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L 92-500). This list will be distributed is governed by section 305 of the Naperiodically by EPA to all Federal tional Aeronautics and Space Act of agencies and published in the FEDERAL 1958, as amended (42 U.S.C. 2457), and REGISTER.
to the extent consistent with that law (b) When the Administrator deter the Presidential Memorandum on mines that the paramount interest of Government Patent Policy to the the United States so requires, the Ad Heads of Executive Departments and ministrator may exempt for a period Agencies dated February 18, 1983, and not to exceed 1 year any individual section 1(b)(4) of Executive Order grant, or any subgrant or subcontract 12591, dated April 10, 1987. The implethereunder, from the requirements of mentation of the requirements of this section, and, by rule or regulation Chapter 18 of title 35, United States following consultation with the Ad Code for grants and cooperative agreeministrator of the EPA, any class of ments is set forth in 37 CFR 401. The grants or subgrants or subcontracts
implementation of the National Aerothereunder. The Administrator shall
nautics and Space Act of 1956, as promptly notify the Administrator of amended, is set forth in NASA FAR the EPA of any of the exemptions au Supplement 18–27.373 (48 CFR thorized by the foregoing, and the jus
1827.373). tification therefore, which shall fully
(b) In accordance with paragraph (a) describe the purpose of the grant, sub
of this section, exhibit G, which is the grant, or subcontract and indicate the
clause required by 37 CFR 401.414 cusmanner in which the paramount inter
tomized for NASA pursuant to 37 CFR est of the United States requires that
401.5, shall apply to all grants and cothe exemption be made.
operative agreements entered into (c) Requests for exemptions or re
under this Handbook unless either: newals thereof shall be made to the Assistant Administrator for Procure
(1) The grantee is not located in the
United States or does not have a place ment (Attn: Code HP), NASA Head
of business located in the United quarters. Requests for individual exemptions shall list the recipient and
States or is subject to the control of a the amount of the proposed grant,
foreign government; or subgrant or subcontract and the title
(2) The grantee is not a nonprofit orand name of the principal investigator.
ganization or an alternate provision is All requests, whether for individual or
to be used in accordance with 37 CFR class exemptions, shall provide a com
401.3. plete justification as required in para If the circumstances in paragraph graph (b) of this section.
(b)(1) of this section exist, the clause
"Invention Reporting and Rights8 1260.209 Property rights in inventions. Foreign” in NASA FAR Supplement
(a) The disposition of rights in in- 18-52.227-85 (48 CFR 1852.227-85) ventions made by small business firms (suitably tailored to identify the parand nonprofit organizations under ties and the instrument) may be used contracts, grants and cooperative as a special condition unless in consulagreements (including subcontracts tation with installation Patent Counthereunder) for the performance of sel, a different provision would be experimental, developmental or re more appropriate. A deviation is not search work funded in whole or in part required in this situation. If, in accordby NASA is governed by chapter 18 of ance with paragraph (b)(2) of this sectitle 35, United States Code (Pub. L. tion, the grantee is not a nonprofit or95-517, Pub. L. 98-620). The disposi- ganization or an alternate provision is tion of rights to inventions made by to be used, a deviation, including conother than a small business firm or currence by installation Patent Counnonprofit organization under con- sel, is required. tracts, grants or cooperative agree- (c) Reports required pursuant to ments (including subcontracts there- § 1260.409(b) of this Handbook shall under) in the performance of experi- be submitted to the grants officer, mental, developmental research, with a copy to the installation Patent design or engineering work for NASA Counsel.
(54 FR 43051, Oct. 20, 1989)
ments entered into under the Space
Act but shall be used only to designate 8 1260.210 Debarment and suspension; and
those cooperative agreements entered drug-free workplace.
into pursuant to Pub. L. 97-258. Loans Grants officers shall follow the pro of Government personal property not cedures in NMI 5101.31, Delegation of associated with a contract, grant, or Authority-Debarment and Suspen cooperative agreement under Pub. L. sion Under Grants, Cooperative Agree. 97-258, and made under the Space Act ments and Other Nonprocurement of 1958, should be consummated as Transactions; and Requirements for a loan agreements under paragraph Drug-Free Workplace (Grants), in im- 1.211 and Part 3.400 of NHB 4200.1, plementation of 14 CFR part 1265. “Equipment Management Manual.” Before making an award, the grants (c) As set forth in § 1260.203(b), an officer shall ensure that the partici
initial determination shall be made by pant's status has been verified (14
the technical office sponsoring the reCFR 1265.505 (d) and (e)) and the cer
quirement of the appropriate instrutification requirements at 14 CFR
ment. Where that technical office rec1265.510 and 14 CFR 1265.630 have
ommends that a grant or cooperative been met. If the required certifications
agreement be used as the research inhave not been submitted with the pro
strument for supporting an unsolicited posal, the grants officer shall obtain
proposal, it shall prepare a “Justificathem before proceeding. However,
tion for Acceptance of an Unsolicited NASA shall not require any particular
Proposal”. (See § 1260.202(b)(5).) The form or format. Installations shall not impose local requirements for general
justification shall be in reasonable submission of certifications with solic
detail, shall adequately support the ited or unsolicited proposals (except as
recommendation to award either a
grant or cooperative agreement, and may be otherwise authorized by this Handbook).
shall be approved by a responsible of.
ficial designated for this purpose by (54 FR 43051, Oct. 20, 1989)
the head of the program office con
cerned at Headquarters or field instalSubpart 3-Award of Grants and lation. In those instances where the Cooperative Agreements
transaction does not arise from an un
solicited proposal, the technical office 8 1260.301 Instruments.
involved shall, in the procurement re(a) The grant or cooperative agree
quest, justify any recommendation to ment instrument shall be brief in the grants officer for award of a gi format, containing only those provi. or cooperative agreement, subject to sions necessary to protect the funda
the approval required above. The mental interests of the Government.
grants officer shall review the recomTo ease compliance problems within mendations of the cognizant technical universities and nonprofit institutions, office and, upon concurrence therein, grants issued by all NASA installations shall prepare and sign a statement are identical in format and printed prior to the award of each grant or cocontent, and changes in grant require
operative agreement which justifies ments are made as infrequently as pos
the use of such instrument under Pub. sible.
L. 97-258. The statement shall be (b) In order to maintain the distinc placed in the official file maintained tion between transactions entered into for the transaction. General Counsel pursuant to section 203(c)(5) and should be consulted on questions of other provisions of the Space Act of unique requirements and where addi1958 (such as patent licenses, out-bail. tional assistance is otherwise determents, reimbursable launch agree- mined to be necessary. ments, and international agreements) (d) Grants and cooperative agreeand cooperative agreements entered ments subject to Pub. L. 97-258 shall into pursuant to Pub. L. 97-258, the cite 31 U.S.C. 6304 or 31 U.S.C. 6305, term “cooperative agreement” shall as applicable, as the authority for not be used to designate those agree their placement. Contracts shall cite
the applicable authority contained in Higher Education, Hospitals, and the FAR or the NFS.
other Nonprofit Organizations” (e) Exception and deviations. (1) 31 govern the allowability of costs U.S.C. 6303 allows the use of contracts chargeable to research supported by “whenever an executive agency deter NASA under grants and cooperative mines in a specific instance that the agreements. Regulations governing use of a type of procurement contract procurement contracts generally are is appropriate." This provision accom- not appropriate for application to modates situations in which an agency grants and cooperative agreements. determines that specific public needs
(b) NASA normally allows full recov. can be satisfied best using the procure
ery of indirect expenses, but in no case ment process. However, because the
shall an overhead rate used for deterprovision, if misused, could allow agen
mining grant or cooperative agreecies to circumvent the criteria for use
ment amounts exceed, in equivalence, of procurement or assistance instru
the most recent overhead rate at the ments, use of this authority is restrict
recipient institution for comparable ed to extraordinary circumstances,
research contracts of the Government. and only with prior approval of the
(c) Grant amounts determined at Assistant Administrator for Procurement. (Deviations from policies and
the time of the award shall not be reprocedures shall be processed under
duced other than in case of revocation NFS, 48 CFR 1801.4 or $ 1260.106 of
or in the event grant funds are not this part, as appropriate.)
committed by the grantee prior to (2) It is NASA's policy that non
completion of the research involved. monetary (zero dollar) grants or coop
(d) It is the responsibility of the reerative agreements shall not be used cipient to manage the granted funds (except for no-cost time extensions). in such a manner that they cover the
full period of the grant or cooperative 8 1260.302 Format.
agreement. NASA is not obligated to NASA Form 1463, “Research Grant
reimburse over-expenditures. HowevAward,” NASA Form 1562, “Coopera er, this stricture does not preclude active Agreement,” and NASA Form ceptance of a proposal requesting sup1463A, “Provisions for Research plemental funding to extend the reGrants and Cooperative Agreements,” search. shall be used for the award of all NASA research grants and cooperative
8 1260.304 Cost sharing. agreements pursuant to Pub. L. 97
(a) General. (1) In implementing the 258. Special conditions, if required by statutory requirement appearing in $ 1260.420, shall be placed on the re- various NASA Appropriations Act:s for verse of Form 1463, Form 1562 or on a
cost sharing of research resulting from separate page. In all instances, the
unsolicited proposals, NASA has, in heading, “Special Condition(s), Grant
the past, generally required that edu(Cooperative Agreement) N-_-_",
cational institutions share in the cost shall be used, followed by only the ap
of such research. This requireinent plicable special condition(s). Use of
was derived from the understanding pre-printed checklists containing all
that there was generally extant a "muspecial conditions or a separate page
tuality of interest" (as that phrase apfor each special condition is not au
pears in the statutes) in such relationthorized.
ships thereby bringing into play the (51 FR 2626, Jan. 17, 1986, as amended at 54
ended at 54 cost-sharing requirement. FR 43051, Oct. 20, 1989)
(2) Subsequent to Congressional con
cern on overly strict application of the § 1260.303 Allowable costs.
cost sharing requirement, a NASA re(a) OMB Circular A-21, “Cost Princi evaluation resulted in a determination ples for Educational Institutions,” that the activities of educational instiOMB Circular A-122, “Cost Principles tutions under NASA research grants, for Nonprofit Organizations," and cooperative agreements and contracts OMB Circular A-110, “Grants and do not generally produce benefits that Agreements with Institutions of can be measured as having sinifi. cance apart from the benefit intrinsic (2) Duration and funding. Continuin the conducting of research for ing awards will normally be approved NASA. Therefore, in such instances, by the relevant Headquarters Program these agreements should not be sub- Office or center for periods not in ject to the cost-sharing requirement. excess of 3 years. Legal, along with
(3) If, in an individual case, cost- concomitant fiscal obligations, howevsharing is determined to be applicable er, will be entered into for periods of 1 pursuant to the NASA policy set forth year. The award instrument will conin NFS, 48 CFR 1816.303, the proce tain the following special condition dures therein shall be followed, and which provides an estimate of an apthe special condition clause for cost proximate level of funding for each of sharing set forth below shall be used. the following years:
(b) Clause. In grants and cooperative agreements to which cost sharing is
CONTINUING AWARD (JULY 1984) applicable, the following clause shall This is a continuing award. Contingent on be appended as a special condition: the availability of funds, scientific progress
of the project, and continued relevance to COST SHARING (JANUARY 1981)
NASA programs, NASA anticipates continuThe Grantee agrees to share in the cost of
ing support at approximately the following the research by charging to the Govern
levels: ment not more than - per cent of the Second year $ — Third year $ — costs of performance determined to be al It is the responsibility of the awardee to lowable in accordance with paragraph 405
request such continued support by submitof the NASA Grant and Cooperative Agree ting a brief proposal. ment Handbook. The remaining -- per
(The phrase "Third year" will be omitted if cent, or more, of the allowable costs of per
inapplicable) formance so determined will constitute the Grantee's share and will not be charged to The above special condition is not to the Government under this grant or under be used in multiple-year, including any other grant or contract (including allo
step-funded, awards. cation to other grants or contracts as part
(3) Proposals and review. The origiof an independent research and development program). The Grantee will maintain
nal proposal and its scientific evaluarecords of all grant costs claimed by the tion is applicable to the entire period. Grantee as constituting part of its share Thus, neither an extensive new proand such records shall be subject to audit by posal nor new reviews are required for the Government.
subsequent funding in the approved
period, unless a special need for new 8 1260.305 Long term stability.
reviews is indicated by monitoring of (a) General Research performed the project and of its reports, by under grants and cooperative agree- major changes in the project or senior ments tends to be long term. Stability investigators, by the introduction of of support is an important factor in work outside the scope of the apachieving the most effective use of re- proved proposal, or by the need for sources. Therefore, it is NASA policy substantial additional funding than to provide stability for research that initially anticipated. projects of a continuing nature by (4) Requests for continued support. suitable long-term funding arrange- A brief renewal proposal is required, ments and timely renewal. Techniques as described in the special conditions for promoting stability follow.
of the award instrument for additional (b) Continuing awards-(1) Defini- funding. Investigators shall be encourtion. A continuing award is a grant or aged to contact the NASA technical cooperative agreement for which officer for the project prior to proposNASA obligates funds to support an al preparation to determine the effort for a 1-year period, and states amount of information required. An an intention to support approximate additional extended period may be levels of effort for an additional period proposed, upon the expiration of the of time provided funds are available approved period. A complete, new proand the results achieved warrant fur- posal, subject to full review, must be ther support within the context of submitted for this purpose. If otheragency programs.
wise acceptable, NASA, at its option,
may fund the proposal through a fur ther continuing award or by a standard year-to-year agreement, if longterm effort is no longer anticipated.
(5) Levels of continued support. Normally, each year of a continuing award will be funded at the approximate level indicated in the original award instrument, subject to satisfactory scientific progress, availability of funds, and continued relevance to NASA programs. This is not, however, a binding commitment as changing NASA program constraints and developments within the project itself may dictate adjustments in the originally anticipated level.
(6) Programmatic procedures. Procurement request initiators who desire to use the continuing award technique should include in their procurement justification packages a brief statement requesting the use of the continuing award, including the expected levels for future periods.
(7) Other conditions. Except as noted above, all regulations, terms, and guidelines applicable to regular grants and cooperative agreements apply to continuing awards.
(c) Step funding-(1) Description of step funding. A step funded research project is one for which funds are obligated over a 3-year period. In addition to full support for the first year's effort, funds are also obligated for a second year's operation at approxi. mately two-thirds of the first year level, and for third year's effort at approximately one-third of the first year level. The typical funding schedule anticipates a continuation of the initially established levels in subsequent years, but this is not always the caseplanned increases or decreases in level may be projected in advance. In any event, the full amount required to establish the desired steps must be obligated. (See Step Funding IllustrationExhibit E.)
(2) Procedures. The documentation will clearly indicate that the step funding is appropriate and provide a suggested step schedule accommodating both the previously obligated and the new funding. Annual levels should be rounded to the nearest $1,000, where feasible. Annual continuation proposals should project the contem
plated effort for 3 years in advance. Wherever possible, renewal or notification to the grantee that further support will not be forthcoming will be issued before the authorized level drops to the next lower step. Normally, step funded grants should not be allowed to expire if the total period of performance is less than 5 years. Except in cases of revocation, funds should not be de-obligated from the steps. Do not make "No Cost-time Extensions” to step-funded awards, except when they are in the last year and no additional obligations are planned. Annual funding dates may be changed, if necessary, by appropriately rescheduling the steps. The award instrument shall contain the following special condition for step funding.
STEP FUNDING (JULY 1984) This is a step funded grant. If the total amount allowed by the schedule on the face of the grant is not expended during the applicable period, the residual funds may be expended during the succeeding period. This carryover shall be brought to the attention of the Grants Officer when the Grantee submits its budget for the subsequent period.
(d) Continuity-(1) Period. TO reduce paperwork burdens on the public and to ensure maximum continuity, successive short periods of funding for less than 12 months should not be used except when absolutely necessary (e.g., when the alternative is disruption or cessation of the effort).
(2) Continuations. Grants and Cooperative Agreements will be renewed, if appropriate, prior to the instrument expiration date whenever possible. Although the procuring office has little control over the timely receipt of purchase requests, the procuring office is responsible for informing the technical officers on a timely basis of current lead-time requirements and for timely processing continuation agreements. Alternatively, if a grant is not to be renewed, the grantee should be given a minimum of 4 months advance notice of pending close-out (see $ 1260.514(a)).
(3) Instrument usage. To eliminate the paperwork burdens associated with the close-out of a grant and negotiation of a new award for continuing