Office for Sponsored Research

1. Office for Sponsored Research Supporting Research Excellence

2. Department of Energy (DOE) Overview OSR Brownbag Presentation Norris University Center June 24, 2009 Mary Ann Edgell Grant and Contract Officer Office for Sponsored Research Charlotte A. (Trink) Newman Associate Director Office for Sponsored Research

3. 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

4. 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

5. OVERVIEW: ORGANIZATION

6. 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.

7. 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

8. 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

9. 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

10. 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

11. 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 proposed 1.9% of all proposed sponsored research 2.2% of proposed Federal support

12. PRE-AWARD: PROPOSAL DEVELOPMENT Solicitations • FOA – Funding Opportunity Announcement • RFP – Request for Proposal • RFQ – Request for Quote Submission Process • Grants.gov • IIPS • FedConnect

13. 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

14. 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

15. PRE-AWARD: CALCULATING COST SHARE Total Project Cost Known • Total Project Cost $500,000 • 20% Cost Share Required • $500,000 X 20% = $100,000 • $400,000 DOE + $100,000 CS = $500,000

16. PRE-AWARD: CALCULATING COST SHARE DOE Share Known • DOE Funding = $400,000 • 20% Cost Share of Project Total Required • $400,000 ÷ .80 = $500,000 (calculate total) • $500,000 - $400,000 = $100,000 (cost share)

17. 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

18. 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

19. 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

20. 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 apply • Awards may be incrementally funded • Example: $100,000 funding approved for budget period, $30,000 authorized (obligated) for spending, DOE increases spending authorization periodically • Keep the same DOE award number for the life of the award, including renewals • Cooperative Agreements include substantial involvement of the government agency in the project

21. IV. Post-award: Administration and Reporting 5. Standard RTC’s include: • 90-day pre-spend • Grantee-approved NCE of one year • at end of budget segment may be interpreted as project end – don’t use if renewal is expected • Rebudgeting allowable except • scope change (e.g., ≥ 25% of total award to a single line) • subawardee is foreign • ≥ 25% programmatic effort is transferred to/from sub • PI effort is reduced 25% or more • Continuation application only if BP end not = PP end; • 90 days before—see DOE RTC’s

22. 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 award 2. Interest penalties for late payment not allowable 3. Use of sponsor budget forms for budget revisions not required but must be in same format as original 4. See Agency Specific RTC’s for IP matters

23. 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 Agencies ANL—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&A b. 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 project NETL & Golden—only difference is communication with different units

24. 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 report ANL—invoice monthly 4. Invention reporting facilitated by OSR through Nancy Temkin, who contacts TTP for verification

25. 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**

26. V. For More Information Contacts 1. OSR: Questions regarding this presentation – Mary Ann Edgell: medgell@northwestern.edu Charlotte A. “Trink” Newman: tnewman@northwestern.edu 2. ASRSP: Financial Reporting and Invoicing - Frank Cutting fc@northwestern.edu 3. ASRSP: Travel, Equipment, Consulting - Jany Raskina y-raskina@northwestern.edu

27. That’s all Folks