DOE Guidance Document

US DEPARTMENT OF ENERGY

GENERAL TERMS & CONDITIONS

https://www.nsf.gov/pubs/policydocs/rtc/agencyspecifics/doe_417.pdf

Agency Specific Requirements:

  1. http://www.nsf.gov/pubs/policydocs/rtc/doe_708.pdf or:
  2. http://energy.gov/sites/prod/files/SPECIAL_TERMS_AND_CONDITIONS_FOR_USE_IN_MOST_GRANTS_AND_COOPERATIVE_AGREEMENTS.pdf
  • REPORTING 
     
    • Annual – In general an annual progress report is due 90 days prior to the anniversary date of all funding years including the last year.  Reports should be submitted by the PI directly to their DOE Program Manager via email.   PI’s can find all reporting requirements, schedules, and contact information on the Federal Assistance Reporting Checklist, DOE F 4600.2 attached to their award.
       
    • Final- within 90 calendar days following the termination date of the award.  The report  should be submitted via the online system at this link:   http://www.osti.gov/elink-2413
       
  • NO-COST EXTENSIONS
     
    •   First – UMass can approve one no cost extension (of up to 12 months) under expanded authority.  Requests must be submitted to OPAM at opam@umass.edu at least 60 days prior to the then current grant end date ad must provide a specific revised end date and a justification for the extension.    
       
    • Subsequent – no cost extensions require approval from DOE and should be submitted to OPAM at opam@umass.edu at least 60 days prior to the then current grant end date.  The letter of request should be signed by the PI and include the following:
       
  • A specific revised end date.
  • A summary of progress to date and a justification as to why additional time is needed
  • An estimate of funds expected to remain unobligated on the current termination date
  • A description of work remaining and a timeline for completion

 

  • BUDGET REVISIONS:
     
    • Requiring DOE approval:   The PI should prepare a letter of request with supporting documentation and submit to OPAM at opam@umass.edu who will review and forward to DOE as appropriate.  If questions, please contact your award administrator for further guidance.
    • Changes resulting from a significant change in the level of effort for the PI/Co-PI
    • Changes that result from a change in the Scope of the project
    • Need for additional funding
    • Foreign Travel when not approved as contained in the Proposal budget
    • Addition of a subcontract
    • Any change between line items exceeding 10% of the total approved budget
    • Rebudgeting funds from the Trainee/Training line item
     
    • Other Budget Revisions: Normally do not require DOE approval.  If any doubt, contact your grant accountant who can provide guidance.
  • CARRY FORWARD
    Any unobligated balance of funds which remains at the end of any funding period, except the final funding period of the project, shall be carried over to the next funding period
  • PRIOR APPROVAL ACTIONS/REQUESTS

    The following require the prior approval of DOE.  The PI should prepare a letter of request with supporting documentation and submit to OPAM at opam@umass.edu who will review and forward to DOE as appropriate.  If questions, please contact your award administrator for further guidance.
     
  • PI Transfer
  • Change PI or Add/Change Co-PI – or withdrawal of PI/Co-PI
  • Significant change in level of effort for PI or Co-PI
  • Addition of a Subcontract
  • Change in Objectives or Scope
  • DOE approved No-Cost Extension (2nd extension or late request for 1st extension)
  • Long term absence (over 3 months) of PI or Co-PI.  This approval must be sought from DOE in all cases of the PI/Co-PI being away on sabbatical, maternity/paternity leave, medical leave, etc., even if the PI/Co-PI intends to keep in communication with the project.  Part of that approval is how the project will run while the PI/Co-PI is away.
  •  Preaward costs in excess of 90 days
  • GRANTEE NOTIFICATION TYPES:  The PI should prepare a letter of request with supporting documentation and submit to OPAM at opam@umass.edu who will review and forward to DOE as appropriate.  If questions, please contact your award administrator for further guidance.
     
  • Grantee approve No Cost Extension (1st extension)
  • Short term absence of PI/Co-PI (up to 3 months)
  • Significant Changes/Delays or events of unusual interest
  • Significant changes in Methods/Procedures
  • Conflicts of Interest