Regulations – Overview

When we refer to the regulations, we generally mean the federal rules that govern award recipients' behavior under the terms of the award agreement.

"The regulations" typically show up in the award agreement by reference. There will be a clause in the agreement that invokes a regulation by name and includes the entirety of the regulation as a term of the agreement. A good example is USAID's standard provision M1. "Applicability of 2 CFR 200 and 2 CFR 700 (NOV 2020)", which says (in part) "All provisions of 2 CFR 200, 2 CFR 700, and all Standard Provisions attached to this agreement are applicable to the recipient…". Another example is USAID's inclusion of 22 CFR 228 by reference in its standard provision M8. "USAID Eligibility Rules for Goods and Services (MAY 2020)".

But sometimes the funding agency will enforce an applicable law without invoking a regulation, as USAID does (enforcing the Fly America Act) in its standard provision M17. "Travel and International Air Transportation (DEC 2014)". And sometimes, the law that is enforced is not a statute but is an executive order (another form of US law that is not enacted by Congress but is rather ordered by the President), as USAID did in its standard provision M12. "Preventing Terrorist Financing — Implementation of E.O. 13224 (AUG 2013)" — up until 18 MAY 2020, when it replaced that SP with new M12 "Preventing Transactions with, or the Provision of Resources of Support to, Sanctioned Groups and Individuals (MAY 2020)", which still does effectively implement the requirements of that E.O. (I discuss the USAID SPs in greater detail in About USAID Standard Provisions and on additional pages referenced there.)

And (as if regulations, statutes and EOs weren't enough), federal agencies will also impose agency policy, as USAID does in its standard provision RAA5. "Exchange Visitors and Participant Training (JUN 2012)". Other areas where USAID imposes its internal policies on assistance recipients include special reporting requirements, construction restrictions, environmental impact studies/plans, etc. (Note that USAID's branding/marking policy is codified as regulation at 2 CFR 700, which is the regulation by which USAID adopts and codifies the OMB guidance at 2 CFR 200. See also About 2 CFR 200.)

See Regulations Background for links to resources on how regs are made and published.

See Links to Sources – 2 CFR 200/600/700 et al. for help in finding official sources on the web.

See also: About USAID Regulations and Policies; About DOS Regulations and Policies; About CDC Regulations and Policies; About the FAR (Federal Acquisition Regulation); About the Fly America rule; About 2 CFR 180

The following is a brief list of some of the key legislation that significantly impacts federal assistance awards.

  • Executive order 11541 (EO 11541 and subsequent others) — created the OMB;
  • Fly America Act of 1975 (49 USC 40118) — requires use of US flag air carriers for government-funded travel, see also this ariticle;
  • Grant & Cooperative Agreement Act of 1977 (PL 95-224) — clarifies the federal difference between assistance and acquisition;
  • Single Audit Act of 1984 (31 USC 7501-7507) — requires annual independent audit of federal assistance transactions, source of 2 CFR 200 Subpart F;
  • Limitation on Lobbying of 1989 (31 USC 1352) — prohibits expenditure of federal assistance funds on lobbying;
  • Executive Order 13224 (EO 13224 and annual renewals) — prohibits transactions with terrorists or their supporters;
  • Federal Financial Accountability and Transparency Act (FFATA) of 2006 (31 USC chapter 61) — requires public reporting of federal subawards and certain executive compensation;
  • Foreign Assistance Act of 1961 (22 USC chapter 32 subchapter 1 — USAID-specific; creates and funds USAID; causes USAID to implement 22 CFR 228 et. al.; see also About 22 CFR 228.)
  • Foreign Tax Reporting, etc. ( and; Section 579 of Division E of Public Law 108-7 as amended by Section 506 of the FY 2004 FOAA, however note that this is all old info. More recent info doesn’t appear to be available at this time. Good luck.)
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