Office of Sponsored Programs All rights reserved GTRC An Introduction to Sponsored Programs Tom Capitano Office of Sponsored Programs

Office of Sponsored ProgramsAll rights reserved GTRC

An Introduction to Sponsored Programs

Tom CapitanoOffice of Sponsored Programs


Introduction to Sponsored Programs

OverviewCampus Impact

Sponsored Project Administration Summary

Units and Responsibilities

Conclusion



What does this mean to you?

$621,595,430



How Research Impacts Georgia Tech



Money Matters

Employment/Promotion Criteria Credibility encourages future fundingEmployment for StudentsNeed money to conduct researchOther…

The Georgia Tech R&D Engine

Industry R&D $$

Industry R&D $$

Federal Government

R&D $$

Federal Government

R&D $$

Industry R&D $$

Industry R&D $$

State R&D $

$

State R&D $

$

Georgia Research Alliance

Eminent ScholarsFacilities

EquipmentTranslational

Research Funds

Georgia Research Alliance

Eminent ScholarsFacilities

EquipmentTranslational

Research FundsThe Georgia Institute of Technology

The Georgia Institute of Technology

Board of RegentsUniversity System of Georgia

Board of RegentsUniversity System of Georgia

State of GeorgiaState of Georgia

R&D Products

Georgia Tech Research

Corporation

Georgia Tech Research

Corporation

$$

$ $

Georgia Tech Foundation $

$

Georgia Tech Foundation $

$

Research

Research Proposals and Awards for Fiscal Year 2013Proposals Awards

Number Amount Number Amount

College of Architecture

96 $22,295,836 57 $5,417,300

College of Computing 195 $125,954,147 141 *$26,510,524

College of Engineering 1535 $636,515,535 1218 ***$185,190,893

Ivan Allen College 51 $36,610,807 41 $4,510,149

Scheller College of Business

15 $4,141,334 11 $2,479,997

College of Sciences 495 243,498,355 332 **$57,168,754

Research Centers 516 $63,759,278 704 $35,374,945

GTRI 522 $1,834,315,653 683 *$304,942,868

Institute Total 3425 $2,967,090,945 3187 $621,595,430

About Our Constituents!

The Role of Research Administration at Georgia Tech

• Assurance of Integrity in Research

• Financial Stewardship of Sponsor Funds and Institute Resources

• Stewardship of Research Results

Research projects and programs are designed by and are under the

responsible control of the faculty of Georgia Tech.

Offices, Entities and

Organizations that support faculty-led research.

Provost• School Chairs and business & financial offices• College Deans and business & financial officer• Library

Executive Vice President for Research

Business and Finance• Grants & Contracts Accounting• Human Resources

Vice President for Research &

General Manager

GTRC & GTARC

Office of Industry

Engagement

Office of Sponsored Programs

Office of Research Integrity

Assurance

Office of Conflict of

Interest Management

Animal Program

Office of Information Technology

GTRI Accounting

Legal Affairs

ResearchSecurity

Grants &Contracts

Accounting

Library


GTRC


(Duane Hutchison)

• DoD• Federal 1• Non-

Federal• Gov’t

Prime• Federal 2(see * below)

Research Integrity Assurance

(Barbara Henry)

OSP(Dana Simpson,

Interim)

Attending Veterinarian and Animal

Program(Laura

O’Farrell)

Conflict of Interest Mgt(Jeff Steltzer)

GTRCIndustry

Engagement(Kevin Wozniak)

GTRCOperations

& IT Security (Nick Perez)

GTRC/GTARCAccounting(Doug West)

GTRCController

(Barbara Alexander)

GTRC/GTARCAccounts Payable/

Receivable(Sheila Willis)

Sub-contracting

(Dana Simpson)

E-Commerceand Training

• OSP Database• Communications• Distribution

(Michelle Powell)

International Contracting and

Licensing(Kiki Reames)

Innovation Commercialization

and Licensing (Lauren

MacLanahan)

Industry Contracting(Terry Stout)

Closeout S.B. Plans/Reporting

OSP Financial Admin

(Bruce Henry)

EVPR(Steve Cross)

GTRC/GTARC Boards

of Trustees(Steve Cross, President

Leslie Sibert, Chair)

VPRGeneral Manager

(Jilda Garton)

July 3, 2013

Roberta Burke Lakita Brooks Vannessa Daniels James Berkowitz Chris D’Urbano

IRB(Melanie Clark)

IACUC & Export

(Mary Beran)

GTRC is an a 501( c )3 corporation that serves as the research and technology transfer entity

for Georgia Tech.

• Affiliated Organization– A non-profit organization established under

Internal Revenue Code as a 501(c)3 organization.– They may be supporting organizations which are

public charities organized to perform one or more functions of a publicly supported organization such as a hospital, school, college, or university.

– They are separate legal entities from their supported organizations.

– They are one of three types depending on their structure and relationship with the supported organization.

http://www.irs.gov/pub/irs-pdf/p557.pdfhttp://www.irs.gov/charities/article/0,,id=137609,00.html

http://www.irs.gov/pub/irs-pdf/p557.pdf

http://www.irs.gov/charities/article/0,,id=137609,00.html



Institute’s Award Name

All grants and contracts are submitted through the Georgia Tech Research Corp. Therefore, awards will be accepted by GTRC and subsequently subcontracted to GIT for the project performance.

GTRC is the Awardee Applicant’s Name



GTRC, GTARC & GTRIGeorgia Tech and GTRC

GTRC serves as the contracting entity for Georgia Tech

GTRI and GTARC

GTARC serves as the contracting entity for GTRI

GTRI is a applied research arm of Georgia Tech

GTRI is a non academic research unit at Georgia Tech and is chartered by the Georgia Legislature.



Jilda Garton, VPVP is also General Manager for GTRC and GTARC.

Negotiates F&A rates (in co-op with Grants and Contracts Accounting)

Manages Grant and Contract Administration Database

OSP reports to the Vice President for Research



Office of Industry EngagementEnsure Public Benefit from Georgia Tech ResearchProvide Inventor Satisfaction and Motivation by sharing proceeds from licensing with inventors and units Meet Georgia Tech's Obligations to Sponsors for Compliance with Intellectual Property ProvisionsFoster Long-Term Industry RelationshipsGenerate revenue to support Georgia Tech's on-going research activitiesEvaluate technologies and develop a marketing and licensing strategy for each technology Material Transfer Agreement forms– Incoming & Outgoing



Intellectual Property

GTRC owns most intellectual property that arises from research and other scholarly activity conducted by Georgia Tech (including GTRI). – The Office of Industry

Engagement of GTRC administers invention disclosures, patents, copyrights, and licenses for both GTRC and GTARC.

About Georgia Tech: the numbers

FY04 FY05 FY06 FY07 FY08 FY09 FY10 FY11 FY12 FY130

100

200

300

400

500

600

700

0

50

100

150

200

250

300

350

400

450Awards & Inventions

Aw

ards

$ M

illio

nInvention D

isclosures

Invention Disclosures

Awards

OSP


(Duane Hutchison)

• DoD• Federal 1• Non-

Federal• Gov’t

Prime• Federal 2(see * below)

Research Integrity Assurance

(Barbara Henry)

OSP(Dana Simpson,

Interim)

Attending Veterinarian and Animal

Program(Laura

O’Farrell)

Conflict of Interest Mgt(Jeff Steltzer)

GTRCIndustry

Engagement(Kevin Wozniak)

GTRCOperations

& IT Security (Nick Perez)

GTRC/GTARCAccounting(Doug West)

GTRCController

(Barbara Alexander)

GTRC/GTARCAccounts Payable/

Receivable(Sheila Willis)

Sub-contracting

(Dana Simpson)

E-Commerceand Training

• OSP Database• Communications• Distribution

(Michelle Powell)

International Contracting and

Licensing(Kiki Reames)

Innovation Commercialization

and Licensing (Lauren

MacLanahan)

Industry Contracting(Terry Stout)

Closeout S.B. Plans/Reporting

OSP Financial Admin

(Bruce Henry)

EVPR(Steve Cross)

GTRC/GTARC Boards

of Trustees(Steve Cross, President

Leslie Sibert, Chair)

VPRGeneral Manager

(Jilda Garton)

July 3, 2013

Roberta Burke Lakita Brooks James Berkowitz Vannessa Daniels Chris D’Urbano

IRB(Melanie Clark)

IACUC & Export

(Mary Beran)



What we do…OSP Provides research faculty with full-service support and administration for all research contracts and grants at GIT through a number of functional units. OSP is responsible for submitting all proposal and grant applications for sponsored research and instruction on behalf of Georgia Tech. Duane Hutchison, Director of OSP



GT – OSP – Award Agency

AwardingAgency

ProvideFunding for

Research

Georgia Tech & GTRI

Conduct Research

OSP

Assist in Proposal

Preparation and Award

Management



OSP ContractingContracting Officers serve as the sponsor’s point of contact for business matters during the evaluation process, negotiate the final terms of the contract or grant, and sign, in conjunction with an officer of GTRC or GTARC, the resulting agreement.Contracting Officers Role is to review proposals and cost estimates for compliance with sponsor requirements and Institute policies.



OSP Contracting Officers work with a wide range of sponsors

Department of Defense

Federal (NSF, NIH, DOE, NASA, etc)

Universities & Foundations

Industry Flow Through

Subcontracting

About Georgia Tech: Sponsors of Research

FY 08 FY 09 FY 10 FY 11 FY 12 FY130

100

200

300

400

500

600

700

Industry Awards All Other Awards

Industry Sponsored Awards

$ M

illi

on

s

14% 20% 13%

Awards by Sponsor


Proposal Preparation & Submission

Proposal Process Flow

Search for FOA:Proposal Written& Routing SheetCompleted

OS

P\G

TR

C\

OR

IAO

SP

\GT

RC

\O

RIA

PI/

Dep

tP

I/D

ept

G&

C

Acc

ount

ing

G&

C

Acc

ount

ing

Spo

nsor

Spo

nsor

RFP/FOA Posted

Dept. Reviews& Approves

Dean orDelegateReviews & Approves

ORIA: • IRB/IACUC• rDNA & Export Issues

OSP Reviews & Approves

Reviews & Approves

OSP/SponsorNegotiate

Award Set-up In OSP DB- Request G&C

Project #

Award Initiation Package• Budget• Billing/Payment Inst.• Deliverables• Terms & Conditions

OSP/Dept: Award ManagementIn compliance with Institutional,Federal & State Policies &Procedures• Project Payroll• A/P• A/R• Purchasing• Invention

Disclosure

Closeout• Deliverables/

Technical Reports• Equipment• Security• Fiscal Reports• Invention

Disclosureto sponsor



OSP e-CommercePresents workshops and training sessions The division facilitates proposal development through personalized sessions with individual PIs and web-based tools providing institutional information, electronic forms and templates, and sponsor application packages and guides. Manages sponsored project deliverables and other research data through a sponsored project database system (Oracle/WebWISE)



Resources

Institutional Profile: Overview of all relevant information about the Institute (osp.gatech.edu)Monthly Reports: Overall monthly report on sponsored activity.Pivot: Finding Funding ToolForms: Forms relevant to OSP (e.g. routing form)Staff Directory: Looks up all the staff involved with OSP, GTRC, and GTARC WebWISE: Grant and Contract Management ToolCayuse 424: Proposal Prep and Submission System

Assurances of Integrity in ResearchOffice of Research Integrity Assurance

Office of Conflict of Interest Management

210 Active Protocols

Incorporated 8th Edition of

The Guideinto policies and

procedures

1500 Active Protocols

Revised IRB Policies & Procedures in

response to FDA Gap Analysis

DoD Addenda add layers of review for

faculty & the IRB

1561 Active Export Cases

Online Continuation (Annual) Training>1100 trainees!

NASA and DoD regulation changes add

to the caseload

73 Active Registrations

Revised NIH/OBA Guidelines will require GT to update forms and

policies

Conflict of Interest Management in Compliance with

Institute and Sponsor Policies and Applicable

Law and Regulation

IRBIACUC Export Biosafety CoI



Office of Grants and Contracts Accounting

Compliance– OMB A21– OMB A110– OMB A133– FAR

Cost TransfersDeficit reports and write-offs

Expiration reports

Audits

Cost Sharing

Effort Reports

Property Control

Calculate F&A Cost Proposal

What does F&A pay for…

What does F&A pay for?F = Facilities & A = Administration

A-Admin & General12%

A-Departmental Admin27%

A-Sponsored Programs Admin

4%

A-GTRC4%

A-Student Services3%

F-Building & Impr Depreciation

12%

F-Equipment Depre-ciation10%

F-Interest on Financed Bldgs3%

F-Plant Maintenance23%

F-Library2%

Components of the GIT F&A Rate (totals to 100%)

A-Admin & General

A-Departmental Admin

A-Sponsored Programs Admin

A-GTRC

A-Student Services

F-Building & Impr Depreciation

F-Equipment Depreciation

F-Interest on Financed Bldgs

F-Plant Maintenance

F-Library

A

F

Grants and Allocations to Academic Units from Recovered F&A(Actual Expenditures)

Grants and Funded Support Programs, Fiscal Year 2013

Research Operations in Academic UnitsStrategic Initiative $4,587,704Equipment, facilities, matching grants 6,226,944Contingency and liability support 1,008,929Total $11,823,577

Allocations to Academic Units and Expenses Paid for RISenior research leadership/incentive grants $1,088,701• includes Undergraduate Research Initiative $296,945

Ph.D. support and tuition assistance programs 359,579Foreign travel and professional society support 26,894Promotional expenses/Research association dues 1,159,185New research faculty moving expenses 405,641Faculty and staff recognition/awards program 142,980Total $3,182,980

Total Support $15,006,557



Awards Bring in Money to the institution



So, why is this very important?

$621,595,430Vice President for

Research & General Manager

GTRC & GTARC

Office of Industry Engagement


Office of Research Integrity Assurance

Office of Conflict of

Interest Management

Animal Program

Office of Information Technology

GTRI Accounting

Legal Affairs

ResearchSecurity

Grants &Contracts

Accounting

Library



Want to know more?



Departmental Certification in Sponsored Programs

Required Courses– Proposal Preparation & Submission– Grants & Contract Accounting – Public Responsibility & Research Commitments – Budgeting, Budget Justification & Templates– Post Award Activities– Allowable & Unallowable Costs

Elective Classes– Cayuse 424– Finding Funding– Subrecipient Monitoring– Federal Circulars and the FAR– Working with the NIH/ Working with the NSF– Cost Sharing & Effort Reporting

Documents

Office of Sponsored Programs All rights reserved GTRC An Introduction to Sponsored Programs Tom Capitano Office of Sponsored Programs