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Department of Energy

DOE will implement the Research Terms and Conditions for all federal assistance awards (new grant and cooperative agreement awards) made after April 3, 2017 subject to 2 CFR 210 as implemented by 2 CFR 910.  DOE will also utilize agency specific terms and conditions dated April, 2017.   As with all Federal assistance awards DOE awards are subject to OMB Uniform Guidance  (UG) 2 CFR 200, dated December 26, 2014, except as modified by the sponsor-specific and award-specific terms.

Summary of Standard Terms

Period of Performance Extensions

  • May incur pre-award costs 90 days prior to the award date only with prior DOE approval
  • No Cost Extensions require DOE approval: PI requests must be submitted to OCG RA (research administrator) who will compose and submit a formal request to sponsor Program Officer, Grant Administrator and Financial contact as required by the specific award. PI request must include:
  • Subsequent extensions require ED approval. PI requests must be submitted to the OCG RA no later than 45 days prior to expiration.  The PI request must provide:  
    • revised end date,
    • amount of funds remaining and, if required by DOE, a revised budget with justification
    • brief justification for the extension

Personnel Changes

  • Change of any key person named in proposal or award requires prior approval.
  • Disengagement of the PI for 3 months requires prior approval.
  • A 25% reduction in effort by the PI requires prior DOE approval.

Restrictions on Allowable Costs

  • Inclusion of costs, unless waived, that require prior approval in accordance with Subpart E – Cost Principles require prior DOE approval 200.308 (C)(1)(iv)
  • Faculty salary in excess of institutional base salary requires prior DOE approval
  • Costs of insurance or contributions to risk management require prior DOE approval
  • Costs of memberships, subscriptions or other professional activity require prior DOE approval

Cost Sharing

  • Use of unrecovered indirect costs, including indirect on cost sharing, is allowed
  • Changes to approved cost sharing budget requires prior DOE approval

Re-Budgeting Authority

  • Funds may be re-budgeted into participant support without prior DOE approval.
  • Budgeted participant support may not be realigned into another direct cost category without prior DOE approval.
  • Re-budgeting between direct cost categories where the cumulative amount of such transfers does not exceed 10% of the approved budget is allowed.
  • Carry-forward between the years is allowed unless carry over authority is specifically denied in the award terms and conditions.

Subcontracting

Prior approval required for all unbudgeted subcontracting.

Payments

  • Method of Payment is through the Automated Standard Application for Payments (ASAP) System
  • DOE agencies normally request back-up documentation prior to submission of the UH invoice through the ASAP system.

Equipment/Property

  • Unbudgeted Special purpose equipment over $5,000 may not be purchased without prior approval. Unbudgeted General purpose equipment of any value may not be purchased without prior approval. Contact your OCG Research Administrator.
  • Title to property vests conditionally to UH, however terms and conditions of the award may specify disposition instructions that are required at the completion of the project.  

Travel

  • Use of US Carriers required per the Fly America Act; exceptions may be made for certain airlines and routes under “Open Skies” agreements.
  • Foreign travel must be itemized and justified in the approved budget.

Program Income

  • DOE utilizes additive, cost sharing and the deductive methods for program income as applicable to each award.       

Publications

Acknowledgement

  • Required in all publications "This material is based upon work supported by the Department of Energy, Office of Science, Office of Basic Energy Sciences, under Award Number(s) [Enter the award number(s)]."
Disclaimer
  • Required in all publications: “This report was prepared to account for the work sponsored by state specific agency of the United States Government. Neither the United States Government nor any agency thereof, nor any of their employees, makes any warranty, express or implied, or assumes any legal liability or responsibility for the accuracy, completeness, or usefulness of any information, apparatus, product, or process disclosed, or represents that its use would not infringe privately owned rights. Reference herein to any specific commercial product, process, or service by trade name, trademark, manufacturer, or otherwise does not necessarily constitute or imply its endorsement, recommendation, or favoring by the United States Government or any agency thereof. The views and opinions of authors expressed herein do not necessarily state or reflect those of the United States Government or any agency thereof."
Copies to Sponsor:
  • Copies of manuscripts prepared for publication should be submitted when appropriate, or with the final report. All publications should be cited in the DOE Energy Citations Database

Reporting– dictated by the DOE award Checklist and Instructions

  • Technical reporting, completed by PI, should be submitted as follows:
    • Annual Research Performance Progress Report (RPPR) may be due 90 days prior to the continuation funding date. Must justify an estim  
    • Special Status reports may also be required annually within 5 calendar days after an event or as specified.
    • Final report detailing entire project is due 90 days after
  • Journal Article-Accepted Manuscript must be provided via DOE AN 241.3 (E-Link).
  • Property/Equipment Reporting is due 90 days after expiration using SF-428 and SF-428B.
  • Financial reporting is prepared by Research Financial Services and is submitted as follows:
    • Quarterly reporting is due 30 days after each reporting period.
    • Final is due 90 days after the award expiration using SF 425.
  • Patent Certification is prepared and signed by the DOR Office of Intellectual Property Management then returned to Research Financial Services for submission to the sponsor. It is due 90 days after expiration.