Research Administration at USC

Managing a Scientific Laboratory

August 24, 2012

Jeri Muniz, Executive DirectorDepartment of Contracts and Grants

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Objectives

To become familiar with the sponsored projects process: pre- and post- award

To understand the mutual responsibilities of PI, School, Department, DCG, SPA, and Purchasing

To become familiar with the research services and resources at USC

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Sponsored Project: Defined The proposal responds to a solicitation and the project is initiated

by notice of award or agreement.

The Statement of Work specifies programmatic objectives to be accomplished within a specific period of time and budget.

These awards require deliverables or detailed technical reports.

These awards require separate accounting procedures and detailed financial reports.

These awards include provisions for audit by the sponsor.

These awards involve the disposition of property, whether tangible or intangible, that may result from the project.

These awards require regulatory oversight in areas such as animal care, human subjects, bio-safety, or financial conflict of interest.

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The Life of a Sponsored Project

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Roles & Responsibilities: Proposal Development and Submission

Who does what??

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Identifies potential funding sources

Develops and prepares proposals in accordance with sponsor guidelines and University policy

• Secure required space & cost share commitments• Work with the Div/Dept./Dean’s Office to develop proposal

budget• Review and sign Proposal Approval Record (PAR)

Submits completed proposal package (with all necessary approvals) to DCG in a timely manner for institutional review and endorsement

Assumes primary responsibility for the scientific/technical and administrative management of sponsored projects

Principal Investigator

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Chairs, Division Chiefs and Deans

Ensure that all extramural research is consistent with USC’s mission and the educational, research and public service objectives of the unit

Ensure the appropriate commitment of USC resources (personnel and equipment/facilities)

Determine PI eligibility

Approve cost sharing commitments

Review project costs to ensure allowability and realistic projections

Assists PI in developing proposal budgets; verifies accuracy of title and pay scales

Assists PI with routing of proposal package for DCG approvals

Assists PI with submission of DCG endorsed proposal to sponsor

Liaisons between PI and DCG when necessary

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Department Research Administrator

Facilitates frequent communication with PI regarding the business aspects of research

Assists PI in finding funding opportunities and developing proposal submission timelines/plans

Serves as an information resource regarding sponsor guidelines and University policy

Assists PI with proposal preparation in accordance with USC policy and sponsor guidelines

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Department of Contracts and Grants

Provides guidance to faculty and staff regarding proposal preparation

Responsible for reviewing and endorsing all proposals to extramural sponsors. Institutional review focuses on commitment of institutional resources and compliance with University and sponsor policies

Acts as the liaison between the University and sponsors

Coordinates sponsor requests for additional information

Serves as the office of record for all proposals

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Proposal Package: The Minimum Needed

Proposal Approval Record Original cover page signed by the PI Budget and budget justification Abstract and key personnel Scope of work Facilities & resource page Institutional approvals for subawards Letters of collaboration

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Proposal Package: Approvals Needed

Principal Investigator(s)

Dean or Dean Designee of Participating Schools

Department of Contracts and Grants

Check with Participating Schools to determine if any additional approvals are needed

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DCG Service Commitment

We are committed to supporting USC Investigators by assuring timely submission of complete and accurate proposals.

Our Service Commitment for Proposal Review and Submission, includes an enhanced review for proposals ready for submission 3 days in advance of deadline and a simplified PAR.

Varying reviews are provided dependent on if proposal is received 1, 2, or 3 days in advance of deadline.

So…the earlier the better!

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What Does DCG Review?

For ready-to-submit proposals received 3 business days in advance, DCG will conduct a comprehensive review:

Comparing the proposal to the sponsors' guidelinesConducting a non-technical review of proposal for grammatical and spelling errorsVerifying budget calculations, rates and cost-sharingVerifying institutional information (e.g., DUNS, contact information, etc.)Checking and clearing errors generated by Grants.gov Verifying Proposal Approval Record (PAR)Verifying regulatory reviews

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What Does DCG Review?

For proposals received 2 business days in advance, DCG will review, at minimum, the following:

Budget for correct rates and cost sharingInstitutional information (e.g., DUNS, contact information, etc.)Proposal Approval Record (PAR)Regulatory reviews (e.g., human/animal subjects, radiation safety, conflict of interest)

Proposals received less than 1 business day in advance of the sponsor’s deadline will receive a minimum review with the goal to assure that it is not rejected from the electronic submission vehicle.

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DCG receives and reviews award

Upon acceptance,

DCG processesand assigns

account number

for project

DCG Account Establishment

generates Notice of Award (NOA)

DCG distributesNotice of Award

Overview of Award Acceptance Process

The Notice of Award (NOA)

Purpose: Official notification to the campus that an award has been accepted

What it does: Provides a summary of the award’s sponsor-imposed administrative parameters

Begin/end dates, obligated funds, major reporting requirements, prior approval requirements, special remarks, etc.

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Roles & Responsibilities: Post-Award

Who does what??

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Principal Investigator

Implement the Scope of Work according to the award terms

Comply with all applicable regulations Supervise project personnel Authorize expenditures Prepare and submit technical reports and/or

deliverables Work with SPA for financial reports Work with Equipment Management for

property reports

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Department Research Administrator

Assists PI with financial and administrative management of award:

Accounting (Payroll, Travel, General Ledger) Purchasing (PR, Inventory) Report preparation Subrecipient monitoring Prior approvals (Rebudgeting, Travel,

No Cost Time Extension) Continuations, supplements, renewal Close-out

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Department of Contracts and Grants

Review and negotiate awards terms and conditions

Accept/Execute awards on behalf of the University

Establish accounts Initiate subcontracts Provide administrative oversight and

assistance Liaison with Sponsors Provide training Maintain award data

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Sponsored Projects Accounting

Timely submission of financial reports to sponsors.

Ensure the payment of obligations and the collection of funds.

Consult, advise, train and assist with the financial administration of projects.

http://fbs.usc.edu/depts/spa/

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Purchasing Services

Conduct bids on behalf of departments Negotiate best-value contracts Select responsive and qualified suppliers Review and sign vendor contracts Monitor supplier-contract performance Issue Purchase Orders for subawards

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Disbursement Control & Accounts Payable

Ensures expenditure compliance with applicable policies, laws and regulations

Reviews and approves payment requests for cash advances, reimbursements, fellowships, postdoctoral fellows, and student refunds

Issues invoice payments to suppliers Processes independent contractor agreements and

payments and issues 1099s Conducts procurement audits Processes electronic deposit forms for reimbursements

and supplier payments

http://fbs.usc.edu/depts/DC/

Sponsor DCG PI Department School SPA Purchasing

Communication is the key!

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Resources and References

Office of Research http://research.usc.edu/

Department of Contracts and Grants

http://research.usc.edu/dcg/

Roles and Responsibilities Matrix

https://research.usc.edu/files/2011/07/Roles-and-Responsibilities-for-Research-Administration-6-15-2011-2.pdf

Contract Responsibilities Matrix https://research.usc.edu/files/2011/07/Contract-Responsibilities-12-9-2011-clean-2.pdf

Guide to Research https://research.usc.edu/files/2011/07/Guide-to-Research-6-16-12.pdf

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SCera Portal

Assists researchers and research administration staff members with managing sponsored projects

Online access sponsored projects account information on accounts Users listed as PI’s in the Contracts and Grants system Users with WebBa access may view Account Status

Reports for those accounts

On-line access to contracts and grants reports that contain award and proposal information

http://aisportal.usc.edu:8080/fis/portal

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WEBBA

Manages financial budgets, procures products and services (paperless and paper-based procurement, desktop purchasing, and ProCard), and actuates/tracks travel and non-travel reimbursements.

Performs summary and detailed vendor, account, ledger, and transaction analysis.

Provides advanced and comprehensive data downloads of most financial reports

Provides downloadable PDF images of the Account Status Report, Financial and Budget Analysis Report, ProCard transaction reports.

Provides access to prior year financial data

http://ais-sap.usc.edu

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DCG Staff Directory

University Park Campus Main Line: (213) 740-7762

Health Sciences Campus Main Line: (323)442-2396

Marina Campus ISI: (310) 448-0355 ICT: (310) 448-9149

Staff Directory: Contacts by Department http://research.usc.edu/dcg/directory/department/

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