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Office for Sponsored Research

Office for Sponsored Research. We promote, facilitate and enhance research. Department of Defense (DOD) Overview . OSR Brownbag Presentation Norris University Center June 10, 2009 Tyra Darville-Layne Grant and Contract Officer Office for Sponsored Research Charlotte A. (Trink) Newman

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Office for Sponsored Research

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  1. Office for Sponsored Research We promote, facilitate and enhance research

  2. Department of Defense (DOD) Overview OSR Brownbag Presentation Norris University Center June 10, 2009 Tyra Darville-Layne Grant and Contract Officer Office for Sponsored Research Charlotte A. (Trink) Newman Associate Director Office for Sponsored Research

  3. AGENDA I. DOD Awards to Northwestern FY 2008 II. DOD Agencies III. Pre-award: Proposal Development IV. Post-award: Administration and Reporting V. For More Information

  4. I. DOD Awards to Northwestern FY 2008 DOD awards accounted for 6.5% of all sponsored research at Northwestern in FY 2008. DOD awards accounted for 9% of Federal support to Northwestern in FY 2008.

  5. II. DOD Agencies DOD Agencies – Yes Army: ARO (Army Research Office), Army Breast Cancer Research Program, CDMRP (Congressionally Directed Medical Research Programs) Navy: ONR (Office of Naval Research), NRL (Naval Research Lab) Air Force: AFOSR (Air Force Office of Scientific Research) DARPA (Defense Advanced Research Projects Agency) MDA (Missile Defense Agency) DTRA (Defense Threat Reduction Agency) DOD Agencies - No DHS (Department of Homeland Security) NASA (however, ONR-Chicago may administer the closeout process)

  6. III. Pre-award: Proposal Development A. BAA (Broad Agency Announcement) or RFP (Request for Proposals): contact GCO before getting started to determine best approach for proposal development, if a white paper submission required (DOD version of pre-proposal), OSR-1 required only if sponsor requires institutional signature B. Be very careful in review of proposal guidelines, solicitations, rules can vary case by case, not standardized C. Be aware that DOD awards grants AND contracts 1. Confirm with proposal guide/solicitation as to whether grant or contract 2. When contract is anticipated, fundamental research language included in OSR cover letter 3. Careful review of statement/scope of work (SOW) included in RFP 4. Key words likely indicative of contract mechanism: deliverables, milestones, work by task, military applications

  7. III. Pre-award: Proposal Development 5. Keep in mind that basic research should be the primary focus 6. Be aware of sample contract, terms & conditions, reps/certs that may be included in proposal guide/solicitation/RFP, must be reviewed for purposes of negotiation of unfavorable, unacceptable terms & conditions; otherwise by signing the proposal, solicitation terms & conditions considered accepted as is 7. Unlike NIH and NSF, peer review process is not standardized D. Be aware of deadline day and time, traditional 5pm local time rarely, let your GCO know as soon as you know, especially when deadline is earlier than 5pm local time. If deadline is later than 5pm local time, keep in mind that OSR standard business hours are 8:30a.m. – 5:00p.m. NOTE: Zero flexibility on late or mis-directed submissions. E. DOD proposals require grants.gov submission, solicitation will specify if there is an alternative submission requirement

  8. III. Pre-award: Proposal Development F. Be detailed and specific on budget and justification 1. Calculation of costs, be aware of F&A rates (currently: DOD grants-52.5%, DOD contracts-53.5%) 2. Irregular budget periods, may be based on federal FY (NU fringe benefits blended rate tool cannot be used for some of these) 3. Equipment justification: include quotes or estimates from companies. Be aware that property may be “government owned” (incurs F&A) or “grantee-owned” (excluded from F&A) 4. Travel justification: be aware that foreign travel may not be automatically allowable unless prior approval by DOD via approved proposal budget, or if it’s a grant under RTC (Research Terms & Conditions)

  9. III. Pre-award: Proposal Development 5. If contract budget >$550K, small business subcontracting plan required at proposal time, required at award time as well, see solicitation for specific guidelines 6. Revised budgets must be in same format as the original budget G. Cost sharing rare, most often included on equipment proposals

  10. IV. Post-award: Administration and Reporting A. Read terms & conditions carefully on grants and contracts B. Grants—Research Terms & Conditions and Agency (RTC) Implementation 1. Awards may be incrementally funded 2. May receive several payments throughout the budget period 3. Anticipated outyears vs. Option periods 4. Irregular budget periods, may be based on the federal FY 5. Standard RTC: - 90-day pre-spend - NU may approve 1st no-cost extension - Rebudgeting allowable C. Research Terms & Conditions Exceptions (see RTC Matrix handout)

  11. IV. Post-award: Administration and Reporting D. Contracts—Awarded with FAR Clauses (Federal Acquisition Regulations) 1. Pre-spending requires DOD prior approval for contracts 2. SOW (RFP SOW and the PI SOW become part of the contract) 3. Payment terms (cost reimbursement or fixed price) 4. Deliverables—may be items and/or reports 5. Timetable

  12. IV. Post-award: Administration and Reporting E. Reporting 1. Send all technical progress reports to the contact indicated on the award, timing and due dates of reports also specified on the award, payment may be contingent upon receipt and approval of technical report 2. ONR-Chicago administers many of DOD awards, must be copied on all technical progress reports: John Chiappe (john.chiappe@navy.mil) 3. Financial reporting and invoicing handled by ASRSP, reports due 15 days after each quarter, usually based on the calendar quarter, important to be timely with incurring expenses 4. Invention reporting facilitated by OSR through Nancy Temkin, who contacts TTP for verification

  13. IV. Post-award: Administration and Reporting 5. Property reporting and disposition of property: handled by Accounting Services with ASRSP approval 6. Property title is not automatic to awardee, may need to request title at the end of award 7. Travel reports: approved travel requires trip report within 30 days after travel completed (ARO specific) -PI responsible (not ASRSP) to submit this report to DOD -Risks involved if report is not submitted and approved: charges may be deemed unallowable by DOD, charges will be transferred off the sponsored account to a department account by ASRSP **QUESTIONS**

  14. V. For More Information A. Handouts 1. USA.gov List of DOD Agencies 2. RTC Prior Approval and Other Requirements Matrix (PDF copy of RTC full text can be located by google search “research terms and conditions”) B. Contacts 1. OSR: Questions regarding this presentation – Tyra Darville-Layne: td-layne@northwestern.edu Charlotte A. “Trink” Newman: tnewman@northwestern.edu 2. ASRSP: Financial Reporting and Invoicing - Elvi Stene lv-stene@northwestern.edu 3. ASRSP: Travel, Equipment, Consulting - Jany Raskina y-raskina@northwestern.edu

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