AttachmentC_ 2022.docx

2022 NGGDPP Terms & Conditions

FUNDING OPPORTUNTITY ANNOUNCEMENT G22AS00033

ATTACHMENT C

2022 NGGDPP Award Terms and Conditions

1. Acceptance

Acceptance of a Federal Financial Assistance award from the Department of the Interior (DOI) carries with it the responsibility to be aware of and comply with the terms and conditions of award. Acceptance is defined as the start of work, drawing down funds, or accepting the award by signature or electronic means. Awards are based on the application submitted to and approved by DOI and are subject to the terms and conditions incorporated either directly or by reference below.

2. Grant Administration This grant will be administered by:

U.S. Geological Survey Office of Acquisition and Grants 12201 Sunrise Valley Drive, MS205 Reston, VA 20192 Margaret Eastman, Contracting Officer Phone: (703) 648-7366 E-mail: mrussell@usgs.gov

Written communications shall make reference to the Assistance Award number and shall be mailed (or emailed) to the above address.

3. Method of Payment

Payments under financial assistance awards must be made using the Department of the Treasury Automated Standard Application for Payments (ASAP) system (www.asap.gov).

a) The Recipient agrees that it has established or will establish an account with ASAP. USGS will initiate enrollment in ASAP. If the Recipient does not currently have an ASAP account, they must designate an individual (name, title, address, phone and e-mail) who will serve as the Point of Contact (POC).

b) With the award of each grant/cooperative agreement, a sub-account will be set up from which the Recipient can draw down funds. After Recipients complete enrollment in ASAP and link their banking information to the USGS ALC (14080001), it may take up to 10 days for sub-accounts to be activated and for funds to be authorized for drawdown in ASAP.

c) Inquiries regarding payment should be directed to ASAP at 855-868-0151.

d) Payments may be drawn in advance only as needed to meet immediate cash disbursement needs.

4. Program Personnel

A. Principal Investigator

The Principal Investigator is the individual designated by the Recipient (and approved by the USGS) who is responsible for the technical direction of the research project. The Principal Investigator cannot be changed or become substantially less involved than was indicated in the Recipient's proposal, without the prior written approval of the Contracting Officer.

B. Grants Program Manager

The Grants Program Manager will work closely with the Principal Investigator to ensure that all technical requirements are being met. Grants Program Manager responsibilities include, but are not limited to, providing technical advice on the accomplishment of the proposal's goals; reviewing the technical content of reports and the other information delivered to the USGS; determining the adequacy of technical reports; and conducting site visits, in coordination with the Contracting Officer, as frequently as practicable. The Grants Program Manager is Michaela Johnson, U.S. Geological Survey, Box 25046, Mail Stop 975, Denver, CO 80225.

The NGGDPP Program Coordinator is Lindsay Powers, U.S. Geological Survey, Box 25046, Mail Stop 975, Denver, CO 80225. The Program Coordinator does not have the authority to issue any technical direction which constitutes an assignment of additional work outside the scope of the award; in any manner cause a change in the total cost or the time required for performance of the award; or change any of the terms, conditions, or general provisions of the award.

C. Contracting Officer (CO)

Contracting officers are individuals who have been delegated in writing by the USGS Office of Acquisition and Grants as the sole authority designated to obligate Federal funds and create terms and conditions of awards. They are the only individuals who have authority to negotiate, enter into, and administer awards resulting for this program. Contracting officers have responsibility to ensure the effective use of Federal funds.

Functions of the Contracting Officer include but are not limited to:

(1) Issuing the grant program announcement in coordination with the Grants Program Manager.

(2) Receiving grant proposals and related documents in response to a grant program announcement. The contracting officer as receiving official shall mark all proposals with a control number and the date officially received. He/she shall notify each applicant of the receipt of their proposal.

(3) Approving the Grant Program Manager’s Technical Evaluation Plan, which describes in detail the evaluation process for a competitive grant/cooperative agreement program. The contracting officer shall ensure the openness and fairness of the evaluation and selection process.

(4) Serving in an advisory capacity at peer review panel meetings. He/she shall interpret grant management policies to panel members.

(5) Notifying grant program applicants whether or not they were selected for funding or of any other disposition of their proposal.

(6) Negotiating, as necessary, the final grant budget.

(7) Issuing grant awards and revisions to awards.

(8) Approving invoice payments.

(9) Receiving all requests for changes to an award. The contracting officer shall serve as the mandatory control point for all official communications with the grantee which may result in changing the amount of the grant/cooperative agreement, the grant/cooperative agreement budget, or any other terms and conditions of the grant.

(10) Receiving financial reports required by the terms and conditions of the award.

(11) Closing out grant/cooperative agreement awards when all applicable award requirements have been complied with.

5. Reporting Requirements A. Requirement reports/documents The Principal Investigator is required to submit the following reports or documents:

Report/Document

No. of Copies and Method of Transmittal

Submit To

When Due

(1) For collection inventory:

on-line collection inventory form Submit records describing collections using Data Provider Dashboard, information available at: https://www.usgs.gov/core- science-systems/national- geological-and-geophysical- data-preservation-program/ndc-dashboard

below.

B. Report preparation instructions

The Recipient must prepare the reports/documents in accordance with the following instructions:

(1) Collection Inventory. The recipient must submit records for collections to the NDC. Record entry must be completed within 90 calendar days after the end of the project period. NGGDPP will provide required metadata attributes for collection level metadata, as well as upload and/or access protocols, by email and website no later than May 1, 2022.

(2) Metadata for the National Digital Catalog. Digital metadata files describing individual samples in collections, including data converted to digital format, rescued and preserved materials, and assets applicable to Priority 2 objectives to identify critical mineral resources (reports, documents, data files, databases), must be submitted to the National Digital Catalog. Record entry must be completed within 90 calendar days after the end of the project period. NGGDPP will provide required metadata attributes for metadata, as well as upload and/or access protocols, by website no later than May 1, 2022.

(3) Geologic Maps. For providing geologic maps preserved in Geologic Mapping Schema (GeMS) format (https://ngmdb.usgs.gov/Info/standards/GeMS) to the National Geologic Map Database, please consult Dave Soller, the NGMDB Project Chief (drsoller@usgs.gov), or send inquiries to ngmdb@usgs.gov. Documentation of the submittal should be provided to the general NGGDPP email box at nggdpp@usgs.gov.

(4) Priority 2, Focus Area Documentation. Compiled geospatial representation(s) of areas that delineate prospective areas or geologic belts (polygons and/or points) with the potential for hosting critical mineral resources together with supporting datasets must be submitted to the Earth MRI Confluence site with confirmation of submittal to the general NGGDPP email box at nggdpp@usgs.gov by December 1, 2022.

(5) Priority 2, Mineral Deposits and Districts. Compiled mineral districtus and deposit map files applicable to Priority 2 requirements must be emailed to the USMIN representative, Nick Karl (nkarl@usgs.gov) and the general NGGDPP email box at nggdp@usgs.gov.

(6) All Project Awards. The final technical report must document and summarize the results of the work and is limited to no more than five pages. This report must contain a comparison of actual accomplishments to the goals established for the period; reasons why established goals were not met, if applicable; and other pertinent information. The final report must be submitted within 90 calendar days of the end of the project period.

(a) Submit the final technical report electronically as an Adobe Acrobat PDF file e- mail attachment to: nggdpp@usgs.gov with a copy of the transmittal sent to Margaret Eastman atmrussell@usgs.gov.

(b) Final technical reports must consist of the following sections:

· Cover page with the following information:

a. Award Number

b. Title

c. Author and affiliation with address and zip code

d. Author's telephone number and e-mail address

e. Term covered by the award (start and end dates)

f. Submittal date of final technical report

g. Abstract

· Main body of the report with the following information:

a. Comparison of actual accomplishments to the goals established for the period.

b. If established goals were not met, explanation of circumstancesand impediments.

c. Specific examples of user success stories and/or other societal benefits that highlight accomplishments in this project.

A recommended, but not required Final Technical Report template is available on the NGGDPP site with guidance within the document accessed at: https://www.sciencebase.gov/catalog/file/get/5baa94ade4b08583a5cd878e?name=FinalTechnicalReport_Template.docx .

The final technical report is limited to no more than five pages. A final technical report must be submitted within 90 days after the end of the grant performance period. Failure to submit a final technical report may hinder receipt of future NGGDPP funds. Final technical reports shall be submitted electronically to the general NGGDPP email box, nggdpp@usgs.gov. A courtesy copy shall be submitted to Margaret Eastman, USGS Contract Specialist, mrussell@usgs.gov.

(7) Publications 2.

(a) Acknowledgment of Support

Recipient is responsible for assuring that an acknowledgment of USGS support:

1. is made in any publication (including World Wide Web pages) of any material based onor developed under this Grant, in the following terms:

“This material is based upon work supported by the U.S. Geological Survey under Grant No. (insert award number).”

2. is orally acknowledged during all news media interviews, including popular media such as radio, television and news magazines.

(b) Disclaimer

Recipient is responsible for assuring that every publication of material (including World Wide Web pages) based on or developed under this Grant, contains the following disclaimer:

“The views and conclusions contained in this document are those of the authors and should not be interpreted as representing the opinions or policies of the U.S. Geological Survey. Mention of trade names or commercial products does not constitute their endorsement by the U.S. Geological Survey.”

(c) Publication

Publication of the results of any project carried out under this assistance award is authorized in professional journals, trade magazines, or may be made by the USGS. Such manuscripts or publications submitted to journals or professional publications for publication shall be accompanied by the following notation:

“This manuscript is submitted for publication with the understanding that the United States Government is authorized to reproduce and distribute reprints for Governmental purposes.”

(d) Copies for USGS

Recipient is responsible for assuring that the USGS Project Office is provided a digital version, preferably as a MS Word DOCx file, of every accepted manuscript upon acceptance for publication by the journal.

Submit an Adobe Acrobat PDF file of publications to: gd-erp-coordinator@usgs.gov

(e) USGS Logo Use of the USGS logo (also known as "visual identity" or "identifier") constitutes the recipient’s Agreement to and acceptance of the following terms:

· The USGS identifier is trademarked and not in the public domin.

· Use of the trademarked USGS identifier is authorized by USGS for use only by recipient’s of USGS funding.

· Use is authoritzed on information products that result from research funded by the financial assistance award.

· Use the USGS identifier for any other purpose without written permission from USGS is prohibited; doing so constitutes trademark infringement.

· Recipient will adhere to the design requirements, which are as follows:

· The USGS identifier must appear in black, white, or green only.

· The USGS identifier cannot be modified in any way except for proportional sizing.

· The USGS identifier should appear at the same size as logos of other agencies, if any.

· If used on a digital product, the USGS identifier should link to www.usgs.gov

(f) Department of the Interior Requirements

Two copies of each publication produced under a Grant or Cooperative Agreement shall be sent to the Natural Resources Library with a transmittal that identifies the sender and the publication. The address of the library is:

U.S. Department of the Interior Natural Resources Library Division of Information and Library Services Gifts and Exchange Section 18th and C Streets, NW Washington, DC 20240

(7) Final Federal Financial Report

A Recipient's failure to submit the required final technical report and final financial report will likely result in delay or non-issuance of new awards.

6. Adherence to Original Research Objective and Budget Estimate

Any commitments or expenditures incurred by the Recipient in excess of the funds provided by this award shall be the responsibility of the Recipient. Expenditures incurred prior to the effective date of this award cannot be charged against award funds.

7. Revisions and Prior Approvals Modifications to this award shall generally be executed by mutual written consent of the parties, with the exception of certain purely administrative changes that may be executed unilaterally by the USGS. Recipients may make certain limited budgetary and programmatic changes without prior USGS approval as outlined in 2 CFR 200.308 and 200.407. Any proposed change which requires prior written approval of the USGS shall be submitted in writing to the Contracting Officer to the address at 2. above at least thirty (30) days prior to the requested effective date of the proposed change. The USGS will respond to the change request within thirty (30) days of receipt.

A. Extensions. Recipients are specifically advised that requests for extension or other change to the budget or project period(s) require prior written approval. Such requests must be submitted as outlined above and be accompanied by a statement supporting the extension and a revised budget indicating the planned use of all unexpended funds during the proposed extensionperiod.

B. Transfer of Funds. Recipients are specifically advised that prior written approval of the USGS Contracting Officer is not required for transfer of funds between direct cost categories when the cumulative amount of the transfer during the performance period does not exceed ten percent (10%) of the total USGS award. Prior written approval is required from the USGS Contracting Officer for transfers of funds in excess of the ten percent limitation.

8. Government Furnished Equipment or Equipment Authorized for Purchase

Title to equipment acquired wholly or in part with Federal funds shall be vested in the Recipient unless otherwise specified in the award document. The Recipient shall retain control and maintain an inventory of such equipment as long as there is a need for such equipment to accomplish the purpose of the project, whether or not the project continues to be supported by Federal funds. When there is no longer a need for such equipment to accomplish the purpose of the project, the Recipient shall use the equipment in connection with other Federal awards the Recipient has received. Disposal of equipment shall be in accordance with 2 CFR 200.313.

To be determined

9. Pre-Agreement Costs

Pre-agreement costs are not authorized under this program. Costs must be obligated during the project period.

10. Administrative Requrements

The Recipient shall be subject to the following regulations, which are incorporated herein by reference. Copies of these regulations can be obtained from the Internet at: https://www.ecfr.gov/

2 CFR Part 200, Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards, as implemented by the Department of the Interior in 2 CFR Part 1402 and 43 CFR Part 12.

11. Department of the Interior Standard Terms and Conditions

The Recipient shall be subject to the Department of the Interior Standard Terms and Conditions which are incorporated herein by reference and available on the Internet at: https://www.doi.gov/grants/doi-standard-terms-and-conditions

12. Additional Terms and Conditions A. Research Integrity

1) USGS requires that all grant or cooperative agreement Recipient organizations adhere to the Federal Policy on Research Misconduct, Office of Science and Technology Policy, December 6, 2000, 65 Federal Register (FR) 76260. The Federal Policy on Research Misconduct outlines requirements for addressing allegations of research misconduct, including the investigation, adjudication, and appeal of allegations of research misconduct and the implementation of appropriate administrative actions.

2) The Recipient must promptly notify the USGS Project Office when research misconduct that warrants an investigation pursuant to the Federal Policy on Research Misconduct is alleged.

B. Data Availability

1) Applicability. The Department of the Interior is committed to basing its decisions on the best available science and providing the American people with enough information to thoughtfully and substantively evaluate the data, methodology, and analysis used by the Department to inform its decisions.

2) Use of Data. The regulations at 2 CFR 200.315 apply to data produced under a Federal award, including the provision that the Federal Government has the right to obtain, reproduce, publish, or otherwise use the data produced under a Federal award as well as authorize others to receive, reproduce, publish, or otherwise use such data for Federal purposes.

3) Availability of Data. The recipient shall make the data produced under this award and any subaward(s) available to the Government for public release, consistent with applicable law, to allow meaningful third party evaluation and reproduction of the following:

a. The scientific data relied upon;

b. The analysis replied upon; and

c. The methodology, including models, use to gather and analyze the data.

C. Conflict of Interest

1) Applicability.

a. This section intends to ensure that non-Federal entities and their employees take appropriate steps to avoid conflicts of interest in their responsibilities under or with respect to Federal financial assistance agreements.

b. In the procurement of supplies, equipment, construction, and services by recipients and by subrecipients, the conflict of interest provisions in 2 CFR 200.318 apply.

2) Requirements.

a. Non-Federal entities must avoid prohibited conflicts of interest, including any significant financial interests that could cause a reasonable person to question the recipient’s ability to provide impartial, technically sound, and objective performance under or with respect to a Federal financial assistance agreement.

b. In addition to any other probations that may apply with respect to conflicts of interest, no key official of an actual or proposed recipient or subrecipient, who is substantially involved in the proposal or project, may have been a former Federal employee who, within the last one (1) year, participated personally and substantially in the evaluation, award, or administration of an award with respect to that recipient or subrecipient or in development of the requirement leading to the funding announcement.

c. No actual or prospective recipient or subrecipient may solicit, obtain, or use non-public information regarding the evaluation, award, or administration of an award to that recipient or subrecipient or the development of a Federal financial assistance opportunity that may be of competitive interest to that recipient or subrecipient.

3) Notification.

a. Non-Federal entities, including applicants for financial assistance awards, must disclose in writing any conflict of interest to the DOI awarding agency or pass-through entity in accordance with 2 CFR 200.112, Conflicts of Interest.

b. Recipients must establish internal controls that include, at a minimum, procedures to identify, disclose, and mitigate or eliminate identified conflicts of interest. The recipient is responsible for notifying the USGS Grants Management Official in writing of any conflicts of interest that may arise during the life of the award, including those that have been reported by subrecipients.

4) Restrictions on Lobbying. Non-Federal entities are strictly prohibited from using funds under this grant or cooperative agreement for lobbying activities and must provide the required certifications and disclosures pursuant to 43 CFR Part 18 and 31 USC 1352.

5) Review Procedures. The USGS Grants Management Official will examine each conflict of interest disclosure on the basis of its particular facts and the nature of the proposed grant or cooperative agreement, and will determine whether a significant potential conflict exists and, if it does, develop and appropriate means for resolving it.

6) Enforcement. Failure to resolve conflicts of interest in a matter that satisfies the Government may be cause for termination of the award. Failure to make required disclosures may result in any of remedies described in 2 CFR 200.338, Remedies for Noncompliance, including suspension or debarment (see also 2 CFR Part 180).

Insert the following award term if the recipient is an individual, small business, non-profit organization, university or other institution of higher education. This award term does not apply to State, Local or Tribal governments or foreign entities.

E. Patent Rights (37 CFR § 401.14)

Unless otherwise provided in the Agreement, if this Agreement is for experimental, developmental, or research work, the following clause (implementing the Bayh-Dole Act, [35 U.S.C. § 200 et seq.]) shall apply. The recipient shall include this clause in all subawards for experimental, developmental, or research activities.

a. Definitions

(a) license or assign whatever rights it may acquire in the subject invention to the nonprofit organization, small business firm, or non-Federal inventor in accordance with the provisions of this chapter; or

(b) acquire any rights in the subject invention from the nonprofit organization, small business firm, or non-Federal inventor, but only to the extent the party from whom the rights are acquired voluntarily enters into the transaction and no other transaction under this chapter is conditioned on such acquisition.

With respect to any subject invention in which the recipient retains title, the Federal Government shall have a non-exclusive, nontransferable, irrevocable, paid-up license to practice or have practiced for or on behalf of the U.S. the subject invention throughout the world. If the Agreement indicates it is subject to an identified international agreement or treaty, the U.S. Geological Survey (USGS) also has the right to direct the recipient to convey to any foreign participant such patent rights to subject inventions as are required to comply with that agreement or treaty.

2. If the recipient performs services at a Government owned and operated laboratory or at a Government owned and recipient operated laboratory directed by the Government to fulfill the Government's obligations under a Cooperative Research and Development Agreement (CRADA) authorized by 15 U.S.C. 3710a, the Government may require the recipient to negotiate an agreement with the CRADA collaborating party or parties regarding the allocation of rights to any subject invention the recipient makes, solely or jointly, under the CRADA. The agreement shall be negotiated prior to the recipient undertaking the CRADA work or, with the permission of the Government, upon the identification of a subject invention. In the absence of such an agreement, the recipient agrees to grant the collaborating party or parties an option for a license in its inventions of the same scope and terms set forth in the CRADA for inventions made by the Government.

If a known CRADA exists between the USGS and the recipient, include the CRADE as an attachment and include the following paragraph following b.2.:

USGS has determined that use of alternate paragraph (b) in the preceding clause is required to meet USGS’ obligations under (identify CRADA). This determination may be appealed in accordance with 37 CFR 401.4. Recipient agrees that the work performed under this Agreement is directed by USGS to meet the obligations under the CRADA. Recipient further agrees to grant licenses to the government and (insert additional CRADA partner names, if applicable) as necessary to meet USGS’ obligations under the CRADA.

d. Conditions When the Government May Obtain Title The recipient will convey to USGS, upon written request, title to any subject invention:

h. Reporting on Utilization of Subject Inventions The recipient agrees to submit on request periodic reports no more frequently than annually on the utilization of a subject invention or on efforts at obtaining such utilization that are being made by the recipient or its licensees or assignees. Such reports shall include information regarding the status of development, date of first commercial sale or use, gross royalties received by the recipient and such other data and information as USGS may reasonably specify. The recipient also agrees to provide additional reports in connection with any march-in proceeding undertaken by USGS in accordance with paragraph j. of this Patent Rights clause. As required by 35 U.S.C. § 202(c)(5), USGS agrees it will not disclose such information to persons outside the Government without the permission of the recipient.

i. Preference for United States Industry Notwithstanding any other provision of this Patent Rights clause, the recipient agrees that neither it nor any assignee will grant to any person the exclusive right to use or sell any subject invention in the U.S. unless such person agrees that any products embodying the subject invention or produced through the use of the subject invention will be manufactured substantially in the U.S. However, in individual cases, the requirement for such an agreement may be waived by USGS upon a showing by the recipient or its assignee that reasonable but unsuccessful efforts have been made to award licenses on similar terms to potential licensees that would be likely to manufacture substantially in the U.S. or that under the circumstances domestic manufacture is not commercially feasible.

j. March-in Rights The recipient agrees that with respect to any subject invention in which it has acquired title, USGS has the right in accordance with procedures at 37 CFR § 401.6 and USGS regulations at 45 CFR § 650.13 to require the recipient, an assignee or exclusive licensee of a subject invention to grant a non-exclusive, partially exclusive, or exclusive license in any field of use to a responsible applicant or applicants, upon terms that are reasonable under the circumstances and if the recipient, assignee, or exclusive licensee refuses such a request, USGS has the right to grant such a license itself if USGS determines that:

k. Special Provisions for Agreements with Non-profit Organizations If the recipient is a nonprofit organization, it agrees that:

l. Communications All communications required by this Patent Rights clause must be submitted through the Office of Policy and Analysis (OPA), U.S. Geological Survey, Reston, VA 20192, gs_usgs_patents@usgs.gov.

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