(c) If a serial number cannot be determined by the procedures in paragraph (b) of this section, an appropriate number shall be obtained from the Office of University Affairs, Code PY, NASA Headquarters. (d) Identification prefixes and basic serial numbers shall be retained unchanged for the life of the instrument. For example, if it is desired to add step-funding to an existing grant with an NGR prefix, the existing grant must be phased out and a new stepfunded grant, bearing an NGL prefix, and serially numbered in accordance with paragraph (b)(3) of this section, issued as of the approximate date funds on the existing grant will be exhausted. In such event, closeout procedures for the old grant may consist simply of documentation in the file to the effect that all necessary reports for the project will be found under the new (step-funded) grant number. § 1260.307 Distribution of grants grant supplements. and Distribution of grants and grant supplements shall be made by the initiating office in accordance with its requirements, except that in all cases not less than two copies will be furnished to paying offices, one copy of which will support the payment file and be retained for audit purposes in accordance with § 1260.308. § 1260.308 Retention of grant documents for on-site audit. NASA's grants and grant supplements designated in § 1260.307 are subject to on-site audit by the General Accounting Office. The original or a signed copy of each document, with supporting data, shall be retained by the installation to be available to the General Accounting Office for audit purposes. Subpart D--Research Grant Provisions § 1260.400 General. The provisions set forth in this subpart shall be inserted in and made a part of all NASA research grants. § 1260.401 Technical reports and publications. TECHNICAL REPORTS AND PUBLICATIONS (a) Publication to accomplish widest practicable and appropriate dissemination of research results is encouraged at any time during the course of the investigation. Examples of appropriate media for such dissemination are the learned journals the proceedings of professional groups and NASA scientific and technical publications. NASA grantees may elect to publish the results of their work by whichever media they feel most appropriate. Publications and reports prepared under a grant should contain a statement which properly sets for NASA's responsibility for the material; unless otherwise specified this will consist of acknowledgement of NASA support and identification of the grant by number. (b) When results obtained under a grant are to be published in a technical journal, or in transactions or proceedings of a technical meeting three copies of a preprint or manuscript of each such publication shall be provided to NASA prior to submission for publication and three copies of a reprint shall be provided promptly after publication. Prior approval for publication is not required unless security classification is involved or the grant contains special conditions pertinent to publication of results. (c) Material submitted for publication by NASA in a formal NASA report series must comply with the highest practicable standards of excellence. It shall be provided initially in three draft copies. Upon agency review and approval, reproducible copy shall be submitted in the style and format specified by NASA. If the grantee wishes NASA to consider such publication, a specific request to this effect should accompany the draft copies. (d) Five copies of a brief, informal semiannual status report including a concise statement of the research accomplished during the report period shall be submitted. This is a minimum requirement and grantees are urged to submit interim reports (or to publish in the open literature) whenever the research has reached a point where it is logical to summarize the results, a research phase has been completed, or whenever significant new findings are made (see paragraph 204(a)(v) of the NASA Grant Handbook). (e) Upon completion of the research, the grantee shall submit five copies of a final technical report which summarizes the results of the entire project. (f) The status and final reports must be identified as such and may consist in whole or in part of references to and abstracts of published material resulting from the grant. All reports, including preprints, reprints, manuscripts and repro copy, shall be submitted to: NASA Scientific and Technical Information Facility Post Office Box 33 College Park, MD 20740 § 1260.402 Extension of grants. EXTENSION OF GRANTS (a) It is NASA policy to provide maximum possible continuity in the funding of grantsupported research, and grants may be extended for additional periods of time. Any extension requiring additional funding must be supported by an unsolicited proposal submitted at least 4 months in advance of the expiration date of the grant. The period of performance shown in the grant document is approximate, but extension for more than 30 days must be requested by application to the Grants Officer and approved in writing. (b) When a grant is step funded, NASA will, if circumstances permit, make available additional funding to extend the period for an additional year preserving a similar pattern of step funding. This step funding is based on unsolicited proposals received prior to the completion of each year of full support. NASA shall be the sole judge of whether circumstances will permit this increase. This statement of policy should not be taken as a commitment by NASA. (c) Unsolicited proposals referenced in this section will be submitted to: National Aeronautics and Space Administration Proposal Control Officer Office of University Affairs (Code PY) § 1260.403 Revocation. REVOCATION It is a condition of each grant that it may be revoked in whole or in part by NASA after consultation with the Grantee. In the event of revocation, the Grantee shall refund to NASA any unexpended funds that it has received under the grant, except such portion thereof as may be required by the Grantee to meet commitments which had in the judgment of NASA become firm prior to the effective date of revocation and are otherwise appropriate. § 1260.404 Travel. TRAVEL (a) Domestic travel is an appropriate charge to research grants and NASA authorization for specific trips is not required. Expenditures for domestic travel shall not exceed $500 or 125 percent of the amount allotted for such travel in the approved proposal budget, whichever is greater, without the prior authorization of the NASA Grants Officer. (b) Foreign travel (any travel outside of Canada and the United States, its territories and possessions and Puerto Rico) must be clearly essential to the research effort and must, to be charged against a grant, have the prior approval of the NASA Grants Officer regardless of its inclusion in the approved proposal budget. § 1260.405 Allowable costs. ALLOWABLE COSTS NASA Grant Handbook, Exhibit B, is the basic guidance document in determining the allowability of costs chargeable to research sponsored by NASA under grants. § 1260.406 Accounting records. ACCOUNTING RECORDS (a) The Grantee shall maintain books and accounting records, in accordance with the principles enunciated in Exhibit B of the NASA Grant Handbook, in a manner sufficient to reflect properly all direct and indirect costs incurred or anticipated as a result of commitments made during the period of the grant. (b) All accounting records relating to costs under NASA grants are subject to inspection and audit by representatives of NASA and the General Accounting Office during the period of performance and for 3 years thereafter. § 1260.407 Payment. PAYMENT (a) NASA Form 1031, "Grantee Quarterly Cash Requirement Report" shall be submitted quarterly. Funds are made available on the basis of the quarterly estimates shown on the Form 1031, either by Treasury Department check or under the Treasury Department Letter of Credit System. (b) Funds received by the Grantee and not committed prior to the conclusion of the research or within 30 days next following the terminal date of the grant shall be considered excess payments and shall be refunded by check made payable to the National Aeronautics and Space Administration or in accordance with instructions provided by the NASA Grants Officer. § 1260.408 Equipment. EQUIPMENT (a) NASA research grants permit acquisition of technical equipment required for the conduct of research. The Grantee shall maintain property records for equipment with an acquisition cost in excess of $1,000, in accordance with generally accepted property accounting procedures. Acquisition of equipment costing in excess of $1,000 and not included in the approved proposal budget requires the prior approval of the NASA Grants Officer unless such equipment is merely a different model of an item shown in the approved proposal budget. Total expenditures for permanent equipment (property items costing $200 or more with an expected service life of 1 year or more) shall not exceed 125 percent of the amount allotted for such items in the approved proposal budget without prior authorization from the NASA Grants Officer. (b) NASA grant funds shall not be used to purchase general purpose equipment such as furniture, furnishings, office equipment or other items of a nontechnical nature; exceptions to this require prior approval of the NASA Grants Officer and must be fully justified as essential to the research under the grant. (c) Title to equipment purchased with grant funds shall vest in the Grantee unless otherwise provided. The Government reserves the right to require transfer to the Government, or to a third party named by the Government, of title to items purchased at a cost in excess of $1,000. This right may be exercised at any time, but no later than 180 days after receipt of the final equipment inventory report. Any charges for packing, crating and shipping which may be involved in such transfers will be at the expense of the Government. (d) Title to Government-furnished equipment (including excess personal property) will remain with the Government. Such property will be maintained in accordance with NASA Grant Handbook, Exhibit C. Semiannual reports, "Analysis of Government-Owned/ Contractor-Held Property Other Than Space Hardware" (NASA Form 1018), will be prepared by the Grantee for such property in accordance with Paragraph C311 of Exhibit C, and with NASA Handbook, "Financial Reporting for Government-Owned/Contractor-Held Property and Space Hardware" (NHB 9500.2). Such reports shall be submitted within 10 workdays following the end of each report period. The Grantee shall insert the reporting requirements of this clause in all first tier subcontracts involving Government-furnished equipment, except that such requirements shall provide for the submission of subcontractor reports directly to the Grantee, in sufficient time to meet the aforementioned reporting dates. The Grantee's semiannual report shall consist of a consolidation of the subcontractors' reports and its own report. (e) Final equipment inventory reports, covering purchased items in excess of $1,000 and Government-furnished equipment, will be forwarded to the NASA Grants Officer within 30 days following the terminal date of the grant. § 1260.409 Property rights in inventions. PROPERTY RIGHTS IN INVENTIONS (a) This grant and all subcontracts issued thereunder are subject to Section 305 of the National Aeronautics and Space Act of 1958 (42 U.S.C. 2457) relating to property rights in inventions. The term "invention" includes any invention, discovery, improvement, or innovation. Any invention made in the performance of work under this grant or any subcontract issued thereunder shall be presumed to have been made under the conditions of and subject to Section 305(a) of the Act and becomes the exclusive property of the United States subject, however, to the retention by the Grantee or subcontractor of a royalty free license to practice the invention pursuant to, and of the scope defined in, 14 CFR 1245.204(a). This license may be revoked under the conditions set forth in 14 CFR 1245.211 (b) and (c). The Grantee or applicable subcontractor may petition for waiver of title to the invention in accordance with the NASA Patent Waiver Regulations (14 CFR Part 1245, Subpart 1). (b) The Grantee shall furnish to NASA a written report containing full and complete technical information concerning any invention made in the performance of any work under this grant promptly upon the making of such invention and shall require all subcontractors to do so. Upon written request by NASA, the Grantee shall furnish additional information available to him, and shall secure the execution of such documents as may be necessary to enable the Administrator, NASA, to file and prosecute patent applications on any such invention. Upon completion of the work under this grant, the Grantee shall furnish to NASA a report as to whether or not any inventions of the type referred to herein have been made in the performance of such work. § 1260.410 Rights in data. RIGHTS IN DATA The Grantee grants to the Government, for governmental purposes, the right to publish translate, reproduce, deliver, use and dispose of, and to authorize others to to so, all data, including reports, drawings, blueprints, and technical information resulting from the performance of work under this grant. § 1260.411 Security SECURITY Normally, NASA research grants do not involve classified defense information. However, if information is sought or developed by the Grantee that should be classified in the interests of national security, the NASA Grants Officer that issued the grant shall be notified immediately. § 1260.412 Civil rights. CIVIL RIGHTS Work on NASA grants is subject to the provisions of the Civil Rights Act of 1964, and the NASA implementing regulations (14 CFR Part 1250). § 1260.413 Safety. SAFETY (a) The Grantee shall act responsibly in matters of safety and shall take all reasonable safety measures in performing under this grant. The Grantee shall comply with all applicable Federal, State, and local laws relating to safety. The Grantee shall maintain a record of, and will notify the NASA Grants Officer of any accident involving death, disabling injury or substantial loss of property. The Grantee will advise NASA of hazards that come to its attention as the result of the work under the grant; reporting thereon through routine status reports furnished in compliance with the grant. (b) Where the work under this grant involves flight hardware, the hazardous aspects, if any, of such hardware will be identified, in writing, by the Grantee. Compliance with the provisions of this clause by subcontractors shall be the responsibility of the Grantee. § 1260.414 Subcontracts. SUBCONTRACTS Approval of subcontracts for the purchase of equipment under this research grant shall be obtained in accordance with the provision herein entitled "Equipment." All other subcontracts not provided for in the approved proposal budget require the prior consent of the Grants Officer. § 1260.415 Changes in principal investigator or technical objectives. CHANGES IN PRINCIPAL INVESTIGATOR OR (a) The Grantee shall be permitted to change the methods and procedures employed in performing the research without the need to make special reports on proposed actions or obtain NASA approval. Sig nificant changes in methods or procedures shall be reported to NASA in status reports and final technical reports. However, in the event the methodology or experiment is proposed as a specific stated objective of the research work, this shall be reflected in the grant title. (b) The stated objectives of the research effort shall not be changed, except with the approval of the NASA Grants Officer. (c) The phenomenon or phenomena under study, i.e., the broad category of research, shall not be changed except with the prior approval of the NASA Grants Officer. (d) The Grantee shall obtain the approval of the NASA Grants Officer to change the principal investigator, or to continue the research work during a continuous period in excess of 3 months without the participation of an approved principal investigator. (e) The Grantee shall consult with the NASA Grants Officer if the principal investigator plans to, or becomes aware that he will, devote substantially less effort to the work than anticipated in the approved proposal. If NASA determines that the reduction of effort would be so substantial as to impair the successful prosecution of the research, it may request a change of principal investigator or other appropriate modification of the grant, or may revoke the grant as provided herein. (f) In projects which involve coprincipal investigators or otherwise include more than one key person who may be considered essential to the conduct of the proposed research project, the foregoing provisions similarly apply to each such key person. In such event, the grant instrument shall identify the individual(s) to whom the provisions apply. (a) NASA assumes that, once a grant is made, the principal investigator, operating within the policies of the grantee institution, is in the best position to determine the means by which the research may be conducted most effectively. NASA wishes to avoid any action that might diminish the responsibility of the grantee and the investigator for making sound scientific and administrative judgments. Grantees and investigators are encouraged to seek the advice and opinions of NASA on problems that may arise. Unless otherwise stated, the giving of such advice should not imply that the responsibility for final decisions has shifted to NASA. The primary concern of NASA is that granted funds be used in a manner that will make a maximum contribution to the scientific area under investigation. It is expected that grantees and investigators will also direct their efforts to this end. (b) The grantee shall be permitted to change the methods and procedures employed in performing the research without the need to make special reports on proposed actions or obtain NASA approval. Significant changes in methods or procedures shall be reported to NASA in status reports and final technical reports. In the event the methodology or experiment is proposed as a specific stated objective of the research work, this shall be reflected in the grant title. (c) The stated objectives of the research effort shall not be changed, except with the approval of the NASA Grants Officer. (d) The phenomenon or phenomena under study, i.e., the broad category of research, shall not be changed except with the prior approval of the NASA Grants Officer. (e) The grantee shall obtain the approval of the NASA Grants Officer to change the principal investigator, or to continue the research work during a continuous period in excess of 3 months without the participation of an approved principal investigator. (f) The grantee shall consult with the NASA Grants Officer if the principal investigator plans to, or becomes aware that he will, devote substantially less effort to the work than anticipated in the approved proposal. If NASA determines that the reduction of effort would be so substantial as to impair the successful prosecution of the research, it may request a change of principal investigator or other appropriate modification of the grant, or may revoke the grant as provided in § 1260.507. (g) In projects which involve coprincipal investigators or otherwise include more than one key person who may be considered essential to the conduct of the proposed research project, the provisions of paragraphs (e) and (f) of this section similarly apply to each such key person. In such event, the grant instrument shall iden tify the individual(s) to whom the provisions apply. § 1260.502 Grant instrument. A NASA grant is consummated by an instrument signed by the Administrator, NASA, or his duly authorized representative. This instrument will contain the provisions set forth in Subpart D of this part. The simplicity of the NASA grant instrument does not preclude the possibility of collateral understandings and informal agreements which may, in special instances, accompany the formal grant or accumulate, as the occasion demands, during the life of the grant. § 1260.503 Grant period. (a) Normally, NASA grants are made for periods up to 3 years. As stated in the grant instrument, the period is approximate; the beginning and ending dates are not specified with precision. The grant period begins approximately on the date of the grant and extends for approximately the length of time specified. However, when progress of research under the grant is delayed and circumstances make it necessary to request an extension of the grant period without additional funds, the policy of NASA is to permit extensions in time, upon written request. (b) When it appears that the research contemplated will be completed within 30 days after the approximate ending date, a request for extension of the grant period will be unnecessary. If it appears, however, that the additional time required for completion of the research will exceed 30 days, a request for extension must be made by the grantee. Any extension requiring additional funding must be supported by an unsolicited proposal and submitted at least 4 months in advance of the expiration date of the grant. § 1260.504 Grant payments. Payments will be made in a lumpsum payment in advance or on a periodic basis, depending on the relative size of the total grant and the estimated timing of financial requirements. Periodic payments will be made on the basis of NASA Form 1031, "Grantee Quarterly Cash Requirement Report" submitted by the grantee and pay |