Office of Sponsored Programs Detailed Assessment Report 2015-2016 Mission / Purpose The Office of Sponsored Programs assists University of West Alabama faculty and staff through the grant seeking process. The office is the central coordination point for all proposals involving restricted funds, sponsored programs, and research. The role of OSP is to help faculty identify funding sources, assist in the planning and preparation of proposals, assist in budget preparation, facilitate the administrative review and approval process, and support the production and submission of completed proposals. The Office of Sponsored Programs is available to advise faculty and proposal teams throughout the project period and with final reports. Sponsored Programs will provide expertise and guidance to faculty on funded projects including reporting, budgeting, and implementation. Postaward activities and grant implementation are the responsibilities of the researcher or principal investigator. OSP will advise in regards to Federal or State guidelines and general procedures. I. Goals and Outcomes/Objectives, with Any Related Measures, Targets, Findings, and Action Plans A. Goal: Foster growth across all areas of campus. Foster growth across all areas of campus. 1. Objective: Increase funding To increase the external funding received through federal, state and private sources by 5% over the previous year's total. a. Measure: Increase the number of grant applications 1. Increase the number of applications and the amount of funds acquired through external funders. 2014-2015: Applications submitted - 43 (Office anticipates 50 by the end of August.); 2014-2015: $3 million (October 2014 - July 2015) 1. Increase the number of sponsored programs applications, including resubmissions, and increase external funding expenditures from the previous year. 2. Increase the dollar amount requested from funders. 3. Increase resubmissions of previously unfunded projects. 2. Findings (2015-2016) - Target: Partially Met 1. The number of proposals submitted from 10/01/15-09/31/16 was 48, an increase of five over 2014-2015. There were a number of applications that were worked on yet did not get submitted for a variety of reasons. 2. Staff did not increase the dollar amount requested from funders. In hindsight, this was a poor measure as the office is only allowed to make requests that fall within the agency's own guidelines. 3. OSPR did manage to increase the number of resubmissions to previously unfunded projects by four applications. 2. Objective: Support faculty and staff with OSP infrastructure Support faculty and staff grant development through maintenance of OSP infrastructure. a. Measure: Faculty & Staff Grant Development Infrastructure Page 1 of 9
Provide procedures, routing systems, and one-on-one assistance to faculty and staff throughout grant application and awarding process, including submission, implementation, and close-out steps. 1. Provide procedures, routing systems, and one-on-one assistance to faculty and staff throughout grant application and awarding process, including submission, implementation, and close-out steps. 2. Maintain technological resources available to faculty and staff, such as membership to Grants Resource Center, InfoEd Global, and other grants databases. 3. Provide access to webinars and facilitate interconnectivity with funding agencies. 2. Findings (2015-2016) - Target: Met 1. OSPR supported faculty and staff grant development by providing procedures, enhanced routing systems, and one-on-one assistance throughout the grant cycle. The OSPR website has been revamped to include detailed information about each procedure, complete with links to external research engines, Cayuse 424, and compliance training modules. 2. OSPR maintains electronic resources for employees to access for grant information. Office currently subscribes to four providers (InfoEd, AASCU, Foundation Directory Online, and Alabama Grants Watch) and receive free updates from many more (Sewell, Sessions, Grants.gov, NSF, NIH, ED Grants Forecast, USDA, etc.) that are combined to create the weekly Electronic Funding Opportunity (EFO) sent out to all faculty and select staff on a weekly basis. Also, OSPR makes the Callaway Schoolhouse available for webinars, teleconferences, and general meetings regarding grant funding and grant-funded projects. 3. OSPR has provided location and technical services for several webinars over the past year: 3 United Negro College Fund/Lily Foundation, 2 Predominantly Black Institutions, 1 Teacher Quality Partnership Program, Study Abroad topics, NSF funding guidelines, Grants Resource Center, Department of Labor, Sea Phages, ETA, and Steel Case. 3. Objective: Professional development Provide professional development and training for faculty and staff. a. Measure: Professional Development for faculty and staff Provide professional development and training in proposal development, budget development, finding funders, and compliance. 1. Target experienced and new faculty through training programs and activities, including workshops, webinars, off-site conference, and one-on-one assistance, regarding all aspects of pre- and post-award procedures. 2. Provide compliance training for business officer personnel in procurement, fiscal management, and grant administration. On campus workshops will be offered covering these topics. 3. Promote interdisciplinary collaboration among faculty and staff. 4. Offer writing workshops, peer review facilitation, and editorial support of proposals and manuscripts. 2. Findings (2015-2016) - Target: Partially Met 1. OSPR targeted faculty through a variety of meetings, including New Faculty Orientation, multiple Cayuse 424 trainings, individual meetings, and meetings with Business Office staff. 2. OSPR provided compliance training for business office personnel by sending two staff members to the NCURA Financial Research Workshop in New Orleans in March 2016. No OSPR workshop was presented for this purpose. 3. OSPR staff worked on several applications related to interdisciplinary collaboration among faculty and staff. Examples of collaborative proposals are the Page 2 of 9
NSF Noyce Scholars Program, the UNCF/Lily Foundation grant, Minority Science and Engineering Improvement Program, USDA Delta Healthcare, ADECA Certified Nursing Assistant Program, NCAA Choices Program, UAB GEAR UP sub award, and the USED TQP Program. 4. OSPR has offers editorial support and peer review facilitation on almost all proposals, but this year the office did not offer any writing workshops, and the office had no requests for a manuscript review. 4. Objective: Assessment of Faculty Aspirations Assess faculty aspirations regarding extracurricular programming and field/career-related programming. a. Measure: Assistance beyond the classroom Assess faculty aspirations regarding extracurricular programming and field/career-related assistance. OSP will evaluate faculty interest in and administrative support for professional writing for proposals and publications via the use of surveys. Surveys will be administered before Christmas break to all on-campus faculty; the following years will survey only new faculty. 2. Findings (2015-2016) - Target: Not Met Office did not meet any of the measures for this target because the office just did not have time. This is an objective staff will not plan for next year. 5. Objective: Faculty/Staff Assistance through Resources Assisting faculty and staff in completing and managing projects by leveraging OSP resources. a. Measure: Leveraging OSP resources Assisting faculty to complete and manage projects by leveraging OSP resources. 1. Development of a student-worker loan program, where faculty who are working on grants can request the use of an OSP student worker to assist them with project work, including proctoring exams, data collection, etc. 2. Availability to faculty and staff of the technological capacity and data resources of OSP. 2. Findings (2015-2016) - Target: Partially Met 1. The student-worker loan program worked well for one semester. The office was able to extend assistance to three researchers on campus (Morsy, Robinson, Lamb). 2. OSPR made technological capacity and data resources available to faculty, staff, and students throughout the year. The Callaway Schoolhouse was used by the Sociology Dept., for the COLA Spring Faculty Forum, COLA Poetry & Dinner, PKP Faculty Colloquium, Phi Alpha Theta banquet, 3 Alpha Sigma Tau workshops and a sorority retreat, PKP Chili Cook Off, Livingston Press author readings, NSM faculty interviews, used two semesters for softball study hall. 6. Objective: Student Outreach Outreach to undergraduate and graduate students to promote awareness of grant culture and external funding opportunities. a. Measure: Outreach to students OSP will offer outreach to undergraduate and graduate students to promote awareness of grant culture and opportunities. Page 3 of 9
1. OSP will continue to support student activities, such as the Undergraduate Research Symposium, through financial assistance for scholarships and awards. 2. OSP will develop and make available programming tracks for students regarding grant culture for career development and education on externally-funded programs for which they are eligible. 3. Creation of a "seed grant" program for students taking part in the Undergraduate Research Symposium. A seed grant is a small grant provided as startup finds for programs or research. 4. Development of a series of presentations for students to be available for OSP to present upon the request of faculty member. 2. Findings (2015-2016) - Target: Partially Met 1. OSPR supports student activities, including the URS, by sponsoring awards and sponsoring a portion of the logistics (usually a meal). 2. OSPR has not, and will not, make available programming tracks for students on grant development. 3. OSPR has just, this semester, launched the seed grant program to which students may apply. Guidelines will be sent to students by mid-october. 4. Office has had no requests from faculty members; this is a measure the office will remove next cycle. 7. Objective: Provide Regional Leadership Build relationships with regional and community stakeholders. a. Measure: Stakeholder relationships OSP will help build relationships with external entities through networking to determine interests and access to partnerships. Stakeholder meetings will be held twice yearly. Invitees will include representatives from local and regional governmental, educational, business and industry, extension services, health care, and civic entities. Rosters will indicate attendance. Additional data will be kept on grant development generated by partnerships. 2. Findings (2015-2016) - Target: Partially Met While OSPR did not hold stakeholder meetings, there were several instance where OSPR facilitated collaboration between institutions, such as University of Montevallo site visits, University of Alabama Lunch & Learns (for OSPR staff), and having a staff member sit on the UAB GEAR UP Advisory Board. 8. Objective: Represent UWA at funding agencies Represent UWA at professional associations and meetings of grant sponsors, such as Grants Resource Center, National Science Foundation (NSF), National Institutes of Health (NIH), etc. a. Measure: OSP Staff Professional Development OSP staff members will attend national conferences, associational meetings, and regional/specialty training opportunities each year, pending budgetary approval. OSP staff members are encouraged to attend at least one national conference or associational meeting and one regional or specialty training each year, pending budgetary approval and seek obtain certificate for research administrators. 2. Findings (2015-2016) - Target: Met Each OSPR staff member, except Hoda Hassan (due to illness), attended at least one professional development meeting during the past year. Rodney Granec - NCURA Page 4 of 9
FRA meeting and Annual (regional) meeting; JJ Wedgworth - NCURA FRA meeting, SRA Chapter Meeting, PRIM&R Regional Connections Meeting; Carmen Giles - SRA International meeting, SRA Chapter Meeting. II. Other Plans for Improvement A. Increase funding of federal grant applications. Submit a greater number of federal proposals and offer faculty/staff more workshops on federal applications and federal grant writing techniques. Established in Cycle: 2011-2012 Implementation Status: In-Progress Priority: Medium Implementation Description: Submit a greater number of federal proposals and offer faculty/staff more workshops on federal applications and federal grant writing techniques. B. Increase number of faculty submitting grant proposals. Promote grant writing to the College of Liberal Arts faculty and College of Business faculty. Established in Cycle: 2011-2012 Priority: Medium Implementation Description: Meet with deans of each college to discuss which faculty members they would like to participate in grant writing. Projected Completion Date: 08/28/2014 Responsible Person/Group: Stephanie Hyche C. Renew research subscriptions Renew subscriptions to research engines for grants Established in Cycle: 2011-2012 Budget Amount Requested: $5,000.00 (recurring) D. OSP Staff Professional Development Professional development allowing OSP staff to attend regional and national workshops/conferences, payment of professional membership dues, continued skill-building, and technical training. Established in Cycle: 2012-2013 Implementation Status: In-Progress Responsible Person/Group: Rodney Granec Additional Resources Requested: Motor Pool Budget Amount Requested: $6,500.00 (recurring) E. Grant Development Center Sustainability Provide increased technological capacity for faculty/staff training and access to web services including web streaming, virtual conferencing, data resources, and related services/warranties through the creation of the OSP Grant Development Center. Faculty/staff training includes workshops, consultant fees, increasing opportunities to continue education in grant and professional writing and research during the fall, spring, and summer semesters. Established in Cycle: 2013-2014 Implementation Status: In-Progress Implementation Description: This amount will cover annual maintenance fees for VTC system in the Callaway Schoolhouse. Page 5 of 9
Projected Completion Date: 05/30/2012 Responsible Person/Group: Rodney Granec Budget Amount Requested: $6,500.00 (recurring) F. Prioritize Division of Nursing external funding OSP will prioritize the Division of Nursing external funding opportunities and work directly with the Chair of nursing and selected faculty. This includes, but is not limited to: 1- consistent communications with the DON (at least biweekly) until proposal opportunity is located, 2- assign a dedicated research assistant to focus on looking for nursing grant opportunities strictly for DON priorities, 3- provide 1:1 Professional Development to DON Chair and faculty, 4- assist in creating new healthcare networking opportunities and revisit old ones. Established in Cycle: 2013-2014 Projected Completion Date: 05/29/2015 Responsible Person/Group: Rodney Granec/ Carmen Giles G. In new partnerships and collaborations Create new partnerships with other institutions of higher education, non-profit organizations, and state entities. Established in Cycle: 2014-2015 Relationships (Measure Outcome/Objective): Implementation Description: Collaborate with different colleges and departments within University of Alabama. Collaborate with never before colleges and universities in grant proposals to new funding agency. H. Provide workshops to students In spring of 2016, OSP will hold at least one workshop regarding basic grantsmanship strictly for students. Established in Cycle: 2014-2015 Relationships (Measure Outcome/Objective): Measure: Outreach to students Outcome/Objective: Student Outreach Implementation Description: Plan a half day workshop with basic topics for students Responsible Person/Group: JJ Wedgworth and Carmen Giles I. Post Award Accounting Position Hire an accountant for the Office of Sponsored Programs to be responsible for all post award accounting and assist faculty with financials of their awards. Established in Cycle: 2015-2016 Projected Completion Date: 10/01/2015 Responsible Person/Group: Rodney Granec Additional Resources Requested: salary and benefits Budget Amount Requested: $60,750.00 (recurring) III. Analysis Questions and Analysis Answers A. What specific strengths did your assessments show? (Strengths) Page 6 of 9
OSPR has helped foster growth across all areas of campus by increasing the number of grant applications submitted thereby increasing funding to $3 million dollars just this year. Successful activities which have attributed to this are strong professional development for both OSPR personnel and faculty and staff regarding grant management and proposal development. OSPR was able to resourcefully provide a student-worker loan program to three different labs on campus, which benefited both the PI's and the students. B. What specific weaknesses or challenges did your assessments show? (Weaknesses) OSPR unfortunately was unable to meet the planned objective of evaluating faculty interests in order to expand support services for them regarding their careers. There was too little interest by the faculty to expend manpower on the initiative. However, OSPR is a service office and will continue to explore ways to help our faculty grow professionally. OSPR can continue to be stronger by focusing on providing the faculty and staff with every changing aspect, rules, regulations, guidelines of grant proposals and awards. C. What plans were implemented? The Faculty Seed Grant Program was managed for the first time last year by OSPR and has proven extremely successful. Additionally, OSPR sponsored a student seed grant competition and plan to continue it while funds are available. The office purchased the online submission and management software Cayuse 424, and trained faculty and staff to use it for all grant work. The Office expanded its title to include Research as a reflection of the growing number of research proposals being submitted by UWA faculty. This has shown us the need to increase the efforts at compliance, including offering training and means of certification for students or faculty who need it. D. What plans were not implemented? Writing workshop for faculty and staff. E. How will assessment results be used for continuous improvement? Assessment results will be used to determine future years plans, goals, and objectives to enhance the office and further the mission to foster growth across all areas of campus. IV. Annual Report Section Responses A. Key Achievements 1. Purchasing, training, and implementing Cayuse online grants routing, submission, and tracking software. 2. Reorganization of Office of Sponsored Programs to Office of Sponsored Programs & Research, including development of position titled Director of Research Integrity. 3. Revision and approval of Intellectual Property Policy. 4. CITI Training for Institutional Review Board committee members. 5. Implemented first year of faculty seed grant program funded by OSPR. 6. Redesign and update of OSPR website. 7. Purchased enhanced software module for the business office to track grant accounts across multiple fiscal years rather than single fiscal years. 8. Provided Business Office restricted account professional development to NCURA post award training sessions in the spring. 9. Shared financial support to the College of NSM purchase commercial size generators for lab equipment 10. Shared financial support of the Studio 96 Sound Booth. 11. Shared financial support for Exercise Physiology Lab Metabolic System. B. Staff Achievements Presentations at Professional Meetings: Ms. Hoda Hassan: Attended the Creating Futures Through Technology Conference, Biloxi, MS., March 2-4, 2016; Dr. J.J. Wedgworth: Oral Presenter, City of Livingston Beautification Board, "Funding and Collaboration Opportunities for the Livingston Beautification Board", February 16, 2016. Oral Presenter, "Cayuse Software Training for Deans and Chairs", April 19, 2016 Page 7 of 9
Offices/Positions in Professional Organizations and/or Other Significant Professional Activities: Ms. Carmen Giles: Staff Senate, Staff Handbook Committee, Faculty/Staff Handbook Committee; Ms. Hoda Hassan: Serving on the UWA Undergraduate Research Symposium Committee since 2013; Dr. J.J. Wedgworth: Co-Chair, Environmental Earth Science Section, Alabama Academy of Science Student Poster and Paper Competition Judge, February 17-19 2016. Professional Consultant: Ms. Carmen Giles: Advised the Choctaw County Library board on grant funding; Offered free grants consultation to the West Alabama Food Bank. Mr. Rodney Granec: University of Montevallo Office of Provost advising their Office of Sponsored Programs; Mississippi University for Women advising Office of Sponsored Programs protocols. Awards and Honors: Mr. Rodney Granec: Pinnacle Member for Academic Achievement of non-traditional students Funded Grants: Ms. Carmen Giles: Assisted faculty in submitting 48 grants (26 Federal, 17 State, 5 Foundation/Other); Mr. Rodney Granec: Facilitated faculty with over 50 grant proposed budgets and active grant financial updates; Project Director of the PBI Formula grant, $1.2 Million over five years ending FY15-16; Lead partnerships with UAB Gear-Up program with faculty and programs around Campus; Ms. Hoda Hassan: Assisted with the following grants: UWA ilove Biology Research (Improving Learning Outcomes Via Enhancement of Biology Research), Funded $300,000 RUI: Bio-Boom: Integration of Fungal Endophytes for Improved Crops. The National Science Foundation (Pending). Bio-BOOM: A Closer Step to a Natural Biofertilizer. The United States Department of Agriculture Specialty Crop Block Grant -Farm Bill Program (funded $25,000) Application of Fungal Symbiont into Sweet Corn to Improve Productivity and Drought Tolerance. The United States Department of Agriculture Specialty Crop Block Grant -Farm Bill Program (Pending); Dr. J.J. Wedgworth: Co-PI, National Science Foundation, ilove Biology Research Program, $299,851 Also led the development of numerous grant proposals for faculty/staff campuswide. The following have been successful and have received funding in the prior year: USDA, Specialty Crop Block Program, $24,932; USDOE, PBI, UWA CARES Program, $2,299,734; AHF, Culture of China, Traveling Trunk, $1,500; UNCF Career Pathways Initiate, College to Career Program, $100,000; ADECA Certified Nursing Assistant Program, $117,624; OSR First Class Pre-K Program UWA Campus School, $92,639. Attended the NCURA FRA workshop in the spring. Workshops Conducted: Ms. Carmen Giles - Assisted with multiple Cayuse training workshops; Mr. Rodney Granec - Office of Sponsored Programs Cayuse training workshops; Ms. Hoda Hassan - Helped at UWA's "One Stop Grant Shop, Grant Proposal Basics" Workshop, July 2015 Other: Ms. Carmen Giles: Attended the International SRI Meeting in Las Vegas; Attended SRA Alabama Chapter Meeting Acts as UWA Account Administrator of NIH's era Commons grant portal, NSF's Fastlane, and the Dept. of Defense's ebrap system; Redesigned OSP website; Maintains OSP Facebook page; Distinguished Young Women of Sumter County (Committee member); Mr. Rodney Granec: Informal results of research project of providing incentives in order to increase in quality grant proposals written by faculty and staff presented that financial incentives produced more involvement than that of course release time. Attended NCURA FRA Workshop in the Spring and the annual meeting in August. Ms. Hoda Hassan: Developed and maintained Bi-monthly Office of Sponsored Programs Research Newsletter; Managed and judged OSP Seed Grant Program. C. Public/Community Service Mr. Rodney Granec- University of Montevallo, Office of Provost advising their Office of Sponsored Programs. Mississippi University for Women advising Office of Sponsored Programs protocols. Sumter County Historcial Society Executive Board member. Dr. J.J. Wedgworth- Oral Presenter, City of Livingston Beautification Board, "Funding and Collaboration. Opportunities for the Livingston Beautification Board", February 16, 2016. Page 8 of 9
Co-Chair Environmental Earth Science Section, Alabama Academy of Science. Alabama Academy of Science Student Poster and Paper Competition Judge, February 17-19, 2016. Ms. Carmen Giles- Advised the Choctaw County Library board on grant funding; Offered free grants consultation to the West Alabama Food Bank. Distinguished Young Women of Sumter County Committee member - 2017 Chair. Ms. Hoda Hassan- Member of the Undergraduate Research Symposium board Page 9 of 9
Planning and Assessment Approval Department or Division: Sponsored Programs Chair or Director: Mr. Rodney Granec Dean or Vice President: Mr. Rodney Granec EZ.Ci.CiiUUJ Goals Goals are broad statements describing what the unit wants to accomplish. Goals relate to both the unit's mission and the University's mission. The goal(s) is stated as the University goal(s) a unit is attempting to meet. x Outcomes/Objectives Outcomes and objectives are statements that describe in some detail what the unit plans to accomplish. Outcomes/objectives are associated with all applicable goals, strategic plans, standards, and institutional priorities. x Objectives are active-verb descriptions of specific points or tasks the unit will accomplish or reach. Outcomes are active-verb descriptions of a desired end result related to student learning and the unit's mission. x Measures Measures are statements to judge success in achieving the stated outcome or objective. Measures contain information on the type of evidence and assessment tool that a unit will use to verify if stated outcome/objective has been met. X --- Achievement Targets Achievement targets are the thresholds that the measures must meet for the unit to determine that it has been successful in meeting its specified outcomes/objectives. Achievement targets are measurable statements. X
Findings Findings are indications whether an outcome/objective was met or x not. Findings are put into the system under each achievement target. Findings include an interpretation of results, possible uses of results, reflection on problems encountered, indicated improvements/changes and strengths or weakness. Action Plans Action plans are detailed plans created by the unit to meet an x outcome/objective that was only partially met or not met or to make improvement to those outcomes/objectives that were met but still need some strengthening. The plan includes a projected completion date, implementation description, responsible person(s)/group, resources required, and budget amount (if applicable). Action plans created in previous cycles have been updated with implementation notes. x Annual Report The Annual Repo1t section contains information on key x achievements, faculty and/or staff achievements, and community/public. Analysis Report The unit has reflected on and created narratives for each of the x following areas: specific strengths and progress made on outcomes/objectives, specific weaknesses or challenges, plans that were and were not implemented, and how assessment results will be used for continuous improvement. Approved by: 6 Z u-d, -.a-,, /,~a-:=- Date: 2/20/2017 Received by OIE: v, ~-"-t--=-;'-t---++-~~-+-+~~~~t--~~~~~~~~ Date: tz / J-0 /J J I I