Title  : FDP-NSF  Specific Requirements
Type   : Grant Conditions
NSF Org: OD / LPA
Date   : April 15, 1996
File   : fdp96


As of 4/1/96


 NATIONAL SCIENCE FOUNDATION (NSF)
     Arlington, VA 22230

Federal Demonstration Project
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, 13, 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.   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 (GPM)
Section 618).

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

Article 8.  Final Report Requirements

     The NSF Form 98A (7/95) "Final Project Report," must be
sent to the NSF Program Officer. The SF 272 "Federal Cash
Transaction Report" 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 15.  Equipment and Real Property

     Add a new paragraph g. as follows:

     g.   Grantees should follow the guidance contained in
GPM 544 regarding use of NSF-supported research instrumentation
and facilities.

Article 16.  Alterations and Renovations

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

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 GPM Section 210
as "a type of grant under which NSF agrees to provide a specific level
of support for a specified period of time.  There is no statement of NSF
intent to provide additional future support without submission of
another proposal."

     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

a.   General.  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:

     1.   by cost-sharing a minimum of one percent on this
project; or

     2.   by cost-sharing a minimum of one percent on the
aggregate total costs of all NSF-supported projects requiring cost-
sharing.

b.   Specific Cost Sharing Requirements.  If the grant has specific
cost-sharing requirements in excess of the one 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.

c.   Cost-Sharing Records.  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.  Acceptable forms of cost-sharing contributions are
those which meet the criteria established at Section .23 of OMB
Circular A-110.  Unless otherwise specified in the grant, approval is
given to include unrecovered indirect costs as part of cost-sharing or
matching contributions.  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.

d.        Cost-Sharing Reports.  Unless otherwise required by the
grant instrument or requested by NSF, the actual cost participation by
the grantee, while subject to documentation and audit, need not be
reported to NSF.  However, in cases where the cost-sharing
requirements of the award are $500,000 or more, the amount of cost-
sharing must be documented (on an annual and final basis) and
reported to NSF and certified by the authorized organizational
representative.  These cost-sharing reports shall be included as part of
the annual progress and final project reports.

e.   Exemptions from Statutory Cost-Sharing Requirement.  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:
     1.   international travel;
     2.   construction, improvement or operation of
          facilities;
     3.   acquisition of research equipment;
     4.   ship operations;
     5.   education and training;
     6.   publication, distribution and translation of
          scientific data and information;
     7.   symposia, conferences and workshops; and
     8.   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 April 1, 1996, this rate remains
current.

No. 4 -- Investigator Financial Disclosure Policy

(Applicable only to awards resulting from new proposals submitted to
NSF on or after October 1, 1995.)

If the grantee employs more than 50 persons, the grantee shall
maintain an appropriate written and enforced policy on conflict of
interest consistent with the provisions of GPM Section 510 (which also
is published at 60 Federal Register 35810).

No. 5 -- Sense of Congress on the Use of Funds

Recent Acts making appropriations to NSF provide "It is the sense of
the Congress that, to the greatest extent practicable, all equipment and
products purchased with funds made available in this Act should be
American-made and require the Foundation to notify grantees of that
statement."



NSF ASR (4/96)      1