|
ORDER |
9550.7A |
RESEARCH GRANTS PROGRAM
DEPARTMENT OF TRANSPORTATION
FEDERAL AVIATION ADMINISTRATION
Distribution: A-W-2; A-XY-1; A-Z-3
Initiated By: AAR-2019550.7A
FOREWORD
This order establishes policies and procedures for the award and administration of aviation research grants.
Through grant awards, the FAA supports advanced research in areas of potential benefit to the long-term growth of civil aviation, in areas related to the prevention of catastrophic failure, and the implementation of technologies and procedures to counteract terrorist acts against civil aviation.
David R. Hinson
Administrator
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TABLE OF CONTENTS
Page No.
CHAPTER 1. INTRODUCTION 1
SECTION 1. GENERAL 1
1. Purpose 1
2. Distribution 1
3. Cancellation 1
4. Explanation of Changes 1
5. Background 2
6. Definitions 2
7. Requests for Information 3
8. Forms 3
9. Authority to Change this Order 3
10.-19. Reserved 3
SECTION 2. GRANT PROGRAM DESCRIPTIONS 11
20. General 11
21. Aviation Research Grant Program 11
22. Catastrophic Failure Prevention Research Grant Program 11
23. Aviation Security Research Grant Program 12
24. Authorization of Appropriations 12
25. Scientific Advisory Panel 12
26-29. Reserved 12
CHAPTER 2. PROGRAM RESPONSIBILITIES 21
SECTION 1. OVERSIGHT STRUCTURE 21
200. General 21
201. Statute Requirements 21
202. Responsibilities 21
203.-219. Reserved 22
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SECTION 2. GRANT REQUEST APPROVAL AUTHORITY 31
220. Approval Authority 31
221. Award Authority 31
222.-229. Reserved 31
SECTION 3. PROGRAM RESPONSIBILITIES 35
230. General 35
231. Office of Research and Technology Applications 35
232. Grants Officer 35
233. Evaluation Teams 35
234. Technical Monitor 36
235. FAA Technical Center 36
236. Office of Civil Rights 36
237. Office of Chief Counsel 36
238.-299. Reserved 36
CHAPTER 3. RESERVED 41 (thru 200)
300.-399. Reserved 41 (thru 200)
CHAPTER 4. PROPOSAL SOLICITATION, SUBMISSION, REVIEW AND
EVALUATION, AND GRANT AWARD 201
SECTION 1. PROPOSAL SOLICITATION 201
400. Mechanism for Generating Proposals 201
401. Intergovernmental Review and Reporting Requirements for Federal Programs 201
402.-419. Reserved 201
SECTION 2. PROPOSAL SUBMISSION 209
420. Definitions 209
421. General 209
422. Types of Grants 210
423. Funding Methods 210
424. Categories of Applicants and Information Contacts 210
425. When and Where to Submit Grant Proposals 211
426. Proposal Format 211
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427. Withdrawal 212
428. Confidential Aspects of Proposals and Grants 212
429. Special Security Clearances 213
430.-439. Reserved 213
SECTION 3. PROPOSAL REVIEW AND EVALUATION 219
440. Receipt and Assignment 219
441. Proposal Review 219
442. Technical Merit 219
443. Revisions to Proposals 220
444. Returned or Declined Proposals 221
445.-449. Reserved 221
SECTION 4. GRANT AWARD 229
450. Grant Request 229
451. Grant Award 229
452. Grant Award Instrument 229
453. Grant Periods 229
454. Grant Award Amendments 230
455.-499. Reserved 231
CHAPTER 5. GRANTEE STANDARDS 251
500. General 251
501. Policy 251
502. Financial Management Systems Standards 251
503. Procurement Standards 251
504. Property Management Standards 251
505. Prospective Grantee Organization and Management Data 251
506.-599. Reserved 252
CHAPTER 6. EXPENDITURES 281
SECTION 1. ALLOWABLE COSTS 281
600. General 281
601. Institutions of Higher Education 281
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602. Other Non-profit Organizations 281
603. Commercial Firms 281
604. State and Local Governments 281
605. Applicability to Contracts Under Grants 281
606.-619. Reserved 281
SECTION 2. PAYMENT REQUIREMENTS 287
620. General 287
621. Grant Acceptance 287
622. Definitions 287
623. Payment Procedures 288
624. Payment Methods 288
625. Financial Reporting Requirements 288
626. Withholding Payments 289
627. Safeguarding Funds 289
628. Final Unobligated Balance 289
629. Erroneous Payments 289
630. Interest Earned 289
631. Program Income 289
632. Other Cost Credits 290
633. Use of Minority Banks 290
634.-699. Reserved 290
CHAPTER 7. PROJECT AND GRANT MANAGEMENT 307
SECTION 1. MONITORING PROJECT PERFORMANCE 307
700. General 307
701. Grantee 307
702. Site Visits 307
703. Grantee Prior Approvals 307
704. Approvals 307
705. FAA-Grantee Relationship 308
706.-719. Reserved 308
SECTION 2. CHANGES IN PROJECT DIRECTION OR MANAGEMENT 311
720. General 311
721. Changes in Objectives, Scope, or Methodology 311
722. Changes in the Principal Investigator or Level of Effort 311
723. Contracting or Transferring the Project Effort 311
724.-729. Reserved 311
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SECTION 3. CHANGES IN THE GRANT BUDGET 315
730. General 315
731. Policy 315
732. Procedure 315
733. Cost Sharing and Matching 315
734.-739. Reserved 315
SECTION 4. SUSPENSION, TERMINATION, AND ENFORCEMENT 319
740. General 319
741. Definitions 319
742. Intent 319
743. Procedure 320
744. Termination by Mutual Agreement 320
745. Misconduct 321
746. Enforcement 321
747.-749. Reserved 321
SECTION 5. GRANT REPORTING REQUIREMENTS 331
750. General 331
751. Quarterly Disbursement Reporting 331
752. Progress Reports 331
753. Final Disbursement Reporting 331
754. Final Project Report 331
755. Final Technical Information Items 332
756. Compliance with Reporting Requirements 332
757. Grant Closeout 332
758.-759. Reserved 332
SECTION 6. RECORDS RETENTION AND AUDIT 341
760. General 341
761. Requirements 341
762.-799. Reserved 341
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CHAPTER 8. OTHER CONSIDERATIONS 355
SECTION 1. ANTIDISCRIMINATION STATUTES 355
800. General 355
801. Civil Rights Act of 1964 355
802. Rehabilitation Act of 1973 355
803. Title IX--Sex Discrimination 356
804. Age Discrimination Act 357
805. Equal Employment Opportunity Under Executive Order 11246 357
806.-819. Reserved 357
SECTION 2. PROTECTION OF LIVING ORGANISMS 363
820. Human Subjects 363
821. Animal Welfare 363
822. Marine Mammal Protection 364
823.-829. Reserved 364
SECTION 3. INFORMATION HANDLING 369
830. Questionnaires: Data Collection Under FAA Grants 369
831. Release of Information 369
832.-839. Reserved 370
SECTION 4. INTERNATIONAL CONSIDERATIONS 375
840. Travel to Foreign Countries 375
841. Projects in a Foreign Country 377
842. Passports and Visas 377
843. International Travel Grants 377
844.-849 Reserved 377
SECTION 5. INTELLECTUAL PROPERTY 381
850. Definition 381
851. Patents and Inventions
Figure 8-1. Standard Patent Rights Clause 383
852. Copyright 388
Figure 8-2. Standard Copyrightable Material Clause 389
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853. Special Patent and Copyright Situations 390
854. Rights in Data Banks and Software 391
855.-859. Reserved 391
SECTION 6. PUBLICATION/DISTRIBUTION OF GRANT MATERIALS 397
860. Publication 397
861.-869. Reserved 398
SECTION 7. ACQUISITION AND CONTROL OF MATERIALS AND SUPPLIES 405
870. Title to Material and Supplies 405
871.-879. Reserve 405
SECTION 8. MISCELLANEOUS 407
880. Liabilities and Losses 407
881. Tax Status 407
882. National Security 407
883. Environmental Impact 408
884.-889. Reserved 408
APPENDIX 1. PUBLIC LAWS, EXECUTIVE ORDERS, AND OTHER DIRECTIVES (4 pages) 1
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CHAPTER 1. INTRODUCTION
SECTION 1. GENERAL
1. PURPOSE. This revision establishes uniform policies and procedures for the award and administration of aviation research grants established under the authority of the Federal Aviation Administration (FAA) Research, Engineering, and Development Authorization Act of 1990, Public Law 101-508, and the Aviation Security Improvement Act of 1990, Public Law 101-604. This order implements Office of Management and Budget (OMB) Circular A-110, Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-profit Organizations, and 49 CFR (Code of Federal Regulations)
Part 18, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and local Governments.
2. DISTRIBUTION. This order is distributed to division level in Washington, branch level at the
FAA Technical Center, regional administrator level at the regions, and director level at the Aeronautical Center.
3. CANCELLATION. Order 9550.7, Research Grants Program, dated April 8, 1992, is canceled.
4. EXPLANATION OF CHANGES.
a. The role of the Executive Research Committee is eliminated from the overall grants process.
b. Chapter 4, section 3, describes changes for proposal review and evaluation. The policy for grant award amendments is also provided.
c. Chapter 6 describes new payment methods available. Electronic funds transfer is now available through the Automated Clearing House (ACH) Network. The new form for requesting this payment method is provided.
d. Chapter 7 reflects changes in termination, suspension, and enforcement procedures.
e. Chapter 8, section 3, updates the requirements for release of information by the FAA. Grants awarded for $1.5 million or more must be reported to the Office of the Secretary of Transportation, Public Affairs. In section 5, Intangible Property is changed to Intellectual Property and the term is defined. Section 6 describes the policy for publication and distribution of aviation security publications. All research results related to aviation security must be reviewed by the Associate Administrator for Civil Aviation Security, ACS-1, prior to publication or release to the general public (par 860).
f. FAA Forms 9550-1 through 9550-6 have been revised. Standard Form 3881, ACH Vendor/Miscellaneous Payment Enrollment Form is new. DOT Form 4220.41 is also new.
g. The entire order is restructured with new page and paragraph numbers.
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5. BACKGROUND.
a. Public Law 101-508 was enacted to enhance FAA's access to resources and research facilities available at colleges, universities, and other non-profit research institutions. It authorizes FAA to establish research grant programs that encompass a broad spectrum of aviation research activities and Centers of Excellence that are targeted at specific areas of long-term aviation research. These programs encourage and support innovative, advanced research of potential benefit to the FAA mission. As a result, the aviation research talent base will increase and will be available to the FAA and the aviation community.
b. By encouraging academic institutions to establish and nurture aviation research programs, and by expanding the role these institutions play in aviation research, the FAA will nurture the long-term growth of the aviation industry.
c. Public Law 101-604 was enacted in response to the report issued by the President's Commission on Aviation Security and Terrorism. The law authorized the creation of a grants program to accelerate and expand the research, development, and implementation of technologies and procedures to counteract terrorist acts against civil aviation.
6. DEFINITIONS. The basic terms pertaining to Research Grants have the meanings indicated below. The definitions of other terms used in the order are contained in the relevant chapters.
a. A grant is a legal instrument that permits an executive agency of the Federal Government to transfer money, property, services, or anything of value to a grantee to carry out a public purpose of support or stimulation. Limited involvement is anticipated between the agency and the recipient during the performance of the contemplated activity.
b. A cooperative agreement is a legal instrument that permits an executive agency of the Federal Government to transfer money, property, services, or anything of value to a grantee to carry out a public purpose of support or stimulation. It may be used when an assistance project requires substantial FAA involvement during the project performance period. Substantial FAA involvement may be necessary when an activity is technically or managerially complex, or requires extensive or close coordination with other federally supported work, or to help ensure suitability or acceptability of certain aspects of the supported activity. In this order, policies, practices, and procedures that are applicable to grants are taken to be similarly applicable to cooperative agreements unless otherwise noted. The cooperative research and development agreement (CRDA) program authorized under the Technology Transfer Act of 1986 is not part of this program.
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c. A college or university is a public or private institution of post secondary education which, if it is a U.S. college or university, is listed in the current edition of the Directory of Post Secondary Institutions, published in two volumes by the Center for Education Statistics, U.S. Department of Education. This document is for sale by the Superintendent of Documents, U.S. Government Printing Office.
d. A non-profit institution is any corporation, trust, association, cooperative, or other organization that is operated primarily for scientific, educational, service, charitable, or similar purposes in the public interest; is not organized primarily for profit; and uses its net proceeds to maintain, improve, and/or expand its operations.
e. A principal investigator is the individual at the college, university, or non-profit institution who serves as the main point of contact responsible for all research and reporting activities.
f. A technical monitor is a Federal employee who serves as the central point of contact for the technical aspects of the grant. This person is responsible for interacting with the grantee, monitoring technical aspects of the grant, and reviewing costs submitted for reimbursement.
7. REQUESTS FOR INFORMATION. Inquiries regarding this subject matter should be directed to the Office of Research and Technology Applications at the FAA Technical Center.
8. FORMS. Required forms are available from AAR-201 at the FAA Technical Center.
9. AUTHORITY TO CHANGE THIS ORDER. The Associate Administrator for Research and Acquisitions may issue changes to this order necessary to implement and manage the Research Grants Program. The Administrator reserves the authority to approve changes that establish policy, delegate authority, or assign responsibility.
10.-19. RESERVED.
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SECTION 2. GRANT PROGRAM DESCRIPTIONS
20. GENERAL. Public Laws 101-508 and 101-604 authorize three separate grant programs. Although there are similarities and differences contained in each program, they have been integrated into the Research Grants Program and a unified process as applicable through the solicitation, review, selection, and administration of all research grants. Proposals for education, training, or airport development are not supported under this program. These proposals are under the jurisdiction of the Airway Science Program and the Airport Grants Program resident at FAA headquarters in Washington, DC. Grants under the Airport Improvement Program are also not part of this aviation research grants program. Additionally, FAA does not support technical assistance, pilot plant efforts, research requiring security classification (with the exception of aviation security projects), the development of products for commercial marketing, or market research for a particular product or invention under this program. FAA may enter into cooperative agreements with such governmental entities as considered appropriate by the agency. The following paragraphs describe the characteristics of each program as contained in the statutes.
21. AVIATION RESEARCH GRANT PROGRAM. (Public Law 101-508, Section 9205). Grants under this program are to be awarded for the conduct of research for the long-term growth of civil aviation. Research topics may include air traffic control automation, aviation applications of artificial intelligence, aviation training technologies and techniques, human factors in highly automated environments, and aircraft safety.
a. Recipients. Grants may be made to colleges, universities, and non-profit research organizations.
b. Selection Criteria. A solicitation, review, and evaluation process is required that ensures the proposals have adequate merit and relevancy to FAA mission. Consideration must be given to ensure an equitable geographic distribution of grant funds and inclusion of historically black colleges and universities and other minority institutions.
22. CATASTROPHIC FAILURE PREVENTION RESEARCH GRANT PROGRAM.
(Public Law 101-508, Section 9208). Grants under this program are to be awarded for the conduct of research relating to the development of technologies and methods to assess the risk and prevent defects, failures, and malfunctions of products, parts, processes, and articles manufactured for use in aircraft, aircraft engines, propellers, and appliances that could result in a catastrophic failure of an aircraft.
a. Recipients. Grants may be awarded to colleges, universities, and non-profit research organizations.
b. Selection Criteria. A solicitation, review, and evaluation process is required that ensures proposals have adequate merit and relevance to FAA mission specific research in catastrophic failure prevention.
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23. AVIATION SECURITY RESEARCH GRANT PROGRAM (Public Law 101-604, Section 107). Grants under this program are to be awarded for the conduct of research, development, and implementation of technologies and procedures to counteract terrorist acts against civil aviation.
a. Recipients. Grants may be awarded to colleges, universities, non-profit institutions, and other entities possessing demonstrated capability in aviation security.
b. Selection Criteria. A solicitation, review, and evaluation process is required that ensures proposals have adequate merit and relevance to FAA mission specific research in aviation security.
24. AUTHORIZATION OF APPROPRIATIONS. Such sums, as may be necessary for the purpose of carrying out the established grant program, are authorized to be appropriated from the Airport and Airway Trust Fund after completion of the required security threat review, which was imposed by the Aviation Security Improvement Act (ASIA).
25. SCIENTIFIC ADVISORY PANEL, a subcommittee of the Research, Engineering, and Development (R,E&D) Advisory Committee, shall be established for the purpose of reviewing, commenting on, and advising the Administrator on the progress of, or modifications to, the grants established in this program. The R,E&D Advisory Committee is a body of up to 30 individuals, appointed by the Administrator and mandated by the Aviation Safety Research Act of 1988 (Public Law 100-591), who provide advice and recommendations to the Administrator regarding the needs, objectives, plans, approaches, contents, and accomplishments with respect to FAA R,E&D programs.
26.-199. RESERVED.
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CHAPTER 2. PROGRAM RESPONSIBILITIES
SECTION 1. OVERSIGHT STRUCTURE
200. GENERAL. This section establishes the oversight structure for the Research Grants Program and prescribes the associated functions. Oversight is provided by the chain of command acting on behalf of the agency to ensure that program execution is in compliance with relevant laws, regulations, and policies; to minimize or eliminate the potential for waste, loss, misappropriation, etc.; and to ensure program objectives are effectively carried out. Program officials, and the appropriate individuals in the oversight structure, approve program funding for research grants. The oversight structure approves discretionary funded research grants when discretionary funds are available.
201. REQUIREMENTS.
a. The R,E&D Advisory Committee shall review the research and training carried out by the Centers of Excellence. These reviews are provided to the Administrator.
b. A Scientific Advisory Panel, a subcommittee of the R,E&D Advisory Committee, reviews, comments on, and advises the Administrator on the progress of, and any necessary modifications to, the grant programs established under the Aviation Security Improvement Act of 1990 (Public Law 101-604).
202. RESPONSIBILITIES.
a. The Administrator:
(1) Approves grant requests > $5 million.
(2) Exercises agencywide oversight of research grants policy, procedures, and technical goals.
b. The Associate Administrator for Research and Acquisitions:
(1) Develops congressional reports and briefings related to research grants.
(2) Approves grant requests < $5 million.
(3) Approves technical goals and policy for research grants.
c. The Director, FAA Technical Center:
(1) Approves grant requests < $2.5 million.
(2) Recommends research grant technical goals and policies to the Associate Administrator for Research and Acquisitions.
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(3) Approves all requests for discretionary funded grants.
(4) Submits a notice to award discretionary grants to the Associate Administrator for Research and Acquisitions at least 60 days in advance of the projected award date.
d. Service directors (or equivalent):
(1) Approve grant requests < $1 million.
(2) Ensure that training requirements for technical monitors and evaluation team members as established by the Grants Officer are met.
e. The FAA Grants Officer:
(1) Manages and administers the Research Grants Program.
(2) Provides discretionary grants notices and requests to the Director, FAA Technical Center for approval.
(3) Recommends research grants technical goals and policies to the Director, FAA Technical Center.
(4) Produces and distributes, as appropriate, research grants reports including:
(a) The required annual report to Congress.
(b) Quarterly program progress reports.
203.-219. RESERVED.
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SECTION 2. GRANT REQUEST APPROVAL AUTHORITY
220. APPROVAL AUTHORITY. Grant requests (FAA Form 9550-6) must be approved and signed consistent with the dollar thresholds specified. The signature of a grants staff member is required to verify appropriate approvals have been obtained.
a. Division Manager or Equivalent--$1 million and under.
b. Service Director or Equivalent--$1 million and one to $2.5 million.
c. Associate Administrator or Equivalent--$2.5 million and one to $5 million.
d. Administrator--Over $5 million.
e. Grants Officer--Approves requests for discretionary funds, when available.
221. AWARD AUTHORITY. The Grants Officer is authorized to award, administer, modify, and terminate a grant. Such authority shall be exercised subject to, and in accordance with, applicable laws and regulations. The above approvals are required before the award of a grant. The Grants Officer is authorized to award grants to a designated Center of Excellence.
222.-229. RESERVED.
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SECTION 3. PROGRAM RESPONSIBILITIES
230. GENERAL. This section provides responsibilities for the management and administration of the Research Grants Program.
231. OFFICE OF RESEARCH AND TECHNOLOGY, at the FAA Technical Center, is responsible for management and administration of the program for FAA. As such, this office is responsible for advising and keeping the assembled committees and technical program managers informed of all grant program activities. Activities include, but are not limited to, technical emphasis areas for solicitation, compliance with statutes as far as equitable geographic distribution, and consideration of historically black colleges and universities and other minority institutions, program progress reports, etc.
232. THE GRANTS OFFICER, located at the FAA Technical Center:
a. Executes the program and participants or participates directly in all aspects of the grants program.
b. Awards, administers, modifies, and terminates grants as authorized under the enabling statutes and delegated authority.
c. Provides advice to assembled committees and technical program managers.
d. Assists in the preparation and coordination of technical emphasis areas for solicitation.
e. Provides technical advice and guidance to the grantee community, reviews proposals for completeness, coordinates required audits, provides guidance to technical evaluation teams, awards grants, assists technical monitors in grant administration, assists in grant closeout, and provides program status reports.
f. Approves waivers and deviations to research grants policies and procedures consistent with governing laws and regulations.
g. Establishes training requirements for grants staff and individuals serving on evaluation teams, or participating as technical monitors.
233. EVALUATION TEAMS consist of Federal employees appointed by the Grants Officer after nomination by the office of primary interest (OPI). The teams shall consist of at least three technical peers for initial proposal submission and at least one for proposal modifications. Outside reviewers may be included for evaluation support with prior approval from the Grants Officer. The team is responsible for reviewing, evaluating, and recommending proposals for research based on stated criteria. Technical evaluators are required to complete training requirements as established by the grants office to maintain their status as technical evaluators.
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234. A TECHNICAL MONITOR is a Federal employee appointed by the OPI, with approval from the Grants Officer, for each research grant awarded (i.e., for program funded grants). The name and telephone number of the cognizant technical monitor appears on the grant award. This person serves as the central point of contact for the technical aspects of the grant. This person is responsible for interaction with the grantee, technical monitoring of the grant, and review and approval of costs submitted for reimbursement. The technical monitor is also responsible for informing the grants office of any significant developments relative to the grant award. Technical monitors are required to complete training requirements as established by the Grants Officer to maintain their status as technical monitors.
235. THE FAA TECHNICAL CENTER provides accounting services for matters relevant to research grants.
236. THE OFFICE OF CIVIL RIGHTS, through the Civil Rights Staff, ACT-9, provides direction and monitors all complaints related to race, color, religion, sex, age, national origin, or handicap.
237. THE OFFICE OF THE CHIEF COUNSEL, through the Assistant Chief Counsel, ACT-7, at the FAA Technical Center, provides legal advice for matters related to research grants. Counsel reviews legal aspects of the grants program, including the solicitation, administration, suspension, and termination of grants and cooperative agreements.
238.-299. RESERVED.
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.
CHAPTER 4. PROPOSAL SOLICITATION, SUBMISSION, REVIEW AND
EVALUATION, AND GRANT AWARD
SECTION 1. PROPOSAL SOLICITATION
400. MECHANISM FOR GENERATING PROPOSALS. The primary mechanism used by FAA to generate solicited proposals is publication of a Notice of Solicitation in the Federal Register. The notice describes the areas in which FAA wishes to award grants, identifies the effective term of the notice, addresses eligibility and evaluation criteria, and provides proposal submission guidelines. The published solicitation is supplemented with a direct mailing.
401. INTERGOVERNMENTAL REVIEW AND REPORTING REQUIREMENT FOR FEDERAL PROGRAMS. This paragraph implements Executive Order 12372, Intergovernmental Review of Federal Programs.
a. The Office of Research and Technology Applications furnishes information on the Research Grants Program, as required by OMB Circular A-89, Federal Domestic Assistance Program Information, to the Office of Acquisition and Grants Management for annual publication in the Catalog of Federal Domestic Assistance by OMB.
b. The office furnishes information for the FEDIX/MOLIS, an automatic data processing system that provides on-line information on assistance awards, including grants and links the Federal and academic communities to facilitate research, education, and services.
c. The office furnishes information to historically black colleges and universities (HBCU’s) and other minority institutions to assist in meeting the spirit and intent of Executive Order 12876.
d. In states that require program review through Executive Order 12372, the office ensures that the project has been reviewed by the State Single Point of Contact as required by 49 CFR, Part 17.
e. The office furnishes information regarding the program solicitation through the INTERNET system.
402.-419. RESERVED.
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SECTION 2. PROPOSAL SUBMISSION
420. DEFINITIONS.
a. The Principal Investigator is the individual designated by the proposing organization and recognized by FAA, who is responsible for the scientific or technical direction of the project.
b. The Authorized Organizational Representative is the administrative official who is empowered to commit the proposing organization to the conduct of a project that FAA is being asked to support.
421. GENERAL.
a. The purpose of a proposal is to provide a statement establishing the objectives and the significance of the proposed activity, the technical qualifications of the principal investigator and his or her organization, and the level of funding required to carry out the stated activity. Discussions between the principal investigator and the FAA sponsor are encouraged prior to proposal submission to clarify and refine these issues.
b. The proposal must contain sufficient information to persuade the FAA's technical staff and members of the technical community that the proposed activity is both sound and worthy of support under FAA criteria for the selection of projects, or other criteria that may be specified. The proposal should be succinct and self-contained.
c. FAA expects strict adherence to the rules of proper scholarship and attribution and abidance with the peer merit review evaluation and selection system on the basis of which FAA makes awards. The responsibility for proper attribution and citation rests with authors of a research proposal, all parts of which should be prepared with equal care. Failure to adhere to such standards will result in disqualification of the proposal.
d. Before submitting the proposal to FAA, the authorized organizational representative should determine that:
(1) The proposed project is consistent with the policies and goals of the submitting organization.
(2) The institution can make available the necessary facilities, general purpose equipment, special purpose equipment, and services for the conduct of the project.
(3) The organization can make available the necessary personnel for the time estimated to be required.
(4) The organization has legal authority to accept grants and the requisite policies, procedures, and personnel to meet the standards shown in chapter 5.
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(5) The total costs estimated to be required for the conduct of the project are reasonable and there is a plan for meeting such costs either from grant funds or from other sources.
(6) The costs that FAA is being asked to support are allowable, and the treatment of direct or indirect costs in the proposal budget is consistent with Federal cost principles and with the policies of the submitting organization (allowable costs and governing regulations are discussed in chapter 6).
e. The institutional representative must attach a copy of the latest institutional indirect cost agreement negotiated with the institution's cognizant Federal audit agency (i.e., Department of Health and Human Services, Department of Defense, or other) currently in force. An indirect cost proposal must be submitted separately to the grants office if the submitting organization does not have an indirect cost base and rate recognized by FAA or by the cognizant Federal negotiating agency identified in OMB Circular A-88, Coordinating Indirect Cost Rates, Audit, and Audit Follow-up at Educational Institutions.
f. The proposing organization should submit, upon request by the grants office, the organization and management information described in chapter 5.
422. TYPES OF GRANTS.
a. A standard grant is a type of award under which FAA agrees to support a specified level of effort for a specified period of time.
b. A continuing grant is a type of award under which FAA agrees to support at a specified level of effort for a specified period of time, with a statement of intention to provide certain additional future support of the project, provided funds become available and the achieved results warrant further support.
423. FUNDING METHODS. Eligible proposals are funded with designated program money or with discretionary funding, if available.
424. CATEGORIES OF APPLICANTS AND INFORMATION CONTACTS.
a. General. Scientists and engineers and other members of the technical and academic community usually initiate research proposals that are submitted to FAA on their behalf by their employing organizations. FAA is seeking to elicit proposals from historically black colleges and universities and other minority institutions, and to provide an equitable geographic distribution of awards. Contact with the FAA grants office is recommended prior to submitting formal proposals.
b. Principal Types of Grantees. Proposals for support are received from, and grants may be made to, the following types of organizations:
(1) Colleges and universities to include historically black and other minority institutions.
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(2) Non-profit organizations such as independent museums; observatories; research laboratories; hospitals; consortia; professional, scientific, and educational associations or societies; and similar organizations.
(3) Appropriate research institutions and facilities with demonstrated ability to conduct research in the development and implementation of technologies and procedures to counteract terrorist acts against civil aviation.
(4) Governmental entities as the Administrator considers appropriate to conduct research in the development and implementation of technologies and procedures to counteract terrorist acts against civil aviation.
425. WHEN AND WHERE TO SUBMIT GRANT PROPOSALS. Unless otherwise noted in the solicitation, proposals should be submitted to allow at least 6 months between the date of receipt by FAA and the anticipated starting date of the research. Each original proposal, with three copies, shall be forwarded to the address specified in the program solicitation. Mark the envelope "Grant Proposal." FAA assigns each proposal a number and acknowledges receipt of each proposal. The proposal number must be referred to in all future correspondence concerning the proposal.
426. PROPOSAL FORMAT. The proposal should be assembled in the following sequence. These elements must be included to be considered an eligible proposal. Specifics regarding these elements are found in the program solicitation.
a. Cover Letter. A standard business format cover letter. The letter may be signed by either the principal investigator, an approving official at the institution, or both.
b. Cover Sheet. The cover sheet must follow the general format of FAA Form 9550-1, Cover Sheet for Proposals to FAA.
c. Table of Contents.
d. Project Summary. The summary should be a 300 word, self-contained description of the project or activity that would result if the proposal is funded by FAA.
e. Results from Prior FAA Support. If the principal investigator(s) has received FAA funding in the past 5 years, information on prior funding should be provided.
f. Project Description. The main body of the proposal should be a detailed description of the research to be undertaken.
g. Bibliography.
h. Biographical Sketches of senior personnel.
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i. Budget. FAA Form 9550-2, Summary Proposal Budget.
j. Current and Pending Support. FAA Form 9550-3 gives a suggested format for reporting current and pending support for proposals.
k. Indirect Cost Agreement.
l. Salary Schedule. A copy of the latest salary schedule for all individuals identified on the budget estimate.
m. Appendices. Must include a certification regarding civil rights and, if required, SF-LLL, Disclosure of Lobbying Activities, and an indirect cost proposal, if required.
427. WITHDRAWAL. A proposal may be withdrawn at any time before an award is made. A written request stating the reason for withdrawal should be signed by the principal investigator and the authorized organization representative and forwarded to the grants office.
428. CONFIDENTIAL ASPECTS OF PROPOSALS AND GRANTS.
a. Release of Grantee Proposal Information.
(1) Proposals for FAA support may be reviewed not only by FAA staff, but also by selected outside reviewers chosen for their knowledge in the subject areas of proposed projects. An integral part of most proposals is a budget that includes the proposed commitment to the project by named senior personnel of a specified amount of time, or effort, for which the proposal requests FAA support and the corresponding salary amounts. Unless the proposing organization itemizes these salary amounts in a separate statement, rather than in the budget itself, this information may be disclosed, if requested, under the Freedom of Information Act (discussed in chapter 8).
(2) Any organization submitting a proposal for support has the option of listing, in a separate schedule, the salary amounts for named senior project personnel that it proposes be reimbursed through an FAA grant. If this option is selected, the proposal budget may substitute asterisks for the salary amounts. In this event, the omitted information is to be furnished in a separate salary schedule with the legend, "It is requested that the following salary information not be released to persons outside the Government." Two copies should be attached to the original proposed budget only. Any separate salary schedule bearing the legend described are considered confidential and withheld from release, to the extent permitted by law. Whether or not the option is exercised, the proposed budget should continue to list the names of senior project personnel and the total senior personnel salaries for which FAA funding is requested.
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(3) Proposals resulting in FAA grants become part of the award instrument and will be made available to the public, with the exceptions identified in paragraph 428a(4). Any separate salary schedule bearing the legend described in paragraph 428a(2) are considered confidential and withheld from release to the extent permitted by law. Portions of proposals resulting in awards that contain descriptions of inventions in which either the Federal Government or the grantee owns or may own a right, title, or interest (including a non-exclusive license) are not normally made available to the public until after a reasonable time for the filing of a patent application. The policy is to notify the grantee of requests for funded proposals in order for the grantee to advise the FAA whether there are any such inventions described in the proposal.
(4) Public release of information, correspondence, and documents received by FAA grantees is disclosed in accordance with the Freedom of Information Act (discussed in chapter 8).
b. Other Proprietary Information. Records or data concerning patents, trade secrets, and commercial or financial information that is privileged or confidential should be appropriately labeled and included as an enclosure to the proposal. Such information is held in confidence to the extent permitted by the law.
429. SPECIAL SECURITY CLEARANCES. Grant activities relating to countering terrorist acts against civil aviation may require personnel and facility security clearances.
430. - 439. RESERVED.
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SECTION 3. PROPOSAL REVIEW AND EVALUATION
440. RECEIPT AND ASSIGNMENT. Research proposals are assigned a proposal number upon receipt and acknowledged in writing.
441. PROPOSAL REVIEW.
a. Each proposal is reviewed by the grants office to ensure that it has been signed, that it is in an appropriate format, that all relevant information has been submitted, that it satisfies the conditions of a grant instrument, and that the proposed research falls under the research grant authority described in
chapter 1.
b. If after initial review it is determined that another access vehicle other than a grant is more appropriate, the proposing organization will be notified and advised in writing by the grants office.
442. TECHNICAL MERIT.
a. Evaluation Teams. After initial proposal review, the proposal is reviewed carefully for technical merit by a technical evaluation team. The team consists of at least three federally employed technical peers and may include outside reviewers with prior approval from the grants office. An FAA representative is designated as the team leader. The team leader is responsible for developing an overall proposal rating based on the ratings of the individual team members.
b. Criteria. FAA has established criteria that proposals must meet to be eligible for funding. The criteria considered in evaluating a proposal are listed below:
(1) Technical merit and programmatic relevance to critical mission objectives, intrinsic scientific value, and merit.
(2) Establishment of logical connection and probable application to long-term growth of civil aviation will lead to new discoveries or fundamental advances within the field or will have substantial impact on progress in the specific or related fields pertinent to FAA research.
(3) Soundness of technical approach and concepts.
(4) Realistic costs, overall ability of the agency to fund the project, and benefits to be accrued in terms of the contribution to FAA objectives.
(5) Qualifications of the investigator, equipment, and facilities at the institution available to perform the research effort. Capability of the organization to carry on successful work.
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c. Additional Resources Required. The grantee should identify specific resources that are required, and note whether adequate access to these exist or whether they will be acquired in the course of the proposed activity. Past achievement is considered in evaluating performance competence. The principal investigator should demonstrate an established reputation in the relevant field. Such reputation may be shown by publications, patents, conference contributions, or any other relevant information that demonstrates his or her capability to advance the state of knowledge in the proposed area.
d. Proposal Ratings. While meeting all criteria is necessary for eligibility, the research proposal is judged as a whole considering the above noted elements. All proposals are reviewed by discipline specialists in the area of the proposal. Some proposals are reviewed entirely in-house; others are evaluated by a combination of in-house experts and selected external reviewers. Due consideration is given to conflict-of-interest and protection of proposal information when outside reviewers are serving on evaluation teams.
(1) After initial proposal review, proposals over $100,000 are reviewed in-depth against criteria by a technical evaluation team. The team consists of at least three technical peers. An FAA representative is designated as the team leader. The team leader is responsible for developing an overall proposal rating based on the ratings of the individual team members.
(2) After initial proposal review, proposals under $100,000 are reviewed, using an abbreviated process, against criteria by a discipline specialist in the area of the proposal and one other technical evaluator. The discipline specialist is responsible for providing an overall proposal rating and recommendation.
(3) Evaluation processes are modified when the office discretionary funds are used rather than program office funds. After initial proposal review, proposals intended for office discretionary funding support are reviewed in-depth against criteria by a technical evaluation team consisting of at least three technical peers. The team leader is responsible for developing an overall proposal rating based on input of the individual team members and providing additional information to the grants office as required.
443. REVISIONS TO PROPOSALS. The grants office may have a need to engage in discussions with the applicant's principal investigator prior to awarding a grant. Discussion will occur after the grant proposal has been determined to be eligible for funding. Discussions may result in changes that do not alter the basic direction or intent of the proposal or result in changes outside the specific area of expertise of the principal investigator. Changes may be made to remove, add, or redirect specific areas of research in the proposal. If such changes occur, an appropriate proposal modification (which may include a revised proposal budget) signed by the principal investigator and the authorized organizational representative must be submitted to the grants office for incorporation into the proposal file.
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444. RETURNED OR DECLINED PROPOSALS.
a. A returned proposal is one that has been returned to the applicant because it is determined to be ineligible. The proposal may be incomplete, inappropriate for consideration, or does not meet established criteria. The applicant is notified in writing by the grants office as to why the proposal is ineligible.
b. A declination is a written notice by the grants office advising that the proposal is eligible for funding but that due to lack of available funds, or change in program direction, grant assistance will not be provided.
445.-449. RESERVED.
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SECTION 4. GRANT AWARD
450. GRANT REQUEST. A grant request, FAA Form 9550-6, is used to initiate the grant awards approval process. Grants request processing is coordinated by the Office of Research and Technology Applications. The grant request form is used by the funding program office to identify the proposal selected for award, to establish the funding citations, to obtain the necessary signature authorities contained in chapter 2, and to track the processing of the proposal and award of the grant.
451. GRANT AWARD.
a. Eligible proposals funded through program money are supported by the cognizant program managers based on their research and development program requirements and the availability of funds.
b. Eligible proposals funded through discretionary grant money are supported by an oversight structure, based on the overall research and development requirements and the availability of funds.
c. In either situation, the office ensures an equitable geographic distribution of all grant funds and the inclusion of historically black colleges and universities and other minority institutions for funding consideration.
d. When applicable, proposed grant awards are processed through the OST Office of
Public Affairs release process prior to transmittal to grantees.
452. GRANT AWARD INSTRUMENT. The following documents comprise a Grant award instrument.
a. The Award Letter, including any special provisions applicable to the award.
b. The budget, which indicates the amounts, by categories of expense, on which FAA has based its support.
c. The proposal referenced in the award letter.
d. General or special conditions applicable to the grant award.
e. Any brochure, program guide, or other issuance that may be incorporated by reference in the award letter.
453. GRANT PERIODS. Grants show an effective date, a performance period, and an expiration date.
a. Effective date is the beginning date specified in the grant letter on or after which expenditures may be charged to the grant.
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b. Performance period is the period of time between the effective date and the expiration date of the grant shown as a number of months.
c. Expiration date is the ending date specified in the grant letter after which expenditures may not be charged against the grant, except to satisfy obligations to pay allowable projects costs committed on or before that date.
d. Significance of Performance Period. The grant award gives authority to the grantee to commit and expend funds for allowable costs in support of the project, up to the grant amount specified in the award letter, at any time during the grant period. Expenditures may not be charged against an grant prior to the effective date or subsequent to the expiration date.
454. GRANT AWARD AMENDMENTS. A grant award amendment modifies an existing grant award instrument and may include the following:
a. Administrative change may be accomplished as a unilateral action signed only by the Grants Officer and does not affect the substantive rights of the parties (e.g., a change in the paying office of the appropriation data or correcting typographical errors).
b. No cost extensions may extend the grant performance period for up to 1 year beyond the original expiration date shown on the grant award instrument. Such an extension may be made when no additional funds are required to be obligated by the awarding office, there will be no change in the project's originally approved scope or objectives, and any one of the following may apply:
(1) Additional time beyond the established expiration date is required to ensure adequate completion of the originally approved project.
(2) Continuity of grant support is required while a supplemental proposal is under review.
(3) The extension is necessary to permit an orderly phaseout of a project that will not receive continued support.
c. Additional funding may be required to meet unforeseen circumstances which do not significantly change the scope or objective of the program. Examples are emergency repairs to equipment, conversion of a lease to a purchase, very limited expansion of the effort, opportunity to obtain a newly available expensive item of research equipment, and modest funding needed to complete a project within the original project period.
d. Supplements provide for continuation of FAA support for one or more budget periods beyond the originally approved performance period. Situations frequently arise when it is necessary to supplement awards originally selected on a competitive basis.
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(1) Supplements are appropriate when funding is for substantial expansion of a project that requires adding a budget period beyond the currently approved project period. Examples include changing the objectives of a project to take advantage of recent findings and expanding the scope of a project to include work on promising new leads developed under the original effort. Changes are appropriate when the original project period was approved for a period of time shorter than grant support was needed or the results of the original activity warrant support beyond the period originally recommended.
(2) Supplemental applications for expansion of project or program scope or research protocol is subject to objective review requirements. When approved and funded, the extended period of support is treated as an extension of the original project period.
(3) FAA will not approve requests for supplemental support for such purposes as defraying the costs of increases in salaries, wages, or staff benefits or for additional indirect cost reimbursement, whether caused by a change in the indirect cost rate or by changes in direct cost expenditures that affect the indirect cost base.
(4) Only in exceptional cases will more than one supplement be approved.
e. Major changes in scope or budget must be treated as new proposals. Changes leading to the issuance of an amendment may require the submission of additional supporting documentation by the grantee (e.g., budget or project description).
455.-499. RESERVED.
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CHAPTER 5. GRANTEE STANDARDS
500. GENERAL. OMB Circular A-110 prescribes three sets of standards for academic and other non-profit recipients of Federal grants. These standards govern financial management systems, procurement policies and procedures, and property management. There are comparable standards prescribed by
49 CFR, Part 18 "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments" (OMB Circular A-102) for State or local Government recipients of Federal grants.
501. POLICY. FAA extends the applicability of OMB standards contained in OMB Circulars A-102 and A-110 to all types of recipients of grants under the Research Grants Program, including commercial firms and others to whom neither 49 CFR, Part 18, (A-102) nor A-110 is directly applicable. FAA also requires prospective grantees to furnish basic organizational and management information to assist in assessing their financial and managerial responsibility.
502. FINANCIAL MANAGEMENT SYSTEMS STANDARDS. Grantees must have financial management systems that meet the requirements of OMB Circular A-110.
503. PROCUREMENT STANDARDS. OMB Circular A-110 prescribes standards for use by recipients in establishing procedures for the procurement of supplies, equipment, construction, and services with Federal funds. Grantees must adhere to these procurement requirements.
504. PROPERTY MANAGEMENT STANDARDS. Grantees must comply with the provisions of the property management standards contained in OMB Circular A-110.
505. PROSPECTIVE GRANTEE ORGANIZATION AND MANAGEMENT DATA. Each proposing institution or organization that has not received a grant award within the previous 2 years must submit basic organizational and management information and certifications to assist in assessing their financial and managerial responsibility. When requested by the grants office, the following information must be submitted:
a. Organization Name. Give the commonly used name of the organization, together with the legally registered name, if different, and mailing address.
b. Organization Type. Indicate the appropriate type of organization. If a U.S. college or university, show the Federal Interagency Committee on Education code, and category of control or affiliation, as shown in the most recent Directory of Postsecondary Institutions.
c. Federal Employer Identification Number. U.S. organizations must provide the employer identification number assigned by the Internal Revenue Service.
d. Congressional District. Applicable to organizations in the United States.
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e. Organizational Affiliations. Describe relationship of the organization to any parent organization, subsidiaries, or other affiliates. If the organization is a successor in interest to a predecessor, or if changes in organizational affiliation are anticipated, describe briefly.
f. Statement of Purposes and Powers. Enclose an official or published statement of the major purposes of the organization and the powers that have been granted to it to enter into contractual relationships and/or to accept grants (e.g., articles of incorporation, terms of reference, or by-laws).
g. Key Officials. List the name, title, address, and telephone number of the following existing officials and their alternates:
(1) Chief Executive Officer. Grant letters normally are addressed to the Chief Executive Officer unless another appropriate addressee, such as the authorized organizational representative, is designated.
(2) Authorized Organizational Representative.
(3) Business Officer.
h. Affiliations of Key Officials. If the organization is other than a college or university, a State or local government, or an international organization, indicate whether or not each official listed in g., above, is affiliated with any international, Federal, State or local agency, or with any college or university. If so, describe such affiliation. FAA reserves the right to consult with such affiliated organizations.
i. Federal Awards. Give a representative listing of current or recent Federal awards to the organization indicating agency, award number, award amount, award duration, and title of project.
j. Indirect Cost Agreement. Provide a copy of the most recent indirect cost agreement negotiated between the organization and the cognizant Federal negotiating agency, Federal agency or, if no such agreement exists, an indirect cost rate proposal.
k. Salary Rates. Provide a copy of the most recent salary rates of principal faculty and staff involved in the proposed research effort.
l. Other. If other than a college or university, or a State or local government, also submit the following:
(1) A certified statement of financial condition covering at least the preceding 2 years.
(2) Bank and other references.
506.-599. RESERVED.
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CHAPTER 6. EXPENDITURES
SECTION 1. ALLOWABLE COSTS
600. GENERAL. Expenditures under grants are governed by Federal cost principles applicable to specific types of grantees. Grantees are responsible for determining costs in accordance with applicable regulations.
601. INSTITUTIONS OF HIGHER EDUCATION. Principles for determining the costs applicable to research and development and to training and other educational services performed by colleges and universities under Federal Government grants and contracts are contained in OMB Circular A-21, Cost Principles for Educational Institutions. This circular is applicable to all awards to both public and private institutions of higher education. Also, see Federal Acquisition Regulation (FAR) Subpart 31.3 at 48 CFR 31.3.
602. OTHER NON-PROFIT ORGANIZATIONS. Expenditures under grants are governed by OMB Circular A-122, Cost Principles for Non-profit Organizations, which applies to costs of grants, contracts, and other agreements with certain non-profit organizations, (see FAR Subpart 31.7). OMB Circular A-122 is not applicable to colleges and universities governed by OMB Circular A-21; or to State, local, and federally recognized Indian tribal Governments or hospitals governed by OMB Circular A-87, Cost Principles for State and local Governments. See also FAR Subpart 31.108.
603. COMMERCIAL FIRMS. The Governmentwide cost principles and procedures for use in cost-reimbursement type supply and research contracts with commercial organizations, contained in
FAR Subpart 31.2, are applicable to grants to commercial organizations.
604. STATE AND LOCAL GOVERNMENTS. OMB Circular A-87 and FAR Subpart 31.6 provide principles and standards for determining costs applicable to grants and contracts with State, local, and federally recognized Indian tribal Government entities (excluding publicly financed colleges, universities, and hospitals).
605. APPLICABILITY TO CONTRACTS UNDER GRANTS. Grantees are responsible for ensuring that all contracts awarded under FAA grants comply with appropriate contract laws and procedures.
606.-619. RESERVED.
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SECTION 2. PAYMENT REQUIREMENTS
620. GENERAL. The procedures prescribed in this section are based largely on selected portions of the uniform administrative requirements contained in OMB Circular A-110, Grants and Agreements with Institutions of Higher Education, Hospitals, and other Non-profit Organizations.
621. GRANT ACCEPTANCE. The acceptance of a grant from FAA creates a legal duty on the part of the grantee organization to use the funds or property made available in accordance with the conditions of the grant. FAA has reversionary interest in any funds improperly applied or in property improperly acquired through the grant, to which FAA either retains title or reserves the right to require title transfer.
622. DEFINITIONS. The following definitions are either not included elsewhere in the order or are repeated in this section because of their special applicability to this chapter.
a. Grantee is the recipient organization to which a grant is awarded.
b. Business Officer is the financial official of the grantee organization who has primary responsibility for the accountability for and reporting on grant funds.
c. Cash on Hand includes FAA funds on deposit, imprest funds, and undeposited Treasury checks.
d. Disbursements are payments in cash, check, or electronic funds transfer.
e. Expenditures are outlay charges made to the project during a given period for:
(1) Goods and other tangible property received.
(2) Services performed by employees, contractors, and other payees.
(3) Amounts becoming owed for which no current services or performance is required.
f. Obligations are the amounts of orders placed, contracts awarded, services received, and similar transactions occurring during a given period that require payment by the grantee during the same or a future period.
g. Unliquidated Obligations, for reports prepared on a cash basis, represent the amount of obligations incurred by the grantee that have not been paid. For reports prepared on an accrued expenditure basis, unliquidated obligations represent the amount of obligations incurred by the grantee for which an outlay has not been recorded.
h. Unobligated Balance is the portion of the funds authorized by the grant that has not been obligated by the grantee. It is determined by deducting outlays and unliquidated obligations from the cumulative funds authorized.
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623. PAYMENT PROCEDURES.
a. Reimbursement. The grantee can finance its operations with its own working capital, and payments are made quarterly to reimburse the grantee for actual cash disbursements based on the submission of an
SF-270, Request for Advances or Reimbursement.
b. Working Capital Advance. In those cases where the procedures for reimbursement described in paragraph 623a are not feasible, arrangements may be made whereby the Federal share of operations of the grantee are financed on a working capital advance basis. On this basis, funds may be advanced to the grantee to cover estimated disbursement needs for an initial period. This is accomplished by submitting an SF-270. Grantees are required to deposit all cash received from FAA into separate interest-bearing accounts. The interest generated is to be remitted to FAA at least quarterly, accompanied by a copy of the bank statements(s) for the period covered. Grantees are allowed to retain interest accrued up to $100 per year for administrative expenses.
624. PAYMENT METHODS. The method of payment to a recipient organization is by check or electronic funds transfer.
(a) Direct Treasury Check Method. The method whereby payment is made directly to a recipient organization by the responsible office of the Federal Program Agency. Checks are issued from the U.S. Treasury upon approval and processing by the FAA Technical Center accounting section.
(b) Electronic Funds Transfer Method. Funds are transferred electronically between the
U.S. Treasury and participating financial institution through the Automated Clearing House (ACH) Network. Information requested on SF 3881, ACH Vendor/Miscellaneous Payment Enrollment Form, is required for processing the electronic funds transfer.
625. FINANCIAL REPORTING REQUIREMENTS.
a. Quarterly Disbursement Reporting. Within 15 days after the end of each calendar quarter, the grantee must provide an updated SF-272, Federal Cash Transactions Report when funds are advanced in excess of $10,000. The report elements are in compliance with the uniform Federal standards applicable to financial reporting by grantees. An original and one copy of the completed form must be mailed to FAA Technical Center accounting section. If the information contained in the SF-272 is not adequate, the accounting section will require the grantee to complete an SF-269, Financial Status Report.
b. Final Disbursement Reporting. Within 90 days after the grant expiration date, the grantee must submit form SF-269 to the accounting section for final grant accountability. The final disbursement amount may not exceed the amount of the grant. When the final disbursements are recorded by FAA, the grant is financially closed.
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626. WITHHOLDING PAYMENTS. FAA reserves the right, upon written notice, to withhold future payments after a specified date if the recipient:
a. Fails to comply with the conditions of an award, including the reporting requirements.
b. Is indebted to the U.S. Government.
627. SAFEGUARDING FUNDS. FAA-furnished funds should not be co-mingled with the personal funds of, or to be used for personal purposes by, any officer, employee, or agent of the grantee; nor should any of these funds be deposited in personal bank accounts for disbursement by personal check.
628. FINAL UNOBLIGATED BALANCE. FAA has a reversionary interest in the unobligated balance of a grant upon expiration or completion of the grant. Based on final disbursements reported on the SF-272, the final unobligated balance is to be computed by FAA and reported to the grantee. If the grantee's funding has been fully advanced and the unobligated balance deduction results in a negative balance, the grantee must refund by check, payable to FAA, the amount of the negative balance.
629. ERRONEOUS PAYMENTS. Reimbursements made in error must be refunded by check, payable to FAA, if the erroneous payment creates an excess Federal cash-on-hand condition. Excess funds should be promptly refunded, and redrawn when needed, if the funds are erroneously drawn in excess of immediate disbursement needs. The only exception to the requirement for prompt refunding is when the funds involved will be disbursed within 7 calendar days. This exception to the requirement for prompt refunding should not be construed as approval by FAA for a grantee to maintain excessive funds; they are applicable only to excessive amounts of funds that are erroneously drawn.
630. INTEREST EARNED. Interest earned by other than State agencies must be reported to FAA quarterly on the SF-272 and remitted by check payable to FAA.
631. PROGRAM INCOME. FAA delegates decisions on the expenditure and application of program income generated in the course of a grant award to the grant recipient. OMB Circular A-110 specifies alternatives for utilization of program income as follows:
a. Additive alternative. The funds may be used for the same purposes and under the same conditions stated in the grant agreement to augment the research activities.
b. Matching alternative. In the case of grant awards that require non-Federal matching funds, project income my be used to finance part or all of the non-Federal matching share.
c. Deductive alternative. Program income is deducted from the total grant award.
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632. OTHER COST CREDITS. Purchase discounts, rebates, allowances, credits resulting from overhead rate adjustments, and other credits relating to any allowable cost received by or accruing to the grantee are credited against FAA grant costs if the grant has not been closed out. A grant is closed out when the final net disbursements are reported on the SF-272 and FAA Form 9550-5, Final Project Report, is submitted to and accepted by FAA. If the grant is closed out, cost credits are accepted only if the amount is $300 or more. Such credits must be approved by the Grants Officer.
633. USE OF MINORITY BANKS. Recipients of awards are encouraged by the Federal Government to use minority banks. Minority banks are those that are owned (at least 50 percent) by minority groups such as Black, Hispanic, Asian, Native American, Pacific Islander, and women. This action is consistent with the national goal of expanding the opportunities for minority business enterprises.
634.-699. RESERVED.
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CHAPTER 7. PROJECT AND GRANT MANAGEMENT
SECTION 1. MONITORING PROJECT PERFORMANCE
700. GENERAL. OMB Circular A-110 contains criteria and procedures to be followed by Federal agencies for monitoring and reporting program performance for all grant recipients. Grant recipients will adhere to the required procedures.
701. GRANTEE will monitor the performance of the project, program, subaward, function or activity supported by the award to ensure time schedules are being met, other performance goals are being achieved, the terms of the grant instrument are being met, and sound management practices and organizational policies are being used.
702. SITE VISITS. The technical monitor may make site visits, as appropriate, to keep informed of the progress of the work, and the Grants Officer may make site visits, as appropriate, to review grantee management systems.
703. GRANTEE PRIOR APPROVALS. A grantee has full responsibility for the conduct of the project or activity supported under an award and for adherence to the award conditions. To carry out responsibilities for monitoring project performance effectively and for adhering to grant terms and conditions, each grantee organization must agree to comply with the applicable Federal requirements for grants and cooperative agreements, and to manage all expenditures or actions affecting the grant prudently. Documentation for each expenditure or action affecting the grant must reflect appropriate institutional reviews or approvals, and should be made in advance of the action to ensure consistency with applicable regulations.
704. APPROVALS. To carry out project monitoring responsibilities that require FAA approvals, FAA officials have the following responsibilities:
a. Technical Monitor reviews requests for changes in project direction or management or for rebudgeting. Except where FAA approval must be issued by the Grants Officer (approval requirements contained throughout this chapter), the technical monitor furnishes FAA approval, or disapproval, in writing, to the principal investigator, with copies to the authorized organizational representative and the grants office.
b. Grants Officer. The Grants Officer approves, as indicated throughout this chapter, and coordinates the response with the technical monitor, and furnishes FAA decision to the authorized organizational representative, with copies to the technical monitor and the principal investigator.
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705. FAA-GRANTEE RELATIONSHIP. A grantee has full responsibility for the conduct of the project or activity supported under an award and for adherence to the award conditions. The grantee is in the best position to determine the means by which the activity or project can be performed most effectively. The relationship between the FAA, the grants office, and the grantee, through the principal investigator, is a partnership. Grantees are encouraged to seek advice and opinions on technical issues and problems that may arise. Such advice and opinion, when given by FAA, does not imply that the responsibility for the conduct of the project has shifted to FAA.
706.-719. RESERVED.
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SECTION 2. CHANGES IN PROJECT DIRECTION OR MANAGEMENT
720. GENERAL. OMB Circular A-110 contains criteria and procedures to be followed by Federal agencies for changes in project direction or management for all recipients of FAA grants. Grant recipients will adhere to the required procedures.
721. CHANGES IN OBJECTIVES, SCOPE, OR METHODOLOGY. OMB Circular A-110 requires changes from the original objective or scope and its cost impact be approved by the Grants Officer. Such changes should be proposed to the technical monitor by the principal investigator, in writing, and countersigned by the authorized organizational representative for approval by the Grants Officer. The principal investigator, operating within the established policies of the grantee organization, is free to pursue interesting and important leads that may arise during the conduct of the project to adopt an alternative approach that appears to be a more promising means of achieving the goals of the project. Any change in the conduct of the project affecting the probability of project completion is reported to the technical monitor.
722. CHANGES IN THE PRINCIPAL INVESTIGATOR OR LEVEL OF EFFORT.
a. The decision to support a proposal is based largely on the proposed principal investigator's knowledge, capability, and availability to direct the research of the subject grant at the grantee institution. When it is anticipated that the principal investigator is no longer able to direct the project, or the level of involvement of the principal investigator decreases to such a level that effective leadership is no longer possible, the cognizant technical monitor shall be informed immediately. Unless satisfactory alternative arrangements are made, these circumstances may be grounds for revocation of the grant award by FAA.
b. In the event that a grantee desires to continue the project with a substitute principal investigator, the grants office must be notified in writing of the substitute's name and qualifications. If approved by the Grants Officer, the grant will be amended. If not, grant termination will be initiated. Awards cannot be transferred from one institution to another. If the principal investigator wishes support for the research at another institution, he or she must submit a new proposal through the appropriate office of the new institution.
723. CONTRACTING OR TRANSFERRING THE PROJECT EFFORT. Excluding the purchase of commercially available supplies, materials, equipment, or general support services allowable under the grant, no significant part of the research or substantive effort under an FAA grant may be contracted or otherwise transferred to another organization, unless it was disclosed in the proposal submission or evidence of FAA prior approval appears in the grant instrument.
724.-729. RESERVED.
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SECTION 3. CHANGES IN THE GRANT BUDGET
730. GENERAL. OMB Circular A-110 contains criteria and procedures to be followed by Federal agencies in providing post-award changes in grants to academic and other organizations for any type of project. The criteria and procedures are similar to those prescribed by OMB Circular A-102 for grants to State and local governments. Grant recipients will adhere to the required procedures.
731. POLICY. The principal investigator, operating within the established policies of the grantee, is best qualified to determine the manner in which the grant or cooperative agreement funds may be used most effectively to accomplish the proposed research. FAA assumes no responsibility for overspent budgets. The investigator and the grantee institution are free to spend grant or cooperative agreement funds for the proposed research without strict adherence to individual allocations within total budgets, except as provided below:
a. Acquisition of property, costing in excess of $2,500 and not included in the approved proposed budget, requires the prior approval of the Grants Officer unless the item is a functional replacement of an item shown in the approved proposed budget.
b. Whenever the amount of Federal funds authorized by a grant is expected to exceed the requirements of the project, as outlined in the approved proposal, the principal investigator, with the approval of the grantee institution, notifies the grants office.
732. PROCEDURE. When a budget revision requires FAA approval, two copies of a request, signed by the principal investigator, are sent to the grants office with a copy to the technical monitor. The request should clearly state which budget items are to be revised and by what amounts and should explain the reasons for change.
733. COST SHARING AND MATCHING. Grantees are encouraged to participate in cost sharing and matching as prescribed in OMB Circular A-110.
734.-739. RESERVED.
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SECTION 4. SUSPENSION, TERMINATION, AND ENFORCEMENT
740. GENERAL. OMB Circular A-110 contains criteria and procedures to be followed by Federal agencies for the suspension and termination procedures for Federal grant awards. Grant recipients will adhere to the required procedures.
741. DEFINITIONS. The following terms have the indicated meanings:
a. Suspension is an action by FAA that temporarily withholds Federal support of a project pending corrective action by the grantee or a decision by FAA to terminate the grant.
b. Termination is the cancellation of a grant, in whole or in part, at any time prior to its expiration.
c. Enforcement is the action by FAA to ensure the grantee organization effectively carries out the terms and conditions of the grant award.
742. INTENT. It is the intent of FAA to establish and maintain mutually beneficial grant relationships. Suspension or termination of grants prior to the planned completion date is reserved for those few exceptional situations that cannot be handled any other way.
a. A grant may be suspended or terminated in whole, or in part, in any of the following situations:
(1) When FAA believes that the grantee has materially failed to comply with the terms and conditions of the grant award.
(2) When funding appropriations are not available and/or the results achieved do not warrant continued support under a continuing grant, the continuing grant may be terminated at the expiration of an increment of funding.
(3) For any reason by mutual agreement between FAA and the grantee upon the request of either party.
b. Action by FAA to suspend or terminate a grant is taken only after the grantee has been informed by FAA of a deficiency on its part and given an opportunity to correct it. FAA promptly notifies the recipient in writing of the determination and the reasons for termination or suspension, together with an effective date. The effective date shall provide for a 72-hour response period prior to the date, during which time the grantee may respond by telephone or in writing to the notice of intent to suspend or terminate.
c. No costs incurred during a suspension period or after the effective date of a termination are allowable. Exceptions are those costs which, in the opinion of FAA, the grantee could not reasonably avoid or eliminate, or which were otherwise authorized by the suspension or termination notice, provided such costs would otherwise be allowable under the terms of the grant and the appropriate Federal cost principles.
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d. Within 30 days of the termination date, the grantee must furnish a summary of progress under the grant and an itemized accounting of costs incurred prior to the termination date or pursuant to paragraph 742c. Final allowable costs under a termination settlement shall be in accordance with the terms of the grant, including this section, and the appropriate Federal cost principles, giving due consideration to the progress under the grant. In no event will total FAA payments under a terminated grant exceed the grant amount.
743. PROCEDURE.
a. When it is believed that a grantee has failed to comply with one or more of the terms and conditions of a grant, the Grants Officer advises the grantee in writing of the nature of the problem and that failure to correct the deficiency may result in suspension or termination of the grant. The grantee will be requested to respond in writing within 30 calendar days of the date of such letter, describing the action taken or the plan designed to correct the deficiency. Copies of such correspondence will be furnished to the principal investigator and to the technical monitor.
b. If a satisfactory response is not received within the above period, the Grants Officer may issue a notice immediately suspending authority to obligate grant funds further, in whole or in part. Notice of suspension is sent by certified mail, with a return receipt requested, to the authorized organizational representative, with a copy to the principal investigator. Within FAA, copies are furnished to ACT-122 and to the technical monitor. The notice sets forth the terms of the suspension and its effective date.
c. The suspension remains in effect for a maximum of 60 days to allow the grantee to take corrective action. In the event that the deficiency is not corrected to the satisfaction of FAA, the Grants Officer may issue a notice of termination, subsequent to review by legal counsel. The notice sets forth the reasons for the action and its effective date.
744. TERMINATION BY MUTUAL AGREEMENT. Circumstances may arise in which either FAA or the grantee wishes to terminate a project. If both parties agree that continuation of the project would not produce results commensurate with the further expenditure of funds, or for any other reason, the grant may be terminated by mutual agreement. The procedures are as follows:
a. If the grantee wishes to terminate the project, the authorized organizational representative should advise the Grants Officer in writing and send a copy to the technical monitor.
b. If FAA wishes to terminate the project, the Grants Officer advises the grantee's authorized organizational representative in writing and sends copies to the principal investigator and the technical monitor.
c. Within 30 days after receipt of request from either party for termination by mutual agreement, the other party will provide an appropriate written response.
d. Upon agreement by both parties, grant closeout procedures are initiated.
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745. MISCONDUCT. The Grant Recipient is primarily responsible for preventing, detecting, investigating, and correcting misconduct involving individual researchers or misconduct governing science and engineering research. When the institution fails to take corrective action, or in cases of misconduct charges that involve the institution, FAA will deal with the misconduct charge as appropriate.
746. ENFORCEMENT. OMB Circular A-110 outlines the following guidelines for enforcement of Federal grants awards.
a. Remedies for noncompliance. If a recipient materially fails to comply with the terms and conditions of an award, whether stated in a Federal statute, regulation, assurance, application, or notice of award, the Federal awarding agency may take one or more of the following actions, as appropriate in the circumstances.
(1) Temporarily withhold cash payments pending correction of the deficiency by the recipient or more severe enforcement action by the Federal awarding agency.
(2) Disallow (that is, deny both use of funds and any applicable matching credit for) all or part of the cost of the activity or action not in compliance.
(3) Wholly or partly suspend or terminate the current award.
(4) Withhold further awards for the project or program.
(5) Take other remedies that may be legally available.
b. Effects of suspension and termination. Costs of a recipient resulting from obligations incurred by the recipient during a suspension or after termination of an award are not allowable unless the awarding agency expressly authorizes them in the notice of suspension or termination or subsequently.
c. Relationship to debarment and suspension. The enforcement remedies identified in this section, including suspension and termination, do not preclude a recipient from being subject to debarment and suspension under Executive Orders 12549 and 12689 and 49 CFR part 29.
747.-749. RESERVED.
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SECTION 5. GRANT REPORTING REQUIREMENTS
750. GENERAL. OMB Circular A-110 and OMB Circular A-102 contain criteria and procedures to be followed by Federal agencies for reporting and closeout requirements including implementation of the financial and technical reporting requirements and closeout procedures. Grant recipients will adhere to the required procedures.
751. QUARTERLY DISBURSEMENT REPORTING. Within 15 days after the end of each calendar quarter, the grantee shall provide an updated Federal Cash Transactions Report, SF-272, to FAA. The report elements are in compliance with the uniform Federal standards applicable to financial reporting by grantees. An original and one copy of the completed form must be mailed to the FAA Technical Center accounting section. If information contained in the SF-272 is not adequate, the accounting section will require the grantee to complete an SF-269, Financial Status Report.
752. PROGRESS REPORTS. Principal investigators submit progress reports to the technical monitor and the grants office.
a. Contents of Progress Reports. Unless otherwise specified in the grant instrument, progress reports shall include:
(1) A summary of overall progress, including results obtained to date, and a comparison of actual accomplishments with proposed goals for the period.
(2) An indication of any current problems or favorable or unusual developments.
(3) A summary of work to be performed during the next budget period.
(4) Other information pertinent to the project being funded or as specified in the terms and conditions of the grant.
b. Timing of Progress Reports. Unless otherwise specified in the grant instrument, progress reports are submitted semiannually, with the final report due within 90 days after the expiration of the grant.
753. FINAL DISBURSEMENT REPORTING. Grantees are rquired to submit an SF-269 for purposes of final grant accountability not more than 90 days following the expiration of the grant. The final disbursement amount may not exceed the amount of the grant. When the final disbursements have been recorded by FAA, the grant will be closed financially.
754. FINAL PROJECT REPORT. Within 90 days following the expiration date of the grant, one copy of FAA Form 9550-5, Final Project Report, must be submitted to the technical monitor and one copy to the grants office. This form contains a summary of the completed project that will be used to answer inquiries by non-scientists as to the nature and significance of the research. The form also includes space to indicate the status of submission of the final technical information items for FAA program use.
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755. FINAL TECHNICAL INFORMATION ITEMS. As soon as they are available after completion of the project, the following technical items must be submitted for program management use:
a. Thesis abstract, if applicable.
b. Publication citations and article reprints.
c. Data on scientific collaborators.
d. Information on inventions, patents, licensing.
e. Technical description and results of the project.
f. Other materials required in the award instrument.
756. COMPLIANCE WITH REPORTING REQUIREMENTS. The FAA Technical Center accounting section monitors report submissions to ensure that the requirements for final disbursement information are fulfilled. The technical monitor is responsible for assuring that the final project reports on prior, expired awards have been submitted by principal investigators before new awards are made to those individuals.
757. GRANT CLOSEOUT. Grant closeout is the process by which FAA determines that all applicable administrative actions and all required work of the grant are complete. Grants are closed upon receipt of final disbursement information in the final project report, and after determination that any other administrative requirements in the grant instrument have been met. In the event a final audit has not been performed prior to the closeout of the grant, FAA reserves the right to recover appropriate amounts after fully considering the recommendations on disallowed costs resulting from the final audit.
758.-759. RESERVED.
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SECTION 6. RECORDS RETENTION AND AUDIT
760. GENERAL. OMB Circular A-110 and OMB Circular A-102 contain requirements to be followed by Federal agencies concerning retention and custodial requirements for grant records.
761. REQUIREMENTS.
a. Financial records, supporting documents, statistical records, and other records pertinent to a grant are retained by the grantee for a period of 3 years from submission of the Final Project Report except that:
(1) Records that relate to audits, appeals, litigation, or the settlement of claims arising out of the performance of the project are retained until such audits, appeals, litigation, or claims have been resolved.
(2) Records relating to projects subject to the project income provisions discussed in chapter 8 are retained for 3 years after the end of the grantee's fiscal year in which the grant letter requirements for reporting income expires.
b. Unless court action or audit proceedings have been initiated, the grantee may substitute microfilm copies of original records provided such microfilming is in compliance with the latest edition of FAA Order 1350.20, Micrographics/Electronic Image Management Program.
c. The Aviation Research Grants Officer and the Comptroller General of the United States, or any of their duly authorized representatives, shall have access to any pertinent books, documents, papers, and records of the grantee organization (and of the performing organization, if different) to make audits, examinations, excerpts, and transcripts. Further, any negotiated contract in excess of $10,000 made by the grantee shall include a provision to the effect that the grantee, FAA, the Comptroller General, or any of their duly authorized representatives, shall have access to pertinent records for similar purposes.
d. To avoid duplicate recordkeeping, FAA may make special arrangements with grantees to retain any records that are needed for joint use. FAA may request transfer to its custody records not needed by the grantee when it determines that the records possess long-term, retentive value. When the records are transferred to or maintained by FAA, the 3-year retention requirement is not applicable to the grantee. In the rare event that these provisions are exercised, FAA will negotiate a mutually agreeable arrangement with the grantee regarding reimbursement of costs.
762.-799. RESERVED.
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CHAPTER 8. OTHER CONSIDERATIONS
SECTION 1. ANTI-DISCRIMINATION STATUTES
800. GENERAL.
a. A number of statutes bar recipients of Federal financial assistance from excluding persons, because of their race, sex, color, or national origin, from participation in federally supported activities. These include Title VI of the Civil Rights Act of 1964 (barring discrimination on grounds of race, color, or national origin); Section 504 of the Rehabilitation Act (barring discrimination against the handicapped); and the Age Discrimination Act. Title IX of the Educational Amendments of 1972 bars sex discrimination in federally assisted education programs or activities. In addition to statutory prohibitions, Executive Order 11246 bars various types of discriminatory employment practices under grants for construction.
b. When a grant recipient receives an Equal Opportunity Complaint, a copy of the original complaint should be sent to the Office of Research and Technology Applications, which will retain a file copy and forward a copy to the cognizant Office of Civil Rights.
c. When a recipient of an FAA award receives an Equal Opportunity Complaint relative to Executive Order 11246, a copy of the original complaint should be sent to the U.S. Department of Labor, Office of Federal Contract Compliance Programs (OFCCP), and a copy sent to the Office of Research and Technology Applications.
801. CIVIL RIGHTS ACT OF 1964.
a. Background. Section 602 of the Civil Rights Act of 1964 (Public Law 88-352; 42 U.S.C. 2000d et seq.) provides that no person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity receiving Federal financial assistance, and requires that each Government agency that is empowered to extend such financial assistance issue rules or regulations implementing Title VI of the Act with respect to such programs or activities administered by the agency.
b. DOT Regulations. DOT regulations implementing Title VI of the Civil Rights Act are contained at 49 CFR Part 21. These regulations are also applicable to any subrecipients such as subgrantees, contractors and subcontractors of a grantee, and successors in interest, other than subrecipients for commercially available supplies, materials, equipment, or general support services. The regulations require that as a condition of approval of an application for assistance, the applicant must execute the Assurance of Compliance form, whether or not a similar assurance form has been filed with another Federal agency.
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c. Assurance of Compliance. Copies of the Assurance of Compliance form are available from the Office of Research and Technology Applications. The signed original should be mailed to the grants office. Once a properly executed form has been filed with FAA, it will cover all future applications to FAA. Acceptance of a subsequent grant constitutes affirmation that the Assurance of Compliance will be fully applicable to the grant.
d. Civil Rights Assurance--Subrecipients. Before any organization serves as a subrecipient on the grant (for other than the provision of commercially available supplies, materials, equipment, or general support services), it must first file an Assurance of Compliance form with either the grantee or FAA.
e. Grant Provisions. Each grant contains, as part of the standard grant conditions, an article implementing Title VI.
802. REHABILITATION ACT of 1973.
a. Background. Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794) provides that "no otherwise qualified handicapped individual in the United States...shall, solely by reason of his handicap, be excluded from the participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance."
b. DOT Regulations. DOT regulations implementing Section 504 are found at 49 CFR
Part 27. Relevant regulations implementing Section 504 are found at 14 CFR Part 382. These regulations also apply to subrecipients such as subgrantees, contractors and subcontractors of a grantee, and successors in interest (other than subrecipients for the provision of commercially available supplies, materials, equipment, or general support services).
c. Assurance of Compliance. In lieu of requiring the submission of a separate handicap assurance or certification, either on a one-time basis or repeatedly with the submission of each proposal, as determined by the Grants Officer, each grant will contain an express assurance statement requiring the grantee to fulfill its handicap obligations under FAA rules.
d. Rehabilitation Assurance--Subrecipients. In lieu of requiring grantees to obtain separate assurances or certifications from subgrantees (subrecipients) receiving financial assistance under the grant, grantees will include in all agreements with subrecipients (for other than the provision of commercially available supplies, materials, equipment, or general support services), a handicap assurance statement comparable to that included in grants.
e. Grant Conditions. Each grant, as part of the standard grant conditions, shall implement Section 504 of The Rehabilitation Act of 1973 and the associated FAA regulations. The assurance requirement of those conditions will be satisfied as indicated in paragraphs 802c and 802d.
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803. TITLE IX--SEX DISCRIMINATION. Subject to certain exceptions regarding admission
policies at certain religious and military institutions, Title IX of the Education Amendments of 1972
(20 U.S.C. 1681-1686) prohibits the exclusion of persons on the basis of sex from any education program or activity receiving Federal financial assistance. Neither DOT nor FAA have issued any rules or regulations further implementing these statutory provisions with respect to its programs. FAA interprets the statute as applying to grants under its various science and engineering education programs, but not to grants under non-education programs such as grants for scientific and engineering research. All grantees under science and engineering education programs are expected to comply with Title IX.