UFIRST Terms & Conditions

UFIRST Term Background DSP Actions when this Term is Present PI and Unit Award Management Implications
252.204-7012 included and applies This is a DFAR (Defense Federal Acquisition Regulations) that requires the Contractor (UF) to provide adequate security for all covered defense information on all covered contractor information systems that support the performance of work under this contract. This DFAR clause  relates to the Federal Information Security and Management Act (FISMA). DSP will notify the DSP Director who will work with Research Compliance, UFIT and the PI to confirm applicability and necessary IT controls. If a positive FISMA designation is made, the PI and project team must utilize the UF’s FISMA environment which includes ResVault and ResShield to access the restricted information.
252.204-7012 included but determined to be self-deleting

 

see above DSP Contract’s Team should indicate the term has been determined to be self-deleting

 

No action needed.
Carryover of Unexpected Balances – Automatic Carryover allows for unexpended funds to be rolled from one budget period to another. The Sponsor allows this rollover without prior approval. No action required by DSP. No action needed.
Carryover of Unexpected Balances – Requires Sponsor Prior Approval Carryover of unexpended funds from one budget period to another requires prior approval from the Sponsor. Some NIH awards (P30, P50, P60, U, T, SBIR and STTR Phase I) are not granted automatic carryforward.

 

Generally indicates that funds can be kept in a single project for the entire project period.  New projects not required for each budget period.

DSP and C&G will work with the PI in requesting sponsor approval.

 

 

At the end of each budget period, C&G Accounting notifies the Unit of the unobligated balance available for carryover. Units should also contact and consult with their assigned C&G Grant Accountant to confirm the unobligated balance.

 

The PI or the Unit prepares a formal letter requesting carryover approval signed by the PI and countersigned by DSP.

 

See Carryover of Unobligated Balances

China Entity Restriction NASA is prohibited from funding any activity to “develop, design, plan, promulgate, implement, or execute a bilateral policy, program, order, or contract of any kind to participate, collaborate, or coordinate, bilaterally in any way with China or any Chinese-owned company unless such activities are specifically authorized [by law.]”

 

This applies to Chinese Universities and visiting students associated with a Chinese University.

Individuals are subject to the restriction if they are affiliated with institutions of China or Chinese-owned companies incorporated under the laws of China.

 

Thus, a team member who is a Chinese citizen may work on a NASA project, but an individual affiliated with an institution of the Chinese state will be subject to the statutory restriction.

DSP is to obtain the PI’s understanding of this clause and confirmation prior to DSP signing the China compliance certification

 

PI and Unit should verify the status of all project team members.
Clinicaltrials.gov reporting required Registration and reporting of results to clinicaltrials.gov is mandatory for all applicable clinical trials which generally include interventional studies No action required by DSP. PI and Unit will be responsible for registering and reporting all results to clinicaltrials.gov.

 

See: ClinicalTrials.gov Guidance

 

Confidentiality-Sponsor Restrict Disclosure of Information Florida Statutes 1004.22 provides UF an exemption from disclosing confidential information of a sponsor, except for 5 elements: PI name, title and description of the project, sponsor and award amount. This field will allow DSP to identify awards or agreements that restricts release of information from a public records request where appropriate.

 

No action required by DSP. PI and project team will have to ensure that all information required to be kept confidential is protected.
Cost Accounting Standard Apply CAS applies to all federally funded awards, including flow thru.

 

CAS does not allow normally indirect costs items (i.e.: Admim/Clerical Support, office supplies, postage, computers) to be charged directly unless circumstances exist and can be justified that the cost item  is  needed to advance the performance of the project being funded.

 

DSP Associate Director currently reviews all CAS Exemption requests for appropriateness. Only on funded projects. PI must request a CAS Exemption to allow a normally indirect cost item be charged as a direct cost.

The University of Florida’s CAS Policy.

DD254 Used in federal contracting. The FAR requires the DD Form 254 be incorporated in classified projects and provides the security requirements and the classification guidance that necessary to perform on a classified contract work. Per the UF Classified Research Policy, the DSP RA must bring the agreement to the Director of DSP. Director will triage and work with the VP for Research for final decision. DSP will notify the Office of Research Personnel Office who currently manages security clearances.

 

PI and Project team must have specific security clearances in place and ensure that lab spaces are appropriate to conduct such research
Hiring Restriction-Federal Employees Federal employees cannot be hired to work on this project.

 

DSP will relay this term to the PI PI and Unit team cannot hire any previous agency employees
Hiring Restriction-Sponsor Employees Sponsor does not allow their previous employees to be hired to work on the project.

 

DSP will relay this term to the PI PI and Unit team cannot hire any previous sponsor employees
Employee Restriction – Please Read Award Any other restrictions on who can be hired for the project (not specifically covered under the Hiring Restrictions – Federal & Sponsor employees terms). This can include the hiring of foreign nationals.

 

DSP will relay this term to the PI PI and Unit team should ensure that this will not affect the ability of any graduate students to complete their research.
Employee Screening- All employees must undergo restricted party screening Restricted party screening is conducted to ensure that an individual is not associated with any groups of international concern. DSP will relay this term to the PI and the Division of Research Compliance who will perform the screening. PI will work with DRC to identify all individuals working on the project and DRC will conducts the Restricted Party Screening.

 

Employee Screening- E-verify requirements apply The contract requires all employees paid to be verified in e-verify.  Note that since 2009, UF has run e-verify on all new hires. However, if an individual working on a project was hired previous to this date and has not had e-verify conducted since that time, this will be required.

 

DSP will notify PI of this requirement. PI and Unit team will work with their local HR representatives to identify any individual who may need an e-verify conducted.

 

See UF E-Verify

Equipment-Conditional Title Vests with UF. As long as UF meets the requirements for use, management and disposition in 2 CFR 200.313, equipment purchased using award funds is titled to UF without further obligations to the sponsor. (This applies to all federal grants and contracts) No action required by DSP. Unit will be responsible for working with UF’s Asset Management to ensure all Equipment is properly accounted for in UF’s Inventory system. .
Equipment – Sponsor or Government Furnished Equipment UF receives equipment from the sponsor for the project and it must be returned at the end of the award.

 

DSP will communicate this term to the PI. Unit will be responsible for working with UF’s Asset Management to ensure all Equipment is properly accounted for in UF’s Inventory system.

 

Equipment – Title vests with Sponsor This term indicates that sponsor owns title to  all equipment purchased with award funds.  The equipment will be disposed of per the Sponsor’s wishes at the end of the award. DSP will communicate this term to the PI. Unit will be responsible for working with UF’s Asset Management to ensure all Equipment is properly accounted for in UF’s Inventory system.
Expenditure – Restrictions Apply on Equipment Sponsor has placed specific restriction on the purchase of equipment. For example, this may mean a complete prohibition, a different capitalization threshold from UF’s $5,000 policy or only approved items may be purchased. DSP will ensure that the budgets entered in the Budget Reconciliations page of the Award SmartForm complies with this restriction. PI and Unit will be responsible for complying with restrictions.
Expenditure – Restrictions Apply on Fringe Benefits Sponsor has specific restrictions on the charging of fringe benefits. DSP will ensure that the budgets entered in the Budget Reconciliations page of the Award SmartForm complies with this restriction. PI and Unit will work to identify a funding source for the fringe benefits that are being cost shared.
Expenditure – Restrictions Apply on PI Salary Sponsor has specific restrictions on the charging of PI salary. DSP will ensure that the budgets entered in the Budget Reconciliations page of the Award SmartForm complies with this restriction. PI and Unit will work to identify a funding source for the PI effort.
Expenditure – Restrictions Apply on Travel – Domestic Sponsor has specific restrictions on the charging of domestic travel expenses. DSP will ensure that the budgets entered in the Budget Reconciliations page of the Award SmartForm complies with this restriction.

 

PI and Unit will be responsible for complying with restrictions.
Expenditure – Restrictions Apply on Travel – Foreign Sponsor has specific restrictions on the charging of domestic travel expenses. DSP will ensure that the budgets entered in the Budget Reconciliations page of the Award SmartForm complies with this restriction.

 

PI and Unit will be responsible for complying with restrictions.
Expenditure – Restrictions Apply on Travel not in Awarded Budget Only the travel that was awarded is allowed unless sponsor approval is obtained

 

DSP will ensure that the budgets entered in the Budget Reconciliations page of the Award SmartForm complies with this restriction.

 

PI and Unit will be responsible for complying with restrictions.
Expenditure – Restrictions Apply on Tuition Remission (not allowed) Sponsor does not allow awarded funds to be used to pay for  tuition remission. DSP will ensure that the budgets entered in the Budget Reconciliations page of the Award SmartForm complies with this restriction.

 

PI and Unit will work to identify a funding source for any applicable tuition for the graduate student.
Export Controlled Project – Technology Control Plan (TCP – Required on this Project Either the technology being researched during this award or that a piece of technology being used during the course of the research has been deemed to be export controlled by the Division of Research Compliance. Automatically flagged by DRC indicating that a control plan is required through the Manage Export Compliance Activity. No Action needed by DSP.

 

 

PI and Unit will ensure that the TCP is followed. PI and Unit will follow up with DRC as needed.
FCOI Management Plan in Place One or more key persons on the project has a financial conflict of interest and the Division of Research Compliance has implemented an approved Conflict Management Plan Automatically flagged by DRC indicating that a management plan is required through the Manage FCOI Activity. No Action needed by DSP.

 

Affected Key Personnel will ensure that the management plan is followed. Key Personnel will follow up with DRC as needed.
Good Laboratory Practices Apply Sponsor requires the scope of work to be conducted under Good Lab Practices (GLP) standards. GLPs set forth principles a lab must follow when conducting services.

 

Good Clinical Practice – is ok with PI acceptance of understanding.

 

 

DSP SPA will work with sponsor and DRC to ensure that they truly intend to invoke GLP standards. If yes, DSP will work with the PI and DRC to ensure that this term can be accepted. If work is not required to be conducted under GLP standards, DSP should have GLP’s removed from the contract. PI and project team will ensure that GLP standards are used in the course of the project and register with the Division of Research Compliance.
Intellectual Property-Bayh Dole Applies to federal grants and most federal contracts, including flow thru. Implemented at 37CFR Part 401 and allows recipients of federal research and development funds to retain ownership of their patents as long as there is diligence in commercialization.

 

The federal government retains a non-exclusive right to use such inventions for government purpose.

No action required by DSP. PI’s must disclose any discoveries to OTL for management decisions on whether to pursue a patent or not.

 

Intellectual Property- UF does not retain copyright to  materials produced The PI has accepted lesser rights.

 

The SPA will seek approval from the Associate Director or Director. Prior to acceptance of term as part of the agreement, PI and Project Team ensure that this term will not affect the thesis or dissertation of any graduate student.

 

Intellectual Property-Deliverables – Sponsor own copyright to deliverables The PI has accepted lesser rights.

 

The SPA will seek approval from the Associate Director or Director. Prior to acceptance of term as part of the agreement, PI and Project Team ensure that this term will not affect the thesis or dissertation of any graduate student.

 

Intellectual Property- First Option to Sponsor Sponsor will have first priority in being offered the right to negotiate a license.

 

No action required by DSP. This is a common term for industry sponsors. If any invention results throughout the course of the project the PI, Project Team, and/or Unit will work with the Office of Technology Licensing to report said inventions.

 

Intellectual Property- Non-Exclusive Royalty Free (NERF) Sponsor is given a non-exclusive, royalty free license to utilize the technology. This allows the sponsor to utilize any invention resulting from the project; however they cannot exclude others from doing so as well, but the sponsor will not have to pay UF royalties for their use.

 

May need OTL to agree, work with a DSP Associate Director or Director. If any invention results throughout the course of the project the PI, Project Team, and/or Unit will work with the Office of Technology Licensing to report said inventions.
Intellectual Property- Review Agreement for Details Agreement contains non-standard IP language.

 

DSP will work with PI and Office of Technology Licensing to ensure that the IP language is acceptable If any invention results throughout the course of the project the PI, Project Team, and/or Unit will work with the Office of Technology Licensing to report said inventions.
Intellectual Property- Royalty Sharing Sponsor requires a percentage of any royalties on patents resulting from the funding. The specifics can be negotiated before or after the invention exists.

 

This is accepted language in agreements with most of the health related foundations. Otherwise, DSP will work with PI and Office of Technology Licensing to ensure that the IP language is acceptable.

 

If any invention results throughout the course of the project the PI, Project Team, and/or Unit will work with the Office of Technology Licensing to report said inventions.
Intellectual Property – Silent When the funding document does not communicate any Intellectual Property terms, the award will then default to Federal Patent Law which grants UF all IP rights. No  action required by DSP. If any invention results throughout the course of the project the PI, Project Team, and/or Unit will work with the Office of Technology Licensing to report said inventions.
Interest must be tracked and/or reported Interest earned on any advance payment from sponsor must be accounted for and reported back to the sponsor or added to the project budget

There is no interest earned on cost reimbursement awards.

No action required by DSP. PI and Unit will work with C&G to ensure that the  activity is taking place.
IT Security – FISMA Low Applies FISMA is the Federal Information Security and Management Act. This term indicates very specific security infrastructure and protocols must be in place for a PI to manage restricted information under the project.

 

When FISMA language exists the reviewing DSP SPA will follow DSP OneNote procedures for reviewing the contract.

 

If the project is deemed to require FISMA controls, the PI and Project team will work with UFIT to arrange for use of the facilities or review of the local system security plan.

 

IT Security – FISMA Moderate Applies (NIST 800.53) The next level of FISMA protection is FISMA Moderate. This term indicates very specific security infrastructure and protocols must be in place for a PI to manage restricted information under the project.

 

When FISMA language exists the reviewing DSP SPA will follow DSP OneNote procedures for reviewing the contract.

 

If the project is deemed to require FISMA controls, the PI and Project team will work with UFIT to arrange for use of the facilities or review of the local system security plan.

 

IT Security – FISMA Moderate Applies (NIST 800.171) The next level of FISMA protection is FISMA Moderate. This term indicates very specific security infrastructure and protocols must be in place for a PI to manage restricted information under the project.

 

When FISMA language exists the reviewing DSP SPA will follow DSP OneNote procedures for reviewing the contract.

 

If the project is deemed to require FISMA controls, the PI and Project team will work with UFIT to arrange for use of the facilities or review of the local system security plan.

 

IT Security – Other Sponsor has identified specific IT security controls for the project.

 

DSP will confer with Research Computing to ensure the sponsor outlined security plan can be reasonably followed. DSP will confer with PI to obtain concurrence with plan.

 

PI and Project team will follow security plan.
Master Agreement in Place A master agreement exists for this award and should be reviewed for a complete review of terms and conditions applicable to the project. DSP will ensure that the current award does apply to the indicated Master Agreement and is linked to the Award as a related agreement.

 

No significant action required.
Materials must be returned at end of Award Sponsor has provided materials for the completion of the project that must be returned to the Sponsor at the end of the award. DSP will gain concurrence with the PI that they will indeed be receiving materials and will agree to return residuals at the end of the award.

 

PI and Project team will return applicable materials at end of award.
No Cost Extension– First time extension may be approved by UF UF may authorize a one time  no cost extension for up to 12-months without sponsor approval. Upon approving the NCE, DSP must provide written notification to the Sponsor. This notification must be received by the agency at least (10) ten days prior to the original expiration date of the award. PIs should submit to DSP using UFISRT – Award Modification no later than 30-days prior to the grant’s current expiration date the request for a NCE.
No Cost Extension– Requires Sponsor Prior Approval UF may not authorize any no cost extension without sponsor approval. DSP will review NCE requests going to the sponsor to ensure accuracy and reasonableness.

 

PIs should submit to DSP using UFISRT – Award Modification no later than 30-days prior to the grant’s current expiration date the request for a NCE addressed to the sponsor for AOR signature and forwarding to the sponsor.
Pre-award Costs – Requires Sponsor Prior Approval UF may not authorize any expenses to be charged to the award before the award start date without sponsor prior approval. Any request to spend prior to the award date should be submitted to DSP who will review for accuracy and reasonableness.

 

PIs should submit to DSP immediately upon recognizing pre-award costs are needed. e the request for pre-award costs for AOR signature and forwarding to the sponsor
Pre-award Costs – Allowed in the Amount of: Sponsor has pre-approved a specific dollar amount of spending before the official award start date DSP will inquire if PI would like to invoke their pre-award spending abilities PI will communicate to DSP if they wish to invoke their pre-award spending abilities
Pre-award costs up to 90 days may be approved by UF Sponsor has authorized UF to place charges up to 90 days prior to the award start date without seeking any prior approval.  Is allowable under ) Research Terms and Conditions (RTCs). DSP will inquire if PI would like to invoke their pre-award spending abilities and should communicate any need to C&G in the set up process.  C&G will then change the KK start date to allow for those charges. PI will communicate to DSP if they wish to invoke their pre-award spending abilities
Pre-Award costs allowed effective a specific date Sponsor has pre-approved spending before the official award start date, but with a date other than 90 days DSP will inquire if PI requires any  pre-award spending. PI will communicate to DSP if they require  pre-award spending.
Program Income – Additive Method Program Income is gross income earned by UF that is directly generated by a supported activity or earned as a result of the award during the period of performance.  Additive method allows UF to retain the program income and add it to the existing budget (the budget increases.)

 

No action required by DSP. PI and Project team will work with Unit and C&G to report any program income and increase the project spending authority.
Program Income – Deductive Method Program Income is gross income earned by UF that is directly generated by a supported activity or earned as a result of the award during the period of performance.  Deductive method means that the sponsor funding will be substituted by the program income and the project budget does not increase.

 

No action required by DSP. PI and Project team will work with Unit and C&G to report any program income and communicate any budget reductions back to DSP.
Publication – Restricted or Delayed Results of this research cannot be published without the sponsor having period to review the publication . This goes against our University’s  mission and policy to share and disseminate information generated under awards DSP will attempt to negotiate out all publication restrictions. However, if negotiations fail,, the SPA will communicate with the PI and then escalate to the Director of Sponsored Programs for final approval. PI and Project team should ensure that graduate students in their labs will not be adversely impacted by accepting this project term.
Publication – Sponsor Prior Approval Required Sponsor requires approval before any research results can be published. This goes against our University’s  mission and policy to share and disseminate information generated under awards DSP will attempt to negotiate out all publication restrictions. However, if negotiations fail, the SPA will communicate with the PI and then escalate to the Director of Sponsored Programs for final approval. PI and Project team should ensure that graduate students in their labs will not be adversely impacted by accepting this project term and the sponsor denies the requested publication.
Publication – Sponsor Review and Comment Period XXX days Sponsor would like to provide input before formal publication of any research results and the publication or presentation must be submitted to sponsor prior to public release. DSP will attempt to negotiate a comment period of no more than 30 days. PI and Project team should ensure that graduate students in their labs will not be adversely impacted by accepting this project term timeline
Publication – Acknowledgment of Sponsor Support and/or Disclaimer Required Sponsor requires acknowledgment that they were the sponsor of the project that led to the publication.

 

The disclaimer indicates that any opinions findings or conclusions expressed in the publication do not necessarily reflect the views of the sponsor.

No action required by DSP. PI will be responsible for complying with condition.
Publicity – Use of Sponsor Name Requires Prior Approval Sponsor requires they be notified of any potential press release which mentions their involvement with the award No significant action required. PI and Project Team will work with the UF  public relations office to obtain sponsor approval before issuing any press releases related to the project.

 

Re-budgeting – Allowed up to 25% of the total budget Expenses may be charged outside of the original awarded budget categories up to 25% of the award. This term is present in the Research Terms and Conditions (RTCs). When rebudgeting exceeds threshold, DSP and C&G will work with the PI in requesting sponsor approval. In the event that a re-budgeting of more than 25% of the total is desired, the PI must obtain sponsor approval.  A request to rebudget should be sent through UFIRST as a financial modification.

 

Re-budgeting- Allowed up to a specific amount Expenses may be charged outside of the original awarded budget categories up to the amount specified here. When rebudgeting exceeds threshold, DSP and C&G will work with the PI in requesting sponsor approval. In the event that a re-budgeting of more than the sponsor authorized amount is desired, the PI must obtain sponsor approval.  A request to rebudget should be sent through UFIRST as a financial modification.
Re-budgeting- Other This term indicates that the sponsor has placed a non-standard rebudgeting restriction on the award. When rebudgeting exceeds threshold, DSP and C&G will work with the PI in requesting sponsor approval. PI and Unit to review language and manage rebudgeting accordingly.  A request to rebudget should be sent through UFIRST as a financial modification.
Records Retention Requirement – Over 3 Years UF’s record retention for sponsored programs is the same as the standard for federal awards, which is all records, must be retained for a period of three years from the date of submission of the final expenditure report. If this term is selected the sponsor requires records retention beyond our standard.

 

No action required by DSP. PI, Project Team, and Unit will comply with retention term.
Research Results – Restricted Use This goes against our University’s mission and policy to share and disseminate information generated under awards. The term research results should be clearly defined in any agreement where there are restrictions.  Like publication restrictions, Research Results Restrictions must be carefully considered. DSP will attempt to negotiate this term out of the award. However, if negotiations fail,  the PI will be consulted and approval of this term will be sought from the Director of Sponsored Programs. PI, Project Team, and Unit consider if any graduate student will be adversely impacted by the acceptance of this term. If accepted they will ensure compliance with this term.
Research Terms and Conditions – Pre-March 2016 Award is governed by the RTCs in place immediately prior to May 2016.  Research Terms and Conditions are a standard core of negotiated award terms that have been worked out between research entities and federal agencies. For example, these terms allow UF to grant the first NCE and  rebudget up to 25% No action required by DSP. No action required by project team.
Research Terms and Conditions – March 2016 Award is governed by the RTCs which were most recently updated to account for the implementation of the Uniform Guidance and put into effect May 2016. Research Terms and Conditions are a standard core of negotiated award terms that have been worked out between research entities and federal agencies. For example, these terms allow UF to grant the first NCE and  rebudget up to 25%. No action required by DSP. No action required by the project team.
Small Business Subcontracting Plan in Place FAR clause requiring “Any contractor receiving a contract for more than the simplified acquisition threshold must agree in the contract that small business, veteran-owned small business, service-disabled veteran-owned small business, HUBZone small business, small disadvantaged business, and women-owned small business concerns will have the maximum practicable opportunity to participate in contract performance consistent with its efficient performance.” DSP will refer PI to the https://sbvdr.admin.ufl.edu/to prepare the Small Business Subcontracting Plan. PI and Project Team will work with the to prepare the Small Business Subcontracting Plan. The PI and team are required to follow the plan with purchases throughout the award.

See:Small Business Subcontracting Plan Information

Subaward –  Requires Sponsor Prior Approval – Even if Budgeted and Awarded Even if a subaward is included in the awarded budget, Sponsor requires prior approval before UF is allowed to execute the subaward. If subaward identified after issuance of the award, the DSP Subcontracting Team will work with the PI to obtain the appropriate approvals prior to issuing the subawards. PI and Unit Team will provide DSP Subcontracting with all required documentation and information in order to obtain approval for subawards from sponsor.
Subaward – Requires Sponsor approval when not included in  awarded budget The DSP RA will work with the PI to obtain the appropriate approvals from the sponsor prior to issue the subawards. PI and Unit Team will provide DSP RA’ and DSP Subcontracting Team with all required documentation and information in order to obtain approval for subawards from sponsor.