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.
Office of Research and Development
(ORAD)
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…)
Office of Research and Development
(ORAD)
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.
Office of Research & Sponsored Programs
(ORSP)
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
Office of Research & Sponsored Programs
(ORSP)
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
Office of Research & Sponsored Programs
(ORSP)
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
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…
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!
Why Four Months?
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)
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…
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
Why Three Weeks?
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)
The Intake Meeting
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 ORSP Intake Form
The ORSP Intake Form
The ORSP Intake Form
The ORSP Intake Form
The ORSP Intake Form
The Budget Form
RT = Release Time
OL = Overload
OQ = Off Quarter
The Budget Form
The Budget Form
Some Words about
Budget Development
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
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….
What is Release Time?
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 Off Quarter Pay?
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 Overload 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 are Indirect Costs?
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).
The Budget Narrative
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?)
Budget Development
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).
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?