1. What is a sponsored project? Answer:
Sponsored projects are those projects concerned with research, clinical trials, training, service, equipment, conference, or some other activity supported by an organization, corporation, agency, or individual external to UM for which some return (in the form of specified work, data, reports, findings, etc.) is expected. In other words, the funds are provided with strings attached.
2. Why do I have to route my application? Answer:
Routing an application is required for University endorsement. Approvals by various internal authorities (such as the Chair and Dean) authorize the Office of Research and Development Signing Official to submit a proposal committing University resources (personnel, space) to the project. These approvals also authorize Office of Research and Development to accept an award or contract committing the University and its personnel to perform a project and to meet the obligations of the award or contract (such as reporting requirements).
3. Who can be a Principal Investigator (PI) at UMB? Answer:
As a general rule, a full-time faculty member whose rank is Instructor or higher may act as a PI for a sponsored project. For details, review the UMB Policy on Eligibility to Apply for External Grants/Funds (Eligibility policy, School of Medicine implementation.)
4. What is the difference between a grant and a contract? Answer:
A grant provides assistance for a faculty member’s project. No substantial involvement is anticipated between the sponsor and the recipient of the funds during performance of the activity. A contract is used by a sponsor to acquire property or services for the direct benefit or use of the sponsor and under which the University, through the PI, provides specific deliverables in exchange for some form of compensation. Compensation under a contract may or may not include funding. For example, under a material transfer agreement, the provider sends materials in exchange for reports, data and intellectual property rights of the recipient of the materials.
5. How can I find out the status of my grant application or my contract or subcontract proposal at Office of Research and Development? Answer:
Office of Research and Development sends an e-mail to the contact person indicated on the routing sheet when applications are received at Office of Research and Development and calls the contact person when the application review has been completed so it can be picked up. Please plan 5 business days for the Office of Research and Development review of grant applications.
To inquire about the status of your application during the review process, contact the Contract and Grant officer assigned to your specific department/division/school and provide the Sponsor name, Principal Investigator (PI) name, and Project Title.
Signatures 6. Whose signatures are needed on the various forms/paperwork that are submitted to Office of Research and Development? Answer:
The Principal Investigator’s signature is needed on most items. Other signature requirements depend on the type of request.
7. Who is authorized to sign my grant, contract, material transfer agreement, or other legal document? Answer:
The Office of Research and Development has been vested with the authority to contractually obligate the University for sponsored project activity. Therefore, an agreement signed only by the PI is not legally binding. Many agreements require the PI’s signature in addition to the authorized signatory to indicate that the PI is aware of the obligations and conditions of the agreement.
New Faculty 8. We have new faculty members starting in a few months who will be transferring grants from their current institutions to UMB. What steps do we take for transferring these grants? Answer:
Office of Research and Development will work with the department and with the new faculty member to facilitate transfer of the grants. To initiate the transfer process, it is helpful for Office of Research and Development to have copies of current award documents (grants or agreements) for all awards to be transferred; copies of the most recent proposal or progress report; contact information for each sponsor (if not included with award document); and contact information for the institutional sponsored project representative at the former institution.
Faculty Transfers 9. One of our faculty is leaving the University and he would like to transfer his grants and equipment to the new institution. What do I have to do? Answer:
In order to initiate the transfer of a grant to another institution, the investigator should provide Office of Research and Development with the following information:
1. Agency grant/proposal numbers for all active awards and pending proposals
2. A business contact at the other institution including a phone number and
address.
3. The status of each project and the estimated amount to be transferred.
4. A list of equipment to be transferred.
Start this process as soon as possible. Transferring grants or equipment to another institution requires the prior approval of the department chair, dean, and Office of Research and Development, as well as approval of the sponsor. Each award/proposal will be reviewed on a case-by-case basis for specific transfer requirements of the sponsor.
Award Management 10. What is my Project ID? Answer:
The Project ID is part of the chartstring in eUMB Financials, which is the official book of record for the University of Maryland, Baltimore (UMB). Chartstrings for grants and contracts are set-up by the Department of Financial Services, Restricted Funds Section. Sponsor award documents and agreements are received and reviewed in the Office of Research and Development (Office of Research and Development) and are then forwarded to Restricted Funds. The chartstring is established and the department contact person indicated on the routing form is notified.
Agreements 11. What is the difference between a Deliverable (fixed-price) type of agreement and a Standard (cost-reimbursable) type of agreement? Answer:
A fixed-price agreement (eUMB Deliverable) defines a dollar amount to be paid for the completion of a specific milestone or scope of work regardless of the actual costs incurred and does not require detailed financial reporting of how the funds were spent. Any remaining unspent funds may be retained by the University. Conversely, if the contract amount does not cover the full cost of the work, we cannot ask for additional funds. Under a cost-reimbursable agreement (eUMB Standard), payment is based upon actual costs incurred in performance of the scope of work and detailed financial reporting of how the funds were spent is generally required. If the actual expenses are less than the amount projected by the budget when the grant or agreement has terminated or expired, the balance of the budgeted amount is not available for University use. If funds have been advanced to the University based on the budgeted amount, any unexpended funds remaining at the end of the project are returned to the Sponsor.
Gifts 12. What type of funding is considered a Gift? Answer:
Gift funds must be completely free of any requirements by the provider of the funds – that is, there are “no strings attached”. If any reports, results, data, findings, etc., are required or any conditions are attached to the use of the funds, it is considered to be sponsored project funding.
Facilities and Administrative Costs 13. What are Facilities and Administrative (F & A) costs? Answer:
Facilities and Administrative (F & A) costs (also known as indirect costs) are costs that are incurred for common or joint objectives and, therefore, cannot be identified readily and specifically with a particular sponsored project, an instructional activity, or any other institutional activity. Examples of these costs are administrative salaries, space, utilities and library facilities. The University’s federal F & A rates are established through negotiation with our cognizant agency, DHHS, and apply to all federal grants and contracts. Rates for use with industrial sponsors are based on the Federally negotiated rates.
14. What Fringe Benefit Rate should I use in my budget? Answer:
UMB does not have a stated fringe benefits rate because the cost of fringe benefits varies dependent upon the specific employee. Employees choose from a menu of benefits resulting in a different rate for each individual. Budgets can be based on an average fringe benefits package, which is currently estimated to be 33%, or on average rates typically incurred within a particular school or department. Current benefit rates can be found on the UMB Financial Services website.
15. Who should I contact if I have more questions about my grants and contracts? Answer:
Each Contract and Grant staff member is assigned to a set of University units. Find your primary contact person here.
16. In my NIH grant application, where should I insert collaborator and/or subcontractor sign-offs? Answer:
In the PHS398 application form , letters and signed face pages from proposed subcontractors (subrecipient organizations) should be inserted at section h (Consortium/Contractual Arrangements) of the Research Plan. Letters of intent to collaborate from proposed consultants should be inserted at section I of the Research Plan (Consultants).
Invention Reports 17. Why should I disclose my invention to UMB? Answer:
According to UMB policy, NIH policy and federal regulation (45 CFR Part 7.1), an invention should be patented when doing so would be the most efficient means to disseminate technology for the public benefit. Generally, a patent is most useful when resources from the private sector are needed for further research and development; such as when the utility of the invention is a potential diagnostic or therapeutic product. Patents and patent applications may give commercial partners the incentive to license or further develop the technologies through Collaborative Research and Development Agreements (CRADAs), Sponsored Research Agreements or other funding vehicles. All University of Maryland, Baltimore (UMB) faculty are subject to the University of Maryland System (USM) and UMB policies on patents. According to these policies, the University has an interest in all inventions of personnel which are conceived or first actually reduced to practice as part of or as a result of a University administered program of research; activities within the scope of a personÍs employment by the University; or activities involving the use, to a substantial degree, of University time, facilities, or materials or of University information not available to the public. Personnel who, either alone or in association with others, make an invention to which the University may have an interest shall disclose to the University such inventions reasonably promptly. Inventions and new matter relating to previously disclosed inventions, and improvements that you have made and not yet disclosed to this office should be disclosed promptly.
18. How do I know if I have an invention? Answer:
It can be difficult to know when you have made a patentable invention. The U.S. patent law defines patentable inventions as ñany new and useful process, machine, manufacture or composition of matter, or any new or useful improvements thereof.î (35 U.S.C Û101) A patentable invention must meet the requirements of novelty, utility, and non-obviousness. (35 U.S.C. ÛÛ100-103) Each element must be proven in very specific ways before a patent will be granted. Also there are other requirements for a patent to issue. You should contact the Technology Commercialization group (TEC-COM), Office of Research and Development as soon as you think you have a patentable invention. We can help you make an initial assessment of whether or not you have actually made a patentable invention. You must submit a UMB Invention Report (IR) for each invention you make. If you have a manuscript, grant application, or other type of document that describes your research, you should attach it to the IR to assist the TEC-COM staff in evaluating your invention.
19. What names should I include as inventors on the UMB Invention Report (IR)? Answer:
Accurately identifying all the inventor(s) is a prerequisite for a valid U.S. patent. The patent attorney who prepares the application can assist with this determination. Any person who actually intellectually contributed to the conception of an inventive idea and/or the reduction to practice of the invention (taking the invention from the ñeurekaî stage to ñactualityî stage) must be included as an inventor. A person who merely carried out the inventorÍs instructions during the reduction to practice stage, or acted only as a ñpair of handsî does not qualify as an inventor. Similarly, the inventorÍs supervisor (e.g., lab director) does not become a co-inventor merely because he or she is responsible for the lab.
20. When should I report my invention? Answer:
In order to protect both U.S. and foreign patent rights, inventions should be reported as soon as they have been made, and before they are publicly disclosed (public disclosure is discussed below). Although U.S. law provides a one-year ñgraceî period between public disclosure and the filing of a patent application to preserve U.S. patent rights, most foreign patent rights are lost immediately upon public disclosure, unless a patent application has already been filed. Failure to report your invention prior to public disclosure, or submitting your IR only immediately before disclosure, may result in loss of intellectual property rights. Please allow sufficient time for the invention to be reviewed by TEC-COM and for a patent application to be filed with the Patent and Trademark Office (PTO), so please plan on submitting your IR at least 6 weeks prior to your planned disclosure. 21. What constitutes public disclosure of an invention? Answer:
A disclosure of information that is sufficient to allow a scientist in the field of the invention to make, use, or otherwise practice the invention constitutes a public disclosure. Publications and patents are examples of public disclosures. Posters, abstracts, and Internet postings can also be public disclosures if they are of sufficient detail that a scientist could learn how to practice the invention. In addition, any public discussion or demonstration of the invention in the U.S., including staff meetings attended by the public, and professional conferences, can constitute public disclosures. Even samples that are distributed to another colleague for research purposes may be deemed a public disclosure depending upon the degree of control retained by the inventor. 22. How do I protect my ideas before a patent is filed? Answer:
If you have an idea that might lead to an invention, the first step is for you to complete and file an invention disclosure form with the TEC-COM group of Office of Research and Development. The best way to protect your idea is by not sharing information with others until TEC-COM negotiates a confidentiality agreement (CDA) between the University and the intended recipient of information. In addition to getting a CDA to cover your ideas, you should do the following: Announce at the beginning and end of any discussion or presentations that the information presented is confidential. If possible, you should request that attendees at your presentation sign an attendance sheet.
Summarize each discussion or presentation in a written document. Mark the document "Confidential." Mark hand-outs, correspondence, documents, and e- mail communication with the recipient "Confidential," as appropriate.
Confidential Information disclosed orally or in any other non-written form (a) must be identified as confidential at the time of disclosure or within 5 working days after disclosure, and (b) must be summarized in a written document clearly marked as "Confidential," or otherwise be clearly identified in writing as confidential within 30 days after disclosure. Provide copies of information to TEC-COM so that we may keep a record of what information was shared.
23. Once a patent application is filed, is my invention protected enough that I don't have to worry about confidentiality issues? Answer:
No! Confidentiality issues are still important after a patent application is filed. Even though filing a patent application may protect your claim as an inventor, you do not want someone to take your ideas before your claim is officially established. Patent applications are not available to the public until some time after the filing date so you still want to have a confidentiality agreement to 1) impose an obligation of confidentiality on the recipient and 2) keep track of with whom you are sharing information. Even after an application becomes public or a patent is issued, you should still be careful about the manner in which you disclose and discuss your ideas with others. If, after a patent application has been files, a company, institution or individual would like you to share specific information or even just talk generally about your research in a particular area, please contact Office of Research and Development's Commercial Ventures and Intellectual Property staff to initiate a confidentiality agreement (see #22 above).
24. How will my invention be evaluated? Answer:
The decision whether or not to file a patent application is based upon the patentability of the invention, and upon UMB Patent Policy and TEC-COM procedure. TEC-COM will usually seek intellectual property protection when such protection will facilitate the transfer of the technology to the private sector where the technology can be translated into products that improve health and prevent disease. Under our current procedure, a provisional patent application is filed for every invention disclosed to TEC-COM that is believed to be patentable. Provisional patent applications are not filed for unpatentable inventions and incomplete disclosures (Invention Reports). A copyright application is usually filed for inventions containing registerable material, such as computer code, instruction manuals, etc. A trademark application can be filed for names or slogans that have potential commercial value. For more information concerning the evaluation process, please contact TEC-COM.
25. After I submit an Invention Report (IR) to TEC-COM, how long will it be before I know whether or not a patent application (or other type of application) will be filed? Answer:
Usually, within 3 weeks of receipt of your IR, someone from TEC-COM will contact you and your co-inventors to set up a meeting to review the IR with our Professional Staff. During that 1-hour meeting, we will make sure we understand the invention and begin to resolve any questions we may have regarding inventorship issues. Also, we will ask specific questions about the source of funding for the research that led to the invention and any relevant affiliations you may have with other research institutions, previous employers and companies. Usually, within 3 weeks of your meeting with the TEC-COM staff, you will be notified as to whether or not we want to try to protect the invention. If TEC-COM decides to try to protect the invention, you will work with our staff to file the appropriate application. If TEC-COM decides to not pursue protection of the invention, you will receive a letter informing you of the reasons for this decision and describing how to obtain the rights to the invention from the University.
26. What happens after a non-provisional patent application is filed? Answer:
After a non-provisional patent application is filed with the U.S. Patent and Trademark Office, it will be examined. During the examination, an examiner will issue Office Actions. TEC-COM in-house patent attorney is responsible for overseeing the responses to these Office Actions, and will work closely with you and, possibly, outside patent attorneys specializing in your field of study, to make important decisions concerning the prosecution of your patent application. The promise of market potential or the presence of a potential licensee will be considered in evaluating your invention and making these critical decisions. The TEC-COM staff will work closely with you to determine the market potential and to identify potential licensees. back to top Last Updated: 07/21/2008 at 02:35:45 PM
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