PDFNI | NIFA Office of Grants and Financial Management | NIFA’s Federal Assistance Policy Guide (NIFA Policy Guide) provides information about the NIFA grant and financial assistance process, its associated authorities, and NIFA’s responsibilities. NIFA is a Federal agency within the U.S. Department of Agriculture (USDA) and is part of USDA’s Research, Education, and Economics (REE) mission area. The agency administers Federal funding to address agricultural issues that impact people’s daily lives and the nation’s future. NIFA is USDA's primary extramural research agency, funding institutions and public, private, and non-profit organizations. Our grants enable researchers to address problems critical to our nation’s farmers and ranchers, consumers, and communities |

Contents
GLOSSARY...... VIII
Using the Guide..... X
I. NIFA POLICY GUIDE OVERVIEW AND PURPOSE ........................................................................................... 11
A. SCOPE ALL AWARDS ........................................................................................................................................ 12
B. SUPERSESSION AND APPLICABILITY ALL AWARDS ................................................................................................... 12
1. Supersession ............................................................................................................................................. 12
2. Applicability and Order of Precedence ...................................................................................................... 13
C. SOURCES OF REQUIREMENTS IN POLICY GUIDE ALL AWARDS .................................................................................. 13
D. EFFECT ALL AWARDS ....................................................................................................................................... 13
E. ROLES AND RESPONSIBILITIES ALL AWARDS ......................................................................................................... 15
1. NIFA Roles and Responsibilities ................................................................................................................ 15
2. Land-Grant Institutions – Cooperative Extension and Research ............................................................... 18
3. Recipient Roles and Responsibilities During the Grant Period .................................................................. 19

II. PRE-AWARD ............................................................................................................................................... 23
A. TYPES OF NIFA FINANCIAL ASSISTANCE ALL AWARDS ............................................................................................ 23
1. Competitive grants ................................................................................................................................... 23
2. Capacity grants ......................................................................................................................................... 24
3. Non-Competitive Grant Programs ............................................................................................................ 24
4. Cooperative Agreements .......................................................................................................................... 25
B. APPLICATION INFORMATION ALL AWARDS ........................................................................................................... 25
1. Catalog of Federal Domestic Assistance ALL AWARDS ............................................................................ 25
2. Request for Applications ALL AWARDS .................................................................................................... 26
3. Grants.gov ALL AWARDS ......................................................................................................................... 26
4. DUNS Number ALL AWARDS .................................................................................................................... 27
5. System for Awards Management ALL AWARDS ....................................................................................... 28
6. ezFedGrants CAPACITY AWARDS ............................................................................................................. 28
7. Applicant Eligibility ALL AWARDS ............................................................................................................. 29
8. Organizational Management Information ALL AWARDS ......................................................................... 30
9. Applicant Citizenship ALL AWARDS .......................................................................................................... 30
C. SUBMITTING AN APPLICATION ALL AWARDS ........................................................................................................ 31
1. Competitive Types of Applications COMPETITIVE AWARDS .................................................................... 31
2. Capacity Types of Applications CAPACITY AWARDS ................................................................................ 33
3. Letters of Intent COMPETITIVE AWARDS ................................................................................................. 34
4. Application Budget COMPETITIVE AWARDS ............................................................................................ 34
5. Matching or Cost Sharing ALL AWARDS ................................................................................................... 35
a. Definition ALL AWARDS ....................................................................................................................................... 35
b. Competitive awards .............................................................................................................................................. 35
c. Capacity Matching requirements ......................................................................................................................... 38
6. Application Requirements COMPETITIVE AWARDS ................................................................................. 38
7. Resubmitting an Application COMPETITIVE AWARDS ............................................................................. 38
8. Previously Funded Applications and Substantially Similar Efforts COMPETITIVE AWARDS ..................... 39
9. Assurances ALL AWARDS ......................................................................................................................... 39
10. Certifications and Representations ALL AWARDS .................................................................................... 39
a. Lobbying ALL AWARDS ......................................................................................................................................... 40
b. Felony and Tax Certification ALL AWARDS ........................................................................................................... 40
11. Post-Submission Grant Application Materials ALL AWARDS .................................................................... 40
12. Capacity Grant Application Documents CAPACITY AWARDS ................................................................... 41
13. Key Contacts Form CAPACITY AWARDS ................................................................................................... 41
14. Non-Land Grant College of Agriculture Designation COMPETITIVE AWARDS ......................................... 41
15. Submission ALL AWARDS ......................................................................................................................... 42
a. Electronically Submitted Applications ALL AWARDS ............................................................................................ 42
b. Similar or Identical Applications COMPETITIVE AWARDS .................................................................................... 43
c. Application deadline ALL AWARDS ...................................................................................................................... 43
d. Meeting the deadline ALL AWARDS ..................................................................................................................... 43
16. Application Signature ALL AWARDS ......................................................................................................... 44
17. Late Applications ALL AWARDS ................................................................................................................ 44
D. PUBLIC ACCESS TO APPLICATION INFORMATION ALL AWARDS ........................................................ 45

III. APPLICATION EVALUATION ........................................................................................................................ 46
A. CAPACITY GRANTS CAPACITY AWARDS ............................................................................................................. 46
B. COMPETITIVE GRANTS COMPETITIVE AWARDS .................................................................................................. 46
C. INITIAL COMPETITIVE APPLICATION REVIEW COMPETITIVE AWARDS ..................................................................... 46
D. PEER REVIEW OF COMPETITIVE APPLICATIONS COMPETITIVE AWARDS .................................................................. 47
1. Peer Review System (PRS) ......................................................................................................................... 48
2. Reviewer Selection .................................................................................................................................... 48
3. Types of Review Panels ............................................................................................................................. 48
4. Operation of the Review Panel ................................................................................................................. 48
5. Confidentiality .......................................................................................................................................... 49
6. Conflict of Interest .................................................................................................................................... 50
E. EVALUATION CRITERIA COMPETITIVE AWARDS ................................................................................................. 50
F. NON-COMPETITIVE APPLICATION REVIEW ................................................................................................................ 51
G. PRE-AWARD REVIEW AND RISK ASSESSMENT ALL AWARDS ..................................................................................... 52
1. Review of OMB-designated repositories of government-wide data ALL AWARDS .................................. 52
2. Cost Analysis COMPETITIVE AWARDS ...................................................................................................... 52
3. Financial and Other Management Systems Analysis COMPETITIVE AWARDS ........................................ 53
4. Submitting Revised Documents COMPETITIVE AWARDS ......................................................................... 54

IV. AWARD ISSUANCE ...................................................................................................................................... 55
A. NOTIFICATION ALL AWARDS ............................................................................................................................. 55
1. Competitive Notice of Award Issuance COMPETITIVE AWARDS .............................................................. 56
2. Capacity Award Notification CAPACITY AWARDS .................................................................................... 57
3. Feedback to Applicants COMPETITIVE AWARDS ..................................................................................... 57
B. PAYMENT ALL AWARDS ................................................................................................................................... 58
1. General ALL AWARDS ............................................................................................................................... 58
2. Automated Standard Application for Payments (ASAP) System ALL AWARDS ........................................ 58
3. ASAP Resources ALL AWARDS .................................................................................................................. 59
C. TERMS AND CONDITIONS ALL AWARDS ............................................................................................................... 59
D. PERIOD OF PERFORMANCE (PROJECT PERIOD) ALL AWARDS ................................................................................... 60
1. Competitive Awards COMPETITIVE AWARDS .......................................................................................... 60
a. Period of Performance (Project Period) COMPETITIVE AWARDS ........................................................................ 60
b. Budget Period COMPETITIVE AWARDS ................................................................................................................ 61
2. Capacity Awards CAPACITY AWARDS ...................................................................................................... 62
a. Carry over CAPACITY AWARDS ............................................................................................................................ 62
b. Obligation period CAPACITY AWARDS ................................................................................................................. 63
E. NO-COST EXTENSIONS COMPETITIVE AWARDS ................................................................................................. 63
F. CAPACITY FORMULAS CAPACITY AWARDS ......................................................................................................... 65
G. CAPACITY PROGRAMS MATRIX: FORMULA, USE OF FUNDS, LIMITATIONS, REPORTING, MATCH, CARRYOVER CAPACITY AWARDS ................................................................................................................................................................. 66
H. MEMORANDA OF UNDERSTANDING ALL AWARDS ................................................................................................. 80
I. AVAILABILITY OF GRANT INFORMATION ALL AWARDS ............................................................................................ 80
J. CONFIDENTIALITY AND RETENTION OF INFORMATION COMPETITIVE AWARDS ......................................................... 80
K. FREEDOM OF INFORMATION ACT ALL AWARDS .................................................................................................... 81
L. PUBLIC ACCESS TO RESEARCH DATA ALL AWARDS ................................................................................................. 83
M. PROTECTING SENSITIVE DATA USED IN RESEARCH ALL AWARDS .............................................................................. 84
N. PRIVACY ACT ALL AWARDS ............................................................................................................................... 84
O. PAPERWORK REDUCTION ACT ALL AWARDS......................................................................................................... 85
P. NIFA OFFICIAL IDENTIFIER ALL AWARDS ............................................................................................................. 85
V. POST-AWARD FEDERAL REQUIREMENTS .................................................................................................... 87
A. STANDARDS FOR FINANCIAL AND PROGRAM MANAGEMENT (2 CFR 200.300-309) ALL AWARDS ................................ 87
B. FINANCIAL MANAGEMENT SYSTEMS (2 CFR 200.302) ALL AWARDS ...................................................................... 88
C. GRANTEE INTERNAL CONTROLS (2 CFR 200.303) ALL AWARDS ............................................................................. 89
D. PAYMENT (2 CFR 200.305) ALL AWARDS ......................................................................................................... 89
E. COST SHARING OR MATCHING (2 CFR 200.306) ALL AWARDS .............................................................................. 90
F. PROGRAM INCOME (2 CFR 200.307) ALL AWARDS ............................................................................................. 90
G. REVISION OF BUDGET AND PROGRAM PLANS (2 CFR 200.308) COMPETITIVE AWARDS ........................................... 91
H. PROPERTY STANDARDS (2 CFR 200.310-316) ALL AWARDS ................................................................................. 92
1. Property Management ALL AWARDS ....................................................................................................... 92
2. Real Property ALL AWARDS ...................................................................................................................... 92
3. Equipment ALL AWARDS .......................................................................................................................... 93
a. Definitions ALL AWARDS ...................................................................................................................................... 93
b. Prior approval ALL AWARDS ................................................................................................................................ 93
c. Title ALL AWARDS ................................................................................................................................................ 94
d. Use of Equipment ALL AWARDS .......................................................................................................................... 94
e. Management Requirements ALL AWARDS .......................................................................................................... 95
f. Sale and Disposition of Equipment ALL AWARDS ................................................................................................ 96
g. Supplies and Other Expendable Property ALL AWARDS ...................................................................................... 96
4. Intangible Property ALL AWARDS ............................................................................................................ 96
a. Research Results: Publications, Intellectual Property Rights, and Sharing Research Resources ALL AWARDS .... 97
b. Rights in Data ALL AWARDS ................................................................................................................................. 97
c. Access to Research Data: REEport and NIFA Data Gateway ALL AWARDS........................................................... 98
d. Sharing Research Resources ALL AWARDS .......................................................................................................... 98
e. Availability of Research Resources ALL AWARDS ................................................................................................. 99
f. Publications ALL AWARDS .................................................................................................................................... 99
g. Patents and Inventions ALL AWARDS ................................................................................................................ 100
h. Invention Reporting ALL AWARDS ..................................................................................................................... 102
i. Plant Variety Protection ALL AWARDS ............................................................................................................... 107
j. Interagency Edison (iEdison) ALL AWARDS ........................................................................................................ 108
k. Royalties and Licensing Fees from Copyrights, Inventions, and Patents ALL AWARDS ...................................... 109
l. Transfer of Rights to the Inventor ALL AWARDS ................................................................................................ 109
m. Special Provisions for Grants with Non-Profit Organizations COMPETITIVE AWARDS ...................................... 110

I. PROCUREMENT (2 CFR 200.317-326) ALL AWARDS ......................................................................................... 111
1. General procurement standards ALL AWARDS ...................................................................................... 111
2. Competition ALL AWARDS ...................................................................................................................... 112
3. Methods of Procurement ALL AWARDS ................................................................................................. 113
4. Contracting with small and minority-owned and women-owned businesses and others ALL AWARDS 113
5. Contract Cost and price ALL AWARDS .................................................................................................... 113
6. NIFA review ALL AWARDS ...................................................................................................................... 114
7. Contract Provisions ALL AWARDS .......................................................................................................... 115
J. PERFORMANCE AND FINANCIAL MONITORING AND REPORTING (2 CFR 200.327-329) ALL AWARDS ......................... 115
1. Financial Reporting ALL AWARDS .......................................................................................................... 115
a. SF-425 Annual reports ALL AWARDS ............................................................................................................... 115
b. Final SF-425 Financial Report ALL AWARDS .................................................................................................... 116
c. REEport Project Financial Report ALL AWARDS ................................................................................................ 116
2. Program Performance Reporting ALL AWARDS ..................................................................................... 117
a. Competitive awards COMPETITIVE AWARDS ................................................................................................... 117
b. Capacity grant performance reporting CAPACITY AWARDS ............................................................................. 119
c. Summary Chart of Due Dates for Capacity & Non-Capacity Financial & Programmatic Reports ALL AWARDS 121
d. Plan of Work CAPACITY AWARDS ...................................................................................................................... 122
3. Stakeholder Input CAPACITY AWARDS .................................................................................................. 124
4. Subaward and Executive Compensation Reporting ALL AWARDS ......................................................... 125
K. SUBRECIPIENT MONITORING AND MANAGEMENT (2 CFR 200.303-332) ALL AWARDS ............................................ 126
1. Flow down of requirements from Subawards and contracts under grants ALL AWARDS ...................... 127
2. Subrecipient and contractor determination ALL AWARDS ..................................................................... 127
3. Requirements for pass-through entities ALL AWARDS ........................................................................... 128
L. RECORD RETENTION (2 CFR 200.333-337) ALL AWARDS ................................................................................... 129
M. POST-AWARD COMPLIANCE REVIEWS ALL AWARDS ............................................................................................. 130
N. REMEDIES FOR NON- COMPLIANCE ALL AWARDS ................................................................................................ 130
1. Modification of the Terms and Conditions of Award and Special Award Conditions ALL AWARDS ....... 131
2. Suspension or Termination and Withholding of Support COMPETITIVE AWARDS ................................ 131
3. Suspension COMPETITIVE AWARDS ....................................................................................................... 132
4. Termination COMPETITIVE AWARDS ..................................................................................................... 132
5. Withholding Support COMPETITIVE AWARDS ....................................................................................... 132
6. Other Enforcement Actions ALL AWARDS .............................................................................................. 133
7. Recovery of Funds ALL AWARDS ............................................................................................................ 133
8. Opportunities to object, hearings, and appeals COMPETITIVE AWARDS .............................................. 133
9. Effects of suspension and termination COMPETITIVE AWARDS ............................................................ 134
O. CLOSEOUT ALL AWARDS ................................................................................................................................ 134
1. Final Federal Financial Report ALL AWARDS .......................................................................................... 136
a. Final financial reports (SF-425) ALL AWARDS .................................................................................................... 136
b. Overdue final financial reports ALL AWARDS .................................................................................................... 136
c. Revised final financial reports ALL AWARDS ...................................................................................................... 136
d. Post-closeout ALL AWARDS ............................................................................................................................... 136
2. Unobligated Balances and Actual Expenditures ALL AWARDS............................................................... 137
3. Expired Appropriations Accounts ALL AWARDS ..................................................................................... 137
P. CONTINUITY OF OPERATIONS ALL AWARDS........................................................................................................ 137
VI. ALLOWABLE COSTS ................................................................................................................................... 139
A. FACTORS AFFECTING ALLOWABILITY OF COSTS (2 CFR 200.403) ALL AWARDS ........................................................ 140
B. REASONABLE COSTS (2 CFR 200.404) ALL AWARDS ........................................................................................... 141
C. ALLOCABLE COSTS (2 CFR 200.405) ALL AWARDS ............................................................................................. 141
D. APPLICABLE CREDITS ALL AWARDS ................................................................................................................... 142
E. PRIOR WRITTEN APPROVAL (PRIOR APPROVAL) ALL AWARDS ................................................................................ 142
1. Required prior approvals COMPETITIVE AWARDS ................................................................................. 143
2. Equipment CAPACITY AWARDS .............................................................................................................. 143
3. Carryover of Unobligated Balances COMPETITIVE AWARDS ................................................................. 143
4. Transfer to a different Grantee Organization COMPETITIVE AWARDS ................................................. 144
5. Change in Grantee Organization Status COMPETITIVE AWARDS .......................................................... 145
6. Salaries ALL AWARDS ............................................................................................................................. 146
7. Deviation from the Award Terms and Conditions ALL AWARDS ............................................................ 147
8. Requesting NIFA Prior Approval ALL AWARDS ....................................................................................... 147
F. DIRECT AND INDIRECT COSTS ALL AWARDS ........................................................................................................ 148
1. Direct costs ALL AWARDS ....................................................................................................................... 148
2. Indirect Costs and Limitations ALL AWARDS .......................................................................................... 149
3. Indirect Cost Rates COMPETITIVE AWARDS ........................................................................................... 149
G. DISALLOWED COSTS ALL AWARDS ................................................................................................................... 150
H. SELECTED ITEMS OF COST – ALLOWABLE AND UNALLOWABLE COSTS ALL AWARDS ................................................... 150
1. Allowable/Unallowable Costs Matrix ALL AWARDS .............................................................................. 151
2. Support and documentation for specific items of cost ALL AWARDS ..................................................... 156
a. Capacity grant limitation on retirement contribution CAPACITY AWARDS ....................................................... 156
b. Food/Meals as part of conferences/meetings ALL AWARDS ............................................................................. 156
c. Travel ALL AWARDS ........................................................................................................................................... 156
d. Salaries/Time and Effort Reporting ALL AWARDS .............................................................................................. 158

VII. AUDIT REQUIREMENTS ........................................................................................................................ 159
A. AUDIT COGNIZANT AGENCY ALL AWARDS ......................................................................................................... 160
B. AUDITEE RESPONSIBILITIES ALL AWARDS ........................................................................................................... 160
C. NIFA RESPONSIBILITIES ALL AWARDS ............................................................................................................... 162
D. FRAUD, WASTE, AND ABUSE OF NIFA GRANT FUNDS ALL AWARDS ....................................................................... 164

VIII. OTHER NIFA ASSISTANCE PROGRAMS PROGRAM SPECIFIC .................................................................. 166
A. 4-H YOUTH DEVELOPMENT PROGRAM ................................................................................................................. 166
B. 1994 INSTITUTION ENDOWMENT INTEREST DISTRIBUTION (TRIBAL) .................................... 167
1. Eligibility ................................................................................................................................................. 168
2. Cost Considerations ................................................................................................................................ 168
3. Reporting Requirements ......................................................................................................................... 169
C. HISPANIC-SERVING AGRICULTURAL COLLEGES AND UNIVERSITIES ........................................... 169
1. Eligibility ................................................................................................................................................. 169
2. Allocation ................................................................................................................................................ 170
3. Allowable Costs ....................................................................................................................................... 170
D. VETERINARY MEDICINE LOAN REPAYMENT PROGRAM ............................................................................................. 170
1. Veterinary Shortage Situations ............................................................................................................... 171
2. Program Administration ......................................................................................................................... 171
3. Application Process ................................................................................................................................. 172
4. Waiver of Requirements ......................................................................................................................... 174
5. Breach of VMLRP Service Agreement ..................................................................................................... 174
6. Emergency Service to the Federal Government ...................................................................................... 174

APPENDIX I – PUBLIC POLICY REQUIREMENTS ALL AWARDS .............................................................................. 175
APPENDIX II – DEFINITIONS ALL AWARDS .......................................................................................................... 190
APPENDIX III: NIFA CAPACITY PROGRAM GUIDE CAPACITY AWARDS ................................................................ 204
A. SMITH-LEVER 3(B) AND (C) ................................................................................................................................ 204
B. MULTISTATE EXTENSION AND INTEGRATED RESEARCH AND EXTENSION REQUIREMENTS ................................................. 204
C. DISTRICT OF COLUMBIA PUBLIC POSTSECONDARY EDUCATION REORGANIZATION ACT ................................................... 205
D. HATCH ACT ..................................................................................................................................................... 206
E. HATCH MULTISTATE ......................................................................................................................................... 206
F. INTEGRATED RESEARCH ACTIVITIES ...................................................................................................................... 206
G. AGRICULTURAL EXTENSION AT 1890 LAND-GRANT INSTITUTIONS (SECTION 1444 PROGRAM) ....................................... 207
H. AGRICULTURAL RESEARCH AT 1890 LAND-GRANT INSTITUTIONS (SECTION 1445 PROGRAM/EVANS-ALLEN) .................... 207
I. ANIMAL HEALTH AND DISEASE RESEARCH ............................................................................................................. 208
J. EXPANDED FOOD AND NUTRITION EDUCATION PROGRAM ....................................................................................... 208
K. MCINTIRE-STENNIS .......................................................................................................................................... 208
1. Forestry Research Advisory Council ........................................................................................................ 209
L. RENEWABLE RESOURCE EXTENSION ACT ............................................................................................................... 210
M. SMITH-LEVER SPECIAL NEEDS CAPACITY PROGRAM ................................................................................................ 210

APPENDIX IV: NIFA FEDERAL ASSISTANCE PROGRAMS: AUTHORITY REFERENCES ALL AWARDS ........................ 211
A. CAPACITY ............................................................................................................................................................. 211
B. COMPETITIVE ........................................................................................................................................................ 211

SA - https://www.librarything.com/work/32134500/book/262584061 | https://www.librarything.com/work/32130292/book/262528448 | https://www.librarything.com/work/32113593/book/262325319 | https://www.librarything.com/work/32200970/book/263343916 |
RT - Solicitation
BT - Funding
NT - Guidance
UF - Grant solicitation guidance.
SN - PDF downloaded from an internet website. (This entry does not reference a hierarchical list)