Research Administration Office

University of California

Memo Operating Guidance

No. 87-21

July 23, 1987

Subject: NASA-Ames University Consortium Agreement

Enclosure 1. is a copy of the NASA-Ames University Consortium Agreement. The NASA-Ames University Consortium Agreement provides for the reciprocal use of services, personnel, facilities and equipment between Ames Research Center and participating institutions. All of the UC campuses except-Riverside are participating institutions; the DOE Laboratories are not and cannot use the Consortium Agreement.

Formal arrangements for specific activities under the Consortium are called interchanges. The Joint Research Interchanges is the most common type of interchange. Other types of interchanges, such as loans of equipment, joint use of facilities, and use of NASA personnel as instructors, can also be arranged. The guidelines for the appropriate use of the Joint Research Interchange, as well as the instructions for the preparation and submission of proposals and the terms of award are explained in the Procedures for Proposing Joint Research Interchanges (Enclosure 2).

The Joint Research Interchange is intended for projects which combine property,

money, skills and knowledge for the production of research of mutual interest in the form of a tangible end-item. The funding level is limited to $40,000 per year for a maximum duration of two years. NASA does provide a "project administration fee," not to exceed 10% of the sum of all other costs when the majority of the funded research will be performed at a site other than the University and 20% of such costs when the University will be the site for most of the funded effort. The "project administration fee" is to be considered indirect cost reimbursement. The existing indirect cost rate exception granted is for 0% on a class basis, but is in the process of being revised to 0% (used for such programs involving loans of equipment or joint use of facilities), 10%, or 20% depending on the program. The new rates will be listed in the forthcoming Contracts and Grants Memo regarding approved exceptions to indirect costs granted on a class basis.

The NASA-Ames Consortium Agreement should be used, as appropriate, but should not be used as a substitute for a contract, grant, or cooperative agreement if these other agreement formats are more/appropriate.

Additional information on the use of the NASA-Ames University Consortium Agreement can be obtained from the NASA-Ames University Consortium Office, Ellen C. Giles, Director at (415) 694-5238.

Refer: Susan Tarran

(415) 642-1638

ATSS 8-582-1638

Subject Index: 22, 08

Organization Index: F-650

David F. Mears

University Contracts and

Grants Coordinator

Enclosures distributed to Contracts and Grants officers only

cc:

Laboratory Contracts and Grants Officers

Accounting Officers

Associate Vice President Moore


ENCLOSURE

AN AGREEMENT BETWEEN THE NASA-AMES RESEARCH CENTER AND PARTICIPATING UNIVERSITIES FOR RECIPROCAL USE OF SERVICES, EQUIPMENT, PERSONNEL AND FACILITIES AND FOR OTHER PURPOSES

(AS AMENDED DECEMBER 1 , 1971) WHEREAS, the statute law assigns plenary authority in the National Aeronautics and Space Administration to (1) plan, direct, and conduct aeronautical and space activities; (2) arrange for participation by the scientific community in planning scientific measurements and observations to be made through use of aeronautical and space vehicles, and conduct and arrange for the conduct of such measurements and observations; (3) provide for the widest practicable and appropriate dissemination of information concerning its activities and the results thereof;

WHEREAS, the Ames Research Center of the National Aeronautics and Space Administration (hereinafter called the Research Center) and certain Institutions of Higher Learning (hereinafter called the Participating Universities) recognize that in the conduct of aeronautical and space activities a spectrum of interdependent problems emerges in branches of learning and areas of research of intimate concern to the Research Center, the Participating Universities, and the academic community at large;

WHEREAS, an expansion in these branches of learning and continuing research into these problems operate to the mutual advantage of the parties and will be substantially facilitated through reciprocal use by them of a pool of services, equipment, personnel and facilities;

WHEREAS, Subsection 203 (b) of the National Aeronautics and Space Act of 1958, as amended, (42 U.S.C. 2473 (b)) constitutes authority for use by the parties hereto of the services, equipment, personnel, and facilities of the other on either a reimbursable or non-reimbursable basis and otherwise provides for cooperation in the use of services, equipment, and facilities as well as for the unconditional donation to the National Aeronautics and Space Administration of services, money, or property;

WHEREAS, the Congress has traditionally encouraged useful collaboration, on a wide geographical basis, between instrumentalities of the federal Government and Institutions of Higher Learning throughout the Republic, with such policy made manifest in diverse statutes including, by way of description and not limitation, the Act of March 3, 1901

(20 U.S.C. 91), the Government Employees Training Act, as amended, (5 U.S.C. 4101 et seq.), and Title 1-C of the Economic Opportunity Act of 1964, as amended, (42 U.S.C. 2751 et seq.);

AND WHEREAS, it is the sense of the Congress and in the national interest, as enunciated in a series of Authorization Acts for the National Aeronautics and Space Administration including Section 6 of Public Law 90-373, that consideration be given to geographical distribution of federal research funds whenever feasible, and that the National Aeronautics and Space Administration explore ways and means for distributing its research and development funds accordingly;

NOW THEREFORE, under the authority of the federal statute law and the regulations in implementation thereof:

THE RESEARCH CENTER AGREES:

1. to arrange, in response to requests from Participating Universities, meetings with scientists, professional and other personnel employed or engaged in work at the Research Center; Provided, however, that all such meetings shall be scheduled at reasonable times and hours and in no event shall such meetings adversely interfere with the activities and functions of the Research Center or personnel thereof;

2. to furnish in response to requests from Participating Universities, and at no charge, access to library, laboratory, as well as other facilities, and equipment at the Research Center during reasonable times and hours, and, moreover, to permit a Participating University to use, at no charge, reasonable amounts of office or other space at the Research Center if such space is available; Provided, however, that the Research Center may terminate such use upon notice in writing forwarded to the University not less than three months in advance of the date of termination;

3. to reimburse, in whole or in part, but only on written demand by a Participating University, costs for the use of University services, equipment, personnel, and facilities for those projects, programs, or activities, if any, mutually agreed to, and undertaken by the parties at the specific written request of the Research Center communicated to the University in advance of the undertaking involved; Provided, however, that any arrangements for reimbursement shall be subject to the terms, conditions, and limitations set forth in Schedule F annexed hereto and made a part hereof; and, moreover, the Research Center shall have access, at any reasonable time within three years of project termination to relevant records of the University so as to assure the appropriateness of payments made for this purpose;

4. to make available at laboratories, and other facilities of the Research Center, useful work experience, including experience in basic and applied research for personnel matriculated at Participating Universities and furnished to the Research Center, who are qualified to undertake work-study as authorized under the federal College Work-Study Program; and, moreover, the Research Center shall be deemed the employer of any person so furnished; Except that none shall be considered an employee of the federal Government within the meaning of laws administered by the United States Civil Service Commission. The ultimate right to control and direct the work of all such persons shall devolve upon the Research Center;

5. to contribute a share of the compensation payable to each of the University personnel who are authorized to work under the control and direction of the Research Center incident to the federal College Work-Study Program, and to compensate the Participating University for unreimbursed administrative costs related thereto consonant with the terms, conditions, and limitations set forth in Schedule F; Provided, however, that the Research Center shall have access, at any reasonable time, to relevant records of the University so as to assure the appropriateness of payments made for these purposes;

6. to furnish to Participating Universities, upon written request, specific NASA Personnel for conducting or participating in speaking engagements, lectures, academic instruction, or research relative' to the conduct of activities, or the result of activities, undertaken by the National Aeronautics and Space Administration; Provided, however, that the decision to furnish NASA Personnel as contemplated herein is solely at the election of the Research Center subject, moreover, to the terms, conditions, and limitations set forth in Schedule T annexed hereto and made a part hereof.

THE PARTICIPATING UNIVERSITIES AGREE:

7. to make available for projects of mutual interest, as contemplated in Clause 3 herein, the use of services, equipment, personnel, and facilities controlled by the University; but availability of the same shall be consistent with, and shall not be permitted to impede, the functions, interests, and activities of the Participating University. University personnel who are so utilized including, by way of description and not limitation, candidates for the "on-campus" segment of the federal College Work-Study Program, shall be controlled and directed in their work, or research, by the University;

8. to allow without charge, if consistent with University rules, and upon permission of the instructor involved those federal employees identified by the Research Center to audit classroom or other lectures offered by the Universities, and moreover, with the consent of a Participating University, to secure to federal employees opportunities to engage in selected training or meetings conducted under the auspices of that University. But if a Participating University proffers to any federal employee a contribution or award incident to such training or pays to a federal. employee travel, subsistence, and other expenses incident to attendance at meetings, the same may be accepted by the federal employee only if there has been compliance with all terms, conditions,-and limitations imposed by the Director of the Research Center as more particularly described in Schedule M annexed hereto;

9. to publicize at the Universities the matters concerning this Agreement, including opportunities available to persons authorized to undertake work-study "on-campus" and "off-campus" under the provisions of the federal College Work-Study Program;

10. to furnish support personnel, when feasible, of the type and in the numbers, requested by the Research Center for purposes of administering the matters contemplated by this Agreement, and, in such event, the Universities shall be reimbursed for the costs involved subject to the terms, conditions, and limitations set forth in Schedule F. At the discretion of the Universities, and if otherwise consistent with law, support personnel may be obtained from persons engaged in various federally, or state, assisted Youth and Economic Opportunity Programs more particularly described, for guidance purposes only, in Schedule E annexed hereto and made a part hereof, and, in such event, the Research Center shall render necessary assistance to the Universities in establishing such programs, and may reimburse costs for the same consistent with Schedule F annexed hereto.

11. to permit University personnel, notwithstanding any other provision of this Agreement, to donate, without condition, a gift of their services to the National Aeronautics and Space Administration if such donation does not adversely interfere with, or impede, the functions or activities of the University; Provided, however, that the proffer of such unconditional donation of services, before commencing performance thereof, is first accepted in writing by competent federal authority in conformity with the terms identified in Schedule D annexed hereto and made a part hereof, and is otherwise consistent with Subsection 203 (b) (4), of the National Aeronautics and Space Act of 1958, as amended, together with regulations in implementation thereof. At the sole election of the Research Center travel expenses for donors of services may be covered by the Research Center consonant with Schedule F annexed hereto;

12. BLANK

ALL PARTIES AGREE:

13. that persons, agents, and servants connected with any party may enter the premises and facilities of the other for purposes of administering matters arising under this Agreement or otherwise discharging the terms thereof; However, a party may be required to remove from the premises or facilities of the other party any person, agent, or servant connected with the former who is careless, insubordinate, or otherwise objectionable, and such request for removal shall be final and conclusive and not subject to appeal. Moreover, at the sole discretion of the Research Center access to all, or any part of, facilities at the Center, for reasons of national security or otherwise, may be barred to any person connected with any of the parties hereto, and the decision by the Research Center to deny access shall be final and conclusive and not subject to appeal;

14. that all property rights in inventions made by NASA personnel furnished, or performing, under this Agreement are invested in the United States and such inventions, if any, are patentable only by the National Aeronautics and Space Administration. Moreover, rights, if any, in the federal Government to inventions made by University personnel furnished, or performing, under this Agreement either with or without the collaboration of NASA personnel shall be determinable by recourse either to Subsection 305 of the National Aeronautics and Space Act of 1958, as amended, or Executive Order 10096, as amended by Executive Order 10930, together with federal regulations in implementation thereof, and the Patent Counsel of the Research Center shall be available to any party for advice and guidance in this regard. Rights and obligations involving data and copyrights are determinable by recourse to Schedule P annexed hereto and made a part hereof;

15. that Participating Universities shall upon signing or acceding to this Agreement forthwith communicate to the Director of the NASA-Ames Research Center the names, or identity, of those representatives, preferably Deans, who are authorized to act for and on behalf of the University in connection with all matters pertaining to, or arising under, this Agreement. The Authorized Representatives who may act for and on behalf of the NASA-Ames Research Center in connection with all matters pertaining to, or arising under, this Agreement are as follows:

For the Physical Sciences--the Director of Astronautics

For the Life Sciences--the Director of Life Sciences

For the Social Sciences--the Chief Counsel

Consistent with the policies of the parties hereto, any Authorized Representative, upon notice in writing communicated in advance to his counterpart, may re-delegate, in whole or in part, his authority arising under this Agreement.

16. that in the event of a dispute which cannot be resolved by the Authorized Representatives of the parties hereto the question involved may be submitted to a three-member Board of Arbitration consisting of:

i. the Chief Counsel of the Research Center except that if the Chief Counsel is a party to the dispute he shall appoint, as an arbitrator, another member of the bar;

ii. an arbitrator appointed by the University Authorized Representative who is a party to the dispute; and

iii. a third arbitrator appointed by the other two.

Decisions of arbitrators rendered in response to any-dispute arising under this Agreement shall be deemed and considered to be, for all purposes, advisory decisions and shall have no validity or binding effect unless ratified by all parties to the arbitration. Moreover, in no event, may costs, charges, fees or other expenditures for arbitration be borne, in whole or in part, from any monies appropriated to the National Aeronautics and Space Administration;

17. that, except for the payment of public money, this Agreement shall become effective, for original signatories, on the date indicated in the space adjacent to the signatures of the Principals hereto, and for other Participating Universities this Agreement shall become effective, except for the payment of public money, on the date of accession as provided for in Clause 24 herein. It shall enter into force with respect to the payment of public money through incurrence of fiscal obligations by the federal Government on a date, or dates, signified by the Authorized Representative of the Research Center when communicated by him, in writing, to his counterpart Authorized Representative at each Participating University; Provided, however, that the expenditure of public money by the Research Center is otherwise consistent with law including applicable authorization and appropriations Acts of the Congress together with apposite conditions and limitations therein. This Agreement shall remain in force and effect, if otherwise consistent with law, unless and until terminated at the election of either the Research Center or the Participating University involved; Provided, however, that such termination shall be upon notice in writing forwarded by one party to the other not less than-six months in advance of termination, and if the Research Center has terminated this Agreement, or any subsidiary project or arrangement arising therefrom, then the Participating University shall be reimbursed the costs of termination consonant with Schedule F annexed hereto.

18. that this Agreement shall terminate at the discretion of the Research Center and without the necessity of notice if funds appropriated to the National Aeronautics and Space Administration are not available to reimburse, in whole or in part, allocable costs, and charges contemplated by this Agreement; Provided, however, that costs, if any, incurred by the University incident to such termination shall be reimbursed to the University by the Research Center consonant with Schedule F annexed hereto;

19. that any Principal, or his successor, signing or acceding to this Agreement may propose to all other Principals modifications or changes to this Agreement including the Schedules annexed hereto and if all Principal representatives approve the same in writing then the modifications or changes involved shall govern the rights and obligations of

the parties effective on the date that the last requisite approval is deposited with the Director of the Research Center;

20. that this Agreement together with the Schedules annexed, as well as all provisions set forth in applicable Title 1-C College Work-Study agreements by and between the Government and Participating Universities, constitute the entire arrangement and understanding between the parties, and in the event of any inconsistency between provisions contained in one instrument as opposed to provisions contained in another the following order of precedence shall govern the rights and obligations of the parties:

A. Statutes, Executive Orders, and Regulations cited in the Schedules;

B. the existing, and effective, arrangement for Title 1-C College Work-Study Grants entered into by the University and federal authority;

C. this Agreement and any modification thereto; and

D. the remaining provisions of Schedules and any modifications thereto.

The provisions set forth in the documents identified in A, B, C, and D 'above are not severable but interdependent, and in the event any such provision, or portion thereof, is declared invalid in a final proceeding by a court, administrative body, or administrative agency of competent jurisdiction then this Agreement in its entirety shall be null and void from the date of such determination; Provided, however, that costs actually incurred by Participating Universities resulting from the nullification of this Agreement shall be reimbursed by the Research Center consonant with Schedule F annexed hereto;

21. that employees of either party shall not be displaced, nor the terms of their employment Otherwise affected, nor shall existing contracts for services be impaired, by interchanges or use of University and NASA personnel pursuant to this Agreement, and moreover no work within contemplation of this Agreement shall involve the construction, operation or maintenance of any facility used, or to be used, for sectarian instruction or as a place for religious worship;

22. that for purposes of this Agreement including all Schedules annexed hereto and made a part hereof the following definitions apply:

Participating University means an Institution of Higher Learning which is either an original signatory to this Agreement or which otherwise has received approval from the Director of the NASA-Ames Research Center to accede to the terms and conditions of this Agreement.

NASA Personnel mean persons appointed, or employed, by the National Aeronautics and Space Administration under the authority of Subsection 203(b)(2) and (b)(9) of the National Aeronautics and Space Act of 1958, as amended, as well as other officers and employees of the federal Government detailed to the National Aeronautics and Space Administration.

University Personnel mean officers, employees-, faculty members and students of a Participating University as well as faculty members and students of other accredited institutions of higher learning who are sponsored by, or otherwise brought into relationship with, a Participating University.

off-Campus Students mean University personnel engaged under the authority of Title 1-C of the Economic Opportunity Act of 1964, as amended, whose work is controlled and directed by the NASA-Ames Research Center.

On-Campus. Students mean University personnel engaged under the authority of Title 1-C of the Economic Opportunity Act of 1964, as amended, whose work is controlled and directed by the Participating University.

Support Personnel mean persons including, though not limited to, categories of University personnel, who perform services ancillary to both the functions of Participating Universities and the Research Center such as, by way of description and not limitation, administrative assistants, secretaries, stenographers, typists, and clerks.

Out-of-Pocket means, when applied to the use of personnel or services, the immediate direct cost for labor or work, and, when applied to equipment or facilities, the immediate direct cost for the use thereof.

23. that this Agreement shall be known by the name and style of "THE NASA-AMES UNIVERSITY AEROSPACE INSTITUTES AGREEMENT" (Ref. "Ed-Consortium") and upon the date of entry into effect, as established by the date adjacent to the signature of the Principal University representative, this Agreement shall be determinative of rights and obligations; Except that no payment of public money by the Research Center may be made unless, and until, this agreement enters into force, for such purposes, consistent with clause 17 herein. An original signatory to this Agreement shall be any Participating University signing the same, with the concurrence of the NASA-Ames Director, on or before 30 June 1970.

24. that in addition to original signatories to this Agreement any accredited institution of higher learning upon written request from the Head thereof to the Director of the NASA-Ames Research Center may accede unconditionally to all terms and conditions herein provided that the Center Director approves the request, and the date of such approval shall constitute the date that such higher institution qualifies, and is deemed to be, a "Participating University" within the meaning of this Agreement, subject to all rights and obligations hereunder on a co-equal basis with other Participating Universities.

EXECUTED BY the principal representatives of the parties who are authorized to bind the NASA-Ames Research Center and each Participating University subscribing, or acceding, to the terms and conditions of this Agreement.

Original Signatories

For Original Signatories this Agreement shall remain

open for subscription through 30 June 1970

Effective Dates

By Hans Mark, Director Ames Research Center National Aeronautics

and Space Administration

ATTEST:

Harold P. Klein

Director of Life Sciences

Univ. of Santa Clara

Santa Clara, California

Acting President

San Jose State College San Jose, California

Glen Goodwin

Director of Astronautics

J. Henry Glazer

Chief Counsel

Record of Accessions

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