Office of Sponsored Programs Proposal Preparation & Submission Teri Hansen, Contracting Officer Sophia Herbert-Peterson, Contracting Officer Candice Ferguson,

Office of Sponsored Programs

Proposal Preparation & Submission

Teri Hansen, Contracting Officer

Sophia Herbert-Peterson, Contracting Officer

Candice Ferguson, Research Education and Communications Manager



Objectives

General purpose preparation guidelines and processing procedures at Georgia Tech including

terminologypreparation steps for the non-scientific portions of proposalsinstitutional forms and endorsementsworking with a contracting officer industrial contracting

About Georgia Tech: Sponsors of Research

Industry Sponsored Awards

14% 20% 13%

Awards by Sponsor



Gifts Vs. Sponsored

Gifts to the Foundation Foundation Relations (Development)

- No Terms and Conditions- No Deliverables- All IP is owned by GTSponsored Agreement


- Terms and Conditions- Deliverables- If collaborative effort - IP can be Joint



1: Gift or Sponsored!

Established when funds from outside sources are for unrestricted use and are free of the constraints or obligations




What is a gift: Established when funds from outside sources are for unrestricted use and are free of the constraints or obligations




The agreement creates an obligation to report projects results from the project




What is a sponsored agreement: The agreement creates an obligation to report projects results from the project



Proposal Process Flow

Search for FOA:Proposal Written& Routing SheetCompleted

Cen

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Dep

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Acc

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Spo

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RFP/FOA Posted

Dept. Reviews& Approves

Dean orDelegateReviews & Approves

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

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

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



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.



Signature Page



Signature Page



Certifications

I certify that I have read and understand the Institute's conflict of interest policy all required financial disclosures were made; and I will comply with any conditions or restrictions imposed by the Institute to manage, reduce, or eliminate conflicts of interest

coi.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



eRA & ToolsSponsor Submission Systems

Grants.gov

Fastlane

NSPIRES

Commons

Others…



Cayuse424/ Subawards.comhttps://gatech.cayuse424.comCayuse supports 95% of all grants.gov applicationsSubawards.com (FREE) allows for import of subaward budgetsOSP offers Cayuse classes and technical supportNot used for:

NSFNASA

Find FundingSource

Office of Office of Sponsored ProgramsSponsored Programs

Proposal Prep Proposal Prep & Submission& Submission



Resident Instruction InformationAwardee Organization =

Performing Organization =



Resident Instruction InformationAwardee Organization = Georgia Tech Research Corporation

Performing Organization = Georgia Institute of Technology



Subawards

If GTRC is getting $ from Emory…

Same requirements as “prime” awardee.Statement of Work

Budget & Budget Justification

C. V.

Appropriate Certifications

Routing Forms



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



Pre Award Tools

WebWise: ICOL

Proposal SummariesDocument ID

Project Number

Contracting Officer

Track Status

Organization Charthttp://osp.gatech.edu/staff-directory



Contracting

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



The Golden Rule

Deadline ManagementFormattingGuidelines

Page LimitType SizeSection HeadersAppendices (Y or N)

Agency terminologyScoring or Evaluation Criteria

eRA (submission systems)



Ethical Issues

Financial Stewardship (Regulations: OMB Circulars, FAR)

Trust from “the People” (Compliance Issues)

Obligations (Deliverables)

Stewardship of Research Results (what results the sponsor wants versus good research)

Signature Authority



Working with A Contracting Officer

Notify them of upcoming deadlines and include the RFP or Program Announcement

Route budget and institutional commitments early (follow up with project description)

Don’t wait to the last minute



Types of Proposals

Pre-proposals

Unsolicited Proposals

Solicited Proposals

Limited Submissions or Restricted Programs



Routing Procedures

Pre-proposals

Letter of IntentWhite Papers (good idea)

Continuations

Supplements

Renewals

Sub-Awards



Proposal Development

Institutional Policies and ProceduresProposal Writing (class)Budget Development (class)Sponsor FormsReview (sometimes exceptions to Terms & Conditions)Signature AuthorityDeadline Management



Collaborative Project Development

Teaming Agreements

Collaborative Research

Intra-Institutional Research

Inter-Institutional Research

Subawards



Types of agreements

Grants: 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



Translational Research

Functional Group

Office of Industry Engagement



Industry Collaborations & Affiliated Licenses

Review industry proposals

Meet with potential sponsors

Draft, negotiate and execute master & single research agreements

Draft & execute center membership agreements and by-laws

Non-disclosure agreements

SBIR/STTR applications & agreements

Post-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



Types of Agreements

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 objectives

Deliverables stated in SOW should mirror the contract terms (reports only)



Georgia Imposed Restrictions

Warranties & Indemnification

Warranty – states that the research is experimental and there are no guaranteed results.

Indemnification – provides protection against possible damages, including legal suits. Provides compensation for such damages.



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.

Should provide the right to review prior to publication, not to approve. (Typically agree to 30 days.)



Non-profit Status 501 c(3)

Bayh

-Dol

e Ac

t

Internal Revenue Procedure 07-47

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 Laws

We prefer to agree to the state laws of Georgia.

We can remain silent.



Confidential Information

Non-Disclosure Agreements (NDAs)Legal Affairs

GTRCResearch agreements and services agreements have an embedded confidentiality and nondisclosure provision



Assignment

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



Continuing Education

NCURA

SRA

NCUBO

AUTM

OSPBrown Bags

Satellite Broadcasts



Thank you for attending this session.

Please fill out evaluation forms and place in box in the back of the room.

Keep in touch.

Documents

Office of Sponsored Programs Proposal Preparation & Submission Teri Hansen, Contracting Officer Sophia Herbert-Peterson, Contracting Officer Candice Ferguson,