2014-12-19T08:10:32-06:00 2014-06-30 560574444 CHERRY BEKAERT LLP 1075 PEACHTREE STREET STE 2200 ATLANTA GA 303093616 990 2013-07-01 580603146 GEORGIA TECH RESEARCH CORPORATION GEOR 4048946959 505 TENTH STREET NW ATLANTA GA 303320415 JILDA DIEHL GARTON VICE PRESIDENT 4048946959 2014-12-17 1 CHRISTINE W PIERCE P00436339 4042090954 2013 2015-11-30 17:44:51Z JILDA DIEHL GARTON 505 TENTH ST NW ATLANTA GA 303320415 319174894 0 X WWW.GTRC.GATECH.EDU X 1937 GA GEORGIA TECH RESEARCH CORPORATION ADVANCES RESEARCH AND TECHNOLOGICAL DEVELOPMENT AT GEORGIA TECH AS IT CONTINUALLY SEEKS TO ADVANCE SOCIETY AND THE GLOBAL COMPETITIVENESS OF GEORGIA AND THE NATION. GTRC SUPPORTS AND PROMOTES RESEARCH THROUGH ITS STEWARDSHIP OF THE FUNDS FOR SPONSORED RESEARCH AND FINANCIAL SUPPORT OF RESEARCH ACTIVITIES. GTRC EMBODIES GEORGIA TECH'S FOUNDING SPIRIT OF ENTREPRENEURSHIP AND FOCUS ON THE APPLICATIONS OF ENGINEERING, SCIENCE AND TECHNOLOGY TO THE CREATION OF MEANINGFUL NEW IDEAS, METHODS, AND OPPORTUNITIES. THROUGH TECHNOLOGY TRANSFER, GTRC ENABLES THE INSTITUTE TO MAINTAIN BENEFICIAL PARTNERSHIPS WITH PUBLIC AND PRIVATE SECTORS IN RESEARCH AND TECHNOLOGY TO ASSURE THE BENEFITS OF DISCOVERY ARE WIDELY DISSEMINATED. 12 9 0 0 92615 91615 0 0 327383042 309099971 201745 46780 2593834 2421101 330178621 311567852 311032269 293503674 0 0 3759642 3735622 0 0 0 14641940 11714107 329433851 308953403 744770 2614449 98057491 100463033 73510703 73305185 24546788 27157848 THE GEORGIA TECH RESEARCH CORPORATION (GTRC) IS ORGANIZED AND OPERATED TO SUPPORT THE RESEARCH ACTIVITIES OF THE GEORGIA INSTITUTE OF TECHNOLOGY IN THE AREAS OF INNOVATIVE RESEARCH, TECHNICAL ASSISTANCE, AND ECONOMIC DEVELOPMENT. 0 0 307457187 293503674 309099971 THE GEORGIA INSTITUTE OF TECHNOLOGY RESEARCH ACTIVITY IS SUPPORTED BY THE GEORGIA TECH RESEARCH CORPORATION WHICH CONSISTS OF OVER 2,000 INDIVIDUAL PROJECTS FOR GOVERNMENTS, INDUSTRY, AND INDIVIDUALS. PAYMENTS AND REIMBURSEMENT OF EXPENSES AND GRANTS TO AND FOR THE BENEFIT OF THE GEORGIA INSTITUTE OF TECHNOLOGY HAVE BEEN MADE. THE GEORGIA TECH RESEARCH CORPORATION IS ORGANIZED AND OPERATED EXCLUSIVELY FOR THE BENEFIT OF THE GEORGIA INSTITUTE OF TECHNOLOGY WHICH IS A UNIT OF THE UNIVERSITY SYSTEM IN THE STATE OF GEORGIA. 307457187 1 0 0 0 0 0 0 1 0 0 1 0 0 0 1 0 1 1 0 0 1 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 1 189 0 0 1 1 0 0 0 0 0 0 0 0 0 X 12 9 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 GA X BARBARA ALEXANDER 4048946962 GEORGIA INSTITUTE OF TECHNOLOGY ATLANTA GA 303320415 RAFAEL L BRAS TRUSTEE 0.00 40.00 X 0 390037 211260 STEPHEN E CROSS PRESIDENT, TRUSTEE 0.00 40.00 X X 0 336297 185460 STEVEN G SWANT TRUSTEE 0.00 40.00 X 0 307227 139460 LESLIE SIBERT CHAIR, TRUSTEE 0.00 X 0 0 0 CHARLES CONCANNON VICE CHAIR, TRUSTEE 0.00 X 0 0 0 RONALD L BRACKEN TRUSTEE 0.00 X 0 0 0 BEN J DYER TRUSTEE 0.00 X 0 0 0 SCOTT M FRANK TRUSTEE 0.00 X 0 0 0 MARK J T SMITH TRUSTEE 0.00 X 0 0 0 J LELAND STRANGE TRUSTEE 0.00 X 0 0 0 C MEADE SUTTERFIELD TRUSTEE 0.00 X 0 0 0 JOHN J YOUNG JR TRUSTEE 0.00 X 0 0 0 GARY MAY SECRETARY 0.00 40.00 X 0 327270 84300 BARBARA J ALEXANDER ASST SEC. & ASST TREAS. 20.00 20.00 X 60686 60686 32874 JAMES G FORTNER ASST SEC. & ASST TREAS. 0.00 40.00 X 0 175458 50433 JILDA DIEHL GARTON VICE PRESIDENT 20.00 20.00 X 125295 125295 62666 G DUANE HUTCHISON ASST SEC. & ASST TREAS. 9.00 31.00 X 38530 136605 49006 PAUL HOUSTON SECRETARY 0.00 40.00 X 0 297713 63806 ANITA MCKINNEY ASST SECRETARY 12.00 28.00 X 23896 55756 23290 KEVIN WOZNIAK ASST SEC. & ASST TREAS. 24.00 16.00 X 90479 60319 42845 ALBERT CONCORD SECURITY OFFICER 0.00 40.00 X 0 157770 28402 NEIL BEALS SENIOR RESEARCH ASSOCIATE 40.00 0.00 X 112952 0 29969 NICHOLAS PEREZ DIRECTOR IT & FACILITIES 20.00 20.00 X 55092 55092 38102 TERRY STOUT ASST DIRECTOR 40.00 0.00 X 109303 0 17606 616233 2485525 1059479 3 0 1 0 GEORGIA INSTITUTE OF TECHNOLOGY 225 NORTH AVENUE ATLANTA GA 30332 RESEARCH 305970930 GEORGIA TECH FOUNDATION 760 SPRING STREET NW ATLANTA GA 30308 RESEARCH 2353325 GEORGIA TECH FACILITIES 225 NORTH AVE LYMAN HALL RM 325 ATLANTA GA 30332 BUILDING IMPROVEMENTS 1617345 TROUTMAN SANDERS LLP BANK OF AMERICAN PLAZA 600 PEACHTR ATLANTA GA 30332 LEGAL - PATENT EXPENSE 1318357 KILPATRICK TOWNSEND & STOCKTON LLP PO BOX D-2770 ATLANTA GA 30394 LEGAL 738231 19 RESEARCH CONTRACTS 541700 309099971 309099971 309099971 46780 46780 2245253 2245253 7607042 7607042 0 PARTNERSHIP INVESTMENT 523000 92615 92615 FEES 900099 83233 83233 175848 311567852 309099971 92615 2375266 293503674 293503674 592337 592337 3143285 3143285 163739 163739 168956 168956 4173121 4173121 34551 34551 5754557 5754557 290213 290213 283840 283840 ADMINISTRATIVE AND GENE 845130 845130 308953403 307457187 1496216 0 49724498 53351770 45373663 45498129 999003 539387 37764 3983315 2412029 1413469 1571286 7471 4084 98057491 100463033 33583883 32051538 39926820 40835105 0 418542 73510703 73305185 X 24546788 27157848 24546788 27157848 98057491 100463033 2614449 -3389 0 X X 0 1 X 1 1 1 X X X 0 0 0 GEORGIA INSTITUTE OF TECHNOLOGY 586002023 115(1) 1 1 1 5754557 1 5754557 240735 X 0 623877 158671 465206 2847553 2253358 594195 511885 511885 1571286 NOTES PAYABLE 418542 418542 319171505 -3389 7607042 7603653 311567852 0 311567852 316560445 7607042 7607042 308953403 0 308953403 PART XI, LINE 2D - OTHER ADJUSTMENTS: LEASE INCOME 7,607,042. PART XII, LINE 2D - OTHER ADJUSTMENTS: LEASE EXPENSES 7,607,042. SCHEDULE D, PART III, LINE 4 PART III, LINE 4 - THE ORGANIZATION'S COLLECTION IS THE INSTITUTE OF PAPER SCIENCE TECHNOLOGY MUSEUM COLLECTION. THE MUSEUM IS OPEN TO THE PUBLIC AND SCHEDULES A VARIETY OF TOURS INCLUDING THOSE FOR ADULTS, SCHOOLS, CAMPS, AND CHILD CARE CENTERS. EUROPE 0 0 PROGRAM SERVICES SPONSORED RESEARCH CENTRAL AMERICA & CARIBBEAN 0 0 PROGRAM SERVICES SPONSORED RESEARCH EAST ASIA & PACIFIC 0 0 PROGRAM SERVICES SPONSORED RESEARCH MIDDLE EAST & NORTH AFRICA 0 0 PROGRAM SERVICES SPONSORED RESEARCH NORTH AMERICA 0 0 PROGRAM SERVICES SPONSORED RESEARCH SOUTH ASIA 0 0 PROGRAM SERVICES SPONSORED RESEARCH RUSSIA & NEWLY INDEPENDENT STATES 0 0 PROGRAM SERVICES SPONSORED RESEARCH SOUTH AMERICA 0 0 PROGRAM SERVICES SPONSORED RESEARCH SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES SPONSORED RESEARCH 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 PART I, LINE 2: SUBRECIPIENT POLICIES AND PROCEDURES A SUBAGREEMENT MAY BE REQUIRED IF PART OF THE RESEARCH EFFORT UNDER A GRANT OR CONTRACT IS TO BE PERFORMED BY AN OUTSIDE ORGANIZATION OR INSTITUTION. SUBCONTRACTS SHOULD BE SET UP AS SOON AS POSSIBLE AFTER THE RECEIPT OF AN AWARD. THE PRINCIPLE INVESTIGATOR (PI) IS REQUIRED TO OBTAIN DOCUMENTATION OF QUOTES FROM ALTERNATIVE VENDORS OR COMPLETE A SOLE SOURCE JUSTIFICATION FORM. IN ADDITION, HE/SHE IS REQUIRED TO PROVIDE INFORMATION OF THE TECHNICAL COMPETENCE OF THE SOLE SOURCE SELECTION. GEORGIA TECH IS RESPONSIBLE FOR ENSURING THAT ALL SUBRECIPIENTS OF ITS SPONSORED RESEARCH AWARDS ARE IN COMPLIANCE WITH APPLICABLE REQUIREMENTS. IN ACCORDANCE WITH OMB CIRCULAR A-133 COMPLIANCE SUPPLEMENT SECTION 3.M, GEORGIA TECH IS REQUIRED TO MONITOR ALL SUBRECIPIENTS EXPENDING $500,000 OR MORE IN FEDERAL AWARDS DURING THE SUBRECIPIENTS FISCAL YEAR WHERE PASS-THROUGH FEDERAL FUNDS PROVIDED BY GEORGIA TECH WERE EXPENDED. THESE GUIDELINES AND PROCEDURES ARE PROVIDED TO ASSIST FACULTY AND STAFF IN ENSURING THAT SUBRECIPIENTS CONDUCT THEIR PORTIONS OF RESEARCH PROJECTS IN COMPLIANCE WITH LAWS, REGULATIONS AND TERMS AND CONDITIONS OF AWARDS AND SUBAWARDS AND THAT PROJECT COSTS INCURRED BY SUBRECIPIENTS ARE REASONABLE AND ALLOWABLE. ROLES AND RESPONSIBILITIES: PRINCIPAL INVESTIGATORS (PI): PI'S HAVE PRIMARY RESPONSIBILITY FOR MONITORING SUBRECIPIENTS TO ENSURE COMPLIANCE WITH FEDERAL REGULATIONS AND BOTH PRIME AND SUBRECIPIENT AWARD TERMS AND CONDITIONS. THE FEDERAL GOVERNMENT PLACES THE PRIMARY RESPONSIBILITY FOR MANAGEMENT OF FEDERALLY FUNDED PROJECTS WITH THE PI. THIS INCLUDES: MONITORING OF SUBRECIPIENT'S TECHNICAL AND PROGRAMMATIC ACTIVITIES RELATED TO THE SUB-AWARD. REVIEW OF TECHNICAL/PERFORMANCE REPORTS AS REQUIRED. THE PI IS RESPONSIBLE FOR VERIFYING THE SUBRECIPIENT WORK IS CONDUCTED IN A TIMELY MANNER AND THAT THE RESULTS DELIVERED ARE IN LINE WITH THE PROPOSED STATEMENT OF WORK. THE PI IS RESPONSIBLE FOR REVIEWING AND APPROVING SUBRECIPIENT INVOICES. THIS INCLUDES REVIEWING EXPENDITURES TO ENSURE THE CHARGES ARE ALLOWABLE, ALLOCABLE, REASONABLE, AND THAT THE CHARGES ARE WITHIN THE PERIOD OF PERFORMANCE. THE PI IS RESPONSIBLE FOR MAINTAINING REGULAR CONTACT WITH THE SUBRECIPIENT. UNIT FINANCIAL OFFICERS (DEPARTMENTAL ADMINISTRATORS): UNIT FINANCIAL OFFICERS (UFO'S) SHOULD ASSIST PI'S IN CARRYING OUT THEIR SUBRECIPIENT MONITORING RESPONSIBILITIES. THIS INCLUDES: REVIEWING INVOICES FROM SUBRECIPIENTS TO ENSURE INVOICES ARE WITHIN THE PARAMETERS OF THE SUB-AWARD BUDGET, AND QUESTIONING EXPENDITURES IF NECESSARY. ENSURE THAT INVOICES ARE APPROVED BY THE PI OR HIS/HER DESIGNEE AND SUBMITTED TO ACCOUNTS PAYABLE IN A TIMELY BASIS. IF THERE ARE ANY UNUSUAL OR EXCESSIVE CHARGES INVOICED BY THE SUBRECIPIENT, THE DEPARTMENT SHOULD REQUEST CLARIFICATION FROM THE SUBRECIPIENT. MAINTAIN COPIES OF ALL INVOICES THAT PROVIDE EVIDENCE OF THE REGULAR REVIEW OF INVOICES BY THE PI. "EVIDENCE" CAN BE IN THE FORM OF AUTHORIZED SIGNATURE BY THE PI OR HIS/HER DESIGNEE, PI'S INITIALS, E-MAIL COMMUNICATIONS, OR NOTES OF MEETING BETWEEN THE PI WITH THE DEPARTMENT ADMINISTRATOR. MAINTAINING DOCUMENTATION OF MONITORING EFFORTS (COPIES OF E-MAIL, PHONE LOG, ETC.). OFFICE OF SPONSORED PROGRAMS (OSP): OSP IS RESPONSIBLE FOR THE OVERSIGHT OF SUBRECIPIENT MONITORING AND ENSURING THAT THE INSTITUTE'S SUBRECIPIENT MONITORING PROCEDURES ARE COMPLIANT WITH FEDERAL AND OTHER APPLICABLE REGULATIONS. THESE RESPONSIBILITIES INCLUDE: OSP IS RESPONSIBLE FOR IDENTIFYING TO THE SUBRECIPIENT THE FEDERAL AWARD INFORMATION (E.G., CFDA TITLE AND NUMBER, AWARD NAME, NAME OF FEDERAL AGENCY) AND APPLICABLE COMPLIANCE REQUIREMENTS, INCLUDING ANY APPROPRIATE FLOW-DOWN PROVISIONS FROM THE PRIME AGREEMENT. DETERMINING WHETHER NOR NOT THE SUBRECIPIENT OR IT'S PI'S ARE DEBARRED OR SUSPENDED FROM RECEIVING FEDERAL FUNDS. ON AN ANNUAL BASIS, OSP WILL REVIEW ALL ACTIVE SUB-AWARDS FOR WHICH MONITORING IS MANDATED. ACCORDINGLY, OSP REQUESTS AUDIT CERTIFICATION LETTERS FROM ALL SUBRECIPIENTS EXPENDING $500,000 OR MORE IN FEDERAL FUNDS DURING THE SUBRECIPIENT'S FISCAL YEAR. THE RETURNED CERTIFICATION LETTERS ARE REVIEWED BY THE OSP AUDIT COORDINATOR TO VERIFY THAT NO AUDIT FINDINGS RELATED TO FEDERAL FUNDS PROVIDED BY GEORGIA TECH ARE REPORTED. IF NO FINDINGS ARE INDICATED, THE OSP AUDIT COORDINATOR WILL INITIAL, DATE, AND NOTATE THAT NO FOLLOW-UP ACTION IS REQUIRED. OSP WILL INQUIRE FURTHER INTO THOSE THAT ARE DEEMED TO REQUIRE CLOSER SCRUTINY, AND TAKE APPROPRIATE ACTION. THE ABOVE LIST IS NOT EXHAUSTIVE OF ALL COMPLIANCE REQUIREMENTS. IN ADDITION TO THE GENERAL ELEMENTS OF COMPLIANCE NOTED ABOVE, THERE MAY BE ADDITIONAL SPONSOR OR PROGRAM-SPECIFIC REQUIREMENTS THAT MANDATE COLLECTING AND DOCUMENTING OTHER ASSURANCES (E.G. ON LAB ANIMALS, HUMAN SUBJECTS, BIOHAZARDS, ETC.) DURING THE COURSE OF A PROJECT. OSP WILL WORK WITH PIS AND DEPARTMENT ADMINISTRATORS TO ESTABLISH CHANNELS OF COMMUNICATION WITH SUBRECIPIENTS THAT REQUIRE FURTHER SCRUTINY. 1 GEORGIA INSTITUTE OF TECHNOLOGY 225 NORTH AVENUE ATLANTA GA 303320257 586002023 115(1) 293503674 0 SPONSORED RESEARCH 1 0 PART I, LINE 2: SUBRECIPIENT POLICIES AND PROCEDURES A SUBAGREEMENT MAY BE REQUIRED IF PART OF THE RESEARCH EFFORT UNDER A GRANT OR CONTRACT IS TO BE PERFORMED BY AN OUTSIDE ORGANIZATION OR INSTITUTION. SUBCONTRACTS SHOULD BE SET UP AS SOON AS POSSIBLE AFTER THE RECEIPT OF AN AWARD THE PRINCIPLE INVESTIGATOR (PI) IS REQUIRED TO OBTAIN DOCUMENTATION OF QUOTES FROM ALTERNATIVE VENDORS OR COMPLETED A SOLE SOURCE JUSTIFICATION FORM. IN ADDITION, HE/SHE IS REQUIRED TO PROVIDE INFORMATION OF THE TECHNICAL COMPETENCE OF THE SOLE SOURCE SELECTION. GEORGIA TECH IS RESPONSIBLE FOR ENSURING THAT ALL SUBRECIPIENTS OF ITS SPONSORED RESEARCH AWARDS ARE IN COMPLIANCE WITH APPLICABLE REQUIREMENTS. IN ACCORDANCE WITH OMB CIRCULAR A-133 COMPLIANCE SUPPLEMENT SECTION 3.M, GEORGIA TECH IS REQUIRED TO MONITOR ALL SUBRECIPIENTS EXPENDING $500,000 OR MORE IN FEDERAL AWARDS DURING THE SUBRECIPIENTS FISCAL YEAR WHERE PASS-THROUGH FEDERAL FUNDS PROVIDED BY GEORGIA TECH WERE EXPENDED. THESE GUIDELINES AND PROCEDURES ARE PROVIDED TO ASSIST FACULTY AND STAFF IN ENSURING THAT SUBRECIPIENTS CONDUCT THEIR PORTIONS OF RESEARCH PROJECTS IN COMPLIANCE WITH LAWS, REGULATIONS AND TERMS AND CONDITIONS OF AWARDS AND SUBAWARDS AND THAT PROJECT COSTS INCURRED BY SUBRECIPIENTS ARE REASONABLE AND ALLOWABLE. ROLES AND RESPONSIBILITIES: PRINCIPAL INVESTIGATORS (PI): PI'S HAVE PRIMARY RESPONSIBILITY FOR MONITORING SUBRECIPIENTS TO ENSURE COMPLIANCE WITH FEDERAL REGULATIONS AND BOTH PRIME AND SUBRECIPIENT AWARD TERMS AND CONDITIONS. THE FEDERAL GOVERNMENT PLACES THE PRIMARY RESPONSIBILITY FOR MANAGEMENT OF FEDERALLY FUNDED PROJECTS WITH THE PI. THIS INCLUDES: MONITORING OF SUBRECIPIENT'S TECHNICAL AND PROGRAMMATIC ACTIVITIES RELATED TO THE SUB-AWARD. REVIEW OF TECHNICAL/PERFORMANCE REPORTS AS REQUIRED. THE PI IS RESPONSIBLE FOR VERIFYING THE SUBRECIPIENT WORK IS CONDUCTED IN A TIMELY MANNER AND THAT THE RESULTS DELIVERED ARE IN LINE WITH THE PROPOSED STATEMENT OF WORK. THE PI IS RESPONSIBLE FOR REVIEWING AND APPROVING SUBRECIPIENT INVOICES. THIS INCLUDES REVIEWING EXPENDITURES TO ENSURE THE CHARGES ARE ALLOWABLE, ALLOCABLE, REASONABLE, AND THAT THE CHARGES ARE WITHIN THE PERIOD OF PERFORMANCE. THE PI IS RESPONSIBLE FOR MAINTAINING REGULAR CONTACT WITH THE SUBRECIPIENT. UNIT FINANCIAL OFFICERS (DEPARTMENTAL ADMINISTRATORS): UNIT FINANCIAL OFFICERS (UFO'S) SHOULD ASSIST PI'S IN CARRYING OUT THEIR SUBRECIPIENT MONITORING RESPONSIBILITIES. THIS INCLUDES: REVIEWING INVOICES FROM SUBRECIPIENTS TO ENSURE INVOICES ARE WITHIN THE PARAMETERS OF THE SUB-AWARD BUDGET, AND QUESTIONING EXPENDITURES IF NECESSARY. ENSURE THAT INVOICES ARE APPROVED BY THE PI OR HIS/HER DESIGNEE AND SUBMITTED TO ACCOUNTS PAYABLE IN A TIMELY BASIS. IF THERE ARE ANY UNUSUAL OR EXCESSIVE CHARGES INVOICED BY THE SUBRECIPIENT, THE DEPARTMENT SHOULD REQUEST CLARIFICATION FROM THE SUBRECIPIENT. MAINTAIN COPIES OF ALL INVOICES THAT PROVIDE EVIDENCE OF THE REGULAR REVIEW OF INVOICES BY THE PI. "EVIDENCE" CAN BE IN THE FORM OF AUTHORIZED SIGNATURE BY THE PI OR HIS/HER DESIGNEE, PI'S INITIALS, E-MAIL COMMUNICATIONS, OR NOTES OF MEETING BETWEEN THE PI WITH THE DEPARTMENT ADMINISTRATOR. MAINTAINING DOCUMENTATION OF MONITORING EFFORTS (COPIES OF E-MAIL, PHONE LOG, ETC.). OFFICE OF SPONSORED PROGRAMS (OSP): OSP IS RESPONSIBLE FOR THE OVERSIGHT OF SUBRECIPIENT MONITORING AND ENSURING THAT THE INSTITUTE'S SUBRECIPIENT MONITORING PROCEDURES ARE COMPLIANT WITH FEDERAL AND OTHER APPLICABLE REGULATIONS. THESE RESPONSIBILITIES INCLUDE: OSP IS RESPONSIBLE FOR IDENTIFYING TO THE SUBRECIPIENT THE FEDERAL AWARD INFORMATION (E.G., CFDA TITLE AND NUMBER, AWARD NAME, NAME OF FEDERAL AGENCY) AND APPLICABLE COMPLIANCE REQUIREMENTS, INCLUDING ANY APPROPRIATE FLOW-DOWN PROVISIONS FROM THE PRIME AGREEMENT. DETERMINING WHETHER NOR NOT THE SUBRECIPIENT OR IT'S PI'S ARE DEBARRED OR SUSPENDED FROM RECEIVING FEDERAL FUNDS. ON AN ANNUAL BASIS, OSP WILL REVIEW ALL ACTIVE SUB-AWARDS FOR WHICH MONITORING IS MANDATED. ACCORDINGLY, OSP REQUESTS AUDIT CERTIFICATION LETTERS FROM ALL SUBRECIPIENTS EXPENDING $500,000 OR MORE IN FEDERAL FUNDS DURING THE SUBRECIPIENT'S FISCAL YEAR. THE RETURNED CERTIFICATION LETTERS ARE REVIEWED BY THE OSP AUDIT COORDINATOR TO VERIFY THAT NO AUDIT FINDINGS RELATED TO FEDERAL FUNDS PROVIDED BY GEORGIA TECH ARE REPORTED. IF NO FINDINGS ARE INDICATED, THE OSP AUDIT COORDINATOR WILL INITIAL, DATE, AND NOTATE THAT NO FOLLOW-UP ACTION IS REQUIRED. OSP WILL INQUIRE FURTHER INTO THOSE THAT ARE DEEMED TO REQUIRE CLOSER SCRUTINY, AND TAKE APPROPRIATE ACTION. THE ABOVE LIST IS NOT EXHAUSTIVE OF ALL COMPLIANCE REQUIREMENTS. IN ADDITION TO THE GENERAL ELEMENTS OF COMPLIANCE NOTED ABOVE, THERE MAY BE ADDITIONAL SPONSOR- OR PROGRAM-SPECIFIC REQUIREMENTS THAT MANDATE COLLECTING AND DOCUMENTING OTHER ASSURANCES (E.G. ON LAB ANIMALS, HUMAN SUBJECTS, BIOHAZARDS, ETC.) DURING THE COURSE OF A PROJECT. OSP WILL WORK WITH PIS AND DEPARTMENT ADMINISTRATORS TO ESTABLISH CHANNELS OF COMMUNICATION WITH SUBRECIPIENTS THAT REQUIRE FURTHER SCRUTINY. 0 0 0 0 0 0 0 0 0 RAFAEL L BRAS TRUSTEE 0 380037 0 0 0 10000 0 193862 0 17398 0 601297 0 0 STEPHEN E CROSS PRESIDENT, TRUSTEE 0 336297 0 0 0 0 0 167862 0 17598 0 521757 0 0 STEVEN G SWANT TRUSTEE 0 306777 0 0 0 450 0 121862 0 17598 0 446687 0 0 GARY MAY SECRETARY 0 327270 0 0 0 0 0 67460 0 16840 0 411570 0 0 BARBARA J ALEXANDER ASST SEC. & ASST TREAS. 60686 60686 0 0 0 0 11287 11287 5150 5150 77123 77123 0 0 JAMES G FORTNER ASST SEC. & ASST TREAS. 0 175458 0 0 0 0 0 32450 0 17983 0 225891 0 0 JILDA DIEHL GARTON VICE PRESIDENT 125295 125295 0 0 0 0 22431 22431 8902 8902 156628 156628 0 0 G DUANE HUTCHISON ASST SEC. & ASST TREAS. 38530 136605 0 0 0 0 7112 25216 3669 13009 49311 174830 0 0 PAUL HOUSTON SECRETARY 0 297713 0 0 0 0 0 61862 0 1944 0 361519 0 0 KEVIN WOZNIAK ASST SEC. & ASST TREAS. 90479 60319 0 0 0 0 14585 9723 11122 7415 116186 77457 0 0 ALBERT CONCORD SECURITY OFFICER 0 148770 0 9000 0 0 0 26140 0 2262 0 186172 0 0 SCHEDULE J, PART II THREE GEORGIA INSTITUTE OF TECHNOLOGY (THE INSTITUTE) SENIOR ADMINISTRATORS SIT ON THE BOARD OF THE ORGANIZATION. ALL PARTICIPATE IN A NON-QUALIFIED SUPPLEMENTAL RETIREMENT PLAN STRUCTURED UNDER IRS SECTION 415(M). CONTRIBUTIONS TO THE PLAN IN 2013 WERE FUNDED BY THE INSTITUTE AND ARE INCLUDED IN AMOUNTS DISCLOSED ON SCHEDULE J, PART II COLUMN C: DEFERRED COMPENSATION. DR. RAFAEL BRAS, A TRUSTEE OF THE ORGANIZATION IS PROVOST AND EXECUTIVE VICE PRESIDENT FOR ACADEMIC AFFAIRS OF THE INSTITUTE. STEVEN G. SWANT, A TRUSTEE OF THE CORPORATION IS EXECUTIVE VICE PRESIDENT, ADMINISTRATION AND FINANCE OF THE INSTITUTE. STEPHEN E. CROSS, A TRUSTEE OF THE ORGANIZATION, IS EXECUTIVE VICE PRESIDENT FOR RESEARCH OF THE INSTITUTE. NON-QUALIFIED AMOUNT INCLUDED IN RETIREMENT & OTHER DEFERRED COMPENSATION: STEVEN G. SWANT: $59,000 RAFAEL L. BRAS: $82,000 STEPHEN E. CROSS: $55,000 FORM 990, PART VI, SECTION B, LINE 11 THE FORM 990 IS DISTRIBUTED TO THE FULL BOARD OF THE GEORGIA TECH RESEARCH CORPORATION PRIOR TO FILING AND IS REVIEWED BY THE CONTROLLER. FORM 990, PART VI, SECTION B, LINE 12C GEORGIA TECH RESEARCH CORPORATION HAS A CONFLICTS OF INTEREST POLICY IN PLACE. THE POLICY MUST BE READ AND SIGNED ANNUALLY BY ALL OFFICERS, KEY EMPLOYEES AND BOARD MEMBERS. AN ON-LINE SYSTEM WAS IMPLEMENTED IN 2013. ANY CONFLICTS OF INTEREST ARE REQUIRED TO BE DISCLOSED. FORM 990, PART VI, SECTION B, LINE 15 THE ORGANIZATION HAS NO FULL-TIME EMPLOYEES. KEY PERSONNEL IN SUPPORT OF THE ORGANIZATION ARE GEORGIA TECH EMPLOYEES AND ARE SUBJECT TO THE COMPENSATION GUIDELINES OF THE BOARD OF REGENTS. THE BOARD OF REGENTS PERIODICALLY REVIEWS EMPLOYEE COMPENSATION AND COMPARES IT TO VARIOUS MARKET DATA. FORM 990, PART VI, SECTION C, LINE 19 BYLAWS, ARTICLES OF INCORPORATION, FINANCIALS, CONFLICT OF INTEREST ARE AVAILABLE ON THE ORGANIZATION'S WEBSITE. FORM 990, PART XII, LINE 2C: GEORGIA TECH RESEARCH CORPORATION HAS AN AUDIT COMMITTEE THAT ASSUMES RESPONSIBILITY FOR THE OVERSIGHT OF THE FINANCIAL STATEMENT AUDIT AND SELECTION OF THE ORGANIZATION'S INDEPENDENT ACCOUNTANT. THE AUDIT COMMITTEE ALSO REVIEWS THE FORM 990 BEFORE IT IS FILED. GEORGIA TECH APPLIED RESEARCH CORPORATION 505 TENTH ST NW ATLANTA GA 30332 582374837 SPONSORED RESEARCH FOR GEORGIA INSTITUTE OF TECHNOLOGY GA 501(C)(3) LINE 11C, III-FI GEORGIA INSTITUTE OF TECHNOLOGY 0 GEORGIA INSTITUTE OF TECHNOLOGY 500 TECH PARKWAY ATLANTA GA 30332 586002023 STATE UNIVERSITY GA 115(1) BOARD OF REGENTS 0 GEORGIA TECH FACILITIES INC 225 N AVE LYMAN HALL STE 325 ATLANTA GA 30332 521442293 FINANCING & CONSTRUCTING BUILDINGS FOR GEORGIA INSTITUTE OF TECHNOLOGY GA 501(C)(3) LINE 5 GEORGIA INSTITUTE OF TECHNOLOGY 0 GEORGIA TECH GLOBAL INC 221 UNCLE HEINIE WAY NW ATLANTA GA 303320257 271070747 SUPPORT INTERNATIONAL ACTIVITIES OF GIT GA 501(C)(3) LINE 11A, I GEORGIA INSTITUTE OF TECHNOLOGY 0 GLOBAL CENTER FOR MEDICAL INNOVATION INC 75 5TH STREET NW ATLANTA GA 30332 264723391 RESEARCH GA 501(C)(3) LINE 7 N/A 0 HOME PARK LEARNING CENTER INC 500 TECH PARKWAY ATLANTA GA 30332 582644893 CHILD CARE GA 501(C)(3) LINE 11A, I GEORGIA INSTITUTE OF TECHNOLOGY 0 SOUTHERN LIGHT RAIL INC 225 N AVENUE NW ATLANTA GA 30332 300240711 COMMUNICATION SERVICES GA 501(C)(3) LINE 7 GEORGIA INSTITUTE OF TECHNOLOGY 0 GEORGIA TECH ATHLETIC ASSOCIATION 150 BOBBY DODD WAY NW ATLANTA GA 30332 580622514 ATHLETICS GA 501(C)(3) LINE 7 GEORGIA INSTITUTE OF TECHNOLOGY 0 GEORGIA ADVANCED TECHNOLOGY VENTURES INC 225 N AVENUE NW ATLANTA GA 30332 582538285 ECONOMIC DEVELOPMENT GA 501(C)(3) LINE 11C, III-FI GEORGIA INSTITUTE OF TECHNOLOGY 0 0 1 0 1 0 0 0 0 0 1 1 0 0 1 1 1 1 0 0 GEORGIA INSTITUTE OF TECHNOLOGY B 293503674 COST GEORGIA TECH FACILITIES INC D 20370476 COST GEORGIA INSTITUTE OF TECHNOLOGY J 7607042 COST GEORGIA TECH FACILITIES INC K 1454900 COST GEORGIA INSTITUTE OF TECHNOLOGY P 5754557 COST GEORGIA TECH APPLIED RESEARCH CORPORATION Q 657020 COST GEORGIA TECH APPLIED RESEARCH CORPORATION O 1606210 COST GEORGIA TECH GLOBAL Q 8705 COST GEORGIA TECH APPLIED RESEARCH CORPORATION N 0 COST