Initiating Scholarly Research Agenda at CSUN: Faculty Workshop Proposal

CSBS Faculty Workshop: Proposal Preparation 1 CSBS: Frances Solano, Anne Robison ORSP: Shelley Bartenstein, Stefanie Friesen 12/3/2014

Agenda 2 Introductions CSUN Organization overview Sponsors Grants / Contracts / Gifts Looking for Funding Opportunities Proposal preparation and submission Awarded or Declined CSUN Resources 12/3/2014

Why research? 3 Provost Hellenbrand has identified the following benefits of instilling a scholarly research agenda within California State University: Scholarly achievement helps faculty build their dossier as they move toward tenure and promotion. Keeps faculty at the forefront of their disciplines. Funds travel and fellowships Grows new academic programs Helps in recruiting the most promising teacher-scholars as members of the faculty. Increases faculty retention and job satisfaction Increases campus prestige and student recruitment. Active research programs and creative endeavors offer undergraduate and graduate students venues for pursuing their own original creative research. Advances campus missions and strategic plans.

CSUN Organization Overview 4 Academics Research Advancement College of Social & Behavioral Sciences (CSBS) Research & Graduate Studies University Advancement Stella Theodoulou, Dean Dr. Crist Khachikian Rob Gunsalus Matt Cahn, Special Assistant to the Dean Project Administration, Budgeting & Compliance: Administration & Accounting: CSBS Administration & Finance: Office of Research & Sponsored Projects (ORSP) Pam Simon, Manager of Academic Resources (MAR) CSUN Foundation Scott Perez / Shirley Lang Shannon Yasman Shelley Bartenstein / Stefanie Friesen / Kat Sohn CSBS Grant Administration Frances Solano, Grants & Contracts Officer CSUN Development Project Accounting & Financial Compliance: Director of Development (TBH) The University Corporation (TUC) CSBS Development Georg Jahn / Stacey Lord / Mahyar Sadri Anne Robison, External Relations & Programs Liaison 12/3/2014

College of Social & Behavioral Sciences 5 Academic Departments Africana Studies (David Horne) Anthropology (Cathy Costin) Geography (Ed Jackiewicz) History (Richard Horowitz) Political Science (Larry Becker) Psychology (Jill Razani) Social Work (Amy Levin) Sociology (Karen Morgaine) Urban Studies (Zeynep Toker) Institutes & Centers Institute for Social & Behavioral Sciences (Shawna Dark) Center for Geographical Studies (Shawna Dark) Center for Southern California Studies (Kristy Michaud) Anthropological Research Institute (James Snead) DuBois-Hamer Institute (Cedric Hackett) Center for Latin and Mexican American Studies (Patricia Juarez-Dappe) Institutes and Centers are organized around broad themes to facilitate multi-disciplinary collaborations focused on applied research to meet community and industry needs. 12/3/2014

Sponsors - Government 6 Federal Grants.gov Local State ca.gov/grants National Science Foundation (NSF) State of California Dept of Social Services State of CA DCFS Counties Health and Human Services (HHS) Los Angeles Ventura San Bernardino Dept of Education (DoED) LA County DCFS National Aerospace Agency (NASA) California Council on Humanities Dept of Defense (DOD) California Postsecondary Education Commission National Security Agency (NSA) Cities Dept of Energy (DOE) Los Angeles City of Thousand Oaks Port of Long Beach California Children & Families Commission National Endowment for the Humanities (NEH) Dept of Housing & Urban Development (HUD) Southern California Association of Governments Internal Revenue Service (IRS) Districts Dept of the Interior (DOI) University of California All campuses LA Unified School District (LAUSD) State Department California State University Other campuses Dept of Agriculture Smithsonian Institution 12/3/2014

Sponsors Private / Non-profit / Corporate 7 John Randolf and Dora Haynes Foundation* Robert Wood Johnson Foundation* Andrew W. Mellon Foundation* California Wellness Foundation Case Foundation Bill and Melinda Gates Foundation Alfred P. Sloane Foundation W.K. Kellogg Foundation William and Flora Hewlett Foundation Professional organizations: American Historical Association American Political Science Association Corporate or Industry ALERT! Clearance must be obtained from the CSUN Foundation prior to contacting any private/non-profit/corporate sponsors. See Anne Robison. * Projects involving human subjects, detailed reporting or billing, financial compliance must also be routed through ORSP. 12/3/2014

Grants vs. Contracts vs. Gifts 8 Grants Contracts Gifts Vendor Assistance Philanthropic Contract agreement/Purchase order Grants or Cooperative agreements Grant, letter of agreement Research or other activity in the interest of the public good. Beneficiary of sponsor s good will. Providing goods or services to the sponsor for the sponsor s benefit. Excess funds not refundable. Usually cost-reimburseable for expenses incurred. Excess revenue beyond expenses (both direct and indirect) must be refunded to sponsor. Various contract terms fixed price, unit price, cost-reimburseable, etc. Must be completed whether or not enough money was budgeted. If there are funds remaining, excess becomes residual funds and may be transferred out to use for other purposes. CSUN Foundation: Manages relationships with private donors, non-profits and non-governmental organizations. Maintains records of donations, gifts and other philanthropic awards. ORSP/TUC: Manages projects involving compliance, detailed financial oversight, reporting and audit.

Looking for Funding 9 ORSP website navigation: >Academics >Research and Graduate Studies >Research and Sponsored Projects Government sponsors Grants.gov State and local sponsors CA.gov Non-profit and foundation sponsors >Funding Opportunities >Grant Listings By Source Search Tools: SPIN SMARTS/GENIUS Contact Shelley Bartenstein in ORSP for help in matching sponsor to project. 12/3/2014

The CSBS / CSUN Proposal Process 10 Complete PAF (Proposal Approval Form) Attach abstract, budget, budget justification Obtain Chair signature (3 weeks prior to deadline) Forward to CSBS Grants Officer for dean s signature (14 days prior to deadline) Define research/program goals Identify collaborators Communicate with Department Chair Formulate Idea Review and Approvals Identify specific sponsor and program Discuss with CSBS Grants & Contracts Officer If private/non-profit sponsor, obtain clearance from CSUN Foundation. Match project to sponsor goals. Contact sponsor s Program Officer. Develop plan for preparing proposal If human subjects involved, contact CSUN Compliance Officer for preliminary IRB guidance. Complete all sections of proposal. Write and Finalize Narrative Identify Funding Contact ORSP Grants Coordinator Develop project timeline, abstract Draft subcontract scope of work, budget Define your effort to be devoted to project Contact ORSP Grants Coordinator to draft budget Submit final proposal to ORSP or CSUN Foundation (4 days prior to deadline) After submission, prepare IRB protocol. Submit Proposal Draft Budget

The CSBS / CSUN Proposal Process 11 See PI Proposal Checklist (for guidance on CSBS/CSUN process) Define research/program goals Identify potential collaborators Communicate with Department Chair Formulate Idea Formulate ideas Draft preliminary statement of work, goals Build collaborative relationships: Identify skills needed / Initiate collaborations Discuss with department chair Contact Sponsor s Program Officer Notify CSBS Grants Officer Obtain clearance and assignment for private foundations Discuss project aims and sponsor goals.

The CSBS / CSUN Proposal Process 12 Funding searches: ORSP web site Grants.gov SPINS Foundation On-line Contact ORSP (Shelley Bartenstein, ext. 5223) Discuss with CSBS Grants Officer Frances Solano, ext. 6135 Obtain clearance from CSUN Foundation (for private/non- profit sponsors) Develop plan for preparing proposal to meet deadline Notify ORSP Grants Coordinator of intent to submit. Stefanie Friesen, ext. 2901 Identify specific sponsor and program Discuss with CSBS Grants & Contracts Officer If private/non-profit sponsor, clearance must be obtained from CSUN Foundation. Match project to sponsor goals. Contact sponsor s Program Officer. Develop plan for preparing proposal Identify Funding

The CSBS / CSUN Proposal Process 13 ORSP Grants Coordinator Stefanie Friesen, ext. 2901 Interprets and advises sponsor guidelines Budgetary considerations: Personnel effort and salaries/benefits (faculty release time, costshare) External collaborators (subcontractors or consultants) Equipment Materials and supplies Travel Indirect costs All requests for reduced indirect cost rates must be approved by ORSP Director. ORSP: 45% on MTDC / Foundation: 5% on revenue Contact ORSP Grants Coordinator Develop project timeline, abstract Draft subcontract scope of work, budget Define your effort to be devoted to project Contact ORSP Grants Coordinator to draft budget Draft Budget

The CSBS / CSUN Proposal Process 14 Complete PAF (Proposal Approval Form) Attach abstract, budget and budget justification Obtain Chair signature (3 weeks prior to deadline) Forward to CSBS Grants Officer for dean s signature (14 days prior to deadline) 3 weeks prior to deadline: Complete PAF Attach abstract, budget and budget justification Submit to Department Chair for signature. 14 days prior to deadline: Submit PAF to CSBS Grants Officer for review and Dean s signature. Frances Solano, ext. 6135 NOTE: If more than one department or college, respective chairs/deans must also sign. CSBS Grants Officer will submit signed PAF to ORSP at least 4 days prior to deadline. Review and Approvals

15 The CSBS / CSUN Proposal Process Work with external colleagues to determine scope of work and budget to be subcontracted. ORSP will contact subcontractors to obtain appropriate certifications. ORSP Grants Coordinator will assist in obtaining assurances, completing administrative forms, etc. Stefanie Friesen, ext. 2901 If human subjects, contact ORSP Compliance Officer for preliminary IRB guidance 14 days prior to deadline. Kat Sohn, ext. 2901 Determine subcontract scope of work/budget. If human subjects involved, contact CSUN Compliance Officer (Kat Sohn, ext. 2901) for preliminary IRB guidance. Complete all sections of proposal. Write and Finalize Narrative

The CSBS / CSUN Proposal Process 16 Office of Research and Sponsored Programs (ORSP) Institutional authority to submit proposals/applications and receive grants/contracts on behalf of the university. Complete Conflict of Interest (COI) Disclosure form For PHS-funded projects, complete: Supplemental Financial Conflict of Interest Disclosure Form PHS/NIH Institutional Compliance Certification Form Submit final proposal to ORSP/CSUN Foundation at least 4 days prior to deadline. If government sponsor, ORSP will submit proposal to sponsor. If private sponsor, CSUN Foundation will submit proposal to sponsor. Submit final proposal to ORSP (4 days prior to deadline) After submission, prepare IRB protocol. Submit Proposal After submission, prepare IRB protocol.

If awarded, 17 ORSP will review and negotiate terms. Once accepted, agreement will be signed and fully executed. ORSP will forward agreement and final budget to TUC. TUC will set up project ID.

Top Reasons for Declining a Proposal 18 1. The reviewers felt the project wasn t a good fit for their program. 2. The reviewers felt the scope of the project was inappropriate (either too ambitious for the funding and time available, or not ambitious enough). 3. The reviewers had specific technical conerns. 4. The reviewers felt your research wasn t exciting or significant enough. 5. Most of the reviewers liked your proposal, but one reviewer panned it. 6. The reviewers didn t seem to understand your proposal and brought up concerns that weren t applicable or that were addressed in the proposal. 7. The reviewers weren t convinced that the project was likely to succeed (either because of a lack of preliminary data or because they felt the PI or team weren t sufficiently qualified). 8. The reviewers were generally complimentary, but didn t give the proposal a high enough score to be funded.

Resubmitting a proposal 19 If you talk to any well-funded researcher, she/he will tell you that s/he has a drawer full of proposals that were declined. Even extremely successful researchers typically have had more proposals declined than funded. As a faculty member just starting your career, you should expect to have your first several proposals declined. But even these declined proposals have value. Possible responses: Get discouraged and stop applying for funding. Disregard the reviews and resubmit essentially the same proposal, figuring maybe you ll get more intelligent reviewers next time; or Look on it as a learning process carefully analyze the reviewers comments, revise the proposal for resubmission, or, if appropriate, scrap that idea and start over with a new idea and possibly a different sponsor. Successful researchers take the third approach.

Resources 20 Dr. Shawna Dark Ext. 6937 CSBS Institute for Social & Behavioral Sciences Applied research Multi-disciplinary approach to serving community and industry needs CSUN Center for Assessment, Research and Evaluation (CARE): Support CSUN investigators in developing research designs and evaluation plans for proposals for external funding. Provide evaluation services for funded grants/contracts (i.e., external evaluation). Provide research implementation and analytic support for campus investigators. Provide assessment services to academic units (e.g., colleges, departments), centers, institutions, and personnel on campus (e.g., scale creation, dissemination, psychometric evaluation). Dr. Andy Ainsworth Ext. 3898

Resources 21 Handouts: SPIN Instructions Grants Research Websites Top Foundations PI s Proposal Checklist PAF (Proposal Approval Form) Proposal Checklist & Evaluation Form Top Reasons for Reviewers to Decline Grant opportunities by source: http://www.csun.edu/research-graduate- studies/grant-listings-source Corporate and Private Foundations http://www.foundations.org/grantmakers.html Foundation Directory On-line https://fconline.foundationcenter.org/ (csunorth / North305)

CSUN Contacts 22 CSBS ORSP Frances Solano, Grants & Contracts Officer (ext. 6135) Stefanie Friesen, Grants Coordinator (ext. 2901) Anne Robison, External Relations & Programs Liaison (ext. 7738) Shelley Bartenstein, Research Specialist & Grant Writer (ext. 5223) Kat Sohn, Compliance Officer (IRB), (ext. 2901)