Research Terms And Conditions Appendix C

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Research Terms and ConditionsAppendix CNATIONAL POLICY REQUIREMENTS MATRIXThis listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.Statutory/Regulatory/and Executive Based RequirementsNational Policy RequirementsApplicable to all research agencies:Used For:Type of AwardRequirement(s) that should be noted by the recipientType of RecipientSpecific SituationCAT Name:a) NondiscriminationBy signing or accepting funds under the agreement, the recipientagrees that it will comply with applicable provisions of thefollowing, national policies prohibiting discrimination:a. On the basis of race, color, or national origin, in Title VI of the Grants, cooperativeCivil Rights Act of 1964 (42 U.S.C. 2000d, et seq.), as implemented agreements, and otherby:financial assistanceNSF at 45 CFR Part 611NASA at 14 CFR Part 1250DOE at 10 CFR Part 1040USDA at 7 CFR Part 15DOC at 15 CFR Part 8HHS at 45 CFR Part 80 & 81b. On the basis of race, color, religion, sex, or national origin, inExecutive Order 11246 [3 CFR, 1964-1965 Comp., p. 339], asimplemented by Department of Labor regulations at 41 CFR Part60.c. On the basis of sex or blindness, in Title IX of the EducationAmendments of 1972 (20 U.S.C. 1681, et seq.).NSF 45 CFR Part 618DOE at 10 CFR Part 1040DOC at 15 CFR Part 8aHHS at 45 CFR Part 86NASA at 14 CFR Part 1253d. On the basis of age, in the Age Discrimination Act of 1975 (42U.S.C. 6101, et seq.), as implemented by Department of Healthand Human Services regulations at 45 CFR part 90.USDA at 7 CFR Part 15bNSF at 45 CFR Part 617NASA at 14 CFR Part 1252DOE at 10 CFR Part 1040HHS at 45 CFR Part 90 & 91DOC at 15 CFR Part 20November 12, 2020AllAllThe following regulations require the recipient to flow down requirementsto subrecipients.NSF at 45 CFR Part 611NASA at 14 CFR Part 1250DOE at 10 CFR Part 1040USDA at 7 CFR Part 15DOC at 15 CFR Part 8HHS at 45 CFR Part 80 & 81Grants, cooperativeagreements, and otherprime awards defined at 40CFR 60-1.3 as “Federallyassisted constructioncontract.”Grants, cooperativeagreements, and otherfinancial assistanceincluded at 20 U.S.C. 1682.AllGrants, cooperativeagreements, and otherawards defined at 45 CFR90.4 as “Federal financialassistance.”AllAwards under whichconstruction is to be done.41 CFR 60-1.4(b) prescribes a clause that recipients must include infederally assisted, construction awards and subawards [60-1.4(d) allowsincorporation by reference]. This requirement also is at: 32 CFR 33.36(I)(3) and at paragraphs 1. of Appendices A to 32 CFR Part 32 and 32 CFR Part34.Educational institution [for All educational program orsex discrimination, excepts activity receiving Federalall Institution controlled by financial assistance.religious organization,when inconsistent with theorganization’s religioustenets].All45 CFR 90.4 requires the recipient to flow down requirements tosubrecipients [definition of “recipient” at 45 CFR 90.4 includes entities towhich assistance is extended indirectly, through another recipient].Page 1 of 18

Research Terms and ConditionsAppendix CNATIONAL POLICY REQUIREMENTS MATRIXThis listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.Statutory/Regulatory/and Executive Based RequirementsUsed For:National Policy RequirementsApplicable to all research agencies:Type of AwardRequirement(s) that should be noted by the recipientType of Recipiente. On the basis of handicap, in:Grants, cooperativeAllagreements, and other1. Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), as awards included in “Federalimplemented by Department of Justice regulations at 28 CFR Part financial assistance”41 andSpecific SituationAllRequirements flow down to subawards [“recipient,” includes entitiesreceiving assistance indirectly through other recipients].DOC at 15 CFR Part 8bNSF at 45 CFR Part 605NASA at 14 CFR Part 1251DOE at 10 CFR Part 1040USDA at 7 CFR Part 15bHHS at 45 CFR Part 84 & 852. The Architectural Barriers Act of 1968 (42 U.S.C. 4151, et seq.). Grant or loanAll3. Americans with Disabilities ActAllAll42 USC 12101 et. seqf. On the basis of religion, in Executive Order 13798 and theAttorney General’s Memorandum of October 6, 2017, asimplemented at 2 CFR 200.300.AllAllAllAllAllResearch, development, test, Requirements flow down to subrecipientsor evaluation involving livehuman subjects, with someexceptions [see agencyimplementations forexemptions.Construction or alteration ofbuildings or facilities, exceptthose restricted to use only byable-bodied uniformedpersonnel.CAT Name:b) Live OrganismsBy signing or accepting funds under the agreement, the recipientassures that it will comply with applicable provisions of thefollowing national policies concerning live organisms:1. For human subjects:a. For human subjects, the Common Federal Policy for theProtection of Human Subjects. Codified by the:DOC at 15 CFR Part 27DHHS at 45 CFR Part 46NSF at 45 CFR Part 690NASA at 14 CFR Part 1230DOE at 10 CFR Part 745USDA at 7 CFR Part 1cNovember 12, 2020Page 2 of 18

Research Terms and ConditionsAppendix CNATIONAL POLICY REQUIREMENTS MATRIXThis listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.Statutory/Regulatory/and Executive Based RequirementsUsed For:National Policy RequirementsApplicable to all research agencies:b. Human Stem Cell ResearchType of AwardAs applicableType of RecipientAllRequirement(s) that should be noted by the recipientSpecific SituationResearch involving HumanStem CellsIn accordance with the President's Executive Order 13505 ofMarch 9, 2009, and July 30, 2009 Memorandum for the Heads ofExecutive Departments and Agencies. See NIH Guidelines forHuman Stem Cell Research, July 7, 2009.Other regulations that may apply:HHS Human Subjects Protection Regulation, 45 CFR Pt 46FDA Regulations governing INDs or IDEs (Title 21 CFR Parts 312 or812)FDA IRB & informed consent regulations (Title 21 CFR Parts 50 &56)Research on Transplantation of Fetal Tissue (PHS Act 489A)c. P.L. 104-191 Health Insurance Portability and AccountabilityAs applicableAct (HIPAA)45 CFR Part 160 and Subparts A and E of Part 164 Subpart C to beeffective 4/20/2005 (Security)2. For animals:Alla. Rules on animal acquisition, transport, care, handling, and use Allin: (i) 9 CFR Parts 1-4, Department of Agriculture rules thatimplement the Laboratory Animal Welfare Act of 1966 (7USC. 2131-2156). Public Health Service Agencies must followrequirements in the PHS Policy on Humane Care and Use ofLaboratory Animals, which implements PL 99-158, Sec. 495. NASArequirements for animal welfare are set forth at 14 CFR Part 1232EPA at 40 CFR Part 40. For USDA/CSREES, "In the case of domesticfarm animals housed under farm conditions, the institution shouldadhere to the principles stated in the Guide for the Care and Useof Agricultural Animals in Agriculture and Teaching, Federation ofAnimal Science Societies, 1999."b. Rules of the Departments of Interior (50 CFR Parts 10-24) and AllCommerce (50 CFR Parts 217-227) implementing laws andconventions on the taking, possession, transport, purchase, sale,export, or import of wildlife and plants, including the: EndangeredSpecies Act of 1973 (16 U.S.C. 1531-1543); Marine MammalProtection Act (16 U.S.C. 1361-1384); Lacey Act (18 U.S.C. 42); andConvention on International Trade in Endangered Species of WildFauna and Flora.November 12, 2020NIH Guidelines and Registry of cell lines meeting the Federal requirementsare found at: http://stemcells.nih.gov/Other Federal, State or Local laws may also applyCovered EntitiesAs applicableAllAllResearch, experimentation, ortesting involving the use ofanimals USDA regulationsexempt birds, most rats andmice bred for research, andfarm animals used foragricultural research.AllActivities which may involveor impact wildlife and plants.Limits uses of protected health information (PHI) collected or maintainedby researchers within a covered entity or access to PHI from a coveredentity. Research uses do not require Business Associate Agreements(defined at 45 CFR part 164 504 (e)(1) between collaborating institutions.Guidance available at http://privacyruleandresearch.nih.gov/Requirements flow down to subrecipientsPage 3 of 18

Research Terms and ConditionsAppendix CNATIONAL POLICY REQUIREMENTS MATRIXThis listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.Statutory/Regulatory/and Executive Based RequirementsUsed For:National Policy RequirementsApplicable to all research agencies:Type of AwardType of RecipientRequirement(s) that should be noted by the recipientSpecific SituationCAT Name:c) Environmental StandardsBy signing the agreement or accepting funds under thisagreement, the recipient assures that it will:1. Comply with applicable provisions of the Clean Air Act (42 U.S.C. All7401, et. Seq.) and Clean Water Act (33 U.S.C. 1251, et. seq.), asimplemented by Executive Order 11738 [3 CFR, 1971-1975 Comp.,p. 799]2. Identify to the awarding agency all impact this award may haveon:a. The quality of the human environment, and provide help theAllagency may need to comply with the National EnvironmentalPolicy Act (NEPA, at 42 U.S.C. 4321, et. seq.) and to prepareEnvironmental Impact Statements or other requiredenvironmental documentation. In such cases, the recipient agreesto take no action that will have an adverse environmental impact(e.g., physical disturbance of a site such as breaking of ground)until the agency provides written notification of compliance withthe environmental impact analysis process.NSF at 45 CFR Part 640DOE at 10 CFR Part 1021NASA at 14 CFR Part 1216USDA at 7 CFR Part 3407b. Flood-prone areas, and provide help the agency may need tocomply with the National Flood Insurance Act of 1968 and FloodDisaster Protection Act of 1973 (42 U.S.C. 4001, et. seq.), whichrequire flood insurance, when available, for Federally assistedconstruction or acquisition in flood-prone areas.AllUSDA at 7 CFR 3105.205(b)(11)DOE at 10 CFR Part 1022c. Coastal barriers, and provide help the agency may need toGrants, cooperativecomply with the Coastal Barriers Resource Act (16 U.S.C. 3501, et. agreements, and otherseq.), concerning preservation of barrier resources.“financial assistance” (see42 U.S.C. 4003).November 12, 2020AllAll, for Clean Air Act, CleanWater Act, and ExecutiveOrder 11738.Requirements flow down to subrecipientsAllAll actions that may affect theenvironmentAllAwards involving construction, The Council on Environmental Quality’s regulations for implementing NEPAland acquisition orare at 40 C.F.R. Parts 1500-1508. Executive Order 11514 [3 CFR, 1966-1970development, with someComp., p. 902], as amended by Executive Order 11991, sets policies andexceptions [see 42 U.S.C.procedures for considering actions in the U.S. Executive Orders 11988 [34001, et. seq.].CFR, 1977 Comp., p. 117] and 11990 [3 CFR, 1977 Comp., p. 121] specifyadditional considerations, when actions involve floodplains or wetlands,respectively.AllAwards that may affectbarriers along the Atlantic andGulf coasts and Great Lakes’shores42 U.S.C. 4012a prohibits awards for acquisition or construction in floodprone areas (Federal Emergency Management Agency publishes lists ofsuch areas in the Federal Register), unless recipient has requiredinsurance. If action is in a floodplain, Executive Order 11988 [3 CFR, 1977Comp., p. 117] specifies additional pre-award procedures for Federalagencies. Recipients are to apply requirements to subawards (“financialassistance,” defined at 42 U.S.C. 4003, includes indirect Federalassistance).Page 4 of 18

Research Terms and ConditionsAppendix CNATIONAL POLICY REQUIREMENTS MATRIXThis listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.Statutory/Regulatory/and Executive Based RequirementsUsed For:National Policy RequirementsApplicable to all research agencies:d. All existing or proposed component of the National Wild andScenic Rivers system, and provide help the agency may need tocomply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C.1271, et seq.).e. Underground sources of drinking water in areas that have anaquifer that is the sole or principal drinking water source, andprovide help the agency may need to comply with the SafeDrinking Water Act (42 U.S.C. 300h-3).3. Resource Conservation and Recovery ActType of AwardType of RecipientRequirement(s) that should be noted by the recipientSpecific SituationGrants, cooperativeagreements, and other“financial assistance” (see16 U.S.C. 3502).AllAllAllAwards to states or apolitical subdivision of astate (which for thispurpose includes state andlocal institutions of highereducation or hospitals)Awards to states or aPurchase of items designatedpolitical subdivision of awithin the regulations at 40state (which for thisCFR 247 using federal funds.purpose includes state andlocal institutions of highereducation or hospitals)42 USC 69014. Procurement of items made with recovered materials pursuant Allto section 6002 of the Solid Waste Disposal Act, as amended bythe Resource Conservation and Recovery Act of 1976, as amended,and Executive Order 12873.EPA at 40 CFR 247, 2 CFR 200.323AllAwards that may affectexisting or proposed elementof National Wild and ScenicRivers system.Construction in All area withaquifer that the EPA findswould create public healthhazard, if contaminated.Requirements flow to subawards (16 U.S.C. 3502 includes indirectassistance as “financial assistance”).42 U.S.C. 300h-3(e) precludes awards of Federal financial assistance for Allproject that the EPA administrator determines may contaminate a solesource aquifer so as to threaten public healthCAT Name:d) Health & Safety GuidelinesBy signing the agreement or accepting funds under thisagreement, the recipient assures it will comply with the followingrequirements:1. Applicable OSHA Standards in LaboratoriesAllAll2. Handling and transport of etiologic agentsAllAll3. Biosafety standards in microbiological and biomedicallaboratoriesAllAllMicrobiological andbiomedical research4. Controlled SubstancesAllAll5. Disposal of high-level radioactive waste and spent nuclear fuel. AllNote however, that some States are exempt if they haveestablished separate requirements.AllResearch involving controlledsubstancesResearch involving radioactivewaste and spent nuclear fuelNovember 12, 2020Research involving use ofhazardous chemicals orbloodborne pathogensResearch involving etiologicagents29 CFR 1910.1030 Bloodborne Pathogens; 29 CFR 1910.1450, OccupationalExposure to Hazardous Chemicals in LaboratoriesProcedures for Domestic Handling and Transport of Diagnostic Specimensand Etiologic Agents, 1994 (3rd ed.), H5a3doc.75, National Committee forClinical Laboratory StandardsBiosafety in Microbiological and Biomedical Laboratories; 5th mbl5/index.htmDrug Enforcement Administration (DEA) registration, inspection andcertificationNuclear Regulatory Commission Standard and Regulation, pursuant to theEnergy Reorganization Act of 1974, (42 USC, 5801, et seq.)Page 5 of 18

Research Terms and ConditionsAppendix CNATIONAL POLICY REQUIREMENTS MATRIXThis listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.Statutory/Regulatory/and Executive Based RequirementsUsed For:National Policy RequirementsApplicable to all research agencies:Type of AwardType of Recipient6. Investigational New Drug ApplicationsAllAll7. Hotel and Motel Fire Safety Act of 1990 - P.L. 101-39Conference or meetingsupportAllAllAllAllAll8. Labor Standards under Federally Assisted Construction:Construction Work Hours and Safety Standards Act9. Text Messaging While Driving - EO 1351310. Increasing Seat Belt Use in the United States Executive Order Grants and Cooperative13043,AgreementsIncreasing Seat Belt Use in the United States, dated, April 16, 1997All11. Dual Use Research of ConcernAllAllRequirement(s) that should be noted by the recipientSpecific SituationAll clinical trial investigationsof products that are subject tosection 505 or 507 of theFederal Food, Drug, andCosmetic Act or to thelicensing provisions of the PHSAct (58 Stat. 632, as amended(42 USC 201, et seq.)Alterations and Renovations 500,000Alterations and Renovations 500,000When performing work for oron behalf of governmentLife Sciences awardsFood and Drug Administration (FDA), 21 CFR parts 50 and 31240 USC 327-33340 USC 327-333Adopt and enforce policies that ban text messaging while driving.In accordance with the Executive Order, “grantees are encouraged toadopt and enforce on-the-job seat belt policies and programs for theiremployees when operating company-owned, rented, or personally uments/us-policy-durc-032812.pdfCAT Name:e) National Security GuidelinesBy signing the agreement or accepting funds under thisagreement, the recipient assures it will comply with the followingrequirements:November 12, 2020Page 6 of 18

Research Terms and ConditionsAppendix CNATIONAL POLICY REQUIREMENTS MATRIXThis listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.Statutory/Regulatory/and Executive Based RequirementsNational Policy RequirementsApplicable to all research agencies:1. Executive Order 13224, Blocking Property and ProhibitingAllTransactions with Persons who Commit, Threaten to Commit, orSupport Terrorism, dated September 23, 2001. Executive Order13224 gives the U.S. government a powerful tool to impedeterrorist funding and is part of our national commitment to leadthe international effort to bring a halt to the evil of terroristactivity. President Bush issued Executive Order 13224 pursuant tothe authorities of the International Emergency Economic PowersAct (50 U.S.C. 1701 et seq.)(IEEPA), the National Emergencies Act(50 U.S.C. 1601 et seq.), section 5 of the United NationsParticipation Act of 1945, as amended (22 U.S.C. 287c)(UNPA), andsection 301 of title 3, United States Code.November 12, 2020Used For:Type of AwardType of RecipientRequirement(s) that should be noted by the recipientSpecific SituationIn general terms, the Orderprovides a means by which todisrupt the financial supportnetwork for terrorists andterrorist organizations byauthorizing the U.S.government to designate andblock the assets of foreignindividuals and entities thatcommit, or pose a significantrisk of committing, acts ofterrorism. In addition, becauseof the pervasiveness andexpansiveness of the financialfoundations of foreignterrorists, the Orderauthorizes the U.S.government to block theassets of individuals andentities that provide support,services, or assistance to, orotherwise associate with,terrorists and terroristorganizations designatedunder the Order, as well astheir subsidiaries, frontorganizations, agents, andassociates.Page 7 of 18

Research Terms and ConditionsAppendix CNATIONAL POLICY REQUIREMENTS MATRIXThis listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.Statutory/Regulatory/and Executive Based RequirementsUsed For:National Policy RequirementsApplicable to all research agencies:2. Select Agents and ToxinsType of AwardAs applicableType of RecipientRequirement(s) that should be noted by the recipientSpecific SituationAllResearch with or storage ofSelect Agents and ToxinsAllDoes not apply to awardsperformed entirely within theUnited States.P.L. 107-188: Public Health Security & Bioterrorism PreparednessResponse Act of 2002, Title II sections 201-231P.L. 107-56 The USA Patriot Act of 2001 Section 175bwww.cdc.gov/od/sapCodified by the: HHS at 42 CFR Pt 73USDA at 7 CFR 331 and 9 CFR 121See also 15 CFR Chapter 7 for Export Administration Regulations(EAR)www.bxa.doc.gov and 49 CFR Pts 171 - 180 for transportationrequirements3. Executive Order 13526 Classified National Security Information: Allprescribes a uniform system for classifying, safeguarding, anddeclassifying national security information, including informationrelating to defense against transnational terrorism.4. Section 841 of the Carl Levin and Howard P. “Buck” McKeonAllNational Defense Authorization Act for Fiscal Year 2015, asamended, permits agencies to restrict, terminate, or void, inwhole or in part, awards where the Department of Defensenotifies the agency that the award is providing funds, includinggoods and services, to covered persons or entities within acovered combatant command.November 12, 2020Institution must be registered with CDC and or USDA prior to beginningwork with agents. Investigator must be licensed prior to begining work.NIH Term of Award includes notice that registration must be completebefore using NIH funds and that no funds may be used for Select AgentResearch if certification is denied.USDA inserts a term indicating that the grantee has primary responsibilityfor complying with Title II of the Public Health Security and BioterrorismPreparedness and Response Act of 2002, Public Law 107-188, and theregulations promulgated thereunder in 7 CFR Part 331, 9 CFR Part 121, and42 CFR Part 72. For guidance on a biosecurity plan that includes physicalsecurity of facilities and access controls to prevent unauthorized entriessee Departmental Manual 9610-1, USDA Security Policies and Proceduresfor Biosafety Level-3 Facilities (available viahttp://www.usda.gov/directives/index.html)Other State and Local regulations may applyPage 8 of 18

Research Terms and ConditionsAppendix CNATIONAL POLICY REQUIREMENTS MATRIXThis listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.Statutory/Regulatory/and Executive Based RequirementsNational Policy RequirementsApplicable to all research agencies:5. Section 889 of the National Defense Authorization Act (NDAA) Allfor Fiscal Year (FY) 2019 (Public Law 115-232) prohibits the use ofloan or grant funds to procure or obtain, extend, or renew acontract to procure or obtain, or enter into a contract (or extendor renew a contract) to procure or obtain the equipment, services,or systems prohibited systems as identified in section 889 of theNDAA for FY 2019.Government-wide implementation for assistance awards at 2 CFR200.216Used For:Type of AwardType of RecipientAllRequirement(s) that should be noted by the recipientSpecific Situation(Public Law 115-232) prohibits the head of an executive agency fromobligating or expending loan or grant funds to procure or obtain, extend,or renew a contract to procure or obtain, or enter into a contract (orextend or renew a contract) to procure or obtain the equipment, services,or systems as identified in section 889 of the NDAA for FY 2019.(a) In accordance with 2 CFR §200.216 and §200.471, for all awards thatare issued on or after August 13, 2020, recipients and subrecipients areprohibited from obligating or expending loan or grant funds to:(1) Procure or obtain;(2) Extend or renew a contract to procure or obtain; or(3) Enter into a contract (or extend or renew a contract) to procure orobtain equipment, services, or systems that uses coveredtelecommunications equipment or services as a substantial or essentialcomponent of any system, or as critical technology as part of any system.As described in Public Law 115-232, section 889, coveredtelecommunications equipment is telecommunications equipmentproduced by Huawei Technologies Company or ZTE Corporation (or anysubsidiary or affiliate of such entities).(i) For the purpose of public safety, security of government facilities,physical security surveillance of critical infrastructure, and other nationalsecurity purposes, video surveillance and telecommunications equipmentproduced by Hytera Communications Corporation, Hangzhou HikvisionDigital Technology Company, or Dahua Technology Company (or anysubsidiary or affiliate of such entities).(ii) Telecommunications or video surveillance services provided by suchentities or using such equipment.(iii) Telecommunications or video surveillance equipment or servicesproduced or provided by an entity that the Secretary of Defense, inconsultation with the Director of the National Intelligence or the Directorof the Federal Bureau of Investigation, reasonably believes to be an entityowned or controlled by, or otherwise connected to, the government of acovered foreign country.(b) In implementing the prohibition under Public Law 115-232, section889, subsection (f), paragraph (1), heads of executive agenciesadministering loan, grant, or subsidy programs shall prioritize availableNovember 12, 2020Page 9 of 18

Research Terms and ConditionsAppendix CNATIONAL POLICY REQUIREMENTS MATRIXThis listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.Statutory/Regulatory/and Executive Based RequirementsUsed For:National Policy RequirementsApplicable to all research agencies:Type of AwardRequirement(s) that should be noted by the recipientType of RecipientSpecific Situationfunding and technical support to assist affected businesses, institutionsand organizations as is reasonably necessary for those affected entities totransition from covered communications equipment and services, toprocure replacement equipment and services, and to ensure thatcommunications service to users and customers is sustained.(c) See Public Law 115-232, section 889 for additional information.CAT Name:f) General/Miscellaneous RequirementsBy signing or accepting funds under the agreement, the recipientagrees that will comply with the following general national policyrequirements:1. SAM Registration - 2 CFR Part 25AllRecipient only; does notapply to subrecipientsAllSAM registration must be renewed annually.DUNS number required at time of application2. Drug Free WorkplaceAllPublic Law 100-690, Title VDOC at 15 CFR Part 29HHS at 45 CFR Part 1882NSF at 45 CFR Part 630USDA at 2 CFR Part 421DOE at 2 CFR Part 902NASA at 2 CFR Part 18823. DUNS number - 2 CFR Part 25AllRecipient and 1st tiersubrecipienta. Civil False Claims ActAllAllAll31 USC 2739b. Criminal False Claims ActAllAllAll18 USC 287 and 100118 USC 287 and 1001c. Program Fraud and Civil Remedies and False Claims ActAllAllAll31 USC 3801, 45 CFR 7941 USC 701 et seq.4. False Claims Act Provisions31 USC 3801, 45 CFR 79November 12, 2020Page 10 of 18

Research Terms and ConditionsAppendix CNATIONAL POLICY REQUIREMENTS MATRIXThis listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.Statutory/Regulatory/and Executive Based RequirementsUsed For:National Policy RequirementsApplicable to all research agencies:5. Government-wide Debarment and Suspension(Nonprocurement)Type of AwardAllRequirement(s) that should be noted by the recipientType of RecipientSpecific SituationAll42 USC 1870 (a); Sec. 2455, PL 103-355, 108 Stat. 3327 (31 USC 6101 note);EO 12549 (3 CFR, 1986 Comp., p. 189); EO 12689 (3 CFR, 1989 Comp., p.235)USDA at 2 CFR Part 417NSF at 2 CFR Part 2520HHS at 2 CFR Part 376NASA at 2 CFR Part 1880DOC at 2 CFR Part 13266. Lobbying Prohibitions 31 USC 1352, stipulates that (1) NoAllFederal appropriated funds have been paid or will be paid, anyperson for influencing or attempting to influence an officer oremployee of any agency, a Member of Congress, an officer oremployee of Congress, or an employee of a Member of Congressin connection with the awarding of any Federal contract, themaking of any Federal grant, the making of any Federal loan, theentering into of any cooperative agreement, and the extension,continuation, renewal, amendment, or modification of any Federalcontract, grant, loan, or cooperative agreement. (2) If any fundsother than Federal apaporpriated funds have been paid or will bepaid to any person for influencing or attempting to influence anofficer or employee of any agency, a Member of Congress, anofficer or employee of Congress,or an employee of a Member ofCongress in connection with this Federal grant or cooperativeagreement, the undersigned shall complete and submit the SFForm LLL, "Disclosure of Lobbying Activities", in accordance withits instructions.31 USC 1352 requires the grantee to include certification language in theaward documents for all subawards at all tiers, including subcontracts,subgrants,DOC at 15 CFR Part 28NASA at 14 CFR Part 1271NSF at 45 CFR Part 604USDA at 2 CFR Part 418, 2 CFR 200DOE at 10 CFR Part 601HHS at 45 CFR Part 937. Metric SystemAllAllAll15 CFR Part 19, Subpart B15 USC 205 a-k and Executive Order 12770November 12, 2020Page 11 of 18

Research Terms and ConditionsAppendix CNATIONAL POLICY REQUIREMENTS MATRIXThis listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.Statutory/Regulatory/and Executive Based RequirementsUsed For:National Policy RequirementsApplicable to all research agencies:8. Misconduct in ScienceType of AwardRequirement(s) that should be noted by the recipientType of RecipientSpecific SituationAllAllAll[Federal

c. On the basis of sex or blindness, in Title IX of the Education Amendments of 1972 (20 U.S.C. 1681, et seq.). NSF 45 CFR Part 618 DOE at 10 CFR Part 1040 DOC at 15 CFR Part 8a HHS at 45 CFR Part 86 NASA at 14 CFR Part 1253 : Grants, cooperative agreements, and other financial assistance included at 20 U.S.C. 1682. Educational institution [for

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