Office of Research and Sponsored Programs

Quick Access Guide of Procedures and Processes

Action Pre-Award Post-Award
Award Amendments N/A Many times during the life of an award changes are needed these changes can include but are not limited to the following:

-Changes in PI
-Change in Co-PI
-Change in Institution
-Change in Scope of Work
-Modification of Subrecipient

In any of these cases it is important that you immediately notify ORSP of these changes.  Loss of funding may result if these matters are not contractually negotiated and may put the PI and University at risk.  All award amendments must be processed through ORSP. 
Closeout N/A 90 days prior to expiration of the award period PI should notify ORSP if NCE is needed.  If so, see award amendments section.  30 days prior to expiration of the award, PI must notify ORSP of all personnel who need to be transferred off the award and make appropriate arrangements with HR.  PI and ORSP must resolve all outstanding vendor accounts.  PI and ORSP must meet to verify final fund balance is correct.  Within 90  of award close, PI must submit final technical report to Sponsor (cc - ORSP) and ORSP will work with PI to submit Final Financial report.
Computer Purchases Include in budget to sponsor Please work with ORSP and Procurement to get the computer.

A Purchase Request will be needed along with a quote from the vendor.

You may also purchase it through the University bookstore. First complete a purchase request form (here), If necessary, ORSP will create a book store account for PI. If computer will be used to support more than one project, cost must be divided proportionally among funds.   When computer arrives, PI must ensure equipment has been tagged by ORSP and Complete Inventory Control Form.
Copy Charges   Please See Recharges Section.
Cost-Sharing or Matching Include in budget to sponsor This is the portion of a project or program costs not borne by the Federal Government.   If an award requires cost sharing PIs are  required to track and report all forms of cost sharing to the Federal Government.  Cost-sharing contributions include cash and third part in-kind, unrecovered indirect costs, volunteer services, donated supplies/equipment.  To report cost sharing complete the Cost Share form (here) and submit to ORSP.

ORSP strongly discourages voluntary cost-sharing.  Voluntary cost-sharing is often used by PIs to strengthen their proposals however; this is NOT recommended. In the event an award is made and voluntary cost-sharing is included, the cost-sharing amount becomes mandatory cost-sharing and PIs will be required to report this.  Some sponsor's will reject proposals in which voluntary cost-sharing is included.
Cost Transfers N/A Expense transfers need to be well documented in order to ensure they satisfy the cost allowability of the award being charged.  Allowability means:

The expense must be allowed under the terms and conditions of the award,
The expense must benefit the award charged,
The expense must be reasonable (pass the prudent person test),
The expense must be consistent with university policy and
The expense must be transferred within a timely manner (within 120 days). 

Proper justification for the transfers must be provided upon requesting a transfer.  To initiate an expense transfer contact Tian Yu.  Be prepared to provide all relevant information to justify reason of transfer.  Most common reasons include (clerical error, key entry error, redistribution of costs, etc.).  
Duplicating Costs Include in budget to sponsor Please See Recharges section.
Equipment Purchases  ($5000 +) Include in budget to sponsor Please Contact Procurement Department 
Equipment Transfer N/A To transfer equipment to another institution, please contact ORSP Director.
Financial Reports  N/A Sponsor Required: 
For agencies in which financial reporting is required please work with ORSP to submit as these reports may vary according to sponsor.  In order to ensure accuracy in your reports PIs should work closely with ORSP staff.  Federal agencies may require online financial reporting through their designated portals or may require use of FFR SF-425.  These forms require approval from ORSP prior to submission.

PeopleSoft Monthly Reports:
Financial Reports are an important tool for PIs to manage their research endeavors and can be obtained through our PeopleSoft Financial Management System.  PI's and their assistants are strongly encouraged to obtain personal access via their own personal accounts by clicking (here).  ORSP will also provide these reports on a monthly basis via e-mail.  If you would prefer to receive these reports via hard copy please contact ORSP directly.  
Food Must be included in proposal. Sponsor approval is required for all food purchases.  Food purchases must be done in accordance with sponsor guidelines and university policy and procedures.  Before committing funds to food purchases, PI must complete both ORSP's hospitality form and the University's hospitality form. Without these forms on file ORSP will not approve the food purchase.  For payment, PI must sign and submit the invoice to ORSP.  ORSP will route both the university hospitality form and invoice for payment.
Gift Cards Include in budget to sponsor Gift Cards are not allowed to be purchased using Federal funds due to allowability issues.  Prior approval (Purchase Request) is needed along with flyer or announcement of when the gift cards will be given out. The Recipient Gift Acknowledgement Form (here) will need to be filled out and signed by each individual person who receives a gift card.  In some cases, sponsor approval will be required.
Hiring Personnel Include in budget to sponsor Please Contact Human Resources.
Honorarium Include in budget to sponsor May be paid for lecturers, speaking engagements, panel participation, manuscript review, workshops and seminars if pre-approved by the sponsor.

Please submit the following forms for approval:
-Purchase Request Form (Pre-Approval)
-Invitation letter/commitment letter
-Honorarium Payment Request Form
-Short Term Limited Scope Form
-Vendor Data Record Form

Please allow 4 weeks for processing. 
IACUC See "Human and Animal Subjects" sections on ORSP website Please Contact  Anne Wing
Independent Contractors (Consultant Agreement) & Professional Services Provider Include in budget to sponsor Determine if Vendor has been debarred. Check on or

Regardless of value, services are initiated through submission of a Purchase Request Form (here) from the PI and the PI will work with the IC/PSP to compete the following forms.

If the IC is a University employee:
-Faculty Appointment Form
-Scope of Work
-Special Consultant Appointment
-Special Consultant Payment Request

If the IC/PSP is NOT a University employee:
-Purchase Request
-Vendor Data Record Form
-Commitment Letter
-Scope of Work
-Request for Contractor Quotation
-Contractor Budget
-Sole Source Justification

Note: There are no forms or template for Commitment Letter or Sole Source Justification. Please work with the IC to complete these items.

The completed forms are sent to ORSP who reviews for allowability and approval of funds. Additional information may be requested after review of the request.  ORSP will work with the procurement department to finalize agreement.

Because service purchases typically take longer to process, PIs are advised to allow four weeks from the date the Purchase Request is received to process the request. 
IRB See "Human and Animal Subjects" sections on ORSP website Please Contact  Anne Wing.
No Cost Extension N/A Please See Award Amendments.
Overload (additional employment over 100%; 125% max) Include in budget to sponsor Complete Faculty Appointment Form. This form must be signed by both the faculty member and his/her Dean, certifying the release of the faculty member to the grant and the current faculty overload if any.  The FAF must be received by ORSP by the 25th  of the preceding month (e.g. January 25th).  The Department/College will also update the faculty member’s PeopleSoft record to reflect the new time base if required.  
P-Card (Purchasing Items Under $2,500)   Please See Policy: .
Progress Reports N/A PI are responsible for the day-to-day operations of their grants and are required to submit these reports on time.  Reports are usually submitted annually however some awarding agencies may require quarterly or semi-annual reports.   Performance reports will not be required more frequently than quarterly.  Annual reports shall be due 90 days after the grant year, quarterly or semi-annual reports shall be due 30 days after the reporting period.  The final performance report will b due 90 days after the expiration or termination of grant award.  In some cases, an additional extension may be permitted however such an extension must be approved by the sponsor.

Please note:  Failure to submit these reports on time could resort in funding delays.
Proposal Submission See "Funding Information" section on ORSP website.  N/A
Recharges   Recharges are ongoing and repetitive goods and services that benefit the PI and their projects.  The university must recover these cost by charging the expense to the appropriate PI and their fund.  PIs should be aware that recharge expenses will be directly billed against their grants (when applicable) and PIs must approve all recharges prior to ORSP providing approval.  
Release Time Include in budget to sponsor Complete Faculty Release Time Form. This form must be signed by both the faculty member and his/her Dean, certifying the release of the faculty member to the grant and the current faculty overload if any. The FRT must be received by ORSP by the 25th  of the preceding month (e.g. January 25th). The Department/College will also update the faculty member’s PeopleSoft record to reflect the new time base if required.  
Scholarship Payments Include in budget to sponsor EDUCATIONAL – PI will identify the students to be paid the scholarship/stipend, verifying all grant requirement related to eligibility and allowability have been met.  These funds are first applied directly to any tuition or other costs associated with the students CSUEB account balance. 

Submit these forms to ORSP for approval.
-Purchase Request Form (Pre-Approval)
-Scholarship Disbursement Form
-Scholarship Recipient List
-A signed contract/award letter for each person receiving a scholarship.

Completed forms will be forwarded to Financial Aid office for further processing.  Please allow four weeks. Note: Students who currently receive financial aid will have their financial aid adjusted in accordance with federal guidelines regulating the maximum disbursement of Financial Aid. Contact Financial aid office for additional information.
Stipend Payments Include in budget to sponsor NON-EDUCATIONAL – Stipends may be awarded to individuals for services when it is difficult or impractical to determine the exact level of effort required to complete the service. (Example: Paying a mentor for his/her time advising students.).

Submit these forms to ORSP for approval.
-Vendor Data Record Form (For each individual)
-Purchase Request Form (Pre-Approval)
-Stipend Disbursement Form (Ideally submitted with Purchase Request)
-A signed contract/award letter for each person receiving a stipend
-Stipend Acknowledgement Form (For IRS Reportability)
-Check Request (For each individual)

Note:  Students who do not fulfill the requirements that are outlined for stipend or scholarship payments may be required to pay back the monies given to them. It is the responsibility of the PI to monitor that all grant specific requirements are met. If it is determined that student(s) must pay back monies contact ORSP directly. For stipends that are not reported by the University, it is the participants responsibility to work with their tax person to assure that they are reporting their income in accordance with the IRS rules and regulations.
Subcontract Include in budget to sponsor;

Obtain the following documents from subrecipient(s):
-Completed and Signed Subrecipient Commitment Form
-Biographical Sketch/CV (sponsor format )
-Budget Justification
-Letter of Support
Determine if Subrecipient is debarred: or

These are awards made to legal subrecipient(s) entity to which the subrecipient is accountable to CSUEB for the use of the funds provided.  To establish subaward PI's are required to complete and submit the following documents for each subrecipient:
1.  Subrecipient Request Form
2.  Purchase Request Form
3.  Scope of Work
4.  Budget
5.  Budget Justification
6.  Biographical Sketch

In addition to the above, the subrecipient may need to complete a vendor request form if they are not listed as a vendor in our system.

The completed subaward request form plus supporting documents must be forwarded to ORSP.  On average it takes 4 to 6 weeks to review and establish an agreement.  PIs are advised to notify subrecipient to not begin work until the agreement has been signed by both institutions.  Award are made on a yearly basis and will require to year to year renewals.  Prior to project period ending PI should contact ORSP to update and renew sub-agreements.

Once the agreement has been established, *PI's must submit a Purchase Request Form (here) and submit the form to ORSP.  ORSP will review and use this form to create a PO# and notify the subrecipient to reference the PO# on all invoices.  PI's are required to review and approve all invoices received from the subrecipient on a monthly basis.  Invoices that have been approved for payment must be signed and forwarded to ORSP.
Supplies (Items < $5000) Include in budget to sponsor Please See P-Card
Travel  Include in budget to sponsor PIs must complete Travel Pre-Authorization Form four weeks in advance.  International Travel requires Presidents signature 45 days in advance. Signed form 261 (authorization to use privately owned vehicles on state business).  This form must be completed annually.
1.  Complete Travel Pre-Approval Form. Without this form ORSP will not approve the travel expense.
2.  Flights: Can be booked using NORWALK travel consultants. 
Note:  PIs who frequently use Travel Consultants can create their own profile with the agency.
3.  Car Rental: Can be booked using the University's Coorporate Account with Enterprise.
4.  Hotels: A Purchase Order can be created to pay the hotel directly. The invoice from the hotel is needed. A Vendor Data Record Form is needed from the hotel before any check is issued. Please work with ORSP directly at least 4 weeks prior to travel to ensure the hotel can be paid for.

For PIs traveling more than once a month, Defensive Driving course is required (done once every 4 years):  
Travel Reimbursements Include in budget to sponsor Complete Travel Pre-authorization form at least four weeks in advance.  International Travel requires Presidents signature 45 days in advance.

Along with Travel Claim Form (here) PI must provide ORSP with copies of the following: 
1.  Conference flyer/agenda,
2.  Airline receipt,
3.  Parking receipts,
4.  Taxi receipts,
5.  Hotel receipts,
6.  Car Rental receipt,
7.  Toll Receipts

Please refer to the University Traveel Guideliens if you have questions:

Please note, if receipts are unavailable, a copy of your credit card statement is required. No receipt necessary for per diem – no receipt).  PIs are advised to submit Form + Receipts within four weeks of returning from travel. Trips in a previous fiscal year will not be reimbursed.  *Signed form 261 (authorization to use privately owned vehicles on state business).  This form must be completed annually.
Volunteering N/A Please Complete Volunteer Form 
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