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Office for Sponsored Research Supporting Research Excellence

Office for Sponsored Research Supporting Research Excellence

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Page 1: Office for Sponsored Research Supporting Research Excellence

Office for Sponsored Research

Supporting Research Excellence

Page 2: Office for Sponsored Research Supporting Research Excellence

Department of Energy (DOE) Overview

OSR Brownbag PresentationNorris University CenterJune 24, 2009

Mary Ann EdgellGrant and Contract OfficerOffice for Sponsored Research

Charlotte A. (Trink) NewmanAssociate DirectorOffice for Sponsored Research

Page 3: Office for Sponsored Research Supporting Research Excellence

AGENDA

I. DOE Overview

II. DOE Awards to Northwestern FY 2008

III. Pre-award: Proposal Development

IV. Post-award: Administration and Reporting

V. For More Information

Page 4: Office for Sponsored Research Supporting Research Excellence

OVERVIEW: HISTORY

Manhattan Project - 1942 – Build the Bomb

Atomic Energy Commission (AEC) – 1946– Civilian Government Control - Cold War Years

Atomic Energy Act – 1954– Commercial Nuclear Power Industry

AEC Abolished – 1974– Nuclear Regulatory Commission

Regulate nuclear power industry

– Energy Research and Development Administration Manage development programs

Department of Energy – 1977– One agency

Page 5: Office for Sponsored Research Supporting Research Excellence

OVERVIEW: ORGANIZATION

Page 6: Office for Sponsored Research Supporting Research Excellence

OVERVIEW: ORGANIZATION

DOE - principally national security agency - missions flow from core mission to support national security. DOE’s various missions are

managed by Program Offices.

Operation Offices - DOE offices located outside Wash DC area that oversee activities in support of two or more of the four missions

assigned to the Department.

Laboratories and technology centers - world-class facilities where more than 30,000 scientists and engineers perform cutting-edge

research.

Page 7: Office for Sponsored Research Supporting Research Excellence

OVERVIEW: PROGRAM OFFICES

Office of Civilian Radioactive Waste Management

Office of Electricity Delivery and Energy Reliability

Office of Energy Efficiency & Renewable Energy

Office of Environmental Management Office of Fossil Energy Office of Legacy Management Office of Nuclear Energy Office of Science

Page 8: Office for Sponsored Research Supporting Research Excellence

OVERVIEW: OPERATIONS OFFICES

Carlsbad Field Office Chicago Operations

Office Golden Field Office Idaho Operations Office National Nuclear

Security Administration Service Center

Oak Ridge Operations

Ohio Field Office Richland Operations

Office Office of River

Protection Rocky Flats Savannah River

Operations Office Yucca Mountain

Page 9: Office for Sponsored Research Supporting Research Excellence

OVERVIEW: NATIONAL LABORATORIES

Ames Laboratory Argonne National

Laboratory Brookhaven National

Laboratory Fermi National

Accelerator Laboratory Idaho National

Laboratory Lawrence Berkeley

National Laboratory Lawrence Livermore

National Laboratory

Los Alamos National Laboratory

National Energy Technology Laboratory

National Renewable Energy Laboratory

New Brunswick Laboratory

Oak Ridge Institute for Science and Education

Oak Ridge National Laboratory

Page 10: Office for Sponsored Research Supporting Research Excellence

OVERVIEW: NATIONAL LABORATORIES

Pacific Northwest National Laboratory

Princeton Plasma Physics Laboratory

Radiological and Environmental Sciences Laboratory

Sandia National Laboratories

Savannah River Ecology Laboratory

Savannah River National Laboratory

SLAC National Accelerator Laboratory

Thomas Jefferson National Accelerator Facility

Page 11: Office for Sponsored Research Supporting Research Excellence

DOE AWARDS AND PROPOSALS FY 2008

DOE Awards FY 2008 $10.8 million awarded

2.5% of all sponsored research 3.3% of Federal support

DOE Proposals FY 2008$31.1 million proposed1.9% of all proposed sponsored research2.2% of proposed Federal support

Page 12: Office for Sponsored Research Supporting Research Excellence

PRE-AWARD: PROPOSAL DEVELOPMENT

Solicitations

FOA – Funding Opportunity Announcement RFP – Request for Proposal RFQ – Request for Quote

Submission Process Grants.gov IIPS FedConnect

Page 13: Office for Sponsored Research Supporting Research Excellence

PRE-AWARD: PROPOSAL DEVELOPMENT

Follow solicitation requirements Deadline of 11:59 PM ET (10:59 PM CT)

not unusual If deadline is later than 5pm local time,

remember OSR standard business hours are 8:30a.m. – 5:00p.m.

Fundamental research must be primary focus

Page 14: Office for Sponsored Research Supporting Research Excellence

PRE-AWARD: PROPOSAL DEVELOPMENT

Budget and Justification – Detailed– Specific

Budget Calculation– F&A– Fringe

Equipment– Vendor quotes or estimates– If Government retains title – F&A

applied– If NU retains title – no F&A

Subaward– LOI– Budget– Scope

Supplies– Details

Travel– Purpose– Destination

Tuition Personnel

– Effort in months– Escalation– Role

Services– Rates– Estimated usage

Page 15: Office for Sponsored Research Supporting Research Excellence

PRE-AWARD: CALCULATING COST SHARE

Total Project Cost Known

1. Total Project Cost $500,0002. 20% Cost Share Required3. $500,000 X 20% = $100,0004. $400,000 DOE + $100,000 CS = $500,000

Page 16: Office for Sponsored Research Supporting Research Excellence

PRE-AWARD: CALCULATING COST SHARE

DOE Share Known

1. DOE Funding = $400,000

2. 20% Cost Share of Project Total Required

3. $400,000 ÷ .80 = $500,000 (calculate total)

4. $500,000 - $400,000 = $100,000 (cost share)

Page 17: Office for Sponsored Research Supporting Research Excellence

PRE-AWARD: DE-PS02-09ER09

Office of Science Administered by Chicago Operations at

Argonne Solicitation DE-PS02-09ER09-01

– Unsolicited proposals Solicitation DE-PS02-09ER09-02

– Supplements and Renewals No cost share required Applications created using grants.gov forms Subject to EO 12372

Program has not been selected by state on SF424

Page 18: Office for Sponsored Research Supporting Research Excellence

PRE-AWARD: DE-PS02-09ER09

Narrative – First page must include– Applicant/Institution – Always Northwestern

University– Street Address/City/State/Zip – 633 Clark Street– Principal Investigator– Address – PI’s address– Telephone Number – PI’s– Email – PI’s– DOE/Office of Science Program Office– DOE/Office of Science Technical Program Manager

Contact– Collaboration? Provide required information

Page 19: Office for Sponsored Research Supporting Research Excellence

PRE-AWARD: DE-PS02-09ER09

Project Summary/Abstract– Name of applicant = Northwestern University– Project Director/Principal Investigator(s)– Project Title– No proprietary or business sensitive info allowed

Narrative includes– Bios– Current & Pending– LOI’s– Facilities & Resources– Literature cited

Page 20: Office for Sponsored Research Supporting Research Excellence

IV. Post-award: Administration and Reporting

A. Read terms & conditions carefully on grants and contracts B. Grants and Cooperative Agreements—Research Terms &

Conditions and Agency Specific RTC’s apply1. Awards may be incrementally funded

o Example: $100,000 funding approved for budget period, $30,000 authorized (obligated) for spending, DOE increases spending authorization periodically

2. Keep the same DOE award number for the life of the award, including renewals

3. Cooperative Agreements include substantial involvement of the government agency in the project

Page 21: Office for Sponsored Research Supporting Research Excellence

IV. Post-award: Administration and Reporting

5. Standard RTC’s include: 90-day pre-spend Grantee-approved NCE of one year

o at end of budget segment may be interpreted as project end – don’t use if renewal is expected

Rebudgeting allowable excepto scope change (e.g., ≥ 25% of total award to a single

line)o subawardee is foreign o ≥ 25% programmatic effort is transferred to/from subo PI effort is reduced 25% or more

Continuation application only if BP end not = PP end;o 90 days before—see DOE RTC’s

Page 22: Office for Sponsored Research Supporting Research Excellence

IV. Post-award: Administration and Reporting

C. Research Terms & Conditions Exceptions (see RTC Matrix handout) or as specified in the award- Prior approvals different from the usual include

1. Addition of subawards >25% of the total award2. Interest penalties for late payment not allowable3. Use of sponsor budget forms for budget revisions not

required but must be in same format as original4. See Agency Specific RTC’s for IP matters

Page 23: Office for Sponsored Research Supporting Research Excellence

IV. Post-award: Administration and Reporting

D. Contracts are awarded with FAR Clauses (Federal Acquisition Regulations) and include DEAR Clauses Subcontracts from the national labs

E. Related AgenciesANL—Basic Ordering Agreement (BOA) for most of our actions but not Joint Appointments

a. Budget generally to support foreign graduate students includes stipend, $5,000 for tuition, travel & supplies, and no F&Ab. Research with post docs or faculty—same as usual—include salary, benefits, and on or off campus F&A

NREL—caps F&A and Fringe rates for the life of the projectNETL & Golden—only difference is communication with different units

Page 24: Office for Sponsored Research Supporting Research Excellence

IV. Post-award: Administration and Reporting

F. Reporting

1. PI sends all technical progress reports to the contact indicated on the award, timing and due dates of reports identified on the Federal Assistance Reporting Checklist, DOE F 4600.2 included with award

2. Technical questions to the DOE Project Officer identified in the award; administrative to DOE Contracting Officer or Award Admin via OSR.3. Financial reporting and invoicing handled by ASRSP

DOE—monthly draw; quarterly financial reportANL—invoice monthly

4. Invention reporting facilitated by OSR through Nancy Temkin, who contacts TTP for verification

Page 25: Office for Sponsored Research Supporting Research Excellence

IV. Post-award: Administration and Reporting

5. Property reporting and disposition of property: handled by Accounting Services with ASRSP approval- ANL—report equipment > $5,000 with tag #, price, serial #; yearly tracking although we retain ownership; also sensitive property, i.e., can be readily converted to cash such

as laptops, light meters, photo and video equipment- DOE—No big ticket items or repairs in the last 3 months

unless a renewal is expected

6. Guaranteed that at least 2 DOE awards will be chosen each year for the A-133 Audit—documentation will include a list of all journal transactions, subcontracts, random other expenses

**QUESTIONS**

Page 26: Office for Sponsored Research Supporting Research Excellence

V. For More Information

Contacts1. OSR: Questions regarding this presentation –

Mary Ann Edgell: [email protected] A. “Trink” Newman:

[email protected]. ASRSP: Financial Reporting and Invoicing - Frank Cutting

[email protected]. ASRSP: Travel, Equipment, Consulting - Jany Raskina

[email protected]

Page 27: Office for Sponsored Research Supporting Research Excellence

That’s all Folks