2.0 Pre-award Project Management and Proposal Development

2.1.1 PI/PD Eligibility

Policy No: RESEARCH 2.1.1 
Type of Policy: Administrative
Effective Date: September 2015    
Last Revised: July 2016

Policy Owner: VPR
Policy Contact: Jilda D. Garton, Vice President for Research, jilda.garton@gtrc.gatech.edu

1. Policy Statement

It is the policy of the Institute that the Project Director or Principal Investigator must be an employee of the Institute and hold a title of Academic Faculty or Research Faculty. Members of the Academic Faculty or Research Faculty who are retired but working on an hourly-as-needed basis may serve as PD/PI provided there is at least one School/Laboratory/Department willing to provide the necessary administrative commitment to permit the program to be carried out.

Externally funded sponsored projects at Georgia Tech are under the scholarly and administrative control of a member of the faculty, the Project Director or Principal Investigator (PD/PI or Co-PDs/PIs), who is responsible for the overall design, conduct and reporting of the research or other activity.

When a sponsor recognizes more than one Principal Investigators, one of them must be designated as the “Corresponding Principal Investigator” who shall be the individual who assumes institutional responsibility for the overall project and with whom the Office of Sponsored Programs will communicate for administrative matters.

At the recommendation of the appropriate School Chair/Department Head, a Post-Doctoral employee may be designated as a Co-PD/PI.

There are other requirements for the title of Principal Investigator on protocols reviewed by the Institutional Review Board, the Institutional Animal Care and Use Committee, and the Institutional Biosafety Committee.  See the Office of Research Integrity Assurance website at http://researchintegrity.gatech.edu

 

2. Scope

This policy applies to all Georgia Tech faculty and staff members.

3. Definitions

PD/PI Project Director/Principal Investigator, individual responsible for the overall design, conduct and reporting of the research or other externally funded sponsored activity.

4. Responsibilities

The PD/PI is responsible for the design, conduct, and report – both scientific or technical and fiscal – of the research. In addition they are responsible for any additional regulatory and review requirements.

Unit Financial Manager: If a PD/PI should leave the Institute (employment is terminated), the individual is no longer eligible to be a PI/PD at Georgia Tech.   The unit must notify the appropriate Contracting Officer(s) prior to the PD/PI leaving Georgia Tech to determine what course of action needs to occur for each of the particular projects.  See also policy on Disengagement of PD/PI 2.1.4 which includes unpaid leave.

5. Enforcement

Cost incurred on a project in which a PD/PI is not eligible to serve, would be reviewed for allowability of costs.  If costs incurred are then considered unbillable, the school/unit/lab would be responsible for covering those costs.

6. Related Information

Resource Link
Office of Research Integrity Assurance http://researchintegrity.gatech.edu/
Institutional Review Board http://researchintegrity.gatech.edu/about-irb/
Institutional Animal Care and Use Committee
http://researchintegrity.gatech.edu/about-iacuc/
Institutional Biosafety Committee http://researchintegrity.gatech.edu/about-ibc/
Disengagement Policy  
Transitional Faculty  
Academic & Research Faculty Titles

http://www.president.gatech.edu/sites/default/files/uploads/pdf/Faculty_Title_Lists.pdf

7. Policy History

Revision Date Author Description
12-30-2013 OSP Rev 1.0
07-28-2016 VPR Rev 1.1

2.1.2 PI/PD Responsibilities

Policy No: RESEARCH 2.1.2 
Type of Policy: Administrative
Effective Date: April 2013    
Last Revised: April 2013

Policy Owner: OSP
Policy Contact: Duane Hutchison, Director of Sponsored Programs, Duane.Hutchison@osp.gatech.edu

1. Policy Statement

The Principal Investigator (PI) is ultimately responsible for both the technical goals of a research project and the fiscal management of such project, in accordance with sponsor and Institute regulations. Such fiscal management responsibilities include, but are not limited to:

  • Preparation and submission of proposal budgets, including consideration of allowability of costs, cost sharing, commitment of effort and estimating methods
  • Authorizing only those expenses that are reasonable and necessary to accomplish the project goals and that are consistent with the sponsor’s terms and conditions
  • Seeking sponsor approval (in conjunction with the Office of Sponsored Programs), if necessary, for any significant change(s) in financial plans, rebudgeting or carryforward of funds
  • Spending no more than the amount authorized by the sponsor for the project period
  • Charging project costs directly to the project account
  • Monitoring and reviewing expenditures in a timely fashion to assure their appropriateness and correctness
  • If subrecipients are involved, reviewing the invoices of the subrecipient to ensure that expenditures are in line with performance
  • Documenting cost-share commitments
  • Identifying and accounting for any program income that accrues to the project
  • Ensuring that those to whom authority for expenditure approval is being delegated (for example, on Personnel Service Forms (PSF’s), requisitions, purchase orders, travel expense statements and check requests) be documented by the Principal Investigator in writing on the Sign-Off Form for the individual project or by documenting the department’s award file
  • Overseeing proper financial closeout of sponsored accounts, including approval and certification of the draft financial status report prepared by Grants and Contracts Accounting

It is important to emphasize that, while Principal Investigators can delegate their authority, they are still ultimately responsible for the transactions.

2. Scope

This policy applies to all Georgia Tech faculty and staff members.

3. Definitions

PD/PI Project Director/Principal Investigator, individual responsible for the overall design, conduct and reporting of the research or other externally funded sponsored activity.

4. Enforcement

Optional: To report suspected instances of noncompliance with this policy, please visit Georgia Tech’s EthicsPoint, a secure and confidential reporting system, at: https://secure.ethicspoint.com/domain/en/report_custom.asp?clientid=7508

5. Related Information

Resource Link
Sub-recipient Monitoring http://www.osp.gatech.edu/subrecipient-monitoring/

6. Policy History

Revision Date Author Description
12-30-2013 OSP Rev 1.0

2.1.3 Transitional PI/PD

Policy No: RESEARCH 2.1.3
Type of Policy: Administrative
Effective Date: April 2013    
Last Revised: April 2013

Policy Owner: OSP
Policy Contact: Duane Hutchison, Director of Sponsored Programs, Duane.Hutchison@osp.gatech.edu

1. Policy Statement

Non-employees are not generally eligible to serve as a PD/PI on sponsored projects. Requests for exceptions for a non-employee to serve as PD/PI on a specific project for a limited time may be directed to the Executive Vice President for Research. A without-compensation appointment such as a Visiting Scholar Agreement and associated agreements regarding intellectual property, liability insurance, and compliance with institute policies and procedure and related matters will be required. This exception is generally appropriate for newly hired faculty in transition from another institution and enables research to continue with minimal interruption.

2. Scope

This policy applies to all Georgia Tech faculty, staff, and visitors.

3. Definitions

PD/PI Project Director/Principal Investigator, individual responsible for the overall design, conduct and reporting of the research or other externally funded sponsored activity.

4. Policy History

Revision Date Author Description
12-30-2013 OSP Rev 1.0

2.1.4 Disengagement of PI/PD

Federal sponsoring agencies require, at a minimum, advance notification if the PD/PI is disengaged from the active direction of a project for a period of more than three continuous months or longer, plans a significant change in effort, or plans to transfer to another institution. The awarding agency must approve a replacement PD/PI who is requested by the awardee institution; departing PD/PIs often suggest or recommend such replacements. Agencies reserve the right to terminate a grant if approval for a leave of absence has not been sought or if the replacement PD/PI is not acceptable. Policy No: RESEARCH 2.1.4 
Type of Policy: Administrative
Effective Date: April 2013    
Last Revised: April 2013

Policy Owner: VPR
Policy Contact: Jilda D. Garton, Vice President for Research, jilda.garton@gtrc.gatech.edu

1. Policy Statement

It is the policy of Georgia Tech that a PI/PD must fulfill the PI/PD eligibility policy (2.1.1) and be engaged in the design, conduct and reporting of the research project.  Per CFR 200.308, in the event that the PI/PD is disengaged from the project greater than three month, or a 25 percent reduction in time devoted to the project over the current budget period, arrangements for the oversight should be sent to the appropriate Contracting Officer.

2. Scope

This policy applies to all Georgia Tech faculty, staff.

3. Definitions

 

PD/PI Project Director/Principal Investigator, individual responsible for the overall design, conduct and reporting of the research or other externally funded sponsored activity.
Disengagement Disengagement from a project by a PI or PD is defined by any of the following circumstances:
  1. Complete withdrawal or other relinquishment of active direction of the project,
  2. Complete absence of any involvement of research under the terms and conditions of the contract for a continuous period of 3 months or more,
  3. A reduction of 25% or more in time devoted to the project over the current budget period,
  4. Other relinquishment of active direction of the project,
  5. Absence from duty at Georgia Tech.

 4. Procedures

Change of PD/PI
Initiating a Change

To initiate a change, the PD/PI or, if unavailable, the School or Lab should inform OSP/IE of the request for a change in the PD/PI on a project. The PD/PI’s School or Lab must concur in the recommendation of a new PD/PI. OSP/IE will submit the request to the sponsor, if required, and will update the contract file after approval has been obtained. The curriculum vitae of the replacement PD/PI should accompany the request. In the event a sponsor objects to the nominated replacement, OSP/IE will contact the requesting unit.

Federal Sponsoring Agencies

Federal sponsoring agencies require, at a minimum, advance notification if the PD/PI is disengaged from the active direction of a project for a period of more than three continuous months or longer, plans a significant change in effort, or plans to transfer to another institution. The awarding agency must approve a replacement PD/PI who is requested by the awardee institution; departing PD/PIs often suggest or recommend such replacements. Agencies reserve the right to terminate a grant if approval for a leave of absence has not been sought or if the replacement PD/PI is not acceptable. 

 

5. Enforcement

Agencies reserve the right to terminate a grant if approval for a leave of absence has not been sought or if the replacement PD/PI is not acceptable.

6. Related Information

PI/PD Eligibility  

CFR 200.308

Uniform Requirements Subpart D – Post Federal Award Requirements 

http://www.ecfr.gov/cgi-bin/text-idx?node=se2.1.200_1308&rgn=div8     

7. Policy History

Revision Date Author Description
12-31-2013 OSP Rev 1.0
07-25-2016 OSP Rev 2.0, Prior policy name was "Absence of PI/PD"

2.1.5 Change of PI/PD

Policy No: RESEARCH 2.1.5 
Type of Policy: Administrative
Effective Date: April 2013    
Last Revised: April 2013

Policy Owner: OSP
Policy Contact: Duane Hutchison, Director of Sponsored Programs, Duane.Hutchison@osp.gatech.edu

1. Policy Statement

It is the policy of Georgia Tech that the PI/PD must be a currently active faculty member and that a substitute PI/PD be named in the event that a PI/PD is absent from regular duty, including leaves of absence, for 90 days or more. Schools, Labs and Departments must notify OSP when PD/PIs arrange to terminate their employment, take a leave of absence, or are absent for medical or family leave.

2. Scope

This policy applies to all Georgia Tech faculty, staff.

3. Definitions

PD/PI Project Director/Principal Investigator, individual responsible for the overall design, conduct and reporting of the research or other externally funded sponsored activity.

4. Procedures

Change of PD/PI
Initiating a Change To initiate a change, the PD/PI or, if unavailable, the School or Lab should inform OSP of the request for a change in the PD/PI on a project. The PD/PI’s School or Lab must concur in the recommendation of a new PD/PI. OSP will submit the request to the sponsor, if required, and will update the contract file after approval has been obtained. The curriculum vitae of the replacement PD/PI should accompany the request. In the event a sponsor objects to the nominated replacement, OSP will contact the requesting campus department.
Federal Sponsoring Agencies Federal sponsoring agencies require, at a minimum, advance notification if the PD/PI is absent or relinquishes active direction of a project for a period of three continuous months or longer, plans a significant change in effort, or plans to transfer to another institution. Repeated absences of less than 90 continuous days during a year represent a significant change in effort. The awarding agency must approve a replacement PD/PI who is requested by the awardee institution; departing PD/PIs often suggest or recommend such replacements. Agencies reserve the right to terminate a grant if approval for a leave of absence has not been sought or if the replacement PD/PI is not acceptable.

5. Policy History

Revision Date Author Description
12-31-2013 OSP Rev 1.0

2.1.6 Minimum Effort

Policy No: RESEARCH 2.1.6 
Type of Policy: Administrative
Effective Date: April 2013    
Last Revised: April 2013

Policy Owner: OSP
Policy Contact: Duane Hutchison, Director of Sponsored Programs, Duane.Hutchison@osp.gatech.edu

1. Policy Statement

Georgia Tech policy is that a Principal Investigator (PI) or other senior researcher must devote at least 1% effort – or a level of effort as required by sponsor – on an ongoing basis over the term of a sponsored project award. After the award is granted and accepted, the PI and key personnel are committed to provide that proposed level of effort over the budget period unless the sponsor permits otherwise. The committed effort, whether mandatory or voluntary, will be separately budgeted and accounted for by way of either the sponsored project or a companion cost sharing account.

What does ongoing basis mean?

Ongoing basis means per budget year over the life of the project.

Why do I need to put at least 1% effort on my projects?

The federal government expects a commitment of some effort on the part of the principal investigator for conducting work, over-seeing students, preparing deliverables, etc. during each project year. This effort may be expended during the academic year or summer and may be charged to the project or paid by the Institute and treated as cost sharing.

Can another investigator on the project satisfy this requirement?

Any senior researcher on the project can satisfy the requirement for the entire project.

Are there any exceptions?

This requirement does NOT extend to:

  • equipment grants
  • dissertation support
  • limited-purpose awards, such as travel grants, conference support, etc.

How are Calendar, Academic, and Summer months treated?

Cost shared effort is calculated the same as sponsor paid effort, so it is very important to use the calculation that pertains to your faculty appointment.

For faculty on academic year contracts, months are expressed as either academic or summer months. The academic year is defined as a nine month period. Summer is defined as a three month period. The monthly rate for AY faculty is their salary divided by 9. One month = 1/9 = 11.11%. (This also explains why faculty can earn up to 33.33% of their AY salary in summer.) To express 1% in academic or summer months, divide 1% by 11.11%, which equals 0.09 academic or summer months.

For faculty on fiscal year contracts, months are expressed as calendar months, never academic or summer. The calendar year is a 12-month period. The monthly rate for 12-month faculty is their salary divided by 12. One month = 1/12 = 8.33%. To express 1% of a 12-month contract in calendar months, divide 1% by 8.33%, which equals 0.12 calendar months.

Are there any special considerations I need to know for NSF?

Unless stated otherwise in the solicitation, cost sharing (match, in-kind, institutional commitment, etc.) is unallowable.

Are there any special considerations I need to know for NIH?

The National Institutes of Health (NIH) Grants Policy Statement notes that “‘zero percent’ effort or “as needed effort” is not an acceptable level of involvement for Key Personnel. Those that may contribute to the scientific development or execution of the project, but are not committing any specified measurable effort to the project, should be described as Other Significant Contributors (OSC) rather than as a co-investigator.

If cost shared, how is this tracked?

If the PI chooses to cost share the 1% minimum effort instead of charging it to the sponsored project, a formal companion cost share account must be established. Voluntary cost sharing of this nature will not be reflected on the invoices or financial reports submitted to our sponsor.

Is the cost share reflected on the effort report?

Companion cost share accounts are established in the official Institute records and are reflected on the employee’s Workload Assignment Report E-mailed each month from the Salary Planning & Distribution Office in Grants and Contracts Accounting.

2. Scope

This policy applies to all Georgia Tech faculty and staff members.

3. Definitions

PD/PI Project Director/Principal Investigator, individual responsible for the overall design, conduct and reporting of the research or other externally funded sponsored activity.
Ongoing Basis Ongoing basis means per budget year over the life of the project.

4. Procedures

Reporting Minimum Effort
Committed Effort Budgeting The committed effort, whether mandatory or voluntary, will be separately budgeted and accounted for by way of either the sponsored project or a companion cost sharing account. See information on the Plan Confirmation System.
Minimum Effort Training Video PD/PIs should watch the Minimum Effort Training Video, for more information on minimum effort requirements

5. Enforcement

Optional: To report suspected instances of noncompliance with this policy, please visit Georgia Tech’s EthicsPoint, a secure and confidential reporting system, at: https://secure.ethicspoint.com/domain/en/report_custom.asp?clientid=7508

6. Related Information

Resource Link
Plan Confirmation System http://policies.gatech.edu/business-finance/personal-services-reporting-using-plan-confirmation-system
Minimum Effort Training Video https://t-square.gatech.edu/access/content/group/fdd7696a-6e4b-4707-800b-bb24b208cfb7/Policy%20Folder/Minimum%20Effort/MinEffort.htm

7. Policy History

Revision Date Author Description
12-31-2013 OSP Rev 1.0

2.1.7 Maximum Effort

Policy No: RESEARCH 2.1.7  
Type of Policy: Administrative
Effective Date: December 2014    
Last Revised: December 2014  

Policy Owner: OSP
Policy Contact: Duane Hutchison, Director of Sponsored Programs, Duane.Hutchison@osp.gatech.edu

1. Policy Statement

It is the policy of Georgia Tech that sponsored effort is accounted for on a consistent and reasonable manner.  The PD/PI and key personnel may have other responsibilities that prevent them from devoting 100% of their time to sponsored program activities. Those activities which are deemed unallowable through sponsored programs under the Uniform Administrative Requirements (2 CFR 200), therefore, cannot be paid from sponsored program accounts or included in Georgia Tech’s effort reporting system (Plan Confirmation System – Salary Planning and Distribution). Sponsored activities must be reviewed regularly to ensure that adjustments are made consistently with sponsored terms and conditions.

2. Scope

This policy applies to all Georgia Tech faculty and staff members.

3. Definitions

PD/PI Project Director/Principal Investigator, individual responsible for the overall design, conduct and reporting of the research or other externally funded sponsored activity.

4. Enforcement

Optional: To report suspected instances of noncompliance with this policy, please visit Georgia Tech’s EthicsPoint, a secure and confidential reporting system, at: https://secure.ethicspoint.com/domain/en/report_custom.asp?clientid=7508

5. Related Information

Resource Link
Plan Confirmation System http://policies.gatech.edu/business-finance/personal-services-reporting-using-plan-confirmation-system

6. Policy History

Revision Date Author Description
12-31-2013 OSP Rev 1.0
11-20-2014 OSP Rev 2.0

2.2 Funding Mechanisms

Policy No: RESEARCH 2.2  
Type of Policy: Administrative
Effective Date: September 2013    
Last Revised: September 2013

Policy Owner: OSP
Policy Contact: Duane Hutchison, Director of Sponsored Programs, Duane.Hutchison@osp.gatech.edu

1. Policy Statement

It is the policy of Georgia Tech that funding for research and other sponsored activities be awarded to the legal entity designated by the Institute as follows:

GTRC/GTARC

  • Grants, contracts, and cooperative agreements with U.S. government agencies, state and local governments, and municipalities
  • Grants and contracts with foreign governments
  • Industry contracts
  • Grants with restrictions, intellectual property provisions or deliverables

Georgia Tech Foundation (GTF)

  • Philanthropic gifts, donations, bequests, endowments
  • Unrestricted grants from industry or Foundations

Georgia Tech (GT)

  • IPAs
  • Fellowships and scholarships

2. Scope

This policy applies to all Georgia Tech faculty and staff members.

3. Related Information

Resource Link
GTRC http://www.gtrc.gatech.edu/
GTARC http://www.gtarc.gatech.edu/
GTF http://www.gtf.gatech.edu/
Georgia Tech http://www.gatech.edu

4. Policy History

Revision Date Author Description
12-31-2013 OSP Rev 1.0

2.2.1 Policy on Distinguishing Gift vs. Sponsored Agreements in External Funding

Policy No: RESEARCH 2.2.1  
Type of Policy: Administrative
Effective Date: April 2013    
Last Revised: April 2013

Policy Owner: OSP
Policy Contact: Duane Hutchison, Director of Sponsored Programs, Duane.Hutchison@osp.gatech.edu

1. Policy Statement

It is the policy of Georgia Institute of Technology to manage all funds received in accordance with applicable federal, state and local laws and with the specific terms and conditions of any gift, grant and contract. The Institute’s approval, negotiation and agreement processes and mechanisms, accounting, budget practices, and oversight differ depending on whether the funds are categorized as a gift or as a sponsored award.

2. Scope

This policy applies to all Georgia Tech faculty and staff members.

3. Procedures

The terms gifts and sponsored agreements (grants, contracts or cooperative agreements) are often used interchangeably, however it is important that categorization of external funding received be undertaken with care and concern with the considerations listed below.

 

5.1 Sponsored Agreements
Sponsored projects are established when funds are awarded to the Institute by external sources in support of research, instruction, training, or services under an agreement that includes any one of the following:
  • a set of terms and conditions that binds the Institute and requires endorsement.
  • an obligation by the investigator to a line of scholarly or scientific inquiry that typically follows a plan, provides for orderly testing or evaluation, or seeks to meet stated performance goals.
  • an understanding of how funds will be used (typically includes a detailed budget that identifies expenses by activity, function, or project period).
  • a requirement for fiscal accountability as evidenced by the submission of financial reports to the sponsor, an audit provision, or the return of unexpended funds at the conclusion of the project (if the contract type is cost reimbursement).
  • an obligation to report project results
  • disposition of tangible or intangible property resulting from the project. Examples of tangible property include equipment, records, technical reports, theses or dissertations. Intangible property includes rights in data, copyrights or inventions.
  • an imposition of legal or financial considerations such as indemnification or warranties

 

5.2 Gifts (via Development Office – Foundation Relations)
A gift is an unconditional, voluntary, non-reciprocal transfer of assets (including unconditional promises) from a private entity to a not-for-profit organization. The donor may have certain expectations but there cannot be any actual control over expenditure of funds or any quid pro quo. The donor may not benefit from the execution of the gift. Gift accounts are established when funds are received from outside sources that are for unrestricted use and are free of the constraints or obligations of sponsored projects as described above. Acceptance of a gift usually precludes any accounting and reporting by the Institute.

Terms:

  • In no instance should federal flow-through be considered a “gift.”
  • A gift does not change any research compliance obligations (protocol submissions) the PD/PI has in terms of their research. [See Section 3. for details]

If you have any questions regarding the above terms, please contact the Office of Sponsored Programs at 404.894.6937 or the Office of Foundation Relations at 404.894.2481.

4. Related Information

Resource Link
OSP http://www.osp.gatech.edu/
GTF http://www.gtf.gatech.edu/

5. Policy History

Revision Date Author Description
12-31-2013 OSP Rev 1.0

2.2.2 Policy on Limited Submissions (Restricted Program)

Policy No: RESEARCH 2.2.2  
Type of Policy: Administrative
Effective Date: September 2013    
Last Revised: September 2013

Policy Owner: OSP
Policy Contact: Duane Hutchison, Director of Sponsored Programs, Duane.Hutchison@osp.gatech.edu

1. Policy Statement

It is the policy of Georgia Tech that it is the principal investigator's responsibility to review the solicitation they are applying for and notify the EVPR & OSP if s/he intends to make an application to a limited submission opportunity.   A Limited Submission is a program in which a sponsor restricts the number of proposals the Institute may submit in response to an announcement. An internal screening process has been set up to select the candidate(s) who may submit a proposal to the sponsor which is administered by the Office of the Executive Vice President for Research. Principal Investigators/Directors must coordinate with the appropriate Contracting Officer in Sponsored Programs.

2. Scope

This policy applies to all Georgia Tech faculty and staff members.

3. Definitions

EVPR Executive Vice President for Research
OSP Office of Sponsored Programs
Limited Submission A program in which a sponsor restricts the number of proposals the Institute may submit in response to an announcement.

4. Related Information

Resource Link
EVPR http://www.gatech.edu/research/evpr
EVPR – Limited Submissions http://research.gatech.edu/faculty-and-staff-resources

5. Policy History

Revision Date Author Description
12-31-2013 OSP Rev 1.0

2.2.3 Teaming Agreements

Policy No: RESEARCH 2.2.3  
Type of Policy: Administrative
Effective Date: July 2013    
Last Revised: July 2013

1. Policy Statement

It is the policy of Georgia Tech that when faculty and staff are establishing a working relationship with another company or organization for the preparation of a specific proposal to a potential sponsor of research a Teaming Agreement is utilized. The Teaming Agreement delineates the responsibility of each party in preparing the proposal. Furthermore, the Teaming Agreement establishes the intent of the parties to share the work required under the resulting contract, should the team be successful. Upon award of the contract, contract terms and conditions take effect and the Teaming Agreement expires. Teaming Agreements are exclusive or non-exclusive. In an exclusive Teaming Agreement, Georgia Tech (usually including the Institute, GTRC, and GTARC) can only submit a proposal with the designated prime contractor in response to the solicitation. Georgia Tech restricts its acceptance of exclusive Teaming Agreements and will not accept a campus-wide exclusivity provision and limits the exclusivity provision to a single unit or Project Director/Principal Investigator (PD/PI). Georgia Tech prefers non-exclusive teaming arrangement to maximize opportunities for Georgia Tech researchers in different parts of the Institute to team with additional parties or to submit a proposal independently in response to a Request for Proposal.

2. Scope

This policy applies to all Georgia Tech faculty and staff members.

3. Procedures

To establish a Teaming Agreement, the PD/PI must complete and sign a Teaming Agreement Routing and Analysis Form and submit the form to OSP to negotiate the terms of the Agreement.

4. Forms

Title Link
Teaming Agreement Request (pdf) http://www.osp.gatech.edu/forms/teaming.pdf
Teaming Agreement Request (Word) http://www.osp.gatech.edu/forms/teaming.doc

5. Related Information

Resource Link
OSP http://www.osp.gatech.edu/

6. Policy History

Revision Date Author Description
1-2-2014 OSP Rev 1.0

2.2.4 Interagency Personnel Act (IPA) Agreements

Policy No: RESEARCH 2.2.4  
Type of Policy: Administrative
Effective Date: October 2013    
Last Revised: October 2013

Policy Owner: OSP
Policy Contact: Duane Hutchison, Director of Sponsored Programs, Duane.Hutchison@osp.gatech.edu

1. Policy Statement

It is the policy of Georgia Tech to utilize an Interagency Personnel Act (IPA) agreement to facilitate Federal-State-Local cooperation through the temporary assignment of Georgia Tech academic and research faculty to governmental agencies to provide skills that meet a national need, to engage in policy advice and formation in the area of the faculty member’s scholarship, or gain new research insights or perspectives. Georgia Tech encourages faculty to consider IPA service when such service is consistent with the mission of the Institute.

Appropriate Use: An IPA permits the temporary assignment of skilled career employees to positions with Federal Agencies, State, local governments, Indian tribes, institutes of higher learning and other eligible organizations as defined in 5 CFR 334. The assignment must be for specific work beneficial to both entities. The assignment should be used to achieve one of the following objectives:

  1. For the strengthening of management capabilities of the Federal Agency and Georgia Institute of Technology.
  2. Assisting with the transfer and use of new technology and approaches to solving governmental problems.
  3. Serving as a means of involving non-federal officials in developing and implementing Federal programs.
  4. Providing developmental experience to enhance job performance of the IPA Assignees.

Career employees may participate on an IPA provided that they have been employed in a regular career position at Georgia Tech for a minimum of 90 days prior to beginning an IPA assignment and their assignment meets one of the objectives stated above. The Georgia Tech Assignee may not be employed by Georgia Tech for the sole purpose of becoming an eligible participant of the IPA program. Employees hired for a 90 day research contract for a particular federal government agency, to be sent on an IPA assignment to that federal government agency are not career employees for the purposes of this policy. The Provost may waive the provisions of this paragraph as a policy exception as provided below.

During the period of an IPA assignment a Georgia Tech Assignee will remain a regular employee of Georgia Tech, and will remain bound by Georgia Tech policies and procedures and the terms of the employment agreement for all purposes including but not limited to, salary increases, benefits and the assignment of Intellectual Property to GTRC.

An assignment may be for a period of 2 years. The assignment may be extended for up to another 2 years with the approval of all parties. Extensions beyond a 4 year period require additional justification and written approval. In no event shall a Georgia Tech Employee remain on a continuous IPA Assignment for more than 6 years.

An IPA assignment may be terminated upon request of either party upon 30 days advance notice or automatically when the employer/employee relationship ceases to exist between the IPA assignee and his/her original employer as provided in 5 CFR 334.107. At the end of the IPA assignment, the IPA Assignee should return to the career position such employee held at Georgia Tech prior to the IPA.

Employees on IPA assignment are subject to the Ethics in Government Act of 1978, 5 CFR Chapter 735 which regulates employee responsibilities and conduct as well as any agency standards of conduct.

2. Scope

This policy applies to all Georgia Tech faculty and staff members.

3. Procedure

After a Georgia Tech Department Head determines that it is appropriate to place an employee on an IPA, the Department Head will provide the Office of Human Resources (OHR) and the Office of Sponsored Programs (OSP) with all information regarding the terms of the assignment, such information includes a routing sheet, proposal, copy of the IPA Agreement and budget information.

The IPA Agreement will be negotiated and processed by OSP. Any terms in the Agreement relating to personnel administration should be reviewed and approved by OHR in advance of action being taken. The Agreement should describe responsibilities and obligations of all parties.

The Agreement shall be signed on behalf of Georgia Tech, The Federal Agency and the IPA Participant.

Federal Appropriations are available to pay or reimburse, a federal, state or local government employee in accordance with the provisions of the IPA Act. An IPA Proposal or Agreement containing any cost recovery not specifically authorized by the IPA Act or IPA Regulations will not be processed without the prior written approval of Legal Counsel for the Federal Agency receiving the IPA assignee. The Georgia Tech Office of Legal Affairs will obtain the necessary written approval from the Federal Agency’s legal counsel.

Any exceptions to this Policy or Procedure must be approved by the Provost in advance writing.

Applicable Rules and Regulations:

4. Related Information

Resource Link
OSP http://www.osp.gatech.edu
U.S. Office of Personnel Management Intergovernmental Personnel Act Mobility Program http://www.opm.gov/programs/ipa/Mobility.htm

5. Policy History

Revision Date Author Description
1-2-2014 OSP Rev 1.0

2.3 Budget Development

It is the policy of Georgia Tech that the project budget provides a sponsor and the Institute with a complete financial picture of the proposed project and follow Cost Accounting Standards (CAS). Budgets are reviewed by the sponsor to verify if the costs are allowable, reasonable and necessary to carry out the proposed project, and if it conforms to the sponsor’s instructions and/or format. The cost elements of a budget must be those necessary to accomplish the proposed activity. Cost estimates of individual line items should be carefully calculated so that the requested funds are adequate, but not excessive. Click here for more information.

2.3.1 Tools

Budget Example & Wizard

We have developed a wizard to assist you with preparing your budget. This wizard will also route your proposal, additionally your CO can assist you with the budget if you provide them access to the budget. Agency (Form) Budget (the budget example is a .pdf file and includes information on how to calculate F&A

Agency Specific Guidelines

Guidelines for Department of Defense Cost Proposals

Service Center Rates

View Service Center Rates (pdf)

2.3.2 Tuition Policy

Policy No: RESEARCH  2.3.2
Type of Policy: Administrative
Effective Date: December 2013    
Last Revised: May 2013

Policy Owner: OSP
Policy Contact: Duane Hutchison, Executive Director, duane.hutchison@osp.gatech.edu

1. Policy Statement

Revised November 2007, Georgia Tech developed and implemented a plan in 1996 named the Graduate Student Tuition Remission Plan (GSTRP). This plan was reviewed and approved by the Office of Naval Research (ONR). Since that time annual rate studies have been provided to ONR that are audited by the Defense Contract Audit Agency (DCAA) to produce approved rates for each fiscal year. The key features of this program are:

  1. The Tuition Remission Award is managed through our graduate coordinators in each academic department. Upon approval of the appointment as a Graduate Research Assistant or Graduate Teaching Assistant (GRA/GTA) the home department of the student will enter a waiver code into the student system and then a credit is processed to the student's account for the fee reduction for the academic term (set on an annual basis). All GRA/GTA appointments are processed in this manner. The fee reduction is charged against one of two ledger accounts based on whether the reduction is for in-state or out-of-state tuition.
  2. Part of the requirement for the appointment as a GRA/GTA includes the appointment to provide services to GIT at 33% to 50% time, registered for at least 12 credit hours of which 9 are letter grade/pass/fail. GRA/GTA's must be hired in the appropriate job code for a GRA/GTA in Human Resources. These appointments are made by the academic departments and the charges will be made against appropriate benefiting activity.
  3. On a monthly basis, the Salary Planning and Distribution (SPD) System identifies the GRA/GTA payroll charges to sponsored projects and charges the sponsored project the approved monthly rate. If the student provides services to multiple projects, the charge is prorated. The charge to the sponsored project is offset by a credit to a Revenue Account- Sponsored Funded Fees.
  4. Waivers of GSTRP charges to sponsored projects are considered by the Office of the Provost when required. Any such request should identify the unique features of the sponsored project that might warrant this special accounting treatment.

Tuition Remission Escalation Factor

Based on the proposed Fiscal Year (FY) 2013 Graduate Student Tuition Remission Program (GSTRP) rate proposal, please continue to use the 8% tuition remission escalation factor for fiscal years beyond FY2013.

2. Scope

This policy applies to all schools and Graduate Research and Teaching Assistants.

3. Definitions

GRA/GTA Graduate Research/Teaching Assistants

4. Related Information

Resource Link
Current and prior year approved GSTRP rates may be accessed from the Grants and Contracts Accounting web site: http://www.grants.gatech.edu/cost_fa_rate_studies.php
xpanded graduate student policies, eligibility/appointment information and FAQs may be accessed from the Georgia Tech Graduate Studies web site: http://www.gradadmiss.gatech.edu/institute_policies/.

5. Policy History

Revision Date Author Description
12-31-2013 OSP Rev 1.0

2.3.3 Allowable Direct Costs

Additional Resources: 

Policy No: RESEARCH  2.3.3
Type of Policy: Administrative
Effective Date: December 2013    
Last Revised: November 2014

Policy Owner: OSP
Policy Contact: Duane Hutchison, Executive Director, duane.hutchison@osp.gatech.edu

1. Reason for Policy

All costs charged to any sponsored projects must meet the standards established in the Uniform Administrative Requirements (2 CFR 200) and must meet the following criteria to be allowed:

  • Reasonableness - at the time the costs was incurred, a prudent person would have made a similar decision (in relationship to the goods or services purchased and the amount paid).
  • Allocable to sponsored agreements - the goods or services are chargeable to sponsored research projects (either directly or indirectly) in relationship to the benefits received (an equitable allocation process).
  • Consistent treatment - the cost is consistently treated as either a direct cost or an F&A cost by all university departments.

2. Policy Statement

Direct costs are those that can be specifically identified with a single sponsored project. These costs usually include salaries/wages, fringe benefits, contracted services, supplies, equipment, travel, communication*, tuition remission and participant support costs. In most instances the direct costs should be reflected by major budget categories with an attached narrative detailing how the costs were calculated. The budget narrative should contain enough detail for the sponsor to verify the appropriateness of the costs. (*see definition of communication costs listed below.)

  1. Salaries and Wages – The budget detail should include the title, name and percentage of time/number of months summer or academic for each person listed on the budget. If a specific technician, graduate student or other student worker has not been identified at the time of budget preparation the salary amount for those categories should be consistent with those normally paid by the department or if you are unsure of the rate then use the Institute average category.

    ESTIMATING YOUR BUDGET: Salary compensation should be based on the percent of time the employee will spend on the project.
    Example: (monthly salary rate) x (___% of effort) x (no. of months).

    If the project is multi-year, most people include at least a 3% annual increase effective July 1 of every year. Salaries posted to a sponsored program will be based upon actual salaries not projected salaries. All budgets have their limitations! If you budget for a graduate student and end up hiring a post doc instead; keep in mind that there are additional fringe benefits that you MUST pay out of the budget for a post doc!

  2. Fringe Benefits (Current Rates) – Ineligibility for Fringes: Undergraduate Students* and Graduate Students.* Fringe Benefits are calculated according to the Rate Agreement for the Georgia Tech Research Corp. negotiated with our cognizant federal agency, the Office of Naval Research and include FICA, unemployment and workman’s compensation, retirement and group health insurance. [*Note: Salaries and wages of employees who participate in all or part of the social security program but do not participate in retirement or group health and life insurance plans. This rate covers (i) temporary classified persons, (ii) temporary academic or research professionals not eligible for the retirement programs or group health or life insurance coverage, (iii) student employees who are registered for less than a full academic load and (iv) part-time employees employed for less than 50 percent of a full work schedule.]
  3. Equipment – Only items costing $5,000 or more with a useful life of two years or more should be listed here. Cost estimates should include any installation, tax and shipping costs associated. The need for the equipment should be adequately justified on the budget explanation page. General purpose equipment, such as computer equipment, is not eligible for support unless primarily or exclusively used in the actual conduct of scientific research. [Note: Restriction on General Purpose Office Equipment - The Office of Management and Budget does not allow purchase of general purpose office equipment. According to OMB Circular A-21, "'General purpose equipment' means equipment, the use of which is not limited only to research, medical, scientific or other technical activities. Examples of general purpose equipment include office equipment and furnishings (chairs, file cabinets, etc.), air conditioning equipment, reproduction and printing equipment, motor vehicles, and automatic data processing equipment." These are only allowable if they have been specifically identified and approved by the sponsoring agency in advance of purchase.]
  4. Travel – Proposed travel should include number of trips planned, number of persons for each trip, conference name, location, purpose and cost. The purpose of the travel should be adequately justified on the budget explanation page. Many federal agencies require utilization of U.S. Flag Carriers on international flights. Be sure to check your guidelines for details. URL for Federal Per Diem Rates: http://www.state.gov
  5. Participant/Trainee Support Costs – Typically used on federal awards for the costs of the travel, meals and lodging of project participants (not GaTech employees); i.e., the trainees at a science education conference or a stipend for participants who complete project survey. Facilities and administration costs are not charged on participant support costs on federal awards.
  6. Other Direct Costs – Other Direct Costs include materials and supplies, publication costs, consultant services, long distance telephone/fax and subcontracts. All direct costs should be itemized. The following list explains the most commonly requested ‘other direct costs.’
    1. Materials And Supplies – Indicate in general terms the type of expendable materials and supplies required along with their estimated costs. The breakdown should be more detailed when the cost is substantial. General purpose office supplies are not to be included in this category as they are covered by indirect costs. i.e., local phone calls!
    2. Publication Costs – Funds may be requested for the costs of preparing, publishing, or otherwise making available the findings and products of the work conducted under the research project, including costs of reports, reprints, or page charges.
    3. Consultant Services – Anticipated consultant services should be justified and information furnished on each individuals’ expertise, primary organizational affiliation, daily compensation rate, and number of days of expected services. We recommend that a letter be included in the proposal from the consultant stating their willingness to participate, as well as their actual daily rate with proper documentation. Some federal agencies will limit the maximum daily compensation rate paid to off-campus consultant services – check with your Contracting Officer to verify limitations.
    4. Subawards – Subawards should be disclosed in the technical section of the proposal to show a clear delineation of the work to be performed by each organization. The total amount for proposed subawards should appear under “Other Direct Costs” in the master budget for the project. Each “sub” should follow the following guidelines:
      F&A is charged on the first $25,000 of each subaward.
      Formal proposal signed by authorized representative with a statement of work and budget are required to be submitted to the Contracting Officer. See Interdivisional Transfer for information on issuing subprojects between Georgia Tech Departmental Units & GTRI.
  7. Cost Sharing – If cost sharing is to be included in a proposal then the sources of cost sharing and matching must be identified at the proposal stage with appropriate forms identifying such.  Only mandatory cost sharing is tracked by OSP and G&C accounting.
  8. Tuition (Link to F&A Rates) – Tuition for graduate students is normally included in the budget.
  9. Communication – This includes telephone communication, postage, FedEx, advertising and associated costs that are non-routine and pose an extraordinary need (i.e., a phone bank for a project that includes a survey administered via the telephone.)
  10. Repairs and Maintenance – This includes costs of maintaining property, i.e., maintenance contracts for office equipment and repairs of that equipment.
  11. Interdivisional Transfers – Interdivisional Transfer is utilized when subprojects are established between Georgia Tech and GTRI. The subproject recipiant details their portion of work and the cost associated with it (both direct and indirect). The cost is then loaded into an “other” category and added to the total budget. Because it is an internal transfer, these costs would not be included in the F&A cost calculation.

3. Scope

This policy applies to all Georgia Tech Faculty and Staff.

4. Definition

Direct Costs Costs that can be specifically identified with a single sponsored project. These costs usually include salaries/wages, fringe benefits, contracted services, supplies, equipment, travel, communication, tuition remission and participant support costs.

4. Related Information

Resource Link
Equipment on Sponsored Projects http://www.osp.gatech.edu/equipment/
Grants & Contracts Accounting – Allowable Expenses/td> http://policylibrary.gatech.edu/allowable-expenses

5. Policy History

Revision Date Author Description
12-31-2013 OSP Rev 1.0
11-20-2014 OSP Rev 2.0

2.3.4 Unallowable Costs

Policy No: RESEARCH 2.3.4 
Type of Policy: Administrative
Effective Date: December 2013    
Last Revised: November 2014

Policy Owner: OSP
Policy Contact: Duane Hutchison, Executive Director, duane.hutchison@osp.gatech.edu

1. Policy Statement

Unallowable Costs may not be charged as direct costs on sponsored projects including cost share accounts or as indirect costs. Certain costs incurred by higher education institutions cannot be charged to federally sponsored research projects, either as a direct or F&A cost. These costs are referred to as unallowable costs. The Uniform Administrative Requirements (2 CFR 200), Subpart E - Cost Principles, provides guidance for determining basic considerations such as allowability of costs. The following specific items cannot be included in the F&A rate calculation or charged as direct costs to federal research:

  • Advertising (displays, exhibits),
  • Alcoholic Beverages,
  • Alumni Activities,
  • Bad Debts (noncollectable invoices),
  • Commencement costs, Donations and Contributions,
  • Entertainment Expenses,
  • Fund Raising,
  • Fines and Penalties,
  • Goods and Services for Personal Use,
  • Housing and Personal Living Expenses,
  • Memberships in Social Organizations,
  • Lobbying, Selling/Marketing of Goods and Services

Federal agencies awarding projects to institutions may apply further restrictions on the allowability of certain costs.

Other Unallowable Costs

Trafficking in Persons
In compliance with the International Trafficking in Persons Act, no sponsor funds may be used to engage in or support trafficking in persons, procurement of sexual acts, or forced labor.

Lobbying
No sponsor funds may be used to effect any oral, written or electronic communications to a covered Legislative or Executive Branch Official in an attempt to influence the formulation, modification, or adoption of Federal legislation; the administration or execution of a Federal program or policy; formulation, modification, or adoption of a Federal rule, regulation, Executive order, policy or position of the United States Government; or the nomination or confirmation of a person subject to confirmation by the Senate.

2. Scope

This policy applies to all Georgia Tech Faculty and Staff.

3. Enforcement

To report suspected instances of noncompliance with this policy, please visit Georgia Tech’s EthicsPoint, a secure and confidential reporting system, at: https://secure.ethicspoint.com/domain/en/report_custom.asp?clientid=7508

4. Policy History

Revision Date Author Description
12-31-2013 OSP Rev 1.0
11-20-2014 OSP Rev 2.0

2.3.5 Subaward Considerations

Additional Resources: 

Policy No: RESEARCH 2.3.5
Type of Policy: Administrative
Effective Date: December 2013    
Last Revised: May 2013

Policy Owner: OSP
Policy Contact: Duane Hutchison, Executive Director, duane.hutchison@osp.gatech.edu

1. Policy Statement

Subrecipients, including subcontractors and consultants, must be identified in the proposal budget to ensure that costs are calculated correctly and so that appropriate documentation can be included in the proposal. Sponsor approval is required prior to entering into a subcontract. If it is a vendor relationship, no sponsor approval is required unless specified in the award terms and conditions.

2. Scope

This policy applies to all Georgia Tech Faculty and Staff.

3. Procedures

5.1 Specific Considerations
What is a Subagreement?

Subrecipients, including subcontractors and consultants, must be identified in the proposal budget to ensure that costs are calculated correctly and so that appropriate documentation can be included in the proposal. Sponsor approval is required prior to entering into a subcontract. If it is a vendor relationship, no sponsor approval is required unless specified in the award terms and conditions.

Subrecipients vs. Vendors

It is not always clear when the pass-through entity should award federal funds to a subrecipient via a subcontract or subgrant, or a procurement contract to a vendor. A subrecipient is a state or local government, college, university or nonprofit organization that expends federal awards received from a pass-through entity to carry out a federal program. Under a subaward, a subrecipient generally has a specific scope of work to conduct in conjunction with the proposed research. The PI with the subaward is accountable for programmatic progress as well as for following federal guidelines.

In contrast, a vendor is a dealer, distributor, merchant or other seller providing goods or services that are necessary for conducting a federal program. These goods or services may be for an organization’s own use or for the use of beneficiaries of the federal program. They provide the service as part of their normal business operations. They provide similar services to many different purchasers

Under a procurement contract, a vendor provides goods or services that are auxiliary to the proposed research.

What constitutes a Consultant?

A Consultant Agreement is issued to either a company or to an individual who is clearly a bona fide consultant (expert advisor) who pursues this line of business for him/herself. The consultant is paid for his/her time at the fixed daily (or hourly) rate of compensation specified in an agreement. Consulting effort is usually limited to the term and the pay line is usually determined by a rate per day, which includes travel, expenses, and any other overhead. Consultants set their own hours, use their own equipment and materials, choose their work methods, and are responsible for paying taxes on their earnings as consultants. They will receive Tax Form 1099 from Georgia Tech. Furthermore a consultant’s effort is considered “work for hire” and therefore all intellectual property and copyrightable information produced is assigned to GTRC.

The primary difference is that a subcontract is almost invariably with another institution or with a company, and a consulting agreement is almost invariably with an individual who is not a Georgia Tech employee and has not been employed by Georgia Tech for at least 1 year.

Subagreements under Federal Contracts (Not Grants)

In order to establish a subrecipient relationship under federal contracts, the Federal Acquisition Regulation (FAR 35.009) states that “it is important that the contractor not subcontract technical or scientific work without the contracting officer’s advance knowledge.” The FAR goes on to state that “during the negotiation of a cost-reimbursement R & D contract, the contracting officer shall obtain complete information concerning the contractor’s plans for subcontracting any portion of the experimental, research, or development effort.” Typically approval is granted when a subrecipient is included in the proposal to the Government and an award is made based on that proposal. If a subrecipient relationship is not approved as part of a proposal submitted to the agency, written sponsor approval would be required before any unbudgeted subrecipient subcontract could be established.

4. Related Information

Resource Link
Board of Regents Consulting Policies http://www.usg.edu/policymanual/section8/policy/C224/#p8.2.15_outside_activities

5. Policy History

Revision Date Author Description
12-31-2013 OSP Rev 1.0

2.3.6 Facilities & Administrative Costs (F&A, Indirect Costs, or Overhead)

Policy No: RESEARCH  2.3.6
Type of Policy: Administrative
Effective Date: November 2014
Last Revised: June 2015

Policy Owner: OSP
Policy Contact: Duane Hutchison, Executive Director, duane.hutchison@osp.gatech.edu

1. Policy Statement

It is the policy of Georgia Institute of Technology to recover Facilities & Administrative costs on all of its sponsored programs. When estimating the proposal cost of a sponsored activity, the appropriate Facilities and Administrative (F&A) rate is applied. This provides a means for Georgia Tech to recover the F&A (indirect) costs which are incurred by the total sponsored activity but which cannot be directly assigned to an individual project. Georgia Tech and GTRC negotiate Facilities & Administrative Costs rates for research performed by Resident Instruction with the Office of Naval Research which is the cognizant audit agency for the institution. Rates are based on an audited cost proposal. Facilities & Administrative Costs are consistently applied to sponsored projects in accordance with the requirements of the Uniform Administrative Requirements (2 CFR 200), Subpart E.

 

Types of Facilities & Administrative Rates
(a.k.a.: Overhead or Indirect Costs)
For current rates: www.osp.gatech.edu/rates/
Research Capped (Federal Grants and Non-DoD Contracts) Applies to all DoD contracts awarded before November 30, 1993, all Non-DoD Instruments, and all DoD Grants.
Research Uncapped (DoD Contracts & Industry Subcontracts under DoD) Applies only to DoD contracts awarded on or after November 30, 1993 in accordance with and under the authority of DFARS 231.303(1)
Industrial (Non-Federal, International, and Non-Georgia State and Local Government Entities) Applies to projects funded by for-profit entities and others that are not U.S. entities described in the General Exception.
Other Sponsored Applies to projects that benefit the public with activities other than research & development and instruction. Used for projects funded by the State and Local Government Entities in Georgia.
Instruction Applies to projects that primarily involve the delivery of educational programs; teaching.

Except as noted 2.5.3 below, any request to cost share F&A costs either fully or partially must be approved by the Executive Vice President for Research. A justification must be provided for consideration. Cost share request forms can be found at http://www.osp.gatech.edu/forms/costshareform.pdf.

2. Scope

This policy applies to all Georgia Tech Faculty and Staff.

3. Forms

Title Link
Cost Shate Request Forms http://www.osp.gatech.edu/forms/costshareform.pdf

4. Related Information

Resource Link
Current F&A Rates: http://www.osp.gatech.edu/rates/
Information on how F&A rates are calculated: www.cogr.edu
Information about Georgia Tech financial operations and F&A recovery: http://policies.gatech.edu/facilities-administrative-fa-cost-rates
F&A Rate Agreements for Current and Previous Years: http://grants.gatech.edu/main/policies-procedures-and-forms/facilities-and-administrative/

5. Policy History

Revision Date Author Description
12-31-2013 OSP Rev 1.0
11-20-2014 OSP Rev 2.0
06-03-2015 OSP Rev 3.0

2.3.6.1 Other Sponsored Activities and State and Local Government Overhead Rates

Policy No: RESEARCH 2.3.6.1 
Type of Policy: Administrative
Effective Date: December 2013    
Last Revised: September 2013

Policy Owner: OSP
Policy Contact: Duane Hutchison, Executive Director, duane.hutchison@osp.gatech.edu

1. Policy Statement

Georgia Tech applies the Other Sponsored Activities (OSA) F&A rate to projects that benefit the public through activities other than research, development, or instruction. Other Sponsored Activities make available to the public various resources and special capabilities that exist within the institution. OMB Circular A-21, Cost Principles for Educational Institutions, describes Other Sponsored Activities to include ". . . . programs and projects financed by Federal and non-Federal agencies and organizations which involve the performance of work other than instruction and organized research. Examples of such programs and projects are health service projects, and community service programs…." These activities are intended to be available to, and to benefit, "individuals and groups," the "public" and "various sectors of the community." As a result, the application of the OSA Facilities & Administrative rate hinges upon a determination of who will benefit from the activities associated with a particular project, regardless of the source of funding for that project.

In addition to those activities that qualify for the OSA rate based on the above guidelines, the following specific activities will be allowed to use the OSA rate (by direction of Georgia Tech's administration):

  • Advanced Technology Development Center (ATDC) - (ATDC company’s campus service accounts only)
  • Georgia Internships for Teachers (GIFT) Program regardless of funding source
  • K-12 Education Community

For activities meeting the above criteria and for the specific activities noted, Contracting Officers in the Office of Sponsored Programs are authorized to approve use of the OSA rate. Otherwise, use of the rate requires approval by the Vice President for Research.

2. Scope

This policy applies to all Georgia Tech Faculty and Staff.

3. Policy History

Revision Date Author Description
01-02-2014 OSP Rev 1.0

2.3.6.2 Rate Used for Projects Funded by the State of Georgia and Georgia Local Governments

Policy No: RESEARCH 2.3.6.2  
Type of Policy: Administrative
Effective Date: December 2013    
Last Revised: September 2013

Policy Owner: OSP
Policy Contact: Duane Hutchison, Executive Director, duane.hutchison@osp.gatech.edu

1. Policy Statement

Georgia Tech uses the Other Sponsored Programs rate that is negotiated with the Office of Naval Research as its "Georgia State and Local Government" rate regardless of the nature of the activity. It will automatically change for future periods to remain equal to the prevailing OSA Facilities & Administrative rate. This rate is also applicable to Georgia's county and city agencies, and to all Georgia colleges and universities when using their own funds.

2. Scope

This policy applies to all Georgia Tech Faculty and Staff.

3. Policy History

Revision Date Author Description
01-02-2014 OSP Rev 1.0

2.3.6.3 Policy on Reduced F&A and General Exception

Additional Resources: 

Policy No: RESEARCH 2.3.6.3 
Type of Policy: Administrative
Effective Date: December 2013    
Last Revised: September 2013

Policy Owner: OSP
Policy Contact: Duane Hutchison, Executive Director, duane.hutchison@osp.gatech.edu

1. Policy Statement

Georgia Tech's policy is to recover F&A on sponsored projects. As a General Exception, Georgia Tech will accept a limitation on F&A recovery in the following situations:

  1. When a statutory limitation is imposed by the U.S. Congress for certain U.S. Government-funded programs, or
  2. When a regulatory restriction is imposed by a U.S. Government agency and is published in the solicitation for proposals, program guidelines, or RFP, or
  3. A U.S. domestic, non-profit (501.c.3) charitable organization imposes a limit that is published in its program solicitation and uniformly applied to all grantees.

Note that the industrial rate generally applies to projects funded by foreign governments, foreign governmental entities, and industry.

In agreeing to a reduced F&A rate, Georgia Institute of Technology is agreeing to cost share real costs associated with sponsored activities

2. Scope

This policy applies to all Georgia Tech Faculty and Staff.

3. Forms

Title Link
OSP Forms Library http://www.osp.gatech.edu/forms-library/

4. Policy History

Revision Date Author Description
01-02-2014 OSP Rev 1.0

2.3.6.4 Waiver of F&A Reimbursement

Additional Resources: 

Policy No: RESEARCH 2.3.6.4  
Type of Policy: Administrative
Effective Date: December 2013    
Last Revised: September 2013

Policy Owner: OSP
Policy Contact: Duane Hutchison, Executive Director, duane.hutchison@osp.gatech.edu

1. Policy Statement

An F&A waiver must be obtained from the Executive Vice President of Research prior to proposal submission if less than the full applicable F&A rate is to be used in a proposal submitted to a sponsor or obtained prior to acceptance of an award if the awarded rate is less than the full applicable rate. General exceptions to the policy can be found at 2.3.6.3

Cost share request forms can be found at OSP Forms Library

2. Scope

This policy applies to all Georgia Tech Faculty and Staff.

3. Forms

Title Link
OSP Forms Library http://www.osp.gatech.edu/forms-library/

4. Related Information

Resource Link
Policy on Reduced F&A and General Exception http://policies.research.gatech.edu/2363-policy-reduced-fa-and-general-exception

5. Policy History

Revision Date Author Description
01-02-2014 OSP Rev 1.0

2.4 Policy on Routing

Policy No: RESEARCH 2.4  
Type of Policy: Administrative
Effective Date: October 2013    
Last Revised: October 2013

Policy Owner: OSP
Policy Contact: Duane Hutchison, Director of Sponsored Programs, Duane.Hutchison@osp.gatech.edu

1. Policy Statement

It is the policy of Georgia Tech that all proposals for sponsored funding must be transmitted to the Office of Sponsored Programs using the Georgia Institute of Technology Sponsored Program / Research Proposal Authorization Routing Form. All information blocks on the front of the form must be completed and all required approvals on the back of the form must be obtained by the proposed Project Director/Principal Investigator. The routing form is also required for electronically routed proposals, such as those submitted to the National Science Foundation (NSF) via FastLane.* In these cases, the PD/PI is to provide the properly signed routing form to the Contracting Officer prior to the NSF deadline.

Policies on submission:

  • The Electronic Submission Policy: proposals that are to be submitted by an electronic means need to be ready to be released to the sponsor 24 hours prior to submission deadline and additionally, it needs to be ready for OSP review 2 days prior to that. This includes electronic submissions via a dedicated online system or via email.
  • Paper copies must be in OSP by 2pm the day it needs to be submitted otherwise it will be processed the next business day.

Signature Authority & Proposal Submission 

The Office of Sponsored Programs is the unit legally authorized to approve proposals and negotiates awards on behalf of Georgia Tech Research Corporation (GTRC) and Georgia Tech Applied Research Corporation (GTARC). OSP is also the Authorized Organizational Representative to Sponsors that require such a role. The PI or Project Director is not considered an authorizing official and cannot legally sign award documents. For more information, go to: http://www.osp.gatech.edu/proposal-process/

2. Scope

This policy applies to all Georgia Tech faculty and staff members.

3. Procedures

3.1 Routing Procedures

Pre-proposals, Letters of Intent (LOI) & White Papers only need to be reviewed and approved by OSP if:

1. The pre-proposal, LOI & White Paper must be submitted by an authorizing official (AOR) through an electronic submission process;

2. A detailed budget is required; or

3. The sponsor requires that the pre-proposal be signed by an authorizing official.

In addition to a new proposal submission, an OSP Routing form is required for the following types of proposals:

  • Non-Competing Continuations
  • Supplements
  • Competitive Renewals
  • SubAwards
  • Budget Reductions/Additions of 10% or greater requires a new routing form
  • Progress Reports that include a budget for a subsequent period of time

Requests for carryover of funds from one budget period to another, no-cost extensions, and requests to rebudget after the grant has been funded do not require a routing form. Non-financial requests that require the signature of the institutional official also do not require a routing form.

 

 

3.2 Post Application Submissions
NIH – Just in Time (JIT)

http://era.nih.gov/services_for_applicants/application_tracking_and_award/just_in_time-at-nih.cfm

Other agency requests may include:

1. Budget questions/revisions

  • NSF Budget Impact Statement. If asked to reduce the overall budget there is an obvious need to indicate that there is an impact to the budget.

2. Questions regarding the scope of work 3. Research Compliance Approvals (IRB, IACUC, etc.)

3.    Research Compliance Approvals (IRB, IACUC, etc.)

4. Forms

Title Link
OSP Forms Library

http://www.osp.gatech.edu/forms-library/

Proposal Routing Forms

http://www.osp.gatech.edu/forms/ProposalRoutingForm.doc

http://www.osp.gatech.edu/forms/ProposalRoutingForm-Page3RCR.pdf

5. Related Information

Resource Link
OSP Proposal Process http://www.osp.gatech.edu/proposal-process/

6. Policy History

Revision Date Author Description
1-2-2014 OSP Rev 1.0

2.4.1 Post Application Submissions

NIH – Just in Time (JIT) - http://era.nih.gov/services_for_applicants/application_tracking_and_award/just_in_time-at-nih.cfm

Other agency requests may include:

  1. Budget questions/revisions
    • NSF Budget Impact Statement. If asked to reduce the overall budget there is an obvious need to indicate that there is an impact to the budget.
  2. Questions regarding the scope of work
  3. Research Compliance Approvals (IRB, IACUC, etc.)

2.5 Cost Sharing

Policy No: RESEARCH 2.5  
Type of Policy: Administrative
Effective Date: February 2015
Last Revised: February 2015

Policy Owner: OSP
Policy Contact: Duane Hutchison, Director of Sponsored Programs, Duane.Hutchison@osp.gatech.edu

1. Policy Statement

Georgia Tech may provide cost-sharing or matching funds for projects funded by the federal government or non-profit organizations where mandatory and approved prior to proposal submission by the Executive Vice President for Research. The commitment of funds for cost-sharing is subject to the availability of funds for that purpose. It is the policy of Georgia Tech that all researchers who engage in sponsored or externally funded research will comply with Institute policies and sponsoring agency regulations regarding cost sharing or matching requirements on all proposals, and awards with regard to project costs and reporting of cost sharing funds on those projects. Cost sharing or matching is defined as that part of a project or program costs not borne by the funding agency but supported by contributions from the recipient and third parties.

Mandatory Cost Sharing:

Required by the sponsor as a condition of receiving an award. Principal investigators must include the total amount of the cost share commitment in the proposal budget.

Cost sharing, matching and in-kind costs cannot include contributions designated for other sponsored projects, unless they are specifically authorized by that sponsor. For example, a gift designated as a match on one project cannot also be used as a match on another project. Costs used to satisfy cost sharing or matching/in-kind commitments will be subject to the same policies as other costs under the approved budget, unless they are specifically authorized by that sponsor. Thus, to qualify for cost sharing, matching, or in-kind, all charges must be:

  • allowable under Institute and sponsor policies
  • allocatable as a cost to the project
  • reasonable and necessary for performance of the project
  • allowed as a direct cost on the project (for example administrative salaries cannot normally be used as cost sharing on federal projects)

Cost share commitments are auditable and must meet the same criteria as a direct charge to a grant.

2. Scope

This policy applies to all Georgia Tech faculty and staff members.

3. Procedure

Whenever cost sharing is proposed as part of a sponsored project, the source of funds must be identified and approval obtained from the person with authority to commit those funds. If the source is identified as “To Be Determined”, the funds from the unit originating the proposal are obligated until an actual source is committed prior to the time of award. Funds to be provided by entities outside of Georgia Tech, typically referred to as “third-party” cost sharing, must be supported at the proposal stage by written documentation from the outside entity indicating their commitment to provide cost sharing.

Cost sharing funds are actually made available to the Project Director/Principal Investigator (PD/PI) when/if the proposal results in a sponsored award. Cost sharing approvals are obtained by way of the Proposal Routing Form and a Cost Sharing Approval Form. The Office of Sponsored Programs (OSP) furnishes a management report of all outstanding cost sharing commitments associated with pending sponsored proposals to the Office of the President on a monthly basis.

4. Forms

Title Link
Cost Sharing Approval Form

http://www.osp.gatech.edu/forms/OSP-Cost-Share-Form-GDS.pdf

http://www.osp.gatech.edu/forms/OSP-Cost-Share-Form-GDS.xlsx

Proposal Routing Form

http://www.osp.gatech.edu/forms/routingform.pdf

5. Related Information

Resource Link
OSP Forms Library http://www.osp.gatech.edu/forms-library/

6. Policy History

Revision Date Author Description
01-2-2014 OSP Rev 1.0
11-20-2014 OSP Rev 2.0
02-13-2015 OSP Rev 3.0

2.6 Agency Specific Proposal Requirements

2.6.1 Salary Rate Caps

Policy No: RESEARCH 2.6.1  
Type of Policy: Administrative
Effective Date: December 2013    
Last Revised: October 2013

Policy Owner: OSP
Policy Contact: Duane Hutchison, Executive Director, duane.hutchison@osp.gatech.edu

1. Reason for Policy

Georgia Tech complies with salary rate limitations in projects funded by agencies of the United States government that are statutorily required to implement such limitations.

2. Policy Statement

Georgia Tech complies with salary rate limitations in projects funded by agencies of the United States government that are statutorily required to implement such limitations. The amount of salary above the cap for faculty and other researchers except Graduate Research Assistants receiving tuition remission shall be paid by the employing unit.

3. Scope

This policy applies to all Georgia Tech Faculty and Staff.

4. Procedures

3.1 NIH salary caps
For NIH
For NIH funded Graduate Research Assistants

5. Related Information

Resource Link
Grants and Contracts Manuals and Notices http://grants.gatech.edu/main/policies-procedures-and-forms/manuals-and-notices/

6. Policy History

Revision Date Author Description
01-02-2014 OSP Rev 1.0

2.6.2 Salary Cost Limitation

Policy No: RESEARCH 2.6.2  
Type of Policy: Administrative
Effective Date: December 2013    
Last Revised: September 2013

Policy Owner: OSP
Policy Contact: Duane Hutchison, Executive Director, duane.hutchison@osp.gatech.edu

1. Policy Statement

Georgia Tech complies with the salary direct cost limitations in projects funded by agencies of the United States government where such limitations are established in published regulations for the program or agency.

Please see the related policy Minimum PI Effort.

2. Scope

This policy applies to all Georgia Tech Faculty and Staff.

3. Related Information

Resource Link
Policy on Minimum PI Effort http://policies.research.gatech.edu/216-minimum-effort

4. Policy History

Revision Date Author Description
01-02-2014 OSP Rev 1.0

2.6.3 GT Implementation of NSF Responsible Conduct of Research Policy

Policy No: RESEARCH 2.6.3 
Type of Policy: Administrative
Effective Date: December 2013    
Last Revised: October 2013

Policy Owner: OSP
Policy Contact: Duane Hutchison, Executive Director, duane.hutchison@osp.gatech.edu

1. Reason for Policy

Georgia Tech students and trainees engaged in research at the undergraduate, graduate and post‐doctoral levels shall receive formal instruction in ethical considerations and decision‐making in Responsible Conduct of Research. See www.rcr.gatech.edu for the current policy, guidelines, and procedures. This policy is intended to comply with the requirements of the National Science Foundation’s (NSF) implementation of the requirements of Section 7009 of the America Creating Opportunities to Meaningfully Promote Excellence in Technology, Education, and Science Act (42U.S.C. 1862o–1) found in the NSF Award and Administration Guide, Chapter IV, and National Institutes of Health (NIH) requirements found in NOT‐OD‐10‐019.

2. Policy Statement

It is the policy of the Georgia Institute of Technology’s RCR Compliance Policy that all graduate students, all students who participate in Georgia Tech's Undergraduate Research Program, and any student receiving research funds or who participates in research activities funded by NIH or NSF shall engage in a program of study in the Responsible Conduct of Research that includes, at a minimum, the following elements (RCR elements):

  • Conflicts of interest (personal, professional, and financial)
  • Policies regarding the use of human subjects in research
  • Policies regarding the use of vertebrate animals in research
  • Laboratory safety, biohazard management, chemical safety, and polices regarding the use of radioisotopes and radiation sources in research
  • The responsibilities and relationships of mentors and mentees
  • Collaborative research
  • The peer review process
  • Data acquisition and laboratory tools; management, sharing and ownership of data and research tools
  • Research misconduct and policies for handling research misconduct
  • Authorship and publication
  • Science and Engineering in Society: the scientist and engineer as responsible members of society and ethical issues in research and the environmental and societal impacts of scientific research

It is the responsibility of the Principal Investigators of NSF and NIH‐funded projects to ensure that all students engaged in research are informed of the requirement and that the requirement has been met. Moreover, it is the responsibility of the Principal Investigator to provide mentoring in RCR through discussions of RCR topics and through oversight of students’ research.

3. Scope

This policy applies to all Georgia Tech Faculty, Staff, and Students

4. Definitions

Responsible Conduct of Research Responsible Conduct of Research(RCR) is defined as the practice of scientific investigation with integrity. It involves the awareness and application of established professional norms and ethical principles in the performance of all activities related to scientific research.

5. Responsibilities

5.1 Principal Investigators

Principal Investigators of NSF and NIH-funded projects are responsible for ensuring that all students engage in research are informed or the requirement and that the requirement has been met.

6. Related Information

Resource Link
Responsible Conduct of Research policies, guidelines, and procedures http://www.rcr.gatech.edu/

7. Policy History

Revision Date Author Description
01-02-2014 OSP Rev 1.0

2.7 Advance Project Number

Additional Resources: 

Policy No: RESEARCH 2.7  
Type of Policy: Administrative
Effective Date: October 2013    
Last Revised: October 2013

Policy Owner: OSP
Policy Contact: Duane Hutchison, Director of Sponsored Programs, Duane.Hutchison@osp.gatech.edu

1. Policy Statement

The Georgia Tech Advance Project Number Policy permits the establishment of an account to which expenses may be charged on behalf of an anticipated program prior to receipt of a grant or execution of an agreement, but only when there is strong evidence a proposed sponsor intends to fund the project and will recognize that funds will be expended in advance of the final agreement start date. In general, only charges incurred within 90 days of the start date of the project will be recognized by federal sponsors.

All Advance Project expenditures are guaranteed by the department>.

Once issued, the Advance Project Number will become the Project Number and stay with the project throughout its life and will not change.

All expenses charged to an Advanced Project must be for costs that will be allowable when the agreement is finalized.

2. Scope

This policy applies to all Georgia Tech faculty and staff members.

3. Procedures

3.1 Advance Project Number Requests
Advance Project Number Form Requests for an Advance Project Number are submitted to the Office of Sponsored Programs on a Request for Advance Project Number Form.
Submission of Advance Project Number Form to OSP Upon receipt of the completed request for an Advance Project Number, the OSP Contracting Officer will obtain confirmation that the sponsor intends to authorize the work, negotiate contract terms and conditions in good faith, and that the agreement effective date has been established such that any advance project charges will be allowable and recoverable from the sponsor.
Approved Request for Advance Project Number Form OSP will distribute copies of the approved Request for Advance Project Number Form, which includes the following information:
  • the project number assigned
  • the amount of advance funding authorized
  • the approved advance project time period

4. Forms

Title Link
OSP Advance Project Number Form http://www.osp.gatech.edu/forms-library/

5. Related Information

Resource Link
OSP Form Library http://www.osp.gatech.edu/forms-library/

6. Policy History

Revision Date Author Description
1-2-2014 OSP Rev 1.0

2.8 Related Georgia Tech Policies and Procedures

Administration and Finance
http://af.gatech.edu/
Grants & Contracts Accounting
http://grants.gatech.edu/
Office of Legal Affairs
http://www.legalaffairs.gatech.edu/
OIT
http://www.oit.gatech.edu/