A -- General Rules]
Part 1210 -- Uniform Administrative
Requirements for Grants and Agreements with Institutions of Higher
Education, Hospitals, and Other Non-Profit Organizations
Part 1210 was last amended on 3/16/00.Subpart
A -- General
||Effect on other issuances.|
B -- Pre-Award Requirements
||Forms for applying for Federal assistance.|
||Debarment and suspension.|
||Special award conditions.|
||Metric system of measurement.|
||Resource Conservation and Recovery Act.|
||Certifications and representations.|
C -- Post-Award Requirements
Financial and Program Management
||Purpose of financial and program management.|
||Standards for financial management systems.|
||Cost sharing or matching.|
||Revision of budget and program plans.|
||Period of availability of funds.|
||Purpose of property standards.|
||Insurance coverage. |
||Federally-owned and exempt property.|
||Supplies and other expendable property.|
||Property trust relationship.|
||Purpose of procurement standards.|
||Codes of conduct.|
||Cost and price analysis.|
Reports and Records
||Purpose of reports and records.|
||Monitoring and reporting program performance.|
||Retention and access requirements for
Termination and Enforcement
||Purpose of termination and enforcement.|
D -- After-the-Award Requirements
||Subsequent adjustments and continuing
||Collection of amounts due.|
A -- Contract Provisions
Authority: 5 U.S.C. 301; OMB Circular A-110 (64 FR 54926, October
Subpart A -- General
This part establishes uniform administrative requirements for
NHPRC grants and agreements awarded to institutions of higher
education, hospitals, and other non-profit organizations. Non-profit
organizations that implement NHPRC programs for the States are also
subject to State requirements.
(a) Accrued expenditures means the charges incurred by the
recipient during a given period requiring the provision of funds
(1) Goods and other tangible property received;
(2) Services performed by employees, contractors, subrecipients,
and other payees; and,
(3) Other amounts becoming owed under programs for which no
current services or performance is required.
(b) Accrued income means the sum of:
(1) Earnings during a given period from
(i) Services performed by the recipient, and
(ii) Goods and other tangible property delivered to purchasers,
(2) Amounts becoming owed to the recipient for which no current
services or performance is required by the recipient.
(c) Acquisition cost of equipment means the net invoice
price of the equipment, including the cost of modifications,
attachments, accessories, or auxiliary apparatus necessary to make
the property usable for the purpose for which it was acquired. Other
charges, such as the cost of installation, transportation, taxes,
duty or protective in-transit insurance, shall be included or
excluded from the unit acquisition cost in accordance with the
recipient's regular accounting practices.
(d) Advance means a payment made by Treasury check or
other appropriate payment mechanism to a recipient upon its request
either before outlays are made by the recipient or through the use
of predetermined payment schedules.
(e) Award means financial assistance that provides support
or stimulation to accomplish a public purpose. Awards include grants
and other agreements in the form of money or property in lieu of
money, by the NHPRC to an eligible recipient. The term does not
include: technical assistance, which provides services instead of
money; other assistance in the form of loans, loan guarantees,
interest subsidies, or insurance; direct payments of any kind to
individuals; and, contracts which are required to be entered into
and administered under procurement laws and regulations.
(f) Cash contributions means the recipient's cash outlay,
including the outlay of money contributed to the recipient by third
(g) Closeout means the process by which the NHPRC
determines that all applicable administrative actions and all
required work of the award have been completed by the recipient and
(h) Contract means a procurement contract under an award
or subaward, and a procurement subcontract under a recipient's or
(i) Cost sharing or matching means that portion of project
or program costs not borne by the NHPRC.
(j) Date of completion means the date on which all work
under an award is completed or the date on the award document, or
any supplement or amendment thereto, on which NHPRC sponsorship
(k) Disallowed costs means those charges to an award that
the NHPRC determines to be unallowable, in accordance with the
applicable Federal cost principles or other terms and conditions
contained in the award.
(l) Equipment means tangible nonexpendable personal
property including exempt property charged directly to the award
having a useful life of more than one year and an acquisition cost
of $5,000 or more per unit. However, consistent with recipient
policy, lower limits may be established.
(m) Excess property means property under the control of
the NHPRC that, as determined by the head thereof, is no longer
required for its needs or the discharge of its responsibilities.
(n) Exempt property means tangible personal property
acquired in whole or in part with NHPRC funds, where the NHPRC has
statutory authority to vest title in the recipient without further
obligation to the Federal Government. An example of exempt property
authority is contained in the Federal Grant and Cooperative
Agreement Act (31 U.S.C. 6306), for property acquired under an award
to conduct basic or applied research by a non-profit institution of
higher education or non-profit organization whose principal purpose
is conducting scientific research.
(o) Federal awarding agency means the Federal agency that
provides an award to the recipient.
(p) Federal funds authorized means the total amount of
NHPRC funds obligated by the Federal Government for use by the
recipient. This amount may include any authorized carryover of
unobligated funds from prior funding periods when permitted by NHPRC
regulations or NHPRC implementing instructions.
(q) Federal share of real property, equipment, or supplies
means that percentage of the property's acquisition costs and any
improvement expenditures paid with NHPRC funds.
(r) Funding period means the period of time when NHPRC
funding is available for obligation by the recipient.
(s) Intangible property and debt instruments means, but is
not limited to, trademarks, copyrights, patents and patent
applications and such property as loans, notes and other debt
instruments, lease agreements, stock and other instruments of
property ownership, whether considered tangible or intangible.
(t) NARA means the National Archives and Records
(u) NHPRC means the National Historical Publications and
(v) Obligations means the amounts of orders placed,
contracts and grants awarded, services received and similar
transactions during a given period that require payment by the
recipient during the same or a future period.
(w) Outlays or expenditures means charges made to the
project or program. They may be reported on a cash or accrual basis.
For reports prepared on a cash basis, outlays are the sum of cash
disbursements for direct charges for goods and services, the amount
of indirect expense charged, the value of third party in-kind
contributions applied and the amount of cash advances and payments
made to subrecipients. For reports prepared on an accrual basis,
outlays are the sum of cash disbursements for direct charges for
goods and services, the amount of indirect expense incurred, the
value of in-kind contributions applied, and the net increase (or
decrease) in the amounts owed by the recipient for goods and other
property received, for services performed by employees, contractors,
subrecipients and other payees and other amounts becoming owed under
programs for which no current services or performance are
(x) Personal property means property of any kind except
real property. It may be tangible, having physical existence, or
intangible, having no physical existence, such as copyrights,
patents, or securities.
(y) Prior approval means written approval by an authorized
official evidencing prior consent.
(z) Program income means gross income earned by the
recipient that is directly generated by a supported activity or
earned as a result of the award (see exclusions in §1210.24 (e) and
(h)). Program income includes, but is not limited to, income from
fees for services performed, the use or rental of real or personal
property acquired under federally-funded projects, the sale of
commodities or items fabricated under an award, license fees and
royalties on patents and copyrights, and interest on loans made with
award funds. Interest earned on advances of Federal funds is not
program income. Except as otherwise provided in NHPRC regulations or
the terms and conditions of the award, program income does not
include the receipt of principal on loans, rebates, credits,
discounts, etc., or interest earned on any of them.
(aa) Project costs means all allowable costs, as set forth
in the applicable Federal cost principles, incurred by a recipient
and the value of the contributions made by third parties in
accomplishing the objectives of the award during the project
(bb) Project period means the period established in the
award document during which NHPRC sponsorship begins and ends.
(cc) Property means, unless otherwise stated, real
property, equipment, intangible property and debt instruments.
(dd) Real property means land, including land
improvements, structures and appurtenances thereto, but excludes
movable machinery and equipment.
(ee) Recipient means an organization receiving financial
assistance directly from the NHPRC to carry out a project or
program. The term includes public and private institutions of higher
education, public and private hospitals, and other quasi-public and
private non-profit organizations such as, but not limited to,
community action agencies, research institutes, educational
associations, and health centers. The term may include commercial
organizations, foreign or international organizations (such as
agencies of the United Nations) which are recipients, subrecipients,
or contractors or subcontractors of recipients or subrecipients at
the discretion of the NHPRC. The term does not include
government-owned contractor-operated facilities or research centers
providing continued support for mission-oriented, large-scale
programs that are government-owned or controlled, or are designated
as federally-funded research and development centers.
(ff) Research and development means all research
activities, both basic and applied, and all development activities
that are supported at universities, colleges, and other non-profit
institutions. "Research" is defined as a systematic study directed
toward fuller scientific knowledge or understanding of the subject
studied. "Development" is the systematic use of knowledge and
understanding gained from research directed toward the production of
useful materials, devices, systems, or methods, including design and
development of prototypes and processes. The term research also
includes activities involving the training of individuals in
research techniques where such activities utilize the same
facilities as other research and development activities and where
such activities are not included in the instruction function.
(gg) Small awards means a grant or cooperative agreement
not exceeding the small purchase threshold fixed at 41 U.S.C.
403(11) (currently $25,000).
(hh) Subaward means an award of financial assistance in
the form of money, or property in lieu of money, made under an award
by a recipient to an eligible subrecipient or by a subrecipient to a
lower tier subrecipient. The term includes financial assistance when
provided by any legal agreement, even if the agreement is called a
contract, but does not include procurement of goods and services nor
does it include any form of assistance which is excluded from the
definition of "award" in paragraph (e) of this section.
(ii) Subrecipient means the legal entity to which a
subaward is made and which is accountable to the recipient for the
use of the funds provided. The term may include foreign or
international organizations (such as agencies of the United Nations)
at the discretion of the NHPRC.
(jj) Supplies means all personal property excluding
equipment, intangible property, and debt instruments as defined in
this section, and inventions of a contractor conceived or first
actually reduced to practice in the performance of work under a
funding agreement ("subject inventions"), as defined in 37 CFR Part
401, "Rights to Inventions Made by Nonprofit Organizations and Small
Business Firms Under Government Grants, Contracts, and Cooperative
(kk) Suspension means an action by the NHPRC that
temporarily withdraws Federal sponsorship under an award, pending
corrective action by the recipient or pending a decision to
terminate the award by the NHPRC. Suspension of an award is a
separate action from suspension under NARA regulations implementing
E.O. 12549 and E.O. 12689, "Debarment and Suspension" (36 CFR Part
(ll) Termination means the cancellation of NHPRC
sponsorship, in whole or in part, under an agreement at any time
prior to the date of completion.
(mm) Third party in-kind contributions means the value of
non-cash contributions provided by non-Federal third parties. Third
party in-kind contributions may be in the form of real property,
equipment, supplies and other expendable property, and the value of
goods and services directly benefiting and specifically identifiable
to the project or program.
(nn) Unliquidated obligations, for financial reports prepared
on a cash basis, means the amount of obligations incurred by the
recipient that have not been paid. For reports prepared on an
accrued expenditure basis, they represent the amount of obligations
incurred by the recipient for which an outlay has not been
(oo) Unobligated balance means the portion of the funds
authorized by the NHPRC that has not been obligated by the recipient
and is determined by deducting the cumulative obligations from the
cumulative funds authorized.
(pp) Unrecovered indirect cost means the difference
between the amount awarded and the amount which could have been
awarded under the recipient's approved negotiated indirect cost
(qq) Working capital advance means a procedure whereby
funds are advanced to the recipient to cover its estimated
disbursement needs for a given initial period.
§1210.3 Effect on other issuances.
For awards subject to this part, all administrative requirements
of codified program regulations, program manuals, handbooks and
other nonregulatory materials which are inconsistent with the
requirements of this part shall be superseded, except to the extent
they are required by statute, or authorized in accordance with the
deviations provision in §1210.4.
The Office of Management and Budget (OMB) may grant exceptions
for classes of grants or recipients subject to the requirements of
this part when exceptions are not prohibited by statute. However, in
the interest of maximum uniformity, exceptions from the requirements
of this part shall be permitted only in unusual circumstances. The
NHPRC may apply more restrictive requirements to a class of
recipients when approved by OMB. The NHPRC may apply less
restrictive requirements when awarding small awards, except for
those requirements which are statutory. Exceptions on a case-by-case
basis may also be made by the NHPRC.
Unless sections of this part specifically exclude subrecipients
from coverage, the provisions of this part shall be applied to
subrecipients performing work under awards if such subrecipients are
institutions of higher education, hospitals or other non-profit
organizations. State and local government subrecipients are subject
to the provisions of regulations implementing the grants management
common rule, "Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments," published at
36 CFR Part 1207.
Subpart B -- Pre-Award Requirements
Sections 1210.11 through 1210.17 prescribes forms and
instructions and other pre-award matters to be used in applying for
§1210.11 Pre-award policies.
(a) Use of grants and cooperative agreements, and contracts. In
each instance, the NHPRC shall decide on the appropriate award
instrument (i.e., grant, cooperative agreement, or contract). The
Federal Grant and Cooperative Agreement Act (31 U.S.C. 6301-08)
governs the use of grants, cooperative agreements and contracts. A
grant or cooperative agreement shall be used only when the principal
purpose of a transaction is to accomplish a public purpose of
support or stimulation authorized by Federal statute. The statutory
criterion for choosing between grants and cooperative agreements is
that for the latter, "substantial involvement is expected between
the executive agency and the State, local government, or other
recipient when carrying out the activity contemplated in the
agreement." Contracts shall be used when the principal purpose is
acquisition of property or services for the direct benefit or use of
the Federal Government.
(b) Public notice and priority setting. The NHPRC shall notify
the public of its intended funding priorities for discretionary
§1210.12 Forms for applying for Federal assistance.
(a) The NHPRC shall comply with the applicable report clearance
requirements of 5 CFR Part 1320, "Controlling Paperwork Burdens on
the Public," with regard to all forms used by the NHPRC in place of
or as a supplement to the Standard Form 424 (SF-424) series.
(b) Applicants shall use the SF-424 (Application for Federal
Assistance) and NA Form 17001 (Budget Form) forms and instructions
prescribed by the NHPRC Program Guidelines. OMB Control Number
3095-0004 has been assigned to the Budget Form. OMB Control Number
3095-0013 has been assigned to the NHPRC Program Guidelines.
(c) Applicants shall complete the appropriate sections of the
SF-424 (Application for Federal Assistance) indicating whether the
application was subject to review by the State Single Point of
Contact (SPOC) under E.O. 12372, "Intergovernmental Review of
Federal Programs." The name and address of the SPOC for a particular
State can be obtained from the NHPRC or the Catalog of Federal
Domestic Assistance. The SPOC shall advise the applicant whether the
program for which application is made has been selected by that
State for review.
§1210.13 Debarment and suspension.
The NHPRC and recipients shall comply with the nonprocurement
debarment and suspension common rule implementing E.O.s 12549 and
12689, "Debarment and Suspension" (36 CFR Part 1209). This common
rule restricts subawards and contracts with certain parties that are
debarred, suspended or otherwise excluded from or ineligible for
participation in Federal assistance programs or activities.
§1210.14 Special award conditions.
If an applicant or recipient has a history of poor performance,
is not financially stable, has a management system that does not
meet the standards prescribed in this part, has not conformed to the
terms and conditions of a previous award, or is not otherwise
responsible, the NHPRC may impose additional requirements as needed,
provided that such applicant or recipient is notified in writing as
to: the nature of the additional requirements, the reason why the
additional requirements are being imposed, the nature of the
corrective action needed, the time allowed for completing the
corrective actions, and the method for requesting reconsideration of
the additional requirements imposed. Any special conditions shall be
promptly removed once the conditions that prompted them have been
§1210.15 Metric system of measurement.
The Metric Conversion Act, as amended by the Omnibus Trade and
Competitiveness Act (15 U.S.C. 205) declares that the metric system
is the preferred measurement system for U.S. trade and commerce. The
Act requires NARA to establish a date or dates in consultation with
the Secretary of Commerce, when the metric system of measurement
will be used in NARA's procurements, grants, and other
business-related activities. Metric implementation may take longer
where the use of the system is initially impractical or likely to
cause significant inefficiencies in the accomplishment of
federally-funded activities. NARA shall follow the provisions of
E.O. 12770, "Metric Usage in Federal Government Programs."
§1210.16 Resource Conservation and Recovery Act.
Under the Resource Conservation and Recovery Act ((RCRA) (Pub. L.
94-580 codified at 42 U.S.C. 6962), any State agency or agency of a
political subdivision of a State which is using appropriated Federal
funds must comply with section 6002. Section 6002 requires that
preference be given in procurement programs to the purchase of
specific products containing recycled materials identified in
guidelines developed by the Environmental Protection Agency (EPA)
(40 CFR Parts 247 through 254). Accordingly, State and local
institutions of higher education, hospitals, and non-profit
organizations that receive direct Federal awards or other Federal
funds shall give preference in their procurement programs funded
with Federal funds to the purchase of recycled products pursuant to
the EPA guidelines.
§1210.17 Certifications and representations.
Unless prohibited by statute or codified regulation, the NHPRC is
authorized to allow recipients to submit certifications and
representations required by statute, executive order, or regulation
on an annual basis, if they have an ongoing and continuing
relationship with the NHPRC. Annual certifications and
representations shall be signed by responsible officials with the
authority to ensure recipients' compliance with the pertinent
Subpart C -- Post-Award Requirements
Financial and Program Management
§1210.20 Purpose of financial and program management.
Sections 1210.21 through 1210.28 prescribe standards for
financial management systems, methods for making payments and rules
for: satisfying cost sharing and matching requirements, accounting
for program income, budget revision approvals, making audits,
determining allowability of cost, and establishing fund
§1210.21 Standards for financial management systems.
(a) The NHPRC shall require recipients to relate financial data
to performance data and develop unit cost information whenever
(b) Recipients' financial management systems shall provide for
(1) Accurate, current and complete disclosure of the financial
results of each NHPRC-sponsored project or program in accordance
with the reporting requirements set forth in §1210.52.
(2) Records that identify adequately the source and application
of funds for NHPRC-sponsored activities. These records shall contain
information pertaining to NHPRC awards, authorizations, obligations,
unobligated balances, assets, outlays, income and interest.
(3) Effective control over and accountability for all funds,
property and other assets. Recipients shall adequately safeguard all
such assets and assure they are used solely for authorized
(4) Comparison of outlays with budget amounts for each award.
Whenever appropriate, financial information should be related to
performance and unit cost data.
(5) Written procedures to minimize the time elapsing between the
transfer of funds to the recipient from the U.S. Treasury and the
issuance or redemption of checks, warrants or payments by other
means for program purposes by the recipient. To the extent that the
provisions of the Cash Management Improvement Act (CMIA) (Pub. L.
101-453) govern, payment methods of State agencies,
instrumentalities, and fiscal agents shall be consistent with CMIA
Treasury-State Agreements or the CMIA default procedures codified at
31 CFR Part 205, "Withdrawal of Cash from the Treasury for Advances
under Federal Grant and Other Programs."
(6) Written procedures for determining the reasonableness,
allocability and allowability of costs in accordance with the
provisions of the applicable Federal cost principles and the terms
and conditions of the award.
(7) Accounting records including cost accounting records that are
supported by source documentation.
(c) Where the Federal Government guarantees or insures the
repayment of money borrowed by the recipient, the NHPRC, at its
discretion, may require adequate bonding and insurance if the
bonding and insurance requirements of the recipient are not deemed
adequate to protect the interest of the Federal Government.
(d) The NHPRC may require adequate fidelity bond coverage where
the recipient lacks sufficient coverage to protect the Federal
(e) Where bonds are required in the situations described in this
section, the bonds shall be obtained from companies holding
certificates of authority as acceptable sureties, as prescribed in
31 CFR Part 223, "Surety Companies Doing Business with the United
(a) Payment methods shall minimize the time elapsing between the
transfer of funds from the United States Treasury and the issuance
or redemption of checks, warrants, or payment by other means by the
recipients. Payment methods of State agencies or instrumentalities
shall be consistent with Treasury-State CMIA agreements or default
procedures codified at 31 CFR Part 205.
(b) Recipients will be paid in advance, provided they maintain or
demonstrate the willingness to maintain written procedures that
minimize the time elapsing between the transfer of funds and
disbursement by the recipient, and financial management systems that
meet the standards for fund control and accountability as
established in §1210.21. Cash advances to a recipient organization
shall be limited to the minimum amounts needed and be timed to be in
accordance with the actual, immediate cash requirements of the
recipient organization in carrying out the purpose of the approved
program or project. The timing and amount of cash advances shall be
as close as is administratively feasible to the actual disbursements
by the recipient organization for direct program or project costs
and the proportionate share of any allowable indirect costs.
(c) Whenever possible, advances shall be consolidated to cover
anticipated cash needs for all awards made by the NHPRC to the
(1) Advance payment mechanisms include, but are not limited to,
Treasury check and electronic funds transfer.
(2) Advance payment mechanisms are subject to 31 CFR Part
(3) Recipients can submit requests for advances and
reimbursements at least monthly when a predetermined schedule of
electronic funds transfer is not used.
(d) Requests for Treasury check advance payment shall be
submitted on SF-270, "Request for Advance or Reimbursement," or
other forms as may be authorized by OMB. This form is not to be used
when Treasury check advance payments are made to the recipient
automatically through the use of a predetermined payment schedule or
if precluded by special NHPRC instructions for electronic funds
(e) Reimbursement is the preferred method when the requirements
in paragraph (b) of this section cannot be met.
(1) When the reimbursement method is used, the NHPRC shall make
payment within 30 days after receipt of the billing, unless the
billing is improper.
(2) Recipients can submit a request for reimbursement at least
monthly when a predetermined schedule of electronic funds transfer
is not used.
(f) If a recipient cannot meet the criteria for advance payments
and the NHPRC has determined that reimbursement is not feasible
because the recipient lacks sufficient working capital, the NHPRC
may provide cash on a working capital advance basis. Under this
procedure, the NHPRC shall advance cash to the recipient to cover
its estimated disbursement needs for an initial period generally
geared to the awardee's disbursing cycle. Thereafter, the NHPRC
shall reimburse the recipient for its actual cash disbursements. The
working capital advance method of payment shall not be used for
recipients unwilling or unable to provide timely advances to their
subrecipient to meet the subrecipient's actual cash
(g) To the extent available, recipients shall disburse funds
available from repayments to and interest earned on a revolving
fund, program income, rebates, refunds, contract settlements, audit
recoveries and interest earned on such funds before requesting
additional cash payments.
(h) Unless otherwise required by statute, the NHPRC shall not
withhold payments for proper charges made by recipients at any time
during the project period unless paragraph (h)(1) or (2) of this
(1) A recipient has failed to comply with the project objectives,
the terms and conditions of the award, or NHPRC reporting
(2) The recipient or subrecipient is delinquent in a debt to the
United States as defined in OMB Circular A-129, "Managing Federal
Credit Programs." Under such conditions, the NHPRC may, upon
reasonable notice, inform the recipient that payments shall not be
made for obligations incurred after a specified date until the
conditions are corrected or the indebtedness to the Federal
Government is liquidated.
(i) Standards governing the use of banks and other institutions
as depositories of funds advanced under awards are as follows.
(1) Except for situations described in paragraph (i)(2) of this
section, the NHPRC shall not require separate depository accounts
for funds provided to a recipient or establish any eligibility
requirements for depositories for funds provided to a recipient.
However, recipients must be able to account for the receipt,
obligation and expenditure of funds.
(2) Advances of NHPRC funds shall be deposited and maintained in
insured accounts whenever possible.
(j) Consistent with the national goal of expanding the
opportunities for women-owned and minority-owned business
enterprises, recipients shall be encouraged to use women-owned and
minority-owned banks (a bank which is owned at least 50 percent by
women or minority group members).
(k) Recipients shall maintain advances of NHPRC funds in interest
bearing accounts, unless paragraphs (k)(1), (2) or (3) of this
(1) The recipient receives less than $120,000 in Federal awards
(2) The best reasonably available interest bearing account would
not be expected to earn interest in excess of $250 per year on
Federal cash balances.
(3) The depository would require an average or minimum balance so
high that it would not be feasible within the expected Federal and
non-Federal cash resources.
(l) In keeping with Electronic Funds Transfer rules (31 CFR Part
206), interest earned should be remitted annually to the Department
of Health and Human Services (HHS) Payment Management System through
an electronic medium such as the FEDWIRE Deposit system. Recipients
which do not have this capability should use a check and mail it to
the Payment Management System, P.O. Box 6021, Rockville, MD 20852.
Interest amounts up to $250 per year may be retained by the
recipient for administrative expense. State universities and
hospitals shall comply with CMIA, as it pertains to interest. If an
entity subject to CMIA uses its own funds to pay pre-award costs for
discretionary awards without prior written approval from the NHPRC,
it waives its right to recover the interest under CMIA.
(m) Except as noted elsewhere in this part, only the SF-270,
Request for Advance or Reimbursement, shall be authorized for the
recipients in requesting advances and reimbursements. The NHPRC
requires an original and two copies of this form.
§1210.23 Cost sharing or matching.
(a) All contributions, including cash and third party in-kind,
shall be accepted as part of the recipient's cost sharing or
matching when such contributions meet all of the following
(1) Are verifiable from the recipient's records.
(2) Are not included as contributions for any other
federally-assisted project or program.
(3) Are necessary and reasonable for proper and efficient
accomplishment of project or program objectives.
(4) Are allowable under the applicable cost principles.
(5) Are not paid by the Federal Government under another award,
except where authorized by Federal statute to be used for cost
sharing or matching.
(6) Are provided for in the approved budget when required by the
(7) Conform to other provisions of this part, as applicable.
(b) Unrecovered indirect costs may be included as part of cost
sharing or matching only with the prior approval of the NHPRC.
(c) Values for recipient contributions of services and property
shall be established in accordance with the applicable cost
principles. If the NHPRC authorizes recipients to donate buildings
or land for construction/facilities acquisition projects or
long-term use, the value of the donated property for cost sharing or
matching shall be the lesser of paragraph (c)(1) or (2) of this
(1) The certified value of the remaining life of the property
recorded in the recipient's accounting records at the time of
(2) The current fair market value. However, when there is
sufficient justification, the NHPRC may approve the use of the
current fair market value of the donated property, even if it
exceeds the certified value at the time of donation to the
(d) Volunteer services furnished by professional and technical
personnel, consultants, and other skilled and unskilled labor may be
counted as cost sharing or matching if the service is an integral
and necessary part of an approved project or program. Rates for
volunteer services shall be consistent with those paid for similar
work in the recipient's organization. In those instances in which
the required skills are not found in the recipient organization,
rates shall be consistent with those paid for similar work in the
labor market in which the recipient competes for the kind of
services involved. In either case, paid fringe benefits that are
reasonable, allowable, and allocable may be included in the
(e) When an employer other than the recipient furnishes the
services of an employee, these services shall be valued at the
employee's regular rate of pay (plus an amount of fringe benefits
that are reasonable, allowable, and allocable, but exclusive of
overhead costs), provided these services are in the same skill for
which the employee is normally paid.
(f) Donated supplies may include such items as expendable
equipment, office supplies, laboratory supplies or workshop and
classroom supplies. Value assessed to donated supplies included in
the cost sharing or matching share shall be reasonable and shall not
exceed the fair market value of the property at the time of the
(g) The method used for determining cost sharing or matching for
donated equipment, buildings and land for which title passes to the
recipient may differ according to the purpose of the award, if
paragraph (g)(1) or (2) of this section apply.
(1) If the purpose of the award is to assist the recipient in the
acquisition of equipment, buildings or land, the total value of the
donated property may be claimed as cost sharing or matching.
(2) If the purpose of the award is to support activities that
require the use of equipment, buildings or land, normally only
depreciation or use charges for equipment and buildings may be made.
However, the full value of equipment or other capital assets and
fair rental charges for land may be allowed, provided that the NHPRC
has approved the charges.
(h) The value of donated property shall be determined in
accordance with the usual accounting policies of the recipient, with
the following qualifications.
(1) The value of donated land and buildings shall not exceed its
fair market value at the time of donation to the recipient as
established by an independent appraiser (e.g., certified real
property appraiser or General Services Administration
representative) and certified by a responsible official of the
(2) The value of donated equipment shall not exceed the fair
market value of equipment of the same age and condition at the time
(3) The value of donated space shall not exceed the fair rental
value of comparable space as established by an independent appraisal
of comparable space and facilities in a privately-owned building in
the same locality.
(4) The value of loaned equipment shall not exceed its fair
(5) The following requirements pertain to the recipient's
supporting records for in-kind contributions from third parties.
(i) Volunteer services shall be documented and, to the extent
feasible, supported by the same methods used by the recipient for
its own employees.
(ii) The basis for determining the valuation for personal
service, material, equipment, buildings and land shall be
§1210.24 Program income.
(a) The NHPRC applies the standards set forth in this section in
requiring recipient organizations to account for program income
related to projects financed in whole or in part with Federal
(b) Except as provided in paragraph (h) of this section, program
income earned during the project period shall be retained by the
recipient and, in accordance with these regulations or the terms and
conditions of the award, shall be used in one or more of the ways
listed in the following.
(1) Added to funds committed to the project by the NHPRC and
recipient and used to further eligible project or program
(2) Used to finance the non-Federal share of the project or
(3) Deducted from the total project or program allowable cost in
determining the net allowable costs on which the Federal share of
costs is based.
(c) When the NHPRC authorizes the disposition of program income
as described in paragraphs (b)(1) or (b)(2) of this section, program
income in excess of any limits stipulated shall be used in
accordance with paragraph (b)(3) of this section.
(d) In the event that the NHPRC does not specify in its
regulations or the terms and conditions of the award how program
income is to be used, paragraph (b)(3) of this section shall apply
automatically to all projects or programs except research. For
awards that support research, paragraph (b)(1) of this section shall
apply automatically unless the NHPRC indicates in the terms and
conditions another alternative on the award or the recipient is
subject to special award conditions, as indicated in §1210.14.
(e) Unless NHPRC regulations or the terms and conditions of the
award provide otherwise, recipients shall have no obligation to the
Federal Government regarding program income earned after the end of
the project period.
(f) If authorized by NHPRC regulations or the terms and
conditions of the award, costs incident to the generation of program
income may be deducted from gross income to determine program
income, provided these costs have not been charged to the award.
(g) Proceeds from the sale of property shall be handled in
accordance with the requirements of the Property Standards (See
§1210.30 through 1210.37).
(h) Unless NHPRC regulations or the terms and condition of the
award provide otherwise, recipients shall have no obligation to the
Federal Government with respect to program income earned from
license fees and royalties for copyrighted material, patents, patent
applications, trademarks, and inventions produced under an award.
However, Patent and Trademark Amendments (35 U.S.C. 18) apply to
inventions made under an experimental, developmental, or research
§1210.25 Revision of budget and program plans.
(a) The budget plan is the financial expression of the project or
program as approved during the award process. It may include either
the Federal and non-Federal share, or only the Federal share,
depending upon NHPRC requirements. It shall be related to
performance for program evaluation purposes whenever
(b) Recipients are required to report deviations from budget and
program plans, and request prior approvals for budget and program
plan revisions, in accordance with this section.
(c) Recipients shall request prior approvals from the NHPRC for
one or more of the following program or budget related reasons.
(1) Change in the scope or the objective of the project or
program (even if there is no associated budget revision requiring
prior written approval).
(2) Change in a key person specified in the application or award
(3) The absence for more than three months, or a 25 percent
reduction in time devoted to the project, by the approved project
director or principal investigator.
(4) The need for additional NHPRC funding.
(5) The transfer of amounts budgeted for indirect costs to absorb
increases in direct costs, or vice versa, if approval is required by
(6) The inclusion, unless waived by the NHPRC, of costs that
require prior approval in accordance with OMB Circular A-21, "Cost
Principles for Institutions of Higher Education," OMB Circular
A-122, "Cost Principles for Non-Profit Organizations," or 45 CFR
Part 74 Appendix E, "Principles for Determining Costs Applicable to
Research and Development under Grants and Contracts with Hospitals,"
or 48 CFR Part 31, "Contract Cost Principles and Procedures," as
(7) The transfer of funds allotted for training allowances
(direct payment to trainees) to other categories of expense.
(8) Unless described in the application and funded in the
approved awards, the subaward, transfer or contracting out of any
work under an award. This provision does not apply to the purchase
of supplies, material, equipment or general support services.
(d) No other prior approval requirements for specific items will
be imposed unless a deviation has been approved by OMB.
(e) Except for requirements listed in paragraphs (c)(1) and
(c)(4) of this section, the NHPRC is authorized, at their option, to
waive cost-related and administrative prior written approvals
required by this Circular and OMB Circulars A-21 and A-122. Such
waivers may include authorizing recipients to do any one or more of
(1) Incur pre-award costs 90 calendar days prior to award or more
than 90 calendar days with the prior approval of the NHPRC. All
pre-award costs are incurred at the recipient's risk (i.e., the
NHPRC is under no obligation to reimburse such costs if for any
reason the recipient does not receive an award or if the award is
less than anticipated and inadequate to cover such costs).
(2) Initiate a one-time extension of the expiration date of the
award of up to 12 months unless one or more of the following
conditions apply. For one-time extensions, the recipient must notify
the NHPRC in writing with the supporting reasons and revised
expiration date at least 10 days before the expiration date
specified in the award. This one-time extension may not be exercised
merely for the purpose of using unobligated balances.
(i) The terms and conditions of award prohibit the extension.
(ii) The extension requires additional NHPRC funds.
(iii) The extension involves any change in the approved
objectives or scope of the project.
(3) Carry forward unobligated balances to subsequent funding
(4) For awards that support research, unless the NHPRC provides
otherwise in the award or in NHPRC's regulations, the prior approval
requirements described in paragraph (e) of this section are
automatically waived (i.e., recipients need not obtain such prior
approvals) unless one of the conditions included in paragraph (e)(2)
of this section applies.
(f) The NHPRC may, at its option, restrict the transfer of funds
among direct cost categories or programs, functions and activities
for awards in which the Federal share of the project exceeds
$100,000 and the cumulative amount of such transfers exceeds or is
expected to exceed 10 percent of the total budget as last approved
by the NHPRC. The NHPRC shall not permit a transfer that would cause
any Federal appropriation or part thereof to be used for purposes
other than those consistent with the original intent of the
(g) All other changes to nonconstruction budgets, except for the
changes described in paragraph (j), do not require prior
(i) No other prior approval requirements for specific items will
be imposed unless a deviation has been approved by OMB.
(j) The NHPRC shall require recipients to notify the NHPRC in
writing promptly whenever the amount of Federal authorized funds is
expected to exceed the needs of the recipient for the project period
by more than $5,000 or five percent of the NHPRC award, whichever is
greater. This notification shall not be required if an application
for additional funding is submitted for a continuation award.
(k) When requesting approval for budget revisions, recipients
shall use the budget forms that were used in the application unless
the NHPRC indicates a letter of request suffices.
(l) Within 30 calendar days from the date of receipt of the
request for budget revisions, the NHPRC shall review the request and
notify the recipient whether the budget revisions have been
approved. If the revision is still under consideration at the end of
30 calendar days, the NHPRC shall inform the recipient in writing of
the date when the recipient may expect the decision.
§1210.26 Non-Federal audits.
(a) Recipients and subrecipients that are institutions of higher
education or other non-profit organizations shall be subject to the
audit requirements contained in OMB Circular A-133, "Audits of
Institutions of Higher Education and Other Non-Profit
(b) State and local governments shall be subject to the audit
requirements contained in the Single Audit Act (31 U.S.C. 7501-7)
and the cognizant Federal agency regulations implementing OMB
Circular A-128, "Audits of State and Local Governments."
(c) Hospitals not covered by the audit provisions of OMB Circular
A-133 shall be subject to the audit requirements of the cognizant
§1210.27 Allowable costs.
For each kind of recipient, there is a set of Federal principles
for determining allowable costs. Allowability of costs shall be
determined in accordance with the cost principles applicable to the
entity incurring the costs. Thus, allowability of costs incurred by
State, local or federally-recognized Indian tribal governments is
determined in accordance with the provisions of OMB Circular A-87,
"Cost Principles for State and Local Governments." The allowability
of costs incurred by non-profit organizations is determined in
accordance with the provisions of OMB Circular A-122, "Cost
Principles for Non-Profit Organizations." The allowability of costs
incurred by institutions of higher education is determined in
accordance with the provisions of OMB Circular A-21, "Cost
Principles for Educational Institutions." The allowability of costs
incurred by hospitals is determined in accordance with the
provisions of Appendix E of 45 CFR Part 74, "Principles for
Determining Costs Applicable to Research and Development Under
Grants and Contracts with Hospitals." The allowability of costs
incurred those non-profit organizations listed in Attachment C to
Circular A-122 is determined in accordance with the provisions of
the Federal Acquisition Regulation (FAR) at 48 CFR Part 31.
§1210.28 Period of availability of funds.
Where a funding period is specified, a recipient may charge to
the grant only allowable costs resulting from obligations incurred
during the funding period and any pre-award costs authorized by the
§1210.30 Purpose of property standards.
Sections 1210.31 through 1210.37 set forth uniform standards
governing management and disposition of property furnished by the
Federal Government whose cost was charged to a project supported by
an NHPRC award. The NHPRC requires recipients to observe these
standards under awards and shall not impose additional requirements,
unless specifically required by Federal statute. The recipient may
use its own property management standards and procedures provided it
observes the provisions of §1210.31 through 1210.37.
§1210.31 Insurance coverage.
Recipients shall, at a minimum, provide the equivalent insurance
coverage for real property and equipment acquired with NHPRC funds
as provided to property owned by the recipient. Federally-owned
property need not be insured unless required by the terms and
conditions of the award.
§1210.32 Real property.
The NHPRC shall prescribe requirements for recipients concerning
the use and disposition of real property acquired in whole or in
part under awards. Unless otherwise provided by statute, such
requirements, at a minimum, shall contain the following.
(a) Title to real property shall vest in the recipient subject to
the condition that the recipient shall use the real property for the
authorized purpose of the project as long as it is needed and shall
not encumber the property without approval of the NHPRC.
(b) The recipient shall obtain written approval by the NHPRC for
the use of real property in other federally-sponsored projects when
the recipient determines that the property is no longer needed for
the purpose of the original project. Use in other projects shall be
limited to those under federally-sponsored projects (i.e., awards)
or programs that have purposes consistent with those authorized for
support by the NHPRC.
(c) When the real property is no longer needed as provided in
paragraphs (a) and (b) of this section, the recipient shall request
disposition instructions from the NHPRC or its successor Federal
awarding agency. The NHPRC shall observe one or more of the
following disposition instructions.
(1) The recipient may be permitted to retain title without
further obligation to the Federal Government after it compensates
the Federal Government for that percentage of the current fair
market value of the property attributable to the Federal
participation in the project.
(2) The recipient may be directed to sell the property under
guidelines provided by the NHPRC and pay the Federal Government for
that percentage of the current fair market value of the property
attributable to the Federal participation in the project (after
deducting actual and reasonable selling and fix-up expenses, if any,
from the sales proceeds). When the recipient is authorized or
required to sell the property, proper sales procedures shall be
established that provide for competition to the extent practicable
and result in the highest possible return.
(3) The recipient may be directed to transfer title to the
property to the Federal Government or to an eligible third party
provided that, in such cases, the recipient shall be entitled to
compensation for its attributable percentage of the current fair
market value of the property.
§1210.33 Federally-owned and exempt property.
(a) Federally-owned property.
(1) Title to federally-owned property remains vested in the
Federal Government. Recipients shall submit annually an inventory
listing of federally-owned property in their custody to the NHPRC.
Upon completion of the award or when the property is no longer
needed, the recipient shall report the property to the NHPRC for
further Federal agency utilization.
(2) If the NHPRC has no further need for the property, it shall
be declared excess and reported to the General Services
Administration. Appropriate instructions shall be issued to the
recipient by the NHPRC.
(b) Exempt property. When statutory authority exists, the NHPRC
has the option to vest title to property acquired with Federal funds
in the recipient without further obligation to the Federal
Government and under conditions the NHPRC considers appropriate.
Such property is "exempt property." Should the NHPRC not establish
conditions, title to exempt property upon acquisition shall vest in
the recipient without further obligation to the Federal
(a) Title to equipment acquired by a recipient with NHPRC funds
shall vest in the recipient, subject to conditions of this
(b) The recipient shall not use equipment acquired with NHPRC
funds to provide services to non-Federal outside organizations for a
fee that is less than private companies charge for equivalent
services, unless specifically authorized by Federal statute, for as
long as the Federal Government retains an interest in the
(c) The recipient shall use the equipment in the project or
program for which it was acquired as long as needed, whether or not
the project or program continues to be supported by Federal funds
and shall not encumber the property without approval of the NHPRC.
When no longer needed for the original project or program, the
recipient shall use the equipment in connection with its other
federally-sponsored activities, in the following order of
(1) Activities sponsored by the NHPRC which funded the original
(2) activities sponsored by other Federal awarding agencies.
(d) During the time that equipment is used on the project or
program for which it was acquired, the recipient shall make it
available for use on other projects or programs if such other use
will not interfere with the work on the project or program for which
the equipment was originally acquired. First preference for such
other use shall be given to other projects or programs sponsored by
the NHPRC that financed the equipment; second preference shall be
given to projects or programs sponsored by other Federal awarding
agencies. If the equipment is owned by the Federal Government, use
on other activities not sponsored by the Federal Government shall be
permissible if authorized by the NHPRC. User charges shall be
treated as program income.
(e) When acquiring replacement equipment, the recipient may use
the equipment to be replaced as trade-in or sell the equipment and
use the proceeds to offset the costs of the replacement equipment
subject to the approval of the NHPRC.
(f) The recipient's property management standards for equipment
acquired with Federal funds and federally-owned equipment shall
include all of the following.
(1) Equipment records shall be maintained accurately and shall
include the following information.
(i) A description of the equipment.
(ii) Manufacturer's serial number, model number, Federal stock
number, national stock number, or other identification number.
(iii) Source of the equipment, including the award number.
(iv) Whether title vests in the recipient or the Federal
(v) Acquisition date (or date received, if the equipment was
furnished by the Federal Government) and cost.
(vi) Information from which one can calculate the percentage of
Federal participation in the cost of the equipment (not applicable
to equipment furnished by the Federal Government).
(vii) Location and condition of the equipment and the date the
information was reported.
(viii) Unit acquisition cost.
(ix) Ultimate disposition data, including date of disposal and
sales price or the method used to determine current fair market
value where a recipient compensates the NHPRC for its share.
(2) Equipment owned by the Federal Government shall be identified
to indicate Federal ownership.
(3) A physical inventory of equipment shall be taken and the
results reconciled with the equipment records at least once every
two years. Any differences between quantities determined by the
physical inspection and those shown in the accounting records shall
be investigated to determine the causes of the difference. The
recipient shall, in connection with the inventory, verify the
existence, current utilization, and continued need for the
(4) A control system shall be in effect to insure adequate
safeguards to prevent loss, damage, or theft of the equipment. Any
loss, damage, or theft of equipment shall be investigated and fully
documented; if the equipment was owned by the Federal Government,
the recipient shall promptly notify the NHPRC.
(5) Adequate maintenance procedures shall be implemented to keep
the equipment in good condition.
(6) Where the recipient is authorized or required to sell the
equipment, proper sales procedures shall be established which
provide for competition to the extent practicable and result in the
highest possible return.
(g) When the recipient no longer needs the equipment, the
equipment may be used for other activities in accordance with the
following standards. For equipment with a current per unit fair
market value of $5,000 or more, the recipient may retain the
equipment for other uses provided that compensation is made to the
NHPRC or its successor. The amount of compensation shall be computed
by applying the percentage of Federal participation in the cost of
the original project or program to the current fair market value of
the equipment. If the recipient has no need for the equipment, the
recipient shall request disposition instructions from the NHPRC. The
NHPRC shall determine whether the equipment can be used to meet the
NHPRC's requirements. If no requirement exists within the NHPRC, the
availability of the equipment shall be reported to the General
Services Administration by the NHPRC to determine whether a
requirement for the equipment exists in other Federal agencies. The
NHPRC shall issue instructions to the recipient no later than 120
calendar days after the recipient's request and the following
procedures shall govern.
(1) If so instructed or if disposition instructions are not
issued within 120 calendar days after the recipient's request, the
recipient shall sell the equipment and reimburse the NHPRC an amount
computed by applying to the sales proceeds the percentage of Federal
participation in the cost of the original project or program.
However, the recipient shall be permitted to deduct and retain from
the Federal share $500 or ten percent of the proceeds, whichever is
less, for the recipient's selling and handling expenses.
(2) If the recipient is instructed to ship the equipment
elsewhere, the recipient shall be reimbursed by the Federal
Government by an amount which is computed by applying the percentage
of the recipient's participation in the cost of the original project
or program to the current fair market value of the equipment, plus
any reasonable shipping or interim storage costs incurred.
(3) If the recipient is instructed to otherwise dispose of the
equipment, the recipient shall be reimbursed by the NHPRC for such
costs incurred in its disposition.
(4) The NHPRC reserves the right to transfer the title to the
Federal Government or to a third party named by the Federal
Government when such third party is otherwise eligible under
existing statutes. Such transfer shall be subject to the following
(i) The equipment shall be appropriately identified in the award
or otherwise made known to the recipient in writing.
(ii) The NHPRC shall issue disposition instructions within 120
calendar days after receipt of a final inventory. The final
inventory shall list all equipment acquired with grant funds and
federally-owned equipment. If the NHPRC fails to issue disposition
instructions within the 120 calendar day period, the recipient shall
apply the standards of this section, as appropriate.
(iii) When the NHPRC exercises its right to take title, the
equipment shall be subject to the provisions for federally-owned
§1210.35 Supplies and other expendable property.
(a) Title to supplies and other expendable property shall vest in
the recipient upon acquisition. If there is a residual inventory of
unused supplies exceeding $5,000 in total aggregate value upon
termination or completion of the project or program and the supplies
are not needed for any other federally-sponsored project or program,
the recipient shall retain the supplies for use on non-Federal
sponsored activities or sell them, but shall, in either case,
compensate the NHPRC for its share. The amount of compensation shall
be computed in the same manner as for equipment.
(b) The recipient shall not use supplies acquired with NHPRC
funds to provide services to non-Federal outside organizations for a
fee that is less than private companies charge for equivalent
services, unless specifically authorized by Federal statute as long
as the Federal Government retains an interest in the supplies.
§1210.36 Intangible property.
(a) The recipient may copyright any work that is subject to
copyright and was developed, or for which ownership was purchased,
under an award. The NHPRC reserves a royalty-free, nonexclusive and
irrevocable right to reproduce, publish, or otherwise use the work
for Federal purposes, and to authorize others to do so.
(b) Recipients are subject to applicable regulations governing
patents and inventions, including government-wide regulations issued
by the Department of Commerce at 37 CFR Part 401, "Rights to
Inventions Made by Nonprofit Organizations and Small Business Firms
Under Government Grants, Contracts and Cooperative Agreements."
(c) The Federal Government has the right to:
(1) Obtain, reproduce, publish or otherwise use the data first
produced under an award; and
(2) Authorize others to receive, reproduce, publish, or otherwise
use such data for Federal purposes.
(d) (1) In addition, in response to a Freedom of Information Act
(FOIA) request for research data relating to published research
findings produced under an award that were used by the Federal
Government in developing an agency action that has the force and
effect of law, the NHPRC shall request, and the recipient shall
provide, within a reasonable time, the research data so that they
can be made available to the public through the procedures
established under the FOIA. If the NHPRC obtains the research data
solely in response to a FOIA request, the agency may charge the
requester a reasonable fee equaling the full incremental cost of
obtaining the research data. This fee should reflect costs incurred
by the agency, the recipient, and applicable subrecipients. This fee
is in addition to any fees the agency may assess under the FOIA (5
(2) The following definitions apply for purposes of this
(i) Research data is defined as the recorded factual material
commonly accepted in the scientific community as necessary to
validate research findings, but not any of the following:
preliminary analyses, drafts of scientific papers, plans for future
research, peer reviews, or communications with colleagues. This
``recorded'' material excludes physical objects (e.g., laboratory
samples). Research data also do not include:
(A) Trade secrets, commercial information, materials necessary to
be held confidential by a researcher until they are published, or
similar information which is protected under law; and
(B) Personnel and medical information and similar information the
disclosure of which would constitute a clearly unwarranted invasion
of personal privacy, such as information that could be used to
identify a particular person in a research study.
(ii) Published is defined as either when:
(A) Research findings are published in a peer-reviewed scientific
or technical journal; or
(B) A Federal agency publicly and officially cites the research
findings in support of an agency action that has the force and
effect of law.
(iii) Used by the Federal Government in developing an agency
action that has the force and effect of law is defined as when an
agency publicly and officially cites the research findings in
support of an agency action that has the force and effect of
(e) Title to intangible property and debt instruments acquired
under an award or subaward vests upon acquisition in the recipient.
The recipient shall use that property for the originally-authorized
purpose, and the recipient shall not encumber the property without
approval of the NHPRC. When no longer needed for the originally
authorized purpose, disposition of the intangible property shall
occur in accordance with the provisions of §1210.34(g).
§1210.37 Property trust relationship.
Real property, equipment, intangible property and debt
instruments that are acquired or improved with NHPRC funds shall be
held in trust by the recipient as trustee for the beneficiaries of
the project or program under which the property was acquired or
improved. The NHPRC may require recipients to record liens or other
appropriate notices of record to indicate that personal or real
property has been acquired or improved with Federal funds and that
use and disposition conditions apply to the property.
§1210.40 Purpose of procurement standards.
Sections 1210.41 through 1210.48 set forth standards for use by
recipients in establishing procedures for the procurement of
supplies and other expendable property, equipment, real property and
other services with NHPRC funds. These standards are furnished to
ensure that such materials and services are obtained in an effective
manner and in compliance with the provisions of applicable Federal
statutes and executive orders. No additional procurement standards
or requirements shall be imposed by the NHPRC upon recipients,
unless specifically required by Federal statute or executive order
or approved by OMB.
§1210.41 Recipient responsibilities.
The standards contained in this section do not relieve the
recipient of the contractual responsibilities arising under its
contract(s). The recipient is the responsible authority, without
recourse to the NHPRC, regarding the settlement and satisfaction of
all contractual and administrative issues arising out of
procurements entered into in support of an award or other agreement.
This includes disputes, claims, protests of award, source evaluation
or other matters of a contractual nature. Matters concerning
violation of statute are to be referred to such Federal, State or
local authority as may have proper jurisdiction.
§1210.42 Codes of conduct.
The recipient shall maintain written standards of conduct
governing the performance of its employees engaged in the award and
administration of contracts. No employee, officer, or agent shall
participate in the selection, award, or administration of a contract
supported by Federal funds if a real or apparent conflict of
interest would be involved. Such a conflict would arise when the
employee, officer, or agent, any member of his or her immediate
family, his or her partner, or an organization which employs or is
about to employ any of the parties indicated herein, has a financial
or other interest in the firm selected for an award. The officers,
employees, and agents of the recipient shall neither solicit nor
accept gratuities, favors, or anything of monetary value from
contractors, or parties to subagreements. However, recipients may
set standards for situations in which the financial interest is not
substantial or the gift is an unsolicited item of nominal value. The
standards of conduct shall provide for disciplinary actions to be
applied for violations of such standards by officers, employees, or
agents of the recipient.
All procurement transactions shall be conducted in a manner to
provide, to the maximum extent practical, open and free competition.
The recipient shall be alert to organizational conflicts of interest
as well as noncompetitive practices among contractors that may
restrict or eliminate competition or otherwise restrain trade. In
order to ensure objective contractor performance and eliminate
unfair competitive advantage, contractors that develop or draft
specifications, requirements, statements of work, invitations for
bids and/or requests for proposals shall be excluded from competing
for such procurements. Awards shall be made to the bidder or offeror
whose bid or offer is responsive to the solicitation and is most
advantageous to the recipient, price, quality and other factors
considered. Solicitations shall clearly set forth all requirements
that the bidder or offeror shall fulfill in order for the bid or
offer to be evaluated by the recipient. Any and all bids or offers
may be rejected when it is in the recipient's interest to do so.
§1210.44 Procurement procedures.
(a) All recipients shall establish written procurement
procedures. These procedures shall provide for, at a minimum, that
paragraphs (a) (1), (2) and (3) of this section apply.
(1) Recipients avoid purchasing unnecessary items.
(2) Where appropriate, an analysis is made of lease and purchase
alternatives to determine which would be the most economical and
practical procurement for the Federal Government.
(3) Solicitations for goods and services provide for all of the
(i) A clear and accurate description of the technical
requirements for the material, product or service to be procured. In
competitive procurements, such a description shall not contain
features which unduly restrict competition.
(ii) Requirements which the bidder/offeror must fulfill and all
other factors to be used in evaluating bids or proposals.
(iii) A description, whenever practicable, of technical
requirements in terms of functions to be performed or performance
required, including the range of acceptable characteristics or
minimum acceptable standards.
(iv) The specific features of "brand name or equal" descriptions
that bidders are required to meet when such items are included in
(v) The acceptance, to the extent practicable and economically
feasible, of products and services dimensioned in the metric system
(vi) Preference, to the extent practicable and economically
feasible, for products and services that conserve natural resources
and protect the environment and are energy efficient.
(b) Positive efforts shall be made by recipients to utilize small
businesses, minority-owned firms, and women's business enterprises,
whenever possible. Recipients of Federal awards shall take all of
the following steps to further this goal.
(1) Ensure that small businesses, minority-owned firms, and
women's business enterprises are used to the fullest extent
(2) Make information on forthcoming opportunities available and
arrange time frames for purchases and contracts to encourage and
facilitate participation by small businesses, minority-owned firms,
and women's business enterprises.
(3) Consider in the contract process whether firms competing for
larger contracts intend to subcontract with small businesses,
minority-owned firms, and women's business enterprises.
(4) Encourage contracting with consortiums of small businesses,
minority-owned firms and women's business enterprises when a
contract is too large for one of these firms to handle
(5) Use the services and assistance, as appropriate, of such
organizations as the Small Business Administration and the
Department of Commerce's Minority Business Development Agency in the
solicitation and utilization of small businesses, minority-owned
firms and women's business enterprises.
(c) The type of procuring instruments used (e.g., fixed price
contracts, cost reimbursable contracts, purchase orders, and
incentive contracts) shall be determined by the recipient but shall
be appropriate for the particular procurement and for promoting the
best interest of the program or project involved. The
"cost-plus-a-percentage-of-cost" or "percentage of construction
cost" methods of contracting shall not be used.
(d) Contracts shall be made only with responsible contractors who
possess the potential ability to perform successfully under the
terms and conditions of the proposed procurement. Consideration
shall be given to such matters as contractor integrity, record of
past performance, financial and technical resources or accessibility
to other necessary resources. In certain circumstances, contracts
with certain parties are restricted by NARA implementation of E.O.s
12549 and 12689, "Debarment and Suspension" (36 CFR Part 1209).
(e) Recipients shall, on request, make available for the NHPRC,
pre-award review and procurement documents, such as request for
proposals or invitations for bids, independent cost estimates, etc.,
when any of the following conditions apply.
(1) A recipient's procurement procedures or operation fails to
comply with the procurement standards in the NHPRC's implementation
of this part.
(2) The procurement is expected to exceed the small purchase
threshold fixed at 41 U.S.C. 403 (11) (currently $25,000) and is to
be awarded without competition or only one bid or offer is received
in response to a solicitation.
(3) The procurement, which is expected to exceed the small
purchase threshold, specifies a "brand name" product.
(4) The proposed award over the small purchase threshold is to be
awarded to other than the apparent low bidder under a sealed bid
(5) A proposed contract modification changes the scope of a
contract or increases the contract amount by more than the amount of
the small purchase threshold.
§1210.45 Cost and price analysis.
Some form of cost or price analysis shall be made and documented
in the procurement files in connection with every procurement
action. Price analysis may be accomplished in various ways,
including the comparison of price quotations submitted, market
prices and similar indicia, together with discounts. Cost analysis
is the review and evaluation of each element of cost to determine
reasonableness, allocability and allowability.
§1210.46 Procurement records.
Procurement records and files for purchases in excess of the
small purchase threshold shall include the following at a
(a) basis for contractor selection,
(b) justification for lack of competition when competitive bids
or offers are not obtained, and
(c) basis for award cost or price.
§1210.47 Contract administration.
A system for contract administration shall be maintained to
ensure contractor conformance with the terms, conditions and
specifications of the contract and to ensure adequate and timely
follow up of all purchases. Recipients shall evaluate contractor
performance and document, as appropriate, whether contractors have
met the terms, conditions and specifications of the contract.
§1210.48 Contract provisions.
The recipient shall include, in addition to provisions to define
a sound and complete agreement, the following provisions in all
contracts. The following provisions shall also be applied to
(a) Contracts in excess of the small purchase threshold shall
contain contractual provisions or conditions that allow for
administrative, contractual, or legal remedies in instances in which
a contractor violates or breaches the contract terms, and provide
for such remedial actions as may be appropriate.
(b) All contracts in excess of the small purchase threshold shall
contain suitable provisions for termination by the recipient,
including the manner by which termination shall be effected and the
basis for settlement. In addition, such contracts shall describe
conditions under which the contract may be terminated for default as
well as conditions where the contract may be terminated because of
circumstances beyond the control of the contractor.
(c) All negotiated contracts (except those for less than the
small purchase threshold) awarded by recipients shall include a
provision to the effect that the recipient, the NHPRC, the
Comptroller General of the United States, or any of their duly
authorized representatives, shall have access to any books,
documents, papers and records of the contractor which are directly
pertinent to a specific program for the purpose of making audits,
examinations, excerpts and transcriptions.
(d) All contracts, including small purchases, awarded by
recipients and their contractors shall contain the procurement
provisions of Appendix A to this Part, as applicable.
Reports and Records
§1210.50 Purpose of reports and records.
Sections 1210.51 through 1210.53 set forth the procedures for
monitoring and reporting on the recipient's financial and program
performance and the necessary standard reporting forms. They also
set forth record retention requirements.
§1210.51 Monitoring and reporting program performance.
(a) Recipients are responsible for managing and monitoring each
project, program, subaward, function or activity supported by the
award. Recipients shall monitor subawards to ensure subrecipients
have met the audit requirements as delineated in §1210.26.
(b) Except as provided in paragraph (f) of this section, interim
performance reports shall be submitted every six months and shall be
due 30 days after the reporting period; final reports shall be due
90 calendar days after the end of the grant period.
(c) If inappropriate, a final performance report shall not be
required after completion of the project.
(d) When required, performance reports shall generally contain,
for each award, brief information on each of the following.
(1) A comparison of actual accomplishments with the goals and
objectives established for the period, the findings of the
investigator, or both. Whenever appropriate and the output of
programs or projects can be readily quantified, such quantitative
data should be related to cost data for computation of unit
(2) Reasons why established goals were not met, if
(3) Other pertinent information including, when appropriate,
analysis and explanation of cost overruns or high unit costs.
(e) Recipients shall not be required to submit more than the
original and two copies of performance reports.
(f) Recipients shall immediately notify the NHPRC of developments
that have a significant impact on the award-supported activities.
Also, notification shall be given in the case of problems, delays,
or adverse conditions which materially impair the ability to meet
the objectives of the award. This notification shall include a
statement of the action taken or contemplated, and any assistance
needed to resolve the situation.
(g) The NHPRC may make site visits, as needed.
(h) The NHPRC shall comply with clearance requirements of 5 CFR
Part 1320 when requesting performance data from recipients.
§1210.52 Financial reporting.
(a) The following forms or such other forms as may be approved by
OMB are authorized for obtaining financial information from
(1) SF-269 or SF-269A, Financial Status Report.
(i) The NHPRC requires recipients to use the SF-269 or SF-269A to
report the status of funds for all nonconstruction projects or
programs. The NHPRC may, however, have the option of not requiring
the SF-269 or SF-269A when the SF-270, Request for Advance or
Reimbursement, or SF-272, Report of Federal Cash Transactions, is
determined to provide adequate information to meet its needs, except
that a final SF-269 or SF-269A shall be required at the completion
of the project when the SF-270 is used only for advances.
(ii) The report may be on a cash or accrual basis.
(iii) The NHPRC shall determine the frequency of the Financial
Status Report for each project or program, considering the size and
complexity of the particular project or program. However, the report
shall not be required more frequently than quarterly or less
frequently than annually. A final report shall be required at the
completion of the agreement.
(iv) The NHPRC shall require recipients to submit the SF-269 or
SF-269A (an original and no more than two copies) no later than 30
days after the end of each specified reporting period for quarterly
and semi-annual reports, and 90 calendar days for annual and final
reports. Extensions of reporting due dates may be approved by NHPRC
upon request of the recipient.
(2) SF-272, Report of Federal Cash Transactions.
(i) When funds are advanced to recipients the NHPRC shall require
each recipient to submit the SF-272 and, when necessary, its
continuation sheet, SF-272a. The NHPRC shall use this report to
monitor cash advanced to recipients and to obtain disbursement
information for each agreement with the recipients.
(ii) The NHPRC may require forecasts of Federal cash requirements
in the "Remarks" section of the report.
(iii) When practical and deemed necessary, the NHPRC may require
recipients to report in the "Remarks" section the amount of cash
advances received in excess of three days. Recipients shall provide
short narrative explanations of actions taken to reduce the excess
(iv) Recipients shall be required to submit not more than the
original and two copies of the SF-272 15 calendar days following the
end of each quarter. The NHPRC may require a monthly report from
those recipients receiving advances totaling $1 million or more per
(v) The NHPRC may waive the requirement for submission of the
SF-272 for any one of the following reasons:
(A) When monthly advances do not exceed $25,000 per recipient,
provided that such advances are monitored through other forms
contained in this section;
(B) If, in the NHPRC's opinion, the recipient's accounting
controls are adequate to minimize excessive Federal advances;
(C) When the electronic payment mechanisms provide adequate
(b) When the NHPRC needs additional information or more frequent
reports, the following shall be observed.
(1) When additional information is needed to comply with
legislative requirements, the NHPRC shall issue instructions to
require recipients to submit such information under the "Remarks"
section of the reports.
(2) When the NHPRC determines that a recipient's accounting
system does not meet the standards in §1210.21, additional pertinent
information to further monitor awards may be obtained upon written
notice to the recipient until such time as the system is brought up
to standard. The NHPRC, in obtaining this information, shall comply
with report clearance requirements of 5 CFR Part 1320.
(3) The NHPRC is encouraged to shade out any line item on any
report if not necessary.
(4) The NHPRC may accept the identical information from the
recipients in machine readable format or computer printouts or
electronic outputs in lieu of prescribed formats.
(5) The NHPRC may provide computer or electronic outputs to
recipients when such expedites or contributes to the accuracy of
§1210.53 Retention and access requirements for
(a) This section sets forth requirements for record retention and
access to records for awards to recipients. The NHPRC will not
impose any other record retention or access requirements upon
(b) Financial records, supporting documents, statistical records,
and all other records pertinent to an award shall be retained for a
period of three years from the date of submission of the final
expenditure report or, for awards that are renewed quarterly or
annually, from the date of the submission of the quarterly or annual
financial report, as authorized by the NHPRC. The only exceptions
are the following.
(1) If any litigation, claim, or audit is started before the
expiration of the 3-year period, the records shall be retained until
all litigation, claims or audit findings involving the records have
been resolved and final action taken.
(2) Records for real property and equipment acquired with NHPRC
funds shall be retained for 3 years after final disposition.
(3) When records are transferred to or maintained by the NHPRC,
the 3-year retention requirement is not applicable to the
(4) Indirect cost rate proposals, cost allocations plans, etc. as
specified in paragraph (g) of this section.
(c) Copies of original records may be substituted for the
original records if authorized by the NHPRC.
(d) The NHPRC shall request transfer of certain records to its
custody from recipients when it determines that the records possess
long term retention value. However, in order to avoid duplicate
recordkeeping, the NHPRC may make arrangements for recipients to
retain any records that are continuously needed for joint use.
(e) The NHPRC, the Inspector General, Comptroller General of the
United States, or any of their duly authorized representatives, have
the right of timely and unrestricted access to any books, documents,
papers, or other records of recipients that are pertinent to the
awards, in order to make audits, examinations, excerpts, transcripts
and copies of such documents. This right also includes timely and
reasonable access to a recipient's personnel for the purpose of
interview and discussion related to such documents. The rights of
access in this paragraph are not limited to the required retention
period, but shall last as long as records are retained.
(f) Unless required by statute, the NHPRC will place no
restrictions on recipients that limit public access to the records
of recipients that are pertinent to an award, except when the NHPRC
can demonstrate that such records shall be kept confidential and
would have been exempted from disclosure pursuant to the Freedom of
Information Act (5 U.S.C. 552) if the records had belonged to the
(g) Indirect cost rate proposals, cost allocations plans, etc.
Paragraphs (g)(1) and (g)(2) of this section apply to the following
types of documents, and their supporting records: indirect cost rate
computations or proposals, cost allocation plans, and any similar
accounting computations of the rate at which a particular group of
costs is chargeable (such as computer usage chargeback rates or
composite fringe benefit rates).
(1) If submitted for negotiation. If the recipient submits to the
cognizant Federal agency or the subrecipient submits to the
recipient the proposal, plan, or other computation to form the basis
for negotiation of the rate, then the 3-year retention period for
its supporting records starts on the date of such submission.
(2) If not submitted for negotiation. If the recipient is not
required to submit to the NHPRC or the subrecipient is not required
to submit to the recipient the proposal, plan, or other computation
for negotiation purposes, then the 3-year retention period for the
proposal, plan, or other computation and its supporting records
starts at the end of the fiscal year (or other accounting period)
covered by the proposal, plan, or other computation.
Termination and Enforcement
§1210.60 Purpose of termination and enforcement.
Sections 1210.61 and 1210.62 set forth uniform suspension,
termination and enforcement procedures.
(a) Awards may be terminated in whole or in part only if
paragraphs (1), (2) or (3) of this section apply.
(1) By the NHPRC, if a recipient materially fails to comply with
the terms and conditions of an award.
(2) By the NHPRC with the consent of the recipient, in which case
the two parties shall agree upon the termination conditions,
including the effective date and, in the case of partial
termination, the portion to be terminated.
(3) By the recipient upon sending to the NHPRC written
notification setting forth the reasons for such termination, the
effective date, and, in the case of partial termination, the portion
to be terminated. However, if the NHPRC determines in the case of
partial termination that the reduced or modified portion of the
grant will not accomplish the purposes for which the grant was made,
it may terminate the grant in its entirety under either paragraphs
(a)(1) or (2) of this section.
(b) If costs are allowed under an award, the responsibilities of
the recipient referred to in §1210.71(a), including those for
property management as applicable, shall be considered in the
termination of the award, and provision shall be made for continuing
responsibilities of the recipient after termination, as
(a) Remedies for noncompliance. If a recipient materially fails
to comply with the terms and conditions of an award, whether stated
in a Federal statute, regulation, assurance, application, or notice
of award, the NHPRC may, in addition to imposing any of the special
conditions outlined in §1210.14, take one or more of the following
actions, as appropriate in the circumstances.
(1) Temporarily withhold cash payments pending correction of the
deficiency by the recipient or more severe enforcement action by the
(2) Disallow (that is, deny both use of funds and any applicable
matching credit for) all or part of the cost of the activity or
action not in compliance.
(3) Wholly or partly suspend or terminate the current award.
(4) Withhold further awards for the project or program.
(5) Take other remedies that may be legally available.
(b) Hearings and appeals. In taking an enforcement action, the
NHPRC shall provide the recipient an opportunity for hearing,
appeal, or other administrative proceeding to which the recipient is
entitled under any statute or regulation applicable to the action
(c) Effects of suspension and termination. Costs of a recipient
resulting from obligations incurred by the recipient during a
suspension or after termination of an award are not allowable unless
the NHPRC expressly authorizes them in the notice of suspension or
termination or subsequently. Other recipient costs during suspension
or after termination which are necessary and not reasonably
avoidable are allowable if paragraphs (c)(1) and (2) of this section
(1) The costs result from obligations which were properly
incurred by the recipient before the effective date of suspension or
termination, are not in anticipation of it, and in the case of a
termination, are noncancelable.
(2) The costs would be allowable if the award were not suspended
or expired normally at the end of the funding period in which the
termination takes effect.
(d) Relationship to debarment and suspension. The enforcement
remedies identified in this section, including suspension and
termination, do not preclude a recipient from being subject to
debarment and suspension under E.O.s 12549 and 12689 and NARA
implementing regulations (see §1210.13).
Subpart D -- After-the-Award Requirements
Sections 1210.71 through 1210.73 contain closeout procedures and
other procedures for subsequent disallowances and adjustments.
§1210.71 Closeout procedures.
(a) Recipients shall submit, within 90 calendar days after the
date of completion of the award, all financial, performance, and
other reports as required by the terms and conditions of the award.
The NHPRC may approve extensions when requested by the
(b) Unless the NHPRC authorizes an extension, a recipient shall
liquidate all obligations incurred under the award not later than 90
calendar days after the funding period or the date of completion as
specified in the terms and conditions of the award or in agency
(c) The NHPRC shall make prompt payments to a recipient for
allowable reimbursable costs under the award being closed out.
(d) The recipient shall promptly refund any balances of
unobligated cash that the NHPRC has advanced or paid and that is not
authorized to be retained by the recipient for use in other
projects. OMB Circular A-129 governs unreturned amounts that become
(e) When authorized by the terms and conditions of the award, the
NHPRC shall make a settlement for any upward or downward adjustments
to the Federal share of costs after closeout reports are
(f) The recipient shall account for any real and personal
property acquired with Federal funds or received from the Federal
Government in accordance with §1210.31 through 1210.37.
(g) In the event a final audit has not been performed prior to
the closeout of an award, the NHPRC shall retain the right to
recover an appropriate amount after fully considering the
recommendations on disallowed costs resulting from the final
§1210.72 Subsequent adjustments and continuing
(a) The closeout of an award does not affect any of the
(1) The right of the NHPRC to disallow costs and recover funds on
the basis of a later audit or other review.
(2) The obligation of the recipient to return any funds due as a
result of later refunds, corrections, or other transactions.
(3) Audit requirements in §1210.26.
(4) Property management requirements in §1210.31 through
(5) Records retention as required in §1210.53.
(b) After closeout of an award, a relationship created under an
award may be modified or ended in whole or in part with the consent
of the NHPRC and the recipient, provided the responsibilities of the
recipient referred to in §1210.73(a), including those for property
management as applicable, are considered and provisions made for
continuing responsibilities of the recipient, as appropriate.
§1210.73 Collection of amounts due.
(a) Any funds paid to a recipient in excess of the amount to
which the recipient is finally determined to be entitled under the
terms and conditions of the award constitute a debt to the Federal
Government. If not paid within a reasonable period after the demand
for payment, the NHPRC may reduce the debt by:
(1) Making an administrative offset against other requests for
(2) Withholding advance payments otherwise due to the recipient;
(3) Taking other action permitted by statute.
(b) Except as otherwise provided by law, the NHPRC shall charge
interest on an overdue debt in accordance with 4 CFR Chapter II,
"Federal Claims Collection Standards."
Appendix A -- Contract Provisions
All contracts, awarded by a recipient including small purchases,
shall contain the following provisions as applicable:
1. Equal Employment Opportunity -- All contracts shall contain a
provision requiring compliance with E.O. 11246, "Equal Employment
Opportunity,'' as amended by E.O. 11375, "Amending Executive Order
11246 Relating to Equal Employment Opportunity,'' and as
supplemented by regulations at 41 CFR part 60, "Office of Federal
Contract Compliance Programs, Equal Employment Opportunity,
Department of Labor.''
2. Copeland "Anti-Kickback'' Act (18 U.S.C. 874 and 40 U.S.C.
276c) -- All contracts and subgrants in excess of $2,000 for
construction or repair awarded by recipients and subrecipients shall
include a provision for compliance with the Copeland
"Anti-Kickback'' Act (18 U.S.C. 874), as supplemented by Department
of Labor regulations (29 CFR part 3, "Contractors and Subcontractors
on Public Building or Public Work Financed in Whole or in Part by
Loans or Grants from the United States''). The Act provides that
each contractor or subrecipient shall be prohibited from inducing,
by any means, any person employed in the construction, completion,
or repair of public work, to give up any part of the compensation to
which he is otherwise entitled. The recipient shall report all
suspected or reported violations to the Federal awarding agency.
3. Davis-Bacon Act, as amended (40 U.S.C. 276a to a - 7) -- When
required by Federal program legislation, all construction contracts
awarded by the recipients and subrecipients of more than $2,000
shall include a provision for compliance with the Davis-Bacon Act
(40 U.S.C. 276a to a - 7) and as supplemented by Department of Labor
regulations (29 CFR part 5, "Labor Standards Provisions Applicable
to Contracts Governing Federally Financed and Assisted
Construction''). Under this Act, contractors shall be required to
pay wages to laborers and mechanics at a rate not less than the
minimum wages specified in a wage determination made by the
Secretary of Labor. In addition, contractors shall be required to
pay wages not less than once a week. The recipient shall place a
copy of the current prevailing wage determination issued by the
Department of Labor in each solicitation and the award of a contract
shall be conditioned upon the acceptance of the wage determination.
The recipient shall report all suspected or reported violations to
the Federal awarding agency.
4. Contract Work Hours and Safety Standards Act (40 U.S.C. 327 -
333) -- Where applicable, all contracts awarded by recipients in
excess of $2,000 for construction contracts and in excess of $2,500
for other contracts that involve the employment of mechanics or
laborers shall include a provision for compliance with Sections 102
and 107 of the Contract Work Hours and Safety Standards Act (40
U.S.C. 327 - 333), as supplemented by Department of Labor
regulations (29 CFR part 5). Under Section 102 of the Act, each
contractor shall be required to compute the wages of every mechanic
and laborer on the basis of a standard work week of 40 hours. Work
in excess of the standard work week is permissible provided that the
worker is compensated at a rate of not less than 1 1Ú2 times the
basic rate of pay for all hours worked in excess of 40 hours in the
work week. Section 107 of the Act is applicable to construction work
and provides that no laborer or mechanic shall be required to work
in surroundings or under working conditions which are unsanitary,
hazardous or dangerous. These requirements do not apply to the
purchases of supplies or materials or articles ordinarily available
on the open market, or contracts for transportation or transmission
5. Rights to Inventions Made Under a Contract or Agreement --
Contracts or agreements for the performance of experimental,
developmental, or research work shall provide for the rights of the
Federal Government and the recipient in any resulting invention in
accordance with 37 CFR part 401, "Rights to Inventions Made by
Nonprofit Organizations and Small Business Firms Under Government
Grants, Contracts and Cooperative Agreements,'' and any implementing
regulations issued by the awarding agency.
6. Clean Air Act (42 U.S.C. 7401 et seq.) and the Federal Water
Pollution Control Act (33 U.S.C. 1251 et seq.), as amended --
Contracts and subgrants of amounts in excess of $100,000 shall
contain a provision that requires the recipient to agree to comply
with all applicable standards, orders or regulations issued pursuant
to the Clean Air Act (42 U.S.C. 7401 et seq.) and the Federal Water
Pollution Control Act as amended (33 U.S.C. 1251 et seq.).
Violations shall be reported to the Federal awarding agency and the
Regional Office of the Environmental Protection Agency (EPA).
7. Byrd Anti-Lobbying Amendment (31 U.S.C. 1352) -- Contractors
who apply or bid for an award of $100,000 or more shall file the
required certification. Each tier certifies to the tier above that
it will not and has not used Federal appropriated funds to pay any
person or organization for influencing or attempting to influence an
officer or employee of any agency, a member of Congress, officer or
employee of Congress, or an employee of a member of Congress in
connection with obtaining any Federal contract, grant or any other
award covered by 31 U.S.C. 1352. Each tier shall also disclose any
lobbying with non-Federal funds that takes place in connection with
obtaining any Federal award. Such disclosures are forwarded from
tier to tier up to the recipient.
8. Debarment and Suspension (E.O.s 12549 and 12689) -- No
contract shall be made to parties listed on the General Services
Administration's List of Parties Excluded from Federal Procurement
or Nonprocurement Programs in accordance with E.O.s 12549 and 12689,
"Debarment and Suspension.'' This list contains the names of parties
debarred, suspended, or otherwise excluded by agencies, and
contractors declared ineligible under statutory or regulatory
authority other than E.O. 12549. Contractors with awards that exceed
the small purchase threshold shall provide the required
certification regarding its exclusion status and that of its