WESTERN KENTUCKY UNIVERSITY

Office of Sponsored Programs THIRD QUARTER Report
JANUARY 1, 1999-MARCH 31, 1999

Office of Sponsored Programs
106 Foundation Building
Bowling Green, KY 42101-3576
Telephone:(270) 745-4652
FAX: (270) 745-4211
E-mail: Phillip.Myers@Wku.Edu
Web Site: http://www.wku.edu/Dept/Support/SponsPrg/grants/

Prepared: August 13, 1999

EXECUTIVE SUMMARY

Introduction

This report covers the activities of the Office of Sponsored Programs at Western Kentucky University from January 1, 1999-March 31, 1999. During this period, the University received 35 awards totaling $1,072,464. Since July 1, Western has received more award dollars than in any previous complete fiscal year, $14,703,486. WKU submitted 73 proposals totaling $6,723,548. There were 7 fewer awards as a year ago but the dollar amount of awards decreased by 44%, or $1,363,474.

Included in the awards was $27,289 in indirect costs. A year ago, $215,994 was awarded in indirect costs.

Nearly $207,000 was collected in indirect costs during this reporting period. This amount represents a $51,605 (+33%) increase over a year ago.

In addition, WKU cash cost shared $98,205 above the $1,072,464 awarded. Total awards therefore equaled $1,170,669. WKU cost shared 8% of the total award dollars. This percent is 10% lower than the same reporting period last year.

Included in the 73 proposals was $384,405 in indirect costs.

WKU cash cost shared $442,102 in addition to the $6,723,548 proposed. Total proposal dollars therefore equaled $7,165,650. WKU cost shared 6% of the total amount proposed.

Awards

The 44% decrease in award amount was caused principally by declines in awards for research and public service this quarter. Nine academic departments received awards.

Proposals

Sixteen academic departments submitted proposals, representing two more departments than last year. There were eight first-time proposers.

The dollar amount of proposals submitted increased by $2,313,228 (+52%) compared to a year ago. There were 17 more proposals than a year ago. The dollar amount of Federal proposals increased because the dollar amount of public service proposals rose $1,202,795. Public Service proposals increased by $353,001.

Summary Awards and Proposals Comparisons with Previous Years

Other Activities in the Sponsored Programs Community

The OSP Web Site

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

Sponsored Programs continued to rely heavily on the WKUNET to expedite operations through widespread use of e-mail with project directors and grant developers. Over 500 Electronic postings were made of grant opportunities, deadlines, tips, and policies and procedures. The OSP home page provides faculty and staff members with information from the grant community nationwide. 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 Site. The Web Site contains information to facilitate pre- and post-award developments for the campus.

Summary of Other Activities of the OSP during Third Quarter FY 99

The OSP assists departments with subgrants and non-cash affiliation agreements. The OSP coordinated no subgrants to other institutions, and 37 affiliation agreements with regional hospitals, clinics, and medical offices on behalf of internship programs in Allied Health and Human Services, Biology's Medical Technician Program, Nursing, and Public Health.

The OSP staff chaired and were members of professional organization committees, attended, presented, and moderated at professional meetings, and chaired or served on university committees about intellectual property, faculty scholarships, human subjects of research, and animal subjects.

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, and Accounts and Fiscal Services.

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, and award routing. The OSP maintains records of faculty and staff members' interests; identifies potential sponsors; presents grant development and compliance workshops; and supports grant development initiatives of the deans, the Center for Teaching and Learning, and units across the campus. The OSP provides individual consultation; and renders contract compliance and institutional assurance. The Office establishes charts of accounts for awards; negotiates post-award modifications; and provides liaison with external agencies on behalf of the University. It 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, Third Quarter FY 99

In this reporting period, Western Kentucky University received 35 awards in the amount of $1.072,464 that included $27,289 in indirect costs awarded. Compared to last year, these data reflect a decrease of 1 award. The award dollar amount decreased from last year by $1,363,474 or -44%. Award dollars were the lowest in the last five years.

Table 1: AWARDS RECEIVED, Third Quarter 1997-1999

Table 1a: F & A (Indirect) Costs Collected, Third Quarter, FY 99

Under the institutional F & A policy, F & A costs from awards are collected and allocated quarterly. Allocations are: college dean or appropriate vice president 40%; General Fund 40%; OSP 20%. Quarterly collections began July 1, 1997; and a record of those collections may be reviewed in the table below. Comparisons are given with the previous year. Comparison demonstrates that almost $91,500 more was collected in the current year compared to the previous year, an increase of 69%

Table 2: Awards Received by Academic Colleges and Other Major Units, Third Quarter, FY 99

Awards Received by Academic Departments, Third Quarter, FY 99

Nine academic departments, the same as last year and 4 less than the year before, and 12 faculty members (6 less than last year) received 13 awards. This number of awards was 37% of the total awards, 77% of the award dollars, and 63% of the indirect costs awarded. As Table 3a shows, last year 9 academic departments received 60% of total number of awards, 93% of award dollars and 99% of indirect costs. In Table 3b, individuals receiving more than one award are signified with the number of awards in parenthesis.

Table 3a: Academic Departments' Contributions to Awards, Third Quarter, FY99

Table 3b: Academic Departments' Contribution to Awards, Third Quarter, FY 99

Table 4: Awards Received by Support Units, Third Quarter, FY 99

Support units contributed 23% of the dollar amount of awards. They contributed 37% of the indirect costs awarded. In all, 6 project directors in 5 support units received awards.

Table 5: Awards Received by Award Type, Third Quarter, FY 99

There were 3 more grants but totaling $245,533 less than last year. There were 3 fewer MOAs for $248,691 less than last year. There were 6 fewer subcontracts for $801,868 less than last year. There was 1 less contract but for $67,382 less than last year.

Table 6: Awards Received by Project Type, Third Quarter FY 99

Compared to last year, there were 9 more awards for instruction. The dollar amount of awards for instruction increased $86,124. There were 3 fewer awards for research for $865,930 fewer dollars. There were 13 fewer public service awards for $750,688 fewer dollars than last year.

Table 7: Awards by Funding Sources, Third Quarter FY 99

There were the same number of federal awards as last year for $66,000 fewer dollars. There were 3 more state awards for $2,685,131 more dollars because of the Program of Distinction grant from CPE. We received 1 more award from local government. There were 4 fewer awards from private agencies but for $46,918 fewer dollars. (There were 0 awards from foundations which was the same as last year).

Table 8: Top Ten Awarding Agencies, Third Quarter FY 1999

Twenty-two sponsors made awards to WKU during this reporting period. The top ten are listed below. These ten sponsors contributed 64% of the dollars awarded and 93% of the indirect costs. Last year the top ten contributed 90% of the award dollars; and in FY97 the top ten contributed 87% of the dollars awarded.

PROPOSAL SUBMISSIONS

Table 9. Number and Amount of Proposals Submitted, Third Quarter, FY 88-99

The largest dollar amount and number of proposals in the last 9 years were submitted during this reporting period. In this reporting period, 16 academic departments, 1 more than last year, and 5 support units, 3 more than last year, comprising 35 faculty (5 more than last year) and 5 staff (1 more than last year), submitted 73 proposals (17 more than last year) totaling $6,723,548. Compared to last year, there was a 30% increase in the number of proposals and an 52% increase in the dollar value of proposals.

Table 10: Proposals by College and Other Units, Third Quarter FY 99

Table 11. Academic Departments Submitting Proposals, Third Quarter FY 99

Sixteen academic departments submitted $5,691,338 in proposals. Altogether, academic departments submitted 87% of the total dollar amount of proposals and accounted for 62% of the total number of proposals that were submitted. Three more faculty submitted proposals compared to last year. Eight proposals were submitted by faculty who had not previously submitted. Two more academic department submitted proposals than last year. The academic departments accounted for 90% of the indirect costs proposed. The academic departments submitted $3,254,096 more in proposals compared to last year. Biology, Physics and Astronomy, and Teacher Education were the leading departments submitting proposals.

Table 11a: Support Units Submitting Proposals, Third Quarter FY 99

Five support units submitted 28 proposals for $1,032,210. Of this amount, $39,219 was in F & A costs. The same number of support units submitted proposals as last year.

Table 11b: Proposals by Support Units in Academic Colleges, Third Quarter FY 99

Included in the units in Table 11a were 3 support units in academic colleges that submitted proposals for $696,436 which included $39,219 in F & A costs proposed. These units constituted 10% of the total proposal dollars, and 10% of the F & A costs proposed. These proposals were submitted by 3 project directors and represented 23 projects.

Table 12. Proposals Submitted by Project Type, Third Quarter FY 99

Twenty-four percent of the dollar amount of proposals supported Research, which was 4% less than last year. There were 5 fewer research proposals than last year. There were 13 more proposals for Instruction than last year but the dollar amount was $22,522. There were 8 more Public Service proposals than last year and the dollar amount this year was $353,001 more.

Table 13: Proposals Submitted by Agency Type, Third Quarter, FY 99

There were 5 fewer Federal proposals but for $2,399,882 less than last year. There were 14 more proposals to state agencies for $953,745 more than last year. There were 7 more proposals to Private agencies compared to last year but for $99,444 less.

Table 14: Top Ten Sponsors In Proposals Submitted, Third Quarter, FY 99

Thirty-six percent of the proposals were submitted to ten sponsors. These top ten sponsors constituted 1 more % than the number of proposals in the top 10 last year. The dollar value of proposals to the top ten sponsors constituted 88% of the total dollars proposed. Last year the dollar value was 91%. Seven of the top ten were federal sponsors and six 3 were state sponsors. Ninety-two percent of the indirect costs proposed were submitted to the top ten sponsors below, which was 5% less than last year and 17% more than the year before.

Table 15: F & A Costs in Proposals Submitted, Third Quarter FY 99

F & A costs were included in 38 of the 55 proposals submitted (69%).

COST SHARING IN GRANTS AWARDED, Third Quarter, FY 99

Cost sharing by the university reflects full costing of budgets and enables accurate cost sharing budget projections. In this reporting period, $98,205, or 9% above the $1,072,464 awarded by external sponsors, consisted of WKU cost sharing as Table 16 shows. The OSP Contributions accounts contributed $2,000, or about 1% of the total amount of awards (sponsors + WKU cash), or $2,000. Adding the university cost sharing to the awards from external sponsors means that the total amount of cash awards was $1,170,669. The university cash cost shared 7% less than in the previous year.

Table 16: Summary of Cash Cost Sharing Awarded by WKU, Third Quarter FY 96-99

Of the 35 awards, 1, or 3%, carried cost sharing obligations. Of the 35 awards, 2 used OSP contributions. Table 17 depicts the distribution and amounts of cost sharing compared to previous years.

Table 17. Cost Sharing in Grants Awarded FY 96-99

Table 18: Cost Sharing Awarded from OSP Contributions Accounts, 3rd Quarter FY 99

$2,000was awarded out of OSP Contributions Accounts (includes OSP indirect account) for this quarter.