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Home My WebLink AboutCOM 0407.000 2000-2002 J~~r"®~ N~ William Takaba Harry Kim ' ~~,Id~ Mayor i Director Nancy E. Crawford or•;+ w• Wig;=P.e Deputy Director 4>F OR 06A~ ~:OLlllty O~ ~~v6'all Finance Department ~:3 25 Aupuni Street, Room 118 • Hilo, Hawaii 96720 E"J (808) 961-8234 • Fax (808) 961-8248 iV ~ October 19, 2001 ~ ~ , i - "v>> Honorable James Arakaki, Chairperson and Members of the County Council t. , Hawaii County Council ~ 25 Aupuni Street Hilo, Hawaii 96720 Re: Operating Budget Enclosed is a bill for an ordinance amending the Operating Budget by appropriating a $200,000 grant from the Federal Department of Commerce's Economic Development Administration. These funds are to be used to develop data and concepts for the County of Hawaii Hazards Mitigation flan that should limit the economic impacts of natural disasters. If there are any questions, please do not hesitate to call the Hawaii County Civil Defense. William Tak ba Director of Finance AP ROVED: 1~ HarA ry Mayor Enc. cc: Civil Defense ~ilc Ato. fit. '~o:~ 7/18/91 DEPARTMENT OF FINANCE REQUEST FOR COUNCIL ACTION DEPARTMENT: Hawaii County Civil Defense DATE: 06/20/01 STAFF CONTACT: William G. Davis PHONE: 935-0031 A. REOUEST• Establish an account to appropriate funds. B. BACKGROUND AND JUSTIFICATION (USE ADDITIONAL SHEETS AS NEEDEDZ: The Hawaii County Civil Defense Agency has received a grant award of $200,000. from the Economic Development Administration to support the Hazard Mitigation Plan. SIGNED: ~ DATE: ~ ~ _ Department Head GENT S~.Tl~1dIARY Su lament to D-52, Re oast for Council Action) T e of Grant A ro riation bein re uested: ® New (for this fiscal year period). Additional appropriation (to an existing grant); Is a draft agreement attached? Has the original grant notification been transmitted to ®Yes ~ No Council? ~ Yes No Name of Grant Program: Economic Adjustment /Development Grantor: U.S. Dept. of Commerce, Economic Development Administration County Grantee Department or Agency: County of Hawaii /Civil Defense County Grantee Contact Person: Patricia Arthur Phone Number: 935-0031 Amount of Grant: $200,000 Grant Period (Commencement & Completion): * June 1, 2001 -December 31, 2002 Purpose of Grant: Development of data & concepts for Natural Hazards Mitigation Plan. County Match required?: ~ Yes ~ No If yes, Matching Amount? $85,714 Budgeted in account# : 010-241-5241.02-115 In-kind? Explain: Explanation: County's personnel requirements: Amount of new position(s)? Qty: Permanent: ® Temporary: Duration: Full-time: Part-time: Time Element: Qty: 1 Contractual: ~ Explain: Hazard Mitigation Planner will be contracted for an 18 month period. Explanation: Additional Comments about Grant: * Grant period to be extended upon approval. B-52 Grant Summary Form yp4~~NTOi~Q~h'*~ ~.J. ®Cr0'9f~9 1 ~~N~ 6./~ t/`JIVIBtl1~1~71J~ Economic Development Administration ° ~ Jackson Federal Building, Room 1856 t~/rte r ~ = 915 Second Avenue ~ °•,q~a:oF'~" Seattle, Washington 98174 , SEP 2 0 Fax: (206) 220-7669 The Honorable Harry Kim Mayor of the County of Hawaii 920 Ululani Street Hilo, Hawaii 96720 Dear Mayor Kim: We are pleased to inform you that the Economic Development Administration (EDA) has approved a Financial Assistance Award in an amount not to exceed $200,000 in response to your application for federal assistance for studies that will lead to a natural hazards mitigation plan. Enclosed are three signed copies of the Financial Assistance Award. Your agreement to the terms and conditions of the award should be indicated by the signature of your principal official on each of the signed copies of the Financial Assistance Award. Return two of the mutually executed copies within 30 days of their receipt to my office at EDA, Jackson Federal wilding - Room 1856, 915 Second Avenue, Seattle WA 98.174. You are cautioned not to make any commitments in reliance on this award, nor to enter into negotiations relative hereto, until you have carefully reviewed the terms and conditions and have determined that you are in compliance or that you can comply therewith. Any commitments or undertakings entered into prior to obtaining the approval of the Government in accordance with its regulations and requirements will be at your own risk. Sincerely, A eonard Smith egional Director HOW TO GET COPIES OF FORIVIS AND OTHER DOCUMENTS Federal circulars, forms, and regulations needed during execution of your EDA non-construction project are available for reading and downloading from the Internet at this website: N'WI~DOC.GOV/EDA/ EDA permanent rules are in LAWS AND REGULATIONS, at which you browse to Regulations and then select CFR to get: 13 CFR Part 301 (Consolidated EDA Regulations). Associated administrative rules also are in LAWSAND REGULATIONS, at which you select National Archives and Records Administration and then select Code of Federal Regulations to get: 15 CFR Part 14 (Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Elospitals, Other Non-Profit, and Commercial Organizations). 15 CFR Part 24 (Uniform Administrative Requirements for Grants and Agreements to State and Local Governments). Other regulations, indeed all regulations for the entire Federal government, are available at the Code of Federal Regulations website. Financial forms are in GRANT REQUIREMENTS , at which you select Office of Management and Budget (OMB) Circulars and Forms and then select Forms to get: 2~ SF~ (Federal Cash Transaction Report). SF 269A (Financial Status Report) or SF 269 (Financial Status Report -Long Format); SF 269A is suitable for most projects. SF 270 (Request for Reimbursement). Circulars are in GRANT REQUIREMENTS, at which you select Office of Management and Budget (OMB) Circulars and Forms and the select Circulars to get: OMB Circular A-87 (Cost Principles for State, Local, and Indian Tribal Governments). OMB Circular A-122 (Cost Principles for Nonprofit Organizations). OME Circular A-133 (Audits of States, Local Governments, and Non-Profit Organizations). Special rules such as competitive project selection standards, policy for special initiatives, and annual limits of funding that supplement the EDA regulations are in PROGRAMSAND FUNDING on the site. Select Notice of Funding Availability. FORM CD-450 U.S. DEPARTMENT OF COMMERCE ®GRANT ?COOPERATIVE AGREEMENT (REV 10/98) ~I~~~C'~~ ~~~~~~~~C~ ~W~~~ ACCOUNTING CODE RECIPIENT NAME AWARD NUMBER County of Hawa6"s 07 69 55004 STREET ADDRESS FEDERAL SHARE OF COST 920 Udularsi Street 5200,000 CITY, STATE, ZIP CODE RECIPIENT SHARE OF COST Hilo, Haewali 96720 585,714 AWARD PERIOD TOTAL ESTIMATED COST 1 June 2001 through 31 December 2002 5285,714 AUTHORITY Economic Development Administration Reform Act of 1998, 42USC3149 CFDA NO. AND PROJECT TITLE 11.307, Development of data and concepts for natural hazards mitigation plan This Award approved by the Carants Officer is 6ssued in triplicate and constitutes an obligation of Federal fundang. Eby signing the three documents, the liiecipient agrees to comfsly with the Award provisions checked below and attached. Upon acceptance by the f~ecipient, two signed Award documents shall be returned to the Grants Officer and the third document shall be retained by the Recipient. if not signed and returned without modification by the Recipient within 30 days of receipt, the C:rants Officer may unilaterally terminate this Award. ~ ®epartment of Commerce Financial Assistance Standard Terms and Conditions ~ Special Award Conditions I~ Line Item Budget ? 15 CFR Part 14, Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, Other Non-Profit, and Commercial Organizations l~ 15 CFR Part 24, Uniform Administrative Requirements for Grants and Agreements to State and Local Governments ? OMB Circular A-21 , Cost Principles for Educational Institutions ~ OMB Circular A-87, Cost Principles for State, Local, and Indian Tribal Governments ? OMB Circular A-122, Cost Principles for Nonprofit Organizations ? 48 CFR Part 31 , Contract Cost Principles and Procedures ® OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations ~ Other(s) Economic Development Administration Standard Terms and Conditions Capacity Building Programs- SIGNAT E OF DEPARTMENT OF C MM CE GRANT CER TITLE DATE A. Leonard Smith S'Ef °1 ® LUO~ Regional Director TYPED ME AND SIGNATURE OF AUTHORIZED RECIPIENT OFFICIAL TITLE DATE ~~~r~. ~u aJJ ~ ~ GRANT ?COOPERATIVE AGREEMENT (REV 10/98) F16Ve~NCIA~ ASSIST'A6\!C~ a4We4R~ ACCOUNTING CODE RECIPIENT NAME AWARD NUMBER County of Hawaii 07 P9 55004 STREI=T ADDRESS FEDERAL SHARE OF COST 920 Ululani Street 5200,000 CITY, STATE, ZIP CODE RECIPIENT SHARE OF COST Hilo, Hawaii 95720 585,714 AWARD PERIOD TOTAL ESTIMATED COST 1 June 2001 through 31 December 2002 5285,714 AUTHORITY Economic Development Administration Reform Act of 1998, 42USC3149 CFDA NO. AND PROJECT TITLE 11.307, Development of data and concepts for natural hazards mitigation plan 'This Award approved by the Grants Officer is issued in triplicate and constitutes an obligation of Federal funding. By signing the three documents, the Recipient agrees to comply with the Award provisions checked below and attached. Upon acceptance by the Recipient, two signed Award documents shall be returned to the (s°rants Officer and the third document shall be retained by the Recipient. if not signed and returned without modification by the Recipient within 3® days of receipt, the Grants Officer may unilaterally terminate this Award. ~ Department of Commerce Financial Assistance Standard Terms and Conditions ~ Special Award Conditions ® Line Item Budget ? 15 CFR Part 14, Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, Other Non-Profit, and Commercial Organizations ® 15 CFR Part 24, Uniform Administrative Requirements for Grants and Agreements to State and Local Governments ? OMB Circular A-21, Cost Principles for Educational Institutions I~ OMB Circular A-87, Cost Principles for State, Local, and Indian Tribal Governments ? OMB Circular A-122, Cost Principles for Nonprofit Organizations ? 48 CFR Part 31, Contract Cost Principles and Procedures ~ OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations l~ Other(s) Economic Development Administration Standard Terms and Conditions Capacity Building Programs- SIGNATURE OF DEPARTMENT O CO ERCE GRAN FFICER TITLE D~~ ~ ® 201 A. Leonard Smith ~t Regional Director TYPE AME AND SIGNATURE OF AUTHORIZED RECIPIENT OFFICIAL TITLE DATE FORM CD-450 U.S. DEPARTMENT OF COMMERCE I~GRANT ?COOPERATIVE AGREEMENT (REV 10/981 ACCOUNTING CODE F1001e40lICI~,L AS~IST~N~~ ,~We4R~ RECIPIENT NAME AWARD NUMBER County of Hawai's 07 69 55004 STREET ADDRESS FEDERAL SHARE OF COST 920 Olsalarsi Street 5200,000 CITY, STATE, ZIP CODE RECIPIENT SHARE OF COST Hilo, Hawraii 96720 585,714 AWARD PERIOD TOTAL ESTIMATED COST 1 June 2001 through 31 December 2002 5285,714 AUTHORITY Economic Development Administration Reform Act of 1998, 42USC3149 CFDA NO. AND PROJECT TITLE 11.307, Development of data and concepts foe natural hazards mitigation plan This Award approved by the Grants Officer is issued in triplicate and constitutes an obligation of Federal fund'ang. 13y signing the three documents, the Recipient agrees to comply with the Award provisions checked below and attached. Upon acceptance by the Fecipient, two signed Award documents shall be returned to the Grants Officer and the third document shall be retained by the Recipient. If not signed and returned without modification by the Fecipient within 30 days of receipt, the Grants Officer may unilaterally terminate this Award. - ~ Department of Commerce Financial Assistance Standard Terms and Conditions ® Special Award Conditions ® Line Item Budget ? 15 CFR Part 14, Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, Other Non-Profit, and Commercial Organizations ~ 15 CFR Part 24, Uniform Administrative Requirements for Grants and Agreements to State and Local Governments ? OMB Circular A-21 , Cost Principles for Educational Institutions ® OMB Circular A-87, Cost Principles for State, Local, and Indian Tribal Governments ? OMB Circular A-122, Cost Principles for Nonprofit Organizations ? 48 CFR Part 31, Contract Cost Principles and Procedures ® OMB Circular A-1 33, Audits of States, Local Governments, and Non-Profit Organizations Other{s) Economic Development Administration Standard Terms and Conditions Capacity Building Programs- SIGNAT RE OF EPARTMENT OF C M CE GRANTS CER TITLE DATE A. Leonard Smith 2 ® / Regional Director TYPED N E AND SIGNATURE OF AUTHORIZED RECIPIENT OFFICIAL TITLE DATE _ _ _ UNITED STATES DEPARTMENT OF COMMERCE ECONOMIC DEVELOPMENT ADMINISTRATION Special Award Conditions of Financial Assistance Award For Economic Adjustment Project under Section 209 of the Economic Development Administration Reform Act of 1998 Award Number: 07 69 55004 Recipient: County of Hawaii Address: 920 Ululani Street Hilo, I-Iawaii 96720 I. This award will extend from 1 June 2001 through 31 December 2002. The Economic Development Administration will make award payments upon receipt of a Request for Advance or Reimbursement (Form SF-270) from the Recipient. Funds will be disbursed by Automated Clearinghouse/Electronic Funds Transfer (ACH/EFT). II. Total allowable costs will be determined at the conclusion of the award period in accordance with OMB Circular A-87 and with OMB Circular A-133. III. The following reports are due on the dates indicated: A. Work Schedule: 30 days from award of grant. B. Final Report: 28 February 2003 C. Progress and Financial Reports Periodic progress and financial reports (Financial Status Report, Forms SF-269 or SF- 269A, and Federal Cash Transaction Report, Form SF-272) according to the schedule below: Period Due Date 1 June 2001 to 30 November 2001 31 December 2001 31 December 2001 to 31 May 2002 30 June 2002 1 July 2002 to 31 December 2002 31 January 2003 *Continued Next Page* Award No. 07 69 55004 Page 2 Notes: The July/December 2002 report should include all expenses charged to the award. The Recipient, however, may elect to submit a separate final report for the entire award period no later than 60 days following the expiration of the award period. The Economic Development Administration (EDA) will close the award on the basis of the final financial report. EDA, may, however, revise the eligible project costs based upon the audit report, if required under the Standard Terms and Conditions. D. Submissions All reports and correspondence related to this project are to be submitted to the Federal Program Officer: Darrell van Ness Seattle Regional Office Economic Development Administration 915 Second Avenue, Room 1856 Seattle, WA 98174 In addition, the Recipient will submit a copy of the Periodic Progress Report(s) and the Final Report to the appropriate Economic Development Representative of the Economic Development Administration. IV. Budget A. Under the terms of the award, the approved budget is: Federal Cash Contribution $200,000 Recipient Contribution 85 714 Total $285,714 *Continued Next Page* Award No. 07 69 55004 Page 3 B. Budget Categories (Line Item Budget) Federal Nonfederal Total 1. Personnel $ -0- $12,052 $ 12,052 2. Fringe Benefits $ -0- $ 4,220 $ 4,220 3. Travel $ -0- $ 8,000 $ 8,000 4. Equipment $ -0- $15,000 $ 15,000 5. Supplies $ -0- $ 2,000 $ 2,000 6. Contractual $200,000 $35,442 $235,442 7. Other $ _0- 9 000 9 000 Total Direct Charges $200,000 $85,714 $285,714 8. Indirect Charges -0_ $ -0- $ _0- Grand Total $200,000 $85,714 $285,714 V, Performance Measures The Grantee (also known as "recipient" in these special conditions) agrees to report on program performance and project outcomes in such form and at such intervals as may be prescribed by the Economic Development Administration incompliance with the Government Performance and Results Act of 1993. The performance measures that presently apply to this project are enclosed (in Attachment G to this Award). EDA will advise the grantee, in writing within a reasonable period, prior to the time of submission, in the event there are any modifications in the performance measures. VI. Fidelity Bond/Employee Crime Insurance Grantee shall maintain fidelity bonding on all employees, officials, and agents who have access to funds of this award and shall maintain the bonding until the date on which Economic Development Administration closes the project. An employee crime insurance policy may be used in lieu of bonding. Prior to receipt of first draw of funds, Grantee shall provide evidence that the bond or policy is in effect. *Continued next page* Award No. 07 60 55004 Page 4 VII. Sole Source Procurement of Services and Products Grantee shall not use sole source means of procurement unless the Economic Development Administration (EDA), upon request by Grantee, grants permission to do so. Such permission will considered case by case, and any expenses for sole source procurement incurred without permission will neither be allowed as charge(s) to the grant award nor accepted as match. VIII. Report on Unliquidated Obligations Each year that the grant is in effect the Recipient must submit a status report on obligations accrued in or for the project but not reimbursed as of September 30 of that year. This report will be made on SF 269A (Financial Status Report) and submitted no later than October 30 of that year. Economic Development Administration shall provide instructions for submission of the report by September 1 of each reporting year. Failure to submit this report could result in penalties including the suspension of the grant. VII. Other Requirements See the attached: Scope of Work (Attachment A); Department of Commerce Financial Assistance Special Award Conditions (Attachment B); Authorized Staff Positions (Attachment C); Final Report Narrative (Attachment D); Department of Commerce Financial Assistance Standard Terms and Conditions (Attachment E); Economic Development Administration Standard Terms and Conditions Capacity Building Programs (Attachment F); Performance Measures (Attachment G). . Attachment A Award No. 07 69 56052 SCOPE OF WORK County of Hawaii will prepare a natural hazard disaster database, which is anticipated to be the foundation for future planning of disaster mitigation. Tasks of this project are anticipated to be the following: 1. Identification of areas and infrastructure potentially at risk due to natural disasters. 2. Development of a geographical information system map(s) of historical disasters and the like. 3. Plot of potential courses of disaster, by use of the geographical information system. 4. Development of a computer database for accurate definition and delineation of risks; this database shall have a product for use by local commerce and communities. 5. Collation of information from public and private agencies with relevant statistics and other data. 6. Coordination of accessing information into the civil defense database, which will be utilized as the central "IT" (intelligent technology) for county, sate, and national facilitation. 7. Development of a public awareness program for execution through local media, including radio stations, newspapers, community newsletters, community outreach programs, public forums, and the like. A final narrative report describing the project as a whole and prepared in the format stipulated in Attachment D of this award shall be submitted to EDA. Attachment B Award No. 07 69 55004 DEPARTMENT OF COMMERCE FINANCIAL ASSISTANCE SPECIAL AWARD CONDITIONS A. AWARD NUMBER AND PROPOSAL DESCRIPTION. This Award, Number 07 69 55004 supports the work described in the Recipient's proposal, dated 3/28/01 and titled County's Hazard Mitigation Plan, which is incorporated into this award by reference. Where the terms of the award and proposal differ, the terms of the award shall prevail. B. AWARD CONTACTS. .O1 The Recipient Contact's name, address, and telephone number are: Dr. Patricia Arthur Civil Defense Administration, County of Hawaii 920 Ululani Street Hilo, Hawaii (808) 935 0031 .02 The Federal Pro r~.am Officer is responsible for the programmatic, technical and/or scientific aspects of this award. The Federal Program Officer's name, address, and telephone number are: Darrell van Ness Seattle Regional Office Economic Development Administration 915 Second Avenue, Room 1856 Seattle, WA 98174 (206) 220-7676 *continued next page* Attachment B Award No. 07 69 55004 Page 2 .03 The Grants Officer is responsible for all administrative aspects of this award and is authorized to award, amend, suspend, and terminate financial assistance awards. Grants Officer's name, address, and telephone number are: A. Leonard Smith, Regional Director Seattle Regional Office Economic Development Administration 915 Second Avenue, Room 1856 Seattle, WA 98174 (206) 220-7660 .04 The Grants/Cooperative Agreements Specialist is responsible for administrative coordination and liaison with the Recipient. This individual receives appropriate material from the Federal Program Off cer and/or the Recipient for administrative processing. The Grants/Cooperative Agreements Specialist's name and telephone number are: Darrell van Ness (206) 220-7676 C. DETAILED LINE ITEM BUDGET. The line item budget for this award is as follows: See Item IV in the Economic Development Administration Financial Assistance Award Special Conditions. D. REFUND CHECKS. The Recipient shall submit all refund checks to the Department of Commerce (DOC) accounting office identified below. All checks must identify on their face the name of the DOC agency funding the award, award number, and no more than atwo-word description to identify the refund. A copy should be provided to the Federal Program Officer. Economic Development Administration P.O. Box 100202 Atlanta, GA 30384 *continued next page* Attachment B Award No. 07 69 55004 Page 3 E. PROGRAM INCOME. Program income earned during the period shall be retained by the Recipient and shall be added to funds committed to the award and used for the purposes and under the conditions applicable to the use of the award funds. F PURCI-IASE OF AMERICAN-MADE EQUIPMENT AND PRODUCTS. Equipment or products authorized to be purchased with funding provided in this award or amendment must be American-made to the maximum extent feasible in accordance with Public Law 103-317, Section 607 (a) and (b). Attachment C Award No. 07 69 56052 AUTHORIZED STAFF POSITIONS Annual EDA EDA Local Local Total Salary % $ % $ $ Position Rate Plans and Operations Officer, County Civil Defense $40,176 -0- -0- 20% $12,052 $12,052 Personnel expense total is for an 18-month period. *End of Attachment* Attachment D Award No. 07 69 55004 U.S. Department of Commerce Economic Development Administration GUIDELINES FOR PREPARING REPORTS These guidelines contain instructions for preparation and printing of final reports and similar products prepared under the Economic Development Administration's (EDA's) programs. They are supplemental to requirements found in the terms and conditions of the award. ORGANIZATION AND CONTENTS Final reports will contain the following elements in the order listed below: o The cover will contain a short descriptive title, the name of the recipient, the author, and the date submitted to EDA. It also will contain the EDA project (or grant or award) number, EDA logo, and the following statement: This Report was Prepared under an Award from the U.S. Department of Commerce Economic Development Administration o In addition to the information on the cover, the title page will contain the following disclaimer: This publication was prepared by [recipient]. The statements, conclusions, and recommendations are those of the author(s) and do not necessarily reflect the views of the Economic Development Administration. o Abstract of between 150 and 200 words. o Executive summary of not over 2000 words. o Contents and lists of maps, figures, and tables. o Body of report. Attachment D Award No. 07 69 55004 Page 2 o References, bibliography, and appendices as appropriate. o Consecutive page numbering. SPECIFICATIONS Binding and Cover: The report is to be bound within durable covers. Printing: Printing must be letter quality on 8 '/z x 11 inch paper. Illustrations: If graphs, charts, maps, line drawings, and photographs are used, original art, continuous tone glossy, and/or photo reproducible prints should be used and normally not exceed an image size of 6 '/2 x 9 inches. Reproducible: A reproducible original of this report must be furnished to EDA. EDA Logo: A reproducible EDA logo for the cover will be provided by EDA to the recipient upon EDA's approval of the draft report and approval to print the final document. NUMBER OF COPIES AND MAILING Send a copy to the Federal Program Officer: Darrell van Ness Seattle Regional Office Economic Development Administration 915 Second Avenue, Room 1856 Seattle, WA 98174 In addition, send a copy to the appropriate Economic Development Representative of EDA. Attachment G Award No. 07 69 55004 PERFORMANCE MEASURES Type of Program: Strategy or Technical Assistance Planning and Development Assistance Programs Core Performance Measures o Performance and outcomes at project completion and also three years after project completion: Grantee shall report aself-evaluation, using the scale of 1 to 10 with 10 =best: 1. Quality of strategy, evaluation, feasibility study, and/or service. 2. Helpfulness of strategy, evaluation, or study in decision-making. 3. Likelihood of recommendations being realized, if project was or included an evaluation or feasibility study or was a strategy. 4. Effectiveness of the service, if the project was or included services. ECONOMIC DEVELOPMENT ADMINISTRATION ("EDA") STANDARD TERMS AND CONDITIONS Capacity Building Programs These Standard Terms and Conditions apply to awards of capacity building programs under the Public Works and Economic Development Act of 1965, as Amended, including the comprehensive amendment of the- Economic Development Administration Reform Act of 1998 Pub. L. 105-393 (PWEDA), Sections 203, 207, and 209 (strategy grants), Federal laws, regulations, Executive Orders and OMB Circulars that apply to a previous award, except as noted in the Special Terms and Conditions, shall apply to an amendment or renewal of that award. A. Statutory, Regulatory, Executive Order and Other Federal Requirements Some of the terms and conditions herein contain, by reference or substance, a summary of the pertinent statutes, regulations, Executive Orders or OMB Circulars. To the extent that it is a summary, such term or condition is not in derogation of, or an amendment to, such Federal requirements. Ali_statutes or regulations, whether or not referenced herein, are to be applied as amended on the date they are administered. The Recipient shall comply, and require any contractors or subcontractors to comply, with PWEDA under which this award is made, the regulations .issued pursuant thereto, and with all Federal, state, and local laws applicable to its undertaking and activities. B. General Requirements 1. USE OF CONSULTANTSlCONTRACTORS: For all proposals and contracts where costs are expected to exceed $100,000, the scope of work and the costs of such must be submitted to and approved by EDA prior to employment of such consultants or contractors. Recipients will ensure that any consultant or contractor paid from funds provided under this award is bound by all applicable award terms and conditions. EDA shall not be liable hereunder to a third party nor to any party other than the Recipient. Economic Development Administration Standard Terms and Conditions, Capacity Building Programs Page 2 2. OTHER FUNDING SOURCES: Federal funds for this program shall not be used to replace any financial support previously provided or assured from any other source. The Recipient agrees that the general level of expenditure by the Recipient for the benefit of program area and/or program designated in the Special Terms and Conditions of this award, or any amendment or modification thereto, shall be maintained and not reduced as a result of the Federal-share funds received under this program. 3. REIMBURSEMENT FOR TRAVEL: Travel by the Recipient confined to the EDA region(s) within which that Recipient is operating and/or to Washington, D.C., for purposes related to the award, does not need prior approval, as long as approved budgeted travel funding levels are not exceeded. Travel which is not in an approved work schedule plan must have prior approval of the Federal Program Officer. 4. RECIPIENT CONTRIBUTIONS: When all or part of the local share match is in-kind, the evaluation of such in-kind local share match is subject to reevaluation by EDA at any time, and any deficiency so determined by EDA shall be compensated by supplemental contributions by the Recipient as a condition of further disbursements by EDA. 5. PERFORMANCE MEASURES: The Recipient agrees to report on program performance and project outcomes in such form and at such intervals as may be prescribed by EDA in compliance with the Government Performance and Results Act of 1993. The performance measures that apply to this project are included with and made a part of the grant award package in the Special Terms and Conditions. EDA will advise the Recipient in writing, within a reasonable period prior to time of submission, in the event there any modifications in the performance measures. ~i~ARTM~IVI C®MM~~C ~i!'U~CiL ~I~~a~C S~~N~A~ ~RM~ ~N~ C~N~II~IC~N~ ~ ~ Q® ~ Q~ ~ ~ - ~ ~ ~ ~ ~ -r c i i ' ~i % , ~ STgT ~F ~S OGTO~E~3 1998 DEIPARTMENT ®F C®MMERCE FINANCIAL ASSISTANCE STAN®AR® TERMS AN® C®N®ITI®NS Rage A. FINANCIAL REQUIREMENTS 1 .01 Financial Reports 1 .02 Award Payments 1 .03 Federal and Non-Federal Sharing 2 .04 Budget Changes and Transfer of Funds Among Categories 2 .05 Indirect Costs 3 .06 Incurring Costs or Obligating Federal Funds Beyond the Expiration Date ~4 .07 Tax Refunds 4 B. hR®GRAMMATIC REQUIREMENTS 5 .01 Performance (Technical) Reports 5 .02 Unsatisfactory Performance 5 .03 Programmatic Changes 5 .04 Other Federal Awards with Similar Programmatic Activities 5 C. N®N-DISCRIMINATIQN REQUIREMENTS 5 .01 Statutory Provisions 6 .02 Other Provisions 6 17. AU®ITS 6 .01 Organization-Wide and Project Audits 7 .02 Audit Resolution Process 8 E. ®EI3TS 8 .01 Payment of Debts Owed the Federal Government 8 .02 Late Payment Charges 9 F. NAME CHECK 9 .01 Results of Name Check 9 .02 Action(s) Taken as a Result of Name Check Review 10 i G. G®VERIVIUIEIVI`1PNIDE ®EBARAAEIV~ AND SllSE~EIVSI®N (IV~I'~PB®CUREI4~EtVfi . . . 10 t-I. ®Rl.9G-FREE dl/®IRIKF~i~~BCE 10 I. L®BBl(IIVf~ i~~S7°F~IC`1"`tGIVS 10 .01 Statutory Provisions 10 .02 Disclosure of Lobbying Activities 11 J. Sl1B~V~Ai~D, C®IV'TI~ACT, A(~i] SIDBC(3~4~RAC`f 11 .01 Applicability of Award Provisions to Subrecipients 11 .02 C®mpetition and Codas of Conduct for Subawards 11 .03 Applicability of Provisions to Subawards, Contracts, and Subcontracts 12 .04 Minority and ~14ornen-®wned Business Enterprise 13 .05 Subaward and/or Contract to a Federal Agency 13 IC. PR®PEI~TIf 13 .01 Standards 13 .02 Bights to Inventions 13 ~a I?~AISCE~.~~NE~B~S IREt~UII~EENI~ . . • - - 1 ~ .01 Non-Compliance IOVith Award Provisions i4 .02 Prohibition Against Assignment by the Recipient 14 .03 Internal Revenue Service (IRS) information 14 .04 Foreign Travel 14 ri A. fIN~4NCIe4L REQUIREMENTS .01 financial Reports a. The Recipient shall submit a "Financial Status Report" (SF-269) on a semi- annual basis for the periods ending March 31 and September 30, or any portion thereof, unless otherwise specified in a special award condition. Reports are due no later than 30 days following the end of each reporting period. A final SF-269 shall be submitted within 90 days after the expiration date of the award. b. The Recipient shall submit a "Federal Cash Transactions Report" (SF-272) for each award where funds are advanced to Recipients. The SF-272 should be submitted on a semiannual basis and on the same schedule as the SF-269. The SF-272 is due 15 working days following the end of each reporting period unless otherwise specified in a special award condition. c. All financial reports shall be submitted in triplicate (one original and two copies) to the Grants Officer. .02 Award Payrr9ents a. The advance method of payment shall be authorized unless otherwise specified in a special award condition. Payments will be made through electronic funds transfers in accordance with the requirements of the Debt Collection Improvement Act of 1996. b. When the "Request for Advance or Reimbursement" (SF-270) is used to request payment, the Recipient shall submit the request no more frequently than mon hl to request payment. The SF-270 shall be submitted in triplicate (an original and two copies) to the Grants Officer. When the SF-270 is used, the Recipient must complete the SF-3881, "ACH Vendor Miscellaneous Payment Enrollment Form," and return it to the Grants Officer. The award number must be included on all payment-related information and forms. c. Payments will be made via electronic funds transfer which transfers funds directly to a Recipient's bank account. d. Advances shall be limited to the minimum amounts necessary to meet immediate disbursement needs. Advanced funds not disbursed in a timely manner must be promptly returned to the Department of Commerce (DoC). Advances shall be approved for periods not to exceed 30 days. The Grants Officer determines the appropriate method of payment. If a Recipient demonstrates an unwillingness or inability to establish procedures which will minimize the time elapsing between the transfer of 1 10/98 funds and disbursement or if the Recipient otherwise fails to continue to qualify for the advance method of payment, the Grants Officer may change the method of payment to reimbursement only. .03 Federal and N®n-Federal Sharing a. Awards which include Federal and non-Federal sharing incorporate an estimated budget consisting of shared allowable. costs. If actual allowable costs are less than the total approved. estimated budget, the Federal end non-Federal cost share ratio shad be calculated as a percentage of Federal and non-Federal approved amounts. If actual allowable costs are greater than the total approved estimated budget, the Federal share shall not exceed the total. Federal dollar amount as reflected in the Financial Assistance Award (C®-450) and Amendment to Financial Assistance Award (C®-451•). b. The non-Federal share, whether in cash or in in-kind, is expected to be paid out at the same general rate as the. Federa6 share. Exceptions to this requirement may be granted by the Grants Officer based on sufficient documentation demonstrating previously determined plans for or later commitment of cash or in-kind contributions. ~Oowever, the Recipient must meet its cost share commitment over the life of the award. .04 Saadget Changes and Transfer ®f F~rtds ern®ng Categ®ries a. Requests for budget changes to the approved estimated budget in accordance with the provision noted below must be submitted to the Federal Program Officer who shall review them and make a recommendation to the Grants Officer. The Grants Officer shall make the final determination on-such requests and notify the Recipient in writing. b. For awards where the Federal share of the budget exceeds $100,000, transfer of funds by the recipient among approved direct cost categories are permitted when the cumulative amount of such transfers does not exceed 10 percent of the current (last approved) total budget. This transfer authority does not authorize the Recipient to create new budget categories within an approved budget unless the Grants Officer has provided prior approval. Cumulative transfers of funds of an amount above 10 percent of the total award must be approved by the Grants Officer in writing. The same criteria applies to the cumulative amount of transfer of funds among projects, functions, joint ventures, consortia, activities, and annual costs when budgeted separately within an award, except transfers will not be permitted if such transfers would cause any Federal appropriation, or part thereof, to be used for purposes other than those intended. c. The Recipient is not authorized at any time to transfer amounts budgeted for direct costs to the indirect costs line item or vice versa, without written prior approval of the Grants Officer. 2 10/98 .05 Indirect Costs a. Indirect costs will not be allowable charges against the award unless specifically included as a line item in the approved budget incorporated into the award. b. Fxcess indirect costs may not be used to offset unallowable direct costs. c. If the Recipient has not previously established an indirect cost rate with a Federal agency, the negotiation and approval of a rate is subject to the procedures in the applicable cost principles and the following subparagraphs: 1. The Office of Inspector General (OIG) is authorized to negotiate indirect cost rates on behalf of the DoC for those organizations for which the DoC is cognizant or has oversight. The OIG will negotiate only fixed rates. The Recipient shall submit to the OIG within 90 days of the award start date, documentation (indirect cost proposal, cost allocation plan, etc.} necessary to establish such rates. The Recipient shall provide the Grants Officer with a copy of the transmittal letter to the OIG. 2. When an oversight or cognizant Federal agency other than the DoC has responsibility for establishing an indirect cost rate, the Recipient shall submit to that oversight or cognizant Federal agency within 90 days of the award start date the documentation (indirect cost proposal, cost allocation plan, etc.) necessary to establish such rates. The Recipient shall provide both the Grants Officer and the DoC OIG with a copy of the transmittal letter to the cognizant Federal agency. 3. If the Recipient fails to submit the required documentation to the OIG or other oversight or cognizant Federal agency within 90 days of the award start date, the Grants Officer shall amend the award to preclude the recovery of any indirect costs under the award. If the DoC OIG, oversight, or cognizant Federal agency determines there is a finding of good and sufficient cause to excuse the Recipient's delay in submitting the documentation, an extension of the 90-day due date may be approved by the Grants Officer. 3 10/98 4. Regardless of any approved indirect cost rate applicable to the award, the maximum dollar amount of allocable indirect costs for which the DoC will reimburse the recipient shall be the lesser of: (a) The Federal share of the total allocable indirect costs. of the award based on the negotiated rate with the cognizant Federal agency as established by audit or negotiation; or (b) The line item amount for the Federal share of indirect costs contained in the approved budget of the award. .06 Incurring Costs or ®bligating federal Fa~nds beyond the expiration date a. The Recipient shall not incur costs or obligate funds for any purpose pertaining to the operation of the project, program, or activities beyond the expiration date stipulated in -the award. The only costs which ;are authorized for a period of up to 90 days following the award expiration date are those strictly associated with closeout activities. Closeout activities are limited to the preparation of final progress, financial, and required project audit reports. b. Unless otherwise authorized in 15 CFR Part 14.25(e)(4) or a special award condition, any extension of the award period can only be authorized by the Grants Officer in writing. Verbal or written assurances of funding from other than the Grants Officer shall not constitute authority to obligate funds for programmatic activities beyond the expiration date. c. The DoC has no obligation to provide any additional prospective funding. Rny renewal of the award to increase funding and to extend the period of performance is at the sole discretion of the DoC. .07 Tax 9~efunds Refunds of FIC~/FUTA taxes received by the Recipient during or after the award period must be refunded or credited to the DoC where the benefits were financed with Federal funds under the award. The recipient agrees to contact the Grants Officer immediately upon receipt of these refunds. The Recipient further agrees to refund portions of FICA/FUTA taxes determined to belong to the Federal Government, including refunds received after the expiration of the award. 4 10/98 R. PROGRAAAIUTATIC R~C~UIREIUI~NTS .01 Performance (T`echnical) Reports a. The Recipient shall submit performance (technical) reports in triplicate (one original and two copies) to the Federal Program Officer in the same frequency as the Financial Status Report (SF-269). b. Unless otherwise specified in the award provisions, performance (technical) reports shall contain brief information as prescribed in the applicable uniform administrative requirements incorporated into the award. .02 Unsatisfactory Performance Failure to perform the work in accordance with the terms of the award and maintain at least a satisfactory performance rating may result in designation of the Recipient as high risk and assignment of special award conditions or other further action as specified in the standard term and condition entitled "Non-Compliance With Award Provisions." .03 Programmatic Changes a. The Recipient shall not make any programmatic changes to the award without prior written approval by the Grants Officer. b. Any requests by the Recipient for programmatic changes must be submitted to the Federal Program Officer who shall review and make recommendations to the Grants Officer. The Grants Officer shall make the final determination and notify the Recipient in writing. .04 Other Federal Awards with Similar Programmatic Activities The Recipient shall immediately provide written notification to the Federal Program Officer and the rants Officer in the event that, subsequent to receipt of the DoC award, other financial assistance is received to support or fund any portion of the scope of work incorporated into the DoC award. DoC will not pay for costs that are funded by other sources. C. NON-®ISCRIIVIINATION REQUIR~IVIENTS No person in the United States shall, on the ground of race, color, national origin, handicap, religion, or sex, be excluded from participation in, be denied the benefits of, or be subject to discrimination under any program or activity receiving Federal financial assistance. The Recipient agrees to comply with the non-discrimination requirements below: 5 10/98 .01 Statutory Provisi®ns a. Title VI of the Civil Rights Act of 1964 (42 USC 2000d et seq.) and DoC implementing regulations published at 15 CFI Part 8-which prohibit discr'smination on the grounds of race, color, or national origin under programs or activities receiving Federal-financial assistance; b. Title IX of the Education Amendments of 1372 (20 USC 1681 et seq.) prohibiting discrimination on the basis- of sex under Federally assisted education programs or activities; c. Section 504 of the Rehabilitation Act of 1973, as amended (29 USC § 794) and DoC implementing regulations published at 15 CI*R Part 8b prohibiting discrimination on the basis of ~iandicap under any program or activity receiving or benefitting from Federal assistance; d. The Age Discrimination Act of 1975, as amended (42 USC 6101 et seq.) and DoC implementing regulations published at 15 CFR Part 20 prohibiting- discrim€nation on the basis of age. in programs or activities receiving Federal financial assist~r;ce; e. The Americans with Disabilities Act of 1990 (42 USC 12101 et seq:) prohibiting discrimination on the basis of disability under programs, activities, and services provided or made available by state and local-governments or instrumentalities or agencies thereto, as well as public or private entities that provide public transportation; f. Any other non-discrimination provisions of statutory law. .02 ~#ber Pr®visions farts II and III of Executive Order 11246 (30 F.R. 12319, 1965) as amended by Executive Orders 11375 (h2 F.R. 14303, 196?) and 12086 (43 F.R. 46501, 1978) requiring Federally assisted construction contracts to include the nondiscrimination provisions of 202 and 203 of that Executive Order and Department of Labor regulations implementing Executive Order 11246 {41 CFR § 60-1.4(b), 1991). D. AU®Il°S Under the Inspector General Act of 1978, as amended, 5 USC App. I, section 1 et seq., an audit of the award may be conducted at any time. The Inspector General of the DoC, or any of his or her duly authorized representatives, shall have access to any pertinent books, documents, papers and records of the Recipient, whether written, printed, recorded, produced or reproduced by any mechanical, magnetic or other process or medium, in order to make audits, inspections, excerpts, transcripts ear other examinations as authorized by law. When the OIG requires a project audit on a DoC award, the OIG will usually make the arrangements to audit the award, whether the g 10/98 audit is performed by OIG personnel, an independent accountant under contract with the DoC, or any other Federal, state or local audit entity. .®1 Organization-Wide, Program-Specific, and Project Audits a. Organization-wide or program-specific audits shall be performed in accordance with the Single Audit Act Amendments of 1996, as implemented by OMB Circular A- 133, "Audits of States, Local Governments, and Non-Profit Organizations." Recipients that are subject to the provisions of OMB Circular A-133 and that expend $300,000 or more in Federal awards shall have an audit performed in accordance with the requirements contained in OMB Circular A-133. b. In accordance with 15 CFR Part 14.26 (c) and (d), for-profit Recipients shall have a project audit performed no less than once every two years in accordance with the Generally Accepted Government Auditing Standards. c. The Recipient shall submit copies of project audits conducted in accordance with 15 CFR Part 14.26 (c) an (d), which are required by the award and included as a line item in the budget of the award, and program-specific audits conducted under OMB A- 133 to the DoC OIG at the following address with a copy of the transmittal letter to the Grants Officer: Office of Inspector General U.S. Department of Commerce Atlanta Regional Office of Audits 401 West Peachtree Street, N.W., Suite 2742 Atlanta, GA 30308 d. Recipients expending Federal awards over $300,000 a year and having audits conducted in accordance with OMB Circular A-133 shall submit a copy of organization- wide or program-specific audits to the Bureau of the Census, which has been designated by OMB as a central clearinghouse. The address is: Federal Audit Clearinghouse Bureau of the Census 1201 E. 10th Street Jeffersonville, IN 47132 .02 Audit F#esolution Process 7 10/98 a. An audit of the award may result in the disallowance of costs incurred by the Recipient and the establishment of a debt (account receivable) due DoC. For this reason, the Recipient should take seriously its responsibility to respond to all audit findings and recommendations with adequate explanations and supporting evidence whenever audit results are disputed. b. A Recipient whose award is audited has the following opportunities to dispute the proposed disallowance of costs and the establishment of a debt: 1. Unless the Inspector General determines otherwise, the Recipient has 30 days from the date of the transmittal of the draft audit report to submit written comments and documentary evidence. 2. The Recipient has 30 days from the date of the transmittal of the final audit re o to submit written comments and documentary evidence. There will be no extension of this deadline. 3. The DoC shall review the documentary evidence submitted by the Recipient and shall notify the- recipient of the results.:n an Audit Resolution Determination better. The Recipient has 30 days from the date of receipt of the Audit Resolution Determination better to submit a written appea#. There will be no extension of this deadline. The appeal is the last opportunity for the Recipient to submit written comments and documentary evidence that dispute the validity of the audit resolution determination. In addition, an appeal does°a~ot preclude the Recipient`s obligation to pay a debt that may be established nor does the appeal preclude the accrual of interest on a debt. 4. The DoC shall review the Recipient's appeal and notify the Recipient of the results in an Appeal Determination Utter. After the opportunity to appeal has expired or after the appeal determination has been rendered, DoC will not accept any further documentary evidence from the Recipient. There will be no other administrative appeals available in DoC. ®~RTS .01 Payment of ®ebts ®wes~ the Fed-era! Government Any debts determined to be owed the Federal Government shall be paid promptly by the Recipient. A debt will be considered delinquent if it is not paid within 15 days of the due date. Failure to pay a debt by the due date sf?all result in the imposition of late payment charges as noted below. In addition, failure to pay the debt or establish a repayment agreement by the due date will also result in the referral of the debt for collection action and may result in DoC taking further action as specified in the standard term and condition entitled "iVon-Compliance With Award Provisions." Payment of a debt must not come from other Federally sponsored programs. 8 10/98 Verification that other Federal funds have not been used will be made during future program visits and audits. .02 Late payment Charges a. An interest charge shall be assessed on the delinquent debt (over 15 days) as established by the Debt Collection Act of 1982, as amended. The minimum annual interest rate to be assessed is the Department of the Treasury's Current Value of Funds Rate. This rate is published in the Federal Register by the ®epartment of the Treasury. The.assessed rate shall remain fixed for the duration of the indebtedness. b. A penalty charge shall be assessed on any portion of a debt that is delinquent for more than 90 days, although the charge will accrue and be assessed from the date the debt became delinquent. c. An administrative charge shall be assessed to cover processing and handling the amount due. d. State and local governments are not subject to penalty and administrative charges. NA91A~ CHECK A name check review shall be performed by the OIG on key individuals associated with non-profit and for-profit organizations, unless an exemption has been authorized by the Inspector General. .01 Results of Name Check DoC reserves the right to take any of the actions described in section F.02 if any of the following occurs as a result of the name check review: a. A key individual fails to submit the required form "Identification -Applicant for Funding Assistance (CD-346}; b. A key individual made an incorrect statement or omitted a material fact on the CD-346; or c. The name check reveals significant adverse findings that reflect on the business integrity or responsibility of the Recipient and/or key individual. .02 l~ction(s) Taken as a Result of Name Check Review If any situation noted in F.01 occurs, DoC, at its discretion, may take one or more of the following actions: g 10/98 a. Consider termination of the award; b. Require the removal of any key individual from association with the management of and/or implementation of the award; and7or c. Make appropriate provisions or revisions at DoC's discretion with respect to the method of payment and/or financial reporting requirements. G. (~®VER~IEI~i'i'~!Vlt~E DI~~AR~tlEt~9T AND ~llSP~NSI!®~ (N®t~lP`R~C~R~l~~~T) The Recipient shall com-ply with the provisions of Executive Order 12549, "Debarment and Suspension" and DoC's implementing. regulations published at 15 CFR Part 26, Subparts A through E, "Governmentwide Debarment and Suspension (Nonprocuremdnt)," which generally prohibit entities that have been debarred, suspended, or voluntarily excluded from participating in Federal nonprocurement transactions either through primary or lower tier covered transactions. 0~. DRUfa-FR~~ W~RKPCE The Recipient shall comply with the provisions of Public Law 100-690, Title `J, subtitle D, "Drug-Free Workplace Act of 1988," and DoC implementing regulations published at 15 CFR Part 26, Subpart F, "Governmentwide Requirements for Drug~Free Workplace (Grants)," which require ghat the Recipient take-steps to provide adrug-free worl~place. L+D~~~!fN~ R~~°Tl~`i'!~lVS .01 Stattatory Pr®visions The Recipient sh-all comply with the provisions of Section 319 of Public Law 101-121, which added Section 1352 to Chapter 13 of Title 31 of the United States Code, and DoC implementing regulations published at 15 CFR Part 28, °'New Restrictions on Lobbying." These provisions generally prohibit the use of Federal funds forlobbying the Executive ~r Legislative Branches of the Federal government in connection with the award, and require the disclosure of the use of non-Federal funds for lobbying. .02 Disclosure of Lobbying Activities The Recipient receiving in excess of $100,000 in Federal funding shall submit a completed "Disclosure of Lobbying Activities" (SF-LLL) regarding the use of non- Federal funds for lobbying. The SF-LLL shall be submitted within 30 days following the end of the calendar quarter in which there occurs any event that requires disclosure or that materially affects the accuracy of the information contained in any disclosure form 10 10/98 previously filed. The Recipient must submit the SF-LLLs, including those received from subrecipients, contractors, and subcontractors, to the Grants Officer. J. sUS~4WAFtD, COIVTRACI', AE~O~ SU~C®nl°TRACI° .01 Applicability of Award provisions to subrecipients The Recipient shall require all subrecipients, including lower tier subrecipients, under the award to comply with the provisions of the award including applicable cost principles, administrative, and audit requirements. .02 Connpetitiion and Codes of Conduct for subawards a. All subawards will be made in a manner to provide, to the maximum extent practicable, open and free competition. The Recipient shall be alert to organizational conflicts of interest as well as other practices among subrecipients that may restrict or eliminate competition. In order to ensure objective subrecipient performance and eliminate unfair competitive advantage, subrecipients that develop or draft work requirements, statements of work, or requests for proposals shall be excluded from competing for such subawards. b. The Recipient shall maintain written standards of conduct governing the performance of its employees engaged in the award and administration of subawards. IVo employee, officer, or agent shall participate in the selection, award, or administration of a subaward supported by Federal funds if a real or apparent conflict of interest would be involved. Such a conflict would arise when the employee, ofificer, or agent, any member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of the parties mentioned in this section, has a financial interest or other interest in the organization selected for a subaward. The officers, employees, and agents of the Recipient shall neither solicit nor accept anything of monetary value from subrecipients. Ffowever, the Recipient may set standards for situations in which the financial interest is not substantial or the gift is an unsolicited item of nominal value. The standards of conduct shall provide for disciplinary actions to be applied for violations of such standards by officers, employees, or agents of the Recipient. .03 Applicability of provisions to Subawards, Contracts, and subcontracts a. The Recipient shall include the following notice in each request for applications or bids: Applicants/bidders for a lower tier covered transaction (except for goods and services under the $100,000 simplified acquisition threshold and where the lower tier Recipient will have no critical influence on or substantive control over the award) are subject to 15 CFR Part 26, Subparts A through E, 11 10/98 "Governmentwide Debarment and Suspension (Nonprocurement). In addition, applicants/bidders for a lower tier covered transaction for a subaward, contract, or subcontract greater than $100,000 of Federal funds at any tier are subject to 15 CFR Part 28, "New Restrictions on Lobbying." Applicants/bidders should familiarize themselves with these provisions, including the certification requirements. fiheref®re, applications for a lower tier covered transaction must include.a "Certifications Regarding Debarment, Suspension, Ineligibility and Voluntary exclusion--Lower Tier Covered Transactions and Lobbying" (CD-512) completed without modification. b. The Recipient shall include a statement in all lower tier covered transactions (subawards, contracts, and subcontracts), that the award is subject to executive Order 12549, "Debarment and Suspension" and DoC implementing regulations published at 15 CFR Part 26; Subparts A through "Governmentwide Debarment and Suspension (Nonprocurement)." c. The Recipient shall include a statement in all lower tier covered transactions (subawards, contracts, and subcontracts) exceeding $100,000 in Federal funds, that the subaward, contract,. or subcontract is subject to Section 319 of Public Law 1.0.1-121, which added Section 1352, regarding lobbying restrictions, to Chapter 13 of Title 81 of the United States Code as implemented at 15 CFR Part 28, "New Restrictions os~ Lobbying." The Recipient shall-further require the subrecipient, contractor, or subcontractor to submit a completed'"DiseBosure of Lobbying Activities" (SF-LLL) regarding the use of non-Federal funds for lobbying. The SF-LLL shall be submitted within 15 days following the end of the calendar quarter in which there occurs aray event that requires disclosure or that materially affects the accuracy of the information contained in any disclosure form previously €iled. The SF-LLL shall be submitted from tier to tier until received: by tfae Recipient. The Recipient must submit all disclosure forms received; including those that report lobbying activity on its own behalf, to the Grants Officer within 30 days following the end of the calendar quarter. .04 IUlinority and Wornen-Cwned 1usiness enterprise DoC encourages Recipients to utilize minority and women-owned firms and enterprises in contracts under financial assistance awards. The Minority Business Development Agency will assist Recipients in matching qualified minority and women-owned enterprises with contract opportunities. For further information contact: U.S. Department of Commerce Minority Business Development Agency Herbert C. Hoover Building 14th Street and Constitution Avenue, N.W. 12 10/98 Washington, D.C. 20230 .05 Subaward and/or Contract to a Federal Agency a. The Recipient, subrecipient, contractor, and/or subcontractor shall not sub-grant or sub-contract any part of the approved project to any agency of the DoC and/or other Federal department, agency or instrumentality, without the prior written approval of the Grants Officer. b. Requests for approval of such action must be submitted to the Federal Program Officer who shall review and make a recommendation to the Grants Officer. The Grants Officer shall make the final determination and will notify the Recipient in writing of the final determination. K. PR®PEIRTY .01 Standards The Recipient shall comply with the property management standards as stipulated in the applicable uniform administrative requirements. Any inventory listings stipulated under the applicable uniform administrative requirements shall be submitted on the "Report of Government Property in Possession of Contractor" (CD-281). The CD-281 shall be submitted in triplicate (an original and two copies) to the Grants Officer. .02 fights to Inventions Unless otherwise provided in applicable statutes, the policy and procedures set forth in DoC regulations 37 CFR Part 401, '°Rights to Inventions made by Nonprofit Organizations and Small business Firms under Government Grants, Contracts, and Cooperative Agreements," shall apply to all grants and cooperative agreements made to nonprofit organizations and small business firms where the purpose of the award is to accomplish experimental, developmental, or research work. L. NBBSCFL.f.ANFOUS Rlr(~UIREIIfIENTS .01 Non-Compliance With Award Provisions Failure to comply with any or all of the provisions of the award may be considered grounds for any or all of the following actions: establishment of an account receivable, withholding payments under any DoC awards to the Recipient, changing the method of payment from advance to reimbursement only, termination of any DoC active awards, and may have a negative impact on future funding by the DoC. .02 Prohibition Against Assignment by the Recipient 13 10/98 Notwithstanding any other provision of the award, the Recipient shall not transfer, pledge, mortgage, or otherwise assign the award, or any interest therein, or any claim arising thereunder, to any party or parties, bank trust companies, or other financing or financial institutions. .03 Internal Revenue Service (IRS) Infora~atii®n a. A Recipient classified for tax purposes as an individual, partnership, proprietorship, corporation, or medical corporation is required to submit a taxpayer identification number (TIN) (either social security number, employer identification number as applicable, or registered foreign organization number) on Form W-9, "Payer's Request for Taxpayer Identification Number." Tax-exempt organizations and corporations (with the exception of medical corporations) are excluded from this requirement. Form W-9 shall be submitted to the Grants Officer within 60 days of the award start date: The TIN will be provided to the IRS by DoC on Form 1099-G, "Statement for Recipients of Certain Government Payments." Recipients who either fail to provide their TIN or provide an incorrect TIN may have funding suspended until the requirement is met. b. Disclosure of a Recipient's TIN is mandatory for Federal income tax reporting purposes under the authority of 26 USC, Section 6011 and 6109(d), and 26 CFR, Section 301.6109-1. This is to ensure the accuracy of income computation by the IRS. This information will be used to identify an individual who is compensated with DoC funds or paid interest under the Prompt Payment Act. .04 ~®reign Travel a. The Recipient shall comply with the provisions of the Fly America Act (49 USC § 40118). b. The Fly America Act requires that Federal travelers and others performing U.S. Government-financed foreign air travel must use U.S. flag air carriers, to the extent that service by such carriers is available. Foreign air carriers may be used only when a U.S. flag air cagier is unavailable, or use of U.S. flag air carrier service will not accomplish the agency's mission. c. Use of foreign air carriers may also be used only if bilateral agreements permit such travel pursuant to 49 USC § 40118(b). DoC is not aware of any bilateral agreements which meet these requirements, therefore, it is the responsibility of the Recipient to provide the Grants Officer with a copy of the applicable bilateral agreement if use of a foreign air carrier is anticipated. d. If a foreign air carrier is anticipated to be used for any part of foreign travel, the Recipient must receive prior approval from the Grants Officer. The Recipient must submit a justification to the Federal Program Officer explaining why service by a U.S. flag air carrier is not available as determined under 41 CFR Part 301, why it would be 14 10/98 necessary to use a foreign air carrier, or if a bilateral agreement permits such travel and provide a copy of the agreement. The Grants Officer shall make the final determination and notify the Recipient in writing. Failure to adhere to the provisions of the Fly America Act will result in the disallowance of the Recipient's air carrier expenses in an amount comparable to the loss of revenues suffered by the U.S. flag air carriers as a result of the Recipient's actions. 15 10/98