Proposal Preparation

Who We Are

The Pre-Award team is a division of the Office of Extramural Support (OES), a central service area within the Semel Institute. Our team provides local contract and grant proposal support, ensures department policy compliance and coordinates institutional approval prior to submission to the sponsor.



Office Pre-award Role General Contact Person Assignments
Semel Institute OES Preaward Team
First contact for all general proposal questions, access requests and intent to submit notices. OES Associate Director:
Elizabeth Lizaola
Pre-reviews all proposals before submission to institutional office for final approval. Preaward Coordinator:
Sarah Klein
Submits NIH proposals with annual budgets less than $500K direct costs.
Institutional Office:
Office of Contract and Grant Administration
Submits non-industry sponsored proposals (Federal, State, Non-profit sponsors) Grants & Cooperative Agreement Assignments Contracts & Incoming Subaward Assignments
Institutional Office:
Technology Development Group
Submits industry-sponsored non-clinical trial proposals/agreements. Industry Research Director:
Brian Roe
Reviews all incoming and outgoing material transfer agreements except those used in human clinical trial testing. Material Transfer Agreement Website Industry Research and Material Transfer Officer:
Kathy Wrobel
Institutional Office:
Clinical Trial Contracting & Strategic Relations (CTC & SR)
Submits industry-sponsored, UCLA defined clinical trial agreements. CTC & SR Contract Assignments
Reviews material transfer agreements from industry sponsors that will be used in testing in a clinical trial on humans. Material Transfer Agreement Website

Institutional Forms

Proposal Preparation

All proposals must include institutional forms in addition to the sponsor required documents
Financial Conflict of Interest
PI Exception
  • Extramural Proposal & Submission Summary referred to as “EPASS”
  • A summary checklist of items that need to be addressed prior to submission
  • Provides the Chair/Director endorsement of proposal
  • A Conflict of Interest (COI) refers to any situation in which an Investigator’s (researcher) financial interest(s) have the potential to bias a research project or cause harm to human subjects participating in a project
  • All Investigators defined as key persons must complete financial COI forms prior to each proposal submission
  • Employees with appointments that do not meet UCLA policy 900 eligibility requirements must obtain exceptional approval to serve in the Principal Investigator (PI) role
  • Semel Institute requests require an assurance signature by a Center Director and an approval Signature by the Chair/Director

How to complete

  1. Download* the EPASS PDF locally
  2. Fill in the requested proposal information
    EPASS Instructions
  3. Obtain PI(s) signature(s) on page 2

    • E-signature is acceptable

*In 2021, the Semel Institute will fully transition to the UCLA Electronic EPASS system

How to complete

  1. Identify the appropriate FCOI disclosure format for
    your proposal. Format is determined by sponsor type.

    • Department Financial Interest Summary Matrix
    • UCLA Federal Financial Matrix
    • UCLA State Financial Interest Matrix
  2. Complete appropriate form or online disclosure

How to complete

  1. Determine if you require PI Exception

    • Policy 900 describes PI eligibility requirements
      and exceptional approval policy
    • Policy 910 defines PI roles and responsibilities
    • List of Academic Titles with Academic Senate Membership
  2. Complete appropriate Semel Institute PI Exception
    request form with Center Director

    • Standard request Form
    • Project Scientist / Postdoc request Form
    • IRB Protocol request Form
Route Institutional forms for Chair/Director approval to with other proposal documents
If your proposal includes a subaward or multi-campus award review internal requirement forms here

Sponsor Requirements

Sponsor have different proposal requirements. Refer to checklists and tip-sheets by sponsor type below

Proposal Review Policy

All Semel Institute contract and grant proposals must be approved by the Department and the Institution prior to submission to the sponsor according to the timeline below.
WHY? Awards are issued to UCLA and not an individual PI and must be compliant with departmental and institutional policies. Sufficient processing time is required to conduct meaningful reviews and provide approval.

Proposal Review Timeline

Steps to Initiate Proposal Review

  • Step 1: Alert the Department (OES Preaward Team) of your intent to submit
    The PI/Preparer should send an email to to add the proposal to the department review calendar. Email to include the PI Name, FOA and Sponsor Due Date. The pre-award team will then send an email confirming internal review dates, minimum documents for review and checklists to aid with proposal preparation, if available.

    Intent to Submit Email Example

  • Step 2: Department review
    The PI/Preparer should email assigned OES pre-award team member proposal materials by the internal review due date (see Step 1). At minimum, OES preaward team will review budgets (including salaries and fringe rates), eligibility, and obtain chair approval on internal forms.
  • Step 3: Institution review and submission
    Once department review is complete, the Department (OES pre-award team) will forward proposal materials to one of the UCLA contract and grant offices for Institutional review, approval and submission to sponsor.

State/Local Government

Coming Soon!


Submitting a Proposal to a Non-Profit, Non-Government Sponsor?

Non-profits have their own guidelines, budget requirements and submission methods.

Step 1: Determine Eligibility per Sponsor Guidelines

    • Principal Investigator Eligibility: Does PI hold the required level of education, degree, experience, and UCLA academic title described by the sponsor?
    • UCLA Eligibility: Does the sponsor have any institutional eligibility requirements? UCLA is a public, nonprofit, educational institution exempt under Section 501(c)(3) of the IRS code.

Step 2: Figure out the Who/What/When of proposal submission

    • If submission is required through a sponsor website:
      1. PI must request access to the system
      2. Log in right away, review the submission screens and compare screens to the guidelines. Some sponsors include additional instructions in their e-system that are not included in the guidelines.
      3. Who needs to submit the application through the website? The PI or an Authorized Institutional Official? If the guidelines are unclear, review the application screens to determine who has the authority to submit. Email if submission by Authorized Institutional official is required.
    • Confirm due date and time:
      1. If due date is on a holiday, does the sponsor allow next-business day submission?
      2. If proposal must be submitted by an Authorized Institutional Official, the deadline will be 5pm PST regardless of the sponsor due time (UCLA closes at 5pm).

Step 3: Create Proposal following Sponsor Policy

    • Formatting Requirements and/or Sponsor Templates
    • Budget Policies: Does the sponsor specify an annual cost limit, salary cap, indirect cost policy, allowable / unallowable costs?
    • Detailed Budget and Justification: Per UCLA policy, prepare a detailed budget and budget justification even if the sponsor does not require you to do so.

Industry Clinical Trial

Coming Soon!

Industry Non-Clinical Trial

Coming Soon!

Outgoing Subawards

Including a subaward on your UCLA proposal?

  • In order to include a subaward on your UCLA application, you must provide a complete Subaward Package for each proposed subrecipient.
  • It is the responsibility of the UCLA PI/Preparer to work with the subrecipient to obtain a complete package.
  • The subaward package will be provided to the OES preaward team with your application for review (

How to prepare the subaward package

STEP 1: Review the List of Subaward Form Requirements to determine what documents are needed and who is responsible for completing them

STEP 2: UCLA PI completes, signs and dates the UCLA Subrecipient vs. Contractor form

  • If proposed entity meets the criteria for a subaward, move to STEP 3
  • If proposed entity meets the criteria for a contractor/vendor do not collect a subaward package

STEP 3: Set timeline to receive completed subaward package

  • It is recommended that subrecipients be given a deadline of 2 weeks prior to the sponsor deadline. This will allow the UCLA PI/Preparer to incorporate the subaward package into the overall proposal in time to meet the 8-business day deadline to the Semel Pre-Award Team (

STEP 4: Communicate Subaward Package Information to Subrecipient PI

  • UCLA PI/Preparer send email to Sub PI/Sub Preparer with instructions, timeline and form attachments. Include relevant proposal details such as: Sponsor Name, Funding Opportunity Announcement, Title of UCLA application, Project Period, List of required items from subrecipient for Subaward Package (see list in step 1) and any additional information (budget limits, salary cap reminders)
  • Review Sample Email Language here

STEP 5: Manage Subaward Timeline and Review Subaward Package

  • UCLA PI/Preparer must stay in regular communication with Sub PI/Sub Preparer in order to meet requested deadlines
  • Send reminders, and review documents for correctness/completeness ASAP (edits may be required)

STEP 6: Before Sending Subaward Package for Review, organize files into a Single Subaward Package File

  • UCLA Preparer will generate a single PDF of the Subaward Package (one PDF for each subrecipient) in the following order:
    1. UCLA Subrecipient vs. Contractor Form – signed by UCLA PI
    2. Subrecipient Commitment Form –signed by Subaward Institutional Official
    3. Scope of Work
    4. Detailed Budget and Justification
    5. Other requested documents
  • Name each Subaward Package PDF File using the same naming convention (Subaward 1_Duke, Subaward 2_UCSD)

STEP 7: If UCLA Proposal is submitted via Cayuse Only:

  • Upload Subaward Packages under the UCLA Proposal Summary / Supporting Documents section rather than the individual subaward Proposal Summary option. It is easier to review internal forms if they are housed in one place

Supporting Documents Summary

Commonly Used Forms

Dowloading NIH Forms