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provisions to inventions disclosed under awards which contain special patent clauses or were covered by an Institutional Patent Agreement with the Foundation.


$ 650.20 Delegation of authority.

The General Counsel is responsible for implementing this regulation and is authorized to make any exceptions to or extensions of the NSF Patent Policy as may be required by particular circumstances. The General Counsel will designate persons to serve as the NSF Intellectual Property Attorney and Patent Paralegal. Those individuals are authorized to carry out the functions assigned them by this regulation.

Sec. 660.1 Purpose. 660.2 Application of part. 660.3 Definitions. 660.4 Notification of intent (NOI) and con

sultation and review procedures. 660.5 State requirements. 660.6 Submission of SF 424 with proposals

under covered programs. 660.7 NSF consideration of clearinghouse

comments. 660.8 Notification to clearinghouses of

action taken-SF 424. 660.9 Supplemental reporting of award in

formation. AUTHORITY: Intergovernmental Cooperation Act of 1968 (Pub. L. 90-577); OMB Circular A-95 (Revised) appearing at 41 FR 2052; Treasury Circular 1082 (Revised) appearing at 40 FR 54378, with additional subsections appearing at 41 FR 2652; National Science Foundation Act of 1950, as amended, (Pub. L. 81-507) Sec. 11(a).

SOURCE: 41 FR 19644, May 13, 1976, unless otherwise noted.


The following format may be used for the confirmatory license to the Government required by subparagraph f(5) of the Patent Rights clause in $ 650.4(a). The form given in 41 CFR 1-9.105(b) or any equivalent instrument may also be used.

License to the United States Government

This instrument confirms to the United States Government, as represented by the National Science Foundation, an irrevocable, nonexclusive, nontransferable, royaltyfree license to practice or have practiced on its behalf throughout the orld the following subject invention: (invention title) (inventor(s) name[s]) (patent application number and filing date) (country, if other than United States) ((NSF Disclosure No.).

This subject invention was made with NSF support through: (grant or contract number) (grantee or contractor).

Principal rights to this subject invention have been left with the licensor. Signed:Name: Title: Date:Accepted on behalf of the Government: -

8 660.1 Purpose.

As required by paragraph 7 of OMB Circular A-95 (Revised) (hereinafter referred to as "A-95") this part prescribes the regulations of the National Science Foundation (hereinafter referred to as "NSF”) to implement the project notification and review system prescribed by Part I of A-95, including the use of Standard Form 424, Federal Assistance Preapplication, Application, Notification of Intent or Report of Federal Action (hereinafter referred to as “SF 424") in connection with proposals to NSF Programs subject to Part I requirements and for notification of action thereon. This part also describes NSF implementation of the supplemental reporting requirements of Treasury Circular 1082 (Revised) (hereinafter referred to as “TC 1082").

8 660.2 Application of part.

This part applies to (a) any agency of State or local government, any academic institution, or any other organization or individual, undertaking to submit a proposal to NSF for support

NSF Patent Paralegal Date:

of a project or major substantive (ii) specifies directly, or establishes by modification thereto under a Federal means of a formula, the amounts program covered by Part I of A-95, which may be paid or furnished to and (b) NSF employees involved in the States or political subdivisions, or the receipt, evaluation, or action taken on amounts to be allotted for use in each such proposals. Unless otherwise indi- of the States by the States, political cated, references to "A-95” used here subdivisions, or other beneficiaries. inafter mean Part I of that Circular as The term does not include payments revised.

under research and development con

tracts or grants which are awarded di8 660.3 Definitions.

rectly and on similar terms to all Terms used in this part will have the qualifying organizations, whether meanings indicated below. Where the public or private (Pub. L. 90-577, Sec. primary source of a term is Title I of 106). PL 90-577, Part V of A-95, or Para

(f) Federal assistance-programs graph 4 of TC 1082, that fact is indi- that provide assistance through grant cated parenthetically.

or contractual agreements. (Pub. L. (a) State-Any of the several States

90-577, Sec. 107) of the United States, the District of (g) Clearinghouse-includes: Columbia, Puerto Rico, any territory (1) State Clearinghouse-an agency or possession of the United States, or of the State Government designated any agency or instrumentality of a by the Governor or by State law to State, but does not include the govern carry out the requirements of Part I of ments of the political subdivision of A-95. the State. (Pub. L. 90-577, Sec. 102)

(2) Areawide Clearinghouse-(i) In (b) Local Government-a local unit nonmetropolitan areas, a comprehenof government, including specifically a sive planning agency designated by county, municipality, city, town, town the Governor (or Governors in the ship, or a school or other special dis case of regions extending into more trict political subdivisions of the State. than one State) or by State law to (Pub. L. 90-577, Sec. 103)

carry out requirements of A-95; or (c) Unit of general local govern (ii) In metropolitan areas, an ment-any city, county, town, parish, areawide agency that has been recogvillage, or other general purpose politi nized by the Office of Management cal subdivision of a State. (Pub. L. 90 and Budget as an appropriate agency 577, Sec. 104)

to perform review functions under A(d) Special-purpose unit of local gov 95. (A-95, V. 10) ernment-any special district, public (h) State central information receppurpose corporation, or other strictly tion agency (SCIRA)-the State limited-purpose political subdivision of agency which has been designated by a State, but shall not include a school the Governor, in consultation with the district. (Pub. L. 90-577, Sec. 105)

legislature, to serve as the central re(e) Grant-in-Aid-money, or proper ception point for Federal grant-in-aid ty provided in lieu of money, paid or information furnished under section furnished by the United States under 201 of the Intergovernmental Coopera fixed annual or aggregate authoriza- ation Act of 1968. (TC 1082, 4 F) tion

(i) Covered Program-Any NSF Pro(1) To a State; or

gram listed in Attachment D to A-95 (2) To a political subdivision of a or in Appendix I to the Catalog of FedState; or

eral Assistance, whichever is later. (3) To a beneficiary under a plan or (j) Project-A definitely formulated program, administered by a State or a research activity or other planned scipolitical subdivision of a State, which entific undertaking. Excludes internais subject to approval by a Federal tional travel grant activities. agency; if such authorization either (i) (k) Exempt Project-(1) A project requires the States or political subdivi. proposed for support under an NSF sions to expend non-Federal funds as a program not covered by A-95 (see also condition for the receipt of money or $ 660.5); or (2) A proposed project, for property from the United States; or support under a covered program,

[blocks in formation]

which is national in scope and would to the areawide clearinghouse(s) not impact on the development of the having jurisdiction. particular State, area, or locality in (d) Unless an applicable clearingwhich it is being conducted. (See house has prescribed some other form, § 660.4).

SF 424 (Attachment E to A-95) may be (1) Major Substantive Modification,

used as the NOI required by subpara(1) Any change in the nature or scope

graph 2a of that Circular, by compleof the project which might result in a

tion of Section I, Applicant/Recipient funding change, considered to be a

Data, as prescribed in “Applicant Pro“revision” for the purposes of SF 424;

cedures for Section 1.” The legal applior (2) Any proposal for renewed sup

cant/recipient described in item 4 of port of a project beyond the period

SF 424 should establish such internal contemplated in the original proposal, considered to be a "renewal” for the

control procedures as may be appro

priate to ensure that the NOI adepurposes of SF 424. (m) Proposal-An application for

quately describes a project which the NSF support of a project.

organization will conduct, if ultimately

approved. Item 2 may be used for this $ 660.4 Notification of intent (NOI) and purpose. Section 660.5(c), below, pro

consultation and review procedures. vides amplifying instructions for the (a) Any individual, organization, or

subsequent use of the same form as association planning to submit a pro

the face sheet for the proposal to a posal for NSF support of a project, or

covered NSF program. major substantive modification there

(e) The NOI should be sent at the to, which is not exempt from the pro earliest feasible time, to permit the visions of this part, must notify the clearinghouse(s) to perform the funcState clearinghouse of its intent. In tions prescribed in paragraph 3 of Athe event a national organization or 95. As indicated in subparagraph 4a of association intends to submit a propos A-95, clearinghouses normally have 30 al which it believes to be exempt days to coordinate the NOI with apunder § 660.3(k)(2), the prospective ap propriate State, multi-State, local, or plicant should consult with the appro regional governments or agencies, and priate NSF Program Officer prior to to furnish comments to the applicant. concluding that a notification of If the review is not completed during intent (NOI) is not required.

this period, subparagraph 4b of A-95 (b) Unless requested to do so by the

provides for a clearinghouse to assist clearinghouse in accordance with sub

the applicant, during the proposed paragraph 4 g of A-95, NSF grantees

preparation phase, in the resolution of or contractors need not send an NOI

any problems raised by the NOI. If the to the clearinghouse prior to submit

clearinghouse so requires, it may have ting a proposal either for supplemen

30 days to review the completed applital support of a project during the cur

cation. rently approved period of support,

(f) A clearinghouse may request inconsidered to be an “augmentation"

formation beyond that contained in for the purposes of SF 424, or for continued support of a project beyond the

the NOI. If the requested information current period of support if the proj

is required by NSF in its proposal subect was proposed and has been ap

mission guidelines, it, or the proposal proved for such longer period of sup

itself, should be furnished to the port and no major substantive modifi

clearinghouse. If the requested inforcation is contemplated, considered to mation is not so required, the applibe a "continuation” for the purposes cant is encouraged to supply it to the of SF 424.

clearinghouse if it is readily at hand (c) If the project has specific appli and will not entail any extra expendicability to or would affect local or tures of time or resources. In either areawide planning or programs, the event, the proposing institution or orgovernmental unit(s) where such ganization may omit confidential inimpact would occur shall be identified formation of the types described in and the notification also shall be sent subparagraph 4e of A-95.

8 660.5 State requirements.

(plus round trip mail time) have Subparagraph 8g of A-95 recognizes elapsed since the NOI was submitted that some States may have laws, ex

with no comments from the ecutive orders, or administrative regu

clearinghouse(s), the proposing instilations which require review of appli

tution or organization may prepare a cations for Federal assistance under

new SF 424, certifying that there has various programs not covered by A-95.

been no response. However, the State Proposing institutions or organizations

Application Identifier (SAI) must be are encouraged to ascertain the exist

shown. In either event, the completed ence of such State requirements and

SF 424 should be reproduced in suffito acquaint themselves with applicable

cient copies to be used in lieu of the State procedures. However, implemen proposal cover page traditionally retation of any such requirements is en quired by NSF. forced through State laws and regula- (c) The applicant procedures for Sections. Nothing in this regulation shall tions I and II of SF 424 are amplified be construed as an NSF requirement as follows for proposals for NSF supto extend the provisions of A-95 to port of projects under covered proany proposal for support of a project grams: not covered thereby nor to enforce the (1) Item 4, Legal Applicant Recipirules and regulations of any of the entseveral States concerning review of ap (i) Applicant Name-list the complications for Federal assistance.

monly used name of the institution or

organization which will provide the 8 660.6 Submission of SF 424 with propos facilities and logistic support for the als under covered programs.

proposed project. (Normally, this is (a) In accordance with subparagraph the employer of the principal investi4f of A-95, applicants for support gator or project director.) In the event under covered programs must submit the grant or contract should be awardto NSF, with the completed proposal,

ed to a different organization, check evidence that the consultation and item 21, and, in Section IV add: “4 i, review procedures have been followed Grantee” (or contractor, if appropriand, where comments or recommenda ate), and list the commonly used name tions have been made by or through of the organization to which the grant clearinghouses, to furnish them to (or contract) should be awarded, if the NSF.

project is approved for NSF support, (b) SF 424 provides a standardized and the address if different from that means of evidencing compliance with shown in (c) through (g). the consultation and review proce (ii) Organization Unit-for any produres and is the required face sheet posal, list the agency, department, or for proposals to covered programs. school, to which the principal investiProposing institutions or organizations gator or project director is assigned; if are encouraged to begin using that the proposal is from a branch or form as soon as feasible, but shall do campus of a statewide institution of so in connection with any proposals higher education, list such branch or submitted to covered programs on and campus. after April 29, 1976. If the State (iii) Address-list the mailing adclearinghouse has returned the SF 424 dress of the organizational unit in (b). used as the NOI, the same form (or re (iv) Contact Person- list the name, produced copies thereof) may be used title, and telephone number of the by the proposing institution or organi prospective principal investigator or zation to satisfy this requirement by project director, whose signature must (1) checking "application” in Section I, be added to the original of the SF 424 (2) completing Sections I and II in ac used as the face sheet for the original cordance with the applicant proce- proposal. Such signature signifies the dures prescribed on the form, as am- agreement of the signor to assume replified in (c) below, and (3) attaching sponsibility for the scientific or techto the signed original any written com- nical direction of the project if NSF ments received by or through agrees to support it and for the prepaclearinghouse(s). If more than 30 days ration of required technical reports.

(2) Item 6, Program-if the proposal it has legal authority to accept grants is in response to a Proposal Solicita- or contracts and the requisite policies, tion or Request for Proposals, check procedures, and personnel to ensure item 21, and in Section IV add: "6c., stewardship of Federal funds as outProgram Solicitation" (or Request for lined in the NSF Grant AdministraProposals) and indicate the number tion Manual." and date of the NSF document which "In the event that NSF agrees to solicited or requested the proposal. provide financial support of the proj(3) Item 7, Title and Description of

ect substantially as requested in the Applicant's Project-This project de

attached proposed budget or such scription is not a substitute for the sci

modifications thereof as may be mutuentific abstract required in NSF pro

ally agreed, I affirm that the applicant posals. It should be worded so as to

agency, institution, or organization assist the clearinghouse(s) in deter

will: mining which State or local govern

(i) Make available the necessary mental agency might be interested in

facilities, equipment, services, and perthe project, and to assist such agencies

sonnel to conduct the project substanin determining whether or not the

tially as outlined in the attached proproject might have a direct impact on their capacity building or other plan

posal or such modifications thereof as ning activities. It should indicate the

may be mutually agreed; basic project nature (e.g., basic or ap

(ii) Conduct such project oversight plied research, interchange of scientif

as may be appropriate, manage the ic information, etc.) and its objectives.

Federal funding with probity and pru(4) Item 11-Estimated Number of

dence, and comply with the terms and Persons Benefitting-unless the proj conditions of the NSF grant or conect is jurisdiction specific, and its ex tract; and pected results are anticipated to di (iii) Comply with applicable laws and rectly affect persons within that juris regulations." diction, indicate "N.A.” (not applica

"In submitting this proposal, I further ble).

affirm that the 'Assurance of Compliance (5) Item 13–Proposed Funding-In

with National Science Foundation Regulamost science projects supported by tions under Title VI of the Civil Rights Act NSF, the only cost-sharing require- of 1964,' previously executed, is fully appliment is that the grantee must share in cable to the project." the costs of a project, not solicited by

(d) In accordance with subparagraph NSF, in more than a token amount, as defined in the NSF Grant Administra

6(b) of A-95, any formal proposal for

support of a project under a covered tion Manual. Therefore, unless there are specific plans for significant fund

program, not accompanied by evidence ing commitments from the types of

of compliance with the consultation

and review procedures and an SAI agencies or organizations listed in b. through e., those entries should be

number, will be returned to the promarked "N.A.” (not applicable).

posing institution or organization for (6) Item 22 a, Applicant Certifica

compliance with such procedures. tion-In lieu of the assurances con

8 660.7 NSF consideration of clearingtained in Part V of Exhibit M-3 to FMC 74-7, the "attached assurances"

house comments. for NSF purposes are:

(a) The NSF Program Officer who “On behalf of the applicant agency, makes the staff evaluation of the proinstitution, or organization I certify posal will consider any comments subthat the project described above is mitted by or through clearinghouses. consistent with its policies and goals However, since the subject matter of and that submission of this proposal is clearinghouse comments and recomin accordance with its procedures and mendations, prescribed by paragraph 5 pursuant to appropriate authority. On of OMB Circular A-95, does not inbehalf of the organization designated volve the NSF criteria for the selecas the intended recipient of the re- tion of research projects (appearing at quested Federal funding, I certify that 39 FR 42954), copies of such clearing

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