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Grant Overview, Budget Development and Post Award Processing Workshop. Sponsored by USCRF and School of Public Health. Organization Structure for USC Research Foundation. USCRF’s mission Advance the academic and research enterprise at USC. Overview of the Grant Process. Wanda Hutto.

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Grant Overview, Budget Development and Post Award Processing Workshop

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Grant overview budget development and post award processing workshop

Grant Overview, Budget Development and Post Award Processing Workshop

Sponsored by USCRF and School of Public Health

Organization structure for usc research foundation

Organization Structure for USC Research Foundation

USCRF’s mission

Advance the academic and research enterprise at USC

Overview of the grant process

Overview of the Grant Process

Wanda Hutto

Sponsored programs and research

Sponsored Programs and Research

  • Services

    • Provides pre-proposal support including identification of funding sources, presentation of grant workshops, and coordination of weekly flights to Washington for meeting with sponsor agencies.

    • Processes all sponsored project proposals for institutional signatory approval.

    • Negotiates and accepts all sponsored project awards.

    • Establishes all sponsored program accounts.

    • Assures compliance with all university and sponsor policies and regulations.

Sponsored programs and research1

Sponsored Programs and Research

  • Services

    • Issues all subcontracts/subawards under all sponsored projects.

    • Processes most post-award actions (rebudgeting, no-cost extensions, change of scope, etc.)

    • Advises project directors on grant/contract administration issues.

    • More information on this program:

Office of research compliance

Office of Research Compliance

Specific areas of responsibility include:

  • Human Subjects Protection Program and Institutional Review Board

  • Conflict of Interest and Outside Professional Activities Reporting

  • Misconduct in Research and Scholarship

  • Training in the Responsible Conduct of Research

  • Liaison to institutional compliance committees including IACUC and Health and Safety

  • Monitoring government legislation and regulation related to compliance issues

  • More information on these programs:

Private foundation support

Private Foundation Support

  • USCRF and the Development Office Coordinate Private Funding

  • Foundation Consultant Activities (Sandra Glass)

    • Review One-Page Concept Papers

    • Review Letters of Inquiry

    • Serve as an Advisor Regarding Strategies for Approaching Foundations

  • Contact

    • Harriet Showman, Director of Development/Foundations

    • 7-4095


Proposal review process

Proposal Review Process

Proposal idea

Proposal Idea

  • Developed by Faculty

  • Funding Source Identified

  • Grant Process Begins

Identify funding source

Identify Funding Source

  • Search Mechanisms

    • Community of Science


    • Foundation Center


    • Funding Alerts


  • Contact Proposal Development Coordinator

  • Funding Agency

    • Topic should be compatible with agency funding interests

    • Consider agency limits on budget, applicants, and geographic area

Next steps

Next Steps

  • Write the Proposal

    • Develop Timeline

    • Follow sponsor guidelines

    • Explain things

    • Don't make assumptions of your reviewers

    • Be innovative .. new audiences, new techniques, etc.

    • Be specific

  • Institutional Official Approval

    • SPAR Office

    • Assigned Sponsored Program Administrator

    • For the list:

Proposal submission process

Proposal Submission Process

  • Complete SPAR Form


  • Proposal

  • Sponsor Guidelines


Proposal review

Proposal Review

Red Flags in the Budget

  • Indirect Cost Rate Calculations

  • Fringe Benefits

  • Cost Share

    • Provide documentation

  • Subcontracts/Consultants

    • Provide documentation

  • Equipment

  • Tuition

  • Budget Narrative

  • Basic Calculations

Facilities and administrative f a cost rates


School of Medicine

Senior and RegionalCampuses

FY037/1/02 - 6/30/03

FY047/1/03 - 6/30/04

FY037/1/02 - 6/30/03

FY047/1/03 - 6/30/04

FY037/1/02 - 6/30/03

FY047/1/03 - 6/30/04








Training and Service















School of Medicine

Senior and RegionalCampuses

FY037/1/02 - 6/30/03

FY047/1/03 - 6/30/04

FY037/1/02 - 6/30/03

FY047/1/03 - 6/30/04

FY037/1/02 - 6/30/03

FY047/1/03 - 6/30/04








Training and Service







Facilities and Administrative (F&A) Cost Rates

On-Campus Rate FY03 & FY04

Off-Campus Rate FY03 & FY04

For more information:

Where indirect dollars go as of july 1 2002

Where Indirect Dollars GoAs of July 1, 2002

$1 of Indirects

USCRF = 43 cents

Start-up costs

Equipment Matching

Internal Grants


College = 43 cents



Start-up costs

Equipment Matching

Facilities Fund = 14 cents

New Construction



Fringe benefits

Fringe Benefits

  • Current Rate = 19.10%

  • Dates Effective – July 1, 2002 through June 30, 2003


Certification form

Certification Form

Proposal review1

Proposal Review

Additional Red Flags

  • Follow Sponsor Guidelines

    • Special Terms and Conditions

  • Departmental Collaboration and Policies

  • Human Subjects

  • Animals

  • Hazardous Materials

  • USC Financial Conflict of Interest Disclosure

Administrator additional duties

Administrator Additional Duties

  • Assigned Proposal Number

    • Enter into Database

  • Transmittal Letter

  • Attachments (varies by sponsor)

    • Debarment Forms

    • Lobbying Disclosure

    • Drug-Free Workplace Forms

    • Affirmation Action Forms

    • Copy of Board of Directors

    • Copy of Indirect Cost Rate Agreement

Administrator additional duties1

Administrator Additional Duties

  • Authorizing Signatures

    • Additional signatures may be required depending on project amount

  • Ready for Pick-Up or Delivery

    • Department copies and mails to sponsor

Award process

Award Process

Bonnie Feary

How an account is determined

How An Account is Determined?

  • FFederal

  • GState

  • HMunicipal/County

  • JBusiness/Industry

  • KFoundation/Non-Profit

  • LOther/Hospital





VDonated Equipment

PGraduate Assistant

Contact information

Contact Information

University of South Carolina

Research Foundation

901 Sumter Street

Byrnes Building, 5th Floor

Columbia, SC 29208

803-777-7093 Fax 803-777-4136

Budget preparation

Budget Preparation

Maxine Mixon, Prevention Research Center

LaVerne Shuler, Exercise Science

Stephen Wilson, Office of Research




What’s covered:

  • Pre-preparation Checklist

  • Budget Preparation Resources

  • Key Budget Issues

  • Post-preparation Checklist

  • Sample Completed Budget Forms

Pre preparation checklist

Pre-preparation Checklist

  • Before you start:

    • Review agency guidelines, instructions, and forms

    • Review SPAR guidelines and internal forms

    • Determine all proposal submittal deadlines

    • Identify target cost or ceiling amount

    • Determine start date and grant period

    • Review proposal

Proposal budget preparation guide

Proposal Budget Preparation Guide

SPAR website:

Key budget issues

Key Budget Issues

Key budget issues1

Key Budget Issues

Applicable to all budgets:

  • NIH Modular Budgets (Maxine Mixon)

  • Personnel (Maxine Mixon / LaVerne Shuler)

  • Consultant Costs (LaVerne Shuler)

  • Equipment (LaVerne Shuler)

  • Supplies and Materials (LaVerne Shuler)

Key budget issues continued

Key Budget Issues (continued)

  • Travel (LaVerne Shuler)

  • Other Expenses / Costs (L. Shuler / S. Wilson)

  • Consortium / Contractual Costs (Maxine Mixon)

  • Consultants (LaVerne Shuler)

  • F&A (Indirect) and MTDC Costs (Stephen Wilson)

  • Cost Sharing and Matching (Stephen Wilson)

Nih modular budgets

NIH Modular Budgets

  • Applies to NIH research grant applications requesting up to $250,000 per year. Request total direct costs in modules of $25,000.

    • NIH website for modular research grant applications:


    • Features (handout)

    • FAQ (handout)

SPECIAL NOTE: SPAR requires a detailed,

itemized budget for each funding period.



  • Salary

    • Institutional Base Salary (excludes salary supplements and bonuses)

    • Appointment Types

    • Faculty Summer Salary

    • Total commitment must not exceed 100%, including contributed effort

    • FY 2003 NIH Salary Limitation: $171,900

    • Apply appropriate escalation factor on multi-year budgets

  • Fringe Benefits

    • Specifically identified to each employee

    • Check SPAR website for latest rates

      • Fringe Benefits Calculator

Consultant costs

Consultant Costs

  • USC faculty/staff cannot be paid consultants on a USC grant.

  • State employees require dual employment approval.

  • Budgeted costs cannot exceed max daily rate.

  • Include travel and per diem costs.

  • Include letters of commitment in proposal.

  • SubmitUSC Procurement Exemption Certification Form.

Grant overview budget development and post award processing workshop


  • Definition:

    • Tangible, nonexpendable personal property having a useful life of more than one year and a unit acquisition cost of $5,000 or more.

  • F& A (indirect) costs do not apply.

  • Submit USC Procurement Exemption Certification Form to SPAR.

Grant overview budget development and post award processing workshop

Supplies and Materials

  • Definition -All personal property excluding equipment, intangible property, and debt instruments.

  • Itemize by category.

    • Food must be specifically requested and justified in the grant application.

SPECIAL NOTE: Office supplies and administrative/clerical

support are generally unallowable as direct costs

under Federal funds. Ref: SPAR memo (2/25/94); OMB Circular A-21

Exceptions: Project-specific items



  • Itemize under separate categories.

    • In-state, out-of-state, and foreign travel

  • Use current mileage and meal allowance rates.

  • Include related expenses.

    • Ground transportation

    • Parking

    • Registration fees

    • Travel agency services fees

    • Phone calls

Other expenses costs

Other Expenses / Costs

Examples of items included:

  • Project-specific long-distance telephone & voice mail

  • Participant support costs (travel, fees, meals, stipends, etc.)*

  • Printing and publication costs

  • Freight and project-specific postage

  • Rentals and leases

  • Equipment and animal maintenance

  • Service contracts

  • Stipends and honoraria

  • Graduate student tuition 

    * Some funding agencies require that travel and meals be included under the TRAVEL and SUPPLIES budget categories, respectively.

Implementation plan for restructuring graduate student assistantships

Implementation Plan For RestructuringGraduate Student Assistantships

  • All graduate assistants = In-state tuition rate

Tuition budgeting

Tuition Budgeting

For Graduate Assts:

  • $1,753 per full time (20 hrs/wk) GA

  • $ 877 per half time (10 hrs/wk) GA

  • Goes under other expenses if allowed by agency

  • Excluded from IDC computation

  • Must be indicated as cost of department on PAP

    form (item 1) if not covered by funding agency.

Consortium contractual costs

Consortium / Contractual Costs

  • Criteria:

    • Funds will be paid to another institution rather than to an individual.

    • Subrecipient will contribute to scholarly or scientific conduct of the project.

    • Subrecipient effort requires judgment, unique expertise, and original thought.

    • Subrecipient does not provide identical services to others as their primary business.

Consortium contractual costs1

Consortium / Contractual Costs

  • Requirements:

    • Separate statement of work.

    • Detailed budget.

    • Written confirmation of institutional commitment.

    • Submit USC Procurement Exemption Certification Form.

F a indirect costs

F&A (Indirect) Costs

  • Use appropriate F&A cost rates

    • On-campus, off-campus, effective dates

  • F & A (indirect) costs exclude:

    • Capital expenditures:

      • Equipment

      • Renovations and Alterations

      • Buildings

    • Tuition remission

    • Each sub-award in excess of first $25,000

    • Rental costs of off-site facilities

    • Student support costs (e.g. Stipends, Scholarships, etc.)

    • Patient care costs

  • Modified Total Direct Cost (MTDC)

  • Cost share


    • Referred to as matching or in-kind contributions

    • Defined in the OMB Circular A-110

    • May be cash or non-cash

    • Frequently required by private foundations

    SPECIAL NOTE: Do NOT volunteer cost share.

    Cost share an example

    COST SHARE…an example


    $50,000 grant funds received

    $40,000 USC cost share posted

    $90,000 total expenditures posted

    • Because of the cost share requirement of 50/50, $5,000 will be returned to the grantor.

    • Departmental account (A or E) will be charged the $5,000 portion not covered by the grant.

    Post preparation checklist

    Post-preparation Checklist

    • Verify budget is consistent with proposal.

    • Check all calculations.

    • Verify fringe and F&A rates are correct.

      • Confirm sufficient department funds to cover cost share commitments

      • Complete USC Procurement Exemption Certification Formfor major equipment, subcontracts, and consultants.

    TIP: Pre-coordinate final budget with SPAR

    prior to submitting entire proposal.

    Sample completed budgets

    Sample Completed Budgets

    Sample completed budgets1

    Sample Completed Budgets

    • National Institutes of Health (NIH) Modular

      • Same Modules (handout only)

      • Variable Modules

    • National Science Foundation (NSF)

    • Robert Wood Johnson Foundation (RWJF) (handout only)

    • NIH and Centers for Disease Control and Prevention (CDC)

      • PHS 398

    National science foundation nsf


    • FastLane submission required for all proposals

    • SPAR must register faculty for FastLane

    • SPAR submits to NSF

    Key web address:

    National science foundation nsf1


    • Each year must have a budget and a cumulative budget for total project.

    • Summer salary for faculty is restricted to two-ninths of the academic salary.

    • Personnel is divided into two categories:

      Senior Personnel and Other Personnel

    • All other budget categories similar to NIH

  • Statutory cost share of 1% is required

    • Not required on application

  • Sample phs 398

    Sample PHS 398

    Contact information1

    Contact Information:

    Maxine Mixon, Prevention Research Center

    Tel: 777-2830; Fax: 777-9007; E-mail:

    LaVerne Shuler, Department of Exercise Science

    Tel: 777-7078; Fax: 777-2504; E-mail:

    Pam Weiss, Director, Office of Research

    Tel: 576-6074; Fax: 576-5950; Email:

    Stephen Wilson, Office of Research

    Tel: 777-9415; Fax: 576-5950;

    Post award and grant processing

    Post Award and Grant Processing

    Tonya Lewis and Linda Zinna

    The process

    The Process

    The review

    The Review


      • Fixed Price Contract

      • Cost Reimburseable

      • Line Item Restrictions

      • Unallowable Costs

      • Matching Requirements

        • Voluntary

        • Mandatory

    The review1

    The Review

    • F & A COSTS

      • Special Rates

      • Change in Rate

      • Modified

    The review2

    The Review




      • PATENT





      • LEVEL I

    Grant accountants

    Mike Hamilton

    Tonya Lewis

    Tracy Pham

    Gina Thomas

    Call CG&A at


    Peggy Walsh

    Nicole Walukewicz

    Neal Woody

    Linda Zinna

    Fax CG&A at


    Grant Accountants


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