Mastering the NOA ENGINEERING RESEARCH ADMINISTRATION 2013 P RESENTED BY : D EB M ICHAEL & D ONNA O BEID

Learning Objectives By the end of this course, you will be able to: Locate the Stanford NOA and the Sponsor NOA. Compare the Stanford NOA to the Sponsor’s. Understand how the terms impact your PI’s project. Identify ways to work effectively with your PI, ensuring both consistency and excellence in customer service.

Congratulations! Dr. Simone Dubois, one of your PIs, has just found out that she has been award funding from the Department of Energy for her research on solar-powered homes. She calls you to tell you the wonderful news, then confesses that she will need your assistance since she has no idea how to read the Notice of Award (NOA). Let’s see how we can go about helping her…

What is the NOA? The legal document that notifies Stanford that an award has been made. Contains the project contractual terms and conditions. Is comprised of 2 components: The sponsor-issued terms and conditions; The summary created by the Office of Sponsored Research. This summary is attached to the SeRA record.

5 What is the Stanford NOA? Agreement Type Current funding period & project period of performance Amount funded by this action & additional amount anticipated Remarks & compliance Major project & cost sharing Budget Management Travel & Equipment Intellectual Property Property & Subawards Report Requirements Deliverables Invoice requirements Always compare the sponsor NOA with the Stanford NOA for accuracy. A summary of the most critical elements. Sections include:

Locating the Stanford NOA in SeRA From the Project Summary page, click on View Latest NOA in the upper right hand corner. NOA Link

Sample NOA

Components of the Stanford NOA L ET ’ S TAKE A CLOSER LOOK AT EACH OF THESE …

Agreement Type This is the classification of the award. There are three key components to agreement type. 1.Is it a grant, contract, or co-operative agreement? 2.Is it research, instruction, other sponsored activity? 3.On campus or off campus?

Current Funding Period v.s. Project Period of Performance Current funding period is the period for which work and funding are approved. Project period of performance is the start and end date of the project.

Amount Funded by This Action Dollar amount funded by this notice of award On Sponsor’s NOA, look for terms like: Funds obligated by this action Increment fund amount Grant funding Option

Additional Amount Anticipated From Sponsor This is the amount of funding that Stanford hasn’t yet received, but expects to receive. It’s a good idea to check that the funding amount and anticipated funding add up to the total estimated project cost.

Remarks & Compliance Remarks are used for commenting on purpose of award or amendments and general information. Compliance is used for recording details of approvals for human and animal subjects, stem cells, cancer research, etc.

Terms and Conditions Major Project? Determination of major project status is based on OSR’s reading of the Stanford budget justification. Cost sharing? Mandatory or voluntary committed cost sharing.

Budget Management Carry forward to next period? If funds remain at the end of a period, they may be used for the next period expense. Pre-award spending? Spending approved for up to 90 days prior to start date Re-budgeting allowed? PI can use funds budgeted for one category of expense to cover expenditures in a different category. Must not change the scope of work. Limitation of funds? For some federal contracts OSR must notify sponsor when we come to the end of the obligated funding

Travel OSR will note here if travel, either domestic or foreign is allowed Pre-approval requirements for travel Always review the project’s budget and budget justification to confirm allowability of foreign and domestic travel.

Equipment Purchases & Title Vests Was equipment budgeted and approved? Is the sponsor providing equipment? Does the title vest in Stanford or the government? No tax accrues on government equipment.

Reports Summary of reports required by the sponsor: Technical reports RFA keeps track of reporting deadlines for PI Financial reports OSR provides routine financial reports RFA may also submit special financial reports

Names of Program/Bus Officers Don’t overlook this one! Your PI should be working with the program officer and you should make sure the business officer is getting copies of all technical reports. Financial reports are usually the job of OSR, but some special reports are provided to business officers by ERA.

Working Effectively With Your PI Read the Stanford and the Sponsor’s NOAs carefully! Compare to ensure consistency Note areas where PI’s expectations have not been met Follow up with OSR & Sponsor first Request corrections and modifications. Meet with PI Calmly summarize major pressure points. Provide plans for managing project. Have the major list of differences between the PI’s expectations and the award.

Case Study Now you have thoroughly reviewed the Notice of Award for Professor Dubois, it’s time to call her and discuss the new award!

Quick Check of Your Understanding Can you now…. Locate Stanford’s Notice of Award Locate the sponsor’s notice of award Compare the two and identify areas where they don’t agree Identify areas where the PI’s expectations were not met and resolve issues with sponsor and OSR Speak confidently with your PI about the NOA

Next Steps… In the next day or two, you will receive an message containing: a.) a feedback form link and b.) a quiz! To receive credit for this class, you’ll need to complete both the quiz and feedback form within 7 days.

Thanks for attending! C oming soon… December 16, 9:30-11AM The Power of You: Writing Effective s