Porter College
University of California
Santa Cruz, CA 95064
Phone: (831) 459-2256
Christina Waters, PhD
Senior Research Analyst
Email: xtina@ucsc.edu
Research Funding in the Arts
Research Analyst Christina Waters is available to assist ladder-rank faculty in researching and applying for extramural support. As Administrator for the division’s Arts Research Institute, Dr. Waters will notify faculty about upcoming ARI funding rounds, and is available to strategize on ARI and other intramural funding competitions.
Research Analyst Waters provides the following services:
* technical assistance on finding grant opportunities
* updating of guidelines for proposal writing
* reviews and edits of grant applications
* Grant compilation assistance, help with OSP
* grantwriting workshops, on request
Please contact the Research Office (ext. 9/2256 or xtina@ucsc.edu) for assistance or information on upcoming funding opportunities.
• How You Can Help Get the Funding Process Started
* Develop a 1-2 page outline of your project with key research questions and budget needs - see format section below.
* Email the outline to Christina Waters: xtina@ucsc.edu so that she can help match your project with funding opportunities
• When Your Proposal is Ready for Review
If you would like to request a proposal review for clarity, presentation, adherence to the guidelines and grammatical accuracy, please send your draft electronically to Research Analyst Waters at least 5 working days before the deadline.Definitions and Policies: This section defines the different types of research support principal investigators (PIs) can apply for at UCSC.
Gifts
External funding for endowments, gifts for capital construction, irrevocable gifts, and awards with no contractual or reporting requirements are accepted and administered by University Relations, and are directed either to the UC Santa Cruz Foundation or the UC Regents. Gift funds are then transferred to the campus service center associated with the unit that will expend the funds.
Grants, Contracts
Training, public service, and research at the University of California can also be supported through grants and contracts to the Regents from both private and governmental agencies. Grants and contracts are appropriate for awards that have terms and conditions that reference a precise scope of work, carry indirect costs, are revocable, or involve proprietary products or patents. Award letters specifying the use of the funds and any reporting requirements, are sent directly to the Office of Sponsored Projects (OSP), who in turn notify the principal investigator (PI) and appropriate campus offices. The extramural funds office sets up a fund assigned to the appropriate campus service center. Funds are expended by the principal investigators (generally faculty members) under the supervision of the service center. The OSP is responsible for ensuring that necessary reports, both programmatic and financial, are forwarded from principal investigators to funders.
• Policies on Submitting Proposals and
Receiving Awards
The following University of California Office of the President (UCOP) policy explains the rationale for requiring submission of proposals through the Office of Sponsored Projects. This policy is located in the UCOP Contract and Grant Manual, http://www.ucop.edu/raohome/cgmanual/chap02.html:
Prior to submission or acceptance, all proposals and awards for either extramural or intramural support must be reviewed and approved by the campus or Laboratory Contract and Grant Office or other formally designated office for consistency with campus or Laboratory and Universitywide policies and procedures. This does not apply to: construction grants and contracts to the extent that such awards are subject to the policies and procedures of the University Facilities Manual; work-study programs or awards for student aid grants, scholarships, or loans which are within the scope of campus and Office of the President Student Financial Support Offices; or agreements which establish or modify programs with the Education Abroad Program.
The Principal Investigator policy, which describes who is eligible to submit proposals, is reprinted in the Faculty Handbook. Members of the Academic Senate and appointees in other eligible title groups listed in the policy may submit proposals. With the approval of a Chancellor, Vice President, or the Dean of University Extension, University personnel with other faculty and staff titles not listed may submit proposals, subject to certain conditions.
• Planning your research activities
* Identify a project
* Assess project fit with overall personal goals or organizational purpose
* Think the plan through to the end
*Assess your expertise, resources & strengths to approach the project
* Involve collaborators in planning
* Know the competition: Once you have identified a funding source, check with OSP or Research Analyst Waters to ascertain the campus’s funding history with the organization before contacting them. Some organizations accept only one proposal a year per institution, or require that proposals come under the signature of a chancellor or dean. It is helpful to know if other projects are already submitted to a targeted organization, and to find out what has succeeded or failed in the past. It is very rare at UCSC for a proposal to be queued, so this requirement is not intended to delay the proposal, but rather to improve it.
* If you are planning to apply for extramural funding, please read the Handbook for UCSC Principal Investigators on the Office of Sponsored Projects (OSP) website. http://www.ucsc.edu/osp
• Working with the Office of Sponsored Projects
The Office of Sponsored Projects is UCSC's institutional office
responsible for reviewing, endorsing and submitting all proposals to extramural sponsors for research, training and public service projects. Other institutional responsibilities include:
* negotiating and accepting awards on behalf of The Regents;
* drafting, negotiating and executing subawards;
* ensuring institutional compliance with Federal and State regulations, sponsor policy and University policy;
* representing the campus and The Regents when interacting with sponsors;
* coordinating pre-award and post-award actions that require either institutional or sponsor prior approval including award close-out;
* preparing research activity and associated reports; and,
* resolving problems related to sponsored projects.
The OSP contact for the Arts Division is Kate Aja, Senior Research Administrator.
Phone: 9-2341, maja@ucsc.edu
When you contact OSP, begin by providing the name of the funder, the deadline for submission or receipt of the proposal, and the rough outline of the budget. The OSP staff will then begin the process to ensure that the proposal will be submitted in a timely fashion. It is important to report in early and be sensitive to staff workloads at OSP. Again, don’t wait until the last minute to contact OSP!
• Budget Development OSP http://www.ucsc.edu/osp/ will
help prepare budgets for applications to both federal and private
sources. The office developed and maintains Robobudget, an Excel
spreadsheet. Robobudget includes personnel information that can
calculate salary and benefit amounts based on employee classification
and can project expenditures for
all years of the grant based on anticipated cost increases. Robobudget
also tracks the latest figures for GSR costs, including fees
and tuition remission. OSP staff are knowledgeable in all areas
of proposal preparation and have the forms required by UCSC and
by federal agencies. Budget forms for federal funders such as
the National Science Foundation are online and can be downloaded
via the internet with the appropriate software. • Personnel & Sabbatical
Credits If
a
proposal
includes release
time for
yourself, other
UCSC
academic personnel, or involves appointing staff with
academic titles,
including post-docs, please discuss these needs with the
division academic
personnel analyst. Asst. Dean Cloud is the Arts
Division’s
contact person
for
academic
human
resources,
and
can
counsel
researchers
as to their sabbatical
credits,
leaves-of-absence
and
course
relief
options. Prior
review
of
your
potential
commitments
is
advised
regardless
of the pay status
of any academic personnel who will be in
residence at UCSC. Creative
projects
often
involve special
space
considerations – theaters,
screening rooms, rehearsal space. If additional
space
is
needed,
the box on the Extramural Data Sheet must be
checked
indicating
that
additional space and equipment are required.
You
must
negotiate
these
needs in advance of applying for the award. The
provision
of
space
and equipment is typically a departmental responsibility.
If
you
needs exceed
the
resources
of
your
department,
please contact: • Post-Award: Grants Administration One role of the Arts Business Office is to process
grant transactions quickly and accurately, to provide PI(s) with
up-to-date information regarding expenditures, and to assist in
projecting future expenditures. Staff are responsible for ensuring
that your proposal expenditures comply with the terms of your gift,
grant, or contract. 1. Need: What is the need or background for this project? • Datasheet for Extramural Proposal The Data Sheet for Extramural Proposal,
must accompany the completed proposal when it is submitted to
the Office of Sponsored Projects. Data sheets are available at
the Office of Sponsored Projects website.
Contact Kate Aja, x-9-2341 for
post award budget questions related to award negotiation, agency
contact, allowability of costs, dispute resolution and reporting
requirements.
Assistant Dean Jan Cloud, x 9-3272
jlcloud@ucsc.edu, Porter D-262
Business and Operations Manager x9-2534
It is important that space and needs are negotiated with the department
chair and division prior to submitting the proposal. All discretionary
space in the division has been assigned to departments and many departments
have allocation policies in place. Receipt of a grant does not require
the department nor the division to provide space or equipment tat
has not been negotiated in advance. When developing the budget, be
sure to consider the space and equipment needs of any staff to be
hired.
When the grant is funded, the campus accounting office will assign
a FOAPAL (account number) to the grant and allocate funds to the
spending categories referenced in the approved budget. Arts Business
Office staff will assist principal investigators in expending their
grant funds. The main contact person for the PI(s) will be Business
Assistant Aimee Frye.
For help with grants administration issues:
Research Analyst x9-5646
Adrienne O'Hanlon aohanlon@ucsc.edu
2. Objectives: Please list three or less objectives or research
questions this project will explore.
3. Methodology: How will this project occur? Please answer who
will do what, when, and how the objectives will be measured and
evaluated.
4. Personnel: Who will be the main PI on this project? Will there
be any Co-PIs?
5. Budget: How much will this project cost? Please provide a 1/2
page line item budget with as much detail as possible in the space
allowed.
6. Funding Opportunities: What research or contacts with potential
funders have you completed already, if any?
7. Deadline: When is the deadline for potential funders you have
identified?
8. Development Team Assistance: With what specific tasks can we
assist you?
The intent of this sheet is to certify that the proposed scope
of work is consistent with the mission and regulations of the University
of California and with the specific goals of the division or ORU
which will forward the proposal. The signatures of the PI(s), department
chair, business officer, dean, ORU director/s, and sponsored projects
commit UCSC to comply with the terms of an award and to provide
progress and financial reports. The data sheet is for internal
campus use only and does not need to be typed.
Following are explanations of a few of the terms on the data sheet:
A. Exceptions to Policy: Faculty who are not members of the academic
senate must have on file at the Office of the Associate Vice Chancellor
for Research an Exception to Policy form. This must be signed by
a member of the academic senate who will verify that the PI requesting
an exception is capable of carrying out the project. The form must
be accompanied by a letter of support from the sponsor describing
the qualifications of the applicant to administer a project and
conduct research.
B. Administering department/ORU/unit: Usually the Arts Division
C. Statement of Economic Interest: Form 730U This form must be
filed when a non-governmental agency sponsors a contract or grant
or gives a gift to support research in an amount over $250. Obtain
copies from the Office of Sponsored Projects. If a financial interest
is disclosed, a campus committee must decide whether the contract,
grant or gift can be accepted.
D. Disclosure of Financial Interest: Government Support: Until
July 1, 1997, all principal investigators applying to the NSF,
or the Public Health Service, must disclose significant personal
financial interests related to the project. After July 1, 1997,
the policy will apply to all grant proposals to a federal agency.
This policy may later be extended to all extramural projects. Disclosure
of Financial Interest forms are available from the Office of Sponsored
Projects.
E . Indirect Costs: While developing a budget, an indirect cost
rate will have been assigned to the project by the Office of Sponsored
Projects.
F. Requested Total Costs: This is the total of direct and indirect
costs.
G. Cost Sharing/Future Commitment of Resources: Enter the amount
allocated to cost sharing in the budget. The grant analysts in
the Social Sciences Service Center will look carefully at cost
sharing to ensure that the division will be in compliance with
government regulations or UC audit provisions.
H. Additional Space or Facilities Requirements : This box must
be checked to indicate that additional space and equipment are
required, and previously negotiated, in advance of applying for
the award. Neither the department nor the division guarantees the
availability of space or equipment that has not been negotiated
prior to the submission of a proposal.
I. Signatures: The principal investigator is responsible for signing
the data sheet, and for obtaining the signature of co-principal
investigators and the department chair. Be sure to check the availability
of the department chair and the dean well in advance of the proposal's
deadline. Signature authority cannot be delegated to staff, so
it is important that you verify the availability of the chair and
dean.
Once the signatures are obtained, and the rest of the data sheet
is complete, take the form along with the narrative and final budget
to the Research Analyst, Christina Waters, Porter Faculty Services.
She will review the budget, and obtain the business officer's and
dean's signature (assuming facilities, space and computing requirements
with staff are completed). If time is short, it will be necessary
for the PI or designee to hand deliver the application packet,
including required copies, to the Office of Sponsored Projects.
Some agencies now require electronic submission of proposals. Please
consult with the research administrator in OSP if you have questions
about making an electronic submission.