amount was caused principally by over $1,283,176 more awarded for research grants compared to fourth quarter 1997. Seen another way, Federal funding was up $1,132,586, compared to last year. 88% of the award amount emanated from grants as opposed to MOAs, contracts, and subcontracts.

Proposals

The dollar amount of proposals submitted decreased by $1,016,843 (-5%) compared to a year ago. There were 9 fewer proposals than a year ago.

Twenty-one percent of the dollar amount of proposals submitted supported research, whereas 34% of the dollar amount supported research last year, a 13% decrease. The dollar amount of research proposals was about $1,445,042 less than last year. There were 5 more Federal proposals but for $359,035 less than last year. There were 13 fewer proposals to state agencies for $624,351 less than last year.

Summary Awards and Proposals Comparisons with 4th Quarters in Previous Years

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 and grant developers. Electronic postings were made of grant opportunities, deadlines, tips, and policies and procedures. The OSP Web site provides faculty and staff members with information from the grant community nationwide. The OSP Web Site can be found at: http://www.wku.edu/Dept/Support/SponsPrg/grants/home.htm Issues of local.grants, the OSP newsletter, were placed on the OSP Web site and direct mailed. Monthly tallies of awards received and proposals submitted were published in On Campus and on the OSP Web Site. The Web Site contains information to facilitate pre- and post-award developments for the campus.

Summary of Other Activities of the OSP during the 4th Quarter FY 98

The OSP assists departments with subgrants and non-cash affiliation agreements. The OSP coordinated 12 subgrants to other institutions totaling $148,259, and 45 affiliation agreements with regional hospitals, clinics, and medical offices on behalf of internship programs in Allied Health and Human Services, Consumer and Family Sciences, Nursing, and Public Health.

The OSP staff attended professional meetings and chaired or served on university committees about intellectual property, faculty research, and human subjects of research. The Director and Pamela Napier, the Information Coordinator, attended the National Council of University Research Administrators Region III Annual Meeting in Charleston, SC, where Pamela moderated a panel on Electronic Research Administration.

The OSP staff presented the Learning Resource Network Grants Workshop from May 18-22 to 13 participants.

FUNDING AGENCY 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, instruction, 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 and Research, Accounts and Fiscal Services, and Budget and Management Information. For example, the office works closely with Budget and Management Information in projecting extramural expenditures and revenues for grants and contracts.

The OSP coordinates with academic colleges and departments, and all support units of the University engaging in extramural funding efforts. On behalf of these entities, the OSP coordinates proposal development, submitting and approving awards for the University, award routing; maintains records of faculty and staff members' interests; identifies potential sponsors; 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. The OSP is the authorized representative for signature for all documents associated with extramural funding activities.

AWARDS RECEIVED, 4th Quarter FY 98

In this reporting period, Western Kentucky University received 64 awards in the amount of $2,812,427 that included $232,654 in indirect costs awarded. (See Appendix A.) Compared to last year, these data reflect an increase of 6 awards. The award dollar amount increased from last year by $483,782, or +21%.

Compared to last year, there was an increase of $132,144 in indirect recovery costs (+131%). Indirect costs awarded a year ago equaled $100,510.

Table 1: AWARDS RECEIVED, 1996-1998

Table 2: Awards Received by Academic College and Other Units 4th Quarter FY 98

Awards Received by Academic Departments, 4th Quarter FY 98

Thirteen academic departments, 2 more than last year, and 1 less than 1996, and 31 faculty members (6 more than last year) received 44 awards. This number of awards was 69% of the total awards, 50 percent of the award dollars, and 63% of the indirect costs. As Table 3a shows, last year 11 academic departments received 25% of total number of awards, 39% of award dollars and 26% of indirect costs. In Table 3b, individuals receiving more than one award are signified with the number of awards in parenthesis.

Table 3a: 4th Quarter FY 98-Summary of Academic Departments' Contributions to Awards

Table 3b: Academic Departments' Contribution to Awards 4th Quarter FY 98

Table 4: Awards Received by Support Units, 4th Quarter FY 98

Support units contributed 24% of the dollar amount of awards. They contributed 10% of the indirect costs derived from awards. In all, 9 project directors in 7 support units received awards.

Table 5: Awards Received by Award Type 4th Quarter FY 98

There were 16 more grants totaling $870,072 more than last year. There were10 fewer MOAs but for $82,437 less than last year. There were 2 fewer subcontracts for $39,215 less than last year. There were 2 more contracts but for $264,638 less than last year.

Table 6: Awards Received by Project Type 4th Quarter FY 98

Compared to last year, there were 11 fewer awards for instruction. The dollar amount of awards for instruction decreased $101,321. There were 8 more awards for research for $1,283,176 more dollars. There were 8 fewer public service awards for $649,203 fewer dollars than last year.

Table 7: Awards by Funding Sources 4th Quarter FY 98

There were 13 more federal awards than last year for $1,132,586 more dollars. There were 8 fewer state awards than last year for $453,972 fewer dollars. We received 1 less award from local and private agencies (local government, foundations and regional companies) for $204,823 fewer dollars. (There were no awards from foundations).

Table 8: Top Ten Awarding Agencies 4th Quarter FY 1998

Thirty-one sponsors made awards to WKU during this reporting period. The top ten are listed below. These ten sponsors contributed 95% of the dollars awarded and 98% of the indirect costs. Last year the top ten contributed 72% of the funding; and in 1996 the top ten contributed 76% of the dollars awarded.

PROPOSAL SUBMISSIONS

Table 9. Number and Amount of Proposals Submitted, 4th Quarter FY 88-98

The second largest dollar amount of proposals in the last 8 years were submitted during the fourth quarter FY 98. In this reporting period, 15 academic departments, 2 more than last year, and 2 support units, 8 less than last year, comprising 30 faculty (2 more than last year) and 4 staff (6 less than last year), submitted 56 proposals (7 less than last year) totaling $4,410,320. Compared to last year, there was an 11% decrease in the number of proposals and a 5% decrease in the dollar value of proposals.

Table 10: Proposals by College and Other Units, 4th Quarter, FY 98

Table 11. Academic Departments Submitting Proposals, 4th Quarter, FY 98

Academic departments submitted 41% of the total dollar amount of proposals and accounted for 54% of the total number of proposals that were submitted. Two less faculty submitted proposals than last year. One more academic department submitted proposals than last year. The academic departments accounted for 56% of the indirect costs proposed. The academic departments submitted $1,034,553 less in proposals than last year.

Table 11a: Support Units Submitting Proposals, 4th Quarter, FY 98

Eight support units submitted 24 proposals for $4,996,438. Of this amount, $332,956 was in indirect costs. Six more units submitted proposals for $4,899,681 more than last year.

Name of Unit	$ Amount of Proposals	$ Amount of Indirect Costs	Project Directors	Total Submissions
Community College	71,682	0	J. Boles, D. Bolton, P. Rice	3
CTD	56,608	3,314	P. Rice(14)	14
Ed TV & Radio Services	25,367	2,143	J. Barnaby	1
Graduate Studies & Research	12,100	0	E. Gray	1
Inst For Econ Dev	5,000	0	S. House	1
Ogden Dean's Office	580,000	51,937	W. Houston	2
T/TAS	4,009,143	258,611	C. Mendel(4)	4
Veteran's Upward Bound	236,538	16,951	R. Wilson	1
Total: 8 Programs	4,996,438	332,956	10 Project Dirs.	24

Table 11b: Proposals by Support Units in Academic Colleges, 4th Quarter, FY 98

Included in the units in Table 11a were 4 support units in academic colleges that submitted proposals amounting to $4,830,681 which included $327,499 in indirect costs proposed, 57% of the total proposal dollars, and 43% of the indirect costs proposed. These proposals were submitted by 4 project directors and represented 8 projects.

Table 12. Proposals Submitted by Project Type, 4th Quarter, FY 98

Twenty-one percent of the dollar amount of proposals supported Research, which was 13% less than the previous year. The dollar amount of research proposals was $1,445,042 less than last year. There were 6 fewer proposals for research than last year. There were 7 more proposals for Instruction than last year; and the dollar amount was $1,505,594 more. There were 10 fewer Public Service proposals than last year and the dollar amount this year was $1,077,395 less.

Table 13: Proposals Submitted by Agency Type, 4th Quarter, FY 98

There were 5 more Federal proposals but for $359,035 less than last year. There were 13 fewer proposals to state agencies for $624,351 less than last year. There were the same number of proposals to Private agencies for $461,542 less than last year. Within the Private category, there was 1 less proposal for $35,776 less than last year.

Table 14: Top Ten Sponsors In Proposals Submitted, 4th Quarter, FY 98

57% of the proposals were submitted to ten sponsors. These top ten sponsors constituted 27% more than the number of proposals to the top 10 last year. The dollar value of proposals to the top ten sponsors constituted 97% of the total dollars proposed. Last year the dollar value was 89%. Federal sponsors were conspicuous among the top ten. 98% of the indirect costs proposed were submitted to the top ten sponsors below, which was 7% over last year.

Table 15: Indirect Costs in Proposals Submitted, 4th Quarter, FY 98

Indirect costs were included in 35 of the 59 proposals submitted (59%).

COST SHARING IN GRANTS AWARDED, 4th Quarter, FY 98

Cost sharing by the university reflects full costing of budgets and enables accurate cost sharing budget projections. In this reporting period, $277,876 or 9% above the $2,812,427 awarded by external sponsors, consisted of WKU cost sharing as Table 16 shows. The OSP Contributions accounts contributed 24% of the total costs WKU shared in awards, or $67,388. Adding the university cost sharing to the awards from external sponsors means that the total amount of cash awards was $3,090,303. The university cash cost shared 12% less than in the previous year.

Table 16: Summary of Cash Cost Sharing Awarded by WKU 4th Quarter, FY 96-98

Of the 64 awards for this quarter, 16, or 25%, carried cost sharing obligations. Of the 16, 4 used OSP contributions. One more cost shared from a summer faculty research fellowship; and one shared from the new Program of Distinction in Ogden College. Table 17 depicts the distribution and amounts of cost sharing compared to the previous quarter last year.

Table 17. Cost Sharing in Grants Awarded FY 96-98

Table 18: Cost Sharing Awarded from OSP Contributions Accounts, 4th Quarter, FY 98

$67,388 was awarded out of OSP Contributions Accounts.

*In addition, $53,497 was awarded for FY99 out of 211001.

Table 19: Total and Indirect Cost Sharing in Awards by Unit 4th Quarter, FY 98

Total cost sharing fell appreciably in the current quarter compared to previous years. During the third quarter this year $277,876 was cost shared, whereas last year $315,485 was cost shared; and in fourth quarter FY96 $573,844 was cost shared. There was $8,109 in indirect cost sharing for 2 units in fourth quarter 98. A year ago, 3 units indirect cost shared $36782; and two years ago, 8 units indirect cost shared $345,701. This year represents the lowest total indirect cost sharing in the past three years.

College	Department	Total Cost Sharing	Indirect Sharing
Business	SBDC	0	0
	Inst. For Econ Dev	0	0
	Finance & CIS	0	0
	Economics & Marketing	0	0
Subtotal-Business		0	0
CEBS	Educational Talent Search	0	0
	Psychology	0	0
	Student Support Services	0	0
	Teacher Education	31,605	0
	Upward Bound	3,447	255
Subtotal-CEBS		35,052	255
Ogden	AHHS	0	0
	Agriculture	0	0
	Biology	12,854	7,854
	Chemistry	49,158	0
	Engineering Technology	32,233	0
	Geography & Geology	0	0
	Industrial Technology	0	0
	Mathematics	0	0
	Nursing	0	0
	Physics & Astronomy	47,086	0
	Public Health	0	0
	Ogden Dean's Office	64,492	0
Subtotal - Ogden		205,823	7,854
Other	Admissions	0	0
	Community College	0	0
	Ed TV and Radio Services	0	0
	Envi Health & Safety	0	0
	Library	0	0
	Minority Support Svcs.	0	0
	Public Safety	0	0
	Student Life	0	0
	Grad Studies & Research	73	0
Subtotal - Other		73	0
Potter	English	36,928	0
	History	0	0
	Journalism	0	0
	MLIS	0	0
Subtotal - Potter		36,928	0
Total - All		277,876	8,109

COST SHARING IN PROPOSALS SUBMITTED 4th Quarter, FY 98

In addition to the $8,494,548 external funds proposed, $382,494 was proposed as university cost sharing. The sum of these numbers equals the total proposals of $8,877,042. Cost sharing was in 13 of the 59 proposals, or 22%. This cost sharing amount is $240,587 less than last year, but 172,177 more than Fourth Quarter FY96, as Table 20 shows.

Table 20: Cost Sharing in Proposals 4th Quarter, 1998

Table 21: Cost Sharing of Proposals from OSP Contributions Accounts 4th Quarter 1998

None of the $382,494 cost shared for proposals came from the three Sponsored Programs Contributions accounts as shown below for 984.

Table 22: Total and Indirect Cost Sharing in Proposals by Unit 4th Quarter, FY 98

AFFILIATION AGREEMENTS BETWEEN WESTERN AND EXTERNAL AGENCIES

The Office of Sponsored Programs assisted 4 academic departments with coordinating 45 affiliation agreements with 6 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 is depicted in Table 23 below. Comparing fourth quarters, there were 50 fewer affiliation agreements submitted compared to last year and 18 fewer than two years ago.

Table 23. Affiliation Agreements by Department, 4th Quarter, FY 98

SUBGRANT ACTIVITIES 4TH Quarter, FY98

WKU awarded 4 new subgrants to other institutions for $48,259. Two were awarded to researchers at the University of Kentucky, one to Morehead State University, and one to Daviess County Schools. Eight subgrants were modified to extend project periods for researchers at UK, UL, EKU, and Kentucky Science and Technology Council. One subgrant was pending with UK for a total of $100,000.

OFFICE OF SPONSORED PROGRAMS ACTIVITIES, FOURTH QUARTER, FY 98

General Activities. The Office of Sponsored Programs Web Site has been online for over three years. The OSP Web Site 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, reports, 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 Web Site 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 OSP Web Site 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 Web Site 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

1. Grant Newsletter: The quarterly newsletter, local.grants, features grant training opportunities offered by the OSP and Center for Teaching and Learning. Pamela Napier, the Sponsored Programs Information Coordinator, composes local.grants. Faculty and staff members are welcome to send her information for the newsletter. A newsletter was not issued fourth quarter.

2. 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.

3. Pre-Award Activities. Grant Workshops: Pamela Napier, Phil Myers, and Marilyn Anderson presented the one-week Learning Resource Workshop coordinated by the academic deans and the Center for Teacher and Learning, along with the OSP, to twelve participants on from May 18-22.

SPIN Searches: During Fourth Quarter, FY 1998, 29 searches for potential sponsors were conducted for faculty, staff, and graduate students by Sponsored Programs staff.

Grant development phone or in person conferences occurred with 271 faculty, staff, and students.

Email Network: 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. The OSP Sign-off Sheet was revised and posted on the Web and on the cc:Mail bulletin board. It was emailed to all units as an attachment.

The OSP hosted a new faculty luncheon on May 6.

Several finalists for the OSP Proposal Development Coordinator Position visited campus.

The President visited the OSP on May 26.

3. Post-Award Activities. 354 post-award conferences by phone o