2/23/2016
Process of Grant Writing at Universities
Terri Fayle
Senior Grant Specialist
Proposal Services, College of Agriculture and K‐State Research and Extension
Why Do Universities Care?
• Legally binding contract when accepted by the sponsor
• This contract is between the sponsor and Kansas State University
• Spending grant funds comes with following the sponsor’s regulations
• If you don’t follow the regulations, you maybe have to pay back funds
• State regulations and University policy
• Second set of eyes
What is the Process?
• Approval
– Transmittal (budget, justification, project title)
– Department
– College
– Compliance committees
• Final Review and Submission Approval
– Established submission policy
– PreAward Services – AOR
– Five day rule
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2/23/2016
What Do Universities Look For?
• Are you spending funds according to state law
• Are you spending funds according to sponsor regulations
• Does your project need human/animal subject protocol approval
• What obligations are you making on the part of the university
• Can you add
Offices Involved
•
•
•
•
•
Department
College
College level proposal development unit
PreAward Services
Sponsored Programs Accounting
Grant Life Cycle
Proposal Development
Project Start‐
Up
• Department
• PreAward Services
• Sponsored Programs • On your own
• College Proposal Unit Accounting
• On your own
• Department
• ORSP
• PreAward Services
• College Proposal Unit
Find Funding
Award Management
Award Closeout
• Department
• PreAward Services
• Department
• Sponsored Programs • PreAward Services
Accounting
• Sponsored Programs Accounting
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2/23/2016
Offices Involved
• KSU’s Office of Research and Sponsored Programs (ORSP)
– Provide information on sources of funding
– Coordinate cross‐college large collaborative efforts
– Offer training sessions related to specific opportunities
Offices Involved
• College level proposal support
• College of Agriculture/K‐State Research and Extension
– Proposal Services
• College of Engineering
– Engineering Research and Graduate Programs
• College of Veterinary Medicine
– Grant Administration Team
Offices Involved
• College level proposal support
– Draft budget and justification
– Review your documents
– Aggregate the total proposal
– Help with step‐by‐step instructions
– Create a timeline
– Coordinate collection of documents from subaward
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Offices Involved
• PreAward Services (PAS)
– Assist with proposal preparation – if your college does not have support
– Submit final documents to sponsor
– Negotiation of agreements
– Signature on agreements
– Liaise with sponsor on non‐financial administrative issues
– Process awards before they go to SPA
Offices Involved
• Sponsored Programs Accounting (SPA)
– Setup of the award so you make expenditures
– Reviews expenditures for appropriateness
– Invoicing the sponsor to be reimbursed for your costs
– Monitoring subawards
– Monitoring cost share
– Financial reporting to sponsor
Offices Involved
• Your College
– Provide signoff on transmittal sheet which is a step in approving the proposal to be submitted
– In limited instances will provide a portion of cost share to your project
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Offices Involved
• Your Department
– Provide signoff on transmittal sheet which is a step in approving the proposal to be submitted
– Process paperwork to get your bills paid
– Process paperwork to hire people on your project
– Help you in general manage your award
Takeaways
• All proposals to external sponsors have to go through an internal review process before they can be submitted to the sponsor
• University policy is five days for this review period
• You cannot submit your own proposal ‐ begging forgiveness in this situation is NOT better than asking permission
• Use all your resources – if you have a college level proposal development unit contact them first
• Don’t submit proposals to external sponsors on your own
Questions?
• Terri Fayle, tfayle@ksu.edu, 2‐7255
– Animal Sci, Grain Sci, Communications, Extension depts., BAE
• Dawn Caldwell, caldwell@ksu.edu, 2‐2758
– Agronomy, HFRR, Branch Stations, Commodity Commissions
• Marisha Eck, rish@ksu.edu, 2‐2760 – Ag Econ, Entomology, Plant Path
• Kim Pendell, kpendell@ksu.edu, 2‐6279
• Your grant personnel
5
$
6. Additional Notes:
50,000.00
25,000.00
75,000.00
-- NONE --
5. INTERNAL MATCHING FUND SOURCES
Project Total
F&A
Total Other
d. Total Project Costs
Direct
F&A
0.00
0.00
0.00
0.00
0.00
0.00
0.00
$
$
$
$
$
(Signatures on page 3)
50,000.00
25,000.00
75,000.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
50,000.00
25,000.00
75,000.00
To 6/30/2017
(Dates of entire period)
50,000.00
25,000.00
75,000.00
100%
(Sponsor name, FEIN, address)
7/1/2016
$
KSU Total
c. Other Funding Sources (external)
Direct
$
Cost Share F&A
F&A
Sponsor Total
b. KSU Share of Costs
Direct
F&A (50.0 for 1st/next years)
Direct
a. Sponsor Support Requested
(Dates of initial, modified or next budget period)
4. TERM AND AMOUNT REQUESTED/FUNDED
From 7/1/2016
To 6/30/2017
From
3. SOURCE OF SUPPORT
US Department of Agriculture
AES
* Responsible for accounting
* AES 10170 AESTA
Grant Writing 101 for Grad Students and Post Docs
2. PROJECT TITLE
Fayle, Terri
1. PRINCIPAL INVESTIGATORS/COLLEAGUES
SPONSORED PROJECTS TRANSMITTAL SHEET
(Receipt)
AGR
Appl: 100%
Ag Exp Sta
--
2.
Federal monies for capital improvements. (Vice President for Administration and Finance and Board of Regents)
c)
Graduate instructional credit or fellowships. (Dean of Graduate School)
International activities. (Associate Provost for International Programs)
e)
Activity involves BRI programming or requires the use of BioSecurity Research Institute facilities. (Director, BRI)
h)
PI(s) represent that the Financial Conflict of Interest and Time Commitment disclosures for all project personnel are up-to-date and that
all Significant Financial Interests (as defined in K-State’s FCOI policy) relating to institutional responsibilities have been disclosed and
the required FCOI training has been completed.
See http://www.k-state.edu/comply/
c)
2/23/2016
10 11447
tlf
Electronic
(Other)
Date Submitted
eProposals #
Contract Spec Initials
Delivery Method
For eProposals Use Only
Account #
Proposal #
SPA Reviewer
Dual-Use Research/Dual-Use Research of Concern (Institutional Contact Dual-Use Research)
e)
SPECIAL APPROVAL SIGNATURES
Biohazards including recombinant or synthetic nucleic acid molecules and infectious agents. (Chair of
Institutional Biosafety Committee)
Live vertebrates. (Chair of Institutional Animal Care and Use Committee)
Radioactive Materials. (Chair of Radiation Safety Committee)
d)
c)
b)
Fed
Human Subjects. (Chair of Institutional Review Board)
DUR/
DURC #
IBC #
IACUC #
IRB #
Protocol Number
PI(s) has/have completed the required KSU Export Control Compliance Training.
See http://www.k-state.edu/comply/ecp/
b)
10. RESEARCH COMPLIANCE COMMITTEES
PI(s) is/are aware of, has/have read and will comply with the NIH Public Access Policy.
See http://publicaccess.nih.gov/policy.htm
a)
9. COMPLIANCE ISSUES
Conferences, workshops, or off-campus courses. (Dean of Global Campus)
g)
Cooperative extension program. (Director of Cooperative Extension) (See Director signature below)
New Centers and Institutes. (Vice President for Research, Provost, and Board of Regents)
d)
f)
Consortium involved. (Vice President for Research)
Is this a graduate level program? (Dean of Graduate School)
New academic programs or administrative organizations to be established. (College Dean and Provost)
c)
1)
b)
a)
a)
PAS Reviewer
Construction of alterations of facilities (including electrical power modifications), or additional space requirements. (Associate Vice
President Facilities & University Architect)
8. PROGRAMMATIC COMMITMENTS
e)
Faculty overloads in instruction. (College Dean, Dean of Global Campus and Provost)
Faculty member on project who will be off-campus for three months or longer, eg., sabbatical or IPA. (College Dean, Provost
and Board of Regents)
d)
New faculty hired with continuing commitments beyond project. (College Dean)
b)
PAGE 2 of 3
a)
YES NO
7. ADMINISTRATIVE APPROVALS
If the answer is YES to any of the statements in 7-8 and 10 below, approval of the noted official is required.
If you answered NO to any of the statements in 9 below, further action may be required depending upon the project or award.
SPONSORED PROJECTS TRANSMITTAL SHEET
Current F&A Rate:
0
Develop: 0%
tlf, 2/23/2016
For PAS & SPA Use Only
--
1.
FLOWDOWN
Federal
SOURCE OF FUNDS
Basic: 0%
Research
ACTIVITY
DFF Code:
Oversight:
ADMINISTRATIVE OVERSIGHT/DFF CODE
Proposal (Standard)
TYPE OF SUBMISSION
Phone: 2-7255
Name: T. Fayle
DEPARTMENT CONTACT
PreAwards Services
SHIPPING RESPONSIBILITY
3/1/2016
SPONSOR DUE DATE
PAGE 1 of 3
PAGE 3 of 3
Date
(Dept Head) Minton, J - AES
Date
(AES Director) Jahnke, Geneva
Date
I have reviewed this form and the appended document for all institutional commitments and approve the obligations therein. I also have reviewed the documents for any
appearance of or potential for conflict of interest and hereby affirm that none exists or that any potential conflict is being managed.
DEPARTMENT HEAD, DIRECTOR, DEAN SIGNATURES
Fayle, Terri - AES
By signing, I agree (1) that the information submitted within the attached document is true, complete and accurate to the best of my knowledge; (2) that any false, fictitious, or
fraudulent statements or claims may subject me to criminal, civil, or administrative penalties; (3) to accept responsibility for the scientific conduct of the project and to provide the
required progress reports if a grant is awarded as a result of an application; (4) to abide with university policies and regulations, including, but not limited to, those defining
responsibilities, conditions of employment, outside financial interests, and all other research compliance matters. I also agree to be bound by the terms and conditions of the
outside grant or contract which supports this proposed activity. I certify that I have not been debarred, suspended, or declared ineligible to receive federal funds, that I have
disclosed all Significant Financial Interests in the annual KSU Declaration of Conflict of Interest and Time Commitmet, and that no un-managed conflict(s) exist that relate to my
institutional responsibilities and the activities to be funded hereunder and that, to the best of my knowledge, no appropriated funds have been expended that would influence
award of this grant or contract. I also agree to disclose promptly each subject invention made under this sponsored program and do hereby grant and assign to KSU or its
designee my entire right, title and interest in and to ideas, inventions and improvements created under this sponsored research program, together with any and all domestic and
foreign patent rights in such ideas, inventions and improvements and to execute all papers necessary to file patent applications by the University or its designee.
INVESTIGATOR SIGNATURES
SPONSORED PROJECTS TRANSMITTAL SHEET