Research Administration Office

University of California

Memo Operating Guidance

No. 89-13

April 19, 1989

Subject: Acknowledgment of Federal Funds

1. Stevens Amendment

The Department of Defense Appropriation Act for 1989 includes a new provision known as the Stevens Amendment which will have government-wide application. The provision requires that when issuing statements, press releases, requests for proposals, bid solicitations and other documents describing projects or programs funded in whole or in part with Federal money, grantees shall clearly state:

1) the total cost of the program, and

2) the dollar amount of Federal funds for the project or program.

2. Reason for the Stevens Amendment

The amendment was introduced because Senator Stevens got tired of hearing State and Local officials take credit for projects funded at least in part by the Federal government. The amendment is intended to give credit where credit is due. The Senator's office emphasized that it is not intended to be burdensome.

3. OMB Implementation

The official OMB language, see enclosed, has been repeated by several agencies without further guidance. Based on this text we understand that the requirement covers only grants.

4. UC Restatement of Stevens Amendment

The Stevens Amendment and the implementing language by OMB requires interpretation prior to implementation in UC. This Memo provides guidance.

The Stevens Amendment's purpose is restated as follows: From now to September 30, 1989, university communications to the general public which describe projects or programs themselves and which are funded in whole or in part with Federal grant money should credit the Federal government for the Federal government's portion of the financial support.

5. Which Incoming Federal Awards are Covered

Regarding incoming awards from Federal Agencies to the University, the Stevens Amendment applies to assistance awards (grants and cooperative agreements) and not to acquisition awards (contracts). The amendment covers all new, continuation or renewal grants funded in whole or in part with Federal money. However, this provision is effective only for the current fiscal year and will expire on October 1, 1989 unless specifically reintroduced by Congress for subsequent years.

6. Impact on UC

Within the University, the amendment will affect purchasing officers, legislative liaison staff and public information offices and Contracts and Grants officers. The requirement covers academic and administrative types of documents.

a. Purchasing

Regarding UC subawards (procurements) under Federal grants and cooperative agreements, the Stevens Amendment is not applicable to subcontracts under Federal contracts, but could in rare cases be applicable to subawards under grants and cooperative agreements.

Normally subagreement actions (subgrants or contracts under grants) contain specifications describing goods required or a statement of work which focuses on the work but does not describe the program or project. Normally, contracts are listed on a local bid board or sent to a mailing list of known suppliers but are not advertised or published in newspaper or other general circulation media to the general public. A substantial volume of low value transactions are conducted without a written solicitation.

Therefore, the procurement guidance is that the Stevens Amendment does not apply to procurements under grants or cooperative agreements unless (1) there is a written solicitation (excludes oral solicitation); which (2) describes the project or program for which the procurement is being made (in addition to the goods or services being procured); and which is (3) advertised to the general public through public media (excluding local bid boards, suppliers lists, and internal University communications).

b. Public Information and Legislative Liaison

Where UC public information offices, legislative liaison staff or Academic Departments develop press releases for the external media or speeches by University officials to public groups which reference projects or programs, e.g. large research centers, or major new awards e.g. over $1 million funded by Federal grants (not contracts) or programs which have developed over the years because of Federal funding, a credit should be included. Internal University communications or publications do not have to include a credit unless the campus would do so as a matter of course.

c. Academic

Academic publications (peer reviewed journals, presentations to professional groups) which focus on results of research do not have to include a credit because of the Stevens Amendment. Credit obligations should follow the policy and terms as specified by the Federal Agency regulations or grants and cooperative agreements, or follow the normal campus practice.

7. Guiding Principle

Questions about particular cases may be clarified by reviewing the objective of Senator Stevens - giving the Federal government public credit when there is a communication to the public about the program or project.

David F. Mears

University Contracts and Grants Coordinator

Enclosure

cc:

Special Assistant J.D. Shaw

Director R.R. Kolb

Campus Legis. Liaison Staff

Refer: Kate Phillips

ATSS 8-582-1638

(415) 642-1638

Subject Index: 02

Organization Index: F-005, U-115