An Introduction to Sponsored
Programs
Tom Capitano
Office of Sponsored Programs
Office of Sponsored Programs
All rights reserved GTRC
Introduction to Sponsored Programs
Overview
Campus Impact
Sponsored Project Administration
Summary
Units and Responsibilities
Conclusion
Office of Sponsored Programs
All rights reserved GTRC
Introduction to Sponsored Programs
What does this mean to you?
$621,595,430
Office of Sponsored Programs
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Introduction to Sponsored Programs
How Research Impacts Georgia Tech
Office of Sponsored Programs
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Introduction to Sponsored Programs
Money Matters
Employment/Promotion Criteria
Credibility encourages future funding
Employment for Students
Need money to conduct research
Other…
Office of Sponsored Programs
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The Georgia Tech
R&D Engine
Industry
R&D $$
$
State of Georgia
Board of Regents
University System of Georgia
Georgia Tech
Research
Corporation
$
Industry
R&D $$
The Georgia Institute
of Technology
State
R&D
$$
$
Georgia
Research
Alliance
Eminent Scholars
Facilities
Equipment
Translational
Research Funds
$
Federal
Government
R&D $$
R&D Products
Georgia Tech
Foundation
$$
About Our Constituents!
Research
Research Proposals and Awards for Fiscal Year 2013
Proposals
Awards
Number
Amount
Number
Amount
College of
Architecture
96
$22,295,836
57
$5,417,300
College of Computing
195
$125,954,147
141
*$26,510,524
College of Engineering
1535
$636,515,535
1218
***$185,190,893
Ivan Allen College
51
$36,610,807
41
$4,510,149
Scheller College of
Business
15
$4,141,334
11
$2,479,997
College of Sciences
495
243,498,355
332
**$57,168,754
Research Centers
516
$63,759,278
704
$35,374,945
GTRI
522
$1,834,315,653
683
*$304,942,868
Institute Total
3425
$2,967,090,945
3187
$621,595,430
The Role of Research Administration
at Georgia Tech
• Assurance of Integrity in
Research
• Financial Stewardship of
Sponsor Funds and
Institute Resources
• Stewardship of
Research Results
Research projects and programs are
designed by and are under the
responsible control of the faculty of
Georgia Tech.
Legal
Affairs
Provost
• School Chairs and business &
financial offices
• College Deans and business
& financial officer
• Library
Offices, Entities
and
Organizations
that support
faculty-led
research.
Research
Security
Library
GTRC & GTARC
Office of
Industry
Engagement
Executive Vice
President
for Research
Vice President
for Research &
General
Manager
GTRI
Accounting
Office of
Sponsored
Programs
Animal
Program
Business and Finance
• Grants & Contracts
Accounting
• Human Resources
Grants &
Contracts
Accounting
Office of
Research
Integrity
Assurance
Office of
Information
Technology
Office of
Conflict of
Interest
Management
GTRC
Office of Sponsored Programs
All rights reserved GTRC
GTRC/GTARC
Boards
of Trustees
(Steve Cross, President
Leslie Sibert, Chair)
GTRC
Operations
& IT Security
(Nick Perez)
GTRC
Controller
(Barbara
Alexander)
GTRC/GTARC
GTRC/GTARC
Accounting
(Doug West)
Accounts
Payable/
Receivable
EVPR
VPR
General Manager
(Steve Cross)
(Jilda Garton)
GTRC
Industry
Engagement
Office of Sponsored
Programs
Research Integrity
Assurance
(Duane Hutchison)
(Barbara Henry)
(Kevin Wozniak)
Industry
Contracting
(Terry Stout)
E-Commerce
and Training
OSP
•OSP Database
•Communications
•Distribution
(Dana Simpson,
Interim)
(Michelle Powell)
IRB
(Melanie Clark)
IACUC &
Export
(Mary Beran)
(Sheila Willis)
Innovation
Commercialization
and Licensing
(Lauren
MacLanahan)
•DoD
•Federal 1
•Non-Federal
•Gov’t Prime
•Federal 2
Closeout
S.B. Plans/
Reporting
OSP Financial
Admin
(Bruce Henry)
(see * below)
International
Contracting and
Licensing
(Kiki Reames)
July 3, 2013
Subcontracting
(Dana
Simpson)





Roberta Burke
Lakita Brooks
Vannessa Daniels
James Berkowitz
Chris D’Urbano
Conflict of
Interest Mgt
(Jeff Steltzer)
Attending
Veterinarian
and Animal
Program
(Laura
O’Farrell)
GTRC is an a 501( c )3 corporation that serves as the
research and technology transfer entity
for Georgia Tech.
• Affiliated Organization
– A non-profit organization established under Internal
Revenue Code as a 501(c)3 organization.
– They may be supporting organizations which are
public charities organized to perform one or more
functions of a publicly supported organization such as
a hospital, school, college, or university.
– They are separate legal entities from their supported
organizations.
– They are one of three types depending on their
structure and relationship with the supported
organization.
http://www.irs.gov/pub/irs-pdf/p557.pdf
http://www.irs.gov/charities/article/0,,id=137609,00.html
Introduction to Sponsored Programs
Institute’s Award Name
All grants and contracts are submitted through
the Georgia Tech Research Corp. Therefore,
awards will be accepted by GTRC and
subsequently subcontracted to GIT for the
project performance.
GTRC is the Awardee Applicant’s Name
Office of Sponsored Programs
All rights reserved GTRC
Introduction to Sponsored Programs
GTRC, GTARC & GTRI
Georgia Tech and GTRC
GTRC serves as the
contracting entity for
Georgia Tech
GTRI and GTARC
GTARC serves as the
contracting entity for
GTRI
GTRI is a applied
research arm of Georgia
Tech
GTRI is a non academic
research unit at Georgia
Tech and is chartered by
the Georgia Legislature.
Office of Sponsored Programs
All rights reserved GTRC
Introduction to Sponsored Programs
Jilda Garton, VP
VP is also General Manager for GTRC and
GTARC.
Negotiates F&A rates (in co-op with Grants
and Contracts Accounting)
Manages Grant and Contract Administration
Database
OSP reports to the Vice President for
Research
Office of Sponsored Programs
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Introduction to Sponsored Programs
Office of Industry Engagement
Ensure Public Benefit from Georgia Tech Research
Provide Inventor Satisfaction and Motivation by sharing
proceeds from licensing with inventors and units
Meet Georgia Tech's Obligations to Sponsors for
Compliance with Intellectual Property Provisions
Foster Long-Term Industry Relationships
Generate revenue to support Georgia Tech's on-going
research activities
Evaluate technologies and develop a marketing and
licensing strategy for each technology
Material Transfer Agreement forms
– Incoming & Outgoing
Office of Sponsored Programs
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Introduction to Sponsored Programs
Intellectual Property
GTRC owns most intellectual
property that arises from
research and other scholarly
activity conducted by Georgia
Tech (including GTRI).
– The Office of Industry
Engagement of GTRC
administers invention
disclosures, patents,
copyrights, and licenses for
both GTRC and GTARC.
Office of Sponsored Programs
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About Georgia Tech: the numbers
Awards & Inventions
700
Invention
Disclosures
400
350
500
300
Awards
400
250
200
300
150
200
100
100
50
0
0
FY04
FY05
FY06
FY07
FY08
FY09
FY10
FY11
FY12
FY13
Invention Disclosures
600
Awards $ Million
450
OSP
GTRC/GTARC
Boards
of Trustees
(Steve Cross, President
Leslie Sibert, Chair)
GTRC
Operations
& IT Security
(Nick Perez)
GTRC
Controller
(Barbara
Alexander)
GTRC/GTARC
GTRC/GTARC
Accounting
(Doug West)
Accounts
Payable/
Receivable
EVPR
VPR
General Manager
(Steve Cross)
(Jilda Garton)
GTRC
Industry
Engagement
Office of Sponsored
Programs
Research Integrity
Assurance
(Duane Hutchison)
(Barbara Henry)
(Kevin Wozniak)
Industry
Contracting
(Terry Stout)
E-Commerce
and Training
OSP
•OSP Database
•Communications
•Distribution
(Dana Simpson,
Interim)
(Michelle Powell)
IRB
(Melanie Clark)
IACUC &
Export
(Mary Beran)
(Sheila Willis)
Innovation
Commercialization
and Licensing
(Lauren
MacLanahan)
•DoD
•Federal 1
•Non-Federal
•Gov’t Prime
•Federal 2
Closeout
S.B. Plans/
Reporting
OSP Financial
Admin
(Bruce Henry)
(see * below)
International
Contracting and
Licensing
(Kiki Reames)
July 3, 2013
Subcontracting
(Dana
Simpson)





Roberta Burke
Lakita Brooks
James Berkowitz
Vannessa Daniels
Chris D’Urbano
Conflict of
Interest Mgt
(Jeff Steltzer)
Attending
Veterinarian
and Animal
Program
(Laura
O’Farrell)
Introduction to Sponsored Programs
What we do…
OSP Provides research faculty with fullservice support and administration for all
research contracts and grants at GIT
through a number of functional units.
OSP is responsible for submitting all
proposal and grant applications for
sponsored research and instruction on
behalf of Georgia Tech.
Duane Hutchison, Director of OSP
Office of Sponsored Programs
All rights reserved GTRC
Introduction to Sponsored Programs
GT – OSP – Award Agency
OSP
Georgia Tech
& GTRI
Conduct
Research
Assist in
Proposal
Preparation
and Award
Management
Awarding
Agency
Provide
Funding for
Research
Office of Sponsored Programs
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Introduction to Sponsored Programs
OSP Contracting
Contracting Officers 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, in conjunction
with an officer of GTRC or GTARC, the resulting
agreement.
Contracting Officers Role is to review proposals
and cost estimates for compliance with sponsor
requirements and Institute policies.
Office of Sponsored Programs
All rights reserved GTRC
Introduction to Sponsored Programs
OSP Contracting Officers work with
a wide range of sponsors
Department of Defense
Federal (NSF, NIH, DOE, NASA, etc)
Universities & Foundations
Industry Flow Through
Subcontracting
Office of Sponsored Programs
All rights reserved GTRC
About Georgia Tech: Sponsors of Research
Industry Sponsored Awards
700
600
$ Millions
500
400
300
200
Awards by Sponsor
20%
14%
13%
100
0
FY 08 FY 09 FY 10 FY 11 FY 12 FY13
Industry Awards
All Other Awards
Proposal Preparation & Submission
G&C
Accounting
PI/Dept OSP\GTRC\ Sponsor
ORIA
Proposal Process Flow
RFP/
FOA
Posted
Reviews &
Approves
OSP/Sponsor
Negotiate
OSP Reviews
& Approves
Search for FOA:
Proposal Written
& Routing Sheet
Completed
ORIA:
•IRB/IACUC
•rDNA & Export
Issues
Award Set-up
In OSP DB
-Request G&C
Project #
Dept.
Reviews
& Approves
Dean or
Delegate
Reviews
& Approves
OSP/Dept: Award
Management
In compliance with
Institutional,
Federal & State
Policies &
Procedures
•Project Payroll
•A/P
•A/R
•Purchasing
•Invention
Disclosure
Closeout
•Deliverables/
Technical Reports
•Equipment
•Security
•Fiscal Reports
•Invention
Disclosure
to sponsor
Award Initiation Package
•Budget
•Billing/Payment Inst.
•Deliverables
•Terms & Conditions
Office of Sponsored Programs
Introduction to Sponsored Programs
OSP e-Commerce
Presents workshops and training sessions
The division facilitates proposal development
through personalized sessions with individual
PIs and web-based tools providing institutional
information, electronic forms and templates, and
sponsor application packages and guides.
Manages sponsored project deliverables and
other research data through a sponsored project
database system (Oracle/WebWISE)
Office of Sponsored Programs
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Introduction to Sponsored Programs
Resources
Institutional Profile: Overview of all relevant information
about the Institute (osp.gatech.edu)
Monthly Reports: Overall monthly report on sponsored
activity.
Pivot: Finding Funding Tool
Forms: Forms relevant to OSP (e.g. routing form)
Staff Directory: Looks up all the staff involved with OSP,
GTRC, and GTARC
WebWISE: Grant and Contract Management Tool
Cayuse 424: Proposal Prep and Submission System
Office of Sponsored Programs
All rights reserved GTRC
Assurances of Integrity in Research
Office of Research Integrity Assurance
Office of Conflict of Interest Management
1500 Active Protocols
210 Active Protocols
Incorporated
8th Edition of
The Guide
into policies and
procedures
IACUC
1561 Active
Export Cases
Revised IRB Policies &
Procedures in
response to FDA Gap
Analysis
DoD Addenda add
layers of review for
faculty & the IRB
IRB
73 Active
Registrations
Online Continuation
(Annual) Training
>1100 trainees!
NASA and DoD
regulation changes add
to the caseload
Export
Revised NIH/OBA
Guidelines will require
GT to update forms and
policies
Biosafety
Conflict of Interest
Management in
Compliance with
Institute and Sponsor
Policies and Applicable
Law and Regulation
CoI
Introduction to Sponsored Programs
Office of Grants and Contracts Accounting
Compliance
– OMB A21
– OMB A110
– OMB A133
– FAR
Cost Transfers
Deficit reports and writeoffs
Expiration reports
Audits
Cost Sharing
Effort Reports
Property Control
Calculate F&A Cost
Proposal
What does F&A pay
for…
Office of Sponsored Programs
All rights reserved GTRC
What does F&A pay for?
F = Facilities & A = Administration
Components of the GIT F&A Rate (totals to 100%)
F-Library
2%
A-Admin & General
12%
A-Admin & General
A-Departmental Admin
A
F-Plant Maintenance
23%
A-Sponsored Programs Admin
A-GTRC
A-Student Services
A-Departmental Admin
27%
F-Interest on
Financed Bldgs
3%
F-Building & Impr Depreciation
F-Equipment Depreciation
F-Equipment
Depreciation
10%
F
F-Interest on Financed Bldgs
F-Plant Maintenance
F-Library
F-Building & Impr
Depreciation
12%
A-Student Services
3%
A-Sponsored Programs
Admin
A-GTRC
4%
4%
Grants and Allocations to Academic Units from Recovered F&A
(Actual Expenditures)
Grants and Funded Support Programs, Fiscal Year 2013
Research Operations in Academic Units
Strategic Initiative
Equipment, facilities, matching grants
Contingency and liability support
Total
$4,587,704
6,226,944
1,008,929
$11,823,577
Allocations to Academic Units and Expenses Paid for RI
Senior research leadership/incentive grants
• includes Undergraduate Research Initiative $296,945
Ph.D. support and tuition assistance programs
Foreign travel and professional society support
Promotional expenses/Research association dues
New research faculty moving expenses
Faculty and staff recognition/awards program
Total
Total Support
$1,088,701
359,579
26,894
1,159,185
405,641
142,980
$3,182,980
$15,006,557
Introduction to Sponsored Programs
Awards Bring in Money to the
institution
Office of Sponsored Programs
All rights reserved GTRC
Introduction to Sponsored Programs
So, why is this
very important?
Research
Security
Legal
Affairs
Library
GTRC & GTARC
Office of Industry
Engagement
$621,595,430
GTRI
Accounting
Vice President for
Research &
General Manager
Office of
Sponsored
Programs
Animal
Program
Office of Research
Integrity
Assurance
Grants &
Contracts
Accounting
Office of
Conflict of
Interest
Management
Office of
Information
Technology
Office of Sponsored Programs
All rights reserved GTRC
Introduction to Sponsored Programs
Want to know more?
Office of Sponsored Programs
All rights reserved GTRC
Introduction to Sponsored Programs
Departmental Certification in Sponsored
Programs
Required Courses
–
–
–
–
–
–
Proposal Preparation & Submission
Grants & Contract Accounting
Public Responsibility & Research Commitments
Budgeting, Budget Justification & Templates
Post Award Activities
Allowable & Unallowable Costs
Elective Classes
–
–
–
–
–
–
Cayuse 424
Finding Funding
Subrecipient Monitoring
Federal Circulars and the FAR
Working with the NIH/ Working with the NSF
Cost Sharing & Effort Reporting
Office of Sponsored Programs
All rights reserved GTRC