1. GRANT AWARDS AT USC:
Proposal Submission, Award Notification, Spending and Monitoring
Proposal Submission
Sabrina Feeley
Director of Research Administration
Dornsife College of Letters, Arts and Sciences
Award Notification
Nichole Phillips
Viterbi School of Engineering
Spending and Monitoring
Janet Stoeckert
Keck School of Medicine

2. Proposal Submission August 19, 2014
Sabrina Feeley
Director of Research Administration
Dana and David Dornsife
College of Letters, Arts and Sciences

3. Steps for Preparing and Submitting Your Proposal:
Identifying Funding Opportunities
Alert and Begin Working with your Research Administrator
Preparing your Budget
Cost Sharing
Compliance
Submitting Your Proposal

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
Pivot Community of Science (COS)
ResearchResearch.com
Grants.gov
Sponsor Websites
Read instructions carefully and thoroughly!

5. Alert and begin working with your Research Administrator
Start early as there are many different parts to a proposal that will take time to prepare.
Narrative
Budget
Bios
Current and Pending
Subcontracts
Letters of Support
Quotes

6. Preparing your Budget
The budget estimates, as realistically as possible, the cost of completing the objectives identified in the proposal.
The sponsor will use the budget details to determine whether the proposal is economically feasible and realistic.
The budget provides a means to monitor the project's financial activities over the life of the project.
Many sponsors (especially government agencies) provide either a form or a format for the budget. It is imperative to follow the agency's instructions explicitly.

7. Impacts on Budget Planning
Sponsor’s Budgetary Restrictions
Type of Sponsor (federal, non-federal, international)
Project Period – Phases/Option Years
Task Budgets
Types of personnel appointments (faculty, research staff, postdoc, student)
Fringe Benefit Costs
Sub Awardees and Collaborators
Location of Project (on or off campus)
Facilities and Administration Costs

8. Go through your project narrative and make a list of everything that will have to be paid for.
People, consumables, publications, equipment, conference travel, collaborators…
Do not forget to review sponsor guidelines for any restrictions or special guidance.
The budget is the PI’s best estimate of the funds needed to support the work described in the proposal.

9. Budget Elements Compensation Salary
Fringe Benefits (Federal & Non-Federal)
Wages
Materials and Supplies
Equipment
Travel
Publication
Sub Awards or Consultants
Other Direct Costs
Facilities & Administration Costs (Indirects or Overhead)

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 project,12 month versus 9 month faculty
lab and animal costs
equipment needs – include quotes
USC Research - Current Rate Agreement - June 23, 2014

11. Budget justifications should answer the questions a skeptical reviewer would ask.
Make a persuasive case for investing in you and your team.
It is important to include budget justifications since they can be essential for surviving an audit.

12. Cost Sharing
When federal or agency regulations require that the institution share in the cost of sponsored research projects, the institution contribution is referred to as “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 (that is, required by means of a statute or law), and can take the form of either cash or in-kind contributions.

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

14. Compliance
OMB Circular A-110 – Uniform Administrative Requirements for Grants and Other Agreements with Institutions of Higher Education, Hospitals and Other Non-Profit Organizations.
Federal cost accounting standards, are a series of federal regulations, detailed in OMB Circular A-21, which stipulate how educational institutions administer the financial aspects of grant management.
Costs must be reasonable, allowable, allocable and consistent.

15. 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
Responsible Conduct of Research (RCR)

16. Submitting your proposal
Route proposal package for School and University approval before submitting to sponsor.
Internal paperwork – Proposal Approval Record (PAR)
Sponsor paperwork – Have the right forms been filled out correctly?
Your Research Administrator will assist with routing your application to the Department of Contracts and Grants (DCG) for final review and submission.

17. Total Access for Research Administration KC Pre Award:
USC TARA:
Total Access for Research Administration
KC Pre Award:
In the process of being implemented. Will be the University’s new proposal development, routing, approval and submission system. Roll out dates vary for individual Schools.
Do not wait until last minute…Submit early!!

18. Wrap-up Read your funding opportunity! Prepare your budget
Does the budget reflect reasonable costs for the project?
Is the budget justification in line with the project narrative?
Are there unallowable costs in the budget?
Can you complete the scope of work on this budget?
Review and finalize all aspects of your proposal.
Submit early and wait for it to be awarded!

19. Congratulations! You have an award!
LO #1
Question #2 definitions of a cooperative agreement
- emphasize the involvement of the federal government
Nichole Phillips
Director of Research Administration
Viterbi School of Engineering

20. Types of Awards
Grant or Gift?
LO #1

21. Grant or Gift?
Proposed work binds the Institution to a specific line of scholarly or scientific inquiry
Includes work statement or the testing of specific hypotheses, methodologies or validation of particular approaches
There is a specific commitment regarding the level of personnel effort or items of output, or specific performance targets as a condition of funding
A line item budget detailing expenditures by activity, function.
Project period must be adhered to as a condition of funding
Detailed fiscal reporting is required at intervals during the course of the work or at the end of the project.
Any unexpended funds must be returned to the sponsor at the end of the project.
LO #1

22. Compliance
Prior to award being set-up need to ensure have completed trainings and other compliance items:
Grants Management Training
IRB if applicable
Animal Subjects if applicable
Radioactive if applicable
Stem Cell Review committee if applicable
Biosafety if applicable

23. Award Set-up
Notification of Award from the Department of Contracts and Grants
Notification of Account and budget by Sponsored Projects Accounting
Obtain Access to Account in Financial System
LO #1
Tasks: Events, Years, Departments, COST SHARING?
Assign Key Members: remember all depts, PI’s, Business Managers, etc.

24. 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

25. 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.
                  

26. 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:                                 

27. 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:                       

28. 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

29. Spending and Monitoring
Janet Stoeckert
Director, Research Administration
Keck School of Medicine

30. Topics Types of Awards Review of Award Notice Develop Spending Plan
Financial Monitoring
Cost Transfers
Effort Certification
Award Close Out

31. Types of Awards
Grant
Transfer of money, services, or anything of value to recipient to accomplish a public purpose
No substantial involvement with sponsor
Cooperative Agreement
Transfer funds to recipient to accomplish a public purpose
Substantial involvement between sponsor and recipient
LO #1
Question #2 on definitions of cooperative agreement
- emphasize involvement of federal government
Also fixed price contract should be discussed here– note that any residual funds at the completion of the project can be retained by the institution – could be risky due to possible incorrect budgeting (meaning over expenditures)

32. Types of Awards Contract
Acquisition of property or services for benefit or use of sponsor
Purchase Order
Fixed priced for a product or service
Other (IPA)
LO #1
Question #2 on definitions of cooperative agreement
- emphasize involvement of federal government
Also fixed price contract should be discussed here– note that any residual funds at the completion of the project can be retained by the institution – could be risky due to possible incorrect budgeting (meaning over expenditures)

33. Review Award Notice Budget
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.

34. 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

35. Spending

36. Costs Must Be . . .
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

37. Costs Must Be . . .
Reasonable - What “prudent person” would pay in like circumstances - Necessary? - Advance the scope of work? - Consistent with established policies & practices?
LO #1

38. Spending Encumber Known Expenses Personnel* Subcontracts
Large Dollar Volume Expenses
Independent Contractors
LO #1

39. Monitoring Review 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)
LO #1

40. Projection templates vary by Schools and Departments
Monitoring
Projection templates vary by Schools and Departments
LO #1

41. Projection Template

42. Account Status Report (ASR)

43. Cost Transfers
The first step in charging costs is to be certain that the initial charge is appropriate.
LO #1

44. 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

45. Certifying Effort
% Effort should reasonably reflect actual effort spent
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

46. Certifying Effort Required by institution policy and OMB Circular A-21
After-the-fact confirmation of effort
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

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

48. Close Out of Award Grant is Completed
Close outstanding encumbrances/POs
Ensure no outstanding charges
Programmatic/Technical reports submitted
Personnel Expirations
Notify project staff as soon as possible
LO #1

49. 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

50. Recap
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
Inform your administrator if you wish to change to make changes to personnel effort, purchases, subawards, or need to transfer expenses
Stay current on compliance requirements
Ask for any questions!

51. Questions?
LO #1
Ask for any questions!

52. Thank you! Sabrina Feeley
Dornsife College of Letters Arts and Sciences
Nichole Phillips
Viterbi School of Engineering
Janet Stoeckert
Keck School of Medicine