ENERGY Office of Science-Chicago Office Post t Awa ward Re - - PowerPoint PPT Presentation

U.S. DEPARTMENT OF

ENERGY

Office of Science-Chicago Office

Post t Awa ward Re Requirements ements for DOE SBIR/ IR/STTR TTR Phase e I Awardees ees

Mar ark k Sojka ka DOE Integrated grated Support port Center nter - Chica icago

• Office

ce

U.S. DEPARTMENT OF

ENERGY

Office of Science-Chicago Office

2

Overv ervie iew

• Aw

Award At Attac achme ments nts

• Special Terms and Conditions
• Reporting Requirements
• General Terms and Conditions
• Re

Revisi isions ns to Aw Award Ne Needing ing Pr Prior Ap Approva val

• Principal Investigator/Key Personnel Changes
• Other Revisions
• No Fund Extensions
• Closeo

eouts uts

• Importa

rtanc nce e of Kn Knowing ng Yo Your T& T&Cs

U.S. DEPARTMENT OF

ENERGY

Office of Science-Chicago Office

Award ard Att ttac achm hmen ents ts

• Tr

Tran ansmittal smittal Le Lett tter er

• Fin

inal al Bud udge get t Pag ages es

• Spe

pecia ial l Ter erms ms an and C d Con

• ndi

ditio tions ns

• Gen

ener eral al Ter erms ms an and C d Con

• ndi

ditio tions ns

• Fed

eder eral al Assista sistance nce Rep epor

• rting

ting Che hecklist klist

• Kn

Know

• w Yo

Your ur Rig ight hts s Po Poste ter

• Pat

aten ent t Res espo ponsibi nsibility lity Le Lett tter er

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U.S. DEPARTMENT OF

ENERGY

Office of Science-Chicago Office

Spe pecia ial l Ter erms ms an and C d Con

• ndi

ditio tions ns

• Incorporates
• rporates Provi

visi sion

• ns

s State ated d in 2 2 CF CFR R Part t 200 and 2 CF CFR R Part rt 910 (DO DOE-Specifi Specific). c). http tp:// ://ww www.eCFR.go w.eCFR.gov

• Hi

Highlights: hts:

– FA FA-TC TC-00 0001C 01C Award rd Project ject Period riod and d Budge get Peri riod

• ds

– FA FA-TC TC-00 0003.2 03.2 Payme yment nt Proc

• cedu

edures es – REIMBU MBURSEME EMENT NT Thro rough gh the Automated

• mated Standa

dard d Applicat lication ion for r Payme yments nts (ASAP) P) – FA FA-TC TC-00 0007.1 07.1 Rebudg budgeting ing and d Reco cover very y of Indirect irect Costs sts – FA FA-TC TC-00 0013 13 Reporting porting Requir quirem ements ents – FA FA-TC TC-00 0014 14 CH Pu Public icat ations ions – FA FA-TC TC-00 0025A 25A Insuran urance ce Cove verag age, e, FA-TC TC-0025D 025D Equipmen ipment, FA FA-TC TC-00 0025G 25G Propert

• perty

y Trust ust Relat ationship ionship (these hese 3 c clauses auses includ luded ed only ly if g gran ant cont ntains ains equipmen uipment) t)

4

U.S. DEPARTMENT OF

ENERGY

Office of Science-Chicago Office

Rep epor

• rting

ting Req equi uireme ements nts

5

Phase I

Note: e: Report

• rting

ng Requi uirement ements s are e subjec ect to chang nge via award d modi dificat cation

• n.

Resear arch ch Perfor

• rman

ance ce Progr gress ess Report

• rt (RPPR)

Spe peci cial al Status atus Report

• rt

SF SF-425 425 Compl plian ance ce Audit Life e Cycle e Certificat cation

• n

Final SF-425 425

Closeout eout

Patent nt Certificat cation

• n

Final Techn hnical cal Report

• rt

Prope perty y Certifica cation

• n

(SF-428) 428) Life e Cycle e Certificat cation

• n

U.S. DEPARTMENT OF

ENERGY

Office of Science-Chicago Office

Gen ener eral al Ter erms ms an and C d Con

• ndi

ditio tions ns

• GTCs

Cs hig ighli light ht those se requirem iremen ents ts wh whic ich are especial ially ly perti tinen nent t to research arch grants nts in ge genera ral. l.

• GTCs

Cs DO DO NO NOT represe present nt an exhaust stive ve listing ng of all require irements ments applicab able e to the Assist stan ance ce Agreeme ement nt.

• Hi

Highli lights: hts:

– Revis visions ions requir equiring ing Contracting ntracting Office cer (CO) O) Appr proval val – SBIR/STTR TTR Part rticipa icipation ion Requ quirem irements ents (Grantee rantee and d PI) – Patent ent Rights hts – Rights hts in Data

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U.S. DEPARTMENT OF

ENERGY

Office of Science-Chicago Office

Award ard Rev evision isions s – PI/ I/Key Key Per erso sonn nnel el Cha hang nges es

• Request

est submitt itted ed via Portfol tfolio io Anal alys ysis s and Managem ement ent Syst stem em (PAMS)

• Selection

ection of the new PI from regis istere tered PAMS S users rs – Specify how to handle the current PI (remove from award or leave on award but change role to Other) – Attach resume or CV of the new PI.

• The Small

ll Busi sines ness s Author horiz ized ed Repres esent entati ative ve must submit it the the request est. .

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U.S. DEPARTMENT OF

ENERGY

Office of Science-Chicago Office

Award ard Rev evision isions s – Oth ther er Type pes

• Change/a

e/add dd Su Subcon

• ntra

tract ctor

• r
• Novati

ation n Ag Agreement nt

• Change

e of Name Ag Agreemen ent

• Work outsid

side of U. U.S. S.

• No Fu

Fund/C d/Cos

• st

t Ex Extens nsio ions ns (NFX FX)

Note: e: Cont ntact act your ur DOE Assis sistan ance ce Agre reeme ement nt Admi ministr nistrator

• r if y

you u anticipa icipate e any y of th thes ese e rev evision isions. s.

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U.S. DEPARTMENT OF

ENERGY

Office of Science-Chicago Office

No Fun

• Fund Ex

d Exten tensions sions

• Approv

roval als s for an NFX will ll not not be granted ted for an award d that t contai tains ns a zero balance ance. .

• Recip

ipien ents ts are not authori

• rized

zed to grant nt themse selve ves s an extens ension.

• n.
• Submit

it request est via PAMS at leas ast t one month h prior

• r to the

expi pirati ation

• n date.

e.

• The reques

uest t must be submitt itted ed by the Recip ipie ient nt Busi sines ness s Offic icer er

• Info
• Requi

uired ed in Reques uest: t: – Proje ject ct status tus – Reaso son n for extens ension

• n

– Extensio ension n date – Remain inin ing g Grant $ Bala lanc nce

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U.S. DEPARTMENT OF

ENERGY

Office of Science-Chicago Office

Clo lose seou

• uts

ts

After r the expiration piration or terminat rmination ion of the awar ard, , the recip cipient ient mus ust subm bmit all financial ncial, perf rform

• rmance

ance and d other er reports eports required quired as a cond ndition ion of the award

• ard. These

ese repor eports ts are e listed ed in the Feder eral al Assis sistan ance ce Reporting porting Chec eckl klist ist and d may y include, lude, but are re not limited ed to, , the follow

• wing:

ing:

• Final

al Technic chnical Repor port (due 14 calendar days after expiration)

• Final

al Financi ancial al Status us Report port (due 120 calendar days after exp.)

• Patent

ent Cert rtific ificat ation ion (due 90 calendar days after expiration)

• Propert
• perty

y Cert rtific ificat ation ion (due 90 calendar days after expiration)

• Life Cyc

ycle le Cert rtific ificat ation ion (at least 30 calendar days prior to exp.) ALWA WAYS YS follow

• w the inst

structi ruction

• ns

s in your

• ur Repor

porting ing Chec ecklis klist

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U.S. DEPARTMENT OF

ENERGY

Office of Science-Chicago Office

Im Impo portan rtance ce of

• f Kno

nowin ing g You

• ur T&Cs

Per 2 CFR 200.338 Remedies for Noncompliance, if a non-Federal entity fails to comply with Federal statutes, regulations or the terms and conditions of a Federal award, the Federal awarding agency may impose additional conditions, as described in §200.207 Specific conditions.

• Remove from Payment via ASAP/Require Submission of Invoices
• Temporarily withhold cash payments pending correction of the deficiency
• Denial of future SBIR/STTR Applications (due to Poor Past Performance)
• Withholding of Continuation Funding (Phase II Only)

If the Federal awarding agency determines that noncompliance cannot be remedied by imposing additional conditions, the Federal awarding agency may take one or more of the following actions, as appropriate in the circumstances:

• Disallow all or part of the grant costs not in compliance (Cost Recovery)
• Wholly or partly suspend or terminate the Federal award.
• Initiate suspension or debarment proceedings (of individuals and/or the Company)
• Withhold further Federal awards for the project or program.
• Take other remedies that may be legally available.

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U.S. DEPARTMENT OF

ENERGY

Office of Science-Chicago Office

Im Importance portance of f Knowi

• wing

ng Your r T&Cs &Cs (Cont.

• nt.)

Audits and Other Findings:

• Recipient did not meet the minimum Research Institution Level of

Effort (30%) for an STTR and therefore DOE is sought over $18K in cost recovery. The recipient appealed the DOE Contracting Officer’s decision to the DOE Senior Procurement Executive, and was denied. The recipient recently paid DOE the money sought plus interest.

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U.S. DEPARTMENT OF

ENERGY

Office of Science-Chicago Office

Con

• nta

tacts cts

• Post

st awar ard administrat ministration ion and d budge dget-rela related ted questions estions may y be dire rected cted to the DOE Assis sistan ance ce Agre reeme ement nt Admi ministr nistrator

• r listed

ed on page ge 2 o

• f your

ur As Assis sistan ance ce Ag Agreeme reement nt.

• Post

st awar ard technical hnical and d pro rogres gress-related elated questi estion

• ns

s may y be dire rected cted to the DOE Program

• gram Manag

nager er listed ed on page ge 2 of y your

• ur Assista

sistance nce Agre reem ement ent.

• Patent

ent and d Intellectual lectual Propert

• perty-related

ated quest estion ions s may be dire rected cted to Cynthi nthia a Ridge dge at (630) 30) 252-217 2175 5 or Cyn ynthia. hia.Ridg Ridge@scienc e@science. e.do doe. e.go gov

• PA

PAMS S sys ystem tem requirem equirements ents or any y other er techn hnological

• logical issues

sues shou

• uld

ld be dire rected cted to the DOE PAMS Support port Cent nter er at 855-818 818-1846 846 or sc.pams .pams- helpd pdesk@science.doe.gov esk@science.doe.gov

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