Transcript Document

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
Director of Research Administration
Viterbi School of Engineering
Spending and Monitoring
Janet Stoeckert
Director of Research Administration
Keck School of Medicine
Proposal Submission
August 19, 2014
Sabrina Feeley
Director of Research Administration
Dana and David Dornsife
College of Letters, Arts and Sciences
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
Identifying Funding Opportunities
- solicitation, RFP, program announcement, BAA
On-line Information Systems:
• GrantForward – free to USC employees
http://research.usc.edu/for-investigators/funding/databases/
• 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!
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.
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Narrative
Budget
Bios
Current and Pending
Subcontracts
Letters of Support
Quotes
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.
Impacts on Budget Planning
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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
• Go through your project narrative and make a list of
everything that will have to be paid for.
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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.
Budget Elements
• Compensation
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Salary
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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)
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
http://research.usc.edu/dcg/proposal-development/rates-at-a-glance/
• 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.
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.
USC Policy - Cost Sharing
https://policy.usc.edu/cost-sharing/
Individual school policies.
Be sure all appropriate institutional approvals are secured
prior to submission.
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.
• If any of the following are involved, institutional review
boards may be required:
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Human Subjects
Human Embryonic Cells
Animal Subjects
Radioactive Materials
Biohazardous Materials
• Conflict of Interest
̶ diSClose and HHS Required COI Training
http://ooc.usc.edu/conflict-interest-research
• Responsible Conduct of Research (RCR)
Submitting your proposal
• Route proposal package for School and University approval
before submitting to sponsor.
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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.
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!!
Wrap-up
Read your funding opportunity!
Prepare your budget
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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!
Congratulations!
You have an award!
Nichole Phillips
Director of Research Administration
Viterbi School of Engineering
Types of Awards
Grant or Gift?
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.
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
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
Award Set-up
1st Email is from the Department of Contracts and Grants notifying you of the award.
-----Original Message----From: [email protected] [mailto:[email protected]]
Sent: Tuesday, August 4, 2014 10:42 AM
To: Sally Trojan; Nichole Phillips; [email protected]
Subject: New information is available in Kuali Coeus (KC) about CNS-1435214
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-1435214
Transaction Type: New
Obligated Period: 2014-09-01 to 2017-08-31 Obligated Amount: $80,000.00 Project Period: to 2015-01-30 Anticipated Amount: $240,000.00
You can view the Award by logging in to KC at https://kc.usc.edu/kc-prd 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 http://fbs.usc.edu/depts/spa.
Award Set-up
• You or your Research Administrator should
review what is loaded in the TARA System
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Look in the Comments, Notes and Attachments
section
• If the proposed approved budget is in the
system there is nothing to do SPA will setup automatically.
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
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Here are the links for the instructions:
Budget Change:
http://fbs.usc.edu/depts/spa/page/7462/budgetchange-information-and-instructions/
Satellite Accounts:
http://fbs.usc.edu/depts/spa/page/6742/policies
-information/#sate
Award Set-up
2nd Email from Sponsored Projects Accounting Office notifying you of the account.
From: Laura Hui [mailto:[email protected]]
Sent: Wednesday, February 05, 2014 1:35 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-1435214
Obligation Start and End Dates: 09/01/2014 – 08/31/2017
USC Master Account No: 5345012315
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, 213-821-6426, [email protected]
If the account's department liaison is different than the current email recipient, please email 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):
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Log into Kuali Financial System < http://fbs.usc.edu/depts/kuali >
2.
In the Financial Main Menu tab, under Lookup and Maintenance, under Chart of Accounts, click on “Account.”
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Enter the Account Number.
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Click "Search."
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Click on the Account Number to view the account details on KFS.
To view your budget on KFS:
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Log into Kuali Financial System < http://fbs.usc.edu/depts/kuali >
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In the Financial Main Menu tab, under Balance Inquiries, click on “Available Balances.”
3.
Enter the Account Number.
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Select "ALL" for "Include Pending Ledger Entry."
5.
Click on "Search."
For information regarding budget changes, please
visit the SPA website:
http://fbs.usc.edu/depts/spa/page/7462/budgetchange-information-and-instructions/
For information regarding satellite creations, please
visit the SPA website:
http://fbs.usc.edu/depts/spa/page/6742/policiesinformation/#sate
Access
• For the TARA System to review award
information it is automatic for PIs and coPIs
• For the Kuali Financial System (KFS) – need
to check with your school or department
for access
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This can be done once you receive the email
from SPA informing you of the account number
Spending and Monitoring
Janet Stoeckert
Director, Research Administration
Keck School of Medicine
Topics
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Types of Awards
Review of Award Notice
Develop Spending Plan
Financial Monitoring
Cost Transfers
Effort Certification
Award Close Out
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
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)
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?
Review Award Notice
Look for Other Requirements
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Time table
Cost Sharing Requirements
Reporting Requirements
Clauses
Spending
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
Costs Must Be . . .
Reasonable - What “prudent person” would pay
in like circumstances
- Necessary?
- Advance the scope of work?
- Consistent with established policies &
practices?
Spending
• Encumber Known Expenses
—Personnel*
– Subcontracts
– Large Dollar Volume Expenses
– Independent Contractors
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)
Monitoring
Projection templates vary by
Schools and Departments
Projection Template
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Account Status Report (ASR)
Cost Transfers
• The first step in
charging costs is
to be certain
that the initial
charge is
appropriate.
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
– Attach detailed justification and supporting
documentation
– PI, Administrator, SBO sign off
Certifying Effort
• % Effort should reasonably reflect actual effort
spent
• Faculty effort on grants should not exceed 9095%
• Effort towards teaching, committee work,
preparing new grant proposals may not be
charged to grants
• Exceptions are reviewed by Office of Financial
Analysis
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
Certifying Effort
• USC on-line effort certification:
http://fbs.usc.edu/depts/ofa/page/4118/polic
ies/
Grant is Completed
Close Out of Award
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Close outstanding encumbrances/POs
Ensure no outstanding charges
Programmatic/Technical reports submitted
Personnel Expirations
– Notify project staff as soon as possible
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!
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
Questions?
Thank you!
Sabrina Feeley
Dornsife College of Letters Arts and Sciences
[email protected]
Nichole Phillips
Viterbi School of Engineering
[email protected]
Janet Stoeckert
Keck School of Medicine
[email protected]