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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Introducing your team!

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Roles & Responsibilities

Who does what????

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 DCG Responsibilities

 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
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 Principal Investigator (PI) Responsibilities

 Responsible for the overall conduct and administration

of research

 Identify potential funding sources

 Develop and prepare proposals for extramural funding

in accordance with sponsor guidelines and University
policy
 Work with the Department/Dean’s Office to develop
proposal budget
 Secure required cost share commitments
 Review and sign Proposal Approval Record (PAR)

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 Principal Investigator (PI) Responsibilities
(cont’d)

 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/Dean’s 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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Department/Dean’s Office Responsibilities (cont’d)

 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 10
extensions, and close-out of awards
 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

USC’s mission and the educational, research and public
service objectives of the unit

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Chair/Dean Responsibilities (cont’d)

 Ensure the appropriate commitment of USC resources

(personnel and equipment/facilities)

 Approve cost sharing commitments

 Review project costs to ensure allowability, realistic

projections, and that the source of funding is identified

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The Proposal Process

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 The Proposal Process at USC
Search for funding Review sponsor
PI has an idea submission
opportunities
guidelines

Complete sponsor Identify regulatory

forms and USC and USC review Plan and write
internal forms requirements the proposal

Submit proposal DCG reviews and

Route (w/any applicable endorses proposal, PI
proposal to corrections identified then returns to PI submit
Chair/Dean by Chair/Dean’s (unless electronic proposal to
for approval Office) to submission is the sponsor
DCG for review required via DCG) 14
 The Proposal Process (cont’d)

Special Notes Regarding Securing Approvals

 Please note that department and Dean’s Office

procedures vary from unit to unit

 A copy of the proposal is usually required for review by

the Chair/Director or Dean/Vice Provost before they will
endorse the PAR

 Routing of the PAR for signature should occur as early

as possible to avoid unnecessary delays
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The Proposal Process (cont’d)
Submission to DCG

 For institutional endorsement by DCG, a copy of the proposal including

PAR must be submitted for review

 Proposal should be submitted to DCG five (5) business days prior to

agency 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 sponsor

without first obtaining DCG endorsement.

 If a draft proposal is initially provided to DCG due to time constraints, a

copy 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 of Work (SOW)
 Budget and Budget Justification

 The following elements are required when applicable:

 Copy of Sponsor Guidelines / Proposal Solicitation
 Copies of institutional approvals, SOW, and
budget/budget justification for outgoing subawards
or subcontracts
 Letters of collaboration
 Subcontractor proposal information
 Cost Sharing Commitment Letter(s)
 Consultant Commitment Letter(s) 17
Proposal Package for
Contracts/Grants/Cooperative Agreements (cont’d)
 Additional common proposal elements which may be
required based on Sponsor Guidelines:
 Original plus one copy of Sponsor application cover page
signed 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 of

commitment, 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 (cont’d)

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., budget

justification, SOW, etc.

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Common Hang-ups with Proposal Submissions (cont’d)

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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In Preparation for an Award…

Items that may hold up award setup and post-award

processes:
 PI, Investigators, and/or Administrators have not yet completed the
Grants Management Education Course
http://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 23
A look at upcoming brownbag topics…

 Proposal Preparation

 Post-award management

 Subawards

 What would you like to discuss?

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QUESTIONS????
CONTACT INFORMATION

Angie Karchmer
Senior Contract and Grant Administrator
(213) 740-2934
karchmer@usc.edu

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QUESTIONS????

Sara Judd
Director
(213) 740-8207
sjudd@usc.edu

Jeri Muniz
Executive Director
(213) 740-6487
jeri.muniz@usc.edu

http://usc.edu/research/dcg/ 26