Principal Investigator Grant Manual

Updated Apr 10, 2025

Overview

The Office of Research and Sponsored Programs (ORSP) supports faculty, staff and students who engage in scholarly endeavors that involve the pursuit of and/or participation in grant-funded initiatives. The University recognizes the legal responsibilities of grant recipients and the complexities involved in grant administration, and has delegated the role of Sponsored Program Administrator to ORSP. Pre-and post-award staff assist PI’s with proposal development and submission, as well as the day-to-day grant management of funded projects, complying with sponsor requirements, University policies, and applicable federal and state laws. PI’s are able to focus their time and attention on their research or programmatic aspects of their projects, ensuring their success on the sponsored activity.

The PI Grant Manual has been produced by ORSP to inform Principal Investigators, Co-Investigators, Senior Key Personnel, staff and other personnel engaged in the administration of sponsored research about applicable policies and procedures governing grant related work at CSUEB. Throughout the manual, you will find embedded links providing more information about certain policies and/or processes. The ORSP website also provides a complete list of policies and forms for reference.

Table of contents

Finding and Preparing Grant Applications

The ORSP staff monitor grant announcements by federal and state agencies, non- profit organizations, foundations, the CSU Chancellor’s Office and its Affinity Groups, and many other lists. Online databases and other resources for finding funding opportunities are available on ORSP’s Pre-Award website.

Once a funding source has been identified, the PI should initiate a proposal entry in Cayuse at least 30 days prior to the sponsor’s submission deadline. ORSP staff will prepare a timeline for the preparation of the necessary components of the grant submission and required campus forms and pre-approvals that need to occur before the grant submission. While specifics vary from grant to grant, when preparing the proposal PIs will need to do the following before the submission of the grant proposal:

communicate budget needs for proposed budget
determine whether individuals paid on grants are University employees, subrecipients or independent contractor
submit a subrecipient commitment form if there is a sub award to an outside entity.
complete the Statement of Economic Interests for Principal Investigators (700-U) and/or sponsor specific Conflict of Interest disclosures. More information is available in the Conflict of Interest Procedures.
determine if any cost sharing is involved and, if so, secure necessary documentation of the commitment and approval ORSP strongly recommends that the proposal does not include cost-sharing if it is not required by the sponsor.
determine if the proposed research involves human subjects. Detailed information about the Institutional Review Board (IRB) and research involving human subjects can be found on the IRB website.
determine if the proposed research involves vertebrate animals. Detailed information about the Animal Care and Use Committee and requirements regarding research on vertebrate animals is available on the IACUC website.
determine if the project involves international travel or collaborators

Once a semi-complete narrative and the final draft of the budget are complete, the ORSP staff will initiate the routing in Cayuse to obtain required campus signatures for submittal. The ORSP staff will also submit the final proposals and will maintain a copy for the University’s records.

Normally, faculty may “buy out” a portion of their instructional load for research or program administration. The Guidance on Grant-funded Faculty Buyout explains the calculation of release time costs in grant proposal budgets. Faculty should consult their Chair and Dean regarding grant-funded re-assigned time

Indirect costs (IDC) reimburse the University for expenses incurred in supporting project funded by grants and contracts from outside agencies. Current IDC rates and more information is available in the Indirect Costs Policy.

The Cayuse approval/certification process includes a statement regarding debarment or suspension where an individual or entity is excluded from participating in federal transactions. More information is available in the CSUEB Policy on Debarment and Suspension for Federal Grants and Contract.

Before submission of the proposal, the PIs should complete the online Conflict of Interest training. Contact ORSP for access to the training module.

Role of the Principal Investigator (PI)

A Principal Investigator is the individual designated by the University (and by the Office of Research and Sponsored Programs given its role as the sponsored program administrator to assume primary responsibility, including compliance and safety, for all essential aspects of the work being carried out on the sponsored project. The primary responsibility of the Principal Investigator is to ensure the sponsored program’s success. The success of the program is measured not only by the intellectual merit of the research or the technical results, but also by our joint commitment to judiciously manage award funds and deliver on all obligations in accordance with the award. The authority granted to the PI is inextricably tied to the responsibility of conducting the grant in accordance with the approved proposal and budget as well as the all other guiding policies and regulations.

The Principal Investigator Policy identifies who may serve as a PI, the normal responsibilities of the PI, the reassignment of a PI, and responsibilities for multi-institutional grants.

a. Signature Authority

There are two kinds of signature authority: Program Authority and Purchasing Authority.

Program Authority: Only Principal Investigators may receive program authority for their sponsored program. This authorization enables the PI to approve requests for personnel actions, re-budgeting, and changes in project scope. Program authority is also required for submission of any official reports or requests to the program sponsor if the report or request needs to be certified by the university program official. The institutional official is ORSP.

Purchasing Authority: Only PIs, Co-PIs, and project coordinators may receive purchasing authority for their sponsored program. This authorization enables an individual to initiate and authorize expenditures against sponsored program funds. As Sponsored Program Administrator, ORSP is the final approver of all program expenditures. ORSP will provide the Delegation of Fiscal Authority for PIs.

Instructions on purchasing will be delivered at an award orientation meeting and will cover sponsor and University requirements that must be understood prior to spending program funds. Anyone granted purchasing authority has a fiduciary responsibility to spend the money solely for the benefit of the program and not for the personal benefit of others. PIs must familiarize themselves and adhere to University procurement guidelines.

b. Expenditure Tracking

Principal Investigators are responsible for monitoring the expenditures of their programs to ensure budget compliance. Budget compliance requires that: 1) individual line items of cost are not exceeded if specific amounts are set by the sponsor, and 2) the total overall budget is not exceeded. The PI should monitor his/her actual and planned spending closely. ORSP recommends the use of a spreadsheet to cross-check against the expenditures and balances on the monthly financial reports. The PI is granted delegation of fiscal authority to commit all expenditures and personnel assignments related to their project; budget overruns are the responsibility of the PI and his/her department/college.

The DataWarehouse financial reporting system provides daily transaction reports on program expenditures. This is an essential tool for PIs to use in tracking and planning expenditures against their approved program budget.

ORSP will provide guidance to the PI on access/use of the DataWarehouse system. Any PI needing assistance or training with this should call and make an appointment with the ORSP Director of Grant Administration.

c. Staff & Contractors

Staff: The PI is the official supervisor of program staff, with responsibility to manage their activities. The PI must work with Human Resources anytime there is a need to discipline or terminate any employee. It is critical none of these actions take place prior to the involvement and approval of Human Resources due to the sensitive nature of these activities.

Contractors: “Contractors” include subcontractors, consultants, independent contractors, and vendors. The PIs role over contractors is to act as the technical representative of ORSP. This means the PI is responsible for the technical direction and monitoring of all contractors paid by the sponsored program. Part of these responsibilities includes closely tracking contractor activities to ensure required timelines and deliverables are met. The PI is also responsible for reviewing and approving invoices from contractors. The PIs approval on an invoice certifies that the goods or services have been satisfactorily received or rendered, the amount charged is reasonable and correct, and the cost is appropriately chargeable to the fund indicated.

ORSP should be immediately notified of any contractors who fail, or refuse to meet the requirements of their contractor agreement. All changes of work plans, deliverables, or budgets must be requested through ORSP.

d. Reports and Deliverables

The PI is responsible for the production and delivery of all reports and deliverables required by the sponsor. It is the PI’s responsibility to review the award for all requirements related to reports and deliverables to ensure that all reports and deliverables are completed, and deliver such reports and deliverables to the sponsor prior to applicable award deadlines. The Project Coordinator may help prepare all the required reports and deliverables, but it is the responsibility of the Principal Investigator to review and approve all reports and deliverables prior to delivery to the sponsor. Any signatures required by the Institution/Organization/Company official should be directed to ORSP.

The PI should coordinate request ORSP’s assistance in preparing any official financial reports specified in the award. All other reports remain the responsibility of the Principal Investigator. Copies of all annual and final reports along with proof of delivery should be forwarded to ORSP (electronic copies and PDFs are acceptable) for the official grant file.

e. Additional Employment (aka Compensated Effort)

Compensated effort is tracked via the Common Financial System (CFS). Non-compensated effort is tracked manually using a combination of cost sharing forms and time and effort certification forms. Regulations related to compensated effort are primarily located in section 2 CFR 200.430 in the federal guidelines.

Charges for work performed on Federal awards by faculty members during the academic year are allowable at the Institutional Base Salary (IBS) rate. IBS is the annual compensation paid by the University for an employee’s full-time appointment. For faculty who have an academic year appointment, the IBS rate is the total amount paid for their appointment. All applicable regulations and rules regarding total allowable employment must considered when calculating effort required of a specific individual. It should be noted that individuals working on multiple federal projects are not authorized to charge any combination of their time among federal awards for more than 100% of their time.

Additional Employment, including Overload and Summer

Faculty will consult with ORSP post-award staff and complete required paperwork for AY additional employment, including summer pay. The University has set forth an Additional Employment Policy that “establishes reasonable limits on the total amount of employment an individual may have within the CSU system.” Employment funded by grants (including release and overload) counts towards total CSU employment. The current maximum for CSU employment is 125% time-base.

More information about Additional Employment/Compensated Effort can be found in the ORSP Policy Library, the ORSP Compensated Effort Policy, and the Faculty Additional Employment Guidelines.

Release Time Paid from the Grant

Faculty will consult with ORSP post-award staff and complete required paperwork for release time, and ensure their release time is approved by their chair and dean.

f. Cost Sharing/Matching

PIs who receive awards that include cost sharing requirements (mandatory or voluntarily committed) must adhere to CSUEB’s Cost Sharing Policy to properly certify and report cost sharing amounts to the sponsor. Cost sharing must be reported semi-annually using the Cost Sharing/Matching Contribution Form.

g. Safety Rules and Procedures

One of the most important roles of the PI is to ensure the safe and responsible conduct of sponsored programs. The PI should not authorize any activities that present an unreasonable risk of injury or harm to life or property. Furthermore, the PI is responsible for communicating any elements of risk that may be present in activities required by the sponsored program to all potential participants.

The PI is also responsible for ensuring compliance with all rules and regulations concerning staff, subrecipients, program participants, human subjects, animal, and environmental safety, including adherence to IRB and IACUC guidelines, research or lab protocols, and any other requirements established by the sponsor or University.

Human Subject Program Participants: Programs with Human research subjects must obtain IRB approval and require all participants to sign an informed consent form prior to participation in the program. All researchers using human subjects doing non-exempt research are required to pass an online Human Subjects Research Training Course. This includes the PI and co-PIs, and all research technicians, research assistants, or student assistants who have contact with the research subjects. Further information on human subject research requirements is available on the IRB website.
Contact with Minors: All program staff who will have contact with minors during program activities must submit to and pass fingerprinting and background the Staff will also need to have current tuberculosis immunization shots and be certified TB-negative. There are strict state requirements prior to contact with any minors. Contact the Office of Human Resources to learn the steps to gain the necessary clearances.
Participant Travel and Off-Site Activities: Programs that require participants to travel or engage in off-site activities outside the office or classroom must obtain approval prior to the proposed travel or activity by using the Travel Authorization Form. The form should be submitted at least 30 days prior domestic travel. Special event insurance may need to be purchased (this will be a direct cost to the program) and if so, the proposed activity must not occur until the insurance is in place. If approved by ORSP, the program must have all participants sign a Waiver of Liability prior to allowing participation in the travel or activity. Contact the Office of Risk Management for more information. It is possible for some programs that both the Informed Consent and University Waiver of Liability will be required.

h. Property & Equipment Management

Equipment purchased from project funds may only be used for authorized sponsored program purposes. Policies and procedures on equipment can be found on the Property Management website.

The PI must immediately report to the University Police Department and ORSP all instances of damage, destruction of, or theft of inventoried equipment. In the case of theft, a police report must be sent to ORSP along with a written account of the circumstances.

For each item of equipment, at the time of delivery, PIs must ensure that equipment purchased has been tagged by Procurement with a CSUEBF tag. If the equipment has not been tagged then PIs should contact Property Control and notify ORSP as soon as possible.

For the further information about Equipment policies and procedures, please go to the ORSP Policies, Procedures, and Resources page.

i. Export Controls

PIs as individuals and the University can be subjected to significant penalties for any violation of US export controls that have been established to protect the national security and foreign policy interests of this country. Export controls govern the shipment, transmission, or transfer of regulated items, information and software to foreign countries, persons or entities. Review the the Export Control Policy and other resources in the ORSP Policy Library for more detail.

Award Set Up

a. Pre-award Spending

PIs should not begin project activity or incur costs for a project prior to ORSP’s signature of the grant or contract award. Some sponsors allow pre-award spending but this is at the risk of the department or college if the proposal is not awarded. Many sponsors do not allow pre-award spending under any circumstances, and expressly disallow costs incurred before the date of award. For these reasons, all pre-award spending must have the prior approval of the college/department and ORSP. Do not incur any costs or authorize any obligations for an unawarded proposal until both these approvals are received. Pre-award costs or obligations incurred without ORSP approval is solely at the risk of the PI and his/her college.

b. Responsible Conduct of Research

Some sponsors (NSF, NIH, USDA-NIFA) require training on ethics or the responsible conduct of research for undergraduate students, graduate students, and postdoctoral students. Click here to access the CSUEB policy on the responsible conduct of research; more information on the responsible conduct of research, including training, is available in the ORSP Policy Library.

c. Award Orientation

At the outset of a funded project, the PI and CO-PI will meet with ORSP staff for a new award orientation. During the orientation, the PI will be briefed on policies, procedures and forms needed for 1) spending their grant funds 2) accounting and tracking of expenses, 3) budgeting, 4) reporting, 5) compliance of sponos, and 6) for securing amendments and final close-out processes.

At the orientation meeting, the PI will receive the chartfield string which is composed of six chartfields: Account, Fund, Dept. ID, Program, Class, Project. Each chartfield serves a different function Chartfields are separated by dashes and a blank chartfield string looks as follows:

Account - Fund - Dept ID - Program - Class - Project

d. Rebudgeting

Changes in a project's approved budget must be coordinated with ORSP and may also, in many cases, require prior approval by the sponsor. Certain governmental funding sources are particularly restrictive regarding budget changes.

Research Compliance

a. Human Subject Research

The Institutional Review Board (IRB) is charged with protecting the rights of human subjects who participate in research on or through this campus. This includes research conducted by all CSUEB faculty, staff and student investigators, and also research by investigators from other institutions or agencies who are working in conjunction with CSUEB in any capacity. The IRB is responsible for ensuring that human subjects are informed about and protected from any unnecessary risks that may be associated with participating in research. More information is available on the ORSP IRB website.

b. Animal Research

The Institutional Animal Care and Use Committee (IACUC) promotes and ensures the humane and ethical treatment of animals used in teaching and research. More information is available on the ORSP IACUC website.

c. Drones and Unmanned Aircraft Systems

All faculty, staff, and students who wish to operate a UAS/UAV (drone) on campus must work with Office of Research and Sponsored Programs (ORSP) to ensure appropriate legal use. Unauthorized drone flights on campuses are a violation of federal law. More information is available in the CSUEB Guidance on Drone Use.

d. Scientific Misconduct

Fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conducting, or reporting research are considered misconduct. See the guidance document on Research Misconduct.

e. Responsible Conduct of Research

CSUEB requires training and oversight in the ethical conduct of research for all undergraduate students, graduate students and postdoctoral researchers who are supported by grants from the NSF, NIH, and USDA-NIFA. The Responsible Conduct of Research Policy and other resources are available in the ORSP Policy Library.

f. Export Control

US export controls exist to protect the national security and foreign policy interests of this country. Export controls govern the shipment, transmission, or transfer of regulated items, information and software to foreign countries, persons or entities. More information is available in the Export Control Policy.

g. Sexual Assault and Harassment

糖心Vlog, 糖心Vlogy is committed to creating and maintaining an educational, working, and living environment free from all forms of harassment and sexual misconduct. The University’s policies prohibit such harassment and misconduct and apply to all members of the University community. See the Sexual Assault and Harassment Procedures on the ORSP Policy Library regarding reporting requirements for grants.

h. Other Compliance Issues/Additional Requirements

If research specific issues or compliance-related items not mentioned above are involved in your project, please work with ORSP to