BUSINESS OPERATIONS AND STRATEGIES SEMINAR (BOSS)
May 2, 2013
OFFICE OF THE PRESIDENTScott RayderSenior Advisor to the UCAR President
How Washington Works:Science Budgets, Policy and Advocacy
Scott Rayder, Senior Adviser to the UCAR President
UCAR Staff in Washington
UCAR Washington Office1201 New York Avenue NW, 4th FloorWashington, DC 20005202 787-1633 Oldaker Group
(UCAR’s legislative consultant)818 Connecticut Avenue NW, Suite 1100Washington, DC 20006 Joel Widder, Partner Meg Thompson, Partner Phil Bye, Associate
Mike HenryManager,Government Relations Ari Gerstman
Manager,Business Development
Why a UCAR Washington office?
Serves as a community presence in D.C. for the atmospheric sciences
Provides downtown space for community leaders
Builds relationships with policy makers; connecting policy makers to scientists
Advocates for community priorities (e.g., NCAR base funding, COSMIC-2)
Tracks funding and policy developments Empowers/helps scientists to engage in the
policy process
Collocated with Consortium for Ocean Leadership
Same liquid, different densities!
Government Relations Mission
We bring science to bear on the policy and legislative issues of the day, focusing on key investment priorities critical to our nation and planet, and advocating for science-based weather, climate, and research policies.Office of the UCAR President External Relations Development and Partnerships Government Relations
UCAR FY12 Expenditures
(Agencies We Track)
Total: $287.9M
How Federal Dollars Flow
Revenue Budget
Authorizing Appropriations
$
Administration’s Budget Request Process
NOAA
NSF
NASA
DOE
Office of Management and Budget (OMB)
The Whit
e House
Office of Science
and Technol
ogy Policy (OSTP)
Congress
2nd Mon. in Feb: President submits budget proposal
March–April: Congress hears stakeholder testimony
Spring: Congress passes budget resolutions (House and Senate) setting overall spending levels
May–June: House passes 12 appropriations bills in committee and then on floor
June–July: Senate does the same September: House, Senate reconcile &
finalize bills October 1: New fiscal year begins
The Ideal Federal Budget Process
Appropriations timeline is slipping(which makes planning difficult)
Each year: 12 appropriation bills (shown by diamonds above)
Final FY13 Funding Details
FY13appropriation
FY12Actual
Amountchange
%change
% changew/sequester
NSF $7.4B $7.0B +$360M
+5.1% –2.8%
NASA $17.5B $17.8B
–$280M
–1.5% –9.3%
NOAA $5.1B $4.9B +$206M
+4.2% –3.9%
DOEScienc
e
$4.8B $4.8B –$44M –0.9% –7.7%
Total sequester = –7.81% for major science agencies in FY13
Our slice of the federal pie in FY14 Request
SCIENCE AGENCY BUDGETS INPRESIDENT’S FY14 REQUEST
FY12actual
FY14request
Amountchange
%change
NSF $7.106B
$7.626B
+$520M
+7.3%
NASAEarth Sci
$1.926B
$1.846B
–$80M –4.2%
NOAA $5.263B
$5.448B
+$185M
+3.5%
DOEScienc
e
$4.935B
$5.153B
+$218M
+4.4%
These numbers tell you what you need to know—nondefense discretionary spending caps
President’s proposal: $603BSenate proposal: $506BHouse proposal: $414B
The House proposal is the ONLY one that aligns with current
budget law! President and Senate proposals assume changes
in current laws.
AGENCY BUDGETS IN FY2014: THE BRUTAL REALITY
QUESTIONS?
http://president.ucar.edu/government-relations
TREASURY OPERATIONSAnita Monk-Ryan (on behalf of Dan Wilson)Manager, Project Accounting
UCAR HISTORY• UCAR’s roots go back to 1946. Originally organized as the High
Altitude Observatory of Harvard University and the University of Colorado
• Name changed in 1960 to UCAR with the creation of the National Center for Atmospheric Research (NCAR)
• In 1960 UCAR had 14 member universities. This list has now grown to include 76 member universities, 25 Academic Affiliates, and 53 International Affiliates.
• Today UCAR’s organized includes two major operational units, NCAR and the UCAR Community Programs (UCP). Each unit is headed by its own director.
Integrated Science Program (ISP)
Peter Backlund
Member Institutions
Board of Trustees
Finance & Administration
Katy Schmoll, VP
NCARNew Director hire in process
Maura Hagan, Interim Director
UCAR Community Programs (UCP)
Emily CoBabe Ammann, Director
Computational & Information Systems Laboratory (CISL)
Al Kellie
NCAR Earth Systems Laboratory (NSSL)
Jim Hurrell
Research Applications Laboratory (RAL)
Brant Foote
Earth Observing Laboratory (EOL)
Vanda Grubišić
Cooperative Program for Operational Meteorology Education
& Training (COMET)Rich Jeffries
Constellation Observing System for Meteorology Ionosphere Climate
(COSMIC)Bill Kuo
Unidata
Mohan Ramamurthy
Joint Office for Science Support (JOSS)
Karyn Sawyer
Global Learning & Observations to Benefit the Environment (GLOBE)
Tony Murphy
Digital LearningSciences (DLS)
Mary Marlino
Visiting Scientists Program(VSP)
Meg Austin
National Science Digital Library (NSDL)
Kaye Howe
Advanced Study Program (ASP)
Chris Davis
UCARThomas Bogdan,
President
High Altitude Observatory (HAO)
Michael Thompson
Spark UCAR Science Education
Raj Pandya
University of Alabama in HuntsvilleUniversity of AlaskaUniversity at Albany, State U of NYUniversity of ArizonaArizona State University Brown UniversityCalifornia Institute of TechnologyUniversity of California, BerkeleyUniversity of California, Davis University of California, Irvine University of California, Los AngelesUniversity of Chicago Colorado State UniversityUniversity of Colorado at Boulder Columbia UniversityUniversity of ConnecticutCornell University University of DelawareUniversity of DenverDrexel UniversityFlorida State UniversityGeorge Mason UniversityGeorgia Institute of TechnologyUniversity of GeorgiaHarvard UniversityUniversity of HawaiiUniversity of Houston
UCAR’s 78 Member Institutions (2013/1960)Howard UniversityUniversity of Illinois at Urbana-ChampaignIowa State UniversityUniversity of IowaThe Johns Hopkins UniversityUniversity of MarylandMassachusetts Institute of TechnologyMcGill UniversityMichigan State UniversityUniversity of Maine University of MiamiUniversity of Michigan-Ann ArborUniversity of MinnesotaUniversity of MissouriNaval Postgraduate SchoolUniversity of Nebraska LincolnNevada System of Higher Education University of New HampshireNew Mexico Institute of Mining and TechnologyNew York UniversityNorth Carolina State UniversityUniversity of North DakotaThe Ohio State UniversityUniversity of OklahomaOld Dominion UniversityOregon State University
Pennsylvania State UniversityPrinceton UniversityPurdue UniversityUniversity of Rhode IslandRice UniversityRutgers UniversitySaint Louis UniversityScripps Institution of Oceanography at UCSDStanford UniversityUniversity of Stony Brook - State University of New YorkTexas A & M UniversityUniversity of Texas at AustinTexas Tech UniversityUniversity of TorontoUtah State UniversityUniversity of UtahUniversity of VirginiaUniversity of WashingtonWashington State UniversityUniversity of Wisconsin- MadisonUniversity of Wisconsin-MilwaukeeWoods Hole Oceanographic InstitutionUniversity of WyomingYale UniversityYork University
STORM Science & Technology Opportunity Risk Mitigation
Administrative Support$57,501
1.5%
Administrative Support /
Discretionary$10,339
0.3%
Science Support$2,022,186
52.7%
Risk Mitigation/Bad Debt Write-off
$1,744,111 45.5%
Total $3.8MAs of September 30, 2012
STORM Expenditures FY00-FY12
Total $2.02MAs of September 30, 2012
Science Expenditures FY00-FY12Cost Sharing
$826,515 41%
Equipment$33,111
2%
Indirects$10,107
0%
New Prog. Startup$813,185
40%Prof Dev/Conf
$169,634 8%
Prog. Support$76,225
4%
Scientist Salaries$92,872
5%
MRI Blue Gene/L Acquisition (CISL,RAL) Cost Sharing $315,000Center for Multiscale Modeling (NCAR, MMM, CGD) Cost Sharing 278,000Geophysical turbulence program (NCAR) New Prog. Startup 173,000 African Initiative (NCAR) New Prog. Startup 112,000Earth Guage Prototype (RAL, UCP Cost Sharing 91,000Low-level utility library – WACCM (NCAR) New Prog. Startup 83,000Tropical Meterology On-line Textbook (COMET, UCP) Program Support 81,000Development of a New Institute in DPC (UOP) New Prog. Startup 78,000Meteo Forum (COMET, UOP) New Prog. Startup 70,000EPA - NEETF Rainsheds (COMET) Cost Sharing 60,000Earth Simulator – CCSM (CGD) Prof. Development 58,000UNIDATA: Interactive Media (COMET, UOP) New Prog. Startup 53,000Other 570,000TOTAL $2,022,000
SCIENCE OPPORTUNITIES in STORM
FY00 to FY12
STORM Balances as of 9/30/12
$3.9M
UCP programs$965,165 24.46%
UCP director$412,043 10.44%
NCAR divisions$1,926,224
48.82%
NCAR director$568,768 14.41%
E&O$33,944 0.86%
Other$39,638 1.00%
Debt Financing
UCAR’s Debt History
Debt Financed Projects Amount Status1977- Ten-year capital lease with Colorado State University Research Foundation to finance the acquisition of a Cray I supercomputer. $9M Paid in FullSeries 1986 Revenue Bonds- issued to finance the acquisition of a Cray XMP/48 Supercomputer System $21.6M Refunded in 1989Series 1988 Revenue Bonds- Proceeds were used to purchase Foothills Lab 1, 2, and 3 and refurbish it. $33.2M
Refunded with 1991 Bonds
Series 1989 Refunding and Revenue Bonds- issued to refund Series 1986 revenue bonds and to acquire a Cray YMP/664 Supercomputer System $25.1M Refunded in 1993
Series 1991 Refunding Bonds- issued to refinance the 1988 building bonds and to refurbish the Mesa Lab $30.1M Called with 2001 BondsSeries 1993 Refunding and Revenue Bonds- issued to refund the Series 1989 Bonds and to acquire improved physical facilities at NCAR Mesa Laboratory $16.3M Paid in Full
Series 1996 Revenue Bonds A&B (taxable)- issued to purchase FL4 and General Purpose Equipment$8M & $1.4M
Refunded Series B in 2001, Series A Called in 2010
Series 1999 Revenue Bonds- issued to acquire General Purpose and Special Purpose Equipment needs from FY99 to FY06 $13.8M Called with 2010 Bonds
Series 2001 Refunding Bonds- Issued to refund the 1996B and the 1991 Bonds $30M Called in 2011A
Series 2002 Revenue Bonds- Issued to purchase 3 Center Green Buildings $29.3M Called in 2012
Series 2003 Refunding Bonds- Issued to build Chemistry Lab $25M Partially refunded 5/12
Series 2010 Refunding and New $ for FL4 and FLA, etc $27.5M O/S
Series 2011A & B Refunding and New $ for FL4 $33.5M O/S
Series 2012A & B Refunding $13.5M O/S
TOTAL $317.3M$84.5M O/S as of 9/30/12
Debt Balances as of 9/30/12 2003 Series $16.8M 2010 Series $24.7M 2011 Series A1, A2 and B $28.5M 2012 Series A and B $14.5M $84.5M
FL0
FL1FL2
FL3FL4
CG1CG3
CG2
FLA
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
OMB Circular A-110 Institutions of Higher Education,
Hospitals, and Other Non-Profit Organizations Administration of grants and agreements
Pre-award requirements Post award requirements Close out requirements
OMB Circular A-122 Cost Principles for Non-Profit Organizations
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 A
Direct vs. Indirect costs Allowability and allocability of costs Determination of indirect cost rates Negotiation of rates by cognizant audit
agency
OMB Circular A-122 Attachments
Attachment B 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-Profits Organizations 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 Census Bureau
http://harvester.census.gov/sac/
Break!
Be back at 2:35 for more BOSS!
2nd Session - Panel Presenters
Valerie Koch, Goeff Cheeseman and Kelly Smith
Gina Taberski and Peter ChamberlainDave Sundvall
INDIRECT COSTRATESJustin YoungManager, Budget Analysis
Why do we have indirect cost rates?
Federal Regulations OMB Circular A-122, Cost Principles for
Non-Profit Organizations
http://www.whitehouse.gov/omb/circulars_a122_2004/
OMB Circular A-122, Cost Principles for Non-Profits
Defines Direct and Indirect Costs
Details methodology for developing indirect cost pools
Defines allocation bases for distributing indirect costs, e.g., Modified Total Direct Costs (MTDC)
Indirect Cost Pool Components
Cost Pool is comprised of expenses of like character in terms of the functions they benefit
Allocation base measures benefit to each function
Indirect Cost Pool/ Allocation Base = Indirect Cost Rate
FY2014 Indirect Cost RatesIndirect Cost Rate FY 2014 BASE
Employee Benefit Rates:Reduced Benefit Rate 9.6% Salary*Full Benefit Rate 53.8% Salary
Communications: $3,055Headcount
Facilities Cost Rate: $26.96 GASFUCAR G&A: 15.5%
MTDC+ICNCAR Indirect Cost Rates:
On-site 58.8% MTDCOff-site 43.1% MTDC
UCP Indirect Cost Rates:On-site 34.1% MTDCOff-site 23.5% MTDC
* Includes casual employee and student visitor salaries.
UCAR Indirect Cost Flowdown
*The graphic is intended to show the flow of costs and the proportions do not reflect total dollars.
Benefits Cost Pool - $50M(FY14)
Group Life & Ma-jor Medical
24%
FICA15%
Disability2%
TIAA/CREF19%
Holiday8%
Sick Leave - SLR/SCP/FSL
4%
Vacation/PTO23%
Other5%
Communications Cost Pool - $4.9M (FY14)
Network Security11%
Comput-ing Facil-
ities9%
NETS75%
Enterprise Services5%
Facilities Cost Pool - $17.4M (FY14)
Engineering and Space
Management4%
Space Project Office
1%Other
7%Logistics
3%
Utilities14%Leases
1%Custodial5%
Security5%
Communications Allocation1%
Building Debt Service
40%
Building Maintenance19%
UCAR G&A Cost Pool - $25M (FY14)
Library7%
Communi-cations
Allocation2%
FacilitiesAllocation
9%
Other8%
President's Office21%
Finance and Administra-
tion53%
NCAR Cost Pool - $54.4M (FY14)
UCAR G&A Allocation
37%
Division/LabIndirect Cost
26%
NCAR Di-rector'sOffice
5%
Communi-cations
Allocation6%
FacilitiesAllocation
26%
UCP Cost Pool - $9.8M (FY14)
UCP ProgramIndirect
12%
UCP Di-rector's
Office9%
Communica-tions Allo-
cation5%
Facilities Allocation17%
UCAR G&AAllocation
57%
Indirect Rate Methodology Change
FROMFixed w/Carry Forward
TOFinal and Provisional Rate
Fixed indirect rates are determined based on budgeted revenues and budgeted expenses
Fixed indirect rates are applied throughout the fiscal year
Variances based on actual revenues and expenses are carried forward (2 years) in order to adjust future indirect rate calculations (up or down)
Provisional indirect rates are determined based on budgeted revenues and budgeted expenses
Provisional indirect rates are applied during the fiscal year
Final rates are calculated based on audited actual revenues and expenses
Final rates are applied to award expenses, thereby recalculating indirect charges
All indirect cost pools will have zero variances at the end of the fiscal year
March 2013 Oct.2013 Oct.
2014Jan.2015
Begin FY2014 with
Provisional Rates
Calculate and apply FY2014 Final Rates
Audit complete, Final Rate
Submission to NSF
Projected approval of
Final Rates by NSF
May/June2015
FY2014 Rate Submission
to NSF
Indirect Cost Rate Timeline for FY2014
BUDGETING AND PROPOSALS
NCAR & UCP BUDGET OFFICESNCAR – Valerie Koch UCP – Geoff Cheeseman - Kelly Smith
NCAR Budget & Planning Office
Rena Brasher-AllevaBudget and Planning Director
Amy StephensAdministrative Assistant
Valerie KochManager, Proposal Operations
Andrea MartinezBudget Analyst
Christina BookBudget Analyst
Caron ChambersManager, Budget Operations
Rebecca GreenbergBudget Analyst
Reta KublerCognos Business
Intelligence Analyst
What does the NCAR B&P Office do?
Base Budget Operations
• Detailed operating budget development
• Funding allocations• NCAR Indirect Cost Rate• NCAR Facility
User/Recharge Center Rates
• Funding/staffing trends• Budget/overspending
monitoring• Review of base
subcontracts over $250K for Director approval
Non-Base Programs
• Proposal Review and Approvals
• Pre-spending and over-spending monitoring
• Coordination of NSF FastLane reports
• Non-Base proposal and funding statistics and trend analysis
• Review of non-Base subcontracts over $250K for NCAR Director approval
Program Planning
• Strategic Plan • Long-range budget
planning• Annual Budget Review
(ABR)• Long-range
forecasting/ “what ifs” analysis
• Program Operating Plan (POP)
• POP Progress Report
What is the diversity of funding for NCAR?
Base86665406.87
52%
NSF Spec25534740.37
15%
COMM$3.62M
2%
DOD8920328.33999998
5%
DOE5380624.18
3%
DOI252905.67
0%
EPA$0.13M
0%
FAA6180085.59
4%FOREIGN4258069.34
3%
NASA9943771.29999997
6%
NOAA7080846.32
4%
OTHER4112897.46
2% UNIV4841487.66
3%
FY2012 NCAR Direct Expenditures** by Fund SourceTotal: $166.9M
*OTHER includes: State Governments, US Department of Agriculture, etc.
Total NSF = $112.2M, 67%
**Expenditures based on actuals.Any fund source with less than $5,000 in expenditures will not appear.
UCAR Community Programs (UCP) Education, Service, Community Building, and
Innovation are the hallmarks of the UCAR Community Programs. UCP's vision and mission are: Vision. Bring Communities together to address
large-scale, integrated research and education issues.
Mission. Provide leadership, services, and innovation in support of UCAR community education and research goals.
UCP Budget OfficeGeoff Cheeseman
Director of Budget and Operations
Kelly SmithProposal and
Budget Manager
Ligea RuffAdministrative
Assistant III
Reta Lorenz KublerBusiness
Intelligence Analyst
What does the UCP Budget Office do?
UCP Budget Office
Budget Office for
UCP
Reviews and Approves Proposals
Monitors Overall
Funding and ExpendituresFunding
Reports & Analysis
Reviews and Approves all UCP Salaries
Develops UCP Indirect
Cost Rate
Monitors Indirect Cost
Variance
What is the diversity of funding for the UCP programs?
NOAA50.79%
NSF20.78%
NASA19.85%
UNIV1.73%
COMM1.29%
DOE0.07%
DOD1.69%
FOREIGN2.28% OTHER
1.52%
FY12 UCP Direct Expenditures by Fund Source
$48,930,476
Proposals
What constitutes a proposal and when do I need permission to submit a proposal?
A proposal is an application for funding, for activities such as research, training, or service that is submitted to a sponsor such as a federal or state agency, commercial, foreign or non-profit organization.
Prior to submission, all proposals must be reviewed and approved by: Lab/Division or Program Director Entity Budget Office
NCAR Specific – Use of NCAR staff and facilities on all non-NSF and NSF Grant activities requires approval of the NCAR Budget Office.
Unfunded collaboration on another organization’s proposal. Proposals are officially submitted by UCAR on
behalf of the principal investigator.
Who is allowed to be a principal investigator (PI) on a proposal? Principal Investigators have responsibility for
the scientific/technical direction and administrative and financial management of the project.
UCAR employees such as Sr. Scientists, Scientists, Project & Associate Scientists, Software Engineers, Technicians, etc. may serve as Principal Investigator on a proposal.
Proposals submitted by post docs, visitors and term employees must have a UCAR employee designated as the PI, with the post doc, visitor or term employee designated as Co-I/Co-PI.
What guidance must I follow when submitting a proposal? Sponsor Requirements
Proposal requirements and guidance differ by sponsor. From required content to specific margins and
font to submission method. Individual sponsor announcements also
contain unique requirements: Eligibility Limited Submissions
Must be coordinated across UCAR Budget Restrictions
Limitations on overhead or fee Requires additional processes such as Cost Sharing, STORM
or UCAR Management Fee Waiver
What guidance must I follow when submitting a proposal? (Continued) NCAR and UCP each have their own
proposal guidelines. UCP Web: http://www.ucp.ucar.edu/proposaloutline.html NCAR Web:
http://www.ncar.ucar.edu/planning/proposals/ NCAR Specific – NCAR’s Cooperative Agreement
with NSF contains comprehensive direction on proposal management.
External review committee conducts a retrospective review of UCAR’s proposals (PACUR).
What guidance must I follow when submitting a proposal? (Continued)President’s Advisory Committee on University
Relations Committee of individuals from UCAR’s member
universities, established in response to university concerns about unfair competition.
PACUR conducts a semi-annual review of how well proposals follow the agreed to criteria developed by PACUR, NCAR, UCAR and NSF: Provides assurance to NSF, as required, and
university community that there is no unfair competition.
Mechanism to encourage collaboration between UCAR and university community.
Report of findings is presented to UCAR President, NSF and university members.
Proposal Roles & Responsibilities
Lab /
Pro
gra
m
• Prepare proposal forms, PACUR criteria & Budget.
• Work with budget office on necessary changes.
• Prepare all sponsor proposal documents.
• Ensure proposal follows sponsor guidelines.
• Complete sponsor electronic proposal packages.
• Submission of final hardcopy proposals.
• Initiate all required internal processes such as Sole Source, Cost Share, FFP, FID etc.
Budg
et Office
• Review sponsor announcement & confirm eligibility.
• Review budget and proposal forms.
• Review PACUR responses and adherence to criteria.
• Work with Lab/Program on necessary changes.
• Review final proposal packet against sponsor guidelines.
• Submission of NSF FastLane proposals.
Contrac
ts
• Review Terms & Conditions if required.
• Work with budget office & Lab/Program 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.
• Approve Sole Source requests.
How successful are NCAR proposals?
102121 112 124
108 106 115136
157
42
134132
110
131
121143
156
173149
124
Award57%
Award52%
Award50%
Award51%
Award53%
Award57%
Award58%
Award56%
Award49%
Award75%
0
50
100
150
200
250
300
350
2003 2004 2005 2006 2007 2008 2009 2010 2011 *2012
Num
ber o
f Pro
posa
ls
Fiscal Year
NCAR Success Ratios of Non-NSF and NSF Grant/Special ProposalsAwards vs. Declines Comparative
FY 2003 to 2012 YTD
NCAR Total AwardsNCAR Total Declines
Note: Excludes MOU's and zero $ proposals. Excludes proposals that are still pending or have been voided or withdrawn.
*FY 2012 has 170 proposals still under review, therefore, they are not yet awarded or declined.
Note: Awarded proposals includes proposals in response to direct requests by sponsors in addition to formal solicitations.
How successful are UCP proposals?
2008 2009 2010 2011 20120
20
40
60
80
100
120
UCP Proposals 2008-2012Proposed vs. Awarded
Total ProposedTotal Awarded
# o
f Pr
opos
als
*Some 2011 and 2012 proposals are still pending a decision.
Average success rate
is 56.6%
Where to get more information NCAR Budget and Planning Office
http://ncar.ucar.edu/budget-and-planning
UCP Budget Office http://www.ucp.ucar.edu/budget_office.html
Questions?
CONTRACTS – DIRECT AWARDSGina TaberskiContracts Director
Contracts – Direct Awards
Areas of Responsibility:Review sponsor solicitationsReview/approve certificationsSubmit government on-line proposals
Review and negotiate direct awards
Negotiate award modifications
Contracts – Direct Awards
Areas of Responsibility – cont’dAssist labs/divisions/programs with compliance questions
Review and negotiate zero funded agreements
Oversee direct award closeout
Contracts – Direct Awards
Who is responsible and has oversight responsibility for compliance with the terms and conditions of sponsor awards?
The Principal Investigator (PI) is primarily responsible to assure that anyone charging to an award where he/she is named as the PI complies with the award’s terms and conditions.
UCAR Finance and Administration has oversight responsibility to monitor award compliance and perform other functions on behalf of the PI.
Contracts – Direct Awards
Principal Investigators and Named Co-PIs Have Oversight for:
Conduct of the projectCompliance with award terms and conditions*
Subrecipient/Subcontract – programmatic oversight
Export ComplianceDeliverables (project reports and other deliverables including invention disclosures)
* Lab/Division Administrators may assist; however, the PI and named Co-PIs have primarily responsibility for overall compliance.
Contracts – Direct Awards
Types of Direct Awards Managed by UCAR: Cooperative Agreements – Financial assistance
awards where substantial involvement is anticipated between the sponsor and UCAR during the performance of the contemplated activity.
Grant - A legal instrument between the sponsor and UCAR whenever a) the principal purpose is to transfer money, property, services, or anything of value in order to accomplish a public purpose; and b) no substantial involvement is anticipated between sponsor and UCAR during the performance of the contemplated activity.
Contracts – Direct Awards
Types of Direct Awards Managed by UCAR: Contract – Seller is obligated to furnish
supplies/services and buyer is obligated to pay.
Purchase Order – Offer to buy supplies/services, including research and development
Subcontract – (see Contract) Subawards – (see Grant)
Terms and conditions will vary depending upon the type of award.
Contracts – Direct Awards
What types of award actions generally require UCAR to seek approval from the sponsor?
Significant program changes – changes in the statement of work
Change of the Principal InvestigatorReprogramming (overhead, equipment, issuance of subaward/subcontract)
Changes in deliverables schedule (more specific to contracts)
No cost extensions
Contracts – Direct Awards
What mechanisms may be required to 1) transfer UCAR intellectual property to a sponsor or other 3rd party; or 2) receive another party’s intellectual property?
License Agreement- Managed by the Office of General Counsel (OGC)
Export License - Issued by the U.S. State Department - An export license grants permission to conduct a certain type of export transaction.
Technical Assistance Agreement – An agreement for the performance of a defense service(s) or the disclosure of technical data.
Non-disclosure Agreement - Managed by OGC
Contracts – Direct Awards
Reporting – UCAR Finance and Administration are responsible for financial and other corporate reporting including:
Contractor’s Release CertificationsFinancial ReportsPatent/Invention Reporting (joint
responsibility)Property ReportsSmall Business ReportingARRA Reporting (financial aspects)
Contracts – Direct Awards
Reporting – PIs and Co-PIs* are responsible for programmatic reporting including:
Annual Technical ReportsPatent/Invention Reporting (joint
responsibility)Final Technical ReportsSpecial Reports (per award terms)ARRA Reporting (technical aspects)
* Lab/Division Administrators may assist; however, the PI and named Co-PIs have primarily responsibility for overall compliance.
CONTRACTS – PROCUREMENTPeter ChamberlainTeam Lead/Senior Contracts Administrator
Contracts - Procurements
Procurement is tasked with acquiring goods and services to support the scientific activities of UCAR, NCAR, and UCP.
Procurement strives to meet the project / program requirements while complying with the sponsoring entities’ regulations and requirements to ensure continued funding.
Procurement staff are the competition advocates for UCAR striving to meet requirements while saving money through competition, innovation, and efficiency.
Contracts Office – Contractual Authority
The UCAR President has delegated the responsibility of preparation, execution, and administration of UCAR direct awards and procurement actions to the Contracts Office per UCAR Policy 5-1.
No binding commitment shall be made on behalf of UCAR, except by those having contractual authority and acting within the limits of the said authority.
Commitments, arrangements, or promise of business, made by personnel without proper contractual authority is prohibited, and shall be subject to ratification by the VP for Finance and Administration.
Contracts - Procurement
UCAR Policy 5-8 Acquisition of Goods and Services
Approved Methods of acquiring goods and services include: Petty Cash: $100.00 or less - Employee pays for item
and turns in receipt for reimbursement. Check Request: $500 or less - Employee pays for
items and submits a check request for approval and review by Finance prior to reimbursement.
UCAR Purchase Card (UPC): A JPMorgan Chase credit card allowing authorized employees
purchasing authority within individual spending limits, under specific Merchant Category Classifications.
UCAR Contracts staff have expanded purchasing capabilities and dollar thresholds to procure using P-card.
Contracts - Procurement
Non-encumbered Blanket Purchase Order (NBPO) is a method for filling anticipated repetitive needs for supplies or services by establishing “open accounts” with qualified sources of supply for defined items.
Purchase Requisition (PR): The PR process is a method for acquiring goods and services that
supercedes other purchasing mechanisms. PRs must be reviewed and approved by authorized person having
authority over the specific account key(s) listed on the PR. Include any additional documentation that will facilitate the
procurement. Unauthorized Procurement Actions: An unauthorized
procurement action is any verbal or written direction, agreement or authorization given to a vendor by a UCAR employee lacking contractual authority.
Contracts - Procurements
Procurements in excess of $10,000 require competition prior to award unless there is a valid sole source justification.
Sole Source Justification - Documentation of reasons why the procurement cannot be competed: Source is a named CO-PI or collaborator on
proposal Follow on procurement or repair of original
equipment manufacturer (OEM) that only the OEM parts or service will meet compatibility and warranty requirements
Documentation that clearly substantiates that the source was arrived at through a “reasonable” process and is not arbitrary, based on personal opinion
Contracts - Procurement
Conflict of Interest: No employee, officer or agent shall participate in the selection, award, or administration of a contract if a real or apparent conflict of interest would be involved.
In addition to conflicts outlined in related policies, conflicts include any discussion with a potential future employer when the employee, officer, or agent is involved in the selection, award or administration of a contract.
Further, UCAR prohibits purchases from employees, their immediate families, or their business affiliates.
EXPORTDave SundvallRisk Manager and Export Compliance Manager
Export Control Laws? Export control laws are a complex set of
federal regulations designed to protect U.S. national security;
to prevent the proliferation of weapons of mass destruction;
to further U.S. foreign policy including the support of international agreements, human rights and regional stability; and
to maintain U.S. economic competitiveness.
Export Controls Summarized You need permission to export (or
temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports.
Export Controls Summarized You need permission to export (or
temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports.
Permission Typically, a license, agreement, or an
exemption or exception
You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a foreign person (unless you qualify for an exemption), and you must keep records and make reports.
Export Any item that is sent from the United
States to a foreign destination “Items” include hardware, instruments,
software, or technical data and information
By fax, phone, email, ftp, FedEx, hand carried, etc.
Deemed Export The release of technology or source code
to a foreign national in the United States is “deemed” to be an export to the home country of the foreign person under the EAR
Granting access to controlled technology
You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports.
Controlled items or technology Listed on the State Department’s USML
or Commerce Department’s CCL
State DepartmentUSML-U.S. Munitions ListITAR-International Trade in Arms Regulations
Military items or defense articles Includes space-related technology
because of application to missile technology
Includes technical data related to defense articles and services
Does not include basic marketing information or general system descriptions
Department of CommerceCCL-Commerce Control ListEAR –Export Administration Regulations
Dual use items Items that have both commercial and
military or proliferation applications – but purely commercial items without an obvious military use are also subject to the EAR
What’s NOT controlled? Information concerning general
scientific, mathematical or engineering principles commonly taught in universities or information in the public domain
Information that is published and which is generally accessible or available to the public
Fundamental research in science and engineering where the resulting information is ordinarily published and shared broadly in the scientific community
You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports.
Defense services The furnishing of assistance,
including training, to foreign persons in the design, engineering, development, production, processing, manufacture, use, operation, overhaul, repair, maintenance, modification, or reconstruction of defense articles, whether in the United States or abroad; or the furnishing to foreign persons of any controlled technical data, whether in the United States or abroad.
You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports.
Foreign person Foreign Person means any person
who is not a citizen or national of the United States unless that person has been lawfully admitted for permanent residence. It includes foreign corporations, international organizations, foreign governments, and any agency or subdivision of foreign governments.
You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports.
Exemption / Exception A "License Exception" is an authorization
that allows you to export or reexport, under stated conditions, items subject to the Export Administration Regulations (EAR) that would otherwise require a license.
You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports.
Recordkeeping Records of transactions involving
exports, including exports utilizing any of the License Exceptions, must be maintained 5 years.
You need permission to export (or temporarily import) controlled articles or technology, or to provide defense services to a Foreign Person (unless you qualify for an exemption), and you must keep records and make reports.
Reporting The use of certain license exceptions
include reporting requirements For example, exports of certain
commodities, software and technology controlled under the Wassenaar Arrangement (high performance computers, thermal imaging devices)
Where to get more information http://www2.fin.ucar.edu/ogc/export-com
pliance http://www.pmddtc.state.gov/ http://www.bis.doc.gov/
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