02-151 July 2002
VII - Other Grant Requirements
This chapter discusses other grant requirements not addressed in the preceding chapters.
Topics covered are:
700 NON-DISCRIMINATION STATUTES
710 PROTECTION OF LIVING ORGANISMS
715 GOVERNMENT PERMITS AND ACTIVITIES ABROAD
720 CONSTRUCTION, REARRANGEMENTS AND ALTERATIONS (INCLUDING: DAVIS-BACON ACT, BONDING AND INSURANCE, FLOOD INSURANCE, AND SEISMIC SAFETY OF BUILDINGS)
730 INTELLECTUAL PROPERTY (INCLUDING PATENTS AND INVENTIONS, AND COPYRIGHTS)
740 PUBLICATION/DISTRIBUTION OF GRANT MATERIALS
750 PROGRAM INCOME
760 INTERNATIONAL CONSIDERATIONS (INCLUDING TRAVEL GRANTS AND USE OF U.S. FLAG CARRIERS)
700 NON-DISCRIMINATION STATUTES
A number of statutes bar recipients of Federal financial assistance from
excluding persons, because of their race, sex, color, age or national
origin, from participation in Federally supported activities. These include:
Title VI of the Civil Rights Act of 1964 (barring discrimination on grounds
of race, color, or national origin); Section 504 of the Rehabilitation Act
(barring discrimination against individuals with disabilities); and the Age
Discrimination Act. Title IX of the Educational Amendments of 1972 bars sex
discrimination in Federally assisted education programs or activities. In
addition to statutory prohibitions, E.O. 11246 bars various types of discriminatory
employment practices under grants for construction. The following sections
discuss the application of each of these Acts and E.O. 11246 to NSF grantees.
a recipient of an NSF grant receives an Equal Opportunity Complaint, the
original complaint should be sent to the Director, Office of Equal Opportunity
Programs, National Science Foundation, 4201 Wilson Boulevard, Arlington,
702 Civil Rights Act of 1964
Section 602 of the Civil Rights Act of 1964 (42 USC §2000d et seq.) provides that no
person in the U.S. shall, on the grounds of race, color or national origin, be excluded from
participation in, be denied the benefits of, or be otherwise subjected to discrimination
under any program or activity receiving Federal financial assistance. Section 602 requires
that each Government agency which is empowered to extend such financial assistance issue rules
or regulations implementing Title VI of the Act with respect to such programs or activities
administered by the agency.
702.2 NSF Regulations
NSF regulations implementing Title VI of the Civil Rights Act are found at 45 CFR §611.
These regulations apply to the grantee and to any subrecipients such as subawardees,
contractors and subcontractors of a grantee, and successors in interest, (other than
subrecipients for commercially available supplies, materials, equipment or general support
services). The regulations require that as a condition of approval of an application for
assistance, the applicant must execute the Assurance of Compliance form (see
Exhibit VII-1), whether or not a similar assurance form has been
filed with another Federal agency.
702.3 Assurance of Compliance
Prospective grantees may either reproduce the Assurance of Compliance form or request
copies from DGA. The signed original should be mailed to DGA. Once a properly executed form
has been filed with NSF, it will cover all future applications to NSF. Acceptance of a
subsequent grant constitutes affirmation that the Assurance of Compliance will be fully
applicable to the grant.
702.4 Civil Rights Assurance-Subrecipients
Before any organization serves as a subrecipient on an NSF grant (for other than the
provision of commercially available supplies, materials, equipment or general support
services), it must first file an Assurance of Compliance form with either the grantee or NSF.
702.5 Grant Provisions
Each NSF grant contains as part of the standard grant conditions an article implementing
703 Rehabilitation Act
Section 504 of the Rehabilitation Act of 1973, as amended (29 USC §794) provides that
"no otherwise qualified individual with a disability in the United States...shall, solely by
reason of her or his disability, be excluded from the participation in, be denied the benefits
of, or be subjected to discrimination under any program or activity receiving Federal
703.2 NSF Regulations
NSF regulations implementing Section 504 are found at 45 CFR §605. With a few changes,
these regulations follow closely the regulations issued by the DHHS at 45 CFR §84. These
regulations also apply to subrecipients such as subawardees, contractors and subcontractors
of a grantee, and successors in interest (other than subrecipients for the provision of
commercially available supplies, materials, equipment or general support services).
703.3 Assurance of Compliance
In lieu of requiring submission of separate assurances or certifications, each NSF grant
contains as part of the standard grant conditions a provision stating that acceptance of the
grant constitutes assurance that the grantee will comply with Section 504 and NSF's
703.4 Section 504 Assurance--Subrecipients
In lieu of requiring grantees to obtain separate assurances or certifications from
subrecipients receiving financial assistance under an NSF grant, grantees will include in all
subawards (for other than the provision of commercially available supplies, materials,
equipment or general support services), an assurance of compliance comparable to that included
in NSF grants.
703.5 Grant Conditions
Each NSF grant contains as part of the standard grant conditions an article implementing
Section 504 and the NSF regulations. The assurance requirement of those conditions will be
satisfied as indicated in GPM 703.3, "Assurance of Compliance"
and 703.4, "Section 504 Assurance - Subrecipients."
704 Title IX - Sex Discrimination
Subject to certain exceptions regarding admission policies at certain religious and
military organizations, Title IX of the Education Amendments of 1972 (20 USC §§1681-1686)
prohibits the exclusion of persons on the basis of sex from any education program or activity
receiving Federal financial assistance. All NSF grantees are expected to comply with Title
704.2 NSF Regulations
NSF regulations implementing Title IX of the Education Amendments of 1972 are found at 45
704.3 Grant Conditions
Each NSF grant contains, as part of the standard grant conditions, an article implementing
705 Age Discrimination Act
The Age Discrimination Act of 1975, as amended (42 USC §§6101 et seq.), provides that
pursuant to regulations issued by DHHS "no person in the United States shall, on the basis of
age, be excluded from participation in, be denied the benefits of, or be subjected to
discrimination under, any program or activity receiving Federal financial assistance."
705.2 NSF Regulations
NSF regulations implementing the Age Discrimination Act are found at 45 CFR §617.
705.3 Grant Conditions
Each NSF grant contains, as part of the standard grant conditions, an article implementing
the Age Discrimination Act.
706 Equal Employment Opportunity Under E.O. 11246
E.O. 11246, as amended, requires contractors and subcontractors performing Federally
assisted construction projects to provide equal opportunity, without regard to race, color,
religion, sex or national origin, to persons employed or seeking employment with them.
This E.O. may apply to some NSF grants for construction.
706.2 Grant Conditions
In instances when E.O. 11246 is applicable, the grant will include an equal opportunity
clause in conformance with regulations issued by the Secretary of Labor at 41 CFR §60.
710 PROTECTION OF LIVING ORGANISMS
711 Human Subjects
The grantee is responsible for the protection of the rights and welfare of human subjects
involved in activities supported by NSF. All research involving human subjects supported or
otherwise subject to regulation by any Federal agency is covered by a policy set forth in a
Common Rule, "Protection of Human Subjects" (http://www.access.gpo.gov/nara/cfr/waisidx_99/45cfr690_99.jspl).
711.2 NSF Regulation
NSF's Common Rule on Protection of Human Subjects is available on the NSF website at
http://www.nsf.gov/bfa/dga/policy/45cfr690.pdf. Guidance about the regulation is
711.3 Certification of Compliance
Before a research project involving the use of human subjects can be supported, a proposer
must certify that the research has been approved, is exempt, or else is subject to continuing
review by the appropriate Institutional Review Board (IRB) in accordance with the regulations
in the Common Rule. The IRB must be formally approved as complying with the Common Rule in
an "assurance" that is filed with any Federal agency participating in the Common Rule. Such
assurances are most commonly filed with the Office of Human Research Protection,
(http://ohrp.osophs.dhhs.gov/), Department of
Health and Human Services (DHHS) or with NSF. Categories of research that are exempt from
this requirement are described at 45 CFR §690.101(b). Required contents and procedures for
approval of assurances are set forth at 45 CFR §690.103. Prospective grantees should contact
the relevant Program Officer for more information.
712 Research Involving Recombinant DNA Molecules
This section applies to all research, for which NSF research grant funds are used, that
falls within the scope of the Guidelines for Research Involving Recombinant DNA Molecules
(NIH Guidelines) (
http://www4.od.nih.gov/oba/rac/guidelines/guidelines.jsp), as amended in
January 2001, hereafter referred to as the "Guidelines".
NSF grantees performing research within the U.S. that falls within the scope of the
Guidelines shall comply with the Guidelines, including the procedural requirements and any
subsequent revisions as they are published in the Federal Register. Grantee responsibilities
Each organization involved in the conduct of NSF-supported recombinant
DNA research subject to the Guidelines must have a standing Institutional
Biosafety Committee (IBC) as specified in Section IV of the Guidelines.
DNA research subject to the Guidelines must be registered with the IBC
indicating compliance with the containment requirements specified in Part
III of the Guidelines. IBCs are required to keep records of recombinant DNA
research conducted at their organization in a form that is available to NSF
712.3 Research Requiring Prior Approval of the Director, NIH
In certain instances research should not be initiated or registered with IBCs prior to
approval and determination of containment level by the Director, NIH. Normally such
experiments are reviewed by the Recombinant DNA Advisory Committee before a decision is made
by the Director, NIH. Such instances are:
research for which containment levels are not explicitly specified by
research involving experiments prohibited by the Guidelines,
i.e., requests for exceptions to the Guidelines; and
requests to perform
experiments without regard to the containment specified in the Guidelines,
i.e., exemptions from the Guidelines.
712.4 Recombinant DNA Research Outside the U.S.
Recombinant DNA research within the scope of the Guidelines that is performed outside of
the U.S. using funds provided by NSF for transportation, salaries or direct research expenses
must comply with the U.S. or host country standards. If the research is to be carried out in
a country that has adopted guidelines comparable to those of the U.S., a document with
information and endorsements assuring compliance to the host organization standards must be
submitted to NSF. NSF funds may not be used to carry out research using recombinant DNA in a
country that has not adopted national guidelines unless the research is in full compliance
with the Guidelines and the procedures required for NSF-supported research within the U.S.
713 Animal Welfare Requirements
The grantee is responsible for the humane care and treatment of any vertebrate
animal used or intended for use in such activities as field or laboratory
research, development, training, experiments, biological testing or for related
purposes supported by NSF grants.
Any grantee performing research on vertebrate
comply with the Animal Welfare Act [7 U.S.C. 2131 et seq.] and the regulations
promulgated thereunder by the Secretary of Agriculture [9 CFR 1.1-4.11]
pertaining to the humane care, handling, and treatment of vertebrate
animals held or used for research, teaching or other activities supported
by Federal awards. The awardee is expected to ensure that the guidelines
described in the National Academy of Science (NAS) Publication, "Guide for the Care and Use of
Laboratory Animals" (1996) are followed and to comply with the Public Health
Service Policy and Government Principles Regarding the Care and Use of Animals
(included as Appendix D to the NAS Guide).
NSF proposal preparation requirements
for projects involving the use of vertebrate animals are contained in the
GPG Chapter II, Section C.11.d.
Prior to the issuance of an award for a project involving use of vertebrate
animals, the project must be approved by an Institutional Animal Care and
Use Committee (IACUC) established through a multi-project assurance with
the Office of Laboratory Animal Welfare (OLAW) of the NIH, or else through
a single-project assurance approved by the NSF.
During the life of the award,
additional IACUC approval must be obtained if the protocols for use of
vertebrate animals have been changed substantively from those originally
proposed and approved, or if the previous approval is more than three years
old. In the event the grantee's multi-project Assurance is cancelled or lapses,
the grantee must immediately notify the NSF Grants Officer identified in
Research facilities subject to the Animal Welfare Act using or
intending to use live animals in research and who receive Federal funding
are required to register the facility with the Animal and Plant Health
Inspection Service (APHIS), U.S. Department of Agriculture. A current listing
of licensed animal dealers may also be obtained from APHIS. The location
of the nearest APHIS Regional Office, as well as information concerning this
and other APHIS activities, may be obtained at
Awards to U.S. grantees for projects involving
the care or use of vertebrate animals at a foreign institution or foreign
field site also require approval of research protocols by the U.S. grantee's
IACUC. If the project is to be funded through an award to a foreign institution
or through an individual fellowship award that will support activities at
a foreign institution, NSF will require a statement of compliance that the
activities will be conducted in accordance with all applicable laws in the
foreign country and that the International Guiding Principles for Biomedical
Research Involving Animals (see http://www.cioms.ch/)
will be followed.
714 Marine Mammal Protection Act
The protection of marine mammals in research activities supported by NSF grants is the
responsibility of the grantee. Proposals submitted to NSF in support of marine research
activities must include a statement that the grantee will comply with the Marine Mammal
Protection Act of 1972, (16 USC §§1361-1421h).
715 GOVERNMENT PERMITS AND ACTIVITIES ABROAD
For awards that include activities requiring permits from appropriate
Federal, state, or local government authorities, the awardee should obtain
any required permits prior to undertaking the proposed activities.
should assure that activities carried on outside the U.S. are coordinated
as necessary with appropriate U.S. and foreign government authorities and
that necessary licenses, permits or approvals are obtained prior to undertaking
proposed activities. NSF does not assume responsibility for awardee compliance
with the laws and regulations of the country in which the work is to be
720 CONSTRUCTION, REARRANGEMENTS AND ALTERATIONS
721 Davis-Bacon Act
The Davis-Bacon Act (40 USC §§276a et seq.) establishes minimum wages to be paid to laborers
and mechanics on construction contracts to which the U.S. is a party involving public
buildings or public works within the U.S. A number of other statutes have extended this
provision to specific Federal grant programs involving construction. However, unless
specifically stated in the grant, the Davis-Bacon Act does not normally apply to NSF grants
since grantees normally retain title to property acquired under the grant and the
construction, if any, is normally on non-Government land.
722 Bonding and Insurance
The NSF Act (42 USC §1870c) provides NSF with authority to enter into grants, contracts or
other agreements without performance or other bonds. Therefore, unless the grant specifically
provides otherwise, NSF does not require performance or other bonds or insurance.
723 Flood Insurance
Two sections of the National Flood Insurance Act of 1968
(42 USC §4012a
and §4106) bar
Federal agencies from giving financial assistance for acquisition or construction
purposes in any area identified by the Federal Emergency Management Agency
(FEMA) as having special flood hazards unless:
the community in which that
area is located participates in the national flood insurance program;
the building (and any related equipment) is covered by adequate flood
By electronically signing the NSF cover sheet, prospective
grantees located in FEMA-designated special flood hazard areas
certify that adequate flood insurance has been or will be obtained:
grants for the construction of a building or facility, regardless
of the dollar amount of the grant; and
for other NSF grants when more than $10,000 has been budgeted in
the proposal for repair, alteration or improvement of a building
grantees should contact their local government or a federally-insured
financial institution to determine what areas are identified as having
special flood hazards and the availability of flood insurance in
724 Seismic Safety of Buildings
E.O. 12699 Seismic Safety of Federal and Federally-assisted or Regulated New Building
Construction dated January 5, 1990, requires that consideration be given to seismic hazards
in the design of buildings. Very seldom are NSF grantees involved with federally-assisted
construction and rarely are new buildings involved. NSF ensures compliance with the Order
through its grantees and grantee organizations by inclusion of a specific grant condition in
any appropriate grant.
730 INTELLECTUAL PROPERTY
731 Patents and Inventions
The disposition of rights to inventions made by small business firms
and non-profit organizations, including universities and other institutions
of higher education, during NSF-assisted research is governed by Chapter
18 of Title 35 of the USC, commonly called the Bayh-Dole Act. In accordance
with a Presidential Memorandum entitled Government Patent Policy issued
on February 18, 1983 and under the authority of Section 12 of the National
Science Foundation Act of 1950, as amended (42 USC §1871), NSF applies
the policies of that Act to all its grantees. The Department of Commerce
(DOC) is the lead agency for implementing the Bayh-Dole Act and has published
guidance to Federal agencies in 37 CFR §401. NSF's implementing rules
are published in 45 CFR §650.
NSF's standard Patent Rights
clause, published at 45 CFR §650.4(a) and below at GPM
731.3, "Standard Patent Rights Clause" is identical to that
prescribed in the DOC guidance (37 CFR §401.14(a)) except that:
NSF has tailored
the clause to apply to grants and to identify NSF;
pursuant to section
401.5(d) of the DOC guidance (37 CFR §401.5(d)), NSF has added to
paragraph b. of the clause a stipulation that NSF reserves the right
to direct a grantee to transfer to a foreign government or research
performer such rights to any subject invention as are required to
comply with any international treaty or agreement identified when
the grant is made as being applicable to the assisted research;
permitted by section 401.5(f) of the DOC guidance (37 CFR §401.5(f)),
NSF has added a subparagraph to the end of paragraph f. of the
clause to require grantees or their representatives to send NSF
confirmations of the Government licenses for subject inventions
and of the page of any United States patent application that
contains the Federal support clause; and
since NSF normally uses
the same clause for all subcontractors, the first two sub-paragraphs
of paragraph g. of the clause specified in the DOC guidance
have been reduced to one.
731.2 National Science Foundation Patent Policy
As authorized by the National Science Board (NSB), the Director of the NSF has adopted the
following NSF patent policy.
In accordance with the Bayh-Dole Act and the Presidential Memorandum
entitled Government Patent Policy issued February 18, 1983, NSF will use
the Patent Rights clause prescribed by DOC in all its funding agreements
for the performance of experimental, developmental or research work, including
grants made to foreign entities, unless NSF determines that some other provision
would better serve the purposes of that Act or the interests of the U.S.
and the general public.
In funding agreements covered by a treaty or agreement
that provide that an international organization or foreign government,
research institute or inventor will own or share patent rights, NSF will
acquire such patent rights as are necessary to comply with the applicable
treaty or agreement.
If a grantee elects not to retain rights to an invention,
NSF will allow the inventor to retain the principal patent rights unless
the grantee, or the inventor's employer, if other than the grantee,
shows that it would be harmed by that action.
NSF will normally allow any
patent rights not wanted by the grantee or inventor to be dedicated
to the public through publication in scientific or engineering journals
or as a statutory invention registration. However, if another Federal agency
is known to be interested in the relevant technology, NSF may give
it an opportunity to review and patent the invention so long as that does
not inhibit the dissemination of the research results to the research community.
731.3 Standard Patent Rights Clause
The following Patent Rights clause will be used in every funding agreement awarded by NSF
that relates to scientific or engineering research unless a special patent clause has been
negotiated (see GPM 733.1, "Special Grant Provisions"). When the
clause is used in a funding agreement other than a grant, "grant" and "grantee" may be
replaced by "cooperative agreement" and "awardee" or other appropriate terms.
PATENT RIGHTS (APRIL, 1992)
INVENTION means any invention
or discovery which is or may be patentable or otherwise protectable
under Title 35 of the USC, to any novel variety of plant which is or
may be protected under the Plant Variety Protection Act (7 USC §§2321
SUBJECT INVENTION means any invention of the grantee conceived
or first actually reduced to practice in the performance of work
under this grant, provided that in the case of a variety of plant, the
date of determination (as defined in section 41(d)) must also occur during
the period of grant performance.
PRACTICAL APPLICATION 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 the 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
MADE when used in relation to any invention means the conception
or first actual reduction to practice of such invention.
ORGANIZATION 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 USC §501(c)) and exempt from taxation under Section 501(a) of
the Internal Revenue Code (26 USC §501(a)) or any domestic non-profit
scientific or educational organization qualified under a State non-profit
Allocation of Principal Rights. The grantee may retain the entire
right, title, and interest throughout the world to each subject
invention subject to the provisions of this Patent Rights clause and
35 USC §203.
With respect to any subject invention in which the grantee retains
title, the Federal Government shall have a non-exclusive, nontransferable,
irrevocable, paid-up license to practice or have practiced for or on
behalf of the U.S. the subject invention through-out the world. If the
grant indicates it is subject to an identified international agreement or
treaty, the National Science Foundation (NSF) also has the right to direct
the grantee to convey to any foreign participant such patent rights to subject
inventions as are required to comply with that agreement or treaty.
Disclosure, Election of Title and Filing of Patent Applications by
The grantee will disclose each subject invention to NSF within
two months after the inventor discloses it in writing to grantee
personnel responsible for the administration of patent matters.
The disclosure to NSF shall be in the form of a written report and
shall identify the grant under which the invention was made and the
inventor(s). It shall be sufficiently complete in technical detail
to convey a clear understanding of the nature, purpose, operation,
and, to the extent known, the physical, chemical, biological or electrical
characteristics of the invention. The disclosure shall also identify
any publication, on sale or public use of the invention and whether
a manuscript describing the 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 NSF, the grantee
will promptly notify NSF of the acceptance of any manuscript describing
the invention for publication or of any on sale or public use planned
by the grantee.
grantee will elect in writing whether or not to retain title to
any such invention by notifying NSF within two years of disclosure
to NSF. However, in any case where publication, on sale, or public
use has initiated the one-year statutory period wherein valid patent
protection can still be obtained in the U.S., the period for election
of title may be shortened by NSF to a date that is no more than 60
days prior to the end of the statutory period.
The grantee will file
its initial patent application on an invention to which it elects
to retain title within one year after election of title or, if
earlier, prior to the end of any statutory period wherein valid patent
protection can be obtained in the U.S. after a publication, on sale,
or public use. The grantee will file patent applications in additional
countries or international patent offices within either ten months
of the corresponding initial patent application, or six months from
the date when permission is granted by the Commissioner of Patents
and Trademarks to file foreign patent applications when such filing
has been prohibited by a Secrecy Order.
Requests for extension of
the time for disclosure to NSF, election, and filing under subparagraphs
1., 2., and 3. may, at the discretion of NSF, be granted.
When the Government May Obtain Title. The grantee will convey
to NSF, upon written request, title to any subject invention:
if the grantee fails to disclose or elect the subject invention
within the times specified in paragraph c. above, or elects not to
retain title; provided that NSF may only request title within 60
days after learning of the failure of the grantee to disclose or
elect within the specified times;
in those countries in which the grantee fails to
file patent applications within the times specified in paragraph
c. above, but prior to its receipt of the written request of NSF,
the grantee shall continue to retain title in that country; or
any country in which the grantee decides not to continue the
prosecution of any application for, to pay the maintenance fees on,
or defend in a reexamination or opposition proceeding on, a patent
on a subject invention.
Minimum Rights to Grantee.
The grantee will retain a non-exclusive royalty-free
license throughout the world in each subject invention to which
the Government obtains title, except if the grantee fails to disclose
the subject invention within the times specified in paragraph c. above.
The grantee's license extends to its domestic subsidiaries and affiliates,
if any, within the corporate structure of which the grantee is a
party and includes the right to grant sublicenses of the same scope
to the extent the grantee was legally obligated to do so at the time
the grant was awarded. The license is transferable only with the approval
of NSF except when transferred to the successor of that part of the
grantee's business to which the invention pertains.
The grantee's domestic
license may be revoked or modified by NSF 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 applicable provisions at 37 CFR §404. This license
will not be revoked in that field of use or the geographical areas
in which the grantee 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 discretion of NSF to the extent the grantee, its licensees, or
its domestic subsidiaries or affiliates have failed to achieve practical
application in that foreign country.
Before revocation or modification
of the license, NSF will furnish the grantee a written notice
of its intention to revoke or modify the license, and the grantee
will be allowed thirty days (or such other time as may be authorized
by NSF for good cause shown by the grantee) after the notice to
show cause why the license should not be revoked or modified. The
grantee has the right to appeal, in accordance with applicable
regulations in 37 CFR §404 concerning the licensing of Government-owned
inventions, any decision concerning the revocation or modification
of its license.
Grantee Action to Protect Government's Interest.
The grantee agrees to
execute or to have executed and promptly deliver to NSF all instruments
necessary to: (i) establish or confirm the rights the Government
has throughout the world in those subject inventions for which the
grantee retains title; and (ii) convey title to NSF when requested
under paragraph d. above, and to enable the Government to obtain patent
protection throughout the world in that subject invention.
agrees to require, by written agreement, its employees, other than
clerical and non-technical employees, to disclose promptly in writing
to personnel identified as responsible for the administration of
patent matters and in a format suggested by the grantee each subject
invention made under this grant in order that the grantee can comply
with the dis-closure provisions of paragraph c. above, and to execute
all papers necessary to file patent ap-plications on subject inventions
and to establish the Government's rights in the subject inventions.
The disclosure format should require, as a minimum, the information
requested by paragraph c.1. above. The grantee shall instruct such
employees through the employee agreements or other suitable educational
programs on the importance of reporting inventions in sufficient
time to permit the filing of patent applications prior to U.S. or
foreign statutory bars.
The grantee will notify NSF of any decision
not to continue prosecution of a patent application, pay maintenance
fees, or defend in a reexamination or opposition proceeding on
a patent, in any country, not less than 30 days before the expiration
of the response period required by the relevant patent office.
grantee agrees to include, within the specification of any U.S.
patent application and any patent issuing thereon covering a subject
invention, the following statement: "This invention was made with Government
support under (identify the grant) awarded by the National Science
Foundation. The Government has certain rights in this invention."
grantee or its representative will complete, execute and
forward to NSF a confirmation of a License to the U.S. Government
and the page of a United States patent application that contains
the Federal support clause within two months of filing any
domestic or foreign patent application.
The grantee will include this Patent Rights clause, suitably
modified to identify the parties, in all subcontracts, regardless
of tier, for experimental, developmental or research work. The subcontractor
will retain all rights provided for the grantee in this Patent
Rights clause, and the grantee will not, as part of the consideration
for awarding the subcontract, obtain rights in the subcontractors'
In the case of subcontracts, at any tier, when the
prime award by NSF was a contract (but not a grant or cooperative
agreement), NSF, subcontractor, and contractor agree that the mutual
obligations of the parties created by this Patent Rights clause constitute
a contract between the subcontractor and the Foundation with respect
to those matters covered by this Patent Rights clause.
Utilization of Subject Inventions. The grantee agrees to
submit on request periodic reports no more frequently than annually on
the utilization of a subject invention or on efforts at obtaining
such utilization that are being made by the grantee or its licensees
or assignees. Such reports shall include information regarding
the status of development, date of first commercial sale or use, gross
royalties received by the grantee and such other data and information
as NSF may reasonably specify. The grantee also agrees to provide
additional reports in connection with any march-in proceeding
undertaken by NSF in accordance with paragraph j. of this Patent Rights
clause. As required by 35 USC §202(c)(5),
NSF agrees it will not disclose such information to persons outside the
Government without the permission of the grantee.
for United States Industry. Notwithstanding any other provision of
this Patent Rights clause, the grantee agrees that neither it nor any
assignee will grant to any person the exclusive right to use or sell
any subject invention in the U.S. unless such person agrees that any
products embodying the subject invention or produced through the use
of the subject invention will be manufactured substantially in the U.S.
However, in individual cases, the requirement for such an agreement may
be waived by NSF upon a showing by the grantee or its 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 U.S. or that under the circumstances domestic manufacture is not
March-in Rights. The grantee agrees that with
respect to any subject invention in which it has acquired title,
NSF has the right in accordance with procedures at 37 CFR §401.6
and NSF regulations at 45 CFR §650.13 to require the grantee, an assignee
or exclusive licensee of a subject invention to grant a non-exclusive, partially
exclusive, or exclusive license in any field of use to a responsible applicant
or applicants, upon terms that are reasonable under the circumstances and
if the grantee, assignee, or exclusive licensee refuses such a request, NSF
has the right to grant such a license itself if NSF determines that:
action is necessary because the grantee or assignee has not taken
or is not expected to take within a reasonable time, effective steps
to achieve practical application of the subject invention in such field
such action is necessary to alleviate health or safety needs
which are not reasonably satisfied by the grantee, assignee, or
such action is necessary to meet requirements for
public use specified by Federal regulations and such requirements
are not reasonably satisfied by the grantee, assignee, or licensee;
such action is necessary because the agreement required by
paragraph i. of this Patent Rights clause has not been obtained
or waived or because a licensee of the exclusive right to use or
sell any subject invention in the U.S. is in breach of such agreement.
Provisions for Grants with Non-profit Organizations. If the
grantee is a non-profit organization, it agrees that:
rights to a subject
invention in the U.S. may not be assigned without the approval
of NSF, except where such assignment is made to an organization which
has as one of its primary functions the management of inventions, provided
that such assignee will be subject to the same provisions as the
the grantee will share royalties collected on a subject invention
with the inventor, including Federal employee co-inventors (when
NSF deems it appropriate) when the subject invention is assigned
in accordance with 35 USC §202(e) and 37 CFR §401.10;
the balance of any
royalties or income earned by the grantee with respect to subject
inventions, after payment of expenses (including payments to inventors)
incidental to the administration of subject inventions, will be utilized
for the support of scientific or engineering research or education;
it will make efforts that are reasonable under the circumstances
to attract licensees of subject inventions that are small business
firms and that it will give preference to a small business firm
if the grantee determines that the small business firm has a plan
or proposal for marketing the invention which, if executed, is equally
likely to bring the invention to practical application as any plans
or proposals from applicants that are not small business firms; provided
that the grantee is also satisfied that the small business firm has
the capability and resources to carry out its plan or proposal. The
decision whether to give a preference in any specific case will be
at the discretion of the grantee. However, the grantee agrees that
the Secretary of Commerce may review the grantee's licensing program
and decisions regarding small business applicants, and the grantee
will negotiate changes to its licensing policies, procedures or practices
with the Secretary when the Secretary's review discloses that the
grantee could take reasonable steps to implement more effectively
the requirements of this paragraph k.4.
Communications. All communications
required by this Patent Rights clause should be sent to:
Office of the General Counsel
National Science Foundation
4201 Wilson Boulevard
Arlington, VA 22230
[END OF CLAUSE]
731.4 Electronic Invention Handling
Grantees are encouraged to use the Edison Invention Information Management System maintained
by the National Institutes of Health to disclose NSF subject inventions. Detailed
instructions for use of that system are provided at
http://era.info.nih.gov/Edison/ and should be followed for NSF subject inventions except
All written communications required should be addressed to the Patent Assistant,
Office of the General Counsel, National Science Foundation, 4201 Wilson
Boulevard, Arlington, VA 22230.
NSF does not require either an Annual Utilization
Report or a Final Invention Statement and Certification.
732.1 Rights to Copyrightable Material
The following principles governing the treatment of copyrightable material produced
under NSF grants were adopted by the NSB.
NSF normally will acquire only such rights to copyrightable material
as are needed to achieve its purposes or to comply with the requirements
of any applicable government-wide policy or international agreement.
preserve incentives for private dissemination and development, NSF
normally will not restrict, or take any part of income earned from,
copyrightable material except as necessary to comply with the requirements
of any applicable government-wide policy or international agreement.
exceptional circumstances, NSF may restrict or eliminate an awardee's
control of NSF-supported copyrightable material and of income earned
from it, if NSF determines that this would best serve the purposes
of a particular program or grant.
732.2 Standard Copyrightable Material Clause
The following copyrightable material clause will be used in every funding agreement awarded
by NSF that relates to scientific or engineering research unless a special copyrightable
material clause has been negotiated. (See GPM 733.1, "Special Grant
Provisions," and GPM 733.2, "Grants Not Primarily for Research.")
When the clause is used in a funding agreement other than a grant, "grant" and "grantee" may
be replaced by "cooperative agreement" and "awardee" or other appropriate terms.
a. SUBJECT WRITING means any material that:
is or may be copyrightable under Title 17 of the United States
is produced by the grantee or its employees in the performance of work under this
"Subject writings" include such items as reports, books, journal articles, software, sound
recordings, video tapes and video discs.
Copyright Ownership, Government License. Except as otherwise specified
in the grant or by this paragraph, the grantee may own or permit others
to own copyright in all subject writings. The grantee agrees that if it or
anyone else does own copyright in a subject writing, the Federal government
will have a non-exclusive, nontransferable, irrevocable, royalty-free license
to exercise or have exercised for or on behalf of the U.S. throughout the
world all the exclusive rights provided by copyright. Such license, however,
will not include the right to sell copies or photorecords of the copyrighted
works to the public.
Grants Affected by International Agreements. If the grant
indicates it is subject to an identified international agreement or treaty,
NSF can direct the grantee to convey to any foreign participant or otherwise
dispose of such rights to subject writings as are required to comply
with that agreement or treaty.
Grantee Action to Protect Government Interests.
The grantee agrees to acquire, through written agreement or an employee
relationship, the ability to comply with the requirements of the preceding
paragraphs and, in particular, to acquire the ability to convey rights
in a subject writing to a foreign participant if directed by NSF under
the previous paragraph. The grantee further agrees that any transfer
of copyright or any other rights to a subject writing, by it or anyone
whom it has allowed to own such rights, will be made subject to the requirements
of this article.
[END OF CLAUSE]
733 Special Patent and Copyright Situations
733.1 Special Grant Provisions
At the request of the prospective grantee or on recommendation from NSF staff, a Grants
Officer, with the concurrence of the cognizant Program Officer, may negotiate special patent
or copyright provisions when he/she determines that exceptional circumstances require
restriction or elimination of the right of a prospective grantee to control principal rights
to subject inventions or writings in order to better achieve the objectives of the program,
the National Science Foundation Act, or (in the case of inventions) Chapter 18 of Title 35 of
the USC. Every special copyright or patent provision will allow the grantee, after an
invention has been made or copyrightable material created, to request that it be allowed to
retain principal rights to that invention or material, unless doing so would be inconsistent
with an obligation imposed on NSF by statute, international agreement or pact with other
participants in, or supporters of, the research.
733.2 Grants Not Primarily for Research
Grants not primarily intended to support scientific or engineering research
generally do not contain patent or copyrightable material provisions.
Examples of such grants are travel, conference and equipment grants.
and Traineeships. In accordance with Section 212 of Title 35 of the USC,
NSF claims no rights to inventions made by fellows or trainees. The following
provision will be included in each fellowship or traineeship program solicitation
and made part of the grant:
INTELLECTUAL PROPERTY RIGHTS
The National Science Foundation claims no rights to any inventions or writings that might
result from its fellowship or traineeship grants. However, fellows and trainees should be
aware that the NSF, another Federal agency, or some private party may acquire such rights
through other support for particular research. Also, fellows and trainees should note their
obligation to include an Acknowledgment and Disclaimer in any publication.
[END OF PROVISION]
733.3 Grants Affected by International Agreements
- Many of the bilateral and multilateral treaties and agreements underlying
NSF's international cooperative research programs contain provisions on allocation
of rights to inventions or writings. These sometimes require an allocation
of rights different from that provided by the standard Copyrightable Material
or Patent Rights clauses. In those cases, the standard clauses will be modified
through the addition of the following to the grant:
"This project is supported under the cooperative program listed below.
Your rights in inventions, writings, and data may be affected."
The applicable agreement or treaty will be identified immediately beneath
- After an invention is disclosed to the Patent Assistant, the
grantee of a grant subject to an international agreement will be informed
as to what rights, if any, it must transfer to foreign participants. Grantees
also may ask the NSF Program Officer for copies of the identified international
agreement before or after accepting a grant.
734 Dissemination and Sharing of Research Results
Investigators are expected to promptly prepare and submit for publication,
with authorship that accurately reflects the contributions of those involved,
all significant findings from work conducted under NSF grants. Grantees
are expected to permit and encourage such publication by those actually performing
that work, unless a grantee intends to publish or disseminate such findings
Investigators are expected to share with other researchers, at no
more than incremental cost and within a reasonable time, the primary
data, samples, physical collections and other supporting materials created
or gathered in the course of work under NSF grants. Grantees are expected
to encourage and facilitate such sharing. Privileged or confidential information
should be released only in a form that protects the privacy of individuals
and subjects involved. General adjustments and, where essential, exceptions
to this sharing expectation may be specified by the funding NSF Program
or Division for a particular field or discipline to safeguard the rights
of individuals and subjects, the validity of results, or the integrity
of collections or to accommodate the legitimate interest of investigators.
A grantee or investigator also may request a particular adjustment or exception
from the cognizant NSF Program Officer.
Investigators and grantees are encouraged
to share software and inventions created under the grant or otherwise
make them or their products widely available and usable.
NSF normally allows
grantees to retain principal legal rights to intellectual property
developed under NSF grants to provide incentives for development and dissemination
of inventions, software and publications that can enhance their usefulness,
accessibility and upkeep. Such incentives do not, however, reduce the
responsibility that investigators and organizations have as members of
the scientific and engineering community, to make results, data and collections
available to other researchers.
735 Tangible Property
Some NSF grants support collection or creation of tangible property, such as insects,
marine life, drilling core samples and genetically-altered micro-organisms. As used in this
section "tangible property" means any personal property other than equipment (see
GPM 612, "Equipment"), and intellectual property.
735.2 Legal Rights to Tangible Property
Unless otherwise provided in the grant, all legal rights to tangible property collected or
created during NSF-assisted research remain with the grantee or investigators as determined by
the policies of the organization. As members of the scientific and engineering community,
both grantees and investigators are responsible for making such tangible property
appropriately available to other researchers.
740 PUBLICATION / DISTRIBUTION OF GRANT MATERIALS
741 NSF Policy
NSF advocates and encourages open scientific and engineering communication. NSF expects
significant findings from research it supports to be promptly submitted for publication, with
authorship that accurately reflects the contributions of those involved.
Cost of documenting, preparing, publishing, disseminating and sharing research findings and
supporting material are allowable charges against the grant. (See
GPM 617 "Publication, Documentation, and Dissemination".)
Unless otherwise provided in the grant, preparation, content, editing, identification of
authorship and submission for publication of significant research findings are the
responsibility of the investigators, consistent with such policies and procedures as the
grantee may prescribe.
744 Grantee Obligations
Unless otherwise provided in the grant,
the grantee is required to assure that:
- an acknowledgment of NSF support appears
in every publication (including World Wide Web pages) of any material
based on or developed under the grant, in the following terms:
"This material is based on work supported by the National Science Foundation
under Grant No. (Grantee should enter NSF grant number)."
is orally acknowledged during all news media interviews, including
popular media such as radio, television and news magazines.
- every publication of material (including World Wide Web pages) based
on or developed under the grant, except research articles or papers appearing
in scientific, engineering, technical or professional journals, contains
the following disclaimer:
"Any opinions, findings and conclusions or recommendations expressed in
this material are those of the author(s) and do not necessarily reflect
the views of the National Science Foundation."
up to two copies of every publication of material based on or developed
under the grant, clearly labeled with the award number and other appropriate
identifying information, are provided to the cognizant NSF Program Officer
promptly after publication.
Grantees should also note their obligations
in regard to copyrights (see GPM 732, "Copyright")
and their responsibilities as members of the scientific and engineering
community to disseminate and share research results (see GPM
734, "Dissemination and Sharing of Research
750 PROGRAM INCOME
The following provisions implement the applicable portions of OMB Circular A-110 on program
income as well as the principle on income from copyrightable material adopted by the NSB
(GPM 732.1, "Rights to Copyrightable Material").
PROGRAM INCOME means gross income earned by the grantee that is directly generated by a
supported activity or earned as a result of the grant. Program income includes, but is not
limited to, income from fees for services performed, the use or rental of real or personal
property acquired under the grant, the sale of commodities or items fabricated under the
grant, license fees for, and royalties on, copyrights and interest on loans made with grant
funds. Interest earned on advances of Federal funds is not program income. Program income
does not include the receipt of principal on loans, rebates, credits, discounts, etc., or
interest earned on any of them.
753 NSF Policy
Standard Treatment. Unless otherwise specified in the grant, program income
received or accruing to the grantee during the period of the grant is
to be retained by the grantee, added to the funds committed to the project
by NSF, and thus used to further project objectives. The grantee has no obligation
to NSF with respect to: 1) license fees and royalties for copyrighted
material, patents, patent applications, trademarks and inventions; or 2)
program income received beyond the period of the grant.
In exceptional circumstances, the NSF Grants Officer, in collaboration
with Program Officers and other appropriate NSF offices, may approve use
of a special grant provision to restrict or eliminate a grantee's control
of income earned through NSF-supported activities if it determines that this
would best serve the purposes of a particular program or grant. The special
provisions may require the Federal share of program income be kept in a separate
account, reported on and/or remitted for such periods as may be reasonable
under the circumstances.
760 INTERNATIONAL CONSIDERATIONS
761 Travel to Foreign Countries
Expenses for transportation, lodging, subsistence and related items incurred
by project personnel and by outside consultants employed on the project (
GPM 614, "Travel Costs") who are on travel status
on business related to an NSF-supported project are allowable as prescribed
in the governing cost principles. The requirements for prior approval detailed
in the governing cost principles are waived.
Support for the foreign travel
of an investigator's dependents is allowable only under the conditions
identified in GPM 614, "Travel Costs".
761.2 Use of U.S.-Flag Air Carriers
The General Services Administration issued an amendment to the Federal
Travel Regulations in the November 13, 1998 edition of the Federal Register
(Vol. 63, No. 219). The amendment relates to the use of U.S. flag air carriers
under the provisions of 49 U.S.C. 40118, which is commonly referred to
as the Fly America Act.
Any air transportation to, from, between or within
a country other than the U.S. of persons or property, the expense of
which will be assisted by NSF funding, must be performed by, or under a
code-sharing arrangement with, a U.S.-flag air carrier if service provided
by such a carrier is "available" (see Comp. Gen. Decision B-240956, dated
September 25, 1991). Tickets (or documentation for electronic tickets)
must identify the U.S.-flag air carrier's designator code and flight number.
For the purposes
of this requirement, U.S.-flag air carrier service is considered "available" even
comparable or a different kind of service can be provided at less
cost by a foreign-flag air carrier;
foreign-flag air carrier service
is preferred by or is more convenient for NSF or traveler; or
by a foreign-flag air carrier can be paid for in excess foreign currency.
following rules apply unless their application would result
in the first or last leg of travel from or to the U.S. being performed
by a foreign-flag air carrier:
a U.S.-flag air carrier shall be
used to destination or, in the absence of direct or through service,
to the farthest interchange point on a usually traveled route;
U.S.-flag air carrier does not serve an origin or interchange point,
a foreign-flag air carrier shall be used only to the nearest interchange
point on a usually traveled route to connect with a U.S.-flag air
if a U.S.-flag air carrier involuntarily reroutes the traveler
via a foreign-flag carrier, the foreign-flag air carrier may be
used notwithstanding the availability of alternative U.S.-flag air
761.3 Use of Foreign-Flag Air Carriers
Travel To and From the U.S. Use of a
foreign-flag air carrier is permissible if the airport abroad is:
origin or destination airport, and use of U.S.-flag air carrier service
would extend the time in a travel status by at least 24 hours more
than travel by a foreign-flag carrier; or
an interchange point, and
use of U.S.-flag air carrier service would increase the number
of aircraft changes the traveler must make outside of the U.S. by 2
or more, would require the traveler to wait four hours or more to make
connections at that point, or would extend the time in a travel status
by at least six hours more than travel by a foreign-flag air carrier.
Between Points Outside the U.S. Use of a foreign-flag air carrier
is permissible if travel by a:
foreign-flag air carrier would eliminate two or more aircraft
changes en route;
U.S.-flag air carrier would extend the time in a travel
status by at least four hours more than travel by a foreign-flag
air carrier and the travel is not part of the trip to or from the U.S.;
U.S.-flag air carrier would require a connecting time of four hours
or more at an overseas interchange point.
Short Distance Travel.
For all short distance travel, regardless of origin and destination,
use of a foreign-flag air carrier is permissible if the elapsed
travel time on a scheduled flight from origin to destination airport
by a foreign-flag air carrier is three hours or less and service by
a U.S.-flag air carrier would double the travel time.
762 Charter Flights
Because of the risk of catastrophic loss, NSF does not encourage the use of charter
flights as a means of mass transportation for groups of scientists and engineers nor does it
make arrangements for purchase of charter flight airline tickets.
763 Projects in a Foreign Country
General. Prior to undertaking any projects outside the U.S., the grantee
should ensure that any permits or licenses required by the host country
or the political subdivision in which the project will be performed have
been obtained and that the researcher(s) will abide by the appropriate ordinances
of such foreign countries. NSF funds may not be used in support of a project
which is prohibited by law in the country in which it is undertaken.
Activities in Greenland. All research projects in Greenland must be approved
in advance by the Government of Denmark. Applications for projects in which
U.S. citizens and U.S. nationals are involved in any way (logistical, operational
and/or financial support) shall be submitted to the Danish Government through
diplomatic channels (i.e., through the U.S. Department of State and the
American Embassy, Copenhagen) to the Danish Ministry of Foreign Affairs.
Application forms, deadline dates and instructions are available from the
Director, Office of Polar Programs, National Science Foundation, 4201 Wilson
Boulevard, Arlington, VA 22230.
764 Passports and Visas
NSF assumes no responsibility for securing passports or visas required by any person because of participation in an NSF-supported project. It should be noted that some countries that normally do not require visas for tourists do require special visas for scientists and engineers engaged in research or studies.
765 International Travel Grants
Funding Limitations. Funds for international travel grants will normally not exceed the
cost of a round-trip, economy class airline ticket between the approved points of origin and
destination. Group travel grants awarded to a university, professional society or other
non-profit organization to enable it to coordinate U.S. participation in one or more
scientific or engineering meetings held abroad may include a flat rate of $50 per traveler
for the general administration of this type of project. NSF international travel grants may
not be supplemented by funds from any other NSF grant or fellowship.
In addition to vertebrate animals covered by the Animal Welfare Act, the requirements specified in this coverage also are extended to rats, birds and mice. Back to Text