Grant Application Guide
Award Administration Highlights
The administration of financial assistance awards is governed by the terms and conditions of each award. The following information on administration deals with questions that recipients often raise. These highlights cover only a small portion of the required terms and conditions of an award.
Primary responsibility for supervision of project activities rests with the recipient organization. However, the principal investigator is responsible for the conduct of scientific work and the publication of its results, and is expected to provide technical leadership to the project whether or not any salary is provided from DOE funds.
For new or renewal awards, recipients may incur pre-award costs up to ninety (90) days prior to the effective date of the award. Pre-award costs, incurred at the recipient's own risk, must be necessary for the effective and economical conduct of the project.
Prior Approvals Required
The recipient is required to obtain the prior written approval of the cognizant DOE Contracting Officer whenever any of the following actions is anticipated:
1. Any revision of the scope or objective of the project regardless of whether or not there is an associated budget revision requiring prior approval. These revisions include changes in the phenomenon or phenomena under study, and the methodology or experiment if they are a specific objective of the research work as set forth in the approved application. The recipient is encouraged to contact the Office of Science immediately after becoming aware that any of these changes are likely to be proposed; but in any event, must do so and receive Office of Science approval before effecting any such changes.
2. Change of a principal investigator or a significant change in responsibilities or level of effort of the principal investigator or, in certain cases, other key personnel identified as such in the terms and conditions of the award. In addition, any continuous absence of the principal investigator in excess of three months, or plans for the principal investigator to become substantially less involved in the project than was indicated in the application as accepted, requires Office of Science approval.
Rebudgeting Among Budget Categories
The recipient is NOT required to obtain Contracting Officer approval to rebudget funds among categories within the recipient's approved budget. This authority provides flexibility to the recipient so that the research may be conducted in a more efficient and productive manner.
If additional time beyond the estimated expiration date of a budget or project period is required to assure adequate completion of the original scope of work with the funds already granted, a no-cost extension may be requested.
A request for a no-cost extension, signed by the authorized organizational representative, should be received by the cognizant DOE Contracting Officer and a copy to the Project Director, before the current expiration date of the award. The request must fully explain the need for the extension and include an estimate of the unexpended funds remaining, and a plan for their use. The plan must coincide with the original or amended objectives of the project.
An approved no-cost extension will be issued by the DOE Contracting Officer in the form of a formal amendment to the award, specifying a new expiration date.
However, recipients may extend, without DOE written prior approval, the expiration date of the final budget period of a project (thereby extending the project period) if additional time beyond the established expiration date is needed to assure adequate completion of the original scope of work within the funds already made available. A single extension, which shall not exceed twelve (12) months, may be made for this purpose, and must be made prior to the originally established expiration date. A written notification of this decision must be sent to the DOE Contracting Officer within ten (10) days of the action.
Office of Science Review of Funded Projects
The Office of Science or its authorized representatives may make site visits, at any reasonable time, to review a project. The Office of Science may provide such technical assistance as may be requested.
Termination of Awards
DOE awards may be terminated for cause or by mutual agreement. Termination by mutual agreement shall not affect any financial commitment of funds that, in the judgment of DOE and the recipient, had become firm before the effective date of the termination.
Patents, Data, and Copyrights
DOE will specify, in each award, the applicable patent, data, and copyright provisions.