office for sponsored research supporting research excellence
TRANSCRIPT
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
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
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
OVERVIEW: ORGANIZATION
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.
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
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
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
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
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
PRE-AWARD: PROPOSAL DEVELOPMENT
Solicitations
FOA – Funding Opportunity Announcement RFP – Request for Proposal RFQ – Request for Quote
Submission Process Grants.gov IIPS FedConnect
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
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
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
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)
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
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
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
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
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
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
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
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
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**
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
That’s all Folks