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amended (42 U.S.C. 1857 et seq. as amended 8 1260.420 Special conditions. by Pub. L. 91-604) and section 308 of the
(a) In addition to the general proviFederal Water Pollution Control Act, as amended (33 U.S.C. 1251 et seq. as amended
sions set forth in this Subpart, NASA by Pub. L. 92-500) relating to inspection, grants and cooperative agreements are monitoring, entry, reports and information, subject to various conditions which and all other requirements specified in the either are not applicable to all awards aforementioned sections, as well as all regu or are temporary in nature. Such conlations and guidelines issued thereunder ditions are not printed in NASA Form after award of and applicable to the grant; 1463A, “NASA Provisions for Research and
Grants and Cooperative Agreements” (c) Agrees to include the criteria and re
(Exhibit D), but are appended to spequirements of this clause in every subgrant
cific grants, as applicable, in the or subcontract hereunder in excess of
format set forth in § 1260.302. $100,000, and to take such action as the Grants Officer may direct to enforce such
(b) The following special conditions criteria and requirements.
clauses are authorized under the con
ditions set forth in the prescribing sec8 1260.418 Procurement standards.
tions. PROCUREMENT STANDARDS (JANUARY 1981)
INVENTION REPORTING AND
RIGHTS-FOREIGN prescribed at The Grantee's procurement practices § 1260.209(b). shall meet the standards set forth in para
COST SHARING, prescribed at graph 512 of the NASA Grant and Coopera
$ 1260.304(3)(b). tive Agreement Handbook.
CONTINUING AWARD, prescribed at 8 1260.419 Additional provision for coop
STEP FUNDING, prescribed at erative agreements.
$ 1260.305(c)(2). With respect to cooperative agree- REPORTS SUBSTITUTION, prescribed at ments under Pub. L. 97-258, it has
$ 1260.605(a). been determined that the NASA
PROGRAM INCOME, prescribed at guidelines and regulations applicable
$ 1260.310. to grants will apply to cooperative (c) All clauses inserted as “Special agreements. The Cooperative Agree. Conditions" shall be written out in ments, NASA Form 1562 (see Exhibit full. Clauses shall not be incorporated C), shall contain a special provision by reference. stating the nature of the recipient) (d) Contemplated special conditions NASA interaction in accordance with clauses which are not included in, or Pub. L. 97-258. That special provision which differ in language from, the is as follows:
clauses referenced in paragraphs (b),
(e), and (f) of this section, shall be COOPERATIVE AGREEMENT SPECIAL PROVISION considered as deviations and processed (OCTOBER 1983)
in accordance with $ 1260.106. (a) This award is a Cooperative Agree (e) The following provision shall be ment as it is anticipated that there will be appended to all grants and cooperative substantial NASA involvement during per agreements as a special condition, formance of the effort. That is, the recipi pending its inclusion in NASA Form ent can expect NASA collaboration or par. 1463 A. NASA Provisions for Research ticipation in the management of the project.
Grants and Contracts: (b) NASA and the recipient mutually agree to the following statement of antici INTEREST BEARING ACCOUNTS (APRIL 1987) pated cooperative interactions which may
Advances of Federal funds shall be mainoccur during the performance of this effort.
tained in interest bearing accounts. Interest (Insert here a concise statement of the
earned on Federal advances deposited in exact nature of the cooperative interactions. such accounts shall be remitted to NASA (See § 1260.203(b) for guidance). In addition, promptly, but at least quarterly, as instructnote that the statement must deal with ex; ed by the Financial Management Office of isting facts and not contingencies. Under no the NASA installation which issued the circumstances shall the statement be used grant. Interest amounts up to $100 per year as a work statement or an expanded grant may be retained by the recipient for admintitle.)
(f)(1) The following provision shall be appended to all grants and cooperative agreements as a Special Condi. tion.
(2) The grants officer is authorized to, and shall, upon request of an awardee institution, issue a letter agreement making the special condi. tion immediately applicable to all current grants and cooperative agreements at that institution.
(3) Grantees are hereby offered the opportunity to substitute the final (February 1989) version of the Special Condition “Elimination of Unnecessary Administrative Burden" in all grants for which the interim (July 1988) version is in effect. The first grantee action in accordance with the final version will constitute grantee acceptance of the final version.
(4) Paragraphs (f) (1) and (2) of this section are valid only through December 31, 1989, and the procedures therein shall not be used after that time.
ELIMINATION OF UNNECESSARY ADMINISTRATIVE BURDEN (FEBRUARY 1989)
The following special terms take precedence over NASA Form 1463A, Provisions for Research Grants and Cooperative Agreements and any other requirements in the Grant and Cooperative Agreement Handbook, NHB 5800.1 (14 CFR Part 1260).
(a) Prior approvals (1) General
Cost related and administrative “prior approvals” required by OMB Circulars A-110 and A-21 are hereby waived, except for change in scope or objective and change in principal investigator. Subcontracting approvals are waived except for subcontracting or transferring substantive aspects of the research, if not provided for in the proposal. Other approvals and terms specifically required by the grant still apply, unless waived or modified elsewhere in this Special Condition. The grantee may maintain such internal prior approval systems as it considers necessary. (2) Travel
The prior authorization requirement in NASA Form 1463A regarding domestic travel expenditures is waived. The costs of foreign travel are allowable charges to the grant provided that the travel is clearly essential to the research effort. Foreign travel to communist areas, foreign travel involving studies of foreign countries, per se, or foreign travel requiring special permits or licenses still requires prior approval by the
NASA Grants Officer, unless the travel has been described in an accepted proposal. (3) Equipment and Other Property
The prior approval requirement for acquiring property not included in the proposed budget is raised to $5,000. For approval purposes, an item of a "nontechnical nature" may be regarded as “technical property " if it is primarily used in and is essential to the actual conduct of the research.
(b) Preaward costs. Grantees may approve preaward costs of up to ninety (90) days prior to the effective date of a new award, provided the costs are necessary for the effective and economical conduct of the project and they are otherwise allowable under the terms of the grant. Any preaward expenditures are made at the grantee's risk. Approval by the grantee does not impose any obligations on NASA in the absence of appropriations, if an award is not subsequently made, or if an award is made for a lesser amount than the grantee anticipated.
(c) No cost extensions. Grantees may extend the expiration date of a grant or a supplement thereto if additional time beyond the established expiration date is required to assure adequate completion of the original scope of work within the funds already made available. A single extension, which shall not exceed twelve (12) months, may be made for this purpose, and must be made prior to the expiration date. The grantee must notify the grants officer in writing within 10 days of the extension. Absent timely notification, the prior approval requirement (Form 1463A) shall apply.
(d) Unobligated balances. Any unobligated balance of funds which remains at the end of any funding period, except the final funding period of the project, shall be carried over to the next funding period, and may be used to defray costs of any funding period of the project. If uncommitted carryover funds are likely to be substantial, the estimated amount shall be included in any continuation proposal.
(g) Effective October 1, 1988, the following provision shall be appended, as a special condition, to all grants and cooperative agreements entered into after that date (pending its inclusion in NASA Form 1463A, Provisions for Research Grants and Cooperative Agreements):
DEBARMENT AND SUSPENSION (OCT 1988) NASA grants and cooperative agreements, except for those to foreign institutions, are subject to the provisions of 14 CFR Part 1265, Governmentwide Debarment and Suspension (Nonprocurement). The certification required by that regulation must also accompany extension proposals.
(h) The following provision shall be is expected that significant changes in appended, as a special condition, to all methods or procedures will be disgrants and cooperative agreements cussed in the status or technical re(pending revisions to $ 1260.409 and ports. NASA Form 1463A, Provisions for Re (b) The grantee shall obtain the apsearch Grants and Cooperative Agree proval of the NASA grants officer to ments):
change the principal investigator or to PATENT RIGHTS—CORRECT CITATIONS (JUNE
continue the research work during a 1989)
continuous period in excess of 3
months without the participation of In the NASA Provisions for Research Grants and Cooperative Agreements (NASA
an approved principal investigator. Form 1463A), the correct statutory citations in the “Patent Rights Retention by Grant
8 1260.502 Instrument. ee” provision are “Chapter 18 Title 35,
A NASA grant or cooperative agreeUnited States Code (Pub. L. 95-517, Pub. L. 98-620).”
ment is consummated by an instru
ment signed by the NASA Administra(51 FR 2626, Jan. 17, 1986, as amended at 52
tor, or duly authorized representative, FR 12378, Apr. 16, 1987; 53 FR 29328, Aug. 4, 1988; 53 FR 38286, Sept. 30, 1988; 54 FR
and contains the provisions set forth 9427, Mar. 7, 1989; 54 FR 43052, Oct. 20,
in Subpart 4 of this part. 1989)
8 1260.503 Instrument period. Subpart 5-Administration of Re (a) Normally, NASA grants and co
search Grants and Cooperative operative agreements are made or exAgreements
tended for periods of 1 to 3 years at a
time. Longer periods may be appropri8 1260.501 General.
ate in some instances, provided step (a) NASA assumes that, once a grant
continuing or cooperative agreement is made, the
(8 1260.305(b)) or full funding is used. principal investigator, operating
Any other arrangements in which within the policies of the grantee insti
there is not at least partial funding tution, is in the best position to deter
throughout the period of performance mine the means by which the research
are prohibited. Short periods should may be conducted most effectively. be avoided as noted in g 1260.305(d)(1). The term "grantee” refers to recipi.
As stated in the instrument, the ents of both grants and cooperative period is approximate; the beginning agreements. NASA wishes to avoid any and ending dates are not specified action that might diminish the respon with precision. The instrument period sibility of the grantee and the investi begins approximately on the date gator for making sound scientific and thereof and extends for approximately administrative judgments. Grantees
the length of time specified. However, and investigators are encouraged to when progress of research under the seek the advice and opinions of NASA grant or cooperative agreement is deon problems that may arise. Unless layed and circumstances make it necotherwise stated, the giving of such essary to request an extension of the advice should not imply that the re- period without additional funds, the sponsibility for final decisions has policy of NASA is to permit extensions shifted to NASA. The primary concern in time, upon written request. of NASA is that granted funds be used (b) When it appears that the rein a manner that will make a maxi- search contemplated will be completed mum contribution to the scientific within 30 days after the approximate area under investigation. It is expected ending date, a request for extension of that grantees and investigators will the instrument period will be unnecesalso direct their efforts to this end. sary. If it appears, however, that the Therefore, the grantee may change additional time required for complethe methods and procedures employed tion of the research will exceed 30 in performing the research as scientif- days, a request for extension must be ic judgment dictates without the need made by the grantee. Any extension to obtain NASA approval. However, it requiring additional funding must be
supported by an unsolicited proposal 81260.505 Use, disposition, and vesting of and submitted at least 4 months in ad title to research equipment. vance of the expiration date of the (a) Background. w Support of re. grant or cooperative agreement.
search in educational institutions pro
vides substantial long-term and indi8 1260.504 Adherence to original budget
rect benefits, as well as the immediate estimates.
research results. In addition to the ob(a) NASA believes that the principal vious academic advantages of such investigator, operating within the es- support, individual and institutional tablished policies of the grantee, is the capabilities to perform relevant reindividual best qualified to determine search are enhanced, and the number the manner in which the grant or co- of scientists and graduates with reoperative agreement funds may be search interests in areas of concern to used most effectively to accomplish the nation generally, and to NASA in the proposed research. Although
particular, is increased. Adequate NASA assumes no responsibility for
modern research equipment in univeroverspent budgets, the investigator
sities serves to maximize these direct and the grantee institution are free to
and supplemental benefits. spend grant or cooperative agreements
(2) NASA funds research in academfunds for the proposed research with
ic areas in which the university has, out strict adherence to individual allo
and expects to maintain, a capacity for
research and education. The research cations within total budgets, except as provided in 8$ 1260.404 and 1260.408.
equipment that it acquires has, thereUnder no circumstances, however, may
fore, an especially high potential for
continuing effective use at the acquirgrant or cooperative agreements funds
ing institution. The legitimate interest be used to acquire land or any interest
of both NASA and the university, as therein, to acquire or construct facili
well as the long-term national interest, ties or to procure passenger carrying require that any decision by the vehicles. Purchase of furniture, fur
agency to take title for the purpose of nishings, office equipment, or other
transferring grantee equipment to anitems of a nontechnical nature require
other location reflect careful considerthe prior approval of the NASA grants
ation of all relevant factors. This officer as provided in $ 1260.408.
should include comparison of the ex(b) Controls and limitations on ex pected beneficial use at the present lopenditures for specific items under cation with that expected at the new NASA grants or cooperative agree location possible deleterious effects of ments shall be in accordance with the removal, and the administrative and provisions of g 1260.405.
relocation costs involved. (c) If any of the actions requiring (b) Policy. The following policies will approval in accordance with & 1260.405 be reflected, as appropriate, in the neof this part have received specific gotiation and the documentation of NASA approval during the proposal NASA research grants, cooperative and award process, a further approval agreements and supplements thereto shall not be required. Whenever prac- ana in relatea correspo
and in related correspondence. tical, the approvals shall be given at
(1) Title to equipment purchased the time of the project award or ex with grant and cooperative agreement tension to avoid any delays during the
funds vests in the grantee institution, course of the project.
and the equipment does not automati(d) Approval requirements relating
cally follow the principal investigator to expenditures under grants and co
when he or she leaves the institution.
Title to Government-furnished equipoperative agreements, in addition to
ment remains with the Government. those provided for in § 1260.405, shall
In accordance with Pub. L. 94-519, not be imposed except in accordance
NASA policy is not to furnish acquired with the deviation procedure of
excess property to grantees as NASA $ 1260.106 or as specifically required would in such event have to pay 25% by statute.
of the original acquisition cost of the
equipment to the Treasury. In the event application of this policy proves to be extremely disadvantageous to NASA in a specific situation, a devi. ation may be requested (8 1260.106). When Government-furnished equipment is reported excess by a grantee, the grants officer will report the equipment to the installation property disposal officer for further NASA use. If NASA has no further need for the property, it shall be declared excess and reported to the General Services Administration. Appropriate disposition instructions will be issued to the recipient after completion of the Federal-wide review.
(2) NASA may require transfer to it of title to individual items on coherent systems (paragraph (b)(8) of this section) of major grantee acquired equipment purchased at a cost of more than $1,000 subject to the following conditons:
(i) The equipment shall be appropriately identified to the recipient in writing.
(ii) NASA shall issue disposition instruction within 120 calendar days after the end of the Federal support of the project for which it was acquired. If NASA fails to issue disposition instructions within the 120 calendar day period, the grantee shall apply the standards of subparagraphs 6b and 6c, Attachment N to OMB Circular A-110, as appropriate.
(iii) When NASA exercises its right to take title, the equipment shall be subject to the provisions for federallyowned nonexpendable property discussed in § 1260.408, paragraph (f) of the clause.
(iv) When title is transferred to the Federal Government, the provisions of subparagraph 60(2)(b), Attachment N to OMB Circular A-110, shall be fol. lowed.
(3) Title to minor equipment items (costing individually $1,000 or less) is not subject to transfer to the agency, except under the conditions of paragraph (b)(8) of this section.
(4) NASA procedures does not require a grantee to transfer title to grant or cooperative agreement-acquired equipment directly to another actual or potential grantee or contractor. Such transfers are accomplished
by the Government's taking title and issuing the equipment to the second institution as Government-furnished equipment.
(5) NASA normally will not recover equipment that a grantee desires to retain for reissuance to another insti. tution tution or to
or to a NASA installation, unless it is specifically required for NASA work at the new location. Exceptions will be made only in highly unusual situations where title transfer is clearly in the best interest of the Government.
(6) Cost sharing by NASA and a grantee in the acquisition of individual items or coherent systems (paragraph (b)(8) of this section) of equipment, in response to a statutory requirement for cost-sharing or in any way that could result in joint ownership, shall normally be avoided.
(7) When cost sharing by NASA and a grantee in the acquisition of major equipment items or coherent systems cannot be avoided, and the NASA contribution will exceed $1,000, agreement regarding NASA retention of its option to take title and the conditions under which the option (if retained) will be exercised, shall be reached and documented prior to purchase. NASA shall have no option to take title if its contribution is $1,000 or less.
(8) When two or more components are fabricated into a single coherent system in such a way that the components lose their separate identities and their separation would render the system useless for its original purpose, the components will be considered as integral parts of a single system. If such a system includes grantee-owned components (for cost sharing or other purposes), paragraph (b)(7) of this section applies. The requirement that NASA seek agreement to retain its option to take title shall further apply where it is expected that one or more grant-acquired components costing $1,000 or less will be fabricated into a single coherent system costing in excess of $1,000. However, an item that is used ancillary to a system, without loss of its separate identity and usefulness, will be considered as a separate item and not as an integral component of the system.