Page images
PDF
EPUB

inafter mean Part I of that Circular as revised.

§ 660.3 Definitions.

Terms used in this part will have the meanings indicated below. Where the primary source of a term is Title I of PL 90-577, Part V of A-95, or Paragraph 4 of TC 1082, that fact is indicated parenthetically.

(a) State-Any of the several States of the United States, the District of Columbia, Puerto Rico, any territory or possession of the United States, or any agency or instrumentality of a State, but does not include the governments of the political subdivision of the State. (Pub. L. 90-577, Sec. 102)

(b) Local Government-a local unit of government, including specifically a county, municipality, city, town, township, or a school or other special district political subdivisions of the State. (Pub. L. 90-577, Sec. 103)

(c) Unit of general local government-any city, county, town, parish, village, or other general purpose political subdivision of a State. (Pub. L. 90577, Sec. 104)

(d) Special-purpose unit of local government-any special district, public purpose corporation, or other strictly limited-purpose political subdivision of a State, but shall not include a school district. (Pub. L. 90-577, Sec. 105)

(e) Grant-in-Aid-money, or property provided in lieu of money, paid or furnished by the United States under a fixed annual or aggregate authorization

(1) To a State; or

(2) To a political subdivision of a State; or

(3) To a beneficiary under a plan or program, administered by a State or a political subdivision of a State, which is subject to approval by a Federal agency; if such authorization either (i) requires the States or political subdivisions to expend non-Federal funds as a condition for the receipt of money or property from the United States; or (ii) specifies directly, or establishes by means of a formula, the amounts which may be paid or furnished to States or political subdivisions, or the amounts to be allotted for use in each of the States by the States, political subdivisions, or other beneficiaries.

The term does not include payments under research and development contracts or grants which are awarded directly and on similar terms to all qualifying organizations, whether public or private (Pub. L. 90-577, Sec. 106).

(f) Federal assistance-programs that provide assistance through grant or contractual agreements. (Pub. L. 90-577, Sec. 107)

(g) Clearinghouse—includes:

(1) State Clearinghouse-an agency of the State Government designated by the Governor or by State law to carry out the requirements of Part I of A-95.

(2) Areawide Clearinghouse-(i) In nonmetropolitan areas, a comprehensive planning agency designated by the Governor (or Governors in the case of regions extending into more than one State) or by State law to carry out requirements of A-95; or

(ii) In metropolitan areas, an areawide agency that has been recognized by the Office of Management and Budget as an appropriate agency to perform review functions under A95. (A-95, V. 10)

(h) State central information reception agency (SCIRA)-the State agency which has been designated by the Governor, in consultation with the legislature, to serve as the central reception point for Federal grant-in-aid information furnished under section 201 of the Intergovernmental Cooperation Act of 1968. (TC 1082, 4 F)

(i) Covered Program-Any NSF Program listed in Attachment D to A-95 or in Appendix I to the Catalog of Federal Assistance, whichever is later.

(j) Project—A definitely formulated research activity or other planned scientific undertaking. Excludes international travel grant activities.

(k) Exempt Project—(1) A project proposed for support under an NSF program not covered by A-95 (see also § 660.5); or (2) A proposed project, for support under a covered program, which is national in scope and would not impact on the development of the particular State, area, or locality in which it is being conducted. (See § 660.4).

(1) Major Substantive Modification— (1) Any change in the nature or scope

80-153 0-81--8

of the project which might result in a funding change, considered to be a "revision" for the purposes of SF 424; or (2) Any proposal for renewed support of a project beyond the period contemplated in the original proposal, considered to be a "renewal" for the purposes of SF 424.

(m) Proposal-An application for NSF support of a project.

§ 660.4 Notification of intent (NOI) and consultation and review procedures.

(a) Any individual, organization, or association planning to submit a proposal for NSF support of a project, or major substantive modification thereto, which is not exempt from the provisions of this part, must notify the State clearinghouse of its intent. In the event a national organization or association intends to submit a proposal which it believes to be exempt under § 660.3(k)(2), the prospective applicant should consult with the appropriate NSF Program Officer prior to concluding that a notification of intent (NOI) is not required.

(b) Unless requested to do so by the clearinghouse in accordance with subparagraph 4 g of A-95, NSF grantees or contractors need not send an NOI to the clearinghouse prior to submitting a proposal either for supplemental support of a project during the currently approved period of support, considered to be an "augmentation" for the purposes of SF 424, or for continued support of a project beyond the current period of support if the project was proposed and has been approved for such longer period of support and no major substantive modification is contemplated, considered to be a "continuation" for the purposes of SF 424.

(c) If the project has specific applicability to or would affect local or areawide planning or programs, the governmental unit(s) where such impact would occur shall be identified and the notification also shall be sent to the areawide clearinghouse(s) having jurisdiction.

(d) Unless an applicable clearinghouse has prescribed some other form, SF 424 (Attachment E to A-95) may be used as the NOI required by subparagraph 2a of that Circular, by comple

tion of Section I, Applicant/Recipient Data, as prescribed in "Applicant Procedures for Section I." The legal applicant/recipient described in item 4 of SF 424 should establish such internal control procedures as may be appropriate to ensure that the NOI adequately describes a project which the organization will conduct, if ultimately approved. Item 2 may be used for this purpose. Section 660.5(c), below, provides amplifying instructions for the subsequent use of the same form as the face sheet for the proposal to a covered NSF program.

(e) The NOI should be sent at the earliest feasible time, to permit the clearinghouse(s) to perform the functions prescribed in paragraph 3 of A95. As indicated in subparagraph 4a of A-95, clearinghouses normally have 30 days to coordinate the NOI with appropriate State, multi-State, local, or regional governments or agencies, and to furnish comments to the applicant. If the review is not completed during this period, subparagraph 4b of A-95 provides for a clearinghouse to assist the applicant, during the proposed preparation phase, in the resolution of any problems raised by the NOI. If the clearinghouse so requires, it may have 30 days to review the completed application.

(f) A clearinghouse may request information beyond that contained in the NOI. If the requested information is required by NSF in its proposal submission guidelines, it, or the proposal itself, should be furnished to the clearinghouse. If the requested information is not so required, the applicant is encouraged to supply it to the clearinghouse if it is readily at hand and will not entail any extra expenditures of time or resources. In either event, the proposing institution or organization may omit confidential information of the types described in subparagraph 4e of A-95.

§ 660.5 State requirements.

Subparagraph 8g of A-95 recognizes that some States may have laws, executive orders, or administrative regulations which require review of applications for Federal assistance under various programs not covered by A-95.

[blocks in formation]

(b) SF 424 provides a standardized means of evidencing compliance with the consultation and review procedures and is the required face sheet for proposals to covered programs. Proposing institutions or organizations are encouraged to begin using that form as soon as feasible, but shall do so in connection with any proposals submitted to covered programs on and after April 29, 1976. If the State clearinghouse has returned the SF 424 used as the NOI, the same form (or reproduced copies thereof) may be used by the proposing institution or organization to satisfy this requirement by (1) checking "application" in Section I, (2) completing Sections I and II in accordance with the applicant procedures prescribed on the form, as amplified in (c) below, and (3) attaching to the signed original any written comments received by or through clearinghouse(s). If more than 30 days (plus round trip mail time) have elapsed since the NOI was submitted with no comments from the clearinghouse(s), the proposing institution or organization may prepare a new SF 424, certifying that there has been no response. However, the State

Application Identifier (SAI) must be shown. In either event, the completed SF 424 should be reproduced in sufficient copies to be used in lieu of the proposal cover page traditionally required by NSF.

(c) The applicant procedures for Sections I and II of SF 424 are amplified as follows for proposals for NSF support of projects under covered programs:

(1) Item 4, Legal Applicant Recipient

(i) Applicant Name-list the commonly used name of the institution or organization which will provide the facilities and logistic support for the proposed project. (Normally, this is the employer of the principal investigator or project director.) In the event the grant or contract should be awarded to a different organization, check item 21, and, in Section IV add: "4 i, Grantee" (or contractor, if appropriate), and list the commonly used name of the organization to which the grant (or contract) should be awarded, if the project is approved for NSF support, and the address if different from that shown in (c) through (g).

(ii) Organization Unit-for any proposal, list the agency, department, or school, to which the principal investigator or project director is assigned; if the proposal is from a branch or campus of a statewide institution of higher education, list such branch or campus.

(iii) Address-list the mailing address of the organizational unit in (b).

(iv) Contact Person-list the name, title, and telephone number of the prospective principal investigator or project director, whose signature must be added to the original of the SF 424 used as the face sheet for the original proposal. Such signature signifies the agreement of the signor to assume responsibility for the scientific or technical direction of the project if NSF agrees to support it and for the preparation of required technical reports.

(2) Item 6, Program-if the proposal is in response to a Proposal Solicitation or Request for Proposals, check item 21, and in Section IV add: "6c., Program Solicitation" (or Request for Proposals) and indicate the number

and date of the NSF document which solicited or requested the proposal.

(3) Item 7, Title and Description of Applicant's Project-This project description is not a substitute for the scientific abstract required in NSF proposals. It should be worded so as to assist the clearinghouse(s) in determining which State or local governmental agency might be interested in the project, and to assist such agencies in determining whether or not the project might have a direct impact on their capacity building or other planning activities. It should indicate the basic project nature (e.g., basic or applied research, interchange of scientific information, etc.) and its objectives.

(4) Item 11-Estimated Number of Persons Benefitting-unless the project is jurisdiction specific, and its expected results are anticipated to directly affect persons within that jurisdiction, indicate "N.A." (not applicable).

(5) Item 13-Proposed Funding-In most science projects supported by NSF, the only cost-sharing requirement is that the grantee must share in the costs of a project, not solicited by NSF, in more than a token amount, as defined in the NSF Grant Administration Manual. Therefore, unless there are specific plans for significant funding commitments from the types of agencies or organizations listed in b. through e., those entries should be marked "N.A." (not applicable).

(6) Item 22 a, Applicant Certification-In lieu of the assurances contained in Part V of Exhibit M-3 to FMC 74-7, the "attached assurances" for NSF purposes are:

"On behalf of the applicant agency, institution, or organization I certify that the project described above is consistent with its policies and goals and that submission of this proposal is in accordance with its procedures and pursuant to appropriate authority. On behalf of the organization designated as the intended recipient of the requested Federal funding, I certify that it has legal authority to accept grants or contracts and the requisite policies, procedures, and personnel to ensure stewardship of Federal funds as outlined in the NSF Grant Administration Manual."

"In the event that NSF agrees to provide financial support of the project substantially as requested in the attached proposed budget or such modifications thereof as may be mutually agreed, I affirm that the applicant agency, institution, or organization will:

(i) Make available the necessary facilities, equipment, services, and personnel to conduct the project substantially as outlined in the attached proposal or such modifications thereof as may be mutually agreed;

(ii) Conduct such project oversight as may be appropriate, manage the Federal funding with probity and prudence, and comply with the terms and conditions of the NSF grant or contract; and

(iii) Comply with applicable laws and regulations."

"In submitting this proposal, I further affirm that the 'Assurance of Compliance with National Science Foundation Regulations under Title VI of the Civil Rights Act of 1964,' previously executed, is fully applicable to the project."

(d) In accordance with subparagraph 6(b) of A-95, any formal proposal for support of a project under a covered program, not accompanied by evidence of compliance with the consultation and review procedures and an SAI number, will be returned to the proposing institution or organization for compliance with such procedures.

§ 660.7 NSF consideration of clearinghouse comments.

(a) The NSF Program Officer who makes the staff evaluation of the proposal will consider any comments submitted by or through clearinghouses. However, since the subject matter of clearinghouse comments and recommendations, prescribed by paragraph 5 of OMB Circular A-95, does not involve the NSF criteria for the selection of research projects (appearing at 39 FR 42954), copies of such clearinghouse comments normally will not be made available to outside reviewers.

(b) In some cases, a clearinghouse may recommend that a proposal be disapproved or that it be approved only with specific and major substantive changes. In the event that the

Program Officer of a covered program recommends approval of the project substantially as proposed, or with changes which differ from those recommended by the clearinghouse, a brief explanation for the clearinghouse will be prepared as required by subparagraph 6d of A-95, for attachment to the SF 424.

(c) In some cases, a clearinghouse may recommend against approval of a project because it appears to conflict with or duplicate another Federal or federally assisted project. In that event, the Program Officer will consult with the agency assisting the referenced project, as required by subparagraph 6e of A-95, prior to recommending an award. If the Program is covered by A-95, such consultation will be indicated in Section IV of SF 424.

(d) In some cases, clearinghouse comments may indicate that a unit of general local government, having jurisdiction over the area in which a project is to be performed by a special purpose unit of local government, has submitted or plans to submit a proposal for the same or a similar type of project. Although NSF administers no programs of grants-in-aid which are subject to the provisions of Section 402 of the Intergovernmental Cooperation Act of 1968 or of subparagraph 6f of A-95 (favoring units of general local government) the Program Officer shall consider the merits of each of the two proposals prior to recommending final action on that from the special purpose unit of local government.

(e) When action is recommended on a proposal, the Program Office in a covered Program will complete those portions of Section III of SF 424, submitted with the proposal, which identify the Program, and indicate whether or not remarks have been added. Other Program Offices may file the externally initiated SF 424 or comparable State form in the proposal jacket without further action. (During the transition period between the effective date of this part and the time at which proposals accompanied by externally initiated SF 424 reach the action stage, the Program Officer will initiate the SF 424, completing sufficient portions of Section I to provide the types

of identifying information formerly furnished in Standard Form 240, plus programmatic portions of Section III.)

§ 660.8 Notification to clearinghouses of action taken-SF 424.

In accordance with subparagraph 6c of A-95 the following notification actions will be taken:

(a) If a proposal for support under a covered program is withdrawn or declined, the Program Officer shall complete additional appropriate entries in Section III and mail the completed form(s) to the clearinghouse(s) listed in Section II within seven working days after receipt of the withdrawal request or simultaneously with dispatch of the declination letter, as appropriate.

(b) If the Program Officer recommends that an award be made, the SF 424 and related documents shall be sent to the Division of Grants and Contracts as part of the recommended award package, for completion and dispatch. However, since the amounts of funding, if any, to be contributed by the proposing institution or organization, the State or local government, or other source are not required in proposals to most NSF programs and would not normally be known to NSF except through the proposed funding entries in Section I, the funding contributions by other than the Federal government will not be shown in Section III. Following signature of the grant or contract, the action date will be stamped on the form at the same time that the award is dated and copies will be dispatched to each of the clearinghouses listed in Section II simultaneously with dispatch of the award instrument to the grantee or contractor.

§ 660.9 Supplemental reporting of award

information.

In furtherance of the TC 1082 supplemental reporting requirement, NSF will continue to provide to each SCIRA a Statewide Award Report which provides aggregated information on each project award made by NSF during the previous quarter to any agency of State or local government, any academic institution, or any

« PreviousContinue »