Proposal Preparation &
Submission
Teri Hansen, Division ManagerIndustry under Government Prime
Jarrett Ellis, Contracting OfficerIndustry Engagement
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:
sponsored project fundamentals,
preparation steps for the administrative portions of
a proposal,
proposal routing and systems,
working with a Contracting Officer,
industry contracting.
Office of Sponsored Programs
About Georgia Tech: the numbers
Proposal Preparation & Submission
Gifts Vs. Grants
Gifts 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 Issues
Obligations (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 agreements
Grants:
Assistance
Mechanisms
More Investigator Driven
Transfer 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:
Procurement
To acquire property or services for direct benefit or use by the
sponsor.
Provides tangible goods and services
Office of Sponsored Programs
Proposal Preparation & Submission
RFP/
FOA
Posted
PI/Dept.
G&C
Accounting
Reviews &
Approves
OSP/IE and
Sponsor
Negotiate
Pre-proposal Requests
•IRB/IACUC/IBC
•MTA/NDA
•Export Issues
•COI
Central
Sponsor
Proposal Process Flow
Proposal
Preparation
& Routing
Dept.
Reviews
& Approves
OSP/IE
Reviews
& Approves
Dean or
Delegate
Reviews
& Approves
Follow-up
•IRB/IACUC/IBC
•MTA/NDA
•Export Issues
•COI
Award Set-up
In OSP CIS
•Budget
•Billing/
Payment
•Deliverables
•Terms &
Conditions
Obtain
Necessary
Approvals
Request
PeopleSoft (PS)
Project
Number
Office of Sponsored Programs
Proposal Preparation & Submission
Order of Precedence
for Guidance
Solicitation
State of Georgia
Regulations
Program
Announcement
GT Policies
Agency Guidance
2 CFR 200 (Uniform
Requirements) or FAR
Office of Sponsored Programs
Proposal Preparation & Submission
Proposal Development
Institutional Policies and Procedures
Proposal Writing
Budget Development (class)
Sponsor Forms
Review (sometimes exceptions to Terms &
Conditions)
Signature Authority
Deadline Management
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
Collaborative Project Development
Teaming 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 Emory
Need institutional approval (letter of
commitment)
Route the proposal at their own institution who
may have different lead times than us.
Statement of Work
Budget & Budget Justification
C. V.
Appropriate Certifications
Routing 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 Work
Budget & Budget Justification
C. V.
Appropriate Certifications
Routing Forms
Office of Sponsored Programs
Proposal Preparation & Submission
Routing Procedures
Pre-proposals
Letter of Intent
White Papers (good idea)
Continuations
Supplements
Renewals
Sub-Awards
Office of Sponsored Programs
Proposal Preparation & Submission
GEORGIA INSTITUTE OF TECHNOLOGY
SPONSORED PROGRAMS/RESEARCH PROPOSAL AUTHORIZATION ROUTING FORM
FOR OSP USE ONLY:
FY2013 (August 2012)
DEPT./LAB PROPOSAL TRACKING NUMBER:
PROJECT DIRECTOR/PRINCIPAL INVESTIGATOR (DR./MR./MRS./MISS/MS.)
E-MAIL:
INVESTIGATOR DATA
PHONE
CAMPUS ADDRESS & M AIL CODE
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
E-MAIL:
FAX
CAMPUS ADDRESS & M AIL CODE
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 SHARING/MATCHING FUNDS
YES NO
COST REIMBURSEMENT NO FEE (DEFAULT - RESIDENT INSTRUCTION)
COST REIMBURSEMENT WITH A FEE (DEFAULT - GTRI)
IS COST SHARING/MATCHING PROPOSED? (ATTACH APPROVAL FORM)
TIME & MATERIALS CONTRACT (MEMO REQUIRED)
IS COST SHARING/MATCHING CONTRACTUALLY REQUIRED BY THE SPONSOR?
FIXED PRICE CONTRACT (MEMO REQUIRED – RESIDENT INSTRUCTION)
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 W ORDS (AT LEAST ONE REQUIRED)
Office of Sponsored Programs
Proposal Preparation & Submission
SPONSORING ORGANIZATION NAME (FUNDING ORGANIZATION OR THE
ORGANIZATION THE SUBAWARD IS FROM)
SPONSOR DATA
SPONSOR’S TECHNICAL CONTACT
PHONE
EMAIL
ADMINISTRATIVE CONTACT
MAILING ADDRESS OF SPONSORING ORGANIZATION
NAME OF SPONSORING GOVERNMENT ORGANIZATION (ISSUING THE PRIME
CONTRACT), IF APPLICABLE:
PRIME CONTRACT NUMBER:
CHECK PREFERRED MAILING METHOD.
ELECTRONIC _____ ____________________ (EMAIL OR FAX IF APPLICABLE)
EXPRESS COURIER_____
U.S. EXPRESS MAIL_____
FIRST CLASS CERTIFIED ______
ACCOUNT TO BE CHARGED:
YES
NO
Human Subject Research?
Vertebrate Animals?
Recombinant DNA?
PHONE
EMAIL
SOURCE OF FUNDS, IF DIFFERENT FROM SPONSORING ORGANIZATION OR PRIME:
CONTRACT NUMBER FOR SOURCE OF FUNDS:
COURIER (HAND DELIVERY) ADDRESS
SPECIAL REVIEW CHECKLIST: THE PROPOSAL SUBMITTED INVOLVES THE FOLLOWING
IRB Protocol Number:__________________ Expiration Date: _____________
IACUC Protocol Number:__________________ Expiration Date: _____________
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
Find
Funding
Source
Office of
Sponsored Programs
Proposal Prep
& Submission
Cayuse424: for 98% of all grants.gov
applications
https://gatech.cayuse424.com
Log in with GT username and password
Classes available
https://training.osp.gatech.edu/
For access and other assistance contact:
Joseph Jenkins
joseph.jenkins@osp.gatech.edu
Office of Sponsored Programs
Proposal Preparation & Submission
Other eRA Systems
http://osp.gatech.edu/proposal-prep-systems
NSF Fast Lane
NASA NSPIRES
eRA Commons (NIH)
eBRAP
proposalCENTRAL
Subawards.com*
Office of Sponsored Programs
Proposal Preparation & Submission
Sponsor Forms Information
http://osp.gatech.edu/profile
Awardee Organization
Performing Organization
Points of Contact (Technical, Business, Cognizant
Agent)
Address, Congressional Districts
DUNS
EIN
CAGE
NAICS
Assurance Numbers
Office of Sponsored Programs
Proposal Preparation & Submission
Contracting
Contracting Officers Role (Pre-Award):
review proposals and cost estimates for compliance
with sponsor requirements and Institute policies
review the business portion of proposals
Representations and Certifications
serve as the sponsor’s point of contact for business
matters during the evaluation process
negotiate the final terms of the contract or grant
sign, in conjunction with an officer of GTRC or
GTARC, the resulting agreement
Office of Sponsored Programs
Proposal Preparation & Submission
OSP Contracting Teams
Air Force and DoD
Federal Agencies
• ONR
• Army
• DTRA
• DARPA
• NSF
• USDA
• FAA
• GSA
Non-Federal
State and Local
Gov’t and Other
Federal
• Universities
• Foundations
Industry Under
Prime Gov't
Subagreements
• NASA
• AFOSR
• NIH
• DOE
• NOAA
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
Kevin Wozniak, MBA, RTTP
Executive Director, Industry
Engagement
Phone: (404) 385-1437
Deborah Reid
Administrative Coordinator
Phone: (404) 894-6940
Industry and International
Agreement (All campus and
GTRI)
Enterprise Agreements
Sophia L. Herbert-Peterson, JD
Director
Phone: (404) 385-6705
Lauren MacLanahan, JD
Senior Director
Phone: (404) 894-6900
Nicole C. Cohn, JD
Associate
Phone: (404) 385-1465
Caroline C. Coursey, MSEE, JD
Senior Associate
Phone: (404) 385-6697
Kate Havey, MS
Associate
Phone: (404) 894-9788
Amy M. Dowis, JD
Associate
Phone: (404) 894-0026
Anna Glover
Contract Specialist
Phone: (404) 385-3057
Rene’ Meadors, MPH
Marketing Associate
Phone: (404) 385-0434
GTARC Agreements
Technology Licensing
Vacant
Director
Phone: (404) 894-6439
Jarrett R. Ellis, M.Ed, JD
Associate
Phone: (404) 894-6929
Gage Ramos, JD
Associate
Phone: (404) 385-3034
Lianna Grissom, JD
Associate
Phone: (404) 385-4207
Madhavi Sriram, PhD
Associate
Phone: (404) 894-9727
John H. Haugaard, JD
Associate
Phone: (404) 894-9789
Tiffany Ross
Account Manager
Phone: (404) 385-3691
Brittany Orr
Contract Specialist
Phone: (404) 385-3897
Kristin Heggen
Patents Administrator
Phone: (404) 385-3053
Cynthia Jackson
Technology Licensing Coordinator
Phone: (404) 385-2723
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
and specialized services agreements
Draft & execute center membership agreements and
by-laws
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
Industryproposals@gtrc.gatech.edu
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 cost
Establishes 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 known
Providing 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 Flow
Data 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
Disclaimer 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 Regulations
Should provide the right to review prior to
publication, not to approve. (Typically agree to 30
days.)
Office of Sponsored Programs
Proposal Preparation & Submission
Legal Framework on IP
GaTech’s
Policy on
Intellectual Property
Non-Profit Status 501 c(3)
Educational
Scientific
Educational Non-profit Status 501 c(3)
Instruction or training of individuals and community
Scientific
Research 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 products
Designing or construction of equipment, building, etc.
No work for hire
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)
Pre-Award: Legal Affairs
Post-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 Summaries
Document ID
Project Number
Contracting Officer
Track Status
Office of Sponsored Programs
Proposal Preparation & Submission
Thank you for attending this
session.
Please log into RosterTech to complete
evaluation form.
Contacts:
Candice Ferguson
candice.ferguson@osp.gatech.edu
Teri Hansen
teri.hansen@gtrc.gatech.edu
Jarrett Ellis
jarrett.ellis@gtrc.gatech.edu
Office of Sponsored Programs