The University of Southern California is committed to helping its faculty secure financial resources in support of their research. Doing this requires a partnership among faculty investigators, schools (and their departments, research centers and institutes), and central administration. This page describes the roles and responsibilities of each of these groups.
Each sponsored project at USC is led by a Principal Investigator (PI), or in some cases multiple PIs. Guidelines for serving as PI are set forth in the USC Guide to Research.
The PI has primary responsibility for the technical and administrative success of the project, including the ideas and methods that underlie the research or scholarly activity, creation and execution of the research plan, and academic integrity in all aspects of the work. The PI is also responsible for assuring that the work conducted under the project adheres to the terms of the award or agreement, and also to the policies of the sponsor and those of USC.
Pre-Award Responsibilities:
- Developing, proofreading, editing, and revising any technical or scholarly narratives.
- Ensuring the proposal is consistent with Sponsor guidelines and University policy.
- Identifying subcontractors and collaborators and securing a budget, scope of work and any relevant documents from subcontractors and consultants.
- Identifying the need for any cost sharing funds.
- Obtaining all needed regulatory approvals.
- Ensuring that the proposal record in Cayuse SP is certified and correctly reflects any foreign influences or conflicts of interest.
Post-Award Responsibilities:
- Executing the project as outlined in the funded proposals.
- Carrying out the project’s financial plan as presented in the proposal.
- Making changes to the project’s financial plan following sponsor and/or USC’s policies and procedures.
- Reporting project progress and submitting deliverables to the sponsor as outlined in the terms of award.
- Responding promptly to staff requests for approvals, information, or decisions.
- Ensuring that an accurate record is maintained of project-related expenses.
- Selecting, training, and evaluating project staff and students.
- Complying with all USC policies and procedures, maintaining high standards of research integrity, and protecting the welfare of research subjects.
- Complying with all applicable sponsor rules, regulations and/or terms and conditions of the award.
Although the PI is usually assisted by administrative staff for the creation of budgets, protocols, the Cayuse SP proposal record, and the management of project funds, the ultimate responsibility for the financial and administrative management of the project rests with the PI.
Research Administrators within schools, departments and centers offer a valuable service to PIs by providing a bridge to central administration. Because they often provide a direct personal interface to the PI, Research Administrators can assist in finding and securing assistance from central administration. Although ultimate responsibility for compliance with rules, policies and regulations rests with the PI, Research Administrators should be knowledgeable in these areas and should be prepared to advise and support PIs to avoid mistakes.
Research Administrators should not approve proposals or protocols on behalf of PIs and should strive to ensure that PIs have read and understand the contained information. Because information on outside financial interests is confidential, Research Administrators should not answer conflict of interest questions, and should not complete conflict of interest disclosure forms.
Pre-Award Responsibilities:
- Review proposals for completeness and accuracy before submission.
- Complete and route Cayuse SP proposal records for review and approval.
- Assist with budget development and proposal preparation/revisions.
- Identify any cost-share needs.
- Coordinate any space
- Prepare and upload just-in-time
- Monitor any pre-award spending.
- Secure a budget, scope of work and any other relevant documents from subcontractors and consultants.
Post-Award Responsibilities:
- Prepare budgets (including any satellite budgets), financial transactions (e.g., cost transfers, payroll, requisitions) and certify that cost sharing is documented.
- Review and approve financial
- Complete necessary adjustments to award charges and/or payroll
- Review the terms and conditions of the award to determine if any prior approvals are needed and notify DCG if /when prior approvals are requested.
- Prepare effort
- Initiate supplier contracts and change orders in Workday and ensure all requested information is complete.
Schools are responsible for ensuring that administrative support is provided to investigators for the preparation of budgets, forms and support in the fiscal and administrative management of sponsored projects.
In some schools, this support is provided centrally by the school as a service for all of the school’s PIs. In other schools, departments, centers, and/or institutes provide this service locally. It is the school’s responsibility to ensure that no PI is left without administrative support, that all PIs are aware of where to obtain support, and that sufficient resources are available to meet the needs of PIs.
Pre-Award Responsibilities:
- Provide expert guidance on funding opportunities.
- Identify and delineate acceptable cost-share burden between schools.
- Approve requests for space.
- Approve requests for indirect cost waivers or reductions.
- Guide departments on proposal preparations.
- Verify that any cost sharing quantified in the proposal is reported in Cayuse SP.
- Review proposed cost sharing for appropriateness.
- Approve cost sharing.
- Confirm the eligibility of a PI.
- Confirm that the scope of work is in keeping with the mission of the school.
- Confirm that the school has the space and resources to support the proposed work.
- Confirm that the budget is reasonable and in keeping with University policy.
- Provide school review and approval of proposals.
Post-Award Responsibilities:
- Approve re-budgeting requests.
- Certify that cost sharing is documented.
- In the absence of the PI (e.g., transfer, long-term absence) prepare and submit technical reports to the sponsor and DCG.
Central administration provides quality assurance with respect to the awards and agreements that the university negotiates and executes. This includes:
- Research Integrity and Ethics with respect to protecting animal and human subjects, managing conflicts of interest, preventing scientific misconduct, and ensuring safety.
- Academic Principles, ensuring that academic freedom is protected, students are not restricted from participation in research, work can be independently and openly disseminated, and work is not designed to serve an overtly proprietary purpose (such as product endorsement or advertising).
- Fiscal Responsibility, ensuring that the university is capable of meeting contractual obligations and that agreements do not expose USC to unwarranted risk or liability. Central administration’s responsibilities include negotiating agreement terms, billing and financial reporting to sponsors, and payments to vendors and employees.
Below is a list of various offices at USC that play a vital role in supporting the university’s research mission. Each office has its own unique set of responsibilities, but they all work together to create a supportive environment for both researchers and their support staff.
- The Department of Contracts and Grants is responsible for proposal submission, award negotiation, sub-awards, award set-up and close-out, and ensures that grants and contracts are consistent with university standards for academic freedom, research ethics and fiscal responsibility.
- Sponsored Projects Accounting oversees the post-award financial administration of sponsored research for the university, including the submission of financial reports and invoicing.
- The Office of Research Strategy and Development offers assistance in pursuing competitive federal funding opportunities with a targeted focus on large, multidisciplinary research endeavors.
- The Department of Disbursement Control & Accounts Payableis responsible for processing and distributing payments to subcontractors.
- The Department of Purchasing Services is responsible for processing reimbursements, Independent Consultant Agreements, and issuing Purchasing Orders for subcontracts.
- The Clinical Trials Office specializes in industry-sponsored clinical trials.
- The Office of Culture, Ethics and Compliance handles export restrictions, conflict of interest disclosures, and research compliance education.
- The Office of General Counsel is responsible for addressing legal issues arising out of the activities of USC, Keck Medicine of USC, and various subsidiary entities.
- The USC Stevens Center for Innovation handles the licensing of intellectual property, material transfer agreements, confidential disclosure agreements and assistance with start-ups.
- University Advancement specializes in gift agreements (i.e., an agreement where an organization or individual asks for no work product, intellectual property or any other item of value in exchange for funding).
Many different actions exist within the sponsored project lifecycle. Below is a breakdown of the various roles and responsibilities included in this lifecycle. These resources aim to help foster improved communication and coordination among PIs and their research team members.
The Department of Contracts and Grants (DCG) supports USC’s investigators from proposal development to award closeout, ensuring that sponsored projects are consistent with university standards for academic freedom, research ethics and fiscal responsibility. In light of these obligations, DCG has a Service Commitment that covers the services provided by the department, including:
- Proposal Review Services
- Negotiation of Sponsored Research Agreements
- Cayuse SP Guidance
- Training for Faculty and Staff