proposal preparation & submission

Office of Sponsored Programs

Proposal Preparation & Submission

Teri Hansen, Division Manager-Industry under Government Prime

Jarrett Ellis, Contracting Officer-Industry Engagement

Candice Ferguson, Research Education and Communications Manager



ObjectivesGeneral purpose preparation guidelines and processing procedures at Georgia Tech including:

sponsored project fundamentals,preparation steps for the administrative portions of a proposal,proposal routing and systems,working with a Contracting Officer,industry contracting.

About Georgia Tech: the numbers



Gifts Vs. GrantsGifts to the Foundation

Foundation Relations (Development)- No Terms and Conditions- No Deliverables- All IP is owned by GTRC (no rights reserved)Sponsored Agreement

Office of Sponsored Programs or Industry Engagement- Terms and Conditions- Deliverables- If IP is created collaboratively, it can be jointly owned



Ethical Issues

Financial Stewardship (Regulations: 2 CFR 200, FAR)

Compliance IssuesObligations (Deliverables)Responsible Conduct of Research



Is it a Gift or Grant?These type of funds come from outside sources are for unrestricted use and are free of the constraints or obligations



Is it a Gift or Grant?A Gift: Established when funds from outside sources are for unrestricted use and are free of the constraints or obligations



Is it a Gift or Grant?Accepting these types of funds creates an obligation to report results from the project.



Is it a Gift or Grant?A Grant: This agreement creates an obligation to report projects results from the project



Types of agreementsGrants:

More Investigator DrivenTransfer money, property, services, or anything of value to recipient in order to accomplish a public purpose. No substantial involvement is anticipated between the sponsor and recipient during the performance of the activity

Cooperative Agreement:Transfer of funds to recipient to accomplish a public purpose and to provide assistance with substantial involvement between the parties

Contract:To acquire property or services for direct benefit or use by the sponsor.Provides tangible goods and services

Assistance Mechanisms

Procurement



Proposal Process Flow

Proposal Preparation & Routing

RFP/FOA Posted

Dept. Reviews& Approves

Dean orDelegateReviews & Approves

Pre-proposal Requests•IRB/IACUC/IBC•MTA/NDA •Export Issues•COI

OSP/IE Reviews & Approves

Reviews & Approves

OSP/IE and SponsorNegotiate Award Set-up

In OSP CIS•Budget•Billing/Payment •Deliverables•Terms & Conditions

Request PeopleSoft (PS) Project Number

Follow-up•IRB/IACUC/IBC•MTA/NDA •Export Issues•COI

Obtain Necessary ApprovalsP

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Order of Precedence for Guidance

State of GeorgiaRegulations GT Policies



Proposal DevelopmentInstitutional Policies and ProceduresProposal WritingBudget Development (class)Sponsor FormsReview (sometimes exceptions to Terms & Conditions)Signature AuthorityDeadline Management



Types of Proposals

Pre-proposalsUnsolicited ProposalsSolicited Proposals Limited Submissions or Restricted Programs



Collaborative Project DevelopmentTeaming Agreements

Collaborative Research

Intra-Institutional Research

Inter-Institutional Research

Subawards



If you are including a Sub-Award on your proposal….

If GTRC is giving money to EmoryNeed institutional approval (letter of commitment)

Route the proposal at their own institution who may have different lead times than us.Statement of WorkBudget & Budget JustificationC. V. Appropriate CertificationsRouting Forms



If GTRC is a Sub-Awardee

If GTRC is getting $ from Emory…Same requirements as “prime” awardee.

Statement of WorkBudget & Budget JustificationC. V. Appropriate CertificationsRouting Forms



Routing Procedures

Pre-proposalsLetter of IntentWhite Papers (good idea)

ContinuationsSupplementsRenewalsSub-Awards



GEORGIA INSTITUTE OF TECHNOLOGY SPONSORED PROGRAMS/RESEARCH PROPOSAL AUTHORIZATION ROUTING FORM FY2013 (August 2012)

INVESTIGATOR DATA PROJECT DIRECTOR/PRINCIPAL INVESTIGATOR (DR./MR./MRS./MISS/MS.)

PHONE CAMPUS ADDRESS & MAIL CODE

E-MAIL: FAX

LABORATORY, CENTER, COLLEGE OR SCHOOL

DEPT. ORG ID (REQUIRED)

CO-PD/PI (S) 1 STRATEGIC RESEARCH THEME (IF APPLICABLE)

ADMINISTRATIVE COORDINATOR, IF OTHER THAN PD/PI PHONE CAMPUS ADDRESS & MAIL CODE

E-MAIL: FAX

PROPOSAL DATA PROPOSAL TITLE

PROPOSAL/AWARD CLASSIFICATION:

NEW REVISED BUDGET CONTINUATION/ RENEWAL OF _________________ SUPPLEMENT TO ___________________ REVISION OF _____________________

IF THIS IS A RENEWAL, DOES THIS PROPOSAL CONTAIN AN ANNUAL OR INTERIM REPORT REQUIRED BY THE EXISTING AGREEMENT? Yes No REQUEST FOR PROPOSAL/APPLICATION (RFP, RFA) NUMBER _____________________

TYPE OF AWARD (CONTRACT TYPE): COST REIMBURSEMENT NO FEE (DEFAULT - RESIDENT INSTRUCTION) COST REIMBURSEMENT WITH A FEE (DEFAULT - GTRI) TIME & MATERIALS CONTRACT (MEMO REQUIRED) FIXED PRICE CONTRACT (MEMO REQUIRED – RESIDENT INSTRUCTION)

COST SHARING/MATCHING FUNDS YES NO

IS COST SHARING/MATCHING PROPOSED? (ATTACH APPROVAL FORM) IS COST SHARING/MATCHING CONTRACTUALLY REQUIRED BY THE SPONSOR? IS COST SHARING/MATCHING BEING PROVIDED BY AN EXTERNAL ENTITY?

IF, YES, ATTACH LETTER OF COMMITMENT BY EXTERNAL ENTITY TOTAL $ PROPOSED FROM SPONSOR TOTAL COST SHARING AMOUNT

ESTIMATED START DATE:

PROPOSAL DUE DATE & TIME: PERFORMANCE PERIOD MONTHS:__________ OR DAYS: ___________

KEY WORDS (AT LEAST ONE REQUIRED)

FOR OSP USE ONLY: DEPT./LAB PROPOSAL TRACKING NUMBER:



SPONSOR DATA SPONSORING ORGANIZATION NAME (FUNDING ORGANIZATION OR THE ORGANIZATION THE SUBAWARD IS FROM) MAILING ADDRESS OF SPONSORING ORGANIZATION

SPONSOR’S TECHNICAL CONTACT

PHONE EMAIL

ADMINISTRATIVE CONTACT

PHONE EMAIL

NAME OF SPONSORING GOVERNMENT ORGANIZATION (ISSUING THE PRIME CONTRACT), IF APPLICABLE: PRIME CONTRACT NUMBER:

SOURCE OF FUNDS, IF DIFFERENT FROM SPONSORING ORGANIZATION OR PRIME: CONTRACT NUMBER FOR SOURCE OF FUNDS:

CHECK PREFERRED MAILING METHOD. ELECTRONIC _____ ____________________ (EMAIL OR FAX IF APPLICABLE) EXPRESS COURIER_____ U.S. EXPRESS MAIL_____ FIRST CLASS CERTIFIED ______

COURIER (HAND DELIVERY) ADDRESS

ACCOUNT TO BE CHARGED:

YES NO SPECIAL REVIEW CHECKLIST: THE PROPOSAL SUBMITTED INVOLVES THE FOLLOWING

Human Subject Research? IRB Protocol Number:__________________ Expiration Date: _____________ Vertebrate Animals? IACUC Protocol Number:__________________ Expiration Date: _____________ Recombinant DNA? IBC Registration Number ____ Expiration Date: _____________

Applicants may request a deferral to submit a funding proposal without an approved protocol as required by GT policy. Requests must be made in writing to your Contracting Officer who will obtain institutional approval for such action. NOTE: No awards will be accepted without an approved GT protocol in place.

Select Agents See list at www.cdc.gov/od/sap/docs/salist.pdf More info: www.cdc.gov/od/sap/ Biological agents: Check all that apply: Infectious or pathogenic agent(s) Human tissues or bodily fluid Other biological materials Physical Agents. Check all that apply: Chemicals Sharps Laser Radiation Thermal agent Materials Transfer Agreement (MTA) Professional Education Program (if yes, please route to DLPE) Subaward(s) are proposed Teaming Agreement Research involves export of info or materials to another country Research involves a foreign sponsor or collaborator, or will be performed in whole or in part outside the U.S. Contract anticipated to contain restrictions on publication or the use of Foreign Nationals Involves the use of pre-existing (background) intellectual property Georgia Tech’s Third Party’s –explain in comments section. A member of the research team has a Significant Financial Interest (SFI) related to this project. If “yes,” you must complete the Proposal Financial

Interest in Research Report within eCOI. https://ecoi.research.gatech.edu.



Special Review

IF: GTRC is working with the Emory University on a NIH proposal and Emory is the prime recipient and we are receiving a subgrant from them, how do you fill this out?



Special Review

IF: If GTRC is working with Boeing on a proposal that is being funded by DARPA but the Army is actually awarding the funds to us, how do you fill this out?



Responsible Conduct of Research



Cayuse424

Cayuse424: for 98% of all grants.gov applications

https://gatech.cayuse424.comLog in with GT username and passwordClasses available

https://training.osp.gatech.edu/

For access and other assistance contact:Joseph [email protected]

Find FundingSource

Office of Office of Sponsored ProgramsSponsored Programs

Proposal Prep Proposal Prep & Submission& Submission

https://gatech.cayuse424.com/

https://training.osp.gatech.edu/



Other eRA Systemshttp://osp.gatech.edu/proposal-prep-systems

NSF Fast LaneNASA NSPIRESeRA Commons (NIH)eBRAPproposalCENTRALSubawards.com*



Sponsor Forms Informationhttp://osp.gatech.edu/profileAwardee Organization Performing OrganizationPoints of Contact (Technical, Business, Cognizant Agent)Address, Congressional DistrictsDUNSEINCAGENAICSAssurance Numbers

http://osp.gatech.edu/profile



ContractingContracting Officers Role (Pre-Award):

review proposals and cost estimates for compliance with sponsor requirements and Institute policiesreview the business portion of proposals

Representations and Certifications serve as the sponsor’s point of contact for business matters during the evaluation processnegotiate the final terms of the contract or grantsign, in conjunction with an officer of GTRC or GTARC, the resulting agreement



OSP Contracting Teams



Working with A Contracting Officer

Notify them of upcoming deadlines and include the RFP or Program AnnouncementRoute budget and institutional commitments early (follow up with project description)Don’t wait to the last minute



Kevin Wozniak, MBA, RTTPExecutive Director, Industry EngagementPhone: (404) 385-1437

Deborah ReidAdministrative CoordinatorPhone: (404) 894-6940

Industry and International Agreement (All campus and GTRI)

Enterprise Agreements GTARC Agreements Technology Licensing

Sophia L. Herbert-Peterson, JDDirectorPhone: (404) 385-6705

Lauren MacLanahan, JDSenior DirectorPhone: (404) 894-6900

Vacant

DirectorPhone: (404) 894-6439

Nicole C. Cohn, JDAssociatePhone: (404) 385-1465

Caroline C. Coursey, MSEE, JDSenior AssociatePhone: (404) 385-6697

Kate Havey, MSAssociatePhone: (404) 894-9788

Amy M. Dowis, JDAssociatePhone: (404) 894-0026

Anna GloverContract SpecialistPhone: (404) 385-3057

Rene’ Meadors, MPHMarketing AssociatePhone: (404) 385-0434

Jarrett R. Ellis, M.Ed, JDAssociatePhone: (404) 894-6929

Gage Ramos, JDAssociatePhone: (404) 385-3034

Lianna Grissom, JDAssociatePhone: (404) 385-4207

Madhavi Sriram, PhD AssociatePhone: (404) 894-9727

John H. Haugaard, JDAssociatePhone: (404) 894-9789

Tiffany RossAccount ManagerPhone: (404) 385-3691

Brittany OrrContract SpecialistPhone: (404) 385-3897

Kristin HeggenPatents AdministratorPhone: (404) 385-3053

Cynthia JacksonTechnology Licensing CoordinatorPhone: (404) 385-2723

mailto:[email protected]








Industry Collaborations & Affiliated LicensesReview industry proposalsMeet with potential sponsorsDraft, negotiate and execute master & single research and specialized services agreementsDraft & execute center membership agreements and by-lawsSBIR/STTR applications & agreementsPost-award account maintenance



Where to Submit Routing Sheets

Resident Instruction:Submit routing sheets to Industry Mailbox

[email protected]

GTRI:Submit routing sheets through PRSys

https://webwise.gtri.gatech.edu



Industry Process



Contract Types

Cost Reimbursable No Fee preferred choice

GTRC recovers all the costs incurred (least risk)Provide for payment of allowable incurred costEstablishes an estimate of total costs for the purpose of obligating funds and establishing a ceiling that the contractor may not exceed.

Fixed Price Used only when cost of research is knownProviding a firm price

Time and Materials Used primarily at GTRI



Information Flow: Routing Sheet to Research Project Agreement



Information FlowData From the Proposal Routing Sheet is necessary to populate the Cost Reimbursement Research Project Agreement



Information Flow



Statement of Work

Should define in specific terms the areas of research, tasks and objectivesDeliverables stated in SOW should mirror the contract terms (reports only)



Georgia Imposed Restrictions

Warranties & IndemnificationDisclaimer of Warranty – states that there are no guarantees concerning the quality or fitness of the research results.Indemnification – provides protection against possible damages, including legal suits. Provides compensation for such damages.

Necessary when the research agreement provides the sponsor with commercial licensing rights to GTRC IP



Publications

Outlines the expectations of sponsor and institution with respect to dissemination of research results

Right to publish results is important to faculty and students and for compliance with US Export Control RegulationsShould provide the right to review prior to publication, not to approve. (Typically agree to 30 days.)



Non-profit Status 501 c(3)

Bayh

-Dole

Act

Internal Revenue Procedure 2007-47

GaTech’s Policy on

Intellectual Property

Non-Profit Status 501 c(3) EducationalScientific

EducationalInstruction or training of individuals and community

ScientificResearch to be carried in the public interest.Results of research available to the public in a non-discriminatory basis.

Not:Activities ordinary to commercial or industrial operations.Inspection or testing of materials or productsDesigning or construction of equipment, building, etc.No work for hire

Legal Framework on IP



Governing LawsWe prefer to agree to the state laws of Georgia.We can remain silent.



Confidential InformationNon-Disclosure Agreements (NDAs)

Pre-Award: Legal AffairsPost-Award: GTRC



Assignment

Allows for GTRC to assign any or all of its rights or obligations to GIT.



Pre Award Tools

WebWISE: ICOL

Proposal SummariesDocument IDProject NumberContracting OfficerTrack Status



Thank you for attending this session.

Please log into RosterTech to complete evaluation form.Contacts:

Candice [email protected]

Teri [email protected]

Jarrett [email protected]

proposal preparation & submission

Documents

types of funds

transfer of funds

type of funds

unrestricted use

services other166

outside sources

conditions deliverables

substantial involvement