Chapter VII

Research Policies

Externally Funded Grants and Contracts

The following policies and procedures relate to grants and contracts for services which originate outside the University, such as agencies of the federal or state governments, private foundations, or corporations.
: Administration of Grants and Contracts. Primary responsibility for activities conducted under an externally funded grant or contract resides with the principal investigator. The Dean of Graduate Studies and Research has responsibility for assuring compliance with the policies, procedures, and regulations of the sponsoring agency. The Dean also is responsible for the administration of university policies, procedures, and regulations which relate to externally funded projects. Fiscal responsibility for externally funded grants and contracts resides with either the Director of the Cal State L.A. University Auxiliary Services, Inc. (referred to as UAS, Inc.) or the Vice President for Administration and Chief Financial Officer, depending on the nature of the grant or contact.
: External agencies usually do not award funds directly to a principal investigator. Funds for externally funded projects are usually administered by UAS, Inc. acting as a fiscal trustee. Although the campus Office of Business Financial Services usually does not administer funds from external agencies, it must do so in special cases as described below.
: The University can accept responsibility for a grant or contract only if it has been submitted to an external funding agency in accordance with university policies and procedures as set forth in this and subsequent sections. While the initiative for seeking external funding lies with the individual faculty member, assistance in identifying prospective funding sources and in preparing applications is provided by the Office of Graduate Studies and Research, which also is responsible for initiating and coordinating preparation of certain institutional grants to external agencies.
: The Approval Process. The approval of the following individuals must be secured, in the order listed, before a proposal for grant or contract may be submitted to an external agency:
: 1. The UAS, Inc. Grants Administrator or designee, who will review the proposal budget for consistency with the fiscal policies of the UAS, Inc. and of the granting agency, and for the sufficiency of funds to reimburse the University and the UAS, Inc. for all cost items contained in the proposed budget; 2. The principal investigator's department/division chair or school director or corresponding administrator of a non-teaching unit, who will review the proposal for consistency with department/division/school or unit objectives and personnel assignments.; 3. The principal investigator's college dean or corresponding administrator of a nonteaching unit, who will review the proposal for consistency with the educational and professional objectives of the college or unit and who will ascertain that the proposed project involves acceptable utilization of space, facilities, personnel, and other resources.; 4. The Dean of Graduate Studies and Research or designee, who will review the proposal for consistency with university policies governing research, grants, and contracts, as well as those of the granting agency, and who will authorize the proposal.; 5. The appropriate UAS, Inc. administrator, who will review the proposal to ensure that it meets the legal and fiscal requirements of the UAS, Inc. and who will sign the actual proposal as the official representing the applicant organization before the proposal is submitted to an external funding agency.; 6. The Vice President for Administration and Finance or designee, who will review the proposal to ensure its fiscal integrity within the context of the University's total financial condition and who will provide a signature of approval. The Office of Graduate Studies and Research, not the principal investigator, will obtain the approval of the Vice President for Administration and Chief Financial Officer or designee.
: Where the University rather than the UAS, Inc. is the applicant organization, section 5 above is deleted and sections 1 and 6 are changed to 1 and 5, respectively, as follows:
: 1. The Office of Business Financial Services, which will review the proposal budget for consistency with the fiscal policies of the University and of the granting agency, and for sufficiency of funds to reimburse the University for all cost items contained in the proposed budget.; 5. The Vice President for Administration and Chief Financial Officer or designee, who will review the proposal for compliance with university fiscal and administrative policies and requirements, and who will sign the proposal as the official representing the applicant organization.
: Approval forms are available in the Office of Graduate Studies and Research for either University or UAS, Inc. processing routes.
: Special Clearances. Certain proposals, as indicated below, require additional clearances:
: 1. If a project involves human subjects, clearance must be obtained from the Institutional Review Board-Human Subjects. Application forms are available in the Office of Graduate Studies and Research.; 2. If a project involves human subjects but the exact nature of their involvement is not yet known, clearance for provisional certification to the U.S. Department of Health and Human Services must be obtained from the Institutional Review Board-Human Subjects. Application forms are available in the Office of Graduate Studies and Research.; 3. If a project involves warm-blooded vertebrate animals, clearance must be obtained from the Institutional Animal Care and Use Committee (IACUC). Application forms are available in the Office of Graduate Studies and Research.; 4. If a project involves radioactive or biohazardous materials, clearance must be obtained from the Committee on Radiation Safety and Biohazards.; 5. If a project involves experimental academic programs and developmental projects, the curriculum will be subject to evaluation and review before incorporation into the regular curriculum, as required by University policy.; 6. If a project involves use of the Computer Center's resources, the Associate Vice President for Information Resources Management will be consulted regarding costs and the availability of resources.; 7. If a project involves acquisition of special library resources, the University Librarian will be consulted regarding costs and the availability of resources.; 8. If a project requires University space not currently assigned to a college or department/division/school, approval of the Provost and Vice President for Academic Affairs or designee is required.; 9. Granting agencies, especially federal agencies, may add additional special assurance compliances at any time. These may affect one type of proposal or all proposals (e.g., guarantee of a drug-free work place; no lobbying activities). It is the faculty member's responsibility to inform the Office of Graduate Studies and Research of any required special assurances. The Office of Graduate Studies and Research is responsible for obtaining assurance/compliance signatures from University level administrators.
: Deadlines. The principal investigator is responsible for adhering to all lead-times and deadlines in proposal processing, as well as for obtaining any prior special approvals. Examples of special approvals include use of human subjects, or animals. The most recent statements of campus deadlines and guidelines are available in the Office of Graduate Studies and Research.
: Preliminary Proposals and Letters of Intent. When a preliminary proposal or a letter of intent is to be submitted to a prospective external funding source prior to submission of a formal proposal, the preliminary proposal or the letter of intent must first be reviewed by the Dean of Graduate Studies and Research or designee. If the preliminary proposal or the letter of intent commits University resources or actions or requires the signature of an official representing the applicant organization, it must be reviewed and approved as described in the foregoing section on the approval process. Review and approval of a preliminary proposal or of a letter of intent do not constitute approval of any resultant formal proposal.
: Protection Against Misconduct in Research. Policies and procedures for handling alleged misconduct in research are found in Chapter VI.

Institutional Grants for Research Projects and Educational Services

(Senate: 3/1/77, 7/30/80, 10/9/84; President: 3/14/77, 8/18/80, 8/20/80, 11/21/84)

Deadline. Deadlines for submission of applications for Institutional Grants are announced each year at least 30 days before the deadline date by the Dean of Graduate Studies and Research. Application forms are available in the Dean's Office. Twelve copies must be submitted.; The Awards Deadline. Deadlines for submission of applications for Institutional Grants are announced each year at least 30 days before the deadline date by the Dean of Graduate Studies and Research. Application forms are avail able in the Dean's Office. Twelve copies must be submitted. The Awards and Leaves Committee reviews the proposals and adheres strictly to the policy of not accepting late applications.
: Criteria. In recommending awards of Institutional Grants, the committee considers the merit of the proposal as the primary consideration. A second criterion is the project's potential for development of a full-fledged proposal to external funding agencies following the Institutional Grant. A third criterion is the prestige or recognition that can be expected to accrue to the University as a consequence of the successful completion of the project.
: Eligibility. All regular full-time faculty, faculty in the pre-retirement reduction in time base program, emeriti faculty and faculty participating in the faculty early retirement program may apply for Institutional Grants. Usually proposals are submitted by individual faculty members, but joint proposals also are considered. On rare occasions a group of faculty members, representing either a single discipline or an interdisciplinary shared interest, may submit a collaborative proposal with supporting justification.
: Guidelines.
: 1. Proposals for amounts under $1,500 receive priority. However, with justification, a collaborative proposal may exceed this sum. In such a case, the role and contribution of each individual investigator and the research procedures to be followed by each shall be clearly indicated in the proposal.; 2. Research which may be used toward completion of an advanced degree is permitted. However, expenditures for preparation of dissertations cannot be approved.; 3. Institutional Grants are awarded for one fiscal year, from July 1 to June 30. In order to make the best and widest use of these limited funds, it is expected that faculty members will complete the proposed project within that period. Extensions will be granted only for the most extenuating reasons.; 4. In describing the proposed work, jargon is to be avoided. Because the review committee is not a peer review panel, faculty members are encouraged to use language that is as accessible as possible to the nonspecialist. This applies particularly to the sections of the proposal that require an abstract of the work to be undertaken and that request a statement about the significance of the project and its anticipated impact.; 5. Recipients of these grants must adhere to the budget items as proposed and approved. Listed below are allowable and non-allowable expenditures:
: Allowed:; (a) Equipment, books or other durable items. Please note that these become the property of the University at the termination of the grant.; (b) Microfilm and supplies.; (c) Research assistance such as editorial assistance, outside services (i.e. chemical analysis), outside consultants.
: Not Allowed:; (a) Faculty salaries.; (b) Travel, unless the proposal presents special justification for this expenditure.; (c) Equipment items such as cameras or typewriters, tape recorders, and calculators, unless these are not available from other on campus sources for a specific project.; (d) Fees for publication of research findings, unless the proposal presents justification for this expenditure.
: 6. Written critiques will be made available by the Awards and Leaves Committee to Institutional Grant applicants when requested. The Confidential Evaluation Worksheet will be used for this purpose.; Final Report. Recipients of Institutional Grants are required to submit a final written report to the Dean of Graduate Studies and Research.

Institutional Grants for Proposal Development

(Senate: 1/21/86; President: 4/3/86)

In addition to funding proposals for research projects, the Institutional Grants program shall also fund grants for proposal development. Requests for such funds shall briefly describe projects for which final, full proposals will be developed and submitted to external funding agencies.

Each Proposal Development application shall be evaluated by the Awards and Leaves Committee on the basis of the following criteria:

The overall merit of the concept for the idea or project.

The potential significance of the project.

The likelihood that the final proposal will be funded.

The need of the proposer for support to prepare the final proposal.

An application for the Proposal Development Grant shall be designed and distributed by the Office of Graduate Studies and Research to incorporate criteria stated above.
: Grants for Proposal Development shall be limited to a maximum established periodically by the Faculty Policy Committee and may be used for such expenditures as:

Faculty release time.

Travel.

Technical Assistance.

Other allowable expenses may be added to the above list, as deemed appropriate by the Faculty Policy Committee.
: Grant competitions shall be conducted each academic year in conjunction with the Research or Educational Service Grants Program. Grants shall normally be awarded for periods of one or two quarters.
: To ensure adequate monitoring of funded projects and achievement of the goals of this grant category, the Dean of Graduate Studies and Research will develop and implement appropriate procedures.
: The deadline and eligibility requirements for Research or Educational Services Projects will also apply to the proposal grant program.
: Research or Educational Services project applications and proposal development applications will be ranked together. The appropriate distribution of funds between these two subprograms will be determined by the Awards and Leaves Committee depending on the quality of proposals in both categories and available funding.

Grants-In-Aid

(Senate: 2/27/80, 10/9/84; President: 3/26/80, 11/21/84)

Purpose. The purpose of Grants-in-Aid is to advance the progress of specific programs of research or creative activity by helping to defray the scholar's essential expenses connected with the project. The research or creative activity is expected to result in publication appropriate to the discipline.; Eligibility. All regular full-time faculty, faculty in the pre-retirement reduction in time base program, emeriti faculty and faculty in the faculty early retirement program may apply for Grants-in-Aid.
: Guidelines

1. Grants-in-Aid will not exceed $1,000.

(a) the merit of the proposal; and

(b) the prestige or recognition expected to accrue to the University as a consequence of the publication.

2. Applications will be considered on the basis of the following criteria:

3. Expenses may include travel to gain access to necessary materials; research, technical, and clerical assistance; and reproduction or purchase of materials.

4. Grants-in-Aid are awarded for a maximum period of 12 months. Up on total expenditure of the Grants-in-Aid funds, recipients must submit a final report to the Dean of Graduate Studies and Research.

Deadlines. Deadlines for submission of applications for Grants-in-Aid will be set twice a year, in spring and fall, by the Dean of Graduate Studies and Research. Application forms are available in that office. Twelve copies must be submitted. The Awards and Leaves Committee, which reviews the applications, adheres strictly to the policy of not accepting late applications.

Research, Scholarship, and Creative Activity Grant Awards

(Senate: 5/14/02, 6/29/04, 1/16/2007; President: 11/4/02, 8/17/04, 2/1/07)

The goal of the Research, Scholarship, and Creative Activities program is to support research, scholarship, and creative activities and further the mission of California State University, Los Angeles. All members of Unit 3 (instructional Faculty, Librarians, Coaches, and Counselors) are eligible to compete for funding from this program.

Funding is available in the following categories, and members of unit 3 may apply for either or both categories:

1. Creative Leave: Creative leaves of one term duration allow recipients time to develop or complete an appropriate scholarly or creative activity related to their research and discipline. Leaves are given with pay and, therefore, recipients may not teach or be otherwise employed other than as described in the proposal during the quarter in which the leave is taken. In addition, those who receive creative leaves will be released from all advisement and committee obligations during the period of the leave. Creative leave recipients may receive no more than one creative leave every six years and should not receive more than one creative leave for the same project.

2. Minigrant: Minigrants allow recipients to test promising ideas and obtain preliminary results prior to seeking external support. Funds may be used for undergraduate and/or graduate assistance, clerical assistance, and travel and supplies necessary for the activity.

The Awards and Leaves Committee will review proposals and make recommendations to the Provost and Vice President for Academic Affairs. The evaluation of proposals will be based on the following criteria:

1. Quality of the project and the proposal

2. Contribution to the field

3. The degree to which the project encourages and supports non-tenured faculty particularly those in disciplines with few outside resources to support research, creative and scholarly activity.

4. Likelihood that the project will be completed and contribute to

· the strategic mission and goals of the University, including its commitment to inclusivity and diversity;

· a sustained program of scholarship or creative activity by the applicant;

· publication of book, monograph, or major article(s);

· grant/contract to continue the project;

· links between research, creative and scholarly activity, and the development of student learning and courses.

The Awards and Leaves Committee will review the impact of the program on faculty development every five years and report to the Senate. The Senate will forward a report to the Provost and Vice President for Academic Affairs.

Other Sources of Funding

At varying times, support for faculty projects is made available by the Chancellor's Office and by other state sources. Information regarding such grants is disseminated from the Office of the Provost and Vice President for Academic Affairs or from the Office of Graduate Studies and Research.

Policy for Research Involving Human Subjects

(Senate: 10/14/80, 1/31/89, 2/7/95; President: 10/20/80, 8/31/89, 3/14/95; Editorial Amendment: 9/00; 8/01)

California State University, Los Angeles (CSLA), is committed to excellence in teaching, research and public service, as well as to the conduct of theses activities with the highest possible ethical standards.

CSLA is guided by ethical principles when members of its academic community undertake projects involving human subjects as subjects of research and research-related projects, and complies with pertinent Federal and state regulations.

Thus the following broad principles are CSLA policies concerning review of research involving humans.

1. Whereas the participation of humans in research and training projects may raise fundamental ethical and civil rights questions, no distinctions in the monitoring of projects will be drawn between funded and unfunded projects, sponsored and unsponsored projects, or between projects carried out by students, faculty, or other University employees, on-campus or off-campus.

2. All activities involving humans as subjects must provide for the safety, health and welfare of every individual. Rights, including the right of privacy, must not be unduly infringed upon.

3. The direct potential benefits to the subject, and/or the importance of the knowledge gained, must outweigh the inherent risk to the individual.

4. Participation in projects must be voluntary and informed consent must be obtained in writing from all subjects, unless this requirement is waived by the Institutional Review Board- Human Subjects..

5. An individual does not abdicate any rights by consenting to be a research subject. A subject has the right to withdraw from a research project at any time and may refuse to participate without loss of benefits to which the subject would be otherwise entitled.

6. Safeguarding information about an individual that has been obtained in the course of an investigation is a primary obligation of the investigation.

Faculty members who anticipate the use of human subjects in their (or their students') research projects are directed to the Office of Research and Sponsored Programs or to the college/department/division/school Research Coordinator for formal procedures regarding principal investigator's responsibilities and the required steps for review of the proposed project prior to the initiation of the research.

Policy For Proposals Requiring Provisional Certification To The United States Department Of Health And Human Services

(Senate: 7/30/80; President: 8/18/80)

In cases where a proposed activity involves human subjects but where the exact nature of their involvement is not yet known, preliminary review and certification of the proposed activity must be obtained from the Institutional Review Board-Human Subjects. The executive secretary of the committee shall inform the principal investigator or project director in writing of the following:

1. That the proposed activity was reviewed and provisionally certified and that the institution is committed to later review and final certification of the final plans involving human subjects.

2. That such later review and certification shall be completed prior to the beginning of the budget period during which actual involvement of human subjects is to begin.

3. That no human subjects will be involved in the proposed activity until final review and certification are completed and accepted by the Department of Health and Human Services.

4. That the principal investigator or project director is to initiate the final review when plans for the involvement of human subjects are definite by notifying the Dean of Graduate Studies and Research.

5. That, if the Institutional Review Board-Human Subjects deems it necessary for the protection of the rights and welfare of the human subjects, the principal investigator or project director shall modify the proposed activity or protocols to qualify for final certification.

Use Of Animals in Experimental Projects: Guiding Principles and University Application to Use Laboratory Animal* Subjects

(a) If any aspect of the project or activity is likely to cause greater discomfort than the attending anesthetization, the subject animals will be rendered incapable of perceiving the pain prior to its possible onset and will be maintained in that condition until the threat of pain is ended, i.e. the pain and distress will be relieved by the appropriate use of anesthetic, analgesic, and tranquilizing drugs throughout the experiment, including postoperative and post procedural care.

(b) The only exception to this guideline will be cases where anesthetization would defeat the purpose of the project; such exceptions will be specifically approved by the Institutional Animal Care and Use Committee, and the study will be supervised directly by the principal investigator.

(Senate: 12/2/80; President: 12/8/80)

*"Animal" in this context is defined as a warm-blooded vertebrate.; The public's concern for humaneness toward animal subjects has in recent years promoted laws, regulations, policies, and standards on animal welfare, which must be considered along with scientific requirements. In meeting its ethical and legal obligations for the use of animals in research and education, Cal State L.A. must assure that all such projects or activities, whether or not submitted for external funding, are properly reviewed, and that animal users assume their responsibilities. It has adopted the following guiding principles, which are drawn primarily from the Animal Welfare Act by the U.S. Department of Health and Human Services.
: 1. All animals will be properly acquired, housed, and maintained with due consideration for comfort, feeding and watering, sanitation, and disease control, under the supervision of a properly qualified veterinarian or other scientist competent in such matters.; 2. The project or activity will be performed by, or under the immediate supervision of, a scientist qualified in the scientific area under study.; 3. The intent of the project or activity will be such as to yield results for the advancement of science, benefit of humanity, or educational usefulness, and not random or unnecessary.; 4. The project or activity will be designed and based on knowledge of the disease or problem under study and on the significance of anticipated results that will justify its performance.; 5. The project or activity is to be conducted in such manner as to avoid unnecessary suffering and injury to the subject animals.; 6. All nonterminal surgery will be done aseptically.; 7. Proper post-experimental care of subject animals will be such as to minimize discomfort, in accordance with acceptable practice in veterinary medicine, and will be the responsibility of the project director.; 8. The scientist in charge of the project should be prepared to terminate activity therein whenever it is believed that continuation of such activity may result in unnecessary injury to the subject animals.; 9. When it is necessary to terminate a laboratory animal, the subject animal will be euthanized by an acceptable, humane method according to the guidelines established by the American Veterinarian Medical Association Panel on Euthanasia. No animal will be discarded until death is certain.; 10. All animals, dead or alive, may be used for research or educational purposes only.; 11. Dead animals lacking any radioactive residue must be disposed of through incineration, and those containing radioactive residue must be disposed of in accordance with the stipulations of the Committee on Radiation Safety and Biohazards.; 12. Living animals may not be moved from one department/division/school animal facility to another without notification to the veterinarian and approval of the management of both facilities.; 13. Living animals may not be removed from the university premises unless accompanied by a health certificate from the veterinarian.

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