U.S. ATLAS HL-LHC Upgrade Level 2 and Deputies-NSF only Management Mailing List

[Michael Tuts <tuts AT pmtuts.net>]

Dear All

 

We just received the Award notice from NSF for the MREFC award. The is excellent news. The first amendment is for $8,453,192 (including $2M contingency). It will be ~ a couple of weeks before the subawards start to go out from Columbia. For those that might have immediate needs, this award notice may helpful if you need to secure any pre-award spending authority from your institution. If you have not returned the 1030’s please do so as soon as possible, so we can the fully executed subawards out to you.

 

Please pass this note on to your IC’s that might need the notice.

 

Best, Mike

 

 

From: estein AT nsf.gov <estein AT nsf.gov>
Sent: Tuesday, March 31, 2020 2:22 PM
To: ms-grants-office AT columbia.edu
Cc: amharris AT nsf.gov; kpigford AT nsf.gov; mcoles AT nsf.gov; oandrews AT nsf.gov; salston AT nsf.gov; tuts AT nevis.columbia.edu
Subject: NSF Award Notice for Award ID 1948993 - Amendment ID 000

 

NATIONAL SCIENCE FOUNDATION

Award Notice

Award Number (FAIN): 1948993

Managing Division Abbreviation: PHY

Amendment Number: 000

AWARDEE INFORMATION

Award Recipient: THE TRUSTEES OF COLUMBIA UNIVERSITY IN T COLUMBIA UNIVERSITY
Awardee Address: 1210 AMSTERDAM AVENUE 254 ENGINEERING TERRACE, MC 2205 NEW YORK, NY 100277003
Official Awardee Email Address:ms-grants-office AT columbia.edu
Unique Entity Identifier (DUNS ID): 049179401

AMENDMENT INFORMATION

Amendment Type: New Project
Amendment Date: 03/31/2020
Amendment Number: 000
Proposal Number: 1948993
Amendment Description:

The National Science Foundation hereby awards a Cooperative Agreement for support of the project described in the proposal referenced above as modified by revised budget dated 03/05/2020.

AWARD INFORMATION

Award Number (FAIN): 1948993
Award Instrument: Cooperative Agreement
Award Date: 03/31/2020
Award Period of Performance:   Start Date: 04/01/2020     End Date: 09/30/2026
Project Title: MREFC: US ATLAS HL-LHC Upgrade Project
Managing Division Abbreviation: PHY
Research and Development Award: Yes
Funding Opportunity: NSF 18-564 Division of Physics: Investigator-Initiated Research Projects
CFDA Number and Name: 47.049 Mathematical and Physical Sciences

FUNDING INFORMATION

Amount Obligated by this Amendment: $8,453,192
Total Intended Award Amount: $75,000,000
Total Approved Cost Share or Matching Amount: $0
Total Amount Obligated to Date: $8,453,192
Expenditure Limitation: Not Applicable

PROJECT PERSONNEL

Principal Investigator: P. Michael Tuts

Email: tuts AT nevis.columbia.edu

Institution: Columbia University

NSF CONTACT INFORMATION

Managing Grants Official (Primary Contact)
Name: Erica M. Stein
Email: estein AT nsf.gov

Awarding Official
Name: Erica M. Stein
Email: estein AT nsf.gov

Managing Program Officer
Name: Mark W. Coles
Email: mcoles AT nsf.gov

GENERAL TERMS AND CONDITIONS

This Cooperative Agreement (CA) is entered into between the United States of America, represented by the National Science Foundation (NSF), and the above named Awardee pursuant to the authority of the National Science Foundation Act of 1950, as amended (42 USC 1861-1875). This CA is provided electronically to the Awardee. The Awardee is responsible for full compliance with all Programmatic and Financial/Administrative Terms and Conditions as initially stated or as updated over the life of this CA. The Awardee's request to draw down funds under this CA will represent acceptance by the Awardee of all Terms and Conditions of the CA. The Authorized Organizational Representative (AOR) will be electronically notified of any changes to these Terms and Conditions and is encouraged to immediately review these changes and contact the Grants and Agreements Official or Program Officer within thirty days with any questions.

CA-FATC
This award is subject to the Cooperative Agreement Financial & Administrative Terms and Conditions (CA-FATC), dated 02/12/2019, available at https://www.nsf.gov/awards/managing/co-op_conditions.jsp.

Major Research Facilities and FFRDCs
This award is subject to the NSF CA Modifications and Supplemental Financial & Administrative Terms and Conditions for Major Multi-User Research Facility Projects and Federally Funded Research and Development Centers, dated 02/12/2019, available at https://www.nsf.gov/awards/managing/co-op_conditions.jsp.

This award is made in accordance with the provisions of NSF Solicitation: NSF 18-564 Division of Physics: Investigator-Initiated Research Projects.

To view the Award Document in FastLane go to: https://www.fastlane.nsf.gov/researchadmin/emailLoginHome.do?awardId=1948993&amendmentId=000

FATC AND PTC

Financial and Administrative Terms and Conditions (FATC)

1.1. Funding and Funding Schedule:

a. Purpose: Funding provided under this award supports upgrade of the LHC Detector, all under the Major Research Equipment and Facilities Construction (MREFC) Account. Funds must be used solely for work in support of the scope of this award, in accordance with Proposal No. 1948993, and the NSF-approved Project Execution Plan (PEP) dated March 21, 2020, and subsequent revisions. Other policies affecting use of this funding are set forth in the NSF Major Facilities Guide, dated September 2019 and subsequent revisions.

b. The Total Project Cost (TPC) is $75,000,000. Funding is contingent upon the availability of funding, satisfactory progress of the project, and compliance with award terms and conditions.

d. Project Completion: The baseline schedule finish date is March 25, 2025, in accordance with the Baseline Schedule, PEP, dated March 21, 2020 and subsequent NSF-approved revisions.

e. Anticipated Funding Profile: The approximate planned funding profile is stated below. Actual negotiated funding, with specific allocations to the baseline and budget contingency, and the cumulative total for each, will be provided incrementally by amendment. Funding allocations to the performance measurement baseline and contingency will be based on realized opportunities ("puts") and on realized threats/risks ("takes"), at the time of amendment (see Award Notice).

 

FY	Original Award Baseline	Contingency	Total
FY 20	$6,453,192	$2,000,000	$8,453,192
FY 21	$13,500,749	$2,000,000	$15,500,749
FY 22	$11,060,081	$2,000,000	$13,060,081
FY 23	$9,601,266	$1,000,000	$10,601,266
FY 24	$12,711,868	$11,000,000	$23,711,868
FY 25	$1,365,039	$1,970,958	$3,335,997
FY 26	$336,847	$0	$336,847
Total	$55,029,042	$19,970,958	$75,000,000

 

 

 

 

 

 

 

 

f. Actual Funded To Date:

The actual funding amount provided to date is as follows:

FY	Amend	Original Award Baseline	Contingency	Total
FY 20	000	$6,453,192	$2,000,000	$8,453,192

 

g. Segregation of Funds. Funding provided under this CA must be used solely for the work identified herein. The Awardee must account for expenditures under the appropriate federal agreement in accordance with all applicable regulations and the Segregation of Funding Plan in the Project Execution Plan. The Awardee must report expenditures against the appropriate agreement. Failure to track disbursements under the appropriate agreement for which funds were expensed may result in an audit finding and possible disallowance of costs.

1.2. Budget, Schedule, and Scope Contingency:

a. Control Documents: Contingency must be managed in accordance with the NSF-approved Configuration Control Plan and PEP, dated March 21, 2020 or subsequent revisions.

b. Budget Contingency: The initial total project contingency budget is hereby approved in the amount of $19,970,958.

c. Schedule Contingency: The initial total project schedule contingency is hereby approved as the time between the project baseline completion date of March 25, 2025, defined as milestone Subsystems Complete and the risk-adjusted Project End Date of May 4, 2026, a duration of 406 calendar days, approximately 14 months.

d. Scope Contingency: The project scope contingency is hereby approved as described in the NSF-approved Scope Contingency Plan, PEP, dated March 21, 2020, or subsequent revisions.

e. Management and Reporting of Budget Contingency: The Awardee must manage allocations to and from the budget contingency against the cumulative total allocated. Forecast of budget contingency liens and the Estimate at Completion (EAC) must be managed against the total project contingency budget and total project cost and reported to NSF on a monthly basis. Remaining balances of budget contingency must be monitored against both the total contingency allocated to-date and the total NSF-approved contingency budget and reported to NSF on a monthly basis. All potential use of budget contingency (liens), all allocations to and from the budget contingency (realized opportunities ("puts") and realized threats/risks ("takes"), additional budget contingency obligated by NSF), as well as the resulting available budget contingency balance must be reported to NSF on a monthly basis in a format requested by the NSF Program Officer and consistent with the NSF Major Facilities Guide, Section 4.6.2.

f. Management and Reporting of Schedule Contingency: The Awardee must manage allocations to and from the schedule contingency, the forecast of schedule contingency liens, and the project end date, against the total project schedule contingency. All potential use of schedule contingency (liens), all allocations to and from the schedule contingency, the resulting available total project schedule contingency balance, and the current planned project end date, must be reported to NSF on a monthly basis.

1.3. Indirect Cost

In accordance with Uniform Guidance, Appendix III to Part 200 - Indirect (F&A), the following rates have been approved by the awardee's cognizant agency on August 14, 2018, and must be used for the duration of this award:

Description	Rate
On-Campus (Research)	62.00%

 

1.4. Subawards

In addition to the subaward requirements of Article 8., Section a entitled, "Transfer of the Project Effort (Subawards)," of the CA-FATCs, the following requirements apply under this cooperative agreement:

a. The Foundation authorizes the awardee to enter into the proposed subawards listed below.

WBS	Institution	Amount
6.4.3.2	University of Arizona	$1,113,700
6.8.2.5	University of Arizona	$647,190
6.6.5.1	Boston University	$1,816,844
6.5.1.1	University of Chicago	$2,551,342
6.8.2.1	University of Chicago	$1,735,486
6.8.3.5	University of Chicago	$477,371
6.8.2.3	University of Illinois	$153,909
6.8.3.4	University of Indiana	$555,638
6.10.2.3	University of Indiana	$351,565
6.6.1.1	University of Michigan	$3,922,876
6.6.3.1	University of Michigan	$1,189,940
6.6.4.1	University of Michigan	$2,036,408
6.5.3.1	Michigan State University	$267,244
6.6.1.2	Michigan State University	$1,100,771
6.8.1.1	Michigan State University	$218,155
6.8.3.1	Michigan State University	$1,175,331
6.8.3.2	Michigan State University	$492,219
6.5.4.2	Northern Illinois University	$452,760
6.8.3.3	University of Oregon	$457,410
6.8.3.7	University of Oregon	$234,987
6.8.3.8	University of Oregon	$183,917
6.8.2.2	University of Pennsylvania	$5,078,817
6.8.3.6	University of Pittsburgh	$548,133
6.4.3.1	Stony Brook University	$4,525,606
6.4.1.3	Southern Methodist University	$3,143,229
6.6.5.3	University of California - Irvine	$912,176
6.8.2.4	University of California - Irvine	$637,162
6.6.5.2	University of Massachusetts	$719,102
6.4.1.2	University of Texas - Austin	$634,315
6.5.4.1	University of Texas - Arlington	$1,220,471

 

b. The Awardee must ensure that, in addition to other flow down requirements specified in the CA-FATCs, all subawards issued under this award must include requirements for appropriate, authorized use of MREFC funds, including segregation from other types of funds, as well as reporting of project planning and performance management.

c. Subawardee Oversight

The Awardee will be responsible for conducting and reporting to NSF on subawardee oversight.

  1) The awardee is responsible for subawardee performance.

  2) Memoranda of Understanding (MOUs) between the awardee and each subawardee must document the intention of each subawardee institution to participate in the scope of work funded by this award. The MOU must describe the intended responsibilities and work to be performed by participating staff from the subawardee institution.

  3) Subawardee SOWs must include milestones and/or other means enabling the awardee to track subawardee performance.

  4) NSF must be informed as far as possible in advance in the case of any withdrawal from participation of any subawardee institution named in this Cooperative Agreement. In the event of an unplanned withdrawal, ATLAS must provide NSF with a plan for mitigating the impacts of the withdrawal within 90 days following withdrawal. The plan must include a consideration of scientific labor needed to complete the intended scope of work assigned to the subawardee.

  5) NSF approval is required prior to the addition of any subawardee institution. NSF approval is contingent on review of supporting materials to be provided by the Awardee that will depend on the circumstances of the request.

Programmatic Terms and Conditions (PTC)

2.1 Program Description

The Large Hadron Collider (LHC), located at CERN near Geneva Switzerland, is the world’s highest energy particle collider. It has produced high energy proton-proton, proton-ion, and ion-ion collisions since the start of accelerator operations in 2010 enabling the investigation of the fundamental characteristics of the forces and elementary particles that make up the universe. Within LHC, the A Toroidal LHC Apparatus (ATLAS) detector is one of the major detectors supported by NSF. The purpose of this award is to support the LHC High Luminosity (HL) Upgrade of the ATLAS Detector to increase the detector’s ability to advance additional discoveries.

2.2 Scope of the Award

a. The Awardee will complete NSF’s High Luminosity upgrade to the ATLAS detector at the Large Hadron Collider as described in Proposal NSF PHY-1948993. Work will be executed in accordance with the Project Execution Plan (PEP), dated March 21, 2020, and subsequent revisions, incorporated by reference.

b. Completion of the work funded by this award is defined as certification by the Awardee of delivery at CERN of all NSF-funded deliverables in working order.

c. Exclusions:

1) Funding for Installation and commissioning of the NSF-funded deliverables is not included in this award.

2) Funds for additional equipment for data analysis and archival are not included in this award.

2.3 Reporting Requirements

a. Monthly reports must include those items listed in Section 4.6.2 of NSF’s Major Facilities Guide. In addition:

  1) The monthly report will include an explanation of the cause and plan for corrective action of all project cost or schedule negative variances exceeding ten percent of planned value at WBS Level 3.

  2) The financial status summary information must also include, where useful, a description of performance relative to milestones planned for achievement during the current reporting period to assess progress on activities whose accomplishment depends on the application of scientific labor.

  3) A list of all change control board actions, irrespective of the impact to the Budget at Completion (BAC).

  4) Monthly reports must be submitted no later than 30 days following the end of the month in which the activities described in the report occurred.

  5) Periodically, and at a minimum annually, monthly reports must contain:

      i) Updated computation of the risk exposure, estimate to complete (ETC), and estimate at completion (EAC), and a comparison of these quantities to the BAC and Total Project Costs (TPC).

     ii) A current list of available descope options, the estimated financial impact of exercising each of the descope options, and the latest possible decision dates within the project when the exercise of each descope option could occur.

    iii) Status update on the upscope options approved in the project baseline, to indicate current estimates of the financial impacts resulting from adding each option to the project scope, and the latest possible decision point for exercise of each upscope option.

  6) When appropriate, the monthly report must contain:

      i) Updates to the project Risk Register when there are changes to the list of budget, schedule, and scope impacts or to the estimated date by which a determination is needed to implement a baseline change to adjust the BAC and decrement the contingency budget.

     ii) A list of schedule risks, by WBS, potentially resulting in a delay in achieving a level 3 milestone (i.e. those milestones associated with tracking WBS Level 3 deliverables), and the estimated amount of the delay.

b. Annual reports

  1) The Annual Report may be submitted in place of its corresponding monthly financial and status report, but must include the current monthly status information listed above.

  2) Annual Reports must also include a summary of work accomplished during the reporting period (i.e. the prior 12 months), including major scientific and technical accomplishments by subawardees and an accounting of financial expenditures and obligations.

  3) Each Annual Report must provide a brief overview of the accomplishments and plans of the international ATLAS program and the efforts of CERN and partners to upgrade the LHC, including any adjustments or plans under consideration that might impact the NSF-funded scope, schedule, or budget for this award.

  4) Annual Reports must recommend materials and tooling to be retained to support future operation of the detector, and recommendations for custodianship of these items.

  5) DRAFT Annual Reports must be made available to NSF at least two weeks prior to the annual NSF review of construction so that NSF’s external review panel (see Annual Reviews section) may provide feedback.

  6) Annual reports must be submitted to NSF via NSF's electronic systems no later than:

• § October 1, 2020 (a report covering only the period from April 1 – September 30, 2020)
• § October 1, 2021
• § Annually, thereafter

2.4 Configuration Management and Use of Contingency

a. Written prior approval must be obtained from the cognizant NSF Program Officer for Change Control Board (CCB) actions resulting in changes to the amount of available (either positive or negative) budget contingency exceeding $250,000.

b. Written prior approval must be obtained from the cognizant NSF Program Officer for a CCB action resulting in delay to any WBS level 3 milestone exceeding the baseline schedule by 30 days.

c. Written prior approval must be obtained from the cognizant NSF Program Officer for any CCB action resulting in the implementation of a scope revision with an estimated or actual value that exceeds $250,000.

d. All completed baseline change actions, irrespective of amount, must be retained in the project’s document archive for possible later review and audit.

e. Approval by the cognizant NSF Program Officer will not constitute a basis for an increase in the overall funding, nor be interpreted as modifying the Total Project Cost (TPC), scope or duration set forth in this agreement. Such actions, if approved by NSF, will be provided by amendment to this agreement by the Grants and Agreements Officer. The Awardee will immediately notify the Grants Officer and NSF Program Officer of any situation where the Awardee's risk-adjusted EAC exceeds the established TPC.

2.5 Reviews

The NSF reviews anticipated under this award include but are not limited to:

a. Performance Review. NSF will conduct a review of this award to include management issues, cost and schedule objectives, and scientific and technical performance issues. NSF will utilize external expert advisory panels to conduct periodic reviews, approximately annually, of NSF-funded construction progress and the work planned for the coming year. Typically, concurrent with these annual performance reviews will be an Earned Value Management System (EVMS) surveillance review assessing the reliability of the earned value data and the project performance information in the monthly reports. The reviews will be held no less frequently than annually.

b. Business System Review. A Business System Review (BSR) is anticipated early in the award period. The BSR will address the suite of business systems (people, processes, and technologies) that supports the administrative management of the project.

c. Incurred Cost Audit: At least one incurred cost audit during the construction period and one incurred cost audit post-award are anticipated. See Section 4.6.3.4 of the Major Facilities Guide and the CA-FATC MMURFP Article entitled Incurred Cost Submissions of Financial Expenditure Data for additional information on Incurred Cost Audits and associated reporting requirements.

d. The Awardee must ensure full commitment and cooperation among the governing structure components and all project staff during all NSF project management and oversight activities. The awardee must ensure availability of all key institutional partners during any desk or on-site review, as well as timely access to all project documentation.

BUDGET

A. Senior Personnel
Senior Personnel Count		2.00
Senior Personnel Calendar Months		4.05
Senior Personnel Academic Months		0.00
Senior Personnel Summer Months		0.00
Senior Personnel Amount		$60,428
B. Other Personnel
Post Doctoral Scholars
Post Doctoral Count		0.00
Post Doctoral Calendar Months		0.00
Post Doctoral Academic Months		0.00
Post Doctoral Summer Months		0.00
Post Doctoral Amount		$0
Other Professionals
Other Professionals Count		0.00
Other Professionals Calendar Months		0.00
Other Professionals Academic Months		0.00
Other Professionals Summer Months		0.00
Other Professionals Amount		$0
Graduate Students
Graduate Students Count		0.00
Graduate Students Amount		$0
Undergraduate Students
Undergraduate Students Count		0.00
Undergraduate Students Amount		$0
Secretarial - Clerical
Secretarial - Clerical Count		0.00
Secretarial - Clerical Amount		$0
Other
Other Count		2.00
Other Amount		$53,628
Total Salaries and Wages (A+B)		$114,056
C. Fringe Benefits		$32,164
Total Salaries, Wages, Fringe Benefits (A + B + C)		$146,220
D. Equipment		$946,958
E. Travel
Domestic		$8,436
International		$20,354
F. Participant Support Costs
Participant Support Costs Stipends		$0
Participant Support Costs Travel		$0
Participant Support Costs Subsistence		$0
Participant Support Costs Other		$0
Total Number of Participants		0.00
Total Participant Costs (F)		$0
G. Other Direct Costs
Materials Supplies		$2,211
Publication Costs		$0
Consultant Services		$0
Computer Services		$0
Subawards		$4,785,136
Other		$2,000,000
Total Other Direct Costs (G)		$6,787,347
H. Total Direct Costs (A Through G)		$7,909,315
I. Indirect Costs*		$543,877
J. Total Direct and Indirect Costs (H + I)		$8,453,192
K. Fees		$0
L. Total Amount of Request (J) OR (J + K)		$8,453,192
M. Cost Sharing Proposed Level		$0

 

*Indirect Cost Rates

Item Name	Indirect Cost Rate
MTDC	62.0000%
MTDC Subaward Setup	62.0000%

These rates are at the time of award and are based upon the budget submitted to the NSF. It does not include any out-year adjustments. The NSF will not modify awards simply to correct indirect cost rates cited in the award notice. See the Proposal & Award Policies & Procedures Guide (PAPPG) Chapter X.A.3.a. for guidance on re-budgeting authority.