[Title 7 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 1999 Edition]
[From the U.S. Government Printing Office]
7
Agriculture
[[Page i]]
PART 2000 TO END
Revised as of January 1, 1999
CONTAINING
A CODIFICATION OF DOCUMENTS
OF GENERAL APPLICABILITY
AND FUTURE EFFECT
AS OF JANUARY 1, 1999
With Ancillaries
Published by
the Office of the Federal Register
National Archives and Records
Administration
as a Special Edition of
the Federal Register
[[Page ii]]
U.S. GOVERNMENT PRINTING OFFICE
WASHINGTON : 1999
For sale by U.S. Government Printing Office
Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328
[[Page iii]]
Table of Contents
Page
Explanation................................................. vii
Title 7:
Subtitle B--Regulations of the Department of Agriculture
(Continued):
Chapter XVIII--Rural Housing Service, Rural
Business-Cooperative Service, Rural Utilities
Service, and Farm Service Agency, Department of
Agriculture (Continued) 5
Chapter XXVI--Office of Inspector General,
Department of Agriculture 23
Chapter XXVII--Office of Information Resources
Management, Department of Agriculture 31
Chapter XXVIII--Office of Operations, Department of
Agriculture 37
Chapter XXIX--Office of Energy, Department of
Agriculture 45
Chapter XXX--Office of the Chief Financial Officer,
Department of Agriculture 53
Chapter XXXI--Office of Environmental Quality,
Department of Agriculture 217
Chapter XXXII--Office of Procurement and Property
Management, Department of Agriculture 225
Chapter XXXIII--Office of Transportation, Department
of Agriculture 231
Chapter XXXIV--Cooperative State Research,
Education, and Extension Service, Department of
Agriculture 245
Chapter XXXV--Rural Housing Service, Department of
Agriculture 363
[[Page iv]]
Chapter XXXVI--National Agricultural Statistics
Service, Department of Agriculture 437
Chapter XXXVII--Economic Research Service,
Department of Agriculture 443
Chapter XXXVIII--World Agricultural Outlook Board,
Department of Agriculture 449
Chapter XLI--[Reserved]
Chapter XLII--Rural Business-Cooperative Service and
Rural Utilities Service, Department of Agriculture 455
Finding Aids:
Table of CFR Titles and Chapters........................ 529
Alphabetical List of Agencies Appearing in the CFR...... 547
List of CFR Sections Affected........................... 557
[[Page v]]
----------------------------
Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 7 CFR 2003.1 refers
to title 7, part 2003,
section 1.
----------------------------
[[Page vi]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
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name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
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LEGAL STATUS
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HOW TO USE THE CODE OF FEDERAL REGULATIONS
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EFFECTIVE AND EXPIRATION DATES
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OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires
Federal agencies to display an OMB control number with their information
collection request.
[[Page vii]]
Many agencies have begun publishing numerous OMB control numbers as
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OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on
the cover of each volume are not carried. Code users may find the text
of provisions in effect on a given date in the past by using the
appropriate numerical list of sections affected. For the period before
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For
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Affected'' is published at the end of each CFR volume.
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A subject index to the Code of Federal Regulations is contained in a
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the revision dates of the 50 CFR titles.
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ELECTRONIC SERVICES
The full text of the Code of Federal Regulations, the LSA (List of
CFR Sections Affected), The United States Government Manual, the Federal
Register, Public Laws, Weekly Compilation of Presidential Documents and
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[email protected].
[[Page viii]]
The Office of the Federal Register also offers a free service on the
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Raymond A. Mosley,
Director,
Office of the Federal Register.
January 1, 1999.
[[Page ix]]
THIS TITLE
Title 7--Agriculture is composed of fifteen volumes. The parts in
these volumes are arranged in the following order: parts 1-26, 27-52,
53-209, 210-299, 300-399, 400-699, 700-899, 900-999, 1000-1199, 1200-
1599, 1600-1899, 1900-1939, 1940-1949, 1950-1999, and part 2000 to end.
The contents of these volumes represent all current regulations codified
under this title of the CFR as of January 1, 1999.
The Food and Nutrition Service current regulations in the volume
containing parts 210-299, include the Child Nutrition Programs and the
Food Stamp Program. The regulations of the Federal Crop Insurance
Corporation are found in the volume containing parts 400-699.
All marketing agreements and orders for fruits, vegetables and nuts
appear in the one volume containing parts 900-999. All marketing
agreements and orders for milk appear in the volume containing parts
1000-1199. Part 900--General Regulations is carried as a note in the
volume containing parts 1000-1199, as a convenience to the user.
Redesignation tables appear in the Finding Aids section of the
volumes containing parts 210-299 and parts 1600-1899.
For this volume, Cheryl E. Sirofchuck was Chief Editor. The Code of
Federal Regulations publication program is under the direction of
Frances D. McDonald, assisted by Alomha S. Morris.
[[Page x]]
[[Page 1]]
TITLE 7--AGRICULTURE
(This book contains part 2000 to End)
--------------------------------------------------------------------
SUBTITLE B--Regulations of the Department of Agriculture--Continued
Part
chapter xviii--Rural Housing Service, Rural Business-
Cooperative Service, Rural Utilities Service, and Farm
Service Agency, Department of Agriculture (Continued)..... 2003
chapter xxvi--Office of Inspector General, Department of
Agriculture............................................... 2610
chapter xxvii--Office of Information Resources Management,
Department of Agriculture................................. 2700
chapter xxviii--Office of Operations, Department of
Agriculture............................................... 2810
chapter xxix--Office of Energy, Department of Agriculture... 2900
chapter xxx--Office of the Chief Financial Officer,
Department of Agriculture................................. 3010
chapter xxxi--Office of Environmental Quality, Department of
Agriculture............................................... 3100
chapter xxxii--Office of Procurement and Property
Management, Department of Agriculture..................... 3200
chapter xxxiii--Office of Transportation, Department of
Agriculture............................................... 3300
chapter xxxiv--Cooperative State Research, Education, and
Extension Service, Department of Agriculture.............. 3400
[[Page 2]]
chapter xxxv--Rural Housing Service, Department of
Agriculture............................................... 3550
chapter xxxvi--National Agricultural Statistics Service,
Department of Agriculture................................. 3600
chapter xxxvii--Economic Research Service, Department of
Agriculture............................................... 3700
chapter xxxviii--World Agricultural Outlook Board,
Department of Agriculture................................. 3800
chapter xli--[Reserved]
chapter xlii--Rural Business-Cooperative Service and Rural
Utilities Service, Department of Agriculture.............. 4274
[[Page 3]]
Subtitle B--Regulations of the Department of Agriculture--(Continued)
[[Page 5]]
CHAPTER XVIII--RURAL HOUSING SERVICE, RURAL BUSINESS-COOPERATIVE
SERVICE, RURAL UTILITIES SERVICE, AND FARM SERVICE AGENCY, DEPARTMENT OF
AGRICULTURE (Continued)
--------------------------------------------------------------------
Editorial Note: Nomenclature changes to chapter XVIII appear at 59 FR
66443, Dec. 27, 1994; 61 FR 1109, Jan. 16, 1996; and 61 FR 2899, Jan.
30, 1996.
SUBCHAPTER I--ADMINISTRATIVE REGULATIONS
Part Page
2003 Organization................................ 7
2018 General..................................... 17
2045 General..................................... 19
[[Page 7]]
SUBCHAPTER I--ADMINISTRATIVE REGULATIONS
PART 2003--ORGANIZATION--Table of Contents
Subpart A--Functional Organization of the Rural Development Mission Area
Sec.
2003.1 Definitions.
2003.2 General.
2003.3-2003.4 [Reserved]
2003.5 Headquarters organization.
2003.6 Office of the Under Secretary.
2003.7-2003.9 [Reserved]
2003.10 Rural Development State Offices.
2003.11-2003.13 [Reserved]
2003.14 Field Offices.
2003.15-2003.16 [Reserved]
2003.17 Availability of information.
2003.18 Functional organization of RHS.
2003.19-2003.21 [Reserved]
2003.22 Functional organization of RUS.
2003.23-2003.25 [Reserved]
2003.26 Functional organization of RBS.
2003.27-2003.50 [Reserved]
Authority: 5 U.S.C. 301, 7 U.S.C. 901 et seq., 7 U.S.C. 1989, 7
U.S.C. 6941 et seq., 42 U.S.C. 1480, et seq.
Source: 62 FR 67259, Dec. 24, 1997, unless otherwise noted.
Subpart A--Functional Organization of the Rural Development Mission Area
Sec. 2003.1 Definitions.
EEO--the Equal Employment Opportunity Act of 1972, 42 U.S.C.
Sec. 2000e et seq.
O&M--Operations and Management.
P&P--Policy and Planning.
RBS--Rural Business-Cooperative Development Service, USDA, or any
successor agency.
RHS--Rural Housing Service, USDA, or any successor agency.
RTB--Rural Telephone Bank authorized by 7 U.S.C. 944.
Rural Development--Rural Development mission area of USDA.
RUS--Rural Utilities Service, USDA, or any successor agency.
Secretary--the Secretary of USDA.
USDA--the United States Department of Agriculture.
Sec. 2003.2 General.
The Rural Development mission area of the Department of Agriculture
was established as a result of the Department of Agriculture
Reorganization Act of 1994, Title II of Pub.L. 103-354. Rural
Development's basic organization consists of Headquarters in Washington,
D.C. and 47 State Offices. Headquarters maintains overall planning,
coordination, and control of Rural Development agency programs.
Administrators head RHS, RBS, and RUS under the direction of the Under
Secretary for Rural Development. State Directors head the State Offices
and are directly responsible to the Under Secretary for the execution of
all Rural Development agency programs within the boundaries of their
states.
Secs. 2003.3-2003.4 [Reserved]
Sec. 2003.5 Headquarters organization.
(a) The Rural Development Headquarters is comprised of:
(1) The Office of the Under Secretary;
(2) Two Deputy Under Secretaries; and,
(3) Three Administrators and their staffs.
(b) The Rural Development Headquarters is located at 1400
Independence Avenue, SW., Washington, DC. 20250-0700
Sec. 2003.6 Office of the Under Secretary.
In accordance with 7 CFR Sec. 2.17 the Secretary has delegated to
the Under Secretary, Rural Development, authority to manage and
administer programs and support functions of the Rural Development
mission area.
(a) Office of the Deputy Under Secretary for P&P. This office is
headed by the Deputy Under Secretary for P&P. The Under Secretary, Rural
Development, has delegated to the Deputy Under Secretary for P&P,
responsibility for formulation and development of short-and long-range
rural development policies of the Department in accordance with 7 CFR
Sec. 2.45. The Deputy Under Secretary for P&P reports directly to the
Under Secretary, Rural Development, and provides guidance and
supervision for research, policy analysis and development, strategic
[[Page 8]]
planning, partnerships and special initiatives. For budget and
accounting purposes, all of the staff offices under the Deputy Under
Secretary for P&P are housed in RBS.
(1) The Budget Analysis Division assesses potential impacts of
alternative policies on the mission area's programs and operations and
develops recommendations for change. The units are headed by the Chief
Budget Officer, who individually serves as the top policy advisor to the
Under Secretary and Deputy Under Secretary on all matters relating to
mission area budget policy.
(2) The Research, Analysis and Information Division analyzes
information on rural conditions and the strategies and techniques for
promoting rural development. The division performs, or arranges to have
conducted, short-term and major research studies needed to formulate
policy.
(3) The Reinvention and Capacity Building Division coordinates the
mission area's strategic planning initiatives, both at the National
level and in the State Offices. The division assists the Rural
Development agencies in their implementation of the Government
Performance and Results Act (GPRA) and special initiatives of the
Administration, USDA, and the Office of the Under Secretary.
(4) The Rural Initiatives and Partnership Division manages the
mission area's involvement and coordination with other Federal and state
departments and agencies to assess rural issues and develop model
partnerships and initiatives to achieve shared rural development goals.
The division is responsible for managing the National Rural Development
Partnership and providing support and oversight of 37 State Rural
Development Councils.
(b) Office of the Deputy Under Secretary for O&M. In accordance with
7 CFR 2.45, the Under Secretary, Rural Development, has delegated to the
Deputy Under Secretary for O&M responsibility for providing leadership
in planning, developing, and administering overall administrative
management program policies and operational activities of the Rural
Development mission area. The Deputy Under Secretary for O&M reports
directly to the Under Secretary, Rural Development.
(1) Office of the Deputy Administrator for O&M. Headed by the Deputy
Administrator for O&M, this office reports directly to the Deputy Under
Secretary for O&M, and is responsible for directing and coordinating the
consolidated administrative and financial management functions for Rural
Development. This office provides overall guidance and supervision for
budget and financial management, human resources management and
personnel services, administrative and procurement services, information
resources management and automated data systems. For budget and
accounting purposes, all of the staff offices under the Deputy
Administrator for O&M are housed in RHS.
(i) Office of the Controller. Headed by the Chief Financial Officer,
this office supports the Deputy Administrator for O&M in executing Rural
Development requirements related to compliance with the Chief Financial
Officers Act of 1990 and provides leadership, coordination, and
oversight of all financial management matters and financial execution of
the budget for the Rural Development agencies. This office also has full
responsibility for Rural Development agencies' accounting, financial,
reporting, and internal controls. The office provides direct oversight
to the Headquarters Budget Division, Financial Management Division, and
the Office of the Assistant Controller, located in St. Louis, Missouri.
(ii) Office of Assistant Administrator for Procurement and
Administrative Services. Headed by the Assistant Administrator for
Procurement and Administrative Services, this office is responsible to
the Deputy Administrator for O&M for overseeing the Procurement
Management Division, the Property and Supply Management Division, and
the Support Services Division:
(A) The Procurement Management Division is responsible for
developing, implementing, and interpreting procurement and contracting
policies for the Rural Development mission area. Major functions include
planning outreach efforts and goals for small and disadvantaged
businesses, providing staff assistance reviews in State and
[[Page 9]]
Local Offices, administering the Contracting Officer Professionalism
Warrant program for Rural Development agencies, and coordinating the
development of Rural Development's acquisition plans.
(B) The Property and Supply Management Division is responsible for
developing office space acquisition and utilization policies, providing
training to field office leasing officers, administering the Leasing
Officer Warrant program, assuring accessibility compliance in Rural
Development's work sites, administering Rural Development's Physical
Security program, and establishing and providing oversight to the
worksite Energy Conservation program. This office operates a nationwide
supply warehousing and distribution program, and oversees a nationwide
Personal Property Management and Utilization Program, manages the U.S.
Department of Agriculture (USDA) Excess Personal Property Program for
field level activities, and provides direct support services to Rural
Development's St. Louis facilities.
(C) The Support Services Division has responsibility for designing,
developing, administering, and controlling Rural Development's
directives management and issuance system, coordinating Rural
Development's Regulatory Agenda and Regulatory Program submissions to
USDA and OMB, serving as Federal Register liaison, and analyzing and
coordinating regulatory work plans for the Under Secretary. This office
submits Paperwork Reduction Act public burden clearances to OMB,
administers all printing programs, manages Rural Development travel
policies and programs, and manages Freedom of Information Act, Privacy
Act and Tort Claims programs.
(iii) Office of Information Resources Management (IRM). Headed by
the Chief Information Officer, this office is responsible to the Deputy
Administrator for O&M for developing Rural Development's IRM policies,
regulations, standards and guidelines. This office provides overall
leadership and direction to activities assigned to the following four
major divisions:
(A) The Customer Services Division is responsible for direct
customer and technical support (hardware and software).
(B) The Management Services Division coordinates all IRM
acquisition, budget, and policy and planning activities in support of
Rural Development automation.
(C) The Information Technology Division provides support technical
services in the areas of data administration, system integrity
management, research and development, and telecommunications.
(D) The Systems Services Division is responsible for planning,
directing, and controlling activities related to Rural Development's
Automated Information Systems.
(iv) Office of the Assistant Administrator for Human Resources.
Headed by the Assistant Administrator for Human Resources, this office
is responsible to the Deputy Administrator for O&M for the overall
development, implementation, and management, of personnel and human
resources support services for Rural Development. The office provides
direction to the Headquarters Personnel Services, Human Resources
Training and Mission Area Personnel Services Division, and Labor
Relations Staff offices. The office is also responsible for the
establishment of recruitment, retention, and development policies and
programs supporting workforce diversity and affirmative action.
(2) Office of Civil Rights Staff. Headed by a staff director, this
staff has primary responsibility for providing leadership and
administration of the Civil Rights Program for the Rural Development
mission area. The staff conducts on-site reviews of borrowers and
beneficiaries of Federal financial assistance to ensure compliance with
Titles VI and VII of the Civil Rights Act of 1964, as amended, Title
VIII of the Civil Rights Act of 1968, as amended, Section 504 of the
Rehabilitation Act, the Americans with Disabilities Act, and prepares
compliance reports. The staff conducts and evaluates Title VII
compliance visits to insure that EEO programs are adequately
implemented. In addition, the office develops, monitors, and evaluates
Affirmative Employment programs for minorities, women and
[[Page 10]]
persons with disabilities, and coordinates and conducts community
outreach activities at historically black colleges and universities. It
also has oversight of special emphasis programs such as the Federal
Women's Program, Hispanic Emphasis Program, and Black Emphasis Program.
The staff director reports directly to the Deputy Under Secretary for
O&M.
(3) Office of Communications. Headed by a director who reports
directly to the Deputy Under Secretary for O&M, this office has primary
responsibility for tracking legislation and development and institution
of policies to provide public communication and information services
related to the Rural Development. The office maintains a constituent
data base and conducts minority outreach efforts and administers a
public information and media center responsible for media inquiries,
news releases, program announcements, media advisories, and information
retrieval. This office also serves as a liaison with Office of
Congressional Relations (OCR), Office of the General Counsel (OGC), and
other Departmental units involved in Congressional relations and public
information. This office drafts testimony, prepares witnesses, and
provides staff for hearings and markups. In addition, the office briefs
Congressional members and staff on the Rural Development matters,
coordinates Rural Development's legislative activities with other USDA
agencies and OMB and develops and implements legislative strategy. The
staff also coordinates development and production of brochures, press
releases, and other public information materials.
Secs. 2003.7-2003.9 [Reserved]
Sec. 2003.10 Rural Development State Offices.
(a) Headed by State Directors, State Offices report directly to the
Under Secretary, Rural Development, and are responsible to the three
Rural Development agency Administrators for carrying out agency program
operations at the State level, ensuring adherence to program plans
approved for the State by the Under Secretary, and rendering staff
advisory and manpower support to Area and Local offices. The Rural
Development State Directors, for budget and accounting purposes, are
housed in the RHS agency.
(b) Program Directors within the State Office provide oversight and
leadership on major program functions. Major program functions include:
Single Family and Multi-Family Housing loans and grants, Community
Facility, Water and Waste Disposal, Business and Cooperative, and the
Empowerment Zones and Enterprise Communities (EZ/EC) programs.
(c) The USDA Rural Development State Office locations are as
follows:
------------------------------------------------------------------------
State Location
------------------------------------------------------------------------
Alabama................................... Montgomery, AL
Alaska.................................... Palmer, AK
Arizona................................... Phoenix, AZ
Arkansas.................................. Little Rock, AR
California................................ Woodland, CA
Colorado.................................. Lakewood, CO
Delaware.................................. Camden, DE
Florida................................... Gainesville, FL
Georgia................................... Athens, GA
Hawaii.................................... Hilo, HI
Idaho..................................... Boise, ID
Illinois.................................. Champaign, IL
Indiana................................... Indianapolis, IN
Iowa...................................... Des Moines, IA
Kansas.................................... Topeka, KS
Kentucky.................................. Lexington, KY
Louisiana................................. Alexandria, LA
Maine..................................... Bangor, ME
Massachusetts............................. Amherst, MA
Michigan.................................. East Lansing, MI
Minnesota................................. St. Paul, MN
Mississippi............................... Jackson, MS
Missouri.................................. Columbia, MO
Montana................................... Bozeman, MT
Nebraska.................................. Lincoln, NE
Nevada.................................... Carson City, NV
New Jersey................................ Mt. Holly, NJ
New Mexico................................ Albuquerque, NM
New York.................................. Syracuse, NY
North Carolina............................ Raleigh, NC
North Dakota.............................. Bismarck, ND
Ohio...................................... Columbus, OH
Oklahoma.................................. Stillwater, OK
Oregon.................................... Portland, OR
Pennsylvania.............................. Harrisburg, PA
Puerto Rico............................... Hato Rey, PR
South Carolina............................ Columbia, SC
South Dakota.............................. Huron, SD
Tennessee................................. Nashville, TN
Texas..................................... Temple, TX
Utah...................................... Salt Lake City, UT
Vermont................................... Montpelier, VT
Virginia.................................. Richmond, VA
Washington................................ Olympia, WA
West Virginia............................. Charleston, WV
Wisconsin................................. Stevens Point, WI
Wyoming................................... Casper, WY
------------------------------------------------------------------------
[62 FR 67259, Dec. 24, 1997; 63 FR 3256, Jan. 22, 1998]
[[Page 11]]
Secs. 2003.11-2003.13 [Reserved]
Sec. 2003.14 Field Offices.
Rural Development field offices report to their respective State
Director and State Office Program Directors. State Directors may
organizationally structure their offices based on the program workloads
within their respective State. Field offices generally are patterned in
a three or two tier program delivery structure. In a three tier system,
Local offices report to an Area office, that reports to the State
Office. In a two tier system, a ``Local'' or ``Area'' office reports to
the State Office. Locations and telephone numbers of Area and Local
Offices may be obtained from the appropriate Rural Development State
Office.
Secs. 2003.15-2003.16 [Reserved]
Sec. 2003.17 Availability of information.
Information concerning Rural Development programs and agencies may
be obtained from the Office of Communications, Rural Development, U. S.
Department of Agriculture, STOP 0705, 1400 Independence Avenue SW.,
Washington, DC 20250-0705.
Sec. 2003.18 Functional organization of RHS.
(a) General. The Secretary established RHS pursuant to Sec. 233 of
the Department of Agriculture Reorganization Act of 1994 (7 U.S.C.
6943).
(b) Office of the Administrator. According to 7 CFR 2.49, the
Administrator has responsibility for implementing programs aimed at
delivering loans and grant assistance to rural Americans and their
communities in obtaining adequate and affordable housing and community
facilities, in accordance with Title V of the Housing Act of 1949 (42
U.S.C. 1471 et seq.) and the Consolidated Farm and Rural Development Act
(7 U.S.C. 1921 et seq.).
(1) Legislative Affairs Staff. The duties and responsibilities of
this staff have now been aligned under the Office of Communication,
headed by a director who reports directly to the Under Secretary for
O&M. The Office of Communication is responsible for providing and
carrying out legislative, public communication, and information services
for the Rural Development mission area.
(2) Office of Program Support Staff. The Program Support Staff is
headed by a staff director who is responsible to the Administrator for
monitoring managerial and technical effectiveness of RHS programs. The
staff coordinates review and analysis of legislation, Executive Orders,
OMB circulars, and Department regulations for their impact on Agency
programs. The staff develops, implements, and reports on architectural
and environmental policies, in cooperation with the Department. Staff
responsibilities also include managing RHS's Hazardous Waste Management
Fund, coordinating the Debarment and Suspension process for RHS,
tracking the use of Program Loan Cost Expense funds, and maintaining the
RHS Internet ``Home Page.''
(3) Office of Deputy Administrator, Single Family Housing. Headed by
the Deputy Administrator, Single Family Housing, this office is
responsible to the Administrator for the development and implementation
of RHS's Single Family Housing programs, which extend supervised housing
credit to rural people of limited resources, for adequate, modest,
decent, safe, and sanitary homes. The office is responsible for
administering and managing sections 502 and 504 Rural Housing direct and
guaranteed loan and grant programs, Rural Housing and Self-Help Site
loans, the Self-Help Technical Assistance grant program, Housing
Application Packaging and Technical and Supervisory Assistance grants,
and Home Improvement and Repaid loans and grants. The office directs the
following three divisions: Single Family Housing Processing Division,
Single Family Housing Servicing and Property Management Division, and
Single Family Housing Centralized Servicing Center in St. Louis, Mo.
(i) Office of Single Family Housing Processing Division. Headed by a
division director, this division is responsible for development and
nationwide implementation of policies on processing Single Family
Housing direct and guaranteed program loans. In addition, the division
provides direction on the following: the Rural Housing Targeted Area
Set-Aside program, debarments,
[[Page 12]]
payment assistance, title clearance and loan closing, site/subdivision
development, Deferred Mortgage Payment Program; construction defects,
credit reports, appraisals, Manufactured Housing, coordinated assessment
reviews, Home Buyer's Counseling/Education Program, and allocation of
loan and grant program funds.
(ii) Office of Single Family Housing Servicing and Property
Management Division. Headed by a division director, this division is
responsible for the development and implementation of nationwide
policies for servicing RHS's multi-billion dollar portfolio of Single
Family Housing loans, and managing and selling Single Family Housing
inventory properties. The division also conducts state program
evaluations, identifies program weaknesses, makes recommendations for
improvements, and identifies corrective actions.
(iii) Office of Single Family Housing Centralized Servicing Center
(CSC)--St. Louis, Missouri. Headed by a director, CSC is responsible for
centrally servicing RHS's multi-billion dollar portfolio of Single
Family Housing loans. CSC provides interest credit or payment assistance
renewals, performs escrow activities for real estate taxes and property
hazard insurance, oversees collection of loan payments, and grants
interest credit, payment assistance, and moratoria.
(4) Office of the Deputy Administrator, Multi-Family Housing
Division. Headed by the Deputy Administrator, Multi-Family Housing, this
office is responsible for the development and nationwide implementation
of RHS's Multi-Family Housing programs, which extend supervised housing
credit to rural residents an opportunity to have decent, safe, and
sanitary rental housing. The following programs are administered and
managed by this office: Section 515 Rural Rental Housing, Rural
Cooperative and Congregate Housing Programs, Section 521 Rental
Assistance, Farm Labor Housing loan and grant programs, Housing
Preservation Grants, rural housing vouchers, and Housing Application
Packaging Grants. This office directs the following two divisions:
(i) Multi-Family Housing Processing Division. Headed by a division
director, this division is responsible for the development and
nationwide implementation of policies on processing Multi-Family Housing
program loans. The division manages the following program areas: elderly
and family rental housing, Farm Labor Housing loans and grants, outreach
contacts, congregate facilities, Housing Preservation Grants,
cooperative housing, rural housing vouchers, appraisals, Congregate
Housing Services Grants, Rental Assistance, Housing Application
Packaging Grants, targeted area and nonprofit set asides, Multi-Family
Housing suspensions and debarments, title clearance and loan closing,
allocation and monitoring of loan and grant funds, adverse decisions and
appeals, commercial credit reports, individual credit reports, and, site
development.
(ii) Multi-Family Housing Portfolio Management Division. Headed by a
division director, this division is responsible for the development and
institution of policies on the management and servicing of the
nationwide Multi-Family Housing programs. The Division implements
current and long range plans for servicing Rural Rental Housing loans,
Labor Housing loans and grants, and Rental Assistance or similar tenant
subsidies.
(5) Office of the Deputy Administrator, Community Programs. Headed
by the Deputy Administrator, Community Programs, this office is
responsible for overseeing the administration and management of
Community Facilities loans and grants to hospitals and nursing homes,
police and fire stations, libraries, schools, adult and child care
centers, etc. The office monitors and evaluates the administration of
loan and grant programs on a nationwide basis and provides guidance and
direction for community programs through two divisions, Community
Programs Loan Processing Division and Servicing and Special Authorities
Division.
(i) Community Programs Loan Processing Division. Headed by a
director, this division is responsible for the overall administration,
policy development, fund distribution, and processing of Community
Facilities loans and other loan and grant programs assigned to the
Division.
[[Page 13]]
(ii) Servicing and Special Authorities Division. Headed by a
division director, this division is responsible for the overall
administration, policy development, and servicing of the Community
Facilities loan and grant programs. The division conducts program
evaluations, identifies program weaknesses, makes recommendations for
improvements, and identifies corrective actions. The division also
administers and services Nonprofit National Corporation loans and
grants.
Secs. 2003.19-2003.21 [Reserved]
Sec. 2003.22 Functional organization of RUS.
(a) General. The Secretary established RUS pursuant to Sec. 232 of
the Department of Agriculture Reorganization Act of 1994 (7 U.S.C.
6942).
(b) Office of the Administrator. According to 7 CFR 2.47, the
Administrator has responsibility for managing and administering the
programs and support functions of RUS to provide financial and technical
support for rural infrastructure to include electrification, clean
drinking water, telecommunications, and water disposal systems, pursuant
to the Consolidated Farm and Rural Development Act, as amended (7 U.S.C.
1921 et seq.), and the Rural Electrification Act of 1936, as amended (7
U.S.C. 901 et seq.). The office develops and implements strategic plans
concerning the Rural Electrification Act of 1936, as amended. The
Administrator serves as Governor of the Rural Telephone Bank (RTB) with
a 13-member board of directors, and exercises and performs all
functions, powers, and duties of the RTB in accordance with 7 U.S.C.
944.
(1) Borrower and Program Support Services. Borrower and Program
Support Services consist of the three following staffs which are
responsible to the Administrator for planning and carrying out a variety
of program and administrative services in support of all RUS programs,
and providing expert advice and coordination for the Administrator:
(i) Administrative Liaison Staff. Headed by a staff director, this
staff advises the Administrator on management issues and policies
relating to human resources, EEO, labor-management partnership,
administrative services, travel management, automated information
systems, and administrative budgeting and funds control.
(ii) Program Accounting Services Division. Headed by a division
director, this division develops and evaluates the accounting systems
and procedures of Electric, Telecommunications, and Water and Wastewater
borrowers; assures that accounting policies, systems, and procedures
meet regulatory, Departmental, General Accounting Office, OMB, and
Treasury Department requirements; examines borrowers' records and
operations, and reviews expenditures of loans and other funds; develops
audit requirements; and approves Certified Public Accountants to perform
audits of borrowers.
(iii) Program and Financial Services Staff. Headed by a staff
director, this staff evaluates the financial conditions of troubled
borrowers, negotiates settlements of delinquent loans, and makes
recommendations to program Assistant Administrators on ways to improve
the financial health of borrowers.
(2) Office of Assistant Administrator--Electric Program. Headed by
the Assistant Administrator--Electric Program, this office is
responsible to the Administrator for directing and coordinating the
Rural Electrification program of RUS nationwide. This office develops,
maintains, and implements regulations and program procedures on
processing and approving loans and loan-related activities for rural
electric borrowers. The office directs the following three divisions:
(i) Electric Regional Divisions. Headed by division directors, these
two divisions are responsible for administering the Rural
Electrification program in specific geographic areas and serving as the
single point of contact for all distribution borrowers. The divisions
provide guidance to borrowers on RUS loan policies and procedures,
maintain oversight of borrower rate actions, and make recommendations to
the Administrator on borrower applications for RUS financing. The
divisions also assure that power plant, distribution, and transmission
systems and facilities
[[Page 14]]
are designed and constructed in accordance with the terms of the loan
and proper engineering practices and specifications.
(ii) Power Supply Division. Headed by a division director, this
division is responsible for administering the Rural Electrification
program responsibilities with regard to power supply borrowers
nationwide and serves as primary point of contact between RUS and all
such borrowers. The division develops and maintains a loan processing
program for Rural Electrification Act purposes, and develops and
administers engineering and construction policies related to planning,
design, construction, operation, and maintenance for power supply
borrowers.
(iii) Electric Staff Division. Headed by a division director, this
division is responsible for engineering activities related to the
design, construction, and technical operations and maintenance of power
plants; distribution of power; and transmission systems and facilities,
including load management and communications. The division develops
criteria and techniques for evaluating the financing and performance of
electric borrowers and forecasting borrowers' future power needs; and
maintains financial expertise on the distribution and power supply loan
program, and retail and wholesale rates.
(3) Office of Assistant Administrator--Telecommunications Program.
Headed by the Assistant Administrator--Telecommunications Program, this
office is responsible to the Administrator for directing and
coordinating the National Rural Telecommunications, Distance Learning,
and Telemedicine programs of RUS. The Assistant Administrator,
Telecommunications Program, serves as Assistant Governor of the RTB and
is responsible for the day-to-day activities of the RTB. The office
develops, maintains, and implements regulations and program procedures
on the processing and approval of grants, loans, and loan-related
activities for all rural telecommunications borrowers and grant
recipients. The office directs the following three divisions:
(i) Telecommunications Standards Division. Headed by a division
director, this division is responsible for engineering staff activities
related to the design, construction, and technical operation and
maintenance of rural telecommunications systems and facilities. The
office develops engineering practices, policies, and technical data
related to borrowers' telecommunications systems; and evaluates the
application of new communications network technology, including distance
learning and telemedicine, to rural telecommunications systems.
(ii) Advanced Telecommunications Services Staff. Headed by a staff
director, this staff primarily serves the Assistant Administrator,
Telecommunications Program in the role of the Assistant Governor of the
RTB. The office performs analyses and makes recommendations to the AAT
on issues raised by the RTB Governor, Board of Directors, or RTB
borrowers. This staff maintains official records for the RTB Board and
prepares minutes of RTB Board meetings. The staff director serves as the
Assistant Secretary to the RTB. The staff performs the calculations
necessary to determine the cost of money rate to RTB borrowers and
recommends and develops program- wide procedures for loan and grant
programs. The office is responsible for the Telecommunications Program's
home page on the Internet.
(iii) Telecommunications Area Offices. Headed by area directors,
these four offices are responsible for administering the
Telecommunications, Distance Learning, and Telemedicine programs for
specific geographic areas, and serving as the single point of contact
for all program applicants and borrowers within their respective areas.
The offices provide guidance to applicants and borrowers on RUS and RTB
loan policies and procedures, and make recommendations to the
Administrator on applications for loans, guarantees, and grants. The
offices assure that borrower systems and facilities are designed and
constructed in accordance with the terms of the loan, acceptable
engineering practices and specifications, and acceptable loan security
standards.
(4) Office of the Assistant Administrator--Water and Environmental
Programs. Headed by the Assistant Administrator, Water and Environmental
Programs, this office is responsible to
[[Page 15]]
the Administrator for directing and coordinating a nationwide Water and
Waste Disposal Program for RUS as authorized under Section 306 of the
Consolidated Farm and Rural Development Act, as amended (7 U.S.C. 1926).
The office oversees administration of RUS policies on making and
servicing loans and grants for water and waste facilities in rural
America, and the development of engineering policies, and practices
related to the construction and operation of community water and waste
disposal systems. This office is responsible for development and
coordination of environmental programs with regard to the Water and
Waste Disposal Program and directs the following two divisions:
(i) Water Programs Division. Headed by the division director, this
division is responsible for administering the Water and Waste Disposal
loan and grant making and servicing and special authorities activities
nationwide. This office also makes allocation of loan and grant funds to
field offices and manages National Office reserves.
(ii) Engineering and Environmental Staff. Headed by a staff
director, this staff is responsible for engineering activities at all
stages of program implementation, including: review of preliminary
engineering plans and specifications, procurement practices, contract
awards, construction monitoring, and system operation and maintenance.
The staff also develops Agency engineering practices, policies, and
technical data related to the construction and operation of community
water and waste disposal systems. The staff is responsible for
coordinating environmental policy and providing technical support in
areas such as: hazardous waste, debarment and suspension, flood
insurance, drug free workplace requirements, and computer program
software.
Secs. 2003.23-2003.25 [Reserved]
Sec. 2003.26 Functional organization of RBS.
(a) General. The Secretary established RBS pursuant to Sec. 234 of
the Department of Agriculture Reorganization Act of 1994 (7 U.S.C.
6944).
(b) Office of the Administrator. According to 7 CFR 2.48, the
Administrator is responsible for managing and administering the programs
and support functions of RBS to provide assistance to disadvantaged
communities through grants and loans and technical assistance to
businesses and communities for rural citizens and cooperatives, pursuant
to the following authorities: the Rural Electrification Act of 1936, as
amended (7 U.S.C. 940c and 950aa et seq.), the Consolidated Farm and
Rural Development Act (7 U.S.C. 1921 et seq.), the Cooperative Marketing
Act of 1926 (7 U.S.C. 451-457), the Agricultural Marketing Act of 1946
(7 U.S.C. 1621-1627), and the Food Security Act of 1985 (7 U.S.C. 1932).
These grants, loans, and technical assistance improve community welfare
by enhancing organizational and management skills, developing effective
economic strategies, and expanding markets for a wide range of rural
products and services.
(1) Resources Coordination Staff. Headed by the staff director, this
staff is responsible to the Administrator for preparing legislative
initiatives and modifications for program enhancement. The staff
monitors legislative and regulatory proposals that potentially impact
RBS functions. The staff serves as liaison on budgetary and financial
management matters between RBS staff and the Office of the Controller,
and assists the Administrator in presenting and supporting RBS's budget
and program plans. The staff also advises the Administrator and RBS
officials on management issues and policies related to: human resources,
labor relations, civil rights, EEO, space, equipment, travel, Senior
Executive Service and Schedule C activities, contracting, automated
information systems, and accounting. The staff provides analysis and
recommendations on the effectiveness of administrative and management
activities, and performs liaison functions between RBS and the Office of
the Deputy Under Secretary for O&M on a wide variety of administrative
functions.
(2) Office of the Deputy Administrator, Business Programs. Headed by
the Deputy Administrator, Business Programs,
[[Page 16]]
this office is responsible to the Administrator for overseeing and
coordinating the Business and Industry Guaranteed and Direct Loan
programs, Intermediary Relending Program loans, Rural Business
Enterprise grants, Rural Business Opportunity grants, Rural Economic
Development loan and grant programs, and the Rural Venture Capital
Demonstration Program. The office participates in policy planning, and
program development and evaluation. It also directs the following three
divisions:
(i) Processing Division. Headed by the division director, this
division is responsible for developing and maintaining loan processing
regulations, and directs the processing and approval of guaranteed and
direct business and industry loans, and the Rural Venture Capital
Demonstration Program. It provides technical assistance to field
employees and borrowers on loan processing and develops approval
criteria and performance standards for loans. The division recommends
plans, programs, and activities related to business loan programs and
provides environmental guidance and support.
(ii) Servicing Division. Headed by the division director, this
office is responsible for developing and maintaining servicing
regulations. It directs and provides technical assistance to field
employees and borrowers on servicing business loans and grants. The
division reviews large, complex, or potentially controversial loan and
grant dockets related to loan servicing and recommends servicing plans,
programs, and activities related to business loan and grant programs.
(iii) Specialty Lenders Division. Headed by the division director,
this office is responsible for directing and developing and maintaining
regulations concerning the processing and approval of Intermediary
Relending loans, Rural Business Enterprise grants, Rural Business
Opportunity grants, and Rural Economic Development loan and grant
programs. The division provides technical assistance to field employees
and borrowers on loan and grant processing and other activities. It also
develops approval criteria and performance standards and recommends
plans, programs, and activities related to business loan and grant
programs.
(3) Office of the Deputy Administrator, Cooperative Services
Programs. Headed by the Deputy Administrator, Cooperative Services
Programs, this office is responsible to the Administrator for providing
service to cooperative associations by administering a program of
research and analysis of economic, social, legal, financial, and other
related issues concerning cooperatives. The office administers programs
to assist cooperatives in the organization and management of their
associations and a program for economic research and analysis of the
marketing aspects of cooperatives. The division administers and monitors
activities of the National Sheep Industry Improvement Center and the
Appropriate Technology Transfer to Rural Areas Program, and the Rural
Cooperative Development Grant Program. The office directs the following
three divisions:
(i) Cooperative Marketing Division. Headed by the division director,
this division is responsible for participating in the formulation of
National policies and procedures on cooperative marketing. The division
conducts research and analysis and gives technical assistance to farmer
cooperatives on cooperative marketing of certain crops, livestock,
aquaculture, forestry, poultry, semen, milk, and dairy products to
improve their market performance and economic position.
(ii) Cooperative Development Division. Headed by the division
director, this division is responsible for participating in the
formulation of National policies and procedures on cooperative
development. The office conducts evaluations and analysis of proposed
new cooperatives to develop plans for implementing feasible operations,
and advises and assists rural resident groups and developing
cooperatives in implementing sound business plans for new cooperatives.
It provides research, analysis, and technical assistance to rural
residents on cooperative development initiatives and strategies to
improve economic conditions through cooperative efforts.
[[Page 17]]
(iii) Cooperative Resource Management Division. Headed by the
division director, this division is responsible for participating in the
formulating of National policies and procedures on cooperative resource
management. The division conducts research and analysis and gives
technical assistance to cooperatives on their overall structure,
strategic management and planning, financial issues, and operational
characteristics to improve their use of resources, financial policies,
and ability to adapt to market conditions. The division conducts
research and analysis of policy, taxation, Federal laws, State statutes,
and common laws that apply to cooperative incorporation, structure, and
operation to assist cooperatives in meeting legal requirements.
(4) Office of the Deputy Administrator, Community Development.
Headed by the Deputy Administrator, Community Development, this office
is responsible to the Under Secretary, Rural Development, for
coordinating and overseeing all functions in the Community Outreach and
Empowerment Program areas. The office assists in providing leadership
and coordination to National and local rural economic and community
development efforts. For appropriation and accounting purposes, this
office is located under RBS. The office directs the following two
divisions:
(i) Empowerment Program Division. Headed by the division director,
this division is responsible for formulating policies and developing
plans, standards, procedures, and schedules for accomplishing RBS
activities related to ``community empowerment programs'', including EZ/
EC, AmeriCorps, and other initiatives. The office develops informational
materials and provides technical advice and services to support States
on community empowerment programs. It also generates information about
rural conditions and strategies and techniques for promoting rural
economic development for community empowerment programs.
(ii) Community Outreach Division. Headed by the division director,
this division is responsible for designing and overseeing overall
systems and developing resources to support State and community level
implementation activities for RBS programs. The office designs program
delivery systems and tools, removes impediments to effective community-
level action, supports field offices with specialized skills, and
establishes partnerships with National organizations with grass-roots
membership to assure that programs and initiatives are designed and
implemented in a way that empowers communities. It develops methods for
working with rural business intermediaries to assist them in providing
technical assistance to new, small business, and provides Internet-based
services to 1890 Land-grant universities, EZ/EC, and AmeriCorps
volunteers, linking RBS information support to communities with high
levels of need.
(5) Alternative Agricultural Research and Commercialization
Corporation. Headed by a director, this Corporation is responsible for
providing and monitoring financial assistance for the development and
commercialization of new nonfood and nonfeed products from agricultural
and forestry commodities in accordance with 7 U.S.C. 5901 et seq. The
Corporation acts as a catalyst in forming private and public
partnerships and promotes new uses of agricultural materials. It expands
market opportunities for U.S. farmers through development of value-added
industrial products and promotes environmentally friendly products. For
budget and accounting purposes, this office is assigned to RBS. The
director of the Corporation is responsible to the Office of the
Secretary.
Secs. 2003.27-2003.50 [Reserved]
PART 2018--GENERAL--Table of Contents
Subparts A-E [Reserved]
Subpart F--Availability of Information
Sec.
2018.251 General statement.
2018.252 Public inspection and copying.
2018.253 Indexes.
2018.254 Requests for records.
2018.255 Appeals.
2018.256-2018.300 [Reserved]
Authority: 5 U.S.C. 552.
[[Page 18]]
Subparts A-E [Reserved]
Subpart F--Availability of Information
Source: 61 FR 32645, June 25, 1996, unless otherwise noted.
Sec. 2018.251 General statement.
In keeping with the spirit of the Freedom of Information Act (FOIA),
the policy of Rural Development and its component agencies, Rural
Housing Service (RHS), Rural Utilities Service (RUS), and Rural
Business-Cooperative Service (RBS), governing access to information is
one of nearly total availability, limited only by the countervailing
policies recognized by the FOIA.
Sec. 2018.252 Public inspection and copying.
Facilities for inspection and copying are provided by the Freedom of
Information Officer (FOIO) in the National Office, by the State Director
in each State Office, by the Rural Development Manager (formerly,
District Director) in each District Office, and by the Community
Development Manager (formerly, County Supervisor) in each County Office.
A person requesting information may inspect such materials and, upon
payment of applicable fees, obtain copies. Material may be reviewed
during regular business hours. If any of the Rural Development materials
requested are not located at the office to which the request was made,
the request will be referred to the office where such materials are
available.
Sec. 2018.253 Indexes.
Since Rural Development does not maintain any materials to which 5
U.S.C. 552(a)(2) applies, it maintains no indexes.
Sec. 2018.254 Requests for records.
Requests for records are to be submitted in accordance with 7 CFR
1.3 and may be made to the appropriate Community Development Manager,
Rural Development Manager, State Administrative Management Program
Director (formerly, State Administrative Officer), State Director,
Freedom of Information/Privacy Act Specialist, or Freedom of Information
Officer. The last two positions are located in the Rural Development
Support Services Division, Washington, DC 20250. The phrase ``FOIA
REQUEST'' should appear on the outside of the envelope in capital
letters. The FOIA requests under the Farm Credit Programs (formally FmHA
Farmer Programs) should be forwarded to the Farm Service Agency (FSA),
Freedom of Information Officer, Room 3624, South Agriculture Building,
14th & Independence Avenue, SW., Washington, DC 20250-0506. Requests
should be as specific as possible in describing the records being
requested. The FOIO, Freedom of Information/Privacy Act Specialist, each
State Administrative Management Program Director, each State Director,
each Rural Development Manager, and each Community Development Manager
are delegated authority to act respectively at the national, state,
district, or county level on behalf of Rural Development to:
(a) Deny requests for records determined to be exempt under one or
more provisions of 5 U.S.C. 552(b);
(b) Make discretionary releases (unless prohibited by other
authority) of such records when it is determined that the public
interests in disclosure outweigh the public and/or private ones in
withholding; and
(c) Reduce or waive fees to be charged where determined to be
appropriate.
Sec. 2018.255 Appeals.
If all or any part of an initial request is denied, it may be
appealed in accordance with 7 CFR 1.7 to that particular Agency
possessing the documents. Please select the appropriate Agency to
forward your FOIA appeal from the following addresses: Administrator,
Rural Housing Service, Room 5014, AG Box 0701, 14th & Independence
Avenue, SW.--South Building, Washington, DC 20250-0701; Administrator,
Rural Business-Cooperative Service, Room 5045, AG Box 3201, 14th &
Independence Avenue, SW.--South Building, Washington, DC 20250-3201 and
Administrator, Rural Utilities Service, Room 4501, AG Box 1510, 14th &
Independence Avenue,
[[Page 19]]
SW.--South Building, Washington, DC 20250-1510. The phrase ``FOIA
APPEAL'' should appear on the front of the envelope in capital letters.
Secs. 2018.256-2018.300 [Reserved]
PART 2045--GENERAL--Table of Contents
Subparts A-II [Reserved]
Subpart JJ--Rural Development--Utilization of Gratuitous Services
Sec.
2045.1751 General.
2045.1752 Policy.
2045.1753 Authority to accept gratuitous services.
2045.1754 Scope of gratuitous services performed.
2045.1755 Preparation and disposition of agreement forms.
2045.1756 Records and reports.
Exhibit A to Subpart JJ--Agreement Form
Authority: 7 U.S.C. 1989; 42 U.S.C. 1480; delegation of authority by
the Secretary of Agriculture, 7 CFR 2.23; delegation of authority by the
Assistant Secretary for Rural Development, 7 CFR 2.70.
Source: 43 FR 3694, Jan. 27, 1978, unless otherwise noted.
Subparts A-II [Reserved]
Subpart JJ--Rural Development--Utilization of Gratuitous Services
Sec. 2045.1751 General.
Section 331(b) of the Consolidated Farm and Rural Development Act
(Pub. L. 92-419), and section 506(a) of the Housing Act of 1949, empower
the Secretary of Agriculture to accept and utilize voluntary and
uncompensated services in carrying out the provisions of the above cited
Acts. The Secretary has delegated those authorities to the Administrator
of the Farmers Home Administration (FmHA) or its successor agency under
Public Law 103-354 in 7 CFR 2.70(a) (1) and (2).
Sec. 2045.1752 Policy.
Voluntary and uncompensated (gratuitous) services may be accepted
with the consent of the agency concerned, from the following sources
under the conditions set forth in Exhibit A, ``Agreement for Utilization
of Employee of (Enter Official Title of Governing Body or Other
Authorized Organization) By the Farmers Home Administration or its
successor agency under Public Law 103-354'' (Agreement Form).
(a) Any agency of State government or of any territory or political
subdivision.
(b) Non-profit, educational, and charitable organizations, provided
that no partisan, political, or profit motive is involved either
explicitly or implicitly.
Sec. 2045.1753 Authority to accept gratuitous services.
(a) State Directors, Director, Personnel Division, and Director,
Finance Office, are hereby authorized to accept and utilize gratuitous
services offered by the governmental agencies listed in
Sec. 2045.1752(a).
(b) An offer received by an FmHA or its successor agency under
Public Law 103-354 State or County Office from a source listed in
Sec. 2045.1752(b) shall be transmitted to the National Office,
Attention: Director, Personnel Division, for decision. The offer will be
accompanied by copies of the Articles of Incorporation and By-laws (if
the organization is incorporated), a statement that the organization
accepts the conditions set forth in the Agreement Form, and evidence
that the organization is financially able to meet the required fiscal
obligations of the agreement.
Sec. 2045.1754 Scope of gratuitous services performed.
(a) Gratuitous services accepted in accordance with this subpart may
be utilized to perform any function performed by regular FmHA or its
successor agency under Public Law 103-354 employees (excluding Committee
members). Such services must not result in the displacement of
employees. Most of the gratuitous services should be performed at the
County Office level and conform to a standard FmHA or its successor
agency under Public Law 103-354 position description. A nonstandard
position description may be developed and used, depending on current
agency needs in a particular office and gratuitous skills available.
[[Page 20]]
(b) Orientation and other training will be provided by FmHA or its
successor agency under Public Law 103-354 so that gratuitous services
may be performed in accordance with current FmHA or its successor agency
under Public Law 103-354 procedure.
(c) Persons performing authorized gratuitous services will be held
to the same standard as regular FmHA or its successor agency under
Public Law 103-354 employees performing similar duties. The issuance of,
and accountability for, identification cards and clearance of employee
accountability will be as prescribed in FmHA or its successor agency
under Public Law 103-354 Instruction 2024-B which is available in all
FmHA or its successor agency under Public Law 103-354 Offices. Such
persons, except Construction Inspectors may, when under direct
supervision of County Supervisors, act as Collection Officers and be
allowed to use receipt books in accordance with FmHA or its successor
agency under Public Law 103-354 Instructions 2024-C and 451.2 (part 1862
of this chapter and other applicable regulations available in all FmHA
or its successor agency under Public Law 103-354 Offices).
Sec. 2045.1755 Preparation and disposition of agreement forms.
(a) Agreements to accept and utilize gratuitous services must be
identical to the attached Exhibit A (Agreement Form) with such
exceptions as may be authorized by the Office of the General Counsel,
Department of Agriculture.
(b) Two copies of each signed Agreement Form will be forwarded to
the Personnel Division. One copy will be retained in the State or
Finance Office.
Sec. 2045.1756 Records and reports.
The FmHA or its successor agency under Public Law 103-354 official
signing the Agreement Form will maintain records to show the names, duty
assignments, time worked and work locations of all persons performing
gratuitous services. Copies of time reports submitted to the persons'
employers should suffice. These records will be necessary to respond to
occasional requests for reports on the acceptance and utilization of
gratuitous services in the FmHA or its successor agency under Public Law
103-354.
Exhibit A to Subpart JJ--Agreement Form
for utilization of employees of (official title of governing body or
other authorized organization, i.e., pickens county, ala., board of
commissioners)
by the Farmers Home Administration or its successor agency under Public
Law 103-354
1. This Agreement, date ______ between, ____________________, a
(political subdivision), (educational), (charitable), (or nonprofit) an
organization of the State of____________(hereinafter called the Agency)
and the United States of America acting through Farmers Home
Administration or its successor agency under Public Law 103-354, U.S.
Department of Agriculture (hereinafter called the Administration) is
entered into for the purpose of permitting certain employees of the
Agency (hereinafter called the Agency employees) to assist in the
Administration's effort to provide agricultural, housing and other
assistance for rural people of the State of____________in accordance
with Section 331(b) of the Consolidated Farm and Rural Development Act
and Section 506(a), Title V of the Housing Act of 1949.
2. The Administration certifies that it is empowered by the current
Federal laws cited above, and related rules and regulations, to accept
personnel assistance from the Agency as provided in paragraphs 4 and 5
below; and that the work assigned to Agency employees will be useful, in
the public interest, could not otherwise be provided, and will not
result in the displacement of employed workers.
3. The Agency certifies that it has the authority under the laws of
the State of____________to enter into this Agreeement and to provide the
services agreed upon in the manner provided for.
4. The Administration hereby supplies the Agency with a narrative
description which is made a part of this Agreement as Attachment ``A,''
explicitly setting forth the duties, knowledge, skills, and abilities to
be required of Agency employees.
5. The Administration agrees to:
(a) Provide training for and responsible supervision of qualified
and acceptable Agency employees in accordance with Attachment ``A.''
(b) Provide work within the State of____________for qualified and
acceptable Agency employees for periods not to exceed eight hours per
day and 40 hours per week.
[[Page 21]]
(c) Provide the office space, tools, equipment, and supplies to be
used by Agency employees in performing work for the Administration.
(d) Report in the Agency, as required, the time worked by and work
accomplishments of Agency employees.
(e) Consult with the Agency, as necessary, on situations involving
delinquency, misconduct, neglect of work, and apparent conflicts of
interest of Agency employees.
(f) Reimburse Agency employees for proper and reasonable travel and
per diem expenses incurred in performing official duties for the
Administration, in accordance with Administration travel regulations.
(g) Consider Agency employees to be Federal employees for the
purposes of the Federal Employees Compensation Act (5 U.S.C. 8101) and
of the Federal Tort Claims Act (28 U.S.C. 2671-2680).
6. The Agency agrees to:
(a) Not discriminate against any employee or applicant for
employment because of race, color, religion, sex, age, marital status,
physical handicap, or national origin. The Agency will take affirmative
action to ensure that applicants are employed, and that employees are
treated during employment, without regard to their race, color,
religion, sex, age, marital status, physical handicap, or national
origin. Such action shall include, but not be limited to, the following
Employment, upgrading, demotion or transfer; recruitment or recruitment
advertising; layoff or termination; rates of pay or other forms of
compensation; and selection for training including apprenticeship. The
Agency will post in conspicuous places, available to employees and
appliants for employment, notices setting forth the provisions of this
nondiscriminating clause.
(b) Obtain fingerprints, police records, and work qualifications
checks on potential assignees, and divulge the results to the
Administration or permit the Administration to obtain this information.
(c) Assign only Agency employees who are acceptable to the
Administration in terms of meeting the same ability and suitability
standards which are applied to Federal employment.
(d) Pay all salaries and other expenses of Agency employees and
comply with Federal, State, and local minimum wage statutes. No monies
will be paid by the Administration under this agreement, either to the
Agency or its employees.
(e) Consider any Tort claims by third parties under applicable laws
and regulations.
(f) Reassign or terminate the assignment of Agency employees upon
request of the Administration.
7. The Agency and the Administration mutually understand and agree
that the reasons for determining that an Agency employee is unacceptable
or unsuitable for initial or continued assignment to Administration work
may include but shall not be limited to the following:
(a) Practicing or appearing to practice discrimination for reasons
of race, color, religion, sex, age, marital status, physical handicap,
or national origin.
(b) Being or becoming involved in real or apparent conflicts of
interest, such as, engaging directly or indirectly in business
transactions with Administration applicants or borrowers, or using or
appearing to use the Administration work assignment for private gain.
(c) Engaging in or having engaged in criminal, dishonest, or immoral
conduct, or conducting himself in a manner which might embarrass or
cause criticism of the Administration.
(d) Being absent from duty without authorization.
(e) Engaging in partisan political activity prohibited to Federal
employees doing similar work.
(f) Lack of work.
(g) Inability of the employee to perform the duties of the
assignment.
8. The term of this Agreement shall commence on the date thereof. It
shall end on________________, unless extended by mutual agreement, or
unless terminated earlier by at least (30) days advanced written notice
by either party to the other.
9. The Agency and the Administration respectively certify, each for
itself, that its officer signing this Agreement is duly authorized
thereto.
(Enter Official Title of Agency, i.e., City Council, Modesto, Calif.)
BY
Chairman, City Council,
Modesto, Calif.
FARMERS HOME
ADMINISTRATION or its successor agency under Public Law
103-354
BY
FmHA or its successor agency under Public Law 103-354
State Director for ( )
[[Page 23]]
CHAPTER XXVI--OFFICE OF INSPECTOR GENERAL,
DEPARTMENT OF AGRICULTURE
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Part Page
2610 Organization, functions, and delegations of
authority............................... 25
2620 Availability of information to the public... 28
[[Page 25]]
PART 2610--ORGANIZATION, FUNCTIONS, AND DELEGATIONS OF AUTHORITY--Table of Contents
Sec.
2610.1 General statement.
2610.2 Headquarters organization.
2610.3 Regional organization.
2610.4 Requests for service.
2610.5 Delegations of authority.
Authority: 5 U.S.C. 301 and 552, Pub. L. 95-452, 5 U.S.C. App., and
Pub. L. 97-98, 7 U.S.C. 2270.
Source: 60 FR 52840, Oct. 11, 1995, unless otherwise noted.
Sec. 2610.1 General statement.
(a) The Inspector General Act of 1978 as amended, Pub. L. 95-452, 5
U.S.C. App., establishes an Office of Inspector General (OIG) in the
U.S. Department of Agriculture (USDA) and transfers to it the functions,
powers, and duties of offices referred to in the Department as the
``Office of Investigation'' and the ``Office of Audit,'' previously
assigned to the OIG created by the Secretary's Memoranda 1915 and 1727,
dated March 23, 1977, and October 5, 1977, respectively. Under this Act,
OIG is established as an independent and objective unit, headed by the
Inspector General (IG), who is appointed by the President and reports to
and is under the general supervision of the Secretary.
(b) The mission of OIG is to provide policy direction; to conduct,
supervise, and coordinate audits and investigations of USDA programs and
operations to determine efficiency and effectiveness; to prevent and
detect fraud and abuse in such programs and operations; and to keep the
Secretary and the Congress informed of problems and deficiencies
relative to the programs and operations.
(c) The Secretary has made the following delegations of authority to
the IG (7 CFR 2.33):
(1) Advise the Secretary and General Officers in the planning,
development, and execution of Department policies and programs.
(2) Provide for the personal security of the Secretary and Deputy
Secretary.
(3) Serve as liaison official for the Department for all audits of
USDA performed by the General Accounting Office.
(4) In addition to the above delegations of authority, the IG, under
the general supervision of the secretary, has specific duties,
responsibilities, and authorities pursuant to the Act, including:
(i) Conduct and supervise audits and investigations relating to
programs and operations of the Department.
(ii) Provide leadership, coordination, and policy recommendations to
promote economy, efficiency, and effectiveness, and to prevent and
detect fraud and abuse in the administration of the Department's program
and operations.
(iii) Keep the Secretary and the congress fully and currently
informed about problems and deficiencies and the necessity for and
progress of corrective actions in the administration of the Department's
programs and operations.
(iv) Make such investigations and reports relating to the
administration of programs and operations of the Department as are in
the judgment of the IG, necessary or desirable.
(v) Review existing and proposed legislation and regulations and
make recommendations to the Secretary and the Congress on the impact
such laws or regulations will have on the economy and efficiency of
program administration or in the prevention and detection of fraud and
abuse in the programs and operations of the Department.
(vi) Have access to all records, reports, audits, reviews,
documents, papers, recommendations, or other material available to the
Department which relate to programs and operations for which the IG has
responsibility.
(vii) Report expeditiously to the Attorney General any matter where
there are reasonable grounds to believe there has been a violation of
Federal criminal law.
(viii) Issue subpoenas to other than Federal agencies for the
production of information, documents, reports, answers, records,
accounts, papers, and other data and documentary evidence necessary in
the performance of functions assigned by the Act.
(ix) Receive and investigate complaints or information from any
Department employee concerning possible
[[Page 26]]
violations of laws, rules or regulations, or mismanagement, gross waste
of funds, abuse of authority, or substantial and specific dangers to the
public health and safety.
(x) Select, appoint, and employ necessary officers and employees in
OIG in accordance with laws and regulations governing the civil service,
including an Assistant Inspector General for Auditing and an Assistant
Inspector General for Investigations.
(xi) Obtain services as authorized by Section 3109 of Title 5,
United States Code.
(xii) Enter into contracts and other arrangements for audits,
inspections, studies, analyses, and other services with public agencies
and private persons, and make such payments as may be necessary to carry
out the provisions of the Act to the extent and in such amounts as may
be provided in an appropriation act.
(d) The IG, under the Agriculture and Food Act of 1981, Pub. L. 97-
98, 7 U.S.C. 2270, and pursuant to rules issued by the Secretary in 7
CFR part 1a, has the authority to:
(1) Designate employees of the Office of Inspector General who
investigate alleged or suspected felony criminal violations of statutes
administered by the Secretary of Agriculture or any agency of USDA, when
engaged in the performance of official duties to:
(i) Execute and serve a warrant for an arrest, for the search of
premises, or the seizure of evidence when issued under authority of the
United States upon probable cause to believe that such a violation has
been committed;
(ii) Make an arrest without a warrant for any such violation if such
violation is committed or if the employee has probable cause to believe
that such violation is being committed in his/her presence; and
(iii) Carry a firearm.
(2) Issue directives and take the actions prescribed by the
Secretary's rules.
Sec. 2610.2 Headquarters organization.
(a) The OIG has a headquarters office in Washington, DC, and
regional offices throughout the United States. The headquarters office
consists of the immediate office of the IG and three operational units.
(b) Operational units. (1) The Assistant Inspector General for
Policy Development and Resources Management (AIG/PD&RM) formulates OIG
policies and procedures; develops, administers and directs comprehensive
programs for the management, budget, financial, personnel, systems
improvement, and information activities and operations of OIG; and is
responsible for OIG automated date processing (ADP) and OIG information
management systems. The staff maintains OIG's directives system;
Departmental Regulations and Federal Register issuances; administers the
Freedom of Information and Privacy Acts, which includes requests
received from the Congress, other Federal agencies, intergovernmental
organizations, the news media, and the public; and provides for the
administration of an OIG EEO program, including affirmative action. The
immediate office of the AIG/PD&RM and two divisions carry out these
functions.
(2) The Assistant Inspector General for Audit (AIG/A) carries out
the OIG's domestic and foreign audit operations through a headquarters
office, a Financial Management and ADP Audit Operations staff located in
Kansas City, Missouri, and six regional offices shown in Sec. 2610.3(a).
The staff provides a continual audit review of ADP security throughout
USDA. Auditing officials conduct operational liaison on audit matters;
schedule and conduct audits; release audit reports to management; follow
agency action to assure that audit reports have been properly acted upon
through review of Department management follow up system; monitor the
quality of OIG audit reports; and coordinate activities with the
Assistant inspector General (AIG) for Investigations. The staff also
provides an integrated approach to fraud prevention and detection and
management improvement in USDA programs and operations; reviews
Department legislation and regulations through the involvement and
cooperation of the Department's principal officers and program managers;
coordinates analyses and reports on the conduct of fraud
[[Page 27]]
vulnerability assessments; and recommends policies and provides
technical assistance for investigative and audit operations. The
Auditing headquarters office consists of the immediate office of the
AIG/A and four staff divisions.
(3) The Assistant Inspector General for Investigations (AIG/I)
carries out the OIG's domestic and foreign investigative operations
through a headquarters office and the seven regional offices shown in
Sec. 2610.3(b). Investigations officials conduct operational and
intelligence liaison on investigative matters with the FBI, Secret
Service, Internal Revenue Service (IRS), Interpol, and other Federal and
State law enforcement organizations; determine the need for
investigative action; conduct investigations; prepare factual reports of
investigative findings; refer reports for appropriate administrative or
legal action; followup on agency actions to assure that OIG
investigative reports have been properly acted upon; monitor the quality
of investigative reports; and coordinate activities with the AIG/A. The
staff also conducts special investigations of major programs,
operations, and high level officials; provides for the protection of the
Secretary and Deputy Secretary; receives and processes employee
complaints concerning possible violations of laws, rules, regulations or
mismanagement. The Investigations headquarters office consists of the
immediate office of the AIG/I and three staff divisions.
Sec. 2610.3 Regional organization.
(a) Each Regional Inspector General for Audit (RIG/A) is responsible
to the IG and to the AIG/A for supervising the performance of all OIG
auditing activities relating to the Department's domestic and foreign
programs and operations within an assigned geographic area. The
addresses and telephone numbers of the six Audit Regional Offices and
the territories served are as follows:
Audit Region, Address, Telephone Number, and Territory
Northeast Region, ATTN: Suite 5D06, 4700 River Road, Unit 151,
Riverdale, Maryland 20737-1237, (301) 734-8763; Connecticut, Delaware,
District of Columbia, Maine, Maryland, Massachusetts, New Hampshire, New
Jersey, New York, Pennsylvania, Puerto Rico, Rhode Island, Virgin
Islands, Vermont, Virginia, and West Virginia.
Southeast Region, 401 W. Peachtree Street NW., Room 2328, Atlanta,
Georgia 30365-3520, (404) 730-3210; Alabama, Florida, Georgia, Kentucky,
Mississippi, North Carolina, South Carolina, and Tennessee.
Midwest Region, 111 N. Canal Street, Suite 1130, Chicago, Illinois
60606-7295, (312) 353-1352; Illinois, Indiana, Michigan, Minnesota,
Ohio, and Wisconsin.
Southwest Region, 101 South Main, Room 324, Temple, Texas 76501, (817)
774-1430; Arkansas, Louisiana, New Mexico, Oklahoma, and Texas.
Great Plains Region, 9435 Holmes, Room 233, Kansas City, Missouri 64131,
Mailing address: PO Box 293, Kansas City, Missouri 64141, (816) 926-
7667; Colorado, Iowa, Kansas, Missouri, Montana, Nebraska, North Dakota,
South Dakota, Wyoming, and Utah.
Western Region, 600 Harrison Street, Suite 225, San Francisco,
California 94107, (415) 744-2851; Alaska, Arizona, California, Hawaii,
Idaho, Nevada, Oregon, Territory of Guam, Trust Territories of the
Pacific, and Washington.
(b) Each RIG/I is responsible to the IG and to the AIG/I for
supervising the performance of all OIG investigative activities relating
to the Department's domestic and foreign programs and operations within
an assigned geographic area. The addresses and telephone numbers of the
seven Investigations Regional Offices and the territories served are as
follows:
Investigations Region, Address, Telephone Number, and Territory
North Atlantic Region, 26 Federal Plaza, Room 1409, New York, New York
10278, (212) 264-8400; Connecticut, Maine, Massachusetts, New
Hampshire, New Jersey, New York, Puerto Rico, Rhode Island,
Vermont, and Virgin Islands.
Northeast Region, ATTN: Suite 5D06, 4700 River Road, Unit 151,
Riverdale, Maryland 20737-1237, (301) 734-8850; Delaware,
District of Columbia, Maryland, Pennsylvania, Virginia, and
West Virginia.
Southeast Region, 401 W. Peachtree Street NW., Room 2329, Atlanta,
Georgia 30365-3520, (404) 730-2170; Alabama, Florida, Georgia,
Kentucky, Mississippi, North Carolina, South Carolina, and
Tennessee.
Midwest Region, 111 N. Canal Street, Suite 1130, Chicago, Illinois
60606-7295, (312) 353-1358; Illinois, Indiana, Michigan,
Minnesota, Ohio, and Wisconsin.
Southwest Region, 101 South Main, Room 311, Temple, Texas 76501, (817)
774-1351;
[[Page 28]]
Arkansas, Louisiana, New Mexico, Oklahoma, and Texas.
Great Plains Region, 9435 Holmes, Room 210, Kansas City, Missouri 64131,
Mailing address: PO Box 293, Kansas City, Missouri 64141,
(816) 926-7606: Colorado, Iowa, Kansas, Missouri, Montana,
Nebraska, North Dakota, South Dakota, Wyoming, and Utah.
Western Region, 600 Harrison Street, Room 225, San Francisco, California
94107, (415) 744-2887; Alaska, Arizona, California, Hawaii,
Idaho, Nevada, Oregon, Territory of Guam, Trust Territories of
the Pacific, and Washington.
Sec. 2610.4 Requests for service.
(a) Heads of USDA agencies will direct requests for audit or
investigative service to the AIG/A, AIG/I, RIG/A, RIG/I, or to other OIG
audit or investigation officials responsible for providing service of
the type desired in the geographical area where service is desired.
(b) Agency officials or other employees may, at any time, direct to
the personal attention of the IG any audit or investigation matter that
warrants such attention.
(c) Other persons may address their communications regarding audit
or investigative matters to: The Inspector General, U.S. Department of
Agriculture, Ag Box 2301, Washington, DC 20250. Additionally, persons
may call or write the hotline office at 202-690-1622, 1-800-424-9121,
TDD 202-690-1202, or Office of Inspector General, PO Box 23399,
Washington, DC 20026. Bribes involving USDA programs may be reported
using the 24 hour bribery hotline number at 202 720-7257.
Sec. 2610.5 Delegations of authority.
(a) AIG's listed in Sec. 2610.2; and RIG's listed in Sec. 2610.3,
are authorized to take whatever actions are necessary to carry out their
assigned functions. This authority may be redelegated.
(b) The IG reserves the right to establish audit and investigation
policies, program, procedures, and standards; to allocate appropriated
funds; to determine audit and investigative jurisdiction; and to
exercise any of the powers or functions or perform any of the duties
referenced in the above delegation.
PART 2620--AVAILABILITY OF INFORMATION TO THE PUBLIC--Table of Contents
Sec.
2620.1 General statement.
2620.2 Public inspection and copying.
2620.3 Requests.
2620.4 Denials.
2620.5 Appeals.
Authority: 5 U.S.C. 301 and 552; 5 U.S.C. App.
Source: 60 FR 52842, Oct. 11, 1995, unless otherwise noted.
Sec. 2620.1 General statement.
This part is issued in accordance with, and subject to, the
regulations of the Secretary of Agriculture Sec. 1.1 through Sec. 1.23
(and appendix A of subpart A of part 1) of this title, implementing the
Freedom of Information Act, 5 U.S.C. 552, and governs the availability
of records of the Office of Inspector General (OIG) to the public upon
request.
Sec. 2620.2 Public inspection and copying.
5 U.S.C. 522(a)(2) requires that certain materials be made available
for public inspection and copying, and that a current index of these
materials be published quarterly or otherwise made available. OIG does
not maintain any materials within the scope of these requirements.
Sec. 2620.3 Requests.
(a) Requests for OIG records shall be in writing in accordance with
Sec. 1.6(a) of this title and addressed to the Assistant Inspector
General for Policy Development and Resources Management (AIG/PD&RM),
Office of Inspector General, U.S. Department of Agriculture, Ag Box
2310, Washington, DC 20250. The above official is hereby delegated
authority to make determinations regarding such requests in accordance
with Sec. 1.3(a)(3) of this title.
(b) Requests should be reasonably specific in identifying the record
requested and should include the name, address, and telephone number of
the requester.
(c) Available records may be inspected and copied in the office of
the AIG/PD&RM, from 8 a.m. to 4:30 p.m. local time on regular working
days or may be obtained by mail. Copies will
[[Page 29]]
be provided upon payment of applicable fees, unless waived or reduced,
in accordance with the Department's fee schedule as set forth in
appendix A of subpart A of part 1 of this title.
Sec. 2620.4 Denials.
If the AIG/PD&RM determines that a requested record is exempt from
mandatory disclosure and that discretionary release would be improper,
the AIG/PD&RM shall give written notice of denial in accordance with
Sec. 1.8(a) of this title.
Sec. 2620.5 Appeals.
The denial of a requested record may be appealed in accordance with
Sec. 1.6(e) of this title. Appeals shall be addressed to the Inspector
General, U.S. Department of Agriculture, Ag Box 2301, Washington, DC
20250. The Inspector General will give prompt notice of the
determination concerning an appeal in accordance with Sec. 1.8(d) of
this title.
[[Page 31]]
CHAPTER XXVII--OFFICE OF INFORMATION RESOURCES MANAGEMENT, DEPARTMENT OF
AGRICULTURE
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Part Page
2700 Organization and functions.................. 33
2710 Availability of information to the public... 33
[[Page 33]]
PART 2700--ORGANIZATION AND FUNCTIONS--Table of Contents
Sec.
2700.1 General statement.
2700.2 Organization.
2700.3 Functions.
Authority: 5 U.S.C. 301, 552; 7 CFR 2.81.
Source: 47 FR 39128, Sept. 7, 1982, unless otherwise noted.
Sec. 2700.1 General statement.
This part is issued in accordance with 5 U.S.C. 552(a) to provide
guidance for the general public as to the organization and functions of
the Office of Information Resources Management.
Sec. 2700.2 Organization.
The Office of Information Resources Management (OIRM) was
established on January 12, 1982. Delegations of authority to the
Director, OIRM appear at 7 CFR 2.81. The organization is comprised of
five headquarters divisions, an administrative staff and three computer
centers to serve the Department. The organization is headed by the
Director or, in the Director's absence, by the Deputy Director or, in
the absence of both, by the Director's desginee.
Sec. 2700.3 Functions.
(a) Director. Provides executive direction for OIRM. Develops and
recommends Departmental information resources management principles,
policies, and objectives; develops and disseminates Departmental
information resources management standards, guidelines, rules, and
regulations necessary to implement approved principles, policies, and
programs; designs, develops, implements, and revises systems, processes,
work methods, and techniques to improve the management of information
resources and the operational effectiveness of the Department; provides
telecommunications and automated data processing services to the
Department's agencies and staff offices.
(b) Deputy Director. Assists the Director and, in the absence of the
Director, serves as the Acting Director.
(c) Administrative Management Staff. Provides support for agency
management regarding budget, accounting, personnel, and other
administrative matters.
(d) Planning Division. Defines, develops, guides, and administers
the Department's long-range planning process for information resources.
(e) Information Management Division. Develops policy, standards and
guidelines for collection, protection, access, use and management of
information.
(f) Review and Evaluation Division. Reviews and evaluates
information resources programs and activities of Department agencies and
staff offices for conformance with plans, policies, and standards.
(g) Agency Technical Services Division. Advises and consults with
and assists Department agencies and staff offices on activities related
to the development and implementation of automated information systems.
(h) Operations and Telecommunications Division. Coordinates the
development and implementation of programs for ADP and
telecommunications resource planning within Departmental computer
centers and the National Finance Center, and for the acquisition and use
of Department-wide telecommunications facilities and services.
(i) Departmental Computer Centers. The following centers provide ADP
facilities and services to agencies and staff offices of the Department.
(1) Washington Computer Center, 14th and Independence Ave., SW., Rm.
S-107-South, Washington, DC 20250.
(2) Fort Collins Computer Center, 3825 E. Mulberry Street (P.O. Box
1206), Fort Collins, CO 80524.
(3) Kansas City Computer Center, 8930 Ward Parkway (P.O. Box 205),
Kansas City, MO 64141.
PART 2710--AVAILABILITY OF INFORMATION TO THE PUBLIC--Table of Contents
Sec.
2710.1 General statement.
2710.2 Public inspection and copying.
2710.3 Indexes.
2710.4 Initial request for records.
2710.5 Appeals.
Appendix A to Part 2710--List of Addresses
Authority: 5 U.S.C. 301, 552; 7 CFR 1.1-1.16.
Source: 47 FR 39129, Sept. 7, 1982, unless otherwise noted.
[[Page 34]]
Sec. 2710.1 General statement.
This part is issued in accordance with 7 CFR 1.4 of the U.S.
Department of Agriculture regulations governing the availability of
records (7 CFR 1.1-1.16 and Appendix A) under the Freedom of Information
Act (5 U.S.C. 552). The Department's regulations, as supplemented by the
regulations in this part, provide guidance for any person wishing to
request records from the Office of Information Resources Management
(OIRM).
Sec. 2710.2 Public inspection and copying.
(a) Background. 5 U.S.C. 552(a)(2) required that each agency make
certain kinds of records available for public inspection and copying.
(b) Procedure. Persons wishing to gain access to OIRM records should
contact the Information Access & Disclosure Officer by writing to the
address shown in 2710.4(b)(2).
Sec. 2710.3 Indexes.
(a) Background. 5 U.S.C. 552(a)(2) also required that each agency
maintain and make available for public inspection and copying current
indexes providing identifying information for the public with regard to
any records which are made available for public inspection and copying.
(b) Procedure. Persons wishing to get an index may contact the
division or center that maintains the records. Publication of these
indexes as a separate document is unnecessary and impractical.
Sec. 2710.4 Initial request for records.
(a) Background. The Information Access and Disclosure Officer is
authorized to:
(1) Grant or deny requests for OIRM records.
(2) Make discretionary releases of OIRM records when it is
determined that the public interests in disclosure outweigh the public
and/or private ones in withholding.
(3) Reduce or waive fees to be charged where determined to be
appropriate.
(b) Procedure. Persons wishing to request records from the Office of
Information Resources Management may do so as follows:
(1) How. Submit each initial request for OIRM records as prescribed
in 7 CFR 1.3(a).
(2) Where. Submit each initial request to the Information Access and
Disclosure Officer, Office of Information Resources Management, USDA,
14th and Independence Ave., SW., Room 407-W, Washington, DC 20250.
Sec. 2710.5 Appeals.
Procedure. Any person whose initial request is denied in whole or in
part may appeal that denial, in accordance with 7 CFR 1.3(e) and 1.7, to
the Director, Office of Information Resources Management, by sending the
appeal to the Information Access and Disclosure Officer, Office of
Information Resources Management, USDA, 14th and Independence Ave., SW.,
Room 407-W, Washington, DC 20250. The Director, Office of Information
Resources Management, will make the determination on the appeal.
Appendix A to Part 2710--List of Addresses
Section 1. General
This list provides the titles and mailing addresses of officials who
have custody of OIRM records. This list also identifies the normal
working hours, Monday through Friday, excluding holidays, during which
public inspection and copying of certain kinds of records, and indexes
to those records, is permitted.
Section 2. List of Addresses
Director, Office of Information Resources Management, 14th and
Independence Ave., SW., Rm. 113-W, Washington, DC 20250; Hours: 8:30
a.m.-5:00 p.m.
Chief, Planning Division, OIRM, 14th and Independence Ave., SW., Rm.
446-W, Washington, DC 20250; Hours: 8:30 a.m.-5:00 p.m.
Chief, Review and Evaluation Division, OIRM, 14th and Independence Ave.,
SW., Rm. 442-W, Washington, DC 20250; Hours: 8:30 a.m.-5:00 p.m.
Chief, Agency Technical Services Division, OIRM, 14th and Independence
Ave., SW., Rm. 416-W, Washington, DC 20250; Hours: 8:30 a.m.-5:00 p.m.
Chief, Operations and Telecommunications Division, OIRM, 14th and
Independence Ave., SW., Rm. 419-W, Washington, DC 20250; Hours: 8:30
a.m.-5:00 p.m.
Chief, Information Management Division, OIRM, 14th and Independence
Ave., SW., Rm. 404-W, Washington, DC 20250; Hours: 8:30 a.m.-5:00 p.m.
[[Page 35]]
Chief, St. Louis Computer Center, OIRM, 1520 Market Street, Rm. 3441,
St. Louis, MO 63101; Hours: 8:00 a.m.-4:40 p.m.
Director, Kansas City Computer Center, OIRM, 8930 Ward Parkway, (P.O.
Box 205), Kansas City, MO 64141; Hours: 8:00 a.m.-4:45 p.m.
Director, Fort Collins Computer Center, OIRM, 3825 E. Mulberry Street,
(P.O. Box 1206), Fort Collins, CO 80521; Hours: 8:00 a.m.-4:30 p.m.
Director, Washington Computer Center, OIRM, 14th and Independence Ave.,
SW., Rm. S-107-S, Washington, DC 20250; Hours: 8:30 a.m.-5:00 p.m.
Information Access and Disclosure Officer, OIRM, 14th and Independence
Ave., SW., Rm. 407-W, Washington, DC 20250; Hours: 8:30 a.m.-5:00 p.m.
[[Page 37]]
CHAPTER XXVIII--OFFICE OF OPERATIONS,
DEPARTMENT OF AGRICULTURE
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Part Page
2810 Organization and functions--Office of
Operations.............................. 39
2811 Availability of information to the public... 39
2812 Department of Agriculture guidelines for the
donation of excess research equipment
under 15 U.S.C. 3710(i)................. 41
[[Page 39]]
PART 2810--ORGANIZATION AND FUNCTIONS--OFFICE OF OPERATIONS--Table of Contents
Sec.
2810.1 General statement.
2810.2 Organization.
2810.3 Functions.
Authority: 5 U.S.C. 301 and 552; 7 CFR 2.76.
Source: 54 FR 52013, Dec. 20, 1989, unless otherwise noted.
Sec. 2810.1 General statement.
This part is issued in accordance with 5 U.S.C. 552(a) to provide
guidance for the general public as to Office of Operations (OO)
organization and functions.
Sec. 2810.2 Organization.
The Office of Operations (OO) was established January 12, 1982.
Delegations of authority to the Director, OO, appear at 7 CFR 2.76. The
organization is comprised of six divisions and one staff located at
Department headquarters. Description of the functions of these
organizational units are in the following section. The organization is
headed by a Director.
Sec. 2810.3 Functions.
(a) Director. Provides executive direction for OO. Develops and
promulgates overall policies and provides general direction, leadership,
oversight, and coordination of USDA management of procurement, real and
personal property activities, mail and copier management. Provides
executive services to the Office of the Secretary and operates
activities providing consolidated USDA administrative functions and
services.
(b) Deputy Director. Assists the Director, and in the absence of the
Director, serves as Acting Director.
(c) Administrative Unit. Provides support for agency management
regarding budget, accounting, personnel, and other administrative
matters.
(d) Executive Services Division. Provides executive services to the
Office of the Secretary in travel arrangements, supplies, furnishings,
communications, equipment, and records. Operates the central USDA DC
imprest fund.
(e) Facilities Management Division. Operates and maintains the USDA
DC headquarters building complex, including headquarters parking.
Oversees management and operation of USDA buildings nationwide, and
provides DC area labor services.
(f) Mail and Reproduction Management Division. Oversees USDA mail,
copier, and duplicating programs. Operates DC area central activities in
these areas.
(g) Personal Property Management Division. Oversees USDA supply,
motor vehicle, and personal property programs. Operates centralized
warehouse and property rehabilitation facilities.
(h) Procurement Division. Oversees USDA procurement programs.
Operates centralized purchasing operations for ADP and Washington area
activities.
(i) Real Property Management Division. Oversees USDA real property
management programs.
PART 2811--AVAILABILITY OF INFORMATION TO THE PUBLIC--Table of Contents
Sec.
2811.1 General statement.
2811.2 Public inspection and copying.
2811.3 Indexes.
2811.4 Initial requests for records.
2811.5 Appeals.
2811.6 Fee schedule.
Appendix A to Part 2811--List of Addresses
Authority: 5 U.S.C. 301 and 552 (as amended); 7 CFR 1.3.
Source: 54 FR 52014, Dec. 20, 1989, unless otherwise noted.
Sec. 2811.1 General statement.
This part is issued in accordance with 7 CFR 1.3 of the Department
of Agriculture regulations governing the availability of records (7 CFR
1.1-1.23 and Appendix A) under the Freedom of Information Act (FOIA), 5
U.S.C. 552. The Department's regulations, as supplemented by the
regulations in this part, provide guidance for any person wishing to
request records from Office of Operations.
Sec. 2811.2 Public inspection and copying.
(a) Background. 5 U.S.C. 552(a)(2) requires that each agency
maintain and make available for public inspection and copying certain
kinds of records.
[[Page 40]]
(b) Procedure. To gain access to OO records that are available for
public inspection, contact the division that maintains them. See
Appendix A, List of Addresses, for the location and hours of operation.
Sec. 2811.3 Indexes.
(a) Background. 15 U.S.C. 552(a)(2) also requires that each agency
maintain and make available for public inspection and copying current
indexes provided identifying information for the public with regard to
any records which are made available for public inspection and copying.
OO does not maintain any materials within the scope of these
requirements.
Sec. 2811.4 Initial requests for records.
(a) Background. The head of each OO division, each OO contracting
officer, each OO leasing officer, and the OO FOIA officer is authorized
to:
(1) Grant or deny requests for OO records.
(2) Make discretionary release of OO records when it is determined
that the public interest in disclosure outweighs the public and/or
private ones in withholding.
(3) Reduce or waive fees to be charged where determined to be
appropriate.
(4) Refer a request to the OO FOIA Officer for determination.
(b) Procedures. Persons wishing to request records from the Office
of Operations may do so as follows:
(1) How. Submit each initial request for OO records as prescribed in
7 CFR 1.6.
(2) Where. Submit each initial request to the head of the unit that
maintains the records. See Appendix A, List of Addresses. Contact the
FOIA Officer for guidance as needed. Or, submit the request to the FOIA
Officer for forwarding to the proper officials: FOIA Officer, Office of
Operations, USDA, Room 134-W Administration Building, 14th &
Independence Avenue SW., Washington, DC 20250.
Sec. 2811.5 Appeals.
Procedure. Any person whose initial request is denied in whole or in
part may appeal that denial, in accordance with 7 CFR 1.6(e) and 1.8, to
the Director, Office of Operations, USDA, Room 113-W Administration
Building, 14th & Independence Avenue SW., Washington, DC 20250.
Sec. 2811.6 Fee schedule.
Department regulations provide for a schedule of reasonable standard
charges for document search and duplication. See 7 CFR 1.2(b). Fees to
be charged are set forth in 7 CFR part 1, subpart A, appendix A.
Appendix A to Part 2811--List of Addresses
Section 1. General
This list provides the titles and mailing address of officials who
have custody of OO records. The normal working hours of these offices
are 8:30 a.m. to 5:00 p.m., Monday through Friday, exclusing holidays,
during which public inspection and copying of certain kinds of records
is permitted.
Section 2. List of Addresses
All of the following addresses are located at 14th Street and
Independence Avenue, Washington, DC. Address mail as follows:
Director, Office of Operations, USDA, Room 113-W Administration
Building, Washington, DC 20250.
FOIA Officer, Office of Operations, USDA, Room 134-W Administration
Building, Washington, DC 20250.
Chief, Administrative Unit, Office of Operations, USDA, Room 134-W,
Washington, DC 20250.
Chief, Executive Services Division, Office of Operations, USDA, Room 10-
A, Administration Building, Washington, DC 20250.
Chief, Facilities Management Division, Office of Operations, USDA, Room
S-313 South Building, Washington, DC 20250.
Chief, Mail and Reproduction Management Division, Office of Operations,
USDA, Room 1540 South Building, Washington, DC 20250.
Chief, Personal Property Management Division, Office of Operations, USDA
Room 1524 South Building, Washington, DC 20250.
Chief, Procurement Division, Office of Operations, USDA, Room 1550 South
Building, Washington, DC 20250.
Chief, Real Property Management Division, Office of Operations, USDA,
Room 1566, South Building, Washington, DC 20250.
[[Page 41]]
PART 2812--DEPARTMENT OF AGRICULTURE GUIDELINES FOR THE DONATION OF EXCESS RESEARCH EQUIPMENT UNDER 15 U.S.C. 3710(i)--Table of Contents
Sec.
2812.1 Purpose.
2812.2 Eligibility.
2812.3 Definitions.
2812.4 Procedures.
2812.5 Restrictions.
2812.6 Title.
2812.7 Costs.
2812.8 Accountability and recordkeeping.
2812.9 Disposal.
2812.10 Liabilities and losses.
Appendix A to Part 2812--Gift/Acceptance Agreement: Educational
Institution or NonProfit Organization and the United States
Department of Agriculture
Authority: 5 U.S.C. 301.
Source: 60 FR 34456, July 3, 1995, unless otherwise noted.
Sec. 2812.1 Purpose.
This part sets forth the procedures to be utilized by USDA agencies
and laboratories in the donation of excess research equipment to
educational institutions and non-profit organizations for the conduct of
technical and scientific education and research activities as authorized
by 15 U.S.C. 3710(i). Title to excess research equipment donated
pursuant to 15 U.S.C. 3710(i), shall pass to the donee.
Sec. 2812.2 Eligibility.
Eligible organizations are educational institutions or non-profit
organizations involved in the conduct of technical and scientific
educational and research activities.
Sec. 2812.3 Definitions.
(a) Cannibalization. The dismantling of equipment for parts to
repair or enhance other equipment. The residual is reported for
disposal. Cannibalization is only authorized if the property value is
greater when cannibalized than retention in the original condition.
(b) Education-related Federal equipment. Equipment that is
appropriate for educational purposes.
(c) Excess personal property. Items of personal property no longer
required by the controlling Federal agency.
(d) Research equipment. Federal property determined to be essential
to conduct scientific or technical educational research.
(e) Technical and scientific education and research activities. Non-
profit tax exempt public educational institutions or government
sponsored research organizations which serve to conduct technical and
scientific education and research.
Sec. 2812.4 Procedures.
(a) Prior to receipt of excess personal property/equipment under
this part, the donee shall enter into a gift/acceptance agreement with
the donor agency. A copy of that agreement is attached as appendix A to
this part.
(b) Each agency head will designate in writing an authorized
official to approve donations of excess property/equipment under this
part.
(c) Property targeted for donation under this part will first be
screened as excess by USDA agencies through the Departmental Excess
Personal Property Coordinator (DEPPC) using the PMIS/PROP system.
(d) Upon reporting property for excess screening, if the pertinent
USDA agency has an eligible organization in mind for donation under this
part, enter ``P.L. 102-245'' in the note field. The property will remain
in the excess system approximately 30-45 days and, if no agency in USDA
requests it during the excess cycle, DEPPC will send the agency a copy
of the excess report stamped ``DONATION AUTHORITY TO THE HOLDING AGENCY
IN ACCORDANCE WITH P.L. 102-245.''
(e) Donations under this Part will be accomplished by preparing a
Standard Form (SF) 122, ``Transfer Order-Excess Personal Property'' and
a written justification statement (submitted by the recipient)
explaining why the property is needed.
(f) The SF-122 should be signed by both an authorized official of
the agency and the Agency Property Management Officer. The following
information should also be provided.
(1) Name and address of Donee Institution (Ship to)
[[Page 42]]
(2) Agency name and address (holding Agency)
(3) Location of property
(4) Shipping instructions (Donee contact person)
(5) Complete description of property, including acquisition amount,
serial no., condition code, quantity, and agency order no.
(6) This statement needs to be added following property
descriptions. ``The property requested hereon is certified to be used
for the conduct of technical and scientific education and research
activities. This donation is pursuant to the provisions of Pub. L. 102-
245.''
(g) Once the excess personal property/equipment is physically
received, the donee is required to immediately return a copy of the SF-
122 to the donating agency indicating receipt of requested items.
Cancellations should be reported to DEPPC so the property can be
reported to the General Services Administration (GSA).
Note: The USDA agency shall send an informational copy of the
transaction to GSA.
Sec. 2812.5 Restrictions.
(a) The authorized official (see Sec. 2812.4(b)) will approve the
donation of excess personal property/equipment in the following groups
to educational institutions or nonprofit organizations for the conduct
of technical and scientific educational and research activities.
Eligible Groups
------------------------------------------------------------------------
FSC group Name
------------------------------------------------------------------------
19..................................... Ships, Small Craft, Pontoons,
and Floating Docks.
23..................................... Vehicles, Trailers and Cycles.
24..................................... Tractors.
37..................................... Agricultural Machinery and
Equipment.
43..................................... Pumps, Compressors.
48..................................... Valves.
58..................................... Communication, Detection, and
Coherent Radiation Equipment.
59..................................... Electrical and Electronic
Equipment Components.
65..................................... Medical, Dental, and Veterinary
Equipment and Supplies.
66..................................... Instruments and Laboratory
Equipment.
67..................................... Photographic Equipment.
68..................................... Chemicals and Chemical
Products.
70..................................... General Purpose Automatic Data
Processing Equipment, Software
Supplies, and Support
Equipment.
74..................................... Office Machines and Visible
Record Equipment.
------------------------------------------------------------------------
Note: Requests for items in FSC Groups or Classes other than the
above should be referred to the agency head for consideration and
approval.
(b) Excess personal property/equipment may be donated for
cannibalization purposes, provided the donee submits a supporting
statement which clearly indicates that cannibalizing the requested
property for secondary use has greater potential benefit than
utilization of the item in its existing form.
Sec. 2812.6 Title.
Title to excess personal property/equipment donated under this Part
will automatically pass to the donee once the sponsoring agency receives
the SF-122 indicating that the donee has received the property.
Sec. 2812.7 Costs.
Donated excess personal property/equipment is free of charge.
However, the donee must pay all costs associated with packaging and
transportation, unless the sponsoring agency has made other
arrangements. The donee should specify the method of shipment.
Sec. 2812.8 Accountability and recordkeeping.
USDA requires that property requested by a donee be placed into use
by the donee within a year of receipt and used for at least 1 year
thereafter. Donees must maintain accountable records for such property
during this time period.
Sec. 2812.9 Disposal.
When the property is no longer needed by the donee, it may be used
in support of other Federal projects or sold and the proceeds used for
technical and scientific education and research activities.
Sec. 2812.10 Liabilities and losses.
USDA assumes no liability with respect to accidents, bodily injury,
illness, or any other damages or loss related to excess personal
property/equipment donated under this part. The donee is advised to
insure or otherwise protect itself and others as appropriate.
[[Page 43]]
Appendix A to Part 2812--Gift/Acceptance Agreement: Educational
Institution or NonProfit Organization and the United States Department
of Agriculture
Gift/Acceptance Agreement (Agreement) between (USDA Agency) and
(Educational Institution or NonProfit Organizations).
(1) Purpose. The purpose of the Agreement is to establish a
relationship between the U.S. Department of Agriculture (USDA Agency)
and (Educational Institution or NonProfit Organization) concerning the
transfer of excess research equipment to this educational institution or
nonprofit organization for the conduct of technical and scientific
education and research activities. Title of ownership transfers to the
recipient.
(2) Authority. Pub. L. 102-245, Sec. 303, amended, Section 11 of the
Stevenson-Wydler Technology Innovation Act of 1980, by adding subsection
(i), Research Equipment, which provides that ``the Director of the
laboratory, or the head of any Federal agency or department, may give
research equipment that is excess to the needs of the laboratory,
agency, or department to an educational institution or non-profit
organization for the conduct of technical and scientific education and
research activities.''
(3) Objectives and program elements. This Agreement is intended to
provide a mechanism for the transfer of excess research equipment from
USDA to the (Educational Institution or Nonprofit Organization) in
accordance with the procedures set out in the regulations implementing
Pub. L. 102-245.
(4) Management. In order to enable close collaboration, it is agreed
that the (Educational Institution or NonProfit Organization) will
provide to (USDA Agency) an annual inventory listing of property
acquired under Pub. L. 102-245.
The (USDA Agency) and (Educational Institution or NonProfit
Organization) will each identify a coordinator to implement this
Agreement. These coordinators shall meet when necessary to review new
Federal property regulations.
The coordinators shall seek to resolve any disputes concerning the
Agreement through good faith discussions.
(5) Effective date and revision or termination. The Agreement shall
enter into effect upon signature and shall remain in effect for 3 years.
It may be extended or amended by written agreement of the parties at any
time prior to its expiration or termination. The Agreement may be
terminated at any time upon 60 days written notice by either party to
the other. The termination of the Agreement shall not affect the
validity of any property transactions under the Agreement which were
initiated prior to such termination.
Property Coordinators
The property coordinators for this Agreement are:
Name____________________________________________________________________
(Educational Institution/NonProfit Organization)
_______________________________________________________________________
(Complete Address and Phone Number)
Name____________________________________________________________________
(USDA Coordinator)
_______________________________________________________________________
(Complete Address and Phone Number)
Approved:
_______________________________________________________________________
(Educational Institution/NonProfit Organization)
_______________________________________________________________________
Date
_______________________________________________________________________
(USDA Agency Head)
_______________________________________________________________________
Date
[[Page 45]]
CHAPTER XXIX--OFFICE OF ENERGY,
DEPARTMENT OF AGRICULTURE
--------------------------------------------------------------------
Part Page
2900 Essential agricultural uses and volumetric
requirements--Natural Gas Policy Act.... 47
2901 Administrative procedures for adjustments of
natural gas curtailment priority........ 48
[[Page 47]]
PART 2900--ESSENTIAL AGRICULTURAL USES AND VOLUMETRIC REQUIREMENTS--NATURAL GAS POLICY ACT--Table of Contents
Sec.
2900.1 General.
2900.2 Definitions.
2900.3 Essential agricultural uses.
2900.4 Natural gas requirements.
2900.6 Effective date.
Authority: Pub. L. 95-621, Nov. 9, 1978.
Source: 44 FR 28786, May 17, 1979, unless otherwise noted.
Sec. 2900.1 General.
Section 401(c) of the Natural Gas Policy Act of 1978 (NGPA) requires
the Secretary of Agriculture to determine the essential uses of natural
gas, and to certify to the Secretary of Energy and the Federal Energy
Regulatory Commission (FERC) the natural gas requirements, expressed
either as volumes or percentages of use, of persons, or classes thereof,
for essential agricultural uses in order to meet requirements of full
food and fiber production. This rule covers establishments performing
functions classed as essential agricultural uses whose natural gas
supplies are distributed through the interstate pipeline systems even
though such establishments may receive such gas directly from an
intrastate pipeline or local distribution company. The rule provides to
the Secretary of Energy (for purposes of Section 401(a) of the NGPA) and
to the Federal Energy Regulatory Commission the following
certifications:
(a) Essential agricultural uses of natural gas, expressed as classes
of establishments that use gas for essential agricultural purposes; and
(b) Essential agricultural current requirements of natural gas,
expressed as percentages of use.
Sec. 2900.2 Definitions.
(a) Full food and fiber production means the entire output of food
and fiber produced for the domestic market, and for export, for building
of reserves, and crops for soil building or conservation. This term also
includes the processing of food and fiber into stable and storable
products, and the maintenance of food quality after processing.
(b) Establishment means an economic unit, generally at a single
physical location where business is conducted or where service or
industrial operations are performed (for example, a factory, mill,
store, mine, farm, sales office, or warehouse). (Note: This is the same
definition used in the Standard Industrial Classification Manual, 1972
edition).
(c) Essential Agricultural Use Establishment means any
Establishment, or the portion of an Establishment, which performs (or
has the capability to perform) activities specified in Sec. 2900.3.
(d) Current Natural Gas Requirements means the amount of natural gas
required by an Essential Agricultural Use Establishment to perform the
activities devoted to full food and fiber production.
(Pub. L. 95-621, Nov. 8, 1979, 92 Stat. 3350, 15 U.S.C. 3301 et seq.)
[44 FR 28786, May 17, 1979, as amended at 46 FR 47216, Sept. 25, 1981]
Sec. 2900.3 Essential agricultural uses.
For purposes of Section 401(c) of the NGPA the following classes or
portions of classes are certified as essential agricultural uses in
order to meet the requirements of full food and fiber production:
Essential Agricultural Uses
Industry SIC No. and Industry Description
Food and Natural Fiber Production
01 Agricultural Production--Crops
02 Agricultural Production--Livestock Excluding 0272--Horses and
Other Equines, and Nonfood Portions of 0279--Animal Specialties, Not
Elsewhere Classified.
0723 Crop Preparation Services for Market, Except Cotton Ginning
(see fiber processing).
4971 Irrigation Systems.
Fertilizer and Agricultural Chemicals
(Process and Feedstock Use Only)
1474 Potash, Soda, and Borate Materials.
1475 Phosphate Rock.
1477 Sulfur.
2819 Industrial Inorganic Chemicals, n.e.c. (Agricultural related
only).
2865 Cyclic Crudes and Cyclic Intermediates, Dyes and Organic
Pigments (Agricutural related only).
[[Page 48]]
2869 Industrial Organic Chemicals, n.e.c. (Agricutural related
only).
287 Agricultural Chemicals.
2899 Chemicals and Chemical Preparations, n.e.c. (Salt--Feed grade
only).
3274 Lime (Agricultural lime only).
Food and Natural Fiber Processing-Food
20 Food and Kindred Products Except 2047 Dog, Cat and Other Pet
Food, and 2048 Prepared Feeds and Feed Ingredients for Animals and
Fowls, Not Elsewhere Classified.
2869 Industrial Organic Chemicals (Monosodium Glutamate, Food-grade
Citric Acid and Food-grade Enzymes only).
2899 Chemicals and Chemical Preparations, n.e.c. (Salt for food use
only).
Animal Feeds, and Food
(Process and Feedstock Use Only)
2047 Dog, Cat and Other Pet Food.
2048 Prepared Feeds and Feed Ingredients for Animals and Fowls, Not
Elsewhere Classified.
Natural Fiber
0724 Cotton Ginning.
2141 Tobacco Stemming and Redrying.
2299 Textile Goods, n.e.c. (wool tops, combing and converting).
3111 Leather Tanning and Finishing.
Food Quality Maintenance--Food Packaging
2641 Paper Coating and Glazing (food related only).
2643 Bags, Except Textile (food related only).
2645 Die Cut Paper and Paperboard (food related only).
2646 Pressed and Molded Pulp Goods (food related only).
2649 Converted Paper Products (food related only).
2651 Folding Paperboard Boxes (food related only).
2653 Corrugated and Solid Fiber Boxes (food related only).
2654 Sanitary Food Containers.
2655 Fiber Cans, Tubes, Drums, and Similar Products (food related
only).
3079 Miscellaneous Plastic Products (food related only).
3221 Glass Containers (food related only).
3411 Metal Cans (food related only).
3412 Metal Shipping Barrels, Drums, Kegs, and Pails (food related
only).
3466 Metal Crowns and Closures (Food Related Only).
3497 Metal Foil and Leaf (food related only).
Petroleum wax, synthetic petroleum wax and polyethylene wax (food
grade only) as food containers.
Marketing and Distribution
4221 Farm Product Warehousing and Storage.
4222 Refrigerated Warehousing.
514 Groceries and Related Products.
5153 Farm Product Raw Materials--Grain.
54 Food Stores.
Energy Production
(1) Agricultural production on set-aside acreage or acreage diverted
from the production of a commodity (as provided under the Agricultural
Act of 1949) to be devoted to the production of any commodity for
conversion into alcohol or hydrocarbons for use as motor fuel or other
fuels;
(2) Sugar refining for production of alcohol; and
(3) Distillation of fuel-grade alcohol from food grains and other
biomass by facilities in existence on June 30, 1980 which do not have
the installed capability to burn coal lawfully, for a period ending June
29, 1985.
(Pub. L. 95-621, Nov. 8, 1978, 92 Stat. 3350; 15 U.S.C. 3301 et seq.)
[44 FR 28786, May 17, 1979, as amended at 45 FR 5298, Jan. 23, 1980; 45
FR 45887, 45888, July 8, 1980; 45 FR 50550, July 30, 1980; 47 FR 25320,
June 11, 1982; 48 FR 43670, Sept. 26, 1983; 49 FR 37733, Sept. 26, 1984]
Sec. 2900.4 Natural gas requirements.
For purposes of Section 401(c), NGPA, the natural gas requirements
for each Essential Agricultural Use Establishment, whether such
Essential Agricultural Use Establishment is in existence on the
effective date of this rule or comes into existence thereafter, are
certified to be 100 percent of Current Natural Gas Requirements.
Sec. 2900.6 Effective date.
This rule shall become effective on May 14, 1979.
PART 2901--ADMINISTRATIVE PROCEDURES FOR ADJUSTMENTS OF NATURAL GAS CURTAILMENT PRIORITY--Table of Contents
Sec.
2901.1 Purpose and scope.
2901.2 Definitions.
2901.3 Oral presentation.
2901.4 Interpretations.
2901.5 Modifications and rescissions.
2901.6 Exceptions and exemptions.
2901.7 Review of denials.
2901.8 Judicial review.
2901.9 Effective date.
[[Page 49]]
Authority: Secs. 502, 507. Pub. L. 95-621, 92 Stat. 3397, 3405, Nov.
9, 1978.
Source: 44 FR 55803, Sept. 28, 1979, unless otherwise noted.
Sec. 2901.1 Purpose and scope.
The purpose of this part 2901 is to provide procedures for the
making of certain adjustments to the Secretary of Agriculture's
Essential Agricultural Uses and Requirements regulations in accordance
with section 502(c) of the Natural Gas Policy Act of 1978, in order to
prevent special hardship, inequity, or an unfair distribution of
burdens. The procedures in this part 2901 apply to any person seeking an
interpretation of, modification of, rescission of, exception of, or
exemption from the Essential Agricultural Uses and Requirements
regulations in part 2900 of this chapter.
Sec. 2901.2 Definitions.
(a) Person means any individual, firm, sole proprietorship,
partnership, association, company, joint venture or corporation.
(b) Director means the Director of the Office of Energy, U.S.
Department of Agriculture.
(c) Secretary means the Secretary of the U.S. Department of
Agriculture.
(d) Adjustment means an interpretation, modification, rescission of,
exception to or exemption from the Essential Agricultural Uses and
Requirements regulations, part 2900 of this chapter.
(e) NGPA means the Natural Gas Policy Act of 1978, Pub. L. 95-621.
(f) Petitioner means any person seeking an adjustment under this
part 2901.
Sec. 2901.3 Oral presentation.
Any person seeking an adjustment under this part 2901 shall be given
an opportunity to make an oral presentation of data, views and arguments
in support of the request for an adjustment, provided that a request to
make an oral presentation is submitted in writing with the request for
the adjustment. An official of the Department of Agriculture shall
preside at such oral presentation.
Sec. 2901.4 Interpretations.
(a) Request for an interpretation. (1) Any person seeking an
interpretation of the Essential Agricultural Uses and Requirements
regulations in part 2900 shall file a formal written request with the
Director. The request should contain a full and complete statement of
all relevant facts pertaining to the circumstances, act or transaction
that is the subject of the request and to the action sought, and should
state the special hardship, inequity, or unfair distribution of burdens
that will be prevented by the interpretation sought and why the
interpretation is consistent with the purposes of NGPA. The Director
shall publish a notice in the Federal Register advising the public that
a request for an interpretation has been received and that written
comments will be accepted with respect thereto, if received within 20
days of the notice. The Federal Register notice will provide that copies
of the request for interpretation from which confidential information
has been deleted in accordance with paragraph (a)(2) of this section may
be obtained from the petitioner.
(2) If the petitioner wishes to claim confidential treatment for any
information contained in the request or other documents submitted under
this part 2901, such person shall file together with the document a
second copy of the document from which has been deleted the information
for which such person wishes to claim confidential treatment. The
petitioner shall indicate in the original document that it is
confidential or contains confidential information and may file a
statement specifying the justification for non-disclosure of the
information for which non-disclosure is sought. The Director shall
consider such requests, and subject to the Freedom of Information Act, 5
U.S.C. 552 and other applicable laws and regulations, shall treat such
information as confidential.
(b) Investigations. The Director may initiate an investigation of
any statement in a request and utilize in his evaluation any relevant
facts obtained in such investigation. The Director may accept
submissions from third persons relevant to any request for
interpretation provided that the petitioner
[[Page 50]]
is afforded an opportunity to respond to all such submissions. In
evaluating a request for interpretation, the Director may consider any
other source of information.
(c) Applicability. Any interpretation issued hereunder shall be
issued on the basis of the information provided on the request, as
supplemented by other information brought to the attention of the
Director during the consideration of the request. The interpretation
shall, therefore, depend for its authority on the accuracy of the
factual statement and may be relied upon only to the extent that the
facts of the actual situation correspond to those upon which the
interpretation was based.
(d) Issuance of an interpretation. Upon consideration of the request
for interpretation and other relevant information received or obtained
by the Director, the Director may issue a written interpretation. A copy
of the written interpretation shall be provided to FERC and the
Secretary of Energy. Notice of the issuance of the written
interpretation shall be published in the Federal Register. The granting
of a request for issuance of an interpretation shall be considered final
agency action for purposes of judicial review under Sec. 2901.8.
(e) Denial of an interpretation. An interpretation shall be
considered denied for purpose of review of such denial under Sec. 2901.7
only if:
(1) The Director notifies the petitioner in writing that the request
is denied and that an interpretation will not be issued; or
(2) The Director does not respond to a request for an
interpretation, by (i) issuing an interpretation, or (ii) giving notice
of when an interpretation will be issued within 45 days of the date of
receipt of the request, or within such extended time as the Director may
prescribe by written notice within the 45-day period.
(f) For purposes of this part 2901 the word interpretation shall not
be deemed to include a simple clarification of an actual or purported
ambiguity in part 2900. The Director reserves the right to determine
whether a request involves simple clarification and shall advise the
requester of his decision.
Sec. 2901.5 Modifications and rescissions.
(a) Request for modification or rescission. (1) Any person seeking a
modification or a rescission of the Essential Agricultural Uses and
Requirements regulations of part 2900 shall file a formal written
request with the Director. The request shall contain a full and complete
statement of all relevant facts pertaining to the circumstance, act or
transaction that is the subject of the request and to the action sought.
The request should state the special hardship, inequity or unfair
distribution of burdens that will be prevented by making the
modification or rescission.
(2) If the petitioner wishes to claim confidential treatment for any
information contained in the request or other documents submitted under
this part 2901, such person shall file together with the document a
second copy of the document from which has been deleted the information
for which such person wishes to claim confidential treatment. The
petitioner shall indicate in the original document that it is
confidential or contains confidential information and may file a
statement specifying the justification for non-disclosure of the
information for which non-disclosure is sought. The Director shall
consider such requests, and subject to the Freedom of Information Act, 5
U.S.C. 552 and other applicable laws and regulations, shall treat such
information as confidential.
(3) The request shall be filed as a petition for rulemaking and
treated in accordance with the procedures, as applicable, of 7 CFR part
1, subpart B.
(b) Institution of rulemaking. Upon consideration of the request for
modification or rescission and other relevant information received or
obtained by the Director, the Director may institute rulemaking
proceedings in accordance with the Administrative Procedures Act 5
U.S.C. 551 et seq. and applicable regulations.
(c) Denial of a modification or rescission. If the Director (1)
denies the request for modification or rescission in writing by
notifying the petitioner that he does not intend to institute rulemaking
proceedings as proposed and stating the reasons therefor, or (2) does
not respond to a request for a
[[Page 51]]
modification or rescission in accordance with paragraph (b) of this
section or (3) notifies the petitioner in writing that the matter is
under continuing consideration and that no decision can be made at that
time because of the inadequacy of available information, changing
circumstances or other reasons as set forth therein, within 45 days of
the date of the receipt thereof, or within such extended time as the
Director may prescribe by written notice within that 45-day period, the
request shall be considered denied for the purpose of review of such
denial under Sec. 2901.7.
Sec. 2901.6 Exceptions and exemptions.
(a) Request for exception or exemption. (1) Any person seeking an
exception or exemption from the Essential Agricultural Uses and
Requirements regulations in part 2900 shall file a formal written
request with the Director. The request shall contain a full and complete
statement of all relevant facts pertaining to the circumstance, act, or
transaction that is the subject of the request and to the action sought.
The request should state the special hardship, inequity or unfair
distribution of burdens that will be prevented by making the exception
or exemption. The Director shall publish a notice in the Federal
Register advising the public that a request for an exception or
exemption has been received and that written comments will be accepted
with respect thereto if received within 20 days of the notice. The
Federal Register notice will provide that copies of the request from
which confidential information has been deleted in accordance with
paragraph (a)(2) of this section may be obtained from the petitioner.
The Petitioner shall be afforded an opportunity to respond to such
submissions.
(2) If the petitioner wishes to claim confidential treatment for any
information contained in the request or other documents submitted under
this part 2901, such person shall file together with the document a
second copy of the document from which has been deleted the information
for which such person wishes to claim confidential treatment. The
petitioner shall indicate in the original document that it is
confidential or contains confidential information and may file a
statement specifying the justification for non-disclosure of the
information for which non-disclosure is sought. The Director shall
consider such requests, and subject to the Freedom of Information Act, 5
U.S.C. 552 and other applicable laws and regulations, shall treat such
information as confidential.
(b) Decision and order. Upon consideration of the request for an
exception or exemption and other relevant information received or
obtained during the proceedings, the Director shall issue an order
granting or denying the request. The Director shall publish a notice in
the Federal Register of the issuance of a decision and order on the
request. The granting of a request for an exception or exemption shall
be considered final agency action for purposes of judicial review under
Sec. 2901.8.
(c) Denial of an exception or exemption. A request for an exception
or exemption shall be considered denied for purposes of review of such
denial under Sec. 2901.7 only if:
(1) The Director has notified the petitioner in writing that the
request is denied under paragraph (b) of this section; or
(2) The Director does not respond to a request for an exception or
exemption by (i) granting the request for an exception or exemption
under paragraph (b) of this section or (ii) giving notice of when a
decision will be made within 45 days of the receipt of the request, or
with such extended time as the Director may prescribe by written notice
within the 45-day period.
Sec. 2901.7 Review of denials.
(a) Request for review. (1) Any person aggrieved or adversely
affected by a denial of a request for any interpretation under
Sec. 2901.4 may request a review of the denial by the Secretary, within
30 days from the date of the denial.
(2) Any person aggrieved or adversely affected by a denial of a
request for a modification or rescission under Sec. 2901.5, may request
a review of the denial by the Secretary within 30 days from the date of
the denial.
(3) Any person aggrieved or adversely affected by a denial of a
request for an exception or an exemption under
[[Page 52]]
Sec. 2901.6, may request a review of the denial by the Secretary within
30 days from the date of the denial.
(b) Procedures. Any request for review under Sec. 2901.7(a) shall be
in writing and shall set forth the specific ground upon which the
request is based. There is no final agency action for purposes of
judicial review under Sec. 2901.8 until that request has been acted
upon. If the request for review has not been acted upon within 30 days
after it is received, the request shall be deemed to have been denied.
That denial shall then constitute final agency action for the purpose of
judicial review under Sec. 2901.8.
Sec. 2901.8 Judicial review.
Any person aggrieved or adversely affected by a final agency action
taken on a request for an adjustment under this section may obtain
judicial review in accordance with section 506 of the Natural Gas Policy
Act of 1978.
Sec. 2901.9 Effective date.
This rule shall become effective on October 29, 1979.
[[Page 53]]
CHAPTER XXX--OFFICE OF
THE CHIEF FINANCIAL OFFICER,
DEPARTMENT OF AGRICULTURE
--------------------------------------------------------------------
Part Page
3010 [Reserved]
3011 Availability of information to the public... 55
3015 Uniform Federal assistance regulations...... 56
3016 Uniform administrative requirements for
grants and cooperative agreements to
State and local governments............. 106
3017 Governmentwide debarment and suspension
(nonprocurement) and governmentwide
requirements for drug-free workplace
(grants)................................ 133
3018 New restrictions on lobbying................ 155
3019 Uniform administrative requirements for
grants and agreements with institutions
of higher education, hospitals, and
other non-profit organizations.......... 167
3052 Audits of States, local governments, and
non-profit organizations................ 194
[[Page 55]]
PART 3011--AVAILABILITY OF INFORMATION TO THE PUBLIC--Table of Contents
Sec.
3011.1 General statement.
3011.2 Public inspection and copying.
3011.3 Indexes.
3011.4 Initial requests for records.
3011.5 Appeals.
3011.6 Fee schedule.
Authority: 5 U.S.C. 301 and 522; 7 CFR 1.3.
Source: 54 FR 51869, Dec. 19, 1989, unless otherwise noted.
Sec. 3011.1 General statement.
This part is issued in accordance with 7 CFR 1.3 of the Department
of Agriculture regulations governing the availability of records (7 CFR
1.1--1.23 and Appendix A) under the Freedom of Information Act (5 U.S.C.
552, as amended). These regulations supplement the Department's
regulations by providing guidance for any person wishing to request
records from the Office of Finance and Management (OFM).
Sec. 3011.2 Public inspection and copying.
(a) Background. 5 U.S.C. 552(a)(2) requires each agency to maintain
and make available for public inspection and copying certain kinds of
records.
(b) Procedure. To gain access to OFM records that are available for
public inspection, contact the Freedom of Information Act Officer by
writing to the address shown in Sec. 3011.4(b) of this title.
Sec. 3011.3 Indexes.
5 U.S.C. 552(a)(2) also requires that each agency maintain and make
available for public inspection and copying current indexes providing
identifying information for the public with regard to any records which
are made available for public inspection and copying. OFM does not
maintain any materials within the scope of these requirements.
Sec. 3011.4 Initial requests for records.
(a) Background. The Freedom of Information Act Officer is authorized
to:
(1) Grant or deny requests for OFM records,
(2) Make discretionary release of OFM records when the benefit to
the public in releasing the document outweighs any harm likely to result
from disclosure,
(3) Reduce or waive fees to be charged where determined to be
appropriate.
(b) Procedures. This part provides the titles and mailing address of
officials who are authorized to release records to the public. The
normal working hours of these offices are 8:30 a.m. to 5:00 p.m., local
time, Monday through Friday, excluding holidays, during which public
inspection and copying of certain kinds of records is permitted. Persons
wishing to request records from the Office of Finance and Management may
do so by submitting each initial written request for OFM records to the
appropriate OFM official shown below:
(1) For records held at the Washington, DC Headquarters units,
submit initial requests to the Freedom of Information Act Officer,
Office of Finance and Management, USDA, 14th and Independence Ave., SW.,
Room 117-W, Administration Building, Washington, DC 20250-9000.
(2) For records held at the National Finance Center in New Orleans,
Louisiana, submit initial requests to the Freedom of Information Act
Officer, National Finance Center, OFM, USDA, 13800 Old Gentilly Road,
Building 350, (P.O. Box 60,000, New Orleans, LA 70160), New Orleans,
Louisiana 70129.
If the requester is unable to determine the official to whom the request
should be addressed, it should be submitted to the Headquarters Freedom
of Information Act Officer who will refer such requests to the
appropriate officials.
Sec. 3011.5 Appeals.
Any person whose initial request is denied in whole or in part may
appeal that denial, in accordance with 7 CFR 1.6(e) and 1.8, to the
Director, Office of Finance and Management, USDA, Room 117-W,
Administration Building, 14th and Independence Ave., Washington, DC
20250-9000.
Sec. 3011.6 Fee schedule.
Departmental regulations provide for a schedule of reasonable
standard charges for document search and duplication. See 7 CFR 1.2(b).
Fees to be charged are set forth in 7 CFR part 1, subpart A, Appendix A.
[[Page 56]]
PART 3015--UNIFORM FEDERAL ASSISTANCE REGULATIONS--Table of Contents
Subpart A--General
Sec.
3015.1 Purpose and scope of this part.
3015.2 Applicability.
3015.3 Conflicting policies and deviations.
3015.4 Special restrictive terms.
Subpart B--Cash Depositories
3015.10 Physical segregation and eligibility.
3015.11 Separate bank accounts.
3015.12 Moneys advanced to recipients.
3015.13 Minority and women-owned banks.
Subpart C--Bonding and Insurance
3015.15 General.
3015.16 Construction and facility improvement.
3015.17 Fidelity bonds.
3015.18 Source of bonds.
Subpart D--Record Retention and Access Requirements
3015.20 Applicability.
3015.21 Retention period.
3015.22 Starting date of retention period.
3015.23 Microfilm.
3015.24 Access to records.
3015.25 Restrictions to public access.
Subpart E--Waiver of ``Single'' State Agency Requirements
3015.30 Waiver of ``single'' State agency requirements.
Subpart F--Grant Related Income
3015.40 Scope.
3015.41 General program income.
3015.42 Proceeds from sale of real property and from sale of equipment
and supplies acquired for use.
3015.43 Royalties and other income earned from a copyrighted work.
3015.44 Royalties or equivalent income earned from patents or from
inventions.
3015.45 Other program income.
3015.46 Interest earned on advances of grant funds.
Subpart G--Cost-Sharing or Matching
3015.50 Scope.
3015.51 Acceptable contributions and costs.
3015.52 Qualifications and exceptions.
3015.53 Valuation of donated services.
3015.54 Valuation of donated supplies and loaned equipment or space.
3015.55 Valuation of donated equipment, buildings, and land.
3015.56 Appraisal of real property.
Subpart H--Standards for Financial Management Systems
3015.60 Scope.
3015.61 Financial management standards.
Subpart I [Reserved]
Subpart J--Financial Reporting Requirements
3015.80 Scope and applicability.
3015.81 General.
3015.82 Financial status report.
3015.83 Federal cash transactions report.
3015.84 Request for advance or reimbursement.
3015.85 Outlay report and request for reimbursement for construction
programs.
Subpart K--Monitoring and Reporting Program Performance
3015.90 Scope.
3015.91 Monitoring by recipients.
3015.92 Performance reports.
3015.93 Significant developments.
3015.94 Site visits.
3015.95 Waivers, extensions and enforcement actions.
Subpart L--Payment Requirements
3015.100 Scope.
3015.101 General.
3015.102 Payment methods.
3015.103 Withholding payments.
3015.104 Requesting advances or reimbursements.
3015.105 Payments to subrecipients.
Subpart M--Programmatic Changes and Budget Revisions
3015.110 Scope and applicability.
3015.111 Cost principles.
3015.112 Approval procedures.
3015.113 Programmatic changes.
3015.114 Budgets--general.
3015.115 Budget revisions.
3015.116 Construction and nonconstruction work under the same grant,
subgrant, or cooperative agreement.
Subpart N--Grant and Subgrant Closeout, Suspension and Termination
3015.120 Closeout.
3015.121 Amounts payable to the Federal government.
3015.122 Violation of terms.
3015.123 Suspension.
3015.124 Termination.
3015.125 Applicability to subgrants.
[[Page 57]]
Subparts O-P [Reserved]
Subpart Q--Application for Federal Assistance
3015.150 Scope and applicability.
3015.151 Authorized forms.
3015.152 Preapplication for Federal assistance.
3015.153 Notice of preapplication review action.
3015.154 Application for Federal assistance (nonconstruction programs).
3015.155 Application for Federal assistance (construction programs).
3015.156 Application for Federal assistance (short form).
3015.157 Authorized form for nongovernmental organizations.
3015.158 Competition in the awarding of discretionary grants and
cooperative agreements.
Subpart R--Property
3015.160 Scope and applicability.
3015.161 Additional requirements.
3015.162 Title to real property, equipment and supplies.
3015.163 Real property.
3015.164 Statutory exemptions for equipment and supplies.
3015.165 Rights to require transfer of equipment.
3015.166 Use of equipment.
3015.167 Replacement of equipment.
3015.168 Disposal of equipment.
3015.169 Equipment management requirements.
3015.170 Damage, loss, or theft of equipment.
3015.171 Unused supplies.
3015.172 Federal share of real property, equipment, and supplies.
3015.173 Using or returning the Federal share.
3015.174 Subrecipient's share.
3015.175 Intangible personal property.
Subpart S--Procurement
3015.180 Scope and applicability.
3015.181 Standards of conduct.
3015.182 Open and free competition.
3015.183 Access to contractor records.
3015.184 Equal employment opportunity.
Subpart T--Cost Principles
3015.190 Scope.
3015.191 Governments.
3015.192 Institutions of higher education.
3015.193 Other non-profit organizations.
3015.194 For-profit organizations.
3015.195 Subgrants and cost-type contracts.
3015.196 Costs allowable with approval.
Subpart U--Miscellaneous
3015.200 Acknowledgement of support on publications and audiovisuals.
3015.201 Use of consultants.
3015.202 Limits on total payments to the recipient.
3015.203 [Reserved]
3015.204 Federal Register publications.
3015.205 General provisions for grants and cooperative agreements with
institutions of higher education, other nonprofit
organizations, and hospitals.
Subpart V--Intergovernmental Review of Department of Agriculture
Programs and Activities
3015.300 Purpose.
3015.301 Definitions.
3015.302 Applicability.
3015.303 Secretary's general responsibilities.
3015.304 Federal interagency coordination.
3015.305 State selection of programs and activities.
3015.306 Communication with State and local elected officials.
3015.307 State comments on proposed Federal financial assistance and
direct Federal development.
3015.308 Processing comments.
3015.309 Accommodation of intergovernmental concerns.
3015.310 Interstate situations.
3015.311 Simplification, consolidation, or substitution of State plans.
3015.312 Waivers.
Appendix A to Part 3015--Definitions
Appendix B to Part 3015--OMB Circular A-128, ``Audits of State and Local
Governments''
Authority: 5 U.S.C. 301, Subpart I, 31 U.S.C. 7505, unless otherwise
noted.
Source: 46 FR 55639, Nov. 10, 1981, unless otherwise noted.
Subpart A--General
Sec. 3015.1 Purpose and scope of this part.
(a)(1) This part establishes USDA-wide uniform requirements for the
administration of open-ended entitlement grants and specifies the set of
principles for determining allowable costs under USDA grants and
cooperative agreements to State and local governments, universities,
non-profit and for-profit organizations as set forth in OMB Circulars A-
87, A-21, A-122, and 48 CFR 31.2, respectively. This Part also contains
the general provisions that
[[Page 58]]
apply to all grants and cooperative agreements made by USDA.
(2) Additionally, this part establishes intergovernmental review
provisions required by Executive Order 12372 for any programs listed in
the Federal Register as covered, and policy on competition in awarding
discretionary grants and cooperative agreements.
(3) Rules for nonentitlement grants and cooperative agreements to
State and local governments are found in part 3016.
(4) Rules for nonentitlement grants and cooperative agreements to
institutions of higher education, hospitals, and other non-profit
organizations are found in part 3019.
(b) These rules supersede and take precedence over any individual
USDA agency regulations and directives dealing with the administration
of grants and cooperative agreements to the extent such regulations and
directives are inconsistent with this part, unless such inconsistency is
based on a statutory provision or an exception has been obtained from
OMB. (See Sec. 3015.3.) Definitions for the terms used in this part are
set forth in Appendix A. Definitions for the implementation of standard
audit requirements for State and local governments and Indian Tribal
governments are contained in Subpart I--Audits.
(c) The purpose of this part is to simplify, standardize, and
improve the administration of USDA grants and cooperative agreements.
(d) Responsibility for developing and interpreting the material for
this part and in keeping it up-to-date is assigned to the Office of the
Deputy Director, Finance, a component of the Office of Operations and
Finance (O&F), which reports to the Assistant Secretary for
Administration.
[46 FR 55639, Nov. 10, 1981, as amended at 53 FR 8043, Mar. 11, 1988; 60
FR 44124, Aug. 24, 1995; 62 FR 45949, Aug. 29, 1997]
Sec. 3015.2 Applicability.
(a) Grants and cooperative agreements. This part applies to USDA
grants and cooperative agreements. For each substantive provision in
this part, either the words of the provision itself or other words in
the same subpart tell whether the provision applies to subgrants.
Exemptions to this part may be applicable to certain kinds of
recipients. (See paragraph (d) of this section.)
(b) Terminology applicable to this part. This part's substantive
rules are the same for grants and cooperative agreements. Many of the
rules are also the same for subgrants. Therefore, certain simplified
terminology is used in the text. Specifically in all portions of this
part:
(1) Each provision that applies to grants also applies to
cooperative agreements, even though the latter term does not appear in
the provisions.
(2) Each provision that applies to recipients of grants applies to
recipients of cooperative agreements, even though the latter term does
not appear in the provision.
(3) The term recipient refers equally to recipients of grants and
recipients of cooperative agreements.
(4) The term awarding agency refers equally to a USDA agency that
awards a grant and to one that awards a cooperative agreement.
(5) The term subgrant refers equally to certain awards under grants
and to the same kinds of awards under cooperative agreements.
(c) Public institutions of higher education and hospitals. Grants,
cooperative agreements and subgrants awarded to institutions of higher
education and hospitals operated by a government are subject only to the
provisions of this part that apply to non-governmental organizations.
(d) Recipients to which this part does not automatically apply. This
part does not automatically apply to the kinds of recipients listed
below unless other conditions set forth in the grant, cooperative
agreement, subgrant, or specific subpart in this part make all or
specified portions apply:
(1) Foreign governments or organizations,
(2) International organizations, such as the United Nations,
(3) Agencies or instrumentalities of the Federal government, and
(4) Individuals.
(5) State and local governments, except open-ended entitlements to
State and local governments.
[[Page 59]]
(6) Institutions of higher education, hospitals and other non-profit
organizations except open-ended entitlements to those entities.
(e) Collaborative arrangements. (1) Where permitted by the terms of
the award, a recipient may enter into collaborative arrangements with
other organizations to jointly carry out activities with grant or
cooperative agreement funds. In this kind of situation, the arrangement
between the recipient and each collaborating organization is subject to
the rules in this part that apply to subgrants awarded by the
recipients. (See the example shown in Sec. 3015.195.)
(2) This paragraph (e) does not apply to arrangements where the
organizations receive an award jointly. In this case, they are not a
recipient and subrecipient but, as the award notice states, joint
recipients.
[46 FR 55639, Nov. 10, 1981, as amended at 53 FR 8044, Mar. 11, 1988; 60
FR 44124, Aug. 24, 1995]
Sec. 3015.3 Conflicting policies and deviations.
(a) Statutory provisions. Federal statutes that apply to some USDA
grant programs may contain provisions that conflict with this part.
Those statutory provisions take precedence over this part.
(b) Nonstatutory provisions. USDA awarding agencies occasionally
develop grant provisions that are inconsistent with this part. USDA
attempts to keep these provisions to a minimum by internal procedures
that require these provisions to be justified to appropriate officials
of USDA and OMB. If the conflicting provisions are of long-term and
general applicability, O&F may require that the awarding agency (1)
publish the conflicting provision as a notice in the Federal Register
and (2) give the public an opportunity to comment before making the
regulations final.
(c) Nonstatutory provisions-subgrants. If a provision of a subgrant
conflicts with this part, the recipient is considered as violating the
provisions of the grant, unless the subgrant provision is authorized in
writing, by the awarding agency.
(d) OMB exceptions. In some cases, OMB grants exceptions from the
requirements of the Circulars, when permissible under existing laws. In
those instances where a program receives an exception to a particular
provision of a Circular, the exception takes precedence over this part.
Sec. 3015.4 Special restrictive terms.
(a) Occasionally an awarding agency, or a recipient awarding a
subgrant, may find that a particular recipient:
(1) Is financially unstable,
(2) Has a history of poor performance, or
(3) Has a management system that does not meet the standards in this
part.
In these cases the awarding agency may impose special conditions that
are more restrictive than otherwise permitted by this part. If so, the
awarding agency must tell the recipient in writing why it is imposing
the special conditions and what corrective action is needed.
(b) At the time an awarding agency imposes a special grant condition
under paragraph (a) of this section, the awarding agency, through O&F,
shall notify OMB and other interested parties.
(c) At the time a recipient imposes a special restrictive subgrant
condition under paragraph (a) of this section, it must notify the
awarding agency, giving full particulars. The awarding agency, through
O&F, shall then notify OMB and other interested parties.
(d) A special restrictive grant or subgrant condition under
paragraph (a) of this section is considered consistent with this part.
Subpart B--Cash Depositories
Sec. 3015.10 Physical segregation and eligibility.
Except as provided in Sec. 3015.11, awarding agencies shall not
impose grant or subgrant conditions which:
(a) Require the recipient to use a separate bank account for the
deposit of grant or subgrant funds, or
(b) Establish any eligibility requirements for banks or other
financial institutions in which recipients deposit grant or subgrant
funds.
[[Page 60]]
Sec. 3015.11 Separate bank accounts.
A separate bank account shall be required when applicable letter of
credit agreements provide that funds will not be drawn until the
recipient's checks are presented to the bank for payment.
Sec. 3015.12 Moneys advanced to recipients.
Any moneys advanced to recipients which are subject to the control
or regulation of the United States or any of its officers, agents, or
employees (public moneys as defined in Treasury Circular 176, as
amended), must be deposited in a bank with Federal Deposit Insurance
Corporation (FDIC) insurance coverage and the balance exceeding the FDIC
coverage must be collaterally secured.
Sec. 3015.13 Minority and women-owned banks.
Consistent with the national goal of expanding opportunities for
minority business enterprises, recipients, and subrecipients are
encouraged to use minority and women-owned banks. Upon request, awarding
agencies will furnish a listing of minority and women-owned banks to
recipients.
Subpart C--Bonding and Insurance
Sec. 3015.15 General.
In administering grants, subgrants, and cooperative agreements,
recipients shall observe their regular requirements and practices with
respect to bonding and insurance. No additional bonding and insurance
requirements, including fidelity bonds, shall be imposed by the
provisions of the grant, subgrant, or cooperative agreement except as
provided in Secs. 3015.16 through 3015.18.
Sec. 3015.16 Construction and facility improvement.
(a) Scope. This section covers requirements for bid guarantees,
performance bonds, and payment bonds when the recipients will contract
or subcontract for construction or facility improvement (including
alterations and renovations of real property) under a grant or subgrant.
(b) Bids and contracts or subcontracts of $100,000 or less. Unless
otherwise required by law, the recipients shall follow its own
requirements and practices relating to bid guarantees, performance
bonds, and payment bonds.
(c) Bids and contracts or subcontracts exceeding $100,000. Unless
otherwise required by law, the recipient may follow its own regular
policy and requirements if the USDA awarding agency has decided that the
Federal government's interest will be adequately protected. If this
decision has not been made, the minimum requirements shall be as
follows:
(1) A bid guarantee from each bidder equivalent to 5 percent of the
bid price;
(2) A performance bond on the part of the contractor for 100 percent
of the contract price; and
(3) A payment bond on the part of the contractor for 100 percent of
the contract price.
Sec. 3015.17 Fidelity bonds.
(a) If the recipient is not a unit of government, the awarding
agency may require the recipient to carry adequate fidelity bond
coverage where the absence of coverage for the grant-supported activity
is considered as created an unacceptable risk.
(b) If the subrecipient is not a unit of government, the awarding
agency or the recipient may require that the subrecipient carry adequate
fidelity bond coverage where the absence of coverage for the subgrant-
supported activity is considered as creating an unacceptable risk.
Sec. 3015.18 Source of bonds.
Any bonds required under Sec. 3015.16(c) (1) through (3) or
Sec. 3015.17 shall be obtained from companies holding certificates of
authority as acceptable sureties (31 CFR part 223). A list of these
companies is published annually by the Department of the Treasury in its
Circular 570.
Subpart D--Record Retention and Access Requirements
Sec. 3015.20 Applicability.
(a) This subpart applies to all financial records, supporting
documents,
[[Page 61]]
statistical records and other records of recipients, which are:
(1) Required to be maintained by the provisions of a USDA grant or
cooperative agreement, or
(2) Otherwise reasonably considered as pertinent to a USDA grant or
cooperative agreement.
(b) This subpart does not apply to the records of contractors and
subcontractors under grants, subgrants and cooperative agreements. For a
requirement to place a provision concerning these records in certain
kinds of contracts, see Subpart S of this part.
Sec. 3015.21 Retention period.
(a) Except as provided in paragraphs (b) and (c) of this section,
records shall be kept for 3 years from the starting date specified in
Sec. 3015.22.
(b) If any litigation, claim, negotiation, audit or other action
involving the records has been started before the end of the 3-year
period, the records shall be kept until all issues are resolved, or
until the end of the regular 3-year period, whichever is later.
(c) In order to avoid dual recordkeeping, awarding agencies may make
special arrangements for recipients to keep any records which are
continuously needed for joint use. The awarding agency shall request a
recipient to transfer records to its custody when the awarding agency
decides that the records possess long-term retention value. When the
records are transferred to or maintained by the awarding agency the 3-
year retention requirement shall not apply to the recipient.
(d) Records for nonexpendable property acquired in whole or in part,
with Federal funds shall be retained for three years after its final
disposition.
Sec. 3015.22 Starting date of retention period.
(a) General. The retention period starts from the date of the
submission of the final expenditure report or, where USDA grant support
is continued or renewed at annual or other intervals, the 3-year
retention period for the records of each funding period starts on the
day the recipient submits to USDA its annual or final expenditure report
for that period. If an expenditure report has been waived, the 3-year
retention period starts on the day the report would have been due.
Exceptions to this paragraph are contained in paragraphs (b) through (d)
of this section.
(b) Equipment records. The 3-year retention period for the equipment
records required by Subpart R starts from the date of the equipment's
disposition, replacement, or transfer at the direction of the awarding
agency.
(c) Records for income transactions after grant or subgrant support.
(1) In cases where USDA requires that program income (as defined in
Appendix A) be applied to costs incurred after expiration or termination
of grant or subgrant support, the 3-year retention period for these cost
records starts from the end of the recipient's fiscal year in which the
costs are incurred.
(2) Where USDA requires the disposition of copyright royalties or
other program income earned after expiration or termination of grant or
subgrant support, the 3-year retention period for those income records
starts from the end of the recipient's fiscal year in which the income
was earned. (See Subpart F, Sec. 3015.44.)
(d) Indirect cost rate proposals, cost allocation plans, etc.--(1)
Applicability. This paragraph applies to the following types of
documents and their supporting records:
(i) Indirect cost rate computations or proposals;
(ii) Cost allocation plans; and
(iii) 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).
(2) If submitted for negotiation. If the Federal government requires
submission of the proposal; plan, or other computation for negotiation
of the rate chargeable for particular costs, then the 3-year retention
period for the plan, proposal or other computation and the supporting
records starts from the date of such submission.
(3) If not submitted for negotiation. If the Federal government does
not require submission of the proposal, plan, or other computation for
negotiation of the rate chargeable for particular costs, then the 3-year
retention period
[[Page 62]]
for the proposal, plan, or other computation and the supporting records
starts from the end of the fiscal year covered by such proposal, plan,
or other computation.
Sec. 3015.23 Microfilm.
Copies made by microfilming, photocopying, or similar methods may be
substituted for the original records.
Sec. 3015.24 Access to records.
(a) Records of recipients. USDA and the Comptroller General of the
United States, or any of their authorized representatives, shall have
the right of access to any books, documents, papers, or other records of
the recipient which are pertinent in a specific USDA award in order to
make audit, examination, excerpts, and transcripts.
(b) Records of subrecipients. USDA and the Comptroller General of
the United States, and the recipient, or any of their authorized
representatives, shall have the right of access to any books, documents,
papers, or other records of the subrecipient which are pertinent to a
specific USDA grant or cooperative agreement, in order to make audit,
examination, excerpts, and transcripts.
(c) Expiration of right of access. The rights of access in this
section shall not be limited to the required retention period but shall
last as long as the records are kept.
Sec. 3015.25 Restrictions to public access.
Unless required by law, no awarding agency shall impose grant or
subgrant conditions which limit public access to records covered by this
subpart, except when the awarding agency determines that such records
must be kept confidential and would have been excepted from disclosure
pursuant to USDA's ``Freedom of Information'' regulations if the records
had belonged to USDA (7 CFR 1.1-1.16).
Subpart E--Waiver of ``Single'' State Agency Requirements
Sec. 3015.30 Waiver of ``single'' State agency requirements.
Section 204 of the Intergovernmental Cooperation Act of 1968
authorizes Federal agencies to waive ``single'' State agency
requirements on request of the Governor or other duly constituted State
authorities.
(a) Approval authority. The awarding agency has approval authority
for waiver requests, and shall handle them as quickly as feasible.
Approval should be given whenever possible.
(b) Refusal procedures. When it is necessary to refuse a request for
waiver of the ``single'' State agency requirements under section 204,
the awarding agency shall, through O&F, advise OMB that the request
cannot be granted. Such advice should indicate the reasons for the
denial of the request. Notification, through O&F, to OMB shall occur
prior to informing the State of the refusal.
Subpart F--Grant Related Income
Sec. 3015.40 Scope.
This subpart contains policies and requirements related to program
income and interest and other investment income earned on advances of
grant funds. Appendix A defines the term ``program income.'' There are
five categories of program income covered in this subpart. Each is
treated in a separate section. The categories are:
(a) General program income;
(b) Proceeds from sale of real property and from sale of equipment
and supplies acquired for use;
(c) Royalties and other income earned from a copyrighted work;
(d) Royalties or equivalent income earned from patents or
inventions; and
(e) Income after the period of grant or subgrant support not
otherwise treated.
Sec. 3015.41 General program income.
(a) Applicability. This section applies to ``general program
income'' as defined in Appendix A.
(b) Use. (1) General program income shall be retained by the
recipient and used in accordance with one or a combination of the
alternatives in paragraphs (c), (d), and (e) of this section, as
follows: The alternative in paragraph (c) may always be used by
recipients and must be used if neither of the other two alternatives is
permitted by the provisions of the grant award. The alternatives in
paragraph (d) or (e) of
[[Page 63]]
this section may be used only if expressly permitted by the provisions
of the grant award. In specifying alternatives that may be used, the
provisions of the grant award may distinguish between income earned by
the recipient and income earned by subrecipients and between the
sources, kinds, or amounts of income.
(2) The provisions of a subgrant award may restrict the use of
general program income earned by the subrecipient to only one or some of
the alternatives permitted by the provisions of the grant, but the
alternative in paragraph (c) of this section shall always be permitted.
(c) Deduction alternative. (1) Under this alternative, the income is
used for allowable costs of the project or program. If there is a cost-
sharing or matching requirement, costs supported by the income may not
count toward satisfying that requirement. Therefore, the maximum
percentage of Federal cost-sharing is applied to the net amount
determined by deducting the income from total allowable costs and third
party in-kind contributions. The income shall be used for current costs
unless the awarding agency authorizes the income to be used in a later
period.
(2) To illustrate this alternative, assume a project in which the
recipient incurs $100,000 of allowable costs and receives no third party
in-kind contributions. If the recipient earns $10,000 in general program
income and this alternative applies, that $10,000 must be deducted from
the $100,000 before applying the maximum percentage of Federal cost-
sharing. If that percentage is 90 percent, the most that could be paid
to the recipient would therefore be $81,000 (90 percent times $90,000).
(d) Cost-sharing or matching alternative. (1) Under this
alternative, the income is used for allowable costs of the project or
program but, in this case, the costs supported by the income may count
toward satisfying a cost-sharing or matching requirement. Therefore, the
maximum percentage of Federal cost-sharing is applied to total allowable
costs and third party in-kind contributions. The income shall be used
for current costs unless the awarding agency authorizes its use in a
later period.
(2) To illustrate this alternative, assume the same situation as in
paragraph (c)(2) of this section. Under this alternative, the 90 percent
maximum percentage of Federal cost-sharing would be applied to the full
$100,000, and $90,000 could therefore be paid to the recipient.
(e) Additional costs alternative. Under this alternative, the income
is used for costs which are in addition to the allowable costs of the
project or program but which nevertheless further the objectives of the
Federal statute under which the grant was made. Provided that the costs
supported by the income further the broad objectives of that statute,
they need not be of a kind that would be permissible as charges to
Federal funds. Examples of purposes for which the income may be used
are:
(1) Expanding the project or program.
(2) Continuing the project or program after grant or subgrant
support ends.
(3) Supporting other projects or programs that further the broad
objectives of the statute.
(4) Obtaining equipment or other assets needed for the project or
program or for other activities that further the statute's objectives.
Sec. 3015.42 Proceeds from sale of real property and from sale of equipment and supplies acquired for use.
The following kinds of program income shall be governed by Subpart R
of this part:
(a) Proceeds from the sale of real property purchased or constructed
under a grant or subgrant.
(b) Proceeds from the sale of equipment and supplies created or
purchased under a grant or subgrant and intended primarily for use in
the grant or subgrant-supported project or program rather than for sale
or rental.
Sec. 3015.43 Royalties and other income earned from a copyrighted work.
(a) This section applies to royalties, license fees, and other
income earned by a recipient from a copyrighted work developed under the
grant or subgrant. Income of that kind is covered by this
[[Page 64]]
section whether a third party or the recipient acts as the publisher,
seller, exhibitor, or performer of the copyrighted work. In some cases
the recipient incurs costs to earn the income but does not charge these
costs to USDA grant funds, to required cost-sharing or matching funds,
or to other program income. Costs of that kind may be deducted from the
gross income in order to determine how much must be treated as program
income.
(b) The provisions of the grant award govern the disposition of
income subject to this section. If the provisions of the grant award do
not treat this kind of income, there are no USDA requirements governing
its disposition. A recipient is not prohibited from imposing
requirements of its own on the disposition of this kind of income which
is earned by its subrecipients provided those requirements are in
addition to, and not inconsistent with, any requirements imposed by the
provisions of the grant award.
Sec. 3015.44 Royalties or equivalent income earned from patents or from inventions.
Disposition of royalties or equivalent income earned on patents or
inventions arising out of activities assisted by a grant or subgrant
shall be governed by the provisions of the grant or subgrant agreement.
If the agreement does not provide for the disposition of the royalties
or equivalent income, the disposition shall be in accordance with the
recipient's own policies.
Sec. 3015.45 Other program income.
(a) This section applies to program income not treated elsewhere in
this part which subsequently results from an activity supported by a
grant or subgrant but which does not accrue until after the period of
grant or subgrant support. An example is proceeds from the sale or
rental of a residual inventory of merchandise created or purchased by a
grant-supported workshop during the period of support.
(b) The provisions of the grant award govern the disposition of
income subject to this section. If the provisions do not treat this kind
of income, there are no USDA requirements governing its disposition. A
recipient may impose requirements of its own on the disposition of this
kind of income which is earned by its subrecipients provided those
requirements are in addition to and not inconsistent with any
requirements imposed by the provisions of the grant award.
Sec. 3015.46 Interest earned on advances of grant funds.
(a) Except when exempted by Federal statute (see paragraph (b) of
this section for the principal exemption), recipients shall remit to the
Federal government any interest or other investment income earned on
advances of USDA grant funds. This includes any interest or investment
income earned by subrecipients and cost-type contractors on advances to
them that result from advances of USDA grant funds to the recipient.
Unless the recipient receives other instructions from the responsible
USDA awarding agency, the recipient shall remit the amount due by check
or money order payable to the awarding agency. This requirement may not
be administratively waived.
(b) In accordance with the Intergovernmental Cooperation Act of 1968
(42 U.S.C. 4213), States, as defined in the Act, shall not be
accountable to the Federal government for interest or investment income
earned by the State itself, or by its subrecipents, where this income is
attributable to grants-in-aid, as defined in the Act.1
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1 ``State'' is defined in the Act to include any agency or
instrumentality of a State, and the definition does not exclude a
hospital or institution of higher education which is such an agency or
instrumentality. ``Grant-in-aid'' is defined in the Act to exclude
payments under research and development contracts or grants which are
awarded directly and on similar terms to all qualifying organizations,
whether public or private. (42 U.S.C. 4201)
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(c) Recipients are cautioned that they are subject to the provisions
of Subpart L for minimizing the time between the transfer of advances
and their disbursement. Those provisions apply even if there is no
accountability to the Federal government for interest or other
investment income earned on the advances.
[[Page 65]]
Subpart G--Cost-Sharing or Matching
Sec. 3015.50 Scope.
This subpart contains rules reflecting Federal requirements for
cost-sharing or matching. These rules apply whether cost-sharing or
matching is required by Federal statute, awarding agency regulations, or
by other provisions established by the specific grant agreement.
Sec. 3015.51 Acceptable contributions and costs.
A cost-sharing or a matching requirement may be satisfied after
qualifications and exceptions are met in Sec. 3015.52 and by satisfying
either or both of the following:
(a) Allowable costs incurred by the recipient or by any subrecipient
under the grant or subgrant. This includes allowable costs supported by
non-Federal grants or by cash donations from non-Federal third parties.
Allowable costs shall be determined in accordance with the cost
principles set forth in Subpart T.
(b) The value of third party in-kind contributions applicable to the
same period when a cost-sharing or matching requirement applies.
Sec. 3015.52 Qualifications and exceptions.
(a) Costs supported by other Federal grants. (1) A cost-sharing or a
matching requirement shall not be met by costs supported by another
Federal grant, except as provided by Federal statute. This exception
however, does not apply to costs supported by general program income
earned from a contract awarded under another Federal grant.
(2) For the purpose of this part, funds provided under General or
Countercyclical Revenue Sharing Programs (31 U.S.C. 1221 et seq. and 42
U.S.C. 6721 et seq.) are not considered Federal grants. Therefore,
allowable costs supported by these funds may be used to satisfy a cost-
sharing or a matching requirement.
(b) Costs or contributions applied towards other Federal cost-
sharing requirements. Recipient costs or the value of third party in-
kind contributions shall not count towards satisfying a cost-sharing or
matching requirement of a USDA grant if they are or will be counted
towards satisfying a cost-sharing or matching requirement of another
Federal grant, a Federal procurement contract, or any other award of
Federal funds.
(c) Costs financed by general program income. Costs financed by
general program income as defined in Appendix A shall not count towards
satisfying a cost-sharing or matching requirement of a USDA grant
supporting the activity unless the provisions of the grant award
expressly permit the income to be used for cost-sharing or matching
purposes. (This is the alternative for use of general program income
described in Sec. 3015.41).
(d) Services or property financed by income earned by contractors.
Contractors under a grant or subgrant may earn income from the
activities carried out under the contract in addition to the amounts
earned from the party awarding the contract. No costs of services or
property supported by this income may count toward satisfying a cost-
sharing or matching requirement unless other provisions of the grant
award expressly permit this kind of income to be used to meet the
requirement.
(e) Records. In order to count cost and third party in-kind
contributions towards satisfying a cost-sharing or a matching
requirement, there must be verification and accurate documentation from
the records of recipients or cost-type contractors. These records shall
show how the value placed on third party in-kind contributions was
decided. Special standards and procedures for calculating these
contributions are discussed in paragraph (f) of this section. Volunteer
services, to the extent possible, shall be supported by the same pay
procedures and rates employed by the organization when paying for
similar work performed by its personnel.
(f) Special standards for third party in-kind contributions--(1)
Contributions to recipients or cost-type contractors. A third party in-
kind contribution to a recipient or cost-type contractor may count
towards satisfying a cost-sharing or matching requirement only where, if
the recipient or cost-type contractor
[[Page 66]]
were to pay for it, the payment would be an allowable cost.
(2) Contributions to fixed-price contractors. A third party in-kind
contribution to a fixed-price contractor may count towards satisfying a
cost-sharing or matching requirement only if it results in:
(i) An increase in the services or property provided under the
contract (without additional cost to the recipient or subrecipient), or
(ii) A cost savings to the recipient or subrecipient.
Sec. 3015.53 Valuation of donated services.
(a) Volunteer services. Unpaid services provided to a recipient by
an individual shall be valued at rates consistent with the rates
normally paid for similar work in the recipient organization. If there
is no similar work in the recipient organization, the rate of pay for
volunteer services should be consistent with those regular rates paid
for similar work in the same labor market. In either case, a reasonable
amount for fringe benefits may be included in the valuation.
(b) Employees of other organizations. When an employer, other than a
recipient or cost-type contractor, furnishes the services of an employee
without cost to perform the employee's normal line of work, the services
shall be valued at the employee's regular rate of pay, exclusive of the
employer's fringe benefits and overhead cost. If the services are in a
different line of work, paragraph (a) of this section shall apply.
Sec. 3015.54 Valuation of donated supplies and loaned equipment or space.
(a) If a third party donates supplies, the contributions shall not
exceed the cost of the supplies to the donor or the market value of the
supplies, at the time of the donation, whichever is less.
(b) If a third party donates the use of equipment or space in a
building but retains the title, the contribution shall be valued at the
fair rental rate of the equipment or space.
Sec. 3015.55 Valuation of donated equipment, buildings, and land.
When a third party donates equipment, buildings or land, and the
title is given to the recipient, the treatment of this donated property
shall depend upon the purpose of the grant or subgrant as follows:
(a) Awards for capital expenditures. If the purpose of the grant or
subgrant is to assist the recipient in acquiring property, such as
equipment, buildings, and land, then the market value of that property
at the time of donation may be counted as cost-sharing or matching.
(b) Other awards. If the nature of the grant or subgrant is not for
the purpose of acquiring property, the following rules shall apply:
(1) If approval is obtained from the awarding agency, the market
value at the time of donation of the equipment or buildings and the fair
rental rate of the donated land may be counted as cost-sharing or
matching. In the case of a subgrant, the provisions of the USDA grant
should require that the approval be obtained from the awarding agency as
well as the recipient. In all cases, the approval may be given only if a
purchase of the equipment or rental of the land would be approved as an
allowable direct cost.
(2) If approval is not obtained under paragraph (b)(1) of this
section, no amount shall be counted for donated land. Instead, only
depreciation or use allowances may be counted for donated equipment and
buildings and treated as costs incurred by the recipient. They are
computed and allocated (usually as indirect costs) in accordance with
the cost principles specified in Subpart T of this part. They will thus
be handled in the same way as depreciation or use allowances for
purchased equipment and buildings. The amount of depreciation or use
allowances for donated equipment and buildings is based on the
property's market value at the time it was donated.
Sec. 3015.56 Appraisal of real property.
In some cases, it will be necessary to establish the market value of
land or a building or the fair rental rate of land or of space in a
building. In these cases, the awarding agency must require that
[[Page 67]]
the market value or fair rental rate be set by an independent appraiser
(or by a representative of the U.S. General Services Administration, if
available) and that the value or rate be certified by a responsible
official of the party to which the property or its use is donated. This
requirement must also be imposed by the recipient on subgrants.
Subpart H--Standards for Financial Management Systems
Sec. 3015.60 Scope.
This subpart contains standards for financial management systems of
recipients. No additional financial management standards or requirements
shall be imposed by awarding agencies. Awarding agencies will, however,
provide recipients with suggestions and assistance on establishing or
improving financial management systems when such assistance is needed or
requested.
Sec. 3015.61 Financial management standards.
The following standards shall be met by recipients and subrecipients
in managing their financial management system.
(a) Financial reporting. Complete, accurate, and current disclosure
of the financial results of each USDA sponsored project or program shall
be made in accordance with the financial reporting requirements set
forth in the grant or subgrant. When a USDA awarding agency requires
reporting on an accrual basis, the recipient shall not be required to
establish an accrual accounting system, but shall develop such accrual
data for its reports on the basis of an analysis of the documentation on
hand.
(b) Accounting records. The source and application of funds shall be
readily identified by the continuous maintenance of updated records.
Records, as such, shall contain information pertaining to grant or
subgrant awards, authorizations, obligations, unobligated balances,
assets, outlays, and income. When the recipient is a governmental
entity, the records shall also contain liabilities.
(c) Internal control. Effective control over and accountability for
all USDA grant or subgrant funds, real and personal property assets
shall be maintained. Recipients shall adequately safeguard all such
property and shall ensure that it is used solely for authorized
purposes. In cases where projects are not 100 percent Federally funded,
recipients must have effective internal controls to assure that
expenditures financed with Federal funds are properly chargeable to the
grant supported project.
(d) Budgetary control. The actual and budgeted amounts for each
grant or subgrant shall be compared. If appropriate, or required by the
awarding agency, financial information shall be related to performance
and unit cost data. When unit cost data is required, estimates based on
available documentation may be accepted whenever possible.
(e) Advance payments. There shall be specific procedures established
to minimize the time elapsing between the advance of Federal grant or
subgrant funds and their subsequent disbursement by the recipient. When
advances are made by a letter of credit method, the recipients shall
make drawdowns as close as possible to the time of making the
disbursements. This same procedure shall be followed by recipients who
advance cash to subrecipients to ensure that timely fiscal transactions
and reporting requirements are conducted.
(f) Allowable costs. Established procedures shall be used for
determining the reasonableness, allowability, and allocability of costs
in accordance with the cost principles prescribed by Subpart T of this
part and the provisions of the grant award.
(g) Source documentation. Accounting records shall be supported by
source documentation. These documentations include, but are not limited
to, cancelled checks, paid bills, payrolls, contract and subgrant award
documents.
(h) Audit resolution. A systematic method shall be employed by each
recipient to assure timely and appropriate resolution of audit findings
and recommendations.
[[Page 68]]
Subpart I [Reserved]
Subpart J--Financial Reporting Requirements
Sec. 3015.80 Scope and applicability.
(a) This subpart prescribes requirements and forms for recipients to
report financial information to USDA and to request grant payments when
a letter of credit is not used.
(b) This subpart need not be applied by recipients in dealing with
their subrecipients. Recipients are encouraged not to impose on
subrecipients more burdensome requirements than USDA imposes on them.
Sec. 3015.81 General.
(a) Except as provided in paragraphs (d) and (e) of this section,
recipients shall use only the forms specified in Secs. 3015.82 through
3015.85, and such other forms as may be authorized by OMB for:
(1) Submitting grant financial reports to awarding agencies, or
(2) Requesting grant payments when letters of credit or automatic
prescheduled Treasury check advances are not used.
(b) Recipients shall follow all applicable standard instructions
issued by OMB for use in connection with the forms specified in
Secs. 3015.82 through 3015.85. Awarding agencies may not issue
substantive supplementary instructions that are inconsistent with this
subpart or impose additional requirements on recipients without the
approval of O&F and OMB. However, awarding agencies may shade out or
instruct the recipient to disregard any line item that the awarding
agency finds unnecessary for its decision-making purposes.
(c) Recipients shall not be required to submit more than one
original and two copies of the forms required under this subpart.
(d) Awarding agencies may provide computer outputs to recipients to
expedite or contribute to the accuracy of reporting. Awarding agencies
may accept the required information from recipients in machine readable
form or computer printouts instead of prescribed formats.
(e) When an awarding agency determines that a recipient's accounting
system does not meet the standards for financial management systems
contained in Subpart H of this part, it may require more frequent
financial reports or more detail (or both) upon written notice to the
recipient (without regard to Sec. 3015.4) until such time as the
standards are met.
(f) Awarding agencies may waive any report required by this subpart,
if not needed.
(g) Awarding agencies may extend the due date for any financial
report upon receiving a justified request from the recipient. The
recipient should not wait until the due date if an extension is to be
requested, but should submit the request as soon as the need becomes
known. Failure by a recipient to submit a report by its due date may
result in severe enforcement actions by USDA. These may include
withholding of further grant payments, suspension or termination of the
grant, etc. Therefore recipients are urged to submit reports on time.
Sec. 3015.82 Financial status report.
(a) Form. Recipients shall use Standard Form 269, Financial Status
Report, to report the status of funds for all nonconstruction projects
or programs.
(b) Accounting basis. Unless specified in the provisions of the
grant or subgrant each recipient shall report program outlays and
program income on the same accounting basis, i.e., cash or accrual,
which it uses in its accounting system.
(c) Frequency. The awarding agency may prescribe the frequency of
the report for each project or program. However, the report shall not be
required more frequently than quarterly except as provided in
Secs. 3015.4, 3015.81(e), or by statute. If the awarding agency does not
specify the frequency of the report, it shall be submitted annually.
Upon expiration or termination of the grant or cooperative agreement, if
a period of time remains not covered by a periodic report (i.e., a
quarterly, semi-annual or annual report), a final report shall be
required.
(d) Due date. When reports are required on a quarterly or semiannual
basis, they shall be due 30 days after
[[Page 69]]
the reporting period. When required on an annual basis, they shall be
due 90 days after the end of the grant or agreement period. In addition,
final reports as defined in Sec. 3015.82(c) shall be due 90 days after
the expiration or termination of grant or agreement support, except in
those instances where an extension has been granted.
(e) Final reports. (1) Final reports (i.e., the last report
submitted) must not show any unpaid obligations.
(2) If the recipient will still have unpaid obligations when the
final report is due, the recipient shall submit a provisional final
report (showing the unpaid obligations) by the due date, and a true
final report when all obligations have been paid. When submitting a
provisional final report, the recipient shall tell the awarding agency
when it expects to submit a true final report.
(3) As provided in Sec. 3015.81(f), awarding agencies may waive
provisional final reports.
Sec. 3015.83 Federal cash transactions report.
(a) Form. (1) For grants or cooperative agreements paid by letters
of credit (or Treasury check advances) through any USDA payment office,
the recipient shall submit to USDA a Standard Form 272, Federal Cash
Transactions Report, and, when necessary, its continuation sheet, SF-
272a. Recipients under the Regional Disbursing Office (RDO) system shall
not be required to submit a SF-272. For these recipients, awarding
agencies shall use information contained in the Request for Payment to
monitor recipient cash balances and to get disbursement information.
(2) The SF-272 will be used by USDA to monitor cash advanced to
recipients and to obtain disbursement or outlay information from
recipients for each grant or cooperative agreement. The format of the
report may be adapted, as appropriate, when reporting is to be
accomplished with the assistance of automatic data processing equipment,
provided that the identical information is submitted.
(b) Forecasts of Federal cash requirements. Awarding agencies may
require that forecasts of Federal cash requirements be provided in the
``Remarks'' section of the report.
(c) Cash in hands of subrecipients or contractors. When considered
necessary and feasible by the responsible USDA awarding agency,
recipients may be required to:
(1) Show in the ``Remarks'' section of the report the amount of cash
advances exceeding three days needs in the hands of their subrecipients
or contractors, and
(2) Provide short narrative explanations or actions taken by the
recipient to reduce such excess balances.
(d) Frequency and due date. Recipients shall submit the report no
later than 15 working days following the end of each quarter. However,
the USDA payment office may require recipients receiving advances of one
million dollars or more per year to submit a report within 15 working
days following the end of each month. Awarding agencies may waive the
requirement for submission of the SF-272 when monthly advances do not
exceed $10,000 per recipient, provided that such advances are monitored
through other forms contained in this subpart, or if, in the awarding
agency's opinion, the recipient's accounting controls are adequate to
minimize excessive Federal advances.
Sec. 3015.84 Request for advance or reimbursement.
(a) Advance payments. Recipients of nonconstruction grants or
cooperative agreements shall request Treasury check advance payments on
Standard Form 270, Request for Advance or Reimbursement. This form is
not used for letter of credit drawdowns or predetermined automatic
advance payments.
(b) Reimbursements. Recipients of nonconstruction grants or
cooperative agreements shall request reimbursement on Standard Form 270,
Request for Advance or Reimbursement (for reimbursement request under
construction grants or cooperative agreements, see Sec. 3015.85).
(c) The frequency for submitting payment requests on SF-270 is
treated in Sec. 3015.104.
[[Page 70]]
Sec. 3015.85 Outlay report and request for reimbursement for construction programs.
(a) Construction grants paid by reimbursement method. (1) Requests
for reimbursement under construction grants shall be submitted on
Standard Form 271, Outlay Report and Request for Reimbursement for
Construction Programs. Awarding agencies may, however, prescribe the
Request for Advance or Reimbursement form specified in Sec. 3015.84
instead of this form.
(2) The frequency for submitting reimbursement requests is treated
in Sec. 3015.104.
(b) Construction grants paid by letter of credit or Treasury check
advance. (1) When a construction grant or a cooperative agreement is
paid by letter of credit or Treasury check advances, the recipient shall
report its outlays to the awarding agency using Standard Form 271,
Outlay Report and Request for Reimbursement for Construction Programs.
The awarding agency will provide any necessary special instructions.
However, frequency and due date shall be governed by Sec. 3015.82 (c)
and (d).
(2) When a construction grant or cooperative agreement is paid by
Treasury check advances based on periodic requests from the recipient,
the advances shall be requested on the form specified in Sec. 3015.84.
(3) The awarding agency may substitute the Financial Status Report
specified in Sec. 3015.82 for the Outlay Report and Request for
Reimbursement.
(c) Accounting basis. The accounting basis for the Outlay Report and
Request for Reimbursement for Construction Programs shall be governed by
Sec. 3015.82(b).
Subpart K--Monitoring and Reporting Program Performance
Sec. 3015.90 Scope.
This subpart establishes procedures for monitoring and reporting
program performance of recipients. These procedures place responsibility
on recipients to manage the day-to-day operations of their grant and
subgrant supported activities.
Sec. 3015.91 Monitoring by recipients.
Recipients shall monitor the performance of grant and subgrant-
supported activities to assure that performance goals are being
achieved. Recipient monitoring shall cover each program, function, or
activity.
Sec. 3015.92 Performance reports.
(a) Nonconstruction. The awarding agency shall, if it decides that
performance information available from subsequent applications contains
sufficient information to meet its programmatic needs, require the
recipient to submit a performance report only upon expiration or
termination of grant support. Unless waived by the awarding agency this
report will be due on the same date as the final Financial Status Report
(as provided in Sec. 3015.82 (d) and (e)).
(1) Recipients shall submit annual peformance reports unless the
awarding agency requires quarterly or semi-annual reports or unless
covered under paragraph (a) of this section. Annual reports shall be due
90 days after the grant year; quarterly or semi-annual reports shall be
due 30 days after the reporting period. The final performance report
shall be due 90 days after the expiration or termination of grant
support. If a justified request is submitted by a recipient, the
awarding agency may extend the due date for any performance report.
Additionally, requirements for unnecessary performance reports may be
waived by the awarding agency.
(2) Performance reports shall contain, for each grant, brief
information on the following:
(i) A comparison of actual accomplishments to the goals established
for the period. Where the output of the project can be readily expressed
in numbers, a computation of the cost per unit of output may be required
if that information will be useful.
(ii) The reasons for slippage if established goals were not met.
(iii) Additional pertinent information including, when appropriate,
analysis and explanation of cost overruns or high unit costs.
(3) Recipients shall not be required to submit more than the
original and two copies of performance reports.
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(4) Recipients shall adhere to the standards in paragraph (a) of
this section in prescribing performance reporting requirements for
subrecipients.
(b) Construction. For the most part, on-site technical inspections
and certified percentage-of-completion data are relied on heavily by
awarding agencies to monitor progress under construction grants and
subgrants. The awarding agency shall require additional formal
performance reports only when considered necessary, and never more
frequently than quarterly.
Sec. 3015.93 Significant developments.
Events may occur between the scheduled performance reporting dates
which have significant impact upon the grant or subgrant supported
activity. In such cases, the recipient shall inform the awarding agency
as soon as the following types of conditions become known:
(a) Problems, delays, or adverse conditions which will materially
impair the ability to meet the objective of the award. This disclosure
shall include a statement of the action taken, or contemplated, and any
assistance needed to resolve the situation.
(b) Favorable developments which enable meeting time schedules and
goals sooner or at less cost than anticipated or producing more
beneficial results than originally planned.
Sec. 3015.94 Site visits.
The awarding agency shall make site visits as frequently as
practicable to:
(a) Review program accomplishments and manage control systems.
(b) Provide such technical assistance as may be required.
Sec. 3015.95 Waivers, extensions and enforcement actions.
(a) Reports from recipients. USDA may waive any performance report
required by this subpart if not needed.
(b) Reports from subrecipients. The recipient may waive any
performance report from a subrecipient when not needed. The recipient
may extend the due date for any performance report from a subrecipient
if the recipient will still be able to meet its performance reporting
obligations to the USDA awarding agency.
Subpart L--Payment Requirements
Sec. 3015.100 Scope.
This subpart prescribes the basic standards and methods under which
a USDA awarding agency will make grant payments to recipients, and
recipients will make subgrant payments to their subrecipients.
Sec. 3015.101 General.
Methods and procedures for making payments to recipients shall
minimize the time elapsing between the transfer of funds and the
recipient's disbursements.
Sec. 3015.102 Payment methods.
(a) Non-construction. (1) Letters of credit will be used to pay USDA
recipients when all the following conditions exist:
(i) There is or will be a continuing relationship between the
recipient and the USDA awarding agency for at least a 12 month period
and the total amount of advances to be received within that period from
the awarding agency is $120,000 or more per year.
(ii) The recipient has established or demonstrated to the USDA
awarding agency the willingness and ability to establish procedures that
will minimize the time elapsing between the transfer of funds from the
Treasury and their disbursement by the recipient.
(iii) The recipient's financial management system meets the
standards for fund control and accountability prescribed in Subpart H of
this part.
(2) Advances by Treasury check will be used, in accordance with
Treasury Circular No. 1075, when the recipient does not meet the
requirements in paragraph (a)(1)(i) of this section but does meet the
requirements in paragraphs (a)(1) (ii) and (iii) of this section.
(3) Reimbursement by Treasury check shall be the preferred method
when the recipient does not meet the requirements specified in either
paragraph (a)(1)(ii) or paragraph (a)(1)(iii) of this section. This
method may also be used when USDA financial assistance makes up only a
minor portion of the program and where the major portion of the program
is accomplished
[[Page 72]]
through private financing or Federal loans.
(b) Construction. (1) Reimbursement by Treasury check shall be the
preferred method when the recipient does not meet the requirements
specified in Sec. 3015.102(a)(1) (ii) or (iii), and may be used for any
USDA construction grant unless USDA has entered into an agreement with
the recipient to use a letter of credit for all USDA grants, including
construction grants.
(2) When the reimbursement by Treasury check method is not used,
Sec. 3015.102(a) (1) and (2) shall apply to the construction grants.
Implementing procedures under Sec. 3015.102(a) (1) and (2) will be the
same for construction grants as for nonconstruction grants awarded to
the same recipient, insofar as possible.
(3) USDA awarding agencies will not use the percentage-of-completion
method to pay its construction grants. The recipient may use that method
to pay its construction contractor, but if it does, USDA payments to the
recipient will nevertheless be based on the recipient's actual rate of
disbursements.
Sec. 3015.103 Withholding payments.
(a) Unless otherwise required by Federal statute, payments for
proper charges incurred by recipients will not be withheld at any time
during the grant period unless (1) the recipient has failed to comply
with the program objectives, grant award conditions, or Federal
reporting requirements, or (2) the recipient is indebted to the United
States and collection of the indebtedness will not impair accomplishment
of the objectives of any grant program sponsored by the United States,
or (3) the grant is suspended pursuant to Subpart N of this part.
(b) Payments withheld for failure of a recipient to comply with
reporting requirements, but without suspension of the grant, will be
released to the recipient upon subsequent compliance. When a grant is
suspended, payment adjustments will be made in accordance with Subpart N
of this part. When a debt is to be collected, USDA awarding agencies may
withhold payments or require appropriate accounting adjustments to
recorded cash balances for which the recipient is accountable to the
Federal government, in order to liquidate the indebtedness.
Sec. 3015.104 Requesting advances or reimbursements.
(a) Advances. If advance payments are by Treasury check and are not
prescheduled, the recipient shall submit its payment requests at least
monthly. Less frequent requests are not permitted for they result in
advances covering excessive periods of time. Recipient requests for
advances shall not be made in excess of the Federal share of reasonable
estimates of outlays for the month covered. These estimates shall be
made on a cash basis, even if the recipient uses an accrual accounting
system.
(b) Reimbursements. If payments are made through reimbursement or by
Treasury check:
(1) Requests for reimbursements may be submitted monthly or more
frequently if authorized to do so by the awarding agency. Ordinarily,
payment will be made within 30 days after receipt of a proper request
for reimbursement.
(2) The recipient shall not request reimbursement for the Federal
share of amounts withheld from contractors to ensure satisfactory
completion of work until after it makes those payments.
(c) Forms. The forms for requesting advances or reimbursements are
identified in Subpart J of this part.
Sec. 3015.105 Payments to subrecipients.
Recipients shall observe the requirements of this subpart in making
(or withholding) payments to subrecipients, with the following
exceptions:
(a) Advance payment by Treasury check may be used instead of letter
of credit;
(b) The forms specified in Subpart J of this part for requesting
advances and reimbursements are not required to be used by
subrecipients; and
(c) The reimbursement by check method may be used to pay any
construction subgrant.
[[Page 73]]
Subpart M--Programmatic Changes and Budget Revisions
Sec. 3015.110 Scope and applicability.
(a) Scope. This subpart deals with prior approval requirements for
post-award programmatic changes and budget revisions by recipients.
(b) Exemption of mandatory or formula grants. Sections 3015.113
through 3015.115 do not apply to programmatic changes or budget
revisions made by recipients under State plans or other grants which the
awarding agency is required by law to award if the applicant meets all
applicable requirements for entitlement.
(c) Exemption of certain subgrants. Sections 3015.113 through
3015.115 do not apply to subgrants from States to their local
governments under a mandatory or formula grant, if the local government
is not required to apply for the subgrant on a project basis. Generally,
such exempt subgrants will occur under a State plan which provides for
local administration of a State-wide program under State supervision.
Sec. 3015.111 Cost principles.
(a) The cost principles prescribed by subpart T of this part require
prior approval of certain types of costs. Except when waived, those
prior approval requirements apply to all grants and subgrants, whether
or not Secs. 3015.113 through 3015.115 apply.
(b) Procedures for prior approvals required by the cost principles
are in Sec. 3015.196. Procedures for prior approvals required by this
subpart are in Sec. 3015.112.
Sec. 3015.112 Approval procedures.
(a) For grants or cooperative agreements. When requesting a prior
approval required by this subpart, recipients shall address their
requests to the responsible official of the awarding agency. Approvals
shall not be valid unless they are in writing and signed by either the
responsible officer, the head of the awarding agency, or the head of the
awarding agency's regional office.
(b) For subgrants. Recipients shall be responsible for reviewing
requests from their subrecipients for the approvals required by this
subpart and for giving or denying the approval. A recipient shall not
approve any action which is inconsistent with the purpose or terms of
the Federal grant or cooperative agreement. If an action by a
subrecipient will result in a change in the overall grant project or
budget requiring approval from the awarding agency, the recipient shall
obtain that approval before giving its approval to the subrecipient.
Approvals shall not be valid unless they are in writing and signed by an
authorized official of the recipient organization.
(c) Timing. Within 30 days from the date of receipt of a request for
approval, the approval authority shall review the request and notify the
recipient of its decision. If the request for approval is still under
consideration at the end of 30 days, the approval authority shall inform
the recipient in writing as to when to expect the decision.
Sec. 3015.113 Programmatic changes.
(a) Scope. This section contains requirements for prior approval of
departures, other than budget revisions, from approved project plans. In
addition to the requirements in this section, awarding agencies may
require prior approval for other kinds of programmatic changes to an
approved cooperative agreement, grant, or subgrant project.
(b) Changes to project scope or objectives. The recipient shall
obtain prior approval for any change to the scope or objectives of the
approved project. (For construction projects, any material change in
approved space utilization or functional layout shall be considered a
change in scope).
(c) Changes in key people. This section applies to grants,
subgrants, and cooperative agreements for research. This section does
not apply to other types of grants, subgrants, or cooperative agreements
unless other terms of the award make it apply. The recipient shall
obtain prior approval:
(1) To continue the project during any continuous period of more
than three months without the active direction of an approved project
director or principal investigator;
[[Page 74]]
(2) For its selection of a replacement for the project director of
principal investigator;
(3) For its selection of a replacement for any other persons named
and expressly designated as key project people in the grant, subgrant,
or cooperative agreement award document; or
(4) To permit the project director or principal investigator (or
anyone covered by paragraph (c)(3) of this section) to devote
substantially less effort to the project than was anticipated when the
award was made.
(d) Transferring work and providing financial assistance to others.
Recipients shall obtain prior approval for transferring to another party
the actual performance of the substantive programmatic work, and for
providing any form of financial assistance to another party.
(e) Audiovisual activities. (1) Except to the extent explicitly
included in the project plan approved at the time of award, using grant
support for any of the following requires prior approval:
(i) Producing an audiovisual.
(ii) Buying ownership of any of the rights in the work embodied in
the audiovisual. (This does not apply to merely buying a license in any
of the rights. For the remainder of this section, buying ownership of
the rights is referred to simply as buying or purchasing an
audiovisual).
(iii) Presenting or distributing to the general public an
audiovisual that was produced or bought with grant support.
(2) Prior approval is not required for:
(i) Any audiovisual activity under a subgrant.
(ii) Any audiovisual whose direct production or purchase cost to the
recipient is $5,000 or less.
(iii) The production or purchase of an audiovisual as a research
instrument or for documenting experimentation or findings, if the
audiovisual is not intended for presentation or distribution to the
general public.
(3) Following are examples of presentation or distribution of an
audiovisual to the general public.
(i) Broadcast on commercial, cable, or educational television, or
radio.
(ii) Showing in commercial motion picture theaters.
(iii) Showing in public places such as airports, waiting rooms, bus
or railroad depots, and vacation resorts.
(iv) Showing to civic associations, schools (except when used as a
teaching tool in a classroom setting), clubs, fraternal organizations,
or similar lay groups.
Sec. 3015.114 Budgets--general.
(a) Research and non-research project budgets. For research and non-
research projects which involve cost-sharing or matching, approved
budgets shall ordinarily consist of a single set of figures covering
total project cost (the sum of the awarding agency's share and the
recipient's share). However, the awarding agency may specify that the
recipient's share not be included in the approved budget. In no case,
however, shall the approved budget be in the form of a separate set of
figures for each share.
(b) Subdivision by programmatic segments. Some grants, subgrants,
and cooperative agreements contain two or more programmatic segments
(such as discrete programs, projects, functions, or types of
activities). In these cases, the awarding agency may require that the
approved budget be subdivided to show the anticipated cost of each
programmatic segment.
Sec. 3015.115 Budget revisions.
(a) Nonconstruction projects. (1) Except as provided in paragraph
(a)(2) of this section, the recipient of a grant, subgrant, or
cooperative agreement having an approved budget shall obtain prior
approval for any budget revision which will:
(i) Involve transfer of amounts budgeted for indirect costs to
absorb increases in direct costs, or
(ii) Involve transfer of amounts previously budgeted for training
allowances (direct payments to trainees), or
(iii) Result in a need for the award of additional funds, e.g., an
increase in the base upon which indirect costs are calculated which will
increase allocable indirect costs and result in a claim for a
supplementary award.
(2) Any or all of the prior approval requirements in paragraph (a)
of this section may be waived by the awarding agency.
[[Page 75]]
(3) Except as provided in Sec. 3015.116 other budget changes under
nonconstruction grants do not require approval.
(b) Construction projects. Unless provided otherwise by the terms of
the grant, subgrant, or cooperative agreement, revisions to construction
project budgets do not require approval.
Sec. 3015.116 Construction and nonconstruction work under the same grant, subgrant, or cooperative agreement.
When a grant, subgrant, or cooperative agreement provides support
for both construction and nonconstruction work, the awarding agency may
require prior approval for any fund or budget transfers between the two
types of work.
Subpart N--Grant and Subgrant Closeout, Suspension and Termination
Sec. 3015.120 Closeout.
(a) Each grant or subgrant shall be closed out as soon as possible
after expiration or notice of termination.
(b) The following shall apply when closing out USDA grants:
(1) Upon request from the recipient, any allowable reimbursable cost
not covered by previous payments shall be promptly paid by USDA.
(2) Any unobligated balance of cash advanced to the recipient shall
be immediately refunded to the awarding agency or managed in accordance
with USDA instructions.
(3) Within a maximum period of 90 days following the date of
expiration or termination of a grant, all financial performance and
related reports required by the terms of the agreement shall be
submitted to the awarding agency by the recipient. USDA reserves the
option of extending the due date for any report and may waive any report
that it considers to be unnecessary.
(4) The provisions formally expressed and agreed to within the grant
arrangement shall dictate the settlement of any upward or downward
adjustments of the Federal share of costs.
(c)(1) A grant closeout shall not affect the retention period for,
or Federal rights of access to, grant records. (See Subpart D of this
part).
(2) The closeout of a grant does not affect the recipient's
responsibilities regarding property under Subpart R of this part or with
respect to any program income the recipient is still accountable for
under Subpart F of this part.
(3) Final audits (See Attachment L, Circular A-102 and Attachment K
of Circular A-110) are not a required part of the grant or subgrant
closeout procedures. Normally, a final audit should not be needed unless
there are problems with a grant or subgrant that require audit
attention. If a USDA agency considers a final audit to be necessary, it
shall contact the OIG Region within which the recipient or subrecipient
is located and inform OIG of the situation. OIG shall be responsible for
assuring that necessary final audits are performed and for any necessary
coodination with other Federal cognizant audit agencies, recipients or
State and local auditors. Audits performed in accordance with Subpart I
may serve as final audits providing such audits meet the needs of the
requesting agency.
(4) If a grant is closed out without audit, the awarding agency
reserves the right to disallow and recover an appropriate amount after
fully considering any recommended disallowances resulting from an audit
which may be conducted later.
Sec. 3015.121 Amounts payable to the Federal government.
The following outstanding sums for each grant shall be considered as
a debt or debts owed by the recipient to the Federal government. They
shall, if not paid upon demand, be subject to recovery by the awarding
agency from the recipient or its successor or assignees by set off or
other action provided by law:
(a) Any grant funds paid to the recipient by the Federal government
which exceed the amount the recipient is finally determined to be
entitled to under the provisions of the grant award;
(b) Any interest or other investment income earned on advances of
grant
[[Page 76]]
funds which is due the Federal government;
(c) Any royalties or other special classes of program income which,
under the provisions of the grant award, are required to be returned to
the Federal government;
(d) Any amount the Federal government is entitled to under Subpart R
of this part; and
(e) Under the provisions of the grant award, any other amounts
finally determined to be due to the Federal government.
Sec. 3015.122 Violation of terms.
(a) Whenever it is determined that the recipient has materially
failed to comply with the provisons of the grant award, the awarding
agency may suspend or terminate, in accordance with Secs. 3015.123 and
3015.124, any grant in whole, or in part, at any time before the date of
completion, or take such other remedies as may be legally available and
appropriate.
(b) A grant may be suspended or terminated in the current period for
failure to submit a report still due from a prior period. This action is
applicable when a project or program is supported over two or more
funding periods.
Sec. 3015.123 Suspension.
(a) When a recipient has materially failed to comply with the
provisions prescribed in the grant agreement, the awarding agency may,
after reasonable notice to the recipient, suspend the grant in whole or
in part. A suspension notice shall be issued by the awarding agency
stating the reasons for the suspension, any corrective action required
of the recipient, and the effective date. Suspension may go into effect
immediately if the awarding agency deems it necessary to protect its
interest and if a delayed effective date would be unreasonable
considering the awarding agency's responsibilities to protect the
Federal government's interest. Suspension shall remain in effect until
the recipient has taken corrective action satisfactory to the awarding
agency, or given evidence that such corrective action will be taken, or
until the awarding agency terminates the grant.
(b) Unless specifically authorized by the awarding agency in the
notice of suspension or subsequently expressed in an amendment to it,
new obligations incurred by the recipient during the suspension period
shall not be allowed. Necessary and otherwise allowable costs which the
recipient could not reasonably avoid during the suspension period will
be allowed, if they result from obligations properly incurred by the
recipient before the effective date of the suspension and not in
anticipation of suspension or termination. If the awarding agency
approves, third party in-kind contributions applicable to the suspension
period may be allowed in satisfaction of cost-sharing or matching
requirements.
(c) During the suspension period, appropriate adjustments to
payments under the suspended grant will be made by not giving credit to
the recipient for disbursements made in payment of unauthorized
obligations incurred during the suspension period or by withholding
subsequent payments.
Sec. 3015.124 Termination.
(a) Termination for cause. The awarding agency may terminate any
grant or other agreement in whole, or in part, at any time before the
date of expiration, whenever it is determined that the recipient has
materially failed to comply with the conditions of the agreement. The
awarding agency shall promptly notify the recipient in writing of the
determination and reasons for the termination, together with the
effective date.
(b) Termination by mutual agreement. Except as provided in paragraph
(a) of this section, grants may be terminated in whole, or in part, only
as follows:
(1) When the awarding agency and recipient agree upon the
termination conditions, including the effective date and, in the case of
partial termination, the portion to be terminated.
(2) By written notification by the recipient to the awarding agency
setting forth the reasons for termination, the effective date, and in
the case of partial termination, the portion to be terminated. In the
case of a partial termination, if the awarding agency decides that the
remaining portion of the grant will not accomplish the purposes for
which the grant was made, the awarding agency may terminate the award in
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its entirety under either paragraph (a) or paragraph (b)(1) of this
section.
(c) Termination settlements. Upon termination of a grant, the
recipient shall not incur any new obligations for the terminated portion
of the agreement after the effective date, and shall cancel as many
outstanding obligations as possible. The awarding agency, however, shall
allow full credit to the recipient for the Federal share of the non-
cancellable obligations properly incurred by the recipient prior to
termination.
Sec. 3015.125 Applicability to subgrants.
Recipient subgrants shall be subjected to the same standards
regarding closeout, suspension, and termination of subgrants as
prescribed in this subpart for awarding agencies.
Subparts O-P [Reserved]
Subpart Q--Application for Federal Assistance
Sec. 3015.150 Scope and applicability.
(a) This subpart prescribes forms and instructions to be used by
governmental organizations (except hospitals, non-profit organizations,
and institutions of higher education operated by a government) in
applying to USDA for discretionary grants. This subpart is not
applicable, however, to mandatory or formula grants or programs which do
not require applicants to apply to USDA for funds on a project basis.
(b) This subpart permits awarding agencies to prescribe the form of
applications by nongovernmental organizations (including hospitals, non-
profit organizations and institutions of higher education operated by a
government), but prescribes the use of a standard facesheet for certain
of these applications.
(c) This subpart applies only to applications for grants or
cooperative agreements and is not required to be applied by recipients
in dealing with applicants for subgrants. However, recipients are
encouraged not to adopt more detailed or burdensome application
requirements for subgrants.
(d) This subpart also prescribes standards for competition to be
used by USDA agencies in awarding discretionary cooperative agreements
and grants. (This subpart is not applicable to cooperative agreements
awarded pursuant to the provisions of sections 1472(b) and 1473C of the
National Agricultural Research, Extension and Teaching Policy Act of
1977, as amended.)
[46 FR 55639, Nov. 10, 1981, as amended at 51 FR 17172, May 9, 1986]
Sec. 3015.151 Authorized forms.
(a) Sections 3015.152 through 3015.156 specify the forms that
governmental organizations shall use to apply to USDA for a
discretionary grant.
(b) Governments need not submit more than the original and two
copies of application forms. When less will suffice, the awarding agency
shall notify potential applicants.
(c) When a government agency amends a previously submitted
application or applies for additional funding (such as a continuation or
supplemental award) only the facesheet and any other affected pages are
required to be submitted. Previously submitted pages whose information
is still current may be resubmitted, but are not required to be
resubmitted.
Sec. 3015.152 Preapplication for Federal assistance.
(a) When a government submits a preapplication, it shall use the
Preapplication for Federal Assistance form prescribed by Circular A-102.
The purposes of these preapplications shall be to:
(1) Establish communication between the potential applicant and the
awarding agency;
(2) Determine the potential applicant's eligibility;
(3) Identify projects which have little or no chance for Federal
funding before applicants incur significant costs for preparing an
application.
(b) Preapplication is always required if the potential applicant is
a government and the proposed project (1) is for construction, land
acquisition, or land development, and (2) would require more than
$100,000 of Federal funding. If these conditions are not present,
potential applicants need not submit preapplications unless required to
do so
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by the awarding agency. Any government may submit a preapplication even
when not required.
Sec. 3015.153 Notice of preapplication review action.
Awarding agencies shall inform governmental applicants of the
results of their review of preapplications by using the Notice of
Preapplication Review Action form prescribed by Circular A-102. If the
review cannot be completed within 45 days, the awarding agency shall
inform the applicant, in writing, when it will complete the review.
Sec. 3015.154 Application for Federal assistance (nonconstruction programs).
Governments shall use the Application for Federal Assistance
(Nonconstruction Programs) form prescribed by OMB Circular A-102 in
applying for discretionary grants unless a form specified in
Sec. 3015.155 or Sec. 3015.156 is to be used.
Sec. 3015.155 Application for Federal assistance (construction programs).
Governments shall use the Application for Federal Assistance (for
Construction Programs) form prescribed by Circular A-102 in applying for
any grant whose purpose is solely or primarily construction, land
acquisition, or land development.
Sec. 3015.156 Application for Federal assistance (short form).
Governments shall use the Application for Federal Assistance (Short
Form) form prescribed by Circular A-102 in applying for any single-
purpose, one-time grant of less than $10,000 not requiring Circular A-95
clearinghouse review, an environmental impact statement, or the
relocation of persons, businesses, or farms. Awarding agencies may, at
their discretion, authorize or require this form for applications for
larger amounts.
Sec. 3015.157 Authorized form for nongovernmental organizations.
Nongovernmental organizations shall use application forms prescribed
by the awarding agency. The facesheet of these applications shall be
Standard Form 424.
Sec. 3015.158 Competition in the awarding of discretionary grants and cooperative agreements.
(a) Standards for competition. Except as provided in paragraph (d)
of this section, awarding agencies shall enter into discretionary grants
and cooperative agreements only after competition. An awarding agency's
competitive award process shall adhere to the following standards:
(1) Potential applicants must be invited to submit proposals through
publications such as the Federal Register, professional trade journals,
agency or program handbooks, the Catalog of Federal Domestic Assistance,
or any other appropriate means of solicitation. In so doing, awarding
agencies should consider the broadest dissemination of project
solicitations in order to reach the highest number of potential
applicants.
(2) Proposals are to be evaluated objectively by independent
reviewers in accordance with written criteria set forth by the awarding
agency. Reviewers should make written comments, as appropriate, on each
application. Independent reviewers may be from the private sector,
another agency, or within the awarding agency, as long as they do not
include anyone who has approval authority for the applications being
reviewed or anyone who might appear to have a conflict of interest in
the role of reviewer of applications. A conflict of interest might arise
when the reviewer or the reviewer's immediate family members have been
associated with the applicant or applicant organization within the past
two years as an owner, partner, officer, director, employee, or
consultant; has any financial interest in the applicant or applicant
organization; or is negotiating for, or has any arrangement, concerning
prospective employment.
(3) An unsolicited application, which is not unique and innovative,
shall be competed under the project solicitation it comes closest to
fitting. Awarding agency officials will determine the solicitation under
which the application is to be evaluated. When the awarding agency
official decides that
[[Page 79]]
the unsolicited application does not fall under a recent, current, or
planned solicitation, a noncompetitive award may be made, if appropriate
to do so under the criteria of this section. Otherwise, the application
should be returned to the applicant.
(b) Project solicitations. A project solicitation by the awarding
agency shall include or reference the following, as appropriate:
(1) A description of the eligible activities which the awarding
agency proposes to support and the program priorities;
(2) Eligible applicants;
(3) The dates and amounts of funds expected to be available for
awards;
(4) Evaluation criteria and weights, if appropriate, assigned to
each;
(5) Methods for evaluating and ranking applications;
(6) Name and address where proposals should be mailed and submission
deadline(s);
(7) Any required forms and how to obtain them;
(8) Applicable cost principles and administrative requirements;
(9) Type of funding instrument intended to be used (grant or
cooperative agreement); and
(10) The Catalog of Federal Domestic Assistance number and title.
(c) Approval of applications. The final decision to award is at the
discretion of the awarding/approving official in each agency. The
awarding/approving official shall consider the ranking, comments, and
recommendations from the independent review group, and any other
pertinent information before deciding which applications to approve and
their order of approval. Any appeals by applicants regarding the award
decision shall be handled by the awarding agency using existing agency
appeal procedures or good administrative practice and sound business
judgment.
(d) Exceptions. The awarding/approving official may make a
determination in writing that competition is not deemed appropriate for
a particular transaction. Such determination shall be limited to
transactions where it can be adequately justified that a noncompetitive
award is in the best interest of the Government and necessary to the
accomplishment of the goals of the program. Reasons for considering
noncompetitive awards may include, but are not necessarily limited to,
the following:
(1) Nonmonetary awards of property or services;
(2) Awards of less than $75,000;
(3) Awards to fund continuing work already started under a previous
award;
(4) Awards which cannot be delayed due to an emergency or a
substantial danger to health or safety;
(5) Awards when it is impracticable to secure competition; or
(6) Awards to fund unique and innovative unsolicited applications.
[51 FR 17172, May 9, 1986]
Subpart R--Property
Sec. 3015.160 Scope and applicability.
(a) Except as explained in paragraphs (c), (d), and (e) of this
section, this subpart applies to real property, equipment (including
ADP) and supplies whose acquisition is supported by a grant.
(b) Also contained in this subpart are standards covering
inventions, patents, and copyrights arising out of activities supported
by a grant.
(c) This subpart does not apply to:
(1) Property for which only depreciation or use allowances are
charged;
(2) Property donated entirely as a third party in-kind contribution;
or
(3) Equipment or supplies acquired primarily for sale or rental,
rather than for use.
(d) This subpart applies to equipment or supplies acquired by a
contractor under a grant or subgrant only if, by terms of the contract,
title vests in the recipient or subrecipient.
(e) For research grants that are subject to an institutional cost-
sharing agreement, real property, equipment, and supplies shall be
subject to this subpart only if at least some part of the acquisition
cost is supported as a direct cost by Federal grant funds.
Sec. 3015.161 Additional requirements.
Provided they observe the requirements of this subpart, recipients
may follow their own property management
[[Page 80]]
policies and procedures. Unless specifically required by Federal
statutes or Executive Orders, awarding agencies may not impose on
recipients property requirements (including property reporting
requirements) not authorized by this subpart.
Sec. 3015.162 Title to real property, equipment and supplies.
Subject to the obligations and conditions specified in this subpart,
title to real property, equipment, and supplies acquired under a grant
or subgrant shall vest, upon acquisition, in the recipient or
subrecipient, respectively. In certain cases, money due the Federal
government upon disposition of real property may be authorized to be
used for allowable costs rather than paid to USDA. (See Sec. 3015.173.)
Sec. 3015.163 Real property.
Except as stated otherwise by Federal statutes, real property
applicable to this subpart shall be subject to the following
requirements, in addition to any other requirements imposed by the
provisions of the grant award:
(a) Use. The property shall be used for the originally authorized
purpose as long as needed for that purpose. When no longer so needed,
the awarding agency may approve the use of the property for other
purposes. These uses shall be limited to:
(1) Projects or programs supported by other Federal grants or
assistance agreements.
(2) Activities not supported by other Federal grants or assistance
agreements but having purposes consistent with those of the legislation
under which the original grant was made.
(b) Transfer of title. In accordance with paragraph (a) of this
section, approval may be requested from the awarding agency to transfer
title to an eligible third party for continued use for authorized
purposes. If approval is permissible under Federal statutes, and is
given, the terms of the transfer shall provide that the transferee shall
assume all the rights and obligations of the transferor set forth in
this subpart or in other terms of the grant or subgrant.
(c) Disposition. When the real property is no longer to be used as
provided in paragraphs (a) and (b) of this section, the disposition
instructions of the awarding agency shall be followed. Those
instructions will provide for one of the following alternatives:
(1) The property shall be sold and the Federal government shall have
a right to an amount computed by multiplying the Federal share of the
property times the proceeds from sale (after deducting actual and
reasonable selling and fix-up expenses, if any, from the sales
proceeds). Proper sales procedures shall be followed which provide for
competition to the extent practicable and result in the highest possible
return.
(2) The recipient shall have the option either of selling the
property in accordance with paragraph (c)(1) of this section or of
retaining title. If title is retained, the Federal government shall have
a right to an amount computed by multiplying the market value of the
property by the Federal share of the property.
(3) The recipient shall transfer the title to either the Federal
government or an eligible non-Federal party named by the awarding
agency. The recipient shall be entitled to be paid an amount computed by
multiplying the market value of the property by the non-Federal share of
the property. In cases where the property belonged to a subrecipient,
see Sec. 3015.172 for the subrecipient's share.
Sec. 3015.164 Statutory exemptions for equipment and supplies.
(a) In certain circumstances some Federal statutes permit title to
equipment or supplies acquired with grant funds to vest in the recipient
without further obligation to the Federal government or on such terms
and conditions set forth in the grant award, as deemed appropriate. The
Federal Grant and Cooperative Agreement Act of 1977, Pub. L. 95-224, is
an example of such a statute. It provides this authority for equipment
and supplies purchased with the funds of grants (and Federal contracts
and cooperative agreements) for the conduct of basic or applied
scientific research at non-profit institutions of higher education or at
non-profit organizations whose primary purpose is the conduct of
scientific research.
[[Page 81]]
(b) If equipment is subject to a statute of the kind described in
paragraph (a) of this section, it shall be exempt from the requirements
in the remaining sections of this subpart. However, when an equipment
item has a unit acquisition cost of $1,000 or more, it shall be subject
to Sec. 3015.165 concerning rights to require transfer, and, while
subject to such a right, to the rules on replacement in Sec. 3015.167.
(c) If supplies are subject to a statute of the kind described in
paragraph (a) of this section, they shall be exempt from all provisions
of the remainder of this subpart which would otherwise apply.
Sec. 3015.165 Rights to require transfer of equipment.
(a) USDA right. The awarding agency shall have the right to require
the transfer of equipment (including title) for items of equipment
having a unit cost of $1,000 or more to the Federal government or to an
eligible non-Federal party named by the awarding agency. Normally, USDA
agencies will only exercise this right if the project or program for
which the equipment was acquired is transferred from one recipient to
another. The following conditions shall govern this right:
(1) The property shall be appropriately identified in the grant
award.
(2) In order for the awarding agency to exercise the right,
disposition instructions must be issued no later than 120 days after the
end of USDA grant support for the project or program for which the
equipment was acquired. Furthermore:
(i) If the equipment is eligible for the exemptions in Sec. 3015.164
and ceases to be needed for the project or program for which it was
acquired while the project or program is still being performed by the
recipient, the disposition instructions must have been received by the
recipient while the equipment was still needed for that project or
program.
(ii) If the equipment is not eligible for those exemptions,
disposition instructions must have been received by the recipient before
other permissible disposition of the equipment took place in accordance
with Sec. 3015.168.
(3) If the right is exercised, the recipient shall be entitled to be
paid any reasonable, resulting shipping or storage costs incurred, plus
an amount computed by multiplying the market value of the equipment by
the non-Federal share of the equipment.
(b) Right of parties awarding subgrants. A recipient may reserve for
itself, when awarding a subgrant, rights similar to those found in
paragraph (a) of this section which covers items of equipment having a
unit acquisition cost of $1,000 or more which are acquired under that
subgrant. Without the approval of the awarding agency, the right may be
exercised only if the project or program for which the equipment was
acquired is transferred to another subrecipient and only for the purpose
of transferring the equipment to the new subrecipient for continued use
in the project or program.
(c) Equipment lists. If at any time an awarding agency is
considering exercising its right to require transfer of equipment, it
may require the recipient to furnish it with a list of all items of
equipment that are subject to the right. As such, the awarding agency
will decide which items, if any, should be transferred.
Sec. 3015.166 Use of equipment.
(a) Basic rule. Whenever the equipment is not transferred under the
provisions set forth in Sec. 3015.165, it shall be used by the recipient
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. When the equipment is no longer needed for the original
project or program the recipient shall use the equipment, if needed, in
other projects or programs currently or previously funded by the Federal
government, in the following order of priority:
(1) Projects or programs currently or previously funded by the same
USDA awarding agency.
(2) Projects or programs currently or previously funded by any USDA
awarding agency.
(3) Projects or programs currently or previously funded by other
Federal agencies.
[[Page 82]]
(b) Shared use. When equipment is used less than full time in the
original project or program, the recipient shall make it available for
use in other projects or programs currently or previously funded by the
Federal government. Provided, such other use will not interfere with the
work on the original project or program. First preference for such use,
however, shall be given to other projects or programs funded by the same
USDA awarding agency.
(c) Use by other recipients. When the recipient can no longer use
the equipment as required by paragraph (a) of this section, it may
voluntarily make the equipment available for use on projects or programs
currently or previously funded by the Federal government which the
recipient is supporting through subgrants or through non-Federal grants.
A subrecipient may also voluntarily make the equipment available for use
in projects or programs currently or previously funded by the Federal
government which are being conducted or supported by the recipient.
(d) Other uses. Unless the awarding agency provides otherwise, while
equipment is being used as described in the preceding paragraphs of this
section, it may also be used part-time for other purposes. The use as
described in the previous paragraphs, however, shall be given priority
over other uses.
Sec. 3015.167 Replacement of equipment.
(a) If needed, equipment may be exchanged for replacement equipment.
Replacement of equipment may be done either through trade-in or through
sale and application of the proceeds to the acquisition cost of
replacement equipment. In either case, the transaction must be one which
a prudent person would make in like circumstances.
(b) If an additional outlay to acquire the replacement equipment is
charged as a direct cost to either Federal funds or required cost-
sharing or matching under a Federal award, the replacement equipment
shall be subject to whatever property requirements or exemptions are
applicable to that award. If the award is a grant from USDA, the full
acquisition cost of the replacement equipment shall determine which
provisions of this subpart apply.
(c) For any replacement not covered by paragraph (b) of this
section, the provisions of this subpart applicable to the equipment
replaced shall carry over to the replacement equipment. None of the
provisions of this subpart shall carry over if (1) the Federal share of
the equipment replaced was 10 percent or less or (2) the product of that
share times the amount received for trade-in or sale is $100 or less.
Sec. 3015.168 Disposal of equipment.
When original or replacement equipment is no longer to be used in
projects or programs currently or previously sponsored by the Federal
government, disposal of the equipment shall be made as follows:
(a) Equipment with a unit acquisition cost of less than $1,000 may
be sold, retained or otherwise disposed of with no further obligation to
the Federal government.
(b) All other equipment may be retained or sold. The Federal
government shall have a right to an amount calculated by multiplying the
current market value or proceeds from sale by the Federal share of the
equipment (see Sec. 3015.172). If part of the Federal share of the
equipment came from an award under which the exemptions in Sec. 3015.164
were applicable, the amount due shall be reduced pro rata. In any case,
if the equipment is sold, $100 or 10 percent of the total sales
proceeds, whichever is greater, may be deducted and retained from the
amount otherwise due for selling and handling expenses. If the
recipient's project or program for which or under which the equipment
was acquired is still receiving grant support from the same Federal
program and if the awarding agency approves, the net amount due may be
used for allowable costs of that project or program. Otherwise, the net
amount must be returned to the awarding agency by check or money order.
Sec. 3015.169 Equipment management requirements.
Recipient procedures for managing equipment shall, as a minimum,
meet the following requirements (including
[[Page 83]]
replacement equipment) until such actions as transfer, replacement or
disposal takes place:
(a) Property records shall be maintained accurately. (Subpart D of
this part contains retention and access requirements for these records.)
The records shall include for each item of equipment the following:
(1) A description of the equipment including manufacturer's serial
numbers.
(2) An identification number, such as the manufacturer's serial
number.
(3) Identification of the grant under which the recipient acquired
the equipment.
(4) The information needed to calculate the Federal share of the
equipment (see Sec. 3015.172).
(5) Acquisition date and unit acquisition cost.
(6) Location, use and condition of the equipment and the date the
information was reported.
(7) All pertinent information on the ultimate transfer, replacement,
or disposal of the equipment.
(b) Every two years, at a minimum, a physical inventory shall be
conducted and the results reconciled with the property records to verify
the existence, current utilization, and continued need for the
equipment. Any discrepancies between quantities determined by the
physical inspection and those shown in the accounting records shall be
investigated to determine the causes of the differences.
(c) In order to insure adequate safeguards to prevent loss, damage
or theft of equipment, a control system shall be used. Any loss, damage
or theft of equipment shall be investigated and fully documented. The
awarding agency may require a report of the circumstances involving the
loss, damage, or theft of equipment.
(d) In order to keep the equipment in good condition, adequate
maintenance procedures shall be implemented.
(e) Where equipment is to be sold and the Federal government is to
have a right to part or all of the proceeds, selling procedures shall be
established which will provide for competition to the extent practicable
and result in the highest possible return.
Sec. 3015.170 Damage, loss, or theft of equipment.
(a) Applicability. This section applies to equipment with a unit
acquisition cost of $1,000 or more that, before disposal (see
Sec. 3015.168), is damaged beyond repair, lost, or stolen.
(b) Recipient at fault--(1) Applicability. This paragraph applies
if:
(i) At the time of the damage, loss, or theft, the recipient does
not have a control system in effect as required by Sec. 3015.169, and
(ii) The damage, loss, or theft is not due to an act of God.
(2) Equipment replaced. If the equipment is replaced, the
replacement is governed by Sec. 3015.167. When that happens, the market
value of the original equipment at the time it was damaged, lost, or
stolen is used instead of the amount received for trade-in or sale.
(3) Equipment not replaced. If the equipment is not replaced, the
Federal government has a right to an amount calculated by multiplying
the Federal share in the equipment by its market value at the time of
damage, loss, or theft. The amount is reduced pro rata if part of the
Federal share of the equipment comes from an award under which the
exemption in Sec. 3015.164 applied.
(4) Other remedies. The provisions in this paragraph (b) are in
addition to other remedies available to the awarding agency if a
recipient acquires equipment with grant support but fails to establish
the control system required by Sec. 3015.169.
(c) Recipient not at fault--(1) Applicability. This paragraph
applies if:
(i) At the time of the damage, loss, or theft, the recipient does
have a control system in effect as required by Sec. 3015.169(c) or
(ii) The damage, loss, or theft is due to an act of God.
(2) Recipient not compensated. If the recipient is not compensated
for the damage, loss, or theft, through insurance or some other means,
there is no obligation to USDA for the equipment.
(3) Recipient compensated. If the recipient is compensated for the
damage, loss, or theft and replaces the equipment, Sec. 3015.167 applies
to the replacement equipment. If the recipient is compensated but does
not replace the
[[Page 84]]
equipment, Sec. 3015.168 applies as though the recipient had sold the
equipment. (All of Sec. 3015.168 applies including the rule permitting
the amount due the Federal government to be reduced by 10 percent of the
proceeds or $100, whichever is greater.) The amount received for trade-
in or sale is considered the lesser of (i) the amount of compensation or
(ii) the market value of the equipment at the time it was damaged, lost,
or stolen.
(d) Waivers. The awarding agency may waive in whole or in part any
provision of this section.
Sec. 3015.171 Unused supplies.
(a) If unused supplies exceeding $1,000 in total aggregate market
value are left over upon termination or expiration of the grant or
subgrant for which they were acquired and the supplies are not needed
for any project or program currently or previously funded by the Federal
government, the grant shall be credited by an amount computed by
multiplying the Federal share of the supplies times the current market
value or, if the supplies are sold, the proceeds from sale. If the
supplies are sold, 10 percent of the proceeds may be deducted and
retained from the credit, for selling and handling expenses.
(b) For possible exemptions from this section, see Sec. 3015.164.
Sec. 3015.172 Federal share of real property, equipment, and supplies.
This subpart contains principles necessary to determine the Federal
(or non-Federal) share of real property, equipment or supplies.
(a) General. (1) Except as explained in the following paragraphs of
this section, the Federal share of the property shall be the same
percentage as the Federal share of the acquiring party's total cost
under the grant during the grant or subgrant year (or other funding
period) to which the acquisition cost of the property was charged. For
this purpose, ``costs under the grant'' means allowable costs which are
either supported by the grant or counted toward satisfying a cost-
sharing or matching requirement of the grant.
(2) If the property is acquired by a subrecipient, the Federal share
of the subrecipient's costs under the grant and hence of the property
shall be calculated by multiplying the Federal share of the recipient's
costs by the latter's share of the subrecipient's costs. (For example,
if the Federal share of the recipient's costs is 50 percent and the
subgrant bears only 50 percent of a subrecipient's costs, then the
Federal share of that subrecipient's costs (and of the property acquired
by that subrecipient) is 25 percent.)
(3) The provisions of some grant awards set different maximum
percentages of Federal financial participation for different categories
of costs. In these cases, for the purposes of this section, the costs in
each category are considered as costs under a separate grant. If two
categories have the same maximum percentage of Federal participation and
costs in one category are permitted to count toward satisfying a cost-
sharing or matching requirement of the other, they are a single category
for the purposes of this rule. Also, all categories with a 100 percent
rate are considered a single category for the purposes of this rule.
(b) Property acquired only partly under a grant. (1) Sometimes only
a part of the acquisition cost of an item of property is supported as a
direct cost by the grant or counted as a direct cost towards a cost-
sharing or matching requirement. Occasionally, the amount paid for the
property is only a part of its value. The remainder is donated as an in-
kind contribution by the party that provided the property.
(2) To determine the Federal share of such property, first calculate
the Federal share of the acquiring party's total costs under the grant
as explained in paragraph (a) of this section. Next multiply that share
by the percentage of the property's acquisition cost (or its market
value, if the item was partly donated) which was supported as a direct
cost by the grant or counted as a direct cost towards a cost-sharing or
matching requirement.
(c) Replacement equipment. To calculate the Federal share of
replacement equipment the following procedures shall be followed:
(1) Step 1: Determine the Federal share (percentage) of the
equipment replaced.
[[Page 85]]
(2) Step 2: Determine the percentage of the replacement equipment's
costs that was covered by the amount received for trade-in or the sale
proceeds from the equipment replaced.
(3) Step 3: Multiply the step 1 percentage by the step 2 percentage.
(4) Step 4: If an additional outlay for the replacement equipment
was charged as a direct cost either to USDA grant funds or to required
cost-sharing or matching funds, calculate the Federal share attributable
to that additional outlay as explained in paragraph (b)(2) of this
section. Add that additional percentage to the step 3 percentage.
Sec. 3015.173 Using or returning the Federal share.
(a) This section applies when, under Sec. 3015.163, 3015.168 or
3015.170, the Federal government has a right to an amount of money upon
disposal or loss, theft, or damage of property.
(b) If the recipient's project or program for which the property was
acquired is still receiving grant support from the same Federal program,
the awarding agency may authorize use of the net money due for allowable
costs of that project or program.
(c) Otherwise, the net amount must be returned to the awarding
agency by check or money order.
Sec. 3015.174 Subrecipient's share.
Where this subpart requires a sharing of the market value or sale
proceeds of property acquired under a subgrant, the non-Federal share
shall be proportionally divided between the recipient and the
subrecipient. The subrecipient shall be entitled to the amount it would
have received or retained if the award to it had been made directly by
the Federal government. The remainder of the non-Federal share shall
belong to the recipient.
Sec. 3015.175 Intangible personal property.
(a) Inventions and Patents. (1) If the recipient is a small business
or nonprofit organization (including universities and other institutions
of higher education), the allocation of rights in inventions produced
under a grant or cooperative agreement shall be determined in accordance
with the provisions of sections 200 through 206 of Pub. L. 96-517 (35
U.S.C. 200-206) and OMB Circular A-124.
(2) For all other recipients, the allocation of rights in inventions
shall be determined in accordance with the ``Government Patent Policy''
(President's Memorandum for Heads of Executive Departments and Agencies,
February 18, 1983) and OMB Circular A-124.
(b) Copyrights--(1) Applicability. This section applies to the
copyright in any original work of authorship prepared with grant
support. Additionally, if ownership of a copyright or of any of the
exclusive rights comprising a copyright are purchased with grant
support, this section applies to the purchased copyright or rights.
(2) Basic rules. (i) USDA reserves a royalty-free, nonexclusive, and
irrevocable license to exercise, and to authorize others to exercise,
the rights for Federal Government purposes. Subject to this license, the
owner is free to exercise, preserve, or transfer all its rights. The
recipient shall ensure that no agreement is entered into for
transferring the rights which would conflict with the nonexclusive
license of USDA.
(ii) One way that USDA may exercise its nonexclusive license is to
authorize exercise of the rights in another project or activity that
receives or has received grant support from the Federal Government.
(iii) A recipient awarding a subgrant is allowed to impose subgrant
terms reserving a nonexclusive license for itself, similar to the one
reserved by this section for USDA, with respect to any copyright or
rights subject to this section that arise under the subgrant.
[48 FR 35875, Aug. 8, 1983]
Subpart S--Procurement
Sec. 3015.180 Scope and applicability.
(a) This subpart contains information for complying with Attachment
0, ``Procurement Standards'', of OMB Circulars A-102 and A-110. Circular
A-102 covers grant and cooperative agreement programs with State and
local governments and Indian Tribal governments. Circular A-110 covers
grant and cooperative agreement programs with
[[Page 86]]
institutions of higher education, hospitals, and other nonprofit
organizations. Copies of both Circulars may be obtained from O&F.
(b) This subpart applies to recipient procurements (by purchase,
rental, or barter) of supplies, equipment, and services (including
construction).
(c) This subpart applies only to procurements that are supported in
whole or in part by a grant or cooperative agreement.
(d) This subpart does not apply to procurements of land, existing
land improvements or structures, or any other existing real property.
(e) The Attachment 0 of Circulars A-102 and A-110 apply to
procurements under subgrants as well as grants.
Sec. 3015.181 Standards of conduct.
(a) Recipients shall maintain a written code or standards of conduct
governing the performance of their officers, employees or agents engaged
in awarding and administering contracts supported by Federal funds:
(1) No employee, officer or agent shall participate in the
selection, award, or administration of contracts using Federal funds
where to his knowledge, such employee, officer or agent or his immediate
family, partners or organizations has a financial interest in, is
negotiating with, or has any arrangements concerning prospective
employment with the proposed contractor.
(2) The recipient's officers, employees or agents shall neither
solicit nor accept gratuities, favors, or anything of monetary value
from contractors or proposed contractors.
(3) Provisions shall be made for disciplinary actions against the
recipient's officers, employees, or agents or by contractors or their
agents violating the standards of conduct.
(b) Awarding agencies may review the written standards of conduct to
determine if they meet the minimum standards of Attachment 0 of OMB
Circulars A-110 and A-102. Recipients will be notified of deficiencies
and make corrective action.
Sec. 3015.182 Open and free competition.
All procurement transactions, regardless of whether by sealed bids
or by negotiation and without regard to dollar value shall be conducted
in a manner that provides maximum open and free competition.
Sec. 3015.183 Access to contractor records.
The Attachment 0 requires recipients to include in specified kinds
of contracts a provision for access to the contractor's records by the
recipient and the Federal government. The following applies to the
provision:
(a) The provision must require the contractor to place the same
provision in any subcontract which would have to have the provision were
it awarded by the recipient.
(b) The provision must require retention of records for three years
after final payment is made under the contract or subcontract and all
pending matters are closed. The provision must also require that, if any
audit, litigation, or other action involving the records is started
before the end of the three year period, the records must be retained
until all issues arising out of the action are resolved or until the end
of the three year period, whichever is later.
(c) In contracts and subcontracts under a subgrant, the provision
must require that access to the records be provided to the recipient as
well as the subrecipient and the Federal government.
Sec. 3015.184 Equal employment opportunity.
(a) The Attachment 0 requires recipients to include in contracts in
excess of $10,000 a provision requiring compliance with Executive Order
11246, concerning equal employment opportunity as amended by Executive
Order 11375, and as supplemented in Department of Labor regulations (41
CFR Chapter 60).
(b) If construction is to be assisted by a grant or subgrant, the
Executive Order and the Department of Labor supplementing regulations
apply, unless an exemption is granted by or under those regulations.
Recipients shall observe all applicable requirements of the Order and
regulations and
[[Page 87]]
include in their nonexempt construction contracts the specific clauses
prescribed by 41 CFR 60-1.4(b) and, if applicable, 41 CFR 60-4.3.