This document has been archived. Title : (ARI) ACADEMIC RESEARCH INFRASTRUCTURE PROGRAM FACILITIES MODERNIZATION Type : Grant Conditions NSF Org: OD / OGC Date : August 23, 1996 File : ari ACADEMIC RESEARCH INFRASTRUCTURE PROGRAM FACILITIES MODERNIZATION ATTACHMENT A "MODIFICATIONS TO GRANT GENERAL CONDITIONS" Project Responsibilities and Standards: The construction and other activities supported by this grant must conform to high professional standards. NSF does not prescribe or approve standards or other criteria relating to planning, engineering, design or building activities. Thus, responsibility for carrying out project activities and for ensuring that high standards are met rests solely with the Grantee. The Grantee will ensure that acceptable professional design standards and construction practices are followed. The Grantee is responsible for obtaining any necessary licenses, permits, easements, etc., required for the construction activities supported by this grant and for complying with all applicable Federal, State, municipal and other laws, codes and regulations. In addition, the Grantee is required to take all proper, reasonable, and necessary precautions to prevent injury, loss, or damage to the work, employees, workers, the general public, and property during project performance. The Grantee will take steps to avoid unsafe working or project conditions and ensure that all work meets applicable life safety and health standards and requirements. The Grantee will provide and maintain competent and adequate architectural/engineering (A/E) supervision and inspection at the worksite to ensure that completed work conforms to approved plans and specifications. The Grantee, will provide appropriate project monitoring, inspection, and testing to help ensure that all work and systems are of acceptable quality and that time and cost schedules are met. The Grantee will ensure that all construction to final completion is in accordance with Grantee-approved drawings and specifications. The Grantee should obtain "as-built" drawings and documentation upon project completion as appropriate. The Grantee is responsible, without recourse to NSF, for the settlement and satisfaction of all contractual and legal issues arising out of arrangements entered into between the Grantee and third parties to carry out project activities. Matters concerning violation of law should be referred to the Federal, State, or local authority having proper jurisdiction. The Grantee should provide sufficient funds upon completion of the project to assure effective operation and maintenance of the facility for the intended purposes. Allowable Project Costs: In addition to any other costs which may be allowable under this grant, the following project costs are generally allowable: a. Necessary demolition of existing structures on the construction site where construction-related activities cannot reasonably be undertaken without such demolition; b. Reasonable and necessary costs incurred to mitigate direct, adverse, physical impacts resulting from facility construction activities, including restoration of the surrounding area to its original condition; c. Costs of bonding, insurance, and permits, where such bonding, insurance, and permits are direct costs to the project and are required by these terms and conditions or by Federal, State or local laws or regulations; and d. Costs of "as-built" drawings and documentation. Unallowable Project Costs: In addition to any other costs that have been or may be determined to be unallowable, the following project costs are unallowable charges to this grant: a. Project costs incurred prior to March 15, 1996; b. Any costs charged to the grant that exceed the award amount; c. Costs incurred after the expiration date of the grant. However, grant funds may be expended after the expiration date to liquidate legitimate obligations incurred by the Grantee on or before the expiration date; d. Costs for work outside the scope of the approved project including costs for facilities not used for research or research training, and significant expansion of existing research and research training space; e. Indirect costs of the Grantee; f. Nonfixed laboratory equipment or instrumentation; g. Construction of residences and passenger vehicle storage and service areas; h. Routine maintenance and/or repair of paved areas (e.g., parking lots, sidewalks, roadways), lawn and wooded areas, equipment, and day-to-day operating expenses; i. The purchase of land or real property; j. Bonus payments to contractors; k. Design details requiring expensive building techniques or architectural features that cost more than reasonable alternatives; l. Costs of additional architectural-engineering (A/E) or other services necessary to correct defects in facilities plans, design drawings, specifications or other construction-related documents due to negligence or oversight on the part of the A/E or other party with whom the Grantee has contracted to perform such services; m. Fines and penalties due to violation of or noncompliance with Federal, State, or local laws and regulations; n. Fund-raising expenses; o. Compensation for injuries to persons or damage to property arising out of the project; p. Consulting services performed by a Federal employee during official duty hours when such consulting services result in the payment of additional compensation to the employee; q. Entertainment costs, regardless of their apparent relationship to project objectives; and r. "Contingencies" in any form. This list is not exhaustive. Bid Guarantees and Bonding: The Grantee shall follow its own requirements and practices relating to bid guarantees, performance bonds, and payment bonds where the bid or contract is for $100,000 or less. Where the bid or contract is for more than $100,000, the Grantee shall secure: A bid guarantee from each bidder equivalent to five (5) percent of the bid price; A performance bond on the part of the contractor for one hundred (100) percent of the contract price; and A payment bond on the part of the contractor for one hundred (100) percent of the contract price. The Grantee shall require contractors to carry adequate fidelity bond coverage when it is determined by the Grantee that such coverage is necessary to protect Grantee and Federal interests under this project. The bonds identified in this article may be obtained from companies holding certificates of authority as acceptable sureties. A listing of these companies is published annually by the Department of Treasury. Equal Opportunity Under Federally Assisted Construction: The Grantee hereby agrees that it will incorporate or cause to be incorporated into any contract for construction work, or modification thereof, as defined in the regulations of Secretary of Labor at 41 CFR Chapter 60, which is paid for in whole or in part with funds obtained from the Federal government or borrowed on the credit of the Federal Government pursuant to a grant, contract, loan, insurance, or guarantee, or undertaken pursuant to any Federal program involving such grant, contract, loan, insurance, or guarantee, the following equal opportunity clause: During the performance of this contract, the contractor agrees as follows: (l) The contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The contractor will take affirmative action to ensure that applicants are employed and that employees are treated during employment without regard to their race, color, religion, sex, or national origin, such action shall include, but not limited to the following: Employment, upgrading, demotion, or transfer, recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provision of this nondiscrimination clause. (2) The contractor will, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive considerations for employment without regard to race, color, religion, sex, or national origin. (3) The contractor will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding a notice to be provided advising the said labor union or workers' representatives of the contractor's commitments under this section and shall post copies of the notice in conspicuous places available to employees and applicants for employment. (4) The contractor will comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. (5) The contractor will furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders. (6) In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract or with any of said rules, regulations, or orders, this contract may be canceled, terminated, or suspended in whole or in part and the contractor may be declared ineligible for further Government contracts or federally assisted construction contracts m accordance with procedures authorized in Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law. (7) The contractor will include the portion of the sentence immediately preceding paragraph (l) and the provisions of paragraphs (l) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontractor or vendor. The contractor will take such action with respect to any subcontract or purchase order as the administering agency may direct as a means of enforcing such provisions, including sanctions for noncompliance, provided, however, that in the event a contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the contractor may request the United States to enter into such litigation to protect the interests of the United States. The Grantee further agrees that it will be bound by the above equal opportunity clause with respect to its own employment practices when it participates in Federally assisted construction work: Provided, that if the Grantee so participating is a State or local government, the above equal opportunity clause is not applicable to any agency, instrumentality or subdivision of such government which does not participate in work on or under the contract. The Grantee agrees that it will assist and cooperate actively with the administering agency and the Secretary of Labor in obtaining the compliance of contractors and subcontractors with the equal opportunity clause and the rules, regulations, and relevant orders of the Secretary of Labor, that it will furnish the administering agency and the Secretary of Labor such information as they may require for the supervision of such compliance, and that it will otherwise assist the administering agency in the discharge of the agency's primary responsibility for securing compliance. The Grantee further agrees that it will refrain from entering into any contract or contract modification subject to Executive Order 11246 of September 24, 1965, with a contractor debarred from, or who has not demonstrated eligibility for, Government contracts and Federally assisted construction contracts pursuant to the Executive order and will carry out such sanctions and penalties for violation of the equal opportunity clause as may be imposed upon contractors and subcontractors by the administering agency or the Secretary of Labor pursuant to Part II, Subpart D, of the Executive Order. In addition, the Grantee agrees that if it fails or refuses to comply with these undertakings, the administering agency may take any or all of the following actions: Cancel, terminate, suspend in whole or in part this grant (contract, loan, insurance, guarantee); refrain from extending any further assistance to the Grantee under the program with respect to which the failure or refund occurred until satisfactory assurance of future compliance has been received from such applicant; and refer the case to the Department of Justice for appropriate legal proceedings. Federal Contract Compliance: The Grantee must notify the appropriate office of the Office of Federal Contract Compliance (OFCCP), U.S. Department of Labor, within 10 days of any subcontract award of $10,000 or more for construction under this grant paid for in whole or in part with grant funds. Percentage of Federal Financing: Any solicitation using Federal grant funds to procure goods and services (including construc- tion) costing $500,000 or more must state the amount and percentage of total costs to be financed with Federal funds. Under Article 15, Progress Reports, of GC-1 or under Article 6, Non-Competitive or Continuation Award Requirements, of FDP-II, the following applies: Annual Progress Reports: The Grantee shall submit brief annual progress reports to the Office of Science and Technology Infra- structure covering the following to reflect current status and developments for the reporting period. o Project Activities - Identify actual versus planned accomplishments and activities and a summary of activities to be undertaken during the next reporting period. o Project Changes/issues - Identify any issues, delays adverse conditions, problems, actions, or changes which impact or affect the nature, purpose, scope, size, cost, time schedule, or completion of the project. Provide explanation, reason, possible impact, and identify alternative courses of action, and proposed or actual resolution. Identify any changes in plans that differ in major respects from those approved in the proposal, or as subsequently approved by NSF, including expected usage or occupancy of facility, disciplines or fields of science or engineering involved. o Project Management - Identify any changes to the project management plan and any changes involving the key project personnel, their management of the project or their effort. Explain reasons for any changes and their impact on the project. o Project Milestones and Time Schedule - Using the NSF specified format, provide current project time schedule noting changes from previous time schedule. Identify any slippage, provide reasons and explanation. o Project Costs - Identify total project costs incurred and costs charged to the NSF award. Provide current total cost estimate and indicate sources of funds currently available. Identify where actual or future costs are expected to vary significantly (either higher or lower) from latest cost estimate. Provide explanation for such variances and identify impact, if any, on total project costs, schedule, and project scope. Indicate how any cost growth will be managed. o Matching/Cost Sharing - Identify amount of funds available, committed, and otherwise report on status of the match/cost sharing, its source, and the status of fund raising or matching efforts. Identify variances with goals and objectives, provide explanation, and indicate planned resolution. 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. Project costs incurred by the Grantee prior to March 15, 1996 or subsequent to the expiration date of the grant will not constitute acceptable matching or cost sharing. Project costs incurred after the effective date of the grant but prior to the Grantee meeting its matching requirement may constitute acceptable cost sharing. Generally it is expected that Grantee matching funds and NSF grant funds will be spent in the same ratio that such funds make up the percentage of available project funds. Under Article 16, Final Report Requirements, of GC-1 or under Article 8, Final Report Requirements, of FDP-III, the following applies: Within 90 days following the expiration of the grant the grantee must: a. Send one copy of the Final Project Report [NSF Form 98A(7/95)] to the Office of Science and Technology Infrastructure, Academic Research Infrastructure, along with any technical information items listed in Part III of the Form 98A, as appropriate; b. Furnish the NSF Division of Financial Management with final disbursement information on the Federal Cash Transactions Report, SF 272; and c. Provide the following to the Office of Science and Technology Infrastructure, Academic Research Infrastructure: a summary of the project activities, final actual costs, matching funds and costs charged to the NSF grant as well as other summary information similar to that submitted in progress reports. Identify project completion date/occupancy date. Provide three glossy 8 x 10 pictures representative of the completed work. When appropriate, the photos should correspond to those included in the grant proposal. Provide a statement on the actual and expected impact this project has or is expected to have on the research and research training activities of the institution including research capabilities, research projects, number of researchers, number of students, and similar information. The following Definitions apply to this award: Research Facility or Research Training Facility: The physical plant in which sponsored or non-sponsored research activities (including research training) take place, including related infrastructure and systems (e.g., HVAC and power systems, toxic waste removal systems), and fixed equipment (e.g., clean rooms, fume hoods). Fixed Equipment: A piece of property which, when installed in a facility for continuing use in connection with the facility, is generally considered a permanent part of the facility and cannot be reasonably removed without affecting the integrity of the structure of the facility or the operations for which the facility is being developed. Examples include, but are not limited to, elevators, boilers, furnaces, and plumbing, fire alarm, electrical, heating-ventilating-air conditioning (HVAC), and refrigeration systems, as well as specialized items such as growth chambers, cage washers, and laboratory benches. Nonfixed Equipment and Instrumentation: Equipment which is not generally considered to be fixed equipment.