HomeMy WebLinkAboutResolutions - 2022.12.08 - 37790
AGENDA ITEM: Grant Acceptance from the United States Department of Agriculture for the FY
2023 Healthy Oakland Produce Prescription Program 22-422
COMMITTEE MEETING: Board of Commissioners
DATE: Thursday, December 8, 2022 9:52 AM - Click to View Agenda
ITEM SUMMARY SHEET
DEPARTMENT SPONSORED BY
Health & Human Services - Health Division Penny Luebs
INTRODUCTION AND BACKGROUND
The United States Department of Agriculture Gus Schumacher Nutrition Incentive Program -
Produce Prescription Program funds projects to demonstrate and evaluate the impact of fresh fruit
and vegetable prescriptions on increasing procurement and consumption of fruits and vegetables,
reducing individual and household food insecurity, and reducing healthcare usage and associated
costs. The goal of the program is to create a culture of healthy living with a focus on reducing food
barriers to accessing fresh fruits and vegetables.
This is a request to accept FY 2023 funding.
BUDGET AMENDMENT REQUIRED: Yes
Committee members can contact Michael Andrews, Policy and Fiscal Analysis Supervisor at
248.858.5115 (office) or andrewsmb@oakgov.com, or the department contact persons listed for
additional information.
CONTACT
Leigh-Anne Stafford, Director Health &
Human Services-APP
staffordl@oakgov.com
ITEM REVIEW TRACKING
Penny Luebs, Created/Initiated - 12/8/2022
David Woodward, Board of Commissioners Approved - 12/8/2022
Hilarie Chambers, Executive's Office Approved - 12/9/2022
Lisa Brown, Clerk/Register of Deeds Final Approval - 12/13/2022
AGENDA DEADLINE: 12/08/2022 11:15 AM
COMMITTEE TRACKING
2022-11-29 Public Health & Safety - Recommend to Board
2022-11-08 Full Board - Adopted
ATTACHMENTS
1. PH&S - Health Prescription for Healthy Oakland_Schedule A
2. Grant Acceptance Sign-Off 2022
3. NIFA-5-3a-NIFA-Research-Terms-and-Conditions-05.14.2022-508
4. 2022-06997_BUDGET_V0
5. appendix_a
6. appendix_b
7. appendix_c (1)
8. 2022-06997_ASAP_V0
9. 2022-06997_2009_V0
10. Health - Produce Prescription Grant Write UP
December 8, 2022
RESOLUTION #2022-2295 _ 22-422
Sponsored By: Penny Luebs
Health & Human Services - Health Division - Grant Acceptance from the United States
Department of Agriculture for the FY 2023 Healthy Oakland Produce Prescription Program
Chairperson and Members of the Board:
WHEREAS the Oakland County Health Division was awarded funding through the United States
Department of Agriculture, Gus Schumacher Nutrition Incentive - Produce Prescription Grant
Program for the period September 15, 2022 through September 14, 2025 in the amount of $453,000;
and
WHEREAS the Gus Schumacher Nutrition Incentive Program - Produce Prescription Program funds
projects to demonstrate and evaluate the impact of fresh fruit and vegetable prescriptions on
increasing procurement and consumption of fruits and vegetables, reducing individual and household
food insecurity, and reducing healthcare usage and associated costs; and
WHEREAS funding will be used to support improving food and nutritional security and health
behaviors for eligible citizens in Oakland County; and
WHEREAS the goal of the program is to create a culture of healthy living with a focus on reducing
food barriers to accessing fresh fruits and vegetables; and
WHEREAS the grant acceptance includes funding in the amount of $221,081 for the creation of two
(2) subrecipient award agreements with Oakland University for $200,581 and Honor Community
Health in the amount of $20,500; and
WHEREAS it is requested to create one (1) Part-Time Non-Eligible (PTNE) 1,000 hour Special
Revenue (SR) Public Health Educator II position and one (1) PTNE 1,000 hour SR Public Health
Educator III position within the Health Promotion Unit (#1060241); and
WHEREAS the Produce Prescription Program Grant Agreement has completed the Grant Review
Process in accordance with the Grants Policy approved by the Board at their January 21, 2021
meeting.
NOW THEREFORE BE IT RESOLVED that the Oakland County Board of Commissioners hereby
approves the Produce Prescription Program Grant agreement for funding in the amount of $453,000
for the period of September 15, 2022 through September 14, 2025.
BE IT FURTHER RESOLVED to create one (1) Part-Time Non-Eligible (PTNE) 1,000 hour Special
Revenue (SR) Public Health Educator II position and one (1) Part-Time Non-Eligible (PTNE) 1,000
hour Special Revenue (SR) Public Health Educator III position within the Health Promotion Unit
(#1060241).
BE IT FURTHER RESOLVED that application and future acceptances of this grant does not obligate
the county to any future commitment and continuation of this program is contingent upon continued
future levels of grant funding.
BE IT FURTHER RESOLVED the FY23-25 budgets are amended as detailed in the attached Schedule A
budget amendment.
Chairperson, the following Commissioners are sponsoring the foregoing Resolution: Penny Luebs.
Date: December 08, 2022
David Woodward, Commissioner
Date: December 09, 2022
Hilarie Chambers, Deputy County Executive II
Date: December 13, 2022
Lisa Brown, County Clerk / Register of Deeds
COMMITTEE TRACKING
2022-11-29 Public Health & Safety - Recommend to Board
2022-11-08 Full Board - Adopted
VOTE TRACKING
Motioned by Commissioner Penny Luebs seconded by Commissioner Karen Joliat to adopt the
attached Grant Acceptance: from the United States Department of Agriculture for the FY 2023
Healthy Oakland Produce Prescription Program.
Yes: David Woodward, Michael Gingell, Michael Spisz, Karen Joliat, Kristen Nelson, Eileen
Kowall, Christine Long, Philip Weipert, Gwen Markham, Angela Powell, Chuck Moss, Marcia
Gershenson, William Miller III, Yolanda Smith Charles, Charles Cavell, Penny Luebs, Janet
Jackson, Gary McGillivray, Robert Hoffman, Adam Kochenderfer (20)
No: None (0)
Abstain: None (0)
Absent: (0)
Passed
ATTACHMENTS
1. PH&S - Health Prescription for Healthy Oakland_Schedule A
2. Grant Acceptance Sign-Off 2022
3. NIFA-5-3a-NIFA-Research-Terms-and-Conditions-05.14.2022-508
4. 2022-06997_BUDGET_V0
5. appendix_a
6. appendix_b
7. appendix_c (1)
8. 2022-06997_ASAP_V0
9. 2022-06997_2009_V0
10. Health - Produce Prescription Grant Write UP
STATE OF MICHIGAN)
COUNTY OF OAKLAND)
I, Lisa Brown, Clerk of the County of Oakland, do hereby certify that the foregoing resolution is a true
and accurate copy of a resolution adopted by the Oakland County Board of Commissioners on
December 8, 2022, with the original record thereof now remaining in my office.
In Testimony Whereof, I have hereunto set my hand and affixed the seal of the Circuit Court at
Pontiac, Michigan on Thursday, December 8, 2022.
Lisa Brown, Oakland County Clerk / Register of Deeds
Oakland County, Michigan
HEALTH AND HUMAN SERVICES DEPARTMENT/HEALTH DIVISION - PRESCRIPTON FOR HEALTH OAKLAND PROGRAM GRANT
Schedule "A" DETAIL
R/E Fund Name Division Name
Fund #
(FND)Cost Center (CCN) #
Account #
(RC/SC)
Program #
(PRG)Grant ID (GRN) #
Project ID #
(PROJ)
Region
(REG)
Budget
Fund
Affiliate
(BFA)
Ledger
Account
Summary Account Title
FY 2023
Amendment
FY 2024
Amendment
FY 2025
Amendment
R Human Services Grants Health FND11007 CCN1060241 RC610313 PRG133390 GRN-1004038 610000 Federal Operating Grants $192,750 $140,202 $120,048
Total Revenues $192,750 $140,202 $120,048
E Human Services Grants Health FND11007 CCN1060241 SC702010 PRG133390 GRN-1004038 702000 Salaries $84,646 $34,725 $15,579
E Human Services Grants Health FND11007 CCN1060241 SC722740 PRG133390 GRN-1004038 722000 Fringe Benefits 4,455 1,836 828
E Human Services Grants Health FND11007 CCN1060241 SC730373 PRG133390 GRN-1004038 730000 Contracted Services 87,948 87,946 87,946
E Human Services Grants Health FND11007 CCN1060241 SC730926 PRG133390 GRN-1004038 730000 Indirect Costs 4,494 4,494 4,494
E Human Services Grants Health FND11007 CCN1060241 SC730982 PRG133390 GRN-1004038 730000 Interpreter Fees 1,668 1,666 1,666
E Human Services Grants Health FND11007 CCN1060241 SC732018 PRG133390 GRN-1004038 730000 Travel and Conference 585 585 585
E Human Services Grants Health FND11007 CCN1060241 SC750294 PRG133390 GRN-1004038 750000 Material and Supplies 5,334 5,332 5,332
E Human Services Grants Health FND11007 CCN1060241 SC774636 PRG133390 GRN-1004038 770000 IT Operations 2,552 2,552 2,552
E Human Services Grants Health FND11007 CCN1060241 SC778675 PRG133390 GRN-1004038 770000 Telephone Communications 868 866 866
E Human Services Grants Health FND11007 CCN1060241 SC774677 PRG133390 GRN-1004038 770000 Insurance Fund 200 200 200
Total Expenditures $192,750 $140,202 $120,048
GRANT REVIEW SIGN-OFF – Health & Human Services/Health Division
GRANT NAME: Prescription for Healthy Oakland
FUNDING AGENCY: United States Department of Agriculture
DEPARTMENT CONTACT PERSON: Raquel Lewis 248-858-5254
STATUS: Acceptance (Greater than $10,000)
DATE: 11/14/2022
Please be advised the captioned grant materials have completed internal grant review. Below are the returned comments.
The Board of Commissioners’ liaison committee resolution and grant acceptance package (which should include this sign-
off email and the grant agreement/contract with related documentation) may be requested to be placed on the agenda(s) of
the appropriate Board of Commissioners’ committee(s) for grant acceptance by Board resolution.
DEPARTMENT REVIEW
Management and Budget:
Approved – Sheryl Johnson (11/08/2022)
Human Resources:
Approved by Human Resources. Creates 2 PTNE positions – Heather Mason (11/03/2022)
Risk Management:
Approved – Robert Erlenbeck (11/03/2022)
Corporation Counsel:
Approved – Heather Lewis (11/14/2022)
[Subrecipient agreement was removed from grant review, and will be submitted later]
NIFA-5-3a-NIFA Research Terms and Conditions 05.14.2022
Version date November 12, 2020
NATIONAL INSTITUTE OF FOOD AND AGRICULTURE
U.S. DEPARTMENT OF AGRICULTURE
RESEARCH TERMS AND CONDITIONS
AGENCY-SPECIFIC TERMS AND CONDITIONS
EFFECTIVE MAY 14, 2022
Agency Home Page: https://www.nifa.usda.gov/
Managing a Grant (contains award-related information):
https://www.nifa.usda.gov/business/awards/awardterms.html
Awards Management Division (AMD) Contact Information:
ATTENTION: Awards Management Division, Office of Grants and Financial Management
U.S. Postal Mailing Address:
National Institute of Food and Agriculture
U.S. Department of Agriculture
P.O. Box 419205, MS 10000
Kansas City, MO 64141-6205
Courier/Package Delivery Address:
National Institute of Food and Agriculture
United States Department of Agriculture
2312 East Bannister Road, MS 10000
Kansas City, MO 64141-3061
Email: awards@usda.gov
ARTICLE 1. AWARDS COVERED BY THE RESEARCH TERMS AND CONDITIONS
The Research Terms and Conditions will apply to all awards (grants, cooperative agreements, and special
projects) for all research and research-related awards (i.e., research, education, and extension) to
institutions of higher education, hospitals, other non-profit organizations, federal agencies and for-profit
organizations funded by NIFA except: 1) Capacity Programs; 2) the 1890 Facilities Program; and 3) the
Small Business Innovation Research Program; as well as 4) awards to individuals. Existing research,
education, and extension awards will continue to utilize the terms and conditions as stated in the award
until the award expires unless the award is amended on or after November 12, 2020.
ARTICLE 2. PRIOR APPROVAL REQUIREMENTS NOT INCLUDED IN THE GENERAL
TERMS & CONDITIONS (T&CS)
Subcontracts
No more than 50 percent of the total dollars of this award may be subcontracted to another party(ies)
without prior written approval of the Authorized Departmental Officer (ADO) except subcontracts to
Federal agencies. Any subcontract awarded to a Federal agency under this award must have prior
written approval of the ADO. To request ADO approval the following must be submitted as a portable
document format (pdf) attachment to an email sent to awards@usda.gov:
•a justification for the proposed subcontractual arrangements,
Disclaimer: The contents of this document do not have the force and effect of law and are not meant to bind the public in any way. This document is
intended only to provide clarity to the public regarding existing requirements under the law or agency policies.
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NIFA-5-3a
• a performance statement,
• a detailed budget and narrative for the subcontract, and
• an Authorized Representative (AR) signed letter of commitment.
No-cost Extension of Time
If a no-cost extension of time is approved in accordance with 2 CFR 200.308(e)(2), recipients must notify
NIFA that they are exercising their authority to extend without funds the completion date of an award.
Notifications must be submitted as a pdf attachment to an email sent to awards@usda.gov.
More than one no-cost extension or an extension of more than 12 months.
Usually no more than one no-cost extension or an extension of more than 12 months is permitted and only
when there are exceptional circumstances. The extension(s) must be approved in writing by the ADO.
The awardee should prepare and submit a written request (must be received no later than 60 days
prior to the expiration date of the award).
The request must contain, at a minimum, the following information:
a. The length of additional time required to complete project objectives and a justification for
the extension (see last paragraph of this article);
b. A summary of progress to date (a copy of the most recent REEport progress report is
acceptable provided the information is current);
c. An estimate of funds expected to remain unobligated on the scheduled expiration date;
d. A projected timetable to complete the portion(s) of the project for which the extension is
being requested; and
e. Signature of the AR and the Project Director/Principal Investigator (PD/PI). Any request
received by the agency that does not meet this requirement will be returned for the necessary
signature(s).
Requests for no-cost extensions of time after expiration date. NIFA may consider and approve
requests for no-cost extensions of time up to 120 days following the expiration of the award. These will
be approved only for extenuating circumstances, as determined by NIFA. The awardee's AR must submit
the requirements identified in a. through e. of this section as well as an “extenuating circumstance”
justification and a description of the actions taken by the awardee to minimize these requests in the future.
The fact that funds are expected to remain unobligated at the expiration of the award is not in itself
sufficient justification to receive an extension of time unless otherwise authorized in the program
legislation. Normally, no single extension may exceed 12 months and only in exceptional cases will more
than one extension be considered. The award period (including any subsequent authorized extensions of
time), must not exceed any applicable statutory limit as well as any expiring appropriation limitation (see
Article 7.).
Extension to Submit a Final Federal Financial Report, Form SF-425
To request ADO approval, requests must be submitted as a pdf attachment to an email sent to
awards@usda.gov following the guidance below:
Request submitted PRIOR to the end of the 120-day period following the award expiration
date. The request should include a provisional report (showing unliquidated obligations),
justification for not submitting a final by the initial due date, and the anticipated date for
submission of a final report. Note that any extension of time is subject to expiring appropriations
(see Article 7.) or other statutory or agency policy limitations (see Funding Period in this Article).
Funds will remain available for drawdown during an approved extension of time.
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NIFA-5-3a
Request submitted FOLLOWING the end of the 120-day period following the award
expiration date. Such requests will only be considered, on a case by case basis, in extenuating
circumstances. This request should include a provisional report (showing unliquidated
obligations) as well as an anticipated submission date for the final report, a justification for the
late submission, and a justification for the extenuating circumstances. Note that any extension of
time is subject to expiring appropriations (see Article 7.) or other statutory or agency policy
limitations (see Funding Period in this Article).
Salaries
Salary rates of pay exceeding an Executive Level IV salary range (see Executive Schedule link at
https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/2019/executive-senior-level)
requires prior NIFA approval. This rate does not include any fringe benefits, general and administrative
(G&A), overhead, or other expenses. Requests for approval must include the salary rate of pay and a
justification for the rate and be sent to the ADO to awards@usda.gov.
See Research Terms and Conditions Appendix A Prior Approval Matrix, for further information
regarding prior approvals.
ARTICLE 3. UNALLOWABLE DIRECT CHARGES ASIDE FROM THOSE IN PART 200—
UNIFORM ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES, AND AUDIT
REQUIREMENTS FOR FEDERAL AWARDS
Fixed Equipment and Real Property
No funds awarded under the authorities of Sec. 2(b), 2(c)(1)(A), and 2(c)(1)(B) of Pub. L. No. 89-106, as
amended, may be used for the renovation or refurbishment of research spaces; the purchase or installation
of fixed equipment in such spaces; or for the planning, repair, rehabilitation, acquisition, or construction
of a building or facility.
Indirect Costs and Tuition Remission
Statutory language may limit or prohibit the amount of allowable indirect costs. If such language applies
to this award, the limit is identified on the budget as appropriate. When indirect costs are limited, the
indirect costs allowable will be the lesser of the following amounts: (1) the Federally approved negotiated
indirect cost rate and base, or (2) the limit identified in the statutory language. Note: Any limitation or
prohibition of indirect costs on the awardee also applies to subcontracts under the funded awards.
Section 1462(a) and (c) of the National Agricultural Research, Extension, and Teaching Policy Act of
1977 (NARETPA) limits indirect costs for the overall award to 30 percent of Total Federal Funds
Awarded (TFFA) under a research, education, or extension grant. This restriction will be included in
applicable Requests for Applications and Notices of Award.
As noted in Appendix A Prior Approval Matrix, the use of unrecovered indirect costs for cost sharing or
matching purposes is subject to any applicable statutory language limiting or prohibiting indirect costs as
well as 7 CFR 3430.
Indirect costs and tuition remission costs are unallowable if this award is issued under the authority of
Sec. 2(c)(1)(B) of the Act of August 4, 1965, Pub. L. No. 89-106; Sec. 1472, Sec. 1473, Sec. 1475(d),
and Sec. 1480 of the National Agricultural Research, Extension and Teaching Policy Act of 1977
(NARETPA), as amended, Pub. L. No. 95-113); and the Smith-Lever Act of May 8, 1914, as
amended. This limitation also applies to subcontracts made under awards subject to any of these
authorities.
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NIFA-5-3a
Meals
Business meals may not be charged as project costs when individuals decide to go to breakfast, lunch, or
dinner together when no need exists for continuity of a meeting. Such activity is considered to be an
entertainment cost. On the other hand, meals that are part of the costs of meetings and conferences, the
primary purpose of which is the dissemination of technical information, are allowable as are costs of
transportation, rental of facilities, speakers’ fees, and other items incidental to such meetings or
conferences. Note: Meals consumed while in official travel status do not fall in this category. They are
considered to be per diem expenses and should be reimbursed in accordance with the organization’s
established travel policies subject to statutory limitations.
Equipment
Expenditures for the acquisition or improvement of general and special purpose equipment is allowable,
without prior agency approval, if the cost of the equipment is appropriately prorated among the activities
to be benefitted.
Personal Injuries
Grant funds cannot be used for compensation for injuries to persons or loss, theft, or damage to property
during project activities.
ARTICLE 4. CONTACT INFORMATION FOR TECHNICAL MATTERS
Questions regarding technical matters should be referred to: the programmatic contact person identified in
Block 14 of the Award Face Sheet (Form NIFA-2009).
ARTICLE 5. CONTACT INFORMATION FOR ADMINISTRATIVE MATTERS
Questions regarding administrative matters should be referred to: the administrative contact person
identified in Block 14 of the Award Face Sheet (Form NIFA-2009).
ARTICLE 6. CONTACT INFORMATION FOR INTELLECTUAL PROPERTY MATTERS
Questions regarding intellectual property matters (this does not include questions and issues regarding
Interagency Edison) should be referred to:
ATTENTION: Planning, Accountability, and Reporting Staff
U.S. Postal Mailing Address:
National Institute of Food and Agriculture
United States Department of Agriculture
P.O. Box 419205, MS 10000
Kansas City, MO 64141-6205
Courier/Package Delivery Address:
National Institute of Food and Agriculture, USDA
United States Department of Agriculture
2312 East Bannister Road, MS 10000
Kansas City, MO 64141-3061
E-mail: bayhdole@usda.gov
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NIFA-5-3a
Interagency Edison (iEdison) can be accessed at https://www.iedison.gov/. An overview of the iEdison
invention reporting process, an iEdison tutorial, and extensive help text can be found as links on the
iEdison home page. Requests for detailed instructions or other questions regarding Interagency Edison
should be directed to:
Division of Extramural Inventions & Technology Resources (DEITR)
National Institutes of Health (NIH)
6705 Rockledge Drive, Suite 310, MSC 7980
Bethesda, Maryland 20892-7980
Telephone: (301) 435-1986; Facsimile: (301) 480-0272
E-mail: Edison@nih.gov
ARTICLE 7. OTHER REQUIREMENTS (NOT SPECIFIED ELSEWHERE)
Period of Performance
“Period of Performance” has the meaning given in 2 CFR 200.1, with the additional clarification that the
term includes any extension of the end date of the award, such as a no-cost extension authorized by 2
CFR 200.308, paragraph (e)(2). The period of performance is identified in Block 4. of the Award Face
Sheet (Form NIFA-2009). Statutory language or agency policy may limit the maximum potential period
of performance (including any awards transferred from another institution or organization). The period of
performance will commence on the effective date cited in the award instrument. Any such limitation also
applies to subcontracts made under awards subject to a period of performance limitation.
Expiring Appropriations
Generally, the appropriated funds used to make grant awards expire five years after the fiscal year in
which the grant is originally made. This means in the sixth year following a grant award, any award
funds that have not been drawn down by August 25 of that year by the awardee are subject to be returned
to the Department of the Treasury by September 30 of that year. To determine the appropriation year of
award funds, see block 17. Funds Chargeable of the Award Face Sheet (Form NIFA-2009). This block
contains a two-digit fiscal year followed by a financial data code (FDC).
Awards in the sixth year with Period of Performance end dates in the months of JUNE, JULY, and
AUGUST do not have the full 90 days after the Period of Performance closes to draw down (does not
apply to AFRI awards or no-year/X-year appropriation funded programs). These awards must make final
drawdown for expenditures no later than August 25 of the sixth year in order for NIFA to prepare its
financial records before the funds Expire on September 30. After August 25, the ASAP account will be
closed and the funds will be processed to revert back to the Treasury, resulting in lost funds for grantee.
In the following example, “17-823-33610,” the first two numbers “17” represent the fiscal year
“2017.” In this example it means that the funds must be drawn down by August 25 of the year 2022.
FY17 single-year
annual appropriation
First year
FY18
Second year
FY19
Third year
FY20
Fourth year
FY21
Fifth year
FY22
Sixth year
In this example, the
grant approval date is
August 31, 2017, and
the Grant Year 1 Period
of Performance begins
on that date.
Grant Year 2
Period of
Performance
begins August 31,
2018.
Grant Year 3
Period of
Performance
begins August 31,
2019.
Grant Year 4
Period of
Performance
begins August 31,
2020.
Grant Year 5
Period of
Performance
begins August 31,
2021.
FY 17 single-year
appropriation will
expire on September
30, 2022. To meet
this deadline,
drawdowns must
occur before August
25, 2022.
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NIFA-5-3a
NIFA awards supported with funds from other Federal agencies (reimbursable funds) Unless an
earlier date applies, NIFA requires all draws and reimbursements for awards supported with reimbursable
funds (from other Federal agencies) must be completed no later than June 30th of the fiscal year in
which the period of availability for obligation ends to allow for the proper billing, collection, and close-
out of the associated interagency agreement before the appropriations expire. For awards in their fifth
year, June 30 is the last date on which draws and reimbursements can be made, even if the award is in its
90 day liquidation period.
Appropriations cannot be restored after expiration of the account. If you have questions about
whether an applicable appropriation will expire after 5 years, contact the Administrative Point of Contact
identified in block 14 of the Award Face Sheet, Form NIFA-2009.
Fraud, Waste, and Abuse
At a minimum, organizations must prepare and make available information about fraud, waste, and abuse
to individuals participating in the SBIR project. Fraud includes any false representation about a material
fact or any intentional deception designed to deprive the United Sates unlawfully of something of value or
to secure from the United States a benefit, privilege, allowance, or consideration to which an individual or
business is not entitled. Waste includes extravagant, careless, or needless expenditure of Government
funds, or the consumption of Government property, that results from deficient practices, systems,
controls, or decisions. Abuse includes any intentional or improper use of Government resources, such as
misuse of rank, position, or authority or resources. The information should clearly inform individuals that
they are to report any suspicions of fraud, waste, or abuse to the Office of Inspector General (OIG)
pursuant to the provisions of the Whistleblower Protection Act of 1989 and the Inspector General Act of
1978.
Contact information for the OIG is available on their website at https://www.usda.gov/oig/hotline.htm.
The OIG may be contacted via the telephone at:
Hotline: (800) 424-9121
Hotline Local: (202) 690-1622
Hotline TDD: (202) 690-1202
Examples of fraud, waste, and abuse include, but are not limited to:
(i) misrepresentations or material, factual omissions to obtain, or otherwise receive funding
under the award;
(ii) misrepresentations of the use of funds expended, work done, results achieved, or compliance
with program requirements under the award;
(iii) misuse or conversion of award funds, including any use of award funds while not in full
compliance with Program requirements, or failure to pay taxes due on misused or converted
award funds;
(iv) fabrication, falsification, or plagiarism in applying for, carrying out, or reporting results
from an award;
(v) failure to comply with applicable federal costs principles governing an award;
(vi) extravagant, careless, or needless spending;
(vii) self-dealing, such as making a sub-award to an entity in which the PI has a financial interest;
(viii) acceptance by agency personnel of bribes or gifts in exchange for grant or contract awards
or other conflicts of interest that prevents the Government from getting the best value; and
(ix) lack of monitoring, or follow-up if questions arise, by agency personnel to ensure that
awardee meets all required eligibility requirements, provides all required certifications,
performs in accordance with the terms and conditions of the award, and performs all work
proposed in the application.
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Buy American Act
The grantee must comply with Sections 2 through 4 of the Act of March 3, 1933 (41 U.S.C. 8301- 8305,
popularly known as the Buy American Act). Failure to comply with Buy American requirements constitutes a
violation of the terms and conditions of this award. Under these circumstances, NIFA may take any of the
range of permitted enforcement actions specified in the Uniform Guidance, as necessary and appropriate.
Strengthening Buy-American Preferences for Infrastructure Projects. Recipients of covered programs
(as defined in this section) (i.e., infrastructure project) are hereby notified that none of the funds
provided under this award may be used for a project for infrastructure unless:
(1) all iron and steel used in the project are produced in the United States--this means all
manufacturing processes, from the initial melting stage through the application of
coatings, occurred in the United States;
(2) all manufactured products used in the project are produced in the United States—this
means the manufactured product was manufactured in the United States; and the cost
of the components of the manufactured product that are mined, produced, or
manufactured in the United States is greater than 55 percent of the total cost of all
components of the manufactured product, unless another standard for determining
the minimum amount of domestic content of the manufactured product has been
established under applicable law or regulation; and
(3) all construction materials (excluding cement and cementitious materials, aggregates
such as stone, sand, or gravel, or aggregate binding agents or additives) are
manufactured in the United States—this means that all manufacturing processes for
the construction material occurred in the United States.
The Buy America preference only applies to articles, materials, and supplies that are consumed in,
incorporated into, or affixed to an infrastructure project. As such, it does not apply to tools, equipment, and
supplies, such as temporary scaffolding, brought to the construction site and removed at or before the
completion of the infrastructure project. Nor does a Buy America preference apply to equipment and
furnishings, such as movable chairs, desks, and portable computer equipment, that are used at or within the
finished infrastructure project, but are not an integral part of the structure or permanently affixed to the
infrastructure project.
Waivers
When necessary, recipients may apply for, and NIFA may grant, a waiver from these requirements, if NIFA
determines that one of the following exceptions applies:
(1) applying the domestic content procurement preference would be inconsistent with
the public interest;
(2) the types of iron, steel, manufactured products, or construction materials are not
produced in the United States in sufficient and reasonably available quantities or of a
satisfactory quality; or
(3) the inclusion of iron, steel, manufactured products, or construction materials
produced in the United States will increase the cost of the overall project by more
than 25 percent.
A request to waive the application of the domestic content procurement preference must be in writing,
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are subject to public comment periods of no less than 15 days and must be reviewed by the Made in
America Office. For additional information about requesting a waiver, please email
awards@usda.gov.
Definitions:
“Construction materials” includes an article, material, or supply—other than an item of primarily iron
or steel; a manufactured product; cement and cementitious materials; aggregates such as stone, sand,
or gravel; or aggregate binding agents or additives —that is or consists primarily of:
• non-ferrous metals;
• plastic and polymer-based products (including polyvinylchloride, composite building materials, and
polymers used in fiber optic cables);
• glass (including optic glass);
• lumber; or
• drywall.
“Domestic content procurement preference’’ means all iron and steel used in the project are produced
in the United States; the manufactured products used in the project are produced in the United States;
or the construction materials used in the project are produced in the United States.
“Infrastructure” includes, at a minimum, the structures, facilities, and equipment for, in the United
States, roads, highways, and bridges; public transportation; dams, ports, harbors, and other maritime
facilities; intercity passenger and freight railroads; freight and intermodal facilities; airports; water
systems, including drinking water and wastewater systems; electrical transmission facilities and
systems; utilities; broadband infrastructure; and buildings and real property. Infrastructure includes
facilities that generate, transport, and distribute energy.
‘‘Project’’ means the construction, alteration, maintenance, or repair of infrastructure in the United
States.
Industrial Hemp
By accepting the award, the awardee agrees that if the project involves industrial hemp, the organization
will comply with all terms and conditions set by the applicant’s State agency regarding industrial hemp
growth and cultivation. For this purpose, the term “industrial hemp” includes the plant Cannabis sativa L.
and any part or derivative of such plant, including seeds of such plant, whether growing or not, that is
used exclusively for industrial purposes (fiber and seed) with a tetrahydrocannabinols concentration of
not more than 0.3 percent on a dry weight basis. The term “tetrahydrocannabinols” includes all isomers,
acids, salts, and salts of isomers of tetrahydrocannabinols. If industrial hemp activities are conducted
under the award, NIFA, in accordance with 2 CFR 200.337, has the right of access to any documents,
papers, or other records of the non-Federal entity which are pertinent to the Federal award, in order to
verify compliance with the terms and conditions set by the applicant’s State agency. For further
information see https://nifa.usda.gov/industrial-hemp.
Life Sciences Dual Use Research of Concern (DURC)
For all NIFA-funded research that potentially falls within the scope of the US Government Policy for
Institutional Oversight of Life Sciences Dual Use Research of Concern
(https://www.phe.gov/s3/dualuse/Pages/default.aspx) as published in September 2014, grantees are
responsible for monitoring the research progress and for implementation of all appropriate biosafety and
biosecurity risk mitigation measures including compliance with all applicable laws and regulations
related to that implementation, including the Policy specified above. (See also
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https://osp.od.nih.gov/biotechnology/dual-use-research-of-concern/ for Frequently Asked Questions,
case studies, and other educational materials on DURC.)
Genetic Resources from Outside of U.S.
If this project will use plant or animal genetic resources from outside the United States, the PD is advised
to seek information regarding any prior informed consent and any terms and conditions regarding access
and benefit-sharing required by the appropriate host country authorities. For further information, see the
Access and Benefit-Sharing Clearing-House (https://absch.cbd.int/) and the International Treaty on Plant
Genetic Resources for Food and Agriculture (http://www.fao.org/plant-treaty/countries/en/) websites.
Researchers also should check for information directly from countries where they intend to obtain genetic
resources. Researchers must also obtain permits and follow USDA/APHIS importation regulations
(http://www.aphis.usda.gov/import_export/index.shtml). Contact the Plant Exchange Office, USDA/ARS,
(https://www.ars.usda.gov/research/project/?accnNo=434391) or the USDA/ARS National Animal
Germplasm Program (https://www.ars.usda.gov/research/project/?accnNo=433404), as appropriate, for
further guidance on archiving the collections in the USDA/ARS’s genebanks.
Responsible and Ethical Conduct of Research
In accordance with sections 2, 3, and 8 of 2 CFR Part 422, institutions that conduct USDA-funded
extramural research must foster an atmosphere conducive to research integrity, bear primary
responsibility for prevention and detection of research misconduct, and maintain and effectively
communicate and train their staff regarding policies and procedures. By accepting a NIFA award the
grantee assures that program directors, faculty, undergraduate students, graduate students, postdoctoral
researchers, and any staff participating in the research project receive appropriate training and oversight
in the responsible and ethical conduct of research and that documentation of such training will be
maintained. Grantees are advised that the documentation of the training are subject to NIFA review upon
request.
Note that the training referred to herein may be either on-campus or off-campus training. The general
content of the ethics training, at a minimum, will emphasize three key areas of research ethics: authorship
and plagiarism, data and research integration and reporting misconduct. Each institution will be
responsible for developing its own training system, as schools will need flexibility to develop training
tailored to their specific student needs. Grantees should consider the Collaborative Institutional Training
Initiative (CITI) program for RCR (https://www.citiprogram.org/rcrpage.asp). Typically this RCR
education addresses the topics of: Data Acquisition and Management - collection, accuracy, security,
access; Authorship and Publication; Peer Review; Mentor/Trainee Responsibilities; Collaboration;
Conflict of Interest; Research Misconduct; Human Subject Research; and Use of Animals in Research.
Prohibition on certain telecommunications and video surveillance services or equipment
The grantee (including subrecipients) is responsible for compliance with the prohibition on
certain telecommunications and video surveillance services or equipment identified in 2 CFR
200.216. See Public Law 115-232, Section 889 for additional information.
In accordance with 2 CFR 200.216, the grantee (including subrecipients) is prohibited from obligating or
expending loan or grant funds for covered telecommunications equipment or services to:
1. procure or obtain, extend or renew a contract to procure or obtain;
2. enter into a contract (or extend or renew a contract) to procure; or
3. obtain the equipment, services or systems.
APPLICABLE REGULATIONS AND NATIONAL POLICY REQUIREMENTS
As a condition of this grant award, you assure that you will be in compliance and will comply with
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applicable statutory and national policy requirements, including those specified in 2 CFR 200.300 and
Appendix II of 2 CFR 200, which hereby are incorporated in this grant award by reference, and such other
provisions as are specified herein.
Table 1: National Policy Requirements
Regulation/Statute Title
2 CFR Part 25
Universal Identifier and System for Award Management
Also see Sections 13 and 14 of these award terms.
2 CFR Part 170
Reporting Subaward and Executive Compensation Information
Also see Article 12 of these award terms.
2 CFR Part 175 Award Term for Trafficking in Persons
2 CFR Part 180
OMB Guidelines to Agencies on Governmentwide Debarment and
Suspension (Nonprocurement)
2 CFR Part 182
Governmentwide Requirements for Drug-Free Workplace (Financial
Assistance)
2 CFR Part 200
Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards
Regulation/Statute Title
2 CFR Part 400 Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards
2 CFR Part 400.2
Conflict of Interest
2 CFR Part 415
General Program Administrative Regulations
2 CFR Part 416
General Program Administrative Regulations for Grants and Cooperative
Agreements to State and Local Governments
2 CFR Part 417
Nonprocurement Debarment and Suspension
2 CFR Part 418
New Restrictions on Lobbying
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2 CFR Part 421
Requirements for Drug-Free Workplace (Financial Assistance)
2 CFR Part 422
Research Institutions Conducting USDA Funded Extramural Research;
Research Misconduct
All research awards issued by NIFA are subject to 2 CFR 422; USDA’s
implementation of the Federal Policy on Research Misconduct published at
65 FR 76260. In accordance with sections 2, 3, and 8 of 2 CFR Part 422,
institutions that conduct extramural research funded by USDA must foster
an atmosphere conducive to research integrity, bear primary responsibility
for prevention and detection of research misconduct and are to maintain
and effectively communicate and train their staff regarding policies and
procedures. The AOR assures, through acceptance of the award that the
institution will comply with the above requirements. Grant recipients must,
upon request, make available to NIFA the policies and procedures as well
as documentation to support the conduct of the training.
To report allegations of research misconduct see
https://nifa.usda.gov/research-misconduct
7 CFR Part 1, Subpart
A
Official Records
7 CFR Part 1b
National Environmental Policy Act
7 CFR Part 3
Debt Management
Regulation/Statute Title
7 CFR Part 15,
Subpart A
Nondiscrimination in Federally-Assisted Programs of the Department of
Agriculture – Effectuation of Title VI of the Civil Rights Act of 1964
7 CFR Part 3100 Cultural and Environmental Quality
7 CFR Part 3430 Competitive and Noncompetitive Non-Formula Federal Assistance
Programs – General Award Administrative Provisions
8 U.S.C. 1324a.
Unlawful employment of aliens
29 U.S.C. 794
Nondiscrimination under Federal grants and programs
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41 U.S.C. 6306
Interest of Member of Congress
41 U.S.C. 4712
Enhancement of contractor protection from reprisal for disclosure of certain
information
45 CFR 75.521,
Appendix IX to Part 75
Principles for Determining Costs Applicable to Research and Development
under Grants and Contracts with Hospitals
48 CFR Subpart 31.2 Principles for determining costs with profitmaking firms and those
nonprofit organizations that are specifically excluded from the provisions of
2 CFR part 200
Executive Order (EO)
13513
“Federal Leadership on Reducing Text Messaging While Driving,”
Executive Order
13798; 7 CFR Part 16.3
“Promoting Free Speech and Religious Liberty”
Other laws, agency-
specific regulations
applicable to USDA
agencies and staff
offices
USDA agencies and staff offices must comply with provisions found in the
Consolidated Appropriations Act, 2016, Pub. L. 114-113, Division E, Title
VII, General Provisions Government-wide, Sections 743, 744, 745, 746
respectively or any successor provisions of law.
Prohibition Against Certain Internal Confidentiality Agreements
(a) You may not require your employees, contractors, or subrecipients
seeking to report fraud, waste, or abuse to sign or comply with internal
confidentiality agreements or statements prohibiting or otherwise
restricting them from lawfully reporting that waste, fraud, or abuse to a
Regulation/Statute Title
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designated investigative or law enforcement representative of a Federal
department or agency authorized to receive such information.
(b) You must notify your employees, contractors, or subrecipients that the
prohibitions and restrictions of any internal confidentiality agreements
inconsistent with paragraph (a) of this award provision are no longer in
effect.
(c) The prohibition in paragraph (a) of this award provision does not
contravene requirements applicable to any other form issued by a
Federal department or agency governing the nondisclosure of classified
information.
(d) If NIFA determines that you are not in compliance with this award
provision, NIFA:
1) Will prohibit your use of funds under this award, in accordance
with sections 743 and 744 of Division E of the Consolidated
Appropriations Act, 2016, (Pub. L. 114-113) or any successor
provision of law;
2) May pursue other remedies available for your material failure to
comply with award terms and conditions.
Assurance Regarding Felony Conviction or Tax Delinquent Status for
Corporate Applicants
This award is subject to the provisions contained in the Consolidated
Appropriations Act, 2016, Pub. L. 114-113, Division E, Title VII, sections
745 and 746, as amended and/or subsequently enacted for U.S. Department
of Agriculture (USDA) agencies and offices regarding corporate felony
convictions and corporate federal tax delinquencies.
Accordingly, by accepting this award the corporation recipient
acknowledges:
(1) that it does not have a Federal tax delinquency, meaning that it is
not subject to any unpaid Federal tax liability that has been
assessed, for which all judicial and administrative remedies have
been exhausted or have lapsed, and that is not being paid in a
timely manner pursuant to an agreement with the authority
responsible for collecting the tax liability, and
(2) that it has not been convicted of a felony criminal violation under
any Federal law within 24 months preceding the award, unless a
suspending and debarring official of the USDA has considered
suspension or debarment of the recipient corporation based on
these convictions and/or tax delinquencies and determined that
suspension or debarment is not necessary to protect the interests of
the Government. If the recipient fails to comply with these
provisions, the agency will annul this agreement and may recover
any funds the recipient has expended in violation of the above cited statutory provisions.
National Policy
Requirements
Also see Research Terms and Conditions Appendix C, National Policy
Requirements.
2 CFR 200.216 Prohibition on certain telecommunications and video surveillance services
or equipment
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Regulation/Statute Title
2 CFR 200.340 Termination
ARTICLE 8. REVISED BUDGET REQUIREMENTS
When it is necessary to request ADO approval of a budget revision (see Prior Approval Matrix), the
revised budget must be submitted as a pdf attachment to an email to awards@usda.gov. The request must
clearly articulate the changes (i.e., it need not be submitted on the budget form that was used in the
application process; the revisions need only be clearly identified) and reflect PD/PI and AR concurrence
(i.e., must contain the signature of the PD/PI and AR).
ARTICLE 9. TECHNICAL AND OTHER REPORTING REQUIREMENTS
Patents and Inventions including Plant Variety Protection: The central point of contact within NIFA
for questions and issues pertaining to patents and inventions including plant variety protections (PVP)
(this does not include questions and issues regarding Interagency Edison) is:
ATTENTION: Planning, Accountability, and Reporting Staff
U.S. Postal Mailing Address:
National Institute of Food and Agriculture
United States Department of Agriculture
P.O. Box 419205, MS 10000
Kansas City, MO 64141-6205
Courier/Package Delivery Address:
National Institute of Food and Agriculture, USDA
United States Department of Agriculture
2312 East Bannister Road, MS 10000
Kansas City, MO 64141-3061
E-mail: bayhdole@usda.gov
Invention Disclosure
Invention Disclosure and Related Information Requirements. 37 CFR 401.14(c)(1) requires the
disclosure of each subject invention to the Federal Agency within two months after the inventor discloses
it in writing to contractor personnel responsible for such matters. Under 35 U.S.C. 201(d), an invention
means any invention or discovery which is or may be patentable or otherwise protectable under Title 35
of the US Code, or any novel variety of plant which is or may be protectable under the Plant Variety
Protection Act (7 U.S.C. 2321 et seq.), pursuant to 37 CFR 401.2(c). Invention disclosure statements
pursuant to 37 CFR 401.14(c) must be made by creating an invention record using Interagency Edison.
All supporting documentation must also be submitted electronically using Interagency Edison (37 CFR
401.16(a),(b), and (c).
Electronic Submission Via Interagency Edison Web Interface: Interagency Edison (iEdison) can be
accessed at http://www.iEdison.gov. An overview of the iEdison invention reporting process, an iEdison
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tutorial, and extensive help text can be found as links on the iEdison home page. Requests for detailed
instructions or other questions regarding Interagency Edison should be directed to:
Division of Extramural Inventions & Technology Resources (DEITR)
National Institutes of Health (NIH)
6705 Rockledge Drive, Suite 310, MSC 7980
Bethesda, Maryland 20892-7980
Telephone: (301) 435-1986
Facsimile: (301) 480-0272
E-mail: Edison@nih.gov
The report of the invention and a copy of the signed invention disclosure must be reported electronically
through the Interagency Edison Web interface. To submit the signed disclosure electronically requires
that it be rendered as a PDF or TIFF file. The signed disclosure should contain a brief description of the
original invention including the Title, Inventor(s) Name(s), and source of Federal support used (e.g.,
Agency Award Number). After the report and disclosure are received in the iEdison system, NIFA will
have access to a copy of the disclosure document.
Other Invention, Patent, and Utilization Reporting Information
Electronic Submission Via Interagency Edison Web Interface: The Interagency Edison is to be used
to exact any changes to the disposition of the invention, including title election or non-election,
assignment of rights to third parties, patent application(s) or PVP(s), and patents or PVP(s) received.
As with the invention disclosure, iEdison also supports electronic submission of documents required for
several other aspects of the Bayh-Dole reporting process, as detailed below.
Once a patent or PVP is applied for and an application serial number is available, an executed
confirmatory license to the Government must be submitted. Such a license must also be submitted in
instances where the invention has been licensed but not patented (as is the case of biological materials).
For this purpose, iEdison provides a confirmatory license template (https://s-
edison.info.nih.gov/iEdison/license.jsp) that can be submitted via facsimile.
Commensurate with patent or PVP application or issued patent or PVP certificate, the awardee
organization must submit a copy of the portion of the patent or PVP application that contains the
“Government Support Clause,” offering proof of formal acknowledgment of Government support of the
underlying invention. For PVP applications, the government support clause must be inserted in Exhibit E,
block 11 of the application.
Requests for assignment of rights to third parties (e.g., the inventor) must include certification by the
inventor. The certification process is defined and can be carried out as described under NIFA’s
Intellectual Property webpage (https://nifa.usda.gov/intellectual-property-reporting). The signed certification
must be emailed to bayhdole@usda.gov.
Requests for waiver of the domestic manufacturing requirement must be emailed to bayhdole@usda.gov.
Title Election and Patent or PVP Submission: Within two years of an invention disclosure, a recipient
must resolve the title to the invention, that is, either elect to retain invention rights or waive rights. Should
the recipient decide to elect title, recipient must file a non-provisional patent or PVP application, or notify
this agency of its intentions pursuant to 37 CFR 401.14(c)(2) and (3). If the recipient fails to either 1)
notify the Government of its intentions or 2) exercise its option to file for a patent within the specified
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time periods, then the Government may exercise its right of ownership pursuant to 37 CFR 401.14(d)(1)
and (2).
The Government is not entitled to publicly disclose or publish a subject invention except according to the
regulations, which includes but is not limited to the following circumstances:
(1) The award recipient publicly discloses or gives permission for publication; or
(2) The award recipient does not elect to file for a U.S. patent or PVP on such results, pursuant
to 37 CFR 401.14(c)(2) and (3); or
(3) After the award recipient files for a U.S. patent or PVP pursuant to 37 CFR 401.14(c)(3).
"Publications" include publicly accessible databases such as Genbank; and subject invention include
genome maps and sequences.
Grant Reporting
All grant reporting must be completed using the Research, Education, and Extension project online
reporting tool (REEport). Initial reporting (item a. below) for this grant is to be submitted through the
REEport system. Annual progress and final reporting (items b. and c. below) on this grant will also be
submitted through the REEport system. Information on REEport can be found on NIFA’s web site at
https://nifa.usda.gov/tool/reeport and the REEport software can be found at https://portal.nifa.usda.gov/.
Please refer to 2 CFR 200.344 for closeout procedures and potential consequences for failure to report in
a timely manner.
Review the following guidance closely regarding reporting requirements.
Initial Documentation in the REEport Database
Research, Education, and Extension project online reporting tool (REEport)
All projects must be documented in REEport. The NIFA contact for all REEport documentation is:
ATTENTION: Research, Education, and Extension project online reporting (REEport)
U.S. Postal Mailing Address:
National Institute of Food and Agriculture
U.S. Department of Agriculture
P.O. Box 419205, MS 10000
Kansas City, MO 64141-6205
Courier/Package Delivery Address:
National Institute of Food and Agriculture
United States Department of Agriculture
2312 East Bannister Road, MS 10000
Kansas City, MO 64141-3061
E-mail: electronic@usda.gov
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NIFA WILL NOT RELEASE FUNDS FOR THIS PROJECT UNTIL THE REQUIRED
INFORMATION HAS BEEN RECEIVED ELECTRONICALLY BY REEport.
Information collected in the REEport Project Initiation is required upon project initiation for all NEW
awards in REEport. This information is requested by the appropriate NIFA Program Manager.
Awardees are requested to submit data electronically. To submit forms electronically, the REEport web
site can be accessed through the NIFA Reporting Portal at: https://portal.nifa.usda.gov/.
Technical questions regarding the online completion of the reports should be directed to NIFA at
electronic@usda.gov.
Questions regarding report content should be directed to the programmatic contact person identified in
Block 14 of the Award Face Sheet (Form NIFA-2009).
Annual Progress Reports.
All projects must report annually into REEport. Annual progress reports should be submitted to REEport.
The NIFA contact for REEport is identified in a. above.
The annual Progress Report follows the format of the government-wide Research Performance Progress
Report (RPPR) and includes a summary of participants, target audiences, products (outputs),
accomplishments (outcomes/impacts), and changes/problems.
Each year the award is active, the REEport system will notify the awardee or designated contact
electronically of upcoming reporting requirements. An annual Progress Report must be completed in
accordance with instructions accompanying the request and/or those provided on the REEport data entry
website referenced in item d. Reports must be submitted electronically utilizing access information (e.g.,
login information) provided in the REEport request for a progress report.
An annual Progress Report is due 90 calendar days after the award’s anniversary date (i.e., one year
following the month and day of which the project period begins and each year thereafter up until a final
report is required). An annual Progress Report covers the most recent one-year period. The following
information, when applicable, must be included in the Changes/Problems section of the annual
Progress Report.
(1) A comparison of actual accomplishments with the goals established for the reporting period (where
the output of the project can be expressed readily in numbers, a computation of the cost per unit of output
should be submitted if the information is considered useful)
(2) The reasons for slippage if established goals were not met; and
(3) Additional pertinent information including, when appropriate, analysis and explanation of cost
overruns or unexpectedly high unit costs.
Failure to submit an annual Progress Report within 90 calendar days after the award’s anniversary
date may result in grant funds being withheld until the report has been submitted as specified.
Final Report
In the month that an award is due to expire, a request notification for the Final Report will be sent
electronically to the award contact designated in REEport. The Final Report is required within 120
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calendar days after the expiration or termination of the award. The 120 calendar days is in compliance
with 2 CFR 200.344(a).
The Final Report covers the entire period of performance of the award and must describe progress made
during the entire timeframe of the project instead of covering accomplishments made only during the final
reporting segment of the project. In addition to supplying the information required under item b. of this
article, the final report must include the following when applicable:
Identify equipment purchased with any Federal funds under the award and indicate subsequent use of
such equipment.
Failure to submit an acceptable Final Report within 120 calendar days after the award’s anniversary
date may result in funds being withheld for other active NIFA grants for which the PD(s) under this
award are also named as well as prevent the award of future NIFA grants until the required report has
been received in the REEport system and approved by NIFA.
Use of Reported Information
Please note the vital importance of preparing well written progress and technical reports. Information
reported into REEport is used extensively by NIFA for describing the work NIFA funds, in planning and
defending its budget, assessing its programs, and communicating project results. This depends on quality
reports written in lay terms. Reported information is also used by State scientists and administrators and is
available to the public on the worldwide web. The reported project information is available via the NIFA
Data Gateway web site at: https://nifa.usda.gov/data.
Publication of findings and access of data
This section describes the policies for publication of major findings, and release and access of data
and metadata from NIFA-funded research, education, extension and integrated research, education
and/or extension projects. In addition, release of animal or plant germplasms are described in
detail.
All investigators funded by NIFA must publish their major findings and make data resulting from
research, education, and/or extension projects available within a reasonable time frame as laid out in their
Data Management Plan (DMP) with appropriate recognition of all contributors. Any restrictions to data
access necessary to safeguard privacy, intellectual property, business interests, or other limitations such as
resource constraints must be followed as outlined in the DMP of the funded project that had been peer-
reviewed according to community standards. The final report must describe the steps taken to implement
the DMP as well as information on where the data and metadata are deposited (in a trusted repository
such as Ag Data Commons) with Digital Object Identifier (DOI) and with Federal award identification
number (formerly known as grant number). When the project involves use of proprietary data or materials
from other sources, the data or materials resulting from the NIFA supported research, education and/or
extension activities must be readily available without any restrictions to the users (no reach-through
rights). The terms of any usage agreements must be followed as stated in the DMP in the application or
revisions prior to funding.
Release or Distribution of Plant Germplasm.
If plant germplasm (including mutant populations, mapping populations, diversity panels for association
analysis, transgenics, near isogenic lines, etc.) is developed and/or evaluated as part of a NIFA-funded
project, these resources and associated information is to be available to other researchers for validation of
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published results or additional research. Distribution of plant germplasm for commercial purposes may be
limited by the producer of the germplasm. Whether these resources are created and/or evaluated inside or
outside the United States, researchers are strongly encouraged to deposit germplasm, transgenic plants,
mutants, plant populations, etc. into the USDA National Plant Germplasm System (NPGS) and associated
information into the NPGS’s database GRIN-Global. Should the project generate germplasm that would
be incorporated into the NPGS, NIFA encourages Project Directors to confer with the Crop Curators and
Crop Germplasm Committees in the NPGS (https://www.ars-grin.gov/npgs/index.html) regarding the
desirability of depositing released varieties, genetic stocks and experimental plant populations and
associated descriptive information generated by NIFA funding in the NPGS genebanks through GRIN-
Global.
Release or Distribution of Animal Germplasm.
If animal germplasm or tissue is developed and/or evaluated as part of a NIFA-funded project, these
resources are to be available to other researchers and industry for validation of published results or
additional research. Researchers are strongly encouraged to deposit germplasm and or tissue with the
USDA-ARS National Animal Germplasm Program genebank,
https://www.ars.usda.gov/research/project/?accnNo=433404.
Dissemination of Project Results.
The recipient must notify the technical contact, via a listing clearly labeled with the award number, of any
Worldwide Web-based materials resulting from the work.
Reporting of Accidents or Releases Involving Recombinant DNA.
Accidents or releases involving rDNA used in NIFA-funded research are to be considered a serious
adverse event and the reporting requirements of Appendix M-I-C-4-a. Safety Reporting: Content and
Format and Appendix M-I-C-4-b. Safety Reporting: Time frames for Expedited Reports of the NIH
Guidelines are to be followed accordingly. Further, such incidents must be reported to NIFA as soon as
possible (i.e., within 48 hours) but not later than 7 calendar days after the sponsor’s initial receipt of the
information (in the case of fatal or life-threatening incidents) or not later than 15 calendar days after the
sponsor’s initial receipt of the information (if the incident is not fatal or life-threatening). Copies of initial
reports and subsequent monitoring or remediation reports and documentation must be sent to:
Agency Research Integrity Officer (ARIO)
E-mail: misconduct@usda.gov
U.S. Postal Mailing Address:
National Institute of Food and Agriculture
U.S. Department of Agriculture
P.O. Box 419205, MS 10000
Kansas City, MO 64141-6205
Courier/Package Delivery Address:
National Institute of Food and Agriculture
United States Department of Agriculture
2312 East Bannister Road, MS 10000
Kansas City, MO 64141-3061
E-mail: electronic@usda.gov
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ARTICLE 10. FINANCIAL REPORTING
Federal Financial Report, Form SF-425
“Federal Financial Report,” Form SF-425, is due on an annual basis no later than 90 days following the
end of the award anniversary date (i.e., one year following the month and day when the project period
begins and each year thereafter up until a final report is required). The final report is due no later than
120 calendar days from the award end date in compliance with 2 CFR 200.344(a);
An annual Progress Report covers the most recent one-year period. A final “Federal Financial Report,”
Form SF-425, is due no later than 120 days after the expiration date of this award. The report must
be submitted to the Awards Management Division (AMD) as a pdf attachment to an email sent to
awards@usda.gov.
(1) All drawdowns must be made within 120 days after the expiration date of the award and
before the final SF-425 is submitted.
(2) The report must be completed on a single award basis.
(3) The cash management information (lines 10(a) through 10(c)) is NOT to be completed.
(4) The financial status information (lines 10(d) through 10(o) as well as line 11) on the form are
to be completed.
(5) The awardee must report program outlays and program income on the same accounting basis
(i.e., cash or accrual) that it uses in its normal accounting system.
(6) When submitting a financial report, the total matching contribution, if required, should be
shown on lines 10i, 10j, and 10k.
(7) Final Financial Report – There should not be any unliquidated obligations reported on the
final SF-425 report. If the awardee still has valid obligations that remain unpaid when the SF-
425 is due, it must request an extension of time to submit the report (see Article 5). Further,
when a final report is overdue (beyond the 120-day period following the award expiration
date and not covered by an approved extension of the due date for submission of the report),
the grant account will be suspended, which restricts the awardee's ability to draw funds. If
any remaining funding is needed by the awardee, the awardee must contact AMD and request
a draw providing AMD with justification and documentation to support the draw. Such draw
requests will only be approved in extenuating circumstances, as determined by NIFA.
Regardless of extensions given for the submission of the SF-425, funds will not be
available for any drawdowns that exceed statutory limits as well as any expiring
appropriations.
Questions relating to the Federal Financial Report SF-425 are to be directed to the Administrative Point
of Contact identified in block 14 of the Award Face Sheet, Form NIFA-2009; via email to
awards@usda.gov; or via telephone to (202) 491-4986.
REEport Project Financial Report
A Project Financial Report must be submitted through the REEport system for each year the project is
active. It is due on an annual basis by February 1 of the fiscal year following the fiscal year of
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expenditures being reported.
(1) Expenditures reported on the Project Financial Report are not auditable by NIFA.
(2) When submitting the financial report, make sure to include all appropriate non-federally
employed staff support applied toward the project in terms of Scientist, Professional,
Technical, and Clerical support.
(3) The final REEport Project Financial Report covers only the last, most recent period of
performance of the project; unlike the Final Report, it does not cover the life of the project
from start to end date.
All questions relating to the REEport Project Financial should be submitted to REEport (see contact info
in Article 9.B.a. of these award terms).
Failure to submit an annual REEport Project Financial Report may result in grant funds being
withheld until the report has been submitted as specified.
ARTICLE 11. INCREMENTAL FUNDING ACTIONS
Competitive Renewals
The request for continued support should contain all the required elements of a proposal as described in
the applicable request for application including a progress report. The application cover page should
indicate, along with the prior NIFA award number, that the application is a renewal. The renewal
application will proceed through the competitive review process in the same manner as other applications.
Noncompetitive Renewals and Continuations
For noncompetitive renewal grants, the request must contain all the required elements of an application as
described in the applicable request for application including a progress report. The application cover page
must indicate, along with the prior NIFA award number, that the application is a renewal.
A continuation award is issued for the subsequent years of a new award. Using a streamlined process
implemented in FY 2018, recipients of a continuation award no longer need to apply for subsequent year
funding by submitting a noncompeting application for an additional funding/budget period within the
previously approved project scope and objectives. Instead, to provide the next allotment of funding, NIFA
only needs to document satisfactory progress on the project and verify a sound plan of work going
forward. To do this, the recipient must submit a signature page, SF 425 Financial Report, continuation
justification, budget and budget narrative for requested year of funding, changes in budget, personnel or
assurances status; and the annual REEport update. Recipients will receive a letter from the NIFA National
Program Leader (NPL) with a due date and job aids for submitting the required continuation award
documentation.
ARTICLE 12. REPORTING SUBAWARDS AND EXECUTIVE COMPENSATION
Additional administrative requirements necessary for NIFA grants and cooperative agreements to
comply with the Federal Funding and Transparency Act of 2006 (FFATA) are contained in 2 CFR Part
170. Prime awardees must register with the Federal Funding Accountability and Transparency Act
Subaward Reporting System (FSRS) database and report the required data on their first tier
subawardees. Prime awardees must report the executive compensation for their own executives as part
of their registration profile in System for Award Management (SAM).
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Reporting of first-tier subawards
1. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must report
each action that obligates $30,000 or more in Federal funds for a subaward to a non-federal entity or
Federal agency (see definitions in paragraph e. of this award term).
2. Where and when to report.
a. The non-federal entity or Federal agency must report each obligating action described in
paragraph a.1. of this award term to
https://www.fsrs.gov/
b. For subaward information, report no later than the end of the month following the month in which
the obligation was made. (For example, if the obligation was made on November 7, 2010, the
obligation must be reported by no later than December 31, 2010.)
3. What to report. You must report the information about each obligating action that the submission
instructions posted at https://www.fsrs.gov/ specify.
Reporting Total Compensation of Recipient Executives
1. Applicability and what to report. You must report total compensation for each of your five
most highly compensated executives for the preceding completed fiscal year, if—
a. the total Federal funding authorized to date under this award equals or exceeds $30,000
as defined in 2 CFR 170.320;
b. in the preceding fiscal year, you received--
i. 80 percent or more of your annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the
transparency Act, as defined at 2 CFR 170.320 (and subawards); and
ii. $25,000,000 or more in annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the
Transparency Act, as defined at 2 CFR 170.320 (and subawards); and
c. the public does not have access to information about the compensation of the Executives
through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act
of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of
1986. (To determine if the public has access to the compensation information, see the
U.S. Security and Exchange Commission total compensation filings at
https://www.sec.gov/answers/execcomp.htm.
2. Where and when to report. You must report executive total compensation described in
paragraph b.1. of this award term:
a. As part of your registration profile at https://www.sam.gov
b. By the end of the month following the month in which this award is made, and annually
thereafter.
Reporting of Total Compensation of Subrecipient Executives
1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of this
award term, for each first-tier non-federal entity subrecipient under this award, you must report
the names and total
compensation of each of the subrecipient's five most highly compensated executives for the
subrecipient's preceding completed fiscal year, if--
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a. in the subrecipient's preceding fiscal year, the subrecipient received--
i. 80 percent or more of its annual gross revenues from Federal procurement contracts
(and subcontracts) and Federal financial assistance subject to the Transparency
Act, as defined at 2 CFR 170.320 (and subawards); and
ii. $25,000,000 or more in annual gross revenues from Federal procurement contracts
(and subcontracts), and Federal financial assistance subject to the Transparency
Act (and subawards); and
b. The public does not have access to information about the compensation of the executives
through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act
of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of
1986. (To determine if the public has access to the compensation information, see the
U.S. Security and Exchange Commission total compensation filings at
https://www.sec.gov/answers/execomp.htm must report subrecipient executive total
compensation described in paragraph c.1. of this award term:
i. To the recipient.
ii. By the end of the month following the month during which you make the subaward.
For example, if a subaward is obligated on any date during the month of October
of a given year (i.e., between October 1 and 31), you must report any required
compensation information of the subrecipient by November 30 of that year. 2. Exemptions
If, in the previous tax year, you had gross income, from all sources, under $300,000, you are
exempt from the requirements to report:
a. Subawards, and
b. The total compensation of the five most highly compensated executives of any
subrecipient.
3. Definitions
For purposes of this award term:
Federal Agency means a
1. Federal agency as defined at 5 U.S.C. 551(1) and further clarified by 5 U.S.C. 552(f)
2. Non-Federal entity means all of the following, as defined in 2 CFR part 25:
i. A Governmental organization, which is a State, local government, or Indian tribe;
ii. A foreign public entity;
iii. A domestic or foreign nonprofit organization; and
iv. A domestic or foreign for-profit organization;
3. Executive means officers, managing partners, or any other employees in management
positions.
4. Subaward:
i. This term means a legal instrument to provide support for the performance of any
portion of the substantive project or program for which you received this award ang
that you as the recipient award to an eligible subrecipient.
ii. The term does not include your procurement of property and services needed to
carry out the project or program (for further explanation, see 2 CFR 200.331).
iii. A subaward may be provided through any legal agreement, including an agreement
that you or a subrecipient considers a contract.
5. Subrecipient means a non-federal entity or Federal agency that:
i. Receives a subaward from you (the recipient) under this award; and
ii. Is accountable to you for the use of the Federal funds provided by the subaward.
6. Total compensation means the cash and noncash dollar value earned by the executive
during the recipient's or subrecipient's preceding fiscal year and includes the following (for
more information see 17 CFR 229.402(c)(2)):
i. Salary and bonus.
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ii. Awards of stock, stock options, and stock appreciation rights. Use the dollar
amount recognized for financial statement reporting purposes with respect to the
fiscal year in accordance with the Statement of Financial Accounting Standards
No. 123
(Revised 2004) (FAS 123R), Shared Based Payments.
iii. Earnings for services under non-equity incentive plans. This does not include
group life, health, hospitalization or medical reimbursement plans that do not
discriminate in favor of executives and are available generally to all salaried
employees.
iv. Change in pension value. This is the change in present value of defined benefit and
actuarial pension plans.
v. Above-market earnings on deferred compensation which is not tax-qualified.
vi. Other compensation, if the aggregate value of all such other compensation (e.g.
severance, termination payments, value of life insurance paid on behalf of the
employee, perquisites or property) for the executive exceeds $10,000.
ARTICLE 13. SYSTEM FOR AWARD MANAGEMENT (SAM) AND DATA UNIVERSAL
NUMBERING SYSTEM (DUNS) REQUIREMENTS
Unless exempt from the requirements under OMB guidance at 2 CFR Part 25, recipients of NIFA funds
are required to obtain and maintain a DUNS number from Dun & Bradstreet and register in SAM. Current
recipients are required to keep their DUNS number and SAM registration up-to-date. Recipients are
required to update information in SAM annually at a minimum to remain in compliance with the terms
and conditions associated with their award.
Requirement for SAM
Unless exempted under 2 CFR 25.110, all applicant organizations must register in SAM and maintain the
registration with current information at all times during which it has an application under consideration
for funding by NIFA. If an award is made, the recipient must “maintain an active SAM registration with
current information, including information on a recipient’s immediate and highest level owner and
subsidiaries, as well as on all predecessors that have been awarded a Federal contract or grant within the
last three years, if applicable, at all times during which it has an active Federal award or an application or
plan under consideration by an Federal awarding agency” (2 CFR 25.200). The award is considered active
until a final financial report is submitted or the final payment is received, whichever is later. SAM is the
primary registrant database for the Federal government and is the repository into which an entity must
provide information required for the conduct of business as a recipient. Additional information about
registration procedures may be found at the SAM internet site at
https://www.sam.gov/portal/public/SAM/.
Requirement for DUNS Numbers
All applicant organizations must have a DUN and Bradstreet (D&B) DUNS number as the Universal
Identifier when applying for Federal grants or cooperative agreements. The DUNS number is a nine-digit
number assigned by Dun and Bradstreet Information Services. An AOR should be consulted to determine
the appropriate number. If the organization does not have a DUNS number, an AOR should complete the
US D&B D-U-N-S Number Request Form or contact Dun and Bradstreet by telephone directly at 1-866-
705-5711 (toll-free) to obtain one. A DUNS number will be provided immediately by telephone at no
charge. Note this is an organizational number. Individual PD/PIs do not need to register for a DUNS.
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If an award is granted, the recipient organization must notify potential subrecipients that no organization
may receive a subaward under the grant unless the organization has provided its DUNS number to the
recipient organization.
ARTICLE 14. FEDERAL AGENCY IDENTIFICATION NUMBER
A Federal Agency Identification Number (FAIN) is a unique number federal agencies assign to federal
financial assistance awards. NIFA assigns a FAIN to each award and includes it in block 8. of the award
face sheet (Form NIFA-2009). Awardees must document the assigned FAIN on each subaward under the
Federal award.
ARTICLE 15. CLUSTER OF PROGRAMS
For extension and education awards, the Research Terms and Conditions clarification for 2 CFR 200.17
does not automatically apply.
RESEARCH & RELATED BUDGET - Cumulative Budget
Section A, Senior/Key Person:
Section B, Other Personnel:
Total Number Other Personnel:
Total Salary, Wages and Fringe Benefits (A+B):
Section C, Equipment:
Section D, Travel:
1. Domestic:
2. Foreign:
Section E, Participant / Trainee Support Costs:
1. Tuition/Fees/Health Insurance:
2. Stipends
3. Travel:
4. Subsistence:
5. Other:
6. Number of Participants/Trainees:
Section F, Other Direct Costs:
1. Materials and Supplies:
2. Publications Costs:
3. Consultant Services:
4. ADP/Computer Services:
5. Subawards/Consortium/Contractual Costs:
6. Equipment or Facility Rental/User Fees:
7. Alterations and Renovations:
8. Other1:
9. Other2:
10. Other3:
Section G, Direct Costs (A thru F):
Section H, Indirect Costs:
Section I, Total Direct and Indirect Costs (G + H):
Section J, Fee:
Totals ($)Totals ($)
0.00
142,069.00
2
142,069.00
0.00
1,755.00
1,755.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0
295,694.00
15,998.00
0.00
0.00
0.00
263,840.00
0.00
0.00
3,200.00
5,000.00
7,656.00
439,518.00
13,482.00
453,000.00
0.00
Revised budget according to budget submitted and added $1,198 to F1 to match approved budget.
Other 1: Telephone Communications and Liability Insurance
Other 2: Interpretation Fees
Other 3: IT Services and Network
Award Number:2022-70424-38540
453,000.00Section K,Total Costs (I + J)
Research Terms and Conditions Appendix A
Prior Approval Matrix
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200.407
200.407(a)
Changes in principal investigator (PI), project leader, project partner, or scope of effort.200.201(b)(5)Required Required Required Required Required Required Required Required Required
200.407(b)
Use of unrecovered indirect costs, including indirect costs on cost sharing or matching.200.306(c) Waived Waived Waived Waived Waived15 Waived Waived Required Waived
Use of current fair market value to determine the value of non-Federal entity contributions of services and
donations of property for the purposes of cost sharing or matching.
200.306(d)(2)Waived Waived Waived Waived Waived Waived Waived Waived Waived
Costs of the fair market value of equipment or other capital assets and fair rental charges for land when the
Federal award supports activities that require use of equipment, buildings or land.
200.306(h)(2)Required Required Required Required Required Required Required Required Required
200.407(c)
Use of program income during the period of performance (additive method).200.307(e)(2)Waived Waived Waived Waived5 Waived Waived Waived20 Waived Waived
200.407(d)
Change in the scope or the objective of the project or program.200.308(c)(1)Required Required Required Required Required Required Required Required Required
Change in a key person specified in the application or Federal award.200.308(c)(2)Required Required14 Required Required Required Required Required Required Required
Disengagement from the project for more than three months, or a 25 percent reduction in time devoted to the
project by the approved Project Director (PD) or PI.200.308(c)(3)
Required Required14 Required Required6 Required Required Required21 Required Required
Inclusion, unless waived, of costs that require prior approval in accordance with Subpart E -- Cost Principles.200.308(c)(4)Required Waived1 Required Waived7 Required Required Required Required Required
Transfer of funds budgeted for participant support costs to other categories of expense.200.308(c)(5)Required Required2 Required Waived8 Required Required Required Required Required
Subawarding, transferring or contracting out of any work under a Federal award, including fixed amount
subawards as decribed in 200.333. This provision does not apply to the acquisition of supplies, material,
equipment or general support services.
200.308(c)(6)Required Required Required Waived9 Waived16 Required Required Required Required
Changes in the approved cost-sharing or matching provided by the non-Federal entity.200.308(c)(7)Required Required Required Required Waived17 Required Required Required Required
Need for additional Federal funds to complete the project.200.308(c)(8)Required Required Required Required Required Required Required Required Required
Incur project costs 90 calendar days before the Federal awarding agency makes the Federal award.200.308(e)(1)Waived Waived Waived Waived Waived Waived Waived Required Waived
Incur project costs more than 90 calendar days pre-award.200.308(e)(1)Required Required Required Required Required Required Required Required Required
Initiate a one-time extension of the period of performance by up to 12 months.200.308(e)(2)Waived Waived Waived Waived Waived Waived Waived Required Waived
Subsequent no-cost extension or extension of more than 12 months.200.308(e)(2)Required Required Required Required Required Required Required Required Required
Carry-forward of unobligated balances to subsequent budget periods.200.308(e)(3)Waived Waived Waived Waived10 Waived Waived Waived Required Waived
Transfer amounts budgeted for indirect costs to absorb increases in direct costs, or vice versa.200.308(e)(4)Waived Waived Waived Waived11 Waived Waived Waived Required Waived
Restrict the transfer of funds among direct cost categories or programs, functions and activities for Federal
awards in which the Federal share of the project exceeds the simplified acquisition threshold and the
cumulative amount of such transfers exceeds or is expected to exceed 10 percent of the total budget as last
approved by the Federal awarding agency.
200.308(f)Waived Waived Waived Waived11 Waived Waived Waived22, 23 Required Waived
Making any fund or budget transfers between construction and non-construction work.200.308(h)(5)Required Required Required Required Required Required Required Required Required
200.407(e)
Encumber real property acquired with Federal funds.200.311(b)Required Required Required Required Required Required Required Required Required
Transfer of title to the Federal awarding agency or to a third party.200.311(c)(3)Required Required Required Required Required Required Required Required Required
Special arrangements and alterations costs incurred specifically for a Federal award.200.462(a)Required Required3 Required Waived12 Required Required Required Required Required
Program Income
Revision of budget and program plans
Real Property
Use of grant agreements (including fixed amount awards), cooperative agreements, and contracts
Cost sharing or matching
Prior Written Approval (prior approval)*
1
Research Terms and Conditions Appendix A
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200.407(f)
Encumber equipment acquired with Federal funds.200.313(c)(1)Required Required Required Required Required Required19 Required Required Required
200.407(g)
Subawards based on fixed amounts up to the Simplified Acquisition Threshold, provided that the subawards
meet the requirements for fixed amount awards in 200.201.
200.333 Required Required Required Required Required Required Required Required Waived
200.407(h)
Direct charge the salaries of administrative and clerical staff if all conditions in 200.413 are met, excluding
200.413(c)(3).
200.413(c) Waived Required Waived Waived Waived Waived Waived Waived Waived
200.407(i)
Directly charge payments of incidental activities for which supplemental compensation is allowable under
written institutional policy (at a rate not to exceed institutional base salary).
200.430(h)(1)(ii)Waived Waived Waived Waived Waived Waived Waived Waived Waived
Faculty salary in excess of Institutional Base Salary (IBS).200.430(h)(2)Required Required Required Required Required Required Required Required Required
Intra-IHE faculty consulting on a Federal award that exceed a faculty member's base salary.200.430(h)(3)Waived Waived Waived Waived Waived Waived Waived Required Waived
200.407(j)
Severance payments to foreign nationals employed by the non-Federal entity outside the US that exceed the
amounts customary in the US.
200.431(i)(4)Required Required Required Required Required Required Required Required Required
Severance payments to foreign nationals employed by the non-Federal entity outside the US due to
termination of the foreign national as a result of the closing of, or curtailment of activities by, the non-Federal
entity in that country.
200.431(i)(5)Required Required Required Required Required Required Required Required Required
200.407(k)
Inclusion of costs of entertainment, including amusement, diversion, and social activities and any associated
costs that have a programmatic purpose.
200.438 Required Required Required Required Required Required Required Required Required
200.407(l)
Direct charge capital expenditures for general purpose equipment.200.439(b)(1)Waived Waived Waived Waived11 Waived18 Waived Waived22, 24 Waived Waived
Direct charge capital expenditures for buildings and land use.200.439(b)(1)Required Required Required Required Required Required Required Required Required
Direct charge capital expenditures for special purpose equipment over $5,000.200.439(b)(2)Waived Waived Waived Waived11 Waived Waived Waived22, 24 Waived Waived
Capital expenditures for improvements to land, buildings, or equipment which materially increase their value
or useful life.
200.439(b)(3)Required Required Required Required Required Required Required Required Required
200.407(m)
Exchange rate fluctuations that result in the need for additional Federal funding, or a reduction in the scope of
the project.
200.440(a)Required Required Required Required Required Required Required Required Required
200.407(n)
Costs resulting from non-Federal entity violations of, alleged violations of, or failure to comply with, Federal,
state, tribal, local or foreign laws and regulations.
200.441 Required Required Required Required Required Required Required Required Required
200.407(o)
Fund raising costs for the purposes of meeting the Federal program objectives.200.442(a)Required Required Required Required Required Required Required Required Required
200.407(p)
Costs of housing (e.g. depreciation, maintenance, utilities, furnishings, rent, housing allowances and personal
living expenses).
200.445(b)Required Required Required Required Required Required Required Required Required
Compensation -- personal services, paragraph (h)
Entertainment costs
Fixed amount subawards
Equipment
Direct Costs
Exchange rates
Fines, penalties, damages and other settlements
Equipment and other capital expenditures
Compensation -- fringe benefits
Fund raising and investment management costs
Goods or services for personal use
2
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200.407(q)
Costs of insurance or of contributions to any reserve covering the risk of loss of, or damage to, Federal
Government property.
200.447(b)(2)Required Required Required Required Required Required Required Required Required
200.407(r)
Costs of membership in any civic or community organization.200.454(c) Required Required Required Required Required Required Required Required Required
200.407(s)
Costs such as incorporation fees, brokers' fees, fees to promoters, organizers or management consultants,
attorneys, accountants, or investment counselor, whether or not employees of the non-Federal entity in
connection with establishment or reorganization.
200.455 Required Required Required Required Required Required Required Required Required
200.407(t)
Transfer of funds into the participant support cost category.200.456 Waived Waived4 Waived Required13 Waived Waived Waived Required Waived
Transfer of funds budgeted for participant support costs to other categories of expense.200.308(c)(5)Required Required Required Waived8 Required Required Required Required Required
200.407(u)
Inclusion of allowable pre-award costs.200.458 Waived Waived Waived Waived Waived Waived Waived Required Waived
Incur project costs 90 calendar days before the Federal awarding agency makes the Federal award.200.308(e)(1)Waived Waived Waived Waived Waived Waived Waived Required Waived
Incur project costs more than 90 calendar days pre-award.200.308(e)(1)Required Required Required Required Required Required Required Required Required
200.407(v)
Direct charge special arrangements and alterations costs incurred specifically for a Federal award.200.462(a)Required Required3 Required Waived12 Required Required Required Required Required
200.407(w)
Costs of selling and marketing any products or services of the non-Federal entity (unless allowed under
§200.421).200.467
Required Required Required Required Required Required Required25 Required Required
200.407(x)
Use of foreign tax reimbursement for approved activities under the Federal award.200.470(c) Required Required Required Required Required Required Required Required Required
200.407(y)
Inclusion of travel costs for officials covered by 200.444 General costs of government.200.474(a)Required Required Required Required Required Required Required Required Required
Travel costs for dependents for travel of duration of six months or more.200.474(c)(2)Required Required Required Required Required Required Required Required Required
*Any of the authorities may be over-ridden by a special term or condition of award.
1 Except where specified otherwise in this matrix, the terms and conditions of award, or the applicable program
solicitation or award notice.
2 This action requires the prior written approval of the cognizant NSF Program Officer.
3 Rearrangement and reconversion costs under $25,000 may be approved by grantees.
4 Unless funds are being moved into the "Other" category of participant support.
5 Waived, funds added to the amount available for the project.
6 Required for the PI and any other individuals specifically named in the Notice of Award.
7 Waived, but costs not specifically covered in Subpart F are subject to the NIH Grants Policy Statement
(NIHGPS).
8
Waived, unless change in scope. For the purposes of Kirschstein-National Research Service Award (NRSA)
programs, this term does not apply. NIH will continue to use the terms trainees, trainee-related expenses, and
trainee travel in accordance with NRSA Regulations. Participant support costs are only allowable when
identified in specific Funding Opportunity Announcements (FOAs).
Travel costs
Insurance and indemnification
Memberships, subscriptions, and professional activity costs, paragraph (c)
Organization costs
Participant support costs
Pre-award costs
Rearrangement and reconversion costs
Selling and marketing costs
Taxes (including Value Added Tax)
3
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9 Waived unless change in scope and except when subrecipient is foreign.
10 Waived except when Notice of Award indicates prior approval is required.
11 Waived unless change in scope.
12
Waived for alterations and renovations costing up to $500,000, unless change in scope or rebudgeting into
A&R exceeds 25% of budget period total.
See Rearrangement and Reconversion Costs within NIH Grants Policy Statement Chapter 7.9.1.
13 Required, participant support costs are only allowable when identified in specific Funding Opportunity
Announcements (FOAs).
14 This also is required for any co-PI/co-PD on the project.
15 Only if the total amount of indirect costs charged to the project does not exceed the maximum allowed indirect
costs or the institution's negotiated indirect cost rate, whichever is less.
16 Waived except when: 1) subaward(s) would be more than 50% of the total dollars of the award or 2) subaward
is to a federal agency. In these situations, prior approval is required.
17 Except when the change is a reduction in the amount of approved cost-sharing/match in which case prior
approval is required.
18 If the cost of the equipment is appropriately prorated among the activities to be benefitted.
19
Department of Commerce (DOC) permits non-Federal entities to own equipment upon acquisition without
conditions or without obligation to the sponsor at termination of project, unless otherwise specified in a
specific award condition. DOC permits trade in equipment to buy replacement equipment.
20 With prior approval, may use to meet cost share requirement.
21 Applies to PIs and co-PIs.
22 Waived unless results in a change of scope.
23 Waived unless total cost share amount is reduced from what was approved in budget.
24 Waived if the cost of equipment is appropriately prorated among the activities to be benefitted.
25 Pertains only to items produced under this award in which the Federal share was used for all or part of the
development.
4
November 12, 20 20
Research Terms and Conditions
Appendix B
Subaward Requirements
Institutions of Higher Education
Non-Profit Organizations Other than
Hospitals
Non-Profit Hospitals
For-Profit Hospitals
State, Local and Indian Tribal Governments
For-Profit Entities other than Hospitals and
Foreign Entities
Non-Profit Organizations Identified in
Appendix VIII to 2 CFR §200
This subaward is subject to
Allowable Cost Requirements
specified in--
2 CFR §200, Subpart E, t he Research
Terms and Conditions Overlay, and any
applicable Agency Specific
Requirements.
2 CFR §200, Subpart E, the Research
Terms and Conditions Overlay, and any
applicable Agency Specific
Requirements.
Agency implementations of 45 CFR part 74,
Appendix E, "Principles for Determining
Costs Applicable to Research and
Development under Grants and Contracts
with Hospitals".
Agency implementations of 45 CFR part 74,
Appendix E, "Principles for Determining
Costs Applicable to Research and
Development under Grants and Contracts
with Hospitals".
Agency implementations of 2 CFR §200,
Subpart E.
Federal Acquisition Regulation (FAR) at 48
CFR part 31.
Federal Acquisition Regulation (FAR) at
48 CFR part 31.
This subaward is subject to the
Administrative Requirements
specified in--
2 CFR §200, Subpart D, the Research
Terms and Conditions Overlay, and any
applicable Agency Specific
Requirements.
2 CFR §200, Subpart D, the Research
Terms and Conditions Overlay, and any
applicable Agency Specific
Requirements.
2 CFR §200, Subpart D, the Research Terms
and Conditions Overlay, and any applicable
Agency Specific Requirements.
Agency implementations of 2 CFR §200,
Subpart D.
Agency implementations of 2 CFR §200,
Subpart D.
Administrative requirements for awards to
for-profit organizations of the Federal
awarding agencies.
Agency implementations of 2 CFR
§200, Subpart D.
Agency Requirements specified
in--
DOC 2 CFR §200, the Research Terms and
Conditions, and Agency Specific
Requirements.
2 CFR §200, the Research Terms and
Conditions, and Agency Specific
Requirements.
2 CFR §200, the Research Terms and
Conditions, and Agency Specific
Requirements.
2 CFR §200 Subparts A-E, 48 CFR Part 31,
the Research Terms and Conditions, and
Agency Specific Requirements.
2 CFR §200, the Research Terms and
Conditions, and Agency Specific
Requirements.
2 CFR §200 Subparts A-E, 48 CFR Part 31,
the Research Terms and Conditions, and
Agency Specific Requirements.
2 CFR §200 (except Subpart E), the
Research Terms and Conditions, and
Agency Specific Requirements.
DOE 2 CFR §200, Subpart D, the Research
Terms and Conditions Overlay, and any
applicable Agency Specific
Requirements.
2 CFR §200, Subpart D, the Research
Terms and Conditions Overlay, and any
applicable Agency Specific
Requirements.
2 CFR §200, Subpart D, the Research Terms
and Conditions Overlay, and any applicable
Agency Specific Requirements.
Agency implementation of 2 CFR §200,
Subpart D and 2 CFR 910.
Agency implementation of 2 CFR §200,
Subpart D and 2 CFR 910.
Federal Acquisition Regulation (FAR) at 48
CFR part 31 and 2 CFR 910.
Agency implementation of 2 CFR §200,
Subpart D and 2 CFR 910.
DHS 2 CFR §200 and Department specific
requirements, including the terms and
conditions in the Notice of Funding
Opportunity and Federal Award.
2 CFR §200 and Department specific
requirements, including the terms and
conditions in the Notice of Funding
Opportunity and Federal Award.
2 CFR §200 and Department specific
requirements, including the terms and
conditions in the Notice of Funding
Opportunity and Federal Award.
2 CFR §200 and Department specific
requirements, including the terms and
conditions in the Notice of Funding
Opportunity and Federal Award.
2 CFR §200, 48 CFR §31, and Department
specific requirements, including the terms
and conditions in the Notice of Funding
Opportunity and Federal Award.
2 CFR §200 and Department specific
requirements, including the terms and
conditions in the Notice of Funding
Opportunity and Federal Award.
2 CFR §200 and Department specific
requirements, including the terms and
conditions in the Notice of Funding
Opportunity and Federal Award.
NASA 2 CFR §200, 2 CFR §1800, the Research
Terms and Conditions Overlay, and any
applicable NASA Agency Specific
Requirements.
2 CFR §200, 2 CFR §1800, the Research
Terms and Conditions Overlay, and any
applicable NASA Agency Specific
Requirements.
2 CFR §200, 2 CFR §1800, the Research
Terms and Conditions Overlay, and any
applicable NASA Agency Specific
Requirements.
2 CFR §200 (Subparts A-D), 45 CFR Part 75
Appendix E, 2 CF R §1800, the Research
Terms and Conditions Overlay, and any
applicable NASA Agency Specific
Requirements.
2 CFR §200, 2 CFR §1800, the Research
Terms and Conditions Overlay and any
applicable NASA Agency Specific
Requirements.
2 CFR §200 (Subparts A-D), 48 CFR Part 31,
2 CFR §1800, the Research Terms and
Conditions Overlay, and any applicable
NASA Agency Specific Requirements.
2 CFR §200, 2 CFR §1800, the Research
Terms and Conditions Overlay and any
applicable NASA Agency Specific
Requirements.
NIH The Research General Terms and
Conditions and the Agency Specific
Requirements.
The Research General Terms and
Conditions and the Agency Specific
Requirements.
The Research General Terms and
Conditions and the Agency Specific
Requirements.
2 CFR §200 & the NIH Grant Policy
Statement
[http://www.nih.gov/grants/policy/policy.h
tm#gps].
2 CFR §200 & the NIH Grant Policy
Statement
[http://www.nih.gov/grants/policy/policy.h
tm#gps].
2 CFR §200 & the NIH Grant Policy
Statement
[http://www.nih.gov/grants/policy/policy.h
tm#gps].
2 CFR §200 & the NIH Grant Policy
Statement
[http://www.nih.gov/grants/policy/pol
icy.htm#gps].
NSF 2 CFR §200, Subpart E, the Research
Terms and Conditions Overlay, and any
applicable NSF Agency Specific
Requirements.
2 CFR §200, Subpart E, the Research
Terms and Conditions Overlay, and any
applicable NSF Agency Specific
Requirements.
2 CFR §200, Subpart E, the Research Terms
and Conditions Overlay, and any applicable
NSF Agency Specific Requirements.
NSF Grant General Terms and Conditions
(GC-1)
(http://www.nsf.gov/awards/managing/gen
eral_conditions.jsp), 2 CFR §200 and, where
referenced, the NSF Proposal and Award
Policies and Procedures Guide
(https://www.nsf.gov/publications/pub_su
mm.jsp?ods_key=pappg).
NSF Grant General Terms and Conditions
(GC-1)
(http://www.nsf.gov/awards/managing/gen
eral_conditions.jsp), 2 CFR §200 and, where
referenced, the NSF Proposal and Award
Policies and Procedures Guide
(https://www.nsf.gov/publications/pub_su
mm.jsp?ods_key=pappg).
NSF Grant General Terms and Conditions
(GC-1)
(http://www.nsf.gov/awards/managing/gen
eral_conditions.jsp), 2 CFR §200 and, where
referenced, the NSF Proposal and Award
Policies and Procedures Guide
(https://www.nsf.gov/publications/pub_su
mm.jsp?ods_key=pappg).
NSF Grant General Terms and
Conditions (GC-1)
(http://www.nsf.gov/awards/managin
g/general_conditions.jsp), 2 CFR §200
and, where referenced, the NSF
Proposal and Award Policies and
Procedures Guide
(https://www.nsf.gov/publications/pu
b_summ.jsp?ods_key=pappg).
USDA/NIFA 2 CFR part 200, as implemented by 2
CFR parts 400 & 415, the Research
Terms and Conditions Overlay, NIFA-
Specific Research Terms and Conditions,
and applicable Program- Specific
Requirements in 7 CFR chapter XXXIV.
2 CFR part 200, as implemented by 2
CFR parts 400 & 415, the Research
Terms and Conditions Overlay, NIFA-
Specific Research Terms and Conditions,
and applicable Program-Specific
Requirements in 7 CFR chapter XXXIV.
45 CFR part 74, Appendix E, "Principles for
Determining Costs Applicable to Research
and Development under Grants and
Contracts with Hospitals," as implemented
by Appendix IX to 2 CFR Part 200, Hospital
Cost Principles.
Agency implementations of 45 CFR part 74,
Appendix E, "Principles for Determining
Costs Applicable to Research and
Development under Grants and Contracts
with Hospitals," as implemented by
Appendix IX to 2 CFR Part 200, Hospital Cos t
Principles.
Agency implementation of 2 CFR part 200,
Subpart E and 2 CFR parts 400 & 415.
Federal Acquisition Regulation (FAR) at 48
CFR part 31 and 2 CFR parts 400 & 415.
Federal Acquisition Regulation (FAR) at
48 CFR part 31 and 2 CFR parts 400 &
415.
Audit Requirements specified
in--
2 CFR §200, Subpart F 2 CFR §200, Subpart F 2 CFR §200, Subpart F Audit requirements of the Federal awarding
agency or the prime recipient.
2 CFR §200, Subpart F Audit requirements of the Federal awarding
agency or the prime recipient.
2 CFR §200, Subpart F
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Research Terms and Conditions
Appendix C
NATIONAL POLICY REQUIREMENTS MATRIX
This listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.
Statutory/Regulatory/and Executive Based Requirements Used For: Requirement(s) that should be noted by the recipient
National Policy Requirements
Applicable to all research agencies:
Type of Award Type of Recipient Specific Situation
a) Nondiscrimination
By signing or accepting funds under the agreement, the recipient
agrees that it will comply with applicable provisions of the
following, national policies prohibiting discrimination:
a. On the basis of race, color, or national origin, in Title VI of the
Civil Rights Act of 1964 (42 U.S.C. 2000d, et seq.), as implemented
by:
NSF at 45 CFR Part 611
NASA at 14 CFR Part 1250
DOE at 10 CFR Part 1040
USDA at 7 CFR Part 15
DOC at 15 CFR Part 8
HHS at 45 CFR Part 80 & 81
Grants, cooperative
agreements, and other
financial assistance
All All The following regulations require the recipient to flow down requirements
to subrecipients.
NSF at 45 CFR Part 611
NASA at 14 CFR Part 1250
DOE at 10 CFR Part 1040
USDA at 7 CFR Part 15
DOC at 15 CFR Part 8
HHS at 45 CFR Part 80 & 81
b. On the basis of race, color, religion, sex, or national origin, in
Executive Order 11246 [3 CFR, 1964-1965 Comp., p. 339], as
implemented by Department of Labor regulations at 41 CFR Part
60.
Grants, cooperative
agreements, and other
prime awards defined at 40
CFR 60-1.3 as “Federally
assisted construction
contract.”
All Awards under which
construction is to be done.
41 CFR 60-1.4(b) prescribes a clause that recipients must include in
federally assisted, construction awards and subawards [60-1.4(d) allows
incorporation by reference]. This requirement also is at: 32 CFR 33.36(I)
(3) and at paragraphs 1. of Appendices A to 32 CFR Part 32 and 32 CFR Part
34.
c. On the basis of sex or blindness, in Title IX of the Education
Amendments of 1972 (20 U.S.C. 1681, et seq.).
NSF 45 CFR Part 618
DOE at 10 CFR Part 1040
DOC at 15 CFR Part 8a
HHS at 45 CFR Part 86
NASA at 14 CFR Part 1253
Grants, cooperative
agreements, and other
financial assistance
included at 20 U.S.C. 1682.
Educational institution [for
sex discrimination, excepts
all Institution controlled by
religious organization,
when inconsistent with the
organization’s religious
tenets].
All educational program or
activity receiving Federal
financial assistance.
d. On the basis of age, in the Age Discrimination Act of 1975 (42
U.S.C. 6101, et seq.), as implemented by Department of Health
and Human Services regulations at 45 CFR part 90.
USDA at 7 CFR Part 15b
NSF at 45 CFR Part 617
NASA at 14 CFR Part 1252
DOE at 10 CFR Part 1040
HHS at 45 CFR Part 90 & 91
DOC at 15 CFR Part 20
Grants, cooperative
agreements, and other
awards defined at 45 CFR
90.4 as “Federal financial
assistance.”
All All 45 CFR 90.4 requires the recipient to flow down requirements to
subrecipients [definition of “recipient” at 45 CFR 90.4 includes entities to
which assistance is extended indirectly, through another recipient].
November 12, 2020 Page 1 of 18
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Appendix C
NATIONAL POLICY REQUIREMENTS MATRIX
This listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.
Statutory/Regulatory/and Executive Based Requirements Used For: Requirement(s) that should be noted by the recipient
National Policy Requirements
Applicable to all research agencies:
Type of Award Type of Recipient Specific Situation
e. On the basis of handicap, in:
1. Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), as
implemented by Department of Justice regulations at 28 CFR Part
41 and
DOC at 15 CFR Part 8b
NSF at 45 CFR Part 605
NASA at 14 CFR Part 1251
DOE at 10 CFR Part 1040
USDA at 7 CFR Part 15b
HHS at 45 CFR Part 84 & 85
Grants, cooperative
agreements, and other
awards included in “Federal
financial assistance”
All All Requirements flow down to subawards [“recipient,” includes entities
receiving assistance indirectly through other recipients].
2. The Architectural Barriers Act of 1968 (42 U.S.C. 4151, et seq.). Grant or loan All Construction or alteration of
buildings or facilities, except
those restricted to use only by
able-bodied uniformed
personnel.
3. Americans with Disabilities Act
42 USC 12101 et. seq
All All
f. On the basis of religion, in Executive Order 13798 and the
Attorney General’s Memorandum of October 6, 2017, as
implemented at 2 CFR 200.300.
All All All
b) Live Organisms
By signing or accepting funds under the agreement, the recipient
assures that it will comply with applicable provisions of the
following national policies concerning live organisms:
1. For human subjects:
a. For human subjects, the Common Federal Policy for the
Protection of Human Subjects. Codified by the:
DOC at 15 CFR Part 27
DHHS at 45 CFR Part 46
NSF at 45 CFR Part 690
NASA at 14 CFR Part 1230
DOE at 10 CFR Part 745
USDA at 7 CFR Part 1c
All All Research, development, test,
or evaluation involving live
human subjects, with some
exceptions [see agency
implementations for
exemptions.
Requirements flow down to subrecipients
November 12, 2020 Page 2 of 18
Research Terms and Conditions
Appendix C
NATIONAL POLICY REQUIREMENTS MATRIX
This listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.
Statutory/Regulatory/and Executive Based Requirements Used For: Requirement(s) that should be noted by the recipient
National Policy Requirements
Applicable to all research agencies:
Type of Award Type of Recipient Specific Situation
b. Human Stem Cell Research
In accordance with the President's Executive Order 13505 of
March 9, 2009, and July 30, 2009 Memorandum for the Heads of
Executive Departments and Agencies. See NIH Guidelines for
Human Stem Cell Research, July 7, 2009.
Other regulations that may apply:
HHS Human Subjects Protection Regulation, 45 CFR Pt 46
FDA Regulations governing INDs or IDEs (Title 21 CFR Parts 312 or
812)
FDA IRB & informed consent regulations (Title 21 CFR Parts 50 &
56)
Research on Transplantation of Fetal Tissue (PHS Act 489A)
As applicable All Research involving Human
Stem Cells
NIH Guidelines and Registry of cell lines meeting the Federal requirements
are found at: http://stemcells.nih.gov/
Other Federal, State or Local laws may also apply
c. P.L. 104-191 Health Insurance Portability and Accountability
Act (HIPAA)
45 CFR Part 160 and Subparts A and E of Part 164 Subpart C to be
effective 4/20/2005 (Security)
As applicable Covered Entities As applicable Limits uses of protected health information (PHI) collected or maintained
by researchers within a covered entity or access to PHI from a covered
entity. Research uses do not require Business Associate Agreements
(defined at 45 CFR part 164 504 (e)(1) between collaborating institutions.
Guidance available at http://privacyruleandresearch.nih.gov/
2. For animals: All All Requirements flow down to subrecipients
a. Rules on animal acquisition, transport, care, handling, and use
in: (i) 9 CFR Parts 1-4, Department of Agriculture rules that
implement the Laboratory Animal Welfare Act of 1966 (7
USC. 2131-2156). Public Health Service Agencies must follow
requirements in the PHS Policy on Humane Care and Use of
Laboratory Animals, which implements PL 99-158, Sec. 495. NASA
requirements for animal welfare are set forth at 14 CFR Part 1232
EPA at 40 CFR Part 40. For USDA/CSREES, "In the case of domestic
farm animals housed under farm conditions, the institution should
adhere to the principles stated in the Guide for the Care and Use
of Agricultural Animals in Agriculture and Teaching, Federation of
Animal Science Societies, 1999."
All All Research, experimentation, or
testing involving the use of
animals USDA regulations
exempt birds, most rats and
mice bred for research, and
farm animals used for
agricultural research.
b. Rules of the Departments of Interior (50 CFR Parts 10-24) and
Commerce (50 CFR Parts 217-227) implementing laws and
conventions on the taking, possession, transport, purchase, sale,
export, or import of wildlife and plants, including the: Endangered
Species Act of 1973 (16 U.S.C. 1531-1543); Marine Mammal
Protection Act (16 U.S.C. 1361-1384); Lacey Act (18 U.S.C. 42); and
Convention on International Trade in Endangered Species of Wild
Fauna and Flora.
All All Activities which may involve
or impact wildlife and plants.
November 12, 2020 Page 3 of 18
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Appendix C
NATIONAL POLICY REQUIREMENTS MATRIX
This listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.
Statutory/Regulatory/and Executive Based Requirements Used For: Requirement(s) that should be noted by the recipient
National Policy Requirements
Applicable to all research agencies:
Type of Award Type of Recipient Specific Situation
c) Environmental Standards
By signing the agreement or accepting funds under this
agreement, the recipient assures that it will:
1. Comply with applicable provisions of the Clean Air Act (42 U.S.C.
7401, et. Seq.) and Clean Water Act (33 U.S.C. 1251, et. seq.), as
implemented by Executive Order 11738 [3 CFR, 1971-1975 Comp.,
p. 799]
All All All, for Clean Air Act, Clean
Water Act, and Executive
Order 11738.
Requirements flow down to subrecipients
2. Identify to the awarding agency all impact this award may have
on:
a. The quality of the human environment, and provide help the
agency may need to comply with the National Environmental
Policy Act (NEPA, at 42 U.S.C. 4321, et. seq.) and to prepare
Environmental Impact Statements or other required
environmental documentation. In such cases, the recipient agrees
to take no action that will have an adverse environmental impact
(e.g., physical disturbance of a site such as breaking of ground)
until the agency provides written notification of compliance with
the environmental impact analysis process.
NSF at 45 CFR Part 640
DOE at 10 CFR Part 1021
NASA at 14 CFR Part 1216
USDA at 7 CFR Part 3407
All All All actions that may affect the
environment
b. Flood-prone areas, and provide help the agency may need to
comply with the National Flood Insurance Act of 1968 and Flood
Disaster Protection Act of 1973 (42 U.S.C. 4001, et. seq.), which
require flood insurance, when available, for Federally assisted
construction or acquisition in flood-prone areas.
USDA at 7 CFR 3105.205(b)(11)
DOE at 10 CFR Part 1022
All All Awards involving construction,
land acquisition or
development, with some
exceptions [see 42 U.S.C.
4001, et. seq.].
The Council on Environmental Quality’s regulations for implementing NEPA
are at 40 C.F.R. Parts 1500-1508. Executive Order 11514 [3 CFR, 1966-1970
Comp., p. 902], as amended by Executive Order 11991, sets policies and
procedures for considering actions in the U.S. Executive Orders 11988 [3
CFR, 1977 Comp., p. 117] and 11990 [3 CFR, 1977 Comp., p. 121] specify
additional considerations, when actions involve floodplains or wetlands,
respectively.
c. Coastal barriers, and provide help the agency may need to
comply with the Coastal Barriers Resource Act (16 U.S.C. 3501, et.
seq.), concerning preservation of barrier resources.
Grants, cooperative
agreements, and other
“financial assistance” (see
42 U.S.C. 4003).
All Awards that may affect
barriers along the Atlantic and
Gulf coasts and Great Lakes’
shores
42 U.S.C. 4012a prohibits awards for acquisition or construction in flood-
prone areas (Federal Emergency Management Agency publishes lists of
such areas in the Federal Register), unless recipient has required
insurance. If action is in a floodplain, Executive Order 11988 [3 CFR, 1977
Comp., p. 117] specifies additional pre-award procedures for Federal
agencies. Recipients are to apply requirements to subawards (“financial
assistance,” defined at 42 U.S.C. 4003, includes indirect Federal
assistance).
November 12, 2020 Page 4 of 18
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Appendix C
NATIONAL POLICY REQUIREMENTS MATRIX
This listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.
Statutory/Regulatory/and Executive Based Requirements Used For: Requirement(s) that should be noted by the recipient
National Policy Requirements
Applicable to all research agencies:
Type of Award Type of Recipient Specific Situation
d. All existing or proposed component of the National Wild and
Scenic Rivers system, and provide help the agency may need to
comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C.
1271, et seq.).
Grants, cooperative
agreements, and other
“financial assistance” (see
16 U.S.C. 3502).
All Awards that may affect
existing or proposed element
of National Wild and Scenic
Rivers system.
Requirements flow to subawards (16 U.S.C. 3502 includes indirect
assistance as “financial assistance”).
e. Underground sources of drinking water in areas that have an
aquifer that is the sole or principal drinking water source, and
provide help the agency may need to comply with the Safe
Drinking Water Act (42 U.S.C. 300h-3).
All All Construction in All area with
aquifer that the EPA finds
would create public health
hazard, if contaminated.
42 U.S.C. 300h-3(e) precludes awards of Federal financial assistance for All
project that the EPA administrator determines may contaminate a sole-
source aquifer so as to threaten public health
3. Resource Conservation and Recovery Act
42 USC 6901
All Awards to states or a
political subdivision of a
state (which for this
purpose includes state and
local institutions of higher
education or hospitals)
4. Procurement of items made with recovered materials pursuant
to section 6002 of the Solid Waste Disposal Act, as amended by
the Resource Conservation and Recovery Act of 1976, as amended,
and Executive Order 12873.
EPA at 40 CFR 247, 2 CFR 200.323
All Awards to states or a
political subdivision of a
state (which for this
purpose includes state and
local institutions of higher
education or hospitals)
Purchase of items designated
within the regulations at 40
CFR 247 using federal funds.
d) Health & Safety Guidelines
By signing the agreement or accepting funds under this
agreement, the recipient assures it will comply with the following
requirements:
1. Applicable OSHA Standards in Laboratories All All Research involving use of
hazardous chemicals or
bloodborne pathogens
29 CFR 1910.1030 Bloodborne Pathogens; 29 CFR 1910.1450, Occupational
Exposure to Hazardous Chemicals in Laboratories
2. Handling and transport of etiologic agents All All Research involving etiologic
agents
Procedures for Domestic Handling and Transport of Diagnostic Specimens
and Etiologic Agents, 1994 (3rd ed.), H5a3doc.75, National Committee for
Clinical Laboratory Standards
3. Biosafety standards in microbiological and biomedical
laboratories
All All Microbiological and
biomedical research
Biosafety in Microbiological and Biomedical Laboratories; 5th Edition
http://www.cdc.gov/biosafety/publications/bmbl5/index.htm
4. Controlled Substances All All Research involving controlled
substances
Drug Enforcement Administration (DEA) registration, inspection and
certification
5. Disposal of high-level radioactive waste and spent nuclear fuel.
Note however, that some States are exempt if they have
established separate requirements.
All All Research involving radioactive
waste and spent nuclear fuel
Nuclear Regulatory Commission Standard and Regulation, pursuant to the
Energy Reorganization Act of 1974, (42 USC, 5801, et seq.)
November 12, 2020 Page 5 of 18
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Research Terms and Conditions
Appendix C
NATIONAL POLICY REQUIREMENTS MATRIX
This listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.
Statutory/Regulatory/and Executive Based Requirements Used For: Requirement(s) that should be noted by the recipient
National Policy Requirements
Applicable to all research agencies:
Type of Award Type of Recipient Specific Situation
6. Investigational New Drug Applications All All All clinical trial investigations
of products that are subject to
section 505 or 507 of the
Federal Food, Drug, and
Cosmetic Act or to the
licensing provisions of the PHS
Act (58 Stat. 632, as amended
(42 USC 201, et seq.)
Food and Drug Administration (FDA), 21 CFR parts 50 and 312
7. Hotel and Motel Fire Safety Act of 1990 - P.L. 101-39 Conference or meeting
support
All Alterations and Renovations >
$500,000
40 USC 327-333
8. Labor Standards under Federally Assisted Construction:
Construction Work Hours and Safety Standards Act
All All Alterations and Renovations >
$500,000
40 USC 327-333
9. Text Messaging While Driving - EO 13513 All All When performing work for or
on behalf of government
Adopt and enforce policies that ban text messaging while driving.
10. Increasing Seat Belt Use in the United States Executive Order
13043,
Increasing Seat Belt Use in the United States, dated, April 16, 1997
Grants and Cooperative
Agreements
All In accordance with the Executive Order, “grantees are encouraged to
adopt and enforce on-the-job seat belt policies and programs for their
employees when operating company-owned, rented, or personally owned
vehicles.”
11. Dual Use Research of Concern All All Life Sciences awards http://www.phe.gov/s3/dualuse/Documents/us-policy-durc-032812.pdf
e) National Security Guidelines
By signing the agreement or accepting funds under this
agreement, the recipient assures it will comply with the following
requirements:
November 12, 2020 Page 6 of 18
Research Terms and Conditions
Appendix C
NATIONAL POLICY REQUIREMENTS MATRIX
This listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.
Statutory/Regulatory/and Executive Based Requirements Used For: Requirement(s) that should be noted by the recipient
National Policy Requirements
Applicable to all research agencies:
Type of Award Type of Recipient Specific Situation
1. Executive Order 13224, Blocking Property and Prohibiting
Transactions with Persons who Commit, Threaten to Commit, or
Support Terrorism, dated September 23, 2001. Executive Order
13224 gives the U.S. government a powerful tool to impede
terrorist funding and is part of our national commitment to lead
the international effort to bring a halt to the evil of terrorist
activity. President Bush issued Executive Order 13224 pursuant to
the authorities of the International Emergency Economic Powers
Act (50 U.S.C. 1701 et seq.)(IEEPA), the National Emergencies Act
(50 U.S.C. 1601 et seq.), section 5 of the United Nations
Participation Act of 1945, as amended (22 U.S.C. 287c)(UNPA), and
section 301 of title 3, United States Code.
All In general terms, the Order
provides a means by which to
disrupt the financial support
network for terrorists and
terrorist organizations by
authorizing the U.S.
government to designate and
block the assets of foreign
individuals and entities that
commit, or pose a significant
risk of committing, acts of
terrorism. In addition, because
of the pervasiveness and
expansiveness of the financial
foundations of foreign
terrorists, the Order
authorizes the U.S.
government to block the
assets of individuals and
entities that provide support,
services, or assistance to, or
otherwise associate with,
terrorists and terrorist
organizations designated
under the Order, as well as
their subsidiaries, front
organizations, agents, and
associates.
November 12, 2020 Page 7 of 18
Research Terms and Conditions
Appendix C
NATIONAL POLICY REQUIREMENTS MATRIX
This listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.
Statutory/Regulatory/and Executive Based Requirements Used For: Requirement(s) that should be noted by the recipient
National Policy Requirements
Applicable to all research agencies:
Type of Award Type of Recipient Specific Situation
2. Select Agents and Toxins
P.L. 107-188: Public Health Security & Bioterrorism Preparedness
Response Act of 2002, Title II sections 201-231
P.L. 107-56 The USA Patriot Act of 2001 Section 175b
www.cdc.gov/od/sap
Codified by the: HHS at 42 CFR Pt 73
USDA at 7 CFR 331 and 9 CFR 121
See also 15 CFR Chapter 7 for Export Administration Regulations
(EAR)
www.bxa.doc.gov and 49 CFR Pts 171 - 180 for transportation
requirements
As applicable All Research with or storage of
Select Agents and Toxins
Institution must be registered with CDC and or USDA prior to beginning
work with agents. Investigator must be licensed prior to begining work.
NIH Term of Award includes notice that registration must be complete
before using NIH funds and that no funds may be used for Select Agent
Research if certification is denied.
USDA inserts a term indicating that the grantee has primary responsibility
for complying with Title II of the Public Health Security and Bioterrorism
Preparedness and Response Act of 2002, Public Law 107-188, and the
regulations promulgated thereunder in 7 CFR Part 331, 9 CFR Part 121, and
42 CFR Part 72. For guidance on a biosecurity plan that includes physical
security of facilities and access controls to prevent unauthorized entries
see Departmental Manual 9610-1, USDA Security Policies and Procedures
for Biosafety Level-3 Facilities (available via
http://www.usda.gov/directives/index.html)
Other State and Local regulations may apply
3. Executive Order 13526 Classified National Security Information:
prescribes a uniform system for classifying, safeguarding, and
declassifying national security information, including information
relating to defense against transnational terrorism.
All
4. Section 841 of the Carl Levin and Howard P. “Buck” McKeon
National Defense Authorization Act for Fiscal Year 2015, as
amended, permits agencies to restrict, terminate, or void, in
whole or in part, awards where the Department of Defense
notifies the agency that the award is providing funds, including
goods and services, to covered persons or entities within a
covered combatant command.
All All Does not apply to awards
performed entirely within the
United States.
November 12, 2020 Page 8 of 18
Research Terms and Conditions
Appendix C
NATIONAL POLICY REQUIREMENTS MATRIX
This listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.
Statutory/Regulatory/and Executive Based Requirements Used For: Requirement(s) that should be noted by the recipient
National Policy Requirements
Applicable to all research agencies:
Type of Award Type of Recipient Specific Situation
5. Section 889 of the National Defense Authorization Act (NDAA)
for Fiscal Year (FY) 2019 (Public Law 115-232) prohibits the use of
loan or grant funds to procure or obtain, extend, or renew a
contract to procure or obtain, or enter into a contract (or extend
or renew a contract) to procure or obtain the equipment, services,
or systems prohibited systems as identified in section 889 of the
NDAA for FY 2019.
Government-wide implementation for assistance awards at 2 CFR
200.216
All All (Public Law 115-232) prohibits the head of an executive agency from
obligating or expending loan or grant funds to procure or obtain, extend,
or renew a contract to procure or obtain, or enter into a contract (or
extend or renew a contract) to procure or obtain the equipment, services,
or systems as identified in section 889 of the NDAA for FY 2019.
(a) In accordance with 2 CFR §200.216 and §200.471, for all awards that
are issued on or after August 13, 2020, recipients and subrecipients are
prohibited from obligating or expending loan or grant funds to:
(1) Procure or obtain;
(2) Extend or renew a contract to procure or obtain; or
(3) Enter into a contract (or extend or renew a contract) to procure or
obtain equipment, services, or systems that uses covered
telecommunications equipment or services as a substantial or essential
component of any system, or as critical technology as part of any system.
As described in Public Law 115-232, section 889, covered
telecommunications equipment is telecommunications equipment
produced by Huawei Technologies Company or ZTE Corporation (or any
subsidiary or affiliate of such entities).
(i) For the purpose of public safety, security of government facilities,
physical security surveillance of critical infrastructure, and other national
security purposes, video surveillance and telecommunications equipment
produced by Hytera Communications Corporation, Hangzhou Hikvision
Digital Technology Company, or Dahua Technology Company (or any
subsidiary or affiliate of such entities).
(ii) Telecommunications or video surveillance services provided by such
entities or using such equipment.
(iii) Telecommunications or video surveillance equipment or services
produced or provided by an entity that the Secretary of Defense, in
consultation with the Director of the National Intelligence or the Director
of the Federal Bureau of Investigation, reasonably believes to be an entity
owned or controlled by, or otherwise connected to, the government of a
covered foreign country.
(b) In implementing the prohibition under Public Law 115-232, section
889, subsection (f), paragraph (1), heads of executive agencies
administering loan, grant, or subsidy programs shall prioritize available
November 12, 2020 Page 9 of 18
CAT_Name:
Research Terms and Conditions
Appendix C
NATIONAL POLICY REQUIREMENTS MATRIX
This listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.
Statutory/Regulatory/and Executive Based Requirements Used For: Requirement(s) that should be noted by the recipient
National Policy Requirements
Applicable to all research agencies:
Type of Award Type of Recipient Specific Situation
funding and technical support to assist affected businesses, institutions
and organizations as is reasonably necessary for those affected entities to
transition from covered communications equipment and services, to
procure replacement equipment and services, and to ensure that
communications service to users and customers is sustained.
(c) See Public Law 115-232, section 889 for additional information.
f) General/Miscellaneous Requirements
By signing or accepting funds under the agreement, the recipient
agrees that will comply with the following general national policy
requirements:
1. SAM Registration - 2 CFR Part 25 All Recipient only; does not
apply to subrecipients
SAM registration must be renewed annually.
2. Drug Free Workplace
Public Law 100-690, Title V
DOC at 15 CFR Part 29
HHS at 45 CFR Part 1882
NSF at 45 CFR Part 630
USDA at 2 CFR Part 421
DOE at 2 CFR Part 902
NASA at 2 CFR Part 1882
All All 41 USC 701 et seq.
3. DUNS number - 2 CFR Part 25 All Recipient and 1st tier
subrecipient
DUNS number required at time of application
4. False Claims Act Provisions
a. Civil False Claims Act All All All 31 USC 2739
b. Criminal False Claims Act
18 USC 287 and 1001
All All All 18 USC 287 and 1001
c. Program Fraud and Civil Remedies and False Claims Act
31 USC 3801, 45 CFR 79
All All All 31 USC 3801, 45 CFR 79
November 12, 2020 Page 10 of 18
Research Terms and Conditions
Appendix C
NATIONAL POLICY REQUIREMENTS MATRIX
This listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.
Statutory/Regulatory/and Executive Based Requirements Used For: Requirement(s) that should be noted by the recipient
National Policy Requirements
Applicable to all research agencies:
Type of Award Type of Recipient Specific Situation
5. Government-wide Debarment and Suspension
(Nonprocurement)
USDA at 2 CFR Part 417
NSF at 2 CFR Part 2520
HHS at 2 CFR Part 376
NASA at 2 CFR Part 1880
DOC at 2 CFR Part 1326
All All 42 USC 1870 (a); Sec. 2455, PL 103-355, 108 Stat. 3327 (31 USC 6101 note);
EO 12549 (3 CFR, 1986 Comp., p. 189); EO 12689 (3 CFR, 1989 Comp., p.
235)
6. Lobbying Prohibitions 31 USC 1352, stipulates that (1) No
Federal appropriated funds have been paid or will be paid, 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 the awarding of any Federal contract, the
making of any Federal grant, the making of any Federal loan, the
entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any Federal
contract, grant, loan, or cooperative agreement. (2) If any funds
other than Federal apaporpriated 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 grant or cooperative
agreement, the undersigned shall complete and submit the SF
Form LLL, "Disclosure of Lobbying Activities", in accordance with
its instructions.
DOC at 15 CFR Part 28
NASA at 14 CFR Part 1271
NSF at 45 CFR Part 604
USDA at 2 CFR Part 418, 2 CFR 200
DOE at 10 CFR Part 601
HHS at 45 CFR Part 93
All 31 USC 1352 requires the grantee to include certification language in the
award documents for all subawards at all tiers, including subcontracts,
subgrants,
7. Metric System
15 USC 205 a-k and Executive Order 12770
All All All 15 CFR Part 19, Subpart B
November 12, 2020 Page 11 of 18
Research Terms and Conditions
Appendix C
NATIONAL POLICY REQUIREMENTS MATRIX
This listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.
Statutory/Regulatory/and Executive Based Requirements Used For: Requirement(s) that should be noted by the recipient
National Policy Requirements
Applicable to all research agencies:
Type of Award Type of Recipient Specific Situation
8. Misconduct in Science
Policies and responsibilities associated with prevention, detection,
and handling of misconduct in science allegations as stipulated in
agency implementing regulations:
USDA at 2 CFR Part 422
NSF at 45 CFR Part 620
NASA at 14 CFR Part 1275
HHS at 42 CFR Part 93, Subpart A
All All All [Federal Register: December 6, 2000 (Volume 65, Number 235)] [Notices]
[Page 76260-76264]
9. National Historic Preservation
The recipient agrees to identify to the awarding agency all
property listed or eligible for listing on the National Register of
Historic Places that will be affected by this award, and to provide
all the help the awarding agency may need, with respect to the
award.
16 USC 470f
All All All
10. Paperwork Reduction Act All All When data is collected from
respondents using a
questionnaire or other survey
instrument. See, however,
M-11-07 dated 12/9/10
entitled, "Faclitating Scientific
Research by Streamlining the
Paperwork Reduction Act
Process."
Data collection activities, if any, performed under this project are the
responsibility of the recipient, and awarding agency support of the project
does not constitute approval of any survey design, questionnaire content,
or data collection procedures. The recipient shall not represent to
respondents that such data are being collected for or in association with
the awarding agency without the specific written approval of the cognizant
awarding agency official of such data collection plan or instrument.
However, this requirement is not intended to preclude mention of
awarding agency support of the project in response to an inquiry or
acknowledgment of such support in any publication of these data.
11. Recipient Integrity and Performance Matters
Reporting of Matters Related to Recipient Integraity and
Performance; Appendix XII to 2CFR 200
All Recipient only. Does not
apply to subrecipients
12. Transparency Act - FFATA Public Law 109-282
USDA at 2 CFR Part 170
All All, including 1st tier
subrecipients
Awards of 25K or more Reporting grants and 1st tier subrecipients of 25K or more, and executive
compensatino reporting of same; limited exceptions.
November 12, 2020 Page 12 of 18
Research Terms and Conditions
Appendix C
NATIONAL POLICY REQUIREMENTS MATRIX
This listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.
Statutory/Regulatory/and Executive Based Requirements Used For: Requirement(s) that should be noted by the recipient
National Policy Requirements
Applicable to all research agencies:
Type of Award Type of Recipient Specific Situation
13. U.S. Flag Air Carriers All All Any air transportation to,
from, between, or within a
country other than the U.S. of
persons or property, the
expense of which will be
assisted by Federal funding,
must be performed by or
under a code-sharing
arrangement with a U.S.-flag
air carrier if service provided
by such a carrier is available
(see Comp Gen. Decision
B-240956, dated September
25, 1991).
49 USC 40118 See also General Services Administration amendment to the
Federal Travel Regulations, Federal Register (Vol. 63, No. 219,
63417-63421)
November 12, 2020 Page 13 of 18
Research Terms and Conditions
Appendix C
NATIONAL POLICY REQUIREMENTS MATRIX
This listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.
Statutory/Regulatory/and Executive Based Requirements Used For: Requirement(s) that should be noted by the recipient
National Policy Requirements
Applicable to all research agencies:
Type of Award Type of Recipient Specific Situation
14. Trafficking in Persons
By signing or accepting funds under the agreement, the recipient
agrees that it will comply with Trafficking Victims Protection Act of
2000 (22 U.S.C. 7104(g)) as implemented by 2 CFR 175
Grants and Cooperative
Agreements and contracts
175.15(b)I.a. applies to
private entities
175.15(b)I.b. applies to
other than private entities
if award includes
subrecipient award to a
private entity
117.15(b)I.c.applies to all
recipients
A. Associated with performance under this award; or
B. Imputed to you or the subrecipient using the standards and due process
for imputing the conduct of an individual to an organization that are
provided in 2 CFR part 180, “OMB Guidelines to Agencies on
Governmentwide Debarment and Suspension (Nonprocurement),” as
implemented by the agency in its regulatory implementation of the OMB
guidelines in 2 CFR part 180.
b. Provision applicable to a recipient other than a private entity. We as the
Federal awarding agency may unilaterally terminate this award, without
penalty, if a subrecipient that is a private entity--
1. Is determined to have violated an applicable prohibition in paragraph
a.1 of this award term; or
2. Has an employee who is determined by the agency official authorized to
terminate the award to have violated an applicable prohibition in
paragraph a.1 of this award term through conduct that is either--
i. Associated with performance under this award; or
ii. Imputed to the subrecipient using the standards and due process for
imputing the conduct of an individual to an organization that are provided
in 2 CFR part 180, “OMB Guidelines to Agencies on Governmentwide
Debarment and Suspension (Nonprocurement),” as implemented by our
agency .
c. Provisions applicable to any recipient.
1. You must inform us immediately of any information you receive from
any source alleging a violation of a prohibition in paragraph a.1 of this
award term.
2. Our right to terminate unilaterally that is described in paragraph a.2 or b
of this section:
i. Implements section 106(g) of the Trafficking Victims Protection Act of
2000 (TVPA), as amended (22 U.S.C. 7104(g)), and
ii. Is in addition to all other remedies for noncompliance that are available
to us under this award.
3. You must include the requirements of paragraph a.1 of this award term
in any subaward you make to a private entity.
15. Whistleblower Protection
Awardees are notified of the applicability of 41 U.S.C. § 4712, as
amended by P.L. 112-239, providing protection for whistleblowers.
All All All
November 12, 2020 Page 14 of 18
Research Terms and Conditions
Appendix C
NATIONAL POLICY REQUIREMENTS MATRIX
This listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.
Statutory/Regulatory/and Executive Based Requirements Used For: Requirement(s) that should be noted by the recipient
National Policy Requirements
Applicable to all research agencies:
Type of Award Type of Recipient Specific Situation
16. Use of United States Flag Vessels
46 CFR 381
Grants, Cooperative
Agreements, Loans and
Guarantee and Advance of
Funds Agreements
All
17. Patents, Trademarks and Copyrights
35 USC 202-204 and 37 CFR 401
Grants and Cooperative
Agreements
Awards to non-profits and
small businesses
18. Privacy Act
5 USC 552a
All All
19. Pro Children Act
20 USC 7183
All All All awards performed in
facilities where children are
served.
20. Uniform Relocation Assistance and Real Property Acquisition
Policies Act
42 USC 4601 and 49 CFR 24
All All
21. Confidentiality of Patient/Client Records
42 USC 290dd-2 and 42 USC 290ee-3
All All\
22. Constitution Day
PL 108-447
All All
23. Copeland Act
40 USC 4135
All All
24. Davis Bacon Act
40 USC 3141 et.seq
All All
25. Earthquake Hazards Reduction Act
42 USC 7701 et seq., EO 12699
All All Construction awards within
applicable geographic areas
26. Faith-Based and Other Neighborhood Organizations
EO 13559
All All
27. Federal Technology Transfer Act
15 USC 63
All All
November 12, 2020 Page 15 of 18
Research Terms and Conditions
Appendix C
NATIONAL POLICY REQUIREMENTS MATRIX
This listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.
Statutory/Regulatory/and Executive Based Requirements Used For: Requirement(s) that should be noted by the recipient
National Policy Requirements
Applicable to all research agencies:
Type of Award Type of Recipient Specific Situation
28. Freedom of Information Act
5 USC 552
All All
29. Hatch Act
5 USC 7321-7328
All State or Local Governments
30. Limited English Proficiency
EO 13166
All All
31. Military Recruiting and Reserve Officer Training Access to
Institutions of Higher Education
10 USC 983
All Domestic Institutions of
Higher Education
32. Native American Graves Protection and Repatriation
25 USC 3001-3013
All All
33. Improving Free Inquiry, Transparency, and Accountability at
Colleges and Universities (Executive Order on Campus Free
Speech)
EO 13864
USDA
DOC
HHS
DOT
DOE
NSF
NASA
All Institutions of Higher
Education
November 12, 2020 Page 16 of 18
Research Terms and Conditions
Appendix C
NATIONAL POLICY REQUIREMENTS MATRIX
This listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.
Statutory/Regulatory/and Executive Based Requirements Used For: Requirement(s) that should be noted by the recipient
National Policy Requirements
Applicable to all research agencies:
Type of Award Type of Recipient Specific Situation
34. Risk review of applications and the Federal Awardee All All As required by 2 CFR 200 of
Performance and Integrity Information System (FAPIIS) the Uniform Guidance,
agencies must review and
consider any information
about the applicant that is in
the Federal Awardee
Performance and Integrity
Information System (FAPIIS)
before making any award in
excess of the simplified
acquisition threshold
(currently $250,000) over the
period of performance. An
applicant may review and
comment on any information
about itself that a federal
awarding agency previously
entered. Agencies will
consider any comments by the
applicant, in addition to other
information in FAPIIS in
making a judgment about the
applicant's integrity, business
ethics, and record of
performance under federal
awards when completing the
review of risk posed by
applicants as described in 2
CFR § 200.205 Federal
Awarding Agency Review of
Risk Posed by Applicants.
As required by 2 CFR 200
Appendix XII of the Uniform
Guidance, non-federal entities
(NFEs) are required to disclose
in FAPIIS any information
about criminal, civil, and
administrative proceedings,
and/or affirm that there is no
new information to provide.
This applies to NFEs that
November 12, 2020 Page 17 of 18
Research Terms and Conditions
Appendix C
NATIONAL POLICY REQUIREMENTS MATRIX
This listing of statutory/regulatory/and executive requirements is provided for information purposes only, and may not reflect all requirements that are applicable to a specific award.
Statutory/Regulatory/and Executive Based Requirements Used For: Requirement(s) that should be noted by the recipient
National Policy Requirements
Applicable to all research agencies:
Type of Award Type of Recipient Specific Situation
receive federal awards
(currently active grants,
cooperative agreements, and
procurement contracts)
greater than $10,000,000 for
any period of time during the
period of performance of an
award/project.
November 12, 2020 Page 18 of 18
09/27/2022
ASAP Award Letter
David Woodward
1200 N TELEGRAPH RD DEPT 470
PONTIAC, MI 48341-1036
Reference: Award Number:
ASAP Account Number:
2022-70424-38540
70424385407042422000
Dear David Woodward :
The USDA National Institute of Food and Agriculture (NIFA) issued the referenced award for the project: Prescription for
Healthy Oakland. As noted in the provisions section of the award, the Department of Treasury Automated Standard Application
for Payments (ASAP) will be used for disbursement of the award funds.
ASAP is a web based electronic payment and information system developed by the Department of Treasury, Bureau of the Fiscal
Service. ASAP allows recipient organizations receiving federal funds to draw from accounts preauthorized by federal agencies.
ASAP is a role based application in which access is granted based on the assigned role of the user. For more information about
ASAP visit https://www.fiscal.treasury.gov/asap/.
The ASAP defines roles and their general responsibilities are as follows:
Point of Contact :the person responsible for assigning individuals to the other identified roles.
Head of Organization :the person who has top management responsibilities within the recipient organization who approves
the assignment of roles.
Authorizing Official :the person responsible for the organization's profile data and identifying the individuals that will need
access to ASAP account information.
:Financial Official the person responsible for the organization's bank account information.
:Payment Requester the person responsible for requesting award funds.
Before award funds can be made available, NIFA's Financial Management Division (FMD), Accounting Operations Branch
(AOB), will determine whether your organization is currently enrolled into ASAP. For organizations already enrolled in ASAP for
another federal agency (not NIFA), please refer to Attachment 2, which explains how to attach your organization to the NIFA
Agency Location Code (ALC) in ASAP.
If your organization is not currently enrolled in ASAP, AOB will initiate and your organization will complete the enrollment
process described in Attachment 1. The point of contact for your organization, identifed in Box 19 on Form SF-424 R&R, will
receive an ASAP user ID and password. If the ASAP access information has not been received within two weeks of receiving this
letter, please send an e-mail to ASAPCustomerService@usda.gov.
ASAP provides information about the enrollment process, system requirements, and training opportunities online at:
https://fiscal.treasury.gov/asap/getting-started.html. Once your organization has ASAP Access and a user logs in, there is a Help
tab with instructions for general navigation, initiating payment requests, and other useful information.
Should you need ASAP assistance, please contact the Bureau of the Fiscal Service at the Kansas City Financial Center, (855) 868-
0151. Please listen and follow the prompts for ASAP (currently Option 2, then Option 3). Hours of Operation: 6:30 AM - 5:00 PM
Central Time (Monday - Friday). The Fiscal Service ASAP Help Desk also can be reached at the following email address:
asaphelpdesk@fiscal.treasury.gov.
OAKLAND, COUNTY OF
Sincerely,
William Waits Raulerson
Director, Financial Management Division
:Payment Terms please allow 30 days from the date of the award or enrollment completion to process payment.
1. NIFA's Financial Management Division (FMD), Accounting Operations Branch (AOB), inputs grantee information obtained
from the application submitted to NIFA (e.g., grantee's DUNS number, EIN, and point of contact name and e-mail address).
2. ASAP provides the point of contact (as entered by AOB) via e-mail a user ID and password.
3. The point of contact (POC) accesses the system using the user ID and password, accepts the POC role, verifies grantee
information already entered, and assigns individuals for the various roles (e.g., Head of Organization, authorizing Official, Financial
Official, and Payment Requestor(s)).
4. ASAP provides the Head of Organization via e-mail a user ID and password.
5. Head of Organization accesses the system using the user ID and password and approves the POC assignment of individuals for
the various roles.
6. ASAP provides the individuals, approved by the Head of Organization to serve in the applicable role, via e-mail, a user ID and
password.
7. The Authorizing and Financial Officials separately access the system and input information associated with their roles (e.g.,
Authorizing Official identifies other individuals that must have access to the grantee information in the system and the Financial
Official includes applicable banking data).
8. ASAP notifies AOB that the enrollment process is completed upon which AOB creates an ASAP account to which award funds
will be deposited and from which the grantee may withdraw award funds.
Warning: Once a user id and password have been issued, the applicable individual must perform their assigned task within
45 days of the issuance otherwise the enrollment is cleared from the system and the enrollment process must be restarted.
ASAP ENROLLMENT PROCESS
(Currently not enrolled in ASAP)
Attachment 1
Attachment 2
ASAP ENROLLMENT PROCESS
(Already enrolled in ASAP)
1. NIFA's Financial Management Division, Accounting Operations Branch (AOB), inputs grantee information obtained from the
application submitted to NIFA (e.g., grantee's DUNS number, EIN, and point of contact name and e-mail address).
a. If the ASAP system indicates that the organization is already enrolled in ASAP and is already attached to the
NIFA Agency Locator Code (ALC) (12-40-2200), the enrollment process stops and does not need to proceed.
b. If the ASAP system indicates that the organization is already enrolled in ASAP but is not already attached to
the NIFA Agency Locator Code (ALC) (12-40-2200), proceed to the next step.
2. ASAP provides the point of contact (as entered by AOB) via e-mail a notification that the organization Financial Official must be
notified.
3. The Financial Official separately accesses the system using their previously assigned userid and password and accesses the
banking data screen to click the checkbox that "attaches" the organization to the NIFA ALC (12-40-2200).
United States Department of Agriculture
National Institute of Food and Agriculture
AWARD FACE SHEET
$0.00Previous Total
$0.00
Carrie Hribar
Oakland County
Pontiac, MI 48341-1032
15. Project Director/Performing Organization
2022-06997
3. Proposal Number
2022-70424-38540
1. Award No.
New
6. Type of Action
10.331
7. CFDA Number
Mallory Koenings
14. Program Point of Contact:
202-604-1985
mallory.koenings@usda.gov
Heather Daughtery
Administrative Point of Contact:
816-401-7957
heather.daughtery@usda.gov
1029494
10. CRIS Number
18. Title of Proposal
PROVISIONS
20227042438540
13. Awardee Organization
Grant
5. Type of Instrument
12. Agency (Name and Address)
09/15/2022
4. Period of Performance
$453,000.00
+ or -
$0.00
$453,000.00
Total
$0.00
Grand Total
09/14/2025through
$453,000.00
Federal Non-Federal16. Funding:17. Funds Chargeable
OAKLAND, COUNTY OF
PONTIAC, MI 48341-1036
2.Amendment No.
9. Method of Payment
Prescription for Healthy Oakland
$453,000.0021- 199-70424
FY - FDC Amount
Telephone:Telephone:
Elizabeth Kerling
Typed Name
Authorized Departmental Officer
FOR THE UNITED STATES DEPARTMENT OF AGRICULTURE
Signature Date
NIFA-2009
ASAP 70424385407042422000
Awards Management Division
National Institute of Food and Agriculture/USDA
805 Pennsylvania Ave Kansas City, MO 64105
This award, subject to the provisions above, shall constitute an obligation of funds on behalf of the Government. Such obligation may be terminated without
further cause unless the recipient commences the timely drawdown of funds; such drawdowns may not exceed one year from issuance date of the award.
FY - FDC Amount
Page No : 1 1/
This Award incorporates the following:
1. The referenced proposal and any revision thereto - incorporated by reference
2. Research Terms and Conditions and USDA/NIFA Agency-Specific Terms and Conditions (May 2022) at http://nifa.usda.gov/terms-
and-conditions.
3. General Provisions found in Title 2: 2 CFR Part 400; 2 CFR Part 415; 2 CFR Part 416; 2 CFR Part 418; 2 CFR Part 422; and, Title
7: 7 CFR Part 3430 - all incorporated by reference and found at https://www.nsf.gov/bfa/dias/policy/fedrtc/rtcoverlay_nov20.pdf.
4. The Approved Award Budget
5. NIFA Project Initiation Documents - incorporated by reference
6. Failure to submit complete, accurate, and timely reports may result in possible award delays or enforcement actions. Federal
Financial SF-425 forms are to be sent to awards@usda.gov. Project progress reports are to be completed in the REEport portal
located at https://portal.nifa.usda.gov. Questions regarding access to REEport should be directed to electronic@usda.gov. Additional
information regarding grant management and closeout can be found at: https://nifa.usda.gov/manage-grant and
https://nifa.usda.gov/close-grant.
7. The obligation of funds may be terminated without further cause unless the recipient commences the timely drawdown of funds;
initial drawdown of funds signifies acceptance of award terms and conditions and should commence in a timely manner within the
award period. Inquiries regarding ASAP Payment Accounts should be directed to the Financial Management Division at
asapcustomerservice@usda.gov.
8. Prohibition against using funds under Grants and Cooperative Agreements with entities that require certain internal confidentiality
agreements are referenced at https://nifa.usda.gov/prohibition-confidentiality-agreements
9. The Project Director is required to attend the annual Project Director's workshop/conference as stipulated in the RFA.
10. GusNIP comprehensive program evaluation requirements include meeting periodically with staff from NIFA, FNS, the NTAE
Centers, and other GusNIP grantees as well as collecting the minimum core firm-level and participant-level metrics data and regularly
providing these data to the NTAE Centers. Facilitation of site visits with staff from NIFA, FNS and/or the NTAE Centers is also
required.
11.Authority:
8.FAIN
7 U.S.C. 7517, Section 4405 of 7 U.S.C. 7517 as amended by Section 4208 of the Agricultural Act, Gus Schumacher Nutrition Incentive Grant Program
ELIZABETH.KERLING 09/27/2022
REQUEST:
1. Create one (1) Special Revenue (SR) Part-Time Non-Eligible (PTNE) 1,000 hours per year Public
Health Educator II position and one (1) SR PTNE 1,000 hours per year Public Health Educator III
position within the Health Promotion unit.
PROPOSED FUNDING:
FY2023 Produce Prescription Grant Program
OVERVIEW:
The United States Department of Agriculture Gus Schumacher Nutrition Incentive has awarded the
Oakland County Health Division funding through the Fiscal Year (FY) Produce Prescription Grant Program
in the amount of $453,000 for the period September 15, 2022, through September 14, 2025. The grant
includes funding in the amount of $221,081 for the creating of two (2) subrecipient award agreements
with Oakland University for $200,581 and Honor Community Health in the amount of $20,500 Funding
will be used to support improving food and nutritional security and health behaviors for eligible citizens
in Oakland County. The goal of the program is to create a culture of healthy living with a focus on reducing
food barriers to accessing fresh fruits and vegetables. It is requested to create one (1) SR PTNE 1,000
hours Public Health Educator II position and one (1) SR PTNE 1,000 hours Public Health Educator III
position within the Health Promotion Unit (#1060241).
COUNTY EXECUTIVE RECOMMENDATION:Recommended as Requested.
PERTINENT SALARIES FY 2023
Class Period Base Step 12 Step 24 Step 36 Step 48 Step 60
Public Health
Educator II
Annual
Bi-wkly
Hourly
49,661
1,910.02
23.88
52,072
2,002.75
25.03
54,482
2,095.46
26.19
56,893
2,188.19
27.35
59,303
2,280.90
28.51
61,714
2,373.63
29.67
Public Health
Educator III
Annual
Bi-wkly
Hourly
60,363
2,321.66
29.02
63,293
2,434.33
30.43
66,224
2,547.06
31.84
69,153
2,659.73
33.25
72,084
2,772.46
34.66
75,014
2,885.15
36.06
*Note: Annual rates are shown for illustrative purposes only.
SALARY AND FRINGE BENEFIT SAVINGS
**Note: Fringe benefit rates displayed are County averages. Annual costs are shown for illustrative
purposes only. Actual costs are reflected in the budget amendment. .
Create one SR (1) PTNE 1,000 hours per year Public
Health Educator II position
Salary @ step 12 52,072
Fringes @ 5.49% 2858
Cost $54,930
Create one SR (1) PTNE 1,000 hours per year Public
Health Educator III position
Salary @ step 12 63,293
Fringes @ 5.49%3475
Cost $ 66,767
Total Cost $121,677