Office of Sponsored Program Proposal Preparation & Submission Teri Hansen, Contracting Officer Sophia Herbert-Peterson, Contracting Officer Candice Ferguson, Research Education and Communications Manager
Dec 22, 2015
Office of Sponsored Programs
Proposal Preparation & Submission
Teri Hansen, Contracting Officer
Sophia Herbert-Peterson, Contracting Officer
Candice Ferguson, Research Education and Communications Manager
Office of Sponsored Programs
Proposal Preparation & Submission
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
Office of Sponsored Programs
Proposal Preparation & Submission
Gifts Vs. Sponsored
Gifts to the Foundation Foundation Relations (Development)
- No Terms and Conditions- No Deliverables- All IP is owned by GTSponsored Agreement
Office of Sponsored Programs
- Terms and Conditions- Deliverables- If collaborative effort - IP can be Joint
Office of Sponsored Programs
Proposal Preparation & Submission
1: Gift or Sponsored!
Established when funds from outside sources are for unrestricted use and are free of the constraints or obligations
Office of Sponsored Programs
Proposal Preparation & Submission
1: Gift or Sponsored!
What is a gift: Established when funds from outside sources are for unrestricted use and are free of the constraints or obligations
Office of Sponsored Programs
Proposal Preparation & Submission
2: Gift or Sponsored!
The agreement creates an obligation to report projects results from the project
Office of Sponsored Programs
Proposal Preparation & Submission
2: Gift or Sponsored!
What is a sponsored agreement: The agreement creates an obligation to report projects results from the project
Office of Sponsored Programs
Proposal Preparation & Submission
Proposal Process Flow
Search for FOA:Proposal Written& Routing SheetCompleted
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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
Office of Sponsored Programs
Proposal Preparation & Submission
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:
Office of Sponsored Programs
Proposal Preparation & Submission
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.
Office of Sponsored Programs
Proposal Preparation & Submission
Signature Page
Office of Sponsored Programs
Proposal Preparation & Submission
Signature Page
Office of Sponsored Programs
Proposal Preparation & Submission
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
Office of Sponsored Programs
Proposal Preparation & Submission
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?
Office of Sponsored Programs
Proposal Preparation & Submission
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?
Office of Sponsored Programs
Proposal Preparation & Submission
Responsible Conduct of Research
Office of Sponsored Programs
Proposal Preparation & Submission
eRA & ToolsSponsor Submission Systems
Grants.gov
Fastlane
NSPIRES
Commons
Others…
Office of Sponsored Programs
Proposal Preparation & Submission
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
Office of Sponsored Programs
Proposal Preparation & Submission
Resident Instruction InformationAwardee Organization =
Performing Organization =
Office of Sponsored Programs
Proposal Preparation & Submission
Resident Instruction InformationAwardee Organization = Georgia Tech Research Corporation
Performing Organization = Georgia Institute of Technology
Office of Sponsored Programs
Proposal Preparation & Submission
Subawards
If GTRC is getting $ from Emory…
Same requirements as “prime” awardee.Statement of Work
Budget & Budget Justification
C. V.
Appropriate Certifications
Routing Forms
Office of Sponsored Programs
Proposal Preparation & Submission
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
Office of Sponsored Programs
Proposal Preparation & Submission
Pre Award Tools
WebWise: ICOL
Proposal SummariesDocument ID
Project Number
Contracting Officer
Track Status
Organization Charthttp://osp.gatech.edu/staff-directory
Office of Sponsored Programs
Proposal Preparation & Submission
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
Office of Sponsored Programs
Proposal Preparation & Submission
The Golden Rule
Deadline ManagementFormattingGuidelines
Page LimitType SizeSection HeadersAppendices (Y or N)
Agency terminologyScoring or Evaluation Criteria
eRA (submission systems)
Office of Sponsored Programs
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
Office of Sponsored Programs
Proposal Preparation & Submission
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
Office of Sponsored Programs
Proposal Preparation & Submission
Types of Proposals
Pre-proposals
Unsolicited Proposals
Solicited Proposals
Limited Submissions or Restricted Programs
Office of Sponsored Programs
Proposal Preparation & Submission
Routing Procedures
Pre-proposals
Letter of IntentWhite Papers (good idea)
Continuations
Supplements
Renewals
Sub-Awards
Office of Sponsored Programs
Proposal Preparation & Submission
Proposal Development
Institutional Policies and ProceduresProposal Writing (class)Budget Development (class)Sponsor FormsReview (sometimes exceptions to Terms & Conditions)Signature AuthorityDeadline Management
Office of Sponsored Programs
Proposal Preparation & Submission
Collaborative Project Development
Teaming Agreements
Collaborative Research
Intra-Institutional Research
Inter-Institutional Research
Subawards
Office of Sponsored Programs
Proposal Preparation & Submission
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
Office of Sponsored Programs
Proposal Preparation & Submission
Translational Research
Functional Group
Office of Industry Engagement
Office of Sponsored Programs
Proposal Preparation & Submission
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
Office of Sponsored Programs
Proposal Preparation & Submission
Where to Submit Routing Sheets
Resident Instruction:
Submit routing sheets to Industry Mailbox
GTRI:
Submit routing sheets through PRSys
https://webwise.gtri.gatech.edu
Office of Sponsored Programs
Proposal Preparation & Submission
Industry Process
Office of Sponsored Programs
Proposal Preparation & Submission
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
Office of Sponsored Programs
Proposal Preparation & Submission
Information Flow: Routing Sheet to Research Project Agreement
Office of Sponsored Programs
Proposal Preparation & Submission
Information FlowData From the Proposal Routing Sheet is necessary to populate the Cost Reimbursement Research Project Agreement
Office of Sponsored Programs
Proposal Preparation & Submission
Information Flow
Office of Sponsored Programs
Proposal Preparation & Submission
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)
Office of Sponsored Programs
Proposal Preparation & Submission
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.
Office of Sponsored Programs
Proposal Preparation & Submission
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.)
Office of Sponsored Programs
Proposal Preparation & Submission
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
Office of Sponsored Programs
Proposal Preparation & Submission
Governing Laws
We prefer to agree to the state laws of Georgia.
We can remain silent.
Office of Sponsored Programs
Proposal Preparation & Submission
Confidential Information
Non-Disclosure Agreements (NDAs)Legal Affairs
GTRCResearch agreements and services agreements have an embedded confidentiality and nondisclosure provision
Office of Sponsored Programs
Proposal Preparation & Submission
Assignment
Allows for GTRC to assign any or all of its rights or obligations to GIT.
Office of Sponsored Programs
Proposal Preparation & Submission
Continuing Education
NCURA
SRA
NCUBO
AUTM
OSPBrown Bags
Satellite Broadcasts
Office of Sponsored Programs
Proposal Preparation & Submission
Thank you for attending this session.
Please fill out evaluation forms and place in box in the back of the room.
Keep in touch.