proposal and award ( panda ) training
DESCRIPTION
Proposal and Award ( PandA ) Training. Topics / Agenda. PandA Introduction – Valerie Koch Proposal Preparation and Submission - Valerie Koch Contract Management – Gina Taberski Direct Awards Procurement Financial Compliance – Anita Monk-Ryan Salary Access Compliance – Valerie Koch - PowerPoint PPT PresentationTRANSCRIPT
1PROPOSAL & AWARDS TRAINING
PROPOSAL & AWARDS TRAINING
CONFIDENTIAL AND PROPRIETARYAny use of this material without specific permission of UCAR-NCAR is strictly prohibited
Proposal and Award (PandA) Training
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Topics / Agenda PandA Introduction – Valerie Koch Proposal Preparation and Submission - Valerie Koch Contract Management – Gina Taberski
o Direct Awardso Procurement
Financial Compliance – Anita Monk-Ryan Salary Access Compliance – Valerie Koch Break PandA Overview – Valerie Koch PandA Demonstration – Valerie Koch Turn in Salary Access Form
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PandAA System That Meets a Corporate Need
The development team put their heads together,
gathered lots of data through user input,
considered all facets of proposals from initial development through submission, and designed a customized system to meet the needs of UCAR.
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A Comprehensive System for Managing Proposals and Awards
PandA collects & stores data in a central database Proposal
o Access to all proposal data in one central locationo Document managemento Online workflow and approvalso Robust budgeting toolo Proposal package generation tool for submission
Awards - currently under developmento Pre-award actionso Deliverable and report trackingo Post-award actions
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Why are we here today?
Required Training for Users of the Proposal and Awards System (PandA) All Users of the PandA system are expected to know:
o PandA will be the system for proposal preparation and submission• Replaces Advance Notice
o Responsibilities associated with your roles as Userso Relevant UCAR policies & procedures regarding:
• Proposal preparation and submission• Contract management
– Direct Awards– Procurement– Financial Compliance
• Access to confidential salary information for proposal budget preparation
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PandA Access
Sign in for today’s training session Return a signed salary access authorization form Lab Administrator & NCAR B&P approval of role
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PROPOSAL & AWARDS TRAINING
CONFIDENTIAL AND PROPRIETARYAny use of this material without specific permission of UCAR-NCAR is strictly prohibited
NCAR Proposal Policies & ProceduresNCAR BUDGET AND PLANNING OFFICE
VALERIE KOCHMANAGER, PROPOSAL OPERATIONS
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Topics NCAR as an FFRDC / Funding Sources Proposal Guidance / Requirements
o NSF Cooperative Agreement Requirements• President’s Advisory Committee for University Relations
(PACUR) Requirementso UCAR Proposal Policyo Sponsor Guidance / Requirements
• Rules Specific to NSF Proposals
Roles, Responsibilities, and Approvals NCAR Proposal Web Page Contacts Questions
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NCAR Funding
NCAR is an FFRDC (Federally Funded Research & Development Center) Funding announcements may restrict FFRDC participation
NSF Base Budget56%
Non-NSF Expenditures
34%
NSF Special Expenditures
10%
NCAR FY2013 Total Funds$159.47M
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NSF Coop Agmt Requirements NCAR may use staff and/or facilities on outside funded
projects if activities:o Fall within the mission of NCARo Do not utilize staff / facilities (HPC, planes, models, machine shop,
etc.) in an unfair manner• Should not create an unfair advantage that would impact universities or
others from obtaining fundingo Do not impact NSF base activities negatively
NCAR cannot respond to competitive Federal RFPs that would result in a Federal Contract with UCAR
NCAR required to provide NSF access to proposal infoo Key proposal information, budget, and full proposal
NCAR is required to involve the university community in a review of proposals (PACUR)o Review proposals in excess of $100,000o Retrospective review
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NSF Cooperative Agreement Requirements
NCAR PIs required to respond to a series of questions:o PACUR Criteria
• Explain how proposal is relevant to mission of NCAR• Identify facilities to be used and any unfair advantage• Explain how proposal is collaborative w/ university or supportive of university
community• Justify use of co-sponsorship (leveraging NSF base funding)
o Additional NSF Criteria• Reasons for seeking outside funding• Impact of project on NSF base program• Explanation for no university collaboration (community support proposals)
o PACUR and NSF responses required for ALL proposals requesting funding• Regardless of $ Amount
What about MOUs and Unfunded Collaborations?Required to collect/track key information, yet PACUR & NSF criteria not required.
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PACUR RequirementsPresident’s Advisory Committee on University Relations
A committee of individuals from UCAR Member Universities
PACUR performs a review of how well proposals adhere to the agreed criteriao Review provides assurance that there is no unfair competitiono Mechanism to encourage collaboration between NCAR & universities
• Select a sample of proposals across all NCAR labs & collaboration levels• NCAR provides responses to criteria, budgets, & collaboration letters• PACUR writes report summarizing compliance of proposals &
recommendations• NCAR responds to report• Final report is presented to NSF, UCAR President and University Members
NSF reviews report for monitoring purposes
http://www.ucar.edu/governance/committees/urc/subcom.shtml
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UCAR Funding Proposal Policy UCAR Policy on Funding Proposals – section 5-6
o All proposals for funding from government agencies, universities, private foundations, individuals, industry, and industrial associations are subject to an internal review and approval process before submission. The proposed activity must be designed to maintain the breadth and quality of UCAR research and facility programs, promote the coherence of the overall UCAR program, foster university collaboration and interaction, and ensure a continuing focus on agreed-upon institutional objectives. In seeking such funding, UCAR must avoid unfair competition with the university community and industry.
All NCAR proposals require: o Lab Director Approvalo NCAR Budget and Planning Office Approval
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Sponsor Requirements Proposal requirements and guidance differ by sponsor
o From required content to specific margins and font to submission method
Individual sponsor announcements also contain unique requirementso Eligibilityo Limited Submissions
• Must coordinate submissions across UCARo Budget Restrictions
• Limitations on overhead or fee– Requires additional processes such as Cost Sharing, STORM or
UCAR Management Fee Waiver
RFPs have terms and conditions that must be reviewed by Contracts prior to submission
Contact your Lab
Administrator and NCAR Budget &
Planning early in the process
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Requirements for NSF Proposals NCAR may submit NSF proposals in response to:
o Program Solicitations (Solicited)o Program Announcementso Program Descriptions o Dear Colleague Letters o Requests from Program Officers
• NCAR will not submit unsolicited proposals to NSF/GEO/AGS without written permission from NSF
– Unsolicited research proposals to AGS are strongly discouraged• NCAR should contact AGS program manager concerning solicited proposals sponsored by
AGS– NCAR B&P will acquire approval from NSF
o Maximum 2 month salary per year across all NSF Grants• PIs or Co-PIs (regardless of UCAR job category)• Ladder Track Scientists including Scientists I, II, III, Sr. Scientists • Anyone else listed as Sr. Personnel in proposal
o Proposals in response to solicitations sponsored by AGS require a 2 page impact statement before submission
(Unsolicited)
Unfunded collaborations do not require NSF approval
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Proposal Roles and Responsibilities
Lab
/ Div
ision
• Review sponsor announcement.
• Prepare PandA forms, PACUR criteria & Budget.
• Work with B&P on necessary changes.
• Prepare all sponsor proposal documents.
• Ensure proposal follows sponsor guidelines.
• Complete sponsor electronic proposal packages.
• Submission of final hardcopy proposals.
NCA
R B&
P • Review sponsor announcement & confirm NCAR’s eligibility and other restrictions.
• Review budget and PandA forms.
• Review PACUR responses and adherence to criteria.
• Work with Lab on necessary changes.
• Review final proposal packet against sponsor guidelines.
• Approve final proposals.
• Submission of NSF FastLane proposals.
Cont
ract
s • Review Terms & Conditions if required (RFPs & BAAs).
• Work with B&P & Lab/Division on RFP documents.
• Submission of proposals through Grants.gov and NSPIRES.
• Sign certifications for NSF FastLane proposals.
• Sign NSF 1030 budget forms for hardcopy proposals..
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Proposal Roles and Responsibilities
Feasibility Review(Division/Program DIR)• Evaluate resources
necessary to conduct the work (space, staff time, HPC, etc).
• Rank project’s relevance with the lab’s research objectives.
• Take into consideration any budget restrictions or cost share imposed by the sponsor.
PACUR Approval(Division/Program DIR)• Confirm project’s
alignment with NCAR’s imperatives and/or frontiers.
• Verify project does not utilize NCAR’s facilities in an unfair manner.
• Confirm project is supportive of the university community.
• Consider project’s impact on base funded work.
Final Proposal Approval(LAB DIR)• Replaces Transmittal
Memo• Final Approval:
• Confirms all concerns and questions have been addressed.
• Confirms availability of resources necessary to conduct work.
• Confirms project is aligned with lab research objectives.
Division/Program/Facility Manager and Lab Director Review /Approval
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Proposal Changes with PandA Feasibility Review/Approval Responses to PACUR criteria no longer required for
zero dollar proposals o Unfunded Collaborationso MOUs
Common responses to PACUR Criteria for proposals $300k or Lesso Check box vs. data entry
Export Compliance questions o Required for each proposal
PANDA Proposal forms ARE required for Zero Dollar Proposals
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NCAR Proposal Website
http://ncar.ucar.edu/budget-and-planning/proposals
https://ncar.ucar.edu/budget-and-planning/proposals
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ContactsContact your lab/division administrator regarding
lab/division internal proposal process
Contacts:o Proposal Operations:
• Valerie Koch x 1113• Andrea Martinez x 1106• Christina Book x 1107
Proposal Email: o [email protected]
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Questions ?
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PROPOSAL & AWARDS TRAINING
CONFIDENTIAL AND PROPRIETARYAny use of this material without specific permission of UCAR-NCAR is strictly prohibited
Contract Related Activities
GINA TABERSKIPETER CHAMBERLAIN
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Contract Related ActivitiesProposal Stage
Review Sponsor Issued Solicitations:o Broad Agency Announcementso Request for Proposalso Request for Quoteso Others
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Contract Related ActivitiesProposal Stage
Review and Approve Sponsor Required Certifications including, but not limited to:o A133 – Audit Certificationo Human Subjects Disclosureo Lobbying Disclosureo NASA – China “Foreign Person” Restrictiono Organizational/Principal Investigator Debarmento Outstanding Federal Debto Principal Investigator - Financial Interest Disclosureo Other
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Contract Related ActivitiesProposal Stage
Submit proposals requiring approval by UCAR Authorized Organizational Representativeo DTRAo Grants.gov (generally all NOAA proposals)o NSPIRES (NASA proposals)o NSF – Fastlane – organizational certification onlyo PAMS – DOE proposalso Others as required
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Contract Related ActivitiesProposal Stage
When proposing a project to a sponsor, upon submission, the PI is committing, not only themselves, but the institution to do this work.
Statements of Work need to be reviewed carefully to help ensure they do not include any unintended commitments.
Contracts may ask to review Statements of Work if responding to Request for Proposal.
Contract staff are available to review Statements of Work upon request.
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ContractsDirect Award Activities
Overarching Responsibility: o Contract Administrators are responsible for:
• the receipt; • negotiation; and • acceptance of all incoming funded and no-cost
agreements.
o Contracts also assists entity budget offices, finance, labs and programs with compliance and award actions.
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ContractsDirect Award Activities
What types of award actions generally require UCAR to seek approval from the sponsor?
o Significant program changes – (changes in the statement of work)
o Principal investigator change or a reduction in efforto Reprogramming (overhead, equipment, issuance of
subcontract)o Changes in deliverable scheduleo No cost extensions
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ContractsDirect Award Activities
Principal Investigator (PI) and named Co-PIs are responsible for:o Conduct of the projecto Compliance with award terms and conditions*o Subawardees/Subcontractors – oversighto Export complianceo Deliverables (project reports and other deliverables, invention
disclosure/reporting)o Obtaining required approvals for:
• Equipment purchases• Reprogramming of Funds (e.g., subcontracting/ equipment/ travel/PSC) • Indirect Rate – Limitations
*Lab/Program Administration may assist; however, PI is legally responsible for award overall compliance.
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Contracts - General
Who is authorized to commit the corporation?o The President has delegated the responsibility of
preparation, execution, and administration of UCAR direct awards, subcontracts, and other agreements to the Contracts Office per UCAR Policy 5-1.
o Only those with contractual authority may make commitments on behalf of the corporation.
o Commitments made by personnel without proper contractual authority is prohibited, and shall be subject to review by Contracts and may require a ratification by the Vice President for F&A.
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ContractsExport Compliance
Export controls govern the transfer, distribution, disclosure, and shipment of:o certain controlled information, software code, tangible items o provision of certain services to Foreign Persons and countries
Most of the work that UCAR undertakes involves uncontrolled fundamental research that may be shared freely with Foreign Persons.
For purposes of export control, a Foreign Person is defined as: Anyone who is not a U.S. citizen or a green card holder.
Export questions may be directed to lab/program Export Compliance Coordinator or UCAR’s Export Compliance Manager, Dave Sundvall (x8898)
Export Website – http://www.fin.ucar.edu/export/index.html
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ContractsPurchasing Related
Activities
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ContractsPurchasing Related Activities
The Contracts Office is also responsible for the procurement of goods and services required to support all UCAR/NCAR/UCP lab and program related activities.
This responsibility includes the negotiation and administration of subcontracts, subawards, leases, consulting agreements, purchase orders, etc.
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ContractsVendor Relations
UCAR prohibits purchases from UCAR employees, their immediate families, or their business affiliates except under limited conditions. UCAR Acquisition of Goods and Services, Policy 5-8.
No employee shall perform consulting services or engage in other employment for, or business with, UCAR suppliers without written approval of the UCAR President or NCAR Director as outlined in the UCAR Policy 6-9 on Outside Employment.
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ContractsVendor Relations
Solicitation or acceptance of gifts, gratuities, kick-backs, fees or commissions, with the intent of influencing the award to a specific firm or business is forbidden. UCAR Policy 2-3, Conflict of Interest. The UCAR Contracts Code of Ethics limits acceptable gifts to no more than $20.
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ContractsPurchasing Related Activities
Employees may make purchases and request reimbursement from petty cash for purchases up to $100 or obtain reimbursement via a Check Request up to $500.
UCAR Purchasing Card (UPC) program provides a credit card to authorized employees to make purchases and have them billed directly to UCAR.
Purchase Orders/Subcontracts/Subawards/Blanket Orders, etc. Acquisitions less than $10,000 do not require competitive bids, however
competition is a best business practice and should be obtained if it appears to be in the best interests of UCAR to do so.
Acquisitions equal to or greater than $10,000 require competition prior to award unless there is a valid “sole source justification”.
Shipments: All shipments must be made to UCAR Shipping and Receiving, unless a written waiver is granted:UCAR3090 Center Green DriveBoulder, CO 80301
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ContractsPurchasing Related Activities
Sole Source Justification
What does Sole Source mean? There is only one known source, after reasonable market investigation has been done, to satisfy a specific requirement. Supplier may have unique or patented technologies that could exclude other Subcontractors or Subawardees from the specific procurement.
What is needed for a Sole Source Justification? Completed and signed Sole Source Justification Form At point of proposal – A proposal’s statement of work that
clearly identifies the Co-PI/Co-I as a member of the proposal team
Documentation of why a specific supplier is the most practical supplier even when other suppliers exist.
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ContractsRatifications and Waivers
What is a ratification or a waiver? – Is the act of officially authorizing or sanctioning an unauthorized action.
Areas requiring most frequent ratifications/waivers include: Check Request – exceed $500 limit Shipping Location - Non-Approved UCAR location Purchasing Guidance can be found at:
o Check Request: http://www.fin.ucar.edu/contracts/contracts/guideline/internal/POvsCheckReq.html
o Procurement Guide: http://www.fin.ucar.edu/contracts/contracts/guideline/cp_fguide.html
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PROPOSAL & AWARDS TRAINING
CONFIDENTIAL AND PROPRIETARYAny use of this material without specific permission of UCAR-NCAR is strictly prohibited
Questions?
40PROPOSAL & AWARDS TRAINING
PROPOSAL & AWARDS TRAINING
CONFIDENTIAL AND PROPRIETARYAny use of this material without specific permission of UCAR-NCAR is strictly prohibited
Compliance Issues
ANITA MONK-RYANMANAGER, PROJECT ACCOUNTING
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Circular Compliance
OMB Circular A-110: Administration of grants and agreements
OMB Circular A-122: Cost Principles OMB Circular A-133: Audit Requirements
http://www.whitehouse.gov/omb/circulars_index-education
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OMB Circular A-110
Institutions of Higher Education, Hospitals, and Other Non-Profit Organizationso Administration of grants and agreements
• Pre-award requirements• Post award requirements• Close out requirements
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OMB Circular A-122
Cost Principles for Non-Profit Organizationso Principles for determining costs
• Factors affecting allowability of costs. To be allowable under an award, cost must meet the following general criteria:– Be reasonable for the performance of the award and be
allocable thereto under these principles– Be consistent with policies and procedures that apply
uniformly to both federally financed and other activities of the organization.
– Be accorded consistent treatment– Be adequately documented
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OMB Circular A-122 Attachments
Attachment Ao Direct vs. Indirect costso Allowability and allocability of costso Determination of indirect cost rateso Negotiation of rates by cognizant audit agency
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OMB Circular A-122 Attachments
Attachment Bo Selected items of cost such as
• Advertising• Alcoholic Beverages• Entertainment Costs• Fines and Penalties• Participant Support Costs• Lobbying
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OMB Circular A-133
Audits of States, Local Governments, and Non Profit Organizationso Sets forth standards for obtaining consistency and
uniformity among Federal agencies for the audit of States, local governments, and non-profit organizations expending Federal Awards.
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OMB Circular A-133 items
Audit requirements Auditee responsibilities Auditor responsibilities Instructions for submitting the audit report to
the Federal Audit Clearing House for the US Cenus Bureau
http://harvester.census.gov/sac/
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PROPOSAL & AWARDS TRAINING
CONFIDENTIAL AND PROPRIETARYAny use of this material without specific permission of UCAR-NCAR is strictly prohibited
Salary Access Training
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Salary Access Guideline
Employee salaries are confidential information covered under three UCAR Policies: Ethical Conduct Policy (2-1) Employee Personnel Records Policy (6-2) Access and Use of Computer and Informatio
n Systems Policy (3-6)
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Ethical Conduct Policy
UCAR is committed to upholding high ethical standards in all of its scientific, technical, educational, and administrative operations.
Consistent with this commitment, UCAR expects its employees to act with integrity and to exhibit behaviors that merit public trust and confidence.
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Employee Personnel Records Policy
Each UCAR employee has a responsibility to exercise reasonable and prudent efforts to safeguard the privacy, confidentiality and security of Employment Records and the Personal Information of our current and former employees.
o Access to Employment Records or Personal Information regarding an employee is…for official business purposes…authorized by the Director of Human Resources.
o Non-electronic records must be disposed of in a manner that safeguards Personal Information and ensures the confidentiality of Employment Records, typically by shredding such documents.
o Employees must not dispose of UCAR computers or portable electronic storage devices containing Sensitive Personal Information unless such disposal is done in a secure manner…
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Access and Use of Computer Information Systems Policy
Authorized users must access and use all computer and information systems in an ethical and legal manner and without adverse effect on its employees.
UCAR computer and information systems shall not be used to violate any UCAR policy.
UCAR management may access any user's computer and information system(s) to review the manner of their use in order to ensure compliance with this policy.
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Salary Access
PI/Co-PI and Administrators may access salary information for the explicit use of preparing proposals.
Any other access of salary information will be considered a violation of policy. Including grounds for termination
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Agreement to Access Salary Data
Only those employees whose jobs require access to UCAR salary information shall be authorized access.
Prior to authorization and access, all such employees are required to sign UCAR's Salary Access form, thereby acknowledging and agreeing that they understand and shall abide by UCAR policies concerning access and use of salary information.
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* Sign Salary Access Form
* Break
* PandA Demonstration
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Business Process Changes
PandA replaces the Advance Notice system Central repository for all proposal related
documentation • Ability to share and receive feedback in a centralized location and format
Online workflow and approvals to process proposals from initiation through submission
Advantages of Budgeting within PandA system:o Ability to create budgets with latest salary informationo Ability to budget staff from your Lab/Division/Program, as well as staff
from outside your division who are planned on your proposal effort.o Centrally managed business rules reduce potential for calculation
errors that can occur in Excel.
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Business Process Changes
Division/Program Director will now be required to formally approve the feasibility study. o This will be done in the PandA system
Division/Program Director will also be required to formally approve PACUR questions.o Due by B&P required 10 day deadline.
Lab Director required to approve final proposal. Timeline – while the NCAR B&P deadlines
remain the same, please be aware additional time may be needed in advance for the approvals and deadlines to process proposals.
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Terminology Role - Who you are in the
system Security - Defines what roles
can take an action or see a proposal
Workflow - How the system moves a proposal through the corporate approval process
State - Identifies the current stage of the process
Activity - An action that causes a proposal to move between States or generation of a report
Budget - Refers to budget forms and grids together
Budget Grid - Where you enter budget numbers
Inbox - Items awaiting your action
Form - A form that collects data and displays questions based on your input
Workspace – A summary view of proposal, budget or PACUR information
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PandA Roles
Proposal Team Roles
•PI – Principal Investigator•PT – Proposal Team (Co-PI, Co-I, Collaborator, Scientific Contributor)
Program Administration•LAB – Lab Director•DIR – Division or Program Director•PA – Program Administrator•AST – Program Administrative Support Team
Entity Roles
•ENTDIR – Entity Director•BOD – Budget Office Director•BO – Budget Office Administrator
Contracts
•CD – Contracts Director •CA – Contract Administrator•CAA – Contract Administrative Assistant
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Role DefinitionsPANDA User Roles and Definitions
PI – Principal Investigator - The NCAR staff responsible for the direction of the proposal/project. (an NCAR PI is required for all proposals)
PT – Proposal Team (Co-PI, Co-I, Collaborator) - Members of the proposal’s science team including staff from other NCAR Labs or UCP Programs. Non-UCAR staff will not have assigned roles within PandA.
LAB – Lab Director - Director within the Lab who is responsible for confirming project’s alignment with the Lab’s research objectives.
DIR – Division or Program Director - Director or Facility Manager within the Division/Program who is responsible for assessing project’s relevance with the Division’s research objectives and approving PACUR criteria.
PA – Program Administrator - The staff person within the Lab responsible for administering and approving the proposal. Note all PAs will also be assigned the AST role to accommodate access to multi-lab or cross-entity proposals.
AST – Program Administrative Support Team - The staff within the Lab who will support the proposal development.
ENTDIR – Entity Director - Individual within the NCAR Directorate who is responsible for confirming project’s alignment with NCAR's research objectives and adherence to PACUR criteria.
BOD – Budget Office Director - Manager within NCAR Budget & Planning responsible for reviewing and approving adherence to PACUR criteria, eligibility, and alignment to NCAR’s mission.
BO – Budget Office Administrator - The staff person within NCAR Budget & Planning responsible for reviewing and approving the proposal, budget and PACUR.
CD – Contract Director - UCAR Contract Director responsible for reviewing requests for proposals, reviewing and approving sponsor certifications, and overseeing the submission of electronic proposals.
CA – Contract Administrator - The staff person within UCAR Contracts responsible for reviewing requests for proposals, reviewing and approving sponsor certifications and submitting electronic proposals.
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Lab/Division Activities by Role Principal Investigator
o Proposal• Initiate proposal• Full proposal development
o PACUR• Initiate PACUR
o Budget• Initiate budget• Designate budget for
submission Proposal Team Member
o Proposal• Initiate proposal• Full proposal development
o PACUR• Initiate PACUR
Administrative Support Teamo Proposal
• Initiate proposal• Full proposal development
o PACUR• Initiate PACUR
Administratoro Proposal
• Initiate proposal• Issue feasibility approval• Full proposal development• Approve proposal• Submit hard copy proposals
o PACUR• Initiate PACUR• Approve PACUR
o Budget• Initiate budget• Designate budget for
submission Division / Program Director / Facility
Managero Proposal
• Issue feasibility approval• Approve PACUR
Lab Directoro Proposal
• Approve final proposal
Div or Lab Feasibility
Review
Simple Proposal (Single Lab or Single Prog, Multi Lab or Multi Prog)
Proposal Approved
for Submission
Initiate PACUR
Budget Office
Approval
Entity Dir Approval
Simple Proposal
PACUR
Div or Lab Approval
Initiate Proposal
Budget Office Dir Approval
Draft Budget (grids)
Draft Proposal
Lab Approval
Budget Designated
Budget Office
Approval
* Proposal packets and budget grids can be edited through the state “Awaiting Lab/Div/Prog Approval”.
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PROPOSAL & AWARDS TRAINING
CONFIDENTIAL AND PROPRIETARYAny use of this material without specific permission of UCAR-NCAR is strictly prohibited
Questions?PandA Demonstration