Title: Air Force Office of Scientific Research (AFOSR) Agency-Specific Requirements - October 1999 Date: October 26, 1999 AIR FORCE OFFICE OF SCIENTIFIC RESEARCH (AFOSR) Agency-Specific Requirements October, 1999 Article 6. Non-Competitive or Continuation Award Requirements Subparagraphs a, b, and d of this article do not apply to AFOSR awards. Subparagraph c is deleted and the following is substituted in lieu thereof: Progress Reports. Progress reports are due on 1 September of each year while agreements are active. Content and format shall be as described in Attachment 1 entitled "Progress Reports." Article 7. Financial Reports The Federal Cash Transaction Report (SF 272) shall be submitted to the Cognizant Office of Naval Research Grant Administration Office identified in the award. Article 14. Extensions Without Additional Funds Prior written approval of the AFOSR Grants Officer is required to extend the period of performance, without additional funds, beyond the expiration date of this grant. The recipient must notify the cognizant awarding agency official in writing with the supporting reasons and revised expiration date at least thirty (30) days prior to expiration of the award. Article 22. Patents and Inventions Address all questions regarding Patents and Inventions to AFOSR/JA. The Grantee shall establish all procedures and complete all actions required by 37 CFR 401, Sec 401.14(f)(1)-(4), to ensure the protection of the Government's rights and interests in any subject invention resulting from this grant. Annual reports of inventions shall be made to the Program Manager in the Annual Progress Report. Report of Invention and Subcontracts (DD Form 882) is due 90 days after the expiration date of the award. Identification of Cognizant Awarding Agency Official Where the requirements of this award provide for the recipient to make a written request or notification or obtain prior approval of the cognizant awarding agency official, the AFOSR Grants Officer is the appropriate official unless another official is so identified. Amendments a. Requests by the Grantee to amend a grant should be in writing to AFOSR/PKA. A grant amendment incorporating the request will be unilaterally issued at the discretion of the Grants Officer. b. The Grants Administration Office and AFOSR/Grants Officer may also unilaterally make minor or administrative grant modifications (e.g., changes in the paying office or appropriation data, changes to Government personnel identified in the grant, etc.) Military Recruiting on Campus (Applicable to institutions of higher learning, only) As a condition for receipt of funds available to the Department of Defense (DoD) under this award, the recipient agrees that it is not an institution of higher education (as defined in 32 CFR part 216) that has a policy of denying, and that it is not an institution of higher education that effectively prevents, the Secretary of Defense from obtaining for military recruiting purposes: (A) entry to campuses or access to students on campuses; or (B) access to directory information pertaining to students. If the recipient is determined, using procedures in 32 CFR part 216, to be such an institution of higher education during the period of performance of this agreement, and therefore to be in breach of this clause, the Government will cease all payments of DoD funds under this agreement and all other DoD grants and cooperative agreements to the recipient, and it may suspend or terminate such grants and agreements unilaterally for material failure to comply with the terms and conditions of award. Delegation of Administration The administrative duties listed below have been delegated to the Office of Naval Research: (a) During performance: (1) Approve provisionally all Requests for Advance or Reimbursement (SF 270). (2) Perform property administration. (3) Perform plant clearance. (4) Approve requests for Registration of Scientific and Technical Information Services (DD Form 1540). (5) Perform cash management by reviewing quarterly Federal Cash Transactions Report (SF 272) and after conferring with AFOSR make appropriate adjustments to predetermined scheduled payments by issuing an amendment to the award. (b) Upon expiration of agreement: (1) Obtain final payment request, if any. (2) Obtain the final SF 269. (3) Obtain the final Federal Cash Transactions Report (SF 272), if applicable. (4) Obtain final property report and dispose of GFE, if applicable. (5) Perform a review of final incurred costs and assist the awarding grants officer in resolving exceptions, if any, resulting from questioned costs. (6) Perform cost sharing adjustments, if applicable. (7) Assure that all refunds due the Government are received. (8) Deobligate unexpended funds when the final SF270/SF272/SF269 indicates an unexpended balance. ATTACHMENTS: 1. Progress Reports 2. Final Technical Reports Attachment 1 PROGRESS REPORTS Progress reports will be due no later than 1 September of each year. Grants effective after 31 July will not require a progress report until 1 September of the following year. It is requested you submit a copy of the progress report to the Program Manager. This report may be submitted via diskette or E-mail. The progress report shall contain the following items: 1. Cover Sheet: As a minimum, the cover sheet should include the following information: Principal Investigator's name, Institution's name and address, and grant number. 2. Objectives: List the objectives of the research effort or the statement of work: This may be omitted if there has been no change. State new or revised objectives if they have changed and the reason why. 3. Status of effort: A brief statement of progress towards achieving the research objectives. (Limit to 200 words). 4. Accomplishments/New Findings: Describe research highlights, their significance to the field, their relationship to the original goals, their relevance to the AF's mission, and their potential applications to AF and civilian technology challenges. 5. Personnel Supported: List professional personnel (Faculty, Post-Docs, Graduate Students, etc.) supported by and/or associated with the research effort. 6. Publications: List peer-reviewed publications submitted and/or accepted during the 12-month period starting the previous 1 October (or since start for new grants). 7. Interactions/Transitions: a. Participation/presentations at meetings, conferences, seminars, etc. b. Consultative and advisory functions to other laboratories and agencies, especially Air Force and other DoD laboratories. Provide factual information about the subject matter, institutions, locations, dates, and name(s) of principal individuals involved. c. Transitions. Describe cases where knowledge resulting from your effort is used, or will be used, in a technology application. Transitions can be to entities in the DoD, other federal agencies, or industry. Briefly list the enabling research, the laboratory or company, and an individual in that organization who made use of your research. 8. New discoveries, inventions, or patent disclosures. (If none, report None.) 9. Honors/Awards: List honors and awards received during the grant/contract period. List lifetime achievement honors such as Nobel prize, honorary doctorates, and society fellowships prior to this effort. 10. Markings: In order to ensure prompt receipt and acceptance, mark the outside of the package clearly to indicate that it is a progress report. FINAL TECHNICAL REPORTS A comprehensive final technical report is required at the end of an effort. The report should be structured substantially as follows: The purpose of the final report is to document and to transition the results of the effort into the Air Force and DoD applied research community. The final report will always be sent to the Defense Technical Information Center (DTIC) and unclassified reports will be available to the public through the National Technical Information Service (NTIS). Content: The final report is more than an extension of previous progress reports. The final report shall be a comprehensive technical summary of the significant work accomplished. The final report, where it is not readily accessible in published form, should where applicable: 1) Clearly describe and illustrate the experimental equipment, set up, and procedures; 2) Characterize and tabulate collected/computed data in an appendix; and 3) Sufficiently describe computational codes so they can be reproduced. Include a listing of the code in an appendix if possible and appropriate. When the research effort culminates in the production of one or more student theses or dissertations, in these cases, the most significant advancements and conclusions (equations, figures, relationships, etc.) should be included in an executive summary. The theses or dissertations should be attached as appendices only if they are not readily available. If they are, clearly reference them and how they can be obtained. Also include in the executive summary, cumulative lists of people involved in, and publications stemming from, the research effort. Do not include copies of already submitted or published articles in the final report. Format: Cover and title page. Standard Form (SF) 298, Report Documentation Page, shall be used. Item 13 of the form should contain a 100 to 200 word abstract summarizing technical progress during the reporting period. Style should be third person singular using past tense. Jargon, special symbols or notations, subscripts, mathematical symbols or foreign alphabet letters are not permitted. The pages should be prepared for acquisition and distribution by DTIC. All pages should be of good quality for copying purposes. No pages should be missing. Grantees are encouraged to submit reports that are printed/copied double sided on recycled paper that has at least 20% postconsumer material. The format and standard required by your institution for the preparation of theses and dissertations shall be used for the final report. In the absence of any institutional standards, you may wish to refer to the National Information Standards Organization (NISO) document Z39.18-1995, "Scientific and Technical Reports--Elements, Organization, and Design," for guidance. The publication may be obtained from the organization below: NISO Press Fulfillment P.O. Box 338 Oxon Hill, MD 20750-0338 USA Phone: 301.567.9522 or 1.800.282.6476 Fax: 301.567.9553 Internet Address: http://www.niso.org In order to ensure prompt receipt and acceptance, mark the outside of the package clearly to indicate that it is a final technical report. Report Submission: The Grantee shall submit a copy of the final technical report to the program manager for review and acceptance. This report will be due within 90 days after completion of the research. Once the program manager provides written notification that the final technical report has been accepted, the Grantee shall submit two copies to DTIC-OCP; 8725 John J Kingman Road, Suite 0944; Fort Belvoir VA 22060-6218; (703) 767-8023. The Grantee will include a completed Standard Form 298, Report Documentation Page, with each copy of the approved report that is submitted to DTIC. AFOSR -1