Source: https://www.federalregister.gov/documents/2015/09/11/2015-21434/uniform-administrative-requirements-cost-principles-and-audit-requirements-for-federal-awards
Timestamp: 2017-06-25 04:04:44
Document Index: 352801172

Matched Legal Cases: ['art 200', 'art 1800', 'art 200', 'arts 2', 'art 1800', 'art 200', '§\u20091800', '§\u20091800', '§\u20091800', '§\u20091800', '§\u20091800', '§\u20091800', '§\u20091800', '§\u20091800', '§\u20091800', '§\u20091800', '§\u20091800', '§\u20091800', '§\u20091800', '§\u20091800', '§\u20091800', '§\u2009200', '§\u2009200', '§\u20091800', '§\u20091800', '§\u20091800', '§\u20091800', '§\u2009200', '§\u2009200', '§\u2009200', '§\u2009200', '§\u2009200', '§\u2009200', '§\u2009200', '§\u20091800', '§\u2009200', '§\u2009200', '§\u2009200', '§\u2009200', 'art 401', '§\u20091800', '§\u2009200', '§\u2009200', '§\u2009200']

:: Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards
A Rule by the National Aeronautics and Space Administration on 09/11/2015
Effective: October 13, 2015.
54701-54713
2700-AE18
A.1 Certifications, Assurances, and Representations
A.2 Certification of Compliance on Proposal Cover Page
A.3 Assurance of Compliance With the National Aeronautics and Space Administration Regulations Pursuant to Nondiscrimination in Federally Assisted Programs
A.4 Certification Regarding Lobbying
A.5 Certification Regarding Debarment, Suspension, and Other Matters of Responsibility
A.6 Certifications To Implement Restrictions in Appropriations Acts
1800.900 Terms and Conditions
1800.901 Compliance With OMB Guidance on Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards
1800.903 Extensions
1800.904 Termination and Enforcement
1800.905 Change in Principal Investigator or Scope
1800.906 Financial Management
1800.907 Equipment and Other Property
1800.908 Patent Rights
1800.909 Rights in Data
1800.910 National Security
1800.911 Nondiscrimination
1800.912 Clean Air and Water
1800.913 Investigative Requirements
1800.914 Travel and Transportation
1800.915 Safety
1800.916 Buy American Encouragement
1800.917 Investigation of Research Misconduct
1800.918 Allocation of Risk/Liability
1800.919 Cooperative Agreement
1800.920 Multiple Year Award
1800.921 Incremental Funding
1800.922 Cost Sharing
1800.923 New Technology
1800.924 Designation of New Technology Representative and Patent Representative
1800.925 Equipment and Other Property Under Awards With Commercial Firms
1800.926 Listing of reportable equipment and other property.
1800.927 Invoices and Payments Under Awards With Commercial Firms
1800.928 Electronic Funds Transfer Payment Methods
https://www.federalregister.gov/d/2015-21434
09/10/2015 at 08:45 am.
Barbara Orlando, NASA, Office of Procurement, Contract and Grants Policy Division (Suite 5L34); (202) 358-3911; email: barbara.j.orlando@nasa.gov.
An interim rule was published on 19 December, 2014 (79 FR 75872) implementing the Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards. This part establishes policies and procedures for grants and cooperative agreements awarded by National Aeronautics and Space Administration (NASA) to non-Federal entities, commercial firms (when cost sharing is not required), and foreign organizations as allowed by 2 CFR 200.101 Applicability. The policies and procedures that recipients must follow are those appearing in subparts A through F of 2 CFR part 200 and as supplemented by 2 CFR part 1800. For the supplemental guidance, NASA has adopted section numbers that correspond to those in the OMB guidance in 2 CFR part 200.
No public comments were received. However, upon internal review NASA identified some areas that needed changing and/or clarifying. The first group of changes were editorial changes to provide clarification. NASA added definitions to provide clarity to the various sections of this regulation. Notable definition changes occurred as follows:
Referencing the term “award” when referring to both grant and cooperative agreement awards.
Clarifying the roles of the Administrative Grant Officer, Grant Officer and NASA Technical Officer. And
Including definitions of “original signature” and ”prescription.”
Language was added to 2 CFR 1800.306 clarifying that NASA may require matching funds on some research opportunities.
A second group of changes was made to Appendix B, Terms and Conditions. The most substantive changes were to 2 CFR 1800.900, 1800.906, 1800.907, 1800.909, 1800.918, 1800.923, 1800.924 and 1800.925 as follows:
2 CFR 1800.900 was changed by adding clarification that State laws supersede the terms and conditions of a grant award; as required in the Presidential Memorandum on Preemption.
2 CFR 1800.906 was changed to assure compliance with laws regarding the use of appropriated funds.
2 CFR 1800.907 was changed to expand the exemption for prior approval to include any research grant not just those awarded through the Federal Demonstration Partnership.
2 CFR 1800.909 and 1800.923 were changed to remove references to the Federal Acquisition Regulation (FAR) and remove those segments that apply to contracts, such as withholding payments, that are not applicable to assistance awards.
2 CFR 1800.918 was changed to clarify flow down requirements.
2 CFR 1800.924 was changed to reflect a new structure for reporting to the New Technology Officers. and
2 CFR 1800.925 Invention Reporting and Rights was eliminated since it duplicated parts 2 CFR 1800.902. All subsequent sections were renumbered to reflect the elimination of this section.
NASA determined that the changes implemented with this revision will benefit the NASA financial assistance community by reducing administrative costs through clarifying ambiguous terms, reducing the reporting burden, and eliminating duplicative regulations.
The Paperwork Reduction Act (Pub. L. 104-13) does not apply because this final rule does not contain any information collection requirements that require the approval of the Office of Management and Budget under 44 U.S.C. 3501, et seq.
Accordingly, NASA adopts the interim rule published December 19, 2014, at 79 FR 75871, as final with the following revision of part 1800:
1800.1 Authority.
1800.2 Purpose.
1800.3 Applicability.
1800.4 Amendment.
1800.5 Publication.
1800.6 Deviations.
Start Printed Page 54702
1800.10 Acronyms.
1800.11 Definitions.
1800.208 Certifications and representations.
1800.209 Pre-award costs.
1800.210 Information contained in a Federal award.
1800.305 Payment.
1800.306 Cost sharing or matching.
1800.312 Federally owned and exempt property.
1800.315 Intangible property.
1800.339 Termination.
1800.400 Policy guide.
51 U.S.C. 20113 (e), Pub. L. 97-258, 96 Stat. 1003 (31 U.S.C. 6301 et seq.), and 2 CFR part 200.
§ 1800.1 Authority.
§ 1800.2 Purpose.
§ 1800.3 Applicability.
§ 1800.4 Amendment.
§ 1800.5 Publication.
The official site for accessing the NASA Grant and Cooperative Agreement Regulation, including notices, internal guidance, certifications, Grants and Cooperative Agreements Manual and other source information is on the internet at https://prod.nais.nasa.gov/​pub/​pub_​library/​srba.
§ 1800.6 Deviations.
§ 1800.10 Acronyms.
ACH Automated Clearing House
AO Announcement of Opportunity
CAN Cooperative Agreement Notice
CNSI Classified National Security Information
HBCU Historically Black Colleges and Universities
LEP Limited English Proficiency
MI Minority Institutions
MYA Multiple Year Award
NFS NASA FAR Supplement
NPR NASA Procedural Requirements
NRA NASA Research AnnouncementStart Printed Page 54703
NSSC NASA Shared Services Center
ONR Office of Naval Research
RPPR Research Performance Progress Report
§ 1800.11 Definitions.
§ 1800.208 Certifications and representations.
The certifications and representations for NASA may be found at Appendix A of this part and https://prod.nais.nasa.gov/​pub/​pub_​library/​srba.
§ 1800.209 Pre-award costs.
The terms and conditions for NASA may be found at Appendix B of this part and https://prod.nais.nasa.gov/​pub/​pub_​library/​srba.
§ 1800.305 Payment.
§ 1800.306 Cost sharing or matching.
§ 1800.312 Federally owned and exempt property.
§ 1800.315 Intangible property.
§ 1800.339 Termination.
NASA reserves the ability to terminate a Federal award in accordance with § 200.338 through § 200.342 and as set forth in 2 CFR 1800.921.
§ 1800.400 Policy guide.
A.1 Certifications, Assurances, and Representations.
A.2 Certification of Compliance on Proposal Cover Page.
A.3 Assurance of Compliance with the National Aeronautics and Space Administration Regulations Pursuant to Nondiscrimination in Federally Assisted Programs.
A.4 Certification Regarding Lobbying.
A.5 Certification Regarding Debarment, Suspension, and Other Matters of Responsibility.Start Printed Page 54704
A.6 Certifications to Implement Restrictions in Appropriations Acts.
Unless prohibited by statute or codified regulation, NASA will allow recipients to submit certain certifications and representations required by statute, executive order, or regulation on an annual basis, if the recipients have ongoing and continuing relationships with the agency. Annual certifications and representations shall be signed by responsible officials with the authority to ensure recipients' compliance with the pertinent requirements. Recipients determine how annual representations affect their responsibility to obtain required certifications from pass-through entities. All Certification required for an application can be found at https://prod.nais.nasa.gov/​pub/​pub_​library/​srba.
If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its instructions. The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which Start Printed Page 54705reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000, and not more than $100,000 for each such failure.
The text of these certifications is found at https://prod.nais.nasa.gov/​pub/​pub_​library/​srba.
1800.900 Terms and Conditions.
1800.901 Compliance with OMB Guidance on Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal awards.
1800.902 Technical Publications and Reports.
1800.903 Extensions.
1800.904 Termination and Enforcement.
1800.905 Change in Principal Investigator or Scope.
1800.906 Financial Management.
1800.907 Equipment and Other Property.
1800.908 Patent Rights.
1800.909 Rights in Data.
1800.910 National Security.
1800.911 Nondiscrimination.
1800.912 Clean Air and Water.
1800.913 Investigative Requirements.
1800.914 Travel and Transportation.
1800.915 Safety.
1800.916 Buy American Encouragement.
1800.917 Investigation of Research Misconduct.
1800.918 Allocation of Risk/Liability.
1800.919 Cooperative Agreement.
1800.921 Incremental Funding.
1800.922 Cost Sharing.
1800.923 New Technology.
1800.924 Designation of New Technology Representative and Patent Representative.
1800.925 Equipment and Other Property under Awards with Commercial Firms.
1800.927 Invoices and Payments under Awards with Commercial Firms.
1800.928 Electronic Funds Transfer Payment Methods.
(a) Unless otherwise noted in the prescriptive language awards with Non-Federal entities shall incorporate by reference the terms and conditions set forth in sections §§ 1800.901 through 1800.918 of this appendix. Any of the terms and conditions in sections §§ 1800.919 through 1800.928 shall be referenced in full text. The program office may need to include information required for certain terms and conditions to allow for additional information, or permit minor modifications. For example, the Grant Officer may substitute appropriate sections of § 1800.902, Technical Publications and Reports,” with reporting requirements specified by the program office.
(a) NASA encourages the widest practicable dissemination of research results at any time during the course of the investigation.Start Printed Page 54706
(b) Recipients may extend the expiration date of an award if additional time beyond the established end date is required to assure adequate completion of the original scope of work within the funds already made available. For this purpose, the recipient may make a one-time no-cost extension, not to exceed 12 months, prior to the established expiration date. Written notification of such an extension, with the supporting reasons, must be received by the NASA Grant Officer at least ten days prior to the expiration of the award. A copy of the extension must also be forwarded to cognizant Office of Naval Research (ONR) office, if administration has been delegated to ONR. NASA reserves the right to disapprove the extension if the requirements set forth at § 200.308(d) (2) are not met.
Prescription—This term and condition implements § 200.338 through § 200.342. The Grant Officer shall include this term and condition in all awards.
Termination and enforcement conditions of this award are specified in § 200.338 through § 200.342.
Prescription—This term and condition implements § 200.302. The Grant Officer shall include this term and condition in all awards except when the recipient is a commercial firm.
(b) In addition, the recipient shall submit a final SF 425 in electronic or paper form to NASA within 90 calendar days after the end date of the period of performance. The final SF 425 shall pertain only to the completed award and shall include total disbursements from inception through completion. The report shall be marked “Final.” The final SF 425 shall be submitted to NASA per the Grants and Cooperative Agreement Manual (GCAM) Exhibit E, Required Publications and Reports, A copy of the GCAM is located at https://prod.nais.nasa.gov/​pub/​pub_​library/​srba.
(End of Term and Condition)Start Printed Page 54707
(2) Special purpose and general purpose equipment costing in excess of $5,000 (unless a lower threshold has been established by the recipient) acquired by the recipient under an award for the purpose of research shall be titled to the recipient as “exempt” without further obligation to NASA, including reporting of the equipment, in accordance with § 200.312(c) and § 1800.312. Special purpose or general purpose equipment costing in excess of $5,000 (unless a lower threshold has been established by the recipient) acquired by the recipient under an award for non-research work shall be titled to the recipient in accordance with § 200.313.
(3) Special purpose or general purpose equipment acquired by the recipient with award funds, valued under $5,000 (unless a lower threshold is established by the recipient) are classified as “supplies,” do not require the prior approval of the NASA Grant Officer, shall vest in the recipient and will be titled to the recipient in accordance with § 200.314.
(1) All reports will include the information listed in paragraph (d)(1) of § 200.313, Equipment. No specific report form or format is required, provided that all necessary information is provided.
As stated at § 200.315(c), this award is subject to the provisions of 37 CFR 401.3(a) which requires use of the standard clause set out at 37 CFR 401.14 “Patent Rights (Small Business Firms and Nonprofit Organizations)” and the following:
(1) Publishing information concerning an invention before a patent application is filed on a subject invention may create a bar to a valid patent. To avoid this bar, agencies may withhold information from the public that discloses any invention in which the Government owns or may own a right, title, or interest (including a nonexclusive license) (see 35 U.S.C. 205 and 37 CFR part 401). Agencies may only withhold information concerning inventions for a reasonable time in order for a patent application to be filed. Once filed in any patent office, agencies are not required to release copies of any Start Printed Page 54708document that is a part of a patent application for those subject inventions.
“(1) In the event data first produced by the recipient in carrying out recipient's responsibilities under this award is furnished to NASA, and recipient considers such data to embody trade secrets or to comprise commercial or financial information which is privileged or confidential, and such data is so identified with a suitable notice or legend, the data will be maintained in confidence and disclosed and used by the Government and its contractors (under suitable protective conditions) only for experimental, evaluation, research and development purposes, by or on behalf of the Government for an agreed to period of time, and thereafter for Federal purposes as defined in § 1800.909(b).”
Prescription—This term and condition implements Executive Order 12829. The Grant Officer shall include this term and condition in all awards. The term and condition must be augmented to conform to the requirements of OMB Guidance M-05-24 “Implementation of Homeland Security Presidential Directive (HSPD) 12—Policy for a Common Identification Standard for Federal Employees and Contractors” when a Start Printed Page 54709recipient will require routine access to a Federal-controlled facility and/or information system.
Prescription—This term and condition implements § 200.336, The Grant Officer shall include this term and condition in all awards.
(c) Criteria and procedures for allowable and allocable costs of cash and non-cash contributions shall be governed by § 200.306, Cost Sharing or Matching. The applicable Federal cost principles are cited in 2 CFR 200 Subpart E.
(1) The recipient is hereby granted a revocable, nonexclusive, royalty-free license in each patent application filed in any country on a subject invention and any resulting patent in which the Government acquires title, unless the recipient fails to disclose the subject invention within the times specified in paragraph (e)(2) of this term and condition. The recipient's license extends to its domestic subsidiaries and affiliates, if any, within the corporate structure of which the recipient is a party and includes the right to grant sublicenses of the same scope to the extent the recipient was legally obligated to do so at the time the award was issued. The license is transferable Start Printed Page 54711only with the approval of the Administrator except when transferred to the successor of that part of the recipient's business to which the invention pertains.
(4) The subrecipient will retain all rights provided for the recipient in paragraph (h)(1)(i) or (ii) of this term and condition, whichever is included in the subaward/subcontracts, and the recipient will not, as part of the consideration for awarding the Start Printed Page 54712subaward/subcontract, obtain rights in the subrecipients's subject inventions.
(a) Title to Federally-owned property provided to the recipient remains vested in the Federal Government, and shall be managed in accordance with § 200.312. The following items of Federally-owned property are being provided to the recipient for use in performance of the work under this award—
(a) Payments under this award will be made by the Government by electronic funds transfer through the Treasury Fedline Payment System (FEDLINE) or the Automated Clearing House (ACH), at the option of the Government. After award, but no later than 14 days before an invoice is submitted, the recipient shall designate a financial institution for receipt of electronic Start Printed Page 54713funds transfer payments, and shall submit this designation to the Grant Officer or other Government official, as directed.
[FR Doc. 2015-21434 Filed 9-10-15; 8:45 am]