SPECIAL AWARD CONDITIONS
ADVANCED TECHNOLOGY PROGRAM–SINGLE RECIPIENT or JOINT VENTURE
XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX
COOPERATIVE AGREEMENT NO. 70NANBXHXXXX

1. RECIPIENT ADMINISTRATOR CONTACT 

The Recipient Administrator Contact’s name, title, address, and telephone number are:

(Technical)   XXXXXXXXXXXXXXXXXXXXXXXX 
                  (XXX) XXX-XXXX

(Administrative)  XXXXXXXXXXXXXXXXX (XXX) XXX-XXXX
                  XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX
                  XXXXXXXX, XX XXXXX-XXXX

2.  JOINT VENTURE PARTICIPANTS (if Joint Venture)

The organizations named below have been approved as joint venture participants to conduct research described in the Recipient’s proposal or any approved amendment thereto, which is incorporated into this award:

Any changes to the composition of a joint venture, including the addition, substitution or deletion of a jv participant, must be approved in writing by the Grants Officer. No costs may be incurred by any new JV participant(s) prior to the NIST Grants Officer's written approval of the new joint venture and the revised joint venture agreement.

3.  GRANT OFFICER

The Grant Officer's name, address, and telephone number are:

4.  GRANT SPECIALIST

The Grant Specialist's name, address, and telephone number are:

XXXXXXXXXXXXXXXXXXXXX
National Institute of Standards and Technology
100 Bureau Drive, Bldg. 411, Room A-143, Mail Stop 3580
Gaithersburg, MD  20899-3580
(301)975-XXXX

5.  PROGRAM OFFICERS

a.   The Project Manager's name, address, and telephone number are:

XXXXXXXXXXXXXXXXXX
National Institute of Standards and Technology
100 Bureau Drive, Bldg. 101, Mail Stop_____
Gaithersburg, MD  20899-XXXX
(301) 975-XXXX

(If the Technical Specialist is the same as Project Manager, or no separate Technical Specialist is indicated on the 435, skip the designation for the Technical Specialist, below, and re-letter the Business Specialist below as “b.” Otherwise indicate Technical Specialist or Technical Project Manager as indicated on the 435.

b. The Technical Specialist’s name, address, and telephone number are:

XXXXXXXXXXXXXXXXXX
National Institute of Standards and Technology
100 Bureau Drive, Bldg. 101, Mail Stop_____
Gaithersburg, MD  20899-XXXX
(301) 975-XXXX

c. The Business Specialist’s name, address, and telephone number are:

XXXXXXXXXXXXXXXXXXXXXXXX
National Institute of Standards and Technology
100 Bureau Drive, Bldg. 101, Mail Stop_____
Gaithersburg, MD  20899-XXXX
(301) 975-XXXX

6. PROJECT DESCRIPTION

All research shall be conducted in accordance with the Recipient's proposal dated XX/XX/XX, and all revisions/late documentation dated XX/XX/XX, including revised budget dated XX/XXXX.

7. FUNDING LIMITATIONS

The scope of work and budget incorporated into this award cover a xxxxxx year period (referred to as the "project period") for a total amount of $xxxxxxxxxxxxxx in Federal funds.  However, Federal funding available at this time is limited to $xxxxxxxx for the first year period from xx/xx/xx through xx/xx/xx (referred to as the "budget period").  The Grant Officer may require additional clarification to support the budget.  If that results in changes to the budget or budget narrative, the Recipient shall submit, in writing, a revised budget and/or budget narrative to the Grant Officer for approval.  Receipt of any additional funding beyond the first year up to the level projected under this award is contingent upon the availability of funds from Congress, satisfactory performance, and will be at the sole discretion of the National Institute of Standards and Technology (NIST).  The Recipient may not obligate, incur any expenditure, nor engage in any activity that involves a commitment of Federal funds under this Agreement in excess of the Federal amount presently available. No legal liability exists or will result on the part of the Federal Government for payment of any portion of the remaining funds, which have not been made available under the award.  If additional funds are not made available, any expenses incurred related to closeout activities must be funded from the amount already made available under this award.  The notice of availability or non-availability of additional funding for the second and third year (s) will be made in writing by the Grant Officer. Only the Grant Officer is authorized to obligate funds. No other verbal or written notice should be relied upon by the Recipient. In the absence of a written notice of additional funding, no assumption should be made by the Recipient that the funds will be forthcoming.

Annual budget amounts and period:

8. COST SHARE

(For Small Single)

For the first year period, the cost sharing ratio (direct costs only) applicable to this award is the Recipient's contribution of XX.XX% ($XXX) and NIST's contribution of XX.XX% ($XXX).

Annual cost share amounts and percentages:

                          Nonfederal         Federal

(For Joint Venture)

For the first year period, the cost sharing ratio (direct plus indirect) applicable to this award is the Recipient's contribution of XX.XX% ($XXX) and NIST's contribution of XX.XX% ($XXX).

The JV Administrator must ensure that JV’s overall cost share requirements are met each year throughout the award. Each JV participant is responsible for meeting or exceeding its cost share requirements in accordance with its approved budget.

Annual cost share amounts and percentages:

                          Nonfederal         Federal

(For large company with 60% cost sharing requirements)

For the first year period, the cost sharing ratio (direct plus indirect) applicable to this award is the Recipient's contribution of XX.XX% ($XXX) and NIST's contribution of XX.XX% ($XXX).

The Recipient must ensure that its cost share requirement is met each year throughout the award.

Annual cost share amounts and percentages:

                  Nonfederal                         Federal

9. AUTOMATED STANDARD APPLICATION FOR PAYMENT SYSTEM (ASAP)

1. This SAC amends the Department of Commerce Financial Assistance Standard Terms and Conditions, dated October 2001, Section A.02, Award Payments.
   
2. The advance method of payment shall be authorized unless otherwise specified in a special award condition.
   
3. Payments will be made through electronic funds transfers, using the Department of Treasury's Automated Standard Application for Payment (ASAP) system, and in accordance with the requirements of the Debt Collection Improvement Act of 1996.  The following information is required when making withdrawals for this award: (1) ASAP account identification (id) = award number found on the cover sheet of this award; (2) Agency Location Code (ALC) = 13060001; and (3) Region Code = 01.  Recipients do not need to submit a "Request for Advance or Reimbursement" (SF-270) for payments relating to this award.  If you are not enrolled as an ASAP Recipient Organization you must complete the enrollment process with your Federal Reserve Bank, Regional Finance Center.  Enrollment applications and information can be found at the following web site: http://www.fms.treas.gov/asap/handbook.html.
   
   If you need a paper copy of the enrollment documentation please contact the Grant Specialist responsible for this award.
   
   Advances taken through the ASAP shall be limited to the minimum amounts necessary to meet immediate disbursement needs.  Advanced funds not disbursed in a timely manner must be promptly returned, via an ASAP credit, to the account from which the advanced funding was withdrawn.  Advances shall be for periods not to exceed 30 days.
   
4. Funds that have been withdrawn through ASAP may be returned to ASAP via the Automated Clearing House (ACH) or via FEDWIRE. The ACH or FEDWIRE transaction can only be done by the Recipient's financial institution.  Full or partial amounts of payments received by a Payment Requestor/Recipient Organization may be returned to ASAP.  All funds returned to the ASAP system will be credited to the ASAP Suspense Account. The Suspense Account allows the Regional Financial Center to monitor returned items and ensure that funds are properly credited to the correct ASAP account.  Returned funds that cannot be identified and classified to an ASAP account will be dishonored and returned to the originating depositary financial institution (ODFI). 
   
   It is essential that the Payment Requestor/Recipient Organization provide its financial institution with ASAP account information (ALC, Recipient ID and Account ID) to which the return is to be credited.  Additional detailed information can be found at http://www.fms/treas.gov/asap/pay-return2.pdf.
   
5. This award has the following control or withdraw limits set in ASAP:

 X             None

____       Agency Review required for all withdrawals  (see explanation below)

____       Agency Review required for all withdrawal requests over $_________ (see explanation below)

____       Maximum Draw Amount controls (see explanation below):

$___________    each month

$___________    each quarter

$___________    each year

(Below are for Joint Venture only:)

xx.   FEDERAL TRADE COMMISSION (FTC) AND DEPARTMENT OF JUSTICE (DOJ) NOTIFICATION

Within thirty (30) calendar days of the date of this agreement, the Recipient shall provide notification to the FTC and DOJ of the formation of a joint venture.  The Recipient shall provide the NIST Grants Officer with a copy of this notification prior to release of funds under this cooperative agreement, as prescribed by 15 CFR Sec. 295.24. (A sample notification letter is attached.)

xx.       GO/NO-GO DECISION POINT (will be inserted as needed)

The Recipient must provide to the ATP Project Manager in writing within 60 days of project start date, the key decision points for the project which evaluate technical progress made and link the project scope to the commercialization objectives.

xx.  REQUIREMENT FOR INDIRECT COST RATE (if no indirect cost rate agreement was already provided)

Recipients, including large business single company and JV participants who will be charging indirect costs or applying indirect costs as matching funds must have an approved indirect cost rate from a cognizant Federal Agency.  An indirect cost rate has not been established by a cognizant Federal Agency for _______________ [insert company name(s)]. Therefore, an indirect cost rate proposal must be submitted within 90 days from the date of this award.

Please refer to the October 2001 Department of Commerce Financial Assistance Standard Terms and Conditions, Section A.05 for the indirect cost rate requirements, or access the following website (Additional guidance is attached): http://www.osec.doc.gov/oebam/costrateprop.htm.

1. An Accounting System Certification, required by SAC # X, above, must be provided to the NIST Grants Officer.
   
2. A year end financial statement must be submitted to the NIST Grants Officer within thirty (30) calendar days of the end of the Recipient’s fiscal year.
   
3. Copies of supporting documentation to validate all costs contained in each request for reimbursement must be provided to the NIST Grants Officer until such time as the NIST Grants Officer amends this award to remove this condition.
   
   If the documentation provided above demonstrates [a stable financial position; the Recipient’s ability to account for costs associated with this award] then the designation of “High Risk” shall be removed via an amendment to the award.  [Insert Recipient’s name]______________________  may request reconsideration of this designation at any time during the award period through a written request  submitted to the Grants Officer.

Facility 1 - (company/vendor (Species)
Facility 2 - (company/vendor (Species)
Facility 3 - (company/vendor (Species)

In order to continue research involving vertebrate animals, the Recipient must maintain the following valid, current approvals, and certifications.

Facility 1:

Protocol # ______ (Protocol title and animal species)
Expiration date XX/XX/XX

(Select one of the following)

Animal Welfare Assurance #____________________

OR

USDA #_________________________________________

AND/OR
(For research projects that only involve rodents, birds or fish)

AAALAC Certification #_______________________

Facility 2:

Protocol#_____________ (Protocol title and animal species)
Expiration date XX/XX/XX

(Select one of the following)

Animal Welfare Assurance # _______________________

USDA #__________________________________________

(For research projects that only involve rodents, birds or only fish)

AAALAC Certification #_____________________ (species)
(Below is for all projects involving animal research)

To be consistent with federal-wide practice, NIST is now accepting documentation identifying the assurance designation (e.g. OLAW animal welfare assurance number, USDA certificate number, or stipulation of AAALAC accreditation) in lieu of submitting an actual copy of applicable institutional credentials (e.g OLAW animal welfare assurance designation, USDA certificate, or AAALAC letter of accreditation).  Since verification that assurances are valid and current can be made through official websites, generally only documentation of the applicable credential’s identifier linked to the institution performing the animal studies is needed.  NIST reserves the right to request a copy of the applicable institutional credentials (e.g OLAW animal welfare assurance designation, USDA certificate, or AAALAC letter of accreditation), as warranted.  The Recipient shall provide NIST with documentation identifying each institution’s identifier linked to the applicable credentials when applying for the renewal or amendment to any animal study approvals, along with signed and dated documentation from the IACUC and/or the cognizant certifying body of IACUC approval, including any interim or renewal reporting requirements, no later than the expiration date shown above. The Recipient shall provide information on continuing review of the ASP as it occurs. The Recipient shall immediately inform the ATP Project Manager and NIST Grants Officer in writing of any proposed deviations from the procedures involving vertebrate animals approved by NIST during the project period, and submit evidence of approval of the revised animal study proposal by the IACUC for NIST review. For further information, please refer to the booklet entitled, “Guidelines and Documentation Requirements for Research Involving Human and Animal Subjects,” available on the ATP website at http://www.atp.nist.gov/atp/kit-04/has_guide/contents.htm.

For DEFERRAL Research at (Insert name of facility) involving (Insert type of animal) is proposed for (Specify anticipated timeframe). No work at this facility may be undertaken, conducted, or costs incurred and charged to this project, until the required has been submitted by the Recipient and approved in writing by the NIST Grants Officer. Documentation requirements are identified in Term #20 of the August 2004 ATP General Terms and Conditions entitled “Care and Use of Vertebrate Animals” and are set forth in the booklet entitled, “Guidelines and Documentation Requirements for Research Involving Human and Animal Subjects,” available on the ATP website at http://www.atp.nist.gov/atp/kit-04/has_guide/contents.htm                                                         

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XX HUMAN SUBJECT RESEARCH [Language and regulation references sre indicated in memo to Grants Officer included in the award package, but will generally be one of the following]

XX. HUMAN SUBJECT RESEARCH EXEMPTION

Based upon a review of the proposal and documentation dated XX/XX/XX and _________ XX, 2004, NIST has determined that the involvement of human subjects in research identified in this project meets the criteria to qualify for an exemption under 15 CFR 27.101(_)(_), Protection of Human Subjects, which states:

“__________________________________________________________________.”

(for subcontracting research, use following clause:)
This exemption applies exclusively to the use of (cell, blood. Cadaver…) in the approved research tasks undertaken by (name of the sub) under this cooperative agreement as referenced in the correspondence dated ____ XX, 2004, and _______ XX, 2004.

(for vendors, use the following clause:)
This exemption applies exclusively to the use of (cells, blood, cadaver…) obtained from (name of the vendor(s) as referenced in the correspondence dated _____ XX, 2004, and ______ XX, 2004

No other involvement of human subjects in research is authorized by NIST within this project.

If the conditions upon which this exemption is based change in any way, the Recipient must notify the Grants Office immediately in writing and obtain prior written approval from the Grants Officer before proceeding with any further research involving human subjects.

By accepting this award, the Recipient certifies to the accuracy of the documentation cited above.

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For DEFERRAL

XX. DEFERRAL OF REVIEW OF USE OF HUMAN SUBJECTS

Based upon a review of the proposal and documentation dated _____ XX, 2004 and _____ XX,2004, NIST has determined that the involvement of human subjects in research identified herein meets the criteria to qualify for a deferred review. This award is made in accordance with 15 CFR 27.118, which permits research that does not involve human subjects to proceed even though human subjects may be involved at a later stage during the project period.  In accordance with the August 2004 ATP General Terms and Conditions #1, the Recipient must submit the following documentation prior to the              (yr/mo) of the project and prior to any research that may involve human subjects, to the ATP Project Manager for review and approval by appropriate NIST officials:

a)       Documentation establishing approval of the project by an Institutional Review Board qualified under 15 CFR 27.103, OR

b)       Documentation to support an exemption for the project pursuant to 15 CFR 27.101(b).

The documentation requirements are available on the ATP website at http://www.atp.nist.gov/atp/kit-04/has_guide/contents.htm outlined in the ATP booklet titled “Guidelines and Documentation Requirements for Research Involving Human and Animal Subjects.” No involvement of human subjects in research may be undertaken or conduced, or costs involving humansubjects research incurred or charged to the project, until the NIST Grants Officer’s approval of the above documentation is obtained in writing.

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FOR FULL IRB REVIEW

XX. PROTECTION OF HUMAN SUBJECTS

The Recipient has satisfied the requirements set forth in the August 2004 ATP General Terms and Conditions, #1, related to the Protection of Human Subjects in research.  Based upon the proposal and the Recipient’s information dated ______ X, 2002, the following specific involvement of human subjects in research is hereby approved by the Grants Officer.

Facility 1 (name of the company or university, hospital etc. if different from the Recipient, i.e. name of the facility where the IRB is located is different from the Facility where the research is taking place, which is often the case!  Otherwise delete this line.)

a)       (Title and/or number of protocol approved by the IRB)

b)       IRB approval date: __________ X, 2004

c)       Assurance of compliance no. ______________ for the IRB that approved the protocol

By accepting this award, the Recipient certifies to the accuracy of the documentation cited above.

An updated IRB approval is required each year per the renewal date assigned by the IRB and must be submitted to NIST for review and approval until the project is completed.

No other involvement of human subjects in research may be undertaken or conducted, or costs involving human subjects research incurred or charged to the project, except as specified in the study plan and the informed consent forms that were received and approved by the IRB.

If the conditions upon which the IRB approval is based should change in any way, the Recipient shall immediately notify the NIST Grants Officer in writing of the specific change, including the IRB’s written approval of the change, and shall obtain prior written approval from the NIST Grants Officer before proceeding with implementing any change.

Common example of sac for conflict of interest involving university subcontractor:

XXX  RESTRICTIONS ON UNIVERSITY SUBCONTRACT

The Recipient has indicated its need to use the services of the University of (Insert Name) as a subcontractor under this cooperative agreement.  The Recipient has also indicated that Dr. (Insert Name) who is designated to serve as a consultant to the project under that subcontract,(Indicate the nature of the conflict): holds an ownership interest in (Insert Recipient company name), serves on the board of directors of the company, and/or was an officer of the company when the contract to the University of (Insert Name) was awarded. In order to avoid any real or apparent conflict of interest in violation of Section J of the DOC Financial Assistance Terms and Conditions, as well as 15 CFR Parts 14.42, 14.43, and 14.44, and the Recipient’s Assurance provided in Paragraph 3 of SF-424B, the Recipient shall include no profit or fee in its payment to the University of (Insert Name) under this subcontract. In addition, Dr. (Insert Name) shall receive no compensation above his normal university salary as a result of his participation in the project other than reimbursement for reasonable expenses associated with his work.

XXX   USE OF BLENDED LABOR RATE AGREEMENT IN LIEU OF ACTUAL SALARIES

The Recipient or one or more of its joint venture (jv) participants, if a jv, has identified the use of “blended labor rates” in its proposal in lieu of actual salaries. (Include the following if we don’t already have it…) The Recipient must provide the NIST Grants Officer with a copy of its current federally audited and federally approved pricing or rates agreement. For accounting and auditing purposes, the Recipient must, throughout the project period of this award, (1) maintain contemporaneous records of the actual labor hours expended and claimed on the ATP project; and (2) ensure that the appropriate labor schedule and category is used.

Date created:  August 2004
Last updated: September 16, 2004