Title  : (ARI) ACADEMIC RESEARCH INFRASTRUCTURE PROGRAM FACILITIES
         MODERNIZATION
Type   : Grant Conditions
NSF Org: OD / OGC
Date   : August 23, 1996
File   : ari


ACADEMIC RESEARCH INFRASTRUCTURE PROGRAM
FACILITIES MODERNIZATION

ATTACHMENT A

"MODIFICATIONS TO GRANT GENERAL CONDITIONS"

Project Responsibilities and Standards:  The construction and
other activities supported by this grant must conform to high
professional standards. NSF does not prescribe or approve
standards or other criteria relating to planning, engineering,
design or building activities. Thus, responsibility for carrying
out project activities and for ensuring that high standards are
met rests solely with the Grantee.  The Grantee will ensure that
acceptable professional design standards and construction
practices are followed.

The Grantee is responsible for obtaining any necessary licenses,
permits, easements, etc., required for the construction
activities supported by this grant and for complying with all
applicable Federal, State, municipal and other laws, codes and
regulations. In addition, the Grantee is required to take all
proper, reasonable, and necessary precautions to prevent injury,
loss, or damage to the work, employees, workers, the general
public, and property during project performance. The Grantee will
take steps to avoid unsafe working or project conditions and
ensure that all work meets applicable life safety and health
standards and requirements.

The Grantee will provide and maintain competent and adequate
architectural/engineering (A/E) supervision and inspection at the
worksite to ensure that completed work conforms to approved plans
and specifications. The Grantee, will provide appropriate project
monitoring, inspection, and testing to help ensure that all work
and systems are of acceptable quality and that time and cost
schedules are met.

The Grantee will ensure that all construction to final completion
is in accordance with Grantee-approved drawings and
specifications. The Grantee should obtain "as-built" drawings and
documentation upon project completion as appropriate.

The Grantee is responsible, without recourse to NSF, for the
settlement and satisfaction of all contractual and legal issues
arising out of arrangements entered into between the Grantee and
third parties to carry out project activities. Matters concerning
violation of law should be referred to the Federal, State, or
local authority having proper jurisdiction.

The Grantee should provide sufficient funds upon completion of
the project to assure effective operation and maintenance of the
facility for the intended purposes.

Allowable Project Costs: In addition to any other costs which may
be allowable under this grant, the following project costs are
generally allowable:

a.   Necessary demolition of existing structures on the
construction site where construction-related activities cannot
reasonably be undertaken without such demolition;

b.   Reasonable and necessary costs incurred to mitigate direct,
adverse, physical impacts resulting from facility construction
activities, including restoration of the surrounding area to its
original condition;

c.   Costs of bonding, insurance, and permits, where such bonding,
insurance, and permits are direct costs to the project and are
required by these terms and conditions or by Federal, State or
local laws or regulations; and

d.   Costs of "as-built" drawings and documentation.

Unallowable Project Costs:  In addition to any other costs that
have been or may be determined to be unallowable, the following
project costs are unallowable charges to this grant:

a.      Project costs incurred prior to March 15, 1996;

b.   Any costs charged to the grant that exceed the award amount;

c.   Costs incurred after the expiration date of the grant.
However, grant funds may be expended after the expiration date to
liquidate legitimate obligations incurred by the Grantee on or
before the expiration date;

d.   Costs for work outside the scope of the approved project
including costs for facilities not used for research or research
training, and significant expansion of existing research and
research training space;

e.   Indirect costs of the Grantee;

f.   Nonfixed laboratory equipment or instrumentation;

g.   Construction of residences and passenger vehicle storage and
service areas;

h.   Routine maintenance and/or repair of paved areas (e.g.,
parking lots, sidewalks, roadways), lawn and wooded areas,
equipment, and day-to-day operating expenses;

i.   The purchase of land or real property;

j.   Bonus payments to contractors;

k.   Design details requiring expensive building techniques or
architectural features that cost more than reasonable
alternatives;

l.   Costs of additional architectural-engineering (A/E) or other
services necessary to correct defects in facilities plans, design
drawings, specifications or other construction-related documents
due to negligence or oversight on the part of the A/E or other
party with whom the Grantee has contracted to perform such
services;

m.   Fines and penalties due to violation of or noncompliance with
Federal, State, or local laws and regulations;

n.   Fund-raising expenses;

o.   Compensation for injuries to persons or damage to property
arising out of the project;

p.   Consulting services performed by a Federal employee during
official duty hours when such consulting services result in the
payment of additional compensation to the employee;

q.   Entertainment costs, regardless of their apparent relationship
to project objectives; and

r.   "Contingencies" in any form. This list is not exhaustive.

Bid Guarantees and Bonding:  The Grantee shall follow its own
requirements and practices relating to bid guarantees,
performance bonds, and payment bonds where the bid or contract is
for $100,000 or less. Where the bid or contract is for more than
$100,000, the Grantee shall secure:

A bid guarantee from each bidder equivalent to five (5) percent
of the bid price;

A performance bond on the part of the contractor for one hundred
(100) percent of the contract price; and

A payment bond on the part of the contractor for one hundred
(100) percent of the contract price.

The Grantee shall require contractors to carry adequate fidelity
bond coverage when it is determined by the Grantee that such
coverage is necessary to protect Grantee and Federal interests
under this project.

The bonds identified in this article may be obtained from
companies holding certificates of authority as acceptable
sureties. A listing of these companies is published annually by
the Department of Treasury.

Equal Opportunity Under Federally Assisted Construction:  The
Grantee hereby agrees that it will incorporate or cause to be
incorporated into any contract for construction work, or
modification thereof, as defined in the regulations of Secretary
of Labor at 41 CFR Chapter 60, which is paid for in whole or in
part with funds obtained from the Federal government or borrowed
on the credit of the Federal Government pursuant to a grant,
contract, loan, insurance, or guarantee, or undertaken pursuant
to any Federal program involving such grant, contract, loan,
insurance, or guarantee, the following equal opportunity clause:

During the performance of this contract, the contractor agrees as
follows:

(l)  The contractor will not discriminate against any employee or
applicant for employment because of race, color, religion, sex,
or national origin. The contractor will take affirmative action
to ensure that applicants are employed and that employees are
treated during employment without regard to their race, color,
religion, sex, or national origin, such action shall include, but
not limited to the following: Employment, upgrading, demotion, or
transfer, recruitment or recruitment advertising; layoff or
termination; rates of pay or other forms of compensation; and
selection for training, including apprenticeship. The contractor
agrees to post in conspicuous places, available to employees and
applicants for employment, notices to be provided setting forth
the provision of this nondiscrimination clause.

(2)  The contractor will, in all solicitations or advertisements
for employees placed by or on behalf of the contractor, state
that all qualified applicants will receive considerations for
employment without regard to race, color, religion, sex, or
national origin.

(3)  The contractor will send to each labor union or
representative of workers with which he has a collective
bargaining agreement or other contract or understanding a notice
to be provided advising the said labor union or workers'
representatives of the contractor's commitments under this
section and shall post copies of the notice in conspicuous places
available to employees and applicants for employment.

(4)  The contractor will comply with all provisions of Executive
Order 11246 of September 24, 1965, and of the rules, regulations,
and relevant orders of the Secretary of Labor.

(5)  The contractor will furnish all information and reports
required by Executive Order 11246 of September 24, 1965, and by
rules, regulations, and orders of Secretary of Labor, or pursuant
thereto, and will permit access to his books, records, and
accounts by the administering agency and the Secretary of Labor
for purposes of investigation to ascertain compliance with such
rules, regulations, and orders.

(6)  In the event of the contractor's noncompliance with the
nondiscrimination clauses of this contract or with any of said
rules, regulations, or orders, this contract may be canceled,
terminated, or suspended in whole or in part and the contractor
may be declared ineligible for further Government contracts or
federally assisted construction contracts m accordance with
procedures authorized in Executive Order 11246 of September 24,
1965, and such other sanctions may be imposed and remedies
invoked as provided in Executive Order 11246 of September 24,
1965, or by rule, regulation, or order of the Secretary of Labor,
or as otherwise provided by law.

(7)  The contractor will include the portion of the sentence
immediately preceding paragraph (l) and the provisions of
paragraphs (l) through (7) in every subcontract or purchase order
unless exempted by rules, regulations, or orders of the Secretary
of Labor issued pursuant to Section 204 of Executive Order 11246
of September 24, 1965, so that such provisions will be binding
upon each subcontractor or vendor. The contractor will take such
action with respect to any subcontract or purchase order as the
administering agency may direct as a means of enforcing such
provisions, including sanctions for noncompliance, provided,
however, that in the event a contractor becomes involved in, or
is threatened with, litigation with a subcontractor or vendor as
a result of such direction by the administering agency, the
contractor may request the United States to enter into such
litigation to protect the interests of the United States.

The Grantee further agrees that it will be bound by the above
equal opportunity clause with respect to its own employment
practices when it participates in Federally assisted construction
work: Provided, that if the Grantee so participating is a State
or local government, the above equal opportunity clause is not
applicable to any agency, instrumentality or subdivision of such
government which does not participate in work on or under the
contract.

The Grantee agrees that it will assist and cooperate actively
with the administering agency and the Secretary of Labor in
obtaining the compliance of contractors and subcontractors with
the equal opportunity clause and the rules, regulations, and
relevant orders of the Secretary of Labor, that it will furnish
the administering agency and the Secretary of Labor such

information as they may require for the supervision of such
compliance, and that it will otherwise assist the administering
agency in the discharge of the agency's primary responsibility
for securing compliance.

The Grantee further agrees that it will refrain from entering
into any contract or contract modification subject to Executive
Order 11246 of September 24, 1965, with a contractor debarred
from, or who has not demonstrated eligibility for, Government
contracts and Federally assisted construction contracts pursuant
to the Executive order and will carry out such sanctions and
penalties for violation of the equal opportunity clause as may be
imposed upon contractors and subcontractors by the administering
agency or the Secretary of Labor pursuant to Part II, Subpart D,
of the Executive Order. In addition, the Grantee agrees that if
it fails or refuses to comply with these undertakings, the
administering agency may take any or all of the following
actions: Cancel, terminate, suspend in whole or in part this
grant (contract, loan, insurance, guarantee); refrain from
extending any further assistance to the Grantee under the program
with respect to which the failure or refund occurred until
satisfactory assurance of future compliance has been received
from such applicant; and refer the case to the Department of
Justice for appropriate legal proceedings.

Federal Contract Compliance:  The Grantee must notify the
appropriate office of the Office of Federal Contract Compliance
(OFCCP), U.S. Department of Labor, within 10 days of any
subcontract award of $10,000 or more for construction under this
grant paid for in whole or in part with grant funds.


Percentage of Federal Financing:  Any solicitation using Federal
grant funds to procure goods and services (including construc-
tion) costing $500,000 or more must state the amount and
percentage of total costs to be financed with Federal funds.

Under Article 15, Progress Reports, of GC-1 or under Article 6,
Non-Competitive or Continuation Award Requirements, of FDP-II,
the following applies:

Annual Progress Reports:  The Grantee shall submit brief annual
progress reports to the Office of Science and Technology Infra-
structure covering the following to reflect current status and
developments for the reporting period.

o    Project Activities - Identify actual versus planned
accomplishments and activities and a summary of activities to be
undertaken during the next reporting period.

o    Project Changes/issues - Identify any issues, delays adverse
conditions, problems, actions, or changes which impact or affect
the nature, purpose, scope, size, cost, time schedule, or
completion of the project. Provide explanation, reason, possible
impact, and identify alternative courses of action, and proposed
or actual resolution. Identify any changes in plans that differ
in major respects from those approved in the proposal, or as
subsequently approved by NSF, including expected usage or
occupancy of facility, disciplines or fields of science or
engineering involved.

o    Project Management - Identify any changes to the project
management plan and any changes involving the key project
personnel, their management of the project or their effort.
Explain reasons for any changes and their impact on the project.

o    Project Milestones and Time Schedule - Using the NSF specified
format, provide current project time schedule noting changes from
previous time schedule. Identify any slippage, provide reasons
and explanation.

o    Project Costs - Identify total project costs incurred and costs
charged to the NSF award. Provide current total cost estimate and
indicate sources of funds currently available. Identify where
actual or future costs are expected to vary significantly (either
higher or lower) from latest cost estimate. Provide explanation
for such variances and identify impact, if any, on total project
costs, schedule, and project scope. Indicate how any cost growth
will be managed.

o    Matching/Cost Sharing - Identify amount of funds available,
committed, and otherwise report on status of the match/cost
sharing, its source, and the status of fund raising or matching
efforts. Identify variances with goals and objectives, provide
explanation, and indicate planned resolution.  If the Grantee's
cost participation includes in-kind contributions, the basis for
determining the valuation for volunteer services and donated
property must be documented.

Project costs incurred by the Grantee prior to March 15, 1996 or
subsequent to the expiration date of the grant will not
constitute acceptable matching or cost sharing. Project costs
incurred after the effective date of the grant but prior to the
Grantee meeting its matching requirement may constitute
acceptable cost sharing. Generally it is expected that Grantee
matching funds and NSF grant funds will be spent in the same
ratio that such funds make up the percentage of available project
funds.

Under Article 16, Final Report Requirements, of GC-1 or under Article 8, Final
Report Requirements, of FDP-III, the following applies:

Within 90 days following the expiration of the grant the grantee must:

a. Send one copy of the Final Project Report [NSF Form 98A(7/95)] to the
Office of Science and Technology Infrastructure, Academic Research
Infrastructure, along with any technical information items listed in Part III
of the Form 98A, as appropriate;

b. Furnish the NSF Division of Financial Management with final disbursement
information on the Federal Cash Transactions Report, SF 272; and

c. Provide the following to the Office of Science and Technology
Infrastructure, Academic Research Infrastructure:  a summary of the project
activities, final actual costs, matching funds and costs charged to the NSF
grant as well as other summary information similar to that submitted in
progress reports.  Identify project completion date/occupancy date.  Provide
three glossy 8 x 10 pictures representative of the completed work.  When
appropriate, the photos should correspond to those included in the grant
proposal.  Provide a statement on the actual and expected impact this project
has or is expected to have on the research and research training activities of
the institution including research capabilities, research projects, number of
researchers, number of students, and similar information.


The following Definitions apply to this award:

Research Facility or Research Training Facility:
The physical plant in which sponsored or non-sponsored research
activities (including research training) take place, including
related infrastructure and systems (e.g., HVAC and power systems,
toxic waste removal systems), and fixed equipment (e.g., clean
rooms, fume hoods).

Fixed Equipment:  A piece of property which, when installed in a
facility for continuing use in connection with the facility, is
generally considered a permanent part of the facility and cannot
be reasonably removed without affecting the integrity of the
structure of the facility or the operations for which the
facility is being developed. Examples include, but are not
limited to, elevators, boilers, furnaces, and plumbing, fire
alarm, electrical, heating-ventilating-air conditioning (HVAC),
and refrigeration systems, as well as specialized items such as
growth chambers, cage washers, and laboratory benches.

Nonfixed Equipment and Instrumentation:  Equipment which is not
generally considered to be fixed equipment.