81 FR 78376 - National Policy Requirements: General Award Terms and Conditions
DEPARTMENT OF DEFENSE
Office of the Secretary Federal Register Volume 81, Issue 215 (November 7, 2016)
Office of the Secretary
Federal Register Volume 81, Issue 215 (November 7, 2016)
| Page Range | 78376-78382 | |
| FR Document | 2016-25700 |
[Federal Register Volume 81, Number 215 (Monday, November 7, 2016)] [Proposed Rules] [Pages 78376-78382] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-25700] ----------------------------------------------------------------------- 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. ----------------------------------------------------------------------- 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 . . . ------------------------------------------------------------------------ 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. ------------------------------------------------------------------------ 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.thefederalregister.org/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
![78376 Federal Register / Vol. 81, No. 215 / Monday, November 7, 2016 / Proposed Rules
including the full text of each article of Subpart G—Programmatic projects or programs supported by their
the general terms and conditions, will Requirements Portion of the General awards.
make it easier for those who must use Terms and Conditions Dated: October 19, 2016.
terms and conditions of multiple DoD Aaron Siegel,
Components’ awards (e.g., recipients, § 1120.700 Scope of programmatic
requirements. Alternate OSD Federal Register Liaison
DoD Components’ post-award
A requirement is most appropriately Officer, Department of Defense.
administrators, and auditors) to quickly
included in the programmatic [FR Doc. 2016–25699 Filed 11–4–16; 8:45 am]
identify how each Component’s general
terms and conditions differ from the requirements portion of the general BILLING CODE 5001–06–P
DoD standard wording. terms and conditions if it:
(a) Is not in one of the subject matter
Subpart F—National Policy areas covered by the administrative DEPARTMENT OF DEFENSE
Requirements Portion of the General requirements in Subdivision B of the
Terms and Conditions Office of the Secretary
general terms and conditions, as
described in § 1120.500. 2 CFR Part 1122
§ 1120.600 Scope of national policy
requirements. (b) Does not meet the criteria in
§ 1120.600 for a national policy [DOD–2016–OS–0053]
National policy requirements, as
requirement. RIN 0790–AJ48
defined in 2 CFR 1122.2, are
requirements: (c) Broadly applies to awards using
(a) That are prescribed by a statute, the general terms and conditions. National Policy Requirements: General
Executive order, policy guidance issued Requirements that apply to relatively Award Terms and Conditions
by the Executive Office of the President, few of those awards are more
appropriately included in the award- AGENCY: Office of the Secretary,
or regulation that specifically refer to Department of Defense (DoD).
grants, cooperative agreements, or specific terms and conditions of the
individual awards to which they apply. ACTION: Proposed rule.
financial assistance in general;
(b) With which a recipient of a grant (d) Is expected to be in effect for the SUMMARY: This notice of proposed
or cooperative agreement must comply foreseeable future, rather than for a rulemaking (NPRM) is the fourth of a
during the period of performance; and limited period of time. For example, a sequence of six NPRM documents in
(c) That are outside subject matter requirement in an annual this issue of the Federal Register. This
areas covered by administrative appropriations act that applies NPRM proposes to add a new
requirements, as described in specifically to funding made available Department of Defense Grant and
§ 1120.500. by that act is better addressed through Agreement Regulations (DoDGARs) part
the award-specific terms and conditions to establish a consistent way for DoD
§ 1120.605 Location of national policy of awards or modifications to which it
requirements in the standard award format. Components to organize the portion of
applies. their general terms and conditions
As shown in the table in § 1120.4(b),
the standard award format includes § 1120.705 Location of programmatic covering national policy requirements
national policy requirements as requirements in the standard award format. in areas such as nondiscrimination,
Subdivision C of the general terms and As shown in the table in § 1120.4(b), environmental protection, and live
conditions. the standard award format includes organisms. The new part also provides
programmatic requirements as standard wording of terms and
§ 1120.610 Source of national policy conditions for national policy
requirements.
Subdivision D of the general terms and
conditions. requirements that apply generally to
The source of national policy DoD programs and awards.
requirements is 2 CFR part 1122. § 1120.710 Examples of programmatic DATES: To ensure that they can be
requirements. considered in developing the final rule,
§ 1120.615 Incorporation of national policy
requirements into general terms and Examples of provisions appropriately comments must be received at either the
conditions by reference. included as programmatic requirements Web site or mailing address indicated
For the same reason given in in Subdivision D of the general terms below by February 6, 2017.
§ 1120.515(b), DoD Components are and conditions include: ADDRESSES: You may submit comments
strongly encouraged to construct the (a) Requirements for recipients to identified by docket number, or by
portion of their general terms and acknowledge the DoD Component’s Regulatory Information Number (RIN)
conditions addressing national policy support in publications of results of the and title, by either of the following
requirements for awards to all types of projects or programs performed under methods:
recipient entities, including for-profit awards. The Web site: http://
entities, by: (b) Requirements for recipients to www.regulations.gov. Follow the
(a) Incorporating the standard promptly alert the DoD Component if instructions at that site for submitting
wording of each article of national they develop any information in the comments.
policy requirements provided in the course of performing the projects or Mail: Department of Defense, Deputy
appendices to 2 CFR part 1122 into programs under their awards that, in Chief Management Officer, Directorate
sradovich on DSK3GMQ082PROD with PROPOSALS2
those general terms and conditions by their judgment, might adversely affect for Oversight and Compliance, 4800
reference; and national security if disclosed. Mark Center Drive, ATTN: Box 24,
(b) Stating any variations from that (c) Reservation of the Government’s Alexandria, VA 22350–1700.
standard wording (e.g., any added, right to use non-Federal personnel in Instructions: All submissions received
omitted, or revised paragraphs, based on any aspect of post-award administration must include the agency name and
which national policy requirements of awards, with appropriate docket number or RIN for this Federal
apply to programs and recipients for nondisclosure requirements on those Register document. The general policy
which the general terms and conditions personnel to protect sensitive for comments and other submissions
are used). information about recipients or the from the public is to make the
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![Federal Register / Vol. 81, No. 215 / Monday, November 7, 2016 / Proposed Rules 78379
part B. In each case, the definition in the inclusion in the general terms and and conditions for the four articles of
source of the pertinent national policy conditions of grants and cooperative national policy requirements. The
requirement takes precedence over the agreements. articles address the rights and
definition in 2 CFR part B for the (b) Standard wording for national responsibilities of the Government and
purposes of complying with that policy requirements that are more the recipient related to those national
requirement. commonly applicable to DoD policy requirements.
Subpart B–Terms and Conditions Components’ grants and cooperative (b) The following table shows which
agreements. national policy terms and conditions
§ 1122.100 Purpose of this subpart. may be found in each appendix to this
§ 1122.105 Where to find the terms and
This subpart provides: conditions. part:
(a) Direction to DoD Components on
how to construct the four articles of (a) Appendices A through D of this
national policy requirements for part provide standard wording of terms
You will find terms and conditions specifying recipients’ rights and re- That would appear in an award with-
In . . . sponsibilities related to . . . in NP article . . .
Appendix A ............................ Non-discrimination national policy requirements ......................................... I.
Appendix B ............................ Environmental national policy requirements ................................................ II.
Appendix C ............................ National policy requirements concerning live organisms ............................ III.
Appendix D ............................ Other national policy requirements .............................................................. IV.
§ 1122.110 Organization of each article of (c) Authority to use alternate wording. Appendix A to Part 1122—Terms and
national policy requirements. (1) A DoD Component may use different Conditions for NP Article I,
Each of NP Articles I through IV wording for a national policy ‘‘Nondiscrimination National Policy
includes two sections. requirement than is provided in Requirements’’
(a) Section A of each article includes Appendices A through D to this part if DoD Components are to use the following
national policy requirements that are it is authorized or required to do so by standard wording in NP Article I of their
cross-cutting in that their applicability a statute or a regulation published in the general terms and conditions in accordance
extends to many or all DoD awards. Code of Federal Regulations after with provisions of Subpart B of this part:
Appendices A through D to this part opportunity for public comment.
provide standard wording for each of NP Article I. Nondiscrimination national
(2) A DoD Component in that case: policy requirements. (December 2014)
those requirements.
(b) Section B of each article is the (i) Must include the wording required Section A. Cross-cutting nondiscrimination
location in the award for program- by the statute or regulation in Section B requirements
specific national policy requirements. of the appropriate article. This will help By signing this agreement or accepting
Section B is reserved in the standard a recipient recognize the wording as a funds under this agreement, you assure that
wording of the articles provided in variation of the usual DoD wording for you will comply with applicable provisions
appendices A through D to this part. of the national policies prohibiting
the requirement. discrimination:
§ 1122.115 Cross-cutting national policy (ii) May either reserve the paragraph 1. On the basis of race, color, or national
requirements. of Section A of the article in which that origin, in Title VI of the Civil Rights Act of
(a) General requirement to include national policy requirement otherwise 1964 (42 U.S.C. 2000d et seq.), as
applicable cross-cutting requirements. A would appear, or insert in that implemented by Department of Defense
(DoD) regulations at 32 CFR part 195.
DoD Component’s general terms and paragraph wording to refer the recipient 2. On the basis of gender, blindness, or
conditions must include the standard to the paragraph in Section B of the visual impairment, in Title IX of the
wording provided in Appendices A article in which the requirement does Education Amendments of 1972 (20 U.S.C.
through D to this part for each national appear. 1681 et seq.), as implemented by DoD
policy requirement addressed in Section regulations at 32 CFR part 196.
A of NP Articles I, II, III, and IV, § 1122.120 Other national policy 3. On the basis of age, in the Age
respectively, that may apply either to: requirements. Discrimination Act of 1975 (42 U.S.C. 6101
(1) A recipient of an award using et seq.), as implemented by Department of
If a DoD Component determines that Health and Human Services regulations at 45
those general terms and conditions; or awards using its general terms and
(2) A subrecipient of a subaward CFR part 90.
conditions, or subawards under them, 4. On the basis of disability, in the
under an award using those general
are subject to a national policy Rehabilitation Act of 1973 (29 U.S.C. 794), as
terms and conditions. implemented by Department of Justice
(b) Authority to reserve or omit requirement that is not addressed in the
standard wording Appendices A regulations at 28 CFR part 41 and DoD
inapplicable paragraphs. A DoD regulations at 32 CFR part 56.
Component may reserve or omit any through D to this part provide for cross- 5. On the basis of disability in the
cutting requirements, the DoD
sradovich on DSK3GMQ082PROD with PROPOSALS2
paragraph Appendices A through D to Architectural Barriers Act of 1968 (42 U.S.C.
this part provide for Section A of NP Component must include the 4151 et seq.) related to physically
Articles I, II, III, and IV of its general requirement in its general terms and handicapped persons’ ready access to, and
terms and conditions if it determines conditions. It should add the use of, buildings and facilities for which
requirement in Section B of NP Article Federal funds are used in design,
that the national policy requirement
construction, or alteration.
addressed in that paragraph will not I, II, III, or IV, as most appropriate to the
apply to any awards using those terms subject matter of the requirement. Section B. Other nondiscrimination
and conditions nor to any subawards requirements
under them. [Reserved]
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![78380 Federal Register / Vol. 81, No. 215 / Monday, November 7, 2016 / Proposed Rules
Appendix B to Part 1122—Terms and comply with the Wild and Scenic Rivers Act must include a citation of the exemption
Conditions for NP Article II, of 1968 (16 U.S.C. 1271 et seq.). category under 32 CFR 219.101(b) and a
‘‘Environmental National Policy f. Underground sources of drinking water rationale statement.
in areas that have an aquifer that is the sole ii. If your activity is determined as ‘‘non-
Requirements’’ or principal drinking water source, and exempt research involving human subjects’’,
DoD Components are to use the following provide any help we may need to comply the documentation must include:
standard wording in NP Article II of their with the Safe Drinking Water Act (42 U.S.C. A. Assurance of Compliance (i.e.,
general terms and conditions in accordance 300f et seq.). Department of Health and Human Services
with provisions of Subpart B of this part: 5. You must comply fully with the Office for Human Research Protections
Endangered Species Act of 1973, as amended (OHRP) Federalwide Assurance (FWA))
NP Article II. Environmental national policy (ESA, at 16 U.S.C. 1531 et seq.), and appropriate for the scope of work or program
requirements. (December 2014) implementing regulations of the Departments plan; and
of the Interior (50 CFR parts 10–24) and B. Institutional Review Board (IRB)
Section A. Cross-cutting environmental
Commerce (50 CFR parts 217–227). You also approval, as well as all documentation
requirements
must provide any help we may need in reviewed by the IRB to make their
You must: complying with the consultation determination.
1. You must comply with all applicable requirements of ESA section 7 (16 U.S.C. d. The HRPO retains final judgment on
Federal environmental laws and regulations. 1536) applicable to Federal agencies or any what activities constitute HSR, whether an
The laws and regulations identified in this regulatory authorization we may need based exempt category applies, whether the risk
section are not intended to be a complete list. on the award of this grant. This is not in lieu determination is appropriate, and whether
2. Comply with applicable provisions of of responsibilities you have to comply with the planned HSR activities comply with the
the Clean Air Act (42 U.S.C. 7401, et seq.) provisions of the Act that apply directly to requirements in paragraph 1.a of this section.
and Clean Water Act (33 U.S.C. 1251, et seq.). you as a U.S. entity, independent of receiving e. You must notify the HRPO immediately
3. Comply with applicable provisions of this award. of any suspensions or terminations of the
the Lead-Based Paint Poisoning Prevention 6. You must fully comply with the Marine Assurance of Compliance.
Act (42 U.S.C. 4821–4846), as implemented Mammal Protection Act of 1972, as amended f. DoD staff, consultants, and advisory
by the Department of Housing and Urban (MMPA, at 16 U.S.C. 1361 et seq.) and groups may independently review and
Development at 24 CFR part 35. The provide any assistance we may need in inspect your research and research
requirements concern lead-based paint in obtaining any required MMPA permit based procedures involving human subjects and,
buildings owned by the Federal Government on an award of this grant. based on such findings, DoD may prohibit
or housing receiving Federal assistance. Section B. Other environmental requirements research that presents unacceptable hazards
4. Immediately identify to us, as the or otherwise fails to comply with DoD
[Reserved] requirements.
Federal awarding agency, any potential
impact that you find this award may have on: Appendix C to Part 1122—Terms and g. Definitions for terms used in paragraph
a. The quality of the ‘‘human Conditions for NP Article III, ‘‘National 1 of this article are found in DoDI 3216.02.
environment’’, as defined in 40 CFR 1508.14, Policy Requirements Concerning Live 2. Animals
including wetlands; and provide any help we Organisms’’ a. Prior to initiating any animal work under
may need to comply with the National the award, you must:
Environmental Policy Act (NEPA, at 42 DoD Components are to use the following
i. Register your research, development,
U.S.C. 4321 et seq.), the regulations at 40 CFR standard wording in NP Article III of their
test, and evaluation or training facility with
1500–1508, and E.O. 12114, if applicable; general terms and conditions in accordance
the Secretary of Agriculture in accordance
and assist us to prepare Environmental with provisions of Subpart B of this part:
with 7 U.S.C. 2136 and 9 CFR section 2.30,
Impact Statements or other environmental NP Article III. National Policy Requirements unless otherwise exempt from this
documentation. In such cases, you may take Concerning Live Organisms. (December requirement by meeting the conditions in 7
no action that will have an environmental 2014) U.S.C. 2136 and 9 CFR parts 1–4 for the
impact (e.g., physical disturbance of a site duration of the activity.
such as breaking of ground) or limit the Section A. Cross-Cutting Requirements ii. Have your proposed animal use
choice of reasonable alternatives to the Concerning Live Organisms approved in accordance with Department of
proposed action until we provide written 1. Human Subjects Defense Instruction (DoDI) 3216.01, Use of
notification of Federal compliance with Animals in DoD Programs by a DoD
NEPA or E.O. 12114. a. You must protect the rights and welfare
of individuals who participate as human Component Headquarters Oversight Office.
b. Flood-prone areas, and provide any help iii. Furnish evidence of such registration
subjects in research under this award and
we may need to comply with the National and approval to the grants officer.
comply with the requirements at 32 CFR part
Flood Insurance Act of 1968, as amended by b. You must make the animals on which
219, DoD Instruction (DoDI) 3216.02, 10
the Flood Disaster Protection Act of 1973 (42 the research is being conducted, and all
U.S.C. 980, and when applicable, Food and
U.S.C. 4001 et seq.), which require flood Drug Administration (FDA) regulations. premises, facilities, vehicles, equipment, and
insurance, when available, for federally b. You must not begin performance of records that support animal care and use
assisted construction or acquisition in flood- research involving human subjects, also available during business hours and at other
prone areas. known as human subjects research (HSR), times mutually agreeable to you, the United
c. A land or water use or natural resource that is covered under 32 CFR part 219, or that States Department of Agriculture Office of
of a coastal zone that is part of a federally meets exemption criteria under 32 CFR Animal and Plant Health Inspection Service
approved State coastal zone management 219.101(b), until you receive a formal (USDA/APHIS) representative, personnel
plan and provide any help we may need to notification of approval from a DoD Human representing the DoD component oversight
comply with the Coastal Zone Management Research Protection Official (HRPO). offices, as well as the grants officer, to
Act of 1972 (16 U.S.C. 1451, et seq.) Approval to perform HSR under this award ascertain that you are compliant with 7
including preparation of a Federal agency is received after the HRPO has performed a U.S.C. 2131 et seq., 9 CFR parts 1–4, and
sradovich on DSK3GMQ082PROD with PROPOSALS2
Coastal Consistency Determination. review of your documentation of planned DoDI 3216.01.
d. Coastal barriers along the Atlantic and HSR activities and has officially furnished a c. Your care and use of animals must
Gulf coasts and Great Lakes’ shores, and concurrence with your determination as conform with the pertinent laws of the
provide help we may need to comply with presented in the documentation. United States, regulations of the Department
the Coastal Barrier Resources Act (16 U.S.C. c. In order for the HRPO to accomplish this of Agriculture, and regulations, policies, and
3501 et seq.), concerning preservation of concurrence review, you must provide procedures of the Department of Defense (see
barrier resources. sufficient documentation to enable his or her 7 U.S.C. 2131 et seq., 9 CFR parts 1–4, and
e. Any existing or proposed component of assessment as follows: DoDI 3216.01).
the National Wild and Scenic Rivers system, i. If the HSR meets an exemption criteria d. You must acquire animals in accordance
and provide any help we may need to under 32 CFR 219.101(b), the documentation with DoDI 3216.01.
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3. Use of Remedies part of this agreement, or to any benefit Printing Office Web site: http://www.gpo.gov/
Failure to comply with the applicable arising from it, in accordance with 41 U.S.C. fdscys/browse/collection.action?Code=FR).
requirements in paragraphs 1–2 of this 6306. 10. Requirements for an Institution of
section may result in the DoD Component’s 5. Hatch Act. If applicable, you must Higher Education Concerning Military
use of remedies, e.g., wholly or partially comply with the provisions of the Hatch Act Recruiters and Reserve Officers Training
terminating or suspending the award, (5 U.S.C. 1501–1508) concerning political Corps (ROTC).
temporarily withholding payment under the activities of certain State and local a. As a condition for receiving funds
award pending correction of the deficiency, government employees, as implemented by available to the DoD under this award, you
or disallowing all or part of the cost of the the Office of Personnel Management at 5 CFR agree that you are not an institution of higher
activity or action (including the federal share part 151, which limits political activity of education (as defined in 32 CFR part 216)
and any required cost sharing or matching) employees or officers of State or local that has a policy or practice that either
that is not in compliance. See OAR Article governments whose employment is prohibits, or in effect prevents:
III. connected to an activity financed in whole or i. The Secretary of a Military Department
part with Federal funds. from maintaining, establishing, or operating
Section B. Other Requirements Concerning 6. Native American graves protection and a unit of the Senior Reserve Officers Training
Live Organisms repatriation. If you control or possess Native Corps (ROTC)—in accordance with 10 U.S.C.
[Reserved] American remains and associated funerary 654 and other applicable Federal laws—at
objects, you must comply with the that institution (or any subelement of that
Appendix D to Part 1122—Terms and requirements of 43 CFR part 10, the institution);
Conditions for NP Article IV, ‘‘Other Department of the Interior implementation of ii. Any student at that institution (or any
National Policy Requirements’’ the Native American Graves Protection and subelement of that institution) from enrolling
Repatriation Act of 1990 (25 U.S.C., chapter in a unit of the Senior ROTC at another
DoD Components are to use the following 32). institution of higher education.
standard wording in NP Article IV of their 7. Fly America Act. You must comply with iii. The Secretary of a Military Department
general terms and conditions in accordance the International Air Transportation Fair or Secretary of Homeland Security from
with provisions of Subpart B of this part: Competitive Practices Act of 1974 (49 U.S.C. gaining access to campuses, or access to
NP Article IV. Other National Policy 40118), commonly referred to as the ‘‘Fly students (who are 17 years of age or older)
Requirements. (December 2014) America Act,’’ and implementing regulations on campuses, for purposes of military
at 41 CFR 301–10.131 through 301–10.143. recruiting in a manner that is at least equal
Section A. Cross-Cutting Requirements The law and regulations require that U.S. in quality and scope to the access to
1. Debarment and suspension. You must Government financed international air travel campuses and to students that is provided to
comply with requirements regarding and transportation of personal effects or any other employer; or
debarment and suspension in Subpart C of 2 property must use a U.S. Flag air carrier or iv. Access by military recruiters for
CFR part 180, as adopted by DoD at 2 CFR be performed under a cost sharing purposes of military recruiting to the names
part 1125. This includes requirements arrangement with a U.S. carrier, if such of students (who are 17 years of age or older
concerning your principals under this award, service is available. and enrolled at that institution or any
as well as requirements concerning your 8. Use of United States-flag vessels. You subelement of that institution); their
procurement transactions and subawards that must comply with the following addresses, telephone listings, dates and
are implemented in PROC Articles I through requirements of the Department of places of birth, levels of education, academic
III and SUB Article II. Transportation at 46 CFR 381.7, in majors, and degrees received; and the most
2. Drug-free workplace. You must comply regulations implementing the Cargo recent educational institutions in which they
with drug-free workplace requirements in Preference Act of 1954: were enrolled.
Subpart B of 2 CFR part 26, which is the DoD a. Pursuant to Public Law 83–664 (46 b. If you are determined, using the
implementation of 41 U.S.C. chapter 81, U.S.C. 55305), at least 50 percent of any procedures in 32 CFR part 216, to be such an
‘‘Drug-Free Workplace.’’ equipment, materials or commodities institution of higher education during the
3. Lobbying. procured, contracted for or otherwise period of performance of this award, we:
a. You must comply with the restrictions obtained with funds under this award, and i. Will cease all payments to you of DoD
on lobbying in 31 U.S.C. 1352, as which may be transported by ocean vessel, funds under this award and all other DoD
implemented by DoD at 32 CFR part 28, and must be transported on privately owned grants and cooperative agreements; and
submit all disclosures required by that statute United States-flag commercial vessels, if ii. May suspend or terminate those awards
and regulation. available. unilaterally for material failure to comply
b. You must comply with the prohibition b. Within 20 days following the date of with the award terms and conditions.
in 18 U.S.C. 1913 on the use of Federal loading for shipments originating within the 11. Historic preservation. You must
funds, absent express Congressional United States or within 30 working days identify to us any:
authorization, to pay directly or indirectly for following the date of loading for shipments a. Property listed or eligible for listing on
any service, advertisement or other written originating outside the United States, a the National Register of Historic Places that
matter, telephone communication, or other legible copy of a rated, ‘‘on-board’’ will be affected by this award, and provide
device intended to influence at any time a commercial ocean bill-of-lading in English any help we may need, with respect to this
Member of Congress or official of any for each shipment of cargo described in award, to comply with Section 106 of the
government concerning any legislation, law, paragraph 8.a of this section must be National Historic Preservation Act of 1966
policy, appropriation, or ratification. furnished to both our award administrator (54 U.S.C. 306108), as implemented by the
c. If you are a nonprofit organization (through you in the case of your contractor’s Advisory Council on Historic Preservation
described in section 501(c)(4) of title 26, bill-of-lading) and to the Division of National regulations at 36 CFR part 800 and Executive
United States Code (the Internal Revenue Cargo, Office of Market Development, Order 11593, ‘‘Identification and Protection
Code of 1968), you may not engage in Maritime Administration, Washington, DC of Historic Properties,’’ [3 CFR, 1971–1975
lobbying activities as defined in the Lobbying 20590. Comp., p. 559]. Impacts to historical
sradovich on DSK3GMQ082PROD with PROPOSALS2
Disclosure Act of 1995 (2 U.S.C., chapter 26). 9. Research misconduct. You must comply properties are included in the definition of
If we determine that you have engaged in with requirements concerning research ‘‘human environment’’ that require impact
lobbying activities, we will cease all misconduct in Enclosure 4 to DoD assessment under NEPA (See NP Article II,
payments to you under this and other awards Instruction 3210.7, ‘‘Research Integrity and Section A).
and terminate the awards unilaterally for Misconduct.’’ The Instruction implements b. Potential under this award for
material failure to comply with the award the Governmentwide research misconduct irreparable loss or destruction of significant
terms and conditions. policy that the Office of Science and scientific, prehistorical, historical, or
4. Officials not to benefit. You must Technology Policy published in the Federal archeological data, and provide any help we
comply with the requirement that no member Register (65 FR 76260, December 6, 2000, may need, with respect to this award, to
of Congress shall be admitted to any share or available through the U.S. Government comply with the Archaeological and Historic
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![78382 Federal Register / Vol. 81, No. 215 / Monday, November 7, 2016 / Proposed Rules
Preservation Act of 1974 (54 U.S.C. chapter DEPARTMENT OF DEFENSE for Oversight and Compliance, 4800
3125). Mark Center Drive, ATTN: Box 24,
12. Relocation and real property Office of the Secretary Alexandria, VA 22350–1700.
acquisition. You must comply with Instructions: All submissions must
applicable provisions of 49 CFR part 24, 2 CFR Parts 1126, 1128, 1130, 1132, include the agency name and docket
which implements the Uniform Relocation 1134, 1136, and 1138 number or RIN for this Federal Register
Assistance and Real Property Acquisition document. The general policy for
Policies Act of 1970 (42 U.S.C. 4601, et seq.) [DOD–2016–OS–0054]
comments and other submissions from
and provides for fair and equitable treatment RIN 0790–AJ49 the public is to make the submissions
of persons displaced by federally assisted available for public viewing on the
programs or persons whose property is Administrative Requirements Terms Internet at http://www.regulations.gov
acquired as a result of such programs. and Conditions for Cost-Type Awards without change (i.e., as they are
13. Confidentiality of patient records. You to Nonprofit and Governmental Entities
must keep confidential any records that you
received, including any personal
maintain of the identity, diagnosis, AGENCY: Office of the Secretary of identifiers or contact information).
prognosis, or treatment of any patient in Defense, DoD. FOR FURTHER INFORMATION CONTACT:
connection with any program or activity ACTION: Proposed rule. Wade Wargo, Basic Research Office,
relating to substance abuse education, telephone 571–372–2941.
prevention, training, treatment, or SUMMARY: This notice of proposed SUPPLEMENTARY INFORMATION:
rehabilitation that is assisted directly or rulemaking (NPRM) is the third of a
indirectly under this award, in accordance sequence of six NPRM documents in I. Executive Summary
with 42 U.S.C. 290dd–2. this section of this issue of the Federal A. Purpose of the Regulatory Action
14. Pro-Children Act. Register that propose updates to the
You must comply with applicable Department of Defense Grant and 1. The Need for the Regulatory Action
restrictions in the Pro-Children Act of 1994 Agreement Regulations (DoDGARs). and How the Action Meets That Need
(Title 20, Chapter 68, Subchapter X, Part B This NPRM proposes to add seven new The Department of Defense Grant and
of the U.S. Code) on smoking in any indoor DoDGARs parts to address the Agreement Regulations (DoDGARs)
facility: administrative requirements included in implement statutes and
a. Constructed, operated, or maintained general terms and conditions of DoD Governmentwide guidance for grants
under this award and used for routine or and cooperative agreements, as needed
cost-type grants and cooperative
regular provision of kindergarten, in order to ensure that DoD Component
agreements awarded to institutions of
elementary, or secondary education or library
higher education, nonprofit offices make and administer assistance
services to children under the age of 18.
organizations, States, local governments, awards consistently with agency policy.
b. Owned, leased, or contracted for and
used under this award for the routine and Indian tribes. The administrative They are in need of updating, in part
provision of federally funded health care, day requirements are in areas such as due to the issuance of new Office of
care, or early childhood development (Head financial and program management; Management and Budget guidance to
Start) services to children under the age of property administration; recipient Federal agencies on administrative
18. procurement procedures; financial, requirements, cost principles, and audit
15. Constitution Day. You must comply programmatic, and property reporting; requirements that apply to Federal
with Public Law 108–447, Div. J, Title I, Sec. and subawards. The proposed new parts grants, cooperative agreements, and
111 (36 U.S.C. 106 note), which requires each establish a uniform way for other assistance instruments (2 CFR part
educational institution receiving Federal approximately 100 DoD Component 200). This NPRM provides a major
funds in a Federal fiscal year to hold an awarding offices to organize the portion of the implementation of that
educational program on the United States administrative requirements in their guidance, by addressing the
Constitution on September 17th during that general terms and conditions. The administrative requirements to be
year for the students served by the proposed new parts also provide included in general terms and
educational institution. standard wording of terms and conditions of DoD Components’ awards
16. Trafficking in persons. You must conditions for the administrative to institutions of higher education,
comply with requirements concerning nonprofit organizations, States, local
requirements, with associated regulatory
trafficking in persons specified in the award governments, and Indian tribes.
prescriptions for DoD Components to
term at 2 CFR 175.15(b), as applicable.
17. Whistleblower protections. You must
provide latitude to vary from the 2. Legal Authorities for the Regulatory
comply with 10 U.S.C. 2409, including the: standard wording where variation is Action
a. Prohibition on reprisals against appropriate.
There are two statutory authorities for
employees disclosing certain types of DATES: To ensure that they can be this NPRM:
information to specified persons or bodies; considered in developing the final rule, • 10 U.S.C. 113, which establishes the
and comments must be received at either the
b. Requirement to notify your employees in
Secretary of Defense as the head of the
Web site or mailing address indicated Department of Defense; and
writing, in the predominant native language
of the workforce, of their rights and
below by February 6, 2017. • 5 U.S.C. 301, which authorizes the
ADDRESSES: You may submit comments head of an Executive department to
protections under that statute.
identified by docket number, or by prescribe regulations for the governance
sradovich on DSK3GMQ082PROD with PROPOSALS2
Section B. Additional Requirements Regulatory Information Number (RIN) of that department and the performance
[Reserved] and title, by either of the following of its business.
Dated: October 19, 2016.
methods:
The Web site: http:// B. Summary of the Major Provisions of
Aaron Siegel, www.regulations.gov. Follow the the Regulatory Action
Alternate OSD Federal Register Liaison instructions at that site for submitting This NPRM establishes seven new
Officer, Department of Defense. comments. DoDGARs parts that collectively govern
[FR Doc. 2016–25700 Filed 11–4–16; 8:45 am] Mail: Department of Defense, Deputy a DoD Component’s construction of the
BILLING CODE 5001–06–P Chief Management Officer, Directorate administrative requirements portion of
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Document Created: 2018-02-14 08:21:30
Document Modified: 2018-02-14 08:21:30
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Proposed Rules | |
| Action | Proposed rule. | |
| Dates | To ensure that they can be considered in developing the final rule, comments must be received at either the Web site or mailing | |
| Contact | Wade Wargo, Basic Research Office, telephone 571-372-2941. | |
| FR Citation | 81 FR 78376 | |
| RIN Number | 0790-AJ48 | |
| CFR Associated | Business and Industry; Colleges and Universities; Cooperative Agreements; Grants Administration; Hospitals; Human Research Subjects; Indians; Nonprofit Organizations; Research Misconduct; Small Business and State and Local Governments |
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