Financial Assistance Use of Universal Identifier and Central Contractor Registration, 55671-55676 [2010-22706]
Download as PDF
<![CDATA[
jdjones on DSK8KYBLC1PROD with RULES
Federal Register / Vol. 75, No. 177 / Tuesday, September 14, 2010 / Rules and Regulations
ii. For subaward information, report no
later than the end of the month following the
month in which the obligation was made.
(For example, if the obligation was made on
November 7, 2010, the obligation must be
reported by no later than December 31, 2010.)
3. What to report. You must report the
information about each obligating action that
the submission instructions posted at
https://www.fsrs.gov specify.
b. Reporting Total Compensation of
Recipient Executives.
1. Applicability and what to report. You
must report total compensation for each of
your five most highly compensated
executives for the preceding completed fiscal
year, if—
i. the total Federal funding authorized to
date under this award is $25,000 or more;
ii. in the preceding fiscal year, you
received—
(A) 80 percent or more of your annual gross
revenues from Federal procurement contracts
(and subcontracts) and Federal financial
assistance subject to the Transparency Act, as
defined at 2 CFR 170.320 (and subawards);
and
(B) $25,000,000 or more in annual gross
revenues from Federal procurement contracts
(and subcontracts) and Federal financial
assistance subject to the Transparency Act, as
defined at 2 CFR 170.320 (and subawards);
and
iii. The public does not have access to
information about the compensation of the
executives through periodic reports filed
under section 13(a) or 15(d) of the Securities
Exchange Act of 1934 (15 U.S.C. 78m(a),
78o(d)) or section 6104 of the Internal
Revenue Code of 1986. (To determine if the
public has access to the compensation
information, see the U.S. Security and
Exchange Commission total compensation
filings at https://www.sec.gov/answers/
execomp.htm.)
2. Where and when to report. You must
report executive total compensation
described in paragraph b.1. of this award
term:
i. As part of your registration profile at
https://www.ccr.gov.
ii. By the end of the month following the
month in which this award is made, and
annually thereafter.
c. Reporting of Total Compensation of
Subrecipient Executives.
1. Applicability and what to report. Unless
you are exempt as provided in paragraph d.
of this award term, for each first-tier
subrecipient under this award, you shall
report the names and total compensation of
each of the subrecipient’s five most highly
compensated executives for the
subrecipient’s preceding completed fiscal
year, if—
i. in the subrecipient’s preceding fiscal
year, the subrecipient received—
(A) 80 percent or more of its annual gross
revenues from Federal procurement contracts
(and subcontracts) and Federal financial
assistance subject to the Transparency Act, as
defined at 2 CFR 170.320 (and subawards);
and
(B) $25,000,000 or more in annual gross
revenues from Federal procurement contracts
(and subcontracts), and Federal financial
VerDate Mar<15>2010
14:52 Sep 13, 2010
Jkt 220001
assistance subject to the Transparency Act
(and subawards); and
ii. The public does not have access to
information about the compensation of the
executives through periodic reports filed
under section 13(a) or 15(d) of the Securities
Exchange Act of 1934 (15 U.S.C. 78m(a),
78o(d)) or section 6104 of the Internal
Revenue Code of 1986. (To determine if the
public has access to the compensation
information, see the U.S. Security and
Exchange Commission total compensation
filings at https://www.sec.gov/answers/
execomp.htm.)
2. Where and when to report. You must
report subrecipient executive total
compensation described in paragraph c.1. of
this award term:
i. To the recipient.
ii. By the end of the month following the
month during which you make the subaward.
For example, if a subaward is obligated on
any date during the month of October of a
given year (i.e., between October 1 and 31),
you must report any required compensation
information of the subrecipient by November
30 of that year.
d. Exemptions
If, in the previous tax year, you had gross
income, from all sources, under $300,000,
you are exempt from the requirements to
report:
i. Subawards,
and
ii. The total compensation of the five most
highly compensated executives of any
subrecipient.
e. Definitions. For purposes of this award
term:
1. Entity means all of the following, as
defined in 2 CFR part 25:
i. A Governmental organization, which is
a State, local government, or Indian tribe;
ii. A foreign public entity;
iii. A domestic or foreign nonprofit
organization;
iv. A domestic or foreign for-profit
organization;
v. A Federal agency, but only as a
subrecipient under an award or subaward to
a non-Federal entity.
2. Executive means officers, managing
partners, or any other employees in
management positions.
3. Subaward:
i. This term means a legal instrument to
provide support for the performance of any
portion of the substantive project or program
for which you received this award and that
you as the recipient award to an eligible
subrecipient.
ii. The term does not include your
procurement of property and services needed
to carry out the project or program (for
further explanation, see Sec. ll .210 of the
attachment to OMB Circular A–133, ‘‘Audits
of States, Local Governments, and Non-Profit
Organizations’’).
iii. A subaward may be provided through
any legal agreement, including an agreement
that you or a subrecipient considers a
contract.
4. Subrecipient means an entity that:
i. Receives a subaward from you (the
recipient) under this award; and
ii. Is accountable to you for the use of the
Federal funds provided by the subaward.
PO 00000
Frm 00009
Fmt 4700
Sfmt 4700
55671
5. Total compensation means the cash and
noncash dollar value earned by the executive
during the recipient’s or subrecipient’s
preceding fiscal year and includes the
following (for more information see 17 CFR
229.402(c)(2)):
i. Salary and bonus.
ii. Awards of stock, stock options, and
stock appreciation rights. Use the dollar
amount recognized for financial statement
reporting purposes with respect to the fiscal
year in accordance with the Statement of
Financial Accounting Standards No. 123
(Revised 2004) (FAS 123R), Shared Based
Payments.
iii. Earnings for services under non-equity
incentive plans. This does not include group
life, health, hospitalization or medical
reimbursement plans that do not
discriminate in favor of executives, and are
available generally to all salaried employees.
iv. Change in pension value. This is the
change in present value of defined benefit
and actuarial pension plans.
v. Above-market earnings on deferred
compensation which is not tax-qualified.
vi. Other compensation, if the aggregate
value of all such other compensation (e.g.
severance, termination payments, value of
life insurance paid on behalf of the
employee, perquisites or property) for the
executive exceeds $10,000.
[FR Doc. 2010–22705 Filed 9–13–10; 8:45 am]
BILLING CODE 3110–01–P
OFFICE OF MANAGEMENT AND
BUDGET
2 CFR Subtitle A, Chapter I, and Part
25
Financial Assistance Use of Universal
Identifier and Central Contractor
Registration
Office of Federal Financial
Management, Office of Management and
Budget.
ACTION: Final guidance.
AGENCY:
OMB is issuing guidance to
Federal agencies concerning two
requirements for financial assistance
applicants and recipients, and one
requirement for first-tier subrecipients.
An agency under the guidance must
require applicants other than
individuals, with some specific
exceptions, to have Dun and Bradstreet
Data Universal Numbering System
(DUNS) numbers and maintain current
registrations in the Central Contractor
Registration (CCR) database. An agency
must require applicants and recipients
of grants and cooperative agreements to
comply with the DUNS number and
CCR requirements by October 1, 2010
and require applicants and recipients of
all other financial assistance types to
comply by October 1, 2011. The
guidance provides standard wording for
a new award term that each agency must
SUMMARY:
E:\FR\FM\14SER1.SGM
14SER1
55672
Federal Register / Vol. 75, No. 177 / Tuesday, September 14, 2010 / Rules and Regulations
include in its financial assistance
awards to require recipients to maintain
current CCR registrations, which
requires that they also have DUNS
numbers. The guidance also specifies
that each recipient may make subawards
only to entities that have DUNS
numbers.
DATES: Effective September 14, 2010.
FOR FURTHER INFORMATION CONTACT:
Marguerite Pridgen, Office of Federal
Financial Management, Office of
Management and Budget, telephone
(202) 395–7844.
SUPPLEMENTARY INFORMATION:
jdjones on DSK8KYBLC1PROD with RULES
I. Summary of Changes
On February 18, 2010 (75 FR 7316),
OMB proposed a number of changes to
title 2 of the Code of Federal
Regulations (2 CFR). Some of the
proposed changes were to provide new
guidance to agencies that was needed to
implement section 872 of the Duncan
Hunter National Defense Authorization
Act for Fiscal Year 2009 (Pub. L. 110–
417, hereafter referred to as ‘‘section
872’’), as that statute applies to grants.
Some of the other proposed changes
were to update guidance that existed
elsewhere and relocate it in 2 CFR to
provide needed context for the new
guidance implementing section 872.
The remaining changes were
administrative in nature, to create seven
subchapters in 2 CFR, Chapter I, as a
better organizational framework for
existing and future content in that
chapter.
OMB now is finalizing some of those
proposed changes, with the rest to
follow separately. The substantive
changes being finalized relate to the use
of DUNS numbers and registration in
the CCR. These changes are being
finalized separately and expedited
because they will enhance the quality of
information available to the public
when recipients begin on October 1,
2010 to report information on
subawards, as required by the Federal
Funding Accountability and
Transparency Act of 2006 (Pub. L. 109–
282, as amended, hereafter referred to as
‘‘the Transparency Act’’). OMB also is
finalizing the administrative changes
proposed in February 2010, by creating
the new subchapters in 2 CFR, Chapter
I.
II. Relationship to Existing
Requirements
The requirement for applicants to
have DUNS numbers is not new. OMB
established the DUNS requirement for
applicants for grants or cooperative
agreements in 2003. The policy was
published in the Federal Register [68
VerDate Mar<15>2010
14:52 Sep 13, 2010
Jkt 220001
FR 38402] and communicated to Federal
agencies in OMB Memorandum M–03–
16. The requirement was broadened to
include applicants for other types of
Federal financial assistance subject to
the Transparency Act in 2008, in OMB
Memorandum 08–19. Therefore, the sole
effect of the guidance following this
preamble is to relocate the requirement
in the Code of Federal Regulations, in 2
CFR part 25.
There are several existing
requirements concerning applicants’
registration in the CCR. For example, an
applicant must be registered in CCR if
it wants to submit its applications
electronically through Grants.gov. In
another example, several providers of
payment management services require
that recipients be registered in CCR
before receiving payments. As yet
another example, OMB Memorandum
M–09–10 required applicants for
funding under the American Recovery
and Reinvestment Act of 2009 (Pub. L.
111–5, hereafter referred to as ‘‘the
Recovery Act’’) to register in CCR. The
guidance following this preamble
broadens the existing requirements to
all other applicants for Federal financial
assistance awards subject to the
Transparency Act.
Similarly, the requirement for
recipients to maintain their registration
in the CCR throughout the period of
performance under their awards is not
entirely new. The final OMB guidance
on reporting under the Recovery Act,
OMB Memorandum M–09–21, requires
recipients to register in CCR in order to
access the FederalReporting.gov site at
which they must report. That
memorandum also allows a recipient to
delegate some reporting responsibilities
to its first-tier subrecipients, in which
case those subrecipients must register in
the CCR in order to report (a first-tier
subrecipient is one that receives a
subaward directly from the prime
recipient, as distinct from a lower-tier
subrecipient that receives a subaward
from another subrecipient). For prime
recipients, the guidance following this
preamble broadens the existing
Recovery Act requirement to recipients
of other awards subject to the
Transparency Act. Although the
guidance proposed in February 2010
would have broadened the CCR
requirement to first-tier subrecipients,
the final guidance being adopted at this
time does not require CCR registration
for any subrecipients.
The standard award term that
agencies must use to communicate the
DUNS and CCR requirements to
recipients is new. It will help ensure
Government-wide uniformity, a benefit
PO 00000
Frm 00010
Fmt 4700
Sfmt 4700
for recipients that receive awards from
multiple agencies.
Applicants and recipients of grants
and cooperative agreements must
comply with the policy by October 1,
2010. Applicants and recipients of all
other financial assistance types must
comply by a date to be provided by the
agency.
III. Comments and Responses
We received comments on the
proposed guidance in 2 CFR part 25
from three State agencies and three
Federal agencies. We considered the
comments in developing the final
guidance, which closely parallels the
proposed guidance. We made some
changes based on the recommendations
and others for clarity. The following
paragraphs summarize the comments
and our responses:
Comment: Three State agencies
commented on the requirements for
first-tier subrecipients in the award term
in Appendix A to the proposed 2 CFR
part 25. Two agencies cited burdens on
subrecipients and the Transparency
Act’s definition of ‘‘Federal award’’ as
reasons to exempt a subrecipient from
the requirement to register in the CCR
if the amount of the subaward is
$25,000 or less. The third agency asked
whether the prime recipient would be
required to submit verification of
subrecipients’ compliance with the CCR
requirement to the Federal agency and,
if so, how frequently it would be
required to do so. One of the agencies
also recommended exempting
subrecipients with awards of $25,000 or
less from the requirement to obtain a
DUNS number.
Response: Agree in part. We revised
the final guidance so that there is no
requirement at this time for any
subrecipient to register in the CCR.
Concerning the requirement for first-tier
subrecipients to obtain a DUNS number,
we did not adopt a $25,000 threshold.
The DUNS number still is the only
identifier with the advantages that led
us to establish it in 2003 as the
universal identifier for recipients of
grants and cooperative agreements (see
the preamble to 68 FR 38403, June 27,
2003). We do not agree that the one-time
requirement to obtain a DUNS number
is an undue hardship. We appreciate
that first-tier subrecipients who are not
also prime recipients of other Federal
awards may need to adjust their
procedures and systems initially to
accommodate the DUNS number
requirement, but we believe that the
long-term benefits to transparency
justify those changes.
Comment: Two Federal agencies
commented on the definition of ‘‘award’’
E:\FR\FM\14SER1.SGM
14SER1
jdjones on DSK8KYBLC1PROD with RULES
Federal Register / Vol. 75, No. 177 / Tuesday, September 14, 2010 / Rules and Regulations
in section 25.305 of the proposed 2 CFR
part 25. One agency questioned whether
excluding technical assistance and
transfers of Federally owned property
from the definition could have the
inadvertent effect of exempting them
from the effects of suspension and
debarment actions taken under 2 CFR
part 180, in which the term
‘‘nonprocurement transaction’’ is
defined in a way that would include
them. The second agency suggested
adding the words ‘‘for the purposes of
this part’’ to the definition.
Response: Agree to add ‘‘for the
purposes of this part’’ for added clarity,
as the term ‘‘award’’ must be defined in
each part of 2 CFR in a way that
conforms to the purpose of that part. For
example, the definitions of ‘‘award’’ in 2
CFR parts 182 and 225 differ
significantly. Part 182 implements the
Drug-Free Workplace Act of 1988 (41
U.S.C. 701–707, as amended) and
defines ‘‘award’’ to include grants and
cooperative agreements. The definition
of ‘‘award’’ in 2 CFR part 225, ‘‘Cost
Principles for State, Local, and Indian
Tribal Governments (OMB Circular A–
87),’’ includes not only grants and other
financial assistance awards but also cost
reimbursement contracts, because that
part specifies principles and standards
for determining costs for that wider
range of Federal funding instruments.
Comment: A Federal agency suggested
that we delete paragraph 25.200(a)(2) in
the proposed 2 CFR part 25 because it
would be burdensome for an agency to
modify every program announcement it
already had issued under which it
anticipated making awards after October
1, 2010. It further noted that the
wording included some announcements
under which applications already had
been submitted.
Response: We disagree. We did not
delete paragraph 25.200(a)(2), as
suggested. We revised it to require
agencies to notify potential applicants
only in previously issued
announcements that have due dates for
applications or plans after October 1,
2010, and not all announcements under
which awards would be made after that
date. This does not change the fact that
all new awards, as defined in the policy,
after October 1, 2010 must reflect this
reporting requirement. Providing
potential applicants with more complete
information about the requirements
with which they will have to comply if
their applications are successful is
important, in order to enable them to
make better informed decisions on
whether to invest the time and expense
in preparing applications. That benefit
for potential applicants justifies the
burdens on agencies associated with
VerDate Mar<15>2010
14:52 Sep 13, 2010
Jkt 220001
issuing amendments to the previously
issued announcements.
List of Subjects in 2 CFR Part 25
Administrative practice and
procedures, Grants administration,
Grant programs, Loan programs.
Danny Werfel,
Controller.
Authority and Issuance
For the reasons set forth above, the
Office of Management and Budget
amends 2 CFR, subtitle A, as follows:
■
SUBTITLE A
25.320 Entity.
25.325 For-profit organization.
25.330 Foreign public entity.
25.335 Indian Tribe (or ‘‘Federally
recognized Indian Tribe’’).
25.340 Local government.
25.345 Nonprofit organization.
25.350 State.
25.355 Subaward.
25.360 Subrecipient.
Appendix A to Part 25—Award Term
Authority: Pub. L. 109–282; 31 U.S.C.
6102.
Subpart A–General
§ 25.100
PARTS 2–99—[TRANSFERRED TO
CHAPTER I]
1. In subtitle A to title 2, parts 2
through 99, which are currently
reserved, are transferred to chapter I.
■ 2. Subchapter A to chapter I,
consisting of parts 2 through 19, is
established and reserved to read as
follows:
■
Subchapter A—General Matters [Reserved]
55673
Purposes of this part.
This part provides guidance to
agencies to establish:
(a) The Dun and Bradstreet (D&B)
Data Universal Numbering System
(DUNS) number as a universal identifier
for Federal financial assistance
applicants, as well as recipients and
their direct subrecipients.
(b) The Central Contractor
Registration (CCR) as the repository for
standard information about applicants
and recipients.
PARTS 2–19—[RESERVED]
3. Subchapter B to chapter I,
consisting of parts 20 through 39, is
established and added to read as
follows:
§ 25.105 Types of awards to which this
part applies.
This part applies to an agency’s
grants, cooperative agreements, loans,
and other types of Federal financial
assistance included in the definition of
‘‘award’’ in § 25.305. The requirements
in this part must be implemented for
grants and cooperative agreements by
October 1, 2010. The requirements in
this part must be implemented for all
other award forms listed in § 25.200
requirement at a date to be specified in
the future.
■
Subchapter B—Pre-Award Responsibilities
PARTS 20–24—[RESERVED]
PART 25—UNIVERSAL IDENTIFIER
AND CENTRAL CONTRACTOR
REGISTRATION
Sec.
Subpart A—General
25.100 Purposes of this part.
25.105 Types of awards to which this part
applies.
25.110 Types of recipient and subrecipient
entities to which this part applies.
25.115 Deviations.
Subpart B—Policy
25.200 Requirements for program
announcements, regulations, and
application instructions.
25.205 Effect of noncompliance with a
requirement to obtain a DUNS number or
register in the CCR.
25.210 Authority to modify agency
application forms or formats.
25.215 Requirements for agency
information systems.
25.220 Use of award term.
Subpart C—Definitions
25.300 Agency.
25.305 Award.
25.310 Central Contractor Registration
(CCR).
25.315 Data Universal Numbering System
(DUNS) Number.
PO 00000
Frm 00011
Fmt 4700
Sfmt 4700
§ 25.110 Types of recipient and
subrecipient entities to which this part
applies.
(a) General. Through an agency’s
implementation of the guidance in this
part, this part applies to all entities,
other than those exempted in
paragraphs (b), (c), and (d) of this
section, that—
(1) Apply for or receive agency
awards; or
(2) Receive subawards directly from
recipients of those agency awards.
(b) Exemptions for individuals. None
of the requirements in this part apply to
an individual who applies for or
receives Federal financial assistance as
a natural person (i.e., unrelated to any
business or non-profit organization he
or she may own or operate in his or her
name).
(c) Exemptions for Federal agencies.
The requirement in this part to maintain
a current registration in the CCR does
not apply to an agency of the Federal
E:\FR\FM\14SER1.SGM
14SER1
55674
Federal Register / Vol. 75, No. 177 / Tuesday, September 14, 2010 / Rules and Regulations
Government that receives an award from
another agency.
(d) Other exemptions. (1) Under a
condition identified in paragraph (d)(2)
of this section, an agency may exempt
an entity from an applicable
requirement to obtain a DUNS number,
register in the CCR, or both.
(i) In that case, the agency must use
a generic DUNS number in data it
reports to USASpending.gov if reporting
for a prime award to the entity is
required by the Federal Funding
Accountability and Transparency Act
(Pub. L. 109–282, hereafter cited as
‘‘Transparency Act’’).
(ii) Agency use of a generic DUNS
should be used rarely for prime award
reporting because it prevents prime
awardees from being able to fulfill the
subward or executive compensation
reporting required by the Transparency
Act.
(2) The conditions under which an
agency may exempt an entity are—
(i) For any entity, if the agency
determines that it must protect
information about the entity from
disclosure, to avoid compromising
classified information or national
security or jeopardizing the personal
safety of the entity’s clients.
(ii) For a foreign entity applying for or
receiving an award or subaward for a
project or program performed outside
the United States valued at less than
$25,000, if the agency deems it to be
impractical for the entity to comply
with the requirement(s).
(3) Agencies’ use of generic DUNS
numbers, as described in paragraphs
(d)(1) and (2) of this section, should be
rare. Having a generic DUNS number
limits a recipient’s ability to use
Governmentwide systems that are
needed to comply with some reporting
requirements.
§ 25.115
Deviations.
Deviations from this part require the
prior approval of the Office of
Management and Budget (OMB).
Subpart B—Policy
jdjones on DSK8KYBLC1PROD with RULES
§ 25.200 Requirements for program
announcements, regulations, and
application instructions.
(a) Each agency that awards types of
Federal financial assistance included in
the definition of ‘‘award’’ in § 25.305
must include the requirements
described in paragraph (b) of this
section in each program announcement,
regulation, or other issuance containing
instructions for applicants that either:
(1) Is issued on or after the effective
date of this part; or
(2) Has application or plan due dates
after October 1, 2010.
VerDate Mar<15>2010
14:52 Sep 13, 2010
Jkt 220001
(b) The program announcement,
regulation, or other issuance must
require each entity that applies and does
not have an exemption under § 25.110
to:
(1) Be registered in the CCR prior to
submitting an application or plan;
(2) Maintain an active CCR
registration with current information at
all times during which it has an active
Federal award or an application or plan
under consideration by an agency; and
(3) Provide its DUNS number in each
application or plan it submits to the
agency.
(c) For purposes of this policy:
(1) The applicant is the entity that
meets the agency’s or program’s
eligibility criteria and has the legal
authority to apply and to receive the
award. For example, if a consortium
applies for an award to be made to the
consortium as the recipient, the
consortium must have a DUNS number.
If a consortium is eligible to receive
funding under an agency program but
the agency’s policy is to make the award
to a lead entity for the consortium, the
DUNS number of the lead entity will be
used.
(2) A ‘‘program announcement’’ is any
paper or electronic issuance that an
agency uses to announce a funding
opportunity, whether it is called a
‘‘program announcement,’’ ‘‘notice of
funding availability,’’ ‘‘broad agency
announcement,’’ ‘‘research
announcement,’’ ‘‘solicitation,’’ or some
other term.
(3) To remain registered in the CCR
database after the initial registration, the
applicant is required to review and
update on an annual basis from the date
of initial registration or subsequent
updates its information in the CCR
database to ensure it is current, accurate
and complete.
§ 25.205 Effect of noncompliance with a
requirement to obtain a DUNS number or
register in the CCR.
(a) An agency may not make an award
to an entity until the entity has
complied with the requirements
described in § 25.200 to provide a valid
DUNS number and maintain an active
CCR registration with current
information (other than any requirement
that is not applicable because the entity
is exempted under § 25.110).
(b) At the time an agency is ready to
make an award, if the intended recipient
has not complied with an applicable
requirement to provide a DUNS number
or maintain an active CCR registration
with current information, the agency:
(1) May determine that the applicant
is not qualified to receive an award; and
PO 00000
Frm 00012
Fmt 4700
Sfmt 4700
(2) May use that determination as a
basis for making an award to another
applicant.
§ 25.210 Authority to modify agency
application forms or formats.
To implement the policies in
§§ 25.200 and 25.205, an agency may
add a DUNS number field to application
forms or formats previously approved
by OMB, without having to obtain
further approval to add the field.
§ 25.215 Requirements for agency
information systems.
Each agency that makes awards (as
defined in § 25.325) must ensure that
systems processing information related
to the awards, and other systems as
appropriate, are able to accept and use
the DUNS number as the universal
identifier for financial assistance
applicants and recipients.
§ 25.220
Use of award term.
(a) To accomplish the purposes
described in § 25.100, an agency must
include in each award (as defined in
§ 25.305) the award term in Appendix A
to this part.
(b) An agency may use different
letters and numbers than those in
Appendix A to this part to designate the
paragraphs of the award term, if
necessary, to conform the system of
paragraph designations with the one
used in other terms and conditions in
the agency’s awards.
Subpart C—Definitions
§ 25.300
Agency.
Agency means a Federal agency as
defined at 5 U.S.C. 551(1) and further
clarified by 5 U.S.C. 552(f).
§ 25.305
Award.
(a) Award, for the purposes of this
part, means an award of Federal
financial assistance that a non-Federal
entity described in § 25.110(a) receives
or administers in the form of—
(1) A grant;
(2) A cooperative agreement (which
does not include a cooperative research
and development agreement pursuant to
the Federal Technology Transfer Act of
1986, as amended (15 U.S.C. 3710a));
(3) A loan;
(4) A loan guarantee;
(5) A subsidy;
(6) Insurance;
(7) Food commodities;
(8) A direct appropriation;
(9) Assessed or voluntary
contributions; or
(10) Any other financial assistance
transaction that authorizes the nonFederal entity’s expenditure of Federal
funds.
E:\FR\FM\14SER1.SGM
14SER1
Federal Register / Vol. 75, No. 177 / Tuesday, September 14, 2010 / Rules and Regulations
(b) An Award does not include:
(1) Technical assistance, which
provides services in lieu of money; and
(2) A transfer of title to Federally
owned property provided in lieu of
money, even if the award is called a
grant.
§ 25.310
(CCR).
Central Contractor Registration
Central Contractor Registration (CCR)
has the meaning given in paragraph C.1
of the award term in Appendix A to this
part.
§ 25.315 Data Universal Numbering
System (DUNS) Number.
Data Universal Numbering System
(DUNS) Number has the meaning given
in paragraph C.2 of the award term in
Appendix A to this part.
§ 25.320
Entity.
Entity, as it is used in this part, has
the meaning given in paragraph C.3 of
the award term in Appendix A to this
part.
§ 25.325
§ 25.340
Foreign public entity.
Foreign public entity means:
(a) A foreign government or foreign
governmental entity;
(b) A public international
organization, which is an organization
entitled to enjoy privileges, exemptions,
and immunities as an international
organization under the International
Organizations Immunities Act (22
U.S.C. 288–288f);
(c) An entity owned (in whole or in
part) or controlled by a foreign
government; and
(d) Any other entity consisting wholly
or partially of one or more foreign
governments or foreign governmental
entities.
§ 25.350
jdjones on DSK8KYBLC1PROD with RULES
Indian Tribe (or ‘‘Federally recognized
Indian Tribe’’) means any Indian Tribe,
band, nation, or other organized group
or community, including any Alaskan
Native village or regional or village
corporation (as defined in, or
established under, the Alaskan Native
§ 25.360
Jkt 220001
State.
State means—
(a) Any State of the United States;
(b) The District of Columbia;
(c) Any agency or instrumentality of
a State other than a local government or
State-controlled institution of higher
education;
(d) The Commonwealths of Puerto
Rico and the Northern Mariana Islands;
and
(e) The United States Virgin Islands,
Guam, American Samoa, and a territory
or possession of the United States.
§ 25.355
14:52 Sep 13, 2010
Nonprofit organization.
Nonprofit organization—
(a) Means any corporation, trust,
association, cooperative, or other
organization that—
(1) Is operated primarily for scientific,
educational, service, charitable, or
similar purposes in the public interest;
(2) Is not organized primarily for
profit; and
(3) Uses net proceeds to maintain,
improve, or expand the operations of
the organization.
(b) Includes nonprofit—
(1) Institutions of higher education;
(2) Hospitals; and
(3) Tribal organizations other than
those included in the definition of
‘‘Indian Tribe.’’
§ 25.335 Indian Tribe (or ‘‘Federally
recognized Indian Tribe’’).
VerDate Mar<15>2010
Local government.
Local government means a:
(a) County;
(b) Borough;
(c) Municipality;
(d) City;
(e) Town;
(f) Township;
(g) Parish;
(h) Local public authority, including
any public housing agency under the
United States Housing Act of 1937;
(i) Special district;
(j) School district;
(k) Intrastate district;
(l) Council of governments, whether
or not incorporated as a nonprofit
corporation under State law; and
(m) Any other instrumentality of a
local government.
§ 25.345
For-profit organization.
For-profit organization means a nonFederal entity organized for profit. It
includes, but is not limited to:
(a) An ‘‘S corporation’’ incorporated
under Subchapter S of the Internal
Revenue Code;
(b) A corporation incorporated under
another authority;
(c) A partnership;
(d) A limited liability corporation or
partnership; and
(e) A sole proprietorship.
§ 25.330
Claims Settlement Act (43 U.S.C. 1601,
et seq.)) that is recognized by the United
States as eligible for the special
programs and services provided by the
United States to Indians because of their
status as Indians.
Subaward.
Subaward has the meaning given in
paragraph C.4 of the award term in
Appendix A to this part.
Subrecipient.
Subrecipient has the meaning given in
paragraph C.5 of the award term in
Appendix A to this part.
PO 00000
Frm 00013
Fmt 4700
Sfmt 4700
55675
Appendix A to Part 25—Award Term
I. Central Contractor Registration and
Universal Identifier Requirements
A. Requirement for Central Contractor
Registration (CCR)
Unless you are exempted from this
requirement under 2 CFR 25.110, you as the
recipient must maintain the currency of your
information in the CCR until you submit the
final financial report required under this
award or receive the final payment,
whichever is later. This requires that you
review and update the information at least
annually after the initial registration, and
more frequently if required by changes in
your information or another award term.
B. Requirement for Data Universal
Numbering System (DUNS) Numbers
If you are authorized to make subawards
under this award, you:
1. Must notify potential subrecipients that
no entity (see definition in paragraph C of
this award term) may receive a subaward
from you unless the entity has provided its
DUNS number to you.
2. May not make a subaward to an entity
unless the entity has provided its DUNS
number to you.
C. Definitions
For purposes of this award term:
1. Central Contractor Registration (CCR)
means the Federal repository into which an
entity must provide information required for
the conduct of business as a recipient.
Additional information about registration
procedures may be found at the CCR Internet
site (currently at https://www.ccr.gov).
2. Data Universal Numbering System
(DUNS) number means the nine-digit number
established and assigned by Dun and
Bradstreet, Inc. (D&B) to uniquely identify
business entities. A DUNS number may be
obtained from D&B by telephone (currently
866–705–5711) or the Internet (currently at
https://fedgov.dnb.com/webform).
3. Entity, as it is used in this award term,
means all of the following, as defined at 2
CFR part 25, subpart C:
a. A Governmental organization, which is
a State, local government, or Indian Tribe;
b. A foreign public entity;
c. A domestic or foreign nonprofit
organization;
d. A domestic or foreign for-profit
organization; and
e. A Federal agency, but only as a
subrecipient under an award or subaward to
a non-Federal entity.
4. Subaward:
a. This term means a legal instrument to
provide support for the performance of any
portion of the substantive project or program
for which you received this award and that
you as the recipient award to an eligible
subrecipient.
b. The term does not include your
procurement of property and services needed
to carry out the project or program (for
further explanation, see Sec. ll.210 of the
attachment to OMB Circular A–133, ‘‘Audits
of States, Local Governments, and Non-Profit
Organizations’’).
E:\FR\FM\14SER1.SGM
14SER1
55676
Federal Register / Vol. 75, No. 177 / Tuesday, September 14, 2010 / Rules and Regulations
c. A subaward may be provided through
any legal agreement, including an agreement
that you consider a contract.
5. Subrecipient means an entity that:
a. Receives a subaward from you under this
award; and
b. Is accountable to you for the use of the
Federal funds provided by the subaward.
DEPARTMENT OF HEALTH AND
HUMAN SERVICES
congressional review requirements in 5
U.S.C. 801–808.
Food and Drug Administration
List of Subjects
PART 26–39—[RESERVED]
Animal Drugs, Feeds, and Related
Products; Withdrawal of Approval of
New Animal Drug Applications;
Chloramphenicol; Lincomycin;
Pyrantel Tartrate; and Tylosin
Phosphate and Sulfamethazine
4. Subchapter C to chapter I,
consisting of parts 40 through 59, is
established and reserved to read as
follows:
■
Subchapter C—Award Content and Format
[Reserved]
PARTS 40–59—[RESERVED]
5. Subchapter D to chapter I,
consisting of parts 60 through 79, is
established and added to read as
follows:
Subchapter D—Post-Award Responsibilities
PARTS 60–79—[RESERVED]
6. Subchapter E to chapter I,
consisting of parts 80 through 99, is
established and reserved to read as
follows:
■
Subchapter E—Cost Principles [Reserved]
7. Subchapter F to chapter I,
consisting of parts 100 through 119, is
established and reserved to read as
follows:
■
Subchapter F—Audit Requirements
[Reserved]
PARTS 100–119—[RESERVED]
8. Subchapter G to chapter I,
consisting of parts 120 through 199, is
established, and a new subchapter
heading is added to read as follows:
■
Subchapter G—National Policy
Requirements
[FR Doc. 2010–22706 Filed 9–13–10; 8:45 am]
jdjones on DSK8KYBLC1PROD with RULES
BILLING CODE P
VerDate Mar<15>2010
14:52 Sep 13, 2010
Jkt 220001
[Docket No. FDA–2010–N–0002]
AGENCY:
ACTION:
21 CFR Part 520
Animal drugs.
21 CFR Part 558
Animal drugs, Animal feeds.
Final rule.
Frm 00014
Fmt 4700
Therefore, under the Federal Food,
Drug, and Cosmetic Act and under
authority delegated to the Commissioner
of Food and Drugs and redelegated to
the Center for Veterinary Medicine, 21
CFR parts 510, 520, and 558 are
amended as follows:
■
The Food and Drug
Administration (FDA) is amending the
animal drug regulations by removing
those portions that reflect approval of
four new animal drug applications
(NADAs). In a notice published
elsewhere in this issue of the Federal
Register, FDA is withdrawing approval
of these NADAs.
DATES: This rule is effective September
24, 2010.
FOR FURTHER INFORMATION CONTACT: John
Bartkowiak, Center for Veterinary
Medicine (HFV–212), Food and Drug
Administration, 7519 Standish Pl.,
Rockville, MD 20855, 240–276–9079;
email: john.bartkowiak@fda.hhs.gov.
SUPPLEMENTARY INFORMATION: John J.
Ferrante, 11 Fairway Lane, Trumbull,
CT 06611; International Nutrition, Inc.,
7706 ‘‘I’’ Plaza, Omaha, NE 68127; and
Feed Service Co., Inc., 303 Lundin
Blvd., P.O. Box 698, Mankato, MN
56001 have requested that FDA
withdraw approval of the four NADAs
listed in the following paragraph
because they are no longer
manufactured or marketed:
In a notice published elsewhere in
this issue of the Federal Register, FDA
gave notice that approval of NADA 65–
137, 121–337, 132–923, and 138–342,
and all supplements and amendments
thereto, is withdrawn, effective
September 24, 2010. As provided in the
regulatory text of this document, the
animal drug regulations are amended to
reflect these withdrawals of approval.
Following these changes of
sponsorship, Feed Service Co., Inc., and
John J. Ferrante are no longer the
sponsor of an approved application.
Accordingly, 21 CFR 510.600(c) is being
amended to remove the entries for these
firms.
This rule does not meet the definition
of ‘‘rule’’ in 5 U.S.C. 804(3)(A) because
it is a rule of ‘‘particular applicability.’’
Therefore, it is not subject to the
PO 00000
Administrative practice and
procedure, Animal drugs, Labeling,
Reporting and recordkeeping
requirements.
Food and Drug Administration,
HHS.
SUMMARY:
■
PARTS 80–99—[RESERVED]
21 CFR Part 510
21 CFR Parts 510, 520, and 558
Sfmt 4700
PART 510—NEW ANIMAL DRUGS
1. The authority citation for 21 CFR
part 510 continues to read as follows:
■
Authority: 21 U.S.C. 321, 331, 351, 352,
353, 360b, 371, 379e.
510.600
[Amended]
2. In § 510.600, in the table in
paragraph (c)(1), remove the entries for
‘‘Feed Service Co., Inc.’’ and ‘‘John J.
Ferrante’’; and in the table in paragraph
(c)(2), remove the entries for ‘‘030841’’
and ‘‘058034’’.
■
PART 520—ORAL DOSAGE FORM
NEW ANIMAL DRUGS
3. The authority citation for 21 CFR
part 520 continues to read as follows:
■
Authority: 21 U.S.C. 360b.
4. In § 520.390b, revise paragraph (b)
to read as follows:
■
§ 520.390b
Chloramphenicol capsules.
*
*
*
*
*
(b) Sponsors. See Nos. 000069 and
050057 in § 510.600(c) of this chapter
for use as in paragraph (d) of this
section.
*
*
*
*
*
PART 558—NEW ANIMAL DRUGS FOR
USE IN ANIMAL FEEDS
5. The authority citation for 21 CFR
part 558 continues to read as follows:
■
Authority: 21 U.S.C. 360b, 371.
6. In § 558.325, revise paragraphs (a)
and (c)(3)(ii); and in the table in
paragraphs (d)(2)(ii) and (d)(2)(iii), in
the ‘‘Sponsor’’ column, remove ‘‘043733’’
to read as follows:
■
E:\FR\FM\14SER1.SGM
14SER1
]]>Agencies
[Federal Register Volume 75, Number 177 (Tuesday, September 14, 2010)]
[Rules and Regulations]
[Pages 55671-55676]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-22706]
-----------------------------------------------------------------------
OFFICE OF MANAGEMENT AND BUDGET
2 CFR Subtitle A, Chapter I, and Part 25
Financial Assistance Use of Universal Identifier and Central
Contractor Registration
AGENCY: Office of Federal Financial Management, Office of Management
and Budget.
ACTION: Final guidance.
-----------------------------------------------------------------------
SUMMARY: OMB is issuing guidance to Federal agencies concerning two
requirements for financial assistance applicants and recipients, and
one requirement for first-tier subrecipients. An agency under the
guidance must require applicants other than individuals, with some
specific exceptions, to have Dun and Bradstreet Data Universal
Numbering System (DUNS) numbers and maintain current registrations in
the Central Contractor Registration (CCR) database. An agency must
require applicants and recipients of grants and cooperative agreements
to comply with the DUNS number and CCR requirements by October 1, 2010
and require applicants and recipients of all other financial assistance
types to comply by October 1, 2011. The guidance provides standard
wording for a new award term that each agency must
[[Page 55672]]
include in its financial assistance awards to require recipients to
maintain current CCR registrations, which requires that they also have
DUNS numbers. The guidance also specifies that each recipient may make
subawards only to entities that have DUNS numbers.
DATES: Effective September 14, 2010.
FOR FURTHER INFORMATION CONTACT: Marguerite Pridgen, Office of Federal
Financial Management, Office of Management and Budget, telephone (202)
395-7844.
SUPPLEMENTARY INFORMATION:
I. Summary of Changes
On February 18, 2010 (75 FR 7316), OMB proposed a number of changes
to title 2 of the Code of Federal Regulations (2 CFR). Some of the
proposed changes were to provide new guidance to agencies that was
needed to implement section 872 of the Duncan Hunter National Defense
Authorization Act for Fiscal Year 2009 (Pub. L. 110-417, hereafter
referred to as ``section 872''), as that statute applies to grants.
Some of the other proposed changes were to update guidance that existed
elsewhere and relocate it in 2 CFR to provide needed context for the
new guidance implementing section 872. The remaining changes were
administrative in nature, to create seven subchapters in 2 CFR, Chapter
I, as a better organizational framework for existing and future content
in that chapter.
OMB now is finalizing some of those proposed changes, with the rest
to follow separately. The substantive changes being finalized relate to
the use of DUNS numbers and registration in the CCR. These changes are
being finalized separately and expedited because they will enhance the
quality of information available to the public when recipients begin on
October 1, 2010 to report information on subawards, as required by the
Federal Funding Accountability and Transparency Act of 2006 (Pub. L.
109-282, as amended, hereafter referred to as ``the Transparency
Act''). OMB also is finalizing the administrative changes proposed in
February 2010, by creating the new subchapters in 2 CFR, Chapter I.
II. Relationship to Existing Requirements
The requirement for applicants to have DUNS numbers is not new. OMB
established the DUNS requirement for applicants for grants or
cooperative agreements in 2003. The policy was published in the Federal
Register [68 FR 38402] and communicated to Federal agencies in OMB
Memorandum M-03-16. The requirement was broadened to include applicants
for other types of Federal financial assistance subject to the
Transparency Act in 2008, in OMB Memorandum 08-19. Therefore, the sole
effect of the guidance following this preamble is to relocate the
requirement in the Code of Federal Regulations, in 2 CFR part 25.
There are several existing requirements concerning applicants'
registration in the CCR. For example, an applicant must be registered
in CCR if it wants to submit its applications electronically through
Grants.gov. In another example, several providers of payment management
services require that recipients be registered in CCR before receiving
payments. As yet another example, OMB Memorandum M-09-10 required
applicants for funding under the American Recovery and Reinvestment Act
of 2009 (Pub. L. 111-5, hereafter referred to as ``the Recovery Act'')
to register in CCR. The guidance following this preamble broadens the
existing requirements to all other applicants for Federal financial
assistance awards subject to the Transparency Act.
Similarly, the requirement for recipients to maintain their
registration in the CCR throughout the period of performance under
their awards is not entirely new. The final OMB guidance on reporting
under the Recovery Act, OMB Memorandum M-09-21, requires recipients to
register in CCR in order to access the FederalReporting.gov site at
which they must report. That memorandum also allows a recipient to
delegate some reporting responsibilities to its first-tier
subrecipients, in which case those subrecipients must register in the
CCR in order to report (a first-tier subrecipient is one that receives
a subaward directly from the prime recipient, as distinct from a lower-
tier subrecipient that receives a subaward from another subrecipient).
For prime recipients, the guidance following this preamble broadens the
existing Recovery Act requirement to recipients of other awards subject
to the Transparency Act. Although the guidance proposed in February
2010 would have broadened the CCR requirement to first-tier
subrecipients, the final guidance being adopted at this time does not
require CCR registration for any subrecipients.
The standard award term that agencies must use to communicate the
DUNS and CCR requirements to recipients is new. It will help ensure
Government-wide uniformity, a benefit for recipients that receive
awards from multiple agencies.
Applicants and recipients of grants and cooperative agreements must
comply with the policy by October 1, 2010. Applicants and recipients of
all other financial assistance types must comply by a date to be
provided by the agency.
III. Comments and Responses
We received comments on the proposed guidance in 2 CFR part 25 from
three State agencies and three Federal agencies. We considered the
comments in developing the final guidance, which closely parallels the
proposed guidance. We made some changes based on the recommendations
and others for clarity. The following paragraphs summarize the comments
and our responses:
Comment: Three State agencies commented on the requirements for
first-tier subrecipients in the award term in Appendix A to the
proposed 2 CFR part 25. Two agencies cited burdens on subrecipients and
the Transparency Act's definition of ``Federal award'' as reasons to
exempt a subrecipient from the requirement to register in the CCR if
the amount of the subaward is $25,000 or less. The third agency asked
whether the prime recipient would be required to submit verification of
subrecipients' compliance with the CCR requirement to the Federal
agency and, if so, how frequently it would be required to do so. One of
the agencies also recommended exempting subrecipients with awards of
$25,000 or less from the requirement to obtain a DUNS number.
Response: Agree in part. We revised the final guidance so that
there is no requirement at this time for any subrecipient to register
in the CCR. Concerning the requirement for first-tier subrecipients to
obtain a DUNS number, we did not adopt a $25,000 threshold. The DUNS
number still is the only identifier with the advantages that led us to
establish it in 2003 as the universal identifier for recipients of
grants and cooperative agreements (see the preamble to 68 FR 38403,
June 27, 2003). We do not agree that the one-time requirement to obtain
a DUNS number is an undue hardship. We appreciate that first-tier
subrecipients who are not also prime recipients of other Federal awards
may need to adjust their procedures and systems initially to
accommodate the DUNS number requirement, but we believe that the long-
term benefits to transparency justify those changes.
Comment: Two Federal agencies commented on the definition of
``award''
[[Page 55673]]
in section 25.305 of the proposed 2 CFR part 25. One agency questioned
whether excluding technical assistance and transfers of Federally owned
property from the definition could have the inadvertent effect of
exempting them from the effects of suspension and debarment actions
taken under 2 CFR part 180, in which the term ``nonprocurement
transaction'' is defined in a way that would include them. The second
agency suggested adding the words ``for the purposes of this part'' to
the definition.
Response: Agree to add ``for the purposes of this part'' for added
clarity, as the term ``award'' must be defined in each part of 2 CFR in
a way that conforms to the purpose of that part. For example, the
definitions of ``award'' in 2 CFR parts 182 and 225 differ
significantly. Part 182 implements the Drug-Free Workplace Act of 1988
(41 U.S.C. 701-707, as amended) and defines ``award'' to include grants
and cooperative agreements. The definition of ``award'' in 2 CFR part
225, ``Cost Principles for State, Local, and Indian Tribal Governments
(OMB Circular A-87),'' includes not only grants and other financial
assistance awards but also cost reimbursement contracts, because that
part specifies principles and standards for determining costs for that
wider range of Federal funding instruments.
Comment: A Federal agency suggested that we delete paragraph
25.200(a)(2) in the proposed 2 CFR part 25 because it would be
burdensome for an agency to modify every program announcement it
already had issued under which it anticipated making awards after
October 1, 2010. It further noted that the wording included some
announcements under which applications already had been submitted.
Response: We disagree. We did not delete paragraph 25.200(a)(2), as
suggested. We revised it to require agencies to notify potential
applicants only in previously issued announcements that have due dates
for applications or plans after October 1, 2010, and not all
announcements under which awards would be made after that date. This
does not change the fact that all new awards, as defined in the policy,
after October 1, 2010 must reflect this reporting requirement.
Providing potential applicants with more complete information about the
requirements with which they will have to comply if their applications
are successful is important, in order to enable them to make better
informed decisions on whether to invest the time and expense in
preparing applications. That benefit for potential applicants justifies
the burdens on agencies associated with issuing amendments to the
previously issued announcements.
List of Subjects in 2 CFR Part 25
Administrative practice and procedures, Grants administration,
Grant programs, Loan programs.
Danny Werfel,
Controller.
Authority and Issuance
0
For the reasons set forth above, the Office of Management and Budget
amends 2 CFR, subtitle A, as follows:
SUBTITLE A
PARTS 2-99--[TRANSFERRED TO CHAPTER I]
0
1. In subtitle A to title 2, parts 2 through 99, which are currently
reserved, are transferred to chapter I.
0
2. Subchapter A to chapter I, consisting of parts 2 through 19, is
established and reserved to read as follows:
Subchapter A--General Matters [Reserved]
PARTS 2-19--[RESERVED]
0
3. Subchapter B to chapter I, consisting of parts 20 through 39, is
established and added to read as follows:
Subchapter B--Pre-Award Responsibilities
PARTS 20-24--[RESERVED]
PART 25--UNIVERSAL IDENTIFIER AND CENTRAL CONTRACTOR REGISTRATION
Sec.
Subpart A--General
25.100 Purposes of this part.
25.105 Types of awards to which this part applies.
25.110 Types of recipient and subrecipient entities to which this
part applies.
25.115 Deviations.
Subpart B--Policy
25.200 Requirements for program announcements, regulations, and
application instructions.
25.205 Effect of noncompliance with a requirement to obtain a DUNS
number or register in the CCR.
25.210 Authority to modify agency application forms or formats.
25.215 Requirements for agency information systems.
25.220 Use of award term.
Subpart C--Definitions
25.300 Agency.
25.305 Award.
25.310 Central Contractor Registration (CCR).
25.315 Data Universal Numbering System (DUNS) Number.
25.320 Entity.
25.325 For-profit organization.
25.330 Foreign public entity.
25.335 Indian Tribe (or ``Federally recognized Indian Tribe'').
25.340 Local government.
25.345 Nonprofit organization.
25.350 State.
25.355 Subaward.
25.360 Subrecipient.
Appendix A to Part 25--Award Term
Authority: Pub. L. 109-282; 31 U.S.C. 6102.
Subpart A-General
Sec. 25.100 Purposes of this part.
This part provides guidance to agencies to establish:
(a) The Dun and Bradstreet (D&B) Data Universal Numbering System
(DUNS) number as a universal identifier for Federal financial
assistance applicants, as well as recipients and their direct
subrecipients.
(b) The Central Contractor Registration (CCR) as the repository for
standard information about applicants and recipients.
Sec. 25.105 Types of awards to which this part applies.
This part applies to an agency's grants, cooperative agreements,
loans, and other types of Federal financial assistance included in the
definition of ``award'' in Sec. 25.305. The requirements in this part
must be implemented for grants and cooperative agreements by October 1,
2010. The requirements in this part must be implemented for all other
award forms listed in Sec. 25.200 requirement at a date to be
specified in the future.
Sec. 25.110 Types of recipient and subrecipient entities to which
this part applies.
(a) General. Through an agency's implementation of the guidance in
this part, this part applies to all entities, other than those exempted
in paragraphs (b), (c), and (d) of this section, that--
(1) Apply for or receive agency awards; or
(2) Receive subawards directly from recipients of those agency
awards.
(b) Exemptions for individuals. None of the requirements in this
part apply to an individual who applies for or receives Federal
financial assistance as a natural person (i.e., unrelated to any
business or non-profit organization he or she may own or operate in his
or her name).
(c) Exemptions for Federal agencies. The requirement in this part
to maintain a current registration in the CCR does not apply to an
agency of the Federal
[[Page 55674]]
Government that receives an award from another agency.
(d) Other exemptions. (1) Under a condition identified in paragraph
(d)(2) of this section, an agency may exempt an entity from an
applicable requirement to obtain a DUNS number, register in the CCR, or
both.
(i) In that case, the agency must use a generic DUNS number in data
it reports to USASpending.gov if reporting for a prime award to the
entity is required by the Federal Funding Accountability and
Transparency Act (Pub. L. 109-282, hereafter cited as ``Transparency
Act'').
(ii) Agency use of a generic DUNS should be used rarely for prime
award reporting because it prevents prime awardees from being able to
fulfill the subward or executive compensation reporting required by the
Transparency Act.
(2) The conditions under which an agency may exempt an entity are--
(i) For any entity, if the agency determines that it must protect
information about the entity from disclosure, to avoid compromising
classified information or national security or jeopardizing the
personal safety of the entity's clients.
(ii) For a foreign entity applying for or receiving an award or
subaward for a project or program performed outside the United States
valued at less than $25,000, if the agency deems it to be impractical
for the entity to comply with the requirement(s).
(3) Agencies' use of generic DUNS numbers, as described in
paragraphs (d)(1) and (2) of this section, should be rare. Having a
generic DUNS number limits a recipient's ability to use Governmentwide
systems that are needed to comply with some reporting requirements.
Sec. 25.115 Deviations.
Deviations from this part require the prior approval of the Office
of Management and Budget (OMB).
Subpart B--Policy
Sec. 25.200 Requirements for program announcements, regulations, and
application instructions.
(a) Each agency that awards types of Federal financial assistance
included in the definition of ``award'' in Sec. 25.305 must include
the requirements described in paragraph (b) of this section in each
program announcement, regulation, or other issuance containing
instructions for applicants that either:
(1) Is issued on or after the effective date of this part; or
(2) Has application or plan due dates after October 1, 2010.
(b) The program announcement, regulation, or other issuance must
require each entity that applies and does not have an exemption under
Sec. 25.110 to:
(1) Be registered in the CCR prior to submitting an application or
plan;
(2) Maintain an active CCR registration with current information at
all times during which it has an active Federal award or an application
or plan under consideration by an agency; and
(3) Provide its DUNS number in each application or plan it submits
to the agency.
(c) For purposes of this policy:
(1) The applicant is the entity that meets the agency's or
program's eligibility criteria and has the legal authority to apply and
to receive the award. For example, if a consortium applies for an award
to be made to the consortium as the recipient, the consortium must have
a DUNS number. If a consortium is eligible to receive funding under an
agency program but the agency's policy is to make the award to a lead
entity for the consortium, the DUNS number of the lead entity will be
used.
(2) A ``program announcement'' is any paper or electronic issuance
that an agency uses to announce a funding opportunity, whether it is
called a ``program announcement,'' ``notice of funding availability,''
``broad agency announcement,'' ``research announcement,''
``solicitation,'' or some other term.
(3) To remain registered in the CCR database after the initial
registration, the applicant is required to review and update on an
annual basis from the date of initial registration or subsequent
updates its information in the CCR database to ensure it is current,
accurate and complete.
Sec. 25.205 Effect of noncompliance with a requirement to obtain a
DUNS number or register in the CCR.
(a) An agency may not make an award to an entity until the entity
has complied with the requirements described in Sec. 25.200 to provide
a valid DUNS number and maintain an active CCR registration with
current information (other than any requirement that is not applicable
because the entity is exempted under Sec. 25.110).
(b) At the time an agency is ready to make an award, if the
intended recipient has not complied with an applicable requirement to
provide a DUNS number or maintain an active CCR registration with
current information, the agency:
(1) May determine that the applicant is not qualified to receive an
award; and
(2) May use that determination as a basis for making an award to
another applicant.
Sec. 25.210 Authority to modify agency application forms or formats.
To implement the policies in Sec. Sec. 25.200 and 25.205, an
agency may add a DUNS number field to application forms or formats
previously approved by OMB, without having to obtain further approval
to add the field.
Sec. 25.215 Requirements for agency information systems.
Each agency that makes awards (as defined in Sec. 25.325) must
ensure that systems processing information related to the awards, and
other systems as appropriate, are able to accept and use the DUNS
number as the universal identifier for financial assistance applicants
and recipients.
Sec. 25.220 Use of award term.
(a) To accomplish the purposes described in Sec. 25.100, an agency
must include in each award (as defined in Sec. 25.305) the award term
in Appendix A to this part.
(b) An agency may use different letters and numbers than those in
Appendix A to this part to designate the paragraphs of the award term,
if necessary, to conform the system of paragraph designations with the
one used in other terms and conditions in the agency's awards.
Subpart C--Definitions
Sec. 25.300 Agency.
Agency means a Federal agency as defined at 5 U.S.C. 551(1) and
further clarified by 5 U.S.C. 552(f).
Sec. 25.305 Award.
(a) Award, for the purposes of this part, means an award of Federal
financial assistance that a non-Federal entity described in Sec.
25.110(a) receives or administers in the form of--
(1) A grant;
(2) A cooperative agreement (which does not include a cooperative
research and development agreement pursuant to the Federal Technology
Transfer Act of 1986, as amended (15 U.S.C. 3710a));
(3) A loan;
(4) A loan guarantee;
(5) A subsidy;
(6) Insurance;
(7) Food commodities;
(8) A direct appropriation;
(9) Assessed or voluntary contributions; or
(10) Any other financial assistance transaction that authorizes the
non-Federal entity's expenditure of Federal funds.
[[Page 55675]]
(b) An Award does not include:
(1) Technical assistance, which provides services in lieu of money;
and
(2) A transfer of title to Federally owned property provided in
lieu of money, even if the award is called a grant.
Sec. 25.310 Central Contractor Registration (CCR).
Central Contractor Registration (CCR) has the meaning given in
paragraph C.1 of the award term in Appendix A to this part.
Sec. 25.315 Data Universal Numbering System (DUNS) Number.
Data Universal Numbering System (DUNS) Number has the meaning given
in paragraph C.2 of the award term in Appendix A to this part.
Sec. 25.320 Entity.
Entity, as it is used in this part, has the meaning given in
paragraph C.3 of the award term in Appendix A to this part.
Sec. 25.325 For-profit organization.
For-profit organization means a non-Federal entity organized for
profit. It includes, but is not limited to:
(a) An ``S corporation'' incorporated under Subchapter S of the
Internal Revenue Code;
(b) A corporation incorporated under another authority;
(c) A partnership;
(d) A limited liability corporation or partnership; and
(e) A sole proprietorship.
Sec. 25.330 Foreign public entity.
Foreign public entity means:
(a) A foreign government or foreign governmental entity;
(b) A public international organization, which is an organization
entitled to enjoy privileges, exemptions, and immunities as an
international organization under the International Organizations
Immunities Act (22 U.S.C. 288-288f);
(c) An entity owned (in whole or in part) or controlled by a
foreign government; and
(d) Any other entity consisting wholly or partially of one or more
foreign governments or foreign governmental entities.
Sec. 25.335 Indian Tribe (or ``Federally recognized Indian Tribe'').
Indian Tribe (or ``Federally recognized Indian Tribe'') means any
Indian Tribe, band, nation, or other organized group or community,
including any Alaskan Native village or regional or village corporation
(as defined in, or established under, the Alaskan Native Claims
Settlement Act (43 U.S.C. 1601, et seq.)) that is recognized by the
United States as eligible for the special programs and services
provided by the United States to Indians because of their status as
Indians.
Sec. 25.340 Local government.
Local government means a:
(a) County;
(b) Borough;
(c) Municipality;
(d) City;
(e) Town;
(f) Township;
(g) Parish;
(h) Local public authority, including any public housing agency
under the United States Housing Act of 1937;
(i) Special district;
(j) School district;
(k) Intrastate district;
(l) Council of governments, whether or not incorporated as a
nonprofit corporation under State law; and
(m) Any other instrumentality of a local government.
Sec. 25.345 Nonprofit organization.
Nonprofit organization--
(a) Means any corporation, trust, association, cooperative, or
other organization that--
(1) Is operated primarily for scientific, educational, service,
charitable, or similar purposes in the public interest;
(2) Is not organized primarily for profit; and
(3) Uses net proceeds to maintain, improve, or expand the
operations of the organization.
(b) Includes nonprofit--
(1) Institutions of higher education;
(2) Hospitals; and
(3) Tribal organizations other than those included in the
definition of ``Indian Tribe.''
Sec. 25.350 State.
State means--
(a) Any State of the United States;
(b) The District of Columbia;
(c) Any agency or instrumentality of a State other than a local
government or State-controlled institution of higher education;
(d) The Commonwealths of Puerto Rico and the Northern Mariana
Islands; and
(e) The United States Virgin Islands, Guam, American Samoa, and a
territory or possession of the United States.
Sec. 25.355 Subaward.
Subaward has the meaning given in paragraph C.4 of the award term
in Appendix A to this part.
Sec. 25.360 Subrecipient.
Subrecipient has the meaning given in paragraph C.5 of the award
term in Appendix A to this part.
Appendix A to Part 25--Award Term
I. Central Contractor Registration and Universal Identifier
Requirements
A. Requirement for Central Contractor Registration (CCR)
Unless you are exempted from this requirement under 2 CFR
25.110, you as the recipient must maintain the currency of your
information in the CCR until you submit the final financial report
required under this award or receive the final payment, whichever is
later. This requires that you review and update the information at
least annually after the initial registration, and more frequently
if required by changes in your information or another award term.
B. Requirement for Data Universal Numbering System (DUNS) Numbers
If you are authorized to make subawards under this award, you:
1. Must notify potential subrecipients that no entity (see
definition in paragraph C of this award term) may receive a subaward
from you unless the entity has provided its DUNS number to you.
2. May not make a subaward to an entity unless the entity has
provided its DUNS number to you.
C. Definitions
For purposes of this award term:
1. Central Contractor Registration (CCR) means the Federal
repository into which an entity must provide information required
for the conduct of business as a recipient. Additional information
about registration procedures may be found at the CCR Internet site
(currently at https://www.ccr.gov).
2. Data Universal Numbering System (DUNS) number means the nine-
digit number established and assigned by Dun and Bradstreet, Inc.
(D&B) to uniquely identify business entities. A DUNS number may be
obtained from D&B by telephone (currently 866-705-5711) or the
Internet (currently at https://fedgov.dnb.com/webform).
3. Entity, as it is used in this award term, means all of the
following, as defined at 2 CFR part 25, subpart C:
a. A Governmental organization, which is a State, local
government, or Indian Tribe;
b. A foreign public entity;
c. A domestic or foreign nonprofit organization;
d. A domestic or foreign for-profit organization; and
e. A Federal agency, but only as a subrecipient under an award
or subaward to a non-Federal entity.
4. Subaward:
a. This term means a legal instrument to provide support for the
performance of any portion of the substantive project or program for
which you received this award and that you as the recipient award to
an eligible subrecipient.
b. The term does not include your procurement of property and
services needed to carry out the project or program (for further
explanation, see Sec. ----.210 of the attachment to OMB Circular A-
133, ``Audits of States, Local Governments, and Non-Profit
Organizations'').
[[Page 55676]]
c. A subaward may be provided through any legal agreement,
including an agreement that you consider a contract.
5. Subrecipient means an entity that:
a. Receives a subaward from you under this award; and
b. Is accountable to you for the use of the Federal funds
provided by the subaward.
PART 26-39--[RESERVED]
0
4. Subchapter C to chapter I, consisting of parts 40 through 59, is
established and reserved to read as follows:
Subchapter C--Award Content and Format [Reserved]
PARTS 40-59--[RESERVED]
0
5. Subchapter D to chapter I, consisting of parts 60 through 79, is
established and added to read as follows:
Subchapter D--Post-Award Responsibilities
PARTS 60-79--[RESERVED]
0
6. Subchapter E to chapter I, consisting of parts 80 through 99, is
established and reserved to read as follows:
Subchapter E--Cost Principles [Reserved]
PARTS 80-99--[RESERVED]
0
7. Subchapter F to chapter I, consisting of parts 100 through 119, is
established and reserved to read as follows:
Subchapter F--Audit Requirements [Reserved]
PARTS 100-119--[RESERVED]
0
8. Subchapter G to chapter I, consisting of parts 120 through 199, is
established, and a new subchapter heading is added to read as follows:
Subchapter G--National Policy Requirements
[FR Doc. 2010-22706 Filed 9-13-10; 8:45 am]
BILLING CODE P
