Appendix A to Part 603 - Applicable Federal Statutes, Executive Orders, and Government-wide Regulations
10:4.0.1.3.12.10.59.30.11 : Appendix A
Appendix A to Part 603 - Applicable Federal Statutes, Executive
Orders, and Government-wide Regulations
Whether the TIA is a cooperative agreement or a type of
assistance transaction other than a cooperative agreement, the
terms and conditions of the agreement must provide for recipients'
compliance with applicable Federal statutes, Executive Orders and
Government-wide regulations. This appendix lists some of the more
common requirements to aid in identifying ones that apply to a
specific TIA. The list is not intended to be all-inclusive,
however; the contracting officer may need to consult legal counsel
to verify whether there are others that apply (e.g., due to
a provision in the appropriations act for the specific funds in use
or due to a statute or rule that applies to a particular program or
type of activity).
A. Certifications
All financial assistance applicants, including applicants
requesting a TIA must comply with the prohibitions concerning
lobbying in a Government-wide common rule that the DOE has codified
at 10 CFR part 601. The “List of Certifications and Assurances for
SF 424(R&R)” on the DOE Applicant and Recipient page at
http://grants.pr.doe.gov includes the Government-wide
certification that must be provided with a proposal for a financial
assistance award, including a TIA.
B. Assurances That Apply to a TIA
Currently the DOE approach to communicating Federal statutes,
Executive Orders and Government-wide regulations is to provide
potential applicants a list of “National Policies Assurances to be
Incorporated as Award Terms” in the program announcement (This list
is available on the Applicant and Recipient Page at
http://grants.pr.doe.gov under Award Terms). The contracting
officer should follow this approach for announcements that allow
for the award of a TIA. The contracting officer should normally
incorporate by reference or attach the list of national policy
assurances to a TIA award. Of these requirements, the following
four assurances apply to all TIA:
1. Prohibitions on discrimination on the basis of race, color,
or national origin in Title VI of the Civil Rights Act of 1964 (42
U.S.C. 2000d, et seq.) as implemented by DOE regulations at
10 CFR part 1040. These apply to all financial assistance. They
require recipients to flow down the prohibitions to any
subrecipients performing a part of the substantive RD&D program
(as opposed to suppliers from whom recipients purchase goods or
services).
2. Prohibitions on discrimination on the basis of age, in the
Age Discrimination Act of 1975 (42 U.S.C. 6101, et seq.) as
implemented by DOE regulations at 10 CFR part 1040. They apply to
all financial assistance and require flow down to
subrecipients.
3. Prohibitions on discrimination on the basis of handicap, in
section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794) as
implemented by DOE regulations at 10 CFR part 1041. They apply to
all financial assistance and require flow down to
subrecipients.
4. Preferences for use of U.S.-flag air carriers in the
International Air Transportation Fair Competitive Practices Act of
1974 (49 U.S.C. 40118), which apply to uses of U.S. Government
funds.
C. Other Assurances
Additional assurance requirements may apply in certain
circumstances, as follows:
1. If construction work is to be done under a TIA or its
subawards, it is subject to the prohibitions in Executive Order
11246 on discrimination on the basis of race, color, religion, sex,
or national origin.
2. If the RD&D involves human subjects or animals, it is
subject to the requirements codified by the Department of Health
and Human Services at 45 CFR part 46 and implemented by DOE at 10
CFR part 745 and rules on animal acquisition, transport, care,
handling and use in 9 CFR parts 1 through 4, Department of
Agriculture rules and rules of the Department of Interior at 50 CFR
parts 10 through 24 and Commerce at 50 CFR parts 217 through 277,
respectively. See item a. or b., respectively, under the heading
“Live organisms” included on the DOE “National Policy Assurances To
Be Incorporated As Award Terms” on the Applicant and Recipient
Page.
3. If the RD&D involves actions that may affect the
environment, it is subject to the National Environmental Policy
Act, and may also be subject to national policy requirements for
flood-prone areas, coastal zones, coastal barriers, wild and scenic
rivers, and underground sources of drinking water.
4. If the project may impact a historic property, it is subject
to the National Historic Preservation Act of 1966 (16 U.S.C. 470,
et seq.).