NSF RTC Agency Specific Requirements dated 10/4/2021

NATIONAL SCIENCE FOUNDATION (NSF)

Research Terms & Conditions

Agency Specific Requirements

Effective October 4, 2021

National Science Foundation website address: <http://www.nsf.gov>

Research Term & Conditions website address:

<http://www.nsf.gov/awards/managing/rtc.jsp>

TABLE OF CONTENTS

Article Subject

Awards Covered by the Research Terms & Conditions

2. Prior Approval Requirements Not Included in the Research Terms & Conditions

3. Categories of Costs Aside from Those Identified in Subpart E of the Uniform

Guidance that are Unallowable as Direct Charges

Contact Information for Technical Matters

5. Contact Information for Administrative Matters

6. Contact Information for Intellectual Property

7. Revised Budget Requirements

8. Format, Content and Timing of Technical Reporting

9. Expenditure Reports

10. Additional Documentation Besides Progress Reports Needed to Trigger

Incremental Funding

11. Indirect Costs

Additional NSF Agency Specific Requirements

12.

Grantee Responsibilities and Federal Requirements

13. Participant Support Costs

14. Travel

15. Information Collection

16. Responsible and Ethical Conduct of Research

17. Reporting Subawards and Executive Compensation

18.

System for Award Management and Universal Identifier Requirements

19.

Academic Technology Transfer and Commercialization of University Research

20. Federal Tax Obligations

21. Payments

22. Cost Sharing or Matching

23. Revision of Budget & Program Plans

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24. Non-Federal Audits

25. Equipment

26. Intangible Property

27. Copyright Ownership, Government License

28. Public Access to Copyrighted Material

29.

Publications

30. Program Income

31. Reporting Classifiable Information

32. Animal Welfare

33. Investigator Financial Disclosure Policy

34. State Sales and Use Taxes

35. Domestic Preferences for Procurements

36. Breach of Personally Identifiable Information

37. Notification Requirements Regarding Sexual Harassment, Other Forms of

Harassment, or Sexual Assault

38. Post-award Disclosure of Current Support and In-Kind Contribution Information

39. Termination and Enforcement

. Termination Review Procedure

41. Resolution of Conflicting Conditions

Other Considerations

42. Liability

43. Sharing of Findings, Data, and Other Research Products

44. Government Permits and Activities Abroad

Article 1. Awards Covered by the Research Terms & Conditions

Effective October 4, 2021, grants made to institutions of higher education and non-profit

organizations will incorporate by reference the Research Terms & Conditions dated

November 12, 2020 and the NSF Agency Specific Requirements dated October 4, 2021.

The Research Terms & Conditions will not be applied to NSF cooperative agreements or

to NSF fellowship awards made to individuals.

Article 2. Prior Approval Requirements Not Included in the Research Terms &

Conditions

The grantee must obtain written approval from NSF as specified in the Research Terms

and Conditions Appendix A, Prior Approval Matrix.

Unless otherwise specified in the award notice, no additional NSF prior written approvals

beyond those specified in Appendix A and Article 15 are required.

Requests for NSF prior written approval in the matrix specified above must be submitted

via the use of NSF’s electronic systems. Those prior approval requirements that do not

already have a specific request type in NSF’s electronic systems must be submitted via

use of the “Other” category in Research.gov.

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Article 3. Categories of Costs Aside from Those Identified in Subpart E of the

Uniform Guidance that are Unallowable as Direct Charges

None.

Article 4. Contact Information for Technical Matters

Questions of a programmatic or technical nature should be directed to the cognizant NSF

Program Officer identified in the award notice.

Article 5. Contact Information for Administrative Matters

Questions of an administrative nature should be directed to the cognizant NSF Grants and

Agreements Officer identified in the NSF award notice.

Article 6. Contact Information for Intellectual Property

Questions regarding intellectual property matters should be directed to the NSF Office of

the General Counsel at (703) 292-8060.

Article 7. Revised Budget Requirements

Revised budgets, when required, must be submitted electronically via use of NSF’s

electronic systems. See Proposal & Award Policies & Procedures Guide (PAPPG)

Chapter III.D and Chapter VII.B for further instructions.

Article 8. Format, Content and Timing of Technical Reporting

a. Annual Project Reports

1. Submission Requirement. Annual project reports are required for both standard

and continuing grants.

2. Content of Annual Project Reports. Unless otherwise specified in the grant, the

Research Performance Progress Report (RPPR), as implemented by NSF in

Research.gov, must be used for preparation of annual project reports to address progress

in all activities of the project, including any activities intended to address the Broader

Impacts criterion that are not intrinsic to the research. The grantee shall include subaward

activities in annual project reports that are submitted to NSF.

3. Timing of Annual Project Reports. Unless otherwise specified in the grant, annual

project reports should be submitted electronically, via Research.gov, at least 90 days prior

to the end of the current budget period to allow adequate time for the Program Officer to

review and approve the report. As reflected in the Project Report System, the report is

considered due during the 90-day period. The report becomes overdue the day after the

90-day period ends.

Submission of an "interim" report via Research.gov does not constitute compliance with the annual reporting

requirement.

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It should be noted that the final annual report serves as the project’s final report and must

be submitted in accordance with paragraph b. below.

Failure to submit timely reports will delay NSF review and processing of pending proposals

and processing of additional funding and administrative actions, including, but not limited

to, no cost extensions for all identified Principal Investigators (PIs) and co-Principal

Investigators (co-PIs) on a given grant. In the case of continuing grants, failure to submit

timely reports may delay processing of funding increments.

b. Final Project Report

1. Submission Requirement. Unless otherwise specified in the grant, the final project

report should be submitted electronically no later than 120 days following the end date of

the grant. As reflected in the Project Report System, the report is considered due during

the 120-day period. The report becomes overdue the day after the 120-day period ends.

2. Content of Final Project Report. The RPPR, as implemented by NSF in

Research.gov, should be used for preparation of the Final Project Report to address

progress in all activities of the project, including any activities intended to address the

Broader Impacts criterion that are not intrinsic to the research. The grantee shall include

subaward activities in final project reports that are submitted to NSF. By submitting the

final project report, the grantee is signifying that the scope of work for the project has been

completed and the grantee does not anticipate that any further research activities

(including a no-cost extension, supplemental funding, or transfer of the grant) need to be

completed on the project. Submission of the final project report, however, does not

preclude the grantee from requesting any further payments for costs incurred during the

period of performance.

3. Additional Requirements. The grantee also shall provide to the cognizant NSF

Program Officer, within 120 days following the end date of the grant, any unique reports

or other items specified in the grant (e.g., special cost sharing reports), including any

reporting requirements set forth in the applicable program solicitation referenced in the

grant as being directly related to either the grant or the administration of the grant.

c. Project Outcomes Report for the General Public

No later than 120 days following the end date of the grant, a project outcomes report for

the general public must be submitted electronically via Research.gov. This report serves

as a brief summary, prepared specifically for the public, of the nature and outcomes of the

project. This report will be posted electronically by NSF exactly as it is submitted. By

submitting the project outcomes report, the grantee is signifying that the scope of work for

the project has been completed and the grantee does not anticipate that any further

research activities (including a no-cost extension, supplemental funding, or transfer of the

grant) need to be completed on the project. Submission of the project outcomes report,

however, does not preclude the grantee from requesting any further payments for costs

incurred during the period of performance. For information about the content of the report,

see PAPPG Chapter VII.D.3.

d. In accordance with 2 Code of Federal Regulations (CFR) §200.344(i), if the

grantee does not submit all required reports within one year of the period of performance

end date, NSF must report the grantee’s material failure to comply with the terms and

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conditions of the award with the Office of Management and Budget (OMB)-designated

integrity and performance system (currently Federal Awardee Performance and Integrity

Information System (FAPIIS)). NSF may also pursue other enforcement actions per 2

CFR §200.339.

Article 9. Expenditure Reports

The grantee must submit final payment requests through the Award Cash Management

Service (ACM$) no later than 120 days after the end date of the grant. This requirement

applies to all current grants and funding amendments to existing NSF grants, as well as

to all new NSF grants.

NSF uses the payment request entries in the ACM$ to collect the final financial data for

awards paid through that system. No additional interim or final financial reporting is

required.

For instructions regarding final disbursement reporting, see PAPPG Chapter VIII.E.

Article 10. Additional Documentation Besides Progress Reports Needed to

Trigger Incremental Funding

Unless otherwise specified, each successive increment of a continuing grant will be

funded at the level specified in the original award notice without a formal request from the

grantee provided an annual project report has been received from the PI(s) and accepted

by the cognizant NSF Program Officer.

Continuing funding is contingent on (1) availability of funds; (2) satisfactory

scientific/technical progress; and (3) any special conditions of the grant.

Article 11. Indirect Costs

Reimbursement of indirect costs should be calculated by applying the approved,

negotiated indirect cost rate(s) to the appropriate base(s).

Institutions of Higher Education. 2 CFR §200, Appendix III, paragraph C.7. requires use

of the negotiated facilities and administrative costs (F&A) rate that is in effect at the time

of the initial award throughout the life of the grant.

Non-profit organizations. In the event that new U.S. Federally negotiated rate agreements

are approved during the award performance period, revised negotiated rates may be

applied.

Excess indirect costs charged to NSF grants due to use of an incorrect rate will be

disallowed.

In accordance with 2 CFR §200.461, costs for publication or dissemination of research

results may be charged to this grant during closeout if the costs are not incurred during

the period of performance. If charged to the award during closeout, these costs must be

charged to the final budget period, unless otherwise specified by NSF.

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Additional NSF Agency Specific Requirements

Article 12. Grantee Responsibilities and Federal Requirements

The grantee has full responsibility for the conduct of the project or activity supported under

this grant and for adherence to the grant conditions. Although the grantee is encouraged

to seek the advice and opinion of NSF on special problems that may arise, such advice

does not diminish the grantee's responsibility for making sound scientific and

administrative judgments and should not imply that the responsibility for operating

decisions has shifted to NSF.

The grantee is responsible for notifying NSF about: (1) any allegation of research

misconduct that it concludes has substance and requires an investigation in accordance

with NSF research misconduct regulations published at 45 CFR Part 689; or (2) any

significant problems relating to the administrative or financial aspects of the grant.

By acceptance of this grant, the grantee agrees to comply with the applicable Federal

requirements for grants and cooperative agreements and to the prudent management of

all expenditures and actions affecting the grant including the monitoring of subrecipients

(if applicable). Specific guidance on subrecipient monitoring and management can be

found in 2 CFR §§200.331-332.

Documentation for each expenditure or action affecting this grant must reflect appropriate

organizational reviews or approvals that should be made in advance of the action. The

grantee also is responsible for ensuring necessary documentation for all subawards is

maintained for the same retention period as the grantee and for making it available to NSF

upon request.

Organizational reviews are intended to help assure that expenditures are allowable,

necessary and reasonable for the conduct of the project, and that the proposed action:

1. is consistent with the grant terms and conditions;

2. is consistent with NSF and grantee policies;

3. represents effective utilization of resources; and

4. does not constitute a project change which requires NSF prior written approval

(see Article 2).

Nothing in this article shall be construed to require administrative reviews or

documentation that duplicates those already required by existing organizational systems

or by applicable Federal standards, e.g., 2 CFR §200.

The grantee is responsible for ensuring that the Principal Investigator(s) (PI)

and co-PIs

receive a copy of the grant conditions, including: the award notice, the budget, the

Research Terms & Conditions, any special terms and conditions and any subsequent

changes in the grant conditions. These grant conditions are made available to the grantee

For purposes of the terms and conditions, the term Principal Investigator (PI) and co-PI also includes the

term Project Director and co-Project Director.

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by NSF in electronic form (http://www.nsf.gov/bfa/dias/policy/rtc/index.jsp), 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 grant terms and conditions. Award notices are available electronically via the NSF

FastLane system at https://www.fastlane.nsf.gov/fastlane.jsp. Sponsored Project Offices

are able to view, print and/or download NSF award notices for their organizations and PIs

and co-PIs can access their individual award notices through use of the FastLane system.

Article 13. Participant Support Costs

a. Participant support costs as defined in 2 CFR §200.1 are direct costs for items

such as stipends or subsistence allowances, travel allowances and registration fees paid

to or on behalf of participants (but not employees) in connection with NSF-sponsored

conferences. NSF prior written approval is required for any additional categories of

participant support costs, such as incentives, gifts, souvenirs, t-shirts and/or memorabilia

and the request must be submitted via use of NSF’s electronic systems. NSF approval of

such changes will be by an amendment to the grant. The grantee must account for

participant support costs separately. Indirect costs (F&A) are not allowed on participant

support costs (see PAPPG Chapter II.C.2.g(v)).

b. Funds provided for participant support must not be used by the grantee for other

categories of expense without specific NSF prior written approval. Such requests must

be submitted electronically via use of NSF’s electronic systems.

Article 14. Travel

a. Allowability of Travel Expenses

1. Expenses for transportation, lodging, subsistence and related items incurred by

project personnel and by outside consultants employed on the project (see PAPPG

Chapter II.C.2.g(iv)) who are in travel status on business related to an NSF-supported

project are allowable as prescribed in the governing cost principles. Except as noted in

paragraph b. below, the requirements for NSF prior written approval specified in 2 CFR §

200.475 are waived.

2. Except as provided in the governing cost principles, the difference between

economy airfare and a higher-class airfare is unallowable. A train, bus or other surface

carrier may be used in lieu of, or as a supplement to, air travel at the lowest first-class rate

by the transportation facility used. If such travel, however, could have been performed by

air, the allowance will not normally exceed that for jet economy airfare.

b. Travel Support for Dependents of Key Project Personnel

1. Travel support for dependents of key project personnel is allowable only under the

conditions outlined in 2 CFR §200.475(c)(2). See also 2 CFR §200.432.

NSF prior written approval is required for travel costs for dependents and must be

requested via use of NSF’s electronic systems. NSF approval of such changes will be by

an amendment to the award.

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2. Temporary dependent care costs (as dependent is defined in 26 United States

Code (USC) §152) above and beyond regular dependent care that directly results from

travel to conferences is allowable as outlined in 2 CFR §200.475(c)(1).

c. Use of U.S.-Flag Air Carriers

1. In accordance with the Fly America Act (49 USC §40118), 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 NSF funding, must be performed by or under a code-

sharing arrangement with a U.S.-flag air carrier if service provided by such a carrier is

available (see Comptroller General Decision B-240956, dated September 25, 1991).

Tickets (or documentation for electronic tickets) must identify the U.S. flag air carrier’s

designator code and flight number.

2. For the purposes of this requirement, U.S.-flag air carrier service is considered

available even though:

(a) comparable or a different kind of service can be provided at less cost by a foreign-

flag air carrier;

(b) foreign-flag air carrier service is preferred by, or is more convenient for, NSF or

traveler; or

3. The following rules apply unless their application would result in the first or last leg

of travel from or to the U.S. being performed by a foreign-flag air carrier:

(a) a U.S.-flag air carrier shall be used to destination or, in the absence of direct or

through service, to the farthest interchange point on a usually traveled route.

(b) if a U.S.-flag air carrier does not serve an origin or interchange point, a foreign-flag

air carrier shall be used only to the nearest interchange point on a usually traveled route

to connect with a U.S. flag air carrier.

d. Use of Foreign-Flag Air Carriers

There are certain circumstances under which use of a foreign-flag air carrier is

permissible. These circumstances are outlined below:

1. Airline "Open Skies" Agreements

A foreign flag air carrier may be used if the transportation is provided under an air

transportation agreement between the United States and a foreign government, which the

Department of Transportation has determined meets the requirements of the Fly America

Act. For information on "open skies" agreements in which the United States has entered,

please refer to the GSA website at http://www.gsa.gov/portal/content/103191.

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Note on U.S./European Union Open Skies Agreement

In 2007, the U.S. entered into an “Open Skies” Agreement with the European Union (“EU”).

This agreement was modified in June 2010. The current Agreement gives European

Community airlines (airlines of Member States) the right to transport passengers and

cargo on flights funded by the U.S. government, when the transportation is between: (1)

any two points outside the United States; or (2) a point in the United States and any point

outside the United States that the EU airline is authorized to serve under the “Open Skies”

Agreement.

As of 2011, two significant changes have been made to the U.S./EU Open Skies

Agreement. First, EU airlines are now granted the right to transport civilian agency-funded

passengers who are NOT eligible to travel on GSA Airline City Pair Contract fares (e.g.,

the grantee) between a point in the United States and a point outside the United States

even if there is a GSA Airline City Pair Contract fare in effect between the origin and

destination points. An individual, however, who is traveling on a route for which there is a

City Pair Contract fare in effect, and who is eligible for such a fare (e.g., Federal

employee), will be required to fly on a U.S. carrier, absent another applicable exception.

Second, under the amended Agreement, EU airlines are now authorized to transport

passengers between points in the United States and points outside the EU if the EU airline

is authorized to serve the route under the Agreement. This includes flights that originate,

arrive, or stop in the EU. Prior to this change, EU airlines were limited to flying passengers

between points in the U.S. and points in the EU.

2. Involuntary Rerouting

Travel on a foreign-flag carrier is permitted if a U.S.-flag air carrier involuntarily reroutes

the traveler via a foreign-flag air carrier, notwithstanding the availability of alternative U.S.-

flag air carrier service.

3. Travel To and From the U.S. on non-European Community Airlines

Use of a non-European Community foreign-flag air carrier is permissible if the airport

abroad is:

(a) the traveler's origin or destination airport, and use of U.S.-flag air carrier service

would extend the time in a travel status by at least 24 hours more than travel by a foreign-

flag air carrier; or

(b) an interchange point, and use of U.S.-flag air carrier service would increase the

number of aircraft changes the traveler must make outside of the U.S. by two or more,

would require the traveler to wait four hours or more to make connections at that point, or

would extend the time in a travel status by at least six hours more than travel by a foreign-

flag air carrier.

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4. Travel Between Points Outside the U.S. on non-European Community Airlines

Use of a non-European Community foreign-flag air carrier is permissible if:

(a) travel by a foreign-flag air carrier would eliminate two or more aircraft changes en

route;

(b) travel by a U.S.-flag air carrier would require a connecting time of four hours or

more at an overseas interchange point; or

would extend the time in a travel status by at least six hours more than travel by a foreign-

flag air carrier.

5. Short Distance Travel

For all short distance travel, regardless of origin and destination, use of a foreign-flag air

carrier is permissible if the elapsed travel time on a scheduled flight from origin to

destination airport by a foreign-flag air carrier is three hours or less and service by a U.S.-

flag air carrier would double the travel time.

Article 15. Information Collection

Information collection activities performed under this grant are the responsibility of the

grantee, and NSF support of the project does not constitute NSF approval of the survey

design, questionnaire content or information collection procedures. The grantee shall not

represent to respondents that such information is being collected for or in association with

the National Science Foundation or any other Government agency without the specific

written approval of such information collection plan or device by the Foundation. This

requirement, however, is not intended to preclude mention of NSF support of the project

in response to an inquiry or acknowledgment of such support in any publication of this

information.

Article 16. Responsible and Ethical Conduct of Research

In accordance with Section 7009 of the America Creating Opportunities to Meaningfully

Promote Excellence in Technology, Education, and Science (COMPETES) Act (42 USC

§1862o–1) NSF requires the grantee must have a plan in place to provide appropriate

training and oversight in the responsible and ethical conduct of research (RECR) to

undergraduates, graduate students, and postdoctoral researchers who will be supported

by NSF to conduct research. Training plans are subject to review, upon request.

The grantee must designate one or more persons to oversee compliance with the RECR

training requirement. The grantee is responsible for verifying that undergraduate students,

graduate students, and postdoctoral researchers supported by NSF to conduct research

have received training in the responsible and ethical conduct of research, in accordance

with the plan the grantee has put in place for their organization.

The grantee shall ensure that these RECR requirements flow down to all subrecipients

or are otherwise appropriately addressed in the subaward.

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Article 17. Reporting Subawards and Executive Compensation

This grant term was extracted verbatim from Appendix A to Part 170. For these

purposes, the term “you” means the NSF grantee.

a. Reporting of first-tier subawards.

1. Applicability. Unless exempt as provided in paragraph d. of this award term, you

must report each action that equals or exceeds $30,000 in Federal funds for a subaward

to a non-Federal entity or Federal agency (see definitions in paragraph e. of this award

term).

2. Where and when to report.

i. The non-Federal entity or Federal agency must report each obligating action

described in paragraph a.1. of this award term to http://www.fsrs.gov.

ii. For subaward information, report no later than the end of the month following the

month in which the obligation was made. (For example, if the obligation was made on

November 7, 2010, the obligation must be reported by no later than December 31, 2010.)

3. What to report. You must report the information about each obligating action that

the submission instructions posted at http://www.fsrs.gov specify.

b. Reporting total compensation of recipient executives for non-Federal entities.

1. Applicability and what to report. You must report total compensation for each of

your five most highly compensated executives for the preceding completed fiscal year,

if—

i. the total Federal funding authorized to date under this Federal award equals or

exceeds is $30,000 or more as defined in 2 CFR §170.320;

ii. in the preceding fiscal year, you received—

(A) 80 percent or more of your annual gross revenues from Federal procurement

contracts (and subcontracts) and Federal financial assistance subject to the Transparency

Act, as defined at 2 CFR §170.320 (and subawards), and

(B) $25,000,000 or more in annual gross revenues from Federal procurement

contracts (and subcontracts) and Federal financial assistance subject to the Transparency

Act, as defined at 2 CFR §170.320 (and subawards); and,

iii. the public does not have access to information about the compensation of the

executives through periodic reports filed under section 13(a) or 15(d) of the Securities

Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue

Code of 1986. (To determine if the public has access to the compensation information,

see the U.S. Security and Exchange Commission total compensation filings at

http://www.sec.gov/answers/execomp.htm.)

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2. Where and when to report. You must report executive total compensation

described in paragraph b.1. of this award term:

i. As part of your registration profile at https://www.sam.gov.

ii. By the end of the month following the month in which this award is made, and

annually thereafter.

c. Reporting of Total Compensation of Subrecipient Executives.

1. Applicability and what to report. Unless you are exempt as provided in paragraph

d. of this award term, for each first-tier non-Federal entity subrecipient under this grant,

the recipient shall report the names and total compensation of each of the subrecipient's

five most highly compensated executives for the subrecipient's preceding completed fiscal

year, if—

i. in the subrecipient's preceding fiscal year, the subrecipient received—

(A) 80 percent or more of its annual gross revenues from Federal procurement

contracts (and subcontracts) and Federal financial assistance subject to the Transparency

Act, as defined at 2 CFR §170.320 (and subawards) and,

(B) $25,000,000 or more in annual gross revenues from Federal procurement

contracts (and subcontracts), and Federal financial assistance subject to the

Transparency Act (and subawards); and

ii. The public does not have access to information about the compensation of the

executives through periodic reports filed under section 13(a) or 15(d) of the Securities

Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue

Code of 1986. (To determine if the public has access to the compensation information,

see the U.S. Security and Exchange Commission total compensation filings at

http://www.sec.gov/answers/execomp.htm.)

2. Where and when to report. You must report subrecipient executive total

compensation described in paragraph c.1. of this award term:

i. To the recipient.

ii. By the end of the month following the month during which you make the subaward.

For example, if a subaward is obligated on any date during the month of October of a

given year (i.e., between October 1 and 31), you must report any required compensation

information of the subrecipient by November 30 of that year.

d. Exemptions

If, in the previous tax year, you had gross income, from all sources, under $300,000, you

are exempt from the requirements to report:

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i. Subawards,

and

ii. The total compensation of the five most highly compensated executives of any

subrecipient.

e. Definitions. For purposes of this award term:

1. Federal Agency means a Federal agency as defined at 5 U.S.C. 551(1) and further

clarified by 5 U.S.C. 552(f).

2. Non-Federal entity means all of the following, as defined in 2 CFR part 25:

i. A Governmental organization, which is a State, local government, or Indian tribe;

ii. A foreign public entity;

iii. A domestic or foreign nonprofit organization; and,

iv. A domestic or foreign for-profit organization.

3. Executive means officers, managing partners, or any other employees in

management positions.

4. Subaward:

i. This term means a legal instrument to provide support for the performance of any

portion of the substantive project or program for which you received this award and that

you as the recipient award to an eligible subrecipient.

ii. The term does not include your procurement of property and services needed to

carry out the project or program (for further explanation, see 2 CFR §200.331).

iii. A subaward may be provided through any legal agreement, including an

agreement that you or a subrecipient considers a contract.

5. Subrecipient means a non-Federal entity or Federal agency that:

i. Receives a subaward from you (the recipient) under this award; and

ii. Is accountable to you for the use of the Federal funds provided by the subaward.

6. Total compensation means the cash and noncash dollar value earned by the

executive during the recipient's or subrecipient's preceding fiscal year and includes the

following (for more information see 17 CFR §229.402(c)(2)).

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Article 18. System for Award Management and Universal Identifier Requirements

This grant term was extracted verbatim from Appendix A to Part 25. For these

purposes, the term “you” means the NSF grantee.

A. Requirement for System for Award Management

Unless you are exempted from this requirement under 2 CFR §25.110, you as the recipient

must maintain current information in the SAM. This includes information on your

immediate and highest level owner and subsidiaries, as well as on all of your predecessors

that have been awarded a Federal contract or Federal financial assistance within the last

three years, if applicable, until you submit the final financial report required under this

Federal award or receive the final payment, whichever is later. This requires that you

review and update the information at least annually after the initial registration, and more

frequently if required by changes in your information or another Federal award term.

B. Requirement for Unique Entity Identifier

If you are authorized to make subawards under this Federal award, you:

1. Must notify potential subrecipients that no entity (see definition in paragraph C of

this award term) may receive a subaward from you until the entity has provided its Unique

Entity Identifier to you.

2. May not make a subaward to an entity unless the entity has provided its Unique

Entity Identifier to you. Subrecipients are not required to obtain an active SAM registration

but must obtain a Unique Entity Identifier.

C. Definitions

For purposes of this term:

1. System for Award Management (SAM) means the Federal repository into which a

recipient must provide information required for the conduct of business as a recipient.

Additional information about registration procedures may be found at the SAM Internet

site (currently at https://www.sam.gov).

2. Unique Entity Identifier means the identifier assigned by SAM to uniquely identify

business entities.

3. Entity includes non-Federal entities as defined at 2 CFR §200.1 and also includes

all of the following, for purposes of this part:

a. A foreign organization;

b. A foreign public entity;

c. A domestic or foreign for-profit organization; and

d. A Federal agency.

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4. Subaward has the meaning given in 2 CFR §200.1.

5. Subrecipient has the meaning given in 2 CFR §200.1.

Article 19. Academic Technology Transfer and Commercialization of University

Research

a. Any institution of higher education (as such term is defined in section 101(A) of the

Higher Education Act of 1965 (20 U.S.C. 1001(a)) that receives National Science

Foundation research support (i.e., any grant or cooperative agreement awarded by NSF)

and has received at least $25,000,000 in total Federal research grants in the most recently

completed Federal fiscal year shall keep, maintain, and report annually to the National

Science Foundation the universal resource locator (URL) for a public website that contains

information concerning its general approach to and mechanisms for transfer of technology

and the commercialization of research results, including:

1. contact information for individuals and university offices responsible for technology

transfer and commercialization;

2. information for both university researchers and industry on the institution's

technology licensing and commercialization strategies;

3. success stories, statistics, and examples of how the university supports

commercialization of research results;

4. technologies available for licensing by the university where appropriate; and

5. any other information deemed by the institution to be helpful to companies with the

potential to commercialize university inventions.

For purposes of determining whether an institution meets the threshold for this

requirement, both the NSF research support and the Federal research grants must have

been active at some point during the most recently completed Federal fiscal year.

The institution’s URL containing the information required in section a. must be

electronically submitted to the following email alias: [email protected]. The URLs are

available to the public on Research.gov at: http://www.research.gov/acasection520.

b. Trade Secret Information - Notwithstanding section a., an institution shall not be

required to reveal confidential, trade secret, or proprietary information on its website.

Article 20. Federal Tax Obligations

Article 20 applies only to grants that have cumulative budgets that exceed

$5,000,000.

In accordance with the Commerce, Justice, Science and Related Agencies Appropriations

Act, 2020, the grantee affirms that they:

(1) have filed all required Federal tax returns during the three years preceding the

certification;

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(2) have not been convicted of a criminal offense under the Internal Revenue Code of

1986; and

(3) have not, more than 90 days prior to certification, been notified of any unpaid

Federal tax assessment for which the liability remains unsatisfied, unless the assessment

is the subject of an installment agreement or offer in compromise that has been approved

by the Internal Revenue Service and is not in default, or the assessment is the subject of

a non-frivolous administrative or judicial proceeding.

Article 21. Payments

Except as noted in PAPPG Chapter VIII.C, the grantee is required to request payments

electronically through the ACM$. Under ACM$, the grantee must provide award level

detail at the time of the payment request. The grantee should request payments in

amounts necessary to meet their current needs, pursuant to the guidelines contained in

31 CFR Part 205.

Article 22. Cost Sharing or Matching

a. General

1. The grantee must cost share in accordance with any amount specified on Line M

of the grant budget. Cost sharing participation in other projects may not be counted

towards meeting the specific cost sharing requirements of the grant and must come from

non-Federal sources.

2. Should the grantee become aware that it may be unable to provide the cost sharing

of at least the amount identified on Line M of the NSF grant budget, it must: a) immediately

provide written notification to the cognizant NSF Grants and Agreements Officer of the

situation; and b) indicate steps it plans to take to secure replacement cost sharing; or c)

indicate the plans it has to either continue or phase out the project in the absence of the

approved level of cost sharing.

3. Should NSF agree to the organization’s proposed plans, the NSF Grants and

Agreements Officer will modify the grant accordingly, including, if appropriate, reducing

the amount of NSF support. Should the organization’s plans be unacceptable to NSF, the

grant may be subject to termination. NSF modifications to proposed cost sharing revisions

are made on a case-by-case basis.

4. Failure by the organization to notify NSF, in accordance with paragraph 2. above,

may result in the disallowance of some or all of the costs charged to the grant; the

subsequent recovery by NSF of some or all of the NSF funds provided under the grant;

possible termination of the grant; and may constitute a violation of the terms of the grant

so serious as to provide grounds for subsequent suspension or debarment.

b. 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 that meet the

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criteria identified in 2 CFR §200.306. Unless otherwise specified in the grant, approval is

given to include unrecovered indirect costs (also known as facilities and administrative

costs for institutions of higher education) 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.

c. Cost Sharing Reports

The amount of mandatory cost sharing must be documented (on an annual and final

basis), certified by the Authorized Organizational Representative, and reported to the

cognizant NSF Program Officer via use of NSF’s electronic systems. Such notifications

must be submitted no later than 90 days prior to the end of the current budget period to

meet the annual notification requirement, and no later than 120 days following the end

date of the grant to meet the final notification requirement. The cost share notification is

considered due during the 90- or 120-day period respectively. The notification becomes

overdue the day after the respective 90- or 120-day period ends.

Article 23. Revision of Budget & Program Plans

The grantee must obtain written approval from NSF as specified in the Research Terms

and Conditions Appendix A, Prior Approval Matrix (see also Article 2).

Article 24. Non-Federal Audits

In order to avoid duplicate record keeping, NSF may make special arrangements with the

grantee to retain any records that are needed for joint use. NSF may request transfer to

its custody of records not needed by the grantee when it determines that the records

possess long-term retention value. When the records are transferred to, or maintained by

NSF, the three-year retention requirement is not applicable to the grantee. In the rare

event that this provision is exercised, NSF will negotiate a mutually agreeable

arrangement with the grantee regarding reimbursement of costs.

All grants issued by NSF meet the definition of “Research and Development” (R&D) at 2

CFR §200.1. As such, auditees should identify NSF grants as part of the R&D cluster on

the Schedule of Expenditures of Federal Awards (SEFA). The auditor should test NSF

grants for compliance as instructed in Part V, Clusters of Programs. NSF recognizes that

some grants may have another classification for purposes of indirect costs. The auditor is

not required to report the disconnect (i.e., the grant is classified as R&D for audit purposes

but non-research for indirect cost rate purposes), unless the auditee is charging indirect

costs at a rate other than the rate(s) specified in the grant document(s).

Article 25. Equipment

Equipment falls under the umbrella of property, which consists of real property and

personal property (tangible and intangible). The standards for managing, tracking, and

disposing of property funded by NSF or any property acquired for a project under an NSF

grant are outlined in 2 CFR §§200.310-316.

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a. Title to Equipment – Exempt Property

Unless otherwise specified in the grant, title to equipment purchased or fabricated with

NSF award funds will vest with the grantee upon acquisition. Such equipment is

considered exempt property and shall be acquired and used in accordance with paragraph

b. below. The grantee holds title to the property in trust consistent with 2 CFR §200.316,

unless and until the expiration of 120 days from the award end date providing the

government has not exercised its conditional interest as further described in paragraph

b.7.

b. Conditions for Acquisition and Use of Equipment

1. Grantee Assurance. The grantee will assure that for each purchase of equipment,

it is:

(a) necessary for the research or activity supported by the grant;

(b) not otherwise reasonably available and accessible;

(d) acquired in accordance with organizational practice.

2. General Purpose Equipment. Expenditures for general-purpose equipment are

typically not eligible for support (see PAPPG Chapter IX.D.2.b).

3. Equipment Usage. The equipment must remain in use for the specific project for

which it was obtained in accordance with 2 CFR §200.313(c)(1), unless the provision in 2

CFR §200.313(c)(4) applies.

4. Equipment Sharing. The equipment must be shared on other projects or programs

in accordance with 2 CFR §200.313(c)(1).

5. Property Management Requirements. The grantee shall maintain a property

management system that, at a minimum, meets the requirements of 2 CFR §200.313(d),

which requires a physical inventory every two years, ensures adequate safeguards to

prevent loss, damage, or theft of the property, and provides for maintenance procedures

to keep the property in good condition.

6. Competition. The grantee must not use equipment acquired with the Federal award

to provide services for a fee that is less than private companies charge for equivalent

services, unless specifically authorized by Federal statute for as long as the Federal

government retains an interest in the equipment in accordance with 2 CFR §200.313(c)(3).

7. Right to Transfer Title. In accordance with 2 CFR §200.313(e), NSF may identify

items of equipment having an acquisition cost of $5,000 or more where NSF reserves the

right to transfer the title to the Federal Government or a third party named by the Federal

Government at any time during the grant period. In cases where NSF elects to transfer

the title, disposition instructions will be issued no later than 120 days after the end date of

the NSF-supported project for which it was acquired.

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c. Reporting Requirements for Federally-owned Property

In the event that title to equipment is vested in the Federal Government, such Federally-

owned property (FOP) must be identified, tagged or segregated in such a manner as to

clearly indicate its ownership by the Federal government. Unless otherwise provided in

the grant, such government property must be used only for the performance of the project.

An inventory report must be submitted in accordance with paragraph 1. below and a

physical inventory of FOP must be conducted every two years pursuant to 2 CFR

§200.313(d)(2).

1. Annual Inventory Report for Federally-owned Property

(a) Submission Requirement: The grantee must submit an annual inventory report by

NSF grant number for all FOP having an original acquisition cost of $5,000 or more in

accordance with 2 CFR §200.312(a). The annual inventory report should be submitted to

the NSF Property Administrator, Division of Administrative Services (DAS), no later than

October 15 each year using the NSF Central Property Inventory Repository (CPIR)

system.

(b) Content of Annual Inventory Report: The report should include the below

information for all FOP purchased or constructed, including land and buildings, under the

grant, inclusive of all subawards. In addition, the report should include any FOP acquired

through the General Services Administration (GSA) Federal Excess Personal Property

Utilization Program and the Federal Surplus Personal Property Donation Program. In the

event that the grantee is in possession of FOP under multiple grants, the reporting must

be specific to each NSF grant number. The grantee may use the OMB-approved Post-

Award Reporting forms for Tangible Personal Property (Standard Form (SF)-428, SF-

428A, SF-428B, SF-428C, and SF-428S) accessed on the Grants.gov website.

Required inventory information:

• description of the property;

• serial number or other identification number;

• cost of the property;

• acquisition date;

• use and condition of the property;

• the source of funding for the property (including the Federal Award Identification

Number (FAIN));

• who holds title;

• percentage of Federal participation in the project costs for the Federal award

under which the property was acquired;

• the location;

• any ultimate disposition data including the date of disposal and sale price of the

property; and

• a description of Construction-in-Progress (CIP) and Work-in-Progress (WIP) items

and construction costs incurred to date.

CIP is defined as real property that is in the process of being manufactured or fabricated but is not yet

complete. WIP is defined as equipment that is in the process of being manufactured or fabricated but is not

yet complete. CIP and WIP consist of the costs of direct materials, direct labor, direct purchased services and

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2. Final Inventory Report for Federally-owned Property

Upon expiration of the grant, the grantee will report all the FOP purchased or constructed

under the grant or acquired through the GSA Federal Excess Personal Property Utilization

Program and the Federal Surplus Personal Property Donation Program to the NSF

Property Administrator for further agency utilization and disposition using the CPIR

system. The final inventory report must include the same contents as the annual inventory

report described in paragraph c.1 above and include the grantee’s disposition request (see

PAPPG Chapter IX.D.3).

Article 26. Intangible Property

The following Intangible Property article (implementing the Bayh-Dole Act., [35 USC §200

et seq.] shall apply to all awards for scientific or engineering research unless special

provisions have been negotiated. The grantee shall include this article in all subawards

for scientific or engineering research activities.

a. Definitions

1. Invention means any invention or discovery which is or may be patentable or

otherwise protectable under Title 35 of the USC, to any novel variety of plant which is or

may be protected under the Plant Variety Protection Act (7 USC §2321 et seq.)

2. Subject Invention means any invention of the grantee conceived or first actually

reduced to practice in the performance of work under this grant, provided that in the case

of a variety of plant, the date of determination (as defined in section 41(d)) must also occur

during the period of performance.

3. Practical Application means to manufacture in the case of a composition or

product, to practice in the case of a process or method, or to operate in the case of a

machine or system; and, in each case, under such conditions as to establish that the

invention is being utilized and that its benefits are to the extent permitted by law or

Government regulations available to the public on reasonable terms.

4. Made when used in relation to any invention means the conception or first actual

reduction to practice of such invention.

5. Small Business Firm means a small business concern as defined at section 2 of

Public Law 85-536 (15 USC §632) and implementing regulations of the Administrator of

the Small Business Administration. For the purpose of this article, the size standards for

small business concerns involved in government procurement and subcontracting at 13

CFR §121.3-8 and 13 CFR §121.3-12, respectively, will be used.

indirect costs, including general and administrative and overhead costs. Costs coded as such should not be

depreciated.

The grantee is reminded that, in view of the U.S. Supreme Court decision in Stanford v. Roche, employee

assignment agreements should include a present conveyance of rights (“I hereby assign” rather than a

promise or intent to assign) in order to effectively convey patent rights to the institution, allowing the institution

to meet its responsibility under the Bayh-Dole Act to provide the agency with a license to patented inventions.

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6. Non-profit Organization means a domestic university or other institution of higher

education or an organization of the type described in Section 501(c)(3) of the Internal

Revenue Code of 1954 (26 USC §501(c)) and exempt from taxation under Section 501(a)

of the Internal Revenue Code (26 USC §501(a)) or any domestic non-profit scientific or

educational organization qualified under a State non-profit organization statute.

7. Statutory Period means the one-year period before the effective filing date of a

claimed invention during which exceptions to prior art exist per 35 USC §102(b) as

amended by the Leahy-Smith America Invents Act, Public Law 112-29.

8. Contractor means any person, small business firm or nonprofit organization, or, as

set forth in section 1, paragraph (b)(4) of Executive Order 12591, as amended, any

business firm regardless of size, which is a party to a funding agreement.

b. Allocation of Principal Rights

The grantee may retain the entire right, title and interest throughout the world to each

subject invention subject to the provisions of this Intangible Property article and 35 USC

§203. With respect to any subject invention in which the grantee retains title, the Federal

Government shall have a non-exclusive, nontransferable, irrevocable, paid-up license to

practice or have practiced for or on behalf of the U.S. the subject invention throughout the

world. If the grant indicates it is subject to an identified international agreement or treaty,

the National Science Foundation (NSF) also has the right to direct the grantee to convey

to any foreign participant such patent rights to subject inventions as are required to comply

with that agreement or treaty.

c. Invention Disclosure, Election of Title and Filing of Patent Applications by Grantee

1. The grantee will disclose each subject invention to NSF within two months after

the inventor discloses it in writing to grantee personnel responsible for the administration

of patent matters. The disclosure to NSF shall be in the form of a written report and shall

identify the grant under which the invention was made and the inventor(s). It shall be

sufficiently complete in technical detail to convey a clear understanding of the nature,

purpose, operation and, to the extent known, the physical, chemical, biological or electrical

characteristics of the invention. The disclosure shall also identify any publication, on sale

or public use of the invention and whether a manuscript describing the invention has been

submitted for publication and, if so, whether it has been accepted for publication at the

time of disclosure. In addition, after disclosure to NSF, the grantee will promptly notify

NSF of the acceptance of any manuscript describing the invention for publication or of any

on sale or public use planned by the grantee.

2. The grantee will elect in writing whether or not to retain title to any such invention

by notifying NSF within two years of disclosure to NSF. However, in any case where a

patent, a printed publication, public use, sale or other availability to the public has initiated

the one-year statutory period wherein valid patent protection can still be obtained in the

U.S., the period for election of title may be shortened by NSF to a date that is no more

than 60 days prior to the end of the statutory period.

3. The grantee will file its initial patent application on an invention to which it elects to

retain title within one year after election of title or, if earlier, prior to the end of any statutory

period wherein valid patent protection can be obtained in the U.S. after a publication, on

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sale, or public use. If the grantee files a provisional application as its initial patent

application, it shall file a non-provisional application within 10 months of the filing of the

provisional application. The grantee will file patent applications in additional countries or

international patent offices within either ten months of the first filed patent application, or

six months from the date when permission is granted by the Commissioner of Patents to

file foreign patent applications when such filing has been prohibited by a Secrecy Order.

4. For any subject invention with NSF and grantee co-inventors, where NSF

determines that it would be in the interest of the government, pursuant to 35 USC

§207(a)(3), to file an initial patent application on the subject invention, NSF, at its discretion

and in consultation with the grantee, may file such application at its own expense, provided

that the grantee retains the ability to elect title pursuant to 35 U.S.C. 202(a).

5. Requests for extension of the time for disclosure to NSF, election and filing under

subparagraphs 1., 2. and 3 may, at the discretion of NSF, be awarded. When a grantee

has requested an extension for filing a non-provisional application after filing a provisional

application, a one-year extension will be granted unless NSF notifies the contractor within

60 days of receiving the request.

d. Conditions When the Government May Obtain Title

The grantee will convey to NSF, upon written request, title to any subject invention:

1. if the grantee fails to disclose or elect the subject invention within the times

specified in paragraph c. above, or elects not to retain title;

2. in those countries in which the grantee fails to file patent applications within the

times specified in paragraph c. above, provided, however, that if the grantee has filed a

patent application in a country after the times specified in paragraph c. of this article, but

prior to its receipt of the written request of NSF, the grantee shall continue to retain title in

that country; or

3. in any country in which the grantee decides not to continue the prosecution of any

non-provisional patent application for, to pay a maintenance, annuity or renewal fee on,

or defend in a reexamination or opposition proceeding on, a patent on a subject invention.

e. Minimum Rights to Grantee

1. The grantee will retain a non-exclusive royalty-free license throughout the world in

each subject invention to which the Government obtains title, except if the grantee fails to

disclose the subject invention within the times specified in paragraph c. above. The

grantee’s license extends to its domestic subsidiaries and affiliates, if any, within the

corporate structure of which the grantee is a party and includes the right to award

sublicenses of the same scope to the extent the grantee was legally obligated to do so at

the time the award was made. The license is transferable only with the approval of NSF

except when transferred to the successor of that part of the grantee’s business to which

the invention pertains.

2. The grantee’s domestic license may be revoked or modified by NSF to the extent

necessary to achieve expeditious practical application of the subject invention pursuant to

an application for an exclusive license submitted in accordance with applicable provisions

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at 37 CFR Part 404. This license will not be revoked in that field of use or the geographical

areas in which the grantee has achieved practical application and continues to make the

benefits of the invention reasonably accessible to the public. The license in any foreign

country may be revoked or modified at discretion of NSF to the extent the grantee, its

licensees or its domestic subsidiaries or affiliates have failed to achieve practical

application in that foreign country.

3. Before revocation or modification of the license, NSF will furnish the grantee a

written notice of its intention to revoke or modify the license, and the grantee will be

allowed 30 days (or such other time as may be authorized by NSF for good cause shown

by the grantee) after the notice to show cause why the license should not be revoked or

modified. The grantee has the right to appeal, in accordance with applicable regulations

in 37 CFR Part 404 concerning the licensing of Government-owned inventions, any

decision concerning the revocation or modification of its license.

f. Grantee Action to Protect Government’s Interest

1. The grantee agrees to execute or to have executed and promptly deliver to NSF

all instruments necessary to: (i) establish or confirm the rights the Government has

throughout the world in those subject inventions for which the grantee retains title; and (ii)

convey title to NSF when requested under paragraph d. above, and to enable the

Government to obtain patent protection throughout the world in that subject invention.

2. The grantee agrees to require, by written agreement, its employees, other than

clerical and non-technical employees, to disclose promptly in writing to personnel

identified as responsible for the administration of patent matters and in a format suggested

by the grantee each subject invention made under this grant in order that the grantee can

comply with the disclosure provisions of paragraph c. above, to assign to the grantee the

entire right, title and interest in and to each subject invention made under the grant, and

to execute all papers necessary to file patent applications on subject inventions and to

establish the Government’s rights in the subject inventions. The disclosure format should

require, as a minimum, the information requested by paragraph c.1 above. The grantee

shall instruct such employees through the employee agreements or other suitable

educational programs on the importance of reporting inventions in sufficient time to permit

the filing of patent applications prior to U.S. or foreign statutory bars.

3. For each subject invention, the grantee will no less than 60 days prior to the

expiration of the statutory deadline, notify NSF of any decision: not to continue the

prosecution of a non-provisional patent application; not to pay a maintenance, annuity or

renewal fee; not to defend in a reexamination or opposition proceeding on a patent, in any

country; to request, be a party to, or take action in a trial proceeding before the Patent

Trial and Appeals Board of the U.S. Patent and Trademark Office, including but not limited

to post-grant review, review of a business method patent, inter partes review, and

derivation proceeding; or to request, be a party to, or take action in a non-trial submission

of art or information at the U.S. Patent and Trademark Office, including but not limited to

a pre-issuance submission, a post-issuance submission, and supplemental.

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4. The grantee agrees to include, within the specification of any U.S. patent

application and any patent issuing thereon covering a subject invention, the following

statement:

“This invention was made with Government support under (identify NSF grant number)

awarded by the National Science Foundation. The Government has certain rights in this

invention.”

5. The grantee or its representative will complete, execute and forward to NSF a

confirmation of a License to the U.S. Government and the page of a United States patent

application that contains the Federal support article within two months of filing any

domestic or foreign patent application.

g. Subawards

1. The grantee will include this Intangible Property article, suitably modified to identify

the parties, in all subawards, regardless of tier, for experimental, developmental or

research work. The subawardee will retain all rights provided for the grantee in this

Intangible Property article, and the grantee will not, as part of the consideration for

awarding the subaward, obtain rights in the subawardees’ subject inventions.

2. In the case of subawards, at any tier, when the prime award by NSF was a contract

(but not a cooperative agreement), NSF, subawardee and contractor agree that the mutual

obligations of the parties created by this Intangible Property article constitute a contract

between the subawardee and the Foundation with respect to those matters covered by

this Intangible Property article.

h. Reporting on Utilization of Subject Inventions

Upon request, the grantee agrees to submit on request periodic reports no more frequently

than annually on the utilization of a subject invention or on efforts at obtaining such

utilization that are being made by the grantee or its licensees or assignees. Such reports

shall include information regarding the status of development, date of first commercial sale

or use, gross royalties received by the grantee and such other data and information as

NSF may reasonably specify. The grantee also agrees to provide additional reports in

connection with any march-in proceeding undertaken by NSF in accordance with

paragraph j. of this Intangible Property article. As required by 35 USC §202(c)(5), NSF

agrees it will not disclose such information to persons outside the Government without the

permission of the grantee.

i. Preference for United States Industry

Notwithstanding any other provision of this Intangible Property article, the grantee agrees

that neither it nor any assignee will grant to any person the exclusive right to use or sell

any subject invention in the U.S. unless such person agrees that any products embodying

the subject invention or produced through the use of the subject invention will be

manufactured substantially in the U.S. However, in individual cases, the requirement for

such an agreement may be waived by NSF upon a showing by the grantee or its assignee

that reasonable but unsuccessful efforts have been made to award licenses on similar

terms to potential licensees that would be likely to manufacture substantially in the U.S.

or that under the circumstances domestic manufacture is not commercially feasible.

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j. March-in Rights

The grantee agrees that with respect to any subject invention in which it has acquired title,

NSF has the right in accordance with procedures at 37 CFR § 401.6 and the NSF PAPPG

Chapter XI.D.1.l. to require the grantee, an assignee or exclusive licensee of a subject

invention to grant a non-exclusive, partially exclusive or exclusive license in any field of

use to a responsible applicant or applicants, upon terms that are reasonable under the

circumstances and if the grantee, assignee or exclusive licensee refuses such a request,

NSF has the right to grant such a license itself if NSF determines that such action is

necessary:

1. because the grantee or assignee has not taken or is not expected to take within a

reasonable time, effective steps to achieve practical application of the subject invention in

such field of use;

2. to alleviate health or safety needs which are not reasonably satisfied by the

grantee, assignee, or their licensees;

3. to meet requirements for public use specified by Federal regulations and such

requirements are not reasonably satisfied by the grantee, assignee, or licensee; or

4. because the agreement required by paragraph l. of this Intangible Property article

has not been obtained or waived or because a licensee of the exclusive right to use or sell

any subject invention in the U.S. is in breach of such agreement.

k. Special Provisions for Grants with Non-profit Organizations

If the grantee is a non-profit organization, it agrees that:

1. rights to a subject invention in the U.S. may not be assigned without the approval

of NSF, except where such assignment is made to an organization which has as one of

its primary functions the management of inventions, provided that such assignee will be

subject to the same provisions as the grantee;

2. the grantee will share royalties collected on a subject invention with the inventor,

including Federal employee co-inventors (when NSF deems it appropriate) when the

subject invention is assigned in accordance with 35 USC §202(e) and 37 CFR §401.10;

3. the balance of any royalties or income earned by the grantee with respect to

subject inventions, after payment of expenses (including payments to inventors) incidental

to the administration of subject inventions, will be utilized for the support of scientific or

engineering research or education; and

4. it will make efforts that are reasonable under the circumstances to attract licensees

of subject inventions that are small business firms and that it will give preference to a small

business firm if the grantee determines that the small business firm has a plan or proposal

for marketing the invention which, if executed, is equally likely to bring the invention to

practical application as any plans or proposals from applicants that are not small business

firms; provided that the grantee is also satisfied that the small business firm has the

capability and resources to carry out its plan or proposal.

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The decision whether to give a preference in any specific case will be at the discretion of

the grantee. However, the grantee agrees that NSF may review the grantee’s licensing

program and decisions regarding small business applicants, and the grantee will negotiate

changes to its licensing policies, procedures or practices with NSF when NSF’s review

discloses that the grantee could take reasonable steps to implement more effectively the

requirements of this paragraph k.4. In accordance with 37 CFR §401.7, NSF or the

grantee may request that the Secretary review the grantee’s licensing program and

decisions regarding small business applicants.

l. Communications. All communications required by this Intangible Property article

must be submitted through the iEdison Invention Information Management System

maintained by the National Institutes of Health unless prior permission for another form of

submission is obtained from the Patent Assistant at [email protected] or at Office of the

General Counsel, National Science Foundation, 2415 Eisenhower Avenue, Alexandria,

VA 22314.

Article 27. Copyright Ownership, Government License

Except as otherwise specified in the grant or by this paragraph, the grantee may own or

permit others to own copyright in all subject writings. Subject writing means any material

that:

1. is or may be copyrightable under Title 17 of the USC; and

2. is produced by the grantee or its employees in the performance of work under this

grant.

Subject writings include such items as reports, books, journal articles, software,

databases, sound recordings, videotapes, and videodiscs.

The grantee agrees that if it or anyone else does own copyright in a subject writing, the

Federal government will have a nonexclusive, nontransferable, irrevocable, royalty-free

license to exercise or have exercised for or on behalf of the U.S. throughout the world all

the exclusive rights provided by copyright. Such license, however, will not include the

right to sell copies or phonorecords of the copyrighted works to the public.

a. Grants Affected by International Agreements

If the grant indicates it is subject to an identified international agreement or treaty, NSF

can direct the grantee to convey to any foreign participant or otherwise dispose of such

rights to subject writings as are required to comply with that agreement or treaty. In such

cases, the standard clauses for Copyrighted Material or Intangible Property will be

modified through the addition of the following:

“This project is supported under the cooperative program listed below. Your rights in

inventions, writings and data may be affected.”

The applicable agreement or treaty will be identified immediately beneath that sentence.

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b. Grantee Action to Protect Government Interests

The grantee agrees to acquire, through written agreement or an employment relationship,

the ability to comply with the requirements of the preceding paragraphs and, in particular,

to acquire the ability to convey rights in a subject writing to a foreign participant if directed

by NSF under the previous paragraph. The grantee further agrees that any transfer of

own such rights, will be made subject to the requirements of this article.

Article 28. Public Access to Copyrighted Material

NSF’s policy on public access to copyrighted material (Public Access Policy) reflects the

Foundation’s commitment to making certain that, to the extent possible, the American

public, industry and the scientific community have access to the results of federally funded

scientific research. Pursuant to this policy, the grantee must ensure that all articles in

peer-reviewed scholarly journals and papers in juried conference proceedings:

• are deposited in a public access compliant repository (as identified in the Public

Access Policy);

• are available for download, reading and analysis within 12 months of publication;

• possess a minimum set of machine-readable metadata elements as described in

the Public Access Policy;

• are reported in annual and final reports with a persistent identifier.

Either the final printed version or the final peer-reviewed manuscript is acceptable for

deposit.

Article 29. Publications

The grantee is responsible for assuring that an acknowledgment of NSF support is made

in any publication (including World Wide Web pages) of any material based on or

developed under the project and that NSF support is orally acknowledged during all news

media interviews, including popular media such as radio, television and news magazines

(see PAPPG Chapter XI.E).

The grantee is responsible for assuring that the cognizant NSF Program Officer is

provided access to, either electronically or in paper form, a copy of every publication of

material based on or developed under this grant, clearly labeled with the grant number

and other appropriate identifying information, promptly after publication.

Article 30. Program Income

a. Standard Treatment

Unless otherwise specified in the grant, program income received or accruing to the

grantee during the period of the grant is to be retained by the grantee, added to the funds

committed to the project by NSF, and thus used to further project objectives. The grantee

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has no obligation to NSF with respect to program income received beyond the period of

the grant.

The grantee also shall have no obligation to NSF with respect to program income earned

from license fees and royalties for copyrighted material, patents, patent applications,

trademarks and inventions produced under an award (see PAPPG Chapter VIII.D.4).

However, Patent and Trademark Amendments (35 USC §18) shall apply to inventions

made under a grant.

Efforts should be made to avoid having unexpended program income remaining at the

end date of the grant. Program income earned during the project period should be

expended prior to requesting reimbursement against the grant. In the event a grantee has

unexpended program income remaining at the end of the grant, it must be remitted to NSF

by crediting costs otherwise chargeable against the grant. If it is not possible to record

the credit via ACM$, the excess program income must be remitted to NSF electronically

or by check payable to the National Science Foundation.

b. Special Treatment

In exceptional circumstances, NSF may approve use of a special grant provision to restrict

or eliminate a grantee’s control of income earned through NSF-supported activities if it

determines that this would best serve the purposes of a particular program or grant. The

special provisions may require treatment of the program income via use of the deductive

method, the Federal share of program income be kept in a separate account, or reported

on and/or remitted for such periods as may be reasonable under the circumstances.

If, in accordance with the grant terms and conditions program income is designated for

deductive treatment, it must be remitted to NSF by crediting costs otherwise chargeable

against the grant. Program Income in excess of the grant will be remitted to NSF

electronically or by check payable to the National Science Foundation.

c. Records Retention

The grantee is required to retain appropriate financial and other records relating to

program income earned during the grant period of performance and for three years

beyond the date of submission of the final financial disbursements in ACM$. For

instructions regarding final disbursement reporting, see PAPPG Chapter VIII.E.

d. Reporting Requirements

On an annual basis, the grantee is required to submit a Program Income Reporting

Worksheet to NSF in order to report program income earned and expended for any of their

grants or to validate that they did not earn and expend program income for any of their

grants during the applicable period. The Program Income Reporting Worksheet utilizes

the standard OMB-approved Government-wide data elements from the Program Income

section of the Federal Financial Report (SF 425) and is due 45 days after the end of the

Federal Fiscal Year. The Program Income Reporting Worksheet and related instructions

are available through Research.gov (http://research.gov/programincome).

Failure to report program income or to validate that no program income was

earned/expended could result in suspension of future grant payments.

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Article 31. Reporting Classifiable Information

NSF grants are intended for unclassified, publicly releasable research. The grantee will

not be granted access to classified information. NSF does not expect that the results of

the research project will involve classified information.

If, however, in conducting the activities supported under a grant, the PI or co-PI is

concerned that any of the research results involve potentially classifiable information that

may warrant Government restrictions on the dissemination of the results, the PI or co-PI

should promptly notify the cognizant NSF Program Officer.

Article 32. Animal Welfare

a. Any grantee performing research on vertebrate animals

shall comply with the

Animal Welfare Act [7 USC §§2131 et seq.] and the regulations promulgated thereunder

by the Secretary of Agriculture [9 CFR §§1.1-4.11] pertaining to the humane care, handling

and treatment of vertebrate animals held or used for research, teaching or other activities

supported by Federal grants. The grantee is expected to ensure that the guidelines

described in the

National Academies of Sciences, Engineering and Medicine (NASEM)

Publication, “Guide for the Care and Use of Laboratory Animals” are followed and to

comply with the Public Health Service Policy and Government Principles Regarding the

Care and Use of Animals (included as Appendix D to the NASEM Guide). Further

guidance on the use of vertebrate animals in NSF funded projects can be found in PAPPG

Chapter XI.B.3.

b. The grantee must include NSF-supported activities with live vertebrate animals as

covered activities in their Office of Laboratory Animal Welfare (OLAW) Animal Welfare

Assurance. Further, they must promptly report situations involving NSF-supported animal

activities to OLAW as required by the Public Health Service (PHS) Policy on Humane Care

and Use of Laboratory Animals (http://grants.nih.gov/grants/olaw/references/phspol.htm)

Section IV.F.3. The cognizant NSF Program Officer also should be notified.

c. Any changes to, or lapses in, the Institutional Animal Care and Use Committee

approved animal use protocols associated with an NSF grant should be reported

promptly by the grantee to the cognizant NSF Program Officer.

d. In the event the grantee’s multi-project Assurance is cancelled or lapses, the

grantee must immediately notify the cognizant NSF Grants and Agreements Officer

identified in the award notice.

e. Research facilities subject to the Animal Welfare Act using or intending to use live

animals in research and who receive Federal funding are required to register the facility

with the Animal and Plant Health Inspection Service (APHIS), U.S. Department of

Agriculture. The location of the nearest APHIS Regional Office, as well as information

concerning this and other APHIS activities may be obtained at http://www.aphis.usda.gov/.

In addition to vertebrate animals covered by the Animal Welfare Act, the requirements specified in this Article

also are extended to rats, birds and mice.

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Article 33. Investigator Financial Disclosure Policy

If the grantee employs more than 50 persons, the grantee must maintain an appropriate

written and enforced policy on conflict of interest consistent with the provisions of PAPPG

Chapter IX.A.

Article 34. State Sales and Use Taxes

The grantee is reminded that the governing cost principles limit the allowability of taxes to

those the organization is required to pay. The grantee must avail itself of any tax

exemptions for which any activities supported by Federal funds may qualify, including any

applicable exemptions from State or local sales and use taxes on the purchase of goods

and services made with NSF grant funds.

Article 35. Domestic Preferences for Procurements

The grantee is notified of the applicability of 2 CFR §200.322, entitled Domestic

Preferences for Procurements.

Article 36. Breach of Personally Identifiable Information

A grantee that uses or operates a Federal information system or creates, collects, uses,

processes, stores, maintains, disseminates, discloses, or disposes of Personally

Identifiable Information (PII) within the scope of an NSF grant, must have procedures in

place to respond to a breach of PII. These procedures should promote cooperation and

the free exchange of information with NSF, as needed to properly escalate, refer and

respond to a breach. The grantee must notify NSF upon learning that a breach of PII within

the scope of an NSF grant has occurred.

Article 37. Notification Requirements Regarding Sexual Harassment, Other

Forms of Harassment, or Sexual Assault

The PI and any co-PI(s) identified on an NSF grant are in a position of trust. These

individuals must comport themselves in a responsible and accountable manner during the

award period of performance, whether at the grantee institution, on-line, or at locales such

as field sites, facilities, or conferences/workshops.

For purposes of this term and condition, the following definitions apply:

Sexual Harassment: May include but is not limited to gender or sex-based harassment,

unwelcome sexual attention, sexual coercion, or creating a hostile environment, as set

forth in organizational policies or codes of conduct, statutes, regulations, or executive

orders.

Other Forms of Harassment: Non-gender or non-sex-based harassment of individuals

protected under federal civil rights laws, as set forth in organizational policies or codes of

conduct, statutes, regulations, or executive orders.

Finding/Determination: The final disposition of a matter involving sexual harassment or

other form of harassment under organizational policies and processes, to include the

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exhaustion of permissible appeals exercised by the PI or co-PI, or a conviction of a sexual

offense in a criminal court of law.

Administrative Leave/Administrative Action: Any temporary/interim suspension or

permanent removal of the PI or co-PI, or any administrative action imposed on the PI or

co-PI by the grantee under organizational policies or codes of conduct, statutes,

regulations, or executive orders, relating to activities, including but not limited to the

following: teaching, advising, mentoring, research, management/administrative duties, or

presence on campus.

The grantee is required to notify NSF of: (1) Any finding/determination regarding the PI or

any co-PI

that demonstrates a violation of grantee policies or codes of conduct, statutes,

regulations, or executive orders relating to sexual harassment, other forms of harassment,

or sexual assault; and/or (2) if the PI or any co-PI is placed on administrative leave or if

any administrative action has been imposed on the PI or any co-PI by the grantee relating

to any finding/determination or an investigation of an alleged violation of grantee policies

or codes of conduct, statutes, regulations, or executive orders relating to sexual

harassment, other forms of harassment, or sexual assault.

Such notification must be

submitted by the Authorized Organizational Representative (AOR) to NSF's Office of

Equity and Civil Rights at www.nsf.gov/harassment within ten business days from the date

of the finding/determination, or the date of the placement of a PI or co-PI by the grantee

on administrative leave or the imposition of an administrative action, whichever is sooner.

Each notification must include the following information:

• NSF Award Number;

• Name of PI or co-PI being reported;

• Type of Notification: Select one of the following:

○ Finding/Determination that the reported individual has been found to have violated

grantee policies or codes of conduct, statutes, regulations, or executive orders relating to

sexual harassment, other forms of harassment, or sexual assault; or

○ Placement by the grantee of the reported individual on administrative leave or the

imposition of any administrative action on the PI or any co-PI by the grantee relating to

any finding/determination or an investigation of an alleged violation of grantee policies or

If a co-PI is affiliated with a subawardee organization, the Authorized Organizational

Representative of the subawardee must provide the requisite information directly to NSF, as

instructed in this paragraph.

Grantee findings/determinations and placement of a PI or co-PI on administrative leave or the

imposition of an administrative action must be conducted in accordance with organizational policies

and processes. They also must be conducted in accordance with federal laws, regulations, and

executive orders.

Such notification must be provided regardless of whether the behavior leading to the

finding/determination, or placement on administrative leave, or the imposition of an administrative

action occurred while the PI or co-PI was carrying out award activities.

Only the identification of the PI or co-PI is required. Personally identifiable information regarding

any complainants or other individuals involved in the matter must not be included in the notification.

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codes of conduct, statutes, regulations, or executive orders relating to sexual harassment,

other forms of harassment, or sexual assault.

• Description of the finding/determination and action(s) taken, if any; and

• Reason(s) for, and conditions of, placement of the PI or any co-PI on administrative

leave or imposition of administrative action.

The grantee, at any time, may propose a substitute investigator if it determines the PI or

any co-PI may not be able to carry out the funded project or activity and/or abide by the

grant terms and conditions. The grantee is reminded of its responsibility to obtain prior

written approval from NSF in the event the investigator will be disengaged from the project

for a period greater than three months. See PAPPG Chapter VII.B.2.a. for additional

information.

In reviewing the notification, NSF will consider, at a minimum, the following factors:

a. The safety and security of personnel supported by the NSF grant;

b. The overall impact to the NSF-funded activity;

c. The continued advancement of taxpayer-funded investments in science and

scientists; and

d. Whether the grantee has taken appropriate action(s) to ensure the continuity of

science and that continued progress under the funded project can be made.

Upon receipt and review of the information provided, NSF will consult with the AOR, or

designee. Based on the results of this review and consultation, the Foundation may, if

necessary, assert its programmatic stewardship responsibilities and oversight authority to

initiate the substitution or removal of the PI or any co-PI, reduce the award funding amount,

or where neither of those previous options is available or adequate, to suspend or

terminate the grant.

Other personnel supported by an NSF grant must likewise remain in full compliance with

grantee policies or codes of conduct, statutes, regulations, or executive orders relating to

sexual harassment, other forms of harassment, or sexual assault. With regard to any

personnel not in compliance, the grantee must make appropriate arrangements to ensure

the safety and security of other grant personnel and the continued progress of the funded

project. Notification of these actions is not required under this term and condition.

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Article 38. Post-award Disclosure of Current Support and In-Kind Contribution

Information

If an organization discovers that a PI or co-PI on an active NSF grant failed to disclose

current support or in-kind contribution information

as part of the proposal submission

process (see PAPPG Chapter II.C.2.h), the AOR must submit the following information

within 30 calendar days of the identification of the undisclosed current support or in-kind

contribution through use of the “Other Request” category in the Notification and Request

Module in Research.gov.

Post-award Disclosure of Project Support Information

• PI/co-PI Name:

• Project Title:

• Award Number (if available):

• Source of Support:

• Primary Place of Performance:

• Project Start and End Date:

• Total Award Amount (including Indirect Costs): $

• Brief Description of the Major goals of the project:

• Description of any Overlap/Duplication of the project with the NSF award:

• Impact on the ability of the PI/co-PI to carry out the NSF award:

• Person-Month(s) (or Partial Person-Months) Per Year Committed to the Project:

 Enter the applicable year (e.g., 2020, 2021):

Enter the number of person-month(s) (or partial person-months):

 Enter the applicable year (e.g., 2020, 2021):

Enter the number of person-month(s) (or partial person-months):

 Enter the applicable year (e.g., 2020, 2021):

Enter the number of person-month(s) (or partial person-months):

 Enter the applicable year (e.g., 2020, 2021):

Enter the number of person-month(s) (or partial person-months):

The post-award disclosure requirement applies to current support (including in-kind

contributions) that was active as of the date the proposal was submitted to NSF. See NSF Pre-

award and Post-award Disclosures Relating to the Biographical Sketch and Current and Pending

Support which has been developed to assist users in determining the types of activities that must

be disclosed.

The requisite information must be entered into the box entitled, “Proposed Change” with the box

entitled, “Justification for Change” stating, “See above”.

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 Enter the applicable year (e.g., 2020, 2021):

Enter the number of person-month(s) (or partial person-months):

Post-award Disclosure of In-Kind Contribution Information

• PI/co-PI Name:

• Source of Support:

• Primary Place of Performance:

• Summary of In-kind Contributions:

• Description of any Overlap/Duplication of the project with the NSF award:

• Impact on the ability of the PI/co-PI to carry out the NSF award:

• Person-Month(s) (or Partial Person-Months) Per Year Committed to the Project:

 Enter the applicable year (e.g., 2020, 2021):

Enter the number of person-month(s) (or partial person-months):

 Enter the applicable year (e.g., 2020, 2021):

Enter the number of person-month(s) (or partial person-months):

 Enter the applicable year (e.g., 2020, 2021):

Enter the number of person-month(s) (or partial person-months):

 Enter the applicable year (e.g., 2020, 2021):

Enter the number of person-month(s) (or partial person-months):

 Enter the applicable year (e.g., 2020, 2021):

Enter the number of person-month(s) (or partial person-months):

• Dollar Value of In-kind Contribution: $

Upon receipt and review of the information provided, NSF may consult with the AOR, or

designee, if necessary. Based on the results of this review, the Foundation will determine

the impact of the new information on the NSF-funded grant, and, where necessary, take

appropriate action.

Article 39. Termination and Enforcement

a. Any suspension or termination action taken by NSF must be issued by a cognizant

NSF Grants and Agreements Officer and will be in accordance with this article, 2 CFR

§200.340, and PAPPG Chapter XII.A.

b. The grant may be suspended or terminated in whole or in part in any of the

following situations:

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1. By NSF, if the grantee fails to comply with the terms and conditions of a Federal

grant;

2. By NSF, to the greatest extent authorized by law, if a grant longer effectuates the

program goals or agency priorities;

3. By NSF, with the consent of the grantee, in which case the two parties must agree

upon the termination conditions, including the effective date and, in the case of partial

termination, the portion to be terminated;

4. By the grantee upon sending to NSF written notification setting forth the reasons

for such termination, the effective date, and, in the case of partial termination, the portion

to be terminated. However, if NSF determines in the case of partial termination that the

reduced or modified portion of the NSF grant will not accomplish the purposes for which

the NSF grant was made, NSF may terminate the Federal grant in its entirety;

5. By NSF, pursuant to termination provisions included in the NSF grant; or

6. By NSF, when ordered by the Deputy Director under NSF’s Regulation on

Research Misconduct [45 CFR Part 689].

c. Normally, action by NSF to suspend or terminate a grant will be taken only after

the grantee has been informed by NSF of any deficiency on its part and given an

opportunity to correct it. NSF, however, may immediately suspend or terminate the grant

without notice when it believes such action is reasonable to protect the interests of the

Government.

d. No costs incurred during a suspension period or after the effective date of a

termination will be allowable, except those costs which, in the opinion of NSF, the grantee

could not reasonably avoid or eliminate, or which were otherwise authorized by the

suspension or termination notice, provided such costs would otherwise be allowable under

the terms of the grant and the governing cost principles.

e. Within 30 days of the termination date, the grantee will furnish a summary of

progress under the grant and an itemized accounting of costs incurred prior to the

termination date or pursuant to d, above. Final allowable costs under a termination

settlement shall be in accordance with the terms of the grant, including this article, and the

governing cost principles, giving due consideration to the progress under the grant. In no

event will the total of NSF payments under a terminated grant exceed the grant amount,

or the NSF pro rata share of the total project costs when cost sharing was anticipated,

whichever is less.

f. When an NSF grant is terminated or partially terminated, both NSF and the grantee

remain responsible for compliance with the requirements in 2 CFR §§200.344 and

200.345.

g. A notice of termination other than by mutual agreement and/or the final settlement

amount may be subject to review pursuant to Article 40.

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h. NSF will report grant terminations to the OMB-designated integrity and

performance system in accordance with Federal regulation, but only after the grantee has

had an opportunity to exhaust the review procedures contained in PAPPG Chapter XII.B.

See also Article 8.d for additional information on FAPIIS.

Article 40. Termination Review Procedure

a. A request for review of a notice of termination or settlement should be addressed

to the Division Director, Division of Grants and Agreements (DGA), National Science

Foundation, 2415 Eisenhower Avenue, Alexandria, VA, 22314. It must be postmarked no

later than 30 days after the date of the letter notifying the grantee of the termination or

settlement.

b. The request for review must contain a full statement of the grantee's position with

respect to the disputed matter and the facts and rationale that support the grantee’s

position.

c. Review of a notice of termination or settlement will be conducted in accordance

with PAPPG Chapter XII.B.3.

d. Pending resolution of the request for review, the notice of termination shall remain

in effect.

Article 41. Resolution of Conflicting Conditions

a. If the Research Terms and Conditions (RTCs) and NSF Agency Specific

Requirements to the Research Terms and Conditions are silent on a specific area covered

by 2 CFR §200, the requirements specified in 2 CFR §200 must be followed.

b. Should there be any inconsistency between the RTCs and NSF Agency Specific

Requirements, and the NSF Proposal and Award Policies and Procedures Guide, the

RTCs and NSF Agency Specific Requirements govern.

c. Should there be any inconsistency between any special condition(s) specified in

the award notice and RTCs and NSF Agency Specific Requirements, the special

conditions in the award notice shall govern.

d. Should there be any inconsistency between the RTCs and NSF Agency Specific

Requirements and any NSF solicitation cited or incorporated by reference in the award

notice, the matter should be referred to the cognizant NSF Grants and Agreements Officer

for guidance.

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Other Considerations

Article 42. Liability

NSF cannot assume any liability for accidents, bodily injury, illness, breach of contract,

any other damages or loss, or any claims arising out of any activities undertaken pursuant

to the grant, whether with respect to persons or property of the grantee or third parties.

The grantee is advised to insure or otherwise protect itself or others, as it may deem

desirable.

Article 43. Sharing of Findings, Data, and Other Research Products

a. NSF expects significant findings from research and education activities it supports

to be promptly submitted for publication, with authorship that accurately reflects the

contributions of those involved. It 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 the grantee to share software and inventions or otherwise act to make

the innovations they embody widely useful and usable.

b. 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 44. Government Permits and Activities Abroad

a. For grants that include activities requiring permits from appropriate Federal, state,

or local government authorities, the grantee should obtain any required permits prior to

undertaking the proposed activities.

b. The grantee must comply with the laws and regulations of any foreign country in

which research is to be conducted. Areas of potential concern include: (1) requirements

for advance approval to conduct research or surveys; (2) special arrangements for the

participation of foreign scientists and engineers; and (3) special visas for persons engaged

in research or studies. NSF does not assume responsibility for grantee compliance with

the laws and regulations of the country in which the work is to be conducted.

c. The grantee also should assure that activities carried on outside the U.S. are

coordinated as necessary with appropriate U.S. and foreign government authorities and

that necessary licenses, permits or approvals are obtained prior to undertaking the

proposed activities.