1. GRANT AWARDS AT USC:
Proposal Submission, Award Notification, Spending and Monitoring
Nichole Phillips
Director of Research Administration
Viterbi School of Engineering
Acknowledgements:
Janet Stoeckert
Keck School of Medicine

2. Preparing and Submitting Your Proposal

3. Communicate

4. Identifying Funding Opportunities
- solicitation, RFP, program announcement, BAA
On-line Information Systems:
GrantForward – free to USC employees
Sponsored Programs Information Network (SPIN)
FedBizOpps.gov – Federal Opportunities
ResearchResearch.com
Grants.gov
Sponsor Websites
Read instructions carefully and thoroughly!

6. Alert and begin working with your Research Administrator
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

7. 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

8. 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)

9. 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
Allocable - Necessary to the project - Directly benefits the project - NOT determined by fund availability
LO #1

10. Budget Justification Explains:
why each cost is essential to performing project
how project costs were estimated
any special circumstances
what each person will contribute to the project
lab and animal costs
equipment needs – include quotes
Fringe benefit and F&A rates
can be essential for surviving an audit
USC Research - Current Rate Agreement – July 21, 2016

11. 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

12. Cost Sharing
In general, cost sharing and matching represents that portion of project or program costs not borne by the sponsor (generally the federal government).
Cost sharing can be voluntary or mandatory and can take the form of either cash or in-kind contributions.

13. Talk

14. USC Policy - Cost Sharing
Individual school policies.
Be sure all appropriate institutional approvals are secured prior to submission.

15. 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 grant submissions.
Your Research Administrator will assist with routing your application to the Department of Contracts and Grants (DCG) for final review and submission.

16. Congratulations! You have an award!
LO #1
Question #2 definitions of a cooperative agreement
- emphasize the involvement of the federal government

17. Preparing to receive, activate and access your grant award

18. 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

19. Award Set-up
1st is from the Department of Contracts and Grants notifying you of the award.
-----Original Message----- From: Sent: Tuesday, August 4, :42 AM To: Sally Trojan; Nichole Phillips; Subject: New information is available in Kuali Coeus (KC) about CNS
Award Title: Network Transformation in a Scaled Environment
Principal Investigator: Sally Trojan Co-Principal Investigator(s):
Lead Unit: Engineering Office of the Dean
Sponsor: National Science Foundation
Sponsor Award Number: CNS
Transaction Type: New
Obligated Period: to Obligated Amount: $80, Project Period: to Anticipated Amount: $240,000.00
You can view the Award by logging in to KC at and clicking My Active Awards to select this Award from the list. Within your award, on the Award Actions tab, you can print an Award Synopsis that provides a transaction summary. The Award document(s) are also available under the Notes & Attachments tab.
Next Steps:
Sponsored Projects Accounting (SPA) will now work on the account and budget setup in KFS. You will receive a separate notification when the account setup is complete and you are able to expense to the account.
If a detailed budget is required or satellite(s) established, you will receive a request from SPA. If this is an existing award and additional funds have been added, please refer to the SPA budget submission guidelines for submitting a detailed budget, if required.
If you have any questions regarding the budget or satellite establishment process, please contact SPA at

21. 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.
                  

22. 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?
LO #1
Not only are the CFR Parts 215 and 220 relevant to budget preparation, but also
- Cost Accounting Standards
- Institutional Policies
The Code of Federal Regulations, OMB circulars, and institutional policies provide the foundation for determining costs (quiz question)
Make sure budget matches the award amount – start with baseline figures.

23. Reach Out

24. Look for Other Requirements
Review Award Notice
Look for Other Requirements
Time table
Cost Sharing Requirements
Reporting Requirements
Clauses
LO #1
Timetable: event based, installments
Budget: does it need to be revised
Reporting Requirements: financial – OSP; technical – PI
Clauses: anything unusual; have OSP review

25. 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 Change:  
              Satellite Accounts:                                 

26. Award Set-up
2nd from Sponsored Projects Accounting Office notifying you of the account.
From: Laura Hui Sent: Wednesday, February 05, :35 PM To: Sally Trojan; Nichole Phillips Subject: Re: Your account(s) and budget(s) have been established
Dear All,                     
                       
The following account(s) and budget(s) have been established.                  
Sponsor: Harris Foundation               
Award#:  CNS                  
Obligation Start and End Dates: 09/01/2014 – 08/31/2017              
          USC Master Account No:                        
          Title: Network Transformation in a Scaled Environment                 
          Unit/Department: Engineering Office of the Dean              
          Account Supervisor Principal Name: Trojan, Sally                    
                      
Please review your account and budget on KFS. For any questions, alterations, or additional assistance (e.g., budget                        
changes and satellite creation), please visit the websites below, or contact the SPA Accountant assigned to your account:             
           Laura Hui, ,
If the account's department liaison is different than the current recipient, please the full name and                 
7-digit employee ID/Kuali username to the SPA Accountant assigned to your account.                 
To view your account on Kuali Financial System (KFS):                     
1.       Log into Kuali Financial System < >                
2.       In the Financial Main Menu tab, under Lookup and Maintenance, under Chart of Accounts, click on “Account.”                  
3.       Enter the Account Number.                 
4.       Click "Search."             
5.       Click on the Account Number to view the account details on KFS.                 
To view your budget on KFS:              
2.       In the Financial Main Menu tab, under Balance Inquiries, click on “Available Balances.”               
4.       Select "ALL" for "Include Pending Ledger Entry."                   
5.       Click on "Search."                    
For information regarding budget changes, please visit the SPA website:              
                       
For information regarding satellite creations, please visit the SPA website:                       

27. 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 from SPA informing you of the account number

28. Spending and Monitoring

29. Meet
Regularly

30. Costs Must Be . . .
Reasonable
Allowable
Allocable
LO #1

31. 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
LO #1

32. 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
Over 90 days
PI, Administrator, SBO sign off
LO #1

33. 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
LO #1, #2

34. Certifying Effort 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
LO #1

35. Certifying Effort
USC on-line effort certification:
LO #1, #2

36. Close Out of Award Grant is Completed
Close outstanding encumbrances/POs
Programmatic/Technical/Invention Reports
Personnel Expirations
Notify project staff as soon as possible
LO #1

37. 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!
LO #1

38. Communicate

39. 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
Review budget, spending, and projections at least quarterly
Stay current on compliance requirements
Ask for any questions!

40. Thank you! Nichole Phillips Viterbi School of Engineering
Janet Stoeckert
Keck School of Medicine