Skip directly to content

NSF 2/94

Title  : FDP-NSF  Specific Requirements
Type   : Grant Conditions
NSF Org: OD / LPA
Date   : October 23, 1995
File   : fdpnsf


As of 2/94

NATIONAL SCIENCE FOUNDATION
Agency Specific Requirements
Modifications to the General Terms and
Conditions

Identification of the Cognizant Awarding
Agency Officials

     The NSF Grants Officer is the official to be notified under
circumstances noted in Articles 1d, 3d(1), 5, 11, 13a, 14, 22a(4), 23, and
24.

     The NSF Program Officer is the official to be notified under
circumstances noted in Articles 6, 8a, 9b, and 25d(3).

Article 1.  Recipient Responsibilities and
Federal Requirements

     a.   The grantee is responsible for notifying NSF about: (1)
any allegation of scientific misconduct that it concludes has substance and
requires an investigation in accordance with NSF misconduct regulations
published at 45 CFR 689 or (2) any significant problems relating to the
administrative or financial aspects of the grant.

     b.   For purposes of NSF, add the following paragraph  g.
to Article 1:

g.   The grantee should ensure that the Principal
Investigator or Project Director receives a copy of the
award conditions, including: the award letter, the budget,
these general terms and conditions, any special terms and
conditions, and any subsequent changes in the award
conditions.  These award conditions are made available to
the grantee by NSF, either in paper or electronic form, and
may be duplicated, copied or otherwise reproduced by the
grantee as appropriate.  This provision does not alter the
grantee's full responsibility for conduct of the project and
compliance with all award terms and conditions.

Article 2.  Allowable Costs and  Prior Approvals

     a.  Delete paragraph c. and substitute the following:

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.  Prior NSF approval requirements apply
to the activities and expenditures specified below:

(1)  Written prior approval from the NSF Grants
Officer:

     (a)  Significant Project Changes (See Article
5);
     (b)  Establishing relatedness of projects under
the direction of collaborating Principal Investigators (See
Article 3);
     (c)  Alterations and Renovations $10,000 or
over (see Article 16).

(2)  Written prior approval from the cognizant NSF
Program Officer is necessary to reallocate funds
budgeted for participant or trainee support costs (See
Grant Policy Manual Section 518).

All other Federal prior approval requirements, including
those in OMB Circular A-21 and A-110, are waived.  The
recipient may maintain such internal prior approval
systems as it considers necessary.

     b.   Institutions may be reimbursed at indirect cost rates no
higher than those approved by the cognizant audit agency.

Article 6. Non-Competitive or Continuation Award Requirements

     a.   In lieu of paragraph c., Content of Technical Progress
Report, recipients shall utilize the NSF Form 1328, Annual Progress Report,
to submit the Technical Progress Report. The Annual Progress Report
Form Certification must be signed.

     b.   Timing of Progress Reports.  Unless otherwise
specified in the grant, one copy of the NSF Form 1328 shall be submitted to
the cognizant NSF Program Officer at least three months prior to the end of
the current budget period.

Article 7.  Financial Reports

     In lieu of the Financial Status Report (SF 269) and unless
otherwise specified in the grant letter, the grantee must furnish NSF its
quarterly expenditure information on the Federal Cash Transaction Report,
SF 272.

Article 8.  Final Report Requirements

     The Final Project Report, NSF Form 98A (8/92), must be sent to
the NSF Program Officer.  The Federal Cash Transaction Report (SF 272)
must be sent to the Cash Management and External Accounting Branch,
Division of Financial Management, NSF.

Article 9. Dissemination of Project Results

     NSF expects significant findings from education activities or
research it supports to be promptly submitted for publication with authorship
that accurately reflects the contribution of those involved.

     NSF expects investigators to share with other researchers, at no
more than incremental cost and within a reasonable time, the data, samples,
physical collections, and other supporting materials created or gathered in
the course of the work. It also encourages recipients to share software and
inventions or otherwise act to make the innovations they embody widely
useful and usable.

     Adjustments and, where essential, exceptions may be allowed to
safeguard the rights of individuals and subjects, the validity of results, or
the integrity of collections or to accommodate legitimate interests of
investigators.

Article 16.  Alterations and Renovations

     Alterations and renovations $10,000 or over (Construction) require
prior written NSF approval.

Article 19. Procurement System

     In lieu of Article 19., substitute the following:

     Notwithstanding the requirements contained in
Article 5c., where appropriate, the grantee is responsible
for compliance with the Procurement Standards identified
in Sections .40 through .48  of OMB Circular A-110
(revised 11/19/93). In addition, the grantee is also
responsible for ensuring that the appropriate award
conditions (including Article 23. Audits and Records) are
made a part of any subcontract or other arrangement.

Article 20. Income

     For NSF purposes, the income reporting requirement of
paragraph d. is eliminated.

 Article 22. Patents and Inventions

     NSF's standard patent rights clause, published at 45 CFR
650.4(a) shall be substituted for the referenced patent clause (37 CFR
401.14).  The Grantee shall also include this clause in all subawards for
experimental, developmental or research awards, regardless of the type of
subawardee organization.  The NSF clause is identical to that prescribed in
the Department of Commerce (DOC) guidance at 37 CFR 401.14(a) except
that:

     a.   pursuant to section 401.5(d) of the DOC guidance (37
CFR 401.5(d)) , NSF has added to paragraph (b) of the clause a stipulation
that the Foundation reserves the right to direct a grantee to transfer to a
foreign government or research performer such rights to any subject
invention as are required to comply with any international treaty or agreement
identified when the grant is made as being applicable to the assisted
research;

     b.   as  permitted by section 401.5(f) of the DOC guidance
(37 CFR 401.5(f)), NSF has added two subparagraphs to the end of
paragraph (f) of the clause to require grantees or their representatives to
send to the Foundation confirmations of Government licenses for and copies
of any United States patents on subject inventions; and

     c.   since NSF normally uses the same clause for all
subcontractors, the first two subparagraphs of paragraph (g) of the clause
specified in the DOC guidance have been reduced to one.

Article 26.  Nondiscrimination

     The grantee agrees to comply with 45 CFR 611, the NSF
implementing regulations of Title VI of the Civil Rights Act of 1964 and 45
CFR 605, the NSF implementing regulations of Section 504 of the
Rehabilitation Act of 1973.

Other Additional Requirements

 No. 1 --  Technical Progress Report Submissions for
NSF Standard Grants*

     *  Standard Grants are defined in the NSF Grants Policy Manual
122.e., as "a type of award under which the Foundation agrees to support a
specified level of effort for a specified period of time with no statement of
NSF intent to provide additional future support."

     a.   Content of Technical Progress Reports for NSF
Standard Grants.  Recipients shall  utilize the NSF Form 1328 for
submission of the progress report under NSF standard grants.

     b.   Timing of Progress Reports.   For standard grants
with an award duration of 2 years or more, the first report shall be submitted
no later than 90 days after the anniversary of the effective date of the grant,
with succeeding reports annually thereafter, except after the final year.

No 2.  -- Cost Sharing and Cost Sharing Records

     (1)  The grantee must cost share under this grant in
accordance with any specific requirements contained in or referenced by the
applicable program announcement, solicitation, or award letter.   If the grant
has no specific requirements and if the work supported by this grant is for
research resulting from an unsolicited proposal, the grantee may meet the
statutory cost-sharing requirement by choosing either of two alternative
methods:
                (a)     by cost-sharing a minimum of 1 percent
          on this project; or

                (b)     by cost-sharing a minimum of 1 percent
          on the aggregate total costs of all NSF
          supported projects requiring cost
          sharing.

     (2)  If the grant has specific cost sharing requirements in
excess of the 1 percent minimum indicated above,  cost sharing participation
in other projects may not be counted towards meeting the specific cost
sharing requirements of the grant, unless otherwise stated in the applicable
program announcement/solicitation.

     (3)  The grantee must maintain records of all project costs
that are claimed by the grantee as cost-sharing as well as records of costs
to be paid by the Government.  Such records are subject to audit.  If the
grantee's cost participation includes in-kind contributions, the basis for
determining the valuation for volunteer services and donated property must
be documented.

     (4)  If the grant does not contain or reference any specific
cost-sharing requirements and provides funds solely for the following
purposes (not considered to be in support of "research'), statutory cost-
sharing is not required:

          (a)  international travel;
          (b)  construction, improvement or
               operation of  facilities;
          (c)  acquisition of research
               equipment;
          (d)  ship operations;
          (e)  education and training;
          (f)  publication, distribution and
               translation of scientific data and
               information;
          (g)  symposia, conferences and
               workshops; and
          (h)  special studies authorized or
               required by Subsections 3a (5)
               through 3a(7) of the NSF Act, as
               amended.

No. 3 --  Consultant Services

     Payments to individuals for consultant services under this grant
shall not exceed the daily equivalent of the then current maximum rate paid
for an Executive Schedule, Level IV,  Federal employee (exclusive of indirect
cost, travel, per diem, clerical services, fringe benefits, and supplies).  A
daily rate of $443.00 became effective January 10, 1993, and, as of January
15, 1994, this rate remains current.

(NSF ASR) (02/94)                                          NSF-2