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					                                                                                    Research Terms and Conditions
                                                                                                                                       Compiled July 2009

                                                                    NATIONAL POLICY REQUIREMENTS MATRIX
            This listing of Statutory and regulatory requirements is provided for information purposes only and may not reflect all requirements that are
                                                                     applicable to a specific award.

           Stautory and Regulatory Based                                                              Used For:                        Requirement(s) that should be noted by the recipient

                    National Policy Requirements                       Type of Award          Type of Recipient   Specific Situation
1.         Nondiscrimination
           By signing or accepting funds under the agreement,
           the recipient agrees that it will comply with applicable
           provisions of the following, national policies
           prohibiting discrimination:
     1.a   a. On the basis of race, color, or national origin, in Title Grants, cooperative
           VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d, et agreements, and other                                               The following regulations require the recipient to flow down
                                                                                                     All                 All
           seq.), as implemented by:                                    financial assitance                                            requirements to subrecipients.

           DOD at 32 CFR Part 195
           NSF at 45 CFR Part 611
                                                                                                                                       DOD at 32 CFR Part 195
                                                                                                                                       NASA at 14 CFR Part 1250
           NASA at 14 CFR Part 1250                                                                                                    DOE at 10 CFR Part 1040
           DOE at 10 CFR Part 1040                                                                                                     EPA at 40 CFR Parts 7 and 12
                                                                                                                                       USDA at 7 CFR Part 15
           EPA at 40 CFR Parts 7 and 12                                                                                                DOC at 15 CFR Part 80 & 81
           USDA at 7 CFR Part 15
           DOC at 15 CFR Part 8                                                                                                        NSF at 45 CFR Part 611: By electronically signing a proposal, the
                                                                                                                                       Authorized Organizational Representative is providing the
           HHS at 45 CFR Part 80 & 81                                                                                                  requisite Certification of Compliance with National Science
                                                                                                                                       Foundation Nondiscrimination Regulations and Policies. This
                                                                                                                                       Nondiscrimination Certification sets forth the nondiscrimination
                                                                                                                                       obligations with which all grantees must comply. These obligations
                                                                                                                                       also apply to recipients, subgrantees, and subcontractors under
                                                                                                                                       the award. The grantee, therefore, shall obtain NSF
                                                                                                                                       Nondiscrimination Certification from each organization that
                                                                                                                                       applies to be or serves as a subrecipient, subgrantee or
                                                                                                                                       subcontractor under the award (for other than the provision of
                                                                                                                                       commercially available supplies, materials, equipment or general
                                                                                                                                       support services) prior to entering into the subaward
                                                                                                                                       arrangement. The complete text of the Nondiscrimination
                                                                                                                                       Certification is available electronically in the Grant Proposal Guide,
                                                                                                                                       Chapter II-6 at:
                                                                                                                                       http://www.nsf.gov/pubspolicydocs/papp/nsf07140/pdf.




                                                                                                     Page 1
                                                                          Grants, cooperative                                                              41 CFR 60-1.4(b) prescribes a clause that recipients must
             b. On the basis of race, color, religion, sex, or national   agreements, and other                                                            include in federally assisted, construction awards and
             origin, in Executive Order 11246 [3 CFR, 1964-1965           prime awards defined                             Awards under which construction subawards [60-1.4(d) allows incorporation by reference].
     1.b                                                                                                     All
             Comp., p. 339], as implemented by Department of              at 40 CFR 60-1.3 as                              is to be done.                  This requirement also is at: 32 CFR 33.36(I)(3) and at
             Labor regulations at 41 CFR Part 60.                         "Federally assisted                                                              paragraphs 1. of appendicies A to 32 CFR Part 32 and 32 CFR
                                                                          construction contract."                                                          Part 34.

      1.c
             c. On the basis of sex or blindness, in Title IX of the                            Educational institution
             Education Amendments of 1972 (20 U.S.C. 1681, et                                   [for sex discrimination,
                                                                          Grants, cooperative
             seq.).                                                                             excepts all Institution
                                                                          agreements, and other                            All educational program or
             DOE at CFR Part 1040                                                               controlled by religious
                                                                          financial assistance                             activity receiving Federal financial
             DOC at 15 CFR Part 8a                                                              organization, when
                                                                          included at 20 U.S.C.                            assistance.
             HHS at 45 CFR Part 86                                                              inconsistent with the
                                                                          1682
             NASA at 14 CFR Part 1253                                                           organziation's religious
             EPA at 40 CFR Parts 7 and 12                                                       tenets].
             d. On the basis of age, in the Age Discrimination Act of
     1.d     1975 (42 U.S.C 6101, et seq.), as implemented by
             Department of Health and Human Services regulations
             at 45 CFR part 90.                                           Grants, cooperative
                                                                                                                                                                  45 CFR 90.4 requires the recipient to flow down
                                                                          agreements, and other
             NSF at 45 CFR Part 617                                                                                                                               requirements to subrecipients [definition of "recipient" at
                                                                          awards defined at 45               All                           All
             NASA at 14 CFR Part 1252                                                                                                                             45 CFR 90.4 includes entities to which assistance si extended
                                                                          CFR 9034 as "Federal
             DOE at 10 CFR Part 1040                                                                                                                              indirectly, through another recipient].
                                                                          financial assistance."
             HHS at 45 CFR Part 90 & 91
             EPA at 40 CFR Parts 7 and 12
             DOC at 15 CFR Part 20
      1.e    e. on the basis of handicap, in:
     1.e.1   1. Section 504 of the Rehabilitaion Act of 1973 (29
             U.S.C. 7940), as implemented by Department of
             Justice regulations at 28 CFR Part 41 and
                                                                          Grants, cooperative
             DOC at 15 CFR Part 8b
                                                                          agreements, and other                                                                   Requirements flow down to subawards ["recipient,"
             DOD at 32 CFR Part 56
                                                                          awards included in                 All                           All                    includes entities receiving assistance indirectly through
             NSF at 45 CFR Part 605
                                                                          "Federal financial                                                                      other recipients].
             NASA at 14 CFR Part 1251
                                                                          assistance"
             DOE at 10 CFR Part 1040
             EPA at 40 CFR Parts 7 and 12
             USDA at 7 CFR Part 15b
             HHS at 45 cFR Part 84 & 85

                                                                                                                           Construction or alteration of
             2. The Architectural Barriers Act of 1968 (42 U.S.C.                                                          buildings or facilities except those
     1.e.2                                                                     Grant or loan                 All
             4151, et seq.).                                                                                               restricted to use only by able-
                                                                                                                           bodied uniformed personnel.
2.           Live Organisms
             By signing or accepting funds under the agreement, the recipient assures that it
             will comply with applicable provisions of the following national policies
             concerning live organisms:
             a. for human subjects

                                                                                                             Page 2
2.a     For human subject, the Common Federal Policy for the
        Protection of Human Subject. Codified by the:
        DOC at 15 CFR Part 27                                                                            Research, development, test, or
        DHHS at 45 CFR Part 46                                                                           evaltuation involving live human
        NSF at 45 CFR Part 690                                            All                   All      subjects, with some exception    Requirements flow down to subrecipients
        NASA at 14 CFR Part 1230                                                                         [see agency implementation for
        DOE at 10 CFR Part 745                                                                           exemption.]
        EPA at 40 CFR Parts 26 and 40
        USDA at 7 CFR Part 1c
        Human Embryonic Stem Cells
2.a.1
        In accordance with the President's guidance of August
        9, 2001.

        Other regulation that may apply:                                                                                                 NIH Guidelines and Registry of cell lines meeting the Federal
        HHS Human Subjects Protection Regulation, 45 CFR Pt                                                                              requirements are found at:
                                                                                                         Research involving Human
        46                                                           As applicable              All                                      http://stemcells.nih.gov/index.asp
                                                                                                         Embryonic Stem Cells
        FDA Regulation governing INDs or IDEs (Title 21 CFR
        Parts 312 or 812)                                                                                                                Other Federal, State or Local laws may also apply
        FDA IRB & informed consent regulation (Title 21 CFR
        Parts 50 & 56)
        Research on Tranplantation of Fetal Tissue (PHS Act
        489 A)
2.a.2   P.L. 104-191 Heath Insurance Portability and                                                                                     Limits uses of protected health information (PHI) collected
        Accountability Act (HIPPA)                                                                                                       or maintained by researchers within a covered entity or
                                                                                                                                         access to PHI from a covered entity. Research uses do not
        45 CFR Part 160 and Subparts A and E of Part 164        As applicable        Covered Entities    As applicable                   require Business Associate Agreements (defined at 45 CFR
        Subpart C to be effective 4/20/2005 (Security)                                                                                   part 164 504 (e)(1) between collaborating instituation.
                                                                                                                                         Guidance available at http://privacy rule and
                                                                                                                                         research.nih.gov/




                                                                                                Page 3
      2.b    b. For animals:                                                  All   All                                        Requirements flow down to subrecipients
     2.b.1

             1. Rules on animal acquisition, transport, care, handling, and
             use in: (i) 9 CFR Parts 1-4, Department of Agriculture rules
             that implement the Laboratory Animal Welfar Act of 1966 [7
             U.S.C. SS2131 et seq.

             Public Health Service Agencies must follow requirements in
             the PHS POlicy on Humane Care and Use of Laboratory
             Animals, which implements PL 99-158, Sec. 495. NASA
             requirements for animal welfare are set forth at 14 CFR Part
             1232' NSF requires compliance with the Animal Welfare
             Act.] and the regulations promulgated here under by the                         Research , experimentation, or
             Secretary of Agriculture [9 CFR SS 1.1-4.11] pertaining to the                  testing involving the use of
             humane care, ahndling ,a nd treatment of vertebrate                             animals USDA regulation exempt
             animals held or used for research, teaching or other                            birds, most rats and mice bred
             activities supported by Federal awards. The grantee also is                     for research, and farm animals
             expected to ensure that the guidelines described in the                         used for agricultural research.
             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 rinciples Regarding the Care and USe of
             Animals (included as Appendix D to the Nas Guide). EPA at
             40 CFR Part 40. For USDA/CSREES, "In the case of domestic
             farm animals housed under farm conditions, the instuttion
             should ahere to the principles stated in the Guide for the
             Carea nd Use of Agricultural Animals in Agriculture and
             Teaching, Federation of Animal Science Societies, 1999."


             2. Rules of the Departments fo Interior (50 CFR Parts
     2.b.2
             10-24) and Commerce (50 CFR Parts 217-227)
             implementing laws and convention on the taking,
             possession, transport, purchase, sale, export, or
             import of wildlife and plants, including the:                                   Activities which may involve or
             Endangered Species Act of 1973 (16 U.S.C. 1531-                  All   All                                        EPA at 40 CFR Part 6
                                                                                             impact wildife and plants.
             1543); Marine Mammal Protection Act (16 U.S.C. 1361-
             1384); Lacey Act (18 U.S.C. 42); and Convention on
             International Trade in Endangered Species of Wild
             Fauna and Flora.
3.           Environmental Standards
             By signing the agreement or accepting funds under
             this agreement, the recipient assures that it will:
      3.a
             a. Comply with applicable provoisions of the Clearn Air
             Act (42 U.S.C. 7401, et Seq.) and Clean Water Act (33
             U.S.C. 1251, et seq.), as implemented by Executive                              All, for Clean Air Act, Clean Water
                                                                              All   All                                          Requirements flow down to subrecipients
             Order 11738 [3 CFR, 1971-1975 Comp., p. 799]                                    Act, and Executive Order 11738.


             EPA at 40 CFR Parts 6 amd 32
     3.b     b. Identify to the awarding agency all impact this
             award may have on:

                                                                                    Page 4
3.b.1   1. The quality of the human environment, and provide
        help the agency may need to comply with the National
        Environmental Policy Act (NEPA, at 42 U.S.C. 4321, et.
        Seq.) and to prepare Environmental Impact
        Statements or other required environmental
        documentation. In such cases, the recipieint agrees to
        take no acction that will have an adverse
        environmental impact (e.g., physical disturbance of a                                      All actions that may affect the
                                                                           All            All
        site such as breaking of ground) until the agency                                          environment
        provides written notification of compliance with hte
        environmental impact anlaysis process.
        NSF at 45 CFR Part 640
        DOE at 10 CFR Part 1021
        EPA at 40 CFR Part 6
        NASA at 147 CFR Part 1216
        USDA at 7 CFR Part 3407

        2. Flood-prone areas, and provide help the agency                                                                          The Council on Environmental Quality's regulations for
        may need to comply with the National Flood Insurance                                                                       implementing NEPA are at 40 C.F.R. Parts 1500-1508.
                                                                                                   Awards involving consturction,  Executive Order 11514 [3 CFR, 1966-1970 Comp., p. 902], as
        Act of 1968 and Flood Disaster Protection Act of 1973
                                                                                                   land acquistion or development, amended by Executive Order 11991, sets policies and
3.b.2   (42 U.S.C. 4001, et. Seq.), which require flood                    All            All
                                                                                                   with some exception [see 42     procedures for considering action in the U.S. Executive
        insurance, when available, for Federally assisted
                                                                                                   U.S.C. 4001, et. Seq.].         orders 11988 [3 CFR, 1977 Comp., p. 117] and 11990 [3 CFR,
        construction or acquisition in flood-prone areas.
        DOE at 10 CFR Part 1022                                                                                                    1977 Comp., p. 121] specify additional consideration, when
                                                                                                                                   actions involve floodplains or wetlands, respectively.
                                                                                                                                      42 U.S. c. 4012a prohibits awards for acquisition or
        3. Coastal barriers, and provide help the agency may                                                                          construction in flood-pron areas (Federal Emergency
        need to comply with the Coastal Barriers Resource Act Grants, cooperative                                                     Management Agency publishes lists of such areas in the
                                                                                                   Awards that may affect barriers federal Register), unless recipients has required insurance. If
        (16 U.S.C. 3501, et seq.), concerning preservation of agreements, and other
3.b.3                                                                                     All      along the Atlantic and Gulf coasts action is in a floodplain, Executive Order 11988 [3 CFR, 1977
        barrier resources.                                    "financial assistance"
                                                                                                   and Great Lakes' shores            comp., p. 117] specifies additional pre-award procedures for
                                                              (see 42 U.S.C. 4003).
        EPA at 40 CFR Part 6                                                                                                          Federal agencies. Recipients are to apply requirements to
                                                                                                                                      subawards ("financial assistance," defined at 42 U.S.C. 4003,
                                                                                                                                      includes indirect Federal assistance).
3.b.4
        4. All existing or proposed component of the National    Grants, cooperative
        Wild and Scenic Rivers system, and provide help with                                       Awards that may affect existing
                                                                 agreements, and other                                             Requrements flow to subawards (16 U.S.C. 3502 includes
        the agency may need to comply with the Wild and                                   All      or proposed element of National
                                                                 "financial assistance"                                            indirect assistance as "financial assistance").
        Scenic Rivers Act of 1968 ( 16 U.S.C. 1271, et seq.).                                      Wild and Scenic Rivers system.
                                                                 (see 16 U.s.C. 3502)
        EPA at 40 CFR Part 6
3.b.5   5. Underground sources of drinking water in areas that
                                                                                                   Construction in All area with      42 U.S.C. 300h-3(e) precludes awards of Federal financial
        have an aquifer that is the sole or principal drinking
                                                                                                   aquifer that the EPA finds would   assistance for All project that the EPA administrator
        water source, and provide help the agency may need                 All            All
                                                                                                   create public health hazard, if    determines may contaminate a solsource aquifer so as to
        to comply with the Safe Drinking Water Act (42 U.S.C.
                                                                                                   contaminated.                      threaten public health. See EPA at 40CFR Part 6
        300h-3)




                                                                                          Page 5
4.   Lobbying Prohibitions
     31 USC 1352
     Stipulates that: (1) No Federal appropriated funds have
     been paid or will be paid, any person for influencing or
     attempting to influence an officer or employee of any
     agency, a Member of Congress, an officer or employee of                       The recipients agrees that none
     Congress, or an employee of a Member of Congress in                           of the funds obligated on the
     connection with the awarding of any Federal contract, the                     award shall be expended, directly
     making of any Federal grant, the making of any Federal loan,                  or indirectly, to influence
     the entering into of any cooperative agreement, and the
                                                                                   congressional action on any
     extension, continuation, renewal, amendment, or
     modification of any Federal contract, grant, loan, or
                                                                                   legislation or appropriation
     cooperative agreement.                                                        matters pending before
     (2) If any funds other than Federal appropriated funds have                   Congress, other than to
                                                                                                                        Byrd Amendment :31 USC 1352 Requires that grantee to
     been paid or will be paid to any person for influencing or                    communicate to Members of
                                                                                                                        include certification language in the award documents for all
     attempting to influence an officer or employee of any                         Congress as described in 18
     agency, a Member of Congress, and officer or employee of
                                                                                                                        subawards at all tiers including subcontracts, subgrants, and
                                                                    All   All      U.S.C. 1913. In addition, ,the
     Congress, or an employee of a Member of Congress in                                                                contracts under grants, loans, and cooperative agreements
                                                                                   recipient agrees that none of the
     connection with this Federal contract, grant, loan, or                                                             and that all subrecipients shall certify and disclose
                                                                                   funds obligated on the award
     cooperative agreement, the undersigned shall complete and                                                          accordingly
                                                                                   shall be made available for any
     submit Standard Form LLL, "Disclosure of Lobbying
                                                                                   activity or the publication or
     Activities," in accordance with its instructions.
     DOC at 15 CFR Part 28                                                         distribution of literature that in
     NASA at 14 CFR Part 1271                                                      any way tends to promote public
     NSF at 45 CFR Part 604                                                        support or opposition to any
     DoD 32 CFR Part 28                                                            legislative proposal on which
     USDA at 7 CFR Part 3018                                                       Congressional action is not
     DOE at 10 CFR Part 601                                                        complete.
     EPA at 40 CFR Part 34
     HHS at 45 CFR Part 93




5.   Metric System
     15 USC 205 a-k and Executive Order 12770                       All   All                                           15 CFR Part 19, Subpart B
     EPA at 40 CFR Part 30
6.   Labor Standards under Federally Assisted
     Construction: Construction Work Hours and Safety               All   All                                           40 USC 327-333
     Standards Act
7.   Drug Free Workplace

     Public Law 100-690, title V
     DOC at 15 CFR Part 29
     Epa at 40 CFR Part 36
     HHS at 45 CFR Part 82                                          All   All                                           41 USC 701 et seq.
     NSF at 45 CFR Part 630
     DoD at 32 CFR Part 26
     USDA at 7 CFR Part 3021
     DOE at 10 CFR Part 607
     NASA at 14 CFR Part 1267




                                                                          Page 6
8.           Government-wide Debarment and Suspension
             (Nonprocurement)

             USDA at 7 CFR Part 3017
             NSF at 45 CFR Part 620                                                                                      42 USC 1870 (a); Sec. 2455, PL 103-355, 108 Stat. 3327 (31
             HHS at 2 CFR part 376                                       All   All                                       USC 6101 note); EO 12549 (3 CFR, 1986 Comp., p. 189); EO
             DOD at 32 CFR Part 25                                                                                       12689 (3 CFR, 1989 Comp., p. 235)
             EPA at 40 CFR Part 32
             DOE at 10 CFR Part 606
             NASA at 2 CFR Part 1880
             DOC at 2 CFR Part 1326
9.           False Claims Act Provisions

             EPA at 40 CFR Part 32
             Civil False Claims Act
                                                                         All   All                   All                 31 USC 2739
             EPA at 40 CFR Part 32
10.          Criminal False Claims Act                                   All   All                   All                 18 USC 287 and 1001
             EPA at 40 CFR Part 32
11.          Program Fraud and Civil Remedies and False Claims
             Act
                                                                         All   All                   All                 31 USC 3801, 45 CFR 79
             31 USC 3801, 45 CFR 79
             EPA at 40 CFR Part 27

12.          National Historic Preservation
      12.a
             The recipient agrees to identify to the awarding
             agency all property listed or eligible for listing on the
             National Register of Historic places that will be
             affected by this award, and to provide all the help the     All   All                   All
             awarding agency may need, with respect to the award.
             16 USC 470f
             EPA at 40 CFR Part 6
13.          Health and Safety Guidelines
                                                                                           Research involving use of   29 CFR 1910.1030 Bloodborne Pathogens; 29 CFR
      13.a   Applicable OSHA standards in Laboratories                   All   All         hazardous chemicals or      19190.1450 Occupational Exposure to Hazardous Chemicals
                                                                                            bloodborne pathogens       in Laboratories
                                                                                                                       Procedures for Domestic Handling and Transport of
                                                                                         Research involving etiologic Diagnostic Specimens and Etiologic Agents, 1994 (3rd ed.),
      13.b   Handling and Transport of Etiologic Agents                  All   All
                                                                                                    agents             H5a3doc.75, National Committee for Clinical Laboratory
                                                                                                                       Standards
                                                                                                                       Biosafety in Microbiological and Biomedical Laboratories ;
             Biosafety standards in microbiological and biomedical                      Microbiological and biomedical
      13.c                                                               All   All                                     located at http://www.orcbs.msu.edu/biological/BMBL
             laboratories                                                                         research
                                                                                                                       /BMBL-1.htm
                                                                                        Research involving controlled    Drug Enforcement Adminstration (DEA) registration,
      13.d   Controlled Substances                                       All   All
                                                                                                substances               inspection and certification
             Disposal of high-level radioactive waste and spent                                                          Nuclear Regulatory Commission Standard and Regulation,
             nuclear fuel. Note however, that some States are                           Research involving radioactive
      13.e                                                               All   All                                       pursuant to the Energy Reorganization Act of 1974, (42 USC,
             exempt if they have established separate                                    waste and spent nuclear fuel
                                                                                                                         5801, et seq.)
             requirements.

                                                                               Page 7
                                                                                                   All clinical trial investigation of
                                                                                                    products that are subject to
                                                                                                 section 505 or 507 of the Federal
                                                                                                                                       Food and Drug Adminstration (FDA), 21 CFR parts 50 and
      13.f   Investigational New Drug Application                            All        All      Food, Drug, and Cosemetic or to
                                                                                                                                       312
                                                                                                   the licensing provisions of the
                                                                                                      PHS Act (58 Stat. 632, as
                                                                                                  amended (42 USC 201, et seq.)
14.          U.S. Flag Air Carriers
                                                                                                  Any air transportation to, from,
                                                                                                   between, or within a country
                                                                                                 other than the U.C. of persons or
                                                                                                  property, the expense of which
                                                                                                     will be assisted by federal
                                                                                                                                     49 USC 40118 See also General Services Adminstration
                                                                                                  funding, must be performed by
                                                                             All        All                                          amendment to the Federal Travel Regulation, Federal
                                                                                                      or udner a code-sharing
                                                                                                                                     Register (Vol. 63, No. 219, 63417-63421)
                                                                                                  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)

                                                                                                                                   [Federal Register: December 6, 2000 (Volume 65, Number
15.          Misconduct in Science                                           All        All                     All
                                                                                                                                   235)][Page 76260-76264]
             Policies and responsibilities associate with prevention,
             detection and handling of misconduct in science
             allegation as stipulated in agency implementing
      15.a   regulations:
             NSF at 45 CFR Part 620
             NASA at 14 CFR Part 1275
             HHS at 42 CFR Part 93, Subpart A
16.          Select Agents and Toxins
                                                                                                                                   Institution must be registered with CDC and or USDA prior
             P.L. 107-188: Public Health Security & Bioterrorism                                                                   to beginning work with agents. Investigator must be
             Preparedness Response Act of 2002, title II sections                                                                  licensed prior to beginning work. NIH Term of Award
             201-231                                                                                                               includes notice that registration must be complete before
             P.L. 107-56 The USA Patriot Act of 2001 Section 175b                                                                  using NIH funds and tha no funds may be used for Select
             www.cdc.gov/od/sap                                                                                                    Agent Research if certifcation is denied. USDA inserts a term
                                                                                                                                   indicating that the grantee has primary responsibility for
             Codified by the: HHS at 42 CFR Pt 73                                                                                  complying iwth Title II of the Public Health Security and
             USDA at 7 CFR 331 and 9 CFR 121                                                       Research with or storage of
                                                                        As applicable   All                                        Bioterrorism Preparedness and Response Act of 2002, Public
                                                                                                    Select Agents and Toxins
                                                                                                                                   Law 107-188, and the regulations promulgated thereunder
             See also 15 CFR Chapter 7 for Export Administration                                                                   in 7 CFR Part 331, 9 CFR Part 121, and 42 CFR Part 72. For
             Regulation (EAR)                                                                                                      guidance on a biosecurity plan that includes physical
             www.bxa.doc.gov and 49 CFR Pts 171-180 for                                                                            security of facilities and acccess controls to prevent
             transportation requirements                                                                                           unauthoriazed entries see Departmental MAnual 9610-1,
                                                                                                                                   USDA Security Policies for Biosafety Level - 3 Facilities
                                                                                                                                   (availabe via http://222. usda. gov/directives/index.htm)
                                                                                                                                   Other State and Local regulations may apply.



                                                                                        Page 8
17.   Executive Order 13224, dated September 23, 2001.
      Executive Order 13224 gives the U.S. government a
      powerful tool to impede terrorist funding and is part                          In general terms, the Order
      of our national commitment to lead the international                         provides a means by which to
      effort to bring a halt to the evil of terroist activity.                     disrupt the financial suppport
      President Bush issued Executive International                                   network for terrorists and
      EMergency Economic Powers Act (50 U.S.C. 1701 et                                terrorist organizations by
      seq.)(IEEPA), the National Emergencies Act (50 U.S.C.                      authorizing the U.S. governemnt
      1601 et seq.), section 5 of the United Nations                            to designate and block the assets
      Participation Act of 1945, as amended (22 U.S.C.                                of foreign individuals and
      287c)(UNPA), and section 301 of title 3, United States                      entitites that commit, or pose a
      Code.                                                                        significant risk of committing,
                                                                                    acts of terrorism. In addtion,
                                                                                because of the pervasiveness and
                                                                                   expansiveness of the financial
                                                                                 foundations of foreign terrorists,
                                                                                   the Order authorizes the U.S.
                                                                                  government to block the assets
                                                                                   of individuals and entities that
                                                                                    provide support, services, or
                                                                                      assitance to, or otherwise
                                                                                   associate with, terrorists and
                                                                                terrorist organizations designated
                                                                                 under the Order, as well as their
                                                                                 subisdiaries, front organizations,
                                                                                       agents, and associates.


18.   Paperwork Reduction Act                                                                                         Data collectioni activities, if any, performed under this
                                                                                                                      project are the responsibility of the recipient, ,and awarding
                                                                                                                      agency supoort of the project does not constitute approval
                                                                                                                      of any survey design, questionnaire content, or data
                                                                                                                      collection procedures. the recipient shall not represent ot
                                                                                   When data is collected from
                                                                                                                      respondents that such data are being collected for or in
                                                                                      respondents using a
                                                                 All   All                                            association with the awarding agency iwthout the specific
                                                                                  questionnaire or other survey
                                                                                                                      written approval of the cognizant awarding agency official of
                                                                                          instrument.
                                                                                                                      such data collection plan or instrument. However, this
                                                                                                                      requirement is not intended to preclude mention of
                                                                                                                      awarding agency suport of the project in response to an
                                                                                                                      inquiry or acknowledgement of support in any publication of
                                                                                                                      these data.




                                                                       Page 9
19.   Trafficking in Persons By signing or accepting funds
                                                                                                                     By signing or accepting funds under the agreeement, the
      under the agreement, the recipient agrees that it will
                                                                                                                     recipient agrees to comply with the following provision, as
      comply with Trafficking Victims Protection Act of 2000
                                                                                                                     applicable to the type of entity: Trafficking in persons. A.
      (22 U.S.C. 7104 (g)) as implemented by 2 CFR 175
                                                                                       175.15(b)I.a. applies to      Provisions applicable to a recipient that is a private entity. 1.
                                                                                           private entities          you as the recipient, your employees, subrecipients udner
                                                                                        175.15(b)I.b applies to      this award, adn subrecipients' employees may not--i. Engage
                                                               Grants and Cooperative    other thann private         in sever forms of trafficking in persons during the period of
                                                                  Agreements and      entities if award includes     time that hte award is in effect; ii. Procure a commerical sex
                                                                      Contracts        subrecipient award to a       act during the period of time that hte award is in effect; or
                                                                                            private entity           iii. Use forced labor in the preformance of the award or
                                                                                      117.15(b)I.c. applies to all   subawards under the award. 2. We as the Federal awarding
                                                                                              recipients             agency may unilaterally terminate this award, without
                                                                                                                     penalty, if you or a subrecipient that is a private entity is -- i.
                                                                                                                     determined to have violated a prohibition in paragraph a.1
                                                                                                                     of this award term; or ii.
                                                                                                                     Has an employee who is determined by the agency official
                                                                                                                     authorized to terminate the award to have violated a
                                                                                                                     prohibition on paragraph a. 1 of this award term through
                                                                                                                     conduct that is either – A. Associated with performance
                                                                                                                     under this award; or B. Imputed to you of the subrecipient
                                                                                                                     using the standards and due process of imputing the
                                                                                                                     conduct of an individual to an organization that are provided
                                                                                                                     in 2 CFR part 180, “OMB Guidelines to Agencies on
                                                                                                                     Government wide Debarment and Suspension
                                                                                                                     (Nonprocurement),” as implemented by the agency in its
                                                                                                                     regulatory implementation of the OMB guidelines in 2 CFR
                                                                                                                     part 180. B. Provision applicable to a recipient other than a
                                                                                                                     private entity. We as the Federal awarding agency may
                                                                                                                     unilaterally terminate this award, without penalty, if a
                                                                                                                     subrecipient that is private entity—1. Is determined to have
                                                                                                                     violated an applicable prohibition in paragraph a. 1 of this
                                                                                                                     award term; or 2. Has an employee who is determined by
                                                                                                                     the agency official authorized to terminate the award to
                                                                                                                     have violated an applicable prohibition in paragraph a. 1 of
                                                                                                                     this award term through conduct that is either –i.
                                                                                                                     Associated with performance under this award; or ii.
                                                                                                                     Imputed to the subrecipient using that standard and due
                                                                                                                     process for imputing the conduct of an individual to an
                                                                                                                     organization that are provided in 3 CFR part 180, :OMB
                                                                                                                     Guidelines to Agencies on Government-wide Debarment
                                                                                                                     and Suspension (Nonprocurement),” as implemented by our
                                                                                                                     agency.




                                                                                                   Page 10
                                                                                                                                                         c. Provisions applicable to any recipient. 1. You must inform
                                                                                                                                                         us immediately of any information you receive from any
                                                                                                                                                         source alleging a violation of a prohibition in paragraph a.1
                                                                                                                                                         of this award term. 2. Our right to terminate unilaterally
                                                                                                                                                         that is described in paragraph a.2 or b of this section: i.
                                                                                                                                                         Implements section 106(g) of the Trafficking Victims
                                                                                                                                                         Protection Act of 2000 (TVPA), as amended (22 U.S.C. 7104
                                                                                                                                                         (g)), and ii. Is in addition to all other remedies for
                                                                                                                                                         noncompliance that are available to us under this award. 3.
                                                                                                                                                         You must include the requirements of paragraph a. 1 of this
                                                                                                                                                         award term in any subaward you make to a private entity.

             DOD at 2 CFT Part 180

20.          Delinquency on Federal Debt                                                                                                                 Agency to withhold payment to recipient or subrecipient
                                                                               All                       All                           All               who is delinquent in a debt to the US as defined in OMB
             2 CFR Part 215.22(h)(2)                                                                                                                     Circular A-29
             HHS at 45 CFR Part 74.22(h)(2)

21.          Conflict of Interest
                                                                      Grants and cooperative                                                             Flowdown to subrecipients shall be as stipulated in agency
                                                                                                                                       All
                                                                           agreements                                                                    implementation of the conflict of interest requirements.
      21.a   Financial Disclosure
                        Appllies to DHHS/NSF awards only
             NSF Requirement: Requires each recipient to maintain
             an appropriate and enforced policy on conflict of                                 Applies to each grantee
      21.b   interest consistent with the provision of NSF Award &                              institution employing
             Administration Guide Chapter IV.A (which also ois                                 more than fifty persons
             published at 60 Federal Register 35820).
                                                                                               All, except SBIR Phase I
             HHS at 42 CFR Part 50, Subpart F
                                                                                                       recipients
22.          Compliance with Buy America Act
             The recipient agrees that in expending funds made                                                                Awards with funds made
             available under the Interior and Related Agencies Act,                                                       available under the Department Department of Interior and Related Agencies Appropriations
                                                                               Any                       Any
      22.a   the recipient will comply with sections 2 through 4 of                                                       of Interior and Related Agencies Act 307 (a) (subject to change)
             the Act of March 3, 1933 (41 U.S.C. 10a-10c; popularly                                                              Appropriations Act.
             known as the “Buy American Act”).
23.          Smoke-Free Workplace
             Occupational Safety Health Act of 1983                            All                       All                           All
             Applies to PHS award only
24.          Restriction on Distribution of Sterile Needles
                                                                               All                       All                           All               NIH Appropriations Act language (subject to annual change)
             Applies to PHS award only
             Dissemination of False of Deliberately Misleading
25.
             Scientific Information                                            All                       All                           All               NIH Appropriations Act language (subject to annual change)
             Applies to HHS awards only
             Restriction on Employment of Unauthorized Alien
26.
             Workers                                                           All                       All                           All               NIH Appropriations Act language (subject to annual change)
             Applies to HHS award only
                                                                                                         Page 11
27.          Continued Salary Limitation
                                                                      All             All                             All               NIH Appropriations Act language (subject to annual change)
             Applies to NIH Awards Only
28.          Restriction on Abortions
                                                                      All             All                             All               NIH Appropriations Act language (subject to annual change)
             Applies to HHS awards only
29.          Ban on Funding of Human Embryo Research                  All             All                             All               42 USC 289, 45 CFR, Part 46; HHS Appropriations Language
             Applies to HHS awards only
30.          Research of Transplantation of Fetal Tissue
                                                                      All             All                             All               PHS Act, Section 489A
             Applies to HHS awards only
             Limitation on use of funds for Promotion of
31.
             legalization of controlled substances                    All             All                             All               HHS Appropriations Language (subject to annual change)
             Applies to HHS awards only
32.          Acknowledgement of Federal Funding
                                                                      All             All                             All               HHS Appropriations Language (subject to annual change)
             Applies to PHS awards only
33.          Confidentiality of Patient Records
                                                                                                         Research involving Human
                                                                      All             All                                               PHS Act, Section 543 42 CFR Part 2
                                                                                                                 Subjects
             Applies to PHS awards only
34.                                                                                                                                     NIH Appropriations Act language (subject to annual change)
             Public Access Policy
                                                                                                        Publications arising from NIH
                                                                      All             All                                               PL 110-161
                                                                                                                   support
                                                                                                                                        PIs must submit final peer-reviewed manuscript to NIH
             Applies to NIH awards only
                                                                                                                                        PubMed Central database
35.          Clinicaltrials.gov
                                                                      All             All                       Clinical trials         PL 110-85
             Applies to HHS awards only
36.          Recombinant DNA Molecules

             All research that falls within the scope of the
             Guidelines for Research Involving Recombinant DNA
                                                                                                       Research involving recombinant
      36.a   Molecules (NIH Guidelines) shall comply with the         All             All
                                                                                                                    DNA
             Guidelines, including All procedural requirements. See
             59 FR Volume 598, No. 127, July 5, 1994, 34495-34547

             Applies to NIH/NSF/USDA-CSREES awards only
                                                                             Domestic institution of
37.          Military Recruiters                                      All   higher education (see 32                  All
                                                                                  CFR 22.520).
             The provision shall be as specified at 32 CFR 22.520]


             Applies to DOD & DHHS awards only
38.          Inclusion of Children as subjects in Clinical Research                                                                     NIH Guide, March 6, 1998
                                                                      All             All                     Clinical Research
                                                                                                                                        http://grants.nih.gov/grants/guide/notice-files/not98-
             NIH awards only
                                                                                                                                        024.html


                                                                                      Page 12
             Pre-college Students and Experimental Curriculum                                              Research projects that involve
39.                                                                                                                                        NSF Award & Administration Guide Chapter VI.M.2
             Development Projects                                      Grants and cooperative             pre-college students in research
                                                                                                All        of development, pilot testing,
                                                                            agreements
             42 USC 1869 a. and b.                                                                            evaluation or revision of,   http://www.nsf.gov/pubs/policydocs/pappguid/nsf08
             NSF Awards Only                                                                                experimental or innovative     _1/aag_6.jsp#VIM2
             Inclusion of Women/Minorities as subjects in clinical
40.                                                                                                                                             PL 103-42
             research                                                                                        Research involving human
                                                                                All             All                                             NIH Guide, March 18, 1994
                                                                                                                     subjects
                                                                                                                                                http://grants.nih.gov/grants/guide/1994/94.04.18/notice-
             NIH awards only.
                                                                                                                                                nih-guidelines008.html
41.          Protection of Research Subjects’ Identity
                                                                                                             Research involving human
                                                                                All             All                                             PHS Act Section 301 (d)
                                                                                                                     subjects
             PHS awards only
42.          Use of Animals
             Prohibitions on the purchase or use of dogs or cats for
             certain medical training purposes, in Section 8019 (10
      42.a
             U.S.C. 2241 note) of the Department of Defense                                                  Research involving medical
                                                                                All             All
             Appropriations Act, 1991 (Pub. Law 101-511).                                                             training


             Applies to DOD awards only
43           Utilization of Small Business Concerns

             Applies to EPA awards only                                         All             All                                             PL 95-507

             EPA at 40 CFR Part 30
44.          The Solid Waste Disposal Act, as amended, requires
                                                                       Grants and cooperative
             grantees to use recycled paper for all reports                                     All                       All                   PL 89-272, as amended, and Executive Order 13101
                                                                            agreements
             submitted to the agency.
             EPA Awards Only
             EPA at 40 CFR Part 30
45.          Minority Business Enterprises/Women’s Business
             Enterprises—Requires all grantees doing research
             under the Clean Air Act to try to reach a 10 percent
             goal in awarding contracts for supplies, equipment,       Grants and cooperative
                                                                                                All       Research under the Clean Air Act Public Law 101-549
             contracts, and construction to minority business               agreements
             enterprises/women’s business enterprises.
             EPA Awards Only
             EPA at 40 CFR Part 33
                                                                                                           Applicable if funded by Federal
46.          Pro-Children Act                                                                                programs either directly or
                                                                                                                through State or local
                                                                                                          governments. Does not apply to
             PL 103-227, Title X, Part C                                                                   children’s services provided in
                                                                                                             private residences, facilities
                                                                                All             All
                                                                                                            funded solely by Medicare or
             Prohibits smoking in indoor buildings that provides
                                                                                                             Medicaid funds, portions of
      46.a   specific Federal services (health, day care, education
                                                                                                          facilities used for inpatient drug
             or library) to children under the age of 18.
                                                                                                          or alcohol treatment, or facilities
                                                                                                             where Women, Infants, and
             Applies to HHS and Agriculture awards only
                                                                                                             Children (WIC) coupons are
                                                                                                                      redeemed.
                                                                                                Page 13
47.          Hatch Act
             The recipient agrees to comply with the Hatch Act (5                                                           All but employees of educational
             U.S.C. 1501-1508 and 7324-7328), as implemented by                                                                   or research institutions
             the Office of Personnel Management at 5 CFR Part                                         State and local          supported by State; political
                                                                           Grant or loans
      47.a   151, which limits political activity of employees or                                      governments          subdivision thereof; or religious,
             officers of State or local governments whose                                                                        philanthropic, or cultural
             employments is connected to an activity financed in                                                                        organization
             whole or part with Federal funds
                                                                                                                             Research conducted in coastal
48.          Coastal Zone Management Act of 1972                                 All                        All
                                                                                                                                        zones

             Coastal zones, and provide help the agency may need
             to comply with the Coastal Zone Management Act of
             1972 (16 U.S.C. 1451, et. Seq.), concerning protection
             of U.S. coastal resources. EPA at 40 CFR Part 6

             DOC at 15 CFR Part 923
49.          Relocation and Real Property Acquisition
             The recipient assures that it will comply with 49 CFR                               “State agency” as defined All project that may result in real
                                                                         Grants, cooperative
             Part 24, which implements the Uniform Relocation                                       in 49 CFR Part 24 to         property acquisition or
                                                                       agreements, and other                                                                   42 U.S.C 4630 and 49 CFR 24.4 as implemented by DOD at
             Assistance and Real Property Acquisition Policies Act                                 include persons with displacement where State agency
                                                                          ”Federal financial                                                                   32 CFR Part 259, requires grants officers to obtain
      49.a   of 1970 (42 U.S.C. 4601, et seq.) and provides for fair                                authority to acquire   hasn’t opted to certify to Dept. of
                                                                       assistance” *see 49 CFR                                                                 recipients’ assurance of compliance.
             and equitable treatment of persons displaced by                                       property by eminent          Transportation in lieu of
                                                                               24.2(j)].
             Federally assisted programs or persons whose                                        domain under State Law.          providing assurance
             property is acquired as a result of such programs.
             DOC at 15 CFR Part 11
                                                                                                      State and local        Alterations and renovations>
50.          State Single Points of Contact                                      All                                                                             Intergovernmental Review, Executive Order 12372
                                                                                                       governments                     $500,00
                                                                       Contracts over $10,000
             Affirmative Action for Special Disabled and Vietnam
51.                                                                      except for Services                All                                                  41 CFR 60
             Era Vets.
                                                                           outside the US

                                                                                                 All recipients with more                                        29 CFR 1630                  29 CFR 1640
52.          Americans with Disabilities Act of 1990                             All
                                                                                                    than 25 employees                                            29 CFR 1641
53.          Anti-Kickback Act of 1986                                           All                        All                                                  41 U.S.C. Part 51
54.          Aquatic Nuisance Prevention                                         All                        All                                                  16 U.S.C. Part 67
55.          Bloodborne Pathogents                                               All                        All                                                  29 CFR 1910.1030
56.          Certificate of Current Cost Pricing Data                            All                        All                                                  FAR 15.401-406.2
             Comprehensive Alcohol Abuse and Alcoholism
57.          Prevention, Treatment, and Rehabilitiation Act of                   All                        All                                                  42 U.S.C. Part 60
             1970
             Contract WorkHours and Safety Standards Act of
58.                                                                          Contracts                      All                                                  40 U.S.C. Part 37
             1962
59.          Cost Accounting Standards                                           All                        All                                                  18 U.S.C. Part 847
                                                                       All Awards over $2500
60.          Copeland (Anti-Kickback) Act                                for construction or                All                                                  40 U.S.C. Part 276c
                                                                               repair



                                                                                                            Page 14
                                                      All Contracts over
                                                       $100,000 or all
61.   Covenant Against Contingent Fees                                                 All              FAR 52.203-5
                                                      personal services
                                                           contracts
62.   Davis Bacon Act                                      Contracts                                    40 U.S.C. Part 3141
63.   Drug Abuse Office and Treatment Act of 1972             All                      All              20 CFR 401.1
                                                      All awards carrying
                                                                                                        15 CFR 7c             50 U.S.C. Parts
64.   Export Controls                               notice from the prime              All
                                                                                                        1701-1706
                                                     sponsor of coverage
65.   Fair Labor Standards Act                               All                       All              29 U.S.C. Part 201
66.   OSHA                                                   All                       All              29 CFR
                                                                            All non-profits and small
67.   Patents and Inventions                                 All                                        37 CFR 401
                                                                                   businesses




                                                                                      Page 15
              National Policy Requirements Matrix
                       Table of Contents
1.    Nondiscrimination                                      1
          1.a      Civil Rights Act of 1964                  1
          1.b      Executive Order 11246                     2
          1.c      Title IX                                  2
          1.d      Age                                       2
          1.e      Handicap                                  2
             1.e.1 Section 504 of Rehabilition Act of 1973   2
            1.e.2 Architectural Barriers Act of 1968         2
2.    Live Organisms                                         3
          2.a      Human Subjects                            3
            2.a.1 Presidential Guidance of 8/9/01            3
            2.a.2 HIPPA                                      3
         2.b       Animal Research                           4
            2.b.1 Lab Animal Care and Use                    4
           2.b.2 Wild Animal Care and Use                    4
3.    Environmental Standards                                4
          3.a      Clean Air and Clean Water Act             4
          3.b      Environmental Impact                      5
            3.b.1 NEPA                                       5
           3.b.2 Flood Disaster Protection Act               5
           3.b.3 Coastal Barriers Resource Act               5
           3.b.4 Wild and Scenic Rives Act                   5
            3.b.5 Safe Drinking Water Act                    5
 4.   Lobbying                                               6
 5.   Metric System                                          6
 6.   Labor Standards - Construction                         6
 7.   Drug Free Workplace                                    6
 8.   Debarment & Suspension                                 7
 9.   False Claims Act                                       7
10.   Criminal False Claims Act                              7
11.   Program Fraud                                          7
12.   National Historic Preservation                         7
         12.a      National Register of Historic Places      7
13.   Health & Safety Guidelines                             7
         13.a      OSHA                                      7
         13.b      Etiologic Agents                          7
         13.c      Biosafety Standards                       7
         13.d      Controlled Substances                     7
         13.e      Radioactive Waste                         7
         13.f      Investigational New Drugs                 8
14.   US Flag Carriers                                       8
15.   Misconduct in Science                                  8
         15.a      Misconduct Regulations                    8
16.   Select Agents                                          8
17.   Exec. Order 13224 - Anti-terrorist Act                 9
18.   Paperwork Reduction Act                                           9
19.   Trafficking in Persons                                           10
20.   Deliquency on Federal Debt                                       11
21.   Conflict of Interest                                             11
         21.a    Financial Disclosure                                  11
         21.b    Institutional Policy                                  11
22.   Buy America Act                                                  11
        22.a     Expenditure Certification                             11
23.   Smoke-Free Workplace                                             11
24.   Restriction on Distribution of Sterile Needles                   11
25.   Dissemination of False Scientific Information                    11
26.   Employment of Unauthorized Aliens                                11
27.   Salary Limitations                                               12
28.   Restriction on Abortions                                         12
29.   Ban on Funding of Human Embryo Research                          12
30.   Transplantation of Fetal Tissue                                  12
31.   Limitations on Promotion of Controlled Substances                12
32.   Acknowledgement of Federal Funding                               12
33.   Confidentiality of Patient Records                               12
34.   Public Access Policy                                             12
35.   Clinicaltrials.gov                                               12
36.   Recombinant DNA Molecules                                        12
37.   Military Recruiters                                              12
38.   Inclusion of Children as Subjects in Clinical Research           12
39.   Pre-College Students in Experimental Projects                    13
40.   Inclusion of Women/Minorities as Subjects in Clinical Research   13
41.   Protection of Research Subjects Identity                         13
42.   Use of Animals                                                   13
         42.a    Purchase of Cats & Dogs                               13
43.   Utilization of Small Business Concerns                           13
44.   Solid Waste Disposal Act                                         13
45.   Minority/Women's Business Enterprises                            13
46.   Pro-Children Act                                                 13
         46.a    Prohibition of Smoking in Certain Fed. Buildings      13
47.   Hatch Act                                                        14
         47.a    Limitations on Political Activity                     14
48.   Coastal Zone Management Act of 1972                              14
49.   Relocation and Real Property Acquisition                         14
         49.a    Uniform Relocation Assistance Act                     14
50.   State Single Points of Contact                                   14
51.   Affirmative Action for Special Disabled and Vietnam Era Vets.    14
52.   Americans with Disabilities Act of 1990                          14
53.   Anti-Kickback Act of 1986                                        14
54.   Aquatic Nuisance Prevention                                      14
55.   Bloodborne Pathogents                                            14
56.   Certificate of Current Cost Pricing Data                         14
57.   Comprehensive Alcohol Abuse and Alcoholism Prevention,           14
58.   Contract WorkHours and Safety Standards Act of 1962              14
59.   Cost Accounting Standards                                        14
60.   Copeland (Anti-Kickback) Act                  14
61.   Covenant Against Contingent Fees              15
62.   Davis Bacon Act                               15
63.   Drug Abuse Office and Treatment Act of 1972   15
64.   Export Controls                               15
65.   Fair Labor Standards Act                      15
66.   OSHA                                          15
67.   Patents and Inventions                        15

				
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