Chapter 9 : PI Roles & Responsibilities (Pre-award)

Activity: Identify funding opportunities; review, understand, and clarify funding opportunity guidelines.

Notes: PI may independently identify funding opportunities. Office of Research Development (ORD) assistance may include prospecting by Hanover Research. The Office of Research and Sponsored Programs (ORSP) assistance may include clarifications with funders for instructions that are not clear. In some instances, ORSP will prepare a proposal submission checklist for PI's perusal, for planning purposes.

Oversight: PI; Office of Research Dev.; ORSP/ PreAward

Activity: Limited Submissions:  opportunities that limit number of proposals to be submitted by CSUSB

Notes: ORSP sends email to faculty regarding limited submission opportunities; deadline identified for faculty to express interest. If there are more interests than slots available, an internal competition may be done, assuming there is sufficient time for such activity. The Review Committee generally consists of the Associate Provost for Academic Research (APAR), ORD Director and Deans. Depending on opportunity requirements, the Provost may provide a final decision for selection.

Oversight: PI; PI's Department/College; Office of Research Dev.; ORSP/ PreAward; AP for Research

Activity: Identify general ideas of needs, focus, etc. as consistent with program opportunity requirements.

Notes: PI is highly encouraged to discuss general ideas with the Program Officer. PI may also discuss with ORD or Hanover or grant writing consultant, as applicable.   

Oversight: PI; Office of Research Dev.

Activity: Identify subrecipients and institutional collaborators, consultants, Advisory Board, etc.

Notes: PI generally identifies/selects their research team which may include external institutional collaborators, consultants, advisory board members, etc.

Oversight: PI

Activity: Identify subrecipients and institutional collaborators, consultants, Advisory Board, etc.

Notes: PI generally identifies/selects their research team which may include external institutional collaborators, consultants, advisory board members, etc.

Oversight: PI

Activity: Ensure subrecipients registered with sam.gov; not debarred;  gather budget/budget justification, statement of work, Subrecipient Commitment Form, and any other submission requirements as requested by prime funder.

Notes: Once external collaborators are identified, ORSP will request contact information from PI. ORSP will contact and work with Subrecipient, consultant, and other external collaborator on required documents. PI may be involved in some communication with subrecipients and external collaborators, as appropriate.

Oversight: PI; ORSP/ PreAward

Activity: Develop grant budget and budget justification

Notes: Develop grant budget and budget justification

ORSP works with PI to identify budgetary needs based on the scope of work and project activities. Project Narrative and Budget should always be aligned. In some cases, PI may consult with department budget analysts on their standard rates --- for example, how much do they normally pay their RAs.

Oversight: PI; PI's Department/College; ORSP/ PreAward

Activity: Cost-Sharing: review requirements as required by program solicitation/agency guidelines.  Initiate, confirm source(s)/approve sources of cost sharing, and obtain/approve cost sharing commitment.

Notes: * Voluntary cost-share is  not encouraged by CSUSB. Voluntary, committed cost-share, is included when program guidelines suggest that match will help with more favorable review.                                                     * Sources of CSUSB cost-share are normally PI effort and contributions from the department and college. PI identifies any external cost-share which are generally documented via cost-share commitment letters/documents.

Oversight: PI; PI's Department/College; ORSP/ PreAward

Activity: Identify any facility/space needs.

Notes: It is important that if a PI/PD requires additional space (office, laboratory, etc.) that is not already assigned to the PI/PD/project, contact the Division of Finance, Technology and Operations (FTO) - Facilities, Planning and Space Utilization Manager. See FTO contacts at https://www.csusb.edu/facilities-planning-management/meet-our-team

Oversight: PI; PI's Department/College; ORSP/ PreAward; CSUSB FTO

Activity: Identify any other compliance needs and/or risk management items as they apply to proposed projects: Human Subjects (IRB), animal research (IACUC ), Environmental Health and Safety (EHS)-related items, export control, data security, etc.

Notes: Appropriate contacts from various units involved including, but not limited to, Sponsored Programs (SP) Compliance Officer, FTO (Information Technology, Risk Management. EHS, etc.) will be alerted prior to the start of the project. NOTE: The EHS Director   and the Vice President FTO are included in the proposal routing approval chain.

Oversight: PI; PI's Department/College; ORSP/ PreAward; CSUSB FTO; SP Compliance Officer

Activity: Review proposal for completeness and compliance with submission guidelines.

Notes: CSUSB State cayuse approval is from VP for Administration/CFO or designee.

Oversight: PI; PI's Department/College; ORSP/ PreAward

Activity: Send proposal to sponsor

Notes: ORSP generally submits to sponsors. However, there are times when a sponsor specifically requires PI to submit.

Oversight: PI; ORSP/ PreAward

Activity: Review award terms and conditions for acceptability.  Negotiate terms and conditions with the sponsor, as needed.

Notes: ORSP is primarily tasked with the review and negotiation of contractual terms and conditions; PI are asked to review and confirm acceptance of programmatic requirements (i.e. scope of work, reporting, deliverables); SPA may be involved in review of financial reporting requirements, invoicing, insurance.

Oversight: PI; ORSP/ PreAward; SPA /PostAward

Activity: Identify any compliance and risk management items.

Notes: ORSP includes SP Compliance Officer and appropriate offices in ORSP's notification of receipt of notice of award to PI/PD. In the email notice/congratulations to PI, ORSP specifies any compliance or risk management items identified at the proposal stage.

Oversight: PI; ORSP/ PreAward; Associate Provost for Research; SPA /PostAward; CSUSB FTO; SP Compliance Officer