Article Subject
1. Recipient Responsibilities and Federal Requirements
6. Non-Competitive or Continuation Award Requirements
7. Financial Reports
8. Final Report Requirements
9. Dissemination of Project Results
10. Acknowledgment of Support and Disclaimer
11. Data Collection
12. Site Visits
13. Pre-award Costs
14. Extensions Without Additional Funds
15. Equipment and Real Property
16. Alteration and Renovation
17. Use Of U.S.-Flag Air Carriers
18. Financial Management System
19. Procurement System
20. Program Income
21. Unobligated Balances and Limit of Federal Liability
22. Patents and Inventions
23. Audits and Records
24. Termination and Enforcement
25. National Security
26. Nondiscrimination
27. Animal Welfare
28. Research Involving Recombinant DNA Molecules
29. Clean Air and Water
30. Human Subjects
31. Activities Abroad
32. Debarred or Suspended Parties
33. Closeout
34. Rights In Data
(2) These general terms and conditions;
(3) The supplemental agency-specific requirements of the awarding
agency that are incorporated in the Demonstration Agreement (hereafter referred to as agency-specific requirements); and
(4) Any special conditions attached to this award.
d. Any request by the recipient for waiver or deviation from any
provision of either these
general terms and conditions or the agency specific requirements shall be
submitted to the
awarding agency's designated representative identified on the signature page
of the
Demonstration Agreement. Any request by the recipient for a waiver or
deviation from any
special condition attached to this award shall be submitted to the cognizant
awarding agency
official for this particular award (usually the Grants Officer or
Contracting Officer who signed
the award on behalf of the awarding agency).
e. Subawards
(a) Recipient means the university which receives an award
directly from a participating
awarding agency.
(b) Subrecipient means any entity that is receiving funds
under the prime award on any
permissible basis other than the purchase of goods or services.
(c) Subaward means any award of funds under the prime award
for purposes
contemplated by subparagraph e(2) or for the purchase of goods or services.
(d) Subawardee means any entity that receives a subaward.
(a) If the subrecipient is a party to the Demonstration
Agreement, then the requirements
that apply to the subrecipient shall be the same as those that apply to the
prime recipient of this
award.
(b) If the subrecipient is not a party to the Demonstration
Agreement, then the
requirements that apply to the subrecipient shall be those that would apply
if the prime recipient
were not covered by the Demonstration Agreement.
(3) Circular A-110 Sections ___.40- ___.48 and Appendix A as
applicable shall apply to
any contract for the purchase of goods or services under this award if the
purchaser is the
recipient or a subrecipient that is a public or private nonprofit university
or hospital or any other
private nonprofit organization.
(4) The Common Rule on UNIFORM ADMINISTRATIVE REQUIREMENTS FOR
GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL
GOVERNMENTS (OMB Circular A-102), Section ___.36, entitled "Procurement"
(along with
any agency-specific additions), published in the Federal Register (53 FR
8087-8103), shall apply
to any such contract if the purchaser is a subrecipient that is a state,
local or Indian tribal
government, as those terms are defined in the Common Rule. (See also
Article 19 of these
general terms and conditions.)
f. To the extent not otherwise treated in these general terms and
conditions or the
agency-specific requirements, the awarding agency shall be bound by any of
its published rules
applicable to this award (whether or not in the form of codified
regulations) which:
(1) Limit the awarding agency's right to take unilateral actions,
(2) Establish a right for the recipient, and/or
(3) Establish due process requirements (including, but not limited
to, any rules providing
an administrative process for hearing appeals by the recipient from
decisions of the awarding
agency).
b. OMB Circular A-21 contains applicable Federal cost principles for
this award.
c. The only prior Federal approvals required to be obtained by the
recipient under this award
shall be those specified in any of the requirements listed in Article 1,
above, including those
specified in these general terms and conditions. All other Federal prior
approval requirements,
including those in OMB Circulars A-21 and A-110, are waived. The recipient
may maintain
such internal prior approval systems as it considers necessary.
d. Indirect costs shall be reimbursed as indicated in the
agency-specific requirements.
e. The applicable Federal cost principles for subawards and
contracts/subcontracts under the
award shall be those otherwise applicable to the type of organization
receiving the subaward,
contract or subcontract. In addition to OMB Circular A-21, the other
applicable cost principles
are:
(2) Subpart 31.2 of the FAR (48 CFR Subpart 31.2) applicable to
commercial firms and
those nonprofit organizations specifically exempted from the provisions of
OMB Circular A-122.
(3) OMB Circular A-87 (codified in the Code of Federal
Regulations as 34 CFR Part 255)
for state and local governments.
(4) 45 CFR 74, Appendix E, for hospitals.
g. Any subaward (including any cost-type contract or subcontract) under
this award shall
address whether and how the subawardee obtains any requisite prior
approvals. If the
subawardee is a party to the Demonstration Agreement, then the prior
approval requirements that
apply to the subawardee shall be the same as those that apply to the
recipient. If the
subawardee is not a party to the Demonstration Agreement, the prior approval
requirements that
apply to the subawardee shall be those that would apply if this award were
not covered by the
Demonstration Agreement. In either case, the recipient, not the Federal
awarding agency, shall
grant or deny the subawardee's requests for prior approval.
h. Allocability and Documentation Standards
(2) Internal Controls: The institution's financial management
system shall ensure that no
one person has complete control over all aspects of a financial transaction.
(3) Multiple Benefit: (Not applicable to NIH) If a cost benefits
two or more projects or
activities, the costs may be charged or transferred to either or any of the
awards involved as long
as the productivity and the approved scope of those awards are maintained;
the costs are
otherwise allowable; and the proper internal controls are in effect (see
h(1) and h(2) above).
(4) Documentation: Federal requirements for documentation are
specified in OMB
Circulars A-21 and A-110 and agency policies on cost transfers. If the
institution authorizes the
Principal Investigator or other individual to have primary responsibility
for the management of
grant funds, then the institution's documentation requirements (e.g.,
signature or initials of the
Principal Investigator or designee or use of a password) need not provide
for additional
documentation (explanations or certifications) beyond that required in this
paragraph h.
(2) This Article provides a special rule on allocating costs to a
program of related projects. It also provides criteria and procedures for determining whether two or more projects supported by separate awards comprise such a program.
(2) For purposes of this paragraph b, the terms "particular
sponsored agreement" and "the sponsored agreement" in subparagraph C.4.b. of OMB Circular A-21 shall be understood as referring to the program of related projects, and the term "other sponsored agreements" in that paragraph shall be understood as
referring to any project/award that is not part of the program of related projects.
(2) All or most of the costs of each project would also be
legally permissible for support under the Federal appropriations from which the other projects are funded. (This criterion is intended to preserve the integrity of the Federal appropriations process. It is noted that Federal appropriation law does
not preclude two or more awards from participating in a pool of costs
some of which are not eligible under one or more of the awards. This is
permissible so long as none of the awards is charged, in total, more than the allowable costs which are eligible under its appropriation. If that principle is observed, the question of which costs are assigned to which
award is moot); and
(3) All of the projects/awards involved are covered by the Demonstration Agreement.
(a) Be in writing (a Project Relatedness Request Form is
available for this purpose), and
be sent to the lead agency's designated representative (as specified in the
Demonstration
Agreement) and a copy sent to the designated representative (or the Office
of Policy for
Extramural Research Administration, NIH) of each of the other agencies (if
any) involved;
(b) Be signed by the PI/PD (or by each PI/PD, if more than one)
and countersigned by
another authorized official of the recipient;
(c) Identify the appropriate relatedness criterion (under
paragraph c of this Article) and
include a brief statement of why the recipient believes the projects meet
that criterion.
(2) For purposes of this paragraph, "lead agency" is the
participating agency which
provides the preponderance of dollar support to the projects to be related.
If all of the projects to
be related are National Science Foundation (NSF) projects, the procedure in
subparagraph d(1)(a)
above need not be followed. If the request is to relate an NSF project(s)
and a project(s) of one
or more of the other participating agencies, the lead agency will be other
than NSF regardless of
the NSF dollar support.
(3) The lead agency shall consult with the other affected Federal
awarding agency or
agencies, and shall grant the request, in writing (by means of the Project
Relatedness Request
Form) within 30 days of receipt, if it concludes that the criteria in
paragraph c, above, are met.
The lead agency will rely on the opinion of the other affected Federal
agency or agencies
concerning their statutory authority(ies).
(4) No project may be included in a program of related projects
unless the awarding agency
for that project agrees.
a. Change in scope or objectives -- If the phenomenon(a) under study
or the objectives of the
project, stated in the approved application or approved modifications
thereto, have been changed.
b. Absence or change of Principle Investigator/Project Director
(PI/PD) -- If the approved
PI/PD:
(2) otherwise relinquishes active direction of the project (either
permanently or for a
continuous period of more than 3 months or a 25 percent reduction in time
devoted to the
project), then the recipient must either:
(a) appoint a replacement PI/PD with the approval of the
awarding agency,
(b) relinquish the award (in which case the award shall be
terminated by mutual
agreement in accordance with Article 24), or
(c) seek and receive prior approval from the awarding agency for
the reduction of time
devoted to the project.
b. Policy. After issuance of an initial (usually 12-months) award, and
if there is recommended
future support, award recipients must submit a technical progress report in
order to receive
additional annual recommended increments of funding remaining in the project
period.
c. Content of Technical Progress Report. The technical progress
report should be written in
language readily understandable to a scientist who may not be a specialist
in the field of the
project's research. The style used in Scientific American articles would be
appropriate.
Abbreviations and language that may not be generally known to the broader
scientific
community should be avoided or clearly defined. It is suggested that the
entire report, exclusive
of the list of publications, not exceed 2 pages. The report should include
the following
components:
(2) Results - Emphasize findings and their significance to the field,
their relationship to
the general goals of the award, their relevance to the agency's mission, and
their potential
practical applications. Also address unexpected problems you have
encountered, or might
encounter, in carrying out this project.
(3) Plans for the coming year
(4) Publications - List only those arising from this project. Copies
of publications and
reprints which have not previously been submitted to the agency should be
enclosed with the
report. Due one time per year at time determined by the agency.
(2) For multiple-year projects funded in annual increments, an
original and two copies of
the FSR must be submitted to the cognizant awarding agency official by the
recipient within 90
days of the end of each budget period.
For awards receiving advance funding, an original and two copies of a
Federal Cash
Transactions Report (SF 272) shall be submitted within 15 days following the
end of each
funding quarter.
a. An original and two copies of a final performance report which
covers the entire period of
support;
b. Final expenditure and disbursement information on the Financial
Status Report and/or
Federal Cash Transactions Report, as required by the awarding agency; and
c. Any other reports required under this award, including invention
reports.
b. At such time as any article resulting from work under this award is
published in a
scientific, technical, or professional journal or publication, two reprints
of the publication should
be sent to the cognizant awarding agency official, clearly labeled with the
award number and
other appropriate identifying information.
b. All materials, except scientific articles or papers published in
scientific journals, must also
contain the following:
"Any opinions, findings, and conclusions or recommendations expressed in
this publication
are those of the author(s) and do not necessarily reflect the views of the
[name of awarding
agency(ies)]."
c. Any solicitation using Federal grant funds to procure goods and
services (including
construction) costing $500,000 or more must announce the amount and
percentage of total
costs to be financed with Federal funds.
b. The recipient shall maintain a property management system which, at
a minimum, meets
the requirements of OMB Circular A-110, Sections ___.30 through ___.37, and
which, in its
essential elements, remains as approved by the Office of Naval Research
(ONR). ONR shall be
notified of any major change(s) to the approved system.
c. Title to equipment purchased or fabricated with awarding agency or
cost sharing funds, as
direct costs of the project or program, shall vest in the recipient upon
acquisition. The recipient
shall specify in any subaward (including cost-type contracts only) whether
title to equipment
purchased or fabricated under the subaward vests in the recipient, the
subrecipient or the
contractor, as applicable. The recipient shall also require the
subrecipient to specify, in any
cost-type contract awarded by the subrecipient, whether title to equipment
purchased or
fabricated by the contractor vests in the contractor or in the subrecipient.
d. In accordance with the exemption provided by P.L. 95-224, as amended
by P.L. 97-258 (31
U.S.C. 6306), the recipient (and the subrecipient or contractor, if
applicable) shall be exempt
from accountability to the Federal Government for equipment acquired under
this award. For
any item of equipment with an original acquisition cost of $5,000 or more,
the Federal
Government may require that title be transferred to the Federal Government
or a third party if the
project or program for which the equipment was purchased is transferred to
another recipient. In
any such case, the awarding agency(ies) will notify the recipient of the
intent to transfer title
within 120 days following the expiration or termination of the project(s).
e. No real property may be acquired or constructed under this award.
f. Nothing in this Article requires the recipient or subrecipient to
maintain any records that
would not otherwise be required for equipment acquired under this award.
(2) The alteration and renovation must be essential to the project
supported;
(3) The space involved must actually be occupied by the project or
program;
(4) The space must be suitable for human occupancy before
alteration and renovation work
is started, except where the purpose of the alteration or renovation is to
make the space suitable
for some purpose other than human occupancy (e.g., storage); and
(5) If the space is rented, evidence must be provided that the
terms of the lease are
compatible with the alteration and renovation proposed.
b. Any air transportation to, from, between, or within a country other
than the U.S., of persons
or property, the expense of which will be assisted by this award, must be
performed on a
U.S.-flag air carrier if service provided by such carrier is "available."
c. The following rules apply unless the result would be use of a
foreign air carrier ("foreign
carrier") for the first or last leg of travel from or to the U.S.:
(2) If a U.S. carrier does not serve an origin or interchange
point, a foreign carrier shall be
used to the nearest interchange point to connect with a U.S. carrier.
(3) If a U.S. carrier involuntarily reroutes the traveler via a
foreign carrier, the foreign
carrier may be used.
(a) The airport abroad is the origin or destination airport,
and use of a U.S. carrier
would extend the total travel time 24 hours or more than would travel by
foreign carrier; or
(b) The airport abroad is an interchange point, and use of a
U.S. carrier would require
the traveler to wait six (6) hours or more to make connection or would
extend the total travel
time six (6) hours or more than would travel by foreign carrier.
(2) Travel Between Points Outside the U.S. Use of a foreign
carrier is permissible if:
(a) Travel by foreign carrier would eliminate two (2) or more
aircraft changes en route;
or
(b) Travel by U.S. carrier would extend the total travel time
six (6) hours or more than
would travel by foreign carrier.
(3) Short Distance Travel. For all short distance travel,
regardless of origin and
destination, use of a foreign carrier is permissible if the elapsed travel
time on a scheduled flight
from origin to destination airport by foreign carrier is three (3) hours or
less and service by U.S.
carrier would double the travel time.
b. The recipient shall notify the awarding agency by means of the
Financial Status Report of
the amount of unobligated balance as of the end of each funding period.
c. The maximum obligation of the awarding agency to the recipient is
the amount indicated in
the award as obligated by that agency. Nothing in this Article or in the
other requirements of this
award requires the awarding agency to make any additional award of funds or
limits its discretion
with respect to the amount of funding to be provided for the same or any
other purpose.
shall be read as award and recipient, respectively.
(2) In each instance where the term Federal Agency, agency, or
funding Federal agency is
used in the clause, the term shall be read to mean the awarding agency for
this award.
(3) Under paragraph (g) of the clause, the title shall read
Contracts and Subawards under
the Award, and, in that paragraph, subcontract and subcontractor shall be
read as contract or
subaward and contractor or subrecipient, respectively.
(4) Under subparagraph (g)(2) of the clause, if a contract or
subaward is to be made to any
organization other than a nonprofit organization or small business firm, as
defined in paragraph
(a) of the clause, the recipient shall contact the cognizant awarding agency
official to ascertain
the appropriate patent clause.
(5) See the agency-specific requirements of the awarding agency
for the point of contact
for communications on matters relating to the clause.
b. Unless court actions or audit proceedings have been initiated, the
recipient may substitute
copies made by microfilming, photocopying, or similar methods for the
original records.
c. The head of the awarding agency and the Comptroller General of the
United States, or any
of their duly authorized representatives, shall have access to any pertinent
books, documents,
papers, and records of the recipient organization, and the performing
organization, if different, to
make audits, examinations, excerpts and transcripts. Further, any
negotiated contract in excess of
$10,000 made by the recipient shall include a provision to the effect that
the recipient, the
awarding agency, the Comptroller General, or any of their duly authorized
representatives, shall
have access to pertinent records for similar purposes. The rights of access
to records in this
paragraph shall not be limited to the required retention period, but shall
last as long as the records
are retained.
d. In order to avoid duplicate Record keeping, the awarding agency may
make special
arrangements with recipients to retain any records that are needed for joint
use. The awarding
agency may request transfer to its custody of records not needed by the
recipient when it
determines that the records possess long-term retention value. When the
records are transferred
to or maintained by the awarding agency, the 3-year retention requirement is
not applicable to the
recipient. In the event that records are transferred to the awarding
agency, the awarding agency
will negotiate a mutually agreeable arrangement with the recipient regarding
reimbursement of
costs associated with the transfer.
e. The recipient shall arrange for the conduct of audits as required by
OMB Circular A-133,
"Audits of Institutions of Higher Education and Other Nonprofit
Organizations". The recipient
shall provide copies of the reports of these audits to the Federal Audit
Agency assigned
cognizance. Any Federal audit of this project deemed necessary by the
cognizant awarding
agency official shall build upon the results of the audit(s).
b. Normally, action by the awarding agency to suspend or terminate an
award for cause will be
taken only after the recipient has been informed by the awarding agency of
any deficiency on its
part and given an opportunity to correct it. However, the awarding agency
may immediately
suspend or terminate the award without prior notice when it believes such
action is necessary to
protect the interests of the Government.
b. Executive Order 12356 (47 Federal Register 14874 (1982)) states that
basic scientific
research information not clearly related to the national security may not be
classified (section
1.6(b)). Nevertheless, some information concerning (among other things)
scientific,
technological, or economic matters relating to the national security or
cryptology may require
classification (section 1.3(a)).
c. There may, therefore, be cases when a recipient originates
information during the course of
a supported project that the recipient believes requires classification
under Executive Order
12356 (section 1.2(e)).
d. In such a case, the recipient has the responsibility promptly to:
(2) Protect the information as though it were classified until the
recipient is informed that
the information does not require classification, but no longer than thirty
(30) days after receipt by
the agency under subparagraph d(1); and
(3) Notify the cognizant awarding agency official.
f. If the information is determined to require classification, the
performing organization may
wish to or need to discontinue the project, in which case the award shall be
terminated by mutual
agreement.
g. If the award is to be terminated, all material deemed to be
classified shall be forwarded to
the awarding agency, in a manner specified by the awarding agency, for
proper disposition.
h. If the recipient and the awarding agency wish to continue the
project, the recipient shall
obtain appropriate security clearances as specified by the awarding agency.
Costs associated
with handling and protecting any such classified information shall be
negotiated at the time the
determination to proceed is made.
i. If the agency identified in subparagraph d(1) does not respond
within 30 days, the recipient
is under no further obligation to treat the information as classified.
b. The recipient shall obtain from each organization that applies to
be, or serves as a
subrecipient, contractor or subcontractor under this award (for other than
the provision of
commercially available supplies, materials, equipment, or general support
services) an assurance
of compliance as required by awarding agency regulations.
b. The recipient is also responsible for complying with the Public
Health Service Policy on the
Care and Use of Laboratory Animals (PHS Policy) and such other requirements
as are
established by the awarding agency.
NOTE--The recipient may request registration of its facility and a
current listing of licensed
dealers from the Regional Office of the Animal and Plant Health Inspection
Service (APHIS),
USDA, for the region in which its research facility is located. The
location of the appropriate
APHIS Regional Office, as well as information concerning this program, may
be obtained by
contacting the Senior Staff Officer, Animal Care Staff, USDA/APHIS, Federal
Center Building,
Hyattsville, MD 20782.
(2) That no portion of the work under this award will be performed
in a facility listed on
the Environmental Protection Agency (EPA) List of Violating Facilities on
the date that this
award was effective unless and until the EPA eliminates the name of such
facility or facilities
from such listings.
(3) To use its best efforts to comply with clean air standards and
clean water standards at
the facility in which the award is being performed.
(4) To insert the substance of the provisions of this clause into
any nonexempt subaward or
contract under the award.
(5) To report violations to the federal awarding agency and the
Regional Office or the
Environmental Protection Agency.
(2) "Computer Software," as used herein, means computer programs,
computer data bases,
and documentation thereof.
(3) "Federal Government Purposes," as used herein, does not
include the right to use, or
authorize others to use, Data first produced in the performance of this
award for commercial
purposes. For this document, the definition of "commercial purposes" is the
right to reproduce,
produce or manufacture and sell the Data for profit.
(2) Rights in data of the Federal Government. Except as otherwise
provided in the terms
and conditions of this award, the Federal Government, and others acting for
it or on its behalf,
shall have the right, and are hereby granted a royalty-free, non-exclusive,
irrevocable license
throughout the world, to use, reproduce, prepare derivative works, perform
publicly, display
publicly and distribute to the public any Data including Data copyrighted
pursuant to
subparagraph b.(1) above, first produced in the performance of work under
this award for
Federal Government purposes.
Any FDP member (federal or non-federal) wishing to propose a change in the
FDP General
Terms and Conditions will present the proposal to the FDP Steering Committee
at its regularly
scheduled meeting. The Steering Committee may approve the proposed change,
reject it, or refer
it to the Terms and Conditions Task Force for review and recommendation.
While the Steering
Committee can reject specific recommendations, any terms or conditions that
are mandated by
law or Executive Order will be subject the procedure in paragraph c. below
if agreement cannot
be reached in time to meet legal requirements. If approved, either
immediately or at a later
meeting on the advice of the Terms and Conditions Task Force, the FDP
membership will be
notified (either in writing or electronically) by the Terms and Conditions
Task Force and the
change will be incorporated into the official FDP General Terms and
Conditions located on the
National Science Foundation Gopher/Web site.
b. Standard Procedure (Agency-Specific FDP Terms and Conditions)
Any federal agency FDP member planning to make a change in their
Agency-Specific FDP
Terms and Conditions will present the change to the FDP Steering Committee
at its regularly
scheduled meeting. The FDP Steering Committee may concur with the proposed
change or refer
it to the Terms and Conditions Task Force for review and recommendation.
Federal agencies will
accept for consideration all suggestions and recommendations and answer all
questions from
FDP participants concerning their proposal. The federal agency involved,
however, retains the
right to make the change if it determines it is in the best interest of the
government. Immediately
upon finalization of the change, the FDP membership will be notified (either
in writing or
electronically) by the federal agency and the change will be incorporated
into the official
Agency-Specific FDP Terms and Conditions for that federal agency located on
the National
Science Foundation Gopher/Web site.
c. Expedited Procedure
If an Executive Order, statutory change, or similar action urgently requires
a change in the FDP
General Terms and Conditions or Agency-Specific FDP Terms and Conditions,
that cannot
reasonably be accomplished in the time available using the standard
procedures (see a. and b.
above), the federal agency requiring the change will notify the FDP
Executive Committee as well
as disseminate the change (either in writing or electronically) to the FDP
membership. The
change will be incorporated into the official FDP or Agency-Specific FDP
Terms and Conditions
located on the NSF Gopher/Web site.
1. Recipient Responsibilities and Federal Requirements
a. The recipient institution (recipient) has full responsibility for
the conduct of the project or activity supported by this award, in accordance with the requirements of this award, and for the results. The requirements of this award are contained in:
(1) The Federal statute that authorized this award;
b. If the requirements of this award conflict, the following order of
precedence shall apply:
(1) The Federal statute that authorized this award;
c. The requirements of this award identified in subparagraph a of this
Article are the entire
body of requirements of this award. Codified Federal Regulations, OMB
Circulars, such as A-21
and A-110, and other uncodified Federal policy or procedural requirements
apply to this award
only as specified in these general terms and conditions, the agency specific
requirements, or a
special condition of this award.
(2) Any special conditions attached to this award;
(3) The agency-specific requirements; and
(4) These general terms and conditions.
(1) For purposes of these general terms and conditions, the
following terms shall have the
following meanings:
(2) In any subaward (except a contract for the purchase of goods or
services) under this
award, the recipient shall apply the following:2. Allowable Costs and Prior Approvals
a. The allowability of costs under this award shall be determined in
accordance with the
requirements of this award and the applicable Federal cost principles in
effect on the effective
date of this award.
(1) OMB Circular A-122 applicable to other nonprofit
organizations (as specified in the
Circular) except those organizations specifically exempted by the Circular.
f. If this award includes a cost-sharing requirement, the award shall
also be subject to the
provisions of OMB Circular A-110 Section ___.23.
(1) Cost Principles: The recipient institution is responsible for
ensuring that costs charged
to this award are allowable, allocable, and reasonable under the applicable
cost principles.
3. Programs of Related Projects
a. General
(1) Often, when the same person serves as the Principal
Investigator/Project Director
(PI/PD) under two or more Federal awards, the ostensibly discrete projects
supported by those awards actually comprise a single program of related projects. In some cases, even awards withdifferent PI/PDs may support projects that comprise such a program.
b. Allocation of Costs
(1) If the project supported by this award is determined to be
part of a program of related projects, in accordance with paragraphs c and d, below, then the recipient may treat the entire program of related projects as a single cost objective for purposes of paragraph C.4, "Allocable
costs," of OMB Circular A-21. A cost that is allocable to the program may
be charged by the recipient to any one or more of the constituent projects/awards that make up the program, in any proportion.
c. Criteria
The following criteria shall be used to determine whether two or more
separate awards comprise a program of related projects:
(1) Either (a) the theoretical approaches are interrelated; (b)
studies of the same phenomena are conducted by the same or different techniques; or (c) studies of different phenomena are conducted by the same technique; and
d. Procedures
(1) The recipient may request a determination that two or more
projects comprise a program of related projects. To be considered as part of a program of related projects, at the time the request is submitted, a project must have at least 30 days of active status remaining in the project period. The request
must:
4. Payment
Payment shall be made in accordance with OMB Circular A-110, Section ___.22
with the
awarding agency specifying the method and reason if other than advance
payment method is
used.5. Significant Project Changes
The recipient organization and the principal investigator are
responsible for the effective
conduct of the project as approved in the grant award. Prior written
approval is required from the
awarding agency if there is to be a significant project change. Examples of
significant project
changes include:
(1) severs his or her connection with the recipient, or
c. Transfer, by contract or other means, of a significant part of the
research or substantive
programmatic effort, after an award has been made. The recipient must
submit a justification, a
description of the scientific/technical impact on the project, and a budget
estimate to the
cognizant awarding agency official. Contractual arrangements that are
disclosed in the proposal
or modifications thereto do not require additional post award approval,
unless specifically
withheld in the award. Such changes should be proposed in writing to the
cognizant awarding
agency official by an authorized official of the recipient organization.
The agency decision will
be transmitted in writing by the cognizant awarding agency official.6. Non-Competitive or Continuation Award
Requirements
a. Applicability. Unless otherwise specified in agency-specific
requirements or in the special
conditions of an award, the following process shall be used to receive
support for the remainder
of a project period award.
(1) Specific aims - If the aims have not been modified from the
original application, state
this. If they have been modified, give the revised aims and the reason for
the modification.
d. Budget. Revised budget information will be required under this
demonstration funding
mechanism if there are any significant changes in the size or scope of the
project or in the
originally negotiated total estimated cost for the project period.7. Financial Reports
a. Financial Status Report
(1) If the budget period (or other funding period) exceeds 18
months, an original and two
copies of the Financial Status Report (FSR) (SF 269 or SF 269-A) or the
electronic equivalent
shall be submitted to the cognizant awarding agency official by the
recipient within 90 days of
the anniversary date of the beginning of the budget period (or other funding
period) unless
otherwise specified in the grant.
b. Federal Cash Transactions Report8. Final Report Requirements
Within 90 days following the expiration or termination of the project,
the recipient must
furnish the cognizant awarding agency official with:9. Dissemination of Project Results
a. The recipient is expected to publish or otherwise make publicly
available the results of the
work conducted under this award.10. Acknowledgment of Support and Disclaimer
a. An acknowledgment of awarding agency support and a disclaimer must
appear in the
publication of any material, whether copyrighted or not, based on or
developed under this
project, in the following terms:
"This material is based upon work supported by the [name of awarding
agency(ies)] under
Award No. [Recipient should enter the awarding agency(ies) award number(s)] ."11. Data Collection
Data collection activities, if any, performed under this project are
the responsibility of the
recipient, and awarding agency support of the project does not constitute
approval of any survey
design, questionnaire content, or data collection procedures. The recipient
shall not represent to
respondents that such data are being collected for or in association with
the awarding agency
without the specific written approval of the cognizant awarding agency
official of such data
collection plan or instrument. However, this requirement is not intended to
preclude mention of
awarding agency support of the project in response to an inquiry or
acknowledgment of such
support in any publication of these data.12. Site Visits
The awarding agency, through authorized representatives, has the right,
at all reasonable
times, to make site visits to review project accomplishments and to provide
such technical
assistance as may be required. If any site visit is made by the awarding
agency on the premises of
the recipient, a subrecipient, or contractor, the recipient shall provide,
and shall require its
subrecipients and contractors to provide, all reasonable facilities and
assistance for the safety and
convenience of the Government representatives in the performance of their
duties. All site visits
and evaluations shall be performed in such a manner as will not unduly
interfere with or delay
the work.13. Pre-award Costs
Recipients may incur pre-award costs 90 calendar days prior to award or more
than 90 calendar
days with the prior approval of the Federal awarding agency. All pre-award
costs are incurred at
the recipient's risk (i.e., the Federal awarding agency is under no
obligation to reimburse such
costs if for any reason the recipient does not receive an award or if the
award is less than
anticipated and inadequate to cover such costs.)14. Extensions Without Additional Funds
Recipients may extend the expiration date of the project if additional
time beyond the
established expiration date is required 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. The recipient must notify the cognizant awarding agency
official in writing with
the supporting reasons and revised expiration date at least ten (10) days
prior to expiration of the
award.15. Equipment and Real Property
a. Expenditures for general purpose equipment which would be treated
as direct costs for the
project or program are unallowable unless the equipment is primarily used in
the actual conduct
of the research.16. Alteration and Renovation
a. Work required to change the interior arrangements or other physical
characteristics of an
existing facility or installed equipment so that it may be more effectively
used for its currently
designated purpose or adapted to an alternative use to meet a programmatic
requirement, is
allowable subject to the following:
(1) The building to be altered or renovated must have a useful
life consistent with research
purposes and be architecturally and structurally suitable for conversion to
the type of space
required;
b. The recipient and the awarding agency shall comply with the
applicable requirements of the
National Environmental Policy Act of 1969 (42 U.S.C.4321 et seq.); the Flood
Disaster
Protection Act of 1973 (42 U.S.C.4001-4128); the Architectural Barriers Act
of 1968, as
amended (42 U.S.C. 4151 et seq.); Section 502 of the Rehabilitation Act of
1973, as amended
(29 U.S.C. Sec. 792), and the standards contained in "Specifications for
Making Buildings and
Facilities Accessible to and Usable by the Physically Handicapped" (American
National
Standards Institute, Inc., A-117.1 1961; reaffirmed 1971).17. Use Of U.S.-Flag Air Carriers
a. The Comptroller General of the United States, by Decision B138942 of
June 17, 1975, as
amended March 31, 1981, provided guidelines for implementation of Section 5
of the
International Air Transportation Fair Competitive Practices Act of 1974.
(1) A U.S.-flag air carrier ("U.S. carrier") shall be used to
destination or, in the absence of
through service, to farthest interchange point.
d. Exceptions. In the following situations, use of a foreign carrier is
permissible:
(1) Travel to and from the U.S. Use of a foreign carrier is
permissible if:
18. Financial Management System
The recipient shall maintain a financial management system which, at a
minimum, meets the
requirements of OMB Circular A-110 Section ___.21.19. Procurement System
The recipient shall maintain a procurement system which, at a minimum,
meets the
requirements of OMB Circular A-110 Sections ___.40 - ___.48, and which, in
its essential
elements, remains as approved by the Office of Naval or Research (ONR). ONR
shall be notified
of any major change(s) to the approved system.20. Program Income
Program income will be subject to OMB Circular A-110, Section ___.24.
The provisions of
Section ___.24(b)(1) will apply to the disposition of program income unless
addressed separately
by the awarding agency in an agency-specific term or condition or in the grant.21. Unobligated Balances and Limit of Federal
Liability
a. 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, and may
be used to defray costs of any funding period of the project in addition to
the current year's
funding. Since the carryover of unobligated balances is automatic, no
separate or specific
awarding agency prior approval shall be required to authorize use of the funds.22. Patents and Inventions
a. This award, as performed by the recipient, shall be subject to the
Patents Rights (Small
Business Firms and Nonprofit Organizations) clause at 37 CFR 401.14 (51 FR
25517, et seq.,
July 14, 1986, or any subsequent amendment in effect as of the beginning
date of this award)
and the following:
(1) In each instance where the term contract or contractor is
used in the clause, those terms
23. Audits and Records
a. Financial records, supporting documents, statistical records, and
other records pertinent to
each year of this project shall be retained by the recipient for a period of
3 years from submission
of the annual Financial Status Report specified in Article 7 or, for
indirect cost computation
supporting records, three years from the date of submission of the indirect
cost rate computation
or proposal to the cognizant Federal agency. Records that are the subject
matter of audits,
appeals, litigation, or the settlement of claims arising out of the
performance of the project shall
be retained until such audits, appeals, litigation, or claims have been
disposed of, or until the end
of the regular three-year retention period, whichever is later.24. Termination and Enforcement
a. Termination and enforcement conditions of this award are in
accordance with OMB
Circular A-110 Sections ___.60 through ___.62.25. National Security
a. The awarding agency does not expect that results of supported
research projects will be
classifiable, except in very rare instances.
(1) Submit the information directly to the awarding agency or
other U.S. Government
agency with appropriate subject matter interest and classification authority
as specified in the
agency-specific requirements under the Demonstration Agreement, or if
uncertain which agency
should receive the information, to the Director of the Information Security
Oversight Office,
General Services Administration;
e. The Executive Order requires the Federal agency with appropriate
subject matter interest -
and classification authority to decide within thirty (30) days whether to
classify the material.
If the agency determines the information requires classification, the
recipient shall cooperate with
that agency or other appropriate agencies in securing all related project
notes and papers.26. Nondiscrimination
a. To the extent provided by law and any applicable agency regulations,
this award and any
program assisted thereby are subject to the provisions of Title VI of the
Civil Rights Act of
1964 (P.L 88-352), Title IX of the Education Amendments of 1972 (P.L.92-318,
20 USC 1681 et
seq.), Section 504 of the Rehabilitation Act of 1973 (29 USC 794), the Age
Discrimination Act
of 1975 (P.L. 94-135), the implementing regulations issued pursuant thereto
by the awarding
agency as specified in the agency-specific requirements incorporated in the
Demonstration
Agreement, and the assurance of compliance which the recipient has filed
with the awarding
agency.27. Animal Welfare
a. Any recipient performing research on vertebrate animals shall
comply with the Laboratory
Animal Welfare Act of 1966, as amended (7 USC 2131 et seq.), and the
regulations pertaining to
it. The recipient is expected to ensure that the guidelines described in
DHHS Publication No.
(NIH) 86-23, "Guidelines for the Care and Use of Laboratory Animals," are
followed and to
comply with the "U.S. Government Principles for the Utilization and Care of
Vertebrate Animals
Used in Testing, Research and Training" (included as an Appendix to the NIH
Guide).28. Research Involving Recombinant DNA Molecules
Any recipient performing research involving recombinant DNA molecules
and/or organisms
and viruses containing recombinant DNA molecules agrees by acceptance of
this award to
comply with the National Institutes of Health "Guidelines for Research
Involving Recombinant
DNA Molecules," July 5, 1994 (59FR 34496) amended August 5, 1994 (59FR
40170) amended
April 27, 1995 (60FR 20726), such later revision of those guidelines as may
be published in the
Federal Register.29. Clean Air and Water
(Applicable only if the award exceeds $100,000, or a facility to be
used has been the subject
of a conviction under the Clean Air Act (42 USC 1857c-8(c)(1)) or the
Federal Water Pollution
Control Act (33 USC 1319(c)), and is listed by EPA, or if the award is not
otherwise exempt.)
The recipient agrees as follows:
(1) To comply with applicable standards, orders or regulations
issued pursuant to the Clean
Air Act, as amended (42 USC 7401, et seq.), and of the Federal Water
Pollution Control Act (33
USC 1251 et seq.).
30. Human Subjects
The recipient is responsible for the protection of the rights and
welfare of any human subjects
involved in research, development and related activities supported by this
award. The recipient
agrees to comply with the agencies implementation on the common rule (i.e.
June 3, 1986 51 FR
20204; November 10, 1988 53 FR 45660; and June 18, 1991 56 FR 28004) on
protection of
human, and such other requirements as are established by the awarding agency.
31. Activities Abroad
The recipient should assure that project activities carried on outside
the United States are
coordinated as necessary with appropriate Government authorities and that
appropriate licenses,
permits or approvals are obtained prior to undertaking proposed activities.
The awarding agency
does not assume responsibility for recipient compliance with the laws and
regulations of the
country in which the activity(ies) is (are) to be conducted.32. Debarred or Suspended Parties
This award is subject to any regulations of the awarding agency
implementating Executive
Orders 12549 and 12689, "Debarment and Suspension".33. Closeout
This award may be closed out without an award-specific (transactional)
audit or without an
organization-wide or single audit covering the entire period of Federal
support. The closeout of
this award shall not affect the retention period for, or Federal right of
access to, project records
(See Article 23). After closeout, the awarding agency may nevertheless
disallow and recover
from the recipient an appropriate amount, on the basis of a subsequently
received audit report or
any other available information.34. Rights In Data
a. Definitions
(1) "Data" as used herein, means recorded information, regardless
of form or the media on
which it may be recorded. The term includes Computer Software, and data of
a scientific or
technical nature. The term does not include information incidental to grant
administration, such
as financial, administrative, cost or pricing or management information.
b. Rights in Data
(1) Rights in data of the Recipient of this Award. Except as
otherwise provided in the
terms and conditions of this award, the recipient shall have the right to
and may permit others to
copyright, publish, disclose, disseminate and use, in whole or in part, any
Data first produced in
the performance of work under this award.
35. Changes
a. Standard Procedure (FDP General Terms and Conditions)