Proposal Review and Submission

Proposal Timeline Policy

Authority to Submit
Proposals for externally-sponsored projects (e.g., grants or contracts) must be submitted by California State University, Fullerton’s Office of Grants and Contracts (OGC) on behalf of the University and an eligible Principal Investigator (PI). Generally, any proposal not submitted by OGC will lack necessary institutional approvals and therefore cannot form the basis for an award, should a proposal be successful.

For additional information please refer to our system wide Sponsored Programs policylink opens in a new window.

Policy

It is the policy of California State University, Fullerton that submissions to external sponsors cannot be made without review and prior approval by appropriate administrators and units within the campus (i.e., President’s University designee). For this reason, the university has implemented the “Extramural Grant and Contract Proposal Submission Timeline Policypdf file.”

Timeline

All proposals must be received by the Office of Grants and Contracts (OGC) no later than seven business days prior to the sponsor deadline. In order for a proposal to be considered “on time,” the following documents are required to begin internal routing and approvals:

• A finalized budget
• A final budget justification
• A near final draft of the proposal narrative
• Completed Routing Form

Proposals outside of this seven-day timeline may not be submitted to the sponsor. A Principal Investigator (PI) planning to submit a proposal that is outside the required timeline must secure prior written approval from the Associate Vice President, ORSP. Approval of the AVP-ORSP may only be provided under the most extraordinary circumstances. Any proposal received five business days or less prior to proposal deadline may not be reviewed and submitted.

There are various internal deadlines in the proposal development process as described below:

1. As soon as a decision is made to pursue a grant or contract opportunity, but no later than four (4) weeks prior to deadline. If a proposal or contract requires signature by the President or Provost, or if it involves cost-sharing, subcontracts and other additional requirements, please see “Important Special Requirements” below.	a. PI Contacts the OGC about a Request for Proposals (RFP), contract agreement, or invitation to submit a proposal. b. Within three (3) business days of PI’s notice, OGC reviews the relevant guidelines, prepares a checklist of all required documents other supporting information, and identifies target deadlines. c. PI notifies Department Chair and Dean of his/her intent to submit a proposal, with a cc: to the OGC Coordinator assigned to his/her college.
2. Ten (10) business days prior to submission deadline	a. OGC and PI prepare and/or review initial budget and draft narrative. b. PI informs his/her College Business Officer of budgetary details
3. Seven (7) business days prior to sponsor deadline	a. PI submits to OGC near final narrative and completed routing form. b. PI and OGC finalize the budget. c. OGC initiates Cayuse routing of proposal.
4. Three (3) business days prior to sponsor deadline	a. PI submits all required documents to OGC. For example: Abstract, Final Proposal Narrative/Project Description, GEPA Statement, Biographical Sketch, etc. b. Any residual issues identified by OGC are resolved by PI and OGC.
5. Two (2) business days prior to sponsor deadline	a. OGC completes and uploads all required Documents and supporting information. b. OGC conducts final review of the complete Application Package c. Internal routing via Cayuse is completed.
6. One (1) full business day prior to sponsor deadline	OGC submits complete and validated Application Package. Note: For hardcopy submission, an additional day is required. For example, if the deadline provided by agency is July 1 receipt date, the proposal must be express mailed by OGC no later than June 29 at 1:00 pm, for receipt by sponsor on June 30.

Important Special Requirments

1. Proposals or contracts that require the President’s signature or official endorsement need additional time to process. For proposals requiring signature by the President, PIs should allow ten (10) business days in addition to the internal deadline schedule provided above. For example, rather than 2 days prior to proposal submission deadline, the final proposal package and any other documents must be submitted to the Office of Grants and Contracts no later than twelve (12) business days prior to submission deadline.

2. Proposals that include or require special items such as those listed below need additional time for institutional review and approvals. PIs should allow approximately five (5) business days in addition to the internal deadline schedule provided above.
Cost-Sharing

• Institutional data (e.g. historical enrollment data, financial statements, etc.)
  
  
• Need for instrumentation or infrastructure improvements, additions, or upgrades
• Need for additional space
• Subcontract(s)
• Signed Memoranda of Understanding, Non-disclosure Agreements, etc.

Develop Your Budget

It is important that your budget reflects, as accurately as possible, the funding needed to carry out the proposed research. Please work with your OGC coordinator to help develop your budget. You should neither overestimate the funds required nor underestimate budgetary needs — either of which may lead to proposal rejection. Additionally, do not provide cost-sharing if it is not required by the funding agency, as it affects the university’s ability to negotiate for a higher indirect cost rate.

A budget that accurately details the funds necessary to carry out the scope of work (or services) can strengthen the total proposal and increase the likelihood of funding. Furthermore, a carefully prepared budget can often identify weak areas in the proposal narrative and result in improvement of the proposal. OGC provides expertise in completing a budget request, applying appropriate fringe benefit and facilities and administrative (F&A) cost rates, and documenting subrecipient agreements, consultants, matching or cost-sharing funds, as applicable.

In preparing proposal budgets, CSUF and ASC comply with university and CSU policies and the cost principles prescribed by the Office of Management and Budget (OMB).

Allowable and Unallowable Costs

Regulations and policies governing costs may vary significantly among different sponsors and/or solicitations/requests for proposals. However, federal sponsor guidelines are usually the most prohibitive and will typically be used to determine allowable costs.

Beginning 2015, the guidelines at 2 CFR Part 200link opens in a new window – Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards will be followed.

Allowable Costs: A simple guide:

1. REASONABLE: An expense is reasonable if the purchase is necessary, allocable, appropriate in quantity and fairly priced. Occasionally, a purchase, which on its own may look unreasonable, may be reasonable when examined in context with its necessity.
2. NECESSARY: An expense is necessary if the purchase is needed to carry out the project. Will the project be harmed if this purchase is not made? The sponsor considers all expenses specifically identified in the approved budget necessary expenses.
3. ALLOCABLE: A cost is allocable if the goods or services involved are chargeable in accordance with benefits received, or if it is incurred solely to advance the work under the project. Costs that benefit more than one project are not allocable when it cannot be determined how much each project benefits. Allocable costs may not be shifted to other sponsored projects to meet deficits caused by overruns. Nor may those costs be shifted to avoid restrictions imposed by law of the sponsored project. Allocable funds may not be shifted for reasons of simple convenience either.

In calculating budgets, the OGC has prepared an internal budget template that calculates funded salary requests, fringe benefits, and other applicable cost items. The budget template applies current fringe benefits and indirect cost rates automatically. Please contact your OGC Coordinator for assistance in developing your budget.

Direct Costs

1. Salaries and Wages

To determine total salaries and wages, list the amount of time (% effort) to be spent by each person, including any administrative staff, who will be working on the project. Time should normally be shown in terms of percent of full-time effort (will be converted to person-months effort, as required by funding agency). Show a breakdown between summer and regular academic year for faculty and personnel with academic time appointments (normally, 9 months). No employee may be scheduled for activities in excess of 100% of effort in any given month, unless specifically additional pay/overload was proposed, and was approved by the university as well as the funding agency. Click here to download the Additional Pay Policylink opens in a new windowpdf file

Proposal estimates for requested personnel costs should be based on current salary bases (if employee is identified and currently employed by the university of auxiliary), or market or published rates for comparable positions (if employee has not been identified). For multi-year projects, it is acceptable that the budget takes into consideration any possible salary increases.

EXAMPLE:

Dr. Smart will perform a case study on Indian Casinos in California. The university requests funding to support release time/course buy-out for two 3-units courses each academic year and for the duration of the project. In addition, Dr. Smart will devote 50% effort for 2 summer months.

Using a 24-weighted teaching units (WTUs) full teaching workload per academic year (AY):

Salary base = $60,000 per AY.

3 units/24 units = 12.5% effort for each course release, or 25% for 2 course releases.

Estimated salary for the academic year = 25% x 60,000 = $15,000.

Estimated summer salary: $60,000/9 months x 2 months x 50% = $6,667.

2. Fringe Benefits

Fringe benefits are a direct cost to a sponsored project, are clearly related to the salaries and wages to be paid, and are shown as a separate entry in the budget. A pooled or average fringe benefit rate is used to estimate costs. The actual applicable fringe benefit rate for each identified personnel will be charged at the time project effort is provided.

3. Consultants (Contractors)

Consultants are generally paid a daily consulting fee. If applicable, consultant’s travel expenses are also reimbursed. Whenever possible, identify in the budget the proposed consultant by name, indicate the number of days of work, daily rate, and provide curriculum vitae or resume for the consultant in the proposal. Note that consultants are considered as a different type of cost than subrecipient agreements to other institutions.

Some sponsors do not permit payments to consultants and some may restrict or limit such payments, or require that the University obtain written approval prior to entering into a contract with a consultant. If in doubt as to the allowability of consultants or rates paid to consultants, refer to the award terms, sponsor guidelines or contact the OGC.

4. Subrecipients (or Subcontractors)

A subrecipient is a state or local government, college, university, corporation or other organiza­tion that expends funds received from a prime grantee/recipient or flow-through entity to carry out a sponsored program. A subrecipient is sometimes also referred to as a subawardee or subcontractor.

Typically, a subrecipient:

• Has its performance measured against program objectives
• Has responsibility for programmatic decision-making
• Has responsibility for adherence to applicable sponsor program compliance requirements
• Uses funds to carry out a program of that organization, rather than providing goods or services for a program of the prime grantee
• Other indications that an organization should be deemed a subrecipient include when:
  • The organization is contributing to the scholarly/scientific conduct of the project as described in a statement of work for the organization
  • The conduct of the organization’s portion of the project requires use of the discretion and unique expertise of the organization; or
  • Payments are made before the work is performed and that ultimate settlement of the agreement will be on the basis of incurred allowable cost

When the Principal Investigator contemplates collaboration with a colleague at another institution, if the collaboration is to be funded, this will constitute a subrecipient relationship. At the time of proposal submission, the collaborating institution should provide to OGC a completed Subrecipient Commitment Form, a statement of work, a detailed budget, and a budget justification. Additional documents may be required depending on sponsor requirements.

5. Equipment

Equipment means an article of nonexpendable, tangible property having a useful life of more than one year and an acquisition cost of $5,000 or more per item or bundled system. At CSUF, capital equipment is not subject to indirect (a.k.a. Facilities and Administrative) costs.

6. Supplies

These are items costing less than $5,000 individually. Normally, a research project will consume expendable supplies such as laboratory items, teaching aids, computer software, and other research/program supplies. A reasonable amount should be budgeted for these items.

Although uncommon, it may be justified to include electronic items such as laptops, in a proposal budget. Please consult OGC regarding allowability of such items.

7. Publications

Include anticipated cost of publishing the results of the research, as applicable, keeping in mind that page charges may vary from journal to journal. Consider both page charges and reprint costs in the estimates. Use current published costs or previous actual expenses whenever possible.

8. Travel

In estimating travel costs, the university follows the university’s Employee Travel Policy and Procedures finance.fullerton.edu/controller/travellink opens in a new window . Reimbursement levels for travel expenditures are set by the university’s policy or may be determined by sponsor guidelines. As a general rule, the most restrictive guideline will be used. Federal funds cannot be used to make trips to secure new or additional research support or funds.

When estimating travel costs, the following information is required:

1. WHO – Identify person or position
2. WHAT - purpose (conference, presentation, collaborative meeting, etc.)
3. HOW many days/nights required for travel
4. WHERE - destination

If foreign travel is anticipated, the cost for international travel insurance should also be included. The cost for foreign travel insurance varies from country to country. Please consult OGC for the appropriate estimate.

9. Other Direct Costs

Other Direct Costs may include those for copying/printing; long-distance telephone calls directly allocable to the project activities; postage for the project; reference books and materials; tuition and required fees, stipends, etc. for participants (Participant Costs): equipment maintenance; and vendor services. The principal investigator should specifically justify the need for these items in relation to the project.

Indirect Costs

Indirect Costs (IDC) or Facilities and administrative (F&A) costs must be included in proposal budgets unless the sponsor has a written policy on F&A rates applicable to all potential grantees. All deviations from full recovery of F&A rates are subject to CSUF administrative approval, using the IDC Waiver or IDC off Campus Waiver forms from Forms page ??? . Sponsor guidelines limiting facilities and administrative costs must be provided with a proposal. For all activities performed in facilities not owned by the institution and to which rent is directly allocated to the project (s) the off-campus rate will apply. Grants or contracts will not be subject to more than one F&A cost rate. If more than 50% of a project is performed off-campus, the off-campus rate will apply to the entire project. Please contact your research development officer for guidance on complementing the off campus rate justification form.

To calculate F&A costs for a project:

• Calculate the Total Direct Costs (TDC), which is simply the sum of all direct costs (salaries, benefits, supplies, equipment, etc.)
• Calculate the base against which the F&A rate will be multiplied by subtracting exempt items (capital equipment, graduate student tuition and required fees, stipends, and subrecipient agreement costs in excess of the first $25,000 of each subrecipient agreement over the life of the agreement) from TDC. This will give the Modified Total Direct Costs (MTDC)
• Multiply the correct F&A rate against the MTDC base to calculate the facilities and administrative costs for the project

TDC – exemptions as noted in (2) = MTDC

MTDC x F&A rate = F&A

Special Note about Facilities and Administrative Costs (also known as “Indirect Costs”):

The University expects external sponsors to pay the actual costs of conducting the sponsored project. These costs include both the direct and the facilities and administrative cost obligations incurred by the University in the conduct of a project. The costs that are clearly identified with and benefit a specific research project (“Direct Costs”) include salaries, fringe benefits, equipment, supplies, travel and other expenses. The facilities and administrative costs (“F&A”) are those institutional research infrastructure costs that cannot be readily attributed to an individual project or monitored on an individual basis and include building and equipment use, operations, maintenance and utilities, general, departmental and sponsored projects administration, library, and capital improvements. Each sponsored project is expected to pay its proportional share of these research infrastructure costs. This payment is based on the facilities and administrative cost rate that is negotiated annually (or multiple years) between the University and the U.S. Department of Health and Human Services. Since the facilities and administrative cost rate is based on the level of existing facilities and administrative costs associated with research, the facilities and administrative cost income received by the University (and all other institutions of higher education) is a reimbursement for actual costs incurred. All research project budgets should include facilities and administrative costs as determined by this federally negotiated facilities and administrative cost rate. Exceptions to this policy may be considered if the sponsor has an established, written policy applicable to all potential proposers which deviates from these rates. All other deviations are subject to the University’s administrative approval in advance (see Appendix – Indirect Cost Waiver policy.)

Off-Campus F&A rate

Off-campus activities are those activities that operate primarily outside of University property (either owned, leased, or rented) and do not increase or decrease the costs of those activities (i.e., operations and maintenance) that would be affected had the activities been operated on property maintained and/or depreciated by the University.

Off-campus rates are generally used when the principal investigator conducts research away from the campus for a period of no less than one semester or all three summer months or if more than 50% of the project activities take place off campus. They are not used for conducting of workshops, seminars, etc. off campus, especially when data collection and analysis takes place on campus.

Prior off-campus review and approval is required for the use of off-campus rates, using the Off-campus IDC approval form. The current federally-negotiated indirect cost rates are as follows:

	On Campus	Off Campus
Organized Research	42%	26%
Instruction	47%	26%
Other Activities	35.50%	26%

Download the Indirect Cost Negotiation Agreementpdf file for more information.

University Cost Match/Cost-Sharing

It is the policy of the university not to offer cost-sharing for projects when cost-share is not required. If sponsor guidelines require cost-sharing or matching funds (cash contribution or donation of in-kind services such as contributed time and effort by the principal investigator and other key personnel), the details of any cost sharing provided by the PI, department/unit or college must be identified. If there is any third-party cost match, appropriate documentation such as a letter of commitment from the third-party source should be provided. All matching funds or cost-sharing commitments based on the faculty member's academic time and effort must be approved in advance by the principal investigator's department chair and dean.

Budget Justification/Narrative

In preparing the budget narrative, it is always recommended to ensure that it is consistent with the proposed scope of work and project activities. A sample budget narrative/boiler plate is provided in the Appendices.

The budget justification, or budget narrative, explains your budget to the reviewers and offers a more complete picture of your project. It clarifies the costs for each person or task, providing a rationale for each item and how you arrived at the costs.

Sample Budget Justificationlink opens in a new windowpdf file

Pre-Submission Requirements /CAYUSE

At CSUF, any submission to an external funding agency (“sponsor”) cannot be made without appropriate review and approval by authorized administrators within the university, as required under ICSUAM Section 11000 (???) .

The university uses the Cayuse system for electronic routing and approvals.

The Cayuse S2S System
CSUF selected Cayuse S2S an easy-to-use Web application created specifically to simplify the creation, review, and electronic submission of grant proposals. A majority of funding opportunities via Grants.gov interfaces with Cayuse. During proposal development, this system performs error-checking based on the agency, funding opportunity guidelines, and grants.gov validations.

Cayuse S2S Log-Inlink opens in a new window

Pre-Submission Approvals
Generally, the following individuals will review and approve a proposal before it can be officially submitted to the sponsor:

• Director, Office of Sponsored Programs
• PI and co-PI (if applicable)
• PI’s/co-PI’s supervisor (for non-administrative faculty, this is generally the Department Chair)
• Academic Dean or Unit Head
• Associate Vice President of Research and Sponsored Projects (AVP-ORSP)

If a proposal is to a private entity, and award mechanism is expected to be a grant:

• Associate Vice President, University Advancement Operations

If a proposed project requires additional space needs or major equipment purchase or installation:

• Assistant Vice President, Facilities Planning and Management

If a proposed project involves Environmental Health and Safety review items:

• Chemical Hygiene Officer

If a proposed project involves any of the Risk Management items noted in the routing form and/or there is IRB, IACUC or EHIS approval required:

• Risk Manager

Proposal Submission

Early in the proposal development, your Office of Grants and Contracts (OGC) coordinator or Research Grant Specialist (RGS) will prepare a “Checklist” of all proposal documents and forms necessary for a complete submission. An internal target deadline is set (see Proposal Timeline Policypdf file) so that appropriate reviews can be carried out prior to the hard deadline submission.

Electronic Submissions
Most federal funding opportunities and submissions are administered via grants.govlink opens in a new window , for which the Office of Grants and Contracts (OGC) maintains registration and updates on behalf of the university. At CSUF, most opportunities submitted via grants.govlink opens in a new window are supported by Cayuselink opens in a new window. During proposal development, this system checks for errors based on the agency, funding opportunity guidelines, and grants.govlink opens in a new window validations.

Other Electronic Systems
OGC generally completes the online registration and submission, unless the funding agency specifically requires registration and submission by the Principal Investigator. Each system is unique, so PIs are encouraged to contact their OGC coordinator early on in the process so that appropriate steps are taken to avoid any delays in submitting.

Hardcopy Submissions
OGC compiles all necessary documents necessary for complete hardcopy submissions. It also packages the proposal and generally sends hardcopy submissions via express mail, and maintains tracking information and delivery confirmation.

Proposal Tracking

The Office of Grants and Contracts (OGC) maintains a database of all proposals submitted each fiscal year. Each proposal is identified with a four (4)-digit “OGC Proposal Number.” The database includes the following information:

• Principal Investigator (PI)
• PI’s Department/College
• Funding Agency/Sponsor
• Type of Agency (Federal, State, Private, etc.)
• Solicitation/Program Name (if available)
• Proposal/Project Title
• Funding Requested
• Proposed Project Period
• Funding Status

Funding Status can be “Pending” or “Unsuccessful,” or "Active."

In general, OGC receives notifications of awards or “regrets” from the funding agency/sponsor. OGC will notify the PI upon receiving notification from the sponsor. In any case, OGC will contact either the PI or the sponsor about the status of a proposal nine (9) months after a proposal has been submitted or around the time awards are expected to be issued by the sponsor, per Proposal Guideline/RFP.

Post-Submission Requirements

Some funding agencies, such as the National Institutes of Health (NIH), require additional information after the initial submission. The Office of Grants and Contracts (OGC) coordinator and/or Research Grants Specialist assist the Principal Investigators (PI) in keeping track of post-submission requirements, following the guidelines posted by the sponsor.

For example, the NIH “Just-in-Time (JIT) mechanism allows applicants to submit additional grant application information that is requested by the funding agency after initial peer review. Applicants only submit JIT documents after receiving a JIT request from the funding agency. University signing officials (i.e., OGC) have the authority to submit JIT information.

There are funders who may require after-submission phone discussions with the PI and university leadership, or site visits to discuss the proposal application and/or institutional capabilities. The OGC coordinator and/or Research Grant Specialist assist in scheduling or coordinating such requests.

Reviewers' Feedback/Resubmission

Generally, the Principal Investigator (PI) receives the Summary Statement from the funding agency, providing the proposal “score.” The summary usually details the proposal’s strengths and weaknesses.

When a proposal is unsuccessful, the PI normally has the option to respond to the reviewers’ comments and resubmit, or may decide to find another funding opportunity that better fits the type of project being proposed.

Resubmission
The Office of Research Development (ORD) assists in analyzing the comments provided by the reviewers and, upon request, helps the PIs prepare responses to the comments provided. An ORD staff or a grant writer may be assigned to edit or rewrite the project narrative, as appropriate. The Office of Grants and Contracts (OGC) assists in the actual resubmission of the proposal.

Finding Alternate Funding
If the PI decides to find alternate funding opportunities, the ORD staff will provide support to facilitate these efforts. Please see Find Fundinglink opens in a new window.