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 o Office ce
U.S. DEPARTMENT OF ENERGY Overv ervie iew Office of Science-Chicago Office • Aw Award At Attac achme ments nts o Special Terms and Conditions o Reporting Requirements o General Terms and Conditions • Re Revisi isions ns to Aw Award Ne Needing ing Pr Prior Ap Approva val o Principal Investigator/Key Personnel Changes o Other Revisions o No Fund Extensions • Closeo eouts uts • Importa rtanc nce e of Kn Knowing ng Yo Your T& T&Cs 2
U.S. DEPARTMENT OF ENERGY Award ard Att ttac achm hmen ents ts Office of Science-Chicago Office • 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 ondi ditio tions ns • Gen ener eral al Ter erms ms an and C d Con ondi ditio tions ns • Fed eder eral al Assista sistance nce Rep epor orting ting Che hecklist klist • Kn Know ow Yo Your ur Rig ight hts s Po Poste ter • Pat aten ent t Res espo ponsibi nsibility lity Le Lett tter er 3
U.S. DEPARTMENT OF ENERGY Spe pecia ial l Ter erms ms an and C d Con ondi ditio tions ns Office of Science-Chicago Office • Incorporates orporates Provi visi sion ons 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 ods – FA FA-TC TC-00 0003.2 03.2 Payme yment nt Proc ocedu edures es – REIMBU MBURSEME EMENT NT Thro rough gh the Automated omated 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 operty 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 Rep epor orting ting Req equi uireme ements nts Office of Science-Chicago Office Phase I Closeout eout Resear arch ch Final SF-425 425 Perfor orman ance ce Progr gress ess Report ort (RPPR) Spe peci cial al Status atus Report ort Patent nt Certificat cation on SF-425 SF 425 Prope perty y Certifica cation on (SF-428) 428) Final Techn hnical cal Report ort Compl plian ance ce Audit Life e Cycle e Certificat cation on Life e Cycle e Certificat cation on 5 Note: e: Report orting ng Requi uirement ements s are e subjec ect to chang nge via award d modi dificat cation on.
U.S. DEPARTMENT OF ENERGY Gen ener eral al Ter erms ms an and C d Con ondi ditio tions ns Office of Science-Chicago Office • 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 6
U.S. DEPARTMENT OF ENERGY Award ard Rev evision isions s – Office of Science-Chicago Office 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. . 7
U.S. DEPARTMENT OF ENERGY Award ard Rev evision isions s – Oth ther er Type pes Office of Science-Chicago Office • Change/a e/add dd Su Subcon ontra tract ctor or • 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 ost 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 or if y you u anticipa icipate e any y of th thes ese e rev evision isions. s. 8
U.S. DEPARTMENT OF ENERGY No Fun o Fund Ex d Exten tensions sions Office of Science-Chicago Office • 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 orized zed to grant nt themse selve ves s an extens ension. on. • Submit it request est via PAMS at leas ast t one month h prior or to the expi pirati ation on 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 o Requi uired ed in Reques uest: t: – Proje ject ct status tus – Reaso son n for extens ension on – Extensio ension n date – Remain inin ing g Grant $ Bala lanc nce 9
U.S. DEPARTMENT OF ENERGY Clo lose seou outs ts Office of Science-Chicago Office 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 ormance 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 owing: 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 operty 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 ow the inst structi ruction ons s in your our Repor porting ing Chec ecklis klist 10
U.S. DEPARTMENT OF ENERGY Im Impo portan rtance ce of of Kno nowin ing g You our T&Cs Office of Science-Chicago Office 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. o Remove from Payment via ASAP/Require Submission of Invoices o Temporarily withhold cash payments pending correction of the deficiency o Denial of future SBIR/STTR Applications (due to Poor Past Performance) o 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: o Disallow all or part of the grant costs not in compliance (Cost Recovery) o Wholly or partly suspend or terminate the Federal award. o Initiate suspension or debarment proceedings (of individuals and/or the Company) o Withhold further Federal awards for the project or program. o Take other remedies that may be legally available. 11
U.S. DEPARTMENT OF ENERGY Im Importance portance of f Knowi owing ng Your r T&Cs &Cs (Cont. ont.) Office of Science-Chicago Office Audits and Other Findings: o 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. 12
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