Common use of Prior Approval Requirements Clause in Contracts

Prior Approval Requirements. ‌ a. Unless otherwise stated in the award notice, SBIR/STTR Phase II awardees must obtain NSF prior written approval as specified below and in the applicable prior approval matrix. Requests for NSF prior written approval specified in the applicable NSF Prior Approval Matrix must be submitted via the use of NSF’s electronic systems. Those prior approval requirements that do not already have a specific request type in NSF’s electronic systems must be submitted via use of the “Other” category in Xxxxxxxx.xxx. b. All requests for no cost extensions must be submitted in accordance with the procedures set forth in PAPPG Chapter VI.D.3.c.(ii)2 Awardee-approved extensions are not applicable to NSF cooperative agreements. c. NSF approval requirements (Change of Scope). Certain changes to the award that involve the 1 For purposes of the terms and conditions, the term Principal Investigator (PI) and co-PI also includes the term Project Director and co-Project Director. 2 Awardees are not authorized to extend an award that contains a zero balance. approved scope of work require NSF pre-approval. Such changes of scope include, but are not limited to: • Changes to any of the “key personnel”. Changes could include removal, substitution, or significantly reduced involvement (25% or more reduction in effort). Key personnel include any company employees listed on line A of the approved budget, any consultants listed on line G.5 of the approved budget, any subaward personnel listed on line A of a subaward budget, and/or anyone so named as a key person in the NSF award notice. • Reduction of the total level of project effort (as measured by the number of person-months of commitment by all company employees) of 25% or more. • Any purchase of equipment, not in the original approved budget, totaling $25,000 or more. • No item of equipment over $5,000, other than items identified in the approved budget, may be purchased without the advance written approval of the cognizant NSF Program Officer. • Adding or removing project subawards, or any significant reduction (25% or more) of the amount of an existing subaward. • Closure of the project with award funds (less the small business fee) unexpended. If the approved scope of work is completed with funds unspent (excluding the small business fee), the awardee is obligated to work with NSF to come to a mutually agreeable scope change before closing out the project. • Expenditure of any funds listed in the approved award budget for “Technical and Business Assistance” (TABA) activities, unless said activities were fully documented (including pricing documentation and information about the specific vendors to be used) in the Phase II proposal budget and included in the Phase II Administrative and Financial Capability review (see Article 13). • Reallocation of funds from TABA activities to other project costs (see Article Technical and Business Assistance Costs). • Expenditure of any award funds for travel costs for dependents of key project personnel. Such costs are only permitted under the conditions outlined in 2 CFR §474(c)(2). • Expenditure of funds for foreign travel or expenditure of funds on project activities to be carried out in foreign countries. Foreign travel is not permitted in SBIR/STTR awards except with a specific waiver from the cognizant NSF Program Officer. All work in SBIR/STTR awards must be carried out in the United States unless a waiver is granted by the cognizant NSF Program Officer. d. NSF approval requirements (Conflicts of Interest). NSF must approve allocations of funds or the addition of new personnel and/or organizations where certain pre-existing relationships are in place between the small business and the proposed new personnel and/or organizations. Cases where NSF approval is required include, but are not limited to: • New commitment (or reallocation) of funds to any employee or consultant who is a relative of any company owner, officer, director, or employee. In this context and as noted below, “relative” means an individual who is related as father, mother, son, daughter, brother, sister, uncle, aunt, first cousin, nephew, xxxxx, husband, wife, father-in-law, mother-in-law, son-in-law, daughter-in- law, brother-in-law, sister-in-law, stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister, half-brother, or half-sister. • New commitment (or reallocation) of funds to any organization with an owner, officer, director, or employee who is a relative of any owner, officer, director, or employee of the small business. • New commitment (or reallocation) of funds to any organization where a company owner, officer, director, or employee (or a relative thereof) is an owner, officer, director, employee, or otherwise has a significant financial interest.

Prior Approval Requirements. ‌ a. Unless otherwise stated in the award notice, SBIR/STTR Phase II awardees must obtain NSF prior written approval as specified below in these terms and conditions and in the applicable prior approval matrix. Requests for NSF prior written approval specified in the applicable NSF Prior Approval Matrix must be submitted via the use of NSF’s electronic systems. Those prior approval requirements that do not already have a specific request type in NSF’s electronic systems must be submitted via use of the “Other” category in Xxxxxxxx.xxx. b. All requests for no cost extensions must be submitted in accordance with the procedures set forth in PAPPG Chapter VI.D.3.c.(ii)2 VI.D.3.c.(ii) 2 Awardee-approved extensions are not applicable to NSF cooperative agreements. c. NSF approval requirements (Change of Scope). Certain changes to the award that involve the 1 For purposes of the terms and conditions, the term Principal Investigator (PI) and co-PI also includes the term Project Director and co-Project Director. 2 Awardees are not authorized to extend an award that contains a zero balance. c. NSF approval requirements (Change of Scope). Certain changes to the award that involve the approved scope of work require NSF pre-approval. Such changes of scope include, but are not limited to: • Changes to any of the “key personnel”. Changes could include removal, substitution, or significantly reduced involvement (25% or more reduction in effort). Key personnel include any company employees listed on line A of the approved budget, any consultants listed on line G.5 of the approved budget, any subaward personnel listed on line A of a subaward budget, and/or anyone so named as a key person in the NSF award notice. • Reduction of the total level of project effort (as measured by the number of person-months of commitment by all company employees) of 25% or more. • Any purchase of equipment, not in the original approved budget, totaling $25,000 or more. • No item of equipment over $5,000, other than items identified in the approved budget, may be purchased without the advance written approval of the cognizant NSF Program Officer. • Adding or removing project subawards, or any significant reduction (25% or more) of the amount of an existing subaward. • Closure of the project with award funds (less the small business fee) unexpended. If the approved scope of work is completed with funds unspent (excluding the small business fee), the awardee is obligated to work with NSF to come to a mutually agreeable scope change before closing out the project. • Expenditure of any funds listed in the approved award budget for “Technical and Business Assistance” (TABA) activities, unless said activities were fully documented (including pricing documentation and information about the specific vendors to be used) in the Phase II proposal budget and included in the Phase II Administrative and Financial Capability review (see Article 13). • Reallocation of funds from TABA activities to other project costs (see Article Technical and Business Assistance Costs). • Expenditure of any award funds for travel costs for dependents of key project personnel. Such costs are only permitted under the conditions outlined in 2 CFR §474(c)(2). • Expenditure of funds for foreign travel or expenditure of funds on project activities to be carried out in foreign countries. Foreign travel is not permitted in SBIR/STTR awards except with a specific waiver from the cognizant NSF Program Officer. All work in SBIR/STTR awards must be carried out in the United States unless a waiver is granted by the cognizant NSF Program Officer. d. NSF approval requirements (Conflicts of Interest). NSF must approve allocations of funds or the addition of new personnel and/or organizations where certain pre-existing relationships are in place between the small business and the proposed new personnel and/or organizations. Cases where NSF approval is required include, but are not limited to: • New commitment (or reallocation) of funds to any employee or consultant who is a relative of any company owner, officer, director, or employee. In this context and as noted below, “relative” means an individual who is related as father, mother, son, daughter, brother, sister, uncle, aunt, first cousin, nephew, xxxxx, husband, wife, father-in-law, mother-in-law, son-in-law, daughter-in- law, brother-in-law, sister-in-law, stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister, half-brother, or half-sister. • New commitment (or reallocation) of funds to any organization with an owner, officer, director, or employee who is a relative of any owner, officer, director, or employee of the small business. • New commitment (or reallocation) of funds to any organization where a company owner, officer, director, or employee (or a relative thereof) is an owner, officer, director, employee, or otherwise has a significant financial interest.

Prior Approval Requirements. ‌ a. Unless otherwise stated in the award notice, SBIR/STTR Phase II awardees must obtain NSF prior written approval as specified below in these terms and conditions and in the applicable prior approval matrix. Requests for NSF prior written approval specified in the applicable NSF Prior Approval Matrix must be submitted via the use of NSF’s electronic systems. Those prior approval requirements that do not already have a specific request type in NSF’s electronic systems must be submitted via use of the “Other” category in Xxxxxxxx.xxx. 1 For purposes of the terms and conditions, the term Principal Investigator (PI) and co-PI also includes the term Project Director and co-Project Director. b. All requests for no cost extensions must be submitted in accordance with the procedures set forth in the NSF Proposal and Award Policies and Procedures Guide PAPPG Chapter VI.D.3.c.(ii)2 Awardee-approved extensions are not applicable to NSF cooperative agreements. c. NSF approval requirements (Change of Scope). Certain changes to the award that involve the 1 For purposes of the terms and conditions, the term Principal Investigator (PI) and co-PI also includes the term Project Director and co-Project Director. 2 Awardees are not authorized to extend an award that contains a zero balance. approved scope of work require NSF pre-approval. Such changes of scope include, but are not limited to: • Changes to any of the “key personnel”. Changes could include removal, substitution, or significantly reduced involvement (25% or more reduction in effort). Key personnel include any company employees listed on line A of the approved budget, any consultants listed on line G.5 of the approved budget, any subaward personnel listed on line A of a subaward budget, and/or anyone so named as a key person in the NSF award notice. • Reduction of the total level of project effort (as measured by the number of person-months of commitment by all company employees) of 25% or more. • Any purchase of equipment, not in the original approved budget, totaling $25,000 or more. • No item of equipment over $5,000, other than items identified in the approved budget, may be purchased without the advance written approval of the cognizant NSF Program Officer. • Adding or removing project subawards, or any significant reduction (25% or more) of the amount of an existing subaward. • Closure of the project with award funds (less the small business fee) unexpended. If the approved scope of work is completed with funds unspent (excluding the small business fee), the awardee is obligated to work with NSF to come to a mutually agreeable scope change before closing out the project. • Expenditure of any funds listed in the approved award budget for “Technical and Business Assistance” (TABA) activities, unless said activities were fully documented (including pricing documentation and information about the specific vendors to be used) in the Phase II proposal budget and included in the Phase II Administrative and Financial Capability review (see Article 13). • Reallocation of funds from TABA activities to other project costs (see Article Technical and Business Assistance Costs). • Expenditure of any award funds for travel costs for dependents of key project personnel. Such costs are only permitted under the conditions outlined in 2 CFR §474(c)(2). • Expenditure of funds for foreign travel or expenditure of funds on project activities to be carried out in foreign countries. Foreign travel is not permitted in SBIR/STTR awards except with a specific waiver from the cognizant NSF Program Officer. All work in SBIR/STTR awards must be carried out in the United States unless a waiver is granted by the cognizant NSF Program Officer. 2 Awardees are not authorized to extend an award that contains a zero balance. d. NSF approval requirements (Conflicts of Interest). NSF must approve allocations of funds or the addition of new personnel and/or organizations where certain pre-existing relationships are in place between the small business and the proposed new personnel and/or organizations. Cases where NSF approval is required include, but are not limited to: • New commitment (or reallocation) of funds to any employee or consultant who is a relative of any company owner, officer, director, or employee. In this context and as noted below, “relative” means an individual who is related as father, mother, son, daughter, brother, sister, uncle, aunt, first cousin, nephew, xxxxx, husband, wife, father-in-law, mother-in-law, son-in-in- law, daughter-in- in-law, brother-in-law, sister-in-law, stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister, half-brother, or half-sister. • New commitment (or reallocation) of funds to any organization with an owner, officer, director, or employee who is a relative of any owner, officer, director, or employee of the small business. • New commitment (or reallocation) of funds to any organization where a company owner, officer, director, or employee (or a relative thereof) is an owner, officer, director, employee, or otherwise has a significant financial interest.

Prior Approval Requirements. ‌ a. Unless otherwise stated in the award notice, SBIR/STTR Phase II awardees recipients must obtain NSF prior written approval as specified below in these terms and conditions and in the applicable prior approval matrixNSF Prior Approval Matrix for State and Local Governments and For-profit Organizations. Requests for NSF prior written approval specified in the applicable NSF Prior Approval Matrix must be submitted via the use of NSF’s electronic systems. Those prior approval requirements that do not already have a specific request type in NSF’s electronic systems must be submitted via use of the “Other” category in Xxxxxxxx.xxx. b. All requests for no cost extensions must be submitted in accordance with the procedures set forth in the NSF Proposal and Award Policies and Procedures Guide PAPPG Chapter VI.D.3.c.(ii)2 AwardeeRecipient-approved extensions are not applicable to NSF cooperative agreements. c. NSF approval requirements (Change of Scope). Certain changes to the award that involve the 1 For purposes of the terms and conditions, the term Principal Investigator (PI) and co-PI also includes the term Project Director and co-Project Director. 2 Awardees are not authorized to extend an award that contains a zero balance. approved scope of work require NSF pre-approval. Such changes of scope include, but are not limited to: • Changes to any of the “key personnel”. Changes could include removal, substitution, or significantly reduced involvement (25% or more reduction in effort). Key personnel include any company employees listed on line A of the approved budget, any consultants listed on line G.5 of the approved budget, any subaward personnel listed on line A of a subaward budget, and/or anyone so named as a key person in the NSF award notice. • Reduction of the total level of project effort (as measured by the number of person-months of commitment by all company employees) of 25% or more. • Any purchase of equipment, not in the original approved budget, totaling $25,000 or more. • No item of equipment over $5,000, other than items identified in the approved budget, may be purchased without the advance written approval of the cognizant NSF Program Officer. • Adding or removing project subawards, or any significant reduction (25% or more) of the amount of an existing subaward. • Closure of the project with award funds (less the small business fee) unexpended. If the approved scope of work is completed with funds unspent (excluding the small business fee), the awardee recipient is obligated to work with NSF to come to a mutually agreeable scope change before closing out the project. • Expenditure of any funds listed in the approved award budget for “Technical and Business Assistance” (TABA) activities, unless said activities were fully documented (including pricing documentation and information about the specific vendors to be used) in the Phase II proposal budget and included in the Phase II Administrative and Financial Capability review (see Article 13). • Reallocation of funds from TABA activities to other project costs (see Article Technical and Business Assistance Costs). • Expenditure of any award funds for travel costs for dependents of key project personnel. Such costs are only permitted under the conditions outlined in 2 CFR §474(c)(2). • Expenditure of funds for foreign travel or expenditure of funds on project activities to be carried out in foreign countries. Foreign travel is not permitted in SBIR/STTR awards except with a specific waiver from the cognizant NSF Program Officer. All work in SBIR/STTR awards must be carried out in the United States unless a waiver is granted by the cognizant NSF Program Officer. d. NSF approval requirements (Conflicts of Interest). NSF must approve allocations of funds or the addition of new personnel and/or organizations where certain pre-existing relationships are in place between the small business and the proposed new personnel and/or organizations. Cases where NSF approval is required include, but are not limited to: • New commitment (or reallocation) of funds to any employee or consultant who is a relative of any company owner, officer, director, or employee. In this context and as noted below, “relative” means an individual who is related as father, mother, son, daughter, brother, sister, uncle, aunt, first cousin, nephew, xxxxx, husband, wife, father-in-law, mother-in-law, son-in-law, daughter-in- law, brother-in-law, sister-in-law, stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister, half-brother, or half-sister. • New commitment (or reallocation) of funds to any organization with an owner, officer, director, or employee who is a relative of any owner, officer, director, or employee of the small business. • New commitment (or reallocation) of funds to any organization where a company owner, officer, director, or employee (or a relative thereof) is an owner, officer, director, employee, or otherwise has a significant financial interest.

Prior Approval Requirements. ‌ a. Unless otherwise stated in the award notice, SBIR/STTR Phase II awardees must obtain NSF prior written approval as specified below and in the applicable prior approval matrixNSF Prior Approval Matrix for State and Local Governments and For-Profit Organizations. Requests for NSF prior written approval specified in the applicable NSF Prior Approval Matrix for State and Local Governments and For-Profit Organizations must be submitted via the use of NSF’s electronic systems. Those prior approval requirements that do not already have a specific request type in NSF’s electronic systems must be submitted via use of the “Other” category in Xxxxxxxx.xxx. b. All requests for no cost extensions must be submitted in accordance with the procedures set forth in PAPPG Chapter VI.D.3.c.(ii)2 VI.D.3.c.(ii)1 Awardee-approved extensions are not applicable to NSF cooperative agreements. c. NSF approval requirements (Change of Scope). Certain changes to the award that involve the 1 For purposes of the terms and conditions, the term Principal Investigator (PI) and co-PI also includes the term Project Director and co-Project Director. 2 Awardees are not authorized to extend an award that contains a zero balance. approved scope of work require NSF pre-approval. Such changes of scope include, but are not limited to: 1 Awardees are not authorized to extend an award that contains a zero balance. • Changes to any of the “key personnel”. Changes could include removal, substitution, or significantly reduced involvement (25% or more reduction in effort). Key personnel include any company employees listed on line A of the approved budget, any consultants listed on line G.5 of the approved budget, any subaward personnel listed on line A of a subaward budget, and/or anyone so named as a key person in the NSF award notice. • Reduction of the total level of project effort (as measured by the number of person-months of commitment by all company employees) of 25% or more. • Any purchase of equipment, not in the original approved budget, totaling $25,000 or more. • No item of equipment over $5,000, other than items identified in the approved budget, may be purchased without the advance written approval of the cognizant NSF Program Officer. • Adding or removing project subawards, or any significant reduction (25% or more) of the amount of an existing subaward. • Closure of the project with award funds (less the small business fee) unexpended. If the approved scope of work is completed with funds unspent (excluding the small business fee), the awardee is obligated to work with NSF to come to a mutually agreeable scope change before closing out the project. • Expenditure of any funds listed in the approved award budget for “Technical and Business Assistance” (TABA) activities, unless said activities were fully documented (including pricing documentation and information about the specific vendors to be used) in the Phase II proposal budget and included in the Phase II Administrative and Financial Capability review (see Article 13). • Reallocation of funds from TABA activities to other project costs (see Article Technical and Business Assistance Costs13). • Expenditure of any award funds for travel costs for dependents of key project personnel. Such costs are only permitted under the conditions outlined in 2 CFR §§ 474(c)(2). • Expenditure of funds for foreign travel or expenditure of funds on project activities to be carried out in foreign countries. Foreign travel is not permitted in SBIR/STTR awards except with a specific waiver from the cognizant NSF Program Officer. All work in SBIR/STTR awards must be carried out in the United States unless a waiver is granted by the cognizant NSF Program Officer. d. NSF approval requirements (Conflicts of Interest). NSF must approve allocations of funds or the addition of new personnel and/or organizations where certain pre-existing relationships are in place between the small business and the proposed new personnel and/or organizations. Cases where NSF approval is required include, but are not limited to: • New commitment (or reallocation) of funds to any employee or consultant who is a relative of any company owner, officer, director, or employee. In this context and as noted below, “relative” means an individual who is related as father, mother, son, daughter, brother, sister, uncle, aunt, first cousin, nephew, xxxxx, husband, wife, father-in-law, mother-in-law, son-in-in- law, daughter-in- in-law, brother-in-law, sister-in-law, stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister, half-brother, or half-sister. • New commitment (or reallocation) of funds to any organization with an owner, officer, director, or employee who is a relative of any owner, officer, director, or employee of the small business. • New commitment (or reallocation) of funds to any organization where a company owner, officer, director, or employee (or a relative thereof) is an owner, officer, director, employee, or otherwise has a significant financial interest.