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How to Submit a Grant Proposal at

Cal State L.A.

Office of Research & Development

Division of Academic Affairs

Office of Research & Sponsored Programs

University Auxiliary Services, Inc.

Overview

• Introductions: Roles of ORAD and ORSP in proposal development and submission

• When to first contact us

• The Intake Meeting

• Budget Development

• Obtaining University Approvals

• Proposal Development

• Submitting the Proposal

Office of Research and Development (ORAD)

Organization:

ORAD is a unit within the University (Division of Academic Affairs)

Our Mission:

ORAD provides research and proposal development support services to the university community, increasing opportunities for faculty and students to engage in research, scholarship and creative activities, and strengthening academic programs, student support services, and community engagement.


What we do:

- Help Principal Investigators identify external funding opportunities

- Provide assistance at every stage of proposal development

- Provide support and guidance for compliance issues related to the use of human subjects and animal subjects in research, conflicts of interest, and research misconduct.

- Assist PI's with intellectual property and technology transfer issues.

- Highlight and support campus research activities (Student Research Symposium, Research Newsletters, RSCA Awards…)


Staff:

Regulatory Compliance & Research Advancement Analyst

Ellen Stein:

Institutional Review Board – Human Subjects (IRB)

Institutional Animal Care and Use Committee (IACUC)

Technology Transfer and Patents

Newsletters and Events

Director, Research and Development

Phil LaPolt

Dean, Extended Education and Research

Jose Galvan

Office of Research & Sponsored Programs (ORSP)

Organization:

ORSP is a unit within University Auxiliary Services, Inc. (UAS)

Our Mission:

ORSP is the authorized organizational representative for the University. ORSP assists faculty and staff in applying for extramural funding through preaward services including budget preparation, technical preparation of proposals, and proposal submission.

ORSP also provides post-award administration for all funded proposals, including award set-up, budget management, expense review and approval, billing and collection, cash management, financial reporting, audits & compliance, and project close-out activities and reporting.


What we do: Preaward:

- Help Principal Investigators with budget development and technical aspects of proposal development

- Review, negotiate and approve contracts

- Coordinate the proposal approval process

- Submit approved proposals to funding agencies

- Follow up on submitted proposals and contracts

- Track proposal and contract submission numbers

- Collaborate with ORAD on activities that recognize and support campus research activities


What we do: Post-award:

- Set up award accounts

- Award administration and budget management

- Review and approve expenses

- Fiscal management

- Financial reporting

- Monthly billing and collections to funding agencies

- Manage audits and sponsor site visits

- Provide monthly reconciliation and closing reports

- Report on financial close-out of projects

- Provide compliance to ensure proper award administration


Staff:

- Grants & Contracts Analysts: Rowynn Spencer, Ernesto Argumaniz

- Financial Analysts: Karen Dunham, Katherine Chim, Mike Uyenishi, Angelita Amio, Jeannie Cha

- Grants & Contracts Compliance Manager: Lynne Duong

- Director of Grants & Contracts: Alma Sahagun

How much time should you budget to develop and submit a grant proposal?

A)Two weeks

B)One month

C)Two months

D)Four months

Pop Quiz…

How much time should you budget to develop and submit a grant proposal?

A)Two weeks

B)One month

C)Two months

D)Four months!

Pop Quiz…

You need time to ….

• Read up on the funding agency to understand its goals and mission

• Review the literature and grants already funded

• Write and revise the proposal

• Have others review the draft

• Revise the proposal again

• Develop a budget based on the proposed project

• Obtain the University and UAS approvals necessary to submit the proposal (several weeks)

Why Four Months?

At the latest, how early before the proposal due date should you contact ORAD/ORSP?

A)One month

B)Three weeks

C)One week

D)Two days

Pop Quiz…

At the latest, how early before the proposal due date should you contact ORAD/ORSP?

A)One month

B)Three weeks

C)One week

D)Two days

Pop Quiz…

We need time to ….

• Schedule and hold an Intake Meeting

• Finalize the budget (including equipment quotes and subcontractor information, if any)

• Route the Approval Form for Externally Funded Contracts and Grants (department, college)

• Obtain University/UAS approvals for the proposal package

• Submit the proposal (prior to the deadline date)

Why Three Weeks?

Objectives:

• Review the goals of the sponsored project, as related to the requirements of the funding announcement and the mission of the University

• Review the draft budget

• Identify any issues requiring University review and approval

• Identify any services needed by the PI

• Develop a timeline for required documentation and submission of the proposal

The Intake Meeting

Before the Intake Meeting, submit to ORSP:

• ORSP Intake Form

• Draft Budget

The Intake Meeting

Before the Intake Meeting, submit to ORSP:

• ORSP Intake Form

• Draft Budget

The Intake Meeting

The ORSP Intake Form





The Budget Form

RT = Release TimeOL = OverloadOQ = Off Quarter

The Budget Form

The Budget Form

You should propose a budget that…

•Includes only allowable expenses (see the Program Announcement)

•Is in line with the budget amounts typically funded by the agency for that type of project

•Is realistic – can you really do the project if you get this level of funding?

•Is well justified (usually in a Budget Narrative section)

•Complies with University, College and Department policies on workload

Some Words about Budget Development

Typical budget items include:

•Personnel: PI, Co-investigators, Project Directors, Technicians, Post-docs, student assistants…

•Travel (in-state, out-of-state)

•Equipment (above $5000)

•Supplies

You may also need consultants, student or participant stipends, publication costs, subcontracts….

Budget Development

Release Time (RT) is time “bought out” from some portion of a faculty member’s State-funded duties to pursue activities funded by an external grant or contract.

The amount of RT budgeted in a grant is agreed to during the grant proposal submission process (PI, Chair, Dean).

Up to 15 units per quarter may be claimed, with the Chair’s and Dean’s approval.

What is Release Time?

Faculty may be reimbursed for time spent on grants outside of their assigned work schedule.

Normally, up to 15 units may be budgeted for off-quarter work (“summer salary”), depending on funding agency limits.

The amount of OQ salary paid from a grant is agreed to during the grant proposal submission process (PI, Chair, Dean).

Some funding agencies limit the amount of OQ pay.

What is Off Quarter Pay?

Overload is pay for additional effort on grants beyond the usual workload (15 units) during your normal work assignment.

The amount of OL budgeted in a grant requires justification and is agreed to during the proposal submission process (PI, Chair, Dean).

The 125% rule: the cap on OL during each quarter is 3.75 units (25% of 15 units).

Some funding agencies do not allow overload!

What is Overload Pay?

Externally sponsored projects have costs associated with them that are not accounted for in the “direct costs” of the budget.

Administrative costs: Costs to the University/UAS to administer contracts and grants

Facilities costs: Costs to the University for maintenance and use of the campus infrastructure

The current federally negotiated indirect cost rate is 45% of allowable direct costs.

This IDC amount must be included in your budget, unless the funding agency specifically indicates a lower rate (submitting a proposal at a lower IDC rate is subject to University approval).

What are Indirect Costs?

Provides the justification and rationale for your budget request.

Should be specific:

- how much effort is required to do the work?

- what, specifically, will personnel be doing?

- wages and fringe benefits based on University/UAS scale?

- specific needs for supplies, computers, equipment, etc.?

- travel: specific conferences/destinations, and basis of costs (per diem rate? mileage rate?)

The Budget Narrative

If you have questions about budget development, ORAD and ORSP can help!

ORAD: Appropriateness of budget items and amounts, in relation to the project and program announcement, and limits on effort and compensation.

ORSP: Allowability of costs; developing budget numbers for personnel (salaries, release time).

Budget Development

Proposal Submission Timeline

• At the intake meeting, a timeline will be developed indicating dates for

• Draft Budget

• Final Budget

• Return of Approval Forms

• Supporting documents (letters, quotes, etc)

• Submission of final proposal to ORSP

• Submission of proposal to funding agency

Obtaining University Approvals

• Following PI’s approval of the final budget, an approval routing form will be provided summarizing financial aspects of the proposal (total budget; RT, OQ and OL; certifications; cost share if any)

• This form is given to the PI, who signs and obtains signatures of key personnel, and dept./division/school chair/director(s) and college dean(s) for all key personnel. Form is returned to ORSP.

• Additional approvals (at least four more signatures) are obtained from UAS and the University.

Proposal Development

• Assistance is available for the following:

• Technical assistance (e.g., formatting documents; creating charts, tables, graphs; scanning of documents; University data; grants.gov; fastlane)

• Review/editing of the proposal narrative for clarity and compliance with agency and University requirements

• Obtaining letters of support from the University (President/Provost/Dean of Research)

• Compliance with policies regarding human and animal subjects, equipment and computer purchases, hazardous and controlled substances, etc.

Submitting the Proposal

• UAS is the entity authorized to submit proposals on behalf of the University

• ORSP staff will work with faculty to ensure timely submission of proposals in electronic (grants.gov, Fastlane, egrants, etc.) and hardcopy formats.

• It is important to adhere to the proposal submission timeline in order to allow adequate time for proposal submission.

Future Research Development Seminars

Writing Successful Grant Proposals

Essentials of Grants Management: PI Rights and Responsibilities

Understanding the Enhanced NIH Peer Review System

Questions?