§ 6101. — Definitions.
[Laws in effect as of January 7, 2003]
[Document not affected by Public Laws enacted between
January 7, 2003 and December 19, 2003]
[CITE: 31USC6101]
TITLE 31--MONEY AND FINANCE
SUBTITLE V--GENERAL ASSISTANCE ADMINISTRATION
CHAPTER 61--PROGRAM INFORMATION
Sec. 6101. Definitions
In this chapter--
(1) ``administering office'' means the lowest unit of an agency
responsible for managing a domestic assistance program.
(2) ``agency'' has the same meaning given that term in section
551(1) of title 5.
(3) ``assistance''--
(A) means the transfer of anything of value for a public
purpose of support or stimulation authorized by a law of the
United States, including--
(i) financial assistance;
(ii) United States Government facilities, services, and
property; and
(iii) expert and technical information; and
(B) does not include conventional public information
services or procurement of property or services for the direct
benefit or use of the Government.
(4) ``domestic assistance program''--
(A) means assistance from an agency for--
(i) a State;
(ii) the District of Columbia;
(iii) a territory or possession of the United States;
(iv) a county;
(v) a city;
(vi) a political subdivision or instrumentality of a
governmental authority listed in subclauses (i)-(v) of this
clause (A);
(vii) a domestic corporation;
(viii) a domestic institution; and
(ix) an individual of the United States; and
(B) does not include assistance from an agency for an
agency.
(5) ``Director'' means the Director of the Office of Management
and Budget.
(6) ``Administrator'' means the Administrator of General
Services.
(7) ``formula'' means any prescribed method employing objective
data or statistical estimates for making individual determinations
among recipients of Federal funds, either in terms of eligibility or
actual funding allocations, that can be written in the form of
either--
(A) a closed mathematical statement; or
(B) an iterative procedure or algorithm which can be written
as a computer program;
and from which the results can be objectively replicated, within
reasonable limits due to rounding error, through independent
application of such statement, procedures, or algorithm, by
different qualified individuals.
(Pub. L. 97-258, Sept. 13, 1982, 96 Stat. 1000; Pub. L. 98-169,
Secs. 1(1), 3(a), Nov. 29, 1983, 97 Stat. 1113; Pub. L. 99-547,
Sec. 2(b)(2), Oct. 27, 1986, 100 Stat. 3060; Pub. L. 103-272,
Sec. 4(f)(1)(S), July 5, 1994, 108 Stat. 1362; Pub. L. 104-287,
Sec. 6(a)(1), Oct. 11, 1996, 110 Stat. 3398.)
Historical and Revision Notes
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Revised Section Source (U.S. Code) Source (Statutes at Large)
----------------------------------------------------------------------------------------------------------------
6101(1).............................. 31:1701(4). Dec. 28, 1977, Pub. L. 95-220, Sec. 2,
91 Stat. 1615.
6101(2).............................. 31:1701(2).
6101(3).............................. 31:1701(1).
6101(4).............................. 31:1701(3).
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In the section, the word ``Federal'' is omitted as unnecessary.
In clause (1), the word ``unit'' is substituted for ``subdivision''
for consistency in the revised title. The words ``direct operational''
are omitted as unnecessary.
In clause (3)(A), the words ``money, property, services, or'' are
omitted as being included in ``anything of value''. The word ``for'' is
substituted for ``the principal purpose of which is to accomplish'' to
eliminate unnecessary words. In subclause (i), the words ``grants,
loans, loan guarantees, scholarships, mortgage loans, insurance or other
types of'' are omitted as being included in ``financial assistance''. In
subclause (ii), the word ``goods'' is omitted as being included in
``property''. The words ``and service activities of regulatory
agencies'' are omitted as being included in ``services''. In subclause
(iii), the words ``expert and technical information'' are substituted
for ``technical assistance, and counseling, statistical and other expert
information'' to eliminate unnecessary words.
In clause (3)(B), the words ``or procurement of property or services
for the direct benefit or use of the Government'' are added for
consistency in subtitle V of the revised title.
In clause (4)(A), the words ``or benefits'' are omitted as being
included in ``assistance''. Subclause (ii) is included for consistency
in the revised title because the District of Columbia is stated when a
provision is meant to apply to the District. In subclause (vi), the word
``grouping'' is omitted as being included in ``political subdivision or
instrumentality''. In subclauses (vii)-(ix), the words ``profit or
nonprofit'' are omitted as surplus. In subclause (ix), the words
``individual of the United States'' are substituted for ``domestic . . .
individual'' for clarity.
Amendments
1996--Par. (4)(B). Pub. L. 104-287 made technical amendment to
directory language of Pub. L. 103-272. See 1994 Amendment note below.
1994--Par. (4)(B). Pub. L. 103-272, as amended by Pub. L. 104-287,
substituted ``agency.'' for ``agency'' at end.
1986--Par. (4)(B). Pub. L. 99-547 substituted ``assistance from an
agency for an agency'' for ``a department, agency, or instrumentality of
the Government.''
1983--Pars. (5), (6). Pub. L. 98-169, Sec. 1(1), added pars. (5) and
(6).
Par. (7). Pub. L. 98-169, Sec. 3(a), added par. (7).
Effective Date of 1996 Amendment
Section 6(a) of Pub. L. 104-287 provided that the amendment made by
that section is effective July 5, 1994.
Federal Financial Assistance Management Improvement
Pub. L. 106-107, Nov. 20, 1999, 113 Stat. 1486, provided that:
``SECTION 1. SHORT TITLE.
``This Act may be cited as the `Federal Financial Assistance
Management Improvement Act of 1999'.
``SEC. 2. FINDINGS.
``Congress finds that--
``(1) there are over 600 different Federal financial assistance
programs to implement domestic policy;
``(2) while the assistance described in paragraph (1) has been
directed at critical problems, some Federal administrative
requirements may be duplicative, burdensome or conflicting, thus
impeding cost-effective delivery of services at the local level;
``(3) the Nation's State, local, and tribal governments and
private, nonprofit organizations are dealing with increasingly
complex problems which require the delivery and coordination of many
kinds of services; and
``(4) streamlining and simplification of Federal financial
assistance administrative procedures and reporting requirements will
improve the delivery of services to the public.
``SEC. 3. PURPOSES.
``The purposes of this Act are to--
``(1) improve the effectiveness and performance of Federal
financial assistance programs;
``(2) simplify Federal financial assistance application and
reporting requirements;
``(3) improve the delivery of services to the public; and
``(4) facilitate greater coordination among those responsible
for delivering such services.
``SEC. 4. DEFINITIONS.
``In this Act:
``(1) Director.--The term `Director' means the Director of the
Office of Management and Budget.
``(2) Federal agency.--The term `Federal agency' means any
agency as defined under section 551(1) of title 5, United States
Code.
``(3) Federal financial assistance.--The term `Federal financial
assistance' has the same meaning as defined in section 7501(a)(5) of
title 31, United States Code, under which Federal financial
assistance is provided, directly or indirectly, to a non-Federal
entity.
``(4) Local government.--The term `local government' means a
political subdivision of a State that is a unit of general local
government (as defined under section 7501(a)(11) of title 31, United
States Code).
``(5) Non-federal entity.--The term `non-Federal entity' means a
State, local government, or nonprofit organization.
``(6) Nonprofit organization.--The term `nonprofit organization'
means any corporation, trust, association, cooperative, or other
organization that--
``(A) is operated primarily for scientific, educational,
service, charitable, or similar purposes in the public interest;
``(B) is not organized primarily for profit; and
``(C) uses net proceeds to maintain, improve, or expand the
operations of the organization.
``(7) State.--The term `State' means any State of the United
States, the District of Columbia, the Commonwealth of Puerto Rico,
the Virgin Islands, Guam, American Samoa, the Commonwealth of the
Northern Mariana Islands, and the Trust Territory of the Pacific
Islands, and any instrumentality thereof, any multi-State, regional,
or interstate entity which has governmental functions, and any
Indian Tribal Government.
``(8) Tribal government.--The term `tribal government' means an
Indian tribe, as that term is defined in section 7501(a)(9) of title
31, United States Code.
``(9) Uniform administrative rule.--The term `uniform
administrative rule' means a Governmentwide uniform rule for any
generally applicable requirement established to achieve national
policy objectives that applies to multiple Federal financial
assistance programs across Federal agencies.
``SEC. 5. DUTIES OF FEDERAL AGENCIES.
``(a) In General.--Except as provided under subsection (b), not
later than 18 months after the date of the enactment of this Act [Nov.
20, 1999], each Federal agency shall develop and implement a plan that--
``(1) streamlines and simplifies the application,
administrative, and reporting procedures for Federal financial
assistance programs administered by the agency;
``(2) demonstrates active participation in the interagency
process under section 6(a)(2);
``(3) demonstrates appropriate agency use, or plans for use, of
the common application and reporting system developed under section
6(a)(1);
``(4) designates a lead agency official for carrying out the
responsibilities of the agency under this Act;
``(5) allows applicants to electronically apply for, and report
on the use of, funds from the Federal financial assistance program
administered by the agency;
``(6) ensures recipients of Federal financial assistance provide
timely, complete, and high quality information in response to
Federal reporting requirements; and
``(7) in cooperation with recipients of Federal financial
assistance, establishes specific annual goals and objectives to
further the purposes of this Act and measure annual performance in
achieving those goals and objectives, which may be done as part of
the agency's annual planning responsibilities under the Government
Performance and Results Act of 1993 (Public Law 103-62; 107 Stat.
285) [see Short Title of 1993 Amendment note set out under section
1101 of this title].
``(b) Extension.--If a Federal agency is unable to comply with
subsection (a), the Director may extend for up to 12 months the period
for the agency to develop and implement a plan in accordance with
subsection (a).
``(c) Comment and Consultation on Agency Plans.--
``(1) Comment.--Each agency shall publish the plan developed
under subsection (a) in the Federal Register and shall receive
public comment of the plan through the Federal Register and other
means (including electronic means). To the maximum extent
practicable, each Federal agency shall hold public forums on the
plan.
``(2) Consultation.--The lead official designated under
subsection (a)(4) shall consult with representatives of non-Federal
entities during development and implementation of the plan.
Consultation with representatives of State, local, and tribal
governments shall be in accordance with section 204 of the Unfunded
Mandates Reform Act of 1995 (2 U.S.C. 1534).
``(d) Submission of Plan.--Each Federal agency shall submit the plan
developed under subsection (a) to the Director and Congress and report
annually thereafter on the implementation of the plan and performance of
the agency in meeting the goals and objectives specified under
subsection (a)(7). Such report may be included as part of any of the
general management reports required under law.
``SEC. 6. DUTIES OF THE DIRECTOR.
``(a) In General.--The Director, in consultation with agency heads
and representatives of non-Federal entities, shall direct, coordinate,
and assist Federal agencies in establishing--
``(1) a common application and reporting system, including--
``(A) a common application or set of common applications,
wherein a non-Federal entity can apply for Federal financial
assistance from multiple Federal financial assistance programs
that serve similar purposes and are administered by different
Federal agencies;
``(B) a common system, including electronic processes,
wherein a non-Federal entity can apply for, manage, and report
on the use of funding from multiple Federal financial assistance
programs that serve similar purposes and are administered by
different Federal agencies; and
``(C) uniform administrative rules for Federal financial
assistance programs across different Federal agencies; and
``(2) an interagency process for addressing--
``(A) ways to streamline and simplify Federal financial
assistance administrative procedures and reporting requirements
for non-Federal entities;
``(B) improved interagency and intergovernmental
coordination of information collection and sharing of data
pertaining to Federal financial assistance programs, including
appropriate information sharing consistent with section 552a of
title 5, United States Code; and
``(C) improvements in the timeliness, completeness, and
quality of information received by Federal agencies from
recipients of Federal financial assistance.
``(b) Lead Agency and Working Groups.--The Director may designate a
lead agency to assist the Director in carrying out the responsibilities
under this section. The Director may use interagency working groups to
assist in carrying out such responsibilities.
``(c) Review of Plans and Reports.--Upon the request of the
Director, agencies shall submit to the Director, for the Director's
review, information and other reporting regarding agency implementation
of this Act.
``(d) Exemptions.--The Director may exempt any Federal agency or
Federal financial assistance program from the requirements of this Act
if the Director determines that the Federal agency does not have a
significant number of Federal financial assistance programs. The
Director shall maintain a list of exempted agencies which shall be
available to the public through the Office of Management and Budget's
Internet site.
``(e) Report on Recommended Changes in Law.--Not later than 18
months after the date of the enactment of this Act [Nov. 20, 1999], the
Director shall submit to Congress a report containing recommendations
for changes in law to improve the effectiveness, performance, and
coordination of Federal financial assistance programs.
``(f) Deadline.--All actions required under this section shall be
carried out not later than 18 months after the date of the enactment of
this Act [Nov. 20, 1999].
``SEC. 7. EVALUATION.
``(a) In General.--The General Accounting Office shall evaluate the
effectiveness of this Act. Not later than 6 years after the date of the
enactment of this Act [Nov. 20, 1999], the evaluation shall be submitted
to the lead agency, the Director, and Congress. The evaluation shall be
performed with input from State, local, and tribal governments, and
nonprofit organizations.
``(b) Contents.--The evaluation under subsection (a) shall--
``(1) assess the effectiveness of this Act in meeting the
purposes of this Act and make specific recommendations to further
the implementation of this Act;
``(2) evaluate actual performance of each agency in achieving
the goals and objectives stated in agency plans; and
``(3) assess the level of coordination among the Director,
Federal agencies, State, local, and tribal governments, and
nonprofit organizations in implementing this Act.
``SEC. 8. COLLECTION OF INFORMATION.
``Nothing in this Act shall be construed to prevent the Director or
any Federal agency from gathering, or to exempt any recipient of Federal
financial assistance from providing, information that is required for
review of the financial integrity or quality of services of an activity
assisted by a Federal financial assistance program.
``SEC. 9. JUDICIAL REVIEW.
``There shall be no judicial review of compliance or noncompliance
with any of the provisions of this Act. No provision of this Act shall
be construed to create any right or benefit, substantive or procedural,
enforceable by any administrative or judicial action.
``SEC. 10. STATUTORY REQUIREMENTS.
``Nothing in this Act shall be construed as a means to deviate from
the statutory requirements relating to applicable Federal financial
assistance programs.
``SEC. 11. EFFECTIVE DATE AND SUNSET.
``This Act shall take effect on the date of the enactment of this
Act [Nov. 20, 1999] and shall cease to be effective 8 years after such
date of enactment.''
Uniform Suspension, Debarment or Exclusion From Procurement or
Nonprocurement Activity
Pub. L. 103-355, title II, Sec. 2455, Oct. 13, 1994, 108 Stat. 3327,
provided that:
``(a) Requirement for Regulations.--Regulations shall be issued
providing that provisions for the debarment, suspension, or other
exclusion of a participant in a procurement activity under the Federal
Acquisition Regulation, or in a nonprocurement activity under
regulations issued pursuant to Executive Order No. 12549 [set out
below], shall have government-wide effect. No agency shall allow a party
to participate in any procurement or nonprocurement activity if any
agency has debarred, suspended, or otherwise excluded (to the extent
specified in the exclusion agreement) that party from participation in a
procurement or nonprocurement activity.
``(b) Authority To Grant Exception.--The regulations issued pursuant
to subsection (a) shall provide that an agency may grant an exception
permitting a debarred, suspended, or otherwise excluded party to
participate in procurement activities of that agency to the extent
exceptions are authorized under the Federal Acquisition Regulation, or
to participate in nonprocurement activities of that agency to the extent
exceptions are authorized under regulations issued pursuant to Executive
Order No. 12549.
``(c) Definitions.--In this section:
``(1) The term `procurement activities' means all acquisition
programs and activities of the Federal Government, as defined in the
Federal Acquisition Regulation.
``(2) The term `nonprocurement activities' means all programs
and activities involving Federal financial and nonfinancial
assistance and benefits, as covered by Executive Order No. 12549 and
the Office of Management and Budget guidelines implementing that
order.
``(3) The term `agency' means an Executive agency as defined in
section 103 of title 5, United States Code.''
Transfer of Personnel, Property, Records, and Appropriations
Section 7 of Pub. L. 98-169 provided that: ``The Director of the
Office of Management and Budget shall transfer to the Administrator of
General Services such personnel, property, records, and unexpended
balances of appropriations available in connection with any authorities
and responsibilities so transferred, as the Director of the Office of
Management and Budget determines are necessary to carry out the
responsibilities transferred pursuant to this Act [enacting sections
6105 and 6106 of this title, amending sections 6101 to 6104 of this
title and repealing section 6105 of this title].''
Ex. Ord. No. 12549. Debarment and Suspension of Participants in Federal
Programs
Ex. Ord. No. 12549, Feb. 18, 1986, 51 F.R. 6370, provided:
By the authority vested in me as President by the Constitution and
laws of the United States of America, and in order to curb fraud, waste,
and abuse in Federal programs, increase agency accountability, and
ensure consistency among agency regulations concerning debarment and
suspension of participants in Federal programs, it is hereby ordered
that:
Section 1. (a) To the extent permitted by law and subject to the
limitations in Section 1(c), Executive departments and agencies shall
participate in a system for debarment and suspension from programs and
activities involving Federal financial and nonfinancial assistance and
benefits. Debarment or suspension of a participant in a program by one
agency shall have government-wide effect.
(b) Activities covered by this Order include but are not limited to:
grants, cooperative agreements, contracts of assistance, loans, and loan
guarantees.
(c) This Order does not cover procurement programs and activities,
direct Federal statutory entitlements or mandatory awards, direct awards
to foreign governments or public international organizations, benefits
to an individual as a personal entitlement, or Federal employment.
Sec. 2. To the extent permitted by law, Executive departments and
agencies shall:
(a) Follow government-wide criteria and government-wide minimum due
process procedures when they act to debar or suspend participants in
affected programs.
(b) Send to the agency designated pursuant to Section 5 identifying
information concerning debarred and suspended participants in affected
programs, participants who have agreed to exclusion from participation,
and participants declared ineligible under applicable law, including
Executive Orders. This information shall be included in the list to be
maintained pursuant to Section 5.
(c) Not allow a party to participate in any affected program if any
Executive department or agency has debarred, suspended, or otherwise
excluded (to the extent specified in the exclusion agreement) that party
from participation in an affected program. An agency may grant an
exception permitting a debarred, suspended, or excluded party to
participate in a particular transaction upon a written determination by
the agency head or authorized designee stating the reason(s) for
deviating from this Presidential policy. However, I intend that
exceptions to this policy should be granted only infrequently.
Sec. 3. Executive departments and agencies shall issue regulations
governing their implementation of this Order that shall be consistent
with the guidelines issued under Section 6. Proposed regulations shall
be submitted to the Office of Management and Budget for review within
four months of the date of the guidelines issued under Section 6. The
Director of the Office of Management and Budget may return for
reconsideration proposed regulations that the Director believes are
inconsistent with the guidelines. Final regulations shall be published
within twelve months of the date of the guidelines.
Sec. 4. There is hereby constituted the Interagency Committee on
Debarment and Suspension, which shall monitor implementation of this
Order. The Committee shall consist of representatives of agencies
designated by the Director of the Office of Management and Budget.
Sec. 5. The Director of the Office of Management and Budget shall
designate a Federal agency to perform the following functions: maintain
a current list of all individuals and organizations excluded from
program participation under this Order, periodically distribute the list
to Federal agencies, and study the feasibility of automating the list;
coordinate with the lead agency responsible for government-wide
debarment and suspension of contractors; chair the Interagency Committee
established by Section 4; and report periodically to the Director on
implementation of this Order, with the first report due within two years
of the date of the Order.
Sec. 6. The Director of the Office of Management and Budget is
authorized to issue guidelines to Executive departments and agencies
that govern which programs and activities are covered by this Order,
prescribe government-wide criteria and government-wide minimum due
process procedures, and set forth other related details for the
effective administration of the guidelines.
Sec. 7. The Director of the Office of Management and Budget shall
report to the President within three years of the date of this Order on
Federal agency compliance with the Order, including the number of
exceptions made under Section 2(c), and shall make such recommendations
as are appropriate further to curb fraud, waste, and abuse.
Ronald Reagan.
Ex. Ord. No. 12689. Debarment and Suspension
Ex. Ord. No. 12689, Aug. 16, 1989, 54 F.R. 34131, provided:
By the authority vested in me as President by the Constitution and
laws of the United States of America, and in order to protect the
interest of the Federal Government, to deal only with responsible
persons, and to insure proper management and integrity in Federal
activities, it is hereby ordered as follows:
Section 1. Definitions. For purposes of this order:
(a) ``Procurement activities'' refers to all acquisition programs
and activities of the Federal Government, as defined in the Federal
Acquisition Regulation.
(b) ``Nonprocurement activities'' refers to all programs and
activities involving Federal financial and nonfinancial assistance and
benefits, as covered by Executive Order No. 12549 [set out above] and
the Office of Management and Budget guidelines implementing that order.
(c) ``Agency'' refers to executive departments and agencies.
Sec. 2. Governmentwide Effect.
(a) To the extent permitted by law and upon resolution of
differences and promulgation of final regulations pursuant to section 3
of this order, the debarment, suspension, or other exclusion of a
participant in a procurement activity under the Federal Acquisition
Regulation, or in a nonprocurement activity under regulations issued
pursuant to Executive Order No. 12549, shall have governmentwide effect.
No agency shall allow a party to participate in any procurement or
nonprocurement activity if any agency has debarred, suspended, or
otherwise excluded (to the extent specified in the exclusion agreement)
that party from participation in a procurement or nonprocurement
activity.
(b) An agency may grant an exception permitting a debarred,
suspended, or otherwise excluded party to participate in procurement
activities of that agency to the extent exceptions are authorized under
the Federal Acquisition Regulation, or to participate in nonprocurement
activities of that agency to the extent exceptions are authorized under
regulations issued pursuant to Executive Order No. 12549.
Sec. 3. Implementation.
(a) The Office of Management and Budget may assist Federal agencies
in resolving differences between the provisions contained in the Federal
Acquisition Regulation and in regulations issued pursuant to Executive
Order No. 12549. The Office of Management and Budget may determine the
date of resolution of differences and then shall notify affected
agencies of that date.
(b) To implement this order, proposed regulations amending the
Federal Acquisition Regulation and the agency regulations issued
pursuant to Executive Order No. 12549 shall be published simultaneously
within 6 months of the resolution of differences.
(c) Final regulations shall be published simultaneously within 12
months of the publication of the proposed regulations, to be effective
30 days thereafter.
George Bush.
