Source: http://policy.research.gatech.edu/book/export/html/1
Timestamp: 2017-08-18 05:02:12
Document Index: 589458517

Matched Legal Cases: ['art 31', 'art 46', 'arts 50', 'art 15', '§ 78', 'art 760', '§1581']

Faculty Handbook Part 31: Office of Sponsored Programs
The Georgia Tech Research Corporation (GTRC), a non-profit educational and research corporation affiliated with Georgia Institute of Technology, serves as the contracting entity for Resident Instruction colleges of Georgia Tech. Georgia Tech Applied Research Corporation (GTARC), also a non-profit research and education affiliate of Georgia Tech, acts as the contracting entity for the Georgia Tech Research Institute. Both corporations serve Georgia Tech in the financial administration of externally funded research programs and related research activities. All proposals for external funding must be routed through the Office of Sponsored Programs (OSP) or the Office of Industry Engagement (IE) for official submission to the sponsoring agency in the name of GTRC or GTARC as appropriate.
OSP verifies the proposed budget and handles all contractual or grant administrative matters relating to the submission and subsequent funding of proposals. OSP or Industry Engagement is responsible for negotiating the terms of research and related contracts. GTRC or GTARC is the recipient of the award and the contracting party while research is performed, per formal agreement, by Georgia Institute of Technology faculty, staff, and students under the direction of the Principal Investigator who shall be a member of the General Faculty and under the oversight and control of the school chair and dean, laboratory director, or other designated senior administrative official of the units in which the research is conducted.
1.2 Signature Authority
The Board of Regents for the State of Georgia delegates signature authority to the President of the Institute who then delegates in writing that authority to other individuals and offices.
Signature authorities for GTRC and GTARC are delegated by their respective boards of trustees.
Only individuals with specific delegations of authority may sign any documents for Georgia Tech, GTRC, or GTARC in any matter related to research. Consult the Office of Sponsored Programs (OSP), Industry Engagement (IE), the Office of Research Integrity Assurance (ORIA), or the Office of Legal Affairs for information or to obtain signatures on proposals, agreements, or other documents.
See also Policy 2.4.
3.0 Regulatory Management and Research Risks
Special Review Checklist for Non-Sponsored Projects 6 Sept 2012.docx
3.1 Office of Research Integrity Assurance
Universities, as partners in the national research enterprise, are required by federal regulations to establish specific research committees to ensure the ethical and safe conduct of research and certain other scholarly activities. The Institutional Animal Care and Use Committee, the three Institutional Review Boards, and the Institutional Biosafety Committee have been established to oversee activities involving, respectively, vertebrate animal subjects, human research subjects, and recombinant DNA (rDNA). These federally mandated faculty committees are administered and supported by the Office of Research Integrity Assurance, which reports to the Vice President for Research. Procedures for obtaining committee approval can be found at www.researchintegrity.gatech.edu.​
3.1.1 Institutional Review Board (IRB)
Policy No: RESEARCH 3.1.1
Policy Owner: GTRC-ORIA
Policy Contact: Barbara Henry, Executive Director, barbara.henry@gtrc.gatech.edu
Georgia Tech subscribes to the basic ethical principles that underlie the conduct of biomedical and behavioral research involving human subjects as set forth in the Belmont Report, the timeless statement of ethical principles and guidelines for the protection of human subjects published in 1979 by the National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research.
The three Georgia Tech Institutional Review Boards are charged with protecting the rights and welfare of human subjects participating in research projects conducted by Georgia Tech faculty, staff, or students. These include the Central IRB, the Joint Georgia State University-Georgia Tech IRB for the Advanced Brain Imaging Center, and the Classified IRB. The IRBs have the responsibility and authority to review, approve, disapprove, or require changes in research activities involving human subjects. All proposed research activities involving human subjects, regardless of source of funding or study location, must be reviewed and approved by the appropriate Georgia Tech Institutional Review Board (IRB) prior to initiation of research. The IRBs hold regularly scheduled meetings to review research protocols involving human subjects.
Georgia Tech’s Federalwide Assurance is approved by the Department of Health and Human Services, and the Institutional Review Boards are registered with the Department of Health and Human Services, Office for Human Research Protections.
Committee members are appointed by the Vice President for Research, who also serves as the Institutional Official for matters related to human subjects. Membership is structured in accordance with federal requirements set forth in Title 45 Code of Federal Regulations Part 46, “Federal Policy for the Protection of Human Subjects” including Subparts A, B, C, and D, and in Title 21 Code of Federal Regulations, Parts 50, 56, 312, and 812.
This policy applies to all Georgia Tech Faculty, Staff, and Students.
IRB Policies and Procedures http://researchintegrity.gatech.edu/about-irb/irb-policies-and-procedures/
Belmont Report http://www.hhs.gov/ohrp/humansubjects/guidance/belmont.html
12-30-2013 GTRC-ORIA Rev 1.0
3.1.2 Institutional Animal Care & Use Committee (IACUC)
Policy No: RESEARCH 3.1.2
Policy Contact: Mary Beran, Associate Director, mary.beran@gtrc.gatech.edu
The Georgia Institute of Technology is committed to ensuring that vertebrate animals used in research and teaching activities receive humane care and treatment.
The Institutional Animal Care and Use Committee (IACUC) is charged with reviewing all proposed use of vertebrate animals, regardless of where the work is performed and source of funding, if any. The IACUC has the responsibility and authority to review, approve, disapprove, or require changes in research activities involving vertebrate animals. This committee regularly inspects and monitors the animal care and use facilities and program at the Institute to ensure that all components are in compliance with regulations outlined in the federal Animal Welfare Act, the Public Health Service (PHS) Policy on Humane Care and Use of Laboratory Animals, and with the Eighth Edition of the Guide for the Care and Use of Laboratory Animals.
The animal facilities are registered with the U.S. Department of Agriculture and undergo frequent, unannounced inspections by that agency. Georgia Tech’s Animal Welfare Assurance is approved by the Department of Health and Human Services. Committee membership is structured in accordance with federal requirements; members are appointed by the Vice President for Research, who also serves as the Institutional Official for matters related to vertebrate animal subjects.
The IACUC has set forth procedures for reporting, without fear of reprisal, concerns about the humane use and treatment of vertebrate animals used in research and teaching activities at Georgia Tech. The IACUC meets monthly to review research protocols which propose the use of vertebrate animal subjects; committee approval must be obtained prior to initiation of proposed activities.
IACUC Policies and Procedures http://researchintegrity.gatech.edu/about-iacuc/policies-procedures/
3.1.3 Institutional Biosafety Committee (IBC)
IBC Guidance
Policy No: RESEARCH 3.1.3
The Institutional Biosafety Committee (IBC) is responsible for reviewing all registrations for research, teaching, and training that involve the use of recombinant DNA by Georgia Tech faculty, staff or students and ensuring that the proposed activities comply with the federal “NIH Guidelines for Research Involving Recombinant or Synthetic Nucleic Acid Molecules” and all other applicable regulations. All scholarly activities involving recombinant DNA, regardless of source of funding, must be reviewed by the IBC. The Committee has the responsibility and authority to review, approve, disapprove, or require changes in research, teaching, and training activities involving recombinant DNA materials.
Georgia Tech’s Institutional Biosafety Committee is registered with the National Institutes of Health’s Office of Biotechnology Activities (OBA). IBC works closely with Georgia Tech’s Biosafety Officer in the Office of Environmental Health and Safety. Committee membership is structured in accordance with federal requirements. Members are appointed by the Executive Vice President for Research, who is also the Institutional Official for matters related to the Biosafety Committee. The IBC holds meetings as needed to review registrations.
IBC Guidance http://researchintegrity.gatech.edu/about-ibc/ibc-guidance-for-faculty-planning-to-work-with-rdna/
3.1.4 Export Control
Export Control Forms & Procedures
Policy No: RESEARCH 3.1.4
Research is a global endeavor, and international experiences and opportunities are vital in preparing Georgia Tech’s students to become leaders who meet the challenges of the future. It is sometimes challenging to conduct these programs in compliance with complex laws and regulations that change frequently. The Office of Research Integrity Assurance (ORIA), in coordination with the Office of Legal Affairs (OLA) and the Research Security Department (RSD), assists faculty members with the review of research proposals and awards and when appropriate prepares Technology Control Plans (TCP) to protect export controlled technology.
It is the policy of the Georgia Institute of Technology (GIT) to fully comply with all applicable federal statutes, executive orders, regulations, and contractual requirements for the safeguarding of export controlled technical information in its possession. This includes full and total compliance with export controls and transfer of controlled technology. Under no circumstances shall employees or other persons acting on behalf of GIT engage in activities in contravention of U.S. export control laws. In general, export controlled Information means activities, items, and information related to the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, operation, modification, demilitarization, destruction, processing, or use of items with a capacity for military application utility. Export controlled information does not include basic marketing information on function or purpose; general system descriptions; or information concerning general scientific, mathematical, or engineering principles commonly taught in schools, colleges and universities or information in the public domain.
The export of equipment and information including technical data, software and hardware is controlled by federal regulations such as the Export Administration Regulations (EAR) and the International Traffic in Arms Regulations (ITAR). Information such as brochures, proposals, site visits and technical discussions are deemed "technical data." Exporting information or talking to a foreign sponsor (either in the U.S. or abroad) about certain types of technical data which may have a possible military application requires a State Department export license, which may take up to three months to obtain. Exporting information or a commodity which does not have significant military application usually requires obtaining one or more of the following: an assurance which precludes reexport; supporting documentation; or a Commerce Department export license. Export of some items to certain countries and some types of subcontracts with those countries are prohibited altogether. For more information: http://www.export.gatech.edu/
Export Control Form & Procedures http://researchintegrity.gatech.edu/about-export/forms-and-procedures/
GT CoI Policy
GT's OHR CoI Disclosure
It is the policy of the Georgia Institute of Technology that all Financial Conflicts of Interests (FCOI) will be managed, reduced, or eliminated in accordance with Federal Regulations, State law, and Institute Policy. In order to ensure timely management and reporting of FCOIs, every Employee of the Institute, including all who participate in outside professional activities and/or sponsored research must complete an annual disclosure using the online Conflict of Interest system (eCOI), which is available at https://ecoi.research.gatech.edu. In answering the eCOI questions, if an Employee has indicated an actual or potential conflict, the system will notify the COI Office for review. Employees must update their disclosures on an ongoing basis when circumstances change. This includes receiving prior approval before engaging in any outside professional activity.
3.3 Responsible Conduct of Research
http://researchintegrity.gatech.edu/rcr-policy/
3.4 Responding to Allegations of Scientific or Other Scholarly Misconduct
http://researchintegrity.gatech.edu/policy-for-responding-to-allegations-of-scientific-or-other-scholarly-misconduct/
3.5 Protecting Sensitive Data
http://researchintegrity.gatech.edu/protecting-sensitive-data/
3.6 Environmental Health and Safety
The Environmental Health and Safety (EHS) Office at Georgia Tech develops programs and provides oversight, consultation, training and other specialized services to assist the Institute community in meeting its public health, safety, environmental protection, and compliance responsibilities.
http://www.ehs.gatech.edu/
3.6.1 Office of Radiological Safety
The Office of Radiological Safety (ORS) manages all aspects of the use of radioactive material (RAM) and radiation generating devices at Georgia Tech.
http://www.ors.gatech.edu/
3.7 Related Georgia Tech Policies and Procedures
4.0 Post-award Management - Financial Administration
4.1 Grants and Contract Accounting
http://grants.gatech.edu/main/
Policy No: RESEARCH 4.2
It is the policy of Georgia Tech’s Office of Sponsored Programs that, in issuing and administering sponsored projects/awards, the office is in compliance with:
Georgia Institute of Technology Policies and Procedures
Applicable sponsor regulations
Terms and conditions of the prime award
4.2.1 Advance Payment
Policy No: RESEARCH 4.2.1
It is the policy of Georgia Tech that an advance payment is required on all industrial projects with industry sponsors. This advance payment is required because it usually takes several months from the start of a project until receipt of the first payment. The amount of the advance payment is usually 25% of the total project cost. However, if the sponsor has a bad credit rating, a higher amount (up to the full project cost) may be required. The sponsor is notified of this advance payment requirement in the proposal transmittal letter. The amount of the advance payment is cited in the payment clause of the contract. An invoice for the advance payment is transmitted by the Program Initiation Division Contracting Officer with the proposal. The advance payment is applied against the final invoice for the project, and any funds remaining are returned to the sponsor. This policy does not apply when the industrial sponsor has a prime government contract under which Georgia Tech will be a subcontractor.
4.2.2 Fixed Price
Policy No: RESEARCH 4.2.2
This contract is most appropriate when there is a clear SOW and little risk to the Institute. On occasion, a sponsor will insist on a fixed price contract. If the PD/PI’s Lab/School determines that the financial/legal risks are minimal and acceptable, the researcher’s Lab/School will state that internal funds will be available in the event of a cost overrun, and that the deliverables do not include hardware or software items, some special programs may be accepted on a fixed price basis with the approval of the Vice President for Research. This is preferred contract type when a PI has subcontractors or will be issuing sub-awards on the project.
Per the Uniform Administrative Requirements (2 CFR 200), Subpart - C, this type of agreement cannot be used when there is mandatory cost sharing required. Changes in PD/PI, project leader, project partner or scope of effort must receive the prior written approval of the Federal award agency or pass-through entity. Additionally, the non-Federal entity must certify in writing to the Federal awarding agency or pass-through entity at the end of the Federal award that the project or activity was completed or the level of effort was expended. If the required level of activity or effort was not carried out, the amount of the Federal award must be adjusted.
Click here for the Georgia Tech Fixed Price Memo, which should be submitted along with the OSP Routing Form.
Budget, Planning and Administration: http://www.policylibrary.gatech.edu/business-finance/firm-fixed-price-ffp-residual-balances .
Project Closeout in Grants Management System: http://www.policylibrary.gatech.edu/project-close-out-grants-management-system
03-16-2015 OSP Rev 3.0
4.2.3 Cost-reimbursement
Policy No: RESEARCH 4.2.3
There are several flavors of Cost Reimbursable (CR) contracts, the two most common at Georgia Tech are the pure Cost Reimbursement and Cost Plus Fixed Fee (CPFF). Including cost sharing in a contract or proposal is also a form of a cost reimbursable contract. The CR and CPFF contract is the preferred contract for the Institute to receive (without cost sharing), as it limits risk on research endeavors that may not have a clearly defined SOW. Under the CPFF, in addition to reimbursing the Institute for costs related to the work, the sponsor will also provide the Institute with a fee.
4.2.4 Time and Materials
Policy No: RESEARCH 4.2.4
Under this type of agreement the sponsor agrees to pay a negotiated hourly rate for specified types of labor and to reimburse the Institute for materials used on the project. Base hourly rates invoiced to the sponsor include base hourly rate plus all indirect costs. Prepare your budget as such. This type of contract requires careful oversight and management. This type contract also requires the approval of the Vice President for Research.
4.2.5 Foreign Sponsor Payments
Policy No: RESEARCH 4.2.5
Exchange Rate Consideration
The exchange rate is the price of one currency expressed in terms of another currency. For example, as of the November 2009, the exchange rate of one U.S. dollar for one Euro was approximately 0.67, which means that one dollar can be exchanged for 0.67 euros. Fluctuation in exchange rates have significant affects on the payments for sponsored research projects. All GA Tech units should be aware of the risks, including potential loss of dollars, involved in agreements containing payment terms in foreign currency.
Payment Terms for Foreign Sponsors
OSP generally requires at least 50% advance payment from all foreign sponsors. To eliminate the risk associated with exchange rates, OSP establishes the agreement amount and payment terms in U.S. dollars. If the sponsor will not agree to establish the agreement’s price and payment terms in U.S. dollars, OSP will try to reduce the risk associated with exchange rates by requiring payment in full upon execution of the agreement or as much advance payment as can be mutually agreed upon. If the sponsor will not agree to advance payments, OSP will require a memo signed by the School Chair stating that they understand the ramifications associated with payments made in a foreign currency, and the School will be responsible for any cost over-runs associated with foreign currency fluctuations.
The PI should prepare a budget in U.S. dollars and the currency of the foreign sponsor. OSP will process the budget for the Agreement in U.S. dollars at the time an award is processed based on the current exchange rate. Grants & Contracts will notify the PI and OSP of the payment amount received to adjust the budget as necessary. The PI’s School will be responsible for any shortfalls in the awarded amount due to fluctuations in the currency’s exchange rate. Therefore, the PI should stay abreast of the affect the exchange rate will have on the budget throughout the life of the research project.
4.2.6 Risk Mitigation Policy
Policy No: RESEARCH 4.2.6
Research projects that are funded by private industry sponsors and certain others carry an added risk of financial losses due to non-payment by the sponsor. The causes of non-payment range from financial exigencies faced by the company particularly during periods of general economic slowdown to disappointment on the part of the sponsor with the outcomes of the research project. With such sponsors, it is particularly important to establish clear contractual agreement as to the nature of the research relationship between Georgia Tech and the sponsor. It is equally important to develop payment terms that mitigate Georgia Tech’s financial exposure, set clear expectations regarding payment, and exercise consistent and prudent oversight of project receivables.
4.3 Cost Sharing
G&C Cost Share Info
Policy No: RESEARCH 4.3
Cost share (Matching) funds are those funds contractually obligated by the Institute to meet the financial requirements specified in a sponsored award. These expenses represent the Institute’s contribution to an externally funded sponsored project. When a cost share obligation is identified in the sponsored agreement, it must be accounted for in the records of the Institute and reported to the sponsor. Cost share expenses should generally be incurred at the same rate as the sponsor’s portion of award expenses.
From OMB Circular A-110, Section 23 (2 CFR 235), "Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations":
"All contributions, including cash and third party in-kind, shall be accepted as part of the recipient's cost sharing or matching when such contributions meet all of the following criteria.”
Are provided for in the approved budget when required by the Federal awarding agency.
Conform to other provisions of this Circular, as applicable.
** If any expense cannot meet the above criteria, it is not eligible to be recorded and reported as cost share. **
Grants & Contracts Cost Share Info http://policies.gatech.edu/business-finance/cost-share-expenses
4.4 Prior Approvals of Budget, PI, or other program changes
4.5 No-Cost Extensions
4.6 Related Georgia Tech Policies and Procedures
5.0 Subcontracts, Subawards, and Subrecipient Administration
SubAgreement Management
It is the policy of Georgia Tech’s Office of Sponsored Programs that, in issuing and administering subawards, the office is in compliance with:
The ultimate goal of the following procedures is to guarantee that the subaward activities satisfy Institute and governmental reviews as well as government audit requirements while protecting the Institute’s best interest.
5.1 Pre-Award Stage
Policy No: RESEARCH 5.1
3.1 Specific Considerations
5.2 Requesting a Subaward
Policy No: RESEARCH 5.2
A SubAgreement may be required if part of the research effort under a grant or contract is to be performed by an outside organization or institution.
Subcontracts should be set up as soon as possible after the receipt of an award. To initiate one, you or an authorized representative will need to make a request for subcontract agreement using Georgia Tech’s web-based OSP Contract System - https://webwise.gtri.gatech.edu/osp/sub/sitemap
Upon final submission through the on-line system you will need to forward a signed copy of the request form to OSP. A notification of acceptance, as well as other progress notifications will be sent via the ICOL system. Upon receipt of the returned subcontracts, an agreement will be issued to the subcontractor against which project-related costs may be billed. The Principal Investigator will be responsible for monitoring the technical performance of the subcontractor, verifying that required cost-sharing is properly documented and approving the invoices for payment. Please notify a contracting officer in OSP’s Subagreement Division promptly with any questions or concerns. A request for modification will be needed in order to add additional funds or time to the existing subcontract.
4.1 Requesting a Subaward
As part of the on-line “Request for a Sub-Agreement” process you will want to have the following information ready:
statement of work (including any deliverables/reports)
a memorandum of selection (short narrative as to why you selected the subcontractor)
as well as a technical cost/price analysis
On-line “Request for a Sub-Agreement”
Visit OSP Contract System - https://webwise.gtri.gatech.edu/osp/sub/sitemap
Use your GT Kerberos Password or GTRI credentials to access the system.
From the Subagreement site map click on “make a request for new subagreement”
Query on the fund # you wish to issue the subcontract/consulting agreement under.
After completing the required fields, “Submit to OSP”
Print request form for signature
FAX or e-mail signed copy of the request form to OSP. FAX (404)385-0864
monitoring the technical performance of the subcontractor,
verifying that required cost-sharing is properly documented,
and approving the invoices for payment.
01-02-2014 GTRC-IE Rev 1.0
5.2.1 Statement of Work
Preparing the Statement of Work - The Statement of Work (SOW) is a document that lists and describes all essential and technical requirements for the effort to be performed, including standards to be used to determine whether the requirements have been met. This document may include the following items where appropriate:
A list of detailed work requirements
Resources (if any) to be furnished to the subcontractor.
Reporting requirement/Other deliverables
5.2.2 Sole Source Justification
It is necessary to include documentation that you have obtained quotes from alternative vendors or completed a Sole Source Justification form. The PI is required to provide information of the technical competence of the sole source selection.
5.2.3 Cost Price Analysis
The PI is also required to provide a technical assessment of the subaward budget. The assessment would include verification that the costs are reasonable and necessary to carry out the proposed project. The cost elements within the subaward budget must be necessary to accomplish the proposed activity.
The Government is responsible for insuring that Georgia Tech maintains adequate policies and procedures governing subcontracting activities on federally sponsored grants and contracts. These activities are monitored through the periodic Contractor Purchasing Systems Review (CPSR) conducted on campus by the Office of Naval Research every three years. The cost price analysis form is a key component in the Government’s review of our purchasing system.
One of the Government’s principal procurement objectives is to obtain fair and reasonable contract prices. Sub-award pricing is a critical element in the pricing of prime contracts and a major consideration in receiving Government consent to sub-awards and approval for contractor purchasing systems. Sub-awards can sometimes represent a major portion of the total dollars spent under a prime contract. Contracting officers cannot ensure the fairness and reasonableness of prime contract prices without evaluating the prices of critical sub-awards.
In accordance with the Federal Acquisition Regulation (FAR), the contracting officer is responsible for the determination of price reasonableness for the prime contract. To make this determination, the contracting officer must conduct an analysis of the relevant facts and data including subcontractor cost or pricing data. In all cases, a main consideration is to assure that the price to be paid for these goods and services is fair and reasonable. This is essential to insure that both University and Government funds are utilized in a cost effective manner and to conserve funding where resources are limited. To accomplish this, some form of cost or price analysis must be made and documented in connection with every procurement action.
A price analysis is an examination of the price proposed by the anticipated subcontractor and an assessment or evaluation as to whether or not it is fair and reasonable. A cost analysis however, actually examines the individual cost elements that comprise the total proposed estimated cost. These elements generally include such things as labor rates, material costs, overhead or indirect rates, a cost of money factor, general and administrative expenses (G&A), and a profit or fee.
It is not possible for personnel in the Office of Sponsored Programs (OSP) to determine if the price is fair and reasonable without input from others. OSP can evaluate costs, but assistance will be required from the responsible Project Director/Principal Investigator to evaluate the appropriateness of the total price.
If a sub-award exceeding $700,000 is to be issued under a Government contract prime award, OSP must be in compliance with Public Law 87-653, Truth in Negotiations. [The Public Law has been implemented in the United States Code of Federal Regulations 10 U.S.C. 2306a (Armed Forces) and 41 U.S.C. 254b (Public Contracts) and in the Federal Acquisition Regulation Part 15 and Clause No. 52.215-12.]. Public Law 87-653, Truth in Negotiations (TINA) is a requirement for cost or pricing data and certification for any sub-award expected to exceed $700,000. The sub-awardee is required to submit cost or pricing data prior to placement of the sub-award unless one of the following exceptions applies:
When the sub-award administrator determines that prices agreed upon are based on adequate price competition.
When the sub-award administrator determines that prices agreed upon are based on prices set by law or regulation.
When a commercial item is being acquired.
When a waiver for cost or pricing data has been granted by the Government contracting officer under the prime award.
When modifying a contract or sub-award for commercial items.
Cost or pricing data shall be obtained if the sub-award administrator concludes that none of the exceptions above applies. When cost or pricing data are required, the sub-award administrator shall require the sub-awardee to submit the following in support of any proposal:
Cost or pricing data (See FAR 15.408, Table 15-2 for guidance).
A certificate of current cost or pricing data, certifying that to the best of its knowledge and belief, the cost and pricing data were accurate, complete, and current as of the date of agreement on price or, if applicable, an earlier date agreed upon between the parties that is as close as practicable to the date of agreement on price. (See FAR 15.406-2 for format.)
For sub-awards under the TINA threshold the guidelines of FAR 15.403-3, Requiring Information Other than Cost or Pricing Data, should be utilized in certain cases. This would also include thorough documentation of cost or price reasonableness in accordance with FAR 15.406-3, documenting the negotiation.
5.3 Subrecipient Monitoring
Georgia Tech is responsible for ensuring that all subrecipients of its sponsored research awards are in compliance with applicable requirements in accordance with 2 CFR 200 Subpart D Subrecipient Monitoring and Management and Subpart F – Audit Requirements, when it is expected that the subrecipient’s Federal awards expended during the respective fiscal year equals or exceed $750,000 (2 CFR 200.501). These guidelines and procedures are provided to assist faculty and staff in ensuring that subrecipients conduct their portions of research projects in compliance with laws, regulations and terms and conditions of awards and subawards and that project costs incurred by subrecipients are reasonable and allowable.
PIs have primary responsibility for monitoring subrecipient's technical and financial performance to ensure compliance with federal regulations and both prime and subrecipient award terms and conditions. The Federal Government places the primary responsibility for management of federally funded projects with the PI. This includes:
Monitoring of subrecipient’s programmatic and financial activities related to the sub-award.
Review of technical/performance reports as required.
The PI is responsible for verifying the subrecipient work is conducted in a timely manner and that the results delivered are in line with the proposed statement of work.
The PI is responsible for reviewing and approving subrecipient invoices. This includes reviewing expenditures to ensure the charges are allowable, allocable, reasonable, and that the charges are within the period of performance.
The PI is responsible for maintaining regular contact with the subrecipient.
Unit Financial Officers (UFO’s) should assist PI’s in carrying out their subrecipient monitoring responsibilities. This includes:
Reviewing invoices from subrecipients to ensure invoices are within the parameters of the sub-award budget, and questioning expenditures if necessary.
Ensure that invoices are approved by the PI or his/her designee and submitted to Accounts Payable in a timely basis.
If there are any unusual or excessive charges invoiced by the subrecipient, the department should request clarification from the subrecipient.
Maintain copies of all invoices that provide evidence of the regular review of invoices by the PI. “Evidence” can be in the form of authorized signature by the PI or his/her designee, PI’s initials, e-mail communications, or notes of meeting between the PI with the department administrator.
Maintaining documentation of monitoring efforts (copies of e-mail, phone log, etc.).
Identifying to the subrecipient the Federal award information as required in section 2 CFR 200.331 (e.g., CFDA title and number, award name, name of Federal agency) and applicable compliance requirements, including any appropriate flow-down provisions from the prime agreement.
Ensure the use of subrecipient is well documented and cost price analysis performed in accordance with applicable regulations.
Determining whether or not the subrecipient or its PI’s are debarred or suspended from receiving Federal funds.
On an annual basis, reviewing all active sub-awards for which monitoring is mandated. Accordingly, OSP requests audit certification letters from all subrecipients expending $750,000 or more in Federal funds during the subrecipient’s fiscal year.
The returned certification letters are reviewed by the OSP Audit Coordinator to verify that no audit findings related to Federal funds provided by Georgia Tech are reported. If no findings are indicated, the OSP Audit Coordinator will initial, date, and notate that no follow-up action is required. OSP will inquire further into those that are deemed to require closer scrutiny, and take appropriate action.
Add additional conditions to the subaward when appropriate in accordance with 2 CFR 200.207 to manage any risk posed by subrecipient.
In accordance with FAR 52.219-9(d)(9), for Subrecipients under Federal Contracts, when a subcontract is awarded to a subcontractor (other than a Small Business) and is in excess of $650,000, OSP will obtain a Subcontracting Plan from the subcontractor.
In accordance with FAR 52.215-12, will obtain from the subcontractor a Certificate Cost or Pricing Data on all subcontracts in excess of $700,000 and issued under a Federal contract.
The above list is not exhaustive of all compliance requirements. In addition to the general elements of compliance noted above, there may be additional sponsor- or program-specific requirements that mandate collecting and documenting other assurances (e.g. on lab animals, human subjects, biohazards, export controls, financial conflicts of interest etc.) during the course of a project. OSP will work with PIs and department administrators to establish channels of communication with subrecipients that require further scrutiny.
5.4 Closeout of Subawards
Detailed information is available at: http://www.osp.gatech.edu/contractual-close-out/.
6.0 Post-award Management – Programmatic Administration
Policy No: RESEARCH 6.1
Effective Date: May 2013​
Last Revised: May 2013​
Policy Owner: GTRC-IE
Policy Contact: Kevin Wozniak, Executive Director, kevin.wozniak@gtrc.gatech.edu
Commercializing your innovation begins with an initial disclosure to the Office of Industry Engagement. Through this process, Industry Engagement can record the innovation, determine what form of intellectual property is involved and any sponsor rights, establish accurate inventorship and ownership interests in the innovation, and determine through various means of evaluation whether the innovation has commercial potential. Innovations should be reported to the Office of Industry Engagement as early as possible in the discovery process to ensure protection of intellectual property and to gain a comprehensive understanding of the options available in commercializing your research.
Industry Engagment http://www.industry.gatech.edu/
12-31-2013 GTRC-IE Rev 1.0
6.2 Deliverables [Progress/Annual/Interim/Monthly Technical Reports]
Policy No: RESEARCH 6.2
It is Georgia Tech’s policy to meet all contractual obligations of a sponsored project. It is the responsibility of the PD/PI to submit to the sponsor, all technical reports, final reports and any other deliverables that may be required under the sponsored agreement.
Deliverables must be submitted to OSP on-line via WebWise.
3.1 Deliverable Submission
Deliverables must be submitted to OSP on-line via WebWise under the project deliverables tab. Submissions are updated immediately by the system and may be viewed on line.
3.2 Training Tutorials
Deliverable Submission:
Granting Access to a Project
Setting up a Designee for a Deliverable(s)
Unsatisfying a Deliverable
Notifying OSP of Submission of Deliverable via a Sponsor System
Distributions made by the lab/school/center or via a 3rd party system directly to the sponsor must still be submitted via WebWise. Please upload the document as well as any proof of submission.
In the comments section, please note mm/dd/yy of submission, how it was originally sent and OSP will back date the item for you providing you submit proof of submission.
Publication Restricted field may be used for export control and ITAR controlled items
https://webwise.gtri.gatech.edu/osp/sitemap
OSP Online Training
http://training.osp.gatech.edu/online-training/
6.3 Property Management
6.4 Travel including International Travel
Policy No: RESEARCH 6.4
All travel by faculty, staff, students and guests utilizing sponsored programs funds administered through the Office of Sponsored Programs must meet the Cost Accounting Standard criteria. It is allowable, allocable, and reasonable. Travel is allowable as a direct charge if such travel will provide a direct benefit to the project.
If prior approval for foreign travel wasn’t obtained in the proposal stage and it is a federal sponsor, please refer to the FDP Approval Matrix for next steps.
The Fly American Act applies for travel funded by federal awards
http://www.nsf.gov/pubs/fdp/fdpmatrix.xls
http://grants.gatech.edu/main/wp-content/uploads/2011/12/Fly-America-Waiver-Cklist.pdf
Procurement Site for GT Travel
http://www.procurement.gatech.edu/travel
6.5 Closeout
G&C Web Grants Management
GTRI–Report Central
Policy No: RESEARCH 6.5
Project Close Out is an administrative process that is handled by a Contracting Specialist assigned to the Contracting Support Division within the Office of Sponsored Programs. The requirements for project closeout are established by contractual provisions and/or agency regulations. The Contracting Specialist will ensure that all required closeout documents are submitted to the sponsor (i.e. final invoice, disclosures on patents and inventions, property, and security).
3.1 Closeout Procedures
30 days prior to end of performance date – Auto-generated e-mail sent to PI and department notifying PI that project expires in 30 days
1. PI notifies CO if extension will be requested
2. No action required by PI if project will expire at end of performance date
30 days after end of performance date – Auto-generated e-mail sent to PI stating project has passed its end of performance
Project is closed by Contracting Specialist
1. PI responds to close out notice stating if there are inventions or discoveries associated with project
2. PI completes all deliverables for the project
3. Final Invoice/Financial Papers are completed by G&C Accounting or GTRI Accounting
4. Property Report is prepared by Property Dept
5. Classified Material Certificate is prepared by Security Department
Closeout Documents flow down from the main project
Project is terminated when all obligations to the sponsor have been fulfilled
Contact the Contracting Specialist or Closeout Manager overseeing the project close out.
4.1. Principal Investigator
The PI is responsible for informing the Contracting Specialist and OSP, if an extension will be requested, if there are any inventions or discoveries associated with the project, and for completing all deliverables for the project
4.2. OSP Contracting Specialist
​The Contracting Specialist is responsible for ensuring that all required closeout documents are submitted to the sponsor (i.e. final invoice, disclosures on patents and inventions, property, and security).
Grants & Contracts Web Grants Management
https://gtwebapps.gatech.edu/cfprod/grantsys/grants_login.cfm
GTRI – Report Central
https://webwise.gtri.gatech.edu/rc/sitemap.do
6.6 Related Georgia Tech Policies and Procedures
7.0 Industry Contracts
Seven Steps of Sponsored Research/
Industry Contract Continuum
Industry University Partnership Guidebook
The Office of Industry Engagement is your home for all industry-sponsored research activities, both in the U.S. and abroad. We review all sponsored research proposals, negotiate terms and conditions, and execute the contracts. In addition, Industry Engagement can assist with preparation of proposal materials, including the statement of work, budget, forms, and agreements. We work with Georgia Tech researchers and industry partners to ensure that agreements are in accord with university policies and procedures as well as federal regulations and requirements.
7.1 Intellectual Property Terms in Industry Contracts
Policy No: RESEARCH 7.1
Georgia Tech Research Corporation asserts a right of ownership to any intellectual property that was developed by an employee of Georgia Tech or resulted from significant use of Georgia Tech resources, even in research projects sponsored by industry. However, GTRC has worked hard to create and establish mechanisms that enable companies to easily obtain access to the project IP on fair and reasonable terms with minimal negotiations.
Industry Engagement http://industry.gatech.edu/
7.2 International Collaboration
See Section 8.0
7.3 STTR/SBIR
Small Business Innovation Research (SBIR)/Small Business Technology Transfer (STTR)
7.4 IP and Licensing
7.5 Advance Payments
Policy No: RESEARCH 7.5
7.6 Contract Templates
Industry Forms & Contracts
7.7 Related Georgia Tech Policies and Procedures
8.0 International Sponsored Projects
Georgia Tech encourages international collaborations. The International Contracts and Technology Transfer group within Industry Engagement serves as the point of contact for all international sponsored projects. ICTT facilitates international collaborations and helps assure compliance with Georgia Institute of Technology policies, as well as state and federal rules, regulations, and laws.
For more information please visit the Industry Engagement site.
8.1 Foreign Sponsors
Policy No: RESEARCH 8.1
Projects are considered international when sponsored by a foreign government or by a private entity based in a foreign nation, regardless of where the work is to be performed. Examples of foreign sponsors are foreign governments and governmental agencies, foreign universities, non-U.S. domiciled companies (defined as a company legally organized and originally incorporated under the laws of a foreign country), and non-U.S. non-governmental organizations and foreign public charities.
Agreements with foreign sponsors will generally provide that English is the operative language, that advance payments are made, and that all payments are made in U.S. dollars.
8.2 Compliance Requirements for International Agreements and Sub agreements
8.2.1 Export Controls Policy
Policy No: RESEARCH 8.2.1
The export of equipment and information including technical data, software and hardware is controlled by federal regulations such as the Export Administration Regulations (EAR) and the International Traffic in Arms Regulations (ITAR). Information such as brochures, proposals, site visits and technical discussions are deemed "technical data." Exporting information or talking to a foreign sponsor (either in the U.S. or abroad) about certain types of technical data which may have a possible military application requires a State Department export license, which may take up to three months to obtain. Exporting information or a commodity which does not have significant military application usually requires obtaining one or more of the following: an assurance which precludes reexport; supporting documentation; or a Commerce Department export license. Export of some items to certain countries and some types of subcontracts with those countries are prohibited altogether.>
Proposals to foreign sponsors submitted to International Contracts and Technology Transfer (ICTT) are provided to Research Integrity Assurance and to Legal Affairs for review and will not be sent to the sponsor before approval is received. It is strongly advised that proposals be submitted to ICTT at least 5 business days before the sponsor deadline to allow for this review. Proposals will not be submitted without export review.
For more information: http://www.export.gatech.edu/
Export Control http://www.export.gatech.edu/
12-31-2013 GTRC-ORIA Rev 1.0
8.2.2 Foreign Corrupt Practices Act (FCPA) Policy
Policy No: RESEARCH 8.2.2
It is the policy of Georgia Tech that each of our employees, faculty, staff, agents, representatives, vendors and other third parties that work with GIT, GTRC and GTARC comply with the anti-bribery laws of the United States and of the foreign countries where Georgia Tech does business. Bribery of any kind in the United States and abroad, regardless of foreign custom or practice, is strictly prohibited. No Georgia Tech employee, faculty, staff, agent, representative, vendor or any other third party with which Georgia Tech works shall make any payment or provide anything of value, to any person, in order to improperly influence that person to secure any advantage for Georgia Tech, including obtaining or retaining business, or directing business to any person or entity. It is also the policy of Georgia Tech that each of its employees, faculty, staff, agents, representatives, vendors and all third parties that work with Georgia Tech make and keep books, records, and accounts, which, in reasonable detail, accurately reflect any transactions and dispositions of the university and any of its subsidiaries or partners. Any contracts involving, directly or indirectly, foreign officials must be in writing and reviewed by the Georgia Tech Office of Legal Affairs prior to execution. The Foreign Corrupt Practices Act (FCPA) is a federal law (15 U.S.C. § 78-dd-21 et seq.) that exists to prevent corrupt practices in international transactions. The Act prohibits bribery of foreign officials and employees who work for foreign governments. The FCPA prohibits the corrupt payment (or offer, promise or authorization of payment) of anything of value to any foreign official or employee, directly or indirectly, for the purpose of obtaining or retaining business, directing business to any person or entity, or securing any improper advantage. The FCPA’s prohibitions are applicable to United States organizations, public or private, and any person, including a foreign person or firm, if they commit a prohibited act in the United States. Further, a United States entity may be held liable under the FCPA for the improper activities of its foreign subsidiaries if the United States entity authorized or participated in the conduct. This policy ensures the Georgia Tech community is aware of, monitors, and complies with this statute.
This policy applies to all Georgia Tech operations worldwide. It applies to the Institute’s (including subsidiaries) own employees, faculty, and staff. The Institute expects that third parties with whom the university works, i.e., all vendors, representatives, joint venture partners, and other third parties on international operations will comply this policy.
Foreign Officials Foreign Officials as defined by the FCPA includes officials and employees of foreign governments, state-owned enterprises, public international organizations, and political parties, as well as agents and close relatives of these individuals.
Payment The FCPA prohibits paying, offering, promising to pay (or authorizing to pay or offer) money or “anything of value.”
"Anything of Value" Anything of Value as interpreted by the FCPA includes not only cash or cash equivalents, but also trips, donations, and services. The determination is not retail value but whether the recipient subjectively attaches value to the disbursement.
In addition to the federal civil and criminal fines and penalties imposed by the FCPA itself, violators of this Georgia Tech policy may be subject to disciplinary measures imposed by the Institute. Penalties for violations will vary with the circumstances, but may include termination. If any Georgia Tech employee is unsure about whether they are being asked to make an improper payment, they should not make the payment. They should consult with their supervisor, the Georgia Tech Office of Legal Affairs, or call Georgia Tech’s Ethics Hotline at 1-866-294-5565, or report the instance using our online reporting tool if there is any doubt about the propriety of the payment. Institute policies prohibit retaliation for good faith reporting.
8.2.3 Anti-boycott Compliance Policy; Restrictive Trade Practices
Policy No: RESEARCH 8.2.3
It is the policy of Georgia Tech that that each of our employees, faculty, staff, agents, representatives, vendors and other third parties that work with GIT, GTRC and GTARC comply with all requirements set forth in Title 15 C.F.R. Part 760 (Restrictive Trade Practices or Boycotts) and all related regulations pertaining to boycotts of specific countries.
United States law prohibits any United States person from refusing, agreeing to refuse, or requiring or requesting any other person to refuse to do business with any business concern organized under the laws of a boycotted country, with any national or resident of a boycotted country, or any other person, when such refusal is the result of an agreement, requirement, or request of a boycotting country which runs counter to United States policy.
8.2.4 Trafficking in Persons Compliance Policy
Policy No: RESEARCH 8.2.4
It is the policy of Georgia Tech that that each of our employees, faculty, staff, agents, representatives, vendors and other third parties that work with GIT, GTRC and GTARC comply with all requirements set forth in 18 U.S.C. 77 §§1581 et. seq. (Peonage, Slavery, and Trafficking in Persons) and all related regulations.
This policy applies to all Georgia Tech Faculty and Staff..
8.3 F&A on International Agreements
Policy No: RESEARCH 8.3
In general, the industrial F&A rate applies to all international projects including those funded by foreign governments and foreign government entities. Any exceptions to the F&A rate for international projects need to be approved in writing by the EVPRs office. http://policies.gatech.edu/facilities-administrative-fa-cost-rates
F&A Cost Rates http://policies.gatech.edu/facilities-administrative-fa-cost-rates
8.4 Related Georgia Tech Policies and Procedures
9.0 Other Agreements
Policy No: RESEARCH 9.0
Last Revised: December 2013
Georgia Tech researchers may find it necessary to enter into agreements with entities or individuals outside Georgia Tech to facilitate a research project. Such agreements may describe understandings about roles and responsibilities in a potential research collaboration, permit the exchange of non-public proprietary information or date, or the exchange of materials for use in research. It is the policy of Georgia Tech such agreements shall:
Be negotiated by the office responsible for the agreement,
Be signed by an individual authorized by Georgia Tech to do so,
Include a start date and a termination date consistent with the project, and
Become part of the project file for research awards, for human subjects protocols, and IACUC protocols for which the agreement is relevant.
These agreements may be executed by Georgia Institute of Technology, by Georgia Tech Research Corporation, or by Georgia Tech Applied Research Corporation. These agreements themselves are not confidential although material or data exchanged pursuant to them may be considered proprietary.
It is the policy of the Georgia Institute of Technology that when proprietary information must be exchanged and Georgia Tech and an outside partner have determined to enter into a contract, a non-disclosure agreement (NDA) is used to outline the terms under which the proprietary information shall be exchanged. To initiate an NDA, please complete the NDA Routing Form, which is processed by the Office of Legal Affairs http://www.legalaffairs.gatech.edu/.
It is the policy of Georgia Tech that when faculty or staff at Georgia Tech want to send materials to or receive materials from companies, that a Materials Transfer Agreement (MTA) should be utilized. A MTA clarifies how the materials may be used and defines rights and responsibilities for both the provider and the recipient. The Office of Industry Engagement handles all incoming and outgoing MTAs. http://industry.gatech.edu/researchers/forms/
It is the policy of Georgia Tech that when two or more parties wish to engage in a collaborative effort in research, education or other activities that furthers the mission of Georgia Tech that a Memoranda of Understanding [MOU] is utilized. MOUs are legal agreements defining the roles and responsibilities. MoUs do not include terms and conditions for funding, exchange of materials, non-disclosure of proprietary information, licensing or future licensing of intellectual property, or specific research activities. MoUs may, however, describe how agreements for such activities will be negotiated and establish a timeline for doing so. For more information see http://www.legalaffairs.gatech.edu/
NDA Routing Form http://www.legal.gatech.edu/sites/legal.gatech.edu/files/assets/NDA_Routing_Form%20%28fillable-2013%29.pdf
Incoming Material Transfer Initiation Form http://industry.gatech.edu/wp-content/uploads/2012/11/MTA-Initiation-Form-INCOMING-2012-02-14.doc
Outgoing Material Transfer Initiation Form http://industry.gatech.edu/wp-content/uploads/2012/11/MTA-Initiation-Form-OUTGOING-2012-02-14.doc
Office of Legal Affairs http://www.legalaffairs.gatech.edu/
Industry Engagement – Forms and Agreements for Researchers http://industry.gatech.edu/researchers/forms/
9.1 Non-disclosure Agreements (NDA)
Policy No: RESEARCH 9.1
It is the policy of the Georgia Institute of Technology that when proprietary information must be exchanged and Georgia Tech and an outside partner have determined to enter into a contract, a non-disclosure agreement (NDA) is used to outline the terms under which the proprietary information shall be exchanged. To initiate an NDA, please complete the NDA Routing Form, which is processed by the Office of Legal Affairs http://www.legalaffairs.gatech.edu/
9.2 Material Transfer Agreements (MTA)
Policy No: RESEARCH 9.2
Material Transfer Agreement A material transfer agreement is a contract between Georgia Tech Research Corporation and another party that governs the transfer of tangible research materials including but not limited to chemicals and biological materials such as cell lines, vectors, and plasmids. The MTA defines the rights of the provider and the recipient with respect to the use of the exchanged material and any derivatives.
Office of Industry Engagement http://www.industry.gatech.edu
9.3 Memoranda of Understanding (MoU)
Policy No: RESEARCH 9.3
It is the policy of Georgia Tech that when two or more parties wish to engage in a collaborative effort in research, education or other activities that furthers the mission of Georgia Tech that a Memoranda of Understanding [MOU] is utilized. MOUs are legal agreements defining the roles and responsibilities. MoUs do not include terms and conditions for funding, exchange of materials, non-disclosure of proprietary information, licensing or future licensing of intellectual property, or specific research activities. MoUs may, however, describe how agreements for such activities will be negotiated and establish a timeline for doing so. For more information see http://www.legalaffairs.gatech.edu
01-02-2014 GTRC Rev 1.0
9.4 Software In-Licenses
9.5 Visiting Scholar Agreements
10.0 Contracting Services for other Georgia Tech Affiliated Non-profit Entities
10.1 GCMI Agreements
10.2 BOR Agreements
10.3 GATV Agreements