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National Institute of Food andAgriculture (NIFA) FederalAssistance Policy GuideNIFA Office of Grants and Financial ManagementDRAFT FOR COMMENTSJune 2018

Table of ContentsTable of ContentsiiAcronymsviiGlossary of Frequently Used TermsviiiUsing the GuidexI.12223335589II.NIFA Policy Guide Overview and PurposeScope ALL AWARDSSupersession and Applicability ALL AWARDS1. Supersession2. ApplicabilityC. Sources of Requirements in Policy Guide ALL AWARDSD. Effect and Order of Precedence ALL AWARDSE. Roles and Responsibilities ALL AWARDS1. NIFA Roles and Responsibilities2. Land-Grant Institutions – Cooperative Extension and Research3. Recipient Roles and Responsibilities During the Grant periodA.B.Pre-AwardTypes of NIFA Financial Assistance ALL AWARDS1. Competitive grants.2. Capacity grants.3. Non-competitive grant programs.4. Cooperative Agreements.B. Application Information ALL AWARDS1. Catalog of Federal Domestic Assistance (CFDA) ALL AWARDS2. Request for Applications (RFA) ALL AWARDS3. ALL AWARDS4. DUNS Number ALL AWARDS5. System for Awards Management (SAM) ALL AWARDS6. ezFedGrants CAPACITY AWARDS7. Applicant Eligibility ALL AWARDS8. Organizational Management Information ALL AWARDS9. Applicant Citizenship ALL AWARDSC. Submitting an Application ALL AWARDS1. Competitive Types of Applications COMPETITIVE AWARDS2. Capacity Types of Applications CAPACITY AWARDS3. Letters of Intent COMPETITIVE AWARDS4. Application Budget COMPETITIVE AWARDS5. Matching or Cost Sharing ALL AWARDS6. Application Requirements COMPETITIVE AWARDS7. Resubmitting an Application COMPETITIVE AWARDS8. Previously Funded Applications and Substantially Similar Efforts COMPETITIVE AWARDS9. Assurances ALL AWARDS10. Certifications and Representations ALL AWARDS11. Post-Submission Grant Application Materials ALL 2525292930303031

12. Capacity Grant Application Documents CAPACITY AWARDS13. Key Contacts Form CAPACITY AWARDS14. Non-Land Grant College of Agriculture Designation COMPETITIVE AWARDS15. Submission ALL AWARDS16. Application Signature ALL AWARDS17. Late Applications ALL AWARDSD. Public Access to Application Information ALL AWARDS32323233343636III. Application EvaluationA. Capacity Grants CAPACITY AWARDSB. Competitive Grants COMPETITIVE AWARDSC. Initial Competitive Application Review COMPETITIVE AWARDSD. Peer Review of Competitive Applications COMPETITIVE AWARDS1. Peer Review System (PRS)2. Reviewer Selection3. Types of Review Panels4. Operation of the Review Panel5. Confidentiality6. Conflict of InterestE. Evaluation Criteria COMPETITIVE AWARDSF. Non-competitive application reviewG. Pre-award Review and Risk Assessment ALL AWARDS1. Review of OMB-designated repositories of government wide data ALL AWARDS2. Cost Analysis COMPETITIVE AWARDS3. Financial and Other Management Systems Analysis COMPETITIVE AWARDS4. Submitting Revised Documents COMPETITIVE AWARDS373737373839393939404142434343444445IV. Award IssuanceA. Notification ALL AWARDS1. Competitive Notice of Award Issuance COMPETITIVE AWARDS2. Capacity Award Notification CAPACITY AWARDS3. Feedback to Applicants COMPETITIVE AWARDSB. Payment ALL AWARDS1. General ALL AWARDS2. Automated Standard Application for Payments (ASAP) System ALL AWARDS3. ASAP Resources ALL AWARDSC. Terms and conditions ALL AWARDSD. Period of Performance (Project Period)1. Competitive Awards COMPETITIVE AWARDS2. Capacity Awards CAPACITY AWARDSE. No-Cost Extensions COMPETITIVE AWARDSF. Capacity Formulas CAPACITY AWARDSG. Capacity Programs Matrix: Formula, Use of Funds, Limitations, Reporting, Match, CarryoverCAPACITY AWARDSH. Memoranda of Understanding (MOU) ALL AWARDSI.Availability of Grant Information ALL AWARDSJ.Confidentiality and Retention of Information COMPETITIVE AWARDSK. Freedom of Information Act ALL AWARDSL. Public Access to Research Data ALL 5

M.N.O.P.V.A.B.C.D.E.F.G.H.Protecting Sensitive Data Used in Research ALL AWARDSPrivacy Act ALL AWARDSPaperwork Reduction Act (PRA) ALL AWARDSNIFA Official Identifier ALL AWARDSPost Award Federal RequirementsStandards for Financial and Program Management ALL AWARDSFinancial Management Systems ALL AWARDSGrantee Internal Controls ALL AWARDSPayment (2 CFR 200.305) ALL AWARDSCost Sharing or Matching ALL AWARDSProgram Income ALL AWARDSRevision of budget and program plans COMPETITIVE AWARDSProperty Standards ALL AWARDS1. Property Management ALL AWARDS2. Real Property ALL AWARDS3. Equipment ALL finitionsPrior approvalTitleUse of EquipmentManagement RequirementsSale and Disposition of EquipmentSupplies and Other Expendable PropertyIntangible Property ALL 8787Research Results: Publications, Intellectual Property Rights, and Sharing Research ResourcesRights in DataAccess to Research Data: REEport and NIFA Data GatewaySharing Research ResourcesAvailability of Research ResourcesPublicationsPatents and InventionsInvention ReportingPlant Variety ProtectionInteragency Edison (iEdison)Royalties and Licensing Fees from Copyrights, Inventions and PatentsTransfer of Rights to the InventorSpecial Provisions for Grants with Non-Profit Organizations88888889909091929899100100101SF-425 Annual reports ALL AWARDS106Procurement ALL AWARDS1021. General procurement standards ALL AWARDS1022. Competition ALL AWARDS1033. Methods of Procurement ALL AWARDS1044. Contracting with small and minority owned and women-owned businesses and others ALLAWARDS1045. Contract Cost and price ALL AWARDS1046. NIFA review ALL AWARDS1057. Contract Provisions ALL AWARDS105J.Performance and Financial Monitoring and Reporting ALL AWARDS1061. Financial Reporting106I.a.iv

2.3.4.K.L.M.N.O.P.b.c.Final SF-425 Financial Report ALL AWARDSREEport Project Financial Report ALL AWARDSProgram Performance Reporting107107108a.Competitive awards COMPETITIVE AWARDS108b.Capacity grant performance reporting CAPACITY AWARDS110c.Summary Chart of Due Dates for Capacity & Non-Capacity Financial & Programmatic Reports ALLAWARDS111d.Plan of Work CAPACITY AWARDS112Stakeholder Input ALL AWARDSSubaward and Executive Compensation Reporting ALL AWARDSSubrecipient monitoring and Management ALL AWARDSRecord retention ALL AWARDSPost award compliance reviews ALL AWARDSRemedies for non compliance ALL AWARDSCloseout ALL AWARDSContinuity of Operations ALL AWARDS114115116118119120123127VI. ALLOWABLE COSTSA. Factors affecting allowability of costs (2 CFR 200.403) ALL AWARDSB. Reasonable costs (2 CFR 200.404) ALL AWARDSC. Allocable Costs (2 CFR 200.405) ALL AWARDSD. Applicable credits. ALL AWARDSE. Prior written approval (Prior Approval) ALL AWARDS1. Required prior approvals COMPETITIVE AWARDS2. Equipment CAPACITY AWARDS3. Carryover of Unobligated Balances COMPETITIVE AWARDS4. Transfer to a different Grantee Organization COMPETITIVE AWARDS5. Change in Grantee Organization Status COMPETITIVE AWARDS6. Salaries ALL AWARDS7. Deviation from the Award Terms and Conditions ALL AWARDS8. Requesting NIFA Prior Approval ALL AWARDSF. Direct and Indirect Costs ALL AWARDS1. Direct costs ALL AWARDS2. Indirect Costs and Limitations ALL AWARDS3. Indirect Cost Rates COMPETITIVE AWARDSG. Disallowed Costs ALL AWARDSH. Selected Items of Cost – Allowable and Unallowable Costs ALL AWARDS1. Allowable/Unallowable costs matrix ALL AWARDS2. Support and documentation for specific items of cost ALL 6136137138138139140148VII. Audit RequirementsA. Audit Cognizant Agency ALL AWARDSB. Auditee Responsibilities ALL AWARDSC. NIFA Responsibilities ALL AWARDSD. Fraud, Waste, and Abuse of NIFA Grant Funds ALL AWARDS151152152153155a.b.c.d.Capacity grant limitation on retirement contribution CAPACITY AWARDSFood/Meals as part of conferences/meetings ALL AWARDSTravel ALL AWARDSSalaries/Time and Effort Reporting ALL AWARDSv148148148150

VIII. Other NIFA Assistance Programs PROGRAM SPECIFICA. 4-H Youth Development ProgramB. 1994 Institution Endowment Interest Distribution (Tribal)1. Eligibility2. Cost Considerations3. Reporting RequirementsC. Hispanic-Serving Agricultural Colleges and Universities (HSACU)1. Eligibility2. Allocation3. Allowable CostsD. Veterinary Medicine Loan Repayment Program (VMLRP)1. Veterinary Shortage Situations2. Program Administration3. Application Process4. Waiver of Requirements5. Breach of VMLRP Service Agreement6. Emergency Service to the Federal 64166166166APPENDIX I – PUBLIC POLICY REQUIREMENTS ALL AWARDS167APPENDIX II – DEFINITIONS ALL AWARDS180APPENDIX III: NIFA CAPACITY PROGRAM GUIDE CAPACITY AWARDS1. Smith-Lever 3(b) and (c)2. Multistate Extension and Integrated Research and Extension Requirements3. District of Columbia Public Postsecondary Education Reorganization Act (DCPPERA)4. Hatch Act5. Hatch Multistate6. Integrated Research Activities7. Agricultural Extension at 1890 Land-Grant Institutions (Section 1444 Program)8. Agricultural Research at 1890 Land-Grant Institutions (Section 1445 Program/Evans-Allen)9. Animal Health and Disease Research (AHDR)10. Expanded Food and Nutrition Education Program (EFNEP)11. McIntire-Stennis12. Renewable Resource Extension Act (RREA)13. Smith-Lever Special Needs Capacity PPENDIX IV: NIFA Federal Assistance Programs: Authority References ALL AWARDS201vi

AcronymsThe following are abbreviations used throughout this document. Acronyms are compiled into a single listto assist the APRSREEportRFARREASAESSAMOGFMUGUSDAVMLRPAuthorized Departmental OfficerAgriculture and Food Research InitiativeContinuing Animal Health and Disease Research ProgramAwards Management DivisionAuthorizing Official (ASAP)Authorized Representative (formerly Authorized Organizational Representative)Agricultural Research, Extension, and Education Reform ActAutomated Standard Application for Payments systemCooperative Extension ServiceCatalog of Federal Domestic AssistanceCooperative State Research, Education, and Extension ServiceDistrict of Columbia Public Postsecondary Education Reorganization ActDun and Bradstreet Universal Numbering SystemExpanded Food and Nutrition Education ProgramFederal Award Identification NumberFinancial Management Division (NIFA)Freedom of Information ActHispanic-Serving Agricultural College or UniversityHispanic-Serving InstitutionInstitutional Animal Care and Use CommitteeInteragency EdisonInstitution of Higher EducationInstitutional Review BoardMemorandum of UnderstandingNational Agricultural Research, Extension, and Teaching Policy Act of 1977Non-Land-Grant Colleges of AgricultureNational Institute of Food and AgricultureNotice of AwardNational Program LeaderOffice of Grants and Financial ManagementOffice of Management and BudgetPlanning, Accountability, and Reporting Staff (NIFA)Project Director/Principal InvestigatorPolicy and Oversight Division (NIFA)Plan of WorkPaperwork Reduction ActPeer Review SystemResearch, Education, and Extension Project Online Reporting ToolRequest for ApplicationRenewable Resource Extension ActState Agricultural Experiment StationSystem for Awards ManagementOffice of Grants and Financial ManagementUniform GuidanceUnited States Department of AgricultureVeterinary Medicine Loan Repayment Programvii

Glossary of Frequently Used TermsThis glossary is intended as a navigation aid to the definitions or explanations of common termsand subjects within the Policy Guide. This is not an index. Below is a list of common terms; clickon the page number to be taken to the applicable place within the Policy Guide where thedefinition or role is located. Where applicable, the statutory or regulatory citation is alsoincluded with a hyperlink to the statute or regulation.TermPageCitation and hyperlink (if available)Number1862 Land-Grant Institution1757 CFR 3430.2, 7 U.S.C. 301 et seq.1890 Extension Administrator 10and Research Director1890 Land-Grant Institution1757 U.S.C. 7601(2) and 7 CFR 3430.21994 Land-Grant Institution1757 CFR 3430.2 and 7 U.S.C. 301Administrative Technical12Representative (ATR)Agricultural Research1757 CFR 3430.2Agricultural Research,1767 U.S.C. 7626 7613Extension and EducationReform Act of 1998 (AREERA)Approved Budget1762 CFR 200.308Authorized Departmental9, 1767 CFR 3430.2Officer (ADO).Authorized Representative97 CFR 3430.2ASAP49, 50, 176Award1777 CFR 3430.2Budget25, 80, 176Capacity Funds177Carryover Funds53, 130, 178Closeout121, 1782 CFR 200.16College or university1787 CFR 3430.2College of Veterinary Medicine 178Contract1782 CFR 200.22Cooperative Agreement15, 1782 CFR 200.24Cost sharing or matching15, 79, 1792 CFR 200.29Custodian of Funds or Legal11CustodianDebarment and Suspension164, 1792 CFR part 180 and Part 417Disallowed Costs164, 1792 CFR 200.31EFNEP Coordinator12Equipment82, 130, 180 2 CFR 200.33ezFedGrants180Fiscal Year18131 U.S.C. 1102General Purpose Equipment1812 CFR 200.48viii

TermPageNumberInsular Areas182Insular Area Extension Director 11and Experiment StationDirectorIntangible Property85Intellectual Property86, 182Land-Grant Institution182Memorandum of70, 183UnderstandingNational Agricultural Research, 183Extension, and Teaching PolicyAct of 1977 (NARETPA)No-cost Extension54, 184Notice of Award184Obligations184Peer Reviewer39, 183, 18Period of Performance184Personally Identifiable184InformationPrior Approval82, 159, 185Project Director/Principal10InvestigatorREEport186Request for Applications (RFA)Site Visit/DeskReview/Compliance reviewSpecial Purpose EquipmentState Agricultural ExperimentStation (SAES) DirectorState Extension DirectorState Cooperative ationUnliquidated ObligationUnobligated Balance1611782, 138, 18612Citation and hyperlink (if available)7 CFR 3430.22 CFR 200.597 CFR 3430.27 CFR 3430.12 CFR 200.717 CFR 3430.22 CFR 200.772 CFR 200.797 CFR 3430.27 CFR 3430.2REEport Reporting PortalREEport Guide for Project Directors7 CFR 3430.122 CFR 200.891117918718785, 1871871881882 CFR 200.922 CFR 200.932 CFR 200.942 CFR 200.95; 7 CFR 3430.62 CFR 200.972 CFR 200.98ix

Using the GuideThis Policy Guide was updated in December 2017 to reflect changes in statute, new ExecutiveOrders, new and updates to existing regulation, and the implementation of OMB’s UniformAdministrative Requirements, Cost Principles and Audit requirements (Uniform Guidance). Anyfuture changes in statutes, regulations, or policies effective before the next revision of the NIFAPolicy Guide will be published separately. Additionally, the Policy Guide structure was modifiedto better align with the Uniform Guidance and to improve navigability for users.In this update, OGFM has used a system to denote whether the provisions apply to all awards(ALL AWARDS), Competitive Awards (COMPETITIVE), or Capacity Awards (CAPACITY). If thegeneral requirements do not apply to a particular program or type of financial assistance, it isnoted.The Notice of Award (formerly 2009 Award Face Sheet) will include, along with otherprovisions, the NIFA Policy Guide as an award provision. Specific requirements and regulationsapplicable to a particular funding opportunity will be noted directly in the RFA and the grantterms and conditions attached to the Notice of Award. The Policy Guide provides generalinformation for NIFA staff and grantees; however, the requirements for each particular fundingopportunity as indicated in the RFA and award terms and conditions must be followed.The NIFA Policy Guide links to many resources and program information available on the NIFAwebsite. It is not intended to provide detail on every grant process, award through closeout,but rather be a compendium of policies and requirements. In particular, information aboutopen NIFA assistance opportunities is available on the NIFA website Application details, requirements, and deadlines appear inindividual RFAs. The NIFA website is the most comprehensive source of information on NIFAinstitutes (including contact information), programs and funding opportunities. NIFA grants arealso posted to when the application period is open. Additional information is available online at NIFA Policy Guide is available online from the NIFA website at Office of Grants and Financial Management (OGFM) maintains this document.x

I.NIFA Policy Guide Overview and PurposeThe National Institute of Food and Agriculture’s Federal Assistance Policy Guide (NIFA PolicyGuide) provides information about the NIFA grant and financial assistance process and itsassociated authorities and NIFA’s responsibilities. NIFA is a federal agency within theUnited States Department of Agriculture (USDA) and is part of USDA’s Research, Education,and Economics (REE) mission area. The agency administers federal funding to address theagricultural issues impacting people’s daily lives and the nation’s future. NIFA is the USDA'sprimary extramural research agency, funding institutions and public, private, and non-profitorganizations. Our grants enable researchers to address problems critical to our nation’sfarmers and ranchers, consumers, and communities.The National Institute of Food and Agriculture (NIFA) provides leadership and funding forprograms that advance agriculture-related sciences. We invest in and support initiativesthat ensure the long-term viability of agriculture. NIFA applies an integrated approach toensure that groundbreaking discoveries in agriculture-related sciences and technologiesreach the people who can put them into practice. NIFA's mission is to advance knowledgefor agriculture, the environment, human health and well-being, and communities bysupporting research, education, and extension programs in the land-grant institutionsystem and other partner organizations. NIFA does not perform actual research, education,and extension. National program leadership and funding are two key mechanisms NIFA usesto advance knowledge. NIFA provides financial assistance in the form of capacity grants toland-grant universities and competitive grants for research, education, extension, andoutreach to land-grant universities, other institutions of higher education, individuals, nonprofit organizations, private entities, and consortiumsSince the Food, Conservation, and Energy Act of 2008 (the 2008 Farm Bill) authorized itscreation, NIFA has taken significant strides toward enhancing the impact of agriculture,natural resources, and human sciences. NIFA collaborates with leading scientists,policymakers, experts, and educators in organizations throughout the world to findinnovative solutions to the most pressing local and global problems. Scientific progress,made through discovery and application. Advances the competitiveness of American agricultureBolsters the U.S. economyEnhances the safety of the Nation’s food supplyImproves the nutrition and well-being of American citizensSustains natural resources and the environmentBuilds energy independenceIn partnership with other federal science agencies, NIFA also serves as a vital contributor toscience policy decision-making.1

A. Scope ALL AWARDSThe NIFA Policy Guide is the central source of NIFA’s administrative guidance forrecipients of NIFA grants and partners in cooperative agreements. Other policy guidancedocuments are linked throughout the Policy Guide, when applicable.Certain conventions are followed throughout this document. The term “grant” is used tomean both grants and cooperative agreements; however, for clarity, certain sectionsmention both grants and cooperative agreements. The term “grantee” is generally usedto refer to recipients of grants and awardees of cooperative agreements and means the

112 3. Stakeholder Input ALL AWARDS 114 4. Subaward and Executive Compensation Reporting ALL AWARDS 115 K. Subrecipient monitoring and Management ALL AWARDS 116 L. Record retention ALL AWARDS 118 M. Post award compliance reviews ALL AWARDS 119 N. Remedies for non compliance ALL AWARDS 1

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