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What your School Wants You to K now Nichole Phillips Director of Research Administration

GRANT AWARDS & PROPOSALS AT USC. What your School Wants You to K now Nichole Phillips Director of Research Administration Viterbi School of Engineering Janet Stoeckert Director of Research Administration Keck School of Medicine. Topics Proposal Preparation and Submission

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What your School Wants You to K now Nichole Phillips Director of Research Administration

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  1. GRANT AWARDS & PROPOSALS AT USC What your School Wants You to Know Nichole Phillips Director of Research Administration Viterbi School of Engineering Janet Stoeckert Director of Research Administration Keck School of Medicine

  2. Topics • Proposal Preparation and Submission • Award Notification • Grant Spending and Monitoring • Award Close-out

  3. Preparing and Submitting Your Proposal Communicate

  4. Proposal Preparation • Identifying Funding Opportunities • Types: solicitation, RFP, program announcement, BAA • Methods: On-line Information Systems: • GrantForward– free to USC employees • http://research.usc.edu/for-investigators/funding/databases/ • Sponsored Programs Information Network (SPIN) • FedBizOpps.gov – Federal Opportunities • ResearchResearch.com • Grants.gov • Sponsor Websites

  5. Proposal Preparation • A Successful Proposal • Follows instructions • Meets sponsor needs • Clearly stated goals, objectives and methods • Researcher or team has track record, expertise • Specific, reasonable scope of work • Budget matches proposed research • Read instructions carefully and thoroughly!

  6. Proposal Preparation • Alert and Start Working with your Research Administrator E-mail

  7. Proposal Preparation • Start early • There are many different parts to a proposal that will take time to prepare. • Narrative • Budget • Biosketches • Subcontracts • Letters of Support, Commitments • Quotes

  8. Proposal Preparation • Impacts on Budget Planning • Sponsor’s Budget Restrictions • Project Period – Phases/Years • Task/Milestone Budgets • Types of personnel (faculty, research staff, postdoc, student) • Fringe Benefits • Sub Awardees and Collaborators • Location of Project (on or off campus) • Facilities and Administration Costs

  9. Proposal Preparation • Budget Elements • Compensation • Faculty Salaries (9 mos. vs. 12 mos. appointments) • Non-Faculty Salaries • Fringe Benefits (Federal & Non-Federal) • Materials and Supplies • Equipment • Travel • Publication Costs • Sub Awards or Consultants • Other Direct Costs • Facilities & Administration Costs (Indirects or Overhead)

  10. Proposal Preparation Proposed Costs Must Be… • Reasonable- What “prudent person” would pay in like circumstances • Allowable - Must conform to regulations - Must conform to any exclusions contained in the sponsored agreement - May be an appropriate institutional expense but not allowable on a sponsored project

  11. Proposal Preparation Proposed Costs Must Be… • Allocable - Necessary to the project - Directly benefits the project - NOT determined by fund availability • Consistently Treated and Applied

  12. Proposal Preparation • Budget Justification - • why each cost is needed towards specific aims • how project costs were estimated • any special circumstances • what each person will contribute to the project • lab and research subject costs • equipment needs – include quotes • Fringe benefit and F&A rates • can be essential for surviving an audit • USC Research - Current Rate Agreement – March 15, 2019 http://research.usc.edu/dcg/proposal-development/rates-at-a-glance/

  13. Proposal Preparation • Compliance Requirements • If any of the following are involved, institutional review boards may be required: • Human Subjects • Human Embryonic Cells • Animal Subjects • Radioactive Materials • Biohazardous Materials • Conflict of Interest • diSClose and HHS Required COI Training http://ooc.usc.edu/conflict-of-interest/

  14. Proposal Preparation • Cost Sharing • Cost sharing and matching represents that portion of project or program costs not borne by the sponsor • Cost sharing can be voluntary or mandatoryand can take the form of either cash or in-kind contributions. • Not recommended!

  15. Proposal Preparation • Cost Sharing • Requires additional documentation and monitoring • USC Policy - Cost Sharing https://policy.usc.edu/cost-sharing/ • Check your School’s individual policy • Obtain approvals prior to submission

  16. SEEK Advice

  17. Proposal Submission • Submitting your proposal • Route proposal package for School and University approval before submitting to sponsor. • Kuali Coues (KC)/TARA • Includes grants.gov module to facilitate grants.gov submissions. • Your Research Administrator will assist with routing your application to the Department of Contracts and Grants (DCG) for final review and submission.

  18. Congratulations! You have an award!

  19. Award Notification • Get ready to receive, activate and access your grant award

  20. SPEAK

  21. Award Notification Compliance Requirements Revisited • Prior to award being set-up need to ensure have completed trainings and other compliance items: • Grants Management Training • IRB if applicable • IACUC if applicable • Radiation Safety if applicable • Stem Cell Review committee if applicable • Biosafety if applicable

  22. Award Notification Award Set-up • You or your Research Administrator should review what is loaded in the TARA System • Look in the Comments, Notes and Attachments section • If the proposed approved budget is in the system there is nothing to do SPA will set-up automatically.

  23. Award Notification Review Award Notice • Sponsor may request reduction in budget, Scope of Work should be reduce accordingly • Sponsor may agree to full budget but only allocate (incrementally fund) a portion of funding for specific time-frame • How can budget be adjusted to accommodate funding?

  24. Reach Out

  25. Award Notification • Time table • Cost Sharing Requirements • Reporting Requirements • Clauses • Other Requirements Review Award Notice

  26. Award Notification Award Set-up • If the budget is not there or satellite accounts are needed then the research administrator will need to send this to SPA • Here are the links for the instructions: • Budget Detail Request: • https://fbs.usc.edu/departments/sponsored-projects-accounting/detailed-budget/detailed-budget-request-form/ • Satellite Accounts:       • https://fbs.usc.edu/departments/sponsored-projects-accounting/detailed-budget/detailed-budget-request-form/

  27. Award Notification Getting Access • For the TARA System to review award information it is automatic for PIs and co-PIs • For the Kuali Financial System (KFS) – need to check with your school or department for access • This can be done once you receive the email from SPA informing you of the account number

  28. Spending and Monitoring

  29. Meet Regularly

  30. Spending and Monitoring Costs Must Be . . . • Reasonable • Allowable • Allocable • Consistent

  31. Spending and Monitoring • Review Spending and Projections • No less than quarterly • Review for abnormally high or low burn rate of funds • Sponsor may reduce funding if expenses do not match budget (e.g. carry forward) • Projection templates vary from unit to unit

  32. Spending and Monitoring Cost Transfers • Sponsored Projects Accounting (SPA) reviews and approves cost transfer • Process within 90 days • Attach detailed justification and supporting documentation • PI and Administrator sign off

  33. Spending and Monitoring Cost Transfers • Over 90 days • Attach detailed justification and supporting documentation • PI, Administrator, SBO sign off

  34. Certifying Effort Required by institution policy and Feds Way for government and other sponsors to verify salary charges to grants Include cost shared effort subsidized by Department, School, Institution Take into account sponsor’s salary cap if applicable Spending and Monitoring

  35. Spending and Monitoring • Faculty effort on grants should not exceed 90-95% • Effort towards teaching, committee work, preparing new grant proposals may not be charged to grants • Exceptions are reviewed by Office of Financial Analysis Certifying Effort

  36. Certifying Effort USC on-line effort certification: https://fbs.usc.edu/departments/financial-analysis/effort-certification/ Spending and Monitoring

  37. Close Out of Award • Close outstanding encumbrances/POs • Programmatic/Technical/Invention Reports • Personnel Expirations • Notify project staff as soon as possible

  38. Close Out of Award • Data Retention and Access • Provide reasonable access • Retain for 7 years after final reporting or publication • Retain financial records 3 years after audit resolution • Don’t forget to shred confidential information!

  39. Communicate

  40. Recap • Proposals: Start Early, Follow Instructions, work with your local Research Administrator • Complete all Compliance Requirements • Review your grant award notice with your Administrator for terms and conditions, scope, awarded budget, discuss spending plan • Revie `1w budget, spending, and projections at least quarterly • Stay current on compliance requirements

  41. Thank you! Nichole Phillips Viterbi School of Engineering nicholep@usc.edu Janet Stoeckert Keck School of Medicine Janet.stoeckert@usc.edu

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