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Introduction to the San José State University Research Foundation

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1 Introduction to the San José State University Research Foundation
Introduce me, Michele, Lan, and Sponsored Programs Managers. Faculty intro themselves and their dept and main research or topic of interest Sponsored Programs Workshop February 3, 2012

2 Overview of Workshop How Things Work at SJSU
What is the SJSU Research Foundation? Overview of Services Benefits of Funding, Partnerships and Collaborations Types of Funding Opportunities Resources for Finding Funding Quick Start Path We are going to cover…. And in your packets are some material we will cover and other material to use as future reference guides and resources.

3 How Things Work at SJSU – Macro View

4 How Things Work at SJSU – Macro View of Infrastructure supporting Sponsored Programs
The Associate Vice-President of Graduate Studies and Research is the chief research officer of SJSU and the president’s designee to approve proposals submitted for external funding. In her role as AVP, Dr. Pamela Stacks reviews and signs every proposal that is submitted from SJSU. The SJSU Research Foundation has been designated by the SJSU president to serve as the campus Sponsored Programs Administrator or SPA. The SJSU Research Foundation is authorized to develop and submit proposals (pre-award), as well as receive and administer awards (post-award). Jerri Carmo is Deputy Chief Operating Officer and Director of Sponsored Programs for both Pre-Award and Post-Award. Together GS&R and SJSURF assist the manage the process of developing and submitting proposals to external sponsors (it varies, but around 400 proposals annually). Proposal and Award statistics can be found at the following link: Sponsored programs and external funding are a key element of the SJSU Strategic Plan, providing additional funding for technology, research and scholarly works, unbounded learning, and service learning. As you all know, the CSU Chancellor’s Office oversees the campus system. The Chancellor has delegated proposal approve authority to the campus President, who in turn has delegated the authority to the AVP of Graduate Studies and Research to approve all proposals. The SJSU Research Fdn is a non-profit auxiliary with the designated authority to serve as SJSU’s Sponsored Programs Administrator. At the Research Foundation we work with you on your proposal submittals, receive and manage your awards and contracts, and also have departments that manage accounting and human resources. Sponsored programs support the SJSU strategic plan.

5 What is the difference between the Research Foundation and the Tower Foundation?
The Tower Foundation is the University’s philanthropic foundation and was established to encourage connections between alumni, donors and the community. The Tower Foundation is dedicated to growing the university's endowment through donations, bequests, and major gifts. The Tower Foundation works with faculty and university administration to develop requests for gifts submitted to private foundations, and those proposals are reviewed and authorized by the AVP for Graduate Studies and Research. The Research Foundation and the Tower Foundation consult with each other as needed and work together to ensure consistency with university priorities. This is a popular question. The Tower Foundation was established to manage external funding from alumni, donors, and the community. It recently expanded to manage grant proposals to private funders also so that most private funds and donations are housed in one area. The short story is that for proposals to federal and state agencies and for contracts with businesses, you work with the Research Fdn, while for proposals or requests to private sponsors, you work with University Advancement to submit your requests through the Tower Foundation. There is also a category called Self-Support, for workshops held on campus or other self-supporting programs, and that goes through the research foundation.

6 How Things Work at SJSU - Micro View
One of the Research Foundations key roles is to ensure compliance with state, federal, and local regulations and with CSU and campus policies.

7 How Things Work at SJSU - Micro View
Many SJSU Academic Senate policies affect the development of proposals and the administration of funded awards (for example, policies on the use of animal subjects, human subjects, conflict of interest, and responsible conduct of research). It’s important in your role as Project Director to be fully aware of these policies They can be found at: Other policies such as Institutional Cost Sharing can also be found at Both SJSU and Research Foundation policies were developed to protect your interests and those of the University and are in compliance with the following authorities: Chancellor’s Office – Executive Order 890 Federal OMB Circulars (A-21, A-110, A-133) Federal Agency Regulations State and Local Government Regulations A Variety of Auditors (Chancellor’s Office, University, Federal/State and independent auditors) We have the links listed here for you to review later, but compliance issues you may come in contact with include Human Subjects, Animal Subjects, Conflict of Interest, Responsible Conduct of Research. We will go into a little bit of detail about this again in a future slide, and we cover it in many of our other workshops. One thing that may feel frustrating is that there are so many rules to follow and regulations to be in compliance with. Sometimes you may feel as though we at SJSURF question you too much or that it is a bunch of red tape, but it is actually to your benefit. It keeps everyone from getting audit exceptions or program reviews that could cause many more problems than managing the compliance now.

8 Yes - there are policies and rules to follow, but they won’t stop you from achieving your goals.
The sky is still the limit as far as successfully btaining external funding.

9 SJSU Research Foundation - Then
SJSURF’s first project was the construction of the original football stadium in 1933. Established in 1932, the SJSURF celebrated its 75th anniversary in 2007. SJSURF also managed the reacquisition of land at the corner of Fourth and San Fernando Streets from the City of San José on which stood a Carnegie Library. The same site was later developed into Wahlquist Library from , then later into the current Martin Luther King, Jr. Library. (Photos from SJ Library photostream on Flicker) Circulation desk in the Wahlquist Library A few tidbits about the Research Foundation. Establish in 1932, we have been around awhile. The first project was the construction of the original football stadium. We also managed land acquisitions and helped facilitate funding for the SJSU libraries over the years.

10 SJSU Research Foundation - Now
Today SJSURF receives over $60 million in federal, state, and private funding each year, and is placed in the top 200 universities in the country for total R&D expenditures (NSF R&D survey). A 501(c)(3) non-profit corporation, the SJSU Research Foundation provides an entrepreneurial management structure through which the campus carries out essential specialized instructional and service activities not normally supported by the state budget. The SJSURF is organized to provide the kind of comprehensive business infrastructure and professional services that make it possible for our faculty to focus more on research and project deliverables, and less on administrative details. Today the incoming awards each year tend to flucuate up and down around $60Million/year. Dr. Kevin Jordan in Psychology, though, did just receive a $75 Million NASA award over 5 years, that may shoot the statistics up a bit. $9M to $13 M/ year. We are a non-profit corporation, and we are here to provide you not only with compliance assurance, but with the infrastructure to manage your research project. We provide numerous services that we’ll talk about next.

11 SJSU Research Foundation Overview of Services
Pre-award Staff to help identify funding opportunities, develop and submit proposals Post-Award Staff to help manage award expenditures Regular workshops on external funding Human Resources Staff to help with job posting, hiring, personnel Accounting and Finance Staff to help with invoicing, purchasing, payroll Administration for self-support projects Assistance with Intellectual Property Federal Advocacy For more information visit I’ve mentioned some of these, but the infrastructure includes Pre-Award to submit proposals, Post award to manage your projects once awards come in. Human resources to help you hire and manage your project personnel, accounting and finance to manage your invoicing, purchasing, and payroll. Intellectual Property Management and federal advocacy. Each semester we deliver workshops such as this one for various topics, such as budgets, specific funding opportunities, and proposal development. This semester’s workshop list is in your packet.

12 Why do I need these services?
Why do you need these services?

13 Benefits of Funding – Purchase Power
Opportunity to do what you love (research, training, community service) Release Time (change the proportion of time spent on activities) Overload (potential to earn more salary during the AY or summer) Hire student assistants Travel (for yourself and students) Publication or presentation costs Student stipends Resources for curriculum development Training programs for students Supplies and equipment Recognition (hint: dossier and RTP) Sponsored Programs and External Funding may include items such as…

14 Benefits of Funding – Increasing your Ability
The ability to conduct research is central to the vitality of your discipline. Increased ability to attract highly qualified members of staff and faculty. Increased ability to attract highly qualified students. Increased ability to contribute through the advancement of professional practice, developing standards, presenting workshops, presenting at conferences, and serving as leaders of professional associations. Increased reputation both nationally and internationally. One leads to another and all of them add up to a stimulating work environment! Additional benefits to SJSU include

15 Benefits of Creating Partnerships and Collaborations
Offers opportunity to network with other experts and broadens your perspectives Companies and community agencies place importance on their role supporting students and education Research partners can provide access to resources beyond the campus Opportunity for you to leverage our unique location—Silicon Valley Success breeds success and can lead to larger opportunities for you, our campus and professional affiliations

16 What kind of funding is out there?
Grants (both internal and external) Basic and Applied Research Training Grants/Workforce Development Community Service Curriculum Development Equipment Contracts with specific deliverables (external) So what kind of funding is really out there? Our main focus is Grants and Contracts. For Research, Training, and Other projects that do not fall into Research or Training. SJSU Research Foundation provides resources for locating external funding.

17 Locating External Funding Opportunities
Locating Sponsors and Funding Opportunities   Upcoming Grant Application Deadlines Sign up to Receive Funding Alerts Federal Agency Funding Sources On-Campus Funding Sources Searchable Funding Databases    Sponsored Programs Information Network (SPIN) Information Resources    Office of Sponsored Programs Bulletin Staff to help with individual searches In your packets is information for how to get access to the tools we offer, such as receiving funding alerts and locating grant opportunities, or confirming deadlines.

18 That’s a lot of info! Where do I start?

19 Quick Start Path Sign up for Funding Alerts so that you start to become familiar with external sources of funding and can plan ahead for future deadlines Join the Experts Database Get to know your Sponsored Programs Staff at the SJSURF Attend Grant Workshops Check out what your colleagues are doing Talk with your Chair and Dean The place to start after you have a project in mind is identifying a sponsor. Specific tools we’ve provided you information for include Funding Alerts and the Experts Database. Other ways to get connected with potential funders are by talking with your chair and dean, and your colleagues at SJSU and elsewhere. We also have an information services staff and Sponsored Programs staff to assist you.

20 SJSURF Funding Alert System
What is it? A database that matches keywords representing your research interests to keywords from public and private funding opportunities. The system automatically generates Funding Alert s that notifies you of matching opportunities with upcoming deadlines. How to Sign Up/Who to Contact To sign up for the SJSURF Funding Alert System, first choose keywords from the SJSURF Keyword List (found at link below). If you have any questions regarding the SJSURF Funding Alert System, please contact: Nancy Riley (408) One of the resources from our Information Services Staff is the Funding Alert system. You can sign up online, or the information is also in your packet.

21 SJSU Experts Database A web-based community resource that provides:
Keyword, topic and department level search capabilities Faculty self-service data entry with password protected access Content storage on a stable platform, maintained by the university Also online is the SJSU Expert Database. There is a flier in your packet. How many of you are in the expert database? It’s a resource to indicate your interests and expertise and to designate whether you would like to collaborate or be a media contact on your topics of interest. (see next slide)

22 This is a quick view of how it looks online
This is a quick view of how it looks online. You can designate and search by topic, department, or keyword

23 So where does the process begin
So where does the process begin? You see here it starts when you notify us that you intend to submit a proposal. (go through cycle on slide, then turn floor back over to Jeanne)

24 Sponsored Programs Staff
Each of the Research Foundation's Sponsored Programs Managers is responsible for assisting in preparing, processing, and submitting your grant proposal and budget (pre-award) Sponsored Programs Analysts assist with post-award services that encompass the financial management of a contract or grant award As mentioned earlier Sponsored programs managers and analysts assist with your preaward and post award services. Lan Duong is the Associate Director for Post award services…. She would like to say a few words about post award. And now Michele Vaccaro, Senior Sponsored Programs Manager, will provide more detail about proposal processes

25 SJSU Research Foundation
Office of Sponsored Programs Jerri Carmo Deputy Chief Operating Officer, Office of Sponsored Programs Director Pre-Award Services Jeanne Dittman Associate Director-Pre-Award MLML Ship Operations, Incubators    Sydney Chui College of Social Science, University Programs, Including Graduate Studies & Research Gail Easton Sponsored Programs Manager Shalaka Joag Moss Landing Marine Laboratories (MLML), except Ship Operations Khoi Nguyen College of Science, except Meteorology &MLML Kristin Nwakobi College of Applied Sciences & Arts, College of Education, College of Humanities & The Arts Michele Vaccaro College of Business, College of Engineering, Meteorology Post-Award Services Lan Duong Associate Director-Post-Award College of Business Luann Chu College of Engineering College of Social Sciences Graduate Studies & Research Undergraduate Studies; Academic Tech, University Library, Student Affairs Jasmine Le College of Applied Sciences & Arts, College of Education, College of Humanities & The Arts Associated Students; Faculty Affairs, International & Extended Studies, Provost, FD&O; SJSUPD Alison Ngo Moss Landing Marine Laboratories (MLML) except Ship Operations Diem Trang Vo College of Science (except Moss Landing) Self-Supporting Programs Ricky Yoneda Self-Support Supervisor Incubators MLML Ship Operations and Marine Pollution Studies Lab Steve Constantine SSP Analyst Information Services Nancy Riley Information Services Manager In your packets and also here we’ve provided contact lists. These are you pre award and post award key people to work with.

26 Other People You Should Know
Alena Filip, IRB Coordinator, (408) or Human Subjects – Institutional Review Board (IRB) The collection of data from humans, including surveys, interviews, questionnaires, web forms, evaluations in which opinions are sought, etc., all require IRB review (application or request for exemption). Requires NIH Online Training (2 hours). GS&R IRB: Larry Young, IACUC Coordinator, (408) or Animal Subjects – Institutional Animal Care and Use Committee (IACUC) SJSU has established an IACUC, which is qualified through the training and expertise of its members to oversee the institution's animal care and use program, university facilities, and all animal-related activities. GS&R IACUC: We have given you the GS&R IRB web site as references, along with the IACUC animal subject info. The sites include all the instructions and the forms to use to apply for review or to submit a request for exemption. Human subjects is not limited to CLINICAL TRIAL. If your proposal will include any data collection from humans, we need you to complete the application or exemption request and submit it to Alena Fillips in graduate studies and research before we route the proposal; and please send us a copy of your application materials for us to include in your routing folder. NEXT SLIDE 26

27 Our Respective Roles - Overview
As Principal Investigator or Project Director your role is to put your best effort into creating your proposal narrative, ensuring accuracy, integrity, and compliance. SJSURF role is to help ensure completeness and compliance in the budget and in the overall submitted proposal package. PI and SJSURF work together through the proposal preparation and proposal routing processes. You best know your interests, projects, and goals. Your role as PI or PD is to create your proposal to put that information forward in the best way possible, while we are SJSURF are here to ensure completeness and compliance. So as a team we work together to submit successful proposals.

28 Roles - Expanded Principal Investigator: Sponsored Programs Manager:
Notifies SJSURF early in the process Works with SJSURF on budget preparation Provides proposal documents to Manager Obtains peer review, internal or external Allows at least 7-14 calendar days for campus routing process Plans for SJSURF to submit in advance of any deadline Sponsored Programs Manager: Acts as an initial resource Assists with budget preparation and interpretation of sponsor guidelines Accepts and prepares proposal documents for routing Ensures compliance to guidelines-format, content, regulations Facilitates review and approval by SJSU campus signers Mails or Uploads documents Submits proposals online or in hard copy Here we see an overview of the proposal process. --Notify your manager --Work together on the budget --You each are working on different forms or documents --Allow enough time for you to send your proposal to colleagues for a peer review. --When you send us your documents we check for font, margins, required format, broader impact, intellectual merit, etc. --Plan well in advance of the deadline. We need at least 7 working days route on campus, preferably more; and more for additional signers or departments in your proposal. In addition, some sponsors, such as NIH, have systems that require we submit a few days prior to the deadline to ensure successful submittal. In your packet there is a sample routing form. And we talk about the routing process on the next slide. 28

29 Proposal Process Proposal Preparation Routing Submittal After we work together to prepare the proposal, we route the proposal for campus review. SJSURF prepares a routing form and other required certifications. Campus routing consists of review and signatures of the PI, Co-PIs, any SJSU employees named in the proposal, Chair, Dean, Sponsored Programs Manager, SJSURF Deputy Chief Operating Officer, SJSU AVP of Graduate Studies and Research, and the SJSU Fiscal Officer. Allow at least 7 business days for this process; more if multiple PIs, Departments, or Colleges. Once signed off by all campus signers we can submit. You can see the number of signers required, which include PI, chair, dean…). Allow 24 hrs for each signer to review the proposal. In addition there may be additional timing requirements, for example the college of science dean requests 48 hrs to review each proposal. Also, each sponsor is a bit different and may also require certain signatures on their own sponsor forms. We capture these signatures during the routing process also.

30 Keep these timing issues in mind as you plan your submittal.
Proposal Process Determining a timeline Allow yourself time for peer review. Allow at least 7 business days for routing. Using a March 30 sponsor deadline as an example, we want to submit a day or more sooner than, so between March 27 – March 29. Thus, we need to have the final budget and proposal body for routing by March 19. Have your proposal written and peer reviewed in advance of March 19. Work with your Sponsored Programs Manager to have your final proposal budget by March 17. Keep these timing issues in mind as you plan your submittal. If you work backward from a deadline, such as March 30, it will help you plan your schedule. Starting with that date and allowing submittal a few days before the deadline, we need to start routing by March 19, so would need your proposal written and peer reviewed by that date, if not sooner, and you would work with your sponsored programs manager on your budget to be final by March 17, if not sooner. Keep these timing issues in mind as you plan, and also keep in mind anything else you may have going at home or work during that time. It is really easy to over book ourselves, and there are many variables that could affect your schedule and availability to finish your proposal. If you are planning to be out of the office for example near the deadline, also allow a couple of days after you turn your documents into us for us to review them and to make sure we have no questions for you before you leave on vacation or a conference or other out of office location where you may not be accessible.

31 Post Award Your Sponsored Programs Manager receives the official award from the funding agency. Most of the awards are costs reimbursable, meaning the Research Foundation has to front the cash to cover project expenses and subsequently request reimbursement from the funding agency. The Sponsored Programs Managers transitions the award to the Sponsored Programs Analyst to set up your project account. (Account numbers starts with 21-, 22-, 23-, 24-, 25-, 26-.) Sponsored Programs Analysts work closely with the project director through out the life of the award/ Analyst provides financial oversight and management the grants or contracts, Advises project directors on sponsored guidelines, policies, and procedures, Works with all areas within the Research Foundation such as Human Resources, Payroll, Finance and Accounting on transactions

32 Sponsored Programs Analysts also
Monitors funds to make sure expenses are within the project period and the project is not over run Ensures expenditures are according to the approved budget Complies with Office of Management Budget such as Circular A-110, A-21, A133, A-122; State & Local Government regulations as well as each funding agency guideline Follows up with project director on cost share if it’s required by the agency Ensures that technical progress and fiscal reports are submitted to the agency on time Closes out account

33 Effort Reporting for Federal Grant
The federal government requires educational institutions conducting research, instruction or other sponsored work under federal funding to comply with costs principal circular A-21 on how project employee compensation for personal services rendered under sponsored agreements should be charged and subsequently documented. Effort Reporting is required to verify, via certification by the individual performing the work, that the effort distribution in the HR/Payroll system is reasonable reflection of how the faculty or individual’s effort was actually performed on the federally funded project The effort report reflects activity applicable to each sponsored agreement, general operations and other indirect activities including academic units and the total all equals to 100%

34 Effort Reporting… The complete effort reporting procedure can be found in the Project Administration Guide, section F. Expending Project Budgets; section: effort reporting. The Project Administration Guide is located online: Administration Guide.pdf

35 Self Support Services Provides financial oversight and management of non-state funded educational activities underwritten by registration or other event fees, or by the SJSU Research Foundation itself. For example: This includes faculty seminars, conferences, workshops, and self-supporting programs. The Department or College can request to open a self-support accounts using a request form ( ) Sets up accounts (Self-Support accounts starts with 34-, 55-) Advises project directors and staff on internal policies and procedures Works with all areas such as; Human Resources, Payroll, Accounting Monitors funds to ensure the project is in compliance with policy and procedures as well as prevent deficit spending Closes out account

36 Proposal Preparation and Writing- Quick Overview
Allow plenty of time to prepare your proposal thoughtfully and carefully. Read the guidelines completely and thoroughly before beginning, taking note of critical items. Follow the guidelines! You know your research or what you want to achieve. The trick is to put it on paper. In many cases the sponsor’s guidelines tell you what they want you to write about. Use the guidelines to structure your Project Description, Scope of Work, or Narrative. Use the guideline headings as a guide. For example, if the guidelines say to include sections on the Team, Methodology, and Management Plan in your project description, then use the headings Team, Methodology, and Management Plan in your project description. The reviewers appreciate clarity, and it shows that you have read the guidelines. Proposal writing is another workshop in itself, but we have provided some tips and helpful hints. Time Read Follow the guidelines Use them as structure Use the headings as your headings and use the terminology the sponsor uses. Next slide

37 General Tips Talk with your Research Foundation Sponsored Programs Manager – EARLY! Let your Chair and Dean know of your interest in submitting a proposal Determine funding agencies (SJSURF can help) Talk with Program Officer (SJSURF can facilitate) Understand the eligibility and criteria of the funding agency (SJSURF can help) Tailor your ideas (or subset of ideas) to the grant application (SJSURF and GS&R can help)

38 Awards Received Fiscal Year 10-11
CASA $ 6,825,827 Business $ 3,392,006 Education $ 4,414,940 Engineering $ 2,428,338 Humanities & Arts $ ,061 Science $ 6,472,935 Moss Landing Marine Laboratories $15,961,832 Social Science $15,204,637 University Programs $ 2,292,937 Total $57,711,513 We have also included award totals for the last fiscal year, , as a view of how awards come in by department

39 Learn More! Spring 2012 Workshops
May 10, 2012 SJSU Research Foundation in partnership with SJSU Proposal Review Sessions Revealed-Marc d’Alarcao, Chemistry, College of Science MLK Library 255/257 11:30am – 1:00pm March 7, 2012 SJSU Research Foundation Budget Basics – Developing Budgets for a Successful Proposal MLK Library 255/257 11:30am – 1:00pm April 16, 2012 SJSU Research Foundation in partnership with the Northeastern California Small Business Development Center at CSU Chico and the CSU Chancellor’s Office Small Business Innovation Research/STTR Workshop Loma Prieta Ballroom, Student Union 9:00am – 12:00pm May 17, 2012 SJSU Research Foundation Working with Funding Agency Program Officers-Jerry Flanzer, Associate Dean of Research, Graduate Studies and Research MLK Library 255/257 11:30am – 1:00pm

40 Student Research Competition/Forum
This event is sponsored by SJSU Research Foundation and Graduate Studies and Research. Undergraduate and Graduate research students present their work and compete for selection as SJSU representatives to the Annual CSU Student Research Competition. Selected SJSU students are honored with their faculty mentors at campus Open House. General Timeline: ►Announcement Letter: January 2012 ► Submittal Forms Due: February 27, 2012 ► Presentation Dates: March 7 and 8, 2012 ► Open House (Forum): April 4, 2012 ► CSU Competition: May 4 and 5, 2012 One last opportunity we would like to point out is the annual CSU student research competition that provides you the opportunity to mentor a student through the research design process

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