Introduction to the San José State University Research Foundation

1. Introduction to the San José State University Research Foundation 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

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. www.sjsu.edu/gradstudies 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. www.sjsufoundation.org 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: www.sjsufoundation.org/html/sjsuf-news-info/comp-award-and-proposal.htm 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. http://www.sjsu.edu/president/strategicplanning/

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.

6. How Things Work at SJSU - Micro View

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: http://www.sjsufoundation.org/html/sjsuf-faculty-resources/research-policies.htm Other policies such as Institutional Cost Sharing can also be found at http://www.sjsufoundation.org/html/sjsuf-faculty-resources/research-policies.htm 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)

8. Yes - there are policies and rules to follow, but they won’t stop you from achieving your goals.

9. SJSU Research Foundation - Then • Established in 1932, the SJSURF celebrated its 75th anniversary in 2007. • SJSURF’s first project was the construction of the original football stadium in 1933. • 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 1942-2000, then later into the current Martin Luther King, Jr. Library. (Photos from SJ Library photostream on Flicker) Circulation desk in the Wahlquist Library - 1942

10. SJSU ResearchFoundation - 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.

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 www.sjsufoundation.org

12. Why do I 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)

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!

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/WorkforceDevelopment • Community Service • Curriculum Development • Equipment • Contracts with specific deliverables (external)

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) Grants.gov Information Resources    Office of Sponsored Programs Bulletin Staff to help with individual searches www.sjsufoundation.org/html/sjsuf-faculty-resources/locating.htm

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

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 e-mails 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 nancy.riley@sjsu.edu (408) 924-1305 www.sjsufoundation.org/html/sjsuf-faculty-resources/FundingAlertSignUp.htm

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 http://experts.sjsu.edu

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

25. SJSU Research Foundation

26. Other People You Should Know Alena Filip, IRB Coordinator, (408) 924-2479 or alena.filip@sjsu.edu 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: http://www2.sjsu.edu/gradstudies/Research/irb.html Larry Young, IACUC Coordinator, (408) 924-4929 or lyoung@science.sjsu.edu 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: http://www.sjsu.edu/gradstudies/iacuc/

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.

28. Roles - Expanded Principal Investigator: 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

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.

30. 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.

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 providesfinancial 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: http://www.sjsufoundation.org/pdf/Project 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 (http://www.sjsufoundation.org/html/sjsuf-employees-resources/forms.htm ) • 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.

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 $ 718,061 • 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

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