Research Administration Buzz

1. Research Administration Buzz Sandy Mason, Grants & Contracts Accounting Lisa Snyder, Accounts Payable Kevin Wozniak, GTRC Jeff Steltzer, GTRC Candice Ferguson, OSP

2. Grants & Contracts Accounting Sandy Mason Jim Childers Research Admin Buzz meeting

3. G&C Updates • Cost Share Accounting and Reporting • Expenses should be posted to separately-budgeted companion cost share projects as incurred during the award performance period • Prior year documentation and/or certification require additional approvals • ARRA Deliverable – PI Quarterly Updates • Avoid names, estimates (expenses, positions, etc.) • Timely submission by stated OSP deadlines – The reports must be filed by the Federal deadline

4. ARRA December 15th Deadline • Deadline is approaching for the Jan ARRA Quarterly Report • Due December 15th • No reminders will be sent • If PI does not submit a report then a message will be sent to sponsor saying “Research is underway.”

5. Subcontract Payments • PI Review and Approval - Review and approval by PI is required AND must be documented • Revised Procedures…. • Invoice Routing and Approval via WebNow • Revised WebNow Payment Worksheet - additional fields added to enhance search options • No change for campus units related to BuzzMart Requisition entry, change letter process, or invoice approval

6. Accounts Payable Lisa Snyder Research Admin Buzz meeting

7. Subaward Invoice Approval/Payment ProcessNovember 16, 2011

9. BuzzMart Requisitions • Encumbrance for all sub-agreements is via the BuzzMart Confirming Order process. • Include the OSP contract# • Ensure that the correct vendor is selected • GA State University Research Fdnvs GSU • A PO is not sent to the vendor • All PO changes (adding/reducing funds, vendor name)must be initiated by an OSP contracting officer prior to requesting a chance through the BuzzMart Purchasing Change Request form process

10. BuzzMart Requisitions

12. WebNow for Invoice Review/Approval WebNow Invoice Payment Approval Form Pull into view using the F12 function key

14. Benefits of New Process • PI/Campus administrators will not need to enter a Buzzmart receipt • No delays due to BuzzMart Match Exceptions • Ability to expedite same-day payments • Ability to update vendor at time of payment • Split account distributions can be easily processed in PeopleSoft by amount, rather than %

15. WebNow WebNow document key properties – searchable fields including new custom properties Pull into view using the F7 function key

16. Questions? • Please contact: • Ap.ask@business.gatech.edu for invoice payment issues • Lisa.snyder@business.gatech.edu for assistance with the WebNow approval process • BuzzMart.ask@gatech.edu for requisition issues • Vendor.help@business.gatech.edu for vendor issues

17. Georgia Tech Research Corp Kevin Wozniak kevin.wozniak@gtrc.gatech.edu 404-385-1437 Research Admin Buzz meeting

18. Patent Reform Implementation • Group 1 Provisions – 60 days • Group 2 Provisions – 12 months • Group 3 Provisions – 18 months

19. Highlighted Group 1 Provisions • 15% transition surcharge/fee setting 15% transition surcharge/fee setting - Fee setting authority authorizes PTO to adjust fees -sunsets 7 years after enactment -PTO anticipates three rounds during this period -Until fee is set 15% surcharge can be applied to all fees charged IE. PATENTS JUST GOT MORE EXPENSIVE!!!!! • Establishment of micro-entity -4 part criteria 1. qualifies as small entity 2. has not been named as an inventor on more than 4 previously filed patent applications 3. did not gross income exceeding 3X the median household income in the CY 4. has not assigned, granted conveyed a license or other ownership interest (and is not under an obligation to do so) in the subject application to an entity that exceeds the gross income limit

20. Highlighted Group 3 Provisions • First Inventor to File -Provisional patent system survives -12 months after publication in the US survives -”Race to publish”

21. Georgia Tech Research Corp Jeff Steltzer Research Admin Buzz meeting

22. Update onConflicts of Interest Regulations RAB Meeting November 16, 2011

23. Major Areas Addressed in the Revised Regulations • Definition of Significant Financial Interest (SFI) • Extent of Investigator Disclosure • Information Reported to PHS Awarding Component (e.g., NIH) • Information made accessible to the public • Investigator Training • Reporting of any reimbursed or sponsored travel

24. Major Changes to the Regulations • Significant Financial Interest (SFI) • Minimum threshold of $5,000 generally applies to payments and equity interests • Includes any equity interest in non-publicly traded entities • Exclusions include income from seminars, lectures, or teaching, and service on advisory or review panels for government agencies, Institutions of higher education, academic teaching hospitals, medical centers, or research institutes affiliated with an Institution of higher education. • Excludes income from investment vehicles, such as mutual funds and retirement accounts, as long as the Investigator does not directly control the investment decisions made in these vehicles.

25. Major Changes to the Regulations • Investigator Disclosure • All SFIs related to Investigators’ institutional responsibilities • Institutions responsible for determining whether SFIs relate to PHS-funded research and are financial conflicts of interest (FCOI)

26. Major Changes to the Regulations (cont’d) • Reporting to PHS Awarding Component (NIH) • Previous requirements, (grant/contract number, name of PD/PI, name of Investigator with FCOI) plus: • Name of the entity with which the Investigator has a FCOI • Value of the financial interest • Nature of FCOI, e.g., equity, consulting fees, honoraria • A description of how the financial interest relates to PHS-funded research and the basis for the Institution’s determination that the financial interest conflicts with such research • Key elements of the Institution’s management plan

27. Major Changes to the Regulations (cont’d) • Public Accessibility • The Institution’s FCOI policy must be made available via a publicly accessible Web site. If the Institution does not have any current presence on a publicly accessible Web site, the Institution shall make its written policy available to any requestor within five business days of a request. • Before spending funds for PHS-supported research, an Institution shall ensure public accessibility of information on certain SFIs that the Institution has determined are related to the PHS-funded research and are FCOI, via a publicly accessible Web site or by a written response to any requestor.

28. Major Changes to the Regulations (cont’d) • Investigator Training • FCOI training required for Investigators before engaging in PHS-funded research, every four years thereafter, and immediately under designated circumstances.

29. Major Changes to the Regulations (cont’d) • Reporting of any reimbursed or sponsored travel related to the Investigator’s institutional responsibilities • “Sponsored Travel” = that which is paid on behalf of the Investigator and not reimbursed to the Investigator so that the exact monetary value may not be readily available. • This disclosure requirement does not apply to travel that is reimbursed or sponsored by a federal, state, or local government agency, an Institution of higher education as defined at 20 U.S.C. 1001(a), an academic teaching hospital, a medical center, or a research institute that is affiliated with an Institution of higher education. 

30. Contact Information Jeff Steltzer, J.D. Director, Conflict of Interest Management Georgia Institute of Technology Office: 404-894-6925 Fax:  404-385-2078

31. Office of Sponsored Programs Candice Ferguson Research Admin Buzz meeting

32. Subrecipient Monitoring • OMB A-133: A Subrecipient is a legal entity to which a sub award is made and which is accountable to the recipient for the use of funds provided. • Financial assistance, or procurement , or contract made by a recipient to an eligible Subrecipient

33. Roles, Responsibilities & Risk Regulations • Office of Sponsored Programs (OSP):ensuring that the Institute’s subrecipient monitoring procedures are compliant with regulations.  • Unit Financial Officers (Departmental Administrators):assist PI’s in carrying out their responsibilities.  • Principal Investigators (PI): is ultimately responsible Documentation Verification

34. Roles, Responsibilities & Risk • Office of Sponsored Programs (OSP):  ensuring that the Institute’s subrecipient monitoring procedures are compliant with federal and other applicable regulations this include: • Compliance requirements • Flow-down provision: Prime to sub • Debarred or suspended check • Audit certification letters from subrecipients

35. Roles, Responsibilities & Risk • Unit Financial Officers (Departmental Administrators): assist PI’s in carrying out their subrecipient monitoring responsibilities includes: • Reviewing • Invoice Approve & to A/P • Excessive charges request clarification • Maintain Invoices • Maintain documentation of monitoring efforts • Verify or confirm cost share (if required) has been met by Sub

36. Roles, Responsibilities & Risk • Principal Investigators (PI): management of federally funded projects includes: • Monitor • Review • Verifying • Approving • Allowable, Allocable, Reasonable, & Period of Performance • Keep records of notes of phone conversations and email correspondence

37. Georgia Tech’s Guidelines http://www.osp.gatech.edu/subrecipient-monitoring/

38. Staff Assignments • Division 1 Dennis Farmer/ Manager  (Air Force, CIA, Special Projects) Lucy Yarbrough (Army/SENSIAC) Dan Sibble (Air Force (Warner Robbins), Navy, Other DoD) Julian Stalvey (Post-Award Administration) • Division 2 Janis Goddard/ Manager (Other Federal, GSA, FAA) Teri Hansen (Dept of Labor, Dept of Agriculture, Dept of Interior, NSF (Other)) Stacey-Oliver Gooden (NSF (CoE), Dept of Ed., EPA, NEA/NEH) Open Position (DHHS, NSF(CoC), Dept. of State)

39. Staff Assignments • Division 3 Industry Under Government Prime Jim Berkowitz/Manager (See OSP website for assignment) Roberta Burke (See OSP website for assignment) Sherry Levy (Post Award Administration) • Division 4 Vannessa Daniels/Manager (GA Res. Alliance, GA Cancer Coal., AHA, Amer. Chem. Soc.) Chris Doyle (Non-Profits and Foundations) Debbie Hobbs (Universities (College of Sciences/Others) Pamela Brooks (Universities (College of Engineering)

40. Staff Assignments • Division 5 Chris D’Urbano/ Manager (NASA, State and Local Govs., NIA) Serelia Woods (Dept of Commerce, DOE, VA, TVA) Scott Goodwin (ARO, AFOSR, ONR (Contracts and Grants) Lakita Brooks FFRDCs, DOT, Homeland Security • Division 6 Subawards Dana Simpson/Manager Sharon Rollow Open Position

41. NSF Update • NSF Innovation Corps Program (I-CORPS) • Develop and nurture a national innovation ecosystem that builds upon fundamental research to guide the output of scientific discoveries closer to the development of technologies, products, and processes that benefit society • Identify NSF-funded researchers to receive additional support in the form of mentoring and funding to accelerate innovation to attract 3rd party funding

42. NSF I-CORPS Program • 3-fold Outcome • Clear Go/No Go decision regarding viability of products and services • If Go, a transition plan to move the effort forward • Technology demonstration for potential partners

43. NSF I-CORPS Program • Award size will not exceed $50,000 for 6 months • Submission Windows • October 1, 2011- December 15, 2011 • January 1, 2012- March 15, 2012 • April 1, 2012- June 15, 2012 • July 1, 2012- September 15, 2012 • Eligibility • Receipt of a prior NSF award that is currently active or has been active within 5 years from date of the I-CORPS proposal submission in a science or engineering field relevant to proposed innovation

44. NSF I-CORPS Program • I-CORPS Team • Entrepreneurial Lead (Post-Doc or Student) • I-CORPS Mentor (3rd party resource) • Principal Investigator • Online Curriculum • Each team must commit to pursuing an online curriculum • Tracked through a closed Wiki environment

45. NSF I-CORPS Program • Things to Remember • Data Management Plan • Postdoctoral Researcher Mentoring Plan • PI is limited to 1 submission per window • Voluntary committed cost share is prohibited • A webinar will be held the 1st Tuesday of every month to answer questions. • http://www.nsf.gov/news/special_reports/i-corps/

46. NSF I-CORPS Program • Person to Contact Teri Hansen, Contracting Officer teri.hansen@osp.gatech.edu 404-894-6927

47. NIH Update • Grants Policy Statement FY2012 published in October • Revised Multiple PD/PI Policy Allows PD/PI change with prior approval • Sent to Institute or Centers GMO • Justification must be based on scientific needs of the project, will not be considered if based on administrative convenience. • Guide NOT-OD-11-118 specifies info to be included in prior approval request

48. NIH Update • Effective October 1, 2011, NIH is requiring grantees to use No-Cost Extension feature in the eRA Commons to notify NIH when they exercise their one-time authority to extend, without additional funds, the final budget period of a grant • Note: Once the eRA Commons link is closed, the action becomes a prior approval request and must submitted to the GMO

49. DOD Update • DARPA Young Faculty Award • Last year OSP launched Early Career Series with the DARPA YFA • Georgia Tech Received 3 Young Faculty Award in FY11 • More than any other institution (Including MIT, Harvard, and VA Tech) • Be on the look out for this year!!!

50. Thank you for coming…