[Federal Register Volume 81, Number 215 (Monday, November 7, 2016)]
[Proposed Rules]
[Pages 78376-78382]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-25700]
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DEPARTMENT OF DEFENSE
Office of the Secretary
2 CFR Part 1122
[DOD-2016-OS-0053]
RIN 0790-AJ48
National Policy Requirements: General Award Terms and Conditions
AGENCY: Office of the Secretary, Department of Defense (DoD).
ACTION: Proposed rule.
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SUMMARY: This notice of proposed rulemaking (NPRM) is the fourth of a
sequence of six NPRM documents in this issue of the Federal Register.
This NPRM proposes to add a new Department of Defense Grant and
Agreement Regulations (DoDGARs) part to establish a consistent way for
DoD Components to organize the portion of their general terms and
conditions covering national policy requirements in areas such as
nondiscrimination, environmental protection, and live organisms. The
new part also provides standard wording of terms and conditions for
national policy requirements that apply generally to DoD programs and
awards.
DATES: To ensure that they can be considered in developing the final
rule, comments must be received at either the Web site or mailing
address indicated below by February 6, 2017.
ADDRESSES: You may submit comments identified by docket number, or by
Regulatory Information Number (RIN) and title, by either of the
following methods:
The Web site: http://www.regulations.gov. Follow the instructions
at that site for submitting comments.
Mail: Department of Defense, Deputy Chief Management Officer,
Directorate for Oversight and Compliance, 4800 Mark Center Drive, ATTN:
Box 24, Alexandria, VA 22350-1700.
Instructions: All submissions received must include the agency name
and docket number or RIN for this Federal Register document. The
general policy for comments and other submissions from the public is to
make the
[[Page 78377]]
submissions available for public viewing on the Internet at http://www.regulations.gov without change (i.e., as they are received,
including any personal identifiers or contact information).
FOR FURTHER INFORMATION CONTACT: Wade Wargo, Basic Research Office,
telephone 571-372-2941.
SUPPLEMENTARY INFORMATION:
I. Executive Summary
A. Purpose of the Regulatory Action
1. The Need for the Regulatory Action and How the Action Meets That
Need
As explained in the Supplementary Information section of the first
of the sequence of NPRMs in this section of this issue of the Federal
Register, these six NPRMS collectively make a major portion of needed
updates to the Department of Defense Grant and Agreement Regulations
(DoDGARs). The purpose of this NPRM, the fourth of the sequence, is to
maximize uniformity of general terms and conditions addressing national
policy requirements within DoD grant and cooperative agreement awards.
Important context for this NPRM is provided by the second NPRM in
this section of this issue of the Federal Register. That second NPRM
proposes a new part 1120 of the DoD Grant and Agreement Regulations to
establish a standard award format for DoD Components' grants and
cooperative agreements. As described in section 1120.4 of that proposed
new part:
The standard award format has three major elements that
are designated as Divisions I through III of the award. The third
division, Division III, contains the general terms and conditions of
the award.
The general terms and conditions in Division III have four
subelements that are designated as Subdivisions A through D.
Subdivision C, the third of the four subelements of Division III, is
comprised of general terms and conditions addressing national policy
requirements.
This NPRM proposes a new part 1122 of the DoDGARs (2 CFR part 1122)
to address the general terms and conditions that the proposed award
format places in Subdivision C of Division III of DoD Components' grant
and cooperative agreement awards. The specific purposes of the proposed
part are to establish: (1) A standard organization for the general
terms and conditions addressing national policy requirements; and (2)
standard wording of terms and conditions for the national policy
requirements that commonly apply to DoD Components' grants and
cooperative agreements.
It should be noted that the proposed part 1122 applies to grant and
cooperative agreement awards to all types of recipient entities. That
scope distinguishes the proposed part 1122 from the seven new parts of
the DoDGARs proposed in the NPRM immediately preceding this one in this
issue of the Federal Register. Those proposed parts address the
organization and content of general terms and conditions for
administrative requirements, which the proposed standard award format
includes in a different subdivision of the general terms and
conditions. However, unlike the proposed part 1122, the seven proposed
parts address administrative requirements only for awards to
institutions of higher education, nonprofit entities, States, local
governments, and Indian tribes, and not for all types of recipients.
2. Legal Authorities for the Regulatory Action
There are two statutory authorities for this NPRM:
10 U.S.C. 113, which establishes the Secretary of Defense
as the head of the Department of Defense; and
5 U.S.C. 301, which authorizes the head of an Executive
department to prescribe regulations for the governance of that
department and the performance of its business.
B. Summary of the Major Provisions of the Regulatory Action
1. Definition of ``National Policy Requirement''
The proposed section 2 CFR 1122.2 provides a definition of
``national policy requirement'' to help DoD Components distinguish the
requirements that are to be addressed in Subdivision C of the general
terms and conditions from those to be addressed in the subdivisions
with administrative or programmatic requirements.
2. Organization of National Policy Requirements Into Articles
The proposed section 2 CFR 1122.105 lists the four articles into
which DoD Components are to organize their general terms and conditions
addressing national policy requirements. It also explains how part 1122
is organized, with an appendix for each of the four articles to provide
standard wording of general terms and conditions addressing commonly
applicable national policy requirements.
3. Prescriptive Wording for DoD Components
The proposed sections 2 CFR 1122.115 and 1122.120 provide direction
to DoD Components on inclusion of applicable requirements in the four
articles of national policy requirements. The proposed prescriptive
wording requires DoD Components to use the standard wording of terms
and conditions provided in the appendices to 2 CFR part 1122 unless a
statute or regulation authorized alternate wording.
4. Flowdown to Subrecipients
The proposed wording of terms and conditions in 2 CFR part 1122
does not establish a requirement for recipients to flow down national
policy requirements to lower-tier subrecipients. For DoD Component
awards to institutions of higher education, nonprofit organizations,
States, local governments, and Indian tribes, that requirement is
addressed in a proposed new 2 CFR part 1138. Part 1138 provides a
standard organization and wording for general terms and conditions
related to recipients' award and administration of subawards under DoD
grants and cooperative agreements. The proposed part 1138 addresses
flowdown of both administrative and national policy requirements to all
types of subrecipient entities. It is one of the seven new parts
proposed in the NPRM immediately preceding this one in this issue of
the Federal Register.
5. Supersession
The proposed 2 CFR part 1122 supersedes the current table entitled
``Suggested Award Provisions for National Policy Requirements That
Often Apply,'' which is in Appendix B to part 22 of the DoDGARs (32 CFR
part 22). The last in the sequence of six NPRMs in this section of this
issue of the Federal Register therefore proposes to remove that
appendix from 32 CFR part 22 as one of the needed conforming changes to
existing DoDGARs parts.
C. Costs and Benefits
The principal benefits of the regulatory action proposed in this
NPRM are that recipients, auditors, DoD post-award administrators, and
others who use the content of awards from multiple DoD Component
awarding offices should:
Be able to find what they need within different offices'
awards more quickly and easily due to the standard organization for
general terms and conditions covering national policy requirements.
[[Page 78378]]
Spend less time evaluating terms and conditions, because
the standard wording for commonly applicable national policy
requirements will obviate the need to interpret different wording
various offices' awards include for the same requirement.
If this proposed regulatory action has any impact on a recipient's
costs of complying with applicable national policy requirements, we
therefore expect that the impact would be to reduce those costs.
IV. Regulatory Analysis
Executive Order 12866, ``Regulatory Planning and Review,'' and
Executive Order 13563, ``Improving Regulation and Regulatory Review''
Executive Order 12866, as supplemented by Executive Order 13563,
directs each Federal agency to: Propose regulations only after
determining that benefits justify costs; tailor regulations to minimize
burdens on society, consistent with achieving regulatory objectives;
maximize net benefits when selecting among regulatory approaches; to
the extent feasible, specify performance objectives rather than the
behavior or manner of compliance; and seek the views of those likely to
be affected before issuing a notice of proposed rulemaking, where
feasible and appropriate. The Department of Defense has determined that
a regulatory implementation that includes a standard organization for
the national policy requirements within general terms and conditions of
DoD Components' grant and cooperative agreement awards, as well as
standard wording of commonly applicable requirements, will maximize
long-term benefits in relation to costs and burdens for recipients of
those awards. This rule has been designated a ``significant regulatory
action'' under section 3(f) of Executive Order 12866, although not an
economically significant one. Accordingly, the rule has been reviewed
by OMB.
Unfunded Mandates Reform Act of 1995
Section 202 of the Unfunded Mandates Reform Act of 1995 (Unfunded
Mandates Act) (2 U.S.C. 1532) requires that a Federal agency prepare a
budgetary impact statement before issuing a rule that includes any
Federal mandate that may result in the expenditure in any one year by
State, local, and tribal governments, in the aggregate, or by the
private sector, of $100 million or more in 1995 dollars, updated
annually for inflation. In 2015, that inflation-adjusted amount in
current dollars is approximately $146 million. The Department of
Defense has determined that this proposed regulatory action will not
result in expenditures by State, local, and tribal governments, or by
the private sector, of that amount or more in any one year.
Regulatory Flexibility Act
The Regulatory Flexibility Act requires an agency that is proposing
a rule to provide a regulatory flexibility analysis or to certify that
the rule will not have a significant economic impact on a substantial
number of small entities. The Department of Defense certifies that this
proposed regulatory action will not have a significant economic impact
on substantial number of small entities.
Paperwork Reduction Act
In accordance with the Paperwork Reduction Act of 1995 (44 U.S.C.
Chapter 35; 5 CFR part 1320, Appendix A.1) (PRA), the Department of
Defense has determined that there are no new collections of information
contained in this proposed regulatory action.
Executive Order 13132, ``Federalism''
Executive Order 13132 establishes certain requirements that an
agency must meet when it proposes a regulation that has Federalism
implications. This proposed regulatory action does not have any
Federalism implications.
List of Subjects in 2 CFR Part 1122
Business and industry, Colleges and universities, Cooperative
agreements, Grants administration, Hospitals, Human research subjects,
Indians, Nonprofit organizations, Research misconduct, Small business,
State and local governments.
0
Accordingly, 2 CFR chapter XI is proposed to be amended by adding part
1122 to read as follows:
PART 1122--NATIONAL POLICY REQUIREMENTS: GENERAL AWARD TERMS AND
CONDITIONS
Sec.
Subpart A--General
1122.1 Purpose of this part.
1122.2 Definition of ``national policy requirement.''
1122.3 Definitions of other terms as they are used in this part.
Subpart B--Terms and Conditions
1122.100 Purpose of this subpart.
1122.105 Where to find the terms and conditions.
1122.110 Organization of each article of national policy
requirements.
1122.115 Cross-cutting national policy requirements.
1122.120 Other national policy requirements.
Appendix A Terms and condition for NP Article I, ``Nondiscrimination
National Policy Requirements.''
Appendix B Terms and condition for NP Article II, ``Environmental
National Policy Requirements.''
Appendix C Terms and conditions for NP Article III, ``National
Policy Requirements Concerning Live Organisms.''
Appendix D Terms and conditions for NP Article IV, ``Other National
Policy Requirements.''
Authority: 5 U.S.C. 301 and 10 U.S.C. 113.
Subpart A-General
Sec. 1122.1 Purpose of this part.
(a) This part specifies a standard format and standard wording of
general terms and conditions for Subdivision B of the general terms and
conditions of DoD grants and cooperative agreements, which concerns
national policy requirements.
(b) It thereby implements:
(1) OMB guidance in 2 CFR 200.210(b)(ii) and 200.300, as those
paragraphs of 2 CFR part 200 relate to national policy requirements for
general terms and conditions of DoD awards to institutions of higher
education and other nonprofit organizations, States, local governments,
and Indian tribes.
(2) National policy requirements, to the extent they apply, for
general terms and conditions of DoD awards to for-profit firms, foreign
organizations, and foreign public entities.
Sec. 1122.2 Definition of ``national policy requirement.''
For the purposes of this chapter, a national policy requirement is
a requirement:
(a) That is prescribed by a statute, Executive order, policy
guidance issued by the Executive Office of the President, or regulation
that specifically refers to grants, cooperative agreements, or
financial assistance in general;
(b) With which a recipient of a grant or cooperative agreement must
comply during the period of performance; and
(c) That is outside subject matter areas covered by administrative
requirements in Subchapters D or E of this chapter.
Sec. 1122.3 Definition of other terms as they are used in this part.
Because the meaning of some terms used in this part derive from
their definitions in the statutes, Executive orders, or other sources
of national policy requirements that this part implements, the meanings
of those terms may vary from their meanings in other parts of the
DoDGARs. For example, some statutes define ``State''in ways that differ
from each other and from the definition provided in 2 CFR
[[Page 78379]]
part B. In each case, the definition in the source of the pertinent
national policy requirement takes precedence over the definition in 2
CFR part B for the purposes of complying with that requirement.
Subpart B-Terms and Conditions
Sec. 1122.100 Purpose of this subpart.
This subpart provides:
(a) Direction to DoD Components on how to construct the four
articles of national policy requirements for inclusion in the general
terms and conditions of grants and cooperative agreements.
(b) Standard wording for national policy requirements that are more
commonly applicable to DoD Components' grants and cooperative
agreements.
Sec. 1122.105 Where to find the terms and conditions.
(a) Appendices A through D of this part provide standard wording of
terms and conditions for the four articles of national policy
requirements. The articles address the rights and responsibilities of
the Government and the recipient related to those national policy
requirements.
(b) The following table shows which national policy terms and
conditions may be found in each appendix to this part:
------------------------------------------------------------------------
You will find terms
and conditions That would
specifying recipients' appear in an
In . . . rights and award within NP
responsibilities article . . .
related to . . .
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Appendix A.................... Non[dash]discriminatio I.
n national policy
requirements.
Appendix B.................... Environmental national II.
policy requirements.
Appendix C.................... National policy III.
requirements
concerning live
organisms.
Appendix D.................... Other national policy IV.
requirements.
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Sec. 1122.110 Organization of each article of national policy
requirements.
Each of NP Articles I through IV includes two sections.
(a) Section A of each article includes national policy requirements
that are cross-cutting in that their applicability extends to many or
all DoD awards. Appendices A through D to this part provide standard
wording for each of those requirements.
(b) Section B of each article is the location in the award for
program-specific national policy requirements. Section B is reserved in
the standard wording of the articles provided in appendices A through D
to this part.
Sec. 1122.115 Cross-cutting national policy requirements.
(a) General requirement to include applicable cross-cutting
requirements. A DoD Component's general terms and conditions must
include the standard wording provided in Appendices A through D to this
part for each national policy requirement addressed in Section A of NP
Articles I, II, III, and IV, respectively, that may apply either to:
(1) A recipient of an award using those general terms and
conditions; or
(2) A subrecipient of a subaward under an award using those general
terms and conditions.
(b) Authority to reserve or omit inapplicable paragraphs. A DoD
Component may reserve or omit any paragraph Appendices A through D to
this part provide for Section A of NP Articles I, II, III, and IV of
its general terms and conditions if it determines that the national
policy requirement addressed in that paragraph will not apply to any
awards using those terms and conditions nor to any subawards under
them.
(c) Authority to use alternate wording. (1) A DoD Component may use
different wording for a national policy requirement than is provided in
Appendices A through D to this part if it is authorized or required to
do so by a statute or a regulation published in the Code of Federal
Regulations after opportunity for public comment.
(2) A DoD Component in that case:
(i) Must include the wording required by the statute or regulation
in Section B of the appropriate article. This will help a recipient
recognize the wording as a variation of the usual DoD wording for the
requirement.
(ii) May either reserve the paragraph of Section A of the article
in which that national policy requirement otherwise would appear, or
insert in that paragraph wording to refer the recipient to the
paragraph in Section B of the article in which the requirement does
appear.
Sec. 1122.120 Other national policy requirements.
If a DoD Component determines that awards using its general terms
and conditions, or subawards under them, are subject to a national
policy requirement that is not addressed in the standard wording
Appendices A through D to this part provide for cross-cutting
requirements, the DoD Component must include the requirement in its
general terms and conditions. It should add the requirement in Section
B of NP Article I, II, III, or IV, as most appropriate to the subject
matter of the requirement.
Appendix A to Part 1122--Terms and Conditions for NP Article I,
``Nondiscrimination National Policy Requirements''
DoD Components are to use the following standard wording in NP
Article I of their general terms and conditions in accordance with
provisions of Subpart B of this part:
NP Article I. Nondiscrimination national policy requirements. (December
2014)
Section A. Cross-cutting nondiscrimination requirements
By signing this agreement or accepting funds under this
agreement, you assure that you will comply with applicable
provisions of the national policies prohibiting discrimination:
1. On the basis of race, color, or national origin, in Title VI
of the Civil Rights Act of 1964 (42 U.S.C. 2000d et seq.), as
implemented by Department of Defense (DoD) regulations at 32 CFR
part 195.
2. On the basis of gender, blindness, or visual impairment, in
Title IX of the Education Amendments of 1972 (20 U.S.C. 1681 et
seq.), as implemented by DoD regulations at 32 CFR part 196.
3. On the basis of age, in the Age Discrimination Act of 1975
(42 U.S.C. 6101 et seq.), as implemented by Department of Health and
Human Services regulations at 45 CFR part 90.
4. On the basis of disability, in the Rehabilitation Act of 1973
(29 U.S.C. 794), as implemented by Department of Justice regulations
at 28 CFR part 41 and DoD regulations at 32 CFR part 56.
5. On the basis of disability in the Architectural Barriers Act
of 1968 (42 U.S.C. 4151 et seq.) related to physically handicapped
persons' ready access to, and use of, buildings and facilities for
which Federal funds are used in design, construction, or alteration.
Section B. Other nondiscrimination requirements
[Reserved]
[[Page 78380]]
Appendix B to Part 1122--Terms and Conditions for NP Article II,
``Environmental National Policy Requirements''
DoD Components are to use the following standard wording in NP
Article II of their general terms and conditions in accordance with
provisions of Subpart B of this part:
NP Article II. Environmental national policy requirements. (December
2014)
Section A. Cross-cutting environmental requirements
You must:
1. You must comply with all applicable Federal environmental
laws and regulations. The laws and regulations identified in this
section are not intended to be a complete list.
2. Comply with applicable provisions of the Clean Air Act (42
U.S.C. 7401, et seq.) and Clean Water Act (33 U.S.C. 1251, et seq.).
3. Comply with applicable provisions of the Lead-Based Paint
Poisoning Prevention Act (42 U.S.C. 4821-4846), as implemented by
the Department of Housing and Urban Development at 24 CFR part 35.
The requirements concern lead-based paint in buildings owned by the
Federal Government or housing receiving Federal assistance.
4. Immediately identify to us, as the Federal awarding agency,
any potential impact that you find this award may have on:
a. The quality of the ``human environment'', as defined in 40
CFR 1508.14, including wetlands; and provide any help we may need to
comply with the National Environmental Policy Act (NEPA, at 42
U.S.C. 4321 et seq.), the regulations at 40 CFR 1500-1508, and E.O.
12114, if applicable; and assist us to prepare Environmental Impact
Statements or other environmental documentation. In such cases, you
may take no action that will have an environmental impact (e.g.,
physical disturbance of a site such as breaking of ground) or limit
the choice of reasonable alternatives to the proposed action until
we provide written notification of Federal compliance with NEPA or
E.O. 12114.
b. Flood-prone areas, and provide any help we may need to comply
with the National Flood Insurance Act of 1968, as amended by the
Flood Disaster Protection Act of 1973 (42 U.S.C. 4001 et seq.),
which require flood insurance, when available, for federally
assisted construction or acquisition in flood-prone areas.
c. A land or water use or natural resource of a coastal zone
that is part of a federally approved State coastal zone management
plan and provide any help we may need to comply with the Coastal
Zone Management Act of 1972 (16 U.S.C. 1451, et seq.) including
preparation of a Federal agency Coastal Consistency Determination.
d. Coastal barriers along the Atlantic and Gulf coasts and Great
Lakes' shores, and provide help we may need to comply with the
Coastal Barrier Resources Act (16 U.S.C. 3501 et seq.), concerning
preservation of barrier resources.
e. Any existing or proposed component of the National Wild and
Scenic Rivers system, and provide any help we may need to comply
with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. 1271 et
seq.).
f. Underground sources of drinking water in areas that have an
aquifer that is the sole or principal drinking water source, and
provide any help we may need to comply with the Safe Drinking Water
Act (42 U.S.C. 300f et seq.).
5. You must comply fully with the Endangered Species Act of
1973, as amended (ESA, at 16 U.S.C. 1531 et seq.), and implementing
regulations of the Departments of the Interior (50 CFR parts 10-24)
and Commerce (50 CFR parts 217-227). You also must provide any help
we may need in complying with the consultation requirements of ESA
section 7 (16 U.S.C. 1536) applicable to Federal agencies or any
regulatory authorization we may need based on the award of this
grant. This is not in lieu of responsibilities you have to comply
with provisions of the Act that apply directly to you as a U.S.
entity, independent of receiving this award.
6. You must fully comply with the Marine Mammal Protection Act
of 1972, as amended (MMPA, at 16 U.S.C. 1361 et seq.) and provide
any assistance we may need in obtaining any required MMPA permit
based on an award of this grant.
Section B. Other environmental requirements
[Reserved]
Appendix C to Part 1122--Terms and Conditions for NP Article III,
``National Policy Requirements Concerning Live Organisms''
DoD Components are to use the following standard wording in NP
Article III of their general terms and conditions in accordance with
provisions of Subpart B of this part:
NP Article III. National Policy Requirements Concerning Live Organisms.
(December 2014)
Section A. Cross-Cutting Requirements Concerning Live Organisms
1. Human Subjects
a. You must protect the rights and welfare of individuals who
participate as human subjects in research under this award and
comply with the requirements at 32 CFR part 219, DoD Instruction
(DoDI) 3216.02, 10 U.S.C. 980, and when applicable, Food and Drug
Administration (FDA) regulations.
b. You must not begin performance of research involving human
subjects, also known as human subjects research (HSR), that is
covered under 32 CFR part 219, or that meets exemption criteria
under 32 CFR 219.101(b), until you receive a formal notification of
approval from a DoD Human Research Protection Official (HRPO).
Approval to perform HSR under this award is received after the HRPO
has performed a review of your documentation of planned HSR
activities and has officially furnished a concurrence with your
determination as presented in the documentation.
c. In order for the HRPO to accomplish this concurrence review,
you must provide sufficient documentation to enable his or her
assessment as follows:
i. If the HSR meets an exemption criteria under 32 CFR
219.101(b), the documentation must include a citation of the
exemption category under 32 CFR 219.101(b) and a rationale
statement.
ii. If your activity is determined as ``non-exempt research
involving human subjects'', the documentation must include:
A. Assurance of Compliance (i.e., Department of Health and Human
Services Office for Human Research Protections (OHRP) Federalwide
Assurance (FWA)) appropriate for the scope of work or program plan;
and
B. Institutional Review Board (IRB) approval, as well as all
documentation reviewed by the IRB to make their determination.
d. The HRPO retains final judgment on what activities constitute
HSR, whether an exempt category applies, whether the risk
determination is appropriate, and whether the planned HSR activities
comply with the requirements in paragraph 1.a of this section.
e. You must notify the HRPO immediately of any suspensions or
terminations of the Assurance of Compliance.
f. DoD staff, consultants, and advisory groups may independently
review and inspect your research and research procedures involving
human subjects and, based on such findings, DoD may prohibit
research that presents unacceptable hazards or otherwise fails to
comply with DoD requirements.
g. Definitions for terms used in paragraph 1 of this article are
found in DoDI 3216.02.
2. Animals
a. Prior to initiating any animal work under the award, you
must:
i. Register your research, development, test, and evaluation or
training facility with the Secretary of Agriculture in accordance
with 7 U.S.C. 2136 and 9 CFR section 2.30, unless otherwise exempt
from this requirement by meeting the conditions in 7 U.S.C. 2136 and
9 CFR parts 1-4 for the duration of the activity.
ii. Have your proposed animal use approved in accordance with
Department of Defense Instruction (DoDI) 3216.01, Use of Animals in
DoD Programs by a DoD Component Headquarters Oversight Office.
iii. Furnish evidence of such registration and approval to the
grants officer.
b. You must make the animals on which the research is being
conducted, and all premises, facilities, vehicles, equipment, and
records that support animal care and use available during business
hours and at other times mutually agreeable to you, the United
States Department of Agriculture Office of Animal and Plant Health
Inspection Service (USDA/APHIS) representative, personnel
representing the DoD component oversight offices, as well as the
grants officer, to ascertain that you are compliant with 7 U.S.C.
2131 et seq., 9 CFR parts 1-4, and DoDI 3216.01.
c. Your care and use of animals must conform with the pertinent
laws of the United States, regulations of the Department of
Agriculture, and regulations, policies, and procedures of the
Department of Defense (see 7 U.S.C. 2131 et seq., 9 CFR parts 1-4,
and DoDI 3216.01).
d. You must acquire animals in accordance with DoDI 3216.01.
[[Page 78381]]
3. Use of Remedies
Failure to comply with the applicable requirements in paragraphs
1-2 of this section may result in the DoD Component's use of
remedies, e.g., wholly or partially terminating or suspending the
award, temporarily withholding payment under the award pending
correction of the deficiency, or disallowing all or part of the cost
of the activity or action (including the federal share and any
required cost sharing or matching) that is not in compliance. See
OAR Article III.
Section B. Other Requirements Concerning Live Organisms
[Reserved]
Appendix D to Part 1122--Terms and Conditions for NP Article IV,
``Other National Policy Requirements''
DoD Components are to use the following standard wording in NP
Article IV of their general terms and conditions in accordance with
provisions of Subpart B of this part:
NP Article IV. Other National Policy Requirements. (December 2014)
Section A. Cross-Cutting Requirements
1. Debarment and suspension. You must comply with requirements
regarding debarment and suspension in Subpart C of 2 CFR part 180,
as adopted by DoD at 2 CFR part 1125. This includes requirements
concerning your principals under this award, as well as requirements
concerning your procurement transactions and subawards that are
implemented in PROC Articles I through III and SUB Article II.
2. Drug-free workplace. You must comply with drug-free workplace
requirements in Subpart B of 2 CFR part 26, which is the DoD
implementation of 41 U.S.C. chapter 81, ``Drug-Free Workplace.''
3. Lobbying.
a. You must comply with the restrictions on lobbying in 31
U.S.C. 1352, as implemented by DoD at 32 CFR part 28, and submit all
disclosures required by that statute and regulation.
b. You must comply with the prohibition in 18 U.S.C. 1913 on the
use of Federal funds, absent express Congressional authorization, to
pay directly or indirectly for any service, advertisement or other
written matter, telephone communication, or other device intended to
influence at any time a Member of Congress or official of any
government concerning any legislation, law, policy, appropriation,
or ratification.
c. If you are a nonprofit organization described in section
501(c)(4) of title 26, United States Code (the Internal Revenue Code
of 1968), you may not engage in lobbying activities as defined in
the Lobbying Disclosure Act of 1995 (2 U.S.C., chapter 26). If we
determine that you have engaged in lobbying activities, we will
cease all payments to you under this and other awards and terminate
the awards unilaterally for material failure to comply with the
award terms and conditions.
4. Officials not to benefit. You must comply with the
requirement that no member of Congress shall be admitted to any
share or part of this agreement, or to any benefit arising from it,
in accordance with 41 U.S.C. 6306.
5. Hatch Act. If applicable, you must comply with the provisions
of the Hatch Act (5 U.S.C. 1501-1508) concerning political
activities of certain State and local government employees, as
implemented by the Office of Personnel Management at 5 CFR part 151,
which limits political activity of employees or officers of State or
local governments whose employment is connected to an activity
financed in whole or part with Federal funds.
6. Native American graves protection and repatriation. If you
control or possess Native American remains and associated funerary
objects, you must comply with the requirements of 43 CFR part 10,
the Department of the Interior implementation of the Native American
Graves Protection and Repatriation Act of 1990 (25 U.S.C., chapter
32).
7. Fly America Act. You must comply with the International Air
Transportation Fair Competitive Practices Act of 1974 (49 U.S.C.
40118), commonly referred to as the ``Fly America Act,'' and
implementing regulations at 41 CFR 301-10.131 through 301-10.143.
The law and regulations require that U.S. Government financed
international air travel and transportation of personal effects or
property must use a U.S. Flag air carrier or be performed under a
cost sharing arrangement with a U.S. carrier, if such service is
available.
8. Use of United States-flag vessels. You must comply with the
following requirements of the Department of Transportation at 46 CFR
381.7, in regulations implementing the Cargo Preference Act of 1954:
a. Pursuant to Public Law 83-664 (46 U.S.C. 55305), at least 50
percent of any equipment, materials or commodities procured,
contracted for or otherwise obtained with funds under this award,
and which may be transported by ocean vessel, must be transported on
privately owned United States-flag commercial vessels, if available.
b. Within 20 days following the date of loading for shipments
originating within the United States or within 30 working days
following the date of loading for shipments originating outside the
United States, a legible copy of a rated, ``on-board'' commercial
ocean bill-of-lading in English for each shipment of cargo described
in paragraph 8.a of this section must be furnished to both our award
administrator (through you in the case of your contractor's bill-of-
lading) and to the Division of National Cargo, Office of Market
Development, Maritime Administration, Washington, DC 20590.
9. Research misconduct. You must comply with requirements
concerning research misconduct in Enclosure 4 to DoD Instruction
3210.7, ``Research Integrity and Misconduct.'' The Instruction
implements the Governmentwide research misconduct policy that the
Office of Science and Technology Policy published in the Federal
Register (65 FR 76260, December 6, 2000, available through the U.S.
Government Printing Office Web site: http://www.gpo.gov/fdscys/browse/collection.action?Code=FR).
10. Requirements for an Institution of Higher Education
Concerning Military Recruiters and Reserve Officers Training Corps
(ROTC).
a. As a condition for receiving funds available to the DoD under
this award, you agree that you are not an institution of higher
education (as defined in 32 CFR part 216) that has a policy or
practice that either prohibits, or in effect prevents:
i. The Secretary of a Military Department from maintaining,
establishing, or operating a unit of the Senior Reserve Officers
Training Corps (ROTC)--in accordance with 10 U.S.C. 654 and other
applicable Federal laws--at that institution (or any subelement of
that institution);
ii. Any student at that institution (or any subelement of that
institution) from enrolling in a unit of the Senior ROTC at another
institution of higher education.
iii. The Secretary of a Military Department or Secretary of
Homeland Security from gaining access to campuses, or access to
students (who are 17 years of age or older) on campuses, for
purposes of military recruiting in a manner that is at least equal
in quality and scope to the access to campuses and to students that
is provided to any other employer; or
iv. Access by military recruiters for purposes of military
recruiting to the names of students (who are 17 years of age or
older and enrolled at that institution or any subelement of that
institution); their addresses, telephone listings, dates and places
of birth, levels of education, academic majors, and degrees
received; and the most recent educational institutions in which they
were enrolled.
b. If you are determined, using the procedures in 32 CFR part
216, to be such an institution of higher education during the period
of performance of this award, we:
i. Will cease all payments to you of DoD funds under this award
and all other DoD grants and cooperative agreements; and
ii. May suspend or terminate those awards unilaterally for
material failure to comply with the award terms and conditions.
11. Historic preservation. You must identify to us any:
a. Property listed or eligible for listing on the National
Register of Historic Places that will be affected by this award, and
provide any help we may need, with respect to this award, to comply
with Section 106 of the National Historic Preservation Act of 1966
(54 U.S.C. 306108), as implemented by the Advisory Council on
Historic Preservation regulations at 36 CFR part 800 and Executive
Order 11593, ``Identification and Protection of Historic
Properties,'' [3 CFR, 1971-1975 Comp., p. 559]. Impacts to
historical properties are included in the definition of ``human
environment'' that require impact assessment under NEPA (See NP
Article II, Section A).
b. Potential under this award for irreparable loss or
destruction of significant scientific, prehistorical, historical, or
archeological data, and provide any help we may need, with respect
to this award, to comply with the Archaeological and Historic
[[Page 78382]]
Preservation Act of 1974 (54 U.S.C. chapter 3125).
12. Relocation and real property acquisition. You must comply
with applicable provisions of 49 CFR part 24, which implements the
Uniform Relocation Assistance and Real Property Acquisition Policies
Act of 1970 (42 U.S.C. 4601, et seq.) and provides for fair and
equitable treatment of persons displaced by federally assisted
programs or persons whose property is acquired as a result of such
programs.
13. Confidentiality of patient records. You must keep
confidential any records that you maintain of the identity,
diagnosis, prognosis, or treatment of any patient in connection with
any program or activity relating to substance abuse education,
prevention, training, treatment, or rehabilitation that is assisted
directly or indirectly under this award, in accordance with 42
U.S.C. 290dd-2.
14. Pro-Children Act.
You must comply with applicable restrictions in the Pro-Children
Act of 1994 (Title 20, Chapter 68, Subchapter X, Part B of the U.S.
Code) on smoking in any indoor facility:
a. Constructed, operated, or maintained under this award and
used for routine or regular provision of kindergarten, elementary,
or secondary education or library services to children under the age
of 18.
b. Owned, leased, or contracted for and used under this award
for the routine provision of federally funded health care, day care,
or early childhood development (Head Start) services to children
under the age of 18.
15. Constitution Day. You must comply with Public Law 108-447,
Div. J, Title I, Sec. 111 (36 U.S.C. 106 note), which requires each
educational institution receiving Federal funds in a Federal fiscal
year to hold an educational program on the United States
Constitution on September 17th during that year for the students
served by the educational institution.
16. Trafficking in persons. You must comply with requirements
concerning trafficking in persons specified in the award term at 2
CFR 175.15(b), as applicable.
17. Whistleblower protections. You must comply with 10 U.S.C.
2409, including the:
a. Prohibition on reprisals against employees disclosing certain
types of information to specified persons or bodies; and
b. Requirement to notify your employees in writing, in the
predominant native language of the workforce, of their rights and
protections under that statute.
Section B. Additional Requirements
[Reserved]
Dated: October 19, 2016.
Aaron Siegel,
Alternate OSD Federal Register Liaison Officer, Department of Defense.
[FR Doc. 2016-25700 Filed 11-4-16; 8:45 am]
BILLING CODE 5001-06-P