dcg proposal process presentation

8/8/2019 DCG Proposal Process Presentation

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Department of Contracts & Grants (DCG)

- Roles and Responsibilities

- Review of the Proposal Process

Angie Karchmer

Senior Contract and Grant Administrator

Sara Judd

Director, Department of Contracts and Grants

October 26, 2010


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DCG at Rossier.Why are we here?

Provide a forum for information exchange to

maximize communication

Enhance collaborations to facilitate seamless

research administration support

Provide a true research support team

Provide outstanding customer service


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DCG at Rossier.Why are we here?

We are your partners in research!


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Roles & Responsibilities

Who does what????


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Review and endorse proposals on behalf of the

University of Southern California

Negotiation/acceptance of awards & amendments

Liaison with sponsor for administrative matters

Coordinate and endorse prior approval requests

Interpretation of award requirements

Compliance reviews

Special agreements, e.g., Confidentiality and Teaming

Agreements

Facilitate award closeout

DCG Responsibilities


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Principal Investigator (PI) Responsibilities

Responsible for the overall conduct and administrationof research

Identify potential funding sources

Develop and prepare proposals for extramural fundingin accordance with sponsor guidelines and Universitypolicy

Work with the Department/Deans Office to developproposal budget

Secure required cost share commitments

Review and sign Proposal Approval Record (PAR)


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Principal Investigator (PI) Responsibilities

(contd)

Submit completed proposal package (with all

necessary approvals) to DCG in a timely manner for

institutional review and endorsement

Assume primary responsibility for the

scientific/technical and administrative management of

sponsored projects

Correspond with DCG regarding any potential post-

award issues, i.e., requests for no-cost time

extensions, requests for carry-forward of funds, etc.


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Department/Deans Office Responsibilities

Serve as liaison between PI and DCG

Serve as an information resource regarding

sponsor guidelines and University policy

Facilitate frequent communication with PI

regarding the business aspects of research

projects


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PROPOSALS:

Assist PI with proposal preparation in accordance with USC policy and

sponsor guidelines

Verify accuracy of title and pay scales used in proposal budgets

Assist PI with routing of proposal package for internal

Department/School and DCG approvals

Assist PI with submission of DCG endorsed proposal to sponsor

AWARDS:

Notify PI when continuation or renewal proposals and protocols are due

Notify PI when reports are due Routinely communicate with PI re: fund balances, status of key

purchases or other orders, relevant information from the awarding

agency or University offices, etc.

Assist PI with other financial and administrative aspects of an award,

such as prior approvals, e.g., rebudgeting, travel, no-cost time

extensions, and close-out of awards

Department/Deans Office Responsibilities (contd)


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Chair/Dean Responsibilities

Accountable for the performance of investigators under

their supervision and the scientific and financial

management of sponsored projects

Ensure that all extramural research is consistent with

USCs mission and the educational, research and public

service objectives of the unit


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Chair/Dean Responsibilities (contd)

Ensure the appropriate commitment of USC resources(personnel and equipment/facilities)

Approve cost sharing commitments

Review project costs to ensure allowability, realisticprojections, and that the source of funding is identified


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The Proposal Process


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The Proposal Process at USC

PI has an ideaSearch for funding

opportunities

Review sponsor

submission

guidelines

PI

submit

proposal to

the sponsor

Submit proposal

(w/any applicable

corrections identified

by Chair/Deans

Office) to

DCG for review

Plan and write

the proposal

Identify regulatoryand USC review

requirements

Complete sponsorforms and USC

internal forms

DCG reviews andendorses proposal,

then returns to PI

(unless electronic

submission is

required via DCG)

Route

proposal to

Chair/Dean

for approval


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The Proposal Process (contd)

Special Notes Regarding Securing Approvals

Please note that department and Deans Officeprocedures vary from unit to unit

A copy of the proposal is usually required for review bythe Chair/Director or Dean/Vice Provost before they willendorse the PAR

Routing of the PAR for signature should occur as earlyas possible to avoid unnecessary delays


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The Proposal Process (contd)

Submission to DCG

For institutional endorsement by DCG, a copy of the proposal includingPAR must be submitted for review

Proposal should be submitted to DCG five (5) business days prior toagency due date Note: Additional time is required with growing electronic submission

requirements in order to ensure an on-time submission

Under no circumstances should a proposal be submitted to a sponsorwithout first obtaining DCG endorsement.

If a draft proposal is initially provided to DCG due to time constraints, acopy of the final proposal should be submitted to DCG within five (5)business days of submission to sponsor


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Proposal Package for

Contracts/Grants/Cooperative Agreements

Minimum Required Elements of a Proposal Package:

PAR (complete and signed)

Research Plan / Scope ofWork (SOW)

Budget and Budget Justification

The following elements are required when applicable:

Copy of Sponsor Guidelines / Proposal Solicitation

Copies of institutional approvals, SOW, andbudget/budget justification for outgoing subawardsor subcontracts

Letters of collaboration

Subcontractor proposal information

Cost Sharing Commitment Letter(s)

Consultant Commitment Letter(s)


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Proposal Package for

Contracts/Grants/Cooperative Agreements (contd)

Additional common proposal elements which may berequired based on Sponsor Guidelines:

Original plus one copy of Sponsor application cover pagesigned by the PI and other required signatories

Abstract and Key Personnel page

Biosketches

Facilities & Resource page

Current and Pending Support

Certifications and Representations


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Proposal Approval Record (PAR)

Required for every externally funded proposal

Secures all required University endorsements and

commitments for the proposed work

PAR and instructions may be downloaded from the

DCG website at:

http://dcg.usc.edu/IPFP/index.cfm

Be sure to use newest version


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Common Hang-ups with Proposal Submissions

What takes so long??? Incomplete and/or missing signatures on PAR

Missing subcontract or consultant paperwork, i.e., letters ofcommitment, subcontract budget, budget justification, and

scope of work

Costs/commitments projected in PAR differ from costs

projected in proposal (may require re-approval from

Chair/Dean)


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Common Hang-ups with Proposal Submissions (contd)

What takes so long???

Proposal not prepared in accordance with sponsor

guidelines/solicitation

All USC key personnel described in proposal are not

listed on PAR (nor signed when required)

Components of proposal are missing, i.e., budgetjustification, SOW, etc.


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Common Hang-ups with Proposal Submissions (contd)

What takes so long???

Proposed budget not in accordance with USC or

Sponsor policy

Electronic Submissions

Allowing SPO Access (NSF)

Incomplete Grants.gov submissions


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Items that may hold up award setup and post-award

processes:

PI, Investigators, and/or Administrators have not yet completed the

GrantsM

anagement Education Coursehttp://www.usc.edu/admin/compliance/

Regulatory approvals, i.e., human subject review and approval, not

in place

Items missing at the proposal stage, i.e., complete subcontract

documents, cost sharing commitments, etc., not provided to DCG

Proposal and PAR never submitted through DCG for review and

endorsement at proposal submission stage

In Preparation for an Award


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A look at upcoming brownbag topics

Proposal Preparation

Post-award management

Subawards

What would you like to discuss?


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QUESTIONS????

Sara Judd

Director

(213) [email protected]

Jeri Muniz

Executive Director

(213) [email protected]

http://usc.edu/research/dcg/

dcg proposal process presentation

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