[Federal Register: October 1, 2001 (Volume 66, Number 190)]
[Notices]
[Page 49917-49922]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr01oc01-39]
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DEPARTMENT OF COMMERCE
[Docket No. 010925133-1233-01]
Department of Commerce Pre-Award Notification Requirements for
Grants and Cooperative Agreements
AGENCY: Department of Commerce (DoC).
ACTION: Notice.
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SUMMARY: The Department of Commerce (DoC) announces Department-wide
requirements which pertain to information provided to applicants for
funding under grants and cooperative agreements awarded by the DoC.
DATES: These provisions are effective October 1, 2001.
FOR FURTHER INFORMATION CONTACT: Elizabeth Dorfman, Office of Executive
Assistance Management, Telephone Number--202-482-4115.
SUPPLEMENTARY INFORMATION: The DoC is authorized to award grants and
cooperative agreements under a wide range of programs that support
economic development; international trade; minority businesses;
standards and technology; oceanic/atmospheric services; and
telecommunications and information.
It is the policy of DoC to seek full and open competition for award
of discretionary financial assistance funds. Moreover, DoC financial
assistance must be awarded through a merit-based review and selection
process whenever possible. An annual notice announcing the availability
of Federal funds for each DoC competitive financial assistance program
with funds available for new awards will be published in the Federal
Register by the sponsoring operating unit. The announcement will
reference or include the DoC Pre-Award Notification Requirements
identified in Sections A and B of this notice and will include program-
specific information as identified in Section C of this notice.
This announcement provides notice of the DoC Pre-Award Notification
Requirements which apply to all DoC sponsored grant and cooperative
agreement programs and may supplement those program announcements which
make reference to this notice. Some of the DoC general provisions
published herein contain, by reference or substance, a summary of the
pertinent statutes or regulations published in the U.S. Code (U.S.C.),
Federal Register, Code of Federal Regulations (CFR), Executive Orders,
OMB Circulars (circulars), or Assurances (Forms SF-424B, 424D). To the
extent that it is a summary, such provision is not in derogation of, or
an amendment to, any such statute, regulation, Executive Order,
circulars, or Forms SF-424B and SF-424D.
Each individual award notice will complete and include an analysis
of the requirements in Executive Order 12866, Executive Order 13132,
the Administrative Procedure Act, the Regulatory Flexibility Act, and
the Paperwork Reduction Act, as applicable.
Pre-Award Notification Requirements
A. The following pre-award notice provisions will apply to all
applicants for and recipients of DoC grants and cooperative agreements:
1. Federal Policies and Procedures. Applicants, recipients and
subrecipients are subject to all Federal laws and Federal and DoC
policies, regulations, and procedures applicable to Federal financial
assistance. The DoC specific regulations and forms, including the DoC
Financial Assistance Standard Terms and Conditions, as well as OMB
forms and circulars can be accessed on the Internet through links on
the DoC Grants Management Web site at http://www.doc.gov/oebam/
grants.htm.
2. Debarment, Suspension, Drug-Free Workplace, and Lobbying
Provisions. All applicants must comply with the requirements of 15 CFR
part 26, ``Governmentwide Debarment and Suspension (Nonprocurement) and
Governmentwide Requirements for Drug-Free Workplace (Grants)'' and 15
CFR part 28, ``New Restrictions on Lobbying,'' including the submission
of required forms and obtaining certifications from lower tier
applicants/bidders.
3. Pre-Award Screening of Applicant's and Recipient's Management
Capabilities, Financial Condition, and Present Responsibility. It is
the policy of DoC to make awards to applicants and recipients who are
competently managed, responsible, financially capable and committed to
achieving the objectives of the award(s) they receive.
[[Page 49918]]
Therefore, pre-award screening may include, but is not limited to, the
following reviews:
(a) Past Performance. Unsatisfactory performance under prior
Federal awards may result in an application not being considered for
funding.
(b) Credit Checks. A credit check will be performed on individuals,
for-profit, and non-profit organizations.
(c) Delinquent Federal Debts. No award of Federal funds shall be
made to an applicant who has an outstanding delinquent Federal debt
until:
(1) The delinquent account is paid in full,
(2) A negotiated repayment schedule is established and at least one
payment is received, or
(3) Other arrangements satisfactory to DoC are made.
(d) Name Check Review. Non-profit and for-profit applicants are
subject to a name check review process, unless an exemption has been
provided by the DoC Office of Inspector General (OIG). Name checks are
intended to reveal if any key individuals associated with the applicant
have been convicted of or are presently facing criminal charges (e.g.,
fraud, theft, perjury), or other matters which significantly reflect on
the applicant's management honesty or financial integrity. Officials of
state and local governments, economic development districts, and
officials of accredited colleges and universities who are acting on
behalf of their respective entities in applying for assistance are
exempt from the name check requirement. If any of the conditions listed
below in paragraphs (1), (2), or (3) occur, DoC reserves the right to
take one or more of the following actions: consider suspension/
termination of an award immediately for cause; require the removal of
any key individual from association with management of and/or
implementation of the award; and make appropriate provisions or
revisions with respect to the method of payment and/or financial
reporting requirements:
(1) A key individual fails to submit the required Form CD-346,
Applicant for Funding Assistance;
(2) A key individual makes an incorrect statement or omits a
material fact on the Form CD-346; or
(3) The name check reveals significant adverse findings that
reflect on the business integrity or responsibility of the recipient
and/or key individual.
(e) List of Parties Excluded from Procurement and Nonprocurement
Programs. The list maintained by GSA of parties excluded from Federal
procurement and nonprocurement programs will be checked to assure that
an applicant is not debarred or suspended on a government-wide basis
from receiving financial assistance.
(f) Pre-Award Accounting System Surveys. The Grants Office, in
cooperation with the OIG, may arrange for a pre-award survey of the
applicant's financial management system in cases where the recommended
applicant has had no prior Federal support, the operating unit has
reason to question whether the financial management system meets
Federal financial management standards, or the applicant is being
considered for a high-risk designation.
4. No Obligation for Future Funding. If an application is selected
for funding, DoC has no obligation to provide any additional future
funding in connection with that award. Amendment of an award to
increase funding or to extend the period of performance is at the total
discretion of DoC.
5. Pre-Award Activities. If applicants incur any costs prior to an
award being made, they do so solely at their own risk of not being
reimbursed by the Government. Notwithstanding any verbal or written
assurance that may have been received, there is no obligation on the
part of DoC to cover preaward costs unless approved by the Grants
Officer as part of the terms when the award is made.
6. Freedom of Information Act (FOIA) Disclosure. The FOIA, 5 U.S.C.
552 and implementing DoC regulations at 15 CFR Part 4, set forth DoC's
rules to make requested material, information, and records publicly
available. Unless prohibited by law and to the extent required under
the FOIA, contents of applications and proposals submitted by
applicants may be released in response to FOIA requests.
7. False Statements. A false statement on an application is grounds
for denial or termination of an award and grounds for possible
punishment by a fine or imprisonment as provided in 18 U.S.C. 1001.
8. Application Forms. Unless the individual programs specify
differently in their annual notice of availability of funding or in
other appropriate publications, the following forms and certifications
will be used in applying for DoC grants and cooperative agreements:
Standard Forms 424, Application for Federal Assistance; SF-424A, Budget
Information--Non-Construction Programs; SF-424B, Assurances--Non-
Construction Programs; SF-424C, Budget Information--Construction
Programs; SF-424D, Assurances--Construction Programs; as well as the
Form CD-346, Applicant for Funding Assistance, as appropriate, shall be
used in applying for financial assistance. In addition, Forms CD-511,
Certifications Regarding Debarment, Suspension and Other Responsibility
Matters; Drug-Free Workplace Requirements and Lobbying; CD-512,
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion-Lower Tier Covered Transactions and Lobbying; and
SF-LLL, Disclosure of Lobbying Activities, will be used as appropriate.
B. The following general provisions will apply to all DoC grant and
cooperative agreement awards:
1. Administrative Requirements and Cost Principles. The uniform
administrative requirements for all DoC grants and cooperative
agreements are codified at 15 CFR part 14, ``Uniform Administrative
Requirements for Grants and Agreements with Institutions of Higher
Education, Hospitals, Other Non-Profit, and Commercial Organizations;''
and 15 CFR part 24, ``Uniform Administrative Requirements for Grants
and Agreements to State and Local Governments.'' The following is a
list of cost principles most often used by DoC in grants and
cooperative agreements: OMB Circular A-21, ``Cost Principles for
Educational Institutions;'' OMB Circular A-87, ``Cost Principles for
State, Local and Indian Tribal Governments;'' OMB Circular A-122,
``Cost Principles for Nonprofit Organizations;'' and Federal
Acquisition Regulation Subpart 31.2, ``Contracts with Commercial
Organizations,'' codified at 48 CFR 31.2. Applicable administrative
requirements and cost principles are identified in each award and are
incorporated into the award by reference.
2. Award Payments. Advances will be limited to the minimum amounts
necessary to meet immediate disbursement needs. Advanced funds not
disbursed in a timely manner must be promptly returned to DoC. When the
Standard Form 270 is used to request payment, advances will be approved
for periods not to exceed 30 days. DoC may begin using the Department
of Treasury's Automated Standard Application for Payment (ASAP) system.
Awards that will be paid using the ASAP system will contain a special
award condition, clause, or provision. In order to receive payments
under ASAP, recipients will be required to register with the Department
of Treasury and indicate whether or not they will use the on-line or
voice response method of withdrawing funds from their ASAP established
accounts.
3. Federal and Non-Federal Sharing.
(a) Awards which include Federal and non-Federal sharing will
incorporate an estimated budget consisting of shared
[[Page 49919]]
allowable costs. If actual allowable costs are less than the total
approved estimated budget, the Federal and non-Federal cost share ratio
will be calculated as a percentage of Federal and non-Federal approved
amounts. If actual allowable costs are greater than the total approved
estimated budget, the Federal share will not exceed the total Federal
dollar amount of the award.
(b) The non-Federal share, whether in cash or in-kind, will be
expected to be paid out at the same general rate as the Federal share.
Exceptions to this requirement may be granted by the Grants Officer
based on sufficient documentation demonstrating previously determined
plans for or later commitment of cash or in-kind contributions. In any
case, recipients must meet the cost share commitment over the life of
the award.
4. Budget Changes. When the terms of an award allow the recipient
to transfer funds among approved direct cost categories, the transfer
authority does not authorize the recipient to create new budget
categories within an approved budget unless the Grants Officer has
provided prior approval. In addition, the recipient will not be
authorized at any time to transfer amounts budgeted for direct costs to
the indirect costs line item or vice versa, without written prior
approval of the Grants Officer.
5. Indirect Costs.
(a) Indirect costs will not be allowable charges against an award
unless specifically included as a line item in the approved budget
incorporated into the award. (The term ``indirect cost'' has been
replaced with the term ``facilities and administrative costs'' under
OMB Circular A-21, ``Cost Principles for Educational Institutions.'')
(b) Excess indirect costs may not be used to offset unallowable
direct costs.
(c) If the recipient has not previously established an indirect
cost rate with a Federal agency, the negotiation and approval of a rate
will be subject to the procedures in the applicable cost principles and
the following subparagraphs:
(1) The OIG is authorized to review cost allocation procedures and
negotiate indirect cost rates on behalf of DoC for those organizations
for which DoC is cognizant or has oversight. The OIG either will
negotiate a fixed rate for the recipient or, in some instances, will
limit its review to evaluating the procedures described in the
recipient's cost allocation methodology plan. The recipient must submit
to the OIG within 90 days of the award start date, documentation
(indirect cost proposal, cost allocation plan, etc.) necessary for the
OIG to perform its review. The recipient must provide the Grants
Officer with a copy of the transmittal letter to the OIG.
(2) When an oversight or cognizant Federal agency other than DoC
has responsibility for establishing an indirect cost rate, the
recipient must submit to that oversight or cognizant Federal agency
within 90 days of the award start date the documentation (indirect cost
proposal, cost allocation plan, etc.) necessary to establish such
rates. The recipient must provide the Grants Officer with a copy of the
transmittal letter to the cognizant Federal agency.
(3) If the recipient fails to submit the required documentation to
the OIG or other oversight or cognizant Federal agency within 90 days
of the award start date, the recipient may be precluded from recovering
any indirect costs under the award. If the DoC OIG, oversight, or
cognizant Federal agency determines there is a finding of good and
sufficient cause to excuse the recipient's delay in submitting the
documentation, an extension of the 90-day due date may be approved by
the Grants Officer.
(4) Regardless of any approved indirect cost rate applicable to the
award, the maximum dollar amount of allocable indirect costs for which
DoC will reimburse the recipient shall be the lesser of the line item
amount for the Federal share of indirect costs contained in the
approved budget of the award, or the Federal share of the total
allocable indirect costs of the award based on the indirect cost rate
approved by an oversight or cognizant Federal agency and current at the
time the cost was incurred, provided the rate is approved on or before
the award end date.
6. Tax Refunds. Refunds of FICA/FUTA taxes received by a recipient
during or after an award period must be refunded or credited to DoC
where the benefits were financed with Federal funds under the award.
Recipients must agree to contact the Grants Officer immediately upon
receipt of these refunds. Recipients must further agree to refund
portions of FICA/FUTA taxes determined to belong to the Federal
Government, including refunds received after the award end date.
7. Other Federal Awards with Similar Programmatic Activities.
Recipients will be required to provide written notification to the
Federal Program Officer and the Grants Officer in the event that,
subsequent to receipt of the DoC award, other financial assistance is
received to support or fund any portion of the scope of work
incorporated into the DoC award. DoC will not pay for costs that are
funded by other sources.
8. Non-Compliance With Award Provisions. Failure to comply with any
or all of the provisions of an award may have a negative impact on
future funding by DoC and may be considered grounds for any or all of
the following actions: establishment of an account receivable,
withholding payments under any DoC awards to the recipient, changing
the method of payment from advance to reimbursement only, or the
imposition of other special award conditions, suspension of any DoC
active awards, and termination of any DoC active awards.
9. Prohibition Against Assignment by the Recipient. Notwithstanding
any other provision of an award, recipients may not transfer, pledge,
mortgage, or otherwise assign an award, or any interest therein, or any
claim arising thereunder, to any party or parties, banks, trust
companies, or other financing or financial institutions.
10. Non-Discrimination Requirements. No person in the United States
shall, on the ground of race, color, national origin, handicap,
religion, age, or sex, be excluded from participation in, be denied the
benefits of, or be subject to discrimination under any program or
activity receiving financial assistance from DoC.
11. Audits of For-Profit Recipients. In accordance with 15 CFR
14.26 (c) and (d), for-profit hospitals, commercial, and other
organizations not covered by the audit provisions of OMB Circular A-133
shall be subject to the audit requirements as stipulated in the award
or sub-award document. For-profit recipients of awards exceeding
$100,000 in Federal funding must have a program-specific audit
performed. The DoC award may include a line item in the budget for the
cost of the audit. If DoC does not have a program-specific audit guide
available for the program, the auditor should follow Generally Accepted
Government Auditing Standards and the requirements for a program-
specific audit as described in OMB Circular A-133 section 235.
12. Policies and Procedures for Resolution of Audit-Related Debts.
DoC has established policies and procedures for handling the resolution
and reconsideration of financial assistance audits which have resulted
in, or may result in, the establishment of a debt (account receivable)
for financial assistance awards. These policies and procedures are
contained in the Federal Register notice dated January 27, 1989. See 54
FR 4053. The policies and procedures are also provided in more detail
in the Department of Commerce Financial Assistance Standard Terms and
Conditions.
[[Page 49920]]
13. Debts. Any debts determined to be owed the Federal Government
shall be paid promptly by the recipient. In accordance with 15 CFR
21.4, a debt will be considered delinquent if it is not paid within 15
days of the due date, or if there is no due date, within 30 days of the
billing date. Failure to pay a debt by the due date, or if there is no
due date, within 30 days of the billing date, shall result in the
imposition of late payment charges. In addition, failure to pay the
debt or establish a repayment agreement by the due date, or if there is
no due date, within 30 days of the billing date, will also result in
the referral of the debt for collection action and may result in DoC
taking further action as specified in the terms of the award. Funds for
payment of a debt must not come from other Federally sponsored
programs. Verification that other Federal funds have not been used will
be made, e.g., during on-site visits and audits.
14. Post-Award Discovery of Adverse Information. After an award is
made, if adverse information on a recipient or any key individual
associated with a recipient is discovered which reflects significantly
and adversely on the recipient's responsibility, the Grants Officer may
take the following actions:
(a) Require the recipient to correct the conditions.
(b) Consider the recipient to be ``high risk'' and unilaterally
impose special award conditions to protect the Federal Government's
interest.
(c) Suspend or terminate an active award. The recipient will be
afforded adequate due process while effecting such actions.
(d) Require the removal of personnel from association with the
management of and/or implementation of the project and require Grants
Officer approval of personnel replacements.
15. Competition and Codes of Conduct.
(a) Pursuant to the certification in SF-424B, Paragraph 3,
recipients must maintain written standards of conduct to establish
safeguards to prohibit employees from using their positions for a
purpose that constitutes or presents the appearance of a personal or
organizational conflict of interest, or personal gain in the
administration of this award and any subawards.
(b) Recipients must maintain written standards of conduct governing
the performance of their employees engaged in the award and
administration of subawards. No employee, officer, or agent shall
participate in the selection, award, or administration of a subaward
supported by Federal funds if a real or apparent conflict of interest
is or would be involved. Such a conflict would arise when the employee,
officer, or agent, any member of his or her immediate family, his or
her partner, or an organization in which he/she serves as an officer or
which employs or is about to employ any of the parties mentioned in
this section, has a financial or other interest in the organization
selected or to be selected for a subaward. The officers, employees, and
agents of the recipient may not solicit or accept anything of monetary
value from subrecipients. However, recipients may set standards for
situations in which the financial interest is not substantial or the
gift is an unsolicited item of nominal value. The standards of conduct
must provide for disciplinary actions to be applied for violations of
such standards by officers, employees, or agents of a recipient.
(c) All subawards will be made in a manner to provide, to the
maximum extent practicable, open and free competition. Recipients must
be alert to organizational conflicts of interest as well as other
practices among subrecipients that may restrict or eliminate
competition. In order to ensure objective subrecipient performance and
eliminate unfair competitive advantage, subrecipients that develop or
draft work requirements, statements of work, or requests for proposals
will be excluded from competing for such subawards.
(d) For purposes of this award, a financial interest may include
employment, stock ownership, a creditor or debtor relationship, or
prospective employment with an applicant. An appearance of impairment
of objectivity could result from an organizational conflict where,
because of other activities or relationships with other persons or
entities, a person is unable or potentially unable to act in an
impartial manner. It could also result from non-financial gain to the
individual, such as benefit to reputation or prestige in a professional
field.
16. Minority Owned Business Enterprise. DoC encourages recipients
to utilize minority and women-owned firms and enterprises in contracts
under financial assistance awards. The Minority Business Development
Agency can assist recipients in matching qualified minority owned
enterprises with contract opportunities.
17. Subaward and/or Contract to a Federal Agency. Recipients,
subrecipients, contractors, and/or subcontractors may not sub-grant or
sub-contract any part of an approved project to any Federal department,
agency, instrumentality, or employee thereof, without the prior written
approval of the Grants Officer.
18. Foreign Travel. Recipients must comply with the provisions of
the Fly America Act, 49 U.S.C. 40118. The Fly America Act requires that
Federal travelers and others performing U.S. Government-financed
foreign air travel must use U.S. flag carriers, to the extent that
service by such carriers is available. Foreign air carriers may be used
only in specific instances, such as when a U.S. flag air carrier is
unavailable, or use of U.S. flag carrier service will not accomplish
the agency's mission. The implementing Federal Travel Regulations are
found at 41 CFR 301-10.131 through 301-10.143.
19. Purchase of American-Made Equipment and Products. Recipients
are hereby notified that they are encouraged, to the greatest extent
practicable, to purchase American-made equipment and products with
funding provided under DoC financial assistance awards.
20. Intellectual Property Rights.
(a) Inventions. The rights to any invention made by a recipient
under a DoC financial assistance award are determined by the Bayh-Dole
Act, Public Law 96-517, as amended, and codified in 35 U.S.C. 200 et
seq., except as otherwise required by law. The specific rights and
responsibilities are described in more detail in 37 CFR Part 401 and in
particular, in the standard patent rights clause in 37 CFR 401.14.
(b) Patent Notification Procedures. Pursuant to EO 12889, DoC is
required to notify the owner of any valid patent covering technology
whenever the DoC or its financial assistance recipients, without making
a patent search, knows (or has demonstrable reasonable grounds to know)
that technology covered by a valid United States patent has been or
will be used without a license from the owner. To ensure proper
notification, if the recipient uses or has used patented technology
under this award without a license or permission from the owner, the
recipient must notify the DoC Patent Counsel and Grants Officer.
(c) Data, Databases, and Software. The rights to any work produced
or purchased under a DoC Federal financial assistance award are
determined by 15 CFR 24.34 and 15 CFR 14.36. Such works may include
data, databases or software. The recipient owns any work produced or
purchased under a DoC Federal financial assistance award subject to
DoC's right to obtain, reproduce, publish or otherwise use the work or
authorize others to receive, reproduce, publish or otherwise use the
data for Government purposes.
[[Page 49921]]
(d) Copyright. The recipient may copyright any work produced under
a DoC Federal financial assistance award subject to DoC's royalty-free
nonexclusive and irrevocable right to reproduce, publish or otherwise
use the work or authorize others to do so for Government purposes.
Works jointly authored by DoC and recipient employees may be
copyrighted but only the part authored by the recipient is protected
because, under 17 U.S.C. 105, works produced by Government employees
are not copyrightable in the United States. If the contributions of the
authors cannot be separated, the copyright status of the joint work is
questionable. On occasion, DoC may ask the recipient to transfer to DoC
its copyright in a particular work when DoC is undertaking the primary
dissemination of the work. Ownership of copyright by the Government
through assignment is permitted by 17 U.S.C. 105.
21. Seat Belt Use. Pursuant to EO 13043, recipients should
encourage employees and contractors to enforce on-the-job seat belt
policies and programs when operating recipient/company-owned, rented or
personally owned vehicles.
22. Research Involving Human Subjects. All proposed research
involving human subjects must be conducted in accordance with 15 CFR
part 27, ``Protection of Human Subject.'' No research involving human
subjects is permitted under any DoC financial assistance award unless
expressly authorized by the Grants Officer.
23. Federal Employee Expenses. Federal agencies are generally
barred from accepting funds from a recipient to pay transportation,
travel, or other expenses for any Federal employee unless specifically
approved in the terms of the award. Use of award funds (Federal or non-
Federal) or the recipient's provision of in-kind goods or services for
the purposes of transportation, travel, or any other expenses for any
Federal employee, may raise appropriation augmentation issues. In
addition, DoC policy prohibits the acceptance of gifts, including
travel payments for Federal employees, from recipients or applicants
regardless of the source.
24. Preservation of Open Competition and Government Neutrality
Towards Government Contractors' Labor Relations on Federal and
Federally Funded Construction Projects. Pursuant to Executive Order
13202, ``Preservation of Open Competition and Government Neutrality
Towards Government Contractors' Labor Relations on Federal and
Federally Funded Construction Projects,'' unless the project is
exempted under section 5(c) of the order, bid specifications, project
agreements, or other controlling documents for construction contracts
awarded by recipients of grants or cooperative agreements, or those of
any construction manager acting on their behalf, shall not: (1) include
any requirement or prohibition on bidders, offerors, contractors, or
subcontractors about entering into or adhering to agreements with one
or more labor organizations on the same or related construction
project(s); or (2) otherwise discriminate against bidders, offerors,
contractors, or subcontractors for becoming or refusing to become or
remain signatories or otherwise to adhere to agreements with one or
more labor organizations, on the same or other related construction
project(s).
25. Minority Serving Institutions (MSIs) Initiative. Pursuant to
Executive Orders 12876, 12900, and 13021, DoC is strongly committed to
broadening the participation of MSIs in its financial assistance
programs. DoC goals include achieving full participation of MSIs in
order to advance the development of human potential, strengthen the
Nation's capacity to provide high-quality education, and increase
opportunities for MSIs to participate in and benefit from Federal
financial assistance programs. DoC encourages all applicants and
recipients to include meaningful participation of MSIs. Institutions
eligible to be considered MSIs are listed on the Department of
Education Web site at http://www.ed.gov/offices/OCR/minorityinst.html.
26. Access to Records. The Inspector General of the DoC, or any of
his or her duly authorized representatives, shall have access to any
pertinent books, documents, papers and records of the parties to a
grant or cooperative agreement, whether written, printed, recorded,
produced, or reproduced by any electronic, mechanical, magnetic or
other process or medium, in order to make audits, inspections,
excerpts, transcripts, or other examinations as authorized by law. An
audit of an award may be conducted at any time. Recipients that are
subject to OMB Circular A-133, ``Audits of States, Local Governments,
and Non-Profit Organizations,'' and that expend $300,000 or more
annually in Federal awards shall have an organization-wide audit
performed, unless a program-specific audit is determined by DoC to be
more appropriate. Other recipients will be subject to the audit
requirements as stipulated in the award or subaward document.
C. The annual notices announcing the availability of Federal funds
for each DoC competitive financial assistance program will generally
contain the following program-specific information: Program Authority;
Catalog of Federal Domestic Assistance (CFDA) Number and Title; Program
Description; Funding Availability; Matching Requirements; Type of
Funding Instrument (grant or cooperative agreement); Eligibility
Criteria; Award Period; Evaluation Criteria; Project Funding
Priorities; Selection Procedures; Applicability of Executive Order
12372; Identification of any Non-Standard Forms Used in the Application
Package; Citation(s) to the Regulation and/or Department-Wide Notice
Where Required Information Can Be Found If Not Included in the
Solicitation; Disposition of Unsuccessful Applications; and Program-
Specific Requirements. Also included should be notice of any program-
specific requirements, such as environmental compliance provisions for
construction projects and policies on human subjects, patents, care and
use of laboratory animals, and biosafety measures, as applicable, for
research awards.
Classification
Executive Order 12866
This notice has been determined to be ``not significant'' for
purposes of Executive Order 12866, ``Regulatory Planning and Review.''
Administrative Procedure Act and Regulatory Flexibility Act
Because notice and comment are not required under 5 U.S.C. 553, or
any other law, for this notice relating to public property, loans,
grants benefits or contracts (5 U.S.C. 553(a)), a Regulatory
Flexibility Analysis is not required and has not been prepared for this
notice.
Executive Order 13132 (Federalism)
It has been determined that this notice does not contain policies
with Federalism implications as that term is defined in Executive Order
13132.
Paperwork Reduction Act
These regulatory actions do not impose any new reporting or
recordkeeping requirements under the Paperwork Reduction Act.
Notwithstanding any other provisions of the law, no person is required
to respond to, nor shall any person be subject to a penalty for failure
to comply with a collection-of-information, subject to the requirements
of the Paperwork Reduction Act (PRA), 44 U.S.C. 3501 et seq., unless
that collection of information displays a currently valid
[[Page 49922]]
Office of Management and Budget (OMB) control number. Forms SF-424, SF-
424A, SF-424B, SF-424C, SF-424D, SF-LLL, and CD-346, have been approved
under control numbers 0348-0043, 0348-0044, 0348-0040, 0348-0041,
0348,0042, 0348-0046, and 0605-0001, respectively.
Catalog of Federal Domestic Assistance
This notice affects all of the grant and cooperative agreement
programs funded by DoC. The Catalog of Federal Domestic Assistance can
be accessed on the Internet under the DoC Grants Management Web site at
http://www.cfda.gov.
List of Subjects
Accounting, Administrative practice and procedures, Grants
administration, Grant programs-economic development, Grant programs-
oceans, atmosphere and fisheries management, Grant programs-minority
businesses, Grant programs-technology, Grant programs-
telecommunications, Grant programs-international, Reporting and
recordkeeping requirements.
Issued this 26th day of September, 2001, at Washington, DC.
Robert F. Kugelman,
Director, Office of Executive Budgeting and Assistance Management.
[FR Doc. 01-24515 Filed 9-28-01; 8:45 am]
BILLING CODE 3510-FA-P