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 days of the award close, the PI must submit the final technical report to the sponsor (cc - ORSP) and ORSP will work with PI to submit the Final Financial report.


After a project’s cash deficit or surplus has been resolved the project will be inactivated. ORSP will draft the Project Financial Summary/Cumulative Financial Report and Closeout Checklist for the PI to sign; the PI signs for his/her responsibilities of projects performed under sponsor guidelines and governmental regulations by signing off this Checklist.


Once the grant account has been inactivated and officially closed out, the PI will be notified of the closeout completion. 
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 the PI. If a computer will be used to support more than one project, the cost must be divided proportionally among funds.  When the computer arrives, the PI must ensure equipment has been tagged by ORSP and complete an 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:

  1. Cash and third part in-kind
  2. Unrecovered indirect costs
  3. Volunteer services
  4. 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. 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 sponsors 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. 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, a 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, a PI must sign and submit the invoice to ORSP.  ORSP will route both the university hospitality form and invoice for payment.


Meetings, conferences, events, and activities on-campus need prior approval using Request to Spend Funds on the Hospitality, Food, and Beverage Form
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 a flyer or announcement of when the gift cards will be given out. The Recipient Gift Acknowledgement Form 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

As of July 1, 2014, all employees hired with external grant funds are hired through the University hiring process and are no longer employees of a separate foundation. ORSP works with PIs to determine the appropriate processes for hiring workers, and are responsible for verifying available grant funds.


New employees are recognized as either University employees or independent contractors, per IRS tests and requirements. IRS tests evaluate these categories:

1. Behavioral – Does the company control/have the right to control what the worker does and how the worker does his/her job?

2. Financial – Are the business aspects of the work’s job controlled by the payer? (How is the worker paid? Are expenses reimbursed? Who provides tools/supplies?)

3. Type of relationship – Are there written contracts or employee type benefits? Will the relationship continue? Is the work performed a key aspect of the business?


For more information regarding the specific steps and requirements for hiring personnel, please refer to the University’s Hiring Guide
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. If the total amount exceeds $600/year, honoraria are taxable and Form 1099 must be completed. Honoraria must be reviewed by ORSP to ensure compliance with sponsor restrictions.

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

Please allow 4 weeks for processing. 
IACUC See "Human and Animal Subjects" sections on ORSP website

Submit a signed copy to Dr. Rhea Williams (Office of Research and Professional Development).


The form should be completed and signed every 12 months of the active protocol.


An Annual Progress Report is required and must include:

1. Progress of proposed project goals

2. Unexpected problems with animals in the project

3. How problems were addressed.


A Protocol Amendment Form is required whenever a PI wishes to make changes to approved procedures. The form must be approved by IACUC before the change can occur.


An Animal Subject Request Form is required for submission prior to ordering animals for the approved protocol.


A Protocol Discontinuation Form is required for submission when protocol is discontinued (the Annual Progress Report is also required when protocol is discontinued).


Signed copies of all forms must be sent to: ORSP LI2310 c/o Anne Wing.

Independent Contractors (Consultant Agreement) & Professional Services Provider Include in budget to sponsor

Determine if Vendor has been debarred. Check on or

A short-term Independent Contractor is an individual who not only meets qualifications established using the IRS test (see, but is given a single lump sum of an amount under $5,000.  If student workers are currently being paid under this method but in reality are under day-to-day supervision, please refer to the hiring steps for student workers illustrated later in the Hiring Guide.


Paperwork can be submitted before or after the service has been completed. A PI must submit a Short-Term Limited Scope (STLS) Form and Vendor Data Record (VDR) to ORSP. For students, the PI must submit an Independent Contractor (Under $5,000)/Fellowship Payment Acknowledgement Form as well as a STLS and VDR. If driving on campus, the employee must provide proof of insurance and attach their auto insurance card to the STLS. If an employee is working with minors, a LiveScan must be completed before their start date.


Once submitted, ORSP routes the forms to Accounts Payable; for students, ORSP notifies Financial Aid. Accounts Payable will verify the vendor in CSUEB’s financial system, or create a new vendor account, and will issue payments. For student employees, Financial Aid notifies students of reductions in their financial aid after their packet has been reviewed.


Once payments have been made, they are recorded on the general ledger and are visible to the PI in the Data Warehouse.

For additional information, see the Short-Term Limited Scope Services Agreement & Express Invoice Business Process Guide available at


If IRS qualifications are met (see, an employee may be an Independent Contractor; the work may be short or long-term with any dollar amount threshold.


PIs must submit an Independent Contract Form to ORSP. PIs must also submit a packet to ORSP that include all of the following documents:

1) Purchase Request

2) Vendor Data Record (VDR)

3) Letter of Commitment from the contractor.


The Letter of Commitment must include a Statement of Work, budget, signature, and resume. The independent contractor must also attach a copy of their automobile insurance card to the STLS Form if they are to be driving on campus. Also, if they are working with minors, the independent contractor must complete a LiveScan.


ORSP will enter a requisition into the financial system and assist with creating a new Purchase Order (P.O.). Once the P.O. has been issued by Procurement, ORSP will notify the PI.  The independent contractor must then invoice the University for services rendered in accordance with the agreement. Invoices are to be reviewed by the PI, signed, and submitted to ORSP for payment. Once ORSP has reviewed the invoice against the grant agreement, they are to sign and send the invoice to Accounts Payable, who will issue the payment. All payments will be shown on the general ledger in the Data Warehouse. 

IRB See "Human and Animal Subjects" sections on ORSP website

Complete the protocol package:

1. Protocol Approval Form

2. Protocol Statement

3. Informed Consent document(s)


For non-exempt research, packets must also include a CITI Training Completion Certificate. Other documents that may be required are:

1. Recruiting script/text or recruiting flyers/letters/ads

2. Formal survey with the final questionnaire and interview questions

3. Permission letter to recruit/conduct research

4. Photo Releases (only if using photographs of participants)

5. Video Releases (only if videotaping participants).


Forms are available under the link “Forms and Templates”


Before submitting the Protocol and Informed Consent,  make sure all documents include the following requirements:

1. 12-point font

2. Template adapted to research

3. Language is simple and easy to understand

4. Personal agenda is separate from the research procedures (please use the template provided under “Forms and Templates”).


Informed Consents are also required to follow the template provided under “Forms and Templates” and use simple language that is easy to understand by all readers.


For non-exempt research, a Human Subjects Research Training Course must be successfully completed and passed. This is required of PIs, Co-PIs, research technicians, research assistants, and student assistants who have contact with the research subjects. 
No Cost Extension N/A

Most agencies require a notice of 10-90 days prior to an award’s original end date. ORSP must be notified for all NCE approvals requested/received from an award’s sponsor. ORSP is also responsible for updating appropriate departments of award amendments. The NCE request template is provided by ORSP analysts and must be printed on the PI’s department letterhead.


NCE must always include the following:

1. Justification for NCE with progress-to-date

2. Length of NCE, new end date, and new final report date

3. Estimate of funds expected to remain unobligated on the scheduled end date

4. Plan for use of funds during the extension period.


A Grants Amendment Form is filed after the NCE request is approved by the University; Accounting and University Advancement are notified (and provided with the attached Grant Amendment package).


For NSF awards:

  1. The first NCE is considered a “notification” and is approved by the grantee
  2. If more time is needed after the first extension, the second NCE is a “request” to be approved by NSF
  3. “Notifications” and “requests” are submitted by the PI via Fastlane.

For NIH awards:

  1. If the NCE is allowed on an NIH award, the link for the “extension” is posted under “status” of the NIH Commons 90 days before the award’s end date
  2. Once the link is posted, ORSP submits a request – to initiate the request, the PI submits a request to his/her ORSP analyst with the required information. 
Overload (additional employment over 100%; 125% max) Include in budget to sponsor

Complete Faculty Appointment Form and submit to ORSP. 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.  ORSP will create a spreadsheet that is then routed to Kathy Dulkie (Academic Affairs) to issue faculty contracts.  Dulkie verifies the overload does not exceed 125% of total workable hours, and notifies HR and ORSP of approval.


A monthly spreadsheet with chart field codes is issued to be billed for faculty time. PIs must submit a Special Consultant Request Form to Dulkie at the end of each month they are to be paid overload, which is received the morning of the fifth day of the month for payment by the 15th.


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)  

Holders must read, understand, and follow campus policy and procedures. Holders are responsible for purchasing allowable items related to award terms and conditions and obtaining the required supporting documentation. All questions are directed to ORSP.


Transactions are to be reviewed monthly with a detailed business purpose for each transaction, upon request for ORSP.


Eligibility for a P-Card is determined by the following conditions:

1. PI’s funding amount

2. PI’s administrative burden

3. Audit risk.


To obtain a P-Card the following are required:

  1. Send a completed P-Card Request Form to the ORSP Director
  2. The form should justify the need for a P-Card
  3. Provide explanation for how unallowable expenses will be covered in the even a PI/designee charges unallowable expenses while using the P-Card
  4. PI must specify the P-Card holder
  5. The form must be signed by the Department Chair/Dean/authorized departmental approver


PIs who are eligible for a P-Card must complete P-Card training and adhere to University guidelines for its use. Purchases for grant-related expenditures must receive approval from ORSP prior to receiving, and provide appropriate supporting documentation, otherwise the charge is disallowed or charged to the PI’s department. 
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

Faculty are required to submit a Faculty Release Time Form, which is signed by the PI, Department Chair, Dean, and ORSP. The form needs to be submitted to ORSP each quarter or release time.


ORSP will verify the available grant funds for release time and maintain a spreadsheet, which is submitted to Donna Arredondo in Accounting to track faculty on release.


All Accounting reimbursements for release time are provided via journal entry and occur on a quarterly basis. 
Scholarship Payments Include in budget to sponsor EDUCATIONAL – PI will identify the students to be paid the scholarship/stipend, verifying all grant requirements 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 participant’s 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.  Awards 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, PIs must submit a Purchase Request Form and submit the form to ORSP.  ORSP will review and use this form to create a P.O. and notify the subrecipient to reference the P.O. on all invoices.  PIs 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

Only materials and supplies used for the performance of a sponsored agreement may be charged as direct costs. “Stockpiling” is not a permissible way of using grant funds.


Items that are not considered supplies:

1. Equipment

2. Computers

3. Furniture.

These items need ORSP approval before being purchased. 
Travel  Include in budget to sponsor PIs must complete Travel Pre-Authorization Form four weeks in advance.  International travel requires President’s signature 45 days in advance. Form 261 (authorization to use privately owned vehicles on state business) must be completed and signed.  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 Fell Travel 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, a 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 President’s 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 Travel Guidelines if you have questions:

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