Department of Commerce Pre-Award Notification Requirements for Grants and Cooperative Agreements, 7696-7705 [E8-2482]

Agencies

• DEPARTMENT OF COMMERCE

[Federal Register Volume 73, Number 28 (Monday, February 11, 2008)]
[Notices]
[Pages 7696-7705]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-2482]


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DEPARTMENT OF COMMERCE

[Docket No. 080204117-8119-01]


Department of Commerce Pre-Award Notification Requirements for 
Grants and Cooperative Agreements

AGENCY: Department of Commerce (DOC).

ACTION: Notice.

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SUMMARY: This notice revises and updates the Department of Commerce 
(DOC) Pre-Award Notification Requirements for Grants and Cooperative 
Agreements, as published in the Federal Register (66 FR 49917) on 
October 1, 2001, as amended on October 30, 2002 (67 FR 66109) and on 
December 30, 2004 (69 FR 78389). This announcement constitutes a 
recompilation of the Department of Commerce pre-award requirements for 
grants and cooperative agreements, including all amendments and 
revisions to date.

DATES: These provisions are effective Feburary 11, 2008.

FOR FURTHER INFORMATION CONTACT: Gary Johnson, Office of Acquisition 
Management, Telephone Number--202-482-1679.

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 the DOC to seek full and open competition for 
award of discretionary financial assistance funds whenever possible. 
Moreover, DOC financial assistance must be awarded through a merit-
based review and selection process. Notices announcing the availability 
of Federal funds for new

[[Page 7697]]

awards for each DOC competitive financial assistance program will be 
published in the Federal Register and posted on https://www.grants.gov 
by the sponsoring operating unit in the uniform format for an 
announcement of Federal Funding Opportunity (FFO) mandated by the 
Office of Management and Budget (OMB). These announcements will 
reference or include the DOC Pre-Award Notification Requirements 
identified in sections A and B of this notice, and the program-specific 
information identified in section C of this notice, and will follow the 
uniform format for announcements of funding opportunities as identified 
in section D.
    This announcement provides notice of the DOC Pre-Award Notification 
Requirements that apply to all DOC-sponsored grant and cooperative 
agreement programs and that 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, or Code of Federal Regulations (CFR), or requirements 
provided in Executive Orders, OMB Circulars (circulars), or Assurances 
(Forms SF-424B and SF-424D). This notice does not intend to be a 
derogation of, or amend, any statute, regulation, Executive Order, 
circular, or Standard Form.
    Each individual award notice will complete and include the relevant 
analyses pursuant to the requirements in Executive Order 12866, 
Executive Order 13132, the Administrative Procedure Act, the Regulatory 
Flexibility Act, and the Paperwork Reduction Act, as applicable.
    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.
    2. Debarment, Suspension, Drug-Free Workplace, and Lobbying 
Provisions. All applicants must comply with the requirements of subpart 
C of 2 CFR part 1326, ``Nonprocurement Debarment and Suspension,'' 15 
CFR part 29, ``Governmentwide Requirements for Drug-Free Workplace 
(Financial Assistance)'' (November 26, 2003, 68 FR 66534), and 15 CFR 
part 28, ``New Restrictions on Lobbying,'' including the submission of 
required forms and obtaining certification 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 the DOC to make awards to applicants and recipients that 
are competently managed, responsible, financially capable and committed 
to achieving the objectives of the award(s) they receive. 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 that 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 the DOC are made.
    Pursuant to 31 U.S.C. 3720B, unless waived, the DOC is not 
permitted to extend financial assistance in the form of a loan, loan 
guarantee, or loan insurance to any person delinquent on a nontax debt 
owed to a Federal agency. This prohibition does not apply to disaster 
loans.
    Pursuant to 28 U.S.C. 3201(e), a debtor who has a judgment lien 
against the debtor's property for a debt to the United States shall not 
be eligible to receive any grant or loan which is made, insured, 
guaranteed, or financed directly or indirectly by the United States or 
to receive funds directly from the Federal Government in any program, 
except funds to which the debtor is entitled as beneficiary, until the 
judgment is paid in full or otherwise satisfied. The DOC sponsoring 
operating units may promulgate regulations to allow for waiver of this 
restriction on eligibility for such grants and cooperative agreements.
    (d) Financial Pre-Award Screening. The DOC's Office of Inspector 
General (OIG) performs pre-award screening procedures to review an 
applicant's credit rating and related financial information, the status 
of previous Federal audit findings and recommendations for the 
applicant, and other relevant data. The following three categories of 
applicants are exempt from this review: (1) Applicants for awards in 
amounts of $100,000 or less; (2) applicants who have been recipients of 
financial assistance from the DOC for three or more consecutive years 
without any adverse programmatic or audit findings; and (3) applicants 
that are units of a State or local government or that are accredited 
colleges and universities.
    (e) Individual Background Screening. Unless an exemption applies, 
an individual background screening will be performed by the OIG on key 
individuals of organizational units associated with the application at 
the beginning of the award and at three year intervals thereafter for 
the life of the award. The exemptions are: the proposed award amount is 
$100,000 or less; applicants are accredited colleges and universities; 
applicants are units of a State or local government; applicants are 
economic development districts designated by EDA, including those 
entities whose designations are pending, and councils of governments; 
or the key individual(s) is/are elected officials of State and local 
governments who are serving in capacities other than their elected 
capacities when applying for assistance. In addition, if there is a 
change in the status of the organization and/or key individuals, or the 
program officer, OIG, or Grants Officer believes there is good reason 
to conduct a review sooner, a background screening may be requested 
more frequently. Individual background screenings are conducted 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 business integrity, responsibility, or financial integrity. 
If any of the conditions listed below in paragraphs (1), (2), or (3) 
occur, then the 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 
require Grants Officer approval of personnel replacements; require the 
recipient to make other changes as appropriate; and/or designate the 
recipient as high risk and amend the award to assign special award 
conditions, as appropriate, including making changes 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 within 30 days of receipt of the 
award;

[[Page 7698]]

    (2) A key individual makes a false statement or omits a material 
fact on the Form CD-346; or
    (3) The individual background screening reveals significant adverse 
findings that reflect on the business integrity, responsibility, or 
financial integrity of the recipient and/or key individual.
    (f) List of Parties Excluded from Procurement and Nonprocurement 
Programs. The Excluded Parties Listing System (EPLS) maintained by the 
General Services Administration (GSA) (found at https://www.epls.gov) 
that lists 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.
    (g) Pre-Award Accounting System Surveys. The Grants Office, in 
cooperation with the OIG when appropriate, may require 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, the DOC has no obligation to provide any additional future 
funding in connection with that award. Any amendment of an award to 
increase funding or to extend the period of performance is at the total 
discretion of the DOC.
    5. Pre-Award Activities. If an applicant incurs any costs prior to 
receiving an award, it does so solely at its 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 pre-award costs unless approved by the Grants 
Officer as part of the terms when the award is made, or as authorized 
for awards that support research by 15 CFR 14.25(e)(4).
    6. Freedom of Information Act (FOIA) Disclosure. The FOIA (5 U.S.C. 
552 and DOC regulations at 15 CFR part 4) sets forth the process and 
procedure by which the DOC follows to make requested material, 
information, and records publicly available. Unless prohibited by law 
and to the extent required under the FOIA, contents of applications, 
proposals, and other information 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/or 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 Federal Register notice of availability of funding 
and/or in the Federal Funding Opportunity announcement, the following 
forms, family of forms, and/or certifications are required, as 
applicable, for DOC grants and cooperative agreements: OMB Standard 
Forms (SF) SF-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; SF-424 Family of 
Forms for Research and Related Programs; SF-424 Short Organizational 
Family; SF-424 Individual Form Family; and SF-424 Mandatory Family. In 
addition, Commerce Department (CD) Forms CD-346, Applicant for Funding 
Assistance; CD-511, Certification Regarding Lobbying; CD-512, 
Certification Regarding Lobbying--Lower-Tier Covered Transactions; and 
SF-LLL, Disclosure of Lobbying Activities, will be used as appropriate.
    9. Environmental Requirements. Environmental impacts must be 
considered by Federal decision makers in their decisions whether or not 
to (1) approve a proposal for Federal assistance; (2) approve the 
proposal with mitigation; or (3) approve a different proposal/grant 
having less adverse environmental impacts. Federal environmental laws 
require that the funding agency initiate a planning process with an 
early consideration of potential environmental impacts that projects 
funded with Federal assistance may have on the environment. Applicants, 
recipients and subrecipients must comply with all environmental 
standards, to include those prescribed under the following statutes and 
Executive Orders, and shall identify to the awarding agency any impact 
the award may have on the environment. The failure to do so shall be 
grounds for not selecting an application. In some cases, if additional 
information is required after an application is selected, funds can be 
withheld by the Grants Officer under a special award condition 
requiring the recipient to submit additional environmental compliance 
information sufficient to enable the DOC to make an assessment on any 
impacts that a project may have on the environment.
    (a) The National Environmental Policy Act of 1969 (42 U.S.C. 4321 
et seq.). Recipients of Federal assistance are required to identify to 
the awarding agency any impact an award will have on the quality of the 
human environment, and assist the agency to comply with the National 
Environmental Policy Act, when the award activities remain subject to 
Federal authority and control. Applicants for assistance may be 
required to prepare environmental impact information as part of a 
proposal.
    (b) Floodplain Management, Executive Order 11988 and, Protection of 
Wetlands, Executive Order 11990, May 24, 1977. Recipients must identify 
proposed actions located in Federally defined floodplains and wetlands 
to enable the agency to make a determination whether there is an 
alternative to minimize any potential harm.
    (c) Clean Air Act, Clean Water Act, and Executive Order 11738. 
Recipients must comply with the provisions of the Clean Air Act (42 
U.S.C. 7401 et seq.), Clean Water Act (33 U.S.C. Sec. Sec.  1251 et 
seq.), and Executive Order 11738. Recipients shall not use a facility 
that EPA has placed on the Excluded Parties List System (EPLS) (https://
www.epls.gov) in performing any award that is nonexempt under Subpart J 
of 2 CFR part 1532.
    (d) The Flood Disaster Protection Act of 1973 (42 U.S.C. 4002 et 
seq.). Flood insurance, when available, is required for Federally 
assisted construction or acquisition in flood-prone areas.
    (e) The Endangered Species Act of 1973, as amended (16 U.S.C. 1531 
et seq.). Recipients must identify any impact or activities that may 
involve a threatened or endangered species. Federal agencies have the 
responsibility for ensuring that a protected species or habitat does 
not incur adverse effects from actions under Federal assistance awards, 
and for conducting the required reviews under the Endangered Species 
Act, as applicable.
    (f) The Coastal Zone Management Act, as amended (16 U.S.C. 1451 et 
seq.). Funded projects must be consistent with a coastal state's 
approved management program for the coastal zone.
    (g) The Coastal Barriers Resources Act (16 U.S.C. 3501 et seq.). 
Restrictions are placed on Federal funding for actions within a Coastal 
Barrier System.
    (h) The Wild and Scenic Rivers Act, as amended (16 U.S.C. 1271 et 
seq.). This Act applies to awards that may affect existing or proposed 
components

[[Page 7699]]

of the National Wild and Scenic Rivers system.
    (i) The Safe Drinking Water Act of 1974, as amended (42 U.S.C. 
300f-j). This Act precludes Federal assistance for any project that the 
EPA determines may contaminate a sole source aquifer so as to threaten 
public health.
    (j) The Resource Conservation and Recovery Act of 1976, as amended 
(42 U.S.C. 6901 et seq.). This act regulates the generation, 
transportation, treatment, and disposal of hazardous wastes, and also 
provides that recipients of Federal funds give preference in their 
procurement programs to the purchase of recycled products pursuant to 
EPA guidelines.
    (k) The Comprehensive Environmental Response, Compensation, and 
Liability Act of 1980, as amended, the Superfund Amendments and 
Reauthorization Act of 1986, and the Community Environmental Response 
Facilitation Act of 1992, as amended (42 U.S.C. 9601 et seq.). These 
requirements address responsibilities for actual or threatened 
hazardous substance releases and environmental cleanup. There are also 
requirements regarding reporting and community involvement to ensure 
disclosure of the release or disposal of regulated substances and 
cleanup of hazards.
    (l) Environmental Justice in Minority Populations and Low Income 
Populations, Executive Order 12898, February 11, 1994. This Order 
identifies and addresses adverse human health or environmental effects 
of programs, policies and activities on low income and minority 
populations.
    10. Limitation of Liability. In no event will the Department of 
Commerce be responsible for proposal preparation costs if a program 
fails to receive funding or is cancelled because of other agency 
priorities. The publication of an announcement of funding availability 
does not oblige the agency to award any specific project or to obligate 
any available funds.
    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 at 15 CFR part 24, ``Uniform Administrative Requirements for Grants 
and Agreements to State and Local Governments.'' The following list of 
cost principles, which are incorporated by reference in 15 CFR parts 14 
and 24, are included in the DOC's grants and cooperative agreements: 
OMB Circular A-21 (2 CFR part 220), ``Cost Principles for Educational 
Institutions''; OMB Circular A-87 (2 CFR part 225), ``Cost Principles 
for State, Local and Indian Tribal Governments''; OMB Circular A-122 (2 
CFR part 230), ``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 by reference into the award. Expenditures 
for any financial assistance award must be necessary to carry out the 
authorized project and be consistent with the applicable cost 
principles.
    2. Award Payments. Advances will be limited to the minimum amounts 
necessary to meet immediate disbursement needs, but in no case should 
advances exceed the amount of cash required for a 30-day period. Any 
advanced funds that are not disbursed in a timely manner must be 
returned promptly to the DOC. Certain bureaus within the DOC use the 
Department of Treasury's Automated Standard Application for Payment 
(ASAP) system. In order to receive payments under ASAP, recipients will 
be required to enroll electronically in the ASAP system by providing 
their Federal Awarding Agency with pertinent information to begin the 
enrollment process, which allows them to use the on-line and Voice 
Response System (VRS) method of withdrawing funds from their ASAP 
established accounts. It is the recipient's responsibility to ensure 
that its contact information is correct. The funding agency must be 
provided a Point of Contact name, mailing address, e-mail address, 
telephone number, DUNS and TIN numbers to commence the enrollment 
process. In order to be able to complete the enrollment process, the 
recipient will need to identify a Head of Organization, an Authorizing 
Official, and a Financial Officer. It is very important that the 
recipient's banking data be linked to the funding agency's Agency 
Location Code in order to ensure proper payment under an award. For 
additional information on this requirement, prospective applicants 
should contact their Federal Awarding Agency.
    3. Federal and Non-Federal Cost Sharing.
    (a) Awards that include Federal and non-Federal cost sharing will 
incorporate a budget consisting of shared allowable costs. If actual 
allowable costs are less than the total approved budget, the Federal 
and non-Federal cost shares shall be calculated by applying the 
approved Federal and non-Federal cost share ratios to actual allowable 
costs. If actual allowable costs are greater than the total approved 
budget, the Federal share will not exceed the total Federal dollar 
amount authorized by 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 and Transfers Among Cost Categories. 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 (2 CFR part 220), ``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) a. State, local, and Indian Tribal Governments; Educational 
Institutions; and Non-Profit Organizations (Non-Commercial 
Organizations).
    For those organizations for which the DOC is cognizant or has 
oversight, the DOC or its designee will either negotiate a fixed rate 
with carryforward provisions or, in some instances, limit its review to 
evaluating the procedures described in the recipient's cost

[[Page 7700]]

allocation methodology plan. Indirect cost rates and cost allocation 
methodology reviews are subject to future audits to determine actual 
indirect costs.
    b. Commercial Organizations.
    For commercial organizations, ``cognizant federal agency'' is 
defined as the agency that provides the largest dollar amount of 
negotiated contracts, including options. If the only federal funds 
received by a commercial organization are DOC award funds, then the DOC 
becomes the cognizant federal agency for the purpose of indirect cost 
negotiations. For those organizations for which the DOC is cognizant, 
DOC or its designee will negotiate a fixed rate with carry forward 
provisions for the recipient. ``Fixed rate'' means an indirect cost 
rate which has the same characteristics as a pre-determined rate, 
except that the difference between the estimated costs and the actual 
costs of the period covered by the rate is carried forward as an 
adjustment to the rate computation of the subsequent period. DOC or its 
designee will negotiate indirect cost rates using the cost principles 
found in 48 CFR part 31, ``Contract Cost Principles and Procedures.'' 
For guidance on how to put an indirect cost plan together go to: http:/
/www.dol.gov/oasm/programs/boc/costdeterminationguide/main.htm.
    (2) Within 90 days of the award start date, the recipient shall 
submit to the address listed below documentation (indirect cost 
proposal, cost allocation plan, etc.) necessary to perform the review. 
The recipient shall provide the Grants Officer with a copy of the 
transmittal letter.

Office of Acquisition Management, U.S. Department of Commerce, 14th 
Street and Constitution Avenue, NW., Room 6054, Washington, DC 20230.

    (3) The recipient can use the fixed rate proposed in the indirect 
cost plan until such time as the DOC provides a response to the 
submitted plan. Actual indirect costs must be calculated annually and 
adjustments made through the carryforward provision used in calculating 
next year's rate. This calculation of actual indirect costs and the 
carryforward provision is subject to audit. Indirect cost rate 
proposals must be submitted annually. Organizations that have 
previously established indirect cost rates must submit a new indirect 
cost proposal to the cognizant agency within six months after the close 
of each recipient's fiscal year.
    (4) When the DOC is not the oversight or cognizant Federal agency, 
the recipient shall provide the Grants Officer with a copy of a 
negotiated rate agreement or a copy of the transmittal letter submitted 
to the cognizant or oversight Federal agency requesting a negotiated 
rate agreement.
    (5) If the recipient fails to submit the required documentation to 
the DOC within 90 days of the award start date, the recipient may be 
precluded from recovering any indirect costs under the award. If the 
DOC, oversight, or cognizant Federal agency determines there is a 
finding of good 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.
    (6) Regardless of any approved indirect cost rate applicable to the 
award, the maximum dollar amount of allocable indirect costs for which 
the 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 the DOC 
where the benefits were financed with Federal funds under the award. 
Recipients are required to contact the Grants Officer immediately upon 
receipt of these refunds. Recipients are required 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. The 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, or the requirements of this 
notice, may have a negative impact on future funding by the DOC and may 
be considered grounds for any or all of the following enforcement 
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 without the 
express written approval of the Grants Officer.
    10. Non-Discrimination Requirements. There are several Federal 
statutes, regulations, Executive Orders, and policies relating to 
nondiscrimination. No person in the United States shall, on the grounds 
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 
Federal financial assistance. These requirements include but are not 
limited to:
    (a) Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d et 
seq.) and the DOC's implementing regulations published at 15 CFR part 8 
prohibiting discrimination on the grounds of race, color, or national 
origin under programs or activities receiving Federal financial 
assistance;
    (b) Title IX of the Education Amendments of 1972 (20 U.S.C. 1681 et 
seq.) and the DOC's implementing regulations at 15 CFR part 8a 
prohibiting discrimination on the basis of sex under Federally assisted 
education programs or activities;
    (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 
U.S.C. 794) and the DOC's implementing regulations published at 15 CFR 
part 8b prohibiting discrimination on the basis of handicap under any 
program or activity receiving or benefiting from Federal assistance;
    (d) The Age Discrimination Act of 1975, as amended (42 U.S.C. 6101 
et seq.) and the DOC's implementing regulations published at 15 CFR 
part 20 prohibiting discrimination on the basis of age in programs or 
activities receiving Federal financial assistance;
    (e) The Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et 
seq.) prohibiting discrimination on the basis of disability under 
programs, activities, and services provided or made available by state 
and local governments or instrumentalities or agencies thereto, as well 
as public or private entities that provide public transportation;

[[Page 7701]]

    (f) Title VIII of the Civil Rights Act of 1968, as amended (42 
U.S.C. 3601 et seq.), relating to nondiscrimination in the sale, rental 
or financing of housing;
    (g) Parts II and III of Executive Order 11246, as amended by 
Executive Orders 11375 and 12086 requiring Federally assisted 
construction contracts to include the nondiscrimination provisions of 
sections 202 and 203 of that Executive Order and the Department of 
Labor's regulations at 41 CFR 60-1.4(b) implementing Executive Order 
11246;
    (h) Executive Order 13166 (August 11, 2000), ``Improving Access to 
Services for Persons With Limited English Proficiency,'' and DOC policy 
guidance issued on March 24, 2003 (68 FR 14180) to Federal financial 
assistance recipients on the Title VI prohibition against national 
origin discrimination affecting Limited English Proficient (LEP) 
persons; and
    (i) In recognition of the constitutionally-protected interest of 
religious organizations in making religiously-motivated employment 
decisions, Title VII of the Civil Rights Act of 1964, 42 U.S.C. 2000e 
et seq., which expressly exempts religious organizations from the 
prohibition against discrimination on the basis of religion. See 42 
U.S.C. 2000e-1(a).
    11. Audits of Organizations Covered by OMB Circular A-133, ``Audits 
of States, Local Governments, and Non-Profit Organizations'' and the 
related Compliance Supplement. Recipients that are subject to OMB 
Circular A-133, and that expend $500,000 or more in Federal awards in a 
fiscal year shall have an audit conducted for that year in accordance 
with the requirements of OMB Circular A-133, issued pursuant to the 
Single Audit Act of 1984 (Pub. L. No. 98-502), as amended by the Single 
Audit Act Amendments of 1996 (Pub. L. No. 104-156).
    12. Unless otherwise specified in the terms and conditions of the 
award, in accordance with 15 CFR 14.26(c) and (d), for-profit 
hospitals, commercial entities, and other organizations not required to 
follow the audit provisions of OMB Circular A-133 shall have an audit 
performed when the federal share amount awarded is $500,000 or more 
over the duration of the project period. An audit is required at least 
once every two years using the following schedule for audit report 
submission.
    (a) For awards less than 24 months, an audit is required within 90 
days from the project expiration date, including the close-out period 
for the award.
    (b) For 2-, or 3-year awards, an audit is required within 90 days 
after the end of the first year and within 90 days from the project 
expiration date including the close-out period for the award.
    (c) For 4-, or 5-year awards, an audit is required within 90 days 
after the end of the first year and third year, and within 90 days from 
the project expiration date including the close-out period for the 
award.
    Some DOC programs have specific audit guidelines that will be 
incorporated into the award. When DOC does not have a program-specific 
audit guide available for the program, the auditor will follow the 
requirements for a program-specific audit as described in OMB Circular 
A-133, --.235. The Recipient may include a line item in the budget for 
the cost of the audit.
    13. Policies and Procedures for Resolution of Audit-Related Debts. 
The 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 also are 
provided in more detail in the Department of Commerce Financial 
Assistance Standard Terms and Conditions.
    14. 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 the 
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.
    15. 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 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.
    16. Competition and Codes of Conduct.
    (a) Pursuant to the certification in Form 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 such participation would cause a real or 
apparent conflict of interest. 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, the recipient 
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

[[Page 7702]]

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 the 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 also could result from non-financial gain to the 
individual, such as benefit to reputation or prestige in a professional 
field.
    17. Minority Owned Business Enterprise. The 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.
    18. 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.
    19. 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.
    20. 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.
    21. 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, as amended (Pub. L. No. 96-517), and codified at 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, 
which is incorporated by reference into awards. Recipients of DOC 
financial assistance awards are required to submit their disclosures 
and elections electronically using the Interagency Edison extramural 
invention reporting system (iEdison) at https://www.iedison.gov. 
Recipients may obtain a waiver of this electronic submission 
requirement by providing to the DOC compelling reasons for allowing the 
submission of paper copies of reports related to inventions.
    (b) Patent Notification Procedures. Pursuant to Executive Order 
12889, the 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 will be required to notify the Grants 
Officer. This notice does not necessarily mean that the government 
authorizes and consents to any copyright or patent infringement 
occurring under the financial assistance.
    (c) Data, Databases, and Software. The rights to any work produced 
or purchased under a DOC financial assistance award are determined by 
15 CFR 14.36 or 24.34, as applicable. Such works may include data, 
databases or software. The recipient owns any work produced or 
purchased under a DOC 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 
Federal Government purposes.
    (d) Copyright. The recipient may copyright any work produced under 
a DOC financial assistance award subject to the DOC's royalty-free 
nonexclusive and irrevocable right to reproduce, publish or otherwise 
use the work or authorize others to do so for Federal Government 
purposes. Works jointly authored by the 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. On occasion, the DOC may 
ask the recipient to transfer to DOC its copyright in a particular work 
when the DOC is undertaking the primary dissemination of the work. 
Ownership of copyright by the Federal Government through assignment is 
permitted by 17 U.S.C. 105.
    22. Seat Belt Use. Pursuant to Executive Order 13043, recipients 
shall seek to encourage employees and contractors to enforce on-the-job 
seat belt policies and programs when operating recipient/company-owned, 
rented or personally owned vehicles.
    23. 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.
    24. 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.
    25. 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,'' as amended by Executive Order 
13208, 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

[[Page 7703]]

remain signatories or otherwise adhering to agreements with one or more 
labor organizations, on the same or other related construction 
project(s).
    26. Minority Serving Institutions (MSIs) Initiative. Pursuant to 
Executive Orders 13256, 13230, and 13270, the DOC is strongly committed 
to broadening the participation of MSIs in its financial assistance 
award programs. The DOC's 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. The 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's Web site at: https://www.ed.gov/offices/OCR/
minorityinst.html.
    27. Access to Records. The Inspector General of the DOC, or any of 
his or her duly authorized representatives, the Comptroller of the 
United States and, if appropriate, the State, 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.
    28. Scientific or Research Misconduct. Scientific or research 
misconduct refers to the fabrication, falsification, or plagiarism in 
proposing, performing, or reviewing research, or in reporting research 
results. It does not include honest errors or differences of opinion. 
The recipient organization has the primary responsibility to 
investigate allegations and provide reports to the Federal Government. 
Funds expended on an activity that is determined to be invalid or 
unreliable because of scientific misconduct may result in a 
disallowance of costs for which the institution may be liable for 
repayment to the awarding agency. The Office of Science and Technology 
Policy at the White House published in the Federal Register on December 
6, 2000, a final policy that addressed research misconduct. The policy 
was developed by the National Science and Technology Council (65 FR 
76260). The DOC requires that any allegation be submitted to the Grants 
Officer, who will also notify the OIG of such allegation. Generally, 
the recipient organization shall investigate the allegation and submit 
its findings to the Grants Officer. The DOC may accept the recipient's 
findings or proceed with its own investigation. The Grants Officer 
shall inform the recipient of the DOC's final determination.
    29. Intergovernmental Personnel Act of 1970 (42 U.S.C. 4728-4763). 
Recipients must comply with this Act relating to prescribed standards 
for merit systems for programs funded under one of the 19 statutes or 
regulations specified in Appendix A of the Office of Personnel 
Management Standards for a Merit System of Personnel Administration (5 
CFR part 900, Subpart F).
    30. Uniform Relocation Assistance and Real Property Acquisition 
Policies Act of 1970, as amended (42 U.S.C. 4601 et seq.) and the DOC's 
implementing regulations issued at 15 CFR part 11. These provide for 
fair and equitable treatment of persons displaced or whose property is 
acquired as a result of Federal or Federally-assisted programs. These 
requirements apply to all interests in real property acquired for 
project purposes regardless of Federal participation in purchases.
    31. Historic Preservation. Recipients must assist the DOC in 
assuring compliance with Section 106 of the National Historic 
Preservation Act of 1966, as amended, and the Advisory Council on 
Historic Preservation Guidelines (16 U.S.C. 470 et seq.); the 
Archaeological and Historic Preservation Act of 1974 (16 U.S.C. 469a-1 
et seq.); Protection and Enhancement of the Cultural Environment, 
Executive Order 11593; Locating Federal Facilities on Historic 
Properties in our Nation's Central Cities, Executive Order 13006; and 
Indian Sacred Sites, Executive Order 13007.
    32. Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4801 et 
seq.). This Act prohibits the use of lead-based paint in construction 
or rehabilitation of residential structures.
    33. Hatch Act (5 U.S.C. 1501-1508 and 7324-7328). This Act limits 
the political activities of employees or officers of State or local 
governments whose principal employment activities are funded in whole 
or in part with Federal funds.
    34. Labor standards for Federally-assisted construction 
subagreements (wage guarantees). Recipients must comply, as applicable, 
with the provisions of the Davis-Bacon Act (40 U.S.C. 276a to 276a-7); 
the Copeland Act (40 U.S.C. 276c and 18 U.S.C. 874); and the Contract 
Work Hours and Safety Standards Act (40 U.S.C. 327--333).
    35. Care and Use of Live Vertebrate Animals. Recipients must comply 
with the Laboratory Animal Welfare Act of 1966 (Pub. L. No. 89-544), as 
amended (7 U.S.C. 2131 et seq.) (animal acquisition, transport, care, 
handling, and use in projects) and implementing regulations, 9 CFR 
parts 1, 2, and 3; the Endangered Species Act (16 U.S.C. 1531 et seq.); 
Marine Mammal Protection Act (16 U.S.C. 1361 et seq.) (taking 
possession, transport, purchase, sale, export or import of wildlife and 
plants); The Nonindigenous Aquatic Nuisance Prevention and Control Act 
(16 U.S.C. 4701 et seq.) (ensure preventive measures are taken or that 
probable harm of using species is minimal if there is an escape or 
release); and all other applicable statutes pertaining to the care, 
handling, and treatment of warm blooded animals held for research, 
teaching, or other activities supported by Federal financial 
assistance. No research involving vertebrate animals is permitted under 
any DOC financial assistance award unless authorized by the Grants 
Officer.
    36. Publications, Videos, and Acknowledgment of Sponsorship. 
Publication of the results of a research project in appropriate 
professional journals and production of videos or other media is 
encouraged as an important method of recording and reporting scientific 
information. It is also a constructive means to expand access to 
federally funded research. The recipient is required to submit a copy 
to the funding agency and when releasing information related to a 
funded project include a statement that the project or effort 
undertaken was or is sponsored by DOC. The recipient is also 
responsible for assuring that every publication of material (including 
Internet sites and videos) based on or developed under an award, except 
scientific articles or papers appearing in scientific, technical or 
professional journals, contains the following disclaimer: ``This 
[report/video] was prepared by [recipient name] under award [number] 
from [name of operating unit], U.S. Department of Commerce. The 
statements, findings, conclusions, and recommendations are those of the 
author(s) and do not necessarily reflect the views of the [name of 
operating unit] or the U.S. Department of Commerce.''
    37. Homeland Security Presidential Directive--12. If the 
performance of a grant award requires recipient organization personnel 
to have unsupervised physical access to a Federally controlled facility 
for more than 180 days or access to a Federal information system, such 
personnel must undergo the personal identity

[[Page 7704]]

verification credential process. In the case of foreign nationals, the 
DOC will conduct a check with U.S. Citizenship and Immigration 
Services' (USCIS) Verification Division, a component of the Department 
of Homeland Security (DHS), to ensure the individual is in a lawful 
immigration status and that they are eligible for employment within the 
U.S. Any items or services delivered under a financial assistance award 
shall comply with the Department of Commerce personal identity 
verification procedures that implement Homeland Security Presidential 
Directive--12, FIPS PUB 201, and OMB Memorandum M-05-24. The recipient 
shall insert this clause in all subawards or contracts when the 
subaward recipient or contractor is required to have physical access to 
a Federally controlled facility or access to a Federal information 
system.
    38. Compliance with Department of Commerce Bureau of Industry and 
Security Export Administration Regulations
    (a) This clause applies to the extent that a financial assistance 
award involves access to export-controlled information or technology.
    (b) In performing a financial assistance award, the recipient may 
gain access to export-controlled information or technology. The 
recipient is responsible for compliance with all applicable laws and 
regulations regarding export-controlled information and technology, 
including deemed exports. The recipient shall establish and maintain 
effective export compliance procedures at non-DOC facilities throughout 
performance of the financial assistance award. At a minimum, these 
export compliance procedures must include adequate controls relating to 
physical, verbal, visual and electronic access to export-controlled 
information and technology.
    (c) Definitions
    (1) Deemed Export. The Export Administration Regulations (EAR) 
define a deemed export as any release of technology or source code 
subject to the EAR to a foreign national, both in the United States and 
abroad. Such release is ``deemed'' to be an export to the home country 
of the foreign national. 15 CFR 734.2(b)(2)(ii).
    (2) Export-controlled information and technology. Export-controlled 
information and technology subject to the EAR (15 CFR 730-774), 
implemented by the DOC's Bureau of Industry and Security, or the 
International Traffic In Arms Regulations (ITAR) (22 CFR 120-130), 
implemented by the Department of State, respectively. This includes, 
but is not limited to, dual-use items, defense articles and any related 
assistance, services, software or technical data as defined in the EAR 
and ITAR.
    (d) The recipient shall control access to all export-controlled 
information and technology that it possesses or that comes into its 
possession in performance of a financial assistance award, to ensure 
that access is restricted, or licensed, as required by applicable 
Federal laws, Executive Orders, and/or regulations.
    (e) Nothing in the terms of this financial assistance award is 
intended to change, supersede, or waive the requirements of applicable 
Federal laws, Executive Orders or regulations.
    (f) The recipient shall include this clause, including this 
paragraph (f), in all lower tier transactions (subawards, contracts, 
and subcontracts) under this financial assistance award that may 
involve access to export-controlled information technology.
    39. The Trafficking Victims Protection Act of 2000 (22 U.S.C. 
7104(g)), as amended, and the implementing regulations at 2 CFR part 
175. This Act authorizes termination of financial assistance provided 
to a private entity, without penalty to the Federal Government, if the 
recipient or subrecipient engages in certain activities related to 
trafficking in persons.
    40. The Federal Funding Accountability and Transparency Act of 2006 
(Pub. L. No. 109-282). This Act requires that the Federal government 
establish a single searchable awards Web site by January 1, 2008 to 
enable the public to see where Federal funds for grant and contract 
awards are being spent. Subaward and subcontract data will be required 
on the Web site by January 1, 2009. Funding data retroactive to October 
1, 2006 must be reported by all Federal agencies and their recipient 
and subrecipient organizations. Data elements will include:
     Name of entity receiving award;
     Award amount;
     Transaction type, funding agency, Catalog of Federal 
Domestic Assistance Number, and descriptive award title;
     Location of: Entity, primary location of performance 
(City/State/Congressional District/Country); and
     Unique identifier of entity.
    The data will be required within 30 days of an award. The DOC will 
be implementing this Act, which will require recipients and 
subrecipients to report the required data.
    C. The Federal Register notice announcing the availability of 
Federal funds for each DOC competitive financial assistance program 
will contain only the following program-specific information: Summary 
description of program; deadline date for receipt of applications; 
addresses for submission of applications; information contacts 
(including electronic access); the amount of funding available; 
statutory authority; the applicable Catalog of Federal Domestic 
Assistance (CFDA) number(s); eligibility requirements; cost-sharing or 
matching requirements; Intergovernmental Review requirements; 
evaluation criteria used by the merit reviewers; selection procedures, 
including funding priorities/selection factors/policy factors to be 
applied by the selecting official; and administrative and national 
policy requirements.
    D. The DOC follows the uniform format for an announcement of 
Federal Funding Opportunity (FFO) for discretionary grants and 
cooperative agreements established by OMB in a policy letter published 
in the Federal Register (68 FR 37370, June 23, 2003). These FFOs are 
available at https://www.grants.gov or from the information contact 
listed in the Federal Register notice. Applicants are strongly 
encouraged to apply through https://www.grants.gov. It can take seven 
(7) to ten (10) business days to register with https://www.grants.gov, 
and registration is required only once. Applicants should consider the 
time needed to register with https://www.grants.gov, and should begin 
the registration process well in advance of the application due date if 
they have never registered. Applicants should allow themselves adequate 
time to submit the proposal through https://www.grants.gov, as the 
deadline for submission cannot be extended and there is the potential 
for human or computer error during the electronic submission process.
    E. Universal Identifier: Applicants should be aware that they will 
be required to provide a Dun and Bradstreet Data Universal Numbering 
System number during the application process. See the June 27, 2003 
Federal Register notice (68 FR 38402) for additional information. 
Organizations can receive a DUNS number at no cost by calling the 
dedicated toll-free Duns number request line at 1-866-705-5711 or by 
accessing the Grants.gov Web site at: https://www.grants.gov.

Executive Order 12866

    This notice has been determined to be ``not significant'' for 
purposes of Executive Order 12866, ``Regulatory Planning and Review.''

[[Page 7705]]

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 OMB control 
number. The use of the following family of forms has been approved by 
OMB under the following control numbers: (1) SF-424 Family: 0348-0041, 
0348-0044, 4040-0003, and 4040-0004; (2) SF-424 Research and Related 
Family: 4040-0001; SF-424 Individual Family: 4040-0005; (3) SF-424 
Mandatory Family: 4040-0002; and (4) SF-424 Short Organizational 
Family: 4040-0003. The use of Forms SF-LLL and CD-346 are approved by 
OMB under the control numbers 0348-0046 and 0605-0001, respectively.

Catalog of Federal Domestic Assistance

    This notice affects all of the grant and cooperative agreement 
programs funded by the DOC. The Catalog of Federal Domestic Assistance 
can be accessed on the Internet under the DOC Grants Management Web 
site at https://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.

Al Sligh, Jr.,
Director for Acquisition Management and Procurement Executive.
[FR Doc. E8-2482 Filed 2-8-08; 8:45 am]
BILLING CODE 3510-FA-P