Office of Sponsored Programs Sponsored Programs Departmental Certification Post Award Issues and OSP Overview

Office of Sponsored Programs

Sponsored Programs Departmental Certification

Post Award Issues

and OSP Overview


Post Award Issues and OSP Overview

Overview

Introductions

Post Award Process Flow

Special Considerations

Webwise

Reporting/ Deliverables

Project Changes

Closeout


Proposal Preparation & Submission

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



Industry Engagement

Exec. Director, OSP

Duane Hutchison

Director,

Dana Simpson

Contracting Groups

Subcontracts Ashley Williams

Other Federal 1

Lakita Brooks

Dept of Defense

Roberta Burke

Industry Under Gov’t Prime Teri Hansen

Foundation & Non-Profits

Vannessa Daniels

Other Federal 2

Chris D’Urbano

Business Ops & Contract Support,

Bruce Henry

Subcontract Plans & Closeout

eCommerce Michelle Powell

Deliverables, Database, Training

Organization Chart



GT – OSP – Award Agency

AwardingAgency

ProvideFunding for

Research

Georgia Tech & GTRIConductResearch

OSP

Assist in Proposal

Preparation and Award

Management



Georgia Tech: Regulation & Controls

Communications with Sponsor

OSP contracting officers liaison between sponsor and PI.

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 the resulting agreement.

All contractual contact with the sponsor should be handled through OSP including

no-cost extensions

project changes

deliverable questions



Award Process Flow

ReceiveNotice

RemainingIssues?

OS

P/G

TR

CO

SP

/GT

RC

PI/

Dep

tP

I/D

ept

G&

C

Acc

ount

ing

G&

C

Acc

ount

ing

Yes

No

Spo

nsor

Spo

nsor

Awardissued

ResolveIssues

Review DeferralsIRB, IACUC

Request Project #

Oracle Sys.

Assign Project #Based on Oracle• Research Project• Fellowship• Other Sponsored• Instructional

Complete Initiation:• Billing• Deliverables• Schedule• T&C

Scan doc & release

ReceiveCompletion

Notice

Enter Datainto PEB

ReceiveProject #

ReviewPEB



Special Considerations

Unique Terms and Conditions Contain sponsor’s full text & FAR clausesExport Controls/Foreign Students Restrictions

Technology Control Plan

Non-Disclosure AgreementsTeaming Agreements

ExclusiveNonexclusive

DD254



Special Considerations:Foreign Sponsors

Allow additional time for review

Export Certificate / Restrictions

Dept of State / Commerce Approval

Licenses

Trade Adjustment Assistance Program

Extensions

Foreign Currency

Foreign Nationals



Special Considerations:State & Local Government

No Standard Agreements

Spending of State FundsExpend appropriate funds during project period

Restrictions in Agreement

Point of Contact – Chris D’Urbano



Special Considerations:Universities

NO WHO, WHERE, AND HOW = DELAY

Award from Prime University /Period of Performance

Expend appropriate funds during performance period



Special Considerations:Foundations/ Non-Profits

• Electronic Submission• Should be routed through OSP for review• F&A Caps/Documentation• Negotiation Process



Special Considerations:Subaward vs. Contractors

Research Related Consulting agreements Subcontracts Subgrants

PD/PI &Department


Design and Develop (Sub) vs. Configure (Contractor)

PD/PI &Department

Contractors are Not Subrecipients: and therefore do not include the purchase of goods and services

Services are considered M&S and include full F&A costs.




Web-based Management Project numbers

issued electronically General contract

information Identify billing

provisions Identify deliverables &

establish deliverables tracking

Webwise System

WebWise System

WebWISE account on-linehttps://webwise.gtri.gatech.edu/ Use your Kerberos ID

and Password

https://webwise.gtri.gatech.edu/



PROJECT INITIATION and e-NOTIFICATION

PD/PI &Department

OSP COsG&C Accounting

Billing provisions Assign Project #

Terms & Conditions Billing Deliverables Schedule

Receives email notice

WebWise System



OSP Contract Information System

WebWise System

• Current and historical revision data for every project

• Tabs for all of the basic OSP Project Initiation Package forms

• Search capabilities • Deliverables schedules• The most recent modifications or changes

are clearly indicated• Print feature for any and all pages within

the initiation package

OSP Contract InformationSystem



Deliverables in WebWISE

PI is person authorized to upload deliverables

Responsible for report, Most knowledgeable of scope of work

PI can delegate and grant access to others on a project by project basis

For access to a project please email request to Kamie Cunningham [email protected]

mailto:[email protected]



Deliverables in WebWISE

Must upload attachment unless classified

PI will receive notice Past due notice will not go away

Sponsor systems don’t communicate w/ WebWISE (Duplicate efforts)

Snapshot of confirmation

For finals:attach report



WebWISEFeatures & Benefits:

Check boxes for: Publication restricted deliverableSubmitted via sponsor system

Comments box for trackingAttach/Remove Files



Reports, Deadlines, and Deliverables

Annual InterimFinal Project Outcomes ReportResponsible Conduct of Research (RCR)Invention Disclosure Invention ReportsFinancial Report Property Report



Research Performance & Progress Report (RPPR)

Result of a government-wide effort to create greater consistency in the administration of federal research awards by streamlining and standardizing reporting formats

Replace other performance reporting formats currently in use by other agencies

www.nsf.gov/bfa/dias/policy/rppr

http://www.nsf.gov/bfa/dias/policy/rppr



RPPR Components

Mandatory Category:Accomplishments: What was done? What was learned?

Optional Categories:Products: What has the project produced?

Participants & Other Collaborating Organizations: Who has been involved?

Impact: What is the impact of the project? How has it contributed?

Changes/Problems

Special Reporting Requirements (where applicable)

Appendix 1: Demographic Information for Significant Contributors



RPPR Benefits

RPPR is a new service of Research.gov

A consolidated project reporting dashboard that includes Annual, Final, Interim, and Project Outcomes Reports

Reduction of PI/co-PI burden through use of more innovative mechanisms to pre-populate parts of the report

More structured collection of the project reports data for enhanced NSF use

Adoption of a federal-wide data dictionary to increase consistency of implementation across agencies



Project Outcomes ReportAmerica COMPETES Act

Required for research funded in whole or in part by NSF

In addition to final reports submitted through Fastlane

New requirementNew awards or existing awards that receive funding increments or supplements on or after January 4, 2010

Use Research.gov to prepare and submit

Brief Summary prepared by PI or co-PI for publicDescribes nature and outcomes of the project

Address intellectual merit and broader impacts



Deliverables: Final Reports



Deliverables: DOE Finals

Click to Certify


All rights reserved GTRC

RCR PolicyApplies to undergrads, grads, and postdocs

2 parts– CITI Online Training (done within 90 days of

appointment)– In-person Training (done within 1 year of

appointment)

RCR Training Plan at time of proposal – 3rd Page of the Routing Sheet

Annual Certification by PI



RCR PolicyNIH

D43, D71, F05, F30-34, F37-38, K01-02, K05, K07-08, K12, K18, K22-26, K30, K99/R00, KL1-L2, R25, R36, T15, T32, T34-37, T90/R90, TL1, TU2, U2R

8 hours of in-person training

Retraining every 3 years

NSF

All awards proposed after January 2010

4 hours of in-person training



RCR Policy ReminderRCR/Ethics Flag in T/Cs

RCR Deliverable

The policy currently applies to NSF and NIH, be on the lookout for other sponsors

Non-compliance will result in moving charges for student assistants and postdocs from projects



Deliverables: RCR

Click to Certify



Invention DisclosureEssential part of GT process in evaluating, protecting, and commercializing technology

Record of the invention that facilitates the filing of any patent paperwork, reporting to appropriate parties, and marketing of technology to prospective licensees

New secure, online system https://disclosures.gtrc.gatech.edu

Anyone with Techworks ID and password has access

Innovators given access to all their disclosures

Invention, Software, and Copyright



Sponsor-owned: Kathy Falconer404-407-7676

[email protected]

GIT-owned: Janice Walker404-894-4264

[email protected]

Special Considerations:Property

PD/PI &Department



Project ChangesPI Change or absence Change in EffortCarry Over of Funds (Between Project Periods)Grant TransferPre Award Costs Purchase of equipmentForeign TravelBudget RevisionsReallocation of Participant SupportScope of Work ChangePublicationsNo Cost Extensions



Modification Process Flow

ReceiveNotice

OS

P/G

TR

CO

SP

/GT

RC

PI/

Dep

tP

I/D

ept

G&

C

Acc

ount

ing

G&

C

Acc

ount

ing

Spo

nsor

Spo

nsor

Complete Setup:• Deliverables• Schedule: End Date• Budget• T&C

Scan doc & release

Enter Datainto PEB

ReceiveProject #

ReviewPEB

RequestModification

ProcessRequest

SendApproval

Notice

ReceiveCompletion

Notice

SubmitFormal

Request



PI change or absence

Notify CO immediately if a PI is leaving GT or will be absent from a project for longer than 90 days

Remain mindful of deliverables

Need to receive written approval for new PI

Must provide sponsor w/ CV



Budget RevisionsVaries by sponsor

Varies by line item

Significant RebudgetingFDP- Single direct cost category changes more than 25% of total award or $250,000 whichever is less

Notify COEspecially for changes in salaries, new equipment, new subawards

Better to ask permission than forgivenessDeobligation- sponsor can remove funds



Reallocation of Participant Support

Will there also be a change in scope?

NSFRequires sponsor approval to reallocate any participant/trainee support costs

Requires prior approval to rebudget to “Other” category

NIHRequires approval to re-budget NRSA stipends



No Cost Extensions

Initial No Cost ExtensionShould be requested at least 30 days prior to end date

ConsiderationsSponsor

Remaining funding

Length

Reason



Case StudyYour junior faculty member is currently in year 1 of a federal grant. The total costs are $300,000. She tells you that she wants to issue a subaward to another university for some work that her colleague there is going to help her with. The total subaward costs will be $75,000. You look at the notice of grant award, but there is no reference to this other university collaborating on the project. How should you proceed? What is your plan to find out the right information and how will you discuss with your PI?



Case Study

One of your faculty members has a federal grant with an annual budget of $140,000. The budget includes $20,000 for equipment. Professor Warren tells you he’d like to acquire a new x-ray machine that costs $70,000. It will greatly enhance his ability to do research. How should you proceed? What is your plan to find out the right information and how will you discuss with your PI?



Case StudyOne of your faculty members has a federal grant, in which he indicated that he would be devoting approximately 50% of his effort on the project. Although that grant hasn’t started she learns that two of her other pending proposals are about to be funded. You realize that she will have to reduce her effort on the on-going federal grant from 50% to 25%. How should you proceed? What is your plan to find out the right information and how will you discuss with your PI?


Post Award Issues and OSP Overview Closeout Process Flow

OSP/ GTRCOSP/ GTRC

PI &DeptPI &Dept

G&C AccountingG&C Accounting

SponsorSponsor

Request:• Release & Assignment• Report of Invention• Final Invoice• Classified Material Cert.• Property Report• Satisfy Deliverables

ProcessFinal Invoice

Need Modification?

BeginModification

Process

No

Yes

Process Reportof Invention

Process & Send:• Classified Material Cert.• Property Report

30+ BeginCloseout

Paperwork

Property &SecurityProperty &Security

ReceiveCloseout

Documents

Process:• Report of Invention• Final Invoice

ProjectTerminated

Receive30 Daynotice

CloseoutInitiation

30 Days Before 30 Days After

Satisfy RemainingDeliverables



Closeout

1st Notification sent 30 days prior to expiration to anyone on ICOL list

2nd Notification sent 30 days after expiration- closeout begins

PI responsible for final technical report and deliverables



Closeout

Invention DisclosureCloseout preps invention report to sponsor

Termination: after final docs submitted to sponsor

Questions? Concerns?Email [email protected]

Bruce Henry and Rochelle Barry



Case StudyDr. Arnold has been carefully minding his money on a grant that is approaching its end date. His reasoning is as follows: if the project does not receive further funding, he will use the balance of funds to extend the project through a no-cost extension. Two months before the project’s end date, he received word that the project would be funded for two more years. The only catch is that the funds not expended by the end date must be returned to the funding agency (no carry-over of funds is allowed). Dr. Arnold arrives in your office in a panic. He wants to spend out and suggests a MASSIVE spending spree and stock the lab with chemicals and disposable plastic ware to last a good long while. How should you proceed? What is your plan to find out the right information and how will you discuss with your PI?



Working with OSP

So many unique situations…COs are a resource

Protect interests of the institution

Keep COs in the loopAvoid delays and other negative consequences



Core Class: Post Award Issues & OSP Review

One more thing….

Are you done with all the Core Classes?

Want to keep current about topics and classes in Research Administration?

Join the RAB!



Thank you all for coming