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8 601.5 Derivative classification.
cial who authorized the original classi. Distinct from "original" classifica
fication, if that official is still serving tion is the determination that infor
in the same position; the originator's mation is in substance the same as in
successor; a supervisory official of formation currently classified, because
either; or officials delegated such auof incorporating, paraphrasing, restat thority in writing by the Director. ing or generating in new form infor (c) The Director shall conduct intermation that is already classified, and nal systematic review programs for marking the newly developed material classified information originated by consistent with the marking of the the Foundation contained in records source information. Persons who only determined by the Archivist to be perreproduce, extract, or summarize clas manently valuable but that have not sified information, or who only apply been accessioned into the National Arclassification markings derived from chives of the United States. source material or as directed by a (d) The Archivist of the United classification guide, need not possess States shall, in accordance with proceoriginal classification authority.
dures and timeframes prescribed in (a) If a person who applies derivative
the Information Security Oversight classification markings believes that Office's directives implementing E.O. the paraphrasing, restating, or sum
12356, systematically review for demarizing of classified information has
classification or downgrading, classichanged the level of or removed the
fied records accessioned into the Nabasis for classification, that person
tional Archives of the United States. must consult for a determination an
Such information shall be reviewed by appropriate official of the originating
the Archivist for declassification or agency or office of origin who has the
downgrading in accordance with sysauthority to upgrade, downgrade, or
tematic review guidelines that shall be declassify the information.
provided by the head of the agency (b) The person who applies deriva
that originated the information, or in tive classification markings shall ob
the case of foreign government inforserve and respect original classifica
mation, by the Director of Information decisions; and carry forward to
tion Security Oversight Office in conany newly created documents any as
sultation with interested agency signed authorized markings. The de
heads. classification date or event that provides the longest period of classifica
8 601.7 Mandatory declassification review. tion shall be used for documents classified on the basis of multiple sources.
(a) The Division of Administrative
Services is hereby designated as the 8 601.6 Downgrading and declassification. office to which members of the public
Executive Order 12356 prescribes a or Departments may direct requests uniform system for classifying, declas for mandatory review for declassificasifying, and safeguarding national se tion under this provision. In the case curity information.
of documents originally classified by (a) Information shall be declassified the Foundation, this office shall, in or downgraded as soon as national se turn, assign the request to the approcurity considerations permit. The Na priate office for action within 60 days. tional Science Foundation shall co In each instance, receipt of the reordinate their review of classified in quest will be acknowledged in writing formation with other agencies that immediately by the office that has have a direct interests in the subject been assigned action. A request for matter. Information that continues to classification review must reasonably meet the classification requirements describe the document. prescribed by Section 1.3 despite the (b) Whenever a request is deficient passage of time will continue to be in its description of the record sought, protected in accordance with Execu the requester should be asked to protive Order 12356.
vide additional identifying informa(b) Foundation documents may be tion to the extent possible. Whenever declassified or downgraded by the offi a request does not reasonably describe
the information sought, the requester waived for persons who are engaged in
PART 602-UNIFORM ADMINISTRAof the Classification Review Commit
TIVE REQUIREMENTS FOR GRANTS tee, and a notice that such an appeal
AND COOPERATIVE AGREEMENTS must be filed with the Foundation within 60 days in order to be consid
TO STATE AND LOCAL GOVERNered.
Sec. by another agency, the request and
602.1 Purpose and scope of this part. the document will be forwarded to the
602.2 Scope of subpart. originator of the source document,
602.3 Definitions. and the requestor notified of such re
602.5 Effect on other issuances.
602.10 Forms for applying for grants.
602.11 State plans. fied unnecessarily, improperly, or for
602.12 Special grant or subgrant conditions an inappropriate period of time. Such
for "high-risk” grantees.
Subpart C-Post-Award Requirements
FINANCIAL ADMINISTRATION lenger of actions taken. Requests for
602.20 Standards for financial manageconfidentiality will be honored.
602.22 Allowable costs.
602.26 Non-Federal audit.
CHANGES, PROPERTY, AND SUBAWARDS and authorized Government purposes.
602.30 Changes. 8 601.9 Access by historical researchers
602.31 Real property. and former Presidential appointees.
602.33 Supplies. The requirement in $ 601.8 that
602.34 Copyrights. access to classified information may be
602.35 Subawards to debarred and susgranted only as is essential to the ac
pended parties. complishment of lawful and author 602.36 Procurement. ized Government purposes may be 602.37 Subgrants.
REPORTS, RECORDS, RETENTION, AND
ENFORCEMENT 602.40 Monitoring and reporting program
performance. 602.41 Financial reporting. 602.42 Retention and access requirements
for records. 602.43 Enforcement. 602.44 Termination for convenience.
Subpart D-After-the-Grant Requirements
602.50 Closeout. 602.51 Later disallowances and adjust
ments. 602.52 Collection of amounts due.
Subpart E-Entitlements (Roservod)
AUTHORITY: 42 U.S.C. 1870(a).
SOURCE: 53 FR 8080, 8087, Mar. 11, 1988, unless otherwise noted.
EDITORIAL NOTE: For additional information, see related documents published at 49 FR 24958, June 18, 1984, 52 FR 20178, May 29, 1987, and 53 FR 8028, March 11, 1988.
8 602.1 Purpose and scope of this part.
This part establishes uniform administrative rules for Federal grants and cooperative agreements and subawards to State, local and Indian tribal governments.
(1) Earnings during a given period from services performed by the grantee and goods and other tangible property delivered to purchasers, and
(2) Amounts becoming owed to the grantee for which no current services or performance is required by the grantee.
“Acquisition cost” of an item of pur. chased equipment means the net in. voice unit price of the property includ. ing the cost of modifications, attachments, accessories, or auxiliary apparatus necessary to make the property usable for the purpose for which it was acquired. Other charges such as the cost of installation, transportation, taxes, duty or protective in-transit in. surance, shall be included or excluded from the unit acquisition cost in accordance with the grantee's regular accounting practices.
"Administrative" requirements mean those matters common to grants in general, such as financial management, kinds and frequency of reports, and retention of records. These are distinguished from "programmatic" requirements, which concern matters that can be treated only on a programby-program or grant-by-grant basis, such as kinds of activities that can be supported by grants under a particular program.
“Awarding agency" means (1) with respect to a grant, the Federal agency, and (2) with respect to a subgrant, the party that awarded the subgrant.
“Cash contributions" means the grantee's cash outlay, including the outlay of money contributed to the grantee or subgrantee by other public agencies and institutions, and private organizations and individuals. When authorized by Federal legislation, Federal funds received from other assistance agreements may be considered as grantee or subgrantee cash contributions.
“Contract" means (except as used in the definitions for “grant” and “subgrant" in this section and except where qualified by “Federal") a procurement contract under a grant or subgrant, and means à procurement subcontract under a contract.
“Cost sharing or matching" means the value of the third party in-kind contributions and the portion of the
8 602.2 Scope of subpart.
This subpart contains general rules pertaining to this part and procedures for control of exceptions from this part.
8 602.3 Definitions.
As used in this part:
“Accrued expenditures" mean the charges incurred by the grantee during a given period requiring the provision of funds for:
(1) Goods and other tangible property received;
(2) Services performed by employees, contractors, subgrantees, subcontractors, and other payees; and
(3) Other amounts becoming owed under programs for which no current services or performance is required, such as annuities, insurance claims, and other benefit payments.
"Accrued income" means the sum of:
costs of a federally assisted project or component of the entity is designated program not borne by the Federal in the grant award document. Government.
“Local government" means a county, “Cost-type contract” means a con municipality, city, town, township, tract or subcontract under a grant in local public authority (including any which the contractor or subcontractor
public and Indian housing agency is paid on the basis of the costs it under the United States Housing Act incurs, with or without a fee.
of 1937) school district, special district, "Equipment” means tangible, nonex
intrastate district, council of governpendable, personal property having a
ments (whether or not incorporated as Useful life of more than one year and
à nonprofit corporation under state an acquisition cost of $5,000 or more
law), any other regional or interstate per unit. A grantee may use its own
government entity, or any agency or definition of equipment provided that
instrumentality of a local government. such definition would at least include
"Obligations" means the amounts of all equipment defined above.
orders placed, contracts and subgrants
awarded, goods and services received, “Expenditure report” means: (1) For
and similar transactions during a given nonconstruction grants, the SF-269 "Financial Status Report” (or other
period that will require payment by
the grantee during the same or a equivalent report); (2) for construction
future period. grants, the SF-271 "Outlay Report
“OMB” means the United States and Request for Reimbursement” (or
Office of Management and Budget. other equivalent report).
“Outlays" (expenditures) mean "Federally recognized Indian tribal
charges made to the project or progovernment” means the governing
gram. They may be reported on a cash body or a governmental agency of any
or accrual basis. For reports prepared Indian tribe, band, nation, or other or
on a cash basis, outlays are the sum of ganized group or community (includ
actual cash disbursement for direct ing any Native village as defined in
charges for goods and services, the section 3 of the Alaska Native Claims
amount of indirect expense incurred, Settlement Act, 85 Stat 688) certified
the value of in-kind contributions apby the Secretary of the Interior as eli
plied, and the amount of cash adgible for the special programs and
vances and payments made to contracservices provided by him through the
tors and subgrantees. For reports preBureau of Indian Affairs.
pared on an accrued expenditure basis, “Government” means a State or
outlays are the sum of actual cash dislocal government or a federally recog bursements, the amount of indirect nized Indian tribal government.
expense incurred, the value of inkind “G nt means an award of finan contributions applied, and the new incial assistance, including cooperative crease (or decrease) in the amounts agreements, in the form of money, or owed by the grantee for goods and property in lieu of money, by the Fed other property received, for services eral Government to an eligible grant performed by employees, contractors, ee. The term does not include techni
subgrantees, subcontractors, and other cal assistance which provides services payees, and other amounts becoming instead of money, or other assistance owed under programs for which no in the form of revenue sharing, loans, current services or performance are reloan guarantees, interest subsidies, in quired, such as annuities, insurance surance, or direct appropriations. Also, claims, and other benefit payments. the term does not include assistance, “Percentage of completion method' such as a fellowship or other lump refers to a system under which paysuna award, which the grantee is not ments are made for construction work required to account for.
according to the percentage of comple“Grantee” means the government to tion of the work, rather than to the which a grant is awarded and which is grantee's cost incurred. accountable for the use of the funds “Prior approval” means documentaprovided. The grantee is the entire tion evidencing consent prior to incurlegal entity even if only a particular ring specific cost.
“Real property" means land, includ “Termination" means permanent ing land improvements, structures and withdrawal of the authority to obliappurtenances thereto, excluding mov gate previously-awarded grant funds able machinery and equipment.
before that authority would otherwise "Share", when referring to the expire. It also means the voluntary reawarding agency's portion of real linquishment of that authority by the property, equipment or supplies, grantee or subgrantee. “Termination" means the same percentage as the does not include: (1) Withdrawal of awarding agency's portion of the ac funds awarded on the basis of the quiring party's total costs under the
grantee's underestimate of the unobli. grant to which the acquisition costs
gated balance in a prior period; (2) under the grant to which the acquisi
Withdrawal of the unobligated bal. tion cost of the property was charged.
ance as of the expiration of a grant; Only costs are to be counted-not the
(3) Refusal to extend a grant or award value of third-party in-kind contribu
additional funds, to make a competing tions. “State" means any of the several
or noncompeting continuation, renewStates of the United States, the Dis
al, extension, or supplemental award; trict of Columbia, the Commonwealth
or (4) voiding of a grant upon determiof Puerto Rico, any territory or pos
nation that the award was obtained session of the United States, or any
fraudulently, or was otherwise illegal agency or instrumentality of a State
or invalid from inception. exclusive of local governments. The “Terms of a grant or subgrant” mean term does not include any public and
all requirements of the grant or subIndian housing agency under United grant, whether in statute, regulations, States Housing Act of 1937.
or the award document. “Subgrant" means an award of fi “Third party in-kind contributions" nancial assistance in the form of mean property or services which benemoney, or property in lieu of money, fit a federally assisted project or promade under a grant by a grantee to an gram and which are contributed by eligible subgrantee. The term includes non-Federal third parties without financial assistance when provided by charge to the grantee, or a cost-type contractual legal agreement, but does contractor under the grant agreement. not include procurement purchases, “Unliquidated obligations" for renor does it include any form of assist
ports prepared on a cash basis mean ance which is excluded from the defi.
the amount of obligations incurred by nition of “grant" in this part.
the grantee that has not been paid. "Subgrantee” means the government
For reports prepared on an accrued or other legal entity to which a sub
expenditure basis, they represent the grant is awarded and which is account
amount of obligations incurred by the able to the grantee for the use of the
grantee for which an outlay has not funds provided.
been recorded. “Supplies” means all tangible personal property other than "equip
“Unobligated balance” means the ment as defined in this part.
portion of the funds authorized by the "Suspension" means depending on
Federal agency that has not been oblithe context, either (1) temporary
gated by the grantee and is deterwithdrawal of the authority to obli
mined by deducting the cumulative obgate grant funds pending corrective
ligations from the cumulative funds action by the grantee or subgrantee or
authorized. a decision to terminate the grant, or (2) an action taken by a suspending of
8 602.4 Applicability. ficial in accordance with agency regu (a) General. Subparts A through D lations implementing E.O. 12549 to im. of this part apply to all grants and mediately exclude a person from par subgrants to governments, except ticipating in grant transactions for a where inconsistent with Federal statperiod, pending completion of an in utes or with regulations authorized in vestigation and such legal or debar accordance with the exception proviment proceedings as may ensue.
sion of $ 602.6, or: