Agency Matrix

Application of Federal Regulations by Agency

Type Dept. of Ed DOD DOE EPA NASA NEA NIH NSF USAID USDA-NIFA
New Award UG  – UG UG UG UG UG UG
New Funding Increment  – OMB UG UG UG UG UG
Carryover Funds  – OMB UG UG UG UG UG
Supplement  – UG UG UG UG
No Cost Extension  – OMB OMB* OMB* OMB*
Modification without New Funding  – OMB OMB OMB OMB OMB

*for existing awards made prior to 12/26/14


Agency Specific Citations

Use the following table to view specific citations by funding agency.

Dept. of Ed.

2 CFR Part 3474, CFR Part 75

Final Reports Due

  • Silent

Prior Approval Waived

  • Silent

Conflict of Interest

Procurement

  • No change from UGI language (2 CFR §75.524(c))

Conflict of interest: Participation in a project

  • A grantee may not permit a person to participate in an administrative decision regarding a project if:
    • The decision is likely to benefit that person or a member of his or her immediate family; and
    • The person (i) is a public official; or (ii) has a family or business relationship with the grantee
  • A grantee may not permit any person participating in the project to use his or her position for a purpose that is – or gives the appearance of being – motivated by a desire for a private financial gain for that person or for others.
    (2 CFR §75.525)

Cost-Sharing

  • In accordance with 2 CFR 200.210(a)(10), Required Cost-sharing must be included on the GAN

Travel Justification

  • Same as in UG, except that further guidance is given for providing food at conferences: Providing meals at conferences is allowable only when it is reasonable and necessary to the completion of actual work. A working lunch may be a legitimate expense if the conference must conduct sessions at that time to keep the number of conference days to a minimum. Snacks and other meals typically do not meet the reasonable and necessary standard, because these costs can be purchased by attendees using non-grant funds and the snacks are not essential to the objectives of the conference. (http://www2.ed.gov/policy/fund/guid/uniform-guidance/faq62515.pdf, Question 11)

Participant Support

Program Income

  • No change from UG language (2 CFR §§75.621, 75.622)

UG Applicability to New, Continuing and Supplemental Awards

  • Title 34, Code of Federal Regulations (CFR), Parts 75-79, 81 to 86 and 97-99 EDGAR is currently in transition. For awards made prior to 12/26/2014, EDGAR Parts 74 and 80 still apply. For awards made on or after 12/24/2014, 2 CFR Part 200, which includes the substance formerly in parts 74 and 80, applies.
    (http://www2.ed.gov/policy/fund/reg/edgarReg/edgar.html)

Termination

  • No change for UG language (2 CFR §75.901)

DoD3

2 CFR Part 1103

Final Reports Due

  • Regulations are silent, but based on recent DoD award terms, final financial and technical reports are due 90 days after the end date of the grant

Prior Approval Waived

  • Regulations are silent, but DoD award documents are still referencing the FDP matrix. Terms currently being used give quite a bit of discretion to the agencies providing the funding

Required

  • Change in scope
  • Absence or change of PI
  • Pre-award costs greater than 90 days

Waived

  • Pre-award costs (90 days)
  • Carry forward unexpended balances to subsequent funding
  • Rebudgeting among categories
  • Rebudgeting between direct & IDC
  • Equipment not in budget
  • Foreign travel (this varies by DoD agency)

Conflict of Interest

  • Regulations are silent, but based on recent DoD award terms, Dod has not implemented a change from pre-UG requirements

Cost-Sharing

  • Regulations are silent, but based on recent DoD award terms, there is no change from UG language. However, there appears to be references back to older language in the terms and conditions being incorported in to the awards.

Travel Justification

  • Regulations are silent, but based on recent DoD award terms, no change from UG language.

Participant Support

  • Regulations are silent, but based on recent DoD award terms, consistent with current UG language

Program Income

  • Regulations are silent, but based on recent DoD award terms, the additive method of 2 CFR 215.24(b)(1) will be used to dispose of program income, in accordance with 215.24(d).

UG Applicability to New, Continuing and Supplemental Awards

  • Effective December 26, 2014, and on an interim basis pending update of the DoD Grant and Agreement Regulations to implement Office of Management and Budget (OMB) guidance published in 2 CFR part 200, the guidance in 2 CFR part 200 as modified and supplemented by provisions of Subpart B of 2 CFR Part 1103 governs the administrative requirements, cost principles, and audit requirements to be included in terms and conditions of DoD Components’ new grant and cooperative agreement awards. (2 CFR 1103.100)

Termination

  • Silent

DOE

10 CFR Parts 600&605

Final Reports Due

  • Financial, performance, and other reports as required by the terms and conditions of the award within 90 calendar days after the date of completion of the award. (10 CFR §605.19)

Prior Approval Waived

  • Prior approval will vary by award until the new RTC becomes available.

Conflict of Interest

Personal Conflict of Interest

  • The recipient shall maintain written standards of conduct governing the performance of its employees engaged in the award and administration of contracts. No employee, officer, or agent shall participate in activities constituting a real or apparent conflict of interest. (10 CFR §600.142)

Procurement

  • Grantees and subgrantees will use their own procurement procedures which reflect applicable state and local laws and regulations, provided that the procurements conform to applicable federal law and the standards identified in this section. (10 CFR §600.236)

Cost-Sharing

  • No change from UG language (10 CFR §600.313)

Travel Justification

  • Silent

Participant Support

  • Silent

Program Income

  • In general, program income shall be used in one or more of the following ways:
    • Added to funds committed to the project and used to further eligible project objectives.
    • Used to finance the non-DOE share of the project.
    • Deducted from the total project allowable cost in determining the net allowable costs on which the share of costs is based.
      (10 CFR §600.124)

UG Applicability to New, Continuing and Supplemental Awards

  • Except as otherwise provided by Federal statute or program rule, 10 CFR Parts 600 & 605 apply to applications, funding opportunity announcement, and new, continuation, and renewal awards (and any subsequent subawards). Any new, continuation, or renewal award (and any subsequent subaward) shall comply with any applicable Federal statute, Federal rule, Office of Management and Budget (OMB) Circular and Governmentwide guidance in effect as of the date of such award. (10 CFR § 600.2)

Termination

  • No change from UG language (10 CFR § 600.25)

EPA

2 CFR 1500

Final Reports Due

  • Silent

Prior Approval Waived

  • 90 day pre-award costs
    (2 CFR §1500.8)

Conflict of Interest

  • EPA has a COI Policy that applies to all individuals and non-Federal entities requesting and receiving EPA financial assistance on or after May 22, 2015. It is distinct from and different than EPA policies governing scientific integrity and those implementing the Standards of Ethical Conduct for Employees of the Executive Branch. The policy requires:
    • Disclosures including whether an EPA employee drafted, reviewed, or commented on the applicant’s proposal or otherwise provided advice to an applicant on how to write a proposal
    • Awardee must conduct a “reasonble COI inquiry” and disclose any identified COI to EPA in writing, preferably through email.
      (http://www.epa.gov/ogd/epa_interim_financial_assistance_coi_policy.htm)

Cost-Sharing

  • Silent

Travel Justification

  • Silent

Participant Support

  • Silent

Program Income

  • Permit fees are governmental revenue and not program income
  • The default use of program income for EPA awards is addition. The program income shall be used for the purposes and under the conditions of the assistance agreement.
  • To continue the mission of the Brownfields Revolving Loan fund, recipients may use grant funding prior to using program income funds generated by the revolving loan fund. Recipients may also keep program income at the end of the assistance agreement as long as they use these funds to continue to operate the revolving loan fund or some other brownfield purpose as outlined in their closeout agreement.
    (2 CFR 1500.7)

UG Applicability to New, Continuing and Supplemental Awards

  • Silent

Termination

  • Silent

NASA

2 CFR §1800.900 & NASA
Grant and Cooperative Agreement Manual (Dec. 2014)

Final Reports Due

  • Financial, tech, invention reports – 90 days after end of project period (2 CFR §§ 1800.902, 1800.928)
  • Equipment report 60 days after end of project period (2 CFR § 1800.907(b))

Prior Approval Waived

  • Pre-award costs up to 90 days (2 CFR §1800.209)
  • One-time no-cost extension, not to exceed 12 months (2 CFR §1800.903(b))
  • Carryforward of unobligated balances (2 CFR § 1800.906(d))

Conflict of Interest

Organizational Conflict of Interest Policy

  • Any actual or apparent conflicts of interest must be disclosed. Such a conflict would arise when the employee, officer, or agent, any member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of the parties, has a financial or other interest in a proposing organization. The recipient shall maintain written standards of conduct governing the performance of its employees engaged in the award and administration of contracts. The recipient may set standards for situations in which the financial interest is not substantial or the gift is an unsolicited item of nominal value. The standards of conduct shall provide for disciplinary actions to be applied for violations of such standards by officers, employees, or agents of the recipient. (Grant and Cooperative Agreement Manual § 3.6)

Cost-Sharing:

  • No change from UG language (2 CFR § 1800.922)

Travel Justification:

  • Describe the purpose of the proposed travel in relation to the grant and provide the basis of the estimate, including information on destination and number of travelers where known. (Grant and Cooperative Agreement Manual Ex. G)

Participant Support:

  • Silent

Program Income:

  • Silent

UG Applicability to New, Continuing and Supplemental Awards:

  • Silent

Termination:

  • No change from UG language (2 CFR § 1800.904)

Other:

China Restriction

  • No change as a result of UG
  • See RPAC Memo No. 13-06 dated 11/01/13

Indemnification (2 CFR §1800.918)

  • Campus decision to accept award or not after inquiring if PI will be using gov equipment/property/data
    • If yes, campus to conduct a risk assessment and the chair/dean/EVC must accept financial responsibility
    • Sub flow-down

NF1206

  • No change as a result of UG; see RPAC Guidance and Blanket Approval posted in REMS (Record ID 135)

Acorn assurance

  • ACORN Representation removed. See Certifications to Implement Restrictions in Appropriations Acts – 2015

NEA

2 CFR 3255 & NEA
General Terms & Conditions for FY 2015 Grants and Cooperative Agreements to Organizations

Final Reports Due

  • The Final Descriptive Report – Standard (FDR – Standard) is due 90 days after the end of the award period.
    (NEA General T&C §16.3)

Prior Approval Waived

  • Changes among the approved budget lines, as long as you are still meeting the 1:1 match.
  • Changes in artists who were listed as “proposed” or “to be invited.” These artists may be replaced with artists of similar caliber without NEA approval. (Artists noted in your application or subsequent amendments are presumed to be confirmed, unless you have indicated otherwise.)
  • Changes to artist line ups for festivals, for example, where there are dozens of artists and arts groups participating. (However, if an artist is key to the festival/a headliner that was identified specifically in the application, then a scope change would need to be submitted).
  • Changes in project venues, as long as the new venue is comparable in reach, meets all accessibility requirements.
  • Changes to project activity dates that fall within the approved period of performance.
  • Changes to the title of a work or event (e.g. from a working title to a final title).
  • The removal of indirect costs, if it does not impact the required match amount.

Conflict of Interest

  • You must have written conflict of interest policies that ensure that all employees, board members, officers or agents engaged in the selection, award, and administration of grants or contracts, avoid conflicts as described in 2 CFR 200.318.
  • You are required to disclose to NEA any actual or potential conflicts, including but not limited to the following:
    • NEA Panelist. No panelist can review an application from an organization with which he or she is affiliated. In addition, if a panelist later becomes associated with a project that he or she reviewed, then he or she cannot act as an authorizing official for that project. This prohibition is in effect throughout the entire period of performance.
    • National Council on the Arts member. Similarly, once an authorizing official for an organization that is an applicant or grantee is nominated to the National Council on the Arts, the authorizing official must recuse him/herself from acting in this capacity for applications and award actions, including payment requests.
      (NEA General T&C §7)

Cost-Sharing

  • Unless otherwise stated in your grant award document or cooperative agreement, Arts Endowment funds cannot exceed 50 percent of the total cost of the Arts Endowment-supported project (i.e., funds must be matched one-to-one, or “dollar for dollar”). This required cost share, or match, refers to the portion of project costs not paid by Federal funds, and may include your own funds, donations, non- Federal grants and other revenue.
  • Use of In-kind (or Third-Party) Contributions (2 CFR 200.306(d-j)). If you include in-kind, third-party (i.e., not your own) contributions as part of your cost share or match, they must also be included as direct costs in your project budget so NEA can determine their allowability, and reflected as such in your accounting records. Volunteer and donated goods and services, property or space must be documented and their fair market value determined per the guidance.
  • Use of Unrecovered Indirect Costs for Cost Sharing or Matching (2 CFR 200.306(c)). Unrecovered indirect costs may be included as part of the match for an award if you have a current indirect (or Facilities & Administrative/F&A) cost rate with a Federal agency.
  • Use of Program Income (2 CFR 200.307).
    • Income earned during the period of performance that results from activities supported through an Arts Endowment award is considered to be program income. These earnings can include, but are not limited to, income from fees for services, admission fees, or the use or rental of property (space, equipment, etc.)
    • Per 2 CFR 200.307(e)(3) and (f), the NEA allows program income to be used as part of the cost share or match for an award, for additional costs of the Arts Endowment-supported project, or for other eligible projects in the arts conducted by your organization.
  • Ineligible Matching Resources. These items are not eligible to meet your cost share or matching requirement:
    • Other Federal funds, including other NEA funds (2 CFR 200.306(b)(5)). This includes Federal funds that have been subgranted or disbursed to you from your State Arts Agency or another organization. You should consult your award notice from your State Arts Agency or other organization to determine if any portion of their award to you includes funds from a Federal agency.
    • Resources that have been used for another Arts Endowment award or other Federal program (2 CFR 200.306(b)(2)).
    • Contributions or gifts provided to your organization that are restricted and cannot be used to support the project.
    • Gifts (bequeathed or otherwise) which are not available to your organization during the award period of performance.
      (NEA General T&C §12)

Travel Justification

  • The Fly America Act applies. There are some exceptions to the Fly America Act, see 41 CFR 301-10.135 through 10.138. If you do use a foreign air carrier you must provide NEA with a certification, including a justification as to why your travel met one of the exceptions. NEA may request additional information if necessary.
    (NEA General T&C §14.2.c)

Participant Support

  • Silent

Program Income

  • Income earned during the period of performance that results from activities supported through an Arts Endowment award is considered to be program income.
  • These earnings can include, but are not limited to, income from fees for services, admission fees, or the use or rental of property (space, equipment, etc.)
  • Per 2 CFR 200.307(e)(3) and (f), the NEA allows program income to be used as part of the cost share or match for an award, for additional costs of the Arts Endowment-supported project, or for other eligible projects in the arts conducted by your organization.
    (NEA General T&C §12.4)

UG Applicability to New, Continuing and Supplemental Awards

  • Silent

Termination

  • Adds the following to the UG language:
    • NEA reserves the right to take additional actions such as requiring you to return a portion or all of the award funds, requesting that you remove acknowledgement of Arts Endowment support, recommending government-wide suspension, or taking other legally available remedies. You will be notified of such actions and be given an opportunity to provide information and come into compliance
      (NEA General T&C §19.3)

Other

  • None of the Federal or matching funds expended for your awarded project may be distributed to the Association of Community Organizations for Reform Now (ACORN) or its subsidiaries.
    (NEA General T&C Appx. A § 9)

NIH

45 CFR 75 & NIH Grant Policy Statement (Mar. 2015)

Final Reports Due

  • 120 days after the award end date (as opposed to the standard 90 days)
    (NIH Grants Policy Statement 12.11.1)

Prior Approval Waived

  • Pre-award costs
  • One-time no-cost extension
  • Carryforward of unobligated balances
  • Rebudgeting among budget categories
  • Rebudgeting between direct and F&A costs
  • Issuing subwards based on fixed amounts
  • Cost increases for fluctuations in exchange rates
  • Direct charging the salaries of administrative and clerical staff if conditions in 45 CFR § 75.413 are met
    (NIH Grants Policy Statement 8.1.1)

Conflict of Interest

  • No change from pre-UG requirements
    (45 CFR §75.112)

Cost-Sharing

  • Permitted if it is in accordance with the awarding agency’s regulations and specified in the notice of funding opportunity; cannot be used as a factor during the merit review of proposals.
    (45 CFR §75.306)

Travel Justification

  • Research training experiences (including attendance at scientific meetings) away from the recipient organization must be justified on the basis of the type of opportunities for training available, the opportunities offered that are different from those at the reciopient organization, and the relationship of the proposed experience to the trainee’s career stage and career goals. This type of research training requires prior approval of the NIH awarding agency.
    (NIH Grants Policy Statement 11.3.8.5)

Participant Support

  • No change from UG language (allowable with the prior approval)
    (45 CFR §75.456)

Program Income

  • Unless the terms and conditions for the Federal award provide otherwise, recipients shall have no obligation to HHS with respect to program income earned from license fees and royalties for copyrighted material, patents, patent applications, trademarks, and inventions made under a Federal award.
    45 CFR §75.307(c)(2)

UG Applicability to New, Continuing and Supplemental Awards

  • Effective for all NIH grants and cooperative agreements with budget periods beginning on or after December 26, 2014 and awards receiving supplemental funds on or after that date. (45 CFR §75.110)

Termination

  • No change from UG language (45 CFR §75.372)

NSF

2 CFR Part 2500 & Grant General Conditions (Dec 2014) &
Proposal and Award Policy and Procedures Guide (Dec 2014)

Final Reports Due

  • NSF’s recent change in the grant conditions authorizes grantees up to 120 days to submit final disbursement requests. The 120 day standard will apply to all awards. The Award Cash Management System (ACM$) will not differentiate between awards and amendments made prior to December 26, 2014 and those made after December 26, 2014. (FAQ on NSF Implementation of 2 CFR 200 – updated 4/21/2015: http://www.nsf.gov/bfa/dias/policy/faqs/faqs_2cfr200.pdf)

Prior Approval Waived

  • See AAG Exhibit II-1 at http://www.nsf.gov/pubs/policydocs/pappguide/nsf15001/aag_2ex1.pdf
    Prior approval waived for:
    1. No-cost extension (AAG: I.D.3.c(i))
    2. Significant changes in methods/procedures (AAG: II.B.1.b)
    3. Significant changes/delays or events of unusual interest (AAG: II.B.1.c)
    4. Annual and final cost share notification by recipient (AAG: II.D.5)
    5. Conflicts of interest that cannot be managed… (AAG: IV.A)
    6. Foreign travel (AAG: V.B.4, VI.G.1)AAG: V.A.3.b. NSF Prior Approval Policy
    In addition to the required notifications and requests specified in AAG Chapters I and II, written prior approval from the NSF Grants and Agreements Officer is required for:
    1. Preaward Costs in Excess of 90 days;
    2. Salaries of Administrative or Clerical Staff;
    3. Rearrangements/Alterations aggregating $25,000 or over (Construction);
    4. Additional categories of participant support costs other than those described in 2 CFR § 200.75 (such as incentives, gifts, souvenirs, t-shirts and/or memorabilia); and
    5. Adjustments to cost sharing commitments reflected on Line M of the NSF award budget.
    Written prior approval from the cognizant NSF Program Officer is required for reallocation of funds provided for participant support costs.

Conflict of Interest

  • AAG: IV.A.–No change from pre-UG policy:
    1. NSF requires each grantee organization employing more than fifty persons to maintain an appropriate written and enforced policy on conflict of interest and that all conflicts of interest for each award be managed, reduced or eliminated prior to the expenditure of the award funds. If the organization carries out agency-funded research through subrecipients, contractors, or collaborators, the organization must take reasonable steps to ensure that:

    • the entity has its own policies in place that meet the requirements of this policy; or
    • investigators working for such entities follow the policies of the primary organization.

Cost-Sharing

  • AAG: II.C.1. inclusion of voluntary committed cost sharing is prohibited. It should be noted that foregoing full indirect cost rate recovery is considered voluntary committed cost sharing; and
  • When mandatory cost sharing is included on Line M and accepted by NSF, the commitment of funds becomes legally binding and is subject to audit. Failure to provide the level of cost sharing required by the NSF solicitation and reflected in the NSF award budget may result in termination of the NSF award, disallowance of award costs and/or refund of award funds to NSF by the awardee; and
  • AAG: II.C, Cost Sharing, now requires that awards with any mandatory cost sharing must document such cost sharing (on an annual and final basis), the Authorized Organizational Representative must certify that the amount is correct, and the cost sharing must be reported to NSF via use of NSF’s electronic systems.

Travel Justification

  • GPG: II.C.2.g(iv), Travel, has been revised to state that all travel (both domestic and foreign) must now be justified. Additionally, temporary dependent care costs above and beyond regular dependent care that directly result from travel to conferences are allowable costs provided that the conditions established in 2 CFR § 200.474 are met. Finally, the definition of what constitutes domestic travel has been revised.

Participant Support

  • GPG: II.C.2.g(v), Participant Support, has been clarified to reflect that any additional categories of participant support costs other than those described in 2 CFR § 200.75 (such as incentives, gifts, souvenirs, t-shirts and memorabilia), must be justified in the budget justification, and such costs will be closely scrutinized by NSF. Funds provided for participant support may not be used for other categories of expense without specific prior NSF written approval. Such requests must be submitted electronically via use of NSF’s electronic systems.

Program Income

  • AAG: III.D.4.
    Unless otherwise specified in the grant, program income received or accruing to the grantee during the period of the grant is to be retained by the grantee, added to the funds committed to the project by NSF, and thus used to further project objectives. The grantee has no obligation to NSF with respect to program income received beyond the period of the grant. The grantee also shall have no obligation to NSF with respect to program income earned from license fees and royalties for copyrighted material, patents, patent applications, trademarks, and inventions produced under an award. However, Patent and Trademark Amendments (35 USC 18) shall apply to inventions made under an award.Efforts should be made to avoid having unexpended program income remaining at award expiration. Program Income earned during the project period should be expended prior to requesting reimbursement against the award. In the event a grantee has unexpended program income remaining at award expiration, it must be remitted to NSF by crediting costs otherwise chargeable against the award. If it is not possible to record the credit via ACM$, the excess program income must be remitted to NSF electronically or by check payable to the National Science Foundation. (See section D.2 above for further information.)

UG Applicability to New, Continuing and Supplemental Awards

  • The Uniform Guidance is effective for awards and funding increments on existing awards made on or after December 26, 2014.

Termination

  • Adds the following to the UG language (AAG Chapter VII.A.2):
    • A grant may be suspended or terminated in whole or in part in any of the following situations by NSF when ordered by the Deputy Director under NSF’s Regulation on Research Misconduct (45 CFR § 689).
    • Normally, action by NSF to suspend or terminate a grant will be taken only after the grantee has been informed by NSF of the proposed action, or informed of any deficiency on its part and given an opportunity to correct it. NSF, however, may immediately suspend or terminate a grant without notice when it believes such action is reasonable to protect the interests of the government. (AAG Chapter VII.A.2.a(ii))
    • No costs incurred during a suspension period or after the effective date of a termination will be allowable, except those costs which, in the opinion of NSF, the grantee could not reasonably avoid or eliminate, or which were otherwise authorized by the suspension or termination notice, provided such costs would otherwise be allowable under the terms of the grant and the governing cost principles.
    • Within 30 days of the termination date the grantee will furnish a summary of progress under the grant and an itemized accounting of costs incurred prior to the termination date or pursuant to (iii) above. Final allowable costs under a termination settlement shall be in accordance with the terms of the grant, including this section, and the governing cost principles, giving due consideration to the progress under the grant. In no event will the total of NSF payments under a terminated grant exceed the grant amount or the NSF pro rata share when cost sharing was anticipated, whichever is less.
    • A notice of termination other than by mutual agreement and/or the final settlement amount may be subject to review pursuant to AAG Chapter VII.B.

USAID

2 CFR 700

Final Reports Due

  • Silent

Prior Approval Waived

  • Silent

Conflict of Interest

  • Silent

Cost-Sharing

  • Unrecovered indirect costs, including indirect costs on cost sharing or matching may be included as part of cost sharing or matching. Unrecovered indirect cost means the difference between the amount charged to the Federal award and the amount which would have been charged to the Federal award under the non-Federal entity’s approved negotiated indirect cost rate.
    (2 CFR § 700.10)

Travel Justification

  • Silent

Participant Support

  • Silent

Program Income

  • To the extent available, the non-Federal entity must disburse funds available from program income (including repayments to a revolving fund), rebates, refunds, contract settlements, audit recoveries, and interest earned on such funds before requesting additional cash payments. (2 CFR §700.8(a))

UG Applicability to New, Continuing and Supplemental Awards

  • Silent

Termination

  • Includes the option of suspension rather than termination or partial termination
    (§ 700.14 Termination)

Other

  • § 700.16 Marking: (a) USAID policy is that all programs, projects, activities, public communications, and commodities, specified further at paragraphs (c)–(f) of this section, partially or fully funded by a USAID grant or cooperative agreement or other assistance award or subaward must be marked appropriately overseas with the USAID Identity, of a size and prominence equivalent to or greater than the recipient’s, other donor’s or any other third party’s identity or logo. [edits] (2) USAID reserves the right to request pre-production review of USAID funded public communications and program materials for compliance with the approved Marking Plan. [edits] (f) After technical evaluation of applications for USAID funding, USAID Agreement Officers will request apparently successful applicants to submit a Branding Strategy, defined in § 700.1. The proposed Branding Strategy will not be evaluated competitively. [edits] (g) After technical evaluation of applications for USAID funding, USAID Agreement Officers will request apparently successful applicants to submit a Marking Plan, defined in § 700.1. [edits]

Subcontracting (3 citations § 700.11, § 700.12, & § 700.13):

  • § 700.11 Contracting with small and minority businesses, women’s business enterprises, and labor surplus area firms: (a) Make information on forthcoming opportunities available and arrange time frames for purchases and contracts to encourage and facilitate participation by small businesses, minority-owned firms, and women’s business enterprises. To permit USAID, in accordance with the small business provisions of the Foreign Assistance Act of 1961, as amended, to give United States small business firms an opportunity to participate in supplying commodities and services procured under the award, the recipient must to the maximum extent possible provide the following information to the Office of Small Disadvantaged Business Utilization (OSDBU), USAID Washington, DC 20523, at least 45 days prior to placing any order or contract in excess of the simplified acquisition threshold: (1) Brief general description and quantity of goods or services; (2) Closing date for receiving quotations, proposals or bids; and (3) Address where solicitations or specifications can be obtained. (b) [Reserved]
  • § 700.12 Contract provisions: (a) The non-Federal entity’s contracts must contain the applicable provisions described in Appendix II to Part 200— Contract Provisions for non-Federal Entity Contracts Under Federal Awards. (b) All negotiated contracts (except those for less than the simplified acquisition threshold) awarded by the non-Federal entity must include a provision to the effect that the non-Federal Entity, USAID, the Comptroller General of the United States, or any of their duly authorized representatives, must have access to any books, documents, papers and records of the contractor which are directly pertinent to a specific program for the purpose of making audits, examinations, excerpts and transcriptions.
  • § 700.13 Additional Provisions for Awards to Commercial Organizations: (a) This paragraph contains additional provisions that apply to awards to commercial organizations. These provisions supplement and make exceptions for awards to commercial organizations from other provisions of this part. (1) Prohibition against profit. No funds will be paid as profit to any non- Federal entity that is a commercial organization. Profit is any amount in excess of allowable direct and indirect costs. (2) [Reserved]

USDA – NIFA

2 CFR 400 & NIFA General Terms and Conditions Grants and Cooperative Agreements (July 2015) (http://nifa.usda.gov/resource/nifa-general-terms-and-conditions-grants-and-cooperative-agreements)

Final Reports Due

  • Final SF-425 – 90 days following the end date.
  • Requests to extend the SF-425 due date should be submitted prior to the end of the 90 day period, include a provisional report, justification for not submitting the final by the 90 day due date, and the anticipated date for submission.
  • Final Technical Report – 90 days following the end date
    (NIFA General T&C p.17-18, 20-21)

Prior Approval Waived

NIFA Specific Prior Approval Requirements include

  • Subcontracts: No more than 50% of the total dollars of this award may be subcontracted to another party(ies) without prior approval. Any subcontract to Federal agencies require prior approval.
    (NIFA General T&C p.14)

Unless otherwise stated, agency approval is granted for the recipient to:

  • Incur pre-award costs 90 calendar days prior to award.
  • Initiate a one-time no cost time extension.
  • Carry forward unobligated balances to subsequent funding periods.
  • Transfer amounts budgeted for indirect costs to absorb increases in direct costs and vice versa.
  • Issue fixed amount subaward providing the requirements for fixed amount subawards in 2 CFR 200.201 are met.
  • Direct charge administrative salaries if all conditions of 2 CFR 200.413 are met.
  • Directly charge payments of incidental activities for which supplemental compensation is allowable under institutional policy. Include charges for Intra-IHE faculty consulting on agreements that exceed a faculty member’s base salary if requirements are met.
  • Direct charge capital equipment for general purpose equipment. Prior approval still required for capital expenditures for buildings and land.
  • Special purpose equipment over $5,000.
  • Costs of insurance required pursuant to the federal award.
  • Include participant support costs.
    (NIFA General T&C p.16-17)

Conflict of Interest

  • As outlined in 2 CFR 200.112 and 2 CFR 400.2, the NFE must disclose in writing any potential conflict of interest to the USDA awarding agency or pass-through entity in accordance with applicable USDA awarding agency policy.
    (NIFA General T&C p.33)(a) Each USDA awarding agency must establish conflict of interest policies for its Federal awards.
    (b) Non-Federal entities must disclose in writing any potential conflicts of interest to the USDA awarding agency or pass-through entity.
    (1) The non-Federal entity must maintain written standards of conduct covering conflicts of interest and governing the performance of its employees in the selection, award and administration of Federal awards. No employee, officer or agent may participate in the selection, award, or administration of a Federal award if he or she has a real or apparent conflict of interest. Such a conflict of interest would arise when the employee, officer, or agent, any member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of the parties indicated herein, has a financial or other interest in or a tangible personal benefit from a non-Federal entity considered for a Federal award. The non-Federal entity may set standards for situations in which the financial interest is not substantial or the gift is an unsolicited item of nominal value. The standards of conduct must provide for disciplinary actions to be applied for violations of such standards by officers, employees, or agents of the non-Federal entity.
    (2) If the non-Federal entity has a parent, affiliate, or subsidiary organization that is not a state, local government, or Indian tribe, the non-Federal entity must also maintain written standards of conduct covering organizational conflicts of interest. Organizational conflicts of interest means that because of the relationships with a parent company, affiliate, or subsidiary organization, is unable or appears to be unable to be impartial in conducting a Federal award action involving a related organization.
    (2 CFR §400.2)

Cost-Sharing

  • No change from UG language – Voluntary committed cost sharing is not expected and cannot be used as a factor during the merit review of applications or proposals, but may be considered if it is in accordance with Federal awarding agency regulations. Unrecovered indirect costs, including indirect costs on cost sharing or matching may be included a part of cost sharing or matching only with the prior approval of the USDA awarding agency.

Travel Justification

  • Silent

Participant Support

  • Allowable – agency prior approval waived unless otherwise stated. Recipient may transfer funds budgeted for participant support costs to other categories of expense.
    (NIFA General T&C p.8)

Program Income

  • Additive method of 2 CFR 200.307(e)(2) will be used to dispose of program income.
    (NIFA General T&C p.10-11)

UG Applicability to New, Continuing and Supplemental Awards

  • Applies to new awards and incremental funding made after December 26, 2014.

Termination

  • No change from UG language
    (NIFA General T&C p.34-35)