Proposal Preparation & Submission
description
Transcript of 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
Office of Sponsored Programs
Proposal Preparation & Submission
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
Office of Sponsored Programs
Proposal Preparation & Submission
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
Office of Sponsored Programs
Proposal Preparation & Submission
Ethical Issues
Financial Stewardship (Regulations: 2 CFR 200, FAR)
Compliance IssuesObligations (Deliverables)Responsible Conduct of Research
Office of Sponsored Programs
Proposal Preparation & Submission
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
Office of Sponsored Programs
Proposal Preparation & Submission
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
Office of Sponsored Programs
Proposal Preparation & Submission
Is it a Gift or Grant?Accepting these types of funds creates an obligation to report results from the project.
Office of Sponsored Programs
Proposal Preparation & Submission
Is it a Gift or Grant?A Grant: This agreement creates an obligation to report projects results from the project
Office of Sponsored Programs
Proposal Preparation & Submission
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
Office of Sponsored Programs
Proposal Preparation & Submission
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
I/Dep
t. C
entra
l S
pons
orG
&C
A
ccou
ntin
g
Office of Sponsored Programs
Proposal Preparation & Submission
Order of Precedence for Guidance
State of GeorgiaRegulations GT Policies
Office of Sponsored Programs
Proposal Preparation & Submission
Proposal DevelopmentInstitutional Policies and ProceduresProposal WritingBudget Development (class)Sponsor FormsReview (sometimes exceptions to Terms & Conditions)Signature AuthorityDeadline Management
Office of Sponsored Programs
Proposal Preparation & Submission
Types of Proposals
Pre-proposalsUnsolicited ProposalsSolicited Proposals Limited Submissions or Restricted Programs
Office of Sponsored Programs
Proposal Preparation & Submission
Collaborative Project DevelopmentTeaming Agreements
Collaborative Research
Intra-Institutional Research
Inter-Institutional Research
Subawards
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
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
Office of Sponsored Programs
Proposal Preparation & Submission
Routing Procedures
Pre-proposalsLetter of IntentWhite Papers (good idea)
ContinuationsSupplementsRenewalsSub-Awards
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
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
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
Office of Sponsored Programs
Proposal Preparation & Submission
Other eRA Systemshttp://osp.gatech.edu/proposal-prep-systems
NSF Fast LaneNASA NSPIRESeRA Commons (NIH)eBRAPproposalCENTRALSubawards.com*
Office of Sponsored Programs
Proposal Preparation & Submission
Sponsor Forms Informationhttp://osp.gatech.edu/profileAwardee Organization Performing OrganizationPoints of Contact (Technical, Business, Cognizant Agent)Address, Congressional DistrictsDUNSEINCAGENAICSAssurance Numbers
Office of Sponsored Programs
Proposal Preparation & Submission
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
Office of Sponsored Programs
Proposal Preparation & Submission
OSP Contracting Teams
Office of Sponsored Programs
Proposal Preparation & Submission
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
Office of Sponsored Programs
Proposal Preparation & Submission
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
Office of Sponsored Programs
Proposal Preparation & Submission
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
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
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
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 objectivesDeliverables stated in SOW should mirror the contract terms (reports only)
Office of Sponsored Programs
Proposal Preparation & Submission
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
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 and for compliance with US Export Control RegulationsShould 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
-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
Office of Sponsored Programs
Proposal Preparation & Submission
Governing LawsWe prefer to agree to the state laws of Georgia.We can remain silent.
Office of Sponsored Programs
Proposal Preparation & Submission
Confidential InformationNon-Disclosure Agreements (NDAs)
Pre-Award: Legal AffairsPost-Award: GTRC
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
Pre Award Tools
WebWISE: ICOL
Proposal SummariesDocument IDProject NumberContracting OfficerTrack Status
Office of Sponsored Programs
Proposal Preparation & Submission
Thank you for attending this session.
Please log into RosterTech to complete evaluation form.Contacts:
Candice [email protected]
Teri [email protected]
Jarrett [email protected]