NASA Grants and Cooperative Agreements

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Federal Register › Vol. 64 › 64 FR 50334

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Part II

National Aeronautics and Space Administration

_______________________________________________________________________

14 CFR Parts 1260 and 1274

NASA Grants and Cooperative Agreements; Proposed Rule

Proposed Rules

NATIONAL AERONAUTICS AND SPACE ADMINISTRATION

14 CFR Parts 1260 and 1274

NASA Grants and Cooperative Agreements

AGENCY: National Aeronautics and Space Administration (NASA).

ACTION: Proposed rule.

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SUMMARY: This proposed rule revises NASA's grant and cooperative

agreement regulations in order to clarify and amplify administrative

requirements. Revisions have been made to reduce administrative

requirements on grant and cooperative agreement recipients and ensure

that uniform policies are followed by NASA centers.

DATES: Comments should be submitted on or before November 15, 1999.

ADDRESSES: Interested parties should submit written comments to Jeff

Lupis, NASA Headquarters, Office of Procurement, Analysis Division

(Code HC), Washington, DC 20546. Comments may also be submitted by e-

mail to [email protected].

FOR FURTHER INFORMATION CONTACT: Jeff Lupis, NASA Headquarters, Code

HC, Washington, DC 20546, telephone: (202) 358-0462; e-mail:

[email protected].

SUPPLEMENTARY INFORMATION:

A. Background

A comprehensive revision is being made to NASA grant and

cooperative agreement policy codified at 14 CFR 1260, Grants and

Cooperative Agreements, and 14 CFR 1274, Grants and Cooperative

Agreements with Commercial Firms. The revision has been initiated by

NASA as part of re-engineering the process for awarding and

administering grants and cooperative agreements. Changes are chiefly

aimed at reducing paperwork requirements or clarifying pre-established

policies

agreement policy codified at 14 CFR 1260, Grants and

Cooperative Agreements, and 14 CFR 1274, Grants and Cooperative

Agreements with Commercial Firms. The revision has been initiated by

NASA as part of re-engineering the process for awarding and

administering grants and cooperative agreements. Changes are chiefly

aimed at reducing paperwork requirements or clarifying pre-established

policies. Three new policies being adopted by NASA relating to titling

of equipment, awarding grants to commercial organizations, and vendor

registration in the DoD Central Contractor Registration (CCR) System

are policies already in use by other agencies. A synopsis of some of

the more significant changes being adopted under this revision are:

incorporation of a standard grant and cooperative agreement cover page;

a new grant numbering system; expanded guidance on appropriate use of

grant awards; clarification on participation by foreign organizations;

reduction in the lead time goal for awarding grants; streamlined grant

award documentation; clarification of grant administration

responsibilities; a new policy allowing the award of grants to

commercial firms; a new policy that (except for exceptional

circumstances) vests title to acquired equipment with the grant

recipient as ``exempt'' property, and a new policy requiring CCR

registration prior to award of a grant or cooperative agreement.

B. Regulatory Flexibility Act

entation; clarification of grant administration

responsibilities; a new policy allowing the award of grants to

commercial firms; a new policy that (except for exceptional

circumstances) vests title to acquired equipment with the grant

recipient as ``exempt'' property, and a new policy requiring CCR

registration prior to award of a grant or cooperative agreement.

B. Regulatory Flexibility Act

An initial Regulatory Flexibility Analysis has not been prepared

because the proposed changes are not expected to have a significant

economic impact on a substantial number of small entities within the

meaning of the Regulatory Flexibility Act, 5 U.S.C. 601 et seq. The

revisions made under this proposed rule are largely limited to

administrative changes to the grant and cooperative agreement award and

administration process, other changes (e.g. vesting of title to

property to grant recipients) will not have a significant economic

impact. Also, an estimated two thirds of NASA vendors are already

registered in the CCR System.

C. Paperwork Reduction Act

This proposed rule includes a new requirement for collection of

information from grant and cooperative agreement recipients for CCR

registration. This collection of information requires NASA to obtain

approval from the Office of Management and Budget under 44 U.S.C. 3501,

et seq. The required approval will be requested.

List of Subjects in 14 CFR Parts 1260 and 1274

Grant Programs--Science and Technology.

Tom Luedtke,

Associate Administrator for Procurement.

Accordingly, 14 CFR Chapter V is proposed to be amended as follows:

1. Part 1260 is revised to read as follows:

PART 1260--GRANTS AND COOPERATIVE AGREEMENTS

Subpart A--General

Sec.

1260.1 Authority.

1260.2 Purpose.

1260.3 Definitions.

1260.4 Applicability.

1260.5 Amendment.

1260.6 Publication.

1260.7 Deviations.

Pre-Award Requirements

gy.

Tom Luedtke,

Associate Administrator for Procurement.

Accordingly, 14 CFR Chapter V is proposed to be amended as follows:

1. Part 1260 is revised to read as follows:

PART 1260--GRANTS AND COOPERATIVE AGREEMENTS

Subpart A--General

Sec.

1260.1 Authority.

1260.2 Purpose.

1260.3 Definitions.

1260.4 Applicability.

1260.5 Amendment.

1260.6 Publication.

1260.7 Deviations.

Pre-Award Requirements

1260.10 Proposals.

1260.11 Evaluation and selection.

1260.12 Choice of award instrument.

1260.13 Award procedures.

1260.14 Limitations.

1260.15 Format and numbering.

1260.16 Distribution.

Provisions

1260.20 Provisions.

1260.21 Compliance with OMB Circular A-110.

1260.22 Technical publications and reports.

1260.23 Extensions.

1260.24 Termination and enforcement.

1260.25 Change in principal investigator or scope.

1260.26 Financial management.

1260.27 Equipment and other property.

1260.28 Patent rights.

1260.29 Invention reporting and rights.

1260.30 Rights in data.

1260.31 National security.

1260.32 Nondiscrimination.

1260.33 Subcontracts.

1260.34 Clean air and water.

1260.35 Investigative requirements.

1260.36 Travel and transportation.

1260.37 Safety.

1260.38 Drug-Free Workplace.

Special Conditions

1260.50 Special conditions.

1260.51 Cooperative agreement special condition.

1260.52 Multiple year grant or cooperative agreement.

1260.53 Incremental funding.

1260.54 Cost sharing.

1260.55 Reports substitution.

1260.56 Withholding.

1260.57 New technology

1260.58 Designation of new technology representative and patent

representative.

1260.59 Choice of law.

1260.60 Public information.

1260.61 Allocation of risk/liability.

1260.62 Payment--to foreign organizations.

1260.63 Customs clearance and visas.

1260.64 Taxes.

1260.65 Exchange of technical data and goods.

1260.66 Listing of reportable equipment and other property.

1260.67 Equipment and other property under grants with commercial

firms.

1260.68 Invoices and payments under grants with commercial firms.

1260.69 Electronic funds transfer payment methods.

ability.

1260.62 Payment--to foreign organizations.

1260.63 Customs clearance and visas.

1260.64 Taxes.

1260.65 Exchange of technical data and goods.

1260.66 Listing of reportable equipment and other property.

1260.67 Equipment and other property under grants with commercial

firms.

1260.68 Invoices and payments under grants with commercial firms.

1260.69 Electronic funds transfer payment methods.

Post-Award Requirements

1260.70 Delegation of administration.

1260.71 Supplements and renewals.

1260.72 Adherence to original budget estimates.

1260.73 Transfers, novations, and change of name agreements.

1260.74 Property use, disposition, and vesting of title.

1260.75 Summary of report requirements.

1260.76 Termination and enforcement.

1260.77 Closeout procedures.

Appendix to Subpart A to Part 1260--Listing of Exhibits

Subpart B--Uniform Administrative Requirements for Grants and

Cooperative Agreements With Institutions of Higher Education,

Hospitals, and Other Non-Profit Organizations

General

1260.101 Purpose.

1260.102 Definitions.

1260.103 Effect on other issuances.

1260.104 Deviations.

1260.105 Subawards.

Pre-Award Requirements

1260.110 Purpose.

1260.111 Pre-award policies.

1260.112 Forms for applying for Federal assistance.

1260.113 Debarment and suspension.

1260.114 Special award conditions.

1260.115 Metric system of measurement.

1260.116 Resource Conservation and Recovery Act (RCRA).

1260.117 Certifications and representations.

Post-Award Requirements

Financial and Program Management

1260.120 Purpose of financial and program management.

1260.121 Standards for financial management systems.

1260.122 Payment.

1260.123 Cost sharing or matching.

1260.124 Program income.

1260.125 Revision of budget and program plans.

1260.126 Non-Federal audits.

1260.127 Allowable costs.

1260.128 Period of availability of funds.

Property Standards

ard Requirements

Financial and Program Management

1260.120 Purpose of financial and program management.

1260.121 Standards for financial management systems.

1260.122 Payment.

1260.123 Cost sharing or matching.

1260.124 Program income.

1260.125 Revision of budget and program plans.

1260.126 Non-Federal audits.

1260.127 Allowable costs.

1260.128 Period of availability of funds.

Property Standards

1260.130 Purpose of property standards.

1260.131 Insurance coverage.

1260.132 Real property.

1260.133 Federally-owned and exempt property.

1260.134 Equipment.

1260.135 Supplies and other expendable property.

1260.136 Intangible property.

1260.137 Property trust relationship.

Procurement Standards

1260.140 Purpose of procurement standards.

1260.141 Recipient responsibilities.

1260.142 Codes of conduct.

1260.143 Competition.

1260.144 Procurement procedures.

1260.145 Cost and price analysis.

1260.146 Procurement records.

1260.147 Contract administration.

1260.148 Contract provisions.

Reports and Records

1260.150 Purpose of reports and records.

1260.151 Monitoring and reporting program performance.

1260.152 Financial reporting.

1260.153 Retention and access requirements for records.

Termination and Enforcement

1260.160 Purpose of termination and enforcement.

1260.161 Termination.

1260.162 Enforcement.

After-the-Award Requirements

1260.170 Purpose.

1260.171 Closeout procedures.

1260.172 Subsequent adjustments and continuing responsibilities.

1260.173 Collections of amounts due.

Appendix A to Subpart B of Part 1260--Contract Provisions

Authority: 42 U.S.C. 2473(c)(1), Pub. L. 97-258, 96 Stat. 1003

(31 U.S.C. 6301 et seq.), and OMB Circular A-110.

Subpart A--General

Sec. 1260.1 Authority.

After-the-Award Requirements

1260.170 Purpose.

1260.171 Closeout procedures.

1260.172 Subsequent adjustments and continuing responsibilities.

1260.173 Collections of amounts due.

Appendix A to Subpart B of Part 1260--Contract Provisions

Authority: 42 U.S.C. 2473(c)(1), Pub. L. 97-258, 96 Stat. 1003

(31 U.S.C. 6301 et seq.), and OMB Circular A-110.

Subpart A--General

Sec. 1260.1 Authority.

(a) The National Aeronautics and Space Administration (NASA) awards

grants and cooperative agreements under the authority of 42 U.S.C.

2473(c)(5), the National Aeronautics and Space Act. This part 1260 is

issued under the authority of 42 U.S.C. 2473(c)(1), Pub. L. 97-258, 96

Stat. 1003 (31 U.S.C. 6301 et seq.), and OMB Circular A-110.

(b) The Office of Management and Budget (OMB) approved information

collection under the Paperwork Reduction Act and assigned OMB control

numbers 2700-0047, Property Management and Control; 2700-0048, Patents;

and 2700-0049, Financial Management and Control.

Sec. 1260.2 Purpose.

(a) This subpart A of the NASA Grant and Cooperative Agreement

Handbook (also subpart A of 14 CFR part 1260), provides supplemental

NASA policies that clarify and amplify government-wide regulations for

awarding and administering grants and cooperative agreements with

educational and non-profit organizations. The government-wide

regulations that this subpart supplements are set forth in OMB Circular

A-110 ``Uniform Administrative Requirements for Grants and Agreements

With Institutions of Higher Education, Hospitals, and Other Non-Profit

Organizations.'' (NASA has adopted OMB Circular A-110 as subpart B of

this part 1260.)

(b) As required by the Office of Management and Budget (OMB), NASA

has also adopted the standards set forth in OMB Circular No. A-133,

Audits of States, Local Governments, and Non-Profit Organizations.

Sec. 1260.3 Definitions.

reements

With Institutions of Higher Education, Hospitals, and Other Non-Profit

Organizations.'' (NASA has adopted OMB Circular A-110 as subpart B of

this part 1260.)

(b) As required by the Office of Management and Budget (OMB), NASA

has also adopted the standards set forth in OMB Circular No. A-133,

Audits of States, Local Governments, and Non-Profit Organizations.

Sec. 1260.3 Definitions.

(a) The following definitions are a supplement to the subpart B

definitions set forth at Sec. 1260.102. Additional definitions

applicable to specific categories of grants and cooperative agreements

are set forth at 14 CFR 1273.3 and 14 CFR 1274.102.

(b) Throughout subpart A to this part 1260, the term ``grant''

includes ``cooperative agreement'' unless otherwise indicated.

Administrative grant officer means a Federal employee delegated

responsibility for grant administration; e.g., a NASA grant officer who

has retained grant administration responsibilities, or an Office of

Naval Research (ONR) grant officer delegated grant administration by a

NASA grant officer.

Amendment means any document used to effect modifications to grants

and cooperative agreements. Amendments may be issued unilaterally at

the discretion of the grant officer.

Commercial firm means any corporation, trust or other organization

which is organized primarily for profit.

Effective date means the date work can begin, which could be

earlier or later than the date of signature on a basic award or

modification. Expenditures made prior to award of a grant are incurred

at the recipient's risk.

Expiration date means the date of completion specified in the

grant, after which expenditures may not be charged against the grant

except to satisfy obligations to pay allowable costs committed on or

before that date.

Historically Black Colleges and Universities means institutions

determined by the Secretary of Education to meet the requirements of 34

CFR 608.2 and listed therein

nt's risk.

Expiration date means the date of completion specified in the

grant, after which expenditures may not be charged against the grant

except to satisfy obligations to pay allowable costs committed on or

before that date.

Historically Black Colleges and Universities means institutions

determined by the Secretary of Education to meet the requirements of 34

CFR 608.2 and listed therein.

Minority educational institution means an institution determined by

the Secretary of Education to meet the requirements of 34 CFR 637.4.

Non-profit organization means an organization that qualifies for

the exemption from taxation under section 501 of the Internal Revenue

Code of 1954, as amended, 26 U.S.C. 501.

Progress report means a concise statement of work accomplished

during the report period (see Secs. 1260.22 and 1260.75(b)(3)).

Recipient acquired equipment means equipment purchased or

fabricated with grant funds by a recipient for the performance of work

under its grant.

Small business concern means a concern, including its affiliates,

which is independently owned and operated, not dominant in the field of

operation in which it is bidding, and qualifies as a small business

under the criteria and size standards in 13 CFR part 121.

Small disadvantaged business concern means a small business concern

owned and controlled by individuals

who are both socially and economically disadvantaged and meets the

criteria set forth at 13 CFR part 24.

Summary of research means a document summarizing the results of the

entire project, which includes bibliographies, abstracts, and lists of

other media in which the research was discussed.

Women-owned small business concern means a small business concern

that is at least 51 percent owned by women who are U.S. citizens and

who also control and operate the business (15 U.S.C. 637(d)).

Sec. 1260.4 Applicability.

ch means a document summarizing the results of the

entire project, which includes bibliographies, abstracts, and lists of

other media in which the research was discussed.

Women-owned small business concern means a small business concern

that is at least 51 percent owned by women who are U.S. citizens and

who also control and operate the business (15 U.S.C. 637(d)).

Sec. 1260.4 Applicability.

(a) Subparts A and B of this part 1260 establish policies and

procedures for grants and cooperative agreements awarded by NASA to

institutions of higher education, hospitals, and other non-profit

organizations.

(b) Subject to the special considerations in this paragraph,

subparts A and B of this part 1260 are also applicable to NASA grants

and cooperative agreements awarded to commercial firms which do not

involve cost sharing. For grants and cooperative agreements with

commercial organizations which involve resource contributions by the

Recipient, see 14 CFR part 1274.

(1) The allowability of costs incurred by commercial firms is

determined in accordance with the provisions of the Federal Acquisition

Regulation (FAR) at 48 CFR part 31.

(2) NASA does not allow for payment of profit or fee to commercial

firms under grant awards.

(3) When applying the policies set forth under Sec. 1260.74, the

grant officer shall vest title to any equipment purchased under the

grant with the Government. The special condition at Sec. 1260.67,

Equipment and Other Property Under Grants With Commercial Firms, shall

be incorporated into all grants with commercial firms in place of the

provision at Sec. 1260.27, Equipment and Other Property.

(4) Due to differing NASA patent policies applicable to large

businesses, special conditions at Sec. 1260.57, New Technology, and

Sec. 1260.58, Designation of New Technology Representative and Patent

Representative, shall be incorporated into all grants with commercial

firms other than those with small businesses, in place of the provision

at Sec. 1260.29, Patent Rights.

and Other Property.

(4) Due to differing NASA patent policies applicable to large

businesses, special conditions at Sec. 1260.57, New Technology, and

Sec. 1260.58, Designation of New Technology Representative and Patent

Representative, shall be incorporated into all grants with commercial

firms other than those with small businesses, in place of the provision

at Sec. 1260.29, Patent Rights.

(5) Payments under grants with commercial firms will be made based

on incurred costs. NASA Form 272 is not required. Commercial firms will

be required to submit invoices on a no more than quarterly basis. The

special condition at Sec. 1260.68, Invoices and Payments Under Grants

With Commercial Firms, shall be incorporated into all grants with

commercial firms in place of the provision at Sec. 1260.26, Financial

Management.

(6) Payments will be made to commercial firms via electronic funds

transfer. The special condition at Sec. 1260.69, Electronic Funds

Transfer Payment Method, shall be incorporated into all grants with

commercial firms.

(7) Delegation of grant administration functions consistent with

the policies set forth at Sec. 1260.70 (i.e., property administration

and closeout are to be delegated) will be made to the cognizant field

office of the Defense Contract Management Command instead of to the

Office of Naval Research. Delegations will be made using NASA Form

1674, Letter of Delegation, for the Administration of Grants and

Cooperative Agreements (Exhibit F to subpart A of this part 1260,

available at the address given in Exhibit F). Cognizant offices for

performing administration under individual grants are set forth in the

``DoD Directory of Contract Administration Services Components,'' which

is available on the internet at: http://www.dcmc.hq.dla.mil/casbook/

casbook.htm.

Sec. 1260.5 Amendment.

f Grants and

Cooperative Agreements (Exhibit F to subpart A of this part 1260,

available at the address given in Exhibit F). Cognizant offices for

performing administration under individual grants are set forth in the

``DoD Directory of Contract Administration Services Components,'' which

is available on the internet at: http://www.dcmc.hq.dla.mil/casbook/

casbook.htm.

Sec. 1260.5 Amendment.

This part 1260 will be amended by publication of changes in the

Federal Register. Changes will be issued as Grant Notices and

incorporated into the official version of the handbook located at the

internet web site.

Sec. 1260.6 Publication.

The official site for accessing the NASA Grant and Cooperative

Agreement Handbook, including current Grant Notices, is on the internet

at: http://ec.msfc.nasa.gov/hq/grcover.htm

Sec. 1260.7 Deviations.

(a) A deviation is required for any of the following:

(1) When a prescribed provision (but not a special condition) set

forth verbatim in this part 1260 is modified or omitted.

(2) When a provision is set forth in this part 1260, but not for

use verbatim, and the Center substitutes a provision which is

inconsistent with the intent, principle, and substance of the

provision.

(3) When a form prescribed by this part 1260 is altered or another

form is used in its place.

(4) When limitations, imposed by this handbook upon the use of a

grant provision, form, procedure, or any other grant action, are

changed.

(5) When a form is created for recipient use that constitutes a

``Collection of Information'' within the meaning of the Paperwork

Reduction Act (44 U.S.C. 35) and its implementation in 5 CFR part 1320.

260 is altered or another

form is used in its place.

(4) When limitations, imposed by this handbook upon the use of a

grant provision, form, procedure, or any other grant action, are

changed.

(5) When a form is created for recipient use that constitutes a

``Collection of Information'' within the meaning of the Paperwork

Reduction Act (44 U.S.C. 35) and its implementation in 5 CFR part 1320.

(b) Requests for authority to deviate from this part 1260 shall be

submitted to the Office of Procurement, NASA Headquarters, Procurement

Operations Division (HS). Requests, signed by the procurement officer,

shall contain:

(1) A full description of the deviation, the circumstances in which

it will be used, and identification of the requirement from which a

deviation is sought;

(2) The rationale for the request, pertinent background

information, and the intended effect of the deviation;

(3) The name of the recipient, identification of the grant

affected, and the dollar value;

(4) A statement as to whether the deviation has been re quested

previously, and, if so, details of that request; and

(5) A copy of legal counsel's concurrence or comments.

110 (subpart B of this part 1260), Code HS will process all necessary

documents in accordance with 1260.104.

Pre-Award Requirements

Sec. 1260.10 Proposals.

(a) Consistent with 31 U.S.C. 6301(3), NASA's policy is to use

competitive procedures to award grants whenever possible. A grant can

result from:

(1) A proposal submitted in response to a Broad Agency Announcement

(BAA) such as a NASA Research Announcement (NRA) or an Announcement of

Opportunity (AO), a Cooperative Agreement Notice (CAN), an Agencywide

program announcement such as the Graduate Student Research Program, or

other forms of announcements approved by the Associate Administrator

for Procurement (HS). NRA's are described in the NASA FAR Supplement

(NFS) 48 CFR 1835.016. AO's are described in 48 CFR part 1872.

ASA Research Announcement (NRA) or an Announcement of

Opportunity (AO), a Cooperative Agreement Notice (CAN), an Agencywide

program announcement such as the Graduate Student Research Program, or

other forms of announcements approved by the Associate Administrator

for Procurement (HS). NRA's are described in the NASA FAR Supplement

(NFS) 48 CFR 1835.016. AO's are described in 48 CFR part 1872.

(2) An Unsolicited Proposal for new and innovative ideas. Guidance

on the submission of unsolicited proposals is contained in the Federal

Acquisition Regulation (FAR) 48 CFR subpart 15.6 and (NFS) 48 CFR

subpart 1815.6. The synopsis requirement in FAR part 5, however, does

not apply to the grant process. Contact with NASA technical personnel

prior to proposal submission

is encouraged to determine if preparation of a proposal is warranted.

These discussions should be limited to understanding NASA research

needs and do not jeopardize the unsolicited status of any subsequently

submitted proposal.

(b) The proposal shall contain a detailed narrative description of

the work to be undertaken, including the objectives of the project and

the applicant's plan for carrying it out.

(1) All proposals shall include budget data as prescribed in the

Budget Summary (Exhibit A to subpart A of this part 1260, available at

the address given in Exhibit A). Narrative detail must support the

proposed budget as required in Exhibit A.

a detailed narrative description of

the work to be undertaken, including the objectives of the project and

the applicant's plan for carrying it out.

(1) All proposals shall include budget data as prescribed in the

Budget Summary (Exhibit A to subpart A of this part 1260, available at

the address given in Exhibit A). Narrative detail must support the

proposed budget as required in Exhibit A.

(i) The recipient institution is responsible for ensuring that

costs charged are allowable, allocable, and reasonable under the

applicable cost principles governed by OMB Circular No. A-21 or A-122.

For other details see 1260.127.

(ii) Subject to applicable cost principles, facilities and

administrative cost rates are negotiated between recipients and the

cognizant agencies assigned under OMB Circular No. A-21. NASA is

required to apply the applicable negotiated rate for all grants awarded

to the recipient.

(iii) NASA may accept cost sharing when voluntarily offered. For

further guidance see 1260.123. For grants and cooperative agreements

with commercial organizations that involve costs sharing, see 14 CFR

part 1274. The amount of cost sharing will not be a factor in

determining whether to select a proposal for award. However, recipients

may be requested to secure nonfederal matching funds equal to the

program portion of training and education grants. In accordance with

NASA policy to foster continuity of research, multiple year grant

proposals are encouraged, where appropriate, for a period generally up

to three years. Proposals for multiple year grants shall describe the

entire research project and include a complete budget for year one and

separate estimates for each subsequent year.

(2) A Taxpayer Identification Number (TIN) must be included with

the address listed on the proposal. If an award is made, advance

payments cannot be made without a TIN (31 U.S.C. 7702(c)(1)).

iod generally up

to three years. Proposals for multiple year grants shall describe the

entire research project and include a complete budget for year one and

separate estimates for each subsequent year.

(2) A Taxpayer Identification Number (TIN) must be included with

the address listed on the proposal. If an award is made, advance

payments cannot be made without a TIN (31 U.S.C. 7702(c)(1)).

(3) Prior to implementation of the Integrated Financial Management

(IFM) System at each center, all grant and cooperative agreement

recipients are required to register in the Department of Defense (DoD)

Central Contractor Registeration (CCR) database. Registration is

required in order to obtain a Commercial and Government Entity (CAGE)

code, which will be used as a grant and cooperative agreement

identification number for the new system. The grant officer shall

verify that the prospective awardee is registered in the CCR database

using the DUNS number or, if applicable, the DUNS+4 number, via the

Internet at http://ccr.edi.disa.mil/ccr/cgi-bin/status.pl or by calling

toll free: 800-841-4431, commercial: 696-961-5757.

(c)(1) Grant officers are required to ensure that all necessary

certifications, disclosures, and assurances have been obtained prior to

awarding a grant or cooperative agreement.

(2) Each new proposal shall include a certification for debarment

and suspension under the requirements of 14 CFR 1265.510 and 1260.117.

(3) Each new proposal for an award exceeding $100,000 shall include

a certification, and a disclosure form (SF LLL) if required, on

Lobbying under the requirements of 14 CFR 1271.110 and 1260.117.

(4) Unless a copy is on file at the NASA center, recipients must

furnish an assurance on NASA Form (NF) 1206 on compliance with Civil

Rights statutes specified in 14 CFR parts 1250 through 1253.

Sec. 1260.11 Evaluation and selection.

(a) Technical evaluation of proposals will be conducted by the

cognizant NASA technical office and may be based on peer reviews.

14 CFR 1271.110 and 1260.117.

(4) Unless a copy is on file at the NASA center, recipients must

furnish an assurance on NASA Form (NF) 1206 on compliance with Civil

Rights statutes specified in 14 CFR parts 1250 through 1253.

Sec. 1260.11 Evaluation and selection.

(a) Technical evaluation of proposals will be conducted by the

cognizant NASA technical office and may be based on peer reviews.

(b) Under NRA's, AO's, other BAA's, and CAN's, the selecting

official will furnish documentation requested by the grant officer,

(including a copy of the NRA, selection statement, and peer review

evaluation if requested), to confirm that the award is being made as a

result of a selection under a NRA, AO, other BAA, or CAN. The technical

office will forward to the grant office a completed award package,

including a funded procurement request, technical evaluation of the

proposed budget, and other support documentation, at least 29 days

prior to the requested award date, or before the expiration of the

funded period in the case of the renewal of an existing effort.

the selecting official in accordance with the procedures set forth in

the NRA, AO, CAN, or BAA.

(d) Unsolicited proposals will be evaluated in accordance with the

following procedure:

(1) Evaluations of unsolicited proposals to be awarded as grants or

cooperative agreements will be conducted using the same criteria used

for reviewing unsolicited proposals to be awarded as contracts, as set

forth at FAR subpart 15.6 and (NFS) 48 CFR subpart 1815.6. Normally,

unsolicited proposals are accepted to perform discrete projects with

defined anticipated outcomes and completion dates

1) Evaluations of unsolicited proposals to be awarded as grants or

cooperative agreements will be conducted using the same criteria used

for reviewing unsolicited proposals to be awarded as contracts, as set

forth at FAR subpart 15.6 and (NFS) 48 CFR subpart 1815.6. Normally,

unsolicited proposals are accepted to perform discrete projects with

defined anticipated outcomes and completion dates. An unsolicited

proposal that results in a grant or cooperative agreement with no

defined end date, and which requires subsequent submission of follow-on

unsolicited proposals to ensure continuation of the effort, should be

closely reviewed to ensure that it meets the FAR definition for a valid

unsolicited proposal.

(2) An unsolicited proposal recommended for acceptance shall be

supported by a Justification for Acceptance of an Unsolicited Proposal

(JAUP) prepared by the cognizant technical office. The JAUP shall be

submitted for the approval of the grant officer after review and

concurrence at a level above the technical officer. However, this

review and concurrence is not required for technical officers at a

division chief or higher level. The grant officer's signature on the

award document will indicate approval of the JAUP.

(3) NASA will notify in writing organizations that submit

unsolicited proposals that will not be funded. Method of notification

is at the discretion of the grant officer. Proposals will be returned

only when requested. Agency procedures for handling unsolicited

proposals are specified at (NFS) 48 CFR 1815.606.

(e) For awards made non-competitively, written justifications for

equipment or travel will be submitted by the technical office for grant

officer approval when more than half of the proposed budget is for

equipment or travel and associated indirect cost. The justification

shall describe the extent to which the equipment or travel is

necessary. The grant officer's signature on the award will indicate

approval of the justification.

written justifications for

equipment or travel will be submitted by the technical office for grant

officer approval when more than half of the proposed budget is for

equipment or travel and associated indirect cost. The justification

shall describe the extent to which the equipment or travel is

necessary. The grant officer's signature on the award will indicate

approval of the justification.

(f) The evaluation of the proposal budget will conform to the

following procedure:

(1) The technical officer will review the proposer's estimated cost

for conformance to program requirements and fund availability. The

results of this review shall be recorded in Column B of the proposed

Budget Summary Form (Exhibit A to subpart A of this part 1260,

available at the address given in Exhibit A). New budgets are not

required when the program office recommended funding is within twenty

percent (20 percent) of the proposed amount, provided specific proposed

objectives have not been added or deleted. However, when funding

decreases in equipment and/or subcontracts are involved, the cognizant

program office is required to identify the cost element(s) affected by

the change in funding level.

(2) The grant officer will review the budget, and any changes made

by the technical officer, to identify any item which may be unallowable

under the cost principles, or which appears unreasonable or

unnecessary. The grant officer will complete Column C of the Budget

Summary after discussing significant changes with the recipient and/or

technical office. Requests for details from the recipient should be

limited.

(3) The grant officer will address requests for direct charge of

equipment in the negotiation summary, and state whether the purchase is

approved as a direct cost.

reasonable or

unnecessary. The grant officer will complete Column C of the Budget

Summary after discussing significant changes with the recipient and/or

technical office. Requests for details from the recipient should be

limited.

(3) The grant officer will address requests for direct charge of

equipment in the negotiation summary, and state whether the purchase is

approved as a direct cost.

(g) 42 U.S.C. 2459d prohibits NASA from funding any grant for

longer than one year if the effect is to provide a guaranteed customer

base for new commercial space hardware or services. The only exception

would be if an Appropriations Act specifies the new commercial space

hardware or services to be used.

(h) NASA reserves the right to either fully fund or incrementally

fund grants based on fiscal law and program considerations. Grants with

anticipated annual funding exceeding $50,000 may be funded for less

than the amount stated in the proposal.

(1) The grant officer will determine the number of incremental

funding actions that will be allowed.

(2) The special condition at Sec. 1260.53, Incremental Funding,

will be included in the grant.

(i) Proposals for efforts that involve printing, binding, and

duplicating in excess of 25,000 pages are subject to the Government

Printing and Binding Regulations, No. 26, February 1990, S. Pub. 101-9,

U.S. Government Printing Office, Washington, DC 20402, published by the

Congressional Joint Committee on Printing. The technical office will

refer such proposals to the Installation Central Printing Management

Officer (ICPMO). The grant officer will be advised in writing of the

results of the ICPMO review.

the Government

Printing and Binding Regulations, No. 26, February 1990, S. Pub. 101-9,

U.S. Government Printing Office, Washington, DC 20402, published by the

Congressional Joint Committee on Printing. The technical office will

refer such proposals to the Installation Central Printing Management

Officer (ICPMO). The grant officer will be advised in writing of the

results of the ICPMO review.

(j) The provision at Sec. 1260.30, Rights in Data, is adequate only

for grants for basic or applied research where the principal purpose

(or only expected NASA involvement) is the publication or dissemination

of the results, such as in journals or NASA publications (see

Sec. 1260.22). Rights in data for other types of grants and cooperative

agreements should be developed with Center Patent Counsel on a case-by-

case basis.

(k) By acceptance of a grant (containing the provision at

Sec. 1260.34) the recipient agrees that it is in compliance with the

Clean Air and Federal Water Pollution Control Acts. The Administrator

may approve exemptions from this prohibition under certain

circumstances under Executive Order 11738. Requests for exemptions or

renewals thereof shall be made to the Office of Procurement, NASA

Headquarters, Program Operations Division (Code HS), Washington, DC

20546.

(l) Requests for acquisition of property may be made by a recipient

either as part of the original budget proposal or subsequent to award.

Comprehensive guidance on evaluating requests for acquisition of

property, vesting of title, and administration issues, is set forth at

Sec. 1260.74.

Sec. 1260.12 Choice of award instrument.

(a) This section and Sec. 1260.111 provide guidance on the

appropriate choice of award instruments consistent with 31 U.S.C. 6301

to 6308. Throughout Sec. 1260.12, the term ``grant'' does not include

``cooperative agreements.''

evaluating requests for acquisition of

property, vesting of title, and administration issues, is set forth at

Sec. 1260.74.

Sec. 1260.12 Choice of award instrument.

(a) This section and Sec. 1260.111 provide guidance on the

appropriate choice of award instruments consistent with 31 U.S.C. 6301

to 6308. Throughout Sec. 1260.12, the term ``grant'' does not include

``cooperative agreements.''

(b)(1) A procurement contract is a mutually binding legal

relationship obligating the seller to furnish supplies or services

(including construction), and the buyer pays for them.

(2) The principal purpose of a procurement contract is to acquire,

for NASA's direct use or benefit, a well-defined, specific effort

clearly required for the accomplishment of a scheduled NASA mission or

project.

(3) If it is determined that a procurement contract is the

appropriate type of funding instrument to meet NASA's purposes, the

procurement shall be conducted under the FAR and the NFS (48 CFR

chapter 18).

(4) If an action is to be awarded for a dollar amount below the

simplified acquisition threshold, the action may be completed by a

contracting officer as a purchase order. The purchase order must be

properly modified to include necessary language pertaining to data

rights, key personnel requirements, and any other necessary

requirements as determined by the contracting officer.

relationship between NASA and a recipient whenever the principal

purpose is the transfer of anything of value to the recipient to

accomplish a public purpose of support or stimulation authorized by

Federal statute. Grants are distinguished from cooperative agreements

in that substantial involvement is not expected between NASA and the

recipient when carrying out the activity. Grants are distinguished from

contracts in that grants provide financial assistance to the recipient

to conduct a fairly autonomous program; contracts entail acquisition

pose of support or stimulation authorized by

Federal statute. Grants are distinguished from cooperative agreements

in that substantial involvement is not expected between NASA and the

recipient when carrying out the activity. Grants are distinguished from

contracts in that grants provide financial assistance to the recipient

to conduct a fairly autonomous program; contracts entail acquisition.

Various types of NASA grants contain different provisions and

conditions as described in Secs. 1260.20 and 1260.50. The major types

of grants and cooperative agreements are defined as follows. Grants and

cooperative agreements to carry out other authorized purposes should be

used to the extent appropriate, and must be in compliance with OMB

Circular A-110.

(1) Research grant. A research grant shall be used to accomplish a

NASA objective through stimulating or supporting the acquisition of

knowledge or understanding of the subject or phenomena under study, or

attempting to determine and exploit the potential of scientific

discoveries or improvements in technology, materials, processes,

methods, devices, or techniques and advance the state of the art. The

recipient will bear prime responsibility for the conduct of research,

and exercises judgment and original thought toward attaining the

scientific goals within broad parameters of the research areas proposed

and the resources provided;

(2) Education grant. An education grant is an agreement that

provides funds to an educational institution or other nonprofit

organizations within one or more of the following areas:

ime responsibility for the conduct of research,

and exercises judgment and original thought toward attaining the

scientific goals within broad parameters of the research areas proposed

and the resources provided;

(2) Education grant. An education grant is an agreement that

provides funds to an educational institution or other nonprofit

organizations within one or more of the following areas:

(i) Capturing student interest and/or improving student performance

in science, mathematics, technology, or related fields;

(ii) Enhancing the skill, knowledge, or ability of teachers or

faculty members in science, mathematics, or technology;

(iii) Supporting national educational reform movements;

(iv) Conducting pilot programs or research to increase

participation and/or to enhance performance in science, mathematics, or

technology education at all levels; and

(v) Developing instructional materials (e.g., teacher guides,

printed publications, computer software, and videotapes) or networked

information services for education;

(3) Training grant. A training grant is an agreement that provides

funds primarily for scholarships, fellowships, or stipends to students,

teachers, and/or faculty.

(i) NASA training grants are awarded to colleges, universities, or

other non-profit organizations; not to individual students, teachers,

or faculty members.

It is the responsibility of the institution receiving the grant to

approve the faculty, teachers, and/or students who will participate in

the specific program, in cooperation with NASA. If a student, teacher,

or faculty member ceases to participate in the program for any reason,

the institution, with prior NASA approval, may appoint another student,

teacher, or faculty member to complete the remaining portion of the

grant period. Replacement students, teachers, and/or faculty electing

to apply for the following program year are not automatically entitled

to an award and are subject to the evaluation/selection procedures

administered to new applicants

for any reason,

the institution, with prior NASA approval, may appoint another student,

teacher, or faculty member to complete the remaining portion of the

grant period. Replacement students, teachers, and/or faculty electing

to apply for the following program year are not automatically entitled

to an award and are subject to the evaluation/selection procedures

administered to new applicants. Any participant receiving support under

a NASA training grant may not concurrently hold another Federal

fellowship or traineeship.

(ii) No applicant shall be denied consideration or appointment on

the grounds of race, creed, color, national origin, age, sex, or

disability.

(iii) Students and faculty receiving direct support under a NASA

training grant must be U.S. citizens, except for those supported by the

NASA Earth System Science Fellowship Program, the Graduate Student

Fellowship in Global Change Research Program, and the GLOBE Program.

(iv) Duration of the award is program specific. Refer to program

policies and procedures for details. Renewal is contingent upon a

successful performance evaluation as prescribed by the program,

concurrence by the NASA technical officer, and the availability of

funds.

(v) No substantial involvement is expected between NASA and the

recipient. A student or faculty member receiving support under a NASA

training grant does not incur any formal obligation to the Government.

(vi) The use of training grant funds to acquire equipment, or to

acquire or construct facilities will not be permitted. Government

furnished equipment will not be provided.

(vii) An Administrative Report must be submitted under the

guidelines described by the specific program policies and procedures.

support under a NASA

training grant does not incur any formal obligation to the Government.

(vi) The use of training grant funds to acquire equipment, or to

acquire or construct facilities will not be permitted. Government

furnished equipment will not be provided.

(vii) An Administrative Report must be submitted under the

guidelines described by the specific program policies and procedures.

(4) Facilities grant. A facilities grant is used to provide for the

acquisition, construction, use, maintenance, and disposition of

facilities. Facilities, as used in this section, means property used

for production, maintenance, research, development, or testing. Prior

approval by the Associate Administrator of Procurement is required

before proceeding with a facilities grant. To obtain prior approval, a

package will be forwarded to the Director, Program Operations Division

(HS), during the planning phase of the grant, that includes pertinent

background information, details on Congressional Authorization, dollar

value, and name of the recipient. Other information, such as a copy of

the proposed facility grant award document, is not required. It is

unlikely an award will be approved unless specifically authorized by

Congress. A review by legal counsel to assure legal sufficiency is also

required.

(d) Cooperative agreement. A cooperative agreement shall be used as

the legal instrument reflecting a relationship between NASA and a

recipient whenever the principal purpose is the transfer of anything of

value to the recipient to accomplish a public purpose of support or

stimulation authorized by Federal statute, and substantial involvement

is anticipated between NASA and the recipient during performance of the

contemplated activity (31 U.S.C. 6305). Characteristics inherent in a

cooperative agreement include those that apply to a grant, plus the

following:

ose is the transfer of anything of

value to the recipient to accomplish a public purpose of support or

stimulation authorized by Federal statute, and substantial involvement

is anticipated between NASA and the recipient during performance of the

contemplated activity (31 U.S.C. 6305). Characteristics inherent in a

cooperative agreement include those that apply to a grant, plus the

following:

(1) Substantial NASA involvement in and contribution to the

technical aspects of the effort are necessary for its accomplishment.

This could involve an active NASA role in collaborative relations,

access to a NASA site or equipment, or sharing NASA facilities and

personnel. For example, a university investigator could work for a

substantial amount of time at a NASA Center, a NASA investigator could

work at a university, or when the collaboration is such that a jointly

authored report or education curriculum product is appropriate;

(2) The project, conducted as proposed, would not be possible

without extensive NASA-recipient technical collaboration;

(3) The nature of the collaboration shall be clearly defined and

specified in the special condition at Sec. 1260.51.

(e)(1) Grants and cooperative agreements with foreign

organizations. Grants and cooperative agreements with foreign

organizations provide for research to be performed in whole, or in

part, by a foreign organization, with funding being provided by NASA to

the foreign organization as reimbursement for the work performed.

(2) It is NASA policy that, in general, research with foreign

organizations will not be conducted through grants or cooperative

agreements, but instead will be accomplished on a no-exchange-of-funds

basis. In these cases, NASA enters into agreements undertaking projects

of international scientific collaboration. In rare instances, NASA may

enter into an international agreement under which funds will be

transferred to a foreign recipient.

h with foreign

organizations will not be conducted through grants or cooperative

agreements, but instead will be accomplished on a no-exchange-of-funds

basis. In these cases, NASA enters into agreements undertaking projects

of international scientific collaboration. In rare instances, NASA may

enter into an international agreement under which funds will be

transferred to a foreign recipient.

(3) Grants and cooperative agreements to foreign organization are

made on an exceptional basis only. Awards require the prior approval of

the Headquarters Office of External Relations (Code I) and the

Headquarters Office of the General Counsel (Code G). Requests to award

foreign grants or cooperative agreements are to be coordinated through

the Office of Procurement, Program Operations Division (Code HS).

Requests for approval shall contain:

(i) The identity of the foreign entity, the country or countries

involved, and the purpose of the grant or cooperative agreement.

(ii) The Space Act Agreement(s) or underlying international

agreement involved, if any.

(iii) A description of the effort to be undertaken by the entity

described in paragraph (e)(3)(i) of this section, including their

dollar value.

(iv) The reason why the grant or cooperative agreement requires a

placement with a foreign organization.

(v) The reason why the work can not be accomplished on a no

exchange of funds basis.

(4) Grants and cooperative agreements to foreign organizations

require a review by the Office of General Counsel.

(5) The requirements of this section do not apply to the purchase

of supplies or services (excluding research) from non-U.S. sources by

U.S. grant or cooperative agreement recipients, when necessary to

support research efforts.

ot be accomplished on a no

exchange of funds basis.

(4) Grants and cooperative agreements to foreign organizations

require a review by the Office of General Counsel.

(5) The requirements of this section do not apply to the purchase

of supplies or services (excluding research) from non-U.S. sources by

U.S. grant or cooperative agreement recipients, when necessary to

support research efforts.

(f)(1) The decision whether to use a contract, grant or cooperative

agreement as an award instrument must be based on the principal purpose

of the relationship. When NASA, within its authority, enters into a

transaction where the principal purpose is to accomplish a public

purpose of support or stimulation authorized by Federal statute, a

grant or a cooperative agreement is the appropriate instrument.

Conversely, if the principal purpose of a transaction is to accomplish

a NASA requirement, i.e., to produce something for NASA's own use, a

procurement contract is the appropriate instrument. Two essential

questions must be asked to ensure that a grant or cooperative agreement

is the appropriate instrument. The first question is: Will NASA be

directly harmed in furthering a specific NASA mission requirement if

the effort is not accomplished? The answer to this question must be

``no.'' The second question is: Is the work being performed by the

recipient primarily for its own purposes, which NASA is merely

supporting with financial or other

assistance? The answer to this question must be ``yes.'' If these

criteria are met, then the effort is not a NASA requirement, and can

then be considered as to whether it supports or stimulates a public

purpose.

question must be

``no.'' The second question is: Is the work being performed by the

recipient primarily for its own purposes, which NASA is merely

supporting with financial or other

assistance? The answer to this question must be ``yes.'' If these

criteria are met, then the effort is not a NASA requirement, and can

then be considered as to whether it supports or stimulates a public

purpose.

(2) In applying the principal purpose test, it must be determined

whether the Government is the direct beneficiary or user of the

activity. If NASA provides the specifications for the project; or is

having the project completed based on its own identified needs; or will

directly use the report or result of the project for a scheduled NASA

mission, then, in most cases, the principal purpose is to acquire

property or services for the direct benefit or use of NASA, and thus, a

contractual relationship exists. However, there may be cases where NASA

expects to derive some incidental use or benefit from funded

activities. In fact, any extramural expenditure that furthers the

Agency's goals or mission can be said to be of benefit or use to the

Government. But not every expenditure produces for the Government a

benefit or use that is direct; i.e., immediate, uninterrupted, or

specific. Where an expenditure will produce a benefit or use that is

only indirect in nature, a grant or cooperative agreement may be used.

(3) The status of the entity involved is not a primary factor in

determining the appropriate award instrument. For example, an entity

that operates on a non-profit basis may receive funding through a

contract, and is not limited to receiving grants or cooperative

agreements. Similarly, a profit-making firm may receive funding through

grants, cooperative agreements, or contracts.

may be used.

(3) The status of the entity involved is not a primary factor in

determining the appropriate award instrument. For example, an entity

that operates on a non-profit basis may receive funding through a

contract, and is not limited to receiving grants or cooperative

agreements. Similarly, a profit-making firm may receive funding through

grants, cooperative agreements, or contracts.

(4) NASA offices may be mandated through their missions to support

specific scientific, educational, or training programs. The office may

be accountable to NASA management, the Administration, or Congress for

oversight and proper implementation of the program, may require direct

oversight, may be directly accountable for the results of the program

and that the work be successfully completed. Whenever the office

requesting the grant or cooperative agreement would be directly harmed

in performing its mission if an award was not made, a grant or

cooperative agreement is not appropriate. Specific examples of

situations requiring special scrutiny include--

(i) Education grants that for the administration of a program for

which the education office is directly responsible;

(ii) Research or education grants to establish and support

university laboratories on a non-competitive basis, with the resulting

work of direct benefit to NASA; or

(iii) Training grants that hire university students, on a non-

competitive basis, to perform work at a NASA Center in direct support

of NASA personnel, and perform work which is required in support of a

NASA mission.

responsible;

(ii) Research or education grants to establish and support

university laboratories on a non-competitive basis, with the resulting

work of direct benefit to NASA; or

(iii) Training grants that hire university students, on a non-

competitive basis, to perform work at a NASA Center in direct support

of NASA personnel, and perform work which is required in support of a

NASA mission.

(5) A grant may be used to provide funding to an association to

hold a conference (among its members and NASA officials) where the

benefits flow primarily to the association and its members, not to

NASA. The principal purpose will be to advance research or other

purposes of the association. Thus, NASA may not direct an association

in arranging the conference or in providing other services for NASA's

benefit. The conference should be run by the association, not by NASA.

Conferences sponsored or initiated by NASA primarily to meet a specific

NASA need or obtain information for the direct benefit of NASA must be

supported by means of a contract.

Sec. 1260.13 Award procedures.

(a) Award instruments are classified as follows:

(1) Annual grants are grants awarded for a short term (e.g., on an

annual basis).

(2) Multiple year grants support research projects that may span

several years.

NASA policy is to make maximum use of multiple year grants. A

Multiple Year Grant is generally selected for a period of three years

in keeping with NASA's policy calling for research to be peer reviewed

at least every three years. Grants with periods of performance in

excess of three years may be appropriate when the NASA technical office

determines at the inception of the grant that a period of performance

in excess of three years is necessary to complete a discrete research

effort.

selected for a period of three years

in keeping with NASA's policy calling for research to be peer reviewed

at least every three years. Grants with periods of performance in

excess of three years may be appropriate when the NASA technical office

determines at the inception of the grant that a period of performance

in excess of three years is necessary to complete a discrete research

effort.

(i) If the decision to provide multiple year funding to a research

proposal is made, the special condition at Sec. 1260.52, Multiple Year

Grant or Cooperative Agreement, will be included in the award.

(ii) Periods approved under the Multiple Year Grant or Cooperative

Agreement special condition at Sec. 1260.52, and funded at the levels

specified in the special condition, are not considered to be new

awards. Therefore, new proposals, new proposal-related certifications

(such as Disclosure of Lobbying Activities, and Debarment and

Suspension), new technical evaluations, and new budget proposals are

not required, as long as this information for the multiple year period

was reviewed and approved as part of the original proposal.

(iii) If NASA program constraints or developments within the

research project dictate a reduction in the funding level specified

under a Multiple Year Grant period, research may continue at the

reduced level under the terms of the provisions; however, the recipient

may rebudget under the grant provisions to keep the project within the

funding actually provided.

(3) An augmentation to a grant may be issued as a supplement at any

time when work is introduced which is outside the scope of the approved

proposal or when there is a need for substantial unanticipated funding.

Augmentations require the submission of revised budget proposals and

technical evaluations covering the additional work. Since augmentations

will be performed within the existing period of performance,

certifications will not normally be required.

time when work is introduced which is outside the scope of the approved

proposal or when there is a need for substantial unanticipated funding.

Augmentations require the submission of revised budget proposals and

technical evaluations covering the additional work. Since augmentations

will be performed within the existing period of performance,

certifications will not normally be required.

(4) A grant extension may be placed to extend the grant beyond the

expiration date, in accordance with the provision at Sec. 1260.23,

Extensions, if additional time beyond the established period of

performance is required to assure adequate completion of the original

scope of work within the available funding.

(5) Grant renewals provide for continuation of research beyond the

original scope, period of performance and funding levels; therefore,

new proposals, certifications and technical evaluations are required

prior to the execution of a grant renewal. Grant renewals will be

awarded as new grants. Continued performance within a period specified

under the Multiple Year Grant provision does not constitute a renewal.

For research originally awarded through a competitive NRA, CAN, or

other competitive announcement that has completed its period of

performance, peer review of a proposal to continue the research should

be accomplished prior to selecting the research grant for renewal. If

the effort was originally awarded through an unsolicited proposal, a

new justification to accept the unsolicited proposal would be required

(however, also see Sec. 1260.12(g)(5)). Multiple year grant special

conditions may be incorporated into renewals.

performance, peer review of a proposal to continue the research should

be accomplished prior to selecting the research grant for renewal. If

the effort was originally awarded through an unsolicited proposal, a

new justification to accept the unsolicited proposal would be required

(however, also see Sec. 1260.12(g)(5)). Multiple year grant special

conditions may be incorporated into renewals.

(b) While NASA normally provides full funding support for research

grants, alternate methods of grant funding are as follows:

(1) Since NASA grant recipients usually gain no measurable

commercial or economic benefit from grants, other than conducting

research, cost sharing for research grants is not generally

required. NASA may, however, accept cost sharing when voluntarily

offered. Additionally, in instances when the grant officer determines

that the recipient will benefit from the research results through sales

to non-Federal entities, cost sharing based upon this mutuality of

interest will apply. See Sec. 1260.123. When cost sharing is used, the

grant officer shall insert a Special Condition substantially as shown

in Sec. 1260.54, Cost Sharing. (See 14 CFR part 1274 for grants and

cooperative agreements with commercial organizations involving cost

sharing.)

(2) NASA may provide partial support for a research project or

conference where additional funding is being provided by other Federal

agencies. If the grant also involves cost sharing by the recipient, the

grant officer will ensure that the recipient's share does not include

any Federal funds.

Sec. 1260.14 Limitations.

rative agreements with commercial organizations involving cost

sharing.)

(2) NASA may provide partial support for a research project or

conference where additional funding is being provided by other Federal

agencies. If the grant also involves cost sharing by the recipient, the

grant officer will ensure that the recipient's share does not include

any Federal funds.

Sec. 1260.14 Limitations.

(a) NASA does not award grants merely to provide donative

assistance no matter how worthy the purpose, but to the extent that

appropriations are available to carry out authorized Agency programs.

Research in any academic discipline related to NASA interests normally

will qualify. However, advice of legal counsel should be sought in

unusual situations, or when unusual project activities or

organizational attributes are evident.

(b) It is NASA's policy that non-monetary (zero dollar) grants or

cooperative agreements shall not be used, except for no-cost

extensions.

contract, grant, or cooperative agreement under 31 U.S.C. 6301 to 6308,

and made under the Space Act of 1958, should be consummated as loan

agreements. Also, excess Government research property may be donated to

educational institutions and nonprofit organizations pursuant to 15

U.S.C. 3710(I). See Sec. 51260.133(a)(2).

(d) Neither grants nor cooperative agreements shall be used as

legal instruments for consulting service arrangements.

Sec. 1260.15 Format and numbering.

(a) A grant shall be brief, containing only those provisions and

special conditions necessary to protect the interests of the

Government.

nal institutions and nonprofit organizations pursuant to 15

U.S.C. 3710(I). See Sec. 51260.133(a)(2).

(d) Neither grants nor cooperative agreements shall be used as

legal instruments for consulting service arrangements.

Sec. 1260.15 Format and numbering.

(a) A grant shall be brief, containing only those provisions and

special conditions necessary to protect the interests of the

Government.

(b) Cover page formats shown in Exhibit B to subpart A of part 1260

shall be used for all NASA grant and cooperative agreement award

documents. Provisions for grants with U.S. organizations shall be

incorporated by reference, and preprinted checklists may be used

(Exhibit C to subpart A of this part 1260). Both special conditions and

provisions for grants with foreign organizations will be printed in

full text. An acceptance block may be added when the grant officer

finds it necessary to require bilateral execution of the grant. Program

budgets are not generally attached to the award document. When it is

necessary to attach the budget due to revisions to the original

proposed budget or other reasons, this information should be suitably

marked as confidential, and is not be disclosed outside of the

Government without the consent of the grantee.

Integrated Financial Management Project (IFMP) implementation will be

applied as follows:

(1) For research, education, and facilities grants, numbering shall

conform to (NFS) 48 CFR 1804.7102(a) by including the Center

Identification Number, except that a NAG prefix will be used in lieu of

the NAS prefix (e.g., NAG5 would be the Goddard prefix designation).

They will be sequentially numbered.

(2) Cooperative agreements will use the prefix NCC plus the Center

Identification Number. They will be sequentially numbered.

(3) Training grants will use the prefix NGT plus the Center

Identification Number. They will be sequentially numbered.

pt that a NAG prefix will be used in lieu of

the NAS prefix (e.g., NAG5 would be the Goddard prefix designation).

They will be sequentially numbered.

(2) Cooperative agreements will use the prefix NCC plus the Center

Identification Number. They will be sequentially numbered.

(3) Training grants will use the prefix NGT plus the Center

Identification Number. They will be sequentially numbered.

(4) The Catalog of Federal Domestic Assistance (CFDA) Numbers does

not apply to NASA grants.

(d) The Identification Numbering System will be revised after IFMP

implementation. There will be a phase-in term for Center implementation

of the IFMP. For centers using IFMP Performance Purchasing; the

following numbering system shall be used:

(1) Document Type for grants. For research, education, facilities,

and training grants, the document type prefix GR shall be used.

(2) Document Type for cooperative agreements. Cooperative

agreements will use the prefix CO.

(3) Agency Identifier. The Agency identifier NAS shall follow the

document number.

(4) Center Smart Codes. The Center identifier shall follow the

document type:

------------------------------------------------------------------------

Installation Smart code

------------------------------------------------------------------------

Ames Research Center......................... A

Dryden Flight Research Center................ D

Glenn Research Center........................ C

Goddard Space Flight Center.................. G

Headquarters................................. H

Johnson Space Center......................... J

Kennedy Space Center......................... K

Langley Research Center...................... L

Marshall Space Flight Center................. M

NASA Management Office-JPL................... P

Stennis Space Center......................... S

------------------------------------------------------------------------

(5) Fiscal Year. The fiscal year shall be represented as two

digits.

............. J

Kennedy Space Center......................... K

Langley Research Center...................... L

Marshall Space Flight Center................. M

NASA Management Office-JPL................... P

Stennis Space Center......................... S

------------------------------------------------------------------------

(5) Fiscal Year. The fiscal year shall be represented as two

digits.

(6) Procurement Code. ``G'' will be used as the procurement code to

identify grants. Cooperative Agreements will be identified using ``A''

as the procurement code.

(7) Serial Numbers. Installations shall number grants and

cooperative agreements serially by fiscal year. The serial number shall

be six digits commencing with ``000001'' and continuing in succession.

(8) As an example of the above set forth methodology, the first two

grants awarded by Marshall Space Flight Center in fiscal year 1999

would be GRNASM99G000001 and GRNASM99G000002.

(9) The Catalog of Federal Domestic Assistance (CFDA) Numbers does

not apply to NASA grants.

Sec. 1260.16 Distribution.

(a) Copies of grants and supplements will be provided to--

(1) Payment offices (original copy);

(2) Technical officers;

(3) Administrative grant officers when delegated;

(4) The NASA Center for AeroSpace Information (CASI), Attn:

Document Processing Section, 7121 Standard Drive, Hanover, MD 21076;

and

(5) Other appropriate offices as determined by the grant officer.

(b) In addition to receipt of grants and supplements, the

administrative grant officer will receive a copy of the approved

budget.

Provisions

Sec. 1260.20 Provisions.

ce Information (CASI), Attn:

Document Processing Section, 7121 Standard Drive, Hanover, MD 21076;

and

(5) Other appropriate offices as determined by the grant officer.

(b) In addition to receipt of grants and supplements, the

administrative grant officer will receive a copy of the approved

budget.

Provisions

Sec. 1260.20 Provisions.

(a) Research grants, education grants, and cooperative agreements

with U.S. educational institutions and nonprofit organizations shall

incorporate by reference the provisions set forth in Secs. 1260.21

through 1260.38. Training grants shall incorporate by reference the

provisions set forth in Secs. 1260.21 through 1260.38, except that the

grant officer will substitute Sec. 1260.22, Technical Publications and

Reports, with reporting requirements as specified by the program

office.

(b) Facilities grants provisions will be selected on a case-by-case

basis (please refer to Sec. 1260.50).

by Headquarters, will include the following provisions at a minimum:

Secs. 1260.21, 1260.22, 1260.23, 1260.24, 1260.25, 1260.26, 1260.27,

1260.29, 1260.33, 1260.35, 1260.36 and 1260.37. Additional special

conditions will be selected on a case by case basis (please refer to

1260.50). All provisions will be provided in full text. Referenced

handbooks, statutes, or other regulations, which the recipient may not

have access to, must be made available when requested by the foreign

organization.

, 1260.24, 1260.25, 1260.26, 1260.27,

1260.29, 1260.33, 1260.35, 1260.36 and 1260.37. Additional special

conditions will be selected on a case by case basis (please refer to

1260.50). All provisions will be provided in full text. Referenced

handbooks, statutes, or other regulations, which the recipient may not

have access to, must be made available when requested by the foreign

organization.

(d) The provisions set forth at Sec. 1260.21 through 1260.38 do not

apply to awards made under the Federal Demonstration Partnership (FDP).

FDP awards are subject to the FDP Phase III General Terms and

Conditions and the NASA Agency Specific Requirements Modifications to

the General Terms and Conditions (Exhibit D to subpart A of this part

1260). Since these documents are provided directly to the FDP

institutions, they are not to be attached to FDP grants. However, the

grant officer will include a statement similar to the following on FDP

grants: ``The Federal Demonstration Partnership General Terms and

Conditions and NASA Agency-specific Requirements apply to this award.''

(e) Grants or cooperative agreements awarded by NASA to the

Commercial Space Centers under the Space Development and Commercial

Research (SDCR) Program require special conditions in addition to those

set forth at Secs. 1260.21 through 1260.38. SDCR Special Conditions are

required to be included in full text for all SDCR Grants and

Cooperative Agreements (Exhibit E to subpart A of this part 1260).

Changes or additions to these Special Conditions must be approved by

the Office of Space Utilization and Product Development (Code UM) prior

to the award of the grant. Requests for changes or additions are to be

coordinated through the Office of Procurement, Program Operations

Division (Code HS).

text for all SDCR Grants and

Cooperative Agreements (Exhibit E to subpart A of this part 1260).

Changes or additions to these Special Conditions must be approved by

the Office of Space Utilization and Product Development (Code UM) prior

to the award of the grant. Requests for changes or additions are to be

coordinated through the Office of Procurement, Program Operations

Division (Code HS).

(f) Grants and cooperative agreements awarded by NASA to commercial

organizations where cost sharing is not required shall incorporate the

provisions set forth at Secs. 1260.21 through 1260.38, modified as set

forth under Sec. 1260.4(b).

(g) Grants and cooperative agreements not specifically classified

elsewhere in this section, but that are awarded for other authorized

purposes, shall include provisions selected on a case-by-case basis.

(h) Whenever the word ``grant'' appears in Secs. 1260.21 through

1260.38, it shall be deemed to include, as appropriate, the term

``cooperative agreement.''

Sec. 1260.21 Compliance with OMB Circular A-110.

Compliance With OMB Circular A-110 (Date)

This grant or cooperative agreement is subject to the

requirements set forth in OMB Circular A-110, Uniform Administrative

Requirements for Grants and Agreements with Institutions of Higher

Education, Hospitals, and Other Non-Profit Organizations. Recipients

are required to comply with the requirements of A-110, as adopted by

NASA as subpart B of part 1260 of title 14 of the Code of Federal

Regulations. Specific provisions set forth in this award document

are provided to supplement and clarify, not replace, the Circular,

except in circumstances where a waiver from Circular requirements

has been obtained by NASA.

[End of provision]

Sec. 1260.22 Technical publications and reports.

uirements of A-110, as adopted by

NASA as subpart B of part 1260 of title 14 of the Code of Federal

Regulations. Specific provisions set forth in this award document

are provided to supplement and clarify, not replace, the Circular,

except in circumstances where a waiver from Circular requirements

has been obtained by NASA.

[End of provision]

Sec. 1260.22 Technical publications and reports.

(This provision describes standard reporting requirements that

should be applied in most circumstances. The requirements set forth

under this provision may be modified by the grant officer based on

specific report needs for the grant or cooperative agreement, provided

that reporting requirements do not conflict with Sec. 1260.151. Any

special reporting requirements will be set forth as a special condition

in the award document.)

Technical Publications and Reports (Date)

(a) NASA encourages the widest practicable dissemination of

research results at any time during the course of the investigation.

All information disseminated as a result of the grant shall contain

a statement which acknowledges NASA's support and identifies the

grant by number (e.g., ``The material is based upon work supported

by NASA under award No(s) GRNASM99G000001, etc.'').

(b) Reports shall be in the English language, informal in

nature, and ordinarily not exceed three pages (not counting

bibliographies, abstracts, and lists of other media). The recipient

shall submit the following reports:

(1) A Progress Report for all but the final year of the grant.

Each report is due 60 days before the anniversary date of the grant

and shall briefly describe what was accomplished during the

reporting period as outlined in Sec. 1260.151(d). A special

condition specifying more frequent reporting may be required.

cts, and lists of other media). The recipient

shall submit the following reports:

(1) A Progress Report for all but the final year of the grant.

Each report is due 60 days before the anniversary date of the grant

and shall briefly describe what was accomplished during the

reporting period as outlined in Sec. 1260.151(d). A special

condition specifying more frequent reporting may be required.

(2) A Summary of Research (or Educational Activity Report in the

case of Education Grants) is due within 90 days after the expiration

date of the grant, regardless of whether or not support is continued

under another grant. This report shall be a comprehensive summary of

significant accomplishments during the duration of the grant.

Activity Reports shall include the following on the first page:

(1) Title of the grant.

(2) Type of report.

(3) Name of the principal investigator.

(4) Period covered by the report.

(5) Name and address of the recipient's institution.

(6) Grant number.

(d) Progress Reports, Summaries of Research, and Educational

Activity Reports shall be distributed as follows:

(1) The original report, in both hard copy and electronic

format, to the Technical Officer.

(2) One copy to the NASA Grant Officer, with a notice to the

Administrative Grant Officer, (when administration of the grant has

been delegated to ONR), that a report was sent.

(e) For Summaries of Research and published reports, one

microreproducible copy shall also be sent to the NASA Center for

AeroSpace Information (CASI), Attn: Document Processing Section, 7121

Standard Drive, Hanover, MD 21076.

[End of provision]

Sec. 1260.23 Extensions.

Extensions (Date)

ve Grant Officer, (when administration of the grant has

been delegated to ONR), that a report was sent.

(e) For Summaries of Research and published reports, one

microreproducible copy shall also be sent to the NASA Center for

AeroSpace Information (CASI), Attn: Document Processing Section, 7121

Standard Drive, Hanover, MD 21076.

[End of provision]

Sec. 1260.23 Extensions.

Extensions (Date)

(a) It is NASA policy to provide maximum possible continuity in

funding grant-supported research and educational activities,

therefore, grants may be extended for additional periods of time

when necessary to complete work that was part of the original award.

NASA generally only approves such extensions within funds already

made available. Any extension that would require additional funding

must be supported by a proposal submitted at least three months in

advance of the expiration date of the grant.

(b) In accordance with Sec. 1260.125(e)(2), Recipients may

extend the expiration date of a grant 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. For this purpose, the recipient may make a one-time

no-cost extension, not to exceed 12 months, prior to the established

expiration date. Written notification of such an extension request,

with the supporting reasons, must be received by the NASA Grant

Officer at least ten days prior to the expiration of the award. A

copy of the extension request must also be forwarded to cognizant

Office of Naval Research office. NASA reserves the right to

disapprove the extension if the requirements set forth at

Sec. 1260.125(e)(2) are not met.

tten notification of such an extension request,

with the supporting reasons, must be received by the NASA Grant

Officer at least ten days prior to the expiration of the award. A

copy of the extension request must also be forwarded to cognizant

Office of Naval Research office. NASA reserves the right to

disapprove the extension if the requirements set forth at

Sec. 1260.125(e)(2) are not met.

be submitted in writing to the NASA Grant Officer. Copies are to be

forwarded to the cognizant Office of Naval Research office.

[End of provision]

Sec. 1260.24 Termination and enforcement.

Termination and Enforcement (Date)

As a clarification to the termination and enforcement conditions

of this award specified in Secs. 1260.160 through 1260.162, although

NASA's policy is to consult with the recipient, NASA reserves the

right to suspend or terminate the award without prior notice when it

believes such action is necessary to protect the interest of the

Government.

[End of provision]

Sec. 1260.25 Change in principal investigator or scope.

Change in Principal Investigator or Scope (Date)

The following guidance is provided as an amplification to prior

approval requirements set forth at Sec. 1260.125(c):

(a) The Recipient shall obtain the approval of the NASA Grant

Officer for a change of the principal investigator, or for a

significant absence of the Principal Investigator from the project,

defined as a three month absence from the program or a 25 percent

reduction in time devoted to the project. Significantly reduced

availability of the services of the principal investigator(s) named

in the grant instrument could be grounds for termination, unless

alternative arrangements are made and approved in writing by the

Grant Officer.

(b) Prior written approval is required from NASA if there is to

be a significant change in the objective or scope.

[End of provision]

Sec. 1260.26 Financial management.

Financial Management (Date)

he services of the principal investigator(s) named

in the grant instrument could be grounds for termination, unless

alternative arrangements are made and approved in writing by the

Grant Officer.

(b) Prior written approval is required from NASA if there is to

be a significant change in the objective or scope.

[End of provision]

Sec. 1260.26 Financial management.

Financial Management (Date)

(a) Advance payments by electronic funds transfer will be made

by the Financial Management Office of the NASA Center which issued

the grant in accordance with procedures provided to the recipient.

The recipient shall submit Federal Cash Transaction Reports (SF 272)

to the aforementioned office and to the Administrative Grant Officer

(if NASA has delegated administration) within 15 working days

following the end of each Federal fiscal quarter, containing current

estimates of the cash requirements for each of the four months

following the quarter being reported. The final SF 272 is due within

90 days after the expiration date of the grant. The final SF 272

shall be submitted to the Financial Management Office, with copies

sent to the NASA Grant Officer, and to the Administrative Grant

Officer when the Office of Naval Research (ONR) has been delegated

grant closeout responsibilities.

(b) Unless otherwise directed by the Grant Officer, any

unexpended balance of funds which remains at the end of any funding

period, except the final funding period of the grant, shall be

carried over to the next funding period, and may be used to defray

costs of any funding period of the grant. This includes allowing the

carry over of funds to the second and subsequent years of a multiple

year grant. This provision also applies to subcontractors performing

substantive work under the grant. For grant renewals, the estimated

amount of unexpended funds shall be identified in the grant budget

section of the recipient's renewal proposal

o defray

costs of any funding period of the grant. This includes allowing the

carry over of funds to the second and subsequent years of a multiple

year grant. This provision also applies to subcontractors performing

substantive work under the grant. For grant renewals, the estimated

amount of unexpended funds shall be identified in the grant budget

section of the recipient's renewal proposal. NASA reserves the right

to remove unexpended balances from grants when insufficient efforts

have been made by the grantee to liquidate funding balances in a

timely fashion.

[End of provision]

Sec. 1260.27 Equipment and other property.

Equipment and Other Property (Date)

(a) On an exceptional basis, NASA permits acquisition of special

purpose and general purpose equipment specifically required for use

exclusively for research activities.

(1) Acquisition of special purpose or general purpose equipment

costing in excess of $5,000 (unless a lower threshold has been

established by the recipient) and not included in the approved

proposal budget, requires the prior approval of the NASA Grant

Officer. Requests to the NASA Grant Officer for the acquisition of

equipment shall be supported by written documentation setting forth

the description, purpose, and acquisition value of the equipment,

and including a written certification that the equipment will be

used exclusively for research, activities. (A change in the model

number of a prior approved piece of equipment does not require re-

submission for that item.)

Grant Officer for the acquisition of

equipment shall be supported by written documentation setting forth

the description, purpose, and acquisition value of the equipment,

and including a written certification that the equipment will be

used exclusively for research, activities. (A change in the model

number of a prior approved piece of equipment does not require re-

submission for that item.)

(2) NASA may elect to take title to items of special purpose or

general purpose equipment after it is no longer necessary for

performance of the grant. The recipient will be advised of the

Government's intention to take title in writing if the item is

approved for recipient purchase. Generally, the notification is made

through inclusion of the special condition at 1260.66, Listing of

Reportable Equipment and Other Property. If the Government does not

exercise its right to take title to property acquired by the

recipient with grant funds at the time the acquisition is approved,

the property will be considered exempt according to 1260.133(b).

When property is classified as exempt, the recipient shall hold

title without further obligation to the Federal Government,

including reporting of the equipment.

(3) Special purpose or general purpose equipment acquired by the

recipient with grant funds, valued under $5,000 (unless a lower

threshold is established by the recipient) are classified as

``supplies,'' do not require the prior approval of the NASA Grant

Officer, shall vest in the recipient, and will be considered

``exempt'' in accordance with 1260.133(b).

(4) Grant funds may be expended for the acquisition of land or

interests therein or for the acquisition and construction of

facilities only under a facilities grant, as defined in 1260.12(g).

the recipient) are classified as

``supplies,'' do not require the prior approval of the NASA Grant

Officer, shall vest in the recipient, and will be considered

``exempt'' in accordance with 1260.133(b).

(4) Grant funds may be expended for the acquisition of land or

interests therein or for the acquisition and construction of

facilities only under a facilities grant, as defined in 1260.12(g).

(b) The recipient shall submit an annual Inventory Report, to be

received no later than October 31 of each year, which lists all

reportable (non-exempt equipment and/or Federally owned property) in

its custody as of September 30. Negative responses for annual

Inventory Reports (when there is no reportable equipment) are not

required. A Final Inventory Report of Federally Owned Property,

including equipment where title was taken by the Government, will be

submitted by the recipient no later than 60 days after the

expiration date of the grant. Negative responses for Final Inventory

Reports are required.

(1) All reports will include the information listed in paragraph

(f)(1) of 1260.134, Equipment. No specific report form or format is

required, provided that all necessary information set forth at

1260.134(f)(1) is provided.

(2) The original of each report shall be submitted to the Center

Deputy Chief Financial Officer, Finance (DCFO(F)). Copies shall be

furnished to the Center Industrial Property Officer and to ONR.

[End of provision]

Sec. 1260.28 Patent rights.

Patent Rights (Date)

As stated at 1260.136, this award is subject to the provisions

of 37 CFR 401.3(a) which requires use of the standard clause set out

at 37 CFR 401.14 ``Patent Rights (Small Business Firms and Nonprofit

Organizations)'' and the following:

(a) Where the term ``contract'' or ``contractor'' is used in the

``Patent Rights'' clause, the term shall be replaced by the term

``grant'' or ``recipient,'' respectively.

260.136, this award is subject to the provisions

of 37 CFR 401.3(a) which requires use of the standard clause set out

at 37 CFR 401.14 ``Patent Rights (Small Business Firms and Nonprofit

Organizations)'' and the following:

(a) Where the term ``contract'' or ``contractor'' is used in the

``Patent Rights'' clause, the term shall be replaced by the term

``grant'' or ``recipient,'' respectively.

(b) In each instance where the term ``Federal Agency,''

``agency,'' or ``funding Federal agency'' is used in the ``Patent

Rights'' clause, the term shall be replaced by the term ``NASA.''

``Patent Rights'' clause is at 37 CFR part 404, Licensing of

Government-owned Inventions.

(d) The following item is added to the end of paragraph (f) of

the ``Patent Rights'' clause: ``(5) The recipient shall include a

list of any Subject Inventions required to be disclosed during the

preceding year in the performance report, technical report, or

renewal proposal. A complete list (or a negative statement) for the

entire award period shall be included in the summary of research.''

(e) The term ``subcontract'' in paragraph (g) of the ``Patent

Rights'' clause shall include purchase orders.

(f) The NASA implementing regulation for paragraph (g)(2) of the

``Patent Rights'' clause is at 48 CFR 1827.304-4(a)(i)(B).

(g) The following requirement constitutes paragraph (l) of the

``Patent Rights'' clause:

``(l) Communications. A copy of all submissions or requests

required by this clause, plus a copy of any reports, manuscripts,

publications or similar material bearing on patent matters, shall be

sent to the Center Patent Counsel and the NASA Grant Officer in

addition to any other submission requirements in the grant

provisions

hich bear

a direct relation to, the performance of specified NASA activities

under this agreement and, upon timely request, will use reasonable

efforts to grant the recipient an exclusive, or partially exclusive,

revocable, royalty-bearing license, subject to the retention of a

royalty-free right of the Government to practice or have practiced

the invention by or on behalf of the Government.

(i) In the event NASA contractors are tasked to perform work in

support of specified activities under a cooperative agreement and

inventions are made by contractor employees, the recipient will

normally retain title to its employee inventions in accordance with

35 U.S.C. 202, 14 CFR part 1245, and Executive Order 12591. In the

event the recipient decides not to pursue rights to title in any

such invention and NASA obtains title to such inventions, NASA will

use reasonable efforts to report such inventions and, upon timely

request, will use reasonable efforts to grant the recipient an

exclusive, or partially exclusive, revocable, royalty-bearing

license, subject to the retention of a royalty-free right of the

Government to practice or have practiced the invention by or on

behalf of the Government.

[End of provision]

Sec. 1260.29 Invention reporting and rights.

(The grant officer may revise the language under paragraph (d) of

this provision to modify each party's rights based on the particular

circumstances of the program and/or the recipient's need to protect

specific proprietary information. Any modification to the standard

language set forth under the provision requires the concurrence of the

Center's Patent Counsel and the provision be printed in full text.)

Invention Reporting and Rights (Date)

agraph (d) of

this provision to modify each party's rights based on the particular

circumstances of the program and/or the recipient's need to protect

specific proprietary information. Any modification to the standard

language set forth under the provision requires the concurrence of the

Center's Patent Counsel and the provision be printed in full text.)

Invention Reporting and Rights (Date)

(a) As used in this provision:

(1) The term ``invention'' means any invention or discovery

which is or may be patentable or otherwise protectable under Title

35 of the United States Code, or any novel variety of plant which is

or may be protected under the Plant Variety Protection Act (7 U.S.C.

2321 et seq.).

(2) The term ``made'' when used in relation to any invention

means the conception or first actual reduction to practice of such

invention.

(b) The recipient shall report promptly to the grant officer

each invention made in the performance of work under this grant. The

report of such invention shall--

(1) Identify the inventor(s) by full name; and

(2) Include such full and complete technical information

concerning the invention as is necessary to enable an understanding

of the nature and operation thereof.

Invention and New Technology (Including Software).

(d) The recipient hereby grants to the Government of the United

States of America, as represented by the Administrator of the

National Aeronautics and Space Administration, the full rights,

title, and interest in and to each such invention throughout the

world.

Sec. 1260.30 Rights in data.

rting shall be made on NASA Form 1679 Disclosure of

Invention and New Technology (Including Software).

(d) The recipient hereby grants to the Government of the United

States of America, as represented by the Administrator of the

National Aeronautics and Space Administration, the full rights,

title, and interest in and to each such invention throughout the

world.

Sec. 1260.30 Rights in data.

(The grant officer may revise the language under this provision to

modify each party's rights based on the particular circumstances of the

program and/or the recipients need to protect specific proprietary

information. Any modification to the standard language set forth under

the provision requires the concurrence of the Center's Patent Counsel

and that the provision be printed in full text.)

Rights in Data (Date)

(a) Fully Funded Efforts.

(1) ``Data'' means recorded information, regardless of form, the

media on which it may be recorded, or the method of recording. The

term includes, but is not limited to, data of a scientific or

technical nature, computer software and documentation thereof, and

data comprising commercial and financial information.

(2) The recipient grants to the Federal Government, a royalty-

free, nonexclusive and irrevocable license to use, reproduce,

distribute (including distribution by transmission) to the public,

perform publicly, prepare derivative works, and display publicly,

data in whole or in part and in any manner for Federal purposes and

to have or permit others to do so for Federal purposes only.

(3) In order that the Federal Government may exercise its

license rights in data, the Federal Government, upon request to the

recipient, shall have the right to review and/or obtain delivery of

data resulting from the performance of work under this grant, and

authorize others to receive data to use for Federal purposes.

urposes and

to have or permit others to do so for Federal purposes only.

(3) In order that the Federal Government may exercise its

license rights in data, the Federal Government, upon request to the

recipient, shall have the right to review and/or obtain delivery of

data resulting from the performance of work under this grant, and

authorize others to receive data to use for Federal purposes.

(b) Cost Sharing and/or Matching Efforts. When the recipient

cost shares with the Government on the effort, the following is

added:

``(5) In the event data first produced by recipient in carrying

out recipient's responsibilities under an agreement is furnished to

NASA, and recipient considers such data to embody trade secrets or

to comprise commercial or financial information which is privileged

or confidential, and such data is so identified with a suitable

notice or legend, the data will be maintained in confidence and

disclosed and used by the Government and its contractors (under

suitable protective conditions) only for experimental, evaluation,

research and development purposes, by or on behalf of the Government

for an agreed to period of time, and thereafter for Federal purposes

as defined in Sec. 1260.30(a)(2).''

``(#) As to data first produced by NASA in carrying out NASA's

responsibilities under a cooperative agreement and which data would

embody trade secrets or would comprise commercial or financial

information that is privileged or confidential if it has been

obtained from the recipient, such data will be marked with an

appropriate legend and maintained in confidence for 5 years (unless

a shorter period has been agreed to between the Government and

recipient) after development of the information, with the express

understanding that during the aforesaid period such data may be

disclosed and used (under suitable protective conditions) by or on

behalf of the Government for Government purposes only, and

thereafter for any purpo

d and maintained in confidence for 5 years (unless

a shorter period has been agreed to between the Government and

recipient) after development of the information, with the express

understanding that during the aforesaid period such data may be

disclosed and used (under suitable protective conditions) by or on

behalf of the Government for Government purposes only, and

thereafter for any purpose whatsoever without restriction on

disclosure and use. Recipient agrees not to disclose such data to

any third party without NASA's written approval until the

aforementioned restricted period expires.''

[End of provision]

Sec. 1260.31 National security.

National Security (Date)

Normally, NASA grants do not involve classified information.

However, if it is known in advance that a grant involves classified

information or if the work on the grant is likely to develop

classified information, individuals performing on the grant who will

have access to the information must obtain the appropriate security

clearance in advance of performing on the grant, in accordance with

NASA Policy Guidance (NPG) 1620.1 Security Procedures and

Guidelines. When access to classified information is not originally

anticipated in the performance of a grant, but such information is

subsequently sought or potentially developed by the grant recipient,

the NASA Grant Officer who issued the grant shall be notified

immediately, and prior to work under the grant proceeding, to

implement the appropriate clearance requirements.

[End of provision]

Sec. 1260.32 Nondiscrimination.

Nondiscrimination (Date)

inally

anticipated in the performance of a grant, but such information is

subsequently sought or potentially developed by the grant recipient,

the NASA Grant Officer who issued the grant shall be notified

immediately, and prior to work under the grant proceeding, to

implement the appropriate clearance requirements.

[End of provision]

Sec. 1260.32 Nondiscrimination.

Nondiscrimination (Date)

(a) To the extent provided by law and any applicable agency

regulations, this award and any program assisted thereby are subject

to the provisions of Title VI of the Civil Rights Act of 1964

(Public Law 88-352), Title IX of the Education amendments of 1972

(Public Law 92-318, 20 U.S.C. 1681 et seq.), Section 504 of the

Rehabilitation Act of 1973 (29 U.S.C. 794), the Age Discrimination

Act of 1975 (Public Law 94-135), the implementing regulations issued

pursuant thereto by NASA, and the assurance of compliance which the

recipient has filed with NASA.

(b) The recipient shall obtain from each organization that

applies or serves as a subrecipient, contractor or subcontractor

under this award (for other than the provision of commercially

available supplies, materials, equipment, or general support

services) an assurance of compliance as required by NASA

regulations.

of the Civil Rights Act

of 1964 (Public Law 88-352; 42 U.S.C. 2000d-l), Title IX of the

Education Amendments of 1972 (20 U.S.C. 1680 et seq.), Section 504

of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794), the

Age Discrimination Act of 1975 (42 U.S.C. 6101 et seq.), and the

NASA implementing regulations (14 CFR parts 1250, 1251, 1252, and

1253).

[End of provision]

Sec. 1260.33 Subcontracts.

Subcontracts (Date)

Public Law 88-352; 42 U.S.C. 2000d-l), Title IX of the

Education Amendments of 1972 (20 U.S.C. 1680 et seq.), Section 504

of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794), the

Age Discrimination Act of 1975 (42 U.S.C. 6101 et seq.), and the

NASA implementing regulations (14 CFR parts 1250, 1251, 1252, and

1253).

[End of provision]

Sec. 1260.33 Subcontracts.

Subcontracts (Date)

(a) Recipients shall notify NASA when a subcontract award will

be made that falls within the thresholds established at

Sec. 1260.144(e). When pre-award review of a subcontract is

requested by the NASA Grant Officer in accordance with

Sec. 1260.144(e), the following specific documents will be made

available to the NASA Grant Officer. (The Grant Officer can request

additional documents):

(1) A copy of the proposed subcontract.

(2) The basis for subcontractor selection.

(3) Justification for lack of competition when competitive bids

or offers are not obtained.

(4) The subcontract budget and basis for subcontract cost or

price.

(b) The recipient (with the exception of foreign organizations)

shall utilize small business concerns, small disadvantaged business

concerns, Historically Black Colleges and Universities, minority

educational institutions, and women-owned small business concerns as

subcontractors to the maximum extent practicable.

[End of provision]

Sec. 1260.34 Clean air and water.

Clean Air and Water (Date)

(Applicable only if the award exceeds $100,000, or a facility to

be used has been the subject of a conviction under the Clean Air Act

(42 U.S.C. 1857c-8(c)(1) or the Federal Water Pollution Control Act

(33 U.S.C. 1319(c)), and is listed by EPA, or if the award is not

otherwise exempt). The recipient agrees to the following:

(a) Comply with applicable standards, orders or regulations

issued pursuant to the Clean Air Act, as amended (42 U.S.C. 7401 et

seq.) and of the Federal Water Pollution Control Act (33 U.S.C. 1251

et seq.).

U.S.C. 1857c-8(c)(1) or the Federal Water Pollution Control Act

(33 U.S.C. 1319(c)), and is listed by EPA, or if the award is not

otherwise exempt). The recipient agrees to the following:

(a) Comply with applicable standards, orders or regulations

issued pursuant to the Clean Air Act, as amended (42 U.S.C. 7401 et

seq.) and of the Federal Water Pollution Control Act (33 U.S.C. 1251

et seq.).

(b) Ensure that no portion of the work under this award will be

performed in a facility listed on the Environmental Protection

Agency (EPA) List of Violating Facilities on the date that this

award was effective unless and until the EPA eliminates the name of

such facility or facilities from such listings.

clean water standards at the facility in which the award is being

performed.

(d) Insert the substance of the provisions of this clause into

any nonexempt subaward or contract under the award.

(e) Report violations to NASA or to EPA.

[End of provision]

Sec. 1260.35 Investigative requirements.

Investigative Requirements (Date)

(a) As requested by NASA, the recipient of each grant, and any

other individuals to perform on the grant, agree to provide

sufficient personal/biographical information necessary to conduct an

investigation of the individual's background. The purpose of the

investigation is to allow access to a NASA Center, or to NASA

information, for performance of this grant. The recipient

acknowledges that NASA reserves the right to perform security

checks, and to deny or restrict access to a NASA Center, facility,

computer system, or technical information as appropriate.

(b) All visit requests must be submitted in a timely manner in

accordance with instructions provided by the Center(s) to be

visited.

[End of provision]

Sec. 1260.36 Travel and transportation.

Travel and Transportation (Date)

ASA reserves the right to perform security

checks, and to deny or restrict access to a NASA Center, facility,

computer system, or technical information as appropriate.

(b) All visit requests must be submitted in a timely manner in

accordance with instructions provided by the Center(s) to be

visited.

[End of provision]

Sec. 1260.36 Travel and transportation.

Travel and Transportation (Date)

(a) The Fly American Act, 49 U.S.C. 1517, requires the recipient

to use U.S. flag air carriers for international air transportation

of personnel and property to the extent that service by those

carriers is available.

(b) Department of Transportation regulations, 49 CFR part 173,

govern recipient shipment of hazardous materials and other items.

[End of provision]

Sec. 1260.37 Safety.

Safety (Date)

(a) The recipient shall act responsibly in matters of safety and

shall take all reasonable safety measures in performing under this

grant or cooperative agreement. The recipient shall comply with all

applicable federal, state, and local laws relating to safety. The

recipient shall maintain a record of, and will notify the NASA Grant

Officer of any accident involving death, disabling injury or

substantial loss of property. The recipient will advise NASA of

hazards that come to its attention as a result of the work performed

through routine status reports furnished in compliance with this

grant or cooperative agreement.

(b) Where the work under this grant or cooperative agreement

involves flight hardware, the hazardous aspects, if any, of such

hardware will be identified, in writing, by the recipient.

Compliance with this provision by subcontractors shall be the

responsibility of the recipient.

[End of provision]

Sec. 1260.38 Drug-free workplace.

Drug-Free Workplace (Date)

grant or cooperative agreement.

(b) Where the work under this grant or cooperative agreement

involves flight hardware, the hazardous aspects, if any, of such

hardware will be identified, in writing, by the recipient.

Compliance with this provision by subcontractors shall be the

responsibility of the recipient.

[End of provision]

Sec. 1260.38 Drug-free workplace.

Drug-Free Workplace (Date)

(a) Definitions. As used in this provision--

Controlled substance means a controlled substance in schedules I

through V of section 202 of the Controlled Substances Act (21 U.S.C.

812) and as further defined in regulation at 21 CFR 1308.11 through

1308.15.

Conviction means a finding of guilt (including a plea of nolo

contendere) or imposition of sentence, or both, by any judicial body

charged with the responsibility to determine violations of the

Federal or State criminal drug statutes.

Criminal drug statute means a Federal or non-Federal criminal

statute involving the manufacture, distribution, dispensing,

possession, or use of any controlled substance.

Drug-free workplace means the site(s) for the performance of

work done by the Recipient in connection with a specific grant or

cooperative agreement at which employees of the Recipient are

prohibited from engaging in the unlawful manufacture, distribution,

dispensing, possession, or use of a controlled substance.

Employee means an employee of a Recipient directly engaged in

the performance of work under a Government grant or cooperative

agreement. ``Directly engaged'' is defined to include all direct

cost employees and any other Recipient employee who has other than a

minimal impact or involvement in performance of the grant or

cooperative agreement.

Individual means a proposer/recipient that has no more than one

employee including the proposer/recipient.

d in

the performance of work under a Government grant or cooperative

agreement. ``Directly engaged'' is defined to include all direct

cost employees and any other Recipient employee who has other than a

minimal impact or involvement in performance of the grant or

cooperative agreement.

Individual means a proposer/recipient that has no more than one

employee including the proposer/recipient.

(b) The Recipient, if other than an individual, shall--within 30

days after award (unless a longer period is agreed to in writing),

or as soon as possible for grants and cooperative agreements of less

than 30 days performance duration--

(1) Publish a statement notifying its employees that the

unlawful manufacture, distribution, dispensing, possession, or use

of a controlled substance is prohibited in the Recipient's workplace

and specifying the actions that will be taken against employees for

violations of such prohibition;

(2) Establish an ongoing drug-free awareness program to inform

such employees about--

(i) The dangers of drug abuse in the workplace;

(ii) The Recipient's policy of maintaining a drug-free

workplace;

(iii) Any available drug counseling, rehabilitation, and

employee assistance programs; and

(iv) The penalties that may be imposed upon employees for drug

abuse violations occurring in the workplace;

(3) Provide all employees engaged in performance of the grant or

cooperative agreement with a copy of the statement required by

paragraph (b)(1) of this provision;

(4) Notify such employees in writing in the statement required

by paragraph (b)(1) of this provision that, as a condition of

continued employment on the grant or cooperative agreement, the

employee will--

urring in the workplace;

(3) Provide all employees engaged in performance of the grant or

cooperative agreement with a copy of the statement required by

paragraph (b)(1) of this provision;

(4) Notify such employees in writing in the statement required

by paragraph (b)(1) of this provision that, as a condition of

continued employment on the grant or cooperative agreement, the

employee will--

(i) Abide by the terms of the statement; and

(ii) Notify the employer in writing of the employee's conviction

under a criminal drug statute for a violation occurring in the

workplace no later than 5 days after such conviction;

(5) Notify the Grant Officer in writing within 10 days after

receiving notice under paragraph (b)(4)(ii) of this provision, from

an employee or otherwise receiving actual notice of such conviction.

The notice shall include the position title of the employee;

(6) Within 30 days after receiving notice under paragraph

(b)(4)(ii) of this provision of

a conviction, take one of the following actions with respect to any

employee who is convicted of a drug abuse violation occurring in the

workplace:

(i) Taking appropriate personnel action against such employee,

up to and including termination; or

(ii) Require such employee to satisfactorily participate in a

drug abuse assistance or rehabilitation program approved for such

purposes by a Federal, State, or local health, law enforcement, or

other appropriate agency; and

(7) Make a good faith effort to maintain a drug-free workplace

through implementation of paragraphs (b)(1) though (b)(6) of this

provision.

grant or cooperative agreement, not to engage in the unlawful

manufacture, distribution, dispensing, possession, or use of a

controlled substance during performance.

(d) In addition to other remedies available to the Government,

the Recipient's failure to comply with the requirements of paragraph

ugh (b)(6) of this

provision.

grant or cooperative agreement, not to engage in the unlawful

manufacture, distribution, dispensing, possession, or use of a

controlled substance during performance.

(d) In addition to other remedies available to the Government,

the Recipient's failure to comply with the requirements of paragraph

(b) or (c) of this provision may render the Recipient subject to

suspension of payments, termination of the grant or cooperative

agreement, and suspension or debarment.

[End of provision]

Special Conditions

Sec. 1260.50 Special conditions.

(a) In addition to the provisions set forth in Secs. 1260.21

through 1260.38, NASA grants and cooperative agreements are subject to

special conditions, which either are not applicable to all awards or

are temporary in nature. Examples are found in Secs. 1260.51 through

1260.69, but NASA may impose other conditions as discussed in

Sec. 1260.114 or as the requirements dictate. Deviations are not

required for changes made to special conditions.

(b) Special conditions will be printed in full text.

case-by-case basis. As appropriate, the requirements of the following

sections will apply: Sec. 1260.123(c), Cost Sharing or Matching;

Sec. 1260.125(h), Revision of Budget and Program Plans; and

Sec. 1260.132, Real Property.

(d) Research grants with foreign organizations will include special

conditions at Secs. 1260.59 through 1260.61, modified as necessary,

when not covered under a Memorandum of Agreement (MOA). In addition,

other special conditions (e.g., Secs. 1260.62 through 1260.65) will be

written with the aid of legal counsel, and added when necessary.

Sec. 1260.51 Cooperative agreement special condition.

Cooperative Agreement Special Condition (Date)

will include special

conditions at Secs. 1260.59 through 1260.61, modified as necessary,

when not covered under a Memorandum of Agreement (MOA). In addition,

other special conditions (e.g., Secs. 1260.62 through 1260.65) will be

written with the aid of legal counsel, and added when necessary.

Sec. 1260.51 Cooperative agreement special condition.

Cooperative Agreement Special Condition (Date)

(a) This award is a cooperative agreement as it is anticipated

there will be substantial NASA involvement during performance of the

effort. NASA and the recipient mutually agree to the following

statement of anticipated cooperative interactions which may occur

during the performance of this effort:

(Reference the approved proposal that contains a detailed

description of the work and insert a concise statement of the exact

nature of the cooperative interactions that deals with existing

facts and not contingencies.)

(b) The terms ``grant'' and ``recipient'' mean ``cooperative

agreement'' and ``recipient of cooperative agreement,''

respectively, wherever the terms appear in provisions and special

conditions included in this agreement.

effort under this cooperative agreement is subject to the

availability of appropriated funds and nothing in this cooperative

agreement commits the United States Congress to appropriate funds

therefor.

Sec. 1260.52 Multiple year grant or cooperative agreement.

Multiple Year Grant or Cooperative Agreement (Date)

This is a multiple year grant or cooperative agreement.

Contingent on the availability of funds, scientific progress of the

project, and continued relevance to NASA programs, NASA anticipates

continuing support at approximately the following levels:

Second year $________, Anticipated funding date ________.

Third year $________, Anticipated funding date ________.

(Periods may be added or omitted, as applicable)

Sec. 1260.53 Incremental funding.

Incremental Funding (Date)

ility of funds, scientific progress of the

project, and continued relevance to NASA programs, NASA anticipates

continuing support at approximately the following levels:

Second year $________, Anticipated funding date ________.

Third year $________, Anticipated funding date ________.

(Periods may be added or omitted, as applicable)

Sec. 1260.53 Incremental funding.

Incremental Funding (Date)

(a) Only $________ of the amount indicated on the face of this

award is available for payment and allotted to this award. NASA

contemplates making additional allotments of funds during

performance of this effort. It is anticipated that these funds will

be obligated as appropriated funds become available without any

action required by the recipient. The recipient will be given

written notification by the NASA Grant Officer.

(b) The recipient agrees to perform work up to the point at

which the total amount paid or payable by the Government

approximates but does not exceed the total amount actually allotted

to this grant or cooperative agreement. NASA is not obligated to

reimburse the recipient for the expenditure of amounts in excess of

the total funds allotted by NASA to this grant or cooperative

agreement. The recipient is not authorized to continue performance

beyond the amount allotted to this award.

Sec. 1260.54 Cost sharing.

Cost Sharing (Date)

(a) NASA and the recipient will share in providing the resources

necessary to perform the agreement. NASA funding and non-cash

contributions (personnel, equipment, facilities, etc.) and the

dollar value of the recipient's cash and/or non-cash contribution

will be on a ____ percent NASA; ____ percent recipient basis.

(b) The funding and non-cash contributions by both parties is

represented by the following dollar amounts:

Government Share-------------------------------------------------------

Recipient Share--------------------------------------------------------

Total Amount-----------------------------------------------------------

ontribution

will be on a ____ percent NASA; ____ percent recipient basis.

(b) The funding and non-cash contributions by both parties is

represented by the following dollar amounts:

Government Share-------------------------------------------------------

Recipient Share--------------------------------------------------------

Total Amount-----------------------------------------------------------

allocability of cash and non-cash contributions shall be governed by

Sec. 1260.123, Cost Sharing or Matching. The applicable Federal cost

principles are cited in Sec. 1260.127.

(d) The recipient's share shall not be charged to the Government

under this agreement or under any other contract, grant, or

cooperative agreement.

Sec. 1260.55 Reports substitution.

Reports Substitution (Date)

Technical Reports may be substituted for the required

Performance Reports. The title page of such reports shall clearly

indicate that the substitution has been made and will show the

period covered by the originally required Performance Report.

Sec. 1260.56 Withholding.

Withholding (Date)

If a recipient fails to comply with the terms and conditions of

this grant or cooperative agreement, including reporting

requirements, NASA may withhold advance payments under this award,

and may also withhold future awards to the recipient, pending

correction of the deficiency by the recipient. If advance payments

are withheld, the Grant Officer will notify the NASA Financial

Management Office when payments may resume.

Sec. 1260.57 New technology.

New Technology (Date)

perative agreement, including reporting

requirements, NASA may withhold advance payments under this award,

and may also withhold future awards to the recipient, pending

correction of the deficiency by the recipient. If advance payments

are withheld, the Grant Officer will notify the NASA Financial

Management Office when payments may resume.

Sec. 1260.57 New technology.

New Technology (Date)

(a) Definitions.

Administrator, as used in this special condition, means the

Administrator of the National Aeronautics and Space Administration

(NASA) or duly authorized representative.

Grant, as used in this special condition, means any actual or

proposed grant, cooperative agreement, understanding, or other

arrangement, and includes any assignment, substitution of parties,

or subcontract executed or entered into thereunder.

Made, as used in this special condition, means conception or

first actual reduction to practice; provided, that in the case of a

variety of plant, the date of determination (as defined in section

41(d) of the Plant Variety Protection Act, 7 U.S.C. 2401(d)) must

also occur during the period of grant performance.

Nonprofit organization, as used in this special condition, 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 U.S.C. 501(c)) and exempt from

taxation under section 501(a) of the Internal Revenue Code (26

U.S.C. 501(a)), or any domestic nonprofit scientific or educational

organization qualified under a State nonprofit organization statute

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 U.S.C. 501(c)) and exempt from

taxation under section 501(a) of the Internal Revenue Code (26

U.S.C. 501(a)), or any domestic nonprofit scientific or educational

organization qualified under a State nonprofit organization statute.

Practical application, as used in this special condition, 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 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.

Reportable item, as used in this special condition, means any

invention, discovery, improvement, or innovation of the grantee,

whether or not patentable or otherwise protectable under Title 35 of

the United States Code, made in the performance of any work under

any NASA grant or in the performance of any work that is

reimbursable under any provision in any NASA grant providing for

reimbursement of costs incurred before the effective date of the

grant. Reportable items include, but are not limited to, new

processes, machines, manufactures, and compositions of matter, and

improvements to, or new applications of, existing processes,

machines, manufactures, and compositions of matter. Reportable items

also include new computer programs, and improvements to, or new

applications of, existing computer programs, whether or not

copyrightable or otherwise protectable under Title 17 of the United

States Code.

Small business firm, as used in this special condition, means a

domestic small business concern as defined at 15 U.S.C. 632 and

implementing regulations (see 13 CFR 121.401 through 121.413) of the

Administrator of the Small Business Administration

new

applications of, existing computer programs, whether or not

copyrightable or otherwise protectable under Title 17 of the United

States Code.

Small business firm, as used in this special condition, means a

domestic small business concern as defined at 15 U.S.C. 632 and

implementing regulations (see 13 CFR 121.401 through 121.413) of the

Administrator of the Small Business Administration.

Subject invention, as used in this special condition, means any

reportable item which is or may be patentable or otherwise

protectible under Title 35 of the United States Code, or any novel

variety of plant that is or may be protectable under the Plant

Variety Protection Act (7 U.S.C. 2321 et seq.).

(b) Allocation of principal rights.

(1) Presumption of title.

(i) Any reportable item that the Administrator considers to be a

subject invention shall be presumed to have been made in the manner

specified in paragraph (1) or (2) of section 305(a) of the National

Aeronautics and Space Act of 1958 (42 U.S.C. 2457(a)) (hereinafter

called ``the Act''), and that presumption shall be conclusive unless

at the time of reporting the reportable item the Recipient submits

to the Grant Officer a written statement, containing supporting

details, demonstrating that the reportable item was not made in the

manner specified in paragraph (1) or (2) of section 305(a) of the

Act.

(ii) Regardless of whether title to a given subject invention

would otherwise be subject to an advance waiver or is the subject of

a petition for waiver, the Recipient may nevertheless file the

statement described in paragraph (b)(1)(i) of this special

condition

demonstrating that the reportable item was not made in the

manner specified in paragraph (1) or (2) of section 305(a) of the

Act.

(ii) Regardless of whether title to a given subject invention

would otherwise be subject to an advance waiver or is the subject of

a petition for waiver, the Recipient may nevertheless file the

statement described in paragraph (b)(1)(i) of this special

condition. The Administrator will review the information furnished

by the Recipient in any such statement and any other available

information relating to the circumstances surrounding the making of

the subject invention and will notify the Recipient whether the

Administrator has determined that the subject invention was made in

the manner specified in paragraph (1) or (2) of section 305(a) of

the Act.

(2) Property rights in subject inventions. Each subject

invention for which the presumption of paragraph (b)(1)(i) of this

special condition is conclusive or for which there has been a

determination that it was made in the manner specified in paragraph

(1) or (2) of section 305(a) of the Act shall be the exclusive

property of the United States as represented by NASA unless the

Administrator waives all or any part of the rights of the United

States, as provided in paragraph (b)(3) of this special condition.

(3) Waiver of rights.

(i) Section 305(f) of the Act provides for the promulgation of

regulations by which the Administrator may waive the rights of the

United States with respect to any invention or class of inventions

made or that may be made under conditions specified in paragraph (1)

or (2) of section 305(a) of the Act. The promulgated NASA Patent

Waiver Regulations, 14 CFR part 1245, subpart 1, have adopted the

Presidential Memorandum on Government Patent Policy of February 18,

1983, as a guide in acting on petitions (requests) for such waiver

of rights.

respect to any invention or class of inventions

made or that may be made under conditions specified in paragraph (1)

or (2) of section 305(a) of the Act. The promulgated NASA Patent

Waiver Regulations, 14 CFR part 1245, subpart 1, have adopted the

Presidential Memorandum on Government Patent Policy of February 18,

1983, as a guide in acting on petitions (requests) for such waiver

of rights.

(ii) As provided in 14 CFR part 1245, subpart 1, Recipients may

petition, either prior to execution of the grant or within 30 days

after execution of the grant, for advance waiver of rights to any or

all of the inventions that may be made under a grant. If such a

petition is not submitted, or if after submission it is denied, the

Recipient (or an employee inventor of the Recipient) may petition

for waiver of rights to an identified subject invention within eight

months of first disclosure of the invention in accordance with

paragraph (e)(2) of this special condition, or within such longer

period as may be authorized in accordance with 14 CFR 1245.105.

(1) With respect to each subject invention for which a waiver of

rights is applicable in accordance with 14 CFR part 1245, subpart 1,

the Government reserves--

(i) An irrevocable, nonexclusive, nontransferable, royalty-free

license for the practice of such invention throughout the world by

or on behalf of the United States or any foreign government in

accordance with any treaty or agreement with the United States; and

(ii) Such other rights as stated in 14 CFR 1245.107.

(2) Nothing contained in this paragraph (c) shall be considered

to grant to the Government any rights with respect to any invention

other than a subject invention.

tice of such invention throughout the world by

or on behalf of the United States or any foreign government in

accordance with any treaty or agreement with the United States; and

(ii) Such other rights as stated in 14 CFR 1245.107.

(2) Nothing contained in this paragraph (c) shall be considered

to grant to the Government any rights with respect to any invention

other than a subject invention.

(d) Minimum rights to the Recipient.

(1) The Recipient is hereby granted a revocable, nonexclusive,

royalty-free license in each patent application filed in any country

on a subject invention and any resulting patent in which the

Government acquires title, unless the Recipient fails to disclose

the subject invention within the times specified in paragraph (e)(2)

of this special condition. The Recipient's license extends to its

domestic subsidiaries and affiliates, if any, within the corporate

structure of which the Recipient is a party and includes the right

to grant sublicenses of the same scope to the extent the Recipient

was legally obligated to do so at the time the grant was awarded.

The license is transferable only with the approval of the

Administrator except when transferred to the successor of that part

of the Recipient's business to which the invention pertains.

(2) The Recipient's domestic license may be revoked or modified

by the Administrator 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 37

CFR part 404, Licensing of Government Owned Inventions. This license

will not be revoked in that field of use or the geographical areas

in which the Recipient has achieved practical application and

continues to make the benefits of the invention reasonably

accessible to the public

ion of the subject invention pursuant to an

application for an exclusive license submitted in accordance with 37

CFR part 404, Licensing of Government Owned Inventions. This license

will not be revoked in that field of use or the geographical areas

in which the Recipient 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 the discretion of the Administrator to the

extent the Recipient, 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, the

Recipient will be provided a written notice of the Administrator's

intention to revoke or modify the license, and the Recipient will be

allowed 30 days (or such other time as may be authorized by the

Administrator for good cause shown by the Recipient) after the

notice to show cause why the license should not be revoked or

modified. The Recipient has the right to appeal to the Administrator

any decision concerning the revocation or modification of its

license.

(e) Invention identification, disclosures, and reports.

(1) The Recipient shall establish and maintain active and

effective procedures to assure that reportable items are promptly

identified and disclosed to Recipient personnel responsible for the

administration of this New Technology special condition within six

months of conception and/or first actual reduction to practice,

whichever occurs first in the performance of work under this grant.

These procedures shall include the maintenance of laboratory

notebooks or equivalent records and other records as are reasonably

necessary to document the conception and/or the first actual

reduction to practice of the reportable items, and records that show

that the procedures for identifying and disclosing reportable items

are followed

urs first in the performance of work under this grant.

These procedures shall include the maintenance of laboratory

notebooks or equivalent records and other records as are reasonably

necessary to document the conception and/or the first actual

reduction to practice of the reportable items, and records that show

that the procedures for identifying and disclosing reportable items

are followed. Upon request, the Recipient shall furnish the Grant

Officer a description of such procedures for evaluation and for

determination as to their effectiveness.

(2) The Recipient will disclose each reportable item to the

Grant Officer within

two months after the inventor discloses it in writing to Recipient

personnel responsible for the administration of this New Technology

special condition or, if earlier, within six months after the

Recipient becomes aware that a reportable item has been made, but in

any event for subject inventions before any on sale, public use, or

publication of such invention known to the Recipient. The disclosure

to the agency shall be in the form of a written report and shall

identify the grant under which the reportable item was made and the

inventor(s) or innovator(s). It shall be sufficiently complete in

technical detail to convey a clear understanding, to the extent

known at the time of the disclosure, of the nature, purpose,

operation, and physical, chemical, biological, or electrical

characteristics of the reportable item. The disclosure shall also

identify any publication, on sale, or public use of any subject

invention and whether a manuscript describing such 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 the agency, the Recipient will promptly notify

the agency of the acceptance of any manuscript describing a subject

invention for publication or of any on sale or public use planned by

the Recipient for such invention.

escribing such 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 the agency, the Recipient will promptly notify

the agency of the acceptance of any manuscript describing a subject

invention for publication or of any on sale or public use planned by

the Recipient for such invention.

(3) The Recipient shall furnish the Grant Officer the following:

(i) Interim reports every 12 months (or such longer period as

may be specified by the Grant Officer) from the date of the grant,

listing reportable items during that period, and certifying that all

reportable items have been disclosed (or that there are no such

inventions) and that the procedures required by paragraph (e)(1) of

this special condition have been followed.

(ii) A final report, within 3 months after completion of the

grant work, listing all reportable items or certifying that there

were no such reportable items, and listing all subcontracts at any

tier containing a patent rights clause or certifying that there were

no such subcontracts.

(4) The Recipient agrees, upon written request of the Grant

Officer, to furnish additional technical and other information

available to the Recipient as is necessary for the preparation of a

patent application on a subject invention and for the prosecution of

the patent application, and to execute all papers necessary to file

patent applications on subject inventions and to establish the

Government's rights in the subject inventions.

(5) The Recipient agrees, subject to FAR 27.302(j), that the

Government may duplicate and disclose subject invention disclosures

and all other reports and papers furnished or required to be

furnished pursuant to this special condition.

ion, and to execute all papers necessary to file

patent applications on subject inventions and to establish the

Government's rights in the subject inventions.

(5) The Recipient agrees, subject to FAR 27.302(j), that the

Government may duplicate and disclose subject invention disclosures

and all other reports and papers furnished or required to be

furnished pursuant to this special condition.

(f) Examination of records relating to inventions.

(1) The Grant Officer or any authorized representative shall,

until 3 years after final payment under this grant, have the right

to examine any books (including laboratory notebooks), records, and

documents of the Recipient relating to the conception or first

actual reduction to practice of inventions in the same field of

technology as the work under this grant to determine whether--

(i) Any such inventions are subject inventions;

(ii) The Recipient has established and maintained the procedures

required by paragraph (e)(1) of this special condition; and

(iii) The Recipient and its inventors have complied with the

procedures.

(2) If the Grant Officer learns of an unreported Recipient

grantee invention that the Grant Officer believes may be a subject

invention, the Recipient may be required to disclose the invention

to the agency for a determination of ownership rights.

(3) Any examination of records under this paragraph will be

subject to appropriate conditions to protect the confidentiality of

the information involved.

(g) Withholding of payment (this paragraph does not apply to

subcontracts).

(1) Any time before final payment under this grant, the Grant

Officer may, in the Government's interest, withhold payment until a

reserve not exceeding $50,000 or 5 percent of the amount of this

grant, whichever is less, shall have been set aside if, in the Grant

Officer's opinion, the Recipient fails to--

(i) Establish, maintain, and follow effective procedures for

identifying and disclosing reportable items pursuant to paragraph

his grant, the Grant

Officer may, in the Government's interest, withhold payment until a

reserve not exceeding $50,000 or 5 percent of the amount of this

grant, whichever is less, shall have been set aside if, in the Grant

Officer's opinion, the Recipient fails to--

(i) Establish, maintain, and follow effective procedures for

identifying and disclosing reportable items pursuant to paragraph

(e)(1) of this special condition;

(ii) Disclose any reportable items pursuant to paragraph (e)(2)

of this special condition;

(iii) Deliver acceptable interim reports pursuant to paragraph

(e)(3)(i) of this special condition; or

(iv) Provide the information regarding subcontracts pursuant to

paragraph (h)(4) of this special condition.

(2) Such reserve or balance shall be withheld until the Grant

Officer has determined that the Recipient has rectified whatever

deficiencies exist and has delivered all reports, disclosures, and

other information required by the grant.

(3) Final payment under the grant shall not be made before the

Recipient delivers to the Grant Officer all disclosures of

reportable items required by paragraph (e)(2) of this special

condition, and an acceptable final report pursuant to paragraph

(e)(3)(ii) of this special condition.

(4) The Grant Officer may decrease or increase the sums withheld

up to the maximum authorized in paragraph (g)(1) of this special

condition. No amount shall be withheld under this paragraph while

the amount specified by this paragraph is being withheld under other

provisions of the grant. The withholding of any amount or the

subsequent payment thereof shall not be construed as a waiver of any

Government rights.

(h) Subcontracts.

(1) Unless otherwise authorized or directed by the Grant

Officer, the Recipient shall--

condition. No amount shall be withheld under this paragraph while

the amount specified by this paragraph is being withheld under other

provisions of the grant. The withholding of any amount or the

subsequent payment thereof shall not be construed as a waiver of any

Government rights.

(h) Subcontracts.

(1) Unless otherwise authorized or directed by the Grant

Officer, the Recipient shall--

(i) Include the clause at NASA FAR Supplement (NFS) 1852.227-70,

New Technology, (suitably modified to identify the parties) in any

subcontract hereunder (regardless of tier) with other than a small

business firm or nonprofit organization for the performance of

experimental, developmental, or research work; and

(ii) Include the clause at FAR 52.227-11 (suitably modified to

identify the parties) in any subcontract hereunder (regardless of

tier) with a small business firm or nonprofit organization for the

performance of experimental, developmental, or research work.

(2) In the event of a refusal by a prospective subcontractor to

accept such a clause the Recipient--

(i) Shall promptly submit a written notice to the Grant Officer

setting forth the subcontractor's reasons for such refusal and other

pertinent information that may expedite disposition of the matter;

and

(ii) Shall not proceed with such subcontract without the written

authorization of the Grant Officer.

(3) In the case of subcontracts at any tier, the agency,

subcontractor, and Recipient agree that the mutual obligations of

the parties created by this special condition constitute a contract

between the subcontractor and NASA with respect to those matters

covered by this grant.

matter;

and

(ii) Shall not proceed with such subcontract without the written

authorization of the Grant Officer.

(3) In the case of subcontracts at any tier, the agency,

subcontractor, and Recipient agree that the mutual obligations of

the parties created by this special condition constitute a contract

between the subcontractor and NASA with respect to those matters

covered by this grant.

(4) The Recipient shall promptly notify the Grant Officer in

writing upon the award of any subcontract at any tier containing a

patent rights clause by identifying the subcontractor, the

applicable patent rights clause, the work to be performed under the

subcontract, and the dates of award and estimated completion. Upon

request of the Grant Officer, the Recipient shall furnish a copy of

such subcontract, and, no more frequently than annually, a listing

of the subcontracts that have been awarded.

(5) The subcontractor will retain all rights provided for the

Recipient in paragraph (h)(1)(i) or (ii) of this special condition,

whichever is included in the subcontract, and the Recipient will

not, as part of the consideration for awarding the subcontract,

obtain rights in the subcontractor's subject inventions.

(i) Preference for United States industry. Unless provided

otherwise, no Recipient that receives title to any subject invention

and no assignee of any such Recipient shall grant to any person the

exclusive right to use or sell any subject invention in the United

States unless such person agrees that any products embodying the

subject invention will be manufactured substantially in the United

States. However, in individual cases, the requirement may be waived

by the Administrator upon a showing by the Recipient or assignee

that reasonable but unsuccessful efforts have been made to grant

licenses on similar terms to potential licensees that would be

likely to manufacture substantially in the United States or that

under the circumstances domestic manufacture is not commercially

feasible.

. However, in individual cases, the requirement may be waived

by the Administrator upon a showing by the Recipient or assignee

that reasonable but unsuccessful efforts have been made to grant

licenses on similar terms to potential licensees that would be

likely to manufacture substantially in the United States or that

under the circumstances domestic manufacture is not commercially

feasible.

Sec. 1260.58 Designation of new technology representative and patent

representative.

Designation of New Technology Representative and Patent Representative

(Date)

(a) For purposes of administration of the special condition of

this grant entitled ``New Technology,'' the following named

representatives are hereby designated by the Grant Officer to

administer such special condition:

------------------------------------------------------------------------

Address (including

Title Office code zip code)

------------------------------------------------------------------------

New Technology Representative

Patent Representative

------------------------------------------------------------------------

(b) Reports of reportable items, and disclosure of subject

inventions, interim reports, final reports, utilization reports, and

other reports required by the special condition, as well as any

correspondence with respect to such matters, should be directed to

the New Technology Representative unless transmitted in response to

correspondence or request from the Patent Representative. Inquires

or requests regarding disposition of rights, election of rights, or

related matters should be directed to the Patent Representative.

This special condition shall be included in any subcontract

hereunder requiring a ``New Technology'' provision or ``Patent

Rights--Retention by the Contractor (Short Form)'' clause, unless

otherwise authorized or directed by the Grant Officer. The

respective responsibilities and authorities of the above-named

representatives are set forth in 1827.305-370 of the NASA FAR

Supplement.

ntative.

This special condition shall be included in any subcontract

hereunder requiring a ``New Technology'' provision or ``Patent

Rights--Retention by the Contractor (Short Form)'' clause, unless

otherwise authorized or directed by the Grant Officer. The

respective responsibilities and authorities of the above-named

representatives are set forth in 1827.305-370 of the NASA FAR

Supplement.

Sec. 1260.59 Choice of law.

Choice of Law (Date)

The rights and obligations of the parties to the grant (or

cooperative agreement) shall be ascertainable by recourse to the

laws of the United States of America. However, it is understood that

the laws of the recipient's country will generally apply to

recipient activities within that country.

Sec. 1260.60 Public information.

Public Information (Date)

Information regarding this grant (including a copy of this award

document) may be released by the recipient without restriction.

However, technical information relating to work performed under this

grant where there was a NASA contribution should be released by the

recipient only after consultation with the NASA Technical Officer.

Sec. 1260.61 Allocation of risk/liability.

Allocation of Risk/Liability (Date)

(a) With respect to activities undertaken under this agreement,

the recipient agrees not to make any claim against NASA or the U.S.

Government with respect to the injury or death of its employees or

its contractors and subcontractor employees, or to the loss of its

property or that of its contractors and subcontractors, whether such

injury, death, damage or loss arises through negligence or

otherwise, except in the case of willful misconduct.

agreement,

the recipient agrees not to make any claim against NASA or the U.S.

Government with respect to the injury or death of its employees or

its contractors and subcontractor employees, or to the loss of its

property or that of its contractors and subcontractors, whether such

injury, death, damage or loss arises through negligence or

otherwise, except in the case of willful misconduct.

(b) In addition, the recipient agrees to indemnify and hold the

U.S. Government and its contractors and subcontractors harmless from

any third party claim, judgment, or cost arising from the injury to

or death of any person, or for damage to or loss of any property,

arising as a result of its possession or use of any U.S. Government

property.

Sec. 1260.62 Payment--to foreign organizations.

Payment--To Foreign Organizations

(For grants or cooperative agreements with foreign

organizations, this clause will be developed on a case-by-case

basis.)

Sec. 1260.63 Customs clearance and visas.

Customs Clearance and Visas

(For grants or cooperative agreements with foreign

organizations, this clause will be developed on a case-by-case

basis.)

Sec. 1260.64 Taxes.

Taxes

(For grants or cooperative agreements with foreign

organizations, this clause will be developed on a case-by-case

basis.)

Sec. 1260.65 Exchange of technical data and goods.

Exchange of Technical Data and Goods

(For grants or cooperative agreements with foreign

organizations, this clause will be developed on a case-by-case

basis.)

Sec. 1260.66 Listing of reportable equipment and other property.

Listing of Reportable Equipment and Other Property (Date)

(a) Title to federally-owned property provided to the recipient

remains vested in the Federal Government, and shall be managed in

accordance with 1260.133. The following items of federally-owned

property are being provided to the recipient for use in performance

of the work under this grant or cooperative agreement:

{List property or state ``not applicable.''}

ment and Other Property (Date)

(a) Title to federally-owned property provided to the recipient

remains vested in the Federal Government, and shall be managed in

accordance with 1260.133. The following items of federally-owned

property are being provided to the recipient for use in performance

of the work under this grant or cooperative agreement:

{List property or state ``not applicable.''}

(b) The following specific items of equipment acquired by the

recipient have been identified by NASA for transfer of title to the

Government when no longer required for performance under this grant

or cooperative agreement. This equipment will be managed in

accordance with Sec. 1260.134, and shall be transferred to NASA or

NASA's designee in accordance with the procedures set forth at

Sec. 1260.134(g):

{List property or state ``not applicable.''}

Sec. 1260.67 Equipment and other property under grants with commercial

firms.

Equipment and Other Property Under Grants With Commercial Firms (Date)

(a) This grant permits acquisition of special purpose equipment

required for the conduct of research. Acquisition of special purpose

equipment costing in excess of $5,000 and not included in the

approved proposal budget requires the prior approval of the Grant

Officer unless the item is merely a different model of an item shown

in the approved proposal budget.

(b) Recipients may not purchase, as a direct cost to the grant,

items of general purpose equipment, examples of which include but

are not limited to office equipment and furnishings, air

conditioning equipment, reproduction and printing equipment, motor

vehicles, and automatic data processing equipment. If the Recipient

requests an exception, the Recipient shall submit a written request

for Grant Officer approval, prior to purchase by the Recipient,

stating why the Recipient cannot charge the general purpose

equipment to indirect costs.

office equipment and furnishings, air

conditioning equipment, reproduction and printing equipment, motor

vehicles, and automatic data processing equipment. If the Recipient

requests an exception, the Recipient shall submit a written request

for Grant Officer approval, prior to purchase by the Recipient,

stating why the Recipient cannot charge the general purpose

equipment to indirect costs.

land or any interest therein, to acquire or construct facilities (as

defined in 48 CFR (FAR) 45.301), or to procure passenger carrying

vehicles.

(d) The Government shall have title to equipment and other

personal property acquired with Government funds. Such property

shall be disposed of pursuant to 48 CFR (FAR) 45.603.

(e) Title to Government furnished equipment (including

equipment, title to which has been transferred to the Government

prior to completion of the work) will remain with the Government.

(f) The Recipient shall establish and maintain property

management standards for Government property and otherwise manage

such property as set forth in 48 CFR (FAR) 45.5 and 48 CFR (NFS)

1845.5.

(g) Recipients shall submit annually a NASA Form 1018, NASA

Property in the Custody of Contractors, in accordance with the

instructions on the form, the provisions of 48 CFR (NFS) 1845.71 and

any supplemental instructions that may be issued by NASA for the

current reporting period. The original NF 1018 shall be submitted to

the center Deputy Chief Financial Officer, Finance, with three

copies sent concurrently to the center Industrial Property Officer.

The annual reporting period shall be from October 1 of each year

through September 30 of the following year. The report shall be

submitted in time to be received by October 31. Negative reports

(i.e. no reportable property) are required. The information

contained in the reports is entered into the NASA accounting system

to reflect current asset values for agency financial statement

purposes

The annual reporting period shall be from October 1 of each year

through September 30 of the following year. The report shall be

submitted in time to be received by October 31. Negative reports

(i.e. no reportable property) are required. The information

contained in the reports is entered into the NASA accounting system

to reflect current asset values for agency financial statement

purposes. Therefore, it is essential that required reports be

received no later than October 31. A final report is required within

30 days after expiration of the agreement.

(h) The requirements set forth in this special condition

supercedes grant provision Sec. 1260.27, Equipment and Other

Property.

Sec. 1260.68 Invoices and payments under grants with commercial firms.

Invoices and Payments Under Grants With Commercial Firms (Date)

(a) Invoices for payment of actual incurred costs shall be

submitted by the recipient no more frequently than on a quarterly

basis.

(b) Invoices shall be submitted by the recipient to the

following offices:

(1) The original invoice shall be sent directly to the payment

office designated on the grant cover page.

(2) Copies of the invoice shall be sent to the NASA Technical

Officer and NASA Grant Officer.

(d) The final invoice shall be marked ``Final'' and shall be

submitted within 90 days of the expiration of the grant.

(e) The requirements set forth in this special condition

supercedes grant provision Sec. 1260.26, Financial Management.

Sec. 1260.69 Electronic funds transfer payment methods.

Electronic Funds Transfer Payment Methods (Date)

(d) The final invoice shall be marked ``Final'' and shall be

submitted within 90 days of the expiration of the grant.

(e) The requirements set forth in this special condition

supercedes grant provision Sec. 1260.26, Financial Management.

Sec. 1260.69 Electronic funds transfer payment methods.

Electronic Funds Transfer Payment Methods (Date)

Payments under this grant will be made by the Government by

electronic funds transfer through the Treasury Fedline Payment

System (FEDLINE) or the Automated Clearing House (ACH), at the

option of the Government. After award, but no later than 14 days

before an invoice is submitted, the Recipient shall designate a

financial institution for receipt of electronic funds transfer

payments, and shall submit this designation to the Grant Officer or

other Government official, as directed.

(a) For payment through FEDLINE, the Recipient shall provide the

following information:

(1) Name, address, and telegraphic abbreviation of the financial

institution receiving payment.

(2) The American Bankers Association 9-digit identifying number

for wire transfers of the financing institution receiving payment if

the institution has access to the Federal Reserve Communication

System.

(3) Payee's account number at the financial institution where

funds are to be transferred.

(4) If the financial institution does not have access to the

Federal Reserve Communications System, name, address, and

telegraphic abbreviation of the correspondent financial institution

through which the financial institution receiving payment obtains

wire transfer activity. Provide the telegraphic abbreviation and

American Bankers Association identifying number for the

correspondent institution.

the financial institution does not have access to the

Federal Reserve Communications System, name, address, and

telegraphic abbreviation of the correspondent financial institution

through which the financial institution receiving payment obtains

wire trans

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