dcg proposal process presentation
TRANSCRIPT
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Department of Contracts & Grants (DCG)
- Roles and Responsibilities
- Review of the Proposal Process
Angie Karchmer
Senior Contract and Grant Administrator
Sara Judd
Director, Department of Contracts and Grants
October 26, 2010
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DCG at Rossier.Why are we here?
Provide a forum for information exchange to
maximize communication
Enhance collaborations to facilitate seamless
research administration support
Provide a true research support team
Provide outstanding customer service
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DCG at Rossier.Why are we here?
We are your partners in research!
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Roles & Responsibilities
Who does what????
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Review and endorse proposals on behalf of the
University of Southern California
Negotiation/acceptance of awards & amendments
Liaison with sponsor for administrative matters
Coordinate and endorse prior approval requests
Interpretation of award requirements
Compliance reviews
Special agreements, e.g., Confidentiality and Teaming
Agreements
Facilitate award closeout
DCG Responsibilities
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Principal Investigator (PI) Responsibilities
Responsible for the overall conduct and administrationof research
Identify potential funding sources
Develop and prepare proposals for extramural fundingin accordance with sponsor guidelines and Universitypolicy
Work with the Department/Deans Office to developproposal budget
Secure required cost share commitments
Review and sign Proposal Approval Record (PAR)
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Principal Investigator (PI) Responsibilities
(contd)
Submit completed proposal package (with all
necessary approvals) to DCG in a timely manner for
institutional review and endorsement
Assume primary responsibility for the
scientific/technical and administrative management of
sponsored projects
Correspond with DCG regarding any potential post-
award issues, i.e., requests for no-cost time
extensions, requests for carry-forward of funds, etc.
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Department/Deans Office Responsibilities
Serve as liaison between PI and DCG
Serve as an information resource regarding
sponsor guidelines and University policy
Facilitate frequent communication with PI
regarding the business aspects of research
projects
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PROPOSALS:
Assist PI with proposal preparation in accordance with USC policy and
sponsor guidelines
Verify accuracy of title and pay scales used in proposal budgets
Assist PI with routing of proposal package for internal
Department/School and DCG approvals
Assist PI with submission of DCG endorsed proposal to sponsor
AWARDS:
Notify PI when continuation or renewal proposals and protocols are due
Notify PI when reports are due Routinely communicate with PI re: fund balances, status of key
purchases or other orders, relevant information from the awarding
agency or University offices, etc.
Assist PI with other financial and administrative aspects of an award,
such as prior approvals, e.g., rebudgeting, travel, no-cost time
extensions, and close-out of awards
Department/Deans Office Responsibilities (contd)
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Chair/Dean Responsibilities
Accountable for the performance of investigators under
their supervision and the scientific and financial
management of sponsored projects
Ensure that all extramural research is consistent with
USCs mission and the educational, research and public
service objectives of the unit
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Chair/Dean Responsibilities (contd)
Ensure the appropriate commitment of USC resources(personnel and equipment/facilities)
Approve cost sharing commitments
Review project costs to ensure allowability, realisticprojections, and that the source of funding is identified
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The Proposal Process
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The Proposal Process at USC
PI has an ideaSearch for funding
opportunities
Review sponsor
submission
guidelines
PI
submit
proposal to
the sponsor
Submit proposal
(w/any applicable
corrections identified
by Chair/Deans
Office) to
DCG for review
Plan and write
the proposal
Identify regulatoryand USC review
requirements
Complete sponsorforms and USC
internal forms
DCG reviews andendorses proposal,
then returns to PI
(unless electronic
submission is
required via DCG)
Route
proposal to
Chair/Dean
for approval
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The Proposal Process (contd)
Special Notes Regarding Securing Approvals
Please note that department and Deans Officeprocedures vary from unit to unit
A copy of the proposal is usually required for review bythe Chair/Director or Dean/Vice Provost before they willendorse the PAR
Routing of the PAR for signature should occur as earlyas possible to avoid unnecessary delays
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The Proposal Process (contd)
Submission to DCG
For institutional endorsement by DCG, a copy of the proposal includingPAR must be submitted for review
Proposal should be submitted to DCG five (5) business days prior toagency due date Note: Additional time is required with growing electronic submission
requirements in order to ensure an on-time submission
Under no circumstances should a proposal be submitted to a sponsorwithout first obtaining DCG endorsement.
If a draft proposal is initially provided to DCG due to time constraints, acopy of the final proposal should be submitted to DCG within five (5)business days of submission to sponsor
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Proposal Package for
Contracts/Grants/Cooperative Agreements
Minimum Required Elements of a Proposal Package:
PAR (complete and signed)
Research Plan / Scope ofWork (SOW)
Budget and Budget Justification
The following elements are required when applicable:
Copy of Sponsor Guidelines / Proposal Solicitation
Copies of institutional approvals, SOW, andbudget/budget justification for outgoing subawardsor subcontracts
Letters of collaboration
Subcontractor proposal information
Cost Sharing Commitment Letter(s)
Consultant Commitment Letter(s)
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Proposal Package for
Contracts/Grants/Cooperative Agreements (contd)
Additional common proposal elements which may berequired based on Sponsor Guidelines:
Original plus one copy of Sponsor application cover pagesigned by the PI and other required signatories
Abstract and Key Personnel page
Biosketches
Facilities & Resource page
Current and Pending Support
Certifications and Representations
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Proposal Approval Record (PAR)
Required for every externally funded proposal
Secures all required University endorsements and
commitments for the proposed work
PAR and instructions may be downloaded from the
DCG website at:
http://dcg.usc.edu/IPFP/index.cfm
Be sure to use newest version
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Common Hang-ups with Proposal Submissions
What takes so long??? Incomplete and/or missing signatures on PAR
Missing subcontract or consultant paperwork, i.e., letters ofcommitment, subcontract budget, budget justification, and
scope of work
Costs/commitments projected in PAR differ from costs
projected in proposal (may require re-approval from
Chair/Dean)
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Common Hang-ups with Proposal Submissions (contd)
What takes so long???
Proposal not prepared in accordance with sponsor
guidelines/solicitation
All USC key personnel described in proposal are not
listed on PAR (nor signed when required)
Components of proposal are missing, i.e., budgetjustification, SOW, etc.
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Common Hang-ups with Proposal Submissions (contd)
What takes so long???
Proposed budget not in accordance with USC or
Sponsor policy
Electronic Submissions
Allowing SPO Access (NSF)
Incomplete Grants.gov submissions
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Items that may hold up award setup and post-award
processes:
PI, Investigators, and/or Administrators have not yet completed the
GrantsM
anagement Education Coursehttp://www.usc.edu/admin/compliance/
Regulatory approvals, i.e., human subject review and approval, not
in place
Items missing at the proposal stage, i.e., complete subcontract
documents, cost sharing commitments, etc., not provided to DCG
Proposal and PAR never submitted through DCG for review and
endorsement at proposal submission stage
In Preparation for an Award
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A look at upcoming brownbag topics
Proposal Preparation
Post-award management
Subawards
What would you like to discuss?
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QUESTIONS????
Sara Judd
Director
(213) [email protected]
Jeri Muniz
Executive Director
(213) [email protected]
http://usc.edu/research/dcg/