Office of Research and Sponsored Programs (ORSP)
PRINCIPAL INVESTIGATOR CHECKLIST FOR DEVELOPMENT AND SUBMISSION
OF GRANT OR CONTRACT PROPOSALS
I.
DEVELOPMENT PROCESS (Pre-proposal Stage) – Six (6) to two (2) months prior to submission date
Responsibility for writing and timely submission of proposals lies with the Project Initiator or Department seeking funds.
A. Meet with your ORSP representative for assistance and guidance:
Identify funding source
Obtain program description and submission guidelines from the funding agency. Follow funding agency instructions for the
submission exactly. Failure to do so may result in rejection of your application by the funding agency.
Develop project schedule for completion of proposal, reviews/signatures and submission
Develop a concept outline for possible program officer review
Review concept and expected budget, along with any cost sharing, space needs, and/or other special operational issues with
Chair/Supervisor and Dean/Division Head to ensure that you have the support of your unit
Identify operational aspects (IT, facilities, etc.), and coordinate closely with appropriate University offices early to resolve issues
Develop proposal budget, including any cost sharing
Obtain External Funding Approval Form
Discuss the funding agency’s guidelines and selection criteria with an ORSP representative. The proposal’s organization
should parallel the order of the guidelines. If the funder has assigned points to the guideline criteria, the proposal should
emphasize those sections worth the most points.
Follow the schedule established by ORSP staff
B. Identify the following requirements:
Submission method (hard copy mailing, email, electronic submission)
Postmark or receipt due date
Number of pages and format allowed
Cost sharing required
Other forms required
Cover letter or letter of intent required (must be signed by AVP for Research and Graduate Studies)
Executive signatures needed (obtained by ORSP)
II.
APPROVAL PROCESS (Proposal Stage) – Seven (7) to nine (9) working days** prior to submission date
In order to conform to University policy, complete the External Funding Approval Form. The form ensures that proposals for
funding for grants and contracts meet College goals and priorities, and are approved by College and University administrators
prior to submission. Only those proposals that have received approval of the relevant College and University administrators
prior to submission are authorized for mail out or electronic submission.
Be aware that the majority of grant awards and contracts are accepted and administered by Cal Poly Pomona Foundation, Inc.
As such, the Executive Director of the Foundation is the Authorized Organizational Representative (AOR) for all grant and
contract proposals submitted by Cal Poly Pomona faculty and staff.
You are expected to direct the institutional review and approval of your External Funding Approval Form package (includes
proposal and budget) through the following academic/programmatic review offices for signature: Principal Investigator, Chair of
each PI and CPP co-investigators, Dean of each PI and CPP co-investigators. Timeline: Submit the completed External
Funding Approval Form, with a copy of the complete proposal draft, and final ORSP-reviewed budget to your College
Dean/Div. Head 7 working days before the deadline (9 if over threshold; **see footnote below for threshold definitions).
Further editorial changes to the proposal are allowed after this point, but none that require changes in resources or budget.
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Submit the Dean/Div. Head-signed packet to ORSP, which will then direct the remaining institutional reviews and approvals
(e.g., AVP Research, Foundation, Administrative Affairs, and Academic Affairs). The approved EFF/packet must be received
by ORSP at least 5 working days prior to the date of mailing or electronic submission (7 if over threshold; **see footnote
below for threshold definitions). Original forms or letters that require AOR signature should be provided to ORSP earlier than
this for advance review. Any sponsored program applications with legal documents included should allow 1-2 weeks additional
time for review and possible legal counsel consultation.
Be sure to fully specify and obtain written approval of all matching commitments on the External Funding Approval Form,
including third-party contributions. If available, include the specific account from which each portion of the University match
will be drawn, and/or specify a schedule and plan for providing the resources.
If only an abstract/scope of work and budget were provided to ORSP with the External Funding Approval Form, please provide
a complete copy of the full proposal plus all attachments to that office for final review and filing purposes.
III.
SUBMISSION
In the case of last-minute questions or revisions pursuant to institutional review and approvals, PIs must be available for
necessary consultations, preferably in person or via phone.
As soon as the External Funding Approval Form is signed, ORSP will obtain any Executive (AOR, Foundation, etc.) signatures
required on forms or letters. The Project Initiator will be contacted immediately when this process is complete so that the signed
materials can be inserted in the submission packet, if hard copy submission. If electronic submission, ORSP can scan signed
letters for uploading, at the Project Initiator’s request.
• In the case of a hard copy submission, ORSP will coordinate mailing of the final proposal, unless the Project
Initiator requests otherwise. The preferred form of mailing is via FedEx to ensure fast delivery and accurate tracking of
delivery and receipt. Final documents for hard copy proposal submission must be delivered to ORSP no later than noon (12
pm) on the mailing date.
• In the case of an electronic submission, all proposals must be submitted by ORSP personnel.
For NIH Applications: PIs are responsible to log in to the “eraCommons” website to see if their proposal contains any errors.
Errors must be addressed prior to the deadline or the proposal may not proceed to review. ORSP Leads are not able to access
these error messages, only PIs can access them (grants.gov emails are not reliable regarding these errors).
IV.
POST-SUBMISSION
Issues identified during the proposal approval stage that are not resolved prior to submission (e.g., IRB/ACUC approval, cost
sharing account numbers, additional space requirements) must be resolved prior to award acceptance. ORSP will communicate
these issues to the PI (with a copy to the Dean), but it is the PI’s responsibility to provide documentation of their resolution prior
to award acceptance.
Please copy an ORSP representative on all post-submission communications with the funding agency (either email or hard copy
letters). If additional information is requested by the funding agency, ORSP is available to help you coordinate a response. If
you choose to respond directly to the funding agency, provide ORSP with a copy of revised and/or additional information
submitted in support of your proposal.
Please note that as the submitting organization is Cal Poly Pomona Foundation, Inc., ORSP is usually not directly notified of
any change in the status of your proposal (request for information, not funded, funded, etc.). Please notify ORSP of any change
in the status of your proposal, and provide copies of any correspondence from the funding agency (as noted above).
Contract proposals may involve additional steps. ORSP serves as your broker to negotiate terms and conditions during the preaward phase.
V.
TRANSITION TO POST-AWARD PHASE
FORMAL ACCEPTANCE OF AWARD: If you are notified of an award, immediately contact Debbie Schroeder-Linthicum
in the Grants & Contracts office in Cal Poly Pomona Foundation, Inc. The original letter or notification of award should be
forwarded as soon as possible to the Foundation, with a copy sent to ORSP for the file.
Do not expend or commit any grant/contract funds prior to notification from the Foundation that your account has been
established.
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DECLINE: In the event your proposal is not funded, please notify ORSP as soon as possible. We would be happy to assist with
interpretation of reviewers’ comments, assessment and targeting of your concept, and revisions to enhance the competitiveness
of your proposal for resubmission.
GRANT START-UP AND MANAGEMENT: Now that you are officially a Project Director, the Foundation will provide you
with details of the terms and conditions of your award, grants management policies and regulations, audit requirements, and
Foundation procedures. The Foundation will also provide you with the “Grants and Contracts Administration Guide” and other
materials that will guide you from the start to finish of your grant. Congratulations!
** Thresholds. The process for the submission of grant proposals involves two different approval processes. One process allows the AVP for
Research to approve submission of proposals that fall under three specific thresholds:
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Annual direct costs of $250,000 or less;
Effective indirect cost rate of at least 25% on annual costs of $100,000 or less;
Annual cost-sharing of $20,000 or less/year (other than CPP in-kind costs or matching assigned time and related fringe benefits).
Submission of proposals that exceed any one of these thresholds requires approval by the Provost and VP for Administration – these proposals
require two additional working days to process because of the additional complexities and levels of review.
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