DOT 49 CFR PART 18-2010 UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS.pdf

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1、120 49 CFR Subtitle A (10110 Edition) 17.13 the plan only if its contents meet fed-eral requirements. 17.13 May the Secretary waive any provision of these regulations? In an emergency, the Secretary may waive any provision of these regula-tions. PART 18UNIFORM ADMINISTRA-TIVE REQUIREMENTS FOR GRANTS

2、 AND COOPERATIVE AGREE-MENTS TO STATE AND LOCAL GOVERNMENTS Subpart AGeneral Sec. 18.1 Purpose and scope of this part. 18.2 Scope of subpart. 18.3 Definitions. 18.4 Applicability. 18.5 Effect on other issuances. 18.6 Additions and exceptions. Subpart BPre-Award Requirements 18.10 Forms for applying

3、for grants. 18.11 State plans. 18.12 Special grant or subgrant conditions for high risk grantees. Subpart CPost-Award Requirements FINANCIAL ADMINISTRATION 18.20 Standards for financial management systems. 18.21 Payment. 18.22 Allowable costs. 18.23 Period of availability of funds. 18.24 Matching or

4、 cost sharing. 18.25 Program income. 18.26 Non-Federal audits. CHANGES, PROPERTY, AND SUBAWARDS 18.30 Changes. 18.31 Real property. 18.32 Equipment. 18.33 Supplies. 18.34 Copyrights. 18.35 Subawards to debarred and suspended parties. 18.36 Procurement. 18.37 Subgrants. REPORTS, RECORDS, RETENTION, A

5、ND ENFORCEMENT 18.40 Monitoring and reporting program performance. 18.41 Financial reporting. 18.42 Retention and access requirements for records. 18.43 Enforcememt. 18.44 Termination for convenience. Subpart DAfter-The-Grant Requirements 18.50 Closeout. 18.51 Later disallowances and adjustments. 18

6、.52 Collection of amounts due. Subpart EEntitlements Reserved AUTHORITY: 49 U.S.C. 322(a). SOURCE: 53 FR 8086, 8087, Mar. 11, 1988, un-less otherwise noted. Subpart AGeneral 18.1 Purpose and scope of this part. This part establishes uniform admin-istrative rules for Federal grants and cooperative ag

7、reements and subawards to State, local and Indian tribal gov-ernments. 18.2 Scope of subpart. This subpart contains general rules pertaining to this part and procedures for control of exceptions from this part. 18.3 Definitions. As used in this part: Accrued expenditures mean the charges incurred by

8、 the grantee during a given period requiring the provision of funds for: (1) Goods and other tan-gible property received; (2) services performed by employees, contractors, subgrantees, subcontractors, and other payees; and (3) other amounts becom-ing owed under programs for which no current services

9、 or performance is re-quired, 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 de-livered to purchasers, and (2) amounts becoming owed to t

10、he grantee for which no current services or perform-ance is required by the grantee. Acquisition cost of an item of pur-chased equipment means the net in-voice unit price of the property includ-ing the cost of modifications, attach-ments, accessories, or auxiliary appa-ratus necessary to make the pr

11、operty usable for the purpose for which it was acquired. Other charges such as the cost of installation, transportation, VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00130 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reprod

12、uction or networking permitted without license from IHS-,-,-121 Office of the Secretary of Transportation 18.3 taxes, duty or protective in-transit in-surance, shall be included or excluded from the unit acquisition cost in ac-cordance with the grantees regular ac-counting practices. Administrative

13、requirements mean those matters common to grants in general, such as financial management, kinds and frequency of reports, and re-tention of records. These are distin-guished from programmatic require-ments, which concern matters that can be treated only on a program-by-pro-gram or grant-by-grant ba

14、sis, such as kinds of activities that can be sup-ported by grants under a particular program. Awarding agency means (1) with re-spect to a grant, the Federal agency, and (2) with respect to a subgrant, the party that awarded the subgrant. Cash contributions means the grant-ees cash outlay, including

15、 the outlay of money contributed to the grantee or subgrantee by other public agencies and institutions, and private organiza-tions and individuals. When authorized by Federal legislation, Federal funds received from other assistance agree-ments may be considered as grantee or subgrantee cash contri

16、butions. Contract means (except as used in the definitions for grant and subgrant in this section and except where quali-fied by Federal) a procurement con-tract under a grant or subgrant, and means a procurement subcontract under a contract. Cost sharing or matching means the value of the third par

17、ty in-kind con-tributions and the portion of the costs of a federally assisted project or pro-gram not borne by the Federal Govern-ment. Cost-type contract means a contract or subcontract under a grant in which the contractor or subcontractor is paid on the basis of the costs it incurs, with or with

18、out a fee. Equipment means tangible, non-expendable, personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit. A grantee may use its own definition of equipment provided that such definition would at least include all equipment defined above. Ex

19、penditure report means: (1) For non-construction grants, the SF269 Fi-nancial Status Report (or other equiv-alent report); (2) for construction grants, the SF271 Outlay Report and Request for Reimbursement (or other equivalent report). Federally recognized Indian tribal gov-ernment means the governi

20、ng body or a governmental agency of any Indian tribe, band, nation, or other organized group or community (including any Native village as defined in section 3 of the Alaska Native Claims Settlement Act, 85 Stat 688) certified by the Sec-retary of the Interior as eligible for the special programs an

21、d services provided by him through the Bureau of Indian Affairs. Government means a State or local government or a federally recognized Indian tribal government. Grant means an award of financial as-sistance, including cooperative agree-ments, in the form of money, or prop-erty in lieu of money, by

22、the Federal Government to an eligible grantee. The term does not include technical assist-ance which provides services instead of money, or other assistance in the form of revenue sharing, loans, loan guaran-tees, interest subsidies, insurance, or direct appropriations. Also, the term does not inclu

23、de assistance, such as a fellowship or other lump sum award, which the grantee is not required to ac-count for. Grantee means the government to which a grant is awarded and which is accountable for the use of the funds provided. The grantee is the entire legal entity even if only a particular compon

24、ent of the entity is designated in the grant award document. Local government means a county, municipality, city, town, township, local public authority (including any public and Indian housing agency under the United States Housing Act of 1937) school district, special district, intrastate district

25、, council of govern-ments (whether or not incorporated as a nonprofit corporation under state law), any other regional or interstate government entity, or any agency or instrumentality of a local government. Obligations means the amounts of or-ders placed, contracts and subgrants awarded, goods and

26、services received, and similar transactions during a given period that will require payment by VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00131 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permi

27、tted without license from IHS-,-,-122 49 CFR Subtitle A (10110 Edition) 18.3 the grantee during the same or a future period. OMB means the United States Office of Management and Budget. Outlays (expenditures) mean charges made to the project or program. They may be reported on a cash or accrual basi

28、s. For reports prepared on a cash basis, outlays are the sum of actual cash disbursement for direct charges for goods and services, the amount of indirect expense incurred, the value of in-kind contributions applied, and the amount of cash advances and payments made to contractors and subgrantees. F

29、or reports prepared on an accrued ex-penditure basis, outlays are the sum of actual cash disbursements, the amount of indirect expense incurred, the value of inkind contributions applied, and the new increase (or decrease) in the amounts owed by the grantee for goods and other property received, for

30、 serv-ices performed by employees, contrac-tors, subgrantees, subcontractors, and other payees, and other amounts be-coming owed under programs for which no current services or performance are required, such as annuities, insurance claims, and other benefit payments. Percentage of completion method

31、refers to a system under which payments are made for construction work according to the percentage of completion of the work, rather than to the grantees cost incurred. Prior approval means documentation evidencing consent prior to incurring specific cost. Real property means land, including land im

32、provements, structures and ap-purtenances thereto, excluding mov-able machinery and equipment. Share, when referring to the awarding agencys portion of real property, equipment or supplies, means the same percentage as the awarding agencys portion of the acquiring partys total costs under the grant

33、to which the ac-quisition costs under the grant to which the acquisition cost of the prop-erty was charged. Only costs are to be countednot the value of third-party in-kind contributions. State means any of the several States of the United States, the District of Columbia, the Commonwealth of Puer-t

34、o Rico, any territory or possession of the United States, or any agency or in-strumentality of a State exclusive of local governments. The term does not include any public and Indian housing agency under United States Housing Act of 1937. Subgrant means an award of financial assistance in the form o

35、f money, or property in lieu of money, made under a grant by a grantee to an eligible sub-grantee. The term includes financial assistance when provided by contrac-tual legal agreement, but does not in-clude procurement purchases, nor does it include any form of assistance which is excluded from the

36、definition of grant in this part. Subgrantee means the government or other legal entity to which a subgrant is awarded and which is accountable to the grantee for the use of the funds provided. Supplies means all tangible personal property other than equipment as defined in this part. Suspension mea

37、ns depending on the context, either (1) temporary with-drawal of the authority to obligate grant funds pending corrective action by the grantee or subgrantee or a deci-sion to terminate the grant, or (2) an action taken by a suspending official in accordance with agency regulations implementing E.O.

38、 12549 to imme-diately exclude a person from partici-pating in grant transactions for a pe-riod, pending completion of an inves-tigation and such legal or debarment proceedings as may ensue. Termination means permanent with-drawal of the authority to obligate pre-viously-awarded grant funds before t

39、hat authority would otherwise expire. It also means the voluntary relinquish-ment of that authority by the grantee or subgrantee. Termination does not include: (1) Withdrawal of funds award-ed on the basis of the grantees under-estimate of the unobligated balance in a prior period; (2) Withdrawal of

40、 the unobligated balance as of the expira-tion of a grant; (3) Refusal to extend a grant or award additional funds, to make a competing or noncompeting continuation, renewal, extension, or supplemental award; or (4) voiding of a grant upon determination that the award was obtained fraudulently, or w

41、as otherwise illegal or invalid from inception. VerDate Mar2010 10:00 Dec 22, 2010 Jkt 220212 PO 00000 Frm 00132 Fmt 8010 Sfmt 8010 Y:SGML220212.XXX 220212jdjones on DSK8KYBLC1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-123 Office of

42、 the Secretary of Transportation 18.4 Terms of a grant or subgrant mean all requirements of the grant or subgrant, whether in statute, regulations, or the award document. Third party in-kind contributions mean property or services which benefit a federally assisted project or program and which are c

43、ontributed by non-Fed-eral third parties without charge to the grantee, or a cost-type contractor under the grant agreement. Unliquidated obligations for reports prepared on a cash basis mean the amount of obligations incurred by the grantee that has not been paid. For re-ports prepared on an accrue

44、d expendi-ture basis, they represent the amount of obligations incurred by the grantee for which an outlay has not been re-corded. Unobligated balance means the por-tion of the funds authorized by the Federal agency that has not been obli-gated by the grantee and is determined by deducting the cumul

45、ative obliga-tions from the cumulative funds au-thorized. 18.4 Applicability. (a) General. Subparts A through D of this part apply to all grants and sub-grants to governments, except where inconsistent with Federal statutes or with regulations authorized in accord-ance with the exception provision o

46、f 18.6, 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; Pre-ventive Health and Health Services; Al-cohol, Drug Abuse, and Mental Health

47、 Services; Maternal and Child Health Services; Social Services; Low-Income Home Energy Assistance; States Pro-gram of Community Development Block Grants for Small Cities; and Ele-mentary and Secondary Education other than programs administered by the Secretary of Education under title V, subtitle D,

48、 chapter 2, Section 583 the Secretarys 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 t

49、he Homeless Block Grant). (3) Entitlement grants to carry out the following programs of the Social Security Act: (i) Aid to Needy Families with De-pendent Children (title IV-A of the Act, not including the Work Incentive Pro-gram (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