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					    National Science Foundation (NSF)
    Grant General Conditions (GC-1)          http://www.nsf.gov/home/grants/grants_gac.htm                                                                   RSP=Research and Sponsored Programs
    Grant Policy Manual (GPM)                http://www.nsf.gov/cgi-bin/getpub/gpm                                                                           ** RSP will refer to the special terms & conditions of the award when
                                                                                                                                                             determining the proper course of action.


     CATEGORY/REGULATION                                                                      SUMMARY                                                                                                  MTU INTERNAL PRACTICE
1   TIME EXTENSION
    a. Internally Approved
              Article 4 of GC-1              ** MTU may authorize a one-time no-cost extension, not to exceed 12 months, at least 10 days prior to           PI is responsible to complete a Request for Modification form, including a technical justification for the extension, and
                                             expiration date.                                                                                                submit to RSP. RSP will inform NSF (via FastLane).


    b. Sponsor Approved
          Section 253 of GPM                 If additional time beyond the MTU authorized extension is needed, a formal request must be submitted to         PI is responsible to complete a Request for Modification form, including a technical justification for the extension, the
                                             NSF at least 45 days prior to the expiration date.                                                              amount of unobligated funds remaining and a plan for their use. The PI should submit the form to RSP. RSP will
                                                                                                                                                             send request to NSF (via FastLane). If approved by NSF, an official modification will be issued by the NSF Grants
                                                                                                                                                             Office and the PI will be notified by RSP
2   BUDGET FLEXIBILITY
    Article 2 & 7 of GC-1; Sections 312 ** Written prior approval from the grants officer is required for budget modifications that involve 1) the           PI is responsible to complete a Request for Modification form, including a technical justification, and submit to RSP.
              and 618 of GPM            transfer of project effort; 2) change in the objective or scope; 3) the absence or change of PI. Written prior       RSP will review the request and determine whether NSF approval is required or if it can be internally approved.
                                        approval from program officer is required to reallocate funds budgeted for participant costs.

3   CARRYFORWARD OF UNSPENT
    FUNDS
              N/A           N/A                                                                                                                              Carryforward of unspent funds is automatic for continuing grants. If carryforward is anticipated on standard grants,
                                                                                                                                                             refer to 1a.
4   REPORTING REQUIREMENTS:
    a. Technical
       1) Progress/Annual
             Article 14 of GC-1         For incrementally funded grants of 2 or more years, an annual project report is required 3 months prior to the       PI is responsible for the preparation & submission to NSF. RSP receives an e-mail notification of submission from
                                        end of the current budget period.                                                                                    NSF for the file.
    Article 14 of GC-1 and Sect. 341 of For standard grants awarded for 2 or more years, progress reports (Form 1328) are required annually                  PI is responsible for the preparation & submission to NSF. RSP receives an e-mail notification of submission from
                   GPM                  (submitted through FastLane) no later than 90 days following the anniversary of the grant effective date.            NSF for the file.

            Sect. 263(c.) of GPM             For continuing grants, the progress report (Form 1328) is part of the annual request for continued support      PI is responsible for the preparation & submission to NSF. RSP receives an e-mail notification of submission from
                                             and is due 3 months before the end of the period currently being funded.                                        NSF for the file.
            Article 21(d) of GC-1            If cost-sharing is $500,000 or more, it must be documented on an annual & final basis.                          PI is responsible for contacting Research Accounting with details on the cost-share documentation. The cost share
                                                                                                                                                             document must be certified by MTU (obtained by Research Accounting) and reported to the program officer by the PI
                                                                                                                                                             (as part of their progress report).
      2) Final
             Sect. 342 of GPM                NSF Form 98A must be sent to the Program Officer via FastLane within 90 days following the grant's              PI is responsible for the preparation & submission to NSF. RSP receives an e-mail notification of submission from
                                             expiration.                                                                                                     NSF for the file.
    b. Inventions/Patents
           Sect. 731.3 of GPM                MTU will disclose each subject invention to NSF within 2 months after the inventor discloses it in writing to   PI is responsible to disclose their invention to MTU's Intellectual Property office. Within two months after disclosure
                                             MTU's Intellectual Property office.                                                                             to MTU's Intellectual Property Office, RSP, in coordination with the PI and the Intellectual Property Office, will
                                                                                                                                                             disclose the invention to NSF.
    c. Financial
       1) Progress Billing
      Sects. 434 & 436(c.)(3.) of GPM        By electing to submit an electronic cash request, MTU is certifying to its truthfulness as stated in the        Research Accounting requests reimbursement (via FastLane) bi-weekly.
                                             certification in section 13 of SF270.
      2) SF-272 Expenditure Report
             Sect. 451 of GPM                Form SF272 is due by the 10th day of the 2nd month following quarter's end.                                     Research Accounting submits (via FastLane) the SF272 within 40 days after quarter's end.
      3) Final Financial Report
            Sect. 451 of GPM                 The final expenditure report (Form SF272) is due 90 days after the expiration of the grant.                     Research Accounting submits (via FastLane) the final reporting of expenditures within 90 days following the
                                                                                                                                                             expiration of the grant.
5   PREAWARD COSTS
          Article 3 of GC-1                  ** MTU may approve pre-award costs incurred within 90 calendar days pior to the effective date of the           PI is responsible to complete a Request for Advance form, including a technical justification for the expenditures, and
                                             award. Pre-award expenditures are made at MTU's risk.                                                           submit to RSP. Expenditures incurred prior to receiving the official award are the responsibility of the PI &
                                                                                                                                                             Department Chair.
6   COST SHARE
          Article 21 of GC-1                 MTU is required to provide cost sharing of at least the amount indentified on line M. of the NSF award          PI is responsible for identifying and processing the required cost share information. The PI is also responsible for
                                             budget. If the cost sharing requirement cannot be met, written notification to the NSF Grants Officer and       submitting a Request for Modification form, including a technical justification for any change in cost share (an
                                             approval is required.                                                                                           increase, a decrease or a change in source), and submitting it to RSP. RSP will review the request and determine
                                                                                                                                                             whether NSF approval is required or if it can be internally approved. In addition, the PI/Department Chair is
                                                                                                                                                             responsible to develop a plan for any cost share shortfall. After this plan is developed, the PI needs to submit a
                                                                                                                                                             Request for Modification form as previously mentioned.




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     11/11/2011-10:26 PM

				
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