[Federal Register Volume 62, Number 230 (Monday, December 1, 1997)]
[Rules and Regulations]
[Pages 63452-63453]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-30972]
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NATIONAL AERONAUTICS AND SPACE ADMINISTRATION
14 CFR Part 1260
Miscellaneous Revisions to the NASA Grant and Cooperative
Agreement Handbook, Section A
AGENCY: National Aeronautics and Space Administration (NASA).
ACTION: Final rule.
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SUMMARY: The NASA Grant and Cooperative Agreement Handbook regulation
is published in the Code of Federal Regulations. This is a final rule
to amend the Handbook to: Redefine certain grant terms to eliminate
ambiguities; clarify definitions and proposal and certification
requirements relative to action type; raise the subcontract consent
level from $25,000 to $100,000; clarify when it is necessary to obtain
a revised budget proposal for competitively selected research grants;
reduce the level of detail required for proposed travel costs; waive
the requirement for Grant Officer approval of competitively selected
research grants where 50 percent or more of the proposed funding is for
equipment or travel; and clarify the requirements for proposal and
approval procedures to permit the direct charge of general purpose
equipment.
EFFECTIVE DATE: December 1, 1997.
FOR FURTHER INFORMATION CONTACT:
Donna Fortunat, NASA, Office of Procurement, Contract Analysis Division
(Code HC), (202) 358-0426.
SUPPLEMENTARY INFORMATION:
Background
The NASA Grant and Cooperative Agreement Handbook is the NASA
regulation for awarding and administering grants and cooperative
agreements (14 CFR part 1260). Subpart A provides the text of
provisions and special conditions and addresses NASA's authority,
definitions, applicability, amendments, publications, deviations, pre-
award requirements and post-award requirements.
Impact
NASA certifies that this regulation will not have a significant
economic impact on a substantial number of small business entities
under the Regulatory Flexibility Act (5 U.S.C. 601 et seq.). This final
rule does not impose any reporting or recordkeeping requirements
subject to the Paper Reduction Act.
List of Subjects in 14 CFR Part 1260
Grant programs--science and technology, Reporting and recordkeeping
requirements, Research.
Tom Luedtke,
Deputy Associate Administrator for Procurement.
Accordingly, 14 CFR Part 1260 is amended as follows:
PART 1260--GRANTS AND COOPERATIVE AGREEMENTS
1. The authority citation for 14 CFR Part 1260 continues to read as
follows:
Authority: 42 U.S.C. 2473(c)(1), Pub. 2.97-258, 96 Stat. 1003
(31 U.S.C. 6301 et seq.), and OMB Circular A-110.
2. In section 1260.2, the definitions ``Extension'' and
``Supplement'' are removed, and the following definition ``Amendment''
is added in alphabetical order to read as follows:
Sec. 1260.2 Definitions.
* * * * *
Amendement. Any document used to effect modifications to grants and
cooperative agreements. Amendments may be issued unilaterally at the
discretion of the Grant Officer.
* * * * *
3. In section 1260.11, paragraphs (d) and (e)(1) are revised and
paragraph (e)(3) is added to read as follows:
Sec. 1260.11 Evaluation and selection.
* * * * *
(d) Equipment justification on travel justification. Unless the
proposal is selected using a competitive process, for example, a NASA
Research Announcement or a Cooperative Agreement Notice, these
documents will be submitted by the technical office for grant officer
approval when more than half of the proposed budget is for equipment or
travel and associated indirect cost. The justification shall describe
the extent to which the equipment or travel is necessary.
(e) Proposal budget evaluation. (1) The technical officer will
review the recipients' estimated cost for conformance to program
requirements and funds availability. The results of this review shall
be recorded in Column B of the proposed Budget Summary Form (Exhibit
C). New budgets are not required when the program office recommended
funding is within 20 percent of the proposed amount, provided specific
proposed objectives have not been added or deleted. However, when
equipment and/or subcontracts are involved, the cognizant program
office is required to identify the cost element(s) affected by the
change in funding level.
* * * * *
(3) The grant officer will address requests for direct charge of
general purchase equipment in a negotiation summary and indicate
whether the proposed purchase is approved as a direct cost.
* * * * *
4. Section 1260.13 is revised to read as follows:
Sec. 1260.13 Award procedures.
(a) Award instruments--(1) Annual grant. Grant may be awarded for a
short term (e.g., on an annual basis).
(2) Multiple year grant. NASA policy is to make maximum use of
multiple year grants to support research projects that may span several
years. A multiple year grant is generally selected for a period of
three years in keeping with NASA's policy calling for research to be
peer reviewed at least every three years.
(i) If the decision to provide multiple year funding to a research
proposal is made, the special condition in Sec. 1260.52, ``Multiple
Year Grants'', will be included in the award.
(ii) Periods approved under the Multiple Year Grants special
condition in Sec. 1260.52, and funded at the levels specified in the
special condition, are not considered to be new awards. Therefore, new
proposals, new proposal-related certifications (such as Drug Free
Workplace and Debarment and Suspension) and new technical evaluations
are not required.
[[Page 63453]]
(iii) If NASA program constraints or developments within the
research project dictate a reduction in the funding level specified
under a multiple year grant period, research may continue at the
reduced level under the terms of the special condition; however, the
recipient may rebudget under the grant provisions to keep the project
within the funding actually provided.
(3) Supplements. A supplement to a grant may be issued at any time
when work is introduced which is outside the scope of the approved
proposal; or when there is a need for substantial unanticipated
funding. Supplements require the submission of revised budget proposals
and technical evaluations. Since Supplements will be performed within
the existing period of performance, certifications will not normally be
required.
(4) Extensions. Grant may be extended beyond the expiration date in
accordance with Sec. 1260.22, ``Extensions'', if additional time beyond
the established period of performance is required to assure adequate
completion of the original scope of work within the available funding.
(5) Renewals. Grant renewals provide for continuation of research
beyond the original scope, period of performance and funding levels;
therefore, new proposals, certifications and technical evaluations are
required prior to the execution of a grant renewal. Continued
performance within a period specified under the Multiple Year Grants
special condition does not constitute a renewal. Peer review of the
continuing research should be accomplished prior to selecting a
research grant for renewal. The Multiple Year Grant special condition
may be incorporated into renewals.
(b) Funding arrangements. While NASA normally provides full funding
support for research grants, alternate methods of grant funding are as
follows:
(1) Cost sharing. Since NASA grant recipients usually gain no
measurable benefit from grants other than conducting research, cost
sharing for research grants is not generally required. NASA may,
however, accept cost sharing when voluntarily offered. Additionally, in
instances when the Grant Officer determines that the recipient will
benefit from research results through sales to non-Federal entities,
cost sharing based upon this mutuality of interest will apply (see
Sec. 1260.123). When cost sharing is used, the Grant Officer shall
insert a special condition substantially as shown in Sec. 1260.54,
``Cost Sharing.''
(2) Partial support. NASA may provide partial support for a
research project or conference where additional funding is being
provided by other Federal agencies. If the grant also involves cost
sharing by the recipient, the Grant Officer will ensure that the
recipient's share does not include any Federal funds.
5. In Sec. 1260.32 the clause heading and paragraphs (a) and (c)
are revised and a bracket line is added at the end of the section to
read as follows:
Sec. 1260.32 Subcontracts.
Subcontracts (November 1997)
(a) For all subcontracts over $100,000, the recipient shall
provide the following to the NASA grant officer for approval:
(1) A copy of the proposed subcontract.
(2) The basis for subcontractor selection.
(3) Justification for lack of competition when competitive bids
or offers are not obtained.
(4) The subcontract budget and basis for subcontract cost or
price.
* * * * *
(c) All contracts awarded by a recipient, including small
purchases, shall contain the provisions in appendix A of subpart B
of this part.
[End of provision]
[FR Doc. 97-30972 Filed 11-28-97; 8:45 am]
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