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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