It is important to determine if the work proposed is research, a clinical trial, training, fellowship or Research Services. This, in turn, determines the appropriate F&A rate to apply and the central office who will be the authorized signatory.

Here is a list of Definitions of common Activity Types to assist with the designation:

Clinical Trial:

The controlled, clinical testing of investigational and/or approved drugs, devices, treatments or diagnostics in human subjects where such testing is performed under a sponsor or investigator-developed protocol covered by an IND or IDE from the FDA. Note: If you select the Activity Type “Clinical Trial”, an entire new “Clinical Trials” section will appear on the proposal form in Cayuse SP and need to be completed.

Equipment:

The acquisition of equipment, including grants of equipment or full or partial funding to enable the purchase of equipment and where the title to such equipment vests with USC.

Fellowship:

Training or subsistence during training to either graduate students or post-doctoral candidates training in research techniques.

Instruction:

The development or enhancement of a curriculum.

Other:

Serves as the catchall for activities not reflected in the rest of the list.

Research (Applied):

The systematic use and practical application of findings/theories in studies involving useful products, where such studies are designed to test and/or evaluate practical application of proposed solutions.

Research (Basic):

Directed toward research that increases knowledge of the subject being studied. This includes activities that seek to increase the understanding of fundamental phenomena.

Research (Clinical):

Research in which people, or data or samples of tissue from people, are studied to understand health and disease.

Research (Development):

Normally follows basic research and attempts to expand the potentialities of new discoveries.

Service:

Consulting or other services, including public services, research services , business services, testing (recharge centers); Interpersonal agreements (IPA);  work-for-hire; training to non-USC students at outside facilities; independent contractor agreements. For additional information, please see our research services page.

Note: Cayuse is only required for Services type agreements which include government funding (city, county, state, federal).

Training:

Scholarly, professional, or occupational instruction primarily for graduate students or University employees (including post docs). This includes training awards made to USC that provide for selection of student recipients by academic units.

Determine if the deadline allows time to complete the proposal and secure necessary information and approvals. Check to determine if the proposal might require or request a Letter of Intent, White Paper, or Pre-Proposal.

Does the solicitation require that USC agree to terms and conditions at proposal stage?  If so, please loop in your DCG Officer so that they can review terms and advise on next steps. If the terms include publication restrictions or restrictions on foreign national participation, additional approvals might be required prior to submission consistent with the University Policy on International Collaborations and Export Control.

Grant proposals may entail various eligibility requirements, such as organizational eligibility, which stipulates that only certain types of institutions, like non-profits or academic institutions, are eligible to apply. Another type is project-specific eligibility, which outlines criteria such as geographic location or target population for the proposed project. Additionally, there may be eligibility based on the applicant’s track record, such as previous experience in the field or a demonstrated capacity to carry out the proposed work.

Institution Eligibility:
USC is a private institution of higher education located in the state of California in the United States of America and is registered as a 501( C )3 under IRS tax code. Please review the solicitation carefully to ensure that USC is eligible to apply prior to proceeding with your proposal.

PI Eligibility:
The sponsor may have limitations on who can serve at the Principal Investigator on a proposal. Please carefully review the solicitation section that determines “Eligibility” to ensure that the party identified as the PI meets sponsor requirements. USC also has guidance on who can serve as a Principal Investigator on USC sponsored research awards.

The USC Guide to Research provides the following guidance:

• All tenured, tenure track, and Research, Teaching, Practice, and Clinical (RTPC) faculty (with the exception of lecturers, adjunct, and part-time faculty) may serve as Principal Investigators on Sponsored Research Projects at USC. Retired faculty may be called back and asked to serve as Principal Investigators as described in Chapter 10 of the Faculty Handbook. Please note that, Voluntary faculty may not serve as Principal Investigators.
  

The following employee types may serve as Principal Investigators if a waiver is granted upon recommendation by the appropriate department chair(s), appropriate dean(s), and the VP of Research:

• Part-Time Faculty.
  
  
• Certain staff positions (including Research Scientists, Senior Research Associates, and Research Associates).
  
  
• Postdoctoral Research Associates and Postdoctoral Teaching Associates

Postdoctoral Research Associates and Postdoctoral Teaching Associates (as defined by USC’s Postdoctoral Scholars Policy) can also serve as Co-Principal Investigators on sponsored projects without a waiver. 

• Other specific employee types may serve as a Principal Investigator if a waiver is granted.

How Can I Request a Waiver?

Please complete the information requested on the appropriate PI Exception Request and Approval Form below, attach the required additional documents (e.g. CV, solicitation), secure the approval of the Dean or Dean Designee and Department Chair and direct the completed waiver form to Katie Rountree (Rountree@usc.edu) in the Department of Contracts and Grants to secure approval of the Vice President of Research and Innovation or designee:

PI Eligibility Exception Request and Approval Forms:

• KSOM PI Exception Request and Approval Form – Please use for all Keck School of Medicine faculty and staff.
  
  
• General PI Exception Request and Approval Form – Please use for all non-KSOM faculty and staff

Are there Sponsor Restrictions on Who Can Serve as a PI?

The sponsor may also have limitations on who can serve as the Principal Investigator on a proposal. Please carefully review the solicitation section that determines “Eligibility” to ensure that the party identified as the PI meets sponsor requirements.

Limited Submissions are competitions for awards by outside agencies for which USC can nominate a limited number of candidates. Applications for any of the awards listed here must go through an internal review process and receive approval from the USC administration prior to submission to the sponsoring agency. In order to secure approval please work with the Office of Research Initiatives and Infrastructure and follow their approval process for securing approval for Institutionally Limited Submissions.

Sometimes a sponsor might request a white paper, pre-proposal, or a letter of intent prior to accepting a proposal submission.  These are normally a short description of the proposed project. Usually, the purpose is to inform and interest the potential sponsor in the project, resulting in a request for a more detailed formal proposal.

When these “pre-proposals” do not require the certification/sign-off of an authorized representative in the Department of Contracts and Grants and/or do not include an Institutional Commitment (e.g. agreement to terms, commitment to a detailed budget, cost share commitment), no Cayuse SP record is required and the PI can submit directly to the sponsor. Or, if the DCG Officer is needed to submit, the PI can work with their DCG Officer to ensure successful submission prior to the deadline.

If the “pre-proposal” does require the sign-off of an Authorized Representative and includes an Institutional Commitment (e.g. agreement to terms, commitment to a detailed budget, cost share commitment) then please process the approvals through the Cayuse SP system prior to the deadline.  Upon receipt of the approved Cayuse SP record, your DCG Officer will sign off and submit the pre-proposal.

Determine the system through which the proposal needs to be submitted and work with your DCG Officer to ensure that you have all necessary registrations in order to be compliant with the submission system.

In some cases, the PI might have to submit directly and/or have to be registered in the system in order to complete the proposal. It is important to identify this early so that DCG can ensure that all registrations are in place.

Determine if the solicitation requires that there be a cost share commitment. Cost Sharing commitments require the approval of the School and so it is important to work with the school in advance to secure this approval.

For more information on cost sharing, please visit our Cost Sharing webpage.

In order to be compliant with FCOI regulations, all named investigators on proposals where there is PHS funding (e.g. NIH, HRSA, SAMSHA) must have the following in place prior to proposal submission:

• A current disclosure within the last year in the USC Disclose System.
• Completed HHS Conflict of Interest training within the last 4 years.
• Confirmation of FCOI compliance for any Subcontractor Institution.

Under FCOI regulation, “Investigator” means the Project Director or Principal Investigator and any other person, regardless of title or position, who is responsible for the design, conduct, or reporting of research funded by the PHS (e.g., NIH), or proposed for such funding, which may include, for example, collaborators or consultants.