Proposal and Award ( PandA ) Training

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


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


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.


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


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


PandA Access

Sign in for today’s training session Return a signed salary access authorization form Lab Administrator & NCAR B&P approval of role




NCAR Proposal Policies & ProceduresNCAR BUDGET AND PLANNING OFFICE

VALERIE KOCHMANAGER, PROPOSAL OPERATIONS


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


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


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


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.


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


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


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


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


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..


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


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


NCAR Proposal Website

http://ncar.ucar.edu/budget-and-planning/proposals

https://ncar.ucar.edu/budget-and-planning/proposals


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]

mailto:[email protected]


Questions ?




Contract Related Activities

GINA TABERSKIPETER CHAMBERLAIN


Contract Related ActivitiesProposal Stage

Review Sponsor Issued Solicitations:o Broad Agency Announcementso Request for Proposalso Request for Quoteso Others



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



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



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.


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.



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



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.


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.


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

http://www.fin.ucar.edu/export/index.html


ContractsPurchasing Related

Activities


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.


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.

http://www.fin.ucar.edu/polpro/section5/5-8.html



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.




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



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.


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

http://www.fin.ucar.edu/contracts/contracts/guideline/internal/POvsCheckReq.html

http://www.fin.ucar.edu/contracts/contracts/guideline/internal/POvsCheckReq.html

http://www.fin.ucar.edu/contracts/contracts/guideline/cp_fguide.html

http://www.fin.ucar.edu/contracts/contracts/guideline/cp_fguide.html




Questions?




Compliance Issues

ANITA MONK-RYANMANAGER, PROJECT ACCOUNTING


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

http://www.whitehouse.gov/omb/circulars_index-education


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


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


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


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


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.


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/

http://harvester.census.gov/sac/




Salary Access Training


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)






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.


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…


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.


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


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.


* Sign Salary Access Form

* Break

* PandA Demonstration


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.


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.


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


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


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.


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


Administrative Support Teamo Proposal

• Initiate proposal• Full proposal development


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”.




Questions?PandA Demonstration

Documents

Proposal and Award ( PandA ) Training