[Federal Register Volume 69, Number 78 (Thursday, April 22, 2004)]
[Rules and Regulations]
[Pages 21703-21704]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-9015]


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NATIONAL AERONAUTICS AND SPACE ADMINISTRATION

14 CFR Part 1260

RIN 2700-AC96


NASA Grant and Cooperative Agreement Handbook--Certifications, 
Disclosures, and Assurances

AGENCY: National Aeronautics and Space Administration (NASA).

ACTION: Final rule.

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SUMMARY: This final rule amends the NASA Grant and Cooperative 
Agreement Handbook (Handbook) to require that announcements of funding 
opportunities advise potential applicants for grants and cooperative 
agreements that they will be required to submit required 
certifications, disclosures, and assurances with their proposals; and 
clarify the methods for ensuring compliance with certifications, 
disclosures, and assurances. This change is made to inform applicants 
of the requirement to demonstrate compliance prior to proposal 
preparation instead of prior to award, thereby giving potential 
applicants advance notice of these requirements.

EFFECTIVE DATE: April 22, 2004.

ADDRESSES: Interested parties may submit comments, identified by RIN 
number 2700-AC96, via the Federal eRulemaking Portal: http://www.regulations.gov. Follow the instructions for submitting comments. 
Comments may also be submitted to Suzan Moody, NASA, Office of 
Procurement, Contract Management Division (Code HK), Washington, DC 
20546. Comments can also be submitted by e-mail to: 
[email protected].

FOR FURTHER INFORMATION CONTACT: Suzan P. Moody, NASA Headquarters, 
Code HC, Washington, DC, (202) 358-0503, e-mail: 
[email protected].

SUPPLEMENTARY INFORMATION:

A. Background

    The Handbook currently requires grant officers to ensure that all 
necessary certifications, disclosures, and assurances regarding 
debarment and suspension, lobbying, and nondiscrimination have been 
obtained prior to awarding a grant or cooperative agreement. This 
policy effectively requires applicants to demonstrate compliance with 
the required certifications, disclosures, and assurances prior to award 
but not necessarily prior to proposal submission. This change will 
require that announcements of funding opportunities advise applicants 
that they must demonstrate compliance with all required certifications, 
disclosures, and assurances in their proposal submissions. This change 
is made to

[[Page 21704]]

inform applicants of the requirement to demonstrate compliance prior to 
proposal preparation instead of prior to award, thereby giving 
potential applicants advance notice of these requirements. 
Additionally, the methods for demonstrating compliance with 
certifications, disclosures, and assurances are clarified. The first 
method provides for each individual certification, disclosure, and 
assurance to be signed by the Authorizing Institutional Representative. 
The second method currently provides that ``Signature by the 
Authorizing Institutional Representative on the proposal Cover Page may 
confirm that all necessary certifications and assurances are met.'' 
This statement is only accurate when the Cover Page includes a notice 
that lists each certification and assurance, and states that signature 
by the Authorizing Institutional Representative confirms that these 
specific certifications and assurances are met. To clarify this 
requirement, the Handbook will be revised to state: ``Signature by the 
Authorizing Organizational Representative on the proposal Cover Page 
may confirm that all necessary certifications and assurances are met, 
provided that the Cover Page includes a notice to that effect.'' An 
administrative change is made to change the term ``Authorizing 
Institutional Representative'' to ``Authorizing Organizational 
Representative'' because the latter term is more commonly used by NASA 
recipients. Finally, this final rule corrects the list of NASA 
implementing regulations in paragraph (c) of the Provision at Sec.  
1260.32, ``Nondiscrimination'' by adding ``14 CFR 1253''.
    This is not a significant regulatory action and, therefore, was not 
subject to review under section 6(b) of Executive Order 12866, 
Regulatory Planning and Review, dated September 30, 1993. This rule is 
not a major rule under 5 U.S.C. 804.

B. Regulatory Flexibility Act

    NASA certifies that this final rule will not have a significant 
economic impact on a substantial number of small entities within the 
meaning of the Regulatory Flexibility Act, 5 U.S.C. 601 et seq., 
because the changes do not impose additional requirements. The changes 
only modify the timing of existing requirements.

C. Paperwork Reduction Act

    The Paperwork Reduction Act does not apply because this final rule 
does not impose any new recordkeeping or information collection 
requirements, or collection of information from offerors, contractors, 
or members of the public that require the approval of the Office of 
Management and Budget under 44 U.S.C. 3501, et seq.

List of Subjects in 14 CFR Part 1260

    Grant Programs--Science and Technology.

Tom Luedtke,
Assistant Administrator for Procurement.


0
Accordingly, 14 CFR part 1260 is amended as follows:
0
1. The authority citation for 14 CFR part 1260 continues to read as 
follows:

    Authority: 42 U.S.C. 2473(c)(1), Pub. L. 97-258, 96 Stat. 1003 
(31 U.S.C. 6301, et seq.)

PART 1260--GRANTS AND COOPERATIVE AGREEMENTS

0
2. Revise paragraph (c) in Sec. 1260.10 to read as follows:


Sec.  1260.10  Proposals.

* * * * *
    (c)(1) All announcements for grant and cooperative agreement 
funding opportunities shall require the applicant to submit all 
required certifications, disclosures, and assurances as part of the 
proposal. The following certifications and assurance are required to be 
submitted as part of all proposals:
    (i) A certification for debarment and suspension under the 
requirements of 14 CFR 1265.510.
    (ii) A certification, and a disclosure form (SF LLL) if required, 
on Lobbying under the requirements of 14 CFR 1271.110 for awards 
exceeding $100,000.
    (iii) An assurance of Compliance with NASA Regulations Concerning 
Nondiscrimination as required by 14 CFR parts 1250 through 1253 or 
incorporation by reference of a signed NASA Form 1206 that is on file, 
current, and accurate.
    (2) Compliance with certifications, disclosures, and assurances 
must be demonstrated by one of the following two methods:
    (i) Each individual certification, disclosure, and assurance may be 
signed by the Authorizing Organizational Representative; or
    (ii) Signature by the Authorizing Organizational Representative on 
the proposal Cover Page may confirm that all necessary certifications 
and assurances are met, provided that the Cover Page includes a notice 
to that effect.
* * * * *

0
3. Revise the undesignated headings and paragraph (c) in Sec.  1260.32 
to read as follows:


Sec.  1260.32  Nondiscrimination.

Nondiscrimination

April 2004.

* * * * *
    (c) Work on NASA grants is subject to the provisions of Title VI of 
the Civil Rights Act of 1964 (Pub. L. 88-352; 42 U.S.C. 2000d-1), Title 
IX of the Education Amendments of 1972 (20 U.S.C. 1680 et seq.), 
section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 
794), the Age Discrimination Act of 1975 (42 U.S.C. 6101 et seq.), and 
the NASA implementing regulations (14 CFR parts 1250, 1251, 1252, and 
1253).
* * * * *

[FR Doc. 04-9015 Filed 4-21-04; 8:45 am]
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