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the infrastructure for Science and engineering research. Claim. A Written demand Or written assertion by One of the parties to a grant Or COOperative agreement. Seeking as a matter Of right, the payment of money in a Sum Certain, the adjustment Or interpretation of award terms, or other relief arising under or relating to a grant Or COOperative agreement. A routine request for payment that is not in dispute when Submitted is not a Claim. The Submission may be converted to a Claim by Written notice to the grantS Officer if it is disputed either as to liability Or amount, Or is not acted upon in a reasonable time. Debt. Any amount of money Or any property owed to a Federal Agency by any perSOn, Organization, Or entity exCept another United States Federal Agency. Debts include any amounts due from insured Or guaranteed loans, fees, leases, rent S, royalties, Services, Sales of real or personal property, Or Overpayment.S, penalties, damages, interest, fineS and forfeitures, and all Other claims and Similar Sources. Amounts due a nonappropriated fund instrumentality are not debt;S Owed the United States, for the purposes Of this Subchapter. Delinquent debt. A debt: (1) That the debtor fails to pay by the date Specified in the initial written notice from the agency Owed the debt, normally within 30 Calendar dayS, unleSS the debt Or makes Satisfactory payment, arrangement S With the agency by that date; and (2) With respect to which the debtor has elected not to exercise any available appeals Or has exhausted all agenCy appeal processes. Development. The Systematic use of Scientific and technical knowledge in the design, development, testing, Or evaluation of potential new products, processes, Or Services to meet Specific performance requirements Or Objectives. It includes the functions Of deSign engineering, prototyping, and engineering testing. Electronic commerce. The conduct. Of business through the uSe Of automation and electronic media, in lieu. Of paper transactions, direct personal COntact, telephone, Or Other means. FOr grantS and COOperative agreementS, electronic
COmmerce Can include the use Of electronic data interChange, electronic mail, electronic bulletin board SystemS, and electronic funds transfer for: program announcement.S Or Solicitations; applications Or proposals; award document.S; recipients’ requests for payment; payment authorizations; and payment.S. Electronic data interchange. The exchange of Standardized information COmmunicated electronically between busineSS partners, typically between computers. It is DoD policy that DOD COmponent, EDI applications COnform to the American National Standards Institute (ANSI), Accredited Standards Committee (ASC) X-12 standard.1 Electronic funds transfer. A System that provides the authority to debit or Credit aCCOuntS in financial institutions by electronic means rather than Source documentS (e.g., paper checks). Processing typically Occurs through the Federal Reserve System and/or the Automated Clearing House (ACH) COmputer network. It is DOD policy that DOD COmponent EFT transmissions COnform to the American National Standards Institute (ANSI), Accredited Standards Committee (ASC) X—12 Standard. Historically Black, Colleges and univerSities. Institutions Of higher education determined by the Secretary of EduCation to meet the requirement.S of 34 CFR 608.2. Each DoD Component’s contracting activities and grantS Officers may obtain a list of historically Black COllegeS and universities from that DOD COmponent’s Small and DiSadvantaged BuSineSS Utilization Office. Institution of higher education. An educational institution that meet S the Criteria, in Section 1201(a) Of the Higher Education Act of 1965 (20 U.S.C. 1141(a)). Note, however, that institution. Of higher education has a different meaning in $22.520, as given at $22.520(b)(2). Minority institutions. Institutions Of higher education that meet the Criteria. for minority institutions Specified in 10
1 Available from ACCredited Standards Committee, X-12 Secretariat, Data Interchange Standards Association, 1800 Diagonal Road, Suite 355, Alexandria, VA 22314–2852; Attention: Manager Maintenance and PubliCationS.
U.S.C. 2323. Each DoD Component’s contracting activities and grantS Officers may obtain copies of a Current list of institutions that qualify as minority institutions under 10 U.S.C. 2323 from that DoD Component’s Small and DiSadvantaged Business Utilization Office (the list of minority institutions changes periodically, based On Department of Education data on institutions’ enrollments of minority Student.S). Research. Basic, applied, and advanced research, as defined in this Section. Subaward. An award of financial asSistance in the form. Of money, Or property in lieu of money, made under a DoD grant or cooperative agreement by a recipient to an eligible subrecipient. The term includes financial assistance for Substantive program performance by the subrecipient of a portion of the program for which the DoD grant or Cooperative agreement was made. It does not include the recipient’s procurement of goods and Services needed to Carry Out, the program.
Subpart B–Selecting the Appropriate Instrument
This subpart provides the bases for determining the appropriate type of inStrument in a given Situation.
$22.205 Distinguishing assistance from procurement.
Before using a grant or COOperative agreement, the grantS Officer Shall make a positive judgment that an asSistance instrument, rather than a proCurement Contract, is the appropriate instrument, based. On the following:
(a) Purpose. (1) The grants Officer must judge that the principal purpose of the activity to be carried out under the instrument, is to Stimulate Or Support a public purpose (i.e., to provide assistance), rather than acquisition (i.e., to acquire goods and Services for the direct benefit. Of the United States Government). If the principal purpose is acquisition, then the grantS Officer Shall judge that a procurement COntract is the appropriate instrument, in accordance with 31 U.S.C. Chapter 63 (“Using Procurement Contracts and Grant and Cooperative Agreements”).
ASSistance instruments shall not be used in Such situations, except: (i) When a statute specifically provides otherwise; or (ii) When an exemption is granted, in accordance with $22.220. (2) For research and development, the appropriate use of grants and cooperative agreement.S therefore is almost exClusively limited to the performance of Selected basic, applied, and advanced research projectS. Development projectS nearly always shall be performed by contract or other acquisition transaction because their prinCipal purpose is the acquisition of Specific deliverable items (e.g., prototypes Or Other hardware) for the benefit Of the Department of Defense. (b) Fee or profit. Payment of fee or profit is consistent with an activity whose principal purpose is the acquisition of goods and Services for the direct benefit, or use of the United States Government, rather than an activity whose principal purpose is a SSistance. Therefore, the grants officer Shall use a procurement contract, rather than an assistance instrument, in all cases Where: (1) Fee Or profit is to be paid to the recipient of the instrument; or (2) The instrument is to be used to Carry Out a program where fee or profit is necessary to achieving program Objectives.
$22.210 Authority for providing assist3| |Cee
(a) Before a grant Or Cooperative agreement may be used, the grantS Officer must: (1) Identify the program Statute, the Statute that authorizes the DOD COmponent to carry out the activity the principal purpose of which is a SSistance (see 32 CFR 21.205(b)). (2) Review the program Statute to determine if it contains requirements that affect the: (i) Solicitation, Selection, and award processes. FOr example, program Statutes may authorize aSSistance to be provided Only to Certain types of reCipients; may require that recipients meet certain other criteria to be eligible to receive a SSistance; Or require that a Specific process Shall be used to review recipients’ proposals.
(ii) Terms and conditions of the award. For example, SOme program statutes require a Specific level of cost sharing Or matching. (b) The grantS Officer Shall ensure that the award Of DOD appropriations through a grant Or COOperative agreement, for a research project meets the Standards Of 10 U.S.C. 2358, DOD's broad authority to Carry Out, research, even if the research project is authorized under a Statutory authority. Other than 10 U.S.C. 2358. The Standards Of 10 U.S.C. 2358 are that, in the Opinion of the Head Of the DOD COmponent Or his Or her designee, the projectS must be: (1) Necessary to the responsibilities Of the DOD COmponent. (2) Related to weapons Systems and Other military needs Or Of potential interest to the DoD Component.
$22.215 Distinguishing grants and cooperative agreements.
(a) Once a grantS Officer judges, in aCCOrdance with $$22.205 and 22.210, that either a grant Or COOperative agreement is the appropriate instrument, the grantS Officer Shall distinguish between the two instrument.S as follows: (1) Grants shall be used when the grantS Officer judges that Substantial involvement is not expected between the Department. Of Defense and the reCipient. When Carrying Out, the activity COntemplated in the agreement. (2) COOperative agreement.S Shall be used when the grantS Officer judges that Substantial involvement is expected. The grants officer should document, the nature Of the Substantial inVOlvement that led to Selection. Of a COOperative agreement. Under no Circumstances are COOperative agreement.S to be used Solely to Obtain the Stricter COntrols typical of a Contract. (b) In judging whether Substantial involvement is expected, grantS Officers should recognize that “Substantial involvement” is a relative, rather than an absolute, C.Oncept, and that it is primarily based On programmatic factors, rather than requirement.S for grant Or Cooperative agreement award Or administration. FOr example, Substantial involvement may include COllaboration, participation, Or intervention in
the program Or activity to be performed under the award.
|Under 31 U.S.C. 6307, ‘‘the Director of the Office of Management and Budget may exempt an agency transaction Or program” from the requirements of 31 U.S.C. Chapter 63. Grants Officers shall request Such exemptions Only in exceptional Circumstances. Each request Shall Specify for which individual transaction Or program the exemption iS SOught; the reaSOnS for requesting an exemption; the anticipated COnSequences if the exemption is not, granted; and the implications for Other agency transactions and programs if the exemption is granted. The proce— dures for requesting exemptions Shall be: (a) In Cases where 31 U.S.C. Chapter 63 would require use Of a Contract and an exemption from that requirement is desired: (1) The grantS Officer Shall Submit a request for exemption, through appropriate Channels established by his Or Her DoD Component (see 32 CFR 21.115(b)(1)), to the Director of Defense Procurement (DDP). (2) The DDP, after coordination with the Director of Defense Research and Engineering (DDR&E), Shall transmit the request to OMB or notify the DoD Component that the request has been disapproved. (b) In other cases, the DoD Compoment, Shall Submit a request for the exemption through appropriate Channels to the DDR&E. The DDR&E Shall transmit, the request, to OMB Or notify the DoD Component that the request has been disapproved. (C) Where an exemption is granted, dOCumentation. Of the approval Shall be maintained in the award file.
This Subpart establishes DOD policy and implement.S Statutes related to the uSe Of COmpetitive procedures in the award Of grantS and COOperative agreement.S.
$22.305 General policy and requirement for competition.
(a) It is DOD policy to maximize use of competition in the award Of grantS and COOperative agreement.S. This also conforms with:
(1) 31 U.S.C. 6301(3), which encourages the use of competition in awarding all grants and COOperative agreement.S.
(2) 10 U.S.C. 2374(a), which sets out Congressional policy that any new grant for research, development, test, Or evaluation be awarded through merit-based Selection procedures.
(b) Grants officers shall use meritbased, COmpetitive procedureS (as defined by § 22.315) to award grants and COOperative agreement.S:
(1) In every case where required by statute (e.g., 10 U.S.C. 2361, as implemented in $22.310, for Certain grantS to institutions Of higher education).
(2) To the maximum extent practicable in all cases where not required by Statute.
$22.310 Statutes concerning certain research, development, and facilities construction grants.
(a) Definitions Specific to this section. For the purposes of implementing the requirements of 10 U.S.C. 2374 in this Section, the following terms are defined: (1) Follow-on grant. A grant that proVides for COntinuation. Of research and development performed by a recipient under a preceding grant. Note that follow-on grants are distinct from incremental funding actions during the period of execution of a multi-year award. (2) New grant. A grant that is not a follow-On grant. (b) Statutory requirement to use com— petitive procedures. (1) A grants officer Shall not award a grant by other than merit-based, competitive procedures (as defined by § 22.315) to an institution of higher education for the performance of research and development Or for the construction of research or Other facilities, unless: (i) In the Case of a new grant for reSearch and development, there is a Statute meeting the Criteria in paragraph (c)(1) of this Section; (ii) In the Case of a follow-On grant for research and development, or of a
grant for the Construction of research Or Other facilities, there is a statute meeting the Criteria in paragraph (c)(2) Of this Section; and (iii) The Secretary of Defense Submits to Congress a written notice of intent to make the grant. The grant may not be awarded until 180 calendar days have elapsed after the date on which CongreSS received the notice of intent. Contracting activities must submit a draft notice of intent with supporting documentation through channels to the Deputy Director, Defense Research and Engineering. (2) Because Subsequently enacted Statutes may, by their terms, impose different requirements than Set Out in paragraph (b)(1) Of this Section, grantS OfficerS Shall Consult legal counsel On a Case-by-Case basis, when grantS for the performance of research and development. Or for the Construction of reSearch Or Other facilities are to be awarded to institutions of higher eduCation by Other than merit-based COmpetitive procedures. (C) Subsequent Statutes. In a CCOrdance with 10 U.S.C. 2361 and 10 U.S.C. 2374, a provision Of law may not be COnStrued aS requiring the award of a grant through Other than the merit-based, Competitive procedures described in $22.315, unless: (1) Institutions of higher education— new grants for research and development. In the Case of a new grant for research and development to an institution of higher education, Such provision of law Specifically: (i) Identifies the particular institution Of higher education involved; (ii) States that Such provision of law modifies Or SuperSedes the provisions of 10 U.S.C. 2361 (a requirement that applies Only if the Statute authorizing or requiring award by other than competitive procedures was enacted after September 30, 1989); and (iii) States that the award to the inStitution. Of higher education involved is required by Such provision of law to be made in contravention of the policy set forth in 10 U.S.C. 2374(a). (2) Institutions of higher education— follow-on grants for research and development and grants for the construction of any research or other facility. In the case Of any Such grant to an institution of higher education, Such provision of law Specifically: (i) Identifies the particular institution of higher education involved; and (ii) States that Such provision of law modifies Or SuperSedes the provisions of 10 U.S.C. 2361 (a requirement that applies only if the Statute authorizing or requiring award by Other than competitive procedures was enacted after September 30, 1989). (3) Other entities—new grants for reSearch and development—(i) General. In the case of a new grant for research and development to an entity. Other than an institution. Of higher education, Such provision of law specifiCally: (A) Identifies the particular entity involved; (B) States that the award to that entity is required by Such provision of law to be made in COntravention Of the policy set forth in 10 U.S.C. 2374(a). (ii) Eacception. The requirement of paragraph (c)(3)(i) Of this Section does not apply to any grant that Calls upon the National Academy Of Sciences to: (A) Investigate, examine, Or experiment, upon any Subject Of Science Or art Of Significance to the Department Of Defense or any Military Department; and (B) Report. On Such matters to the Congress Or any agency Of the Federal GOvernment.
$22.315 Merit-based, competitive procedures.
Competitive procedures are methods that encourage participation in DOD programs by a broad base of the most highly qualified performers. These proCedures are characterized by COmpetition among as many eligible proposers aS possible, with a published Or Widely disseminated notice. Competitive proCedures include, as a minimum:
(a) Notice to prospective proposers. The notice may be a notice Of funding availability Or Broad Agency Announcement, published in the FEDERAL REGISTER Or Commerce Business Daily, respectively, Or a notice that is made available broadly by electronic means. Alternatively, it may take the form. Of a Specific notice that is distributed to eligible proposers (a Specific notice must be distributed to at least two eli
gible proposers to be COnSidered as part of a competitive procedure). Notices must include, as a minimum, the following information: (1) PrOgrammatic area.(S) of interest, in which proposals Or applications are SOught. (2) Eligibility Criteria, for potential recipients (See Subpart D Of this part). (3) Criteria, that will be used to Select the applications Or proposals that will be funded, and the method for COnducting the evaluation. (4) The type(s) of funding instrument S (e.g., grantS, COOperative agreement.S, Other a SSistance instrument.S, Or procurement Contracts) that are anticipated to be awarded pursuant to the announcement. (5) Instructions for preparation and Submission of a proposal or application, including the time by which it must be Submitted. (b) At least two eligible, prospective proposerS. (c) Impartial review of the merits of applications Or proposals received in response to the notice, using the evaluation method and Selection Criteria. deSCribed in the notice. For research and development awards, in Order to be COnSidered as part. Of a COmpetitive procedure, the two principal Selection Criteria, unless Statute provides OtherWise, must be the: (1) Technical merit.S of the proposed research and development; and (2) POtential relationship Of the proposed research and development to Department Of Defense missions.
$22.320 Special competitions.
Some programs may be competed for programmatic Or policy reasons among Specific Cla.SSes Of potential recipientS. An example WOuld be a program to enhance U.S. Capabilities for academic research and research-COupled graduate education in defense-Critical, SCience and engineering disciplines, a program that WOuld be COmpeted Specifically among institutions Of higher education. All Such Special COmpetitions Shall be COnSistent with program representations in the President’s budget Submission to CongreSS and With SubSequent Congressional authorizations and appropriations for the programs.