Research Grants from the National Ground Water Research & Educational Foundation Adopted by the Board of Directors: July 19, 2005 Modified by the Board of Directors: October 10, 2006 Modified by the Board of Directors: March 10, 2009 Modified by the Board of Directors: December 13, 2009 Contents About the National Ground Water Research and Educational Foundation... 2 NGWREF Mission... 2 NGWREF Goals... 2 NGWREF Research Supporters... 3 Research Advisory Committee... 3 Composition of RAC... 3 Term of RAC Members... 4 Responsibilities of RAC... 4 Submitting Research Proposals... 4 Disciplines... 4 Term... 5 Budget... 5 Proposal Submittal and Review Schedule... 5 Guidelines for Preparing Proposals... 5 Proposal Submittal... 9 Proposal Evaluation Criteria... 9 Research Relevance... 9 Quality/Capability... 10 Research Proposal Acceptance and Funding... 11 Terms and Amount of Grant Payments... 11 Timing of Grant Payments... 11 Method of Grant Payments... 12 No Obligation to Third Parties... 12 Research Results Review Process by RAC... 12 Intellectual Property and Patents... 12 Process for Foundation Publication... 13
Copyright... 15 NGWREF Research Grant Agreement... 17 2
About the National Ground Water Research and Educational Foundation The National Ground Water Research and Educational Foundation (NGWREF) is a charitable 501 c (3) public foundation established in 1994, and modified in 2003, to actively focus upon research. The Foundation is an arm of the National Ground Water Association (NGWA), an international membership association. The Foundation purpose is to conduct educational, research, and charitable activities that provide a greater understanding of ground water and also assist other charitable and educational organizations in the conduct of similar activities. Toward this end, Foundation Funds have supported such programs as: Len Assante Scholarship Fund Darcy Distinguished Lecture in Ground Water Science Fund McEllhiney Distinguished Lecture in Water Well Technology Fund International Science and Engineering Fair for High School Students Fund Developing World Ground Water Supply and Protection Fund 21 st Century Fund [general fund] The NGWREF Board of Directors governs NGWREF. As directed by a Board action of July 19, 2005, the NGWREF Board annually must identify priority research areas in which it intends to provide funding support, as well as a budget and major policies of the NGWREF. The Board is assisted in accomplishing the purpose of the NGWREF by the Research Advisory Committee, an independent volunteer advisory committee comprised of scientists, engineers, and water well technologists. NGWREF Mission The NGWREF mission is to conduct education, research, and other charitable activities that foster advancements in science and technology applied by the ground water community; stimulate new knowledge, information, programs, and products; and contribute to ground water sustainability for long-term public and environmental benefit. NGWREF helps improve the ground water environment and advances human health by providing research that can result in sound, reliable science and innovative, effective, cost-saving technologies for improved use, management, protection, and remediation of ground water resources. With the assistance of supporters, NGWREF leads the way in conducting timely, relevant research. NGWREF Goals Provide grants in support of research projects that expand the body of ground water science and engineering and water well technology available to practitioners. Fund proposals that bridge the gap between research and practical applications of the research findings. Recognize the importance of student education and interest in science and engineering. 3
Promote global awareness of the importance of ground water by facilitating ground water science and technology outreach and information transfer. Integrate the skills and expertise of the ground water professions. Identify and develop emerging technologies. Provide sound science and technology beneficial to those engaged in regulatory processes. Expand the ground water industry s service to the public. Improve ecosystems and protect public health. NGWREF Research Supporters NGWREF s research supporters are individuals and organizations that share the Foundation s interest in promoting research and development in ground water science and technology. Supporters of the Foundation provide the funding critical to the continued education and scientific research within the ground water professions and industry that result in public benefits. NGWREF s supporters represent a broad cross section of those supporting the future of ground water and the industry. Accordingly, research interests are varied, and the Foundation pursues a wide range of research topics. Supporter input is sought to help guide the Board in its endeavors to prioritize funds such that the NGWREF s education and research programs accomplish the NGWREF s goals and especially achieve longterm societal benefits.. NGWREF encourages the use of Foundation funds to support student research training. NGWREF invites opportunities to leverage its funds through collaborative research with other organizations throughout the world, particularly when such collaboration more effectively advances research on emergent issues of global significance. Supporters submit charitable contributions to: National Ground Water Research and Educational Foundation 601 Dempsey Road Westerville, Ohio 43081 Research Advisory Committee The Research Advisory Committee, an independent volunteer advisory committee, reviews proposals submitted to the NGWREF and provides recommendations to the NGWREF Board. Composition of the RAC The RAC shall be composed of not less than [3] three and not more than seven [7] individuals appointed by the NGWREF President. These uncompensated appointments are made tri-annually, with the appointments to be completed prior to January 1 of the coming calendar year in which the President will serve the majority of his/her term. The President may utilize whatever resources are available to him or her for seeking volunteers to serve on the RAC. 4
RAC Committee membership shall represent the broad diversity of ground water professions. The RAC member is not required to be an NGWA member. Term of RAC Members RAC members serve for a three-year term that begins on January 1 and ends on December 31 of the third year. RAC members are eligible to be reappointed for no more than two [2] consecutive three-year terms. Responsibilities of the RAC The RAC shall receive from the Foundation President or the Foundation Executive Director a summary of the Foundation s annual research priorities and any additional parameters that the Foundation Board wishes to be considered. Annually, the RAC Committee shall provide input to the NGWREF Board for future research priorities that are consistent with NGWREF goals. The RAC accepts for review those research proposals that are consistent with the broad research aims of the NGWREF. Upon completion of proposal review in accordance with the process described in these Guidelines, the RAC provides proposal award recommendations to the NGWREF Board. However, the Foundation Board reserves the right to not make an award to a proposal that may be recommended by the RAC. The RAC reviews and provides comments on research project reports. Submitting Research Proposals NGWREF grants are awarded through a competitive process. NGWREF encourages the submission of research proposals from all qualified entities, including international organizations and disadvantaged business enterprises. NGWREF particularly encourages and values those proposals that bridge the gap between research and practical applications of the research findings. 1) 1 In an effort to assist the careers of new ground water faculty elects to limit its research grants to probationary faculty. NGWREF describes probationary faculty as follows: Probationary faculty has been hired because their college or university believes they have the potential to make significant contributions toward the mission of their institutions. The probationary period allows the institution to evaluate their faculty hires before committing to them on a long-term basis through the granting of tenure. It is a time for the probationary faculty member to demonstrate and build evidence of their scholarly efforts. Tenure is granted to faculty with a consistent and high level of scholarly achievement which the institution believes will continue to contribute with a consistently high level of scholarly achievement for 1 These eligibility guidelines were adopted as a modification on March 10, 2009. 5
the remainder of their career. The probationary faculty member is expected to undertake the work seriously and exercise a high degree of professionalism. 2) And to stimulate the exploration of ground water science and technology at institutions of higher learning that do not have traditional graduate schools or research programs, the Foundation elects to make its research grants to faculty at institutions of higher learning presently lacking graduate schools related to ground water science and technology and/or formal research programs in ground water science and technology topics. A probationary faculty member may be employed at an institution beyond those defined in 2) above, and one does not need to be a probationary faculty member if employed at an institution defined in 2) above. The investigators carrying out NGWREF s research are typically individuals and organizations from within ground water professions and businesses. Their collective experiences span the spectrum of research areas, including ground water use, management, protection and remediation, as well as water well technology. Proposal submissions consistent with annual funding priorities are generally preferred; however, in order not to omit research that proposes to address significant emerging ground water science or technology developments, the NGWREF will consider alternative submissions. Funding priority will be assigned to those submissions that best match the Foundation s goals. Disciplines The NGWREF supports research in all disciplines so long as the research relates directly to the use, protection, management, or remediation of ground water, or to water well technology. Term Grants are given for a single year only. Proposals for a second year of funding may be submitted but usually receive low priority. Funds must be spent within 12 months of the beginning of the grant, and may not be "banked" for future use. Unexpended funds must be returned to the Foundation. Budget Proposals up to $50,000 will be considered; typically, research grants may be provided in the $3,000 - $8,000 range. Because the total cost of meritorious requests is likely to exceed available funds by several fold, applicants are encouraged to request only absolutely essential resources. 6
Proposal Submittal and Review Schedule 2 An optional call for proposals subject to the Foundation s annual research priorities shall be issued through appropriate ground water communications outlets by the Foundation s Executive Director on or before December 1 of the year prior to the funding year. A specific call may not be issued each year. Proposals shall be submitted, per these guidelines, to the Foundation s Executive Director at the Foundation s offices by January 15 of the funding year. If the date falls on a weekend or holiday the deadline is the next working day. Prior to February 1 of the funding year, one [1] copy of each proposal will be distributed to each of the members of the RAC. The RAC provides a report with the proposal score and recommendations to the NGWREF Board by February 15. The NGWREF Board receives the RAC recommendations and makes final funding decisions by February 25. [The Board may also choose to decline funding.] The NGWREF Board reports its decision to the NGWREF Executive Director by February 25. The NGWREF Executive Director notifies the individual or organization submitting the proposal of the outcome of the proposal process on or about March 1. All applicants notified that they have been awarded a grant by the NGWREF will have no more than thirty (30) days to sign the Foundation s Memorandum of Research Funding Agreement. All applicants must disclose a U.S. federal employer identification number prior to receipt of any payment from the Foundation. When a research grant recipient is an employee of an eligible institution, all payments shall be made by the Foundation to the eligible institution and not to an individual. [Change directed by the Foundation Board, October 10, 2006]. Guidelines for Preparing Proposals Research projects approved by the NGWREF must be clearly and uniquely identifiable. That is, while a researcher s various projects may be similar and have some overlap, funded NGWREF projects are assumed and expected clearly to add value relative to any other project completed, in progress, or proposed by project investigators. The guidelines presented below describe the proposal format. Proposal Format Proposal Length: Proposals must contain all of the information described below except where information is described as optional. The Executive Summary is to be contained 2 Deadlines and other dates amended by Board direction, December 13, 2009. 7
on one page. The page limit for the proposal is 15 (items to which this limit does not apply are noted below); brevity is encouraged. COVER SHEET: Project Title: Be concise and descriptive. Research Type: Refer to the Call for NGWREF Proposals for priority funding categories indicated for the current year NGWREF grant fund program. Briefly, describe how your proposal is suited to one or more of the indicated priorities. As described elsewhere in these Guidelines, proposals may be exempted from strict adherence to funding priorities. If such is the case, compelling rationale must be provided to indicate how the research is consistent with NGWREF s goals and why the research is significant. Investigator(s): List name, affiliation, full mailing address (including zip), email, telephone, and fax of each investigator. Clearly identify the lead investigator; this individual will also be the main contact person for NGWREF communications. EXECUTIVE SUMMARY The Executive Summary of each proposal should contain statements on the critical ground water research to be addressed, the relationship of the research to NGWREF s current priorities, the research approach employed, anticipated outcome of the study, and benefits and/or information expected from the project. The maximum length for the Executive Summary is one page. BODY OF THE PROPOSAL Nature, Scope and Objectives of the Proposed Research. Brief introduction on the nature of the problem(s) to be addressed, justification of the proposed work, importance of the research to the advancement of ground water science and technology, research objectives, and scope of work. Related Research. Review of relevant literature. Show by citations the similarities and dissimilarities of proposed project to be completed or ongoing research on the same topic. Methods and Procedures. Provide sufficient information to permit evaluation of the technical adequacy of the research approaches. Investigator's Overall Research. Describe how the proposed work relates to the prior related research by the investigators or others, particularly relationships to completed projects and potential future funding. Describe how the proposed research is new and relevant to the goals of the NGWREF. As applicable, describe the potential for future extension of the research and its potential for external funding (see also criteria for evaluating proposals, below). Indicate if this 8
research is being supported by other sources of funds, the source, amount and duration. Regulatory issues--if research involves human subjects, animals, biohazards, or other regulatory issues, the application should identify those concerns and provide documentation that they have been addressed. This may require environmental safety review and approval. It should be emphasized that full regulatory compliance applies to NGWREF grants. Regulatory documentation can be provided as an appendix to the body of the application and will not be included in the page count. Output. This should include the proposed production of research reports, digital publications, surveys, establishment of databases, etc.. You should also describe who will make use of the research results and what form this use is likely to take. Schedule. Provide a timeline, including key research project milestones and estimated completion date. Please provide the information under the headings below: Definable stages of the project. Dates by which each stage will be completed. Date of completion of the entire project. If work has commenced on any part of this project, please state what stage has been reached at the date of this application. Investigator's Qualifications. Provide biographical information to illustrate the qualifications of the lead investigator(s) and co-investigators. The resume or biographical sketch for each investigator should not exceed two pages or list more than 12 pertinent publications. Student Training. The NGWREF encourages proposals that support student research training. List the name and describe the academic background, degree program enrolled, and expected completion date of the student to be supported. If the student to be supported has not yet been identified, describe the training opportunity the proposed research offers. Budget. NGWREF research grant awards are typically on the order of $3,000 - $8,000. The grants are provided in support of the total annual budget proposed by the investigator. Grants above the norm may occur under compelling circumstances. No indirect costs are allowed. Requests for purchasing equipment are discouraged. Approvals for equipment purchase ($1,000 and more) are rare and must be deemed as essential to conduct the research. 1. Provide a budget with justification for each item requested (see sample spreadsheet below). Examples of items that can be requested include faculty release time, summer stipends, research travel expenses, supplies, minor equipment specifically designed for the proposed research. Items that are 9
usually excluded include major equipment, computers, printers, and extension of projects that are already well funded. 2. Other research support, including current funding with a list of titles, amounts, sources, and grant periods, expired funding for the prior three years, plus pending proposals. Applicants with "start up packages" should provide detailed dated budgets. ( a) Please give a detailed breakdown of costs using the format below: Items of Expenditure Operational expenses Equipment Materials Salaries/ Contract Fees Financial Year One Financial Year Two Financial Year Three Not eligible Not eligible Not eligible 2. General expenses Travel expenses Other SUBTOTAL TOTAL (b) Amount requested (c) Detail any financial support received or requested for this project from other organizations. (d) Balance still required (please advise how you intend to obtain the further funds required). CONFLICT OF INTEREST The applicant should explicitly make a statement about whether or not the application involves any potential conflict of interest. Any such conflicts should be described. For instance, if the research could forward the interests of a company in which the applicant has a pecuniary interest, this should be disclosed. Conflict of interest documentation (if required) can be provided as an appendix to the body of the application and will not be included in the page count. REFERENCES Provide three references from which the NGWREF Research Advisory Committee may seek an opinion; include the name, title, address, and phone number for all references. If the proposed research is considered significant to stakeholders, support letters may be submitted along with the proposal; support letters are not required. 10
Proposal Submittal A digital (electronic) original and one [1] print copies of the complete proposal with the cover sheet should be submitted to the Office of the Executive Director, NGWREF, 601 Dempsey Road, Westerville, Ohio 43081. Past grant recipients are eligible to re-apply for funding upon the expiration of a 5 year period from the date of the Board s approval of the previous grant award. Proposal Evaluation Criteria Each member of the RAC will do a scientific/technical evaluation of each proposal. The RAC may elect to consult with others outside of the committee on the merits of a proposal. Comments received will only be made available to applicants at the Committee's discretion. Each application is reviewed for a variety of attributes: Research relevance Weighting How well is the proposal aligned with one or more of the research aims and strategic interests of the NGWREF? Scientific merit, creativity and innovation Feasibility Appropriateness for the modest funding provided Significance of the research Do the ideas/techniques/methods presented in the proposal improve the way we apply or look at our science? What are the likely important contributions of this research? Is the hypothesis clearly stated and the experimental design correctly chosen to test the hypothesis? Is the analysis technically correct? Is the literature cited complete or are important references left out? Has this work or very similar work, been funded and/or published elsewhere? Is the proposal clearly written and informative? Does it convey the essence of the research? 20 Will the results of the research be useful to identified end users? Will the research likely present new ideas? If it contains new information, is it a fundamentally useful contribution or is it only marginally useful? 15 Subtotal 35 11
Quality/capability Has the purpose of the research been clearly described? Clarity of the research hypothesis and objectives Is there a well-defined problem statement? Has knowledge of the relevant literature been demonstrated? Method - is it adequately described? Originality of the proposed project Innovation of the research proposed Feasibility of the approach and adequacy of the methods Has the need for the research been demonstrated to be significant? Likelihood that the project will contribute to science and/or expansion of knowledge Can a timely outcome be achieved 30 Is the applicant's ability to accomplish the proposed work (background and documented experience and skills of the Principal Investigator and Co-Investigators) clear? o availability of the investigators (adequate time devoted to the proposal) o expertise achieved by cooperating with specialists, trans-nationally Time-limited opportunities that require immediate funding Prospects for future extramural funding Matching support from other sources Availability of alternate funding sources Career development of young researchers Evidence that junior applicants will be working as independent investigators Is there the necessary infrastructure to support the research? Adequacy of institutional resources, facilities, equipment to support the research 20 Has the applicant provided adequate budget justification? 15 Subtotal 65 Total 100 Certain frequently found weaknesses should be avoided, such as: "Re-inventing the wheel" due to ignorance of prior published work, often in cognate fields; A fishing expedition without a focused hypothesis; Repeated requests for research projects that are eligible for but have failed to garner external reviewed support. 12
Serious shortcomings on technical correctness, novelty, previous efforts and publication, or importance suggest that the proposal should be declined. In that case, the RAC reviewer s report will be explicit in the reason for decline and should not contain suggestions for minor improvements lest the researcher be encouraged to resubmit. Research Proposal Acceptance and Funding The RAC shall submit their report and individual scores to the Foundation Executive Director on or before February 20 of the funding year. Members develop individual scores then arrange for teleconference to discuss pros/cons of proposal(s). The committee shall cause to have reported their recommendations to both the NGWREF Executive Director and the NGWREF Board for final action on the recommendations. The Executive Director will tally the RAC member scores for each proposal and shall report the sum of these scores to the Foundation Board prior to February 25 of the funding year. The Foundation Board will then elect to fund proposals from among this ranking, but with the right not to fund any or all proposals. The Foundation Board will communicate by February 25 of the funding year its decisions to the Foundation Executive Director. On or about March 1, the Executive Director will notify the successful researchers, as well as those that will not be receiving funding, with appropriate written responses. Since meritorious requests exceed available funds, the NGWREF Board may reduce budgets to extend the number of proposals that can be supported. The RAC makes its recommendations to the NGWREF Board, which makes the final decisions about funding, based on year-to-year availability of resources. Terms and Amount of Grant Payments Payment of the Grant ( Grant Payments ) shall be in the amount, and pursuant to the terms specified in the RFP with respect to which the Proposal was submitted. Timing of Grant Payments The initial Grant Payment of one-third of the full grant amount shall be made within thirty (30) calendar days of acceptance of the proposal. In the event that an RFP calls for performance in multiple phases, subsequent Grant Payments shall be made within thirty (30) days of completion of the previous phase, such completion to be determined in the discretion of the Foundation. A payment of a second one-third of the full grant amount shall be made within thirty (30) days of the Foundation Executive Director s receipt of an acceptable written progress report at the pre-identified mid-point of the research. The payment of the final one-third of the full grant amount will be made within thirty (30) days of the Foundation Executive Director s receipt of a pre-identified acceptable final work product of the research. 13
Method of Grant Payments When due, Grant Payments will be paid to the Prospective Grant Recipient locally, in U.S. Dollars, or in an equivalent amount of local currency based on the foreign exchange rate in effect on the date of the payment. No Obligation to Third Parties; Payments Net of Any Taxes The Foundation is not responsible for payment of any Grant, or any part of any Grant, to any party other than the Prospective Grant Recipient. The Prospective Grant Recipient acknowledges and understands that the Grant Payments represent complete payment, net of any taxes that the Foundation may be required to withhold. Research Results Review Process by RAC Three printed copies and one digital copy in Microsoft Word format of the investigator s report summarizing the findings should be submitted to the Executive Director within 60 days of completion of the research. The Executive Director will, within 15 days of receipt of the investigator s research report, submit the report to the RAC for peer review. RAC reviewers shall complete their review of the investigator s research report within 30 days of receipt of the report, annotating a digital copy of the report and submitting the comments to the Foundation s Executive Director for dissemination to the researcher. The RAC may also seek additional peer review for specialized areas of research. The researcher has 30 days to address the peer comments and to finalize the research findings. Intellectual Property and Patents Particular circumstances may arise where it is desirable in regard to the funding objectives of NGWREF (which requires the raising of funds in various ways approved by the Board to further the objectives of the Foundation to make a grant conditional upon receiving by way of a royalty or otherwise funds generated from the commercial exploitation of intellectual property which can be attributed to a particular grant awarded by the Foundation. - In the event that the Proposal is accepted, the Prospective Grant Recipient shall assign and convey to the Foundation all rights, title, and interests in and to the Proposal and any Work Product incorporated in the Proposal or related to the scope of the RFP, including but not limited to all copyrights, trade secrets, and other proprietary information (collectively the Intellectual Property Rights ). The Prospective Grant Recipient retains no rights to the Intellectual Property Rights, except as otherwise provided in this Agreement. - In the event that any of the Intellectual Property Rights cannot be assigned or conveyed by law, the Prospective Grant Recipient hereby grants to the Foundation a worldwide, unlimited, perpetual, irrevocable, exclusive and 14
assignable license to use, make, have made, market, copy, modify, lease, sell, distribute, and create derivative works of or relating to the Intellectual Property Rights. - To the extent that any Intellectual Property Rights incorporate or utilize processes that are the subject of patent rights owned by the Prospective Grant Recipient, the Prospective Grant Recipient agrees to grant to the Foundation a worldwide, assignable, non-exclusive, perpetual, royalty-free right and license to practice any patented processes used or incorporated in the Intellectual Property Rights. - The National Ground Water Research and Educational Foundation reserves the right in appropriate circumstances to conclude an arrangement with a successful applicant for a grant to share in the financial rewards of the commercial exploitation of Intellectual Property generated wholly or in part as a consequence of the award of a Grant. - In implementing this policy, the Board of the Foundation has approved the following guidelines: The awarding of a grant shall not, except in exceptional circumstances, be conditional upon the Foundation receiving an income from the commercialization of Intellectual Property. It is anticipated that it is only in exceptional circumstances that such an income would be appropriate, e.g. where the recipient of the Grant has financial support, which is conditional upon sharing the benefits of commercial exploitation, and there is a clear link between the utilization of the grant and the subsequent commercially exploitable Intellectual Property. In circumstances where it is appropriate, NGWREF will negotiate an appropriate and sensitive arrangement. The NGWREF will not take on the responsibility for seeking, maintaining or enforcing Intellectual Property protection. Any income so derived by the NGWREF will be used for funding future grants awarded by it. Any such arrangements to be made by NGWREF must not affect in any way the tax-exempt status of NGWREF. Process for Foundation Publication 1. A condition of acceptance and funding by the NGWREF is that the essential content of the research project has not been previously published elsewhere. This does not preclude from acceptance and funding a previous work updated and expanded. 2. The Foundation has clear and exclusive publication rights for the projects it funds. The Foundation may or may not choose to publish the funded research as a Foundation monograph. In comparison with a typical journal article, which may describe a specific innovation or insight, Foundation monographs are expected to address a topic in a more comprehensive manner or to cover several related innovations and insights. In comparison with a book, monographs are expected to 15
provide a more succinct and focused description of a topic. Finally, Foundation monographs would be self-contained and presented in a style that is appropriate for all of the ground water professions both trade and scientific. If the Foundation decides not to publish the results of a project it funds, the researcher will be given a release on a timely basis, and after obtaining permission from the Foundation s Executive Director, the researcher may publish results elsewhere provided that proper acknowledgement of Foundation funding is included. This caveat applies to abstracts, summaries, articles, book chapters, monographs, lectures, and the like. 3. As a condition for payment of the portion of the research grant that is withheld until the project is completed, grant recipients must certify that (a) publication of the results has not occurred, (b) publication of the results is not forthcoming elsewhere before the Foundation makes its publication decision, and (c) publication of the results is not forthcoming before Foundation publication occurs (if, indeed, the decision is to publish the research). 4. After the Foundation publishes the research project, grant recipients agree not to republish it elsewhere without the written permission of the Foundation. Once given such permission, grant recipients should make proper acknowledgement of Foundation funding. Researchers are encouraged to present papers at association meetings and research seminars based on research funded by the Foundation, particularly those events of the National Ground Water Association. However, inclusion of funded material in meeting or seminar proceedings must be authorized to the researcher by the Foundation s Executive Director. Presentation of papers relating to the funded research may occur while the research is still in progress. Again, public acknowledgement of the Foundation as a source of funding is desired. While the Foundation wants to see timely and appropriate dissemination of the results of research it has funded, the Foundation reserves the right of first refusal for publication of the findings generated from the research if the Foundation was the source of fifty-one [51] percent or more of the funds necessary to conduct the research. The Foundation requires that an abstract of the research findings be submitted at the conclusion of the research so that the Foundation may consider issuing, at a minimum, the abstract through its Foundation newsletter and other communication outlets. A copy of the research paper/report will be abstracted and indexed to the Ground Water On-Line database of the National Ground Water Association, and a physical copy of the report will be maintained by the Association, as well as by the Foundation. In all other circumstances, the Foundation strongly encourages researchers to submit manuscripts for consideration under first world-wide rights of publication to the editors of Ground Water, or Ground Water Monitoring and Remediation, or Water Well Journal. Acceptance and subsequent publication of the manuscript is totally at the discretion of those editors and is not subject to any decision-making authority of the Board of the National Ground Water Research and Educational Foundation, or of the Foundation s Research Advisory Council. 16
Should these publications not be able to accept the manuscript, even after any modifications requested by the editors, then of course, the Foundation encourages the researcher to seek publication at their own discretion. Copyright NGWREF shall register with the U.S. Copyright Office the text of all materials and other works that are proprietary to NGWA and that are eligible for copyright protection. NGWREF files all registrations and other documents and materials for copyright protection and shall do such other things that may be required or necessary to lawfully protect and enhance all copyrighted materials registered in the name of NGWREF. Copyright is automatically secured when original works of research are fixed in any tangible medium of expression, from which they can be perceived, reproduced, or otherwise communicated. (U.S. Copyright Law, Title 17, U.S. Code Section 102). The right of copyright includes: The right to authorize others to reproduce materials The right to distribute The right to prepare a derivation work The right of performance The right to display works publicly No formal publication shall be issued by NGWREF without appropriate, correct, and properly placed written notice of copyright, including all legally required elements. For visually perceptible copies, these elements shall include, but not necessarily be limited to: -The word Copyright, and symbol, -The full name of NGWREF; -The year of first publication of the work; and -The wording-all Rights Reserved. NGWREF shall, without exception, require other publishers to include, contiguous to any reproduction of material for which copyright is held by NGWA, suitable attribution of copyright for that material. This printed attribution shall include the first three elements noted in the preceding paragraph on Copyright Notice. No permission to reproduce material copyrighted by NGWREF will be granted without a signed agreement to this effect residing in the files of the NGWREF. It is also the policy of NGWREF to obtain releases from researchers of any work published by NGWREF so as to entitle NGWREF to the benefits of copyright protection for such published work. In cases where individual researchers have copyright protection with respect to their work, it is the policy of NGWREF to copyright the compilation published by NGWREF to entitle NGWREF to copyright protection for such published compilation. 17
NGWREF shall permit others to obtain and use NGWREF copyrighted material pursuant to the policy of NGWREF as adopted from time to time by the NGWREF Board of Directors concerning costs and reproduction rights. 18
NGWREF Research Grant Agreement This agreement (the Agreement ) is by and between the National Ground Water Research and Educational Foundation, Inc. ( NGWREF or the Foundation ) and the Prospective Grant Recipient. The Foundation has issued a Request for Proposal ( RFP ) to which the Prospective Grant Recipient has submitted a response (the Proposal ) together with an executed copy of this Agreement. Prospective Grant Recipient desires that the Foundation consider the Proposal for an award of research grant money as set forth in the RFP (the Grant ). 1. THE PROPOSAL Bearing in mind the foregoing, the parties agree as follows: 1.1 Submission of Proposal and Related Work Product The Prospective Grant Recipient has submitted the Proposal in response to a Foundation RFP. The Proposal and all work, ideas, inventions, experiments, discoveries, processes and improvements, computer programs, specifications, operating instructions, notes, and all other documentation (whether or not patentable), which are created, conceived, or first reduced to practice by the Prospective Grant Recipient, alone or with others, in connection with the Proposal shall be considered Work Product for purposes of this Agreement. 1.2 Agreement to Provide Assistance By submitting the Proposal, the Prospective Grant Recipient hereby agrees to provide reasonable assistance and additional information to the Foundation concerning the Proposal and any proposed Work Product to the extent requested. 19
2. ACCEPTANCE OF PROPOSAL 2.1 Acceptance Is Discretionary The Foundation has absolute and sole discretion to determine whether to accept any Proposal. Satisfaction of the criteria for a Proposal as set forth in an RFP does not guarantee acceptance. 2.2 Notification of Acceptance If the Foundation decides to accept the Proposal, the Foundation will notify the Prospective Grant Recipient no later than [ ] business days after receipt of the Proposal (such period referred to as the Exclusive Option Period ). 2.3 Effect of Non-Acceptance In the event that the Proposal is not accepted, the obligations imposed upon the Prospective Grant Recipient under this Agreement shall terminate. 3. RIGHTS AND OBLIGATIONS UPON ACCEPTANCE 3.1 Entitlement to Grant Should the Foundation decide to accept the Proposal, the Prospective Grant Recipient shall be entitled to receive the Grant as provided in Section 4. 3.2 Transfer of Intellectual Property Rights In the event that the Proposal is accepted, the Prospective Grant Recipient shall assign and convey to the Foundation all rights, title, and interests in and to the Proposal and any Work Product incorporated in the Proposal or related to the scope of the RFP, including but not limited to all copyrights, trade secrets, and other proprietary information (collectively the Intellectual Property Rights ). The Prospective Grant Recipient retains no rights to the Intellectual Property Rights, except as otherwise provided in this Agreement. In the event that any of the Intellectual Property Rights cannot be assigned or conveyed by law, the Prospective Grant Recipient hereby grants to the Foundation a worldwide, unlimited, perpetual, irrevocable, exclusive and assignable license to use, make, have made, market, copy, modify, lease, sell, distribute, and create derivative works of or relating to the Intellectual Property Rights. 3.3 License of Existing Patents To the extent that any Intellectual Property Rights incorporate or utilize processes that are the subject of patent rights owned by the Prospective Grant Recipient, the 20
Prospective Grant Recipient agrees to grant to the Foundation a worldwide, assignable, non-exclusive, perpetual, royalty-free right and license to practice any patented processes used or incorporated in the Intellectual Property Rights. 3.4 Execution of Documents The Prospective Grant Recipient agrees, during the term of this Agreement and thereafter, to execute all papers and to do all things deemed necessary by the Foundation in order to ensure that the Foundation acquires all rights, title, and interests in and to the Intellectual Property Rights. Such cooperation and execution shall be performed without additional compensation to the Prospective Grant Recipient; provided, however, that the Foundation shall reimburse the Prospective Grant Recipient for reasonable out-of-pocket expenses incurred at the specific request of the Foundation. 3.5 Access to the Foundation Database In the event that the Proposal is accepted, the Foundation shall grant to the Prospective Grant Recipient a non-exclusive license to access and utilize the research database operated by the Foundation. 4. GRANT PAYMENTS 4.1 Terms and Amount of Grant Payments Payment of the Grant ( Grant Payments ) shall be in the amount, and pursuant to the terms specified in the RFP with respect to which the Proposal was submitted. 4.2 Timing of Grant Payments The initial Grant Payment of one-third of the full grant amount shall be made within thirty (30) calendar days of acceptance of the proposal. In the event that an RFP calls for performance in multiple phases, subsequent Grant Payments shall be made within thirty (30) days of completion of the previous phase, such completion to be determined in the discretion of the Foundation. A payment of a second one-third of the full grant amount shall be made within thirty (30) days of the Foundation Executive Director s receipt of an acceptable written progress report at the pre-identified mid-point of the research. The payment of the final one-third of the full grant amount will be made within thirty (30) days of the Foundation Executive Director s receipt of a pre-identified acceptable final work product of the research. 4.3 Method of Grant Payments When due, Grant Payments will be paid to the Prospective Grant Recipient locally, in U.S. Dollars, or in an equivalent amount of local currency based on the foreign exchange rate in effect on the date of the payment. 21
4.4 No Obligation to Third Parties; Payments Net of Any Taxes The Foundation is not responsible for payment of any Grant, or any part of any Grant, to any party other than the Prospective Grant Recipient. The Prospective Grant Recipient acknowledges and understands that the Grant Payments represent complete payment, net of any taxes that the Foundation may be required to withhold. 5. NON-COMPETITION 5.1 Non-Competition During the Exclusive Option Period, and following any award of the Grant, the Prospective Grant Recipient is prohibited from using, granting, assigning, licensing or otherwise transferring any of the Intellectual Property Rights to a third party. 6. REPRESENTATIONS AND WARRANTIES 6.1 Prospective Grant Recipient s Representations and Warranties The Prospective Grant Recipient hereby represents and warrants that: A. All information provided ("Grant Recipient Information") is true, accurate, current, and complete information and such information will be maintained and updated when appropriate. B. If the Prospective Grant Recipient is a business or other entity, the person or entity signing on behalf of the Prospective Grant Recipient is authorized to enter into this Agreement on behalf of that business or entity. C. The Prospective Grant Recipient is the owner of all Intellectual Property Rights to be transferred hereunder, and such rights, and use of such rights, does not infringe or violate any patent, copyright, trade secret, trademark, or other third-party intellectual property right. The Prospective Grant Recipient is not aware of any threatened claim or challenge to its rights or use of the Intellectual Property Rights. The Prospective Grant Recipient has the right to transfer all rights and title to the Intellectual Property Rights as required by Section 3.2 of this Agreement and acknowledges that, upon acceptance of the Proposal, the Intellectual Property Rights become the property of the Foundation. The title to the Intellectual Property Rights acquired by the Foundation hereunder is and shall be delivered free from any security interest, lien, or encumbrance of any kind. D. The Prospective Grant Recipient is not obligated under any contract, employment agreement, employment relationship or any other relationship or commitment to assign any of its rights in the Intellectual Property Rights to an employer, university or academic institution, governmental entity or body, or other third party. 22
7. CONFIDENTIALITY 7.1 Definition of Confidential Information "Confidential Information" includes (i) all information surrounding the Intellectual Property Rights; and (ii) all information set forth in the password protected database of the Foundation. Confidential Information shall not include information which is in the public domain, or which was publicly known or available as of the date of this Agreement, or which subsequently becomes available to the public in a manner not involving a breach of any duty under this Agreement. 7.2 Duty of Non-Disclosure During the term of this Agreement and at all times thereafter, the Prospective Grant Recipient shall not disclose to any third-party nor use for any purpose other than for the performance of this Agreement, any Confidential Information without the express written consent of the Foundation. Nothing herein shall preclude the ultimate disclosure of any information required by law. The same restrictions on disclosure and use of Confidential Information described in this section shall apply to the use or disclosure by the Foundation during the Exclusive Option Period and, if the Proposal is not accepted, thereafter; provided that such restrictions shall not apply to the extent that the Confidential Information can be shown by business records of the Foundation (i) to have been known to the Foundation previously; or (ii) to have been independently created by personnel of the Foundation who had no access to the Confidential Information. 8. TERMINATION The Foundation may terminate this Agreement and/or deny the Prospective Grant Recipient access to all or part of the Foundation without prior notice in its sole discretion. 9. LIMITATION OF LIABILITY; WAIVER OF CLAIMS 9.1 Limitation of Actions The Prospective Grant Recipient agrees that regardless of any statute or law to the contrary, any claim or cause of action it may have against the Foundation arising out of or related to this Agreement must be filed within one (1) year after such claim or cause of action accrues, or such a claim shall be forever barred. 9.2 Acknowledgment of Risk; Waiver of Claims; Indemnification The Prospective Grant Recipient acknowledges that work related to an RFP may require the use or synthesis of biologics or chemicals that could be bacterially mutagenic, toxic, carcinogenic or otherwise harmful to the Prospective Grant Recipient, its agents, 23
employees, contractors, or and anyone else that is exposed to them and that the Prospective Grant Recipient undertakes the creation of any Proposal at its own risk. The Prospective Grant Recipient waives any claim or cause of action against the Foundation for any injury caused by information or specifications contained in an RFP, and agrees to indemnify and hold the Foundation harmless for any injury or loss resulting from or related to the creation or implementation of the Proposal. 10. INDEMNIFICATION The Prospective Grant Recipient will indemnify the Foundation, its agents and employees against and hold them harmless from any and all claims, costs, damages, expenses and liabilities (including reasonable attorneys fees and costs of litigation or defense incurred by the Foundation), arising out of or relating to: (i) any violation or breach of any term of this Agreement by the Prospective Grant Recipient or by anyone using the Prospective Grant Recipient s username and password to the Foundation s database; (ii) any breach of the representations and warranties made in Section 6; and (iii) any claim for payment of any part of a Grant, or any other compensation or salary asserted by any of the Prospective Grant Recipient s employers, employees, agents, partners, associates or subcontractors. In the event that the Foundation is in any way enjoined from utilizing the Intellectual Property Rights, or any portion thereof, the Prospective Grant Recipient shall promptly, at its expense either: (i) provide noninfringing means of using the Intellectual Property Rights; or (ii) negotiate and procure the right to use the Intellectual Property Rights without restriction. If neither (i) nor (ii) can be accomplished within a reasonable time period and at no cost to the Foundation, Prospective Grant Recipient shall refund any Grant paid by the Foundation. 11. DISPUTE RESOLUTION Any dispute or disagreement arising between Prospective Grant Recipient and the Foundation in connection with this Agreement, at the request of either party, may be settled under the Commercial Arbitration Rules of the American Arbitration Association, in effect on the date that such request is made, by three (3) arbitrators appointed in accordance with such Rules. The arbitration proceedings shall be conducted in Franklin County, Ohio, U.S.A. The arbitration resolution shall be final and binding upon the parties and judgment may be entered thereon, upon the application of either party, by any court having jurisdiction. Each party shall bear the cost of preparing and presenting its case; and the cost of arbitration, including the fees and expenses of the arbitrators, will be shared equally by the parties unless the resolution provides otherwise. 12. MISCELLANEOUS 12.1 No Joint Venture Nothing in this Agreement shall be construed to establish a joint venture, agency, employment, or other business relationship between the parties. 24