2 CFR 25 - Universal Identifier and System For Award Management

12/31/2015
eCFRCodeofFederalRegulations
ELECTRONICCODEOFFEDERALREGULATIONS
eCFRdataiscurrentasofDecember29,2015
Title2SubtitleAChapterIPart25
Title2:GrantsandAgreements
PART25UNIVERSALIDENTIFIERANDSYSTEMFORAWARDMANAGEMENT
Contents
SubpartAGeneral
25.100Purposesofthispart.
25.105Typesofawardstowhichthispartapplies.
25.110Typesofrecipientandsubrecipiententitiestowhichthispartapplies.
25.115Deviations.
SubpartBPolicy
25.200Requirementsforprogramannouncements,regulations,andapplicationinstructions.
25.205EffectofnoncompliancewitharequirementtoobtainauniqueentityidentifierorregisterintheSAM.
25.210Authoritytomodifyagencyapplicationformsorformats.
25.215Requirementsforagencyinformationsystems.
25.220Useofawardterm.
SubpartCDefinitions
25.300Agency.
25.305Award.
25.310SystemofAwardManagement(SAM).
25.315Uniqueentityidentifier.
25.320Entity.
25.325Forprofitorganization.
25.330Foreignpublicentity.
25.335IndianTribe(orFederallyrecognizedIndianTribe).
25.340Localgovernment.
25.345Nonprofitorganization.
25.350State.
25.355Subaward.
25.360Subrecipient.
AppendixAtoPart25AwardTerm
AUTHORITY:Pub.L.10928231U.S.C.6102.
SOURCE:75FR55673,Sept.14,2010,unlessotherwisenoted.
EDITORIALNOTE:Nomenclaturechangestopart25appearat79FR75879,Dec.19,2014.
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SubpartAGeneral
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25.100Purposesofthispart.
Thispartprovidesguidancetoagenciestoestablish:
http://www.ecfr.gov/cgibin/textidx?SID=6c18b1fc0fb372bdf6981511fd2031b5&mc=true&node=pt2.1.25&rgn=div5
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(a)TheuniqueentityidentifierasauniversalidentifierforFederalfinancialassistanceapplicants,aswellasrecipients
andtheirdirectsubrecipients.
(b)TheSystemforAwardManagement(SAM)astherepositoryforstandardinformationaboutapplicantsand
recipients.
[75FR55673,Sept.14,2010,asamendedat79FR75879,Dec.19,201480FR54407,Sept.10,2015]
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25.105Typesofawardstowhichthispartapplies.
Thispartappliestoanagency'sgrants,cooperativeagreements,loans,andothertypesofFederalfinancial
assistanceincludedinthedefinitionofawardin25.305.Therequirementsinthispartmustbeimplementedforgrants
andcooperativeagreementsbyOctober1,2010.Therequirementsinthispartmustbeimplementedforallotheraward
formslistedin25.200requirementatadatetobespecifiedinthefuture.
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25.110Typesofrecipientandsubrecipiententitiestowhichthispartapplies.
(a)General.Throughanagency'simplementationoftheguidanceinthispart,thispartappliestoallentities,other
thanthoseexemptedinparagraphs(b),(c),and(d)ofthissection,that
(1)Applyfororreceiveagencyawardsor
(2)Receivesubawardsdirectlyfromrecipientsofthoseagencyawards.
(b)Exemptionsforindividuals.Noneoftherequirementsinthispartapplytoanindividualwhoappliesfororreceives
Federalfinancialassistanceasanaturalperson(i.e.,unrelatedtoanybusinessornonprofitorganizationheorshemay
ownoroperateinhisorhername).
(c)ExemptionsforFederalagencies.TherequirementinthisparttomaintainacurrentregistrationintheSAMdoes
notapplytoanagencyoftheFederalGovernmentthatreceivesanawardfromanotheragency.
(d)Otherexemptions.(1)Underaconditionidentifiedinparagraph(d)(2)ofthissection,anagencymayexemptan
entityfromanapplicablerequirementtoobtainauniqueentityidentifier,registerintheSAM,orboth.
(i)Inthatcase,theagencymustuseagenericuniqueentityidentifierindataitreportstoUSASpending.govif
reportingforaprimeawardtotheentityisrequiredbytheFederalFundingAccountabilityandTransparencyAct(Pub.L.
109282,hereaftercitedasTransparencyAct).
(ii)Agencyuseofagenericuniqueentityidentifiershouldbeusedrarelyforprimeawardreportingbecauseit
preventsprimeawardeesfrombeingabletofulfillthesubwardorexecutivecompensationreportingrequiredbythe
TransparencyAct.
(2)Theconditionsunderwhichanagencymayexemptanentityare
(i)Foranyentity,iftheagencydeterminesthatitmustprotectinformationabouttheentityfromdisclosure,toavoid
compromisingclassifiedinformationornationalsecurityorjeopardizingthepersonalsafetyoftheentity'sclients.
(ii)Foraforeignentityapplyingfororreceivinganawardorsubawardforaprojectorprogramperformedoutsidethe
UnitedStatesvaluedatlessthan$25,000,iftheagencydeemsittobeimpracticalfortheentitytocomplywiththe
requirement(s).
(3)Agencies'useofgenericuniqueentityidentifier,asdescribedinparagraphs(d)(1)and(2)ofthissection,should
berare.Havingagenericuniqueentityidentifierlimitsarecipient'sabilitytouseGovernmentwidesystemsthatare
neededtocomplywithsomereportingrequirements.
[75FR55673,Sept.14,2010,asamendedat79FR75879,Dec.19,2014]
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25.115Deviations.
DeviationsfromthispartrequirethepriorapprovaloftheOfficeofManagementandBudget(OMB).
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SubpartBPolicy
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25.200Requirementsforprogramannouncements,regulations,andapplicationinstructions.
(a)EachagencythatawardstypesofFederalfinancialassistanceincludedinthedefinitionofawardin25.305
mustincludetherequirementsdescribedinparagraph(b)ofthissectionineachprogramannouncement,regulation,or
otherissuancecontaininginstructionsforapplicantsthateither:
(1)Isissuedonoraftertheeffectivedateofthispartor
(2)HasapplicationorplanduedatesafterOctober1,2010.
(b)Theprogramannouncement,regulation,orotherissuancemustrequireeachentitythatappliesanddoesnothave
anexemptionunder25.110to:
(1)BeregisteredintheSAMpriortosubmittinganapplicationorplan
(2)MaintainanactiveSAMregistrationwithcurrentinformationatalltimesduringwhichithasanactiveFederal
awardoranapplicationorplanunderconsiderationbyanagencyand
(3)Provideitsuniqueentityidentifierineachapplicationorplanitsubmitstotheagency.
(c)Forpurposesofthispolicy:
(1)Theapplicantistheentitythatmeetstheagency'sorprogram'seligibilitycriteriaandhasthelegalauthorityto
applyandtoreceivetheaward.Forexample,ifaconsortiumappliesforanawardtobemadetotheconsortiumasthe
recipient,theconsortiummusthaveauniqueentityidentifier.Ifaconsortiumiseligibletoreceivefundingunderanagency
programbuttheagency'spolicyistomaketheawardtoaleadentityfortheconsortium,theuniqueentityidentifierofthe
leadentitywillbeused.
(2)Aprogramannouncementisanypaperorelectronicissuancethatanagencyusestoannounceafunding
opportunity,whetheritiscalledaprogramannouncement,noticeoffundingavailability,broadagencyannouncement,
researchannouncement,solicitation,orsomeotherterm.
(3)ToremainregisteredintheSAMdatabaseaftertheinitialregistration,theapplicantisrequiredtoreviewand
updateonanannualbasisfromthedateofinitialregistrationorsubsequentupdatesitsinformationintheSAMdatabase
toensureitiscurrent,accurateandcomplete.
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25.205EffectofnoncompliancewitharequirementtoobtainauniqueentityidentifierorregisterintheSAM.
(a)Anagencymaynotmakeanawardtoanentityuntiltheentityhascompliedwiththerequirementsdescribedin
25.200toprovideavaliduniqueentityidentifierandmaintainanactiveSAMregistrationwithcurrentinformation(other
thananyrequirementthatisnotapplicablebecausetheentityisexemptedunder25.110).
(b)Atthetimeanagencyisreadytomakeanaward,iftheintendedrecipienthasnotcompliedwithanapplicable
requirementtoprovideauniqueentityidentifierormaintainanactiveSAMregistrationwithcurrentinformation,the
agency:
(1)Maydeterminethattheapplicantisnotqualifiedtoreceiveanawardand
(2)Mayusethatdeterminationasabasisformakinganawardtoanotherapplicant.
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25.210Authoritytomodifyagencyapplicationformsorformats.
Toimplementthepoliciesin25.200and25.205,anagencymayaddauniqueentityidentifierfieldtoapplication
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formsorformatspreviouslyapprovedbyOMB,withouthavingtoobtainfurtherapprovaltoaddthefield.
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25.215Requirementsforagencyinformationsystems.
Eachagencythatmakesawards(asdefinedin25.325)mustensurethatsystemsprocessinginformationrelatedto
theawards,andothersystemsasappropriate,areabletoacceptandusetheuniqueentityidentifierastheuniversal
identifierforfinancialassistanceapplicantsandrecipients.
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25.220Useofawardterm.
(a)Toaccomplishthepurposesdescribedin25.100,anagencymustincludeineachaward(asdefinedin25.305)
theawardterminappendixAtothispart.
(b)AnagencymayusedifferentlettersandnumbersthanthoseinappendixAtothisparttodesignatethe
paragraphsoftheawardterm,ifnecessary,toconformthesystemofparagraphdesignationswiththeoneusedinother
termsandconditionsintheagency'sawards.
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SubpartCDefinitions
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25.300Agency.
AgencymeansaFederalagencyasdefinedat5U.S.C.551(1)andfurtherclarifiedby5U.S.C.552(f).
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25.305Award.
(a)Award,forthepurposesofthispart,meansanawardofFederalfinancialassistancethatanonFederalentity
describedin25.110(a)receivesoradministersintheformof
(1)Agrant
(2)Acooperativeagreement(whichdoesnotincludeacooperativeresearchanddevelopmentagreementpursuantto
theFederalTechnologyTransferActof1986,asamended(15U.S.C.3710a))
(3)Aloan
(4)Aloanguarantee
(5)Asubsidy
(6)Insurance
(7)Foodcommodities
(8)Adirectappropriation
(9)Assessedorvoluntarycontributionsor
(10)AnyotherfinancialassistancetransactionthatauthorizesthenonFederalentity'sexpenditureofFederalfunds.
(b)AnAwarddoesnotinclude:
(1)Technicalassistance,whichprovidesservicesinlieuofmoneyand
(2)AtransferoftitletoFederallyownedpropertyprovidedinlieuofmoney,eveniftheawardiscalledagrant.
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25.310SystemofAwardManagement(SAM).
SystemforAwardManagementhasthemeaninggiveninparagraphC.1oftheawardterminappendixAtothispart.
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25.315Uniqueentityidentifier.
UniqueentityidentifierhasthemeaninggiveninparagraphC.2oftheawardterminappendixAtothispart.
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25.320Entity.
Entity,asitisusedinthispart,hasthemeaninggiveninparagraphC.3oftheawardterminAppendixAtothispart.
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25.325Forprofitorganization.
ForprofitorganizationmeansanonFederalentityorganizedforprofit.Itincludes,butisnotlimitedto:
(a)AnScorporationincorporatedunderSubchapterSoftheInternalRevenueCode
(b)Acorporationincorporatedunderanotherauthority
(c)Apartnership
(d)Alimitedliabilitycorporationorpartnershipand
(e)Asoleproprietorship.
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25.330Foreignpublicentity.
Foreignpublicentitymeans:
(a)Aforeigngovernmentorforeigngovernmentalentity
(b)Apublicinternationalorganization,whichisanorganizationentitledtoenjoyprivileges,exemptions,and
immunitiesasaninternationalorganizationundertheInternationalOrganizationsImmunitiesAct(22U.S.C.288288f)
(c)Anentityowned(inwholeorinpart)orcontrolledbyaforeigngovernmentand
(d)Anyotherentityconsistingwhollyorpartiallyofoneormoreforeigngovernmentsorforeigngovernmentalentities.
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25.335IndianTribe(orFederallyrecognizedIndianTribe).
IndianTribe(orFederallyrecognizedIndianTribe)meansanyIndianTribe,band,nation,orotherorganizedgroup
orcommunity,includinganyAlaskanNativevillageorregionalorvillagecorporation(asdefinedin,orestablishedunder,
theAlaskanNativeClaimsSettlementAct(43U.S.C.1601,etseq.))thatisrecognizedbytheUnitedStatesaseligiblefor
thespecialprogramsandservicesprovidedbytheUnitedStatestoIndiansbecauseoftheirstatusasIndians.
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25.340Localgovernment.
Localgovernmentmeansa:
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(a)County
(b)Borough
(c)Municipality
(d)City
(e)Town
(f)Township
(g)Parish
(h)Localpublicauthority,includinganypublichousingagencyundertheUnitedStatesHousingActof1937
(i)Specialdistrict
(j)Schooldistrict
(k)Intrastatedistrict
(l)Councilofgovernments,whetherornotincorporatedasanonprofitcorporationunderStatelawand
(m)Anyotherinstrumentalityofalocalgovernment.
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25.345Nonprofitorganization.
Nonprofitorganization
(a)Meansanycorporation,trust,association,cooperative,orotherorganizationthat
(1)Isoperatedprimarilyforscientific,educational,service,charitable,orsimilarpurposesinthepublicinterest
(2)Isnotorganizedprimarilyforprofitand
(3)Usesnetproceedstomaintain,improve,orexpandtheoperationsoftheorganization.
(b)Includesnonprofit
(1)Institutionsofhighereducation
(2)Hospitalsand
(3)TribalorganizationsotherthanthoseincludedinthedefinitionofIndianTribe.
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25.350State.
Statemeans
(a)AnyStateoftheUnitedStates
(b)TheDistrictofColumbia
(c)AnyagencyorinstrumentalityofaStateotherthanalocalgovernmentorStatecontrolledinstitutionofhigher
education
(d)TheCommonwealthsofPuertoRicoandtheNorthernMarianaIslandsand
(e)TheUnitedStatesVirginIslands,Guam,AmericanSamoa,andaterritoryorpossessionoftheUnitedStates.
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25.355Subaward.
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SubawardhasthemeaninggiveninparagraphC.4oftheawardterminAppendixAtothispart.
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25.360Subrecipient.
SubrecipienthasthemeaninggiveninparagraphC.5oftheawardterminAppendixAtothispart.
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AppendixAtoPart25AwardTerm
I.SYSTEMFORAWARDMANAGEMENTANDUNIVERSALIDENTIFIERREQUIREMENTS
A.RequirementforSystemforAwardManagement
Unlessyouareexemptedfromthisrequirementunder2CFR25.110,youastherecipientmustmaintainthecurrency
ofyourinformationintheSAMuntilyousubmitthefinalfinancialreportrequiredunderthisawardorreceivethefinal
payment,whicheverislater.Thisrequiresthatyoureviewandupdatetheinformationatleastannuallyaftertheinitial
registration,andmorefrequentlyifrequiredbychangesinyourinformationoranotherawardterm.
B.Requirementforuniqueentityidentifier
Ifyouareauthorizedtomakesubawardsunderthisaward,you:
1.Mustnotifypotentialsubrecipientsthatnoentity(seedefinitioninparagraphCofthisawardterm)mayreceivea
subawardfromyouunlesstheentityhasprovideditsuniqueentityidentifiertoyou.
2.Maynotmakeasubawardtoanentityunlesstheentityhasprovideditsuniqueentityidentifiertoyou.
C.Definitions
Forpurposesofthisawardterm:
1.SystemforAwardManagement(SAM)meanstheFederalrepositoryintowhichanentitymustprovideinformation
requiredfortheconductofbusinessasarecipient.Additionalinformationaboutregistrationproceduresmaybefoundat
theSAMInternetsite(currentlyathttp://www.sam.gov).
2.UniqueentityidentifiermeanstheidentifierrequiredforSAMregistrationtouniquelyidentifybusinessentities.
3.Entity,asitisusedinthisawardterm,meansallofthefollowing,asdefinedat2CFRpart25,subpartC:
a.AGovernmentalorganization,whichisaState,localgovernment,orIndianTribe
b.Aforeignpublicentity
c.Adomesticorforeignnonprofitorganization
d.Adomesticorforeignforprofitorganizationand
e.AFederalagency,butonlyasasubrecipientunderanawardorsubawardtoanonFederalentity.
4.Subaward:
a.Thistermmeansalegalinstrumenttoprovidesupportfortheperformanceofanyportionofthesubstantiveproject
orprogramforwhichyoureceivedthisawardandthatyouastherecipientawardtoaneligiblesubrecipient.
b.Thetermdoesnotincludeyourprocurementofpropertyandservicesneededtocarryouttheprojectorprogram
(forfurtherexplanation,see2CFR200.330).
c.Asubawardmaybeprovidedthroughanylegalagreement,includinganagreementthatyouconsideracontract.
5.Subrecipientmeansanentitythat:
a.Receivesasubawardfromyouunderthisawardand
b.IsaccountabletoyoufortheuseoftheFederalfundsprovidedbythesubaward.
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2 CFR 25 - Universal Identifier and System For Award Management

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