2. Research Administration at USC Managing a Scientific Laboratory August 24, 2012 Jeri Muniz, Executive Director Department of Contracts and Grants 1

3. 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 2

4. 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. 3

5. The Life of a Sponsored Project 4

6. Roles & Responsibilities: Proposal Development and Submission Who does what?? 5

7.  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 6

8. 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 7

9. 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 8

10. 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 9

11. 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 10

12. 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 11

13. 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! 12

14. 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' guidelines  Conducting a non-technical review of proposal for grammatical and spelling errors  Verifying budget calculations, rates and cost-sharing  Verifying institutional information (e.g., DUNS, contact information, etc.)  Checking and clearing errors generated by Grants.gov  Verifying Proposal Approval Record (PAR)  Verifying regulatory reviews 13

15. 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 sharing  Institutional 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. 14

16. DCG receives and reviews award Upon acceptance, DCG processes and assigns account number for project DCG Account Establishment generates Notice of Award (NOA) DCG distributes Notice of Award Overview of Award Acceptance Process

17. 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. 16

18. Roles & Responsibilities: Post-Award Who does what?? 17

19. 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 18

20. 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 19

21. 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 20

22. 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/ 21

23. 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 22

24. 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/

25.  Sponsor  DCG  PI  Department  School  SPA  Purchasing Communication is the key! 24

26. Resources and References Office of Research http://research.usc.edu/ Department of Contracts and Grants http://research.usc.edu/dcg/ Roles and Responsibilities Matrixhttps://research.usc.edu/files/2011/ 07/Roles-and-Responsibilities-for- Research-Administration-6-15-2011- 2.pdf Contract Responsibilities Matrixhttps://research.usc.edu/files/2011/ 07/Contract-Responsibilities-12-9- 2011-clean-2.pdf Guide to Researchhttps://research.usc.edu/files/2011/ 07/Guide-to-Research-6-16-12.pdf 25

27. 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 26

28. 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 27

29. 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/ 28