cfr_sections
Data license: Public Domain (U.S. Government data) · Data source: Federal Register API & Regulations.gov API
307 rows where agency = "FMCS" sorted by section_id
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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 29:29:4.1.3.1.1.1.1.1 | 29 | Labor | XII | 1400 | PART 1400—STANDARDS OF CONDUCT, RESPONSIBILITIES, AND DISCIPLINE | A | Subpart A—General | § 1400.735-3 Advice and counseling service. | FMCS | The Director will designate a counselor for the Service on all matters relating to the conduct and responsibilities of employees, and special Government employees, under the Executive order. The counselor is responsible for providing individual employees with interpretations on questions of conflicts of interest, and other matters covered by this part. (Due to the small size of the Federal Mediation and Conciliation Service, it is unrealistic to designate deputy counselors, and therefore, all questions concerning matters covered in this part should be directed to the one counselor appointed by the Director.) | |||||
| 29:29:4.1.3.1.1.2.1.1 | 29 | Labor | XII | 1400 | PART 1400—STANDARDS OF CONDUCT, RESPONSIBILITIES, AND DISCIPLINE | B | Subpart B—Employees: Ethical and Other Conduct and Responsibilities | § 1400.735-19 Influencing Members of Congress. | FMCS | No money appropriated to the Service shall be used by any employee of the Service to pay for any personal service, printed or written matter, or other devices intended to influence any Member of Congress regarding any legislation or appropriation before the Congress. | |||||
| 29:29:4.1.3.1.1.2.1.2 | 29 | Labor | XII | 1400 | PART 1400—STANDARDS OF CONDUCT, RESPONSIBILITIES, AND DISCIPLINE | B | Subpart B—Employees: Ethical and Other Conduct and Responsibilities | § 1400.735-20 Code of Professional Conduct for FMCS Mediators. | FMCS | [88 FR 4728, Jan. 25, 2023] | The Federal Mediation and Conciliation Service has a Code of Professional Conduct for FMCS Mediators. Mediators in the Federal Mediation and Conciliation Service are required to conduct themselves in accordance with the responsibilities outlined therein. | ||||
| 29:29:4.1.3.1.1.2.1.3 | 29 | Labor | XII | 1400 | PART 1400—STANDARDS OF CONDUCT, RESPONSIBILITIES, AND DISCIPLINE | B | Subpart B—Employees: Ethical and Other Conduct and Responsibilities | § 1400.735-21 Miscellaneous statutory provisions. | FMCS | Each employee shall acquaint himself with the statutes that relate to his ethical and other conduct as an employee of the Federal Mediation and Conciliation Service and of the Government. The attention of all employees is directed to the following statutory provisions and to the accompanying chart of penalties and statutory references: (a) House Concurrent Resolution 175, 85th Congress, 2d session, 72 Stat. B12, the “Code of Ethics for Government Service.” (b) Chapter 11 of title 18, United States Code, relating to bribery, graft, and conflicts of interest, as appropriate to the employees concerned. (c) The prohibition against lobbying with appropriated funds (18 U.S.C. 1913). (d) The prohibitions against disloyalty and striking (5 U.S.C. 7311, 18 U.S.C. 1918). (e) The prohibition against the employment of a member of a Communist organization (50 U.S.C. 784). (f) The prohibitions against (1) the disclosure of classified information (18 U.S.C. 798, 50 U.S.C. 783); and (2) the disclosure of confidential information (18 U.S.C. 1905). (g) The provisions relating to the habitual use of intoxicants to excess (5 U.S.C. 7352). (h) The prohibition against the misuse of a Government vehicle (31 U.S.C. 638a (c)). (i) The prohibition against the misuse of the franking privilege (18 U.S.C. 1719). (j) The prohibition against the use of deceit in an examination of personnel action in connection with Government employment (18 U.S.C. 1917). (k) The prohibition against fraud or false statements in a Government matter (18 U.S.C. 1001). (l) The prohibition against mutilating or destroying a public record (18 U.S.C. 2071). (m) The prohibition against counterfeiting and forging transportation requests (18 U.S.C. 508). (n) The prohibitions against (1) embezzlement of Government money or property (18 U.S.C. 641); (2) failing to account for public money (18 U.S.C. 643); and (3) embezzlement of the money or property of another person in the possession of an employee by reason of his employment (18 U.S.C. 654). (o) The prohi… | |||||
| 29:29:4.1.3.1.1.3.1.1 | 29 | Labor | XII | 1400 | PART 1400—STANDARDS OF CONDUCT, RESPONSIBILITIES, AND DISCIPLINE | F | Subpart F—Disciplinary Actions and Penalties | § 1400.735-60 Disciplinary actions. | FMCS | The Service shall take prompt disciplinary action against an employee committing prohibited activity, or whose conduct is prejudicial to the best interests of the Service, or of a nature to bring discredit to it. There are four major types of disciplinary action possible, following the above proceedings. (a) Reprimand. An official reprimand usually shall be issued to an employee or special Government employee for a first offense which is not serious. (b) Suspension. Under Civil Service and Federal Mediation and Conciliation Service regulations, an employee or special Government employee may be suspended without pay during the course of an investigation of alleged criminal, infamous, dishonest, immoral, or notoriously disgraceful conduct. Also, an employee may be suspended without pay for a definite period of time because of some offense of a less serious nature for which more drastic action is not justified. (c) Demotion. When such action will “promote the efficiency of the Service,” an employee or special Government employee may be demoted because of some offense for which more drastic action is not justified. (d) Separation. The Service is responsible for the prompt dismissal of unsatisfactory, incompetent, or unfit employees. Separation (dismissal or removal) can be the penalty for a single breach of conduct that is extremely serious in nature. | |||||
| 29:29:4.1.3.1.1.3.1.2 | 29 | Labor | XII | 1400 | PART 1400—STANDARDS OF CONDUCT, RESPONSIBILITIES, AND DISCIPLINE | F | Subpart F—Disciplinary Actions and Penalties | § 1400.735-61 Notice to and appeal of employee. | FMCS | The Director of Administrative Management will prepare charges and institute proceedings, which in all cases will be in accordance with Civil Service procedures for disciplinary actions against status employees. Such proceedings will include notification to the employee of his appeal rights. | |||||
| 29:29:4.1.3.1.10.0.1.1 | 29 | Labor | XII | 1425 | PART 1425—MEDIATION ASSISTANCE IN THE FEDERAL SERVICE | § 1425.1 Definitions. | FMCS | As used in this part: (a) The Service means Federal Mediation and Conciliation Service. (b) Party or Parties means (1) any appropriate activity, facility, geographical subdivision, or combination thereof, of an agency as that term is defined in 5 U.S.C. 7103(3), or (2) a labor organization as that term is defined in 5 U.S.C. 7103(4). (c) Third-party mediation assistance means mediation by persons other than FMCS commissioners. (d) Provide its services means to make the services and facilities of the Service available either on its own motion or upon the special request of one or both of the parties. | |||||||
| 29:29:4.1.3.1.10.0.1.2 | 29 | Labor | XII | 1425 | PART 1425—MEDIATION ASSISTANCE IN THE FEDERAL SERVICE | § 1425.2 Notice to the Service of agreement negotiations. | FMCS | [60 FR 2509, Jan. 10, 1995] | (a) In order that the Service may provide assistance to the parties, the party initiating negotiations shall file a notice with the FMCS Notice Processing Unit, 2100 K Street, N.W., Washington, D.C. 20427, at least 30 days prior to the expiration or modification date of an existing agreement, or 30 days prior to the reopener date of an existing agreement. In the case of an initial agreement the notice shall be filed within 30 days after commencing negotiations. (b) Parties engaging in mid-term or impact and/or implementation bargaining are encouraged to send a notice to FMCS if assistance is desired. Such notice may be sent by either party or may be submitted jointly. In regard to such notices a brief listing should be general in nature e.g., smoking policies, or Alternative Work Schedules (AWS). (c) Parties requesting grievance mediation must send a request signed by both the union and the agency involved. Receipt of such request does not commit FMCS to provide its services. FMCS has the discretion to determine whether or not to perform grievance mediation, as such service may not be appropriate in all cases. (d) The guidelines for FMCS grievance mediation are: (1) The parties shall submit a joint request, signed by both parties requesting FMCS assistance. The parties agree that grievance mediation is a supplement to, and not a substitute for, the steps of the contractual grievance procedure. (2) The grievant is entitled to be present at the grievance mediation conference. (3) Any times limits in the parties labor agreement must be waived to permit the grievance to proceed to arbitration should mediation be unsuccessful. (4) Proceedings before the mediator will be informal and rules of evidence do not apply. No record, stenographic or tape recordings of the meetings will be made. The mediators notes are confidential and content shall not be revealed. (5) The mediator shall conduct the mediation conference utilizing all of the customary techniques associated with mediation including the use of separate ca… | ||||||
| 29:29:4.1.3.1.10.0.1.3 | 29 | Labor | XII | 1425 | PART 1425—MEDIATION ASSISTANCE IN THE FEDERAL SERVICE | § 1425.3 Functions of the Service under title VII of the Civil Service Reform Act. | FMCS | (a) The service may provide its assistance in any negotiation dispute when earnest efforts by the parties to reach agreement through direct negotiation have failed to resolve the dispute. When the existence of a negotiation dispute comes to the attention of the Service through a specific request for mediation from one or both of the parties, through notification under the provisions of § 1425.2, or otherwise, the Service will examine the information concerning the dispute and if, in its opinion, the need for mediation exists, the Service will use its best efforts to assist the parties to reach agreement. (b) The Service may, at the outset of negotiations or at any time in the dispute, set time limits on its participation. If no settlement of the dispute is reached by the expiration of the time limits, the Service may make suggestions for settlement to the parties. If suggestions for settlement made by the Service are not accepted by the parties within time limits set by the Service, the matter may be referred to the Federal Services Impasses Panel (FSIP). | |||||||
| 29:29:4.1.3.1.10.0.1.4 | 29 | Labor | XII | 1425 | PART 1425—MEDIATION ASSISTANCE IN THE FEDERAL SERVICE | § 1425.4 Duty of parties. | FMCS | It shall be the duty of the parties to participate fully and promptly in any meetings arranged by the Service for the purpose of assisting in the settlement of a negotiation dispute. | |||||||
| 29:29:4.1.3.1.10.0.1.5 | 29 | Labor | XII | 1425 | PART 1425—MEDIATION ASSISTANCE IN THE FEDERAL SERVICE | § 1425.5 Referral to FSIP. | FMCS | If the mediation process has been completed and the parties are at a negotiation impasse, the Service or the parties may request consideration of the matter by the Federal Services Impasses Panel. The Service shall not refer a case to FSIP until the mediation process has been exhausted and the parties are at a negotiation impasse. | |||||||
| 29:29:4.1.3.1.10.0.1.6 | 29 | Labor | XII | 1425 | PART 1425—MEDIATION ASSISTANCE IN THE FEDERAL SERVICE | § 1425.6 Use of third-party mediation assistance. | FMCS | If the parties should mutually agree to third-party mediation assistance other than that of the Service, both parties shall immediately inform the Service in writing of this agreement. Such written communication shall be filed with the regional director of the region in which the negotiation is scheduled, and shall state what alternate assistance the parties have agreed to use. | |||||||
| 29:29:4.1.3.1.11.0.1.1 | 29 | Labor | XII | 1430 | PART 1430—FEDERAL MEDIATION AND CONCILIATION SERVICE ADVISORY COMMITTEES | § 1430.1 Scope and purpose. | FMCS | (a) This part contains the Federal Mediation and Conciliation Service's regulations implementing section 8(a) of the Federal Advisory Committee Act (Pub. L. 92-463, 86 Stat. 770, (5 U.S.C. App.)), which requires each agency head to establish uniform guidelines and management controls for the advisory committees. These regulations supplement the Government-wide guidelines issued jointly by the Office of Management and Budget and the Department of Justice, and should be read in conjunction with them. (b) The regulations provided under this part do not apply to statutorily created or established advisory committees of the Service, to the extent that such statutes have specific provisions different from those promulgated herein. | |||||||
| 29:29:4.1.3.1.11.0.1.2 | 29 | Labor | XII | 1430 | PART 1430—FEDERAL MEDIATION AND CONCILIATION SERVICE ADVISORY COMMITTEES | § 1430.2 Definitions. | FMCS | For the purposes of this part: (a) The term Act means the Federal Advisory Committee Act; (b) The term advisory committee means any committee, board, commission, counsel, conference, panel, task force, or other similar group, or any subgroup or subcommittee thereof which is: (1) Established by statute or reorganization, plan, or (2) Established or utilized by the President, or (3) Established or utilized by one or more agencies or officers of the Federal Government in the interest of obtaining advice or recommendations for the President or one or more agencies of the Federal Government, except that such term excludes: (i) The Advisory Commission on Intergovernmental Relations; (ii) The Commission on Government Procurement; and (iii) Any committee which is composed wholly of full-time officers or employees of the Federal Government. (c) The term agency has the same meaning as in 5 U.S.C. 552(1); (d) The term committee management officer means the Federal Mediation and Conciliation Service employee or his delegee, officially designated to perform the advisory committee management functions delineated in this part; (e) The term Service means the Federal Mediation and Conciliation Service; (f) The term OMB means the Office of Management and Budget; (g) The term Director means the Director of the Federal Mediation and Conciliation Service; (h) The term secretariat means the OMB Committee Management Secretariat. | |||||||
| 29:29:4.1.3.1.11.0.1.3 | 29 | Labor | XII | 1430 | PART 1430—FEDERAL MEDIATION AND CONCILIATION SERVICE ADVISORY COMMITTEES | § 1430.3 Establishment of advisory committees. | FMCS | (a) Guidelines for establishing advisory committees. The guidelines in establishing advisory committees are as follows: (1) No advisory committee shall be established if its functions are being or could be performed by an agency or an existing committee; (2) The purpose of the advisory committee shall be clearly defined; (3) The membership of the advisory committee shall be fairly balanced in terms of the points of view represented and the committee's functions; (4) There shall be appropriate safeguards to assure that an advisory committee's advice and recommendations will not be inappropriately influenced by any special interests; and (5) At least once a year, a report shall be prepared for each advisory committee, describing the committee's membership, functions, and actions. (b) Advisory committees established by the Service not pursuant to specific statutory authority. (1) Advisory committees established by the Service not pursuant to specific statutory authority may be created by the Director after consultation with the secretariat. (2) When the Director determines that such an advisory committee needs to be established, he shall notify the secretariat of his determination and shall inform the secretariat of the nature and purpose of the committee, the reasons why the committee is needed, and the inability of any existing agency or committee to perform the committee's functions. (3) After the secretariat has determined that establishment of such a committee is in conformance with the Act and has so informed the Director, the Director shall prepare a certification of the committee, stating the committee's nature and purpose, and that it is established in the public interest. That certification shall be published in the Federal Register. (c) Advisory committees created pursuant to Presidential directive. Advisory committees established by Presidential directive are those created pursuant to Executive Order, executive memorandum, or reorganization plan. The Director shall create such committees … | |||||||
| 29:29:4.1.3.1.11.0.1.4 | 29 | Labor | XII | 1430 | PART 1430—FEDERAL MEDIATION AND CONCILIATION SERVICE ADVISORY COMMITTEES | § 1430.4 Filing of advisory committee charter. | FMCS | (a) Filing charter with Director. Before an advisory committee takes any action or conducts any business, a charter shall be filed with the Director, the standing committees of Congress with legislative jurisdiction over the Service, and the Library of Congress. Except for a committee in existence on the effective date of the Act, or when authorized by statute, Presidential directive, or by the secretariat, such charter shall be filed no earlier than 30 days after publication of the committee's certification in the Federal Register. (b) Charter information. A charter shall contain the following information: (1) The committee's official designation; (2) The committee's objectives and scope of activity; (3) The period of time necessary for the committee to carry out its purposes; (4) The agency or official to whom the advisory committee reports; (5) The agency responsible for providing necessary support; (6) A description of the committee's duties; (7) The estimated number and frequency of committee meetings; (8) The estimated annual operating costs in dollars and man-years; (9) The committee's termination date, if less than two years; and (10) The date the charter is filed. (c) Preparation and filing of initial charter. Responsibility for preparation of the initial committee charter shall be with the head of the appropriate program within the Service, in cooperation with the committee management officer. The Director of Administration shall have responsibility for assuring the appropriate filings of such charters. | |||||||
| 29:29:4.1.3.1.11.0.1.5 | 29 | Labor | XII | 1430 | PART 1430—FEDERAL MEDIATION AND CONCILIATION SERVICE ADVISORY COMMITTEES | § 1430.5 Termination of advisory committees. | FMCS | (a) All nonstatutory advisory committees including those authorized, but not specifically created by statute, shall terminate no later than 2 years after their charters have been filed, unless renewed as provided in § 1430.6. (b) The charter of any committee in existence on the date the Act became effective (January 5, 1973) shall terminate no later than January 5, 1975, unless renewed, as provided in § 1430.6. (c) Advisory committees specifically created by statute shall terminate as provided in the establishing statute. | |||||||
| 29:29:4.1.3.1.11.0.1.6 | 29 | Labor | XII | 1430 | PART 1430—FEDERAL MEDIATION AND CONCILIATION SERVICE ADVISORY COMMITTEES | § 1430.6 Renewal of advisory committees. | FMCS | (a) Renewal of advisory committees not created pursuant to specific statutory authority. (1) The Director may renew an advisory committee not created pursuant to specific statutory authority after consultation with the secretariat. (2) When the Director determines that such an advisory committee should be renewed, he shall so advise the secretariat within 60 days prior to the committee's termination date and shall state the reasons for his determination. (3) Upon concurrence of the secretariat, the Director shall publish notice of the renewal in the Federal Register and cause a new charter to be prepared and filed in accordance with the provisions of § 1430.3. (b) Renewal of advisory committees established pursuant to specific statutory authority. The Director may renew advisory committees established pursuant to specific statutory authority through the filing of a new charter at appropriate 2-year intervals. (c) No advisory committee shall take any action or conduct any business during the period of time between its termination date and the filing of its renewal charter. | |||||||
| 29:29:4.1.3.1.11.0.1.7 | 29 | Labor | XII | 1430 | PART 1430—FEDERAL MEDIATION AND CONCILIATION SERVICE ADVISORY COMMITTEES | § 1430.7 Application of the Freedom of Information Act to advisory committee functions. | FMCS | (a) Subject to 5 U.S.C. 552, the records, reports, transcripts, minutes, appendices, working papers, drafts, studies, agenda, and other documents which are made available to or are prepared for or by an advisory committee shall be available to the public. (b) Advisory committee meeting conducted in accordance with § 1430.7 may be closed to the public when discussing a matter that is of a 5 U.S.C. 552(b) nature, whether or not the discussion centers on a written document. (c) No record, report, or other document prepared for or by an advisory committee may be withheld from the public unless the Office of the General Counsel determines that the document is properly within the exemptions of 5 U.S.C. 552(b). No committee meeting, or portion thereof, may be closed to the public unless the Office of the General Counsel determines in writing, prior to publication of the meeting in the Federal Register that such a closing is within the exemptions of 5 U.S.C. 552(b). | |||||||
| 29:29:4.1.3.1.11.0.1.8 | 29 | Labor | XII | 1430 | PART 1430—FEDERAL MEDIATION AND CONCILIATION SERVICE ADVISORY COMMITTEES | § 1430.8 Advisory committee meetings. | FMCS | (a) Initiation of meetings. (1) Committee meetings may be called by: (i) The Director or the head of the office most directly concerned with the committee's activities; (ii) The agency officer referred to in paragraph (a)(1)(i) of this section, and the committee chairman, jointly; or (iii) The committee chairman, with the advance approval of the officer referred to in paragraph (a)(1)(i) of this section. (2) The Service's committee management officer shall be promptly informed that a meeting has been called. (b) Agenda. Committee meetings shall be based on agenda approved by the officer referred to in paragraph (a)(1) of this section. Such agenda shall note those items which may involve matters which have been determined by the Office of the General Counsel as coming within the exemptions to the Freedom of Information Act, 5 U.S.C. 552(b). (c) Notice of meetings. (1) Notice of advisory committee meetings shall be published in the Federal Register at least 7 days before the date of the meeting, irrespective of whether a particular meeting will be open to the public. Notice to interested persons shall also be provided in such other reasonable ways as are appropriate under the circumstances, such as press release or letter. Responsibility for preparation of Federal Register and other appropriate notice shall be with the officer referred to in paragraph (a)(1) of this section. (2) Notice in the Federal Register shall state all pertinent information related to a meeting and shall be published at least 7 days prior to a meeting. (d) Presence of agency officer or employee at meetings. No committee shall meet without the presence of the officer referred to in paragraph (a)(1) of this section, or his delegate. At his option the officer or employee may elect to chair the meeting. (e) Minutes. Detailed minutes shall be kept of all committee meetings and shall be certified by the chairman of the advisory committee as being accurate. (f) Adjournment. The officer or employee referred to in paragraph… | |||||||
| 29:29:4.1.3.1.11.0.1.9 | 29 | Labor | XII | 1430 | PART 1430—FEDERAL MEDIATION AND CONCILIATION SERVICE ADVISORY COMMITTEES | § 1430.9 Agency management of advisory committees. | FMCS | Consistent with the other provisions of this part, the Service's advisory committee management officer shall: (a) Exercise control and supervision over the establishment, procedures, and accomplishments of advisory committees established by the Service; (b) Assemble and maintain the reports, records, and other papers of advisory committees, during their existence; (c) Carry out, with the concurrence of the Office of the General Counsel, the provisions of the Freedom of Information Act, as those provisions apply to advisory committees; (d) Have available for public inspection and copying all pertinent documents of advisory committees which are within the purview of the Freedom of Information Act; and (e) When transcripts have been made of advisory committee meetings, provide for such transcripts to be made available to the public at actual cost of duplication, except where prohibited by contractual agreements entered into prior to January 5, 1973, the effective date of the Federal Advisory Committee Act. | |||||||
| 29:29:4.1.3.1.12.0.1.1 | 29 | Labor | XII | 1440 | PART 1440—ARBITRATION OF PESTICIDE DATA DISPUTES | § 1440.1 Arbitration of pesticide data disputes. | FMCS | (a) Persons requesting the appointment of an arbitrator under section 3(c)(1)(D)(ii) and section 3(c)(2)(B)(iii) of the Federal Insecticide, Fungicide, and Rodenticide Act (7 U.S.C. 136, as amended), shall send such requests in writing to the appropriate American Arbitration Association Regional Office. Such requests must include the names, addresses, and telephone numbers of the parties to the dispute; issue(s) in dispute, the amount in dollars or any other remedy sought; sufficient facts to show that the statutory waiting period has passed, and the appropriate fee provided in the Fee Schedule. (b) For the purpose of compliance with the Federal Insecticide, Fungicide, and Rodenticide Act (hereinafter “the Act”), the roster of arbitrators maintained by the Federal Mediation and Conciliation Service shall be the roster of commercial arbitrators maintained by the American Arbitration Association. Under this Act, arbitrators will be appointed from that roster. The fees of the American Arbitration Association shall apply, and the procedure and rules of the Federal Mediation and Conciliation Service, applicable to arbitration proceedings under the Act, shall be the FIFRA arbitration rules of the American Arbitration Association, which are hereby made a part of this regulation. | |||||||
| 29:29:4.1.3.1.13.1.1.1 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | A | Subpart A—General Provisions | § 1450.1 Definitions. | FMCS | (a) The term agency means the Federal Mediation and Conciliation Service (FMCS) or any other agency of the U.S. Government as stated at § 1450.20. (b) The term agency head means the Director of the Federal Mediation and Conciliation Service. (c) The terms appropriate agency official or designee mean the Director of the Financial Management Staff of FMCS, or such other official as may be named in the future by the Director of FMCS. (d) The terms claim and debt are deemed synonymous and interchangeable. They refer to an amount of money or property which has been determined by an appropriate agency official to be owed to the United States from any person, organization or entity, except another Federal agency. (e) A debt is considered delinquent if it has not been paid by the date specified in the agency's written notification or applicable contractual agreement, unless other satisfactory payment arrangements have been made by that date, or if at any time thereafter the debtor fails to satisfy obligations under a payment agreement with the agency. (f) The term referral for litigation means referral to the Department of justice for appropriate legal proceedings. | |||||
| 29:29:4.1.3.1.13.1.1.2 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | A | Subpart A—General Provisions | § 1450.2 Exceptions. | FMCS | (a) Claims arising from the audit of transportation accounts pursuant to 31 U.S.C. 3726 shall be determined, collected, compromised, terminated or settled in accordance with regulations published under the authority of 31 U.S.C. 3726 (see 41 CFR part 101-41). (b) Claims arising out of acquisition contracts subject to the Federal Acquisition Regulations (FAR) shall be determined, collected, compromised, terminated, or settled in accordance with those regulations. (See 48 CFR part 32). If not otherwise provided for in the FAR system, contract claims that have been the subject of a contracting officer's final decision in accordance with section 6(a) of the Contract Disputes Act of 1978 (41 U.S.C. 605)(a)), may be determined, collected, compromised, terminated or settled under the provisions of this regulation, except that no additional review of the debt shall be granted beyond that provided by the contracting officer in accordance with the provisions of section 6 of the Contract Disputes Act of 1978 (41 U.S.C. 605), and the amount of any interest, administrative charge, or penalty charge shall be subject to the limitations, if any, contained in the contract out of which the claim arose. (c) Claims based in whole or in part on conduct in violation of the antitrust laws, or in regard to which there is an indication of fraud, presentation of a false claim, or misrepresentation on the part of the debtor or any other party having an interest in the claim, shall be referred to the Department of Justice (DOJ) as only the DOJ has authority to compromise, suspend, or terminate collection action on such claims. (d) Tax claims are also excluded from the coverage of this regulation. | |||||
| 29:29:4.1.3.1.13.1.1.3 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | A | Subpart A—General Provisions | § 1450.3 Use of procedures. | FMCS | Procedures authorized by this regulation (including, but not limited to, disclosure to a consumer reporting agency, contracting for collection services, administrative offset and salary offset) may be used singly or in combination, so long as the requirements of applicable law and regulation are satisfied. | |||||
| 29:29:4.1.3.1.13.1.1.4 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | A | Subpart A—General Provisions | § 1450.4 Conformance to law and regulations. | FMCS | The requirements of applicable law (31 U.S.C 3701-3719 and 5 U.S.C. 5514 as amended by Pub. L. 97-365, 96 Stat. 1749) have been implemented in Governmentwide standards: (a) The Regulations of the Office of Personnel Management (5 CFR part 550), (b) The Federal Claims Collection Standards issued jointly by the General Accounting Office and the Department of Justice (4 CFR parts 101-105), and (c) The procedures prescribed by the Office of Management and Budget in Circular A-129 of May 9, 1985. Not every item in the above described standards has been incorporated or referenced in this regulation. To the extent, however, that circumstances arise which are not covered by the terms stated in this regulation, FMCS will proceed in any actions taken in accordance with applicable requirements found in the sources referred to in paragraphs (a), (b), and (c) of this section. | |||||
| 29:29:4.1.3.1.13.1.1.5 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | A | Subpart A—General Provisions | § 1450.5 Other procedures. | FMCS | Nothing contained in this regulation is intended to require FMCS to duplicate administrative proceedings required by contract or other laws or regulations. | |||||
| 29:29:4.1.3.1.13.1.1.6 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | A | Subpart A—General Provisions | § 1450.6 Informal action. | FMCS | Nothing contained in this regulation is intended to preclude utilization of informal administrative actions or remedies which may be available. | |||||
| 29:29:4.1.3.1.13.1.1.7 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | A | Subpart A—General Provisions | § 1450.7 Return of property. | FMCS | Nothing contained in this regulation is intended to deter FMCS from demanding the return of specific property or from demanding, the return of the property or the payment of its value. | |||||
| 29:29:4.1.3.1.13.1.1.8 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | A | Subpart A—General Provisions | § 1450.8 Omissions not a defense. | FMCS | The failure of FMCS to comply with any provision in this regulation shall not serve as a defense to the debt. | |||||
| 29:29:4.1.3.1.13.2.1.1 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | B | Subpart B—Administrative Offset—Consumer Reporting Agencies—Contracting for Collection | § 1450.9 Demand for payment. | FMCS | Prior to making an administrative offset, demand for payment will be made as stated below: (a) Written demands shall be made promptly upon a debtor in terms which inform the debtor of the consequences of failure to cooperate. A total of three progressively stronger written demands at not more than 30-day intervals will normally be made unless a response to the first or second demand indicates that a further demand would be futile and the debtor's response does not require rebuttal. In determining the timing of demand letters, FMCS will give due regard to the need to act promptly so that, as a general rule, if necessary to refer the debt to the Department of Justice for litigation, such referral can be made within one year of the agency's final determination of the fact and the amount of the debt. When necessary to protect the Government's interest (for example, to prevent the statute of limitations, 28 U.S.C. 2415, from expiring), written demand may be preceded by other appropriate actions under this subpart including immediate referral for litigation. (b) The initial demand letter will inform the debtor of: (1) The basis for the indebtedness and the right of the debtor to request review within the agency; (2) The applicable standards for assessing interest, penalties, and administrative costs (subpart D of this regulation) and (3) The date by which payment is to be made, which normally should be not more than 30 days from the date that the initial demand letter was mailed or hand-delivered. FMCS will exercise care to insure that demand letters are mailed or hand-delivered on the same day that they are actually dated. Apart from this, there is no prescribed format for the demand letters. (c) As appropriate to the circumstances, FMCS may include either in the initial demand letter or in subsequent letters, matters relating to alternative methods of payment, policies with respect to use of consumer reporting agencies and collection services, the agency's intentions with respect to referral of the debt to the … | |||||
| 29:29:4.1.3.1.13.2.1.2 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | B | Subpart B—Administrative Offset—Consumer Reporting Agencies—Contracting for Collection | § 1450.10 Collection by administrative offset. | FMCS | (a) Collection by administrative offset will be undertaken in accordance with these regulations on all claims which are liquidated or certain in amount, in every instance in which such collection is determined to be feasible and not otherwise prohibited. (1) For purposes of this section, the term “administrative offset” is the same as stated in 31 U.S.C. 3716(a)(1). (2) Whether collection by administrative offset is feasible is a determination to be made by the agency on a case-by-case basis, in the exercise of sound discretion. FMCS will consider not only whether administrative offset can be accomplished practically, but also whether offset is best suited to further and protect all of the Government's interests. In appropriate circumstances, FMCS may give due consideration to the debtor's financial condition and is not required to use offset in every instance in which there is an available source of funds. FMCS may also consider whether offset would tend to substantially interfere with or defeat the purposes of the program authorizing the payments against which offset is contemplated. For example, under a grant program in which payments are made in advance of the grantee's performance, offset will normally be inappropriate. This concept generally does not apply, however, where payment is in the form of reimbursement. (b) Before the offset is made, a debtor shall be provided with the following: Written notice of the nature and amount of the debt, and the agency's intention to collect by offset; opportunity to inspect and copy agency records pertaining to the debt; opportunity to obtain review within the agency of the determination of indebtedness; and opportunity to enter into a written agreement with the agency to repay the debt. FMCS may also make requests for offset to other agencies holding funds payable to the debtor, and process requests for offset that are received from other agencies. (1) FMCS will exercise sound judgment in determining whether to accept a repayment agreement in lieu of offset. The de… | |||||
| 29:29:4.1.3.1.13.2.1.3 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | B | Subpart B—Administrative Offset—Consumer Reporting Agencies—Contracting for Collection | § 1450.11 Administrative offset against amounts payable from Civil Service Retirement and Disability Fund. | FMCS | (a) Unless otherwise prohibited by law, FMCS may request that moneys which are due and payable to a debtor from the Civil Service Retirement and Disability Fund be administratively offset in reasonable amounts in order to collect in one full payment, or a minimal number of payments, debts owed to the United States by the debtor. Such requests shall be made to the appropriate officials of the Office of Personnel Management in accordance with such regulations as may be prescribed by the Director of that Office. (b) When making a request for administrative offset under paragraph (a) of this section, FMCS shall include a written certification that: (1) The debtor owes the United States a debt, including the amount of the debt; (2) The FMCS has complied with the applicable statutes, regulations, and procedures of the Office of Personnel Management; and (3) The FMCS has complied with the requirements of § 1450.10 of this subpart, including any required hearing or review. (c) Once FMCS decides to request adminstrative offset under paragraph (a) of this section, it will make the request as soon as practical after completion of the applicable procedures in order that the Office of Personnel Management may identify and “flag” the debtor's account in anticipation of the time when the debtor requests or become eligible to receive payments from the Fund. This will satisfy any requirement that offset be initiated prior to expiration of the applicable statute of limitations. At such time as the debtor makes a claim for payments from the Fund, if at least a year has elapsed since the offset request was originally made, the debtor should be permitted to offer a satisfactory payment plan in lieu of offset upon establishing that changed financial circumstances would render the offset unjust. (d) If FMCS collects part or all of the debt by other means before deductions are made or completed pursuant to paragraph (a) of this section, FMCS shall act promptly to modify or terminate its request for offset under paragraph (a) of th… | |||||
| 29:29:4.1.3.1.13.2.1.4 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | B | Subpart B—Administrative Offset—Consumer Reporting Agencies—Contracting for Collection | § 1450.12 Collection in installments. | FMCS | (a) Whenever feasible, and except as otherwise provided by law, debts owed to the United States, together with interest, penalties, and administrative costs as required by this regulation should be collected in full in one lump sum. This is true whether the debt is being collected by administrative offset or by another method, including voluntary payment. However, if the debtor is financially unable to pay the indebtedness in one lump sum, payment may be accepted in regular installments. FMCS will obtain financial statements from debtors who represent that they are unable to pay the debt in one lump sum. If FMCS agrees to accept payment in regular installments it will obtain a legally enforceable written agreement from the debtor which specifies all of the terms of the arrangement and which contains a provision accelerating the debt in the event the debtor defaults. The size and frequency of installment payments should bear a reasonable relation to the size of the debt and the debtor's ability to pay. If possible, the installment payments should be sufficient in size and frequency to liquidate the Government's claim in not more than 3 years. Installment payments of less than $50 per month will be accepted only if justifiable on the grounds of financial hardship or some other reasonable cause. (b) If the debtor owes more than one debt and designates how a voluntary installment payment is to be applied as among those debts, that designation must be followed. If the debtor does not designate the application of the payment, FMCS will apply payments to various debts in accordance with the best interests of the United States, as determined by the facts and circumstances of the particular case, paying special attention to applicable statutes of limitations. | |||||
| 29:29:4.1.3.1.13.2.1.5 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | B | Subpart B—Administrative Offset—Consumer Reporting Agencies—Contracting for Collection | § 1450.13 Exploration of compromise. | FMCS | FMCS may attempt to effect compromise, preferably during the course of personal interviews, in accordance with the standards set forth in part 103 of the Federal Claims Collection Standards (4 CFR part 103). | |||||
| 29:29:4.1.3.1.13.2.1.6 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | B | Subpart B—Administrative Offset—Consumer Reporting Agencies—Contracting for Collection | § 1450.14 Suspending or termination collection action. | FMCS | The suspension or termination of collection action shall be made in accordance with the standards set forth in part 104 of the Federal Claims Collection Standards (4 CFR part 104). | |||||
| 29:29:4.1.3.1.13.2.1.7 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | B | Subpart B—Administrative Offset—Consumer Reporting Agencies—Contracting for Collection | § 1450.15 Referrals to the Department of Justice or the General Accounting Office. | FMCS | Referrals to the Department of Justice or the General Accounting Office shall be made in accordance with the standards set forth in part 105 of the Federal Claims Collection Standards (4 CFR part 105). | |||||
| 29:29:4.1.3.1.13.2.1.8 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | B | Subpart B—Administrative Offset—Consumer Reporting Agencies—Contracting for Collection | § 1450.16 Use of consumer reporting agencies. | FMCS | (a) The term individual means a natural person, and the term “consumer reporting agency” has the meaning provided in the Federal Claims Collection Act, as amended, at 31 U.S.C. 3701(a)(3) or the Fair Credit Reporting Act, at 15 U.S.C. 1681a(f). (b) FMCS may disclose to a consumer reporting agency, from a system of records, information that an individual is responsible for a claim if— (1) Notice required by section 5 U.S.C. 552(a)(e)(4) indicates that information in the system may be disclosed to a consumer reporting agency; (2) The claim has been reviewed and it is decided that the claim is valid and overdue; (3) FMCS has notified the individual in writing— (i) That payment of the claim is overdue; (ii) That, within not less than 60 days after sending the notice, FMCS intends to disclose to a consumer reporting agency that the individual is responsible for that claim; (iii) Of the specific information to be disclosed to the consumer reporting agency; and (iv) Of the rights the individual has to a complete explanation of the claim, to dispute information in the records of the agency about the claim, and to administrative appeal or review of the claim; and (4) The individual has not— (i) Repaid or agreed to repay the claim under a written repayment plan that the individual has signed and the agency has agreed to; or (ii) Filed for review of the claim under paragraph (g) of this section; (c) FMCS will also—(1) Disclose promptly, to each consumer reporting agency to which the original disclosure was made, a substantial change in the condition or amount of the claim; (2) Verify or correct promptly information about the claim, on request of a consumer reporting agency for verification of information disclosed; and (3) Get satisfactory assurances from each consumer reporting agency that they are complying with all laws of the United States related to providing consumer credit information; and assure that (d) The information disclosed to the consumer reporting agency is limited to (1) Information necessa… | |||||
| 29:29:4.1.3.1.13.2.1.9 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | B | Subpart B—Administrative Offset—Consumer Reporting Agencies—Contracting for Collection | § 1450.17 Contracting for collection services. | FMCS | (a) FMCS has authority to contract for collection services to recover delinquent debts, provided that the following conditions are satisfied; (1) The authority to resolve disputes, compromise claims, suspend or terminate collection action, and refer the matter for litigation is retained by the agency; (2) The contractor shall be subject to the Privacy Act of 1974, as amended to the extent specified in 5 U.S.C. 552a(m), and to applicable Federal and State laws and regulations pertaining to debt collection practices, such as the Fair Debt Collection Practices Act, 15 U.S.C. 1692; (3) The contractor must be required to account strictly for all amounts collected; (4) The contractor must agree that uncollectible accounts shall be returned with appropriate documentation to enable FMCS to determine whether to pursue collection through litigation or to terminate collection efforts, and (5) The contractor must agree to provide any data contained in its files relating to paragraphs (a) (1), (2), and (3) of § 105.2 of the Federal Claims Collection Standards (4 CFR part 105) upon returning an account to FMCS for subsequent referral to the Department of Justice for litigation. (b) Funding of collection service contracts: (1) FMCS may fund a collection service contract on a fixed-fee basis, that is, payment of a fixed fee determined without regard to the amount actually collected under the contract. Payment of the fee under this type of contract must be charged to available agency appropriations. (2) FMCS may also fund a collection service contract on a contingent-fee basis, that is, by including a provision in the contract permitting the contractor to deduct its fee from amounts collected under the contract. The fee should be based on a percentage of the amount collected, consistent with prevailing commercial practice. (3) FMCS may enter into a contract under paragraph (b)(1) of this section only if and to the extent provided in advance in its appropriation acts or other legislation, except that this requirement does … | |||||
| 29:29:4.1.3.1.13.3.1.1 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | C | Subpart C—Salary Offset | § 1450.18 Purpose. | FMCS | This subpart provides the standards to be followed by FMCS in implementing 5 U.S.C. 5514 to recover a debt from the pay account of an FMCS employee, and establishes procedural guidelines to recover debts when the employee's creditor and paying agencies are not the same. | |||||
| 29:29:4.1.3.1.13.3.1.10 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | C | Subpart C—Salary Offset | § 1450.27 Interest, penalties, and administrative costs. | FMCS | The assessment of interest, penalties and administrative costs shall be in accordance with subpart D of this regulation. | |||||
| 29:29:4.1.3.1.13.3.1.11 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | C | Subpart C—Salary Offset | § 1450.28 Recovery when paying agency is not creditor agency. | FMCS | (a) Responsibilities of creditor agency. Upon completion of the procedures established under 5 U.S.C. 5514, the creditor agency must do the following: (1) The creditor agency must certify, in writing, that the employee owes the debt, the amont and basis of the debt, the date on which payment(s) is due, the date the Government's right to collect the debt first accrued, and that the creditor agency's regulations implementing 5 U.S.C. 5514 have been approved by OPM. (2) If the collection must be made in installments, the creditor agency also must advise the paying agency of the number of installments to be collected, the amount of each installment, and the commencing date of the first installment (if a date other than the next officially established pay period is required). (3) Unless the employee has consented to the salary offset in writing or signed a statement acknowledging receipt of the required procedures, and the written consent or statement is forwarded to the paying agency, the creditor agency also must advise the paying agency of the action(s) taken under 5 U.S.C. 5514(b) and give the date(s) the action(s) was taken. (4) Except as otherwise provided in this paragraph, the creditor agency must submit a debt claim containing the information specified in paragraphs (a) (1) through (3) of this section and an installment agreement (or other instruction on the payment schedule), if applicable to the employee's paying agency. (5) If the employee is in the process of separating, the creditor agency must submit its claim to the employee's paying agency for collection pursuant to § 1450.24. The paying agency must certify the total amount of its collection and provide copies to the creditor agency and the employee as stated in paragraph (c)(1) of this section. If the paying agency is aware that the employee is entitled to payments from the Civil Service Retirement and Disability Fund, or other similar payments, it must provide written notification to the agency responsible for making such payments that the de… | |||||
| 29:29:4.1.3.1.13.3.1.2 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | C | Subpart C—Salary Offset | § 1450.19 Scope. | FMCS | (a) Coverage. This subpart applies to agencies and employees as defined by § 1450.20. (b) Applicability. This subpart and 5 U.S.C. 5514 apply in recovering certain debts by offset, except where the employee consents to the recovery, from the current pay account of that employee. Because it is an administrative offset, debt collection procedures for salary offset which are not specified in U.S.C. 5514 and these regulations should be consistent with the provisions of the Federal Claims Collection Standards (4 CFR parts 101-105). (1) Excluded debts or claims. The procedures contained in this subpart do not apply to debts or claims arising under the Internal Revenue Code of 1954 as amended (26 U.S.C. 1 et seq. ), the Social Security Act (42 U.S.C. 301 et seq. ) or the tariff laws of the United States, or to any case where collection of a debt by salary offset is explicitly provided for or prohibited by another statute (e.g., travel advances in 5 U.S.C. 5705 and employee training expenses in 5 U.S.C. 4108). (2) Waiver requests and claims to the General Accounting Office. This subpart does not preclude an employee from requesting waiver of a salary overpayment under 5 U.S.C. 5584, 10 U.S.C. 2774, or 32 U.S.C. 716, or in any way questioning the amount or validity of a debt by submitting a subsequent claim to the General Accounting Office in accordance with procedures prescribed by the General Accounting Office. Similarly, in the case of other types of debts, it does not preclude an employee from requesting waiver, if waiver is available under any statutory provision pertaining to the particular debt being collected. (c) Time limit. Under 4 CFR 102.3(b)(3), offset may not be initiated more than 10 years after the Government's right to collect the debt first accrued, unless an exception applies as stated in § 102.3(b)(3). | |||||
| 29:29:4.1.3.1.13.3.1.3 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | C | Subpart C—Salary Offset | § 1450.20 Definitions. | FMCS | For purposes of this subpart— Agency means the Federal Mediation and Conciliation Service (FMCS) or means any other agency of the U.S. Government as defined by section 105 of title 5 U.S.C., including the U.S. Postal Service, and the U.S. Postal Rate Commission, a military department as defined by section 102 of title 5 U.S.C., an agency or court of the judicial branch, and an agency of the legislative branch, including the U.S. Senate and the U.S. House of Representatives. Creditor agency means the agency to which the debt is owed. Debt means an amount owed to the United States from sources which include loans insured or guaranteed by the United States and all other amounts due the United States from fees, leases, rents, royalties, services, sales of real or personal property, overpayments, penalties, damages, interests, fines and forfeitures (except those arising under the Uniform Code Military Justice), and all other similar sources. Disposable pay means that part of current basic pay, special pay, incentive pay, retired pay, retainer pay, or in the case of an employee not entitled to basic pay, other authorized pay remaining after the deduction of any amount required by law to be withheld. FMCS will exclude deductions described in 5 CFR 581.105 (b) through (f) to determine disposable pay subject to salary offset. Employee means a current employee of FMCS or of another agency, including a current member of the Armed Forces or a Reserve of the Armed Forces FCCS means the Federal Claims Collection Standards jointly published by the Justice Department and the General Accounting Office at 4 CFR parts 101-105. Paying agency means the agency employing the individual and authorizing the payment of his or her current pay. Salary offset means an administrative offset to collect a debt under 5 U.S.C. 5514 by deduction(s) at one or more officially established pay intervals from the current pay account of an employee without his or her consent. Waiver means the cancellation, remission, forgiveness, or no… | |||||
| 29:29:4.1.3.1.13.3.1.4 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | C | Subpart C—Salary Offset | § 1450.21 Notification. | FMCS | (a) Salary offset deductions shall not be made unless the Director of the Financial Management Staff of FMCS, or such other official as may be named in the future by the Director of FMCS, provides to the employee—at least 30 days before any deduction—a written notice stating at a minimum: (1) The agency's determination that a debt is owed, including the origin, nature, and amount of the debt; (2) The agency's intention to collect the debt by means of deduction from the employee's current disposable pay account; (3) The amount, frequency, proposed beginning date, and duration of the intended deductions; (4) An explanation of the agency's policy concerning interest, penalties, and administrative costs (subpart D of this regulation), a statement that such assessment must be made unless excused in accordance with the FCCS; (5) The employee's right to inspect and copy Government records relating to the debt or, if the employee or his or her representative cannot personnally inspect the records, to request and receive a copy of such records; (6) If not previously provided, the opportunity (under terms agreeable to the agency) to establish a schedule for the voluntary repayment of the debt or to enter into a written agreement to establish a schedule for repayment of the debt in lieu of offset. The agreement must be writing, signed by both the employee and the Director of the Financial Management Staff of FMCS, and documented in agency files (4 CFR 102.11). (7) The employee's right to a hearing conducted by an official arranged by the agency (an administrative law judge or alternatively, a hearing official not under the control of the head of the agency) if a petition is filed as prescribed by § 1450.22. (8) The method and time period for petitioning for a hearing; (9) That the timely filing of a petition for hearing will stay the commencement of collection proceedings; (10) That a final decision on the hearing (if one is requested) will be issued at the earliest practical date, but not later than 60 days after… | |||||
| 29:29:4.1.3.1.13.3.1.5 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | C | Subpart C—Salary Offset | § 1450.22 Hearing. | FMCS | (a) Petition for hearing. (1) A hearing may be requested by filing a written petition with the Director, Financial Management Staff of FMCS, or such other official as may be named in the future by the Director of FMCS, stating why the employee believes the determination of the agency concerning the existence or the amount of the debt is in error. (2) The employee's petition must be signed by the employee and fully identify and explain with reasonable specificity all the facts, evidence and witnesses, if any, which the employee believes support his or her position. (3) The petition must be filed no later than fifteen (15) calendar days from the date that the notification was hand delivered or the date of delivery by certified mail, return receipt requested. (4) If a petition is received after the fifteen (15) calendar day deadline referred to above, FMCS will nevertheless accept the petition if the employee can show that the delay was because of circumstances beyond his or her control, or because of failure to receive notice of the time limit (unless otherwise aware of it). (5) If a petition is not filed within the time limit specified in paragraph (a)(3) of this section, and is not accepted pursuant to paragraph (a)(4) of this section, the employee's right to hearing will be considered waived, and salary offset will be implemented by FMCS. (b) Type of hearing. (1) The form and content of the hearing will be determined by the hearing official who shall be a person outside the control or authority of FMCS. In determining the type of hearing, the hearing officer will consider the nature and complexity of the transaction giving rise to the debt. The hearing may be conducted as an informal conference or interview, in which the agency and employee will be given a full opportunity to present their respective positions, or as a more formal proceeding involving the presentation of evidence, arguments and written submissions. (2) The employee may represent himself or herself, or may be represented by an attorney.… | |||||
| 29:29:4.1.3.1.13.3.1.6 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | C | Subpart C—Salary Offset | § 1450.23 Deduction from pay. | FMCS | (a) Deduction by salary offset, from an employee's current disposable pay, shall be subject to the following conditions: (1) Ordinarily, debts to the United States should be collected in full, in one lump-sum. This will be done when funds are available. However, if funds are unavailable for payment in one lump sum, or if the amount of the debt exceeds 15 percent of disposable pay for an officially established pay interval, collection will normally be made in installments. (2) The installments shall not exceed 15 percent of the disposable pay from which the deduction is made, unless the employee has agreed in writing to the deduction of a greater amount. (3) Deduction will generally commence with the next full pay interval (ordinarily the next biweekly pay period) following written consent by the employee to salary offset, waiver of hearing, or the decision issued by the hearing officer. (4) Installment deductions must be made over a period not greater than the anticipated period of employment except as provided in § 1450.24. | |||||
| 29:29:4.1.3.1.13.3.1.7 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | C | Subpart C—Salary Offset | § 1450.24 Liquidation from final check or recovery from other payment. | FMCS | (a) If the employee retires or resigns or if his or her employment or period of active duty ends before collection of the debt is completed, offset of the entire remaining balance on the debt may be made from a final payment of any nature, including but not limited to, final salary payment or lump-sum leave due to the employee as of the date of separation. (b) If the debt cannot be liquidated by offset from a final payment, offset may be made from later payments of any kind due from the United States, including, but not limited to, the Civil Service Retirement and Disability Fund, pursuant to § 1450.11 of this regulation. | |||||
| 29:29:4.1.3.1.13.3.1.8 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | C | Subpart C—Salary Offset | § 1450.25 Non-waiver of rights by payments. | FMCS | An employee's involuntary payment of all or any portion of a debt being collected under 5 U.S.C. 5514 shall not be construed as a waiver of any rights which the employee may have under 5 U.S.C. 5514 or any other provision of contract or law, unless statutory or contractual provisions provide to the contrary. | |||||
| 29:29:4.1.3.1.13.3.1.9 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | C | Subpart C—Salary Offset | § 1450.26 Refunds. | FMCS | (a) Refunds shall promptly be made when— (1) A debt is waived or otherwise found not owing to the United States (unless expressly prohibited by statute or regulation); or (2) The employee's paying agency is directed by an administrative or judicial order to refund amounts deducted from his or her current pay. (b) Refunds do not bear interest unless required or permitted by law or contract. | |||||
| 29:29:4.1.3.1.13.4.1.1 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | D | Subpart D—Interest, Penalties, and Administrative Costs | § 1450.29 Assessment. | FMCS | (a) Except as provided in paragraph (h) of this section, or § 1450.30, FMCS shall assess interest, penalties and administrative costs on debts owed to the United States pursuant to 31 U.S.C. 3717. Before assessing these charges, FMCS will mail or hand-deliver a written notice to the debtor. This notice shall include a statement of the agency's requirements concerning these charges. (Sections 1450.9 and 1450.21). (b) Interest shall accrue from the date on which notice of the debt and the interest requirements is first mailed or hand-delivered to the debtor, using the most current address that is available to the agency. If FMCS should use an “advance billing” procedure—that is, if it mails a bill before the debt is actually owed—it can include the required interest notification in the advance billing, but interest may not start to accrue before the debt is actually owed. FMCS will exercise care to insure that the notices required by this section are dated and mailed or hand-delivered on the same day. (c) The rate of interest assessed shall be the rate of the current value of funds to the United States Treasury (i.e., the Treasury tax and loan account rate), as prescribed and published by the Secretary of the Treasury in the Federal Register and the Treasury Fiscal Requirements Manual Bulletins annually or quarterly, in accordance with 31 U.S.C. 3717. FMCS may assess a higher rate of interest if it reasonably determines that a higher rate is necessary to protect the interests of the United States. The rate of interest, as initially assessed, shall remain fixed for the duration of the indebtedness except that where a debtor has defaulted on a repayment agreement and seeks to enter into a new agreement, FMCS may set a new interest rate which reflects the current value of funds to the Treasury at the time the new agreement is executed. Interest will not be assessed on interest, penalties, or administrative costs required by this section. However, if the debtor defaults on a previous repayment agreement, charges wh… | |||||
| 29:29:4.1.3.1.13.4.1.2 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | D | Subpart D—Interest, Penalties, and Administrative Costs | § 1450.30 Exemptions. | FMCS | (a) The provisions of 31 U.S.C. 3717 to not apply: (1) To debts owed by any State or local government; (2) To debts arising under contracts which were executed prior to, and were in effect on (i.e., were not completed as of), October 25, 1982; (3) To debts where an applicable statute, regulation required by statute, loan agreement, or contract either prohibits such charges or explicitly fixes the charges that apply to the debts arising under the Social Security Act, the Internal Revenue Code of 1954, or the tariff laws of the United States. (b) However, FMCS is authorized to assess interest and related charges on debts which are not subject to 31 U.S.C. 3717 to the extent authorized under the common law or other applicable statutory authority. | |||||
| 29:29:4.1.3.1.13.4.1.3 | 29 | Labor | XII | 1450 | PART 1450—COLLECTIONS OF CLAIMS OWED THE UNITED STATES | D | Subpart D—Interest, Penalties, and Administrative Costs | § 1450.31 Other sanctions. | FMCS | The sanctions stated in this subpart are not intended to be exclusive. Other sanctions which may be imposed by the Director of FMCS include placement of the debtor's name on a list of debarred, suspended or ineligible contractors or grantees; conversion of method of payment under a grant from an advance payment method to a reimbursement method; or revocation of a letter of credit. Notice will be given by FMCS to the debtor regarding the imposition of such other sanctions. | |||||
| 29:29:4.1.3.1.14.1.4.1 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | A | Subpart A—General | § 1470.1 Purpose and scope of this part. | FMCS | This part establishes uniform administrative rules for Federal grants and cooperative agreements and subawards to State, local and Indian tribal governments. | |||||
| 29:29:4.1.3.1.14.1.4.2 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | A | Subpart A—General | § 1470.2 Scope of subpart. | FMCS | This subpart contains general rules pertaining to this part and procedures for control of exceptions from this part. | |||||
| 29:29:4.1.3.1.14.1.4.3 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | A | Subpart A—General | § 1470.3 Definitions. | FMCS | 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: (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 purchased equipment means the net invoice unit price of the property including the cost of modifications, attachments, accessories, or auxiliary apparatus necessary to make the property usable for the purpose for which it was acquired. Other charges such as the cost of installation, transportation, taxes, duty or protective in-transit insurance, shall be included or excluded from the unit acquisition cost in accordance with the 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 program-by-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 Fede… | |||||
| 29:29:4.1.3.1.14.1.4.4 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | A | Subpart A—General | § 1470.4 Applicability. | FMCS | (a) General. Subparts A through D of this part apply to all grants and subgrants to governments, except where inconsistent with Federal statutes or with regulations authorized in accordance with the exception provision of § 1470.6, or: (1) Grants and subgrants to State and local institutions of higher education or State and local hospitals. (2) The block grants authorized by the Omnibus Budget Reconciliation Act of 1981 (Community Services; Preventive Health and Health Services; Alcohol, Drug Abuse, and Mental Health Services; Maternal and Child Health Services; Social Services; Low-Income Home Energy Assistance; States' Program of Community Development Block Grants for Small Cities; and Elementary and Secondary Education other than programs administered by the Secretary of Education under title V, subtitle D, chapter 2, section 583—the Secretary's discretionary grant program) and titles I-III of the Job Training Partnership Act of 1982 and under the Public Health Services Act (section 1921), Alcohol and Drug Abuse Treatment and Rehabilitation Block Grant and part C of title V, Mental Health Service for the Homeless Block Grant). (3) Entitlement grants to carry out the following programs of the Social Security Act: (i) Aid to Needy Families with Dependent Children (title IV-A of the Act, not including the Work Incentive Program (WIN) authorized by section 402(a)19(G); HHS grants for WIN are subject to this part); (ii) Child Support Enforcement and Establishment of Paternity (title IV-D of the Act); (iii) Foster Care and Adoption Assistance (title IV-E of the Act); (iv) Aid to the Aged, Blind, and Disabled (titles I, X, XIV, and XVI-AABD of the Act); and (v) Medical Assistance (Medicaid) (title XIX of the Act) not including the State Medicaid Fraud Control program authorized by section 1903(a)(6)(B). (4) Entitlement grants under the following programs of The National School Lunch Act: (i) School Lunch (section 4 of the Act), (ii) Commodity Assistance (section 6 of the Act), (iii) Special Meal Assista… | |||||
| 29:29:4.1.3.1.14.1.4.5 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | A | Subpart A—General | § 1470.5 Effect on other issuances. | FMCS | All other grants administration provisions of codified program regulations, program manuals, handbooks and other nonregulatory materials which are inconsistent with this part are superseded, except to the extent they are required by statute, or authorized in accordance with the exception provision in § 1470.6. | |||||
| 29:29:4.1.3.1.14.1.4.6 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | A | Subpart A—General | § 1470.6 Additions and exceptions. | FMCS | (a) For classes of grants and grantees subject to this part, Federal agencies may not impose additional administrative requirements except in codified regulations published in the Federal Register. (b) Exceptions for classes of grants or grantees may be authorized only by OMB. (c) Exceptions on a case-by-case basis and for subgrantees may be authorized by the affected Federal agencies. | |||||
| 29:29:4.1.3.1.14.2.4.1 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | B | Subpart B—Pre-Award Requirements | § 1470.10 Forms for applying for grants. | FMCS | (a) Scope. (1) This section prescribes forms and instructions to be used by governmental organizations (except hospitals and institutions of higher education operated by a government) in applying for grants. This section is not applicable, however, to formula grant programs which do not require applicants to apply for funds on a project basis. (2) This section applies only to applications to Federal agencies for grants, and is not required to be applied by grantees in dealing with applicants for subgrants. However, grantees are encouraged to avoid more detailed or burdensome application requirements for subgrants. (b) Authorized forms and instructions for governmental organizations. (1) In applying for grants, applicants shall only use standard application forms or those prescribed by the granting agency with the approval of OMB under the Paperwork Reduction Act of 1980. (2) Applicants are not required to submit more than the original and two copies of preapplications or applications. (3) Applicants must follow all applicable instructions that bear OMB clearance numbers. Federal agencies may specify and describe the programs, functions, or activities that will be used to plan, budget, and evaluate the work under a grant. Other supplementary instructions may be issued only with the approval of OMB to the extent required under the Paperwork Reduction Act of 1980. For any standard form, except the SF-424 facesheet, Federal agencies may shade out or instruct the applicant to disregard any line item that is not needed. (4) When a grantee applies for additional funding (such as a continuation or supplemental award) or amends a previously submitted application, only the affected pages need be submitted. Previously submitted pages with information that is still current need not be resubmitted. | |||||
| 29:29:4.1.3.1.14.2.4.2 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | B | Subpart B—Pre-Award Requirements | § 1470.11 State plans. | FMCS | (a) Scope. The statutes for some programs require States to submit plans before receiving grants. Under regulations implementing Executive Order 12372, “Intergovernmental Review of Federal Programs,” States are allowed to simplify, consolidate and substitute plans. This section contains additional provisions for plans that are subject to regulations implementing the Executive order. (b) Requirements. A State need meet only Federal administrative or programmatic requirements for a plan that are in statutes or codified regulations. (c) Assurances. In each plan the State will include an assurance that the State shall comply with all applicable Federal statutes and regulations in effect with respect to the periods for which it receives grant funding. For this assurance and other assurances required in the plan, the State may: (1) Cite by number the statutory or regulatory provisions requiring the assurances and affirm that it gives the assurances required by those provisions, (2) Repeat the assurance language in the statutes or regulations, or (3) Develop its own language to the extent permitted by law. (d) Amendments. A State will amend a plan whenever necessary to reflect: (1) New or revised Federal statutes or regulations or (2) a material change in any State law, organization, policy, or State agency operation. The State will obtain approval for the amendment and its effective date but need submit for approval only the amended portions of the plan. | |||||
| 29:29:4.1.3.1.14.2.4.3 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | B | Subpart B—Pre-Award Requirements | § 1470.12 Special grant or subgrant conditions for “high-risk” grantees. | FMCS | (a) A grantee or subgrantee may be considered “high risk” if an awarding agency determines that a grantee or subgrantee: (1) Has a history of unsatisfactory performance, or (2) Is not financially stable, or (3) Has a management system which does not meet the management standards set forth in this part, or (4) Has not conformed to terms and conditions of previous awards, or (5) Is otherwise not responsible; and if the awarding agency determines that an award will be made, special conditions and/or restrictions shall correspond to the high risk condition and shall be included in the award. (b) Special conditions or restrictions may include: (1) Payment on a reimbursement basis; (2) Withholding authority to proceed to the next phase until receipt of evidence of acceptable performance within a given funding period; (3) Requiring additional, more detailed financial reports; (4) Additional project monitoring; (5) Requiring the grante or subgrantee to obtain technical or management assistance; or (6) Establishing additional prior approvals. (c) If an awarding agency decides to impose such conditions, the awarding official will notify the grantee or subgrantee as early as possible, in writing, of: (1) The nature of the special conditions/restrictions; (2) The reason(s) for imposing them; (3) The corrective actions which must be taken before they will be removed and the time allowed for completing the corrective actions and (4) The method of requesting reconsideration of the conditions/restrictions imposed. | |||||
| 29:29:4.1.3.1.14.3.4.1 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | C | Subpart C—Post-Award Requirements | § 1470.20 Standards for financial management systems. | FMCS | (a) A State must expand and account for grant funds in accordance with State laws and procedures for expending and accounting for its own funds. Fiscal control and accounting procedures of the State, as well as its subgrantees and cost-type contractors, must be sufficient to— (1) Permit preparation of reports required by this part and the statutes authorizing the grant, and (2) Permit the tracing of funds to a level of expenditures adequate to establish that such funds have not been used in violation of the restrictions and prohibitions of applicable statutes. (b) The financial management systems of other grantees and subgrantees must meet the following standards: (1) Financial reporting. Accurate, current, and complete disclosure of the financial results of financially assisted activities must be made in accordance with the financial reporting requirements of the grant or subgrant. (2) Accounting records. Grantees and subgrantees must maintain records which adequately identify the source and application of funds provided for financially-assisted activities. These records must contain information pertaining to grant or subgrant awards and authorizations, obligations, unobligated balances, assets, liabilities, outlays or expenditures, and income. (3) Internal control. Effective control and accountability must be maintained for all grant and subgrant cash, real and personal property, and other assets. Grantees and subgrantees must adequately safeguard all such property and must assure that it is used solely for authorized purposes. (4) Budget control. Actual expenditures or outlays must be compared with budgeted amounts for each grant or subgrant. Financial information must be related to performance or productivity data, including the development of unit cost information whenever appropriate or specifically required in the grant or subgrant agreement. If unit cost data are required, estimates based on available documentation will be accepted whenever possible. (5) Allowable cost. Applicable OMB co… | |||||
| 29:29:4.1.3.1.14.3.4.2 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | C | Subpart C—Post-Award Requirements | § 1470.21 Payment. | FMCS | (a) Scope. This section prescribes the basic standard and the methods under which a Federal agency will make payments to grantees, and grantees will make payments to subgrantees and contractors. (b) Basic standard. Methods and procedures for payment shall minimize the time elapsing between the transfer of funds and disbursement by the grantee or subgrantee, in accordance with Treasury regulations at 31 CFR part 205. (c) Advances. Grantees and subgrantees shall be paid in advance, provided they maintain or demonstrate the willingness and ability to maintain procedures to minimize the time elapsing between the transfer of the funds and their disbursement by the grantee or subgrantee. (d) Reimbursement. Reimbursement shall be the preferred method when the requirements in paragraph (c) of this section are not met. Grantees and subgrantees may also be paid by reimbursement for any construction grant. Except as otherwise specified in regulation, Federal agencies shall not use the percentage of completion method to pay construction grants. The grantee or subgrantee may use that method to pay its construction contractor, and if it does, the awarding agency's payments to the grantee or subgrantee will be based on the grantee's or subgrantee's actual rate of disbursement. (e) Working capital advances. If a grantee cannot meet the criteria for advance payments described in paragraph (c) of this section, and the Federal agency has determined that reimbursement is not feasible because the grantee lacks sufficient working capital, the awarding agency may provide cash or a working capital advance basis. Under this procedure the awarding agency shall advance cash to the grantee to cover its estimated disbursement needs for an initial period generally geared to the grantee's disbursing cycle. Thereafter, the awarding agency shall reimburse the grantee for its actual cash disbursements. The working capital advance method of payment shall not be used by grantees or subgrantees if the reason for using such method is th… | |||||
| 29:29:4.1.3.1.14.3.4.3 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | C | Subpart C—Post-Award Requirements | § 1470.22 Allowable costs. | FMCS | (a) Limitation on use of funds. Grant funds may be used only for: (1) The allowable costs of the grantees, subgrantees and cost-type contractors, including allowable costs in the form of payments to fixed-price contractors; and (2) Reasonable fees or profit to cost-type contractors but not any fee or profit (or other increment above allowable costs) to the grantee or subgrantee. (b) Applicable cost principles. For each kind of organization, there is a set of Federal principles for determining allowable costs. Allowable costs will be determined in accordance with the cost principles applicable to the organization incurring the costs. The following chart lists the kinds of organizations and the applicable cost principles. | |||||
| 29:29:4.1.3.1.14.3.4.4 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | C | Subpart C—Post-Award Requirements | § 1470.23 Period of availability of funds. | FMCS | (a) General. Where a funding period is specified, a grantee may charge to the award only costs resulting from obligations of the funding period unless carryover of unobligated balances is permitted, in which case the carryover balances may be charged for costs resulting from obligations of the subsequent funding period. (b) Liquidation of obligations. A grantee must liquidate all obligations incurred under the award not later than 90 days after the end of the funding period (or as specified in a program regulation) to coincide with the submission of the annual Financial Status Report (SF-269). The Federal agency may extend this deadline at the request of the grantee. | |||||
| 29:29:4.1.3.1.14.3.4.5 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | C | Subpart C—Post-Award Requirements | § 1470.24 Matching or cost sharing. | FMCS | (a) Basic rule: Costs and contributions acceptable. With the qualifications and exceptions listed in paragraph (b) of this section, a matching or cost sharing requirement may be satisfied by either or both of the following: (1) Allowable costs incurred by the grantee, subgrantee or a cost-type contractor under the assistance agreement. This includes allowable costs borne by non-Federal grants or by others cash donations from non-Federal third parties. (2) The value of third party in-kind contributions applicable to the period to which the cost sharing or matching requirements applies. (b) Qualifications and exceptions —(1) Costs borne by other Federal grant agreements. Except as provided by Federal statute, a cost sharing or matching requirement may not be met by costs borne by another Federal grant. This prohibition does not apply to income earned by a grantee or subgrantee from a contract awarded under another Federal grant. (2) General revenue sharing. For the purpose of this section, general revenue sharing funds distributed under 31 U.S.C. 6702 are not considered Federal grant funds. (3) Cost or contributions counted towards other Federal costs-sharing requirements. Neither costs nor the values of third party in-kind contributions may count towards satisfying a cost sharing or matching requirement of a grant agreement if they have been or will be counted towards satisfying a cost sharing or matching requirement of another Federal grant agreement, a Federal procurement contract, or any other award of Federal funds. (4) Costs financed by program income. Costs financed by program income, as defined in § 1470.25, shall not count towards satisfying a cost sharing or matching requirement unless they are expressly permitted in the terms of the assistance agreement. (This use of general program income is described in § 1470.25(g).) (5) Services or property financed by income earned by contractors. Contractors under a grant may earn income from the activities carried out under the contract in addi… | |||||
| 29:29:4.1.3.1.14.3.4.6 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | C | Subpart C—Post-Award Requirements | § 1470.25 Program income. | FMCS | (a) General. Grantees are encouraged to earn income to defray program costs. Program income includes income from fees for services performed, from the use or rental of real or personal property acquired with grant funds, from the sale of commodities or items fabricated under a grant agreement, and from payments of principal and interest on loans made with grant funds. Except as otherwise provided in regulations of the Federal agency, program income does not include interest on grant funds, rebates, credits, discounts, refunds, etc. and interest earned on any of them. (b) Definition of program income. Program income means gross income received by the grantee or subgrantee directly generated by a grant supported activity, or earned only as a result of the grant agreement during the grant period. “During the grant period” is the time between the effective date of the award and the ending date of the award reflected in the final financial report. (c) Cost of generating program income. If authorized by Federal regulations or the grant agreement, costs incident to the generation of program income may be deducted from gross income to determine program income. (d) Governmental revenues. Taxes, special assessments, levies, fines, and other such revenues raised by a grantee or subgrantee are not program income unless the revenues are specifically identified in the grant agreement or Federal agency regulations as program income. (e) Royalties. Income from royalties and license fees for copyrighted material, patents, and inventions developed by a grantee or subgrantee is program income only if the revenues are specifically identified in the grant agreement or Federal agency regulations as program income. (See § 1470.34.) (f) Property. Proceeds from the sale of real property or equipment will be handled in accordance with the requirements of §§ 1470.31 and 1470.32. (g) Use of program income. Program income shall be deducted from outlays which may be both Federal and non-Federal as described below, unless t… | |||||
| 29:29:4.1.3.1.14.3.4.7 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | C | Subpart C—Post-Award Requirements | § 1470.26 Non-Federal audit. | FMCS | [53 FR 8087, Mar. 11, 1988, as amended at 62 FR 45939, 45942, Aug. 29, 1997] | (a) Basic rule. Grantees and subgrantees are responsible for obtaining audits in accordance with the Single Audit Act Amendments of 1996 (31 U.S.C. 7501-7507) and revised OMB Circular A-133, “Audits of States, Local Governments, and Non-Profit Organizations.” The audits shall be made by an independent auditor in accordance with generally accepted government auditing standards covering financial audits. (b) Subgrantees. State or local governments, as those terms are defined for purposes of the Single Audit Act Amendments of 1996, that provide Federal awards to a subgrantee, which expends $300,000 or more (or other amount as specified by OMB) in Federal awards in a fiscal year, shall: (1) Determine whether State or local subgrantees have met the audit requirements of the Act and whether subgrantees covered by OMB Circular A-110, “Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations,” have met the audit requirements of the Act. Commercial contractors (private for-profit and private and governmental organizations) providing goods and services to State and local governments are not required to have a single audit performed. State and local governments should use their own procedures to ensure that the contractor has complied with laws and regulations affecting the expenditure of Federal funds; (2) Determine whether the subgrantee spent Federal assistance funds provided in accordance with applicable laws and regulations. This may be accomplished by reviewing an audit of the subgrantee made in accordance with the Act, Circular A-110, or through other means (e.g., program reviews) if the subgrantee has not had such an audit; (3) Ensure that appropriate corrective action is taken within six months after receipt of the audit report in instance of noncompliance with Federal laws and regulations; (4) Consider whether subgrantee audits necessitate adjustment of the grantee's own records; and (5) Require each subgrantee to p… | ||||
| 29:29:4.1.3.1.14.3.5.10 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | C | Subpart C—Post-Award Requirements | § 1470.32 Equipment. | FMCS | (a) Title. Subject to the obligations and conditions set forth in this section, title to equipment acquired under a grant or subgrant will vest upon acquisition in the grantee or subgrantee respectively. (b) States. A State will use, manage, and dispose of equipment acquired under a grant by the State in accordance with State laws and procedures. Other grantees and subgrantees will follow paragraphs (c) through (e) of this section. (c) Use. (1) Equipment shall be used by the grantee or subgrantee in the program or project for which it was acquired as long as needed, whether or not the project or program continues to be supported by Federal funds. When no longer needed for the original program or project, the equipment may be used in other activities currently or previously supported by a Federal agency. (2) The grantee or subgrantee shall also make equipment available for use on other projects or programs currently or previously supported by the Federal Government, providing such use will not interfere with the work on the projects or program for which it was originally acquired. First preference for other use shall be given to other programs or projects supported by the awarding agency. User fees should be considered if appropriate. (3) Notwithstanding the encouragement in § 1470.25(a) to earn program income, the grantee or subgrantee must not use equipment acquired with grant funds to provide services for a fee to compete unfairly with private companies that provide equivalent services, unless specifically permitted or contemplated by Federal statute. (4) When acquiring replacement equipment, the grantee or subgrantee may use the equipment to be replaced as a trade-in or sell the property and use the proceeds to offset the cost of the replacement property, subject to the approval of the awarding agency. (d) Management requirements. Procedures for managing equipment (including replacement equipment), whether acquired in whole or in part with grant funds, until disposition takes place will, as a min… | |||||
| 29:29:4.1.3.1.14.3.5.11 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | C | Subpart C—Post-Award Requirements | § 1470.33 Supplies. | FMCS | (a) Title. Title to supplies acquired under a grant or subgrant will vest, upon acquisition, in the grantee or subgrantee respectively. (b) Disposition. If there is a residual inventory of unused supplies exceeding $5,000 in total aggregate fair market value upon termination or completion of the award, and if the supplies are not needed for any other federally sponsored programs or projects, the grantee or subgrantee shall compensate the awarding agency for its share. | |||||
| 29:29:4.1.3.1.14.3.5.12 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | C | Subpart C—Post-Award Requirements | § 1470.34 Copyrights. | FMCS | The Federal awarding agency reserves a royalty-free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The copyright in any work developed under a grant, subgrant, or contract under a grant or subgrant; and (b) Any rights of copyright to which a grantee, subgrantee or a contractor purchases ownership with grant support. | |||||
| 29:29:4.1.3.1.14.3.5.13 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | C | Subpart C—Post-Award Requirements | § 1470.35 Subawards to debarred and suspended parties. | FMCS | Grantees and subgrantees must not make any award or permit any award (subgrant or contract) at any tier to any party which is debarred or suspended or is otherwise excluded from or ineligible for participation in Federal assistance programs under Executive Order 12549, “Debarment and Suspension.” | |||||
| 29:29:4.1.3.1.14.3.5.14 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | C | Subpart C—Post-Award Requirements | § 1470.36 Procurement. | FMCS | [53 FR 8087, Mar. 11, 1988, as amended at 60 FR 19639, 19643, Apr. 19, 1995] | (a) States. When procuring property and services under a grant, a State will follow the same policies and procedures it uses for procurements from its non-Federal funds. The State will ensure that every purchase order or other contract includes any clauses required by Federal statutes and executive orders and their implementing regulations. Other grantees and subgrantees will follow paragraphs (b) through (i) in this section. (b) Procurement standards. (1) Grantees and subgrantees will use their own procurement procedures which reflect applicable State and local laws and regulations, provided that the procurements conform to applicable Federal law and the standards identified in this section. (2) Grantees and subgrantees will maintain a contract administration system which ensures that contractors perform in accordance with the terms, conditions, and specifications of their contracts or purchase orders. (3) Grantees and subgrantees will maintain a written code of standards of conduct governing the performance of their employees engaged in the award and administration of contracts. No employee, officer or agent of the grantee or subgrantee shall participate in selection, or in the award or administration of a contract supported by Federal funds if a conflict of interest, real or apparent, would be involved. Such a conflict would arise when: (i) The employee, officer or agent, (ii) Any member of his immediate family, (iii) His or her partner, or (iv) An organization which employs, or is about to employ, any of the above, has a financial or other interest in the firm selected for award. The grantee's or subgrantee's officers, employees or agents will neither solicit nor accept gratuities, favors or anything of monetary value from contractors, potential contractors, or parties to subagreements. Grantee and subgrantees may set minimum rules where the financial interest is not substantial or the gift is an unsolicited item of nominal intrinsic value. To the extent permitted by State or local law or regulatio… | ||||
| 29:29:4.1.3.1.14.3.5.15 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | C | Subpart C—Post-Award Requirements | § 1470.37 Subgrants. | FMCS | (a) States. States shall follow State law and procedures when awarding and administering subgrants (whether on a cost reimbursement or fixed amount basis) of financial assistance to local and Indian tribal governments. States shall: (1) Ensure that every subgrant includes any clauses required by Federal statute and executive orders and their implementing regulations; (2) Ensure that subgrantees are aware of requirements imposed upon them by Federal statute and regulation; (3) Ensure that a provision for compliance with § 1470.42 is placed in every cost reimbursement subgrant; and (4) Conform any advances of grant funds to subgrantees substantially to the same standards of timing and amount that apply to cash advances by Federal agencies. (b) All other grantees. All other grantees shall follow the provisions of this part which are applicable to awarding agencies when awarding and administering subgrants (whether on a cost reimbursement or fixed amount basis) of financial assistance to local and Indian tribal governments. Grantees shall: (1) Ensure that every subgrant includes a provision for compliance with this part; (2) Ensure that every subgrant includes any clauses required by Federal statute and executive orders and their implementing regulations; and (3) Ensure that subgrantees are aware of requirements imposed upon them by Federal statutes and regulations. (c) Exceptions. By their own terms, certain provisions of this part do not apply to the award and administration of subgrants: (1) Section 1470.10; (2) Section 1470.11; (3) The letter-of-credit procedures specified in Treasury Regulations at 31 CFR part 205, cited in § 1470.21; and (4) Section 1470.50. | |||||
| 29:29:4.1.3.1.14.3.5.8 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | C | Subpart C—Post-Award Requirements | § 1470.30 Changes. | FMCS | (a) General. Grantees and subgrantees are permitted to rebudget within the approved direct cost budget to meet unanticipated requirements and may make limited program changes to the approved project. However, unless waived by the awarding agency, certain types of post-award changes in budgets and projects shall require the prior written approval of the awarding agency. (b) Relation to cost principles. The applicable cost principles (see § 1470.22) contain requirements for prior approval of certain types of costs. Except where waived, those requirements apply to all grants and subgrants even if paragraphs (c) through (f) of this section do not. (c) Budget changes —(1) Nonconstruction projects. Except as stated in other regulations or an award document, grantees or subgrantees shall obtain the prior approval of the awarding agency whenever any of the following changes is anticipated under a nonconstruction award: (i) Any revision which would result in the need for additional funding. (ii) Unless waived by the awarding agency, cumulative transfers among direct cost categories, or, if applicable, among separately budgeted programs, projects, functions, or activities which exceed or are expected to exceed ten percent of the current total approved budget, whenever the awarding agency's share exceeds $100,000. (iii) Transfer of funds allotted for training allowances (i.e., from direct payments to trainees to other expense categories). (2) Construction projects. Grantees and subgrantees shall obtain prior written approval for any budget revision which would result in the need for additional funds. (3) Combined construction and nonconstruction projects. When a grant or subgrant provides funding for both construction and nonconstruction activities, the grantee or subgrantee must obtain prior written approval from the awarding agency before making any fund or budget transfer from nonconstruction to construction or vice versa. (d) Programmatic changes. Grantees or subgrantees must obtain the prior approv… | |||||
| 29:29:4.1.3.1.14.3.5.9 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | C | Subpart C—Post-Award Requirements | § 1470.31 Real property. | FMCS | (a) Title. Subject to the obligations and conditions set forth in this section, title to real property acquired under a grant or subgrant will vest upon acquisition in the grantee or subgrantee respectively. (b) Use. Except as otherwise provided by Federal statutes, real property will be used for the originally authorized purposes as long as needed for that purposes, and the grantee or subgrantee shall not dispose of or encumber its title or other interests. (c) Disposition. When real property is no longer needed for the originally authorized purpose, the grantee or subgrantee will request disposition instructions from the awarding agency. The instructions will provide for one of the following alternatives: (1) Retention of title. Retain title after compensating the awarding agency. The amount paid to the awarding agency will be computed by applying the awarding agency's percentage of participation in the cost of the original purchase to the fair market value of the property. However, in those situations where a grantee or subgrantee is disposing of real property acquired with grant funds and acquiring replacement real property under the same program, the net proceeds from the disposition may be used as an offset to the cost of the replacement property. (2) Sale of property. Sell the property and compensate the awarding agency. The amount due to the awarding agency will be calculated by applying the awarding agency's percentage of participation in the cost of the original purchase to the proceeds of the sale after deduction of any actual and reasonable selling and fixing-up expenses. If the grant is still active, the net proceeds from sale may be offset against the original cost of the property. When a grantee or subgrantee is directed to sell property, sales procedures shall be followed that provide for competition to the extent practicable and result in the highest possible return. (3) Transfer of title. Transfer title to the awarding agency or to a third-party designated/approved by the awardi… | |||||
| 29:29:4.1.3.1.14.3.6.16 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | C | Subpart C—Post-Award Requirements | § 1470.40 Monitoring and reporting program performance. | FMCS | (a) Monitoring by grantees. Grantees are responsible for managing the day-to-day operations of grant and subgrant supported activities. Grantees must monitor grant and subgrant supported activities to assure compliance with applicable Federal requirements and that performance goals are being achieved. Grantee monitoring must cover each program, function or activity. (b) Nonconstruction performance reports. The Federal agency may, if it decides that performance information available from subsequent applications contains sufficient information to meet its programmatic needs, require the grantee to submit a performance report only upon expiration or termination of grant support. Unless waived by the Federal agency this report will be due on the same date as the final Financial Status Report. (1) Grantees shall submit annual performance reports unless the awarding agency requires quarterly or semi-annual reports. However, performance reports will not be required more frequently than quarterly. Annual reports shall be due 90 days after the grant year, quarterly or semi-annual reports shall be due 30 days after the reporting period. The final performance report will be due 90 days after the expiration or termination of grant support. If a justified request is submitted by a grantee, the Federal agency may extend the due date for any performance report. Additionally, requirements for unnecessary performance reports may be waived by the Federal agency. (2) Performance reports will contain, for each grant, brief information on the following: (i) A comparison of actual accomplishments to the objectives established for the period. Where the output of the project can be quantified, a computation of the cost per unit of output may be required if that information will be useful. (ii) The reasons for slippage if established objectives were not met. (iii) Additional pertinent information including, when appropriate, analysis and explanation of cost overruns or high unit costs. (3) Grantees will not be required to subm… | |||||
| 29:29:4.1.3.1.14.3.6.17 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | C | Subpart C—Post-Award Requirements | § 1470.41 Financial reporting. | FMCS | (a) General. (1) Except as provided in paragraphs (a) (2) and (5) of this section, grantees will use only the forms specified in paragraphs (a) through (e) of this section, and such supplementary or other forms as may from time to time be authorized by OMB, for: (i) Submitting financial reports to Federal agencies, or (ii) Requesting advances or reimbursements when letters of credit are not used. (2) Grantees need not apply the forms prescribed in this section in dealing with their subgrantees. However, grantees shall not impose more burdensome requirements on subgrantees. (3) Grantees shall follow all applicable standard and supplemental Federal agency instructions approved by OMB to the extend required under the Paperwork Reduction Act of 1980 for use in connection with forms specified in paragraphs (b) through (e) of this section. Federal agencies may issue substantive supplementary instructions only with the approval of OMB. Federal agencies may shade out or instruct the grantee to disregard any line item that the Federal agency finds unnecessary for its decisionmaking purposes. (4) Grantees will not be required to submit more than the original and two copies of forms required under this part. (5) Federal agencies may provide computer outputs to grantees to expedite or contribute to the accuracy of reporting. Federal agencies may accept the required information from grantees in machine usable format or computer printouts instead of prescribed forms. (6) Federal agencies may waive any report required by this section if not needed. (7) Federal agencies may extend the due date of any financial report upon receiving a justified request from a grantee. (b) Financial Status Report —(1) Form. Grantees will use Standard Form 269 or 269A, Financial Status Report, to report the status of funds for all nonconstruction grants and for construction grants when required in accordance with § 1470.41(e)(2)(iii). (2) Accounting basis. Each grantee will report program outlays and program income on a cash or acc… | |||||
| 29:29:4.1.3.1.14.3.6.18 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | C | Subpart C—Post-Award Requirements | § 1470.42 Retention and access requirements for records. | FMCS | (a) Applicability. (1) This section applies to all financial and programmatic records, supporting documents, statistical records, and other records of grantees or subgrantees which are: (i) Required to be maintained by the terms of this part, program regulations or the grant agreement, or (ii) Otherwise reasonably considered as pertinent to program regulations or the grant agreement. (2) This section does not apply to records maintained by contractors or subcontractors. For a requirement to place a provision concerning records in certain kinds of contracts, see § 1470.36(i)(10). (b) Length of retention period. (1) Except as otherwise provided, records must be retained for three years from the starting date specified in paragraph (c) of this section. (2) If any litigation, claim, negotiation, audit or other action involving the records has been started before the expiration of the 3-year period, the records must be retained until completion of the action and resolution of all issues which arise from it, or until the end of the regular 3-year period, whichever is later. (3) To avoid duplicate recordkeeping, awarding agencies may make special arrangements with grantees and subgrantees to retain any records which are continuously needed for joint use. The awarding agency will request transfer of records to its custody when it determines that the records possess long-term retention value. When the records are transferred to or maintained by the Federal agency, the 3-year retention requirement is not applicable to the grantee or subgrantee. (c) Starting date of retention period —(1) General. When grant support is continued or renewed at annual or other intervals, the retention period for the records of each funding period starts on the day the grantee or subgrantee submits to the awarding agency its single or last expenditure report for that period. However, if grant support is continued or renewed quarterly, the retention period for each year's records starts on the day the grantee submits its expenditur… | |||||
| 29:29:4.1.3.1.14.3.6.19 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | C | Subpart C—Post-Award Requirements | § 1470.43 Enforcement. | FMCS | (a) Remedies for noncompliance. If a grantee or subgrantee materially fails to comply with any term of an award, whether stated in a Federal statute or regulation, an assurance, in a State plan or application, a notice of award, or elsewhere, the awarding agency may take one or more of the following actions, as appropriate in the circumstances: (1) Temporarily withhold cash payments pending correction of the deficiency by the grantee or subgrantee or more severe enforcement action by the awarding agency, (2) Disallow (that is, deny both use of funds and matching credit for) all or part of the cost of the activity or action not in compliance, (3) Wholly or partly suspend or terminate the current award for the grantee's or subgrantee's program, (4) Withhold further awards for the program, or (5) Take other remedies that may be legally available. (b) Hearings, appeals. In taking an enforcement action, the awarding agency will provide the grantee or subgrantee an opportunity for such hearing, appeal, or other administrative proceeding to which the grantee or subgrantee is entitled under any statute or regulation applicable to the action involved. (c) Effects of suspension and termination. Costs of grantee or subgrantee resulting from obligations incurred by the grantee or subgrantee during a suspension or after termination of an award are not allowable unless the awarding agency expressly authorizes them in the notice of suspension or termination or subsequently. Other grantee or subgrantee costs during suspension or after termination which are necessary and not reasonably avoidable are allowable if: (1) The costs result from obligations which were properly incurred by the grantee or subgrantee before the effective date of suspension or termination, are not in anticipation of it, and, in the case of a termination, are noncancellable, and, (2) The costs would be allowable if the award were not suspended or expired normally at the end of the funding period in which the termination takes effect. (d) Rel… | |||||
| 29:29:4.1.3.1.14.3.6.20 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | C | Subpart C—Post-Award Requirements | § 1470.44 Termination for convenience. | FMCS | Except as provided in § 1470.43 awards may be terminated in whole or in part only as follows: (a) By the awarding agency with the consent of the grantee or subgrantee in which case the two parties shall agree upon the termination conditions, including the effective date and in the case of partial termination, the portion to be terminated, or (b) By the grantee or subgrantee upon written notification to the awarding agency, setting forth the reasons for such termination, the effective date, and in the case of partial termination, the portion to be terminated. However, if, in the case of a partial termination, the awarding agency determines that the remaining portion of the award will not accomplish the purposes for which the award was made, the awarding agency may terminate the award in its entirety under either § 1470.43 or paragraph (a) of this section. | |||||
| 29:29:4.1.3.1.14.4.7.1 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | D | Subpart D—After-The-Grant Requirements | § 1470.50 Closeout. | FMCS | (a) General. The Federal agency will close out the award when it determines that all applicable administrative actions and all required work of the grant has been completed. (b) Reports. Within 90 days after the expiration or termination of the grant, the grantee must submit all financial, performance, and other reports required as a condition of the grant. Upon request by the grantee, Federal agencies may extend this timeframe. These may include but are not limited to: (1) Final performance or progress report. (2) Financial Status Report (SF-269) or Outlay Report and Request for Reimbursement for Construction Programs (SF-271) (as applicable). (3) Final request for payment (SF-270) (if applicable). (4) Invention disclosure (if applicable). (5) Federally-owned property report: In accordance with § 1470.32(f), a grantee must submit an inventory of all federally owned property (as distinct from property acquired with grant funds) for which it is accountable and request disposition instructions from the Federal agency of property no longer needed. (c) Cost adjustment. The Federal agency will, within 90 days after receipt of reports in paragraph (b) of this section, make upward or downward adjustments to the allowable costs. (d) Cash adjustments. (1) The Federal agency will make prompt payment to the grantee for allowable reimbursable costs. (2) The grantee must immediately refund to the Federal agency any balance of unobligated (unencumbered) cash advanced that is not authorized to be retained for use on other grants. | |||||
| 29:29:4.1.3.1.14.4.7.2 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | D | Subpart D—After-The-Grant Requirements | § 1470.51 Later disallowances and adjustments. | FMCS | The closeout of a grant does not affect: (a) The Federal agency's right to disallow costs and recover funds on the basis of a later audit or other review; (b) The grantee's obligation to return any funds due as a result of later refunds, corrections, or other transactions; (c) Records retention as required in § 1470.42; (d) Property management requirements in §§ 1470.31 and 1470.32; and (e) Audit requirements in § 1470.26. | |||||
| 29:29:4.1.3.1.14.4.7.3 | 29 | Labor | XII | 1470 | PART 1470—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS | D | Subpart D—After-The-Grant Requirements | § 1470.52 Collection of amounts due. | FMCS | (a) Any funds paid to a grantee in excess of the amount to which the grantee is finally determined to be entitled under the terms of the award constitute a debt to the Federal Government. If not paid within a reasonable period after demand, the Federal agency may reduce the debt by: (1) Making an adminstrative offset against other requests for reimbursements, (2) Withholding advance payments otherwise due to the grantee, or (3) Other action permitted by law. (b) Except where otherwise provided by statutes or regulations, the Federal agency will charge interest on an overdue debt in accordance with the Federal Claims Collection Standards (4 CFR chapter II). The date from which interest is computed is not extended by litigation or the filing of any form of appeal. | |||||
| 29:29:4.1.3.1.15.0.10.1 | 29 | Labor | XII | 1471 | PART 1471—GOVERNMENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT) | § 1471.25 How is this part organized? | FMCS | (a) This part is subdivided into ten subparts. Each subpart contains information related to a broad topic or specific audience with special responsibilities, as shown in the following table: (b) The following table shows which subparts may be of special interest to you, depending on who you are: | |||||||
| 29:29:4.1.3.1.15.0.10.2 | 29 | Labor | XII | 1471 | PART 1471—GOVERNMENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT) | § 1471.50 How is this part written? | FMCS | (a) This part uses a “plain language” format to make it easier for the general public and business community to use. The section headings and text, often in the form of questions and answers, must be read together. (b) Pronouns used within this part, such as “I” and “you,” change from subpart to subpart depending on the audience being addressed. The pronoun “we” always is the Federal Mediation and Conciliation Service. (c) The “Covered Transactions” diagram in the appendix to this part shows the levels or “tiers” at which the Federal Mediation and Conciliation Service enforces an exclusion under this part. | |||||||
| 29:29:4.1.3.1.15.0.10.3 | 29 | Labor | XII | 1471 | PART 1471—GOVERNMENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT) | § 1471.75 Do terms in this part have special meanings? | FMCS | This part uses terms throughout the text that have special meaning. Those terms are defined in subpart I of this part. For example, three important terms are— (a) Exclusion or excluded, which refers only to discretionary actions taken by a suspending or debarring official under this part or the Federal Acquisition Regulation (48 CFR part 9, subpart 9.4); (b) Disqualification or disqualified, which refers to prohibitions under specific statutes, executive orders (other than Executive Order 12549 and Executive Order 12689), or other authorities. Disqualifications frequently are not subject to the discretion of an agency official, may have a different scope than exclusions, or have special conditions that apply to the disqualification; and (c) Ineligibility or ineligible, which generally refers to a person who is either excluded or disqualified. | |||||||
| 29:29:4.1.3.1.15.1.10.1 | 29 | Labor | XII | 1471 | PART 1471—GOVERNMENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT) | A | Subpart A—General | § 1471.100 What does this part do? | FMCS | This part adopts a governmentwide system of debarment and suspension for FMCS nonprocurement activities. It also provides for reciprocal exclusion of persons who have been excluded under the Federal Acquisition Regulation, and provides for the consolidated listing of all persons who are excluded, or disqualified by statute, executive order, or other legal authority. This part satisfies the requirements in section 3 of Executive Order 12549, “Debarment and Suspension” (3 CFR 1986 Comp., p. 189), Executive Order 12689, “Debarment and Suspension” (3 CFR 1989 Comp., p. 235) and 31 U.S.C. 6101 note (Section 2455, Public Law 103-355, 108 Stat. 3327). | |||||
| 29:29:4.1.3.1.15.1.10.10 | 29 | Labor | XII | 1471 | PART 1471—GOVERNMENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT) | A | Subpart A—General | § 1471.145 Does this part address persons who are disqualified, as well as those who are excluded from nonprocurement transactions? | FMCS | Except if provided for in subpart J of this part, this part— (a) Addresses disqualified persons only to— (1) Provide for their inclusion in the EPLS; and (2) State responsibilities of Federal agencies and participants to check for disqualified persons before entering into covered transactions. (b) Does not specify the— (1) FMCS transactions for which a disqualified person is ineligible. Those transactions vary on a case-by-case basis, because they depend on the language of the specific statute, Executive order, or regulation that caused the disqualification; (2) Entities to which the disqualification applies; or (3) Process that the agency uses to disqualify a person. Unlike exclusion, disqualification is frequently not a discretionary action that a Federal agency takes. | |||||
| 29:29:4.1.3.1.15.1.10.2 | 29 | Labor | XII | 1471 | PART 1471—GOVERNMENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT) | A | Subpart A—General | § 1471.105 Does this part apply to me? | FMCS | Portions of this part (see table at § 1471.25(b)) apply to you if you are a(n)— (a) Person who has been, is, or may reasonably be expected to be, a participant or principal in a covered transaction; (b) Respondent (a person against whom the Federal Mediation and Conciliation Service has initiated a debarment or suspension action); (c) FMCS debarring or suspending official; or (d) FMCS official who is authorized to enter into covered transactions with non-Federal parties. | |||||
| 29:29:4.1.3.1.15.1.10.3 | 29 | Labor | XII | 1471 | PART 1471—GOVERNMENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT) | A | Subpart A—General | § 1471.110 What is the purpose of the nonprocurement debarment and suspension system? | FMCS | (a) To protect the public interest, the Federal Government ensures the integrity of Federal programs by conducting business only with responsible persons. (b) A Federal agency uses the nonprocurement debarment and suspension system to exclude from Federal programs persons who are not presently responsible. (c) An exclusion is a serious action that a Federal agency may take only to protect the public interest. A Federal agency may not exclude a person or commodity for the purposes of punishment. | |||||
| 29:29:4.1.3.1.15.1.10.4 | 29 | Labor | XII | 1471 | PART 1471—GOVERNMENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT) | A | Subpart A—General | § 1471.115 How does an exclusion restrict a person's involvement in covered transactions? | FMCS | With the exceptions stated in §§ 1471.120, 1471.315, and 1471.420, a person who is excluded by the Federal Mediation and Conciliation Service or any other Federal agency may not: (a) Be a participant in a(n) FMCS transaction that is a covered transaction under subpart B of this part; (b) Be a participant in a transaction of any other Federal agency that is a covered transaction under that agency's regulation for debarment and suspension; or (c) Act as a principal of a person participating in one of those covered transactions. | |||||
| 29:29:4.1.3.1.15.1.10.5 | 29 | Labor | XII | 1471 | PART 1471—GOVERNMENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT) | A | Subpart A—General | § 1471.120 May we grant an exception to let an excluded person participate in a covered transaction? | FMCS | (a) The Agency Director may grant an exception permitting an excluded person to participate in a particular covered transaction. If the Agency Director grants an exception, the exception must be in writing and state the reason(s) for deviating from the governmentwide policy in Executive Order 12549. (b) An exception granted by one agency for an excluded person does not extend to the covered transactions of another agency. | |||||
| 29:29:4.1.3.1.15.1.10.6 | 29 | Labor | XII | 1471 | PART 1471—GOVERNMENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT) | A | Subpart A—General | § 1471.125 Does an exclusion under the nonprocurement system affect a person's eligibility for Federal procurement contracts? | FMCS | If any Federal agency excludes a person under its nonprocurement common rule on or after August 25, 1995, the excluded person is also ineligible to participate in Federal procurement transactions under the FAR. Therefore, an exclusion under this part has reciprocal effect in Federal procurement transactions. | |||||
| 29:29:4.1.3.1.15.1.10.7 | 29 | Labor | XII | 1471 | PART 1471—GOVERNMENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT) | A | Subpart A—General | § 1471.130 Does exclusion under the Federal procurement system affect a person's eligibility to participate in nonprocurement transactions? | FMCS | If any Federal agency excludes a person under the FAR on or after August 25, 1995, the excluded person is also ineligible to participate in nonprocurement covered transactions under this part. Therefore, an exclusion under the FAR has reciprocal effect in Federal nonprocurement transactions. | |||||
| 29:29:4.1.3.1.15.1.10.8 | 29 | Labor | XII | 1471 | PART 1471—GOVERNMENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT) | A | Subpart A—General | § 1471.135 May the Federal Mediation and Conciliation Service exclude a person who is not currently participating in a nonprocurement transaction? | FMCS | Given a cause that justifies an exclusion under this part, we may exclude any person who has been involved, is currently involved, or may reasonably be expected to be involved in a covered transaction. | |||||
| 29:29:4.1.3.1.15.1.10.9 | 29 | Labor | XII | 1471 | PART 1471—GOVERNMENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT) | A | Subpart A—General | § 1471.140 How do I know if a person is excluded? | FMCS | Check the Excluded Parties List System (EPLS) to determine whether a person is excluded. The General Services Administration (GSA) maintains the EPLS and makes it available, as detailed in subpart E of this part. When a Federal agency takes an action to exclude a person under the nonprocurement or procurement debarment and suspension system, the agency enters the information about the excluded person into the EPLS. | |||||
| 29:29:4.1.3.1.15.2.10.1 | 29 | Labor | XII | 1471 | PART 1471—GOVERNMENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT) | B | Subpart B—Covered Transactions | § 1471.200 What is a covered transaction? | FMCS | A covered transaction is a nonprocurement or procurement transaction that is subject to the prohibitions of this part. It may be a transaction at— (a) The primary tier, between a Federal agency and a person (see appendix to this part); or (b) A lower tier, between a participant in a covered transaction and another person. | |||||
| 29:29:4.1.3.1.15.2.10.2 | 29 | Labor | XII | 1471 | PART 1471—GOVERNMENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT) | B | Subpart B—Covered Transactions | § 1471.205 Why is it important if a particular transaction is a covered transaction? | FMCS | The importance of a covered transaction depends upon who you are. (a) As a participant in the transaction, you have the responsibilities laid out in subpart C of this part. Those include responsibilities to the person or Federal agency at the next higher tier from whom you received the transaction, if any. They also include responsibilities if you subsequently enter into other covered transactions with persons at the next lower tier. (b) As a Federal official who enters into a primary tier transaction, you have the responsibilities laid out in subpart D of this part. (c) As an excluded person, you may not be a participant or principal in the transaction unless— (1) The person who entered into the transaction with you allows you to continue your involvement in a transaction that predates your exclusion, as permitted under § 1471.310 or § 1471.415; or (2) A(n) FMCS official obtains an exception from the Agency Director to allow you to be involved in the transaction, as permitted under § 1471.120. |
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title_name TEXT,
chapter TEXT,
subchapter TEXT,
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