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Library > Fact Sheets > AFOSR: Grant Terms and Conditions January 1995
AFOSR: GRANT TERMS AND CONDITIONS JANUARY 1995
Air Force Office of Scientific Research
Grant Terms and Conditions January 1995
DEPARTMENT OF THE AIR FORCE January 1995
AIR FORCE OFFICE OF SCIENTIFIC RESEARCH (AFMC)
BOLLING AFB DC 20332-0001
CONTENTS PAGE
Part I. Administrative Information 1
Article 1. Administrative Requirements 1
Part II. Financial Matters 1
Article 2. Payment 1
Article 3. Program Income 2
Article 4. Cost Sharing and Matching 2
Article 5. Closeout Adjustments 2
Article 6. Financial Plans 2
Part III. Intellectual Property Rights 3
Article 7. Inventions 3
Article 8. Data Rights 3
Part IV. Technical and Financial Reporting 3
Article 9. Progress and Final Technical Reports 3
Article 10. Informal Technical Reports 4
Article 11. Reporting Financial Information 4
Part V. Distributing Project Results 4
Article 12. Distributing Project Results 4
Part VI. Miscellaneous Performance Issues 5
Article 13. Using Technical Information Resources 5
Article 14. Animal Subjects 5
Article 15. Human Subjects 5
Article 16. Amendments 5
Article 17. Grant Options 6
Part VII. Suspension and Termination 6
Article 18. Suspension and Termination Procedures 6
Part VIII. Property 6
Article 19. Property Liability 6
Article 20. Title to Nonexpendable Personal Property 6
Attachment 1 7
Attachment 2 8
PART I. ADMINISTRATIVE INFORMATION
Article 1. Administrative Requirements
1.1. This grant will be administered in accordance with, and Grantees
shall comply with the requirements of, the following, as applicable,
which are incorporated herein by reference:
- OMB Circular A-110 (30 Jul 76), "Grants and Agreements with
Institutions of Higher Education, Hospitals, and Other Nonprofit
Organizations," as revised;
- OMB Circular A-21 (26 Feb 79), "Cost Principles for Educational
Institutions," as revised;
- OMB Circular A-122 (8 Jul 80), "Cost Principles for Nonprofit
Organizations," as revised;
- OMB Circular A-128 (12 Apr 85), "Audits of State and Local
Governments,"
- OMB Circular A-133 (8 Mar 90), "Audits of Institutions of Higher
Education and Other Nonprofit Institutions";
- and OMB Circular A-88 (27 Nov 79), "Indirect Cost Rates, Audit and
Audit Follow-up at Educational Institutions".
1.2. The following shall be the order of precedence, in descending
order, in the event of a conflict:
1.2.1. The governing directives listed in paragraph 1.1, above;
1.2.2. The Grant document;
1.2.3. The articles contained in these terms & conditions.
PART II. FINANCIAL MATTERS
Article 2. Payment
AFOSR grants will include one of the following payment methods. The
appropriate method will be stated in the grant document.
2.1. Advance Payments/Reimbursement: AFOSR will make a one time
partial advance at the beginning of performance. The balance of the
payments will be made based upon the submission of "Requests for Advance
or Reimbursement (SF 270)." The original and two copies of each request
shall be submitted to the address shown in block #22 of the grant
document. Requests shall be submitted not more frequently than monthly.
(- OR -)
2.2. Predetermined Payment Schedule: This payment method will be
described in the grant document.
Article 3. Program Income
All program income earned during the project period shall be added to
funds committed to the project by the Government and Grantee
organization and be used to further eligible program objectives.
Article 4. Cost Sharing and Matching
Grantee's contributions may count as cost sharing or matching only to
the extent that they are used for authorized purposes of the grant, and
such purposes are consistent with applicable cost principles. Failure
of either party to provide its contribution as scheduled may result in a
proportional reduction in funding by the Grants Administrative Office.
Cost sharing and matching breakdowns will be specified in the grant.
Article 5. Closeout Adjustments
The Government may make a downward adjustment to the Government funding
amount after completion of the effort under a grant, when appropriate,
in accordance with Attachment K of OMB Circular A-110.
Article 6. Financial Plans
6.1. The financial plan, or approved budget, is the financial
expression of the effort to be performed under the grant as approved
during the award process. This grant and its terms and conditions
reflect the approved financial plan. Some changes require prior
approval, as follows:
6.2. Grantees are authorized to:
6.2.1. Incur costs up to 90 days prior to grant award at their own
risk.
6.2.2. Carry forward unobligated balances to subsequent funding periods
(with the exception of the final funding period) without prior
Government approval.
6.3. All other "prior approvals" required by the applicable cost
principles and OMB Circular A-110 are waived, except actions which:
6.3.1. change the scope or objective of a project
6.3.2. change key personnel. The Grantee shall request prior approval
from the Grants Administrative Office if the principal investigator will
be absent from the research for more than three months, or if he or she
reduces the amount of time devoted to the project by 25% or more.
6.3.3. require additional funding
PART III. INTELLECTUAL PROPERTY RIGHTS
Article 7. Inventions
7.1. The clause entitled "Rights to Inventions Made by Nonprofit
Organizations and Small Business Firms," (37 CFR 401) is hereby
incorporated by reference and the clauses in paragraph 401.14 are
modified as follows: replace the word "contractor" with "Grantee";
replace the words "agency," "Federal Agency" and "funding Federal
Agency" with "government"; replace the word "contract" with "grant";
delete paragraphs (g)(2), (g)(3) and the words "to be performed by a
small business firm or domestic nonprofit organization" from paragraph
(g)(1); paragraph (1), Communications, point of contact on matters
relating to this clause will be the servicing Staff Judge Advocate's
office identified in the grant.
7.2. The Grantee shall file annual Invention (Patent) Reports as of the
close of the performance year and a final Invention Report at the end of
the term for the grant. Annual reports are due 90 days after the end of
each year of performance and final reports are due 90 days after the
expiration of the final performance period. The Grantee shall use DD
Form 882, Report of Inventions and Subcontracts, to file an inventions
report. Negative reports are also required. The Grantee shall submit
the original and one copy to the servicing Staff Judge Advocate's
office. Provide a copy of the transmittal letter to the Grants
Administrative Office. The grant cannot be closed out until all
invention reporting requirements are met.
Article 8. Data Rights
8.1. All rights and title to data and technical data, as defined in 48
CFR 27.401, generated under the grant shall vest in the Grantee.
8.2. The Grantee hereby grants to the U.S. Government a non-exclusive,
non-transferable, royalty-free, fully paid-up license to use, duplicate,
or disclose for governmental purposes any data and technical data.
8.3. The Grantee reserves the right to protect by copyright original
works developed under the grant. All such copyrights will be in the
name of the Grantee. The Grantee hereby grants the U.S. Government a
non-exclusive, non-transferable, royalty-free, fully paid-up license to
reproduce, prepare derivative works, distribute copies to the public,
and perform publicly and display publicly, for governmental purposes,
any copyrighted materials developed under the grant, and to authorize
others to do so.
8.4. The Grantee is responsible for affixing appropriate markings
indicating the rights of the Government on all data and technical data
delivered under the grant. The Government shall be deemed to have
unlimited rights in all data and technical data delivered without
markings.
PART IV. TECHNICAL AND FINANCIAL REPORTING
Article 9. Progress and Final Technical Reports
9.1. Grantees shall submit performance/technical reports in accordance
with OMB Circular A-110 and the following. All reports shall be marked
in accordance with Article 12 entitled "Distributing Project Results."
9.2. Progress Report.
Progress reports are due on 1 September of each year while grants
are active. Content and format shall be as described in Attachment 1
entitled "Progress Reports."
9.3. Final Technical Report.
Final Technical Report is due after the expiration or termination
of the grant. Content and format shall be as described in Attachment 2
entitled "Final Technical Reports."
9.4. Submittal. The Grantee shall submit progress reports and final
technical reports to the program manager in an original and two
reproducible copies. Progress reports will be due no later than 1 Sep
of each year. Final Technical reports will be due within 90 days after
completion of the research. Provide a copy of the transmittal letter to
the Grants Administrative Office.
Article 10. Informal Technical Reports
The AFOSR program manager may request short informal reports for the
purposes of collecting information or preparing for Contractor/Grantee
meetings and workshops. The reports should be only a few pages in
length with the format, content, and timing specified by the AFOSR
program manager. All informal reports shall be sent to the AFOSR
program manager.
Article 11. Reporting Financial Information
The Grantee shall submit the Financial Status Report (SF 269 or SF 269A)
within 90 calendar days following the end of each year of performance,
and within 90 calendar days following completion of the grant. The
original and one copy of each report shall be submitted to the Grants
Administrative Office.
PART V. DISTRIBUTING PROJECT RESULTS
Article 12. Distributing Project Results
12.1. Publications. The Grantee is encouraged to publish results of
the project, unless classified, in appropriate journals as determined by
the Principal Investigator. One copy of each article planned for
publication will be submitted to the program manager simultaneously with
its submission for publication. An original and two copies of all
publications resulting from the project shall be forwarded to the
program manager as they become available.
12.2. Acknowledgment of Sponsorship. The Grantee is responsible for
assuring that an acknowledgment of Government support will appear in any
publication of any material based on or developed under this project, in
the following terms:
"Effort sponsored by the Air Force Office of Scientific Research,
Air Force Materiel Command, USAF, under grant number F49620-XX-X-XXXX.
The U.S. Government is authorized to reproduce and distribute reprints
for Governmental purposes notwithstanding any copyright notation
thereon."
12.3. Disclaimer. The Grantee is responsible for assuring that every
publication of material based on or developed under this project
contains the following disclaimer:
"The views and conclusions contained herein are those of the authors
and should not be interpreted as necessarily representing the official
policies or endorsements, either expressed or implied, of the Air Force
Office of Scientific Research or the U.S. Government."
12.4. Photographs. The Grantee may photograph the progress or results
of this project, including phenomena discovered, special equipment used,
or special laboratory techniques designed. Copies of such photographs,
suitable for reproduction, should be made available to the Air Force
Office of Scientific Research as part of the project/scientific
documentation. These photographs may be used later for other Government
publications.
12.5. Marking and Distribution Requirements. Mark all data delivered
with the following statement:
"Distribution Statement A. Approved for public release;
distribution is unlimited."
PART VI. MISCELLANEOUS PERFORMANCE ISSUES
Article 13. Using Technical Information Resources
To the extent practical, the Grantee will use the technical information
resources of the Defense Technical Information Center (DTIC) and other
Government or private facilities to investigate recent and on-going
research and avoid needless duplication of scientific and engineering
effort.
Article 14. Animal Subjects
The Grantee shall recommend the kind, size, weight, and number of
animal subjects to be employed in performance of the research. The
Government will approve the selection of animal subjects. The Grantee
shall comply with DoD Directive (DODD) 3216.1, "The Use of Animals in
DoD Programs" and all implementing Air Force Regulations/Instructions.
Article 15. Human Subjects
All testing of human subjects will be conducted in conformance with the
provisions of Air Force Instruction (AFI) 40-402, "Using Human Subjects
in Research, Development, Test, and Evaluation," AFI 40-403, "Clinical
Investigations in Medical Research Guidance and Procedures," Air Force
Policy Directive (AFPD) 40-4, "Clinical Investigation and Human Use in
Medical Research," and 32 Code of Federal Regulations (CFR) Part 219,
"Policy for Protection of Human Subjects."
Article 16. Amendments
16.1. Requests by the Grantee to amend an grant should be made in
writing to the Grants Administrative Office. After concurrence by the
Program Manager, a grant amendment incorporating the request will be
unilaterally issued at the discretion of the Grants Administrative
Office. Some examples of requests which may result in unilateral
amendments include: no-cost extensions, change in principal
investigator, and additional funding.
16.2. The Grants Administrative Office may unilaterally make minor or
administrative grant modifications (e.g., changes in the paying office
or appropriation data, changes to Government personnel identified in the
grant, etc.)
Article 17. Grant Options
The definitive grant may include language for Option(s). The Grants
Administrative Office reserves the right to exercise these Options
unilaterally. In certain circumstances, it may be necessary to exercise
the Option after the effective date or for an amount less than
negotiated in the definitive grant. In such circumstances, the Grants
Administrative Office may exercise the option unilaterally after written
concurrence from the Grantee.
PART VII. SUSPENSION AND TERMINATION
Article 18. Suspension and Termination Procedures
18.1. The Government reserves the right to terminate for cause. If the
Grantee fails to comply with the terms and conditions of this grant,
the Grants Administrative Office will provide written notice of breach
or deficiency to the Grantee and will provide the Grantee an opportunity
to explain or correct the breach or deficiency within 30 days from
receipt of notice. If grounds for termination for cause still exist,
the Government may terminate or suspend performance. If suspension is
invoked the Government may withhold further payments, or prohibit the
Grantee from incurring additional obligation of funds until corrective
action is taken. No costs incurred during a suspension period or after
the effective date of a termination will be allowable, except those
costs which, in the opinion of the Grants Administrative Office, the
Grantee could not reasonably avoid or eliminate, or which were otherwise
authorized by the suspension or termination notice, provided such costs
would otherwise be allowable under the terms of the grant and the
appropriate Federal cost principles.
18.2. Notwithstanding the above, for security or safety reasons or in
the case of a serious breach that could lead to irreparable damage, the
Grants Administrative Office may order immediate suspension of work, in
whole or in part.
PART VIII. PROPERTY
Article 19. Property Liability
All property is to be furnished "as is." No party to this grant shall
be liable to any other party for any property of that other party
consumed, damaged, or destroyed in the performance of this grant, unless
it is due to the gross negligence or willful misconduct of the party or
an employee or agent of the party.
Article 20. Title to Nonexpendable Personal Property
Except as specified in the grant, title to nonexpendable personal
property acquired with grant funds shall vest in the Grantee upon
acquisition.
Attachment 1
PROGRESS REPORTS
Progress reports will be due no later than 1 Sep of each year. Grants
effective after 31 Jul will not require a progress report until 1 Sep of
the following year. Submit an original and two reproducible copies to
the Program Manager. It is requested you submit a copy of the progress
report via diskette or E-mail to the Program Manager. The progress
report shall contain the following items:
1. Cover Sheet: As a minimum, the cover sheet should include
the following information: Principal Investigator's name, Institution's
name and address, and grant number.
2. Objectives: List the objectives of the research effort or
the statement of work: This may be omitted if there has been no change.
State new or revised objectives if they have changed and the reason why.
3. Status of effort: A brief statement of progress towards
achieving the research objectives. (Limit to 200 words).
4. Accomplishments/New Findings: Describe research highlights,
their significance to the field, their relationship to the original
goals, their relevance to the AF's mission, and their potential
applications to AF and civilian technology challenges.
5. Personnel Supported: List professional personnel (Faculty,
Post-Docs, Graduate Students, etc.) supported by and/or associated with
the research effort.
6. Publications: List peer-reviewed publications submitted
and/or accepted during the 12-month period starting the previous 1
October (or since start for new grants).
7. Interactions/Transitions:
a. Participation/presentations at meetings, conferences,
seminars, etc.
b. Consultative and advisory functions to other
laboratories and agencies, especially Air Force and other DoD
laboratories. Provide factual information about the subject matter,
institutions, locations, dates, and name(s) of principal individuals
involved.
c. Transitions. Describe cases where knowledge resulting
from your effort is used, or will be used, in a technology application.
Transitions can be to entities in the DOD, other federal agencies, or
industry. Briefly list the enabling research, the laboratory or
company, and an individual in that organization who made use of your
research.
8. New discoveries, inventions, or patent disclosures. (If
none, report None.)
9. Honors/Awards: List honors and awards received during the
grant/contract period. List lifetime achievement honors such as Nobel
prize, honorary doctorates, and society fellowships prior to this
effort.
10. Markings: In order to ensure prompt receipt and
acceptance, mark the outside of the package clearly to indicate that it
is a progress report.
Attachment 2
FINAL TECHNICAL REPORTS
A comprehensive final technical report is required at the end of an
effort, due on the date specified in the grant document. The report
should be structured substantially as follows:
The purpose of the final report is to document and to transition
the results of the effort into the Air Force and DoD applied research
community. The final report will always be sent to the Defense
Technical Information Center (DTIC) and unclassified reports will be
available to the public through the National Technical Information
Service (NTIS).
Content: The final report is more than an extension of previous
progress reports. The final report shall be a comprehensive technical
summary of the significant work accomplished. The final report, where
it is not readily accessible in published form should where applicable:
1) Clearly describe and illustrate the experimental equipment, set up,
and procedures; 2) Characterize and tabulate collected/computed data in
an appendix; and 3) Sufficiently describe computational codes so they
can be reproduced. Include a listing of the code in an appendix if
possible and appropriate.
When the research effort culminates in the production of one or
more student theses or dissertations, in these cases, the most
significant advancements and conclusions (equations, figures,
relationships, etc.) should be included in an executive summary. The
theses or dissertations should be attached as appendices only if they
are not readily available. If they are, clearly reference them and how
they can be obtained. Also include in the executive summary, cumulative
lists of people involved in, and publications stemming from, the
research effort. Do not include copies of already submitted or
published articles in the final report.
Format: Cover and title page. Standard Form (SF) 298, Report
Documentation Page, shall be used. Item 13 of the form should contain a
100 to 200 word abstract summarizing technical progress during the
reporting period. Style should be third person singular using past
tense. Jargon, special symbols or notations, subscripts, mathematical
symbols or foreign alphabet letters are not permitted. The pages should
be prepared for acquisition and distribution by DTIC. All pages should
be of good quality for copying purposes. No pages should be missing.
Grantees are encouraged to submit reports that are printed/copied
double sided on recycled paper that has at least 20% postconsumer
material. The format and standard required by your institution for the
preparation of theses and dissertations shall be used for the final
report. In the absence of any institutional standards, you may wish to
refer to the American National Standards Institute (ANSI) document
Z39.18-1987, "Scientific and Technical Reports: Organization,
Preparation, and Production," for guidance. The report may be obtained
from
American National Standards Institute Incorporated
1430 Broadway
New York NY 10018
In order to ensure prompt receipt and acceptance, mark the outside
of the package clearly to indicate that it is a final technical report.
Report Submission: The Grantee shall submit a copy of the final
technical report to the Program Manager for review and acceptance. This
report will be due within 90 days after completion of the research.
Once the Program Manager provides written notification that the final
technical report has been accepted, the Grantee shall submit two copies
to DTIC-OCP; 8725 John J Kingman Road, Suite 0944; Fort Belvoir VA
22060-6218; (703) 767-8023. The Grantee will include a completed
Standard Form 298, Report Documentation Page, with each copy of the
approved report that is submitted to DTIC. Provide a copy of the
transmittal letter to the Grants Administrative Office (AFOSR/PKA).
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