2.2 Funding Mechanisms

2.2 Funding Mechanisms
Type of Policy
Administrative
s1polics Wed, 04/20/2016 - 12:37
Policy No
RESEARCH 2.2
Effective Date:
Last Revised:
Review Date:
Policy Owner
Sponsored Programs, Office of
Contact Name
Cynthia Hope
Contact Title
Associate Vice President for Research Administration
Contact Email
cindy.hope@osp.gatech.edu
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
Scope

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

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

2.2.1 Policy on Distinguishing Gift vs. Sponsored Agreements in External Funding
Type of Policy
Administrative
s1polics Wed, 04/20/2016 - 12:52
Policy No
RESEARCH 2.2.1
Effective Date:
Last Revised:
Review Date:
Policy Owner
Sponsored Programs, Office of
Contact Name
Cynthia Hope
Contact Title
Associate Vice President for Research Administration
Contact Email
cindy.hope@osp.gatech.edu
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.

Scope

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

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.

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

2.2.2 Policy on Limited Submissions (Restricted Program)

2.2.2 Policy on Limited Submissions (Restricted Program)
Type of Policy
Administrative
s1polics Wed, 04/20/2016 - 13:34
Policy No
RESEARCH 2.2.2
Effective Date:
Last Revised:
Review Date:
Policy Owner
Sponsored Programs, Office of
Contact Name
Cynthia Hope
Contact Title
Associate Vice President for Research Administration
Contact Email
cindy.hope@osp.gatech.edu
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.

Scope

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

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.
 
Policy History
Revision Date Author Description
12-31-2013 OSP Rev 1.0

2.2.3 Teaming Agreements

2.2.3 Teaming Agreements
Type of Policy
Administrative
s1polics Wed, 04/20/2016 - 13:37
Policy No
RESEARCH 2.2.3
Effective Date:
Last Revised:
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.

Scope

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

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.

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

2.2.4 Interagency Personnel Act (IPA) Agreements

2.2.4 Interagency Personnel Act (IPA) Agreements
Type of Policy
Administrative
s1polics Wed, 04/20/2016 - 13:40
Policy No
RESEARCH 2.2.4
Effective Date:
Last Revised:
Review Date:
Policy Owner
Sponsored Programs, Office of
Contact Name
Cynthia Hope
Contact Title
Associate Vice President for Research Administration
Contact Email
cindy.hope@osp.gatech.edu
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.

Scope

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

Procedures

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:

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