HomeMy WebLinkAbout1994-07-26; City Council; 12797; ACCEPTANCE OF FEDERAL GRANT IN SUPPORT OF CARLSBAD HABITAT MANAGEMENT PLANd
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SUPPORT OF CARLSBAD HABITAT
MANAGEMENT PLAN
A13 # q. TITLE: ACCEPTANCE OF FEDERAL GR&T IN
DIEPT. pLN @
RIECOMMENDED ACTION:
That the City Couiicil ADOPT Resolution No. ?U-G?/~ , authorizing the Mayor ti
agreement with the US. Fish and Wildlife Service for federal grant funds in supp
City's Habitat Management Plan (HMP), appropriating the amount of the g
authorizing the City Manager to execute an amended agreement with the Rick
Company to provide continued consultant services for the HMP.
ITEM EXPLANATION
For the past several years the City has been pursuing a program called the Habitat Mz
Plan (HMP) which is intended to proactively address issues of wildlife habitat, parti
endangered and threatened species. Until now this effort has been funded entirely 1
at a cost of approximately $450,000 so far. At the same time, other local agencies
pursuing similar programs at a regional scale, and these programs have also be
funded.
Because these planning efforts are largely in response to a federal mandate, the
Association of Governments (SANDAG) has coordinated a regional effort to seci
funding. That effort has been successful, and an appropriation of $1.1 5 millior
included in the federal budget for the 1993-94 fiscal year. The City of Carlsbad i
receive approximately 6% of the appropriation which would equal approximately '
The funding is being channelled through two sources. The first source is from th
and Wildlife Service. The amount granted to Carlsbad will be $23,477.90. TE
agreement (Exhibit 2) when executed by all parties will secure tlis amount for thc
ferns and conditions of the agreement require that the City use the funds to contint
planning process. A work program for the use of these funds is attached to the a:
The second source of funds is from the National Fish and Wildlife Foundation via Sl
will be transmitted by a separate agreement. Staff anticipates that the City T
approximately $46,000 from that grant. When the agreement for the second sou
!For Council consideration, a separate agenda bill will be prepared.
'The funds from this grant would be used to pay for continuation of the consulti
provided by the Rick Alexander Company. These sewices to the City include drafti.
document, coordinating its review, facilitating monthly HMP advisory group mc
ensuring consistency between the HMP and regional plans. In order to allow con
these services, it will be necessary to amend the existing agreement with the Rici
Company to increase the amount from $24,000 to $47,477.
FISCALIMPACT
The recommended action would provide a savings to the City's general fund 6
amount of the grant, assuming that the HMP work would have been done even
grant. The City's ET 1993-94 budget for the Planning Department included $15(
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CITY
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m 1! Page Two of Agenda Bill No.
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continuation of the MMP, of which $35,000 has been expended. For the Ey 1994-95 I
was carried forward.
Acceptance of the grant will mean that the City will not be requimd to spend any fur
from the Planning Department’s general fund budget for the HMP until the total amo
grant funds has been expended. At that time staff will provide a status report tc
Council which will include recommendations on further steps that may be needed to
and implement the HMP.
EXHIBITS
1. Resolution No. 9 q-21 9- .
2. Grant Agreemeint with U.S. Fish and Wildlife Service.
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RESOLUTION NO. 94-214
A RESCILUTION OF THE CITY COUNCIL OF THE CITY OF C,
CALIFORNIA, ACCEPTING A FEDERAL GRANT IN SUPPORT OF TI
HAB1TA.T MANAGEMENT PLAN, AUTHORIZING THE MAYOR TO !
GRANT AGREEMENT, AND AUTHORIZING THE CITY MANAGERTO EX
AMENDED CONSULTANT AGREEMENT WITH THE RICKALEXANDER CC
WHEREAS, the City of Carlsbad is preparing a Habitat Management Plan;
WHEREAS, funds have been allocated in the fiscal year 1994 federal budge’
and encourage planning efforts such as the Habitat Management Plan; and
WHEREAS, a portion of these federal funds has been allocated to the City
to carry out the certain tasks necessary for the completion of the Habitat Managt
and
WHEREAS, the funds are being distributed by the U.S. Fish and Wildlife 5
WHERE:AS, the funds will be used to pay for consultant services provided
Alexander Company; and
WHEREAS, it will be necessary to increase the consuitant agreement w
Alexander Coinpany to reflect the amount of the grant.
NOW, THEREFORE, BE IT HEREBY RESOLVED by thie City Council 01
Carlsbad, California as follows:
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That the above recitations are true and correct.
That the Mayor is authorized to sign the grant agreement with the
Wildlife Service, and staff is authorized to appropriate the funds for use carry
related to cornpletion of the Habitat Management Plan.
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3. The City Manager is authorized to execute an amended consultant
with the Rick Alexander Company to provide services necessary to the completii
related to completion of the Habitat Management Plan.
PASSED, APPROVED AND ADOPTED at a regular meeting of the City Coi
City of Carlsbad, California, held on the 26th day of -JULY , If
following vote, to wit:
AYES: Council Members Lewis, Stanton, Kulchin, Nygaard, Finnil,
NOES: None
ABSENT: None
ATTEST:
--6LLk&- ALETHA L. RAUTENKRANZ, City Clerk
(SEAL)
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4 Cost Code 11430-1112-
14- 48-0001- 94
$23,477.90
DCN 11430-4-0
ORIGINAL 4
I
COOPERATIVE AGREEMENT
BETWEEN
FISH AND WILDLIFE SERVICE
UNITED STATES DEPARTMENT OF THE INTERIOR
AND
THE CITY OF CARLSBAD
I. Introduction
The City of Carlsbad (City) is coordinating the planning efforts
designed to ;resolve conflicts between the federally threatened
California gnatcatcher (PolioDtila californica californica; gnatcatc?
and proposed projects which could impact the gnatcatcher and/or its
habitat. This effort is part of the preparation of a Natural Commun
Conservation Planfiabitat Conservation Plan (NCCP/HCP) for city land:
San Diego County, California. The NCCP/HCP is to be a rangewide
document that will provide for the regipnal protection and perpetuat
of natural wildlife diversity while allowing compatible and appropri,
development and growth.
planning effort is called their Habitat Management Plan (HMP), which
will lead to the development of an NCCP/HCP.
This planning effort to date has been supported by local, state, and
private funding.
authorized in "pass-through" monies along with twice that in "matchi
funds to the County of San Diego to support these efforts. This
agreement is the instrument to provide the City its share of the
County's pass-through funds, amounting to $23,477.90.
The City's multiple habitat and species
In FY94 a Congressional appropriation of $383,000
11. Authorities
The Fish and Wildlife Service (hereinafter referred t:o as "Service")
enters into this agreement pursuant to the authority provided by the
Endangered Species Act (ESA) of 1973, as amended and Department of t
Interior and Related Agencies Appropriation Bill, 1904.
111. Purpose
The purpose of this agreement is to assist in the preparation and
implementation of the NCCP/HCP for the gnatcatcher within the City
limits. Tasks include: NCCP/HCP preparation, processing, and
administration; Geographic Information System (GIS) development,
analysis, and graphic output; biological dzta collection including
citywide vegetationhabitat mapping, target species sumeys, and da
collection on other sensitive species ; and environmental documenta
IV. Term of Agreement
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This agreement is to cover the continuation of work necessary to
implement the NCCP/HCP process at City from July 1, 1.993 through Oct
1, 1994.
V. Specific 0bl.igations of the Parties
A. Service's Obligations
1. The Service will reimburse the City in the amount of
$23,477.90, for the accomplishment of the tasks identifi
in Subsection B (below) as the responsibrlity of City;
2. The Service will review and provide input into the repor
generated by the City;
3. The Service will participate in appropriate advisory
committee meetings, workshops, and key project level
discussions;
4. The Service will facilitate the coordination of the
gnatcatcher NCCP/HCP with other habitat conservation
planning efforts on a range-wide basis and with efforts
associated with other species of concern.
B. The Ctty of Carlsbad's Responsibilities
The City will furnish materials, equipment, supplies, and labc - necessary to continue the NCCP/HCP process as agreed to and
described in Attachment 1 which is hereby incorporated as if f
set forth herein.
VI. Project Officers
Project Officer for the Sewice is:
Mr. Gail Kobetich or Richard Zembal
U.S. Fish and Wildlife Service
2730 Loker ,4venue West
Carlsbad, CA 92008
Project Officer for City is:
Mr. Don Rideout
City of Carlsbad
Planning Department
2075 Las Palmas Drive
Carlsbad, California 92009
VII. Deliverables and Milestones
City shall provide mid-contract and final reports arid supporting
documents to the Service.
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VIII. Funding
The Sewice will reimburse City in the amount of $23,477.90 in FY 19
for the work: identified in this agreement in accordance with the bud
attached hereto and identified as Attachment l-A, which is hereby
incorporated by reference.
Quarterly billings should be submitted to the Fish and Wildlife Sen
on a comp1et:ed SF 270, Request for Advance or Reimbursement Form, ci
Cooperative Agreement No. 14-48-0001-94386 and Document Control No.
11430-4-0178 to:
U.S. Fish and Wildlife Service
Carlsbad Field Office
2730 ioker Avenue West
Carlsbad, California 92008
IX. Special Ternis and Conditions
None
X. General Provisions
The U.S. Fish and Wildlife Service’s General Provisions for Grants t
Cooperative Agreements are applicable to this agreement and are herc
incorporated as Attachment 2, as if fully set forth,herein.
. XI. Amendments
Amendments to this agreement may be proposed by either party and shz
become effective upon being reduced to a written instrument executec
both parties.
XII. Termination \\
This project may be terminated under the following conditions:
A. Termination for Cause
The Service may terminate this agreement in full, or in part,
any time before the date of completion, whenever it is determ
that the other party has failed to comply with the conditions
this agreement.
in wr:iting of this determination and the reasons for the
termination, together with the effective date. Payments made
any party, or recovery by the Service, under agreements termi
for cause shall be in accord with the legal rights and liabil
of the parties.
The Service shall promptly notify the other
B. Termination for Convenience
This <agreement may be terminated in whole, or in part, when a
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parties agree that the continuation of the pro;ject would not
produce beneficial results commensurate with the further
expenditure of funds. The parties shall agree upon the
termination conditions including the effective date and, in th
case of partial terminations, the portion to be terminated. T
parties shall not incur new obligations after the effective da
of termination, and shall cancel as many outstanding obligatio
as possible. The Service shall allow full credit to City for
Federal share of non-cancelable obligations, properly incurred
City prior to termination.
XIII. Certification Regarding a Drug-Free Workplace
A. Definitions. As used in this provision,
"Controlled substance" means a controlled substance in schedul
through V of section 202 of the Controlled Substance Act (21
U.S.C. 812) and as further defined in regulation at 21 CFR 13C
- 1308.15.
"Conviction" means a finding of guilt (including a pleas of nc
contendere) or imposition of sentence, or both, by any judicis
body c:harged with the responsibility to determine violations c
the Federal or State criminal drug statues.
"Criminal drug statute" means a Federal or non-Federal crimina
possession or use of any controlled substance.
"Drug-free workplace" means a site for the performance of worl
done in connection with a specific contract at which employee:
the Contractor are prohibited from engaging in the unlawful
manufacture, distribution, dispensing, possession, or use of I
controlled substance ."
"Employee" means an employee of a Contractor directly engaged
the performance of work under a Government contract.
"Individual" means an offeror/contractor that has no more thai
employee including the offeror/contractor.
- statute involving the manufacture, distribution, dispensing,
B. By submission of its offer, the offeror, if other than an
individual, who is making an offer that equals or exceeds $25
certifies and agrees, that with respect to all employees of tl
offeror to be employed under a contract resulting from this
solicitation, it will -
1. publish a statement notifying such employees that the
unlawful manufacture, distribution, dispensing, possess
or use of a controlled substance is prohibited in the
Contractor's workplace and specifying the actions that
be taken against employees for violations of such
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prohibition;
2. establish a drug-free awareness program to inform such
employees about -
a. the dangers of drug abuse in the workplace;
b. the Contractor's policy of maintaining a drug-free
workplace;
c. any available drug counseling, rehabilitation, and
employee assistance programs; and
d. the penalties that may be imposed upon employees f
drug abuse violation occurring in the workplace;
3. Provide all employees engaged in performance of the cont
with a copy of the statement required by subparagraph (t
of this provision:
4. Notify such employees in the statement required by
subparagraph (b)(l) of this provision, fhat as a conditj
of continued employment on the contract resulting from t
solicitation, the employee will -
a. abide by the terms of the statement; and
b. notify the employer of any criminal drug statute
conviction for a violation occurring in the workpl
no later than five (5) days after such conviction;
5. Notify the Contracting Officer within ten (10) days aft6
receiving notice under subdivision (b)(4)(ii) of this
provision, from an employee or otherwise receiving actuz
notice of such conviction; and
Within 30 days after receiving notice under subdivision
(b)(4)(ii) of this provision of a conviction, impose thc
following sanctions or remedial measures on any employet
is convicted of drug abuse violations occurring in the
workplace :
a.
6.
Take appropriate personnel action against such
employee, up to and including termination; or,
Require such employee to satisfactorily participa
a drug abuse assistance or rehabilitation program
approved for such purposed by a Federal, State, o
local health, law enforcement, or other appropria
agency.
b.
7. Make a good faith effort to maintain a drug-free workpl
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through implementation of subparagraphs (b)(l) through
(b) (6) of this provision.
C. By submission of its offer, the offeror, if an individual who
naklns ap offer of any dollar value, certiffes and agrees that
offeror will not engage in the unlawful manufacture, distribut
dispensing, possession, or use of a controlled substance in th
performance of the contract resulting from this solicitation.
D. Failure of the offeror to provide the certification required b
paragraphs (b) or (c) or this provision, renders the offeror
unqualified and ineligible for award. (See FAR 9.104-l(g) anc
19.602-l(a)(2)(i).).
E. In addition to other remedies available to the Government, the
certification in paragraphs (b) and (c) of this provision conc
a matter within the jurisdiction of an agency of the United St
and the making of a false,' fictitious, or fraudulent certific;
may render the make subject to prosecution under Title 18, Unj
States Code, Section 1001.
XIV. Certification Regarding Lobbying Activities
The undersigned certifies, to the best of his or her knowledge and
belief that:
A. - No Federal appropriated funds have been paid or will be paid,
or on behalf of the undersigned, to any person for influencini
attempting to influence an officer or employee of any agency,
Member of Congress, an officer or employee of Congress, o'ran
employee of a Member of Congress in connection with awarding c
any Federal contract, the making of any Federal grant, the mal
of any Federal loan, the entering into of any cooperative
agreement, and the extension, continuation, renewal, amendment
modification of any Federal contract, grant, loan, or cooperal
agreement.
If any funds other than Federal appropriated funds have been I
or will be paid to any person for influencing or attempting tc
influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee
Member of Congress in connection with this Fed.era1 contract,
grant, loan, or cooperative agreement, the und.ersigned shall
complete and submit Standard Form LLL, "Disclosure Form to Re
Lobbying," in accordance with its instructions.
The undersigned shall require that the language of this
certification be included in the award documents for all suba
at all tiers (including subcontracts, subgrants, and contract
under grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
B.
C.
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This certification is a material representation of fact upon which
reliance was placed when this transaction was made or entered into.
Submission of this certification is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31, U.:
Code.
subject to a civil penalty of not less than $10,000 and not more thar
$100,000 for each such failure.
Any person who fails to fLle the required certification shall
IN WITNESS kTEREOF, each party hereto has caused this Cooperative Agreement
be executed by an authorized official on the day and year set forth opposil
their signature.
U.S. FISH AND WILDLIFE SERVICE
Date : A+ v 3/, /Hy 1
Date : July 27, 1994
Title : Mayor
. SUFFICIENCY J?DJIEW
By: ./ &YA. /b Date : 5/6/94
Title : Contracting Officer
FWS - 19 03 7 -A
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ATTACHMENT I
DEVELOPMENT AND IMPLEMENTATION
OF
NATURAL COMMUNITY CONSERVATION PLANS
AND
HABITAT CONSERVATION PLANS
FOR THE
CALIFORNIA GNATCATCHER
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A Proposal submitted to
The United States Fish & Wildlife Service
The City of Carlsbad bY
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A RECUEST FOR FUKDING
SLmY
The City of Carlsbad (City) is requesting support for its conservation
planning activities. These plans provide the ability to resolve conflict:
that arise between the need to protect special environments and the need t
proceed with key projects that may impact these sensitive lands. The func
($23,477.90) would assist the City in developing and implementing Natural
Community Conservation Plans/Habitat Conservation Plans (NCCP/HCPs) which
being drafted for coastal sage scrub resources in Southern California. TI
actions include the preparation of agreements between federal, state, and
local agencies and project proponents; environmental reports and biologic
studies; establishment of self-sustaining funding mechanisms; developmen
implementation of a Service-approved HMP;
participating entities and advisory committees.
Heretofore, these activities have been solely supported by private, state
local funds. The plans have identified and gained support for an
implementation strategy that is self-sustaining. Even though these plans
. not been finalized, they have progressed to the point where they have bee
used to facilitate conflicts. The attachments provide a more detailed
description of the funding needs (#I-A), and the Service's Contract Provi
and coordination of the
(82) -
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ATTACHMENT 1-A
DETAILED DESCRIPTION OF PROPOSAL
Smmary: This request is for $23,477.90 in federal funding assistance for
development of a Subregional Natural Community Conservation Plan/Habitat
Conservation Plan (NCCP/HCP) by the City of Carlsbad through completion an
eventual implementation of their HIYP.
Objective: To prepare a NCCP/HCP which provides for the conservation of
sensitive wildlife resources in thre City in a manner which will allow
necessary public and private projects to proceed by participation in the
subregional and regional process and completion and implementation of an I-
Impact: If funds were provided for these purposes, several key projects C
be evaluated in the context of the NCP/HCP and, therefore, benefit from tf
accelerated review and approval process as well as earlier federal
consultation and conflict resolution.
These projects include key public improvements that are delemed essential t
the health and safety of City residents.
substantial Federal funding and involvement and potential1:y conflicting
mandates and interpretations of different federal laws and statutes.
Many of these prlojects involve
. There is also a large number of private developments in the City affected
the provisions of the Endangered Species Act (ESA). The costs of these
projects are substantial and an investment to expedite the implementation
an NCCP/HCP would produce long-term cost savings in avoidance of delays c,
by ESA regulations.
Contents: This proposal requests funding support for the development of ,
NCCP/HCP for Carlsbad, CaliforniA, Shown below is the proposed budget fo
expenditure of the requested funds; all monies would be used to reimburse
City for expenses incurred in the development of the NCCP/HCP.
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BUDGET
Tasks : costs :
1. NCCP/HCP, HMP preparation, $10,000
processing, and administration.
2. Geographic Information System $5,000
(GIS) data development, analysis,
and output for NCCP/HCPs and
environmental documentation.
3. Biological data collection including $8,477.90
citywide vegetationhabitat map-
ping, target species surveys, and
data collection on other sensitive
species.
TOTAL $23,477.90
Work activities for which federal funding is sought will be performed by t
staff and/or consultants pursuant to approved contracts. The City of Car
agrees to provide all data produced by City staff and under these contrac
. the Service and California Department of Fish and Game.
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A-1.2
- -.- -. . - 0 AG!%EE>E\i 50. 13-48-0001- 9455( 0
U.S. FISH AND WILDLIFE SERVICE
GENERAL PROVISIONS
FOR
GRANTS AND COOPERATIVE AGREEMENTS
1. Definitions
2. Allowable Costs
3. Payment Requirements
4. Bonding and Insuranze
5. Cash Depositories
6. Reteneion and Custodial Requirements for Records
7. Program Income
8. Cost Sharing and Matching
9. Standards for Financial Management Systems
10. Financial Reporting Requirements
11.
12. Revision of Financial Plans
13. Closeout Procedures
14. Suspension and Termination Procedures
15. Property Management Standards
16. Procurement S tandzrds
17.4. Audit Requiremencs - (Educational Institutions, Hospitals and Other
17B. Audit Requirements - (State and Local Goverrments)
17C. Audit Requiremencs - (Commercial Organizations)
18. Standard Patenz Rights
19. Data Collection
20., Rights in Technical Data and Computer Software
21. Restrictions on Printing
22. Other Administrative Provisions and Assurances
23. Order of Precedence
24.
25. Certification Regarding Lobbying Activities
26.
27. Certification Regarding Debarment, Suspension, and Other
28. Certification Regarding Debarment, Suspension, Ineligibility and
Monitoring and Reporting Program Performance
Eon-Profic Orgzniz&cions)*-k
Certification Regarding and Drug-Free Workplace
Certification Regarding Conflict of Interesc
Responsibility Matters - Primary Covered Transactions
Voluntary Exclusion - Lower Tier Covered Transactiorls
**Circular A-133 supersedes Attachment F, subparagraph 2h, of Circular A-
110, "Uniform Adminiscrative Requirements for Grants and other Agreemer
with Institutions of Higher Eduction, Hospitals, and other Nonprofit
Organizations. "
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GENE2kL ~2OVIS:OI;S
1. DEFINlTlOhS
Throughout the rrrlatance agreenrnt, the follwlns tern, Iln so far as they art used. shall hare thr aantngs &lo*:
a. The term 'Head of the Ayency' or *Secretaryo means the Secretary, or my Asslrtrnt Secretary of the UI Stater Departwnt of the Interior; an6 the term 'his drily uthorltcd reprrsrntatlrc' mans any penon or I llorrd autnorlre6 to act for the head of the Ayency or the Secrrtrry.
b. The term *Departwnt. Deans the Untteb States Department of the Interlor (USDI).
c. The tern 'Agency' or 'Servlce' means the U.S. Flsfi an6 Yildllfe Scrvlcc (FYS).
6. The tern 'Siynlng Official' or 'SO' means any person authorized to execute the ayremnt on behalf of Service ana Includes, except as othehlse provided in the agreement, the authorfrca rcprcsentatlve of the Official acting witnin the limits of hls authorlty.
e. The term 'FbS Project Officer' means the So's authcrfzea rcpresentatfve responsfble for the technlcrl administration of the sgreenen:, the evaluation of performance under the ayreemcnt. the acce)rtance of teC1
reports. an6 for such otner specific responslDillties as my be stipulatea in various provisions of the 81
f. The terlt 'Recipien?' lncluces the follhrins:
(1) States. locei governmefirs or Federally reccpnjrec Indian tribal governments as deflned in OnB Ci
IU2.
(2) Non2rc';: orgtx:ra:iorls !nciuGinS public and private institutfons of higher eduCatfOn, public 4n
hos;::ais arc o:r,er qvas: p,>l;c an6 private nonpr;ifl: organiza:lons as further aescrlbca in W Clrc
(3: Cor;ner::a: or5afi:zations are oryanizations which are not otherwise included amng those SpeClfie
Circuiars k-llii 07 A-iiC; 1n:erna;ional organlzatictns; or businesses organized for profit.
9. The terr;. 'Gr,?: A;-eew-:' rwieprs the legal instrumnf between the Service an6 the reclplcnt whtCh pro
the trar,s!er o! iezee-di reso,rces tc ;ne re:ip:ent to accomplish a public purpose activity for uhich no S
lnvoivexnen: between ?ne parties 1s a-:icipa:ec during performance.
h.
for the tracsfer oc ieae'c: resojrces to :he recipient to tccomi?llrh a public purpose activity for which
1nroiveire~: be;-ee-. :r,e peri;es is dntlCi>a:eG drrrlnf performance.
1. Tcr acronjr 'dC' meers Offlce of Randgemen: and B~idyet.
j. Tne acron,,- th? r-eans ieoerdi Acquis:tion CegulAtjOnS.
The tern .Coo?ert::ve Agreecent' wars the legal IrtsPrument betueen the Service and the mClplent wh'l
.e.-.
2. ALLOh'iS,i COSY5 - LTr;:s clause is applicable to 411 assistance agreements lnvolvlng the transfer of fcder
a. Payrents uc to tne dEOdnf speclfled fn the ass$stdr,ce ayreement shall k ~6e only for costs aetermln SO to be allhaale, r1io:aDle 4nG reasonable in conauc<.lnE the wort unaer the agreement in accoraance *It
anc w:tn tnt fo1lw:ni cost prlncfples:
(1) ccc3 Circular A-2i shall be rpp1:cabie to eavcaitlonal Institut1onr.
(2) go ve rnwn: 5.
(31 W.? Circu:ar A-122 inall be d?qllC&bie 10 0tht:r non-prof): organizations.
(4)
ErprnC:tireS rei-.,r:r; :-:OF ~rl:;en approval fro- the 5; &re found In tne ae;llctbie federal Cost Pr
Oni Circular A-67 sr,ail be ap9licable to stat$! and iocti governments 4nd federally rtcognirrd In
Feeera; Acfuls:::on Regulations (ikii) 31.2 shrill be applicable to a11 other recipients.
b.
FIiS pc):cy an0 &*e s:r,t-:zec belo-:
(11 Pur:r.d<e 2- re-'.?' c' an, Itt- of general pur:)c$e ec.dl>x-: hcvfns c u+!: CCSf Of s3-J3 Or Ore;
1tew of o!f;ce e:"-pwn:, regarciess of COS?, ~f no; ~tem;zec In tne a;proveC budpel.
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(2) Purcnrse or rental of any item of special purpose equipment having a (unit cost of fi,ouu 0, itemlred ln the approved budget.
(3) insurance on federal governmcnt-wned equipment unless mqulred or approved'and uintrlmd of the agrectynt.
(4) Personnel movtmnt of a spcclrl or .ass-nrtun not Itemized In the approved budwt.
* (5) Forelgn ttrvei (each separate trfp).
(6) Doawstjc travel when not included In the approved budpet and when the cuaulatlve travel e4 exceed the approved travel budyet by S500 or 25 percent. whichever 1s greater.
(7) Expenditures for consultant rervlces not Itcmlzed in the approved budget.
(U) Subcontracts not ltemlrea in the approved budget.
(9) Expendltures for the purchase or lease of any Interest In mal property.
C. The fYS my provfde In advance for scheduled apparent allowable costs to be lncurred or wlll rd rl~owable costs accrued by the recipient up to the maxinum amount of the fcaerrl asrlstance payablc
Of performance. norever, such provislon of any cost pursuant to the c1ause shall not constttute a determination by FUS of the allwabiliry of such cost and Shall not constitute a waiver of any viol terms of the assistance agreement cormitted by the reclpient. FYS shall mate a final deterrnlnatloi
rllouability only after final aunt 1s cowletea. if required, or at the tlme of flnal payment.
3. PAYMEN? REUL~:PE~E!~'S - (OH: Circulars k-102/~-110) - [Thls clause is applicable to all assistance 4 invo7ving tne transfer t! federal funcs]
d. Payments can.& aa:e tc recipients througr, a letter-of-credit, an advance by Treasury check, 01
by Treasury check. Tne follokincj aefjni:>ons ap2ly for the purpose of this ciiause:
(1) Le:ter-cf Cree:; - A letter-of-creC:t IS an instrument certjficd by an authorlied Officla' sponsoring aSe-:, rnat author:zes a recipient to dram funds whep. neeaed from the Treasury, thrl Reserve bank anc the recipien:'s comercia1 bank, ln accordance with the provirlons of Treasur;
1075, as revise:.
(2) Advance b: Treasury cnecr - An advdnce by Treasury check 1s a payment mde by d Treasury recipient upon 11s request oefore outlays are uuoe by the recipient, or through the use of prc rcneaules.
(3) Reir.3urse-.e-r bJ. Treasur! check - A re:rruursewnt by Treasury check is 1 TrtdSuty Check F upon request f c- re:rr.3,rsemert; fror, tne rccip:ent.
0. Except for cocs:-dcfioc gran:s anC other construction d5reemen:s for whjch Optiondl payment n( authorizei, as des;r;DeC ir, parasrap 6, tne letter-of-creo;t w:noC shall be used by fh'5 if dl1 C conditions ex:s::
(1) If there is or will be a continuins relationship between a reciplcnt and FUS for at least and the total anount of rdvance payments expected to be receivec within that period from FYS 1
as prescribed by Treasury Circular No. 1075.
(2) If the reclpien: has established or defranstrdted to FYS the dllingness and ablllty tO U that u111 minicire tne tlme clapsins between the transfer of funds and their diSburSWnt by t
(3) If the recipient's ftnanclal mnagemnt systen meets the prescrlbcd standards for fund et accountabilltj.
c. The method Of advancing funds by Treasury check Shall be used In dccordanCe with the prOViS40 CffCUldr No. 1075, rher, the recipient meets all of the requlrementr speclfreci In paragraph b. &bo lUbparb)r4?* C. 1.
a. The relmburseme-: by 'Treasury Check Sptnob shall De the preferred mtnod lf the f-eclplent doe
requlrcmentr spec:f:ec In rbbpara,raphs b.2. and b.3. above. fNS ms! requlrP that thls method be C0ns:ruCtior prcJecr, or If tne mejor pbr:ior, of tne proyran 1s aCCOrQliSned through pflVJte Mfk federal Iodr,s, anc :ne Feaerdl rsslstance constitutes J minor portlon of the Drogram. When the r
Is used, FwS snail trace pal~fit within 30 says after recejgt of tne billlnp. unless the bllllng 1 rerpe:: to ~v3:0r.:re::or~, re:;p:er,;s sna;i not be reimbursec for arrgunts th+b: are to be withheld satlsfactor: conj~e:;cr, t: the wort. These dWun:$ U~II be pa!c when rec)pitnts mate final PIY~
an3-t:~ w;tr,-e?:,
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e. men the 1cttcr-of-Cred:t procedure 1s used. the reclplefrt Shall be Issued one conrolldated lcttcr-of-cred(t whenever poslble to cover anticiyated cash needs for ~11 grants and other ryrcewnts warded by fYS. the extent possible, when the advance by Treasury check rthob ls usea, advances should be consoltdrtra (pooled) all yrantr ana other agreements mat by FYS.
f. fYS shall not withhold payments for proper Charpel mde 131 cccfplents Jt any tfw during the proJect or prog period unless (a) a reclplent has frlled to conply wlth the program objectives, mar4 conditions. or Far41 reportlnp reyufrcments; or (b) the reclplcnt Is lndebtcd to the Unltca States, and colltctfon of the ladebtwlne! rill not lpvrlr rcconplfshmnt of the objcctlvcs 01' a project or program rpmsond by the Unltea States.
Under such condftlonr. FYS my. upon reasonable norlce, inform the reclptcnt thmt pryrntr rill not k YQe for Obllgatlonr incurrea after a rpcclffcd date untll the condltlons are cofmcttd or the Indcbt~dnrs to the FWn Corernrsnt Is liqulaatec.
Ltkwise,
4. BONDING AND INSURAtiCE - (WJ Circulars A-lOZ/A-110) - [ThlS clause fS appIIClbIQ to all aStlStanCe rQMntS invo!vinu tne performance of constructton or fact ltty laprorrrnentsl
a.
subcontracting) for construction or frclllty fmprovennts shall provlde for the reclplent to follow Its qn requirements relating to bla guarantees, performance bonds, and paymnt bonds unless the conStNCtlOn COntrKt Subcontract exceeds SlUij.UO0, For tnose contracts or subcontracts exctcdlnp 11UO,UOO, FYS my accept the bond policy and requirements of the grantee provided FYS has mat! a dctcmlnatlon that the Sovcmmnt't InteWSt IS raequrteiy protected. 17 Such a aeterminatjon has not been made, the mfnlmum requfrcmnts tnall be rn~ follms
- The *bid guarantee* ski
ble lnstrunrnt rccoqanyi (1) tons i
bib dS assurance tna: rne ajooer ~i11, upor. rcceptance (of his bic. execute such contrrctur~ documents 8s I required WIKR:~ the time rpeclfiec.
(2) A perfc-mnce b3-z 3- the 8rt of the iontract3- for 100 percent of the contracf prfce - A 'perfomr
bon3< is otle execu:ec in cocne:!-:on u>tn a contract to secure fulfil~nrinr of a11 the con:ractor*s ooliyat unaer such coct rdc:.
(3) A paynen; b37~ 3~ tne p8rt O! the con:ractor fc: 109 percent of the contract price - A 'paywnt bond one ciecurec in conne::ior b::r a contract to assure paynent as reavireo by Irr of rlrperrons supplying
and ma:erisl In tne ere;u;:on of tre wart provioeo for in the contract.
b. Yhere the Feoeral Governme?: guarantees or insures the repayment of money b0rrOweC By the WClpftnt. FYs, discretior.. may rel;~ire aoequa:e Donain5 ana Insurance !f the bonding and Insurance requfremcnts Of the rtCl1 are not aeenec aqesus:e ti 9rc:ect the Interest cf tRe FCGf?rdl Government.
C. protect tne Gcvernwr.:'s Inrerest.
C. cer:if;ct:es c' au;nsri;j cs acce2;aDie sureties (31 CF? ZZjj.
Except as otherwise requlred By law, a grant or other agreeaunt that regulres the contracttng (Of
: ? .. .*" . ..
FiiS WJ re:b>?e ade;~?:e ficelity bond coverdge where CRe reclplent has no coverrge and the bond fS ntcbc
U7ere Doncs are cecd.:rec :r. tne s<tuations describe: &Dove, the b3nb.s shall be obtrlned from CMnprnfeS h
5. tne Bdvancerwnt of Federal funosj CASq DEg38:TOB:ES - (OP*'.f Circuiars A-lOZ/A-110) .. [Tntr clause Is rppllcsSle to r11 assfstance agreements If-
a. lf funds are to be scvancec under r letter-of-credjt agrement wlth the recipient which provides thrt dl all1 De mdde wnen the reciplenr's checrs are presented to the back for pumnt, the rectpient shrll establi! reptrr:e bank accouni JS t,he aepository for such funds.
b. Any mneys rdvanccc to a I-eCipient rhlch are sui;;ect 7.0 the control or rcgulrtlon of the Unltad States
1;s officers. agents or ewloyees (public wneyf as deflntd In Treasury Circular No. 176, bS awnded) WSt
(lepolftec fn a bdnt r!:h Ftceral Depoiit Insurance Corpor&tlon (FOIC) insurcnce covcrryc and the balance el:
the FOlC covcrsye rust be coilrtcrrlly secured.
C. Cor8s!s:ec: b!:: tne na:tonal goal of expanding the op:>ortunjties for minorfty buslners enterpriser. T+C and oubrecipien:s are encouragea to use rnlnorjty bdi?Ls (a bank whicr. is wnea J: least 50 percent by .:nor'
err3 e r s ) .
6. RfTEtiT:O'\ A+: C:s7g::k- REZc::Eb!E4TS FOR RECOB?j - (w3 Circulars A-1CZlA-!lO) - : .-'is ClrUSt IS aPPi'cJ311
dSS:sta7:e asreewrra bitr. sv:c,&r, rec;G:ents &nc [O grants 01- Other rpreecrents JwdrCtL by the PrlmrY reclF"el s;s,-ec:j:e-,rs pe-fsrT;E; sI>s;ar.i: ve wor~;.
6. F;ran::e' re:~-cs. s-;;:-:>ns eocuneT:S. ~:e:!>tica: recor:s, an< a!\ other record5 pertlntnt to an J9 sr,eil be rera;nec !a- B per:ac of 3 yearr, ~itr, :re foilwin; qual$fica;iori.
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a 0
(1) If any lltjgation, claim or audit 1s started before the explratlon of the 3-year pert&, thl be retalned untf1 a11 Iltlgatlons, ~laims, or waft findings involvinp the records have ken -SI
(2) Records for nonellpendable property acqulrea wlth Fe6cra1 funds shall be ntrlned for 3 year f I nrl di spos It t on.
(3) When records are transferred to or ulntalned by FYS, the 3-yrrr rtterition rrqulrrrnt 1s k tb ncfplent.
b. The ntentlon perlod starts from the date of the ruknlsslon of the final rrrpendlturr rrport or 1 whlchever occurs last.
c. Recipient organlzrtlons may be ruthorlzed by FYS, to rubstltute mlcroflln coples In llw of oris
d. FYS shall request transfer of certaln records to Its custody from nclplenl. organlratlons when 1 that the records possess lony-term retentlon value. Hwever, In order to 4V0111 duplicate rtcord-la make arranjements wlth reclplent organirrtfons to retain any records that arc continuously meed ft
e. The Director of FYS and the Comptroller General of the United States, or any of their duly ruthc reprerentrtlves. shall hive access LO any pertfoent books, documents. papers, and records of the re( oryanizatlon ana their subrecjplents to -de audits. examinatlons. excerpts ana trrnscrlpts.
7. PROGRAR INCUPf - (OH9 Circulars A-lOZ/AllO) - [Thls clause 1s applicable 11 program Income. as dcfl anticipated from projects financed in whole or In part with Federal funds]
a. Recipient organizations snall account for proyram lncow resulting from projects financed In wh
with Federal funas. Program income represenis gross lncore earned by the reciplent from the federa activities. Suer earnings ercltiae interest earned on advances ana may include. but will not be Ilr from service fees, sale of comnodities, usage or rental fees, and royalties on patents rnd copyrtpr
b. Interes: earned 0- aavances 0' Federal ftincs shall be rcalttcd to FYS except for interest earn( States or insrrumen:aiities of a State as proviaed by the Intergovernmental Cooperation Act of 196E
577) ana trioal orianizations pursuant to sections 102, 103, or 104 of the lncllsn Self Dettrminatlc 93-636).
C. Proceeds fror tte sale of real an6 personal property e:ther provided by the Federal Government whole or in part wItn feGera1 funas, snall be handlea in accordance rltn the clause cntltled Prow Standards.
d. Unless the agreemen: yrovldes otnemlse. reclplents shall have no Oblfgdt'/On to the Fcderrl 60 respect to royalties receirea as a result of copyrights or patents produced urider the grant Or 0th
e. All other progra- incone earned during the project perlod shall be retrlnccd by the reclpfent J
with the yran; or o:ner arjreewr,;, shall be.
(I) Added to fun@s corr.::teC to the project by FYS and reclprent organfr~&tion and be used to proyran; objectives,
(2) Urea to finance the non-Federal snare of the project when approved by FYS; or
(3) be based.
Deducted from the total project costs In determrnlns the net costs on uhlch the federal 1
f. State, local or Federally recognized lndian trlbal Qovernmnts shall record the receipt and CI
revenues (sucn as taxes, specla1 essessmnts, Ievles, fines, etc.) as a part of propct transrcttc revenues are speciflcell~ earrndrked for a project In accorgance wlth asrlstance agrttacnts.
8. - COST - SHARlhi AN9 RATCHINi - (0% Circulars A-lOZ/A-110) - [Tnis clause 1s rppllcrble to 811 USIS!
tne recipient, SuDrecIpienr-or third parties ue required to make cash or In-klnb contrlbutlons to SJ' and mtchlng rqulremnts of the FYS]
a. The follo#lnp definltions apply for the purpose of tnjs clause.
(1) 9 ro ,I ect . cos : s - Project costs are all a11wable costs (as Le: forth In the applicable Fa
prlnc'p es rcucrec bJ 8 rezlplent and the val~e of the In-tlnd contribtitionr mdde by the r4 parries in accon?lisnirp the 0Dje:t:veS of tne grant or other a~reement during the project 0'
(2) COS: Sq8r-n: and ma::pin:: - In Qenerai, cost sha-*n; and mtcninr; rtcprerent that yo'tjor proyrac costs ns: 3arne bJ :ne ieaerdl Government. AnJ rrlnimm percentage for MtCnfng snJrc
pro,.rd- le; s,a:'c- avz rra:cr-n; sr8-e reGt,iremnts 4-e lrcluaec ir the 8hssi::unCe a9rec-n:
W b
(3) Cash COntribuKfOnS - Cash contributions represent the rcc1pient's cash outlay, including the outlay c mney Contributed to tnc recipient by non-Federal thir'c parties. Yhen authorizea by Federal 1egis1atlon, Federal funds received from other grants or other cgrtccrrnts may be consldered as grantees' cash contrikrt
(4) In-klnd contrlbutlons - In-klnd contributions represent the value of noncash contrlhtions provldrd L reclpleot 8nd non-federal thlra parties. Only when authorlzrd by feral Irglsl8tlon. wy property purchi rlth Federal funds be consldered as the trclyient's In-kind contrlbutlons. In-kind contributlonr may ee < fora Of chrrges for real property and non-exyendabla personal property, and the value of gooas and rerricc
dlrtctly kncfltlng ana spcc~flcaliy ldrntlflab~c to t:he project or program.
fenera1 guldelfner for conputfng cost SharfnQ or vlchlng arc 8s follwws:
(1)
be
Cost sharing or Patching 011 consist of:
(8) Charges incurred by the nclplent (IS project costs. (Not a11 charges require cash outlays by ti trctplcnt durlng the project period; emcrpfes are deprcclatfon and use charges for buildlnyr end equlpmtnt. 1
(b) project costs financed ufth cash centrlbuted or donated to the reclpltnt by other non-Fedcral p aQencies and instjtutlons. an6 ptivatt ergan1tations and indlvlduals. and
(C) Project Costs represented by services and real and personal property. or use thereof, don8t.d b non-Federal public agencrcs and fnSltUt'~0nS. and private organlzotions and indlvidurls.
All concributtons, botn cash and In-klnd shall be accepted AS pal? of the recipient's cost sharlng a
(a) Are vcr.lfldble from tne reciplent'i records;
(0) Are not iiicluaec as contributions ,for any other federally-assfrted program; (c) Are necessary anc reasonable for proper and efficlcnt aCCO~1lShment uf project objectlves; (a) (e) Are no': pcic DJ tne Federal Government under another assistance agreement (unless the agreement rutnorires by Federal law KO Be usee fo- COSK sharing or Mtchlnc);
(f) Are prov:CeS for in tne approved bvdye: wher required by the Federal agency; and
(E) Confox tc o:ner provisions of this clause.
(2, natchin~ when such contributions meet all of tne following criteria:
Are types cf charges tnat Would be allo~able under the applicable cost principles;
C. Yalues for rccipien: in-kind cor.tribut,ions will be eStd3liShtd in accorddncc with the appilcrble COSt principles.
E. Specific pro:ecures for the recipients in establishing, tne value of In-tin6 COntributiOnS from non-Fedcr parties are set fortn below.
(1) Valuetlor~ of volunteer services - Volunteer services my be furnished by professfond1 and teChfCa1 perscnne;, ~ons~iia-,:s, anc ~tr,pr stilled and unsttllcc labof, Yolunreer rervjces may be counted 8s COS Sharing or matcn:n, If tne service $5 an integral ana necessary pafK of an approvea program.
(e) Rates fo- volunteer services - Rates for volunteers ShoulC be consfstent with thoLC pbtd for 1
wort in :ne re:;;ier-:'s c~jer,:za:ior,. In those instances In rn!cn the requlreo skills are not four recipier.: or$e-,:rat!on, r4:es should be consistent with those paid for similar Work In the labor Y rc;cn tne reC:?ler,; cor;,e:es for tne kind of services Involved.
(0) Vo1un:eers cwloyed by other organizatfons -. Wen an employer Other than the mclplent fUfnlSt services of dr ea>1oyee, tnese services shaii be valued If the ccryioyec's ftgulat rate Of pay (CXC'
fringe benefits anG OverheaQ costs) prpv$oe6 thC!;C strvlces are in tne saw skill for which the Cq noma1 ly pa! c.
(2) Vc1ua:ion of aor,a:ee, cr?encable personal propcr:L - Dondtea. expendable personal property include! items as erpen0dc)e equipment, office suppl,es, 1aoo;r;ory supplier or workshop and ClrsSroom supp~ies. assessed to exSen$a3ie personal property Included In !:he cost or pa:chlng share should De reasonable rn no: exceec the carre: value of the pro2erty at the time of the aonrtlon.
(3) ValuJatior 0' Conated, noner?en$c$le personal pro;)tr:y, bu!ldinss, rnd land Or USC thereof.
(a) The ne:'?: usee for cnaryinp cost IharjnS 07 aatchlns for aonated nonexpendable personal prop bui10:n~s d".: ianc G~Y d!!fer jccordtn9 to tne pjrpore of the grant or other agreemnt as follas:
if :he EJ~JC~~ of tne grant or o:he* rsreerner.: Is ta asslst the reclplent ln the aCqulS (:;
c<,:p-e-:, o,!lcin;s or Idric, tne total vtii.e of the dOnd:@C property my be c111-a as Cost
or r&;cr.:r;.
;re ?;'pose cf the a~reery-,: ts :o sup2or: ac:iv:eies tndt reqalre the use of epuipr
re;,? of e<,!gren: or other cd2::c: as+,e:s rnc fd'tr rental charges for land my Be 4
.s or, iartc. aejre;!a::Or, or use cnerrjes to c?,a-yes for cqulpnent rne bulldings my be
pror.cec tr,d: tr.e i*; rids aja-ovec; tne cra-ger.
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(b) The value of donated property rill be determined In accoreance d'th the usual accountin the reclpient wlth the follwlnp quallflcatlons:
(i) Lane and bulldlngs - The value of donatee land and bulldings uy not excetd its t Value at .the tlm of donation to the reclpIent as established by ,in Independent apprals certified real property rppralser or CM npnsentrtlves) ana certIftH b$ crrpmslbl
the rrclpient.
(11) Monex~endable personal property - The value of donated nonexpendable perrwl pm not exceed the fair aurtet value of quipsent rna property of the same age and ton8itl~ of donatlon.
(111) Use of s ace - The value of donated space shall not exceed the fafr mntrl value space-ed by an independent 4pprrISal or cowarablt space and facilities in
wried bullding In tne same locality.
(Iv) Loaned equlpmcnt - The value of loaned equlpaent shall not exceed Its fair mntr
e. The follwlng requlrcmcnts pertain to the reclplent's supporting -cords for In-kind contributio Federal thi re parties:
(1) Volunteer servlces must be documented and, to tht extent feasible, supporttd by the sm .L the r+cipient for Its employees.
(2) The earls for determining the valuation for personal services, satericil. equlpnrnt, bulldfn be documentea.
9. STANDARDS FOR Flk4htlAL Wclh'AtiEMEti: SYSTEt!S - (mi3 Clrculars A-lOZ/A-110) - [Thrs clause IS &ppllCab1 assistance agreements invol vlng tne transfer of Feaerdl funas]
a. Recipient's financial mnagement systems Shall provide for:
(1) Accurate, current ana cowlete disclosure of tne ftnancfal results of eich Feaerally rponrr program in dCCOfGdnCe w:tn tne reporting requirements $e; fortn In the clause entltlea FlndnCld'
kequi reme-.: s.
(2) Recoras that laentlfy aaequa'tely the source ana appllcation of funas for Federally sponsorc These records snall contain information pertainin5 to Federal IWdtlS, authorizations. obllgatiol bdldfiCC5, dSSefS. OutldyS dnC InCOrrk.
(3) Effective control over ana accountablllty for all funas. property and other assets. Reclp aaequately saferjuara all sucn assels and shall assure tnat they are used solely for authorized
(4) Comparlsor, of actual Outlays wtth budget amunts for each grant or other agreement.
(5) Proceaares to rniniGjze tne time clapsins betreen the transfer of funds from the U.S. TreJS Oisbursem?n: by fhe recjplent, rhenever funas are cavanced by fYS. When advances are wee by 4
methoc. tne recipient snall mate arawaowns as close as possible to the tiale of making elsbursen made b~ primary rec:pient orsanizations (those rh:cn receive payments directly from FYS) to rut conform subsran:iaIly to the same stdnaaras of timlnp ana rmunt as apply to advances by FYS t< recipient organizations.
(6) Procedures for defermining the rersonableness, a11oudbl1ity and a~locdbi~~ty Of COStS in 4 tne provisions of the rppliccsie FeOefdl cost principles ana the terms of the grant or Other a
(7) Accounting records that are supported by source Uocumentatlon.
(8) A systcmatlc method to assure tlnely and rpproprlrte resolutlon of arrdit findlnys and nC
b. Prfuary recipients snall requ:re subrecipients to ado?: the standards In (>drdyrdPh a. above ex
rqulremnt in paragraph (.(I) regarding reportins forms ana frequencies presi:rlDcd In the clause Report 1 ny Requi remnts.
10. FIN4NCIAL REPOP!IHG RE(!UIRIWEtir - (DM8 Circulars A-IOZ/A-IlO) - [Thls clause Is applfcrblt to 411 ayreementr involvin, tne transfer of Feaeral funasj
a. Tne follwlnE aefinrrions ap;ly for purposes of tnis clause:
(I) A'ccrue: ex3enCitures - A:crued expenC::ures are tne charges 1flCurreG by the recipient dU
requir;n< tne pror:sior, of funcs for: (a) Qooas rnC Other tangible property received; (b) SCr cr;lojees, cor,:r?ctors. sL>rr:;;ien:s, an: otner payees, an6 (c) otner amounts becomlw -e6 1
w.7:~~. nc curre:: ser*vices or performnce IS regb!rec.
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(2) perforaed DJ the reclplent; ana (11) 90011s and other tangible property delfvercd to purchasers; and (e) m becoating aed to the rtclpitnt for uhlch no current rervlccs or pcrfornancc 1s nqufmu Oy the rrclpienf.
(3) federal funds authorized - Federal funds authorfled 4re the total amount of Feacral funds obllgatea by for use by the rtclpient. This anuunt my Include rr~ a.uthorftrd crrryorer of unob1ipt.d funds fra prior flrcal years when pcroltted by law or FUS n~l4tlon.
(41 In-klnd COflKrlBut~OnS - In-tlnd contrlbuttons are defined in the clause enttt1.d cost ShJring and Hat,
(5) Oblfqatlonr - ObllpJtlOflS are the amounts of orderr placed, cootracts ana grrntr mar*& services received, Jnd similar transactlons aurlng a given perlod that will rcqulre payent by the rtclplent durfng
SJW or 4 future perloa.
(6) OUtldJS - Outlays or cipendltures represent charges ude to the project or program. reported on an accrual basts. For reports prepared on Nn accrual basis. outlays are the sua of aCtuJ1 tal
disbursements for Cirec: charges for goods anfl scrvtccs, the amount of lndlrcct expense incurred. the Val& In-kind contributions applied. rnC the net increase (or Uecrcrse) in the aarountr wed by the nCiplent for and other property rtCe:VeG for services performed by ev+loyecs, contractors, rubrectptcnts and other pay4 otner amunts beconing CHeG under programs for whicn no current services or perfomnce arc rqulred.
(7) Procrar incow - Prograc income Is deflncd In the clause entitled Program Income. an accrual D~S>S.
[E) Unob1iya:eC be:a?:e - Tne unoaljgateb balance Is tne portion of the funas authorized by fUS that has been 0c;igarec C, the rec:;;ent dno 1s aeternineC by deducttnp the curm\ativa ObtigItiOnS frO(P the cuu14 funar au:norizez.
(9: represen: rne an3-r: C' 03i:~at:ons incurrec Or tne rec.lp1en: for whlch an outlay has not been rtcorclcd.
Accrued lncome - Accruea Income is the sum of (a) errnlngr durfng n given pcrfod from (1) strvlces
Thy 4m to k
It IS to k rtpOr
UT,: :c,:dZ:EC 34"~:: :3-s - For reports prepared or, &n accrued expenditure basis, unllgu1dateU ObltQ4
3. ;ne recipien: sr,a;; u::ijze :ne fcllo~in~ for-,$ for reportln; financial 1nforua:Ion:
(1) Finan::al S~~:JS Feocrr (SF-269) - For ail non-construction projects. the reclplent Shall Submit an orig:ndI dnC twc cc;;es G: 1~:s re?cr; 39 del$ after trre corrpletion of ebch quarter of the prowct with excep::on th~: tre fir.?) F1ndn:;a) ~rat~s ile>crt shall be due 90 days after project conplction. Extens1 re?or:lnj Gke cd:es r.zJ De 5ran:eo upon recue$:. The !repor: shall be on an accrual Basfs; hmever, If t teCiplect'S dCC0uCt;G; reccros are not norme:iy kept 0'1 the accrual basis, the recfpicnt Shall not bc rC
to conve-t its acco~n::n5 syster,, but shall (rerelop w:n informtion through best estindtes based on an of tne GOCUWKKL::~,? 0,: TrdCC.
{Z) Fe2e-e' :rzqsz:z:c*s ?e;?-: (Sr-272! - :In tne even: funas re 4dva
IU~C;: a:. ~r;s:r.i: a:; ;.: c;;;es G! a ieoer,:? cash Transaction Reporl
quarter.
!;s follwlny tne end of eact
c. ;ne reciF:er.: sna); i,.:;l;ze toe folloutnS form fcr repues:ing acvances
(1) is no: urec, tne reG1;ier.Z snaii subni~ an crifinal ana two coples of Xnls form on mnthly basis.
(2) 0u:lcv Resort an: Qeclrest for Retmbursenen: for Constructfon Procrams (SF-271) - For all Construct yrojtc:s -?eo 4 Ic:Ke? of crecit has not been sutnorixcc, the recipient shall Submit an ortgtnal ana t* sf this for= on a mo::nlj bctlr.
Yner, tne FIiS neecs aoe:t:onal informatton fri using thitse forms or -re frequent reports. the follwfnp
(1) when rOG:llGn8; Icforrdtion Is neeaec T,O cor;vly (61th 1eQlsla:fre regulremenfs. FYS ShJtl isSue in!
to require rcc!p(er,:r to subn:t such infoE:e:lon under the *Relrdrts* section Of the rtPOfls.
(2) Ynen aece~sdry t3 Wet spe:lflc progta::. needs, FuS shall subnlt the proposed rtporttnp reautrtrn Financial fianageTep: Erancfi, Budge: Revle. l)iv1slon, offtcc of rtrnaj)er~nt Jnb Budget for ~~rovrl P~IO subnsisslon of tr,e re;s::$ for clearance Undt- the prorlsions of 5 CF? part 1320.
(3) une-. F*5 rses cete-r:neg tha: a re:lple-:'s accounr<n; syster does no! me?! the regulrewnts ContJ
tne Ciaijse cn::;iec C,:t-scfi-'cs fer F!nan::C', n~na-): Svs:ens, add!:iona? pc-tlnen: infornatlon to fu
DC":~' c~s--:s e-: s:-F- ez'eew7:s ma2 ~e o>:a!nea L!pon-wrltt?r no:$ce to tne recipient until SUC~ t' sys:er Is arou;-: -; :t stancdrc.
~hj sr2.i reie-.t :re c;-.:c- of sr,ac>r,; 0,: 87)
Reqdes: fo- kcv~-:e or ~e:ni,rserer: (~:-27ci) - For dl; non-construction projects when J letter ,of
C. ocservec:
e.
pUrpO5 e 5.
::ne t;er cn a-: re;:-: tra: 75 unnecessary for aeccs'
.. , -
0 0
1. FYS shall accept the ldentlcal informatjon fta the reclpients In nrchfne ureablc format or a in llru of prescrlbrd formats.
g. FYS ray provtee computer wtputs to reclplents when It ulll expedlte or contrlbute to the accu~
If. MOHITORING AND REPORTING PROGRAM PERFORMNCE - (OW Clrculars A-1WA-1101 - [Thls clause Is rpplic rssf stance rgrnarnts J
a. Recipients shall conltor the perforarnce under grants and other rgrwmnts rnd. where rpproprlc tlar schedules are belng met. projected work unlts by tla perlods are bclng accoqllshce. and othc goals are belnQ achleved. This nvlm shall be wde for each progrm. tunctlon, or actlvlty of MI set forth In the approved appllcatlon or award documnt.
b. Reciplents shall rubmlt a performance report (technlcal report) for each aQrmcnt that brlrfl, following informatlon for each program. functlon, or actlvlty lnvolree:
(1) A comparison of actual rccompllshmentf wlth the goals estrbllshed for the perlod, the flr
investigator, or both. If the output of program or projects can be reatllly qurntlflee, such should De related to cost data for computation of unlt costs.
(2)
(3) unit costs.
-
Reasons why established goals were not met.
Other pertinent fnformation Including, when appropriate. rnalysls rird rxplrnrtlon Of Cos1
E. Reclplents shall 5ubm:t the performance or technlcal reports quarterly w'lth the Financial Stal Request for Advance or Reimbursenen: If used In lleu of the Flnanclal Status Report); the flnal ti performance report shall be submitted 90 aays after cmletlon of the project.
d. Between the requlred perforrrance reportlng dates. tvents my occur that [have sfgnlflcrnt lwal
or proyrar. In sucn instances, tne recipient shall lnforrr the SO as soon as the follwlng types I become tn(l*n.
(1) Problems, Oe'iays, or ddverse Condltrons that rill mterlally affect the abllfty to attrl objectives. prevent the mee:lng 0' tlme schedbles and goals, or preclude the attainment of pr established t7me perloas. Tois dlrclosure shall be accompanied by a statement of the a:tlon conterqldtec, anc any federal assistance neeueo to resolve the sltuatton.
(2) Favorable developments or events that enable time scheaules to be met sooner than antic1 units to be produced than originally projected.
e. If any perfornance revieu COnduCfeG by the reclplent dlsclores the need for change In the Ou( recipient sha11 subrit a request for budpet revlsion.
12. RCVISlOh OF FIhAh::A. PL&hS (OH5 Circulars A-lOZ/A-l1U) [This clause Is applicable to all rSSl5tc invo7vinb the transfer of ieaerai fbnas]
a. The financial plan is the financial expresslon of the project or progrdfll as approved durtng I and/or ward process. It may tnclude both the Federal and non-federal share. It should be ftlal for program eva~uatio~ purposes whenever appropriate and required.
b. For nonconstruction awards. wclplents shall lmdlately request rpprovalls from Federal sponi there 15 reason to believe that a revlslon wl11 be necesscry for the foiloxlny reasons:
(1)
(2) The need for additional Federal funding.
(3) The trdns'er of amunts budgeted for Indirect costs to &b$Orb lncrccases lo direct Costs
(4) The expenditures reqdlre approval In accordance with the applicablt prOvlSfOnS Of W8 c Principles for Eauca:$ordl Institutions,' 0~5 Circular A-87, 'Cost Prlnclp1es for State and ON8 Circular A-122. 'Cos: Principles for hon Proflt Organjzations,' or IFederal Acqulsltlon R
31.2. 'Lost Principles ... wlt? Cornrorctal Oryanizatiors.'
(5) Recipien:s piar, to trarsfer funcs allottee foe tralnln; all-ances (direct payments to ca:egs-:es c' ex;ense.
Changes in the scope or the Objectlve of the project or program.
-6-
W 0
C. hone of the substdn:lve programnatlc wort under a grdnl: or Other rgreemnt (My be subcontracted or trans(, wfthout prlor apprOVd1 of fUS. lnls provtslon does not apply to the purchase Of supplles, uterlal, quiprni general support rervlces.
d. Tne reclplent my not transfer funds among dlrect cost catcgor~cs for awards In rhlch the feQcral share e1 SlO0,OOO when the cumulatlve amount of such transfers exceras or ts expected to 8XCeed 5 percent of the total as last rpproved. lhe same crlterla shall apply to the cuirulrtlve arpunt of transfer u~ng program$, functioc actfvlt(ts when budgeted separately for an 8uard. except that the fWS shall prmIt no transfer that would caul FeOeral appropriation, or part thereof. to k used for purposes other than those Intended.
e. wherever; For constructlon awards. recipients shall request prlor approvals prwptly from FUS for budgct nvfslonr
(1) ' The revlslon results frm changes In the scope or the objective of the project or program, and
(2)
Clhen a grant or other agreement provfdes support for both constructloo and nonconstwction work. the mcli
The rrvlslon increases the budget amounts of Federal funds needed to complete the project.
f. shall request approval from FYS prior to aating any fund or budget transfers between the two types of wort supported.
g. amount of Feaeral arrthorizec funas 1s expectea tc exceed trte needs of the reclpient by more than f5,OOU or 5 of tne Federal awarc, unichever Is greater.
h. When requestin5 approval for buoget revlslons, recfplefirs Shd11 use either the budget fora that were us4 the application or a letter deta!llns tne revlslons.
1. Within 3U calencd- cavs froc tne date of recelp: of the request for budget revlslons, FYS shall revleu tt request and notify tne re::?!en: unetner the buaget revistons have been approved. 1f the revision Is st111 C conslaeration a: the en; of 3J calenaar days. FUS shall inforc tne recipient In wrltlng of the date when the reclpien: may erpec: the dec:sion.
j. FYS shall no: be obllgafed to reimurse tne re:lpler.t far ou:lays (costs) In excess of the Federally func
amount of the dSsif;ac:e dzjreement unless anc until tne SO executes a IWdlfiCatlOn which 1nCreaSeS the Federi fundee dWJC:. ?ne Feoerally funaec amunt is tne amount obltgated under the agreement whlch my be less thd
eqbel to the buasete: ieceral snare of the agreerent.
For both cocstruction dnd noncoostruction awards. the reciplents shall notlfy the FYS prorrgtly whenever t
13. CLOSEO:: P~LI:~O'J~EE. - (iir: circulars A-lOZ/A-lIO) - [This clause 1s rppl1cable to all rsslstance agreements1
a. The fo:l%:nb aefirait;ons shell apply for the purpose of thls clause.
(1) Clcsecir - :re closeout of 4 gran: or Other agreerreit Is the process by rhlch a fYS aetennloes that a,-?licd;)e dC~:?iStc~:!ve actiocs anc all requireo uorl: of tne agreement have been coq)lctea by the WCtl ana ;ne imS.
(2) Da:e 0' co-:;e::c- - 1r.e Gale 08 cow1e:Ion Is ;ha date on uh!ch dl1 uork under the grant or other acjree;~le-t is co.-.j<e:ec or Lne adze on tne ward docunent, or any supplement or amendment thereto. on whit
sponscrsn:p ~fics.
(3) Diral\o-eC COS;^ - Dlsallwed costs are those cha:-yes to a grant or other agreement that the fUS Or represenKd:ive. ce:errr.;nes to be unallowabie, In accora,ince wlth the applicable Federal cost prlnclples o condjrions conttlnes In the agreements.
The 7cr::es $hail Close out assistance agreerrents In r,:cordance ulth 1.he following ~roccdurcs:
(1) grant or 3:ner asreeTefi: be:n$ cioseC out.
(2) paic ani tha'. 1% n3: Iutnorized to be rctalncd by the rcclpfent.
(3) a,.reew-: dl: fifie~::e!. performn:e, ana other reports rqL<re: as tne cond!tlon of the apretcnent.
~4; 5?6-,: ex:e-s!;-s rnen re4ies:e: by the reclplrn:.
(4)
aC;~st7eC:5 Sc :-e ;e:er4j srtere of costs af:.er these rep3r:s are rece:veG.
(5; IC ICCC'GdfiCe .::?. :ne p:ov:s:ons of the clTJuSe entjt)ec Pp$>e-:! F.a-e,e:e": StdqC6rOs.
b.
up,^ request, EiS shall mdke prompt paynants to a rectpIent for ullwable rclrnburrrble costs under
Tne re:(p!er: ~hdll inne~iitely refund ainy ba1anc.e of unobligated (unencueered) Cash that FYS adva
?ne fUS stdll 03:aln frw the reclplenf wlthln 93 calendar days after the date Of CorpletfOn Of t*f
?fit
k-e- dU:hi-!:eC 31 the grant or other agreeme-:, FuS sr,ali cake a IettlerrPnt for ary Ward Or 4wr
:ne re:.,;.,e-: sed?; d:cg,n: for any proper:l accb:re: -::r ie;e-dl fuqds, or recetve: frm the Go*f
- . ..
0 0
(6) In the event a flnal audlt has not been perforacd prior to the closeoul. of the grant or othe fUS shall retaln the rlyht to recover an appropriate asaunt after fully conslderlng the mCOllrna disrllored costs resulting from the flnal rudlt.
(71 The mclpltnt shall cwlcte 4nd suknlt a final report In corpllancr with the clause mtltlr Patent RI hts rlthtn YU calendar drys after the date of cocplrtlon. The form use4 shall k war 3+m Form 1216. entltlrd 'Suuiury Report of Inventions 4ne Jukontirrcts'.
14. SUSPENSION AND TERKINATION PROCEDURES - (OM Circulars klUZ/A-110) - [This clause Is epplluble to 8 r yrmwnt s J
8. The following ecflnltions shall apply for the purpose of this clause.
(1) Termlnatlon - The tcrmlnatlon of a grant or other agre-nt mans the crncrllat4on of Ceder In *hole or In part under an agreement 4t any ti# prior to the OItc of cosylrtlon.
(2) Sus enrlon The suspension of a grrnt or other rgrtement Is an action by FYS that trgorar rctm&siip. penulng corrcctIve actlon ey the recIptent.or penalng a hcislon to termlnr other agreement by FYS.
b. If the reclpfent fails to comply wlth the terms of the grant or other agreement, the SO wy;m notice to the reclplent, suspend tne grant or other agreement, and dthhotd further payments an8 prc ccciplcnt from incurring audirlona'l ob1lgatlons of funds, pending correctlve actlon ey the nciplenl termlnate In dccordante wlth PIrrQtdph c. All necessary and proper costs that the reclplent could I avoid during the period of suspenslon shall be allaea provlaed that they met the provlrlons of thc prlnciples.
c. Tnfr grant or other agreement may be termjnated as follws:
(1) Terninatioc for cause - Tne SO may termlnate any grant or other agreement In whole or 1n p( before rne Gate o! completion, whenever It Is cletermlned that the reclplent hdS fafled to C-1. conditions of the agreement. The SO shall promjtly notlfy the rccfplent ln wrltlnp of the dete reasons for the termination, together with the effective aate. The reclpttcnt shall not incur rn after the effective date of the termination notice and shall cancel bS aany outstanalny obllyat posslble. Payments nude to recipients or recoveries by FYS under grants 01' other rgreeavnts te Cause shall De in accoraance with the legal rlghts ana liabilltles Of the partfcs.
(2) Termination for convenience - Grants and other agreements my be terminated in whole or Ir parties agree tna: the coc:inuation of the project would not produce beneflclal results Cmnl further expenditure of funds. The two partles shall agree upon the temlnrtlon condltlons. Inc effective ate anc, In the case of partial termlnatlons, the portlon to be termlndted. In the parties cannot agree, the 50 reserves the rlgnt to unllaterally terminate 'the asslstrnce ryreca Government's convenience. The recipjent shall not Incur ne* obligations for the tcrdnated pOf effective date, anc shall cancel as many outstanding obllgations as poss181e. The so shall 811
the reciprent for tne Feaeral snare of the noncanceiiable obligazions, properly incurred by the to t e ma> nat i on.
0. The parties shall promtly settle the terminated agreement ln accordance ulth the appllcablc r(
clause entitled Close Out Procedures. In aadltion, the parties shall execute a aoalflcatlon settlr and conditlona of tne final settlement rs a result of tne tcrmlnatlon of the agrrcmcnt.
15. PROPERTY MAHACEMENT STANDARDS - (OH8 Clrcularr A-lOZ/A-IlO) - [This clause 1s appllcablc to a11 4s ayrcements lnvolvlnj ~overnment-furni$hed property or rcclplcnt-acqulred property for rhlCh the COStS I by the FwSJ
a. The recipient anc approved subreclplents shall observe the standards governing the -nagcant prescrlbed by this clause. observes the provislons of this clause.
0.
The 'reclplent may use Its own property mnrgeaent StandardS and pr-0
7ne fo1icu:ng ar:tnltlons apply for the purpose of fhls clause: .
(1) Reel p'operty - Real broperty WdnS land, lncludlng land 1CpfOvWntS, Str!JCtur(l and rpp thereIG, but exciucinG mvaale mbchlnery ana equlptnenr.
(2) It my bc trnQfl
physlcai ex;stence, or inLanQiQ1e--havlng no physical existence, such as Ipatents. Invcntlons 4
(3) honexpendabie perso-6: property - honeapendable personal property WdnS tanpiblc OerSOna usefb'l I:fe of mre tnac 1 year ana an acquisition Cost of 1300 or mre per unlt except tnat
Personal property - Personal property of any kind except real proptr'ty.
- 1 c-
)I rn
to Cost Accounting Standards Board regulations may use the CAS6 standard of $500 per unit ana useful life years. A reciptent may use its Dvn definition of noncxpenaable personal property provldea that the &fin would at least tncluac all trngjble personal property as deftnee above.
(4) Expendable personal propertr - Expendable personal property refers to all tanglblr personal propertJ than nonexpenar Dl e property.
(5) Excess property - Excess property Yans property under the control ef an federal rwny that, as eel
by the herd thereof, Is no longer rqulred for its mas or the discharw of Its nrponslblllttrr.
(6) kgulsltlon cost of PurChaSCd nonexpendable personal ro ert - kquisjtlon cost of rn Ita of pura
.odlflcatlons. attachments, rccersorier, Of auxll~larjr rpparatus necessary to ute the property urwblc : purpose for uhich It was rcquirea. Other charger Such as the cost of lnst4i11tlon, trrnrportatlon, tart or protectlve In-transit Insurance, shall be included or excluded fram the unit aqulsltlon cost In ~CCOI
rlth the rtclpfent's regular rccountfng practtccs.
(7) txewt property - Exenpt property mans. trnglblc personal property acqufred In whole or In part rlt Feaetal funds, and tItle to whlch is vested in the reclplent ulthout further obllgatlon to the ftaeral 6overnwnt except as provlded In subparagraph f.(l) &!la. Such uncsndftlonr~ vcsttng Of tttle rill bt
to any Federal leyislitlon that provlots FYS ufth adequate authortty.
If real property is acqulred as 8 requlremrnt of thls grant or other agreement. the foilalng Shall rppl
(1) Title to real property shall rest In the reclpleiit subject to the condition that the mciplent rhal
the real property for the ruthot:red purposc! of the piroject, as long 1s Pt Is needed.
(2) Tne recipient shall obtafn FYS approval for the iuse of real property In other projects when the nl aetemlnes the: tne property Is no longer needed for the purpose of the origlndl project. USC In other shall ~e liajteo to those under other Federcilly sponsored projects (a1.e.. grants or other agreements) Q programs thbt nave purposes consistent rlth tnose authorlred for support by FYS.
(3) disposl:ion instructions from FfS or its successor Federal sponsoring agency.
Feaerdl 1)-wnec ncnerpeidt71e pe-scnsl propprt
nonexpcndable personal proprrty means the net lnvoice + un t pr ce of the property lncludlng the cost of
c.
Yher :he real prope-:y Is no longer needed as provjdec In (1) rod (2) above. the reCfpfent Shrll F
a. Federal governner,:. custody to fbiS. report tne pro?er:y tc fa5 for further agency utlllratlon.
e. acquitec 8:tn projec: funcs, snail be veSteC in tne recipient upon acqulsition unless It Is actermined that Is nor In furtherance of tne objectives of the FYS. When fftle 1s vested in the reC$plent, the feClplent 1
no orner OD~l~atlon or rccodnta;:itty to tne feaerpl government for Its use or alsposition except as provlt f.(l) below.
f. O:qee n3?ernerrp3ie ~'crer'., - Ynec Otr,er nonexpendable tangibte personal property Is Jcquired by a fe(
rltk projec: !uncs, t:;;e snd;; not be taken by the Fe6erai goverfinen: but shall vest in the reclplent Sub:
- Title to Fcaerally-wned property feMinS VCStCC In t Re::F;en:s shall sub?r,;t ani:daily an inventory Itsting of Feaerally-wnea property In t
Upon consletlo- of the agreement or when the property 1s no longer needed. the reClPlent f
Exe2-;: property - Ynen statutory authority exists, (e.g., P.L. 95-224) title to nonexpendable perSOnJ1
tne f01lw:n; c0nC:::C'S:
(1) Rich,: tc transfer fl:le - For items of nonerpendable pe:sonal property having J unit aCpUlSitlOn I1,OPu or more, FrS reserves the rtght to transfer the tltle to the Federal govemnrnt or to I third p
(2) Use of other tansfble nonexpendable property for uhlch the reclplent has title.
(8) needed, unetner or no: tne project or program conttnues to be supported by Federal funds. Yhen n
needed for tne orlglnal project or progrem, the recipient shall usc the property In connectlon wl o:ner Feae?ally sponsored actlvlties, In the folloulng order of prlority: (1) JCtfvltfeS sponsor
FkS; anC (I11 actlvitics sponsored by other Federal rgencles.
fb) Sharec Lse - Burjog the tlme that nonexevt nonexpcn<able personal property 1s hela for u&e
PrOJtCt or progran for which it was J(;quIrec. the reciplcnt shall Ute It JVallJble for use on 0' pro]ects or proprams IT such other use *I11 ncz Interfere ultn the wort on the project Or prO9rJf fhe PrOperIy was Orlyinally acqulree. First preference for such other use shall k 9Ivtn tO 0th'
or prosrars sp3?53red DJ FSS; seiOnC preference shall be given to grojectr or proyrrms SPOnSOred feceya: a5er::es. if tne proper:, 1s -ne: bj the Feaera? government, use on other &ctivlties nl sponsorec 2; :*le Feoerel g3ve-nmen: si'ibj? De perr.lsstD',e if adthor:zed by FUS. User ChJrps sha cocslaerec :f a>;ro;r:a:e.
(3; D*s;>s,::~- C' c:?D- ncrex>e-,sz:le pr3per:y - brier, (ne re:ip!el: no loqyer needs the prope-:y as
:r f,~, a:;,e, t:,E k'oje:;, ne, DE uSei for 0:nFr aC:),;t:e~ :r, a::c-can~e u::~ tne foJl-*:nG stangar
The recjpltnt shall use the property In thc project of program for rhlch It 185 aCqUlred IS
3. -.,-
0 0
(a) HOnexpenddble property with d unlt rcquisltlon cost of less than !Ll,OOO - The recipient property for otner rcttvities without reipr~urremcnt to the ftaeral gowrnornt or sell the prl
retaln the proceeds.
(b) a(onexpcndab1e personal property wlth b unlt rcqu1sltlon cost of ~1,000 or mri - The p~ retrln the property for other uses provloed that compensrtion ts uae to fuJ. The mount of shall be cowuted by rpplylng the percentage of Frdcrrl particlpatlon In the cost of the or1 or progrrm to the current frlr Nrtet rrlue of the property. If the nrclplrnt has no ma I
. and the property has further use value, the rrclpirnt shall rtquest dlsporlttm lnstructloni
(0 Property mrnaqcmcnt standards for nonexpenarble propert - Tm rrclpient's property vnrgrr tor nonerpenoable personal property rhr11 tncluac the follaSng procraurrl rrqulr.rntr:
(4) Property records shall be nrfntrlncd rccurrtely rnd shall lnclude:
(I) A aescriptlon of the property. (11) Mrnufrcturer's serlal numer, andel. nuaber, Federr1 stock weer. rutlonal rtoc other laentlficatlon number.
(111) Source of the property, lncludlng 9rant or other rgreearnt nueer. (Iv) Uhether title vests In the reclplent or the FYS; (v) Acquisftlon date (or date received, If the property was t'utnfshed by the FUS) (vi) Percentage (at the end of the budget year) of Feacrrl partlclpation In the cos or program for whlch the property was rcqulrcc. (Not app1Icab)e to property furnlshca
(vi11 Location, use and condition of the property and the date tne informt1on was r (viii) Unit acquisltfon cost.
(>x) Ultimate aispositlon data, lncluainy date of dlrposal and sales prlce or the I determine current fair mrket value where a reclplent compensates, the FWS for Its shrr
(D) Property wried by tne FUS must be mdrted to lndicate Feaerrl ownc!rship.
(c) A pnys:cal Inventory of property shall be taken and the results ivconclled wlth the p~
dl leas: once every 2 years. Any alfferences between qurntlties determlned by the physlca
those shown ~n the accoufiting records sna!l be lnvestfgdted to determine the cruses of the recipient shall, in connec:ion witr, the inventory, verffy the existence, current utllltrtl neec for the proper;).
(a1 A control syster: shall be in effect to lnsure adequate scfeguards to prevent loss, dr the property. Any ioss, aamaye, or tneft of noneq~enaable property shdil be investIg&ted aocumer.tec; if tne pr3perry *as wned by the Federal Government, tnc recIpIent Indl1 promp
(e) Adequate mdintendnce proceaures shall be implemented to keep the property In good Con
If) where the recipient is authortred or required to sell the property. proper Sales proc estabirshea Wticn woula provide for conpetftfon to the extent prtctlctble and result in th poss i Dl e return.
g. Expenaable persccal &roperly - Title to expendable personal property shall vest fn the rectpler rcqulsltloc. If tnere 7s a resiaual inventory of such property excecain; $1.000 ln totdt aggregate value, upon :erITinatlOn or completion of the grant or other agreement. and the property Is not nee( feaerally sponsorec project or program, the recipient shall retdln the property for Use on nOn Feat rctivltles. or sell It. but nust In either case. compensate FYS for Its share. The Jmunt Uf C-4 computea In the same manner as nonexpendable personal property.
h. Intangiblo property.
(1) Inventions ana patents - If any program produces pitentable Items, pcitent rights, processc In the course of wort sponsored by the Feaerdl government, such fact shrlil be procaptly and ful
FUS. Unless tnere 1s J prlor agreement between the recipfent rod FWS on 1ifSpOSltlOn Of Such i
Shdll de;ermine *nether protection on the lnventlon or discovery shall be sought. FUS ~$11 a1 the rights in the inrentlon or discovtry--tncludln9 rights under an^ patent issued therron--sh
rnd rclrnlnfstered In order to protect the public Interest conrlstent wlth current 6ovemarnt pa
(2.) Copyrfyhfs - Except u otncruise provided In the tern and conditlonr Of the rpreeWnt, t rrclpient orc,anlzdtlon is free to copyright any boots, publlcrtlons, or Other copyrl~htable U In tne course of or under a federal agreement, but tuS shall reserve r ro,yrlty-frec. nonexclus Irrevocable riG*8; tc re>roduce, publlsr., or otherwise use, (no to authorize otners to use, the Govern.wnt purposes.
1. Excess persor8dl ?rope-:> - Uner. title to excess property 1s vestec In recipients. Such proper' accountec for doc c:sposec of !n accorcance ~itn aisposition Insrructlocr froa FkS.
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16. PROCUMEMKT STAPi3MOS - (W Cfrculars A-IOZ/A-l~O) - [T?J!% clause IS JppllCrble to all 8$slstance agre-nt Invol ring recipient procuranent of supplfes. equlpment. constructlon or other services ana rrlmoursernt witn fec funds]
a. The stanaaras contained In t?ls clause do not rellevt the reclplent of the contrrcturl~rtrponrlb~~~t~~ Under Its contracts. The rtclpltnt Is the rtsponslble authority, rlthout recourse to fYS ngaralng the set1 and tatlsfrction of all contractual and admlnlstratlve Iiisues rrIslnQ out of procurtrnts entered tnto, In 1 of 4 grant or other agmacnt. These Include disputes,' claims, protests of ward, source evaluation or othq
utters of a contractual nature. Matters eonccm<ng rlolatlon of law are to be rtfernd to such local, st4 Feaerrl authority as my have property jutisaIc.tion.
0. Reclplents uy MSQ thelr own procurement pclllcies and procedures. H-ever, all nclplents shall adhere
stanoaras set forth In thls clause ana appllcac~le federal! lau.
C. Code of conauc't - The recfpltnt shall aafntafn a coda of standards af conduct that shall govern the per
Of Its officers, employees or agents rnyJged In the auartlfng and adm~nlstrat1on of contracts uslny Febctrl
910 eaployte, offlcer or a9ent shrll partlclpate In the rclectlon. urrd or adminlstratlon of 8 contract In
federal funds are used. where, to hls tnwleage, he or hlls lmdlate famfly, partners, or organitatlon In u or hfs fQnea'late fdmfly or pcrtntr has a flnancfal Interest or ulth whom he 1s MgotIatInQ or has any arran
concernlng prospective eployment. The reclpicnts' officers, ecrployees or agents shall nelther sollclt nor
gratultles, favors or anythins of monetary value from coiltractors or potenttal contractors. Rrclplrntr uy mfninwm rules where the finantla1 interest Is not substaiitIa1 or the glft Is an unsollclted Item of nocnlnrl
Intrinsic value. io the extent permltted by State or local. law or regulatlons, such standards of conduct s
provlde for pcnaltles, sanctions, or otner dfsc,iplinary uctlons for vlolations of such standards by the Qrc
Offlccrs, tcryloyees, or agents, or by contractors or the'lr agents.
d. Procuremen: transactions - All procurement trdnsactliins shall bc conducted In a manner to provfde. to 1
wxlmdrr. extent vrac:>cal, open and free compet!tlon. The recipient Should be alert to organlzatlonal conf
lntcrcsr or noncoTt7e:ltlve practices anons contractors that may restrlcr. or eliminate competitlon or othen
restrain trrae. in order to ensure objective contractor performnce and tllrnlnate Unfair CocnpetftiVe adva
contractors tna: aevelo; O- draft specifica:ions, requircments. statements of wort, Invltatlons for bIdS a
requests for proposals snoula be excluaed from conye:lnp for such procuc-ementr. Awarus shall be ude tO t
biaoer/offeror whase b:c/cffer 1s responsive to the sclicltation ana 1s most aavantageous to the reciplCnt
ana other factors considered. Solicitations siiall clearly Set forth ail requirements that the bIdder/offe
fulfill In order for his Cia/offer to be evaluilted by the reciylent. Any and all bids/offers my be rejec
It 1s in tne reciptent's interest to ao sc.
e. Procurerpr: pro:ecures - All recipients Shall t$:aDl.(Sh procurerent procedures that proviae for, at 4
the ?olio-:n; proces-rdi reGuirements.
(I! Progcsec procurenent actions shall fo'tlor a procedure to assure the avoidance of purchaslng unnec
aup1ica:;Ye >:e-s. Cons7oerd::on Should be giver; to consolioation or breaking out to obtaln a more ec
purchase. Ynere ap9ro;rja:e. an dnaly.~is shall be made of :ease versus purchase alternatives. and P(v
rpprc2r:aic raairsis to aererm:ne which WCJ~J~C be tne mst ;nomicrl, practical procurement.
(2) 5elicira:iors for gooas an3 services !shdll be based - a clear ana accurate descrlption of the
?e?Jtre:e.?:s fcr :ne me:er:r), proGuc: or rerv:ce to De procured. Such a description shall not, in cc
procureneea:s. ccr:ain features which undclr restrict competition. 'Brand name or equal' acscrlptlons
usec cs a mea-s t~ Gef?he the perforwnce or otner salient requirements of a procuremcnt, and when SO
sptcific featrres sf tne oc!res branG which ms: be met by biacers/offerorr st1611 be clearly speciflea.
(3) PGSftjve efforts sr,ell be made by the reclplents to utillze small buslncss and mlnorfty-wned kr! sources of su;;lies anc seru:ces. Such efforts shoUla allor these sources the maxiwm feaslbtc Oppor
cocptte for cor.tracts utillrlng Federal funcs.
:C) Tne type of procurin; instruments useC, e.0.. flzed prlce contracts. Cost relrbursrble COntraCtS aracrs, incenzlve conrracts, shall be ae:ermined el the recipient but mst be approprlCte for the par
procuremen: and for pronc:in$ the best interest of the program Involved. The 'COSt-plUS-r-perCenttgc
nethOC of c0n:rocting st6all not be usec.
is1 Contracts shall be mee only wlth rerponsfbie c.ontractors who possess the potential ablllty to p successfullr under tre terns ana conditions of a proposed procurement.
sutlers rs ccn:ractor lategrity, rccorc of past performance, financial. and technical reswrces Or 4CC
10 Other necessary resources.
(6: Revte. anC a?>'ovtI 3y the SO of the tec1pjen:'s proposed contracts . related procurewnt docu
re;,:reg rr,e- tne procurener: 1s: (aj cxpectec to t!rcee~ S~U,OLIO hnc ts ?e awaraec wlthou: corrOe1
o-.~J O-LE c''e- 5s recetvec, (3) crpectec :c excee: :;10,o~iO rnb specifies . >rand namee. product, or I
re:.,;:en:'s ;~c:~rer,e-: procegJ-es or ojera::ons fa':) to ccr~lj ulth thlr c'aure. ?he PrOvlS~ons Of
IL';d'd3rd>' d-e .c:rec ic tne even: tne re:$pjer,:'s procure-nt syster nas been certlflea In accordt tne ?'':cr 2' ieserdi Procurex-.: Poll:J.
Conslaerrtlon shall be given
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(7) Some form of prlce or cost analysts should be ade In connection with every procurearnt act anrlysls may be accomplished in VartouS ways, lncludlng the conparlson of price quotatlons suhl prlces ana simllar lndlcla, together ulth dllCOUntS. Cost analysls Is the review ana evaluation element of cost to determine reasonableness, rllocrbfllty and allowabil1ty. Costs or prlces bas costs for subcontract unaer tht grant of Other agreement shall be allowed only to the eltent tha lncurrea or cost estimates lncluacd In negotlrtra prlces are consistent with rppllcrble cost prt
(8) Procurement records and flles for purchrses in excess of $10,000 shall1 include the tollair
(a1 Basls for contractor sclcctlon;
(b) Justtflcatlon for lack of conpetltlon when corPpetltlre bids or ollfrrs are not obtainec (c) Basts for award cost or prfce.
(9) A system for contract admlnlstratlon shtll Be ralntalned to ensure coirtractor conforvnce I conditions ana speclficatlons of the contract, ana to ensure rdquate an6 timely follorup of 41‘
f. Contractlng wlth Small and Rinorlty firms, Yomen’s Buslness Enterprlses anid Labor surplus Ana I
(1) It fs natlonal policy to award J fair share of contracts to smll and ninortty bus$mss fti buslnesses ana labor surplus area flrms. The rtcjplent agrees to use Its best efforts to carry in the auara of subcontracts or other agreements to the fullest extent consistent with the effli performance of this assistance agreement.
(2) Definitlons
tal Tne term ’sma11 buslness concern’ shall mean a small buslness as definea pursuant to Small Euslness Act an6 In relevant regulatlons promulgated pursuant thereto.
(b) Tne term minortry firm (’small buslness concern owned and controlled by socially and disadvantagea Individuals’) Shall wan a small business concern:
(i) which is a least 51 percent cuned by one or mre soclally and econmically disc inaiviauals; or in the case of any publicly owned business, at lease 51 percent of tl Is czrned DY one or more socially or economically disadvantaged fndlvlduals; and
(11) whose management ana dally business operations are controlled by one or Wre 01
Y nci VI duals.
The reclptent shall presume that socially ana economically disddvantciged lndivldudls lncl Aoericails. nispanfc Americans. Natfve Americans, ASian-PdCffjC Amerjcans. rod other mlnor other Individual founa to be disadvantaged by the Small Buslness AdmlnIstratlon pursuant of tne Small Busyness Act.
(c) A *uomn-ouneC business’ concern means a business that Is a lca!,t 51 percent owned b
women tha: also cortrol ana oprratc it. ‘Control’ in this ConKext wan5 belng rctlvely 1 day-eo-oay managerent. *nomen mean all women buslness owners.
(6) ?ne terc ’la~or surplus area concern. means a concern that together with Its first-t subcontractors w:il perforrr Substantially In labor surplus areas. Performance 1s substan surplus areas if tne costs incurred under the contract on account of wnufacturlng. proau performance of appropryate services fn labor surplus areas exceed 5U percent of the contr
Accordinply, recipients shall take steps to assure that such preference flrw arc utllltc Afflmtlve steps shall Inch
(a) Includiny quallfiea small and ninorfty butlnesses on sollcltatlon IlStS.
(b) AssurlnQ that rind11 ana mlnorlty businesses are sollclted whenever they are potcnttc
(c) unen economically feasible. afvidlng total requirements tnto small tasks or quantlt pennit Ddxlmm smll ana ninorlty business partlclpatlon.
(d) Unere the requirement permlts, establlshlng Uelive-y schedules uhlch u111 enCWragt Ira11 ana minorlty bdslncss.
(e) Using the servjces ana assistance of the Small Business Adminlrtratlon, the Rlnorlt. ~eveIo?nent AYefi:, of the Department of Comnerce, the Conanun$ty SertflCeS Aaminlstration. Sml1 ana Dlsaavan:agea Business Utlllzatlon of the Department of the Interlor, and Burl
ana Developneq: Spcc:allsts of tne U.S. flrh and wildllfc Service.
(3) as sources of suppl~ers. equlpment, construction and servlces.
If any SubCo”:ra:ts are to be le:, requlrins the prlme contractor to also take the 4fflmtlt
KnrOug’ e ~SSVE.
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(4) Rcclplents shall take slmllar approprlate rfflfmtlve actlon In support of women's krslmss +nttrprl
(5) Recfpfent's are encouraged to procure QOO~S and ccrvtces from lrbor surplus rnrs.
(6) Yhere opportunltles for cukontracting or other rubagreements exlit, the nclplent shall subrit a corpltted Departmnt of the Inttrlor (01-19251 Ninorlty Business Utllfratiet~ U.pot-2 rlthin 10 by$ rftw end of each flscal year quarter. One copy shall be prwfoea to each ef the toltalng rdrrssrt:
lurincsr Utlliratlon Developwnt Spcclaltrt Divlrion of Contracting and General Servlcer (C65) U.S. FIsh and Ylldllfe Servlcc Room 821. Rlddelt Bulldtng 18th 1 C Streets, Mi Yashlngton. D. C. 20240
Dlrtctor, Office of Small and DlSadVbntagtd 6usIness Utlllzatlon Office of the Secretary
U.S. Department of the Interior 18th I C Streets, Nh Yrshlngton, D, C. 20240
The requirement for subcssfon of thls forn is I result of the U.S. Departlaent of the Interlor's lqlar
of Executive Oraer 12432, dated July 14, 1903, entltled 'Minority Burlness Entcrprlse Dcveloprnt.
y. Contract provisions - The reclpient shall tiiclude, fn addltlon to provlslonr to define a swund and cap agreement, the foiiowinp provistons In all contracts. There provtslonr onall also be rpplled to rubccontrrc
(1) Contracts tr excess of $10,003 shall contain contractual provisjons or conaitfons that ut11 allow aeminlstrd:ive, contractual or leyal remedies In Instances In which contractors violate or breach contr teras, anc prcu(oe for such remec:al actfons as may be approprlate.
(2) All cortrects In excess 0' 110,03J shall conraln sultable provir:ons for tcrmlnatlon by the rtclpf
InC1uGincj tne mnne- by wn>cn the termlnarion will De effected ana the Basis for settlement. In aaeltl contrdcts sfia!i OeS'criDe conaitio?s unoer which the contract may be termlned for default as wtl'l as COf
where the Contract my be terminatea Decause of circumstances beyona tnc control of the contractor.
(3) ooserve rne boncinj, requ;remen:s proviaeo In tne clause entitled BonC:ns an6 Insurance.
(4) All con:rac:s awarded by recipients and thelr contractors or svbyrentees havlng r Value Of Iore ti
Slil,0~~, sr,al I ccr;ain a provision requirincj compliance witn Executfve Order 11246, mtltled 'Equal Ea Opportunity.' as ainence; by Execu:!we Order 11373, aria as supplemntec In Departmnt of Labor mpulrti
tFK, Part 6:,.
(5) Ali con:ra:ts an: suoyrants in excess of S2,OUO for constructfon or repafr awarded by rtclplents suSrec;C'erts sna;l ir:iuce a prov:sion for corq1ian:e ulth the Copeland 'Anti-Klct Back' Act (18 U.S.
as supplenenlec in Department of LrOor reprlldtions (29 CFA, Part 3). Tnis kt provides that elth CON
subyrar:ec snA;? oe p-orioitec frorr Inducinf, by any means, any person employed in the constructlon.
comgletion, or re3air of public work, to give up any part of the cocrgensation to whlch he IS otnerulsc
cnritlec. Tne reclplent shall report a11 wspected or reported vlolatlons to FUS.
(6) Yner requlred Dy the feaeral proyram Icglslatlon, all construction contracts awarded by the rCCl 5ubrecipients of more than $Z,OOD shall Include a provlsjon for comgltance wlth the DavlS-BtCOn Act ( 276a to a-7) an6 as supplementeC by Departcnent of Labor regulations (29 CFR. Part 5). bdcr this Act contra:tors shall be requlrea to pay wages to iaborers and uechancls at a rate not less than the .In1 rpecifiec in a urge oetennlnatlon mde by the Secretary of Labor. to pay wager not less than once 4 aeet. The mcfplent shall place a copy of the current prevalllng I acterainatlor Issued OJ the UeparttWflt of Labor in each sollcltatton and the ward of a contract rhal
condittonec upon tne acceptance of the wage aetermjna:ion. reported vlo:a:lo-tr to the 50.
(7) Unen requlrea Dy the FeGe-al propram legislation, rec4pients ln excess of %?,ow for COnStfuCtlC contracts an: fr excess of St.50; for Other contracts the: ft-'3\ve the envloyent of echan1cs or 1It
Shall incluae d pcovision for corqllance wjth secttons 103 a- e: of the Contract UOrt HWrS and SI1 StdnCdrOS kc: (4; L.S.C. 327-330) as supplervnte~ b!, De2artm x Labor regulatlons (29 CfR, Part 5; section iG3 of ttc kc:. each Contractor srall De reguired lc -*:e the wages of every ICChJnj: and the basis 06 (I stanaa'a work G~Y of 8 hours InC 4 s*:~~-~aara - -?et of 40 hours. York In excess of
s:ancevc ws-tce: o- w~r~ueei 1s pernIsslble prortdej thdl t- -ter IS con~ensated rt a rate of not
1 l/Z tlmes the aas'c cd:e of pay for all hoJrs rrorrec in eteL,$ of 6 hours In any Calenaar *a: Or 4
tne Wo-iweel. ~ecrec- 107 0' tqe Act is ~~p~llcabl~ to Constr,,:ion w:rt (nd provldes tha: no 'Jborc
aPCh&"i Ira I oe reGi'reC :C wsrr In surrou-~~ings or unaer working :onC':lOnS WhlCn arc UnSJr'Z*rY.
In all contraits for construction or facfllty fniprovement awarded for more than $100,000, -$pier
In rdaltlon, ContraCtOrS ShJll be
The recl?!ent shall report 411 suspected
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or dangerous to hls health ana safety as determined under construction safety and health standrr
by the Secretary of Labor. These requlrtmnts 00 not apply to the purChdSt5 of rupplits or rJte artlcles ordlnarlly rvailrble on the open aartet or contracts for transportatton or transatsston lntell igence.
(8) Contracts or ayreements. the PrlnClpal purpose of rhlch is to create, dcvelop or trprove pr processes or methods; or for exploratlon lnto fields that directly concern publlc health, trfet) COntraCtS tn the fjeld of science or technology On rhlch there has ken 110tle rlgnlffcmt expel of work funded by Federal rsslstanct, shall contaln a notict to the effect that utters rrgicdlc Inventions and raterials generated under the contract or agreement are sub#ect to the regcrlrtioc
md the ttctplent.
(9) All negotlatta contracts (except those of SlU,OOO or less) warded by reclplrr\ts shall tncl to the effect that the reclplent, FYS, the Comptroiler Gcneral of the United States, or any of 1 ruthorized representatlves, shall have access to rny books, documents, papers and IYCOCOS of thc rhlch are dlrectly pertinent to a tpeclflc program for the purpose of utlng audits. eu81natfoc trrnscrlptfons. Raclplents shall require contractors to ulntrln all rqulrrd rrcoras for 3 ye' mclpient mates flnrl paymcnt and all pendlng utters arc closed.
(10) tontraits ana subgrants of amounts in excess of SWO,WU shall contaln a provlston that rn reciptent to agree to conply with all applicable standards. orders or regwlatlons ltsucd pursuc Alr Act of 197U (42 U.S.C. 1857 et seq.) ana the Federal Yater'Pollutlon Control Act (33 U.S.C. as aurenaea. Violations shall be reported to FYS and the rcgfonai office of the Envlrorwrntrl D Agcncy.
(11) Contracts shall recognize mdndatory standards an8 pollcles relating to energy efficiency a contained in the State enerw conservation plan lsrued In conyllance with the fnerQy PoifCy rnc
If the recipient is a State or local government or other entity as defined In OnB Clrcular A-11
Act (P.L. 94-163)
h. aahere to the follouing aaaitlonal provisions:
In order to foster yreater economr and efflclency, reclpicnts are encouraged 'to enter Into State a Intergovernmenta! dyreerer,ts for procurements or use of comnon yoods and servfces.
Procuremen:s shall be rnaae by one of the following methods, as aesctibed hcrtfn: (a) snrsll purcha
(b) covetltive SeaieG blOS (form1 aavertisinq); (c) Comqetitive ncgotlatlon; (a) noncompetltive
(1) W-11 purchase procedures are' those reldtlvely slmle and informal procurement suthods tt 4poro;riate for a procuremeat of servlces, supplies or other property, castlns In the ryregsti tlO,UOd. Recipients snall complj with State or local small purchase aollar llmits under 110.1 purchase proceaures are used for a procurement under a prant, price or Taste quotations shall 1
dn aaequate number of qualifiea sources.
(2) In com3etltfve sealed bias (formal ravertisfng), sealea blas are publlcly soliclted ana d contract ()urn; sur. or unit price) is awarded to the responsible bjaaer wtiose bid, conformin9 I mdterial terns and conaitions of the tnvitation for ofas, 1s lorest in price.
(a) a ajnirnx., tne fol1oi;ng: In oraer for form1 aavertislnp to be feaslblc, approprlrte cooditfons must be VrCS4
(I) A cor~lete. adequate 8nO realistic specillcation or puchiise oescrlption 1s rv
[li) l~o or more responslble suppllers are wllllng 4nd able to cowete effectively
r e:j pi ent ' I bus irtesr . (Iti) Ine procurement lends ftself to a ftrm-fixed-prlce cnntr<rct, and selectton of
bldaer can approprtately be Mae princlpaily on the bas+$ of price.
If formal advertlsiny 1s used for a procurement under a grant or other rgreearnt. t
(0 A sufficient time prior to the date set for openlnp of blds, b1dS Shall be SI 4aeqUrte nuwer of known suppliers. In additfon, the invitation shall be pubtfcly
(11) Tne Invltatlon for bids, lncludlnp speclficrtlonr and pertlnent attdChmntS, aefine the Item or rcrvlccs neeaea in Order for the blaaers to properly respond ti (111) All bids snall be opened publlcly at the tlm and place statea In the lnvitr
(lv) A flrr~-fixea-prlce contract award shall be =de by wrlttcn notlce to that re whose bi~, Cocforr,in; to the invftatfon for bias, is lowest. Where speclflta in t aocuwnts, factors such 4s discounts, transportatlon costs and llfe cycle costs Sh In aeierc:fiinS wnich bla Is lorest. Payment discounts MY only be used KO Oetemi
pr;or e:ye-:ence of the grantee Indicates thif such discounts are generally taken.
(v) Any or all b:Cs my be rejected when there are sound aocumenred OuSineSS rCJ 1n:eres: p! tne probray..
(b) requ<rewnts shall apply:
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(3) In cometitive negotfation. prOpOSdlS are request.ec from a numer of sources ana the Request for Prc
fg publfclzed, negotlatlonr are normally conducted with more than one of the sources subm1ttlng offers, a rlthrr a fls.ea-pr1ce or cost-relnbursable type contrac:t IS nrrded. as approprlate. Corepetltlve nrFtlat
my be usea if condftlonr are not appropriate for the use of foml advertising. If coaQetltlve m~ot1.t used for a procurement under a grant or Other agreement, the folloulny rrquircarnts shall apply:
(a) Proposals shall be soliclted froQ rn r0tqurt;e wakr of quallflcd sOuftrs to permit m.rsocuble eoapetltlon conslrtcnt ulth the nature and requlrrrcnts of the procurratnt. The Request tor ?-sa shall be publlcircd and nrsonrb~e nqunts by other sourcrs to cqetc shrll be honoma to the mxi extent prrctlcable.
(b) The Request for Proposal shall ldentlfy all rlpnlflcrnt rvalurtlon factors, tncludlag prfcr or where requl rea ana thci r relatl ve lragortrnce.
(C) The recipient shall provlde eechrnlsnu for technical cvaluatlon of the proposals received, determlnatlons of rrsponslble offerors for the purpose of urlttrn or oral dlscusslons, and seiectioi contract awara.
(dl Award hay be made to the responslble offeror whose proposal ut11 be port advantageous to the procuring party. price ana other factors considered. Unsuccessful offeror$ should bt notlfled proq
(e) Recipients my utllize corqetitive negotlation procedures for procurement of arch 1 t e c t u r a 1 /en g I nee r i n 5 prof es si ona 1 s e r v i c e s , whe re by cornpet 1 t o rs ' qua 1 1 f I c at i ons are c.va 1 uated . ost quallfisa conyetltor Is selectec, subject to negotlrtlon of fair ana reasonable cowcnsatlon.
Honcompetttive negotfation 1s procurement through solicitation of a proposal from only one source,
.
(4) after solicitation of a numer of sources. conpetitlon 1s determined loadequate. Noncomgetitlre negotla
may be usee wner. the ararc of a COntrdCf Is lnfeaslolc under small purchase, competltive bidelng (formal advertisins), or cor4e::tive negotlation proceaures. Clrcunstancts under wnich a contract pay be ararae noncompetltive negotiation are llmitea to the follwjng:
(a) Tne !ter Is availa3le only froa a single source;
(0) Pubili exlgen:) or emergency wnea the urcjency for the regutremen: ut11 not permit a delay inct cor9e:i:ive soltcitatioa; (c) FtdS aii:no-:zes noncowe:ltlve negc:ie:ion; or
(0) Af:er solicitc:ior, of a nuc3er of sources, cowe:ltion Is aetermlned Inadequate.
17k. AUSlT REQU:REEEA:S - (De3 Clrcular A-110) - [lnls clause is applicable to a11 asslstance rpreemcnts wlth institutions of higner eaJca:ior,, hOSp$talS ana otner nonprofl?. organizations lnvolvjng the transfer of Federal 1
a. Reclpfents' financial management systems Shall provlde for exarninatlons In the form of audlts or lnternc audits. Such aUa:ts srtall De mdae by qualified inalvlduals rho are sufflciently Independent of those whC at toe exyena::ure of Feaersl funas, to proadce wntlasec opinlons, conclusions or judgments. They shall ret 1 lnoependence crlter:a alons the lines of Chapter 3, Part 3 of the U.S. General Accountlng Offlce publlcatio~ StEnddrbs f3- FLC:: of iovernmentd: OrgdniZetiOPS, Pro~rarns, Activities and Functlons. These examinJtlOnS 4
lntenoec to dScertd:c :fie effe;:iveness of tne f,nanciai tranagerenl systems ana internal procedures that ha! estdbllshec to me: tne terns an5 conditions of the sg'eernents. It Is not intended that each agreement -11 the recipient be exac:ne:. Generally, ,examlna:ions should be conducted or, an Organ~Zdt~On-dde barfs to .tc! frrcrl Integrity of financial transactions, as re11 as compliance, wfth the terms ana condlttons of the fed(
grrnts and other ayrecments. Exam' will De conauctea with reasonable frequency, on a contlnutng basis or at scheduled Intervals. usually JnnUa'
not less frequently tRdn every 2 years.
the complertty of tne actlvlty. responsibilities. but my affect tne frequency rind scope of such audits.
b. The prlfnary recfplent shall require Its subrcclplents to adapt the above standards.
Such tests woula tncluae an appropriate sampling of federal agreenntr.
Tne frequency of these exarninatlons shall depend upon the nature, These eximlnatlons do no't relleve federr1 agencles Of thtlr Wdlt
1-78. local governrents ans Feccrai ly rtcogn!zed Indian trl.oa1 governrrnts~ AUOIT REUUIREt!EH?S - (OH3 Clrculrr A-128) - [TtIts clause 1s appllctble to all asslstance ryretrvnts with 5
a. oefinitlons - for tnc purposes of this claur,e the follo*inu deffnltionr from the Single Audit Act apply
(1) *COQnfZdc: ayency' wdns the Feaera) ripn:y assIpnea by the Office of nanayemnt and Budget to car their ab61t responslb:llrles.
I?) .Fede~dl finan:rel ass(i:aoce' means a!;sjstance pr0vlat-c by a fcaeral agency In the form of grant! 1n:eres: subsidies. insurance, or contracts. coo$era:!ve ag-eewnrs. 1~~1, loar. guaran;ees, pro?ert~,
apzro+rla:!ors, 3,: age5 ng; $n:iuoe alre:t FedCral casn i~5:stance to lnclvlaualr. It incluatr awbrd' rtcejrec <;re:::> frs-, ;?:e-?' ager:,es, 0- jc:t;ec:j, throJ~~ otncr un!t~ of State anC local goveinmcl
-1 7-
0 a
(3) 'Federal rgehcy' has the Saw nanlnQ as the term 'agency' In sectfon 551(1) of Title 5, u Code.
(4) 'Generally accepted accountlng prlnclples' has the rrnlng speclfled In the glnerally 4cc1 audttl ng stanearas.
(5) '(ienerally accepted gorernavnt audltfng standards' mans the ftaneartos for Audit of &*em Orqanlzat1ons. Program, Actlvitles. and functlons, Qcreloped by th-roller kneral Qrted #
(6) 'Independent aualtor' means:
1.
(a) An external State or local goverrwrnt audltor who meets the Independence standards si generally accepted government tudltlng standards; or
(b) A publlc accountant uho meets such tndependence standards.
(7) *Internal controls' means the plan of organization and methods and procedures adopttd by ensure tnat:
(a) Resource use Is consfstent with laws, regu1atlons. 4nd pollcler;;
(b) (cj
(8) 'Indian tribe' means any Indtan trlbe, band, natlons, or other organlred group or COOmUn' Alaskan hdtjve vilirye or regional or village corporatlons (as defined fin, or established und. Ratlve cldlms Settlement Act) that Is recognized by the Unlted States as ellglble for the spe servlces provioed oy the Unlteo States to lndlans because of thelr status as Indlanr.
(9) 'ioccl governmen:' means rny unit of local government wlthln a State, Including a county municipel;tJ, city, toun. to~nsni~, par:sb,, local pbblic authority, speclal alstrtct. school lntrastete district, council of governments, rnc rny other tnstrumenta1ity of local pvemarr
(10) 'Public accoun:dnts* means those Individuals who wet the quallficstlon standards fnciuc acceptec government auditin$ standards for personnel performing governrent audltr.
(11) 'Sta:e' means any State of the United Stares, the District of Colunabla, the Comnonwealtl the Viryin Islands. Liar, Anericar. Samoa, the Comondealth of the korttwrn nariana Islands, I territory of tne Pacific Islands, any instrumen:alit) tnereof, ana any aultl-State regional. tntlty that has governrental functions an6 any Ind$rn tribe.
(12) 'Subreclplent' means any person or government department, agency. or crtabllst~ment that financial asststance to carry out d prograr through a State or local government. but does na
jncivjduai that is a beneflclary of such a prograft. A subreclplent may also be a dlreCt rec Flnancial Assistance.
Resources are safeguaraed agalnst waste, loss, and nlsuse; and Reliable data are obtained, mintrlned and fairly dlrclosea ln reports.
b. Scope of dvc:: - Tne Single Audit Act provides tha::
(1) Tne audit shall be made by an inae2enaant auaitor in accoraance rlth generally acceptec audltins standards coverlng flnancial anG con-~Ilance rudits.
(2) Each audit shall cover the entlre operations of a State or local governmnt or, at thc government, 1t may cover aepartmen:s, agencies or estab~ishmnts that received, txpended, 0 administered haera1 financial assfstance durlng the year. hwever, If J State or local y~ over IZ>,OW in General Hevenue Snartng funas In a flscrl year. It shall hrve an audit of t 0rganiza:lon. A serles of audits of inaividual departmnts, agtnclcr, and establlshnrnts f year my De conslorfed a single audit.
(3) Public hospitals and public colleges and universltfes my be excluded from State and 1 requfrtments of this clruse. However, if such entltles are excluaea, 11u4ltS Of these entt1 accordance rlth statutory requlremcnts and the provisions of CW Clrcu'lor A-11U. 'Uniform 8 Grants and Apreemenrs wltn lnstltuttons of Higher Laucdtion. Wospltal(r) an4 Other Nonprof'
(4) Tne rudltor shall determine whether:
(a) financial posftlon doc the results of Its financial operrtions In accoraance 4th 9en rccoun:in~ principles;
(C') ine Or$ar,:zatior has lr,:ernal accoun:lns and Other control systems to provide rC tna: 1t is mnaging Federal fjnancla) csllstan:e program In cwllance wltn applicab
re;-!t::o?s; ace
(c, Tne or~a~~:zdtion has cor,:iec .::n \a*$ IC: reEulatlons tnar rdy ncre a mterirl
trd:o* feserdl ass:i:ance prograr.
Tne flnanclal statements of the governrrpr.:, departmen:, aQency or establishment
_I .. -, h.
W 6
C. Frequency of audlt - Audlts shall be wde annually uriless the State or local governmnt has by January I a constitutional or statutory repulrerrent for less frequent audltr. For those governments, thc cognizant rs
Shall permit biennial JUditS, concerning both years, ff the government so requests. It shall also honor rn for biennial audits by governments that nave an admlnlstratlvc pollw calltnp for wits less frsquent than
but only for fiscal years btglnninp before Janurry 1, 1987.
d. Internal control and compliance revfeus.. The SlnQle Audlt Act mqulres that the Independent rudltor det
and report on uhether the OrganlZltiOn has Internal control systeus to prorldc nasonablr assrrrnce that It WMQlnQ federal assfstance programs In compllai?ce rlth a~ppllcable Ins ond regulations.
(1) In order to provlde thls assurance the auditor mst wke 4 $tu* and era1 of lntcrnal control systems used tn adminlrterlng Fealeral MSlStanCt programs. The study and evaluatior
be mde whether or not the auditor Intends 'to place relfance on such systems. As part of thls revlw, 1
rudltor snall:
(a) Test whether these internal control systems are functlonlny In accordance ulth pnscrlkd proc
(b) Exsmjne the reclplent's system foir aonltorlng subreclplents and obtalnfnp and actlng on submi aualt reports.
Corpliance revie- - Tne law also requtvs the auditor to determine whether the organization has ca
(a) povernmenrs shall iaentlfy fn tncir accounts a11 Federal funas received and expended and the progr(
under wh:ch they were received. Th!s !inall fncluae funds received directly from fedcra1 rgencles (
thrcu,jr o:her S:are dnc Ioca? povernmen:s.
(b: Tne rev<* ~JS: inciuae tne se1ec':ior. anC testins of I representative nu&er of charQes frm 1
rdjcr Federa; eSsis:ance prosrar.. Tne seie:::on an$ testlns of transactlons shall be based on the
ado:tcr's prefessior>al JuGpeR: ccnsiderln; SUCP fa:tors as the amount of expenditures for the pro
the lnG:v:aJa'l auaras; the newness of ::ne pro;raa or changes In its condttlons; prior cxperlence I
profra- ;ar:icu1a-ll as revealed in audlts and c8tner cvalbrtlons (e.g., Inspectlons, program revlc er:enr KC wnic:. tne program is carr:ec oir: tnrobgn subreclplen~s; the extent to uhich tne program cormtracts fo- QOOCS or services; tne level to wr8icr, tne program 1s already subject to program rev$ other forms of inaegendefit ovzrsign:; ':no aaeguacy of the controls for ensuring c-llance; the
eme::a::or ~f ac7erence or jack o! aonerence tc, the cppllcablt laws and regulations; and the pot(
lr+:i:: of acverse fina;n;s.
Internal control revlcr.
(2)
with Taus anC reguiar7ons that have a material effect upon each wjor Federal asststance program.
in order to determine which mjor program are to bc tested for comp1lance, State an4 local
(1: IC rdk;n; these tests o! trrnsactions, tne auditor shall determine uhether:
--:$e ar~t,c;s reporrec as er2cnC;zures were for a1 lowable servlces, ana
--:ne recores S:OI that those rho receivec services or benefits were eliplble to recefl
(?;) ir. ds2::ion :o trdnsactiafi ::es:ln$, the aucitor shall determinr uhether:
--r<?:cr.:c; reqclrewn:s, !ev?is of €!for: and edmdrklng Iimltatlons uere Pet.
--Federal findncicl reports and clalns for advances and reimbursements contrln lnforaal
is sdpportec Oy :ne DOCKS ir~a cccsrds from uhlch the baslc finrncla) statements have k
preparea, and
--umunts clrlwa or used for cia:;hinc, were de:emalncd in accordance ultn F Clrcular
'Ccs: Princltles for State ,ana Local Gsvernlrpnts. and OH3 Circular A-102. UniforE Reqr
for Grants ana Agreerents wlth State anc Local Governments.'
(1:); Tne principal conpltance regir!rerre?tS, of the largest Federal aid programs my be ascefl
referrlns to the ConCllance Suppltpmen: for Sjnsle Audlts of State and Local 6overnrrnts. tSSr 0%: dnC dva!ldS1e fron tfie Gorernwntm,ing Office. For those proyrrmr not COVCTCd In thl
Coyc1ld,-,:e Su?jlenpn:, the a;rdi:or my asct!r:alr, corcllince requlrenpnts by mSeJrChing the 1 re;,ia:lois, an~ agreements governins indfvlcua! progrrm.
(c) Transa:::oos relarec to ott,e- Federal &ss$$,:e?:e ;rc;-a-s that are s1c:rcd In COnWCt1On Wltl
era-:qt::?rs 04 firlan::el s:a:erep:s aq: evc)ue:,:ops of ~nrcrnd! con:rols shall be tested for cw wlfn feoerdl I~WS ana r~9~la;ions tnat apply to suer, ~r~osac:ions.
e.
mre of i: ir a fircsl jed' .-e & su>re::;:e-,; snall:
S~'7e::;:e-ts - ~:e:e 0' local 93vt-r,rq-:s that re:e' ve fecera; f:nclnclai assistance anC provlcf s?:,om
(l!
h3S;::e:5, aq: ::-e- har-?:Sf:: tirjc-::a:lots,' nave re: tr,.e: re;-.;rCmT:.
De:err:ne rbei-e- ~:a:e or lace: rbb-eclple-ts nave me: tr.e au~lt rcc.blremn:s of tk!~ ~10~sc **me si.>-e::-. . e*:% cgveve: t., ocs ~;r:~;c- ~-118. .Ur:+CF.: ;e;J:rew-:s ?OF ~'aq:~ an^ afreencntl ultr '~'ivl
0 0
(2) Oetemlne whether the subreclplent spent federal asslstrnce funds provided In accordance u laws and regulations. This may be rccomp1lShed by revltdng an audit of the subrecipient mat
rlth thls clause, On8 Circular A-110, or through other mans (e.9.. program revlaus) if the sur not had such an rudlt;
(3) Ensure that rpproprlate correctlre rctlon lr trten dthln slx mnthr after Issuance of thl fnstrncer of noncoogllmce rIth laws and rrpulrttons;
(4) Consider whether subreclplcnt audftr mcrrrftrtr rdjusunt of the trctplmt'r an Wrd
(5) Requlre each subrectp$cnt to pcrnlt Independent rueltors to have access to tht -cords an rtrttmnts as mcessrry to comply with thfr clause.
f. Rclatlon to other audlt requirements.
(1) The prorfsfons of thfs,clause do not IJdt the authorlty If FYS to iute, or contract for evaiuat~ons of Federal flnanclal assistance progrrms, nor do they lldt the authorlty Of rw f Inr'pector General or other federal rudlt offlclrl.
(2) FUS shall make any additional audits that are necessary to carry out its responslbllltlc~
law or Pegulatlon. The provlsfons of thls clause eo not authortze any State or local govcnu
subreclplent thereof) to constraln, in any aanner, FYS from crrryln9 out such addltlonal audl1
(3) If FUS makes or contracts for audfts ln addition to the audits adde by reclplents purSul lt Shall, consjsten: with other appllcable laws and regulations, provlde for the COSt Of such audlts. Such adaltlonal welts include ccononly and efflclency rualts, program results audlts eva 1 uat 1 ons.
9. Illegal acts or lrregularltles - If the rwdltor becomes aware of lllcgal acts or other irregu notlce sr,a:: be ~:ven 10 recipie-: ranagemen: offlclals above the level of 1nvO)vtWnt. The reel Shall prcqtly no:!fy the cognizant agency of the lllcgal acts or irrcgularlties ana of proposed actions. If any. lllege: acts anC lrreqularjtles Include such matters as ConfljCfS Of Interest, recoras or reports, anc clsappropriat<ons of funor or other assets.
h. Audlt Reports - Aud:: re2orts rust be prepared at the completion of the audit and shall InCl
(1) The eudlt report Shall state that the tuCit was made IC accordance wth the provirions 0 report shall be naoe U; of at least:
(a) Tne aud!tor's report on financlai statements and on J schedule of federal assistw
statements; anc a schedule of Federal assistance Showing tne total expenditures for eat assistance pro;ra:. as jder,:lflea in the Catalog of federal Domestfc Asslstance. Fteerc
grants t~t: have not beer, assjynec a catalog num3er shall be taentiflea unoer the crptl Ass1s:ance.'
(0) organiratlo?'s significant internal accounting controls, and those controls designed tc assurance :na: Feaerai programs are be;ng mnaged jn conyiiance wtth laws and regrrlJtt( iaentjfy the controls that rere evaluated, the controls tnat were not evaluated, and tt weaknesses 1dcn;lfled IS 4 result of tne evrluatlon.
(c) Tne audltor's report on covllance contalnlng:
Tne auc::o-'s report on tne S;UC~ ana evaluation of Internal control systems mSt
(1) A statement of posltlvt assurance ufth respect to those Items tested for CO comJllance rfth ~JW ana repuiatjons pertaining to fimnclal reports ana ClJlns fo
re1 mad rserent s ;
(It) heS8:lve assurance on those Item not tested;
(lit) A suma-y of all lnstances of noncovliance; and
(tv) result of noncompilance. An 1aentificatlon of total uwunts questjonea, if any. for eacn federal ~SS
(2) The tnree parrs of tne iudlt report nay bc bound Into 4 slngle report, or prercnted a' srprrr:e a0cueer.t~.
(3) All frauc aDuse. or ll1e;al acts or lndlcJtlon5 of suck acts, including all questlone
resul: of tnese 4::s tnat auditors become aware of, snoula norrdily be covered In a IepJrJ
(4) In ac~-:j~r :c :ne auc:: repor:. tne re::ple-: SP,~:] provtce com~lt5 or the findfngs
In the reDort lncl~.c?r,~ I plan for correct:vp (ctfor,s taken or ~Ianne:: InC comnts on Ihe
JCK:O* tate- G- p-ic- '1nc:n;;. 1f corre:::re actlor, 1s n:: ne:essa'j. J stattmqn: aescrl no: S~SL~C acc3-;e-: :p8e 4.1c:t repor:.
?. - ' :-
e
(5) after cqlctlon of the waft.
(6) audltor to the organlzatlon 'audited ana to those-ragulring or arranglng for the audlt. mclplent shall sumlt coplcs of the reports to each federal department or agency that provlm fwrrl assistrnce funds to the reclpjrnt. SubmcipIentS shall rubalt coples to nclplents that provloca them Fa aslstance funds. The reports shall be sent rlthln W days after the completion of the wait, but I)O Irt Man one year after the end of the rueit perloa unless a longer perlod is agm~ to with the wg~~ixant as
(7) Peclplents of more than f100,OUO In Federal funds shall submlt one copy of the audit mport rlthln 1 after lssuancc to a central clrarlnghousc to be aesfgnrted by the Offlcc of )trnrgernt ana Budpt. The cleirlnghouse rlll keep corqletca waits on file and foilor up uIth State and local govenunts that h4r oubmitted required rualt reports.
(a)
1. Audit Resolutlon - Tne cognlrant agency she11 be rerponrlble for overrcelng the rcrolutfon of audlt flnd
thit affect tne proyrams of more than one Federal agency.
programs of FNS rill be the respoisibllity of the reclpient ana FYS. Altcrnmte rrrangccnnts my be udc on '
by-case basis by igreewnt bctueer. the agencies concerned.
Resolutlan shall b? mce wI:h<n sfx months after receipt of the report by the dcprnmcnts and rgcncfcs. Cor action snoul~ proceec as raplair as possible. J. AuCif workpiper are rep3'ts - Nortpapers anG reports !;hall be refalnud for a ainlmum of three years from
date of ;?e adc:t repc-r, ucless t-e auc:tor is notfflea In uritlng by the coplzant agency to extend the n
verioc. Auc:t worri.'a;ers snaii be mce dVd:ldble upc' request to the co(;nfzant agency or Its oeslynee or tt benercl ACcOufltlni; Off;ce, a: tne ccz;letion of the JudlK,,
k. AuCi: Ccscs - Tne cos; of a~.i":t~ ~3e ln ectoradnce dtn tne provlsfonr of thls clause are a~lwable chi FeoeXi &jSiS:dnC i)io;rd-i.
The reports shall be made available by 1:he State Or ]Oca1 QOverWnK for pobllc inspection rItnln &J
In accordance wItn gcncral1y accepted govcrnmnt rudlt standards, reports shall bi subalttee by the in rddltlon, the
Reelplentr shall keep ruatt reports on file for three years from thelr Issuance.
Resolutlon of ffndlnps that relate solely to the
(1) 7ne charQes m, be consjserec a djre:: ccs: or a': al1o:a:ed indlrett cost, aetcnntned In accoraanc the provi5lcCis of :i:cular A-67, 'Cost Prlnclples for State ana local 6ovcrnmntt.'
(2) Gcneraiir, tr,e perrer.tagr of cos:s Chdl-gea to Featral assistance programs for 4 Single Wdlt Shall eiceeS tte percecr6;e ttat ieoerel funas re;;resen: of total expencltures of the reclplcnt durfng the ff
year. Tne percen:age rq ~e erceeceo, nhrever, ~f approprlare aocumentstdon aemnstratcs hlyhrr actual
1. Scn::io-s - hc LCS: E.z;~ be charge0 to federsl esslstance proyrams for audits required by the Act that I mde in ic:o?cd-ce w:fi: tn;s c1aLse. In case$ of cont;nueb 1ndb:lIty or un~l~ldngness to have a proper Jut
my conslaer otner- a2jrogr:a:e ranct!ons Inc1uc:n;:
(1 I:
(2) vlthhG~C>n~ or C;S3ilGwinS overneds Cosfs, or
(3) suii;:fic:r; tie Federal asststance agreewn: unttl tnc euo?t 1s mae.
PI. Aucltor Sclrctlcr - In arrtny!nG for auc5r services State ana local governnrnts shall follm the Procui stancarcs pre%cr?Dec in Clause 16. Tne stanaaros provtae that rhlle reclpients are encouraged to enter In tnterpJvernrrpn:al ayrcemcirrr f3r audt: and other servfces., rnalysls should bc -de to dctcdrn whether ft
more rzonon;:al to purchase tne servlces from pr:vate fltms. In Instances where use of such lntrryovcrnn
agFcozer.:r are rcqulrca QJ State StAtUtCS (e.5.. wctt scrvlccs) these statutes ~111 take preceaence.
n. hli anc HinorftI AUC!: Flms - small wall flm and auuft flm wned ana controlled by SOClAliy an cconor.ical;y uisaGvsn;dSeC IncivlaJais sna)] t18re the R~MIW~ prdCtlCIblC opportunity to partlclpcte In th yerforwnce of contrdcts araraed to fulflll tnc tualt rt(lulfciXntS of tnis clause. ahi<stance shall take the foilruins stegs to fLlrther tnls gos!:
:~ltt~-,lc-tng 3 percentcge of asststaxe paywntr until the rualt Is com?lctcd SitdSfKtOt1ly,
Reclpltnts Of festral
(tj ASS'Jre that sm)i wd!: flrn ana euc:: flnns wneC'anC controlled by socially an6 tconomlcrlly d!stdvanlaged InC!~lcuals arc used to the fullest ex'tent practlcrblc.
(2) Rate 1nforne:icr on fcr:hcor:n; op~orr.~nl:lrs avellable rnC @?range ticrpframes for the tudtt SO (
e-:o,ra;e arc fA::ll:a:e pac,<clpa:lon D, !;rra~l 4~6:t firm anc iuc~t f:rms wnrd br roclally an6 ccoi
dl rravaotapec 1 nc: Y! c;a 1 I.
(j) Cor,sfoer :n tne cor,;rac: p-ccess rr,e:ner ftrms con2e:!n; for Igrqtr auciir lntenc to sub:on:ract
sFd:i a,::: fir,r:i a-,: a,:;: ffrrs Orre: &CC cor;:ro!~ed of s~::sliy dnc cconorr.:.:crlly dlsaarcntcpe: Ina
-. . -- *.
0 0
(4) Encurege contracting wlth small audlt flm or rudlt flms mned arid controlled by rocla econocnlcally drsaavantaged tnalvlauals whlch have trrdltionally ruelted stoverrrPrnt programs ant where thls 8s not posslble. assure that these flm are glven consleeration for rudlt sukontn opponunitlrr.
(5) Encwage contrrctlng dth coclrorttums of wll rudlt ftra 1s descrlkd in paragraph (1) Contract ts ttoo large for rn Indlvldual small rudlt flm or rudlt firm olrnrd and control1.d by ecmaicdl~ dl srdvrntrged indl vidual s.
(6) Use trw servlces rnd assl~trnce. as approprlrtc. of such orgrnlrrtlens as the -11 Butln Addnlrtratbon In the sollcitrtlon rnd utlllrrtlon of sull rudlt flru or ruoft flrr wried soclrl ly m economlcrl ly elsravrntrged lndl vldurlr.
1X. 49n.pcntS wltn ccn-cfal oryanltatlons Involvlng the transfer of Fcaerrl funds] AUDIT RfWI8!DGr;TS - (Aprll'l984, Derlatlons, FAR 52.215.2) - [Thlr clause 'Is rppllcrblr to rll 4
J. fxamfnat!m d Costs - The reclplent shrll ulntrin--rnd the SO or nprerentrtlves of the 9 I rlght to ermine ana auait--books, recoras, documents. and other evidence rnid rccountlng proccbun sufftclent to reject properly all costs clalmcd to have been Incurre0 or rntlclprted to k Incurl thls ryreaarnz. This rlght of examlnatlon shall lnclude lnspectlon at all rfrasonrble tlacs of thc frCflltleS Or pwts of them, engaged In the perforibance of the agMeaPnt.
b. Cost or RrtcinS Data - The SO or representatlves of the SO shall have the rlght to exi~llne an1 recoras, eocclmrs ana other data of the reclpient (Including computations ana projcctlons) relrtc performlng tk tnitial agreement or subsequent Rodlficrtlons In order to evaluate the rccurrcy. ci currency of t*= ,cost or prlciny data.
c. Reports - Lf tne recipient Is required to furnlrh cost, fundlng, or performnce reports. the representat7*lts of tne SO shall have the rlght to examlne and audlt books, records. other documen araterla\s. for che purgose of evaluatlng (1) the effectlvers 0' the reclpient's pollcles and proc
data conpatlDle .r'rtn tne objectives of these reports ana (2) tne data reported.
6. Avsllabillt-3 - The reclplent Shall make avallable at Its offlce at all reasonable tlnes the m in paragraphs & ana b above. for exanlna:lon, aualt, or reproductlon, as sptclflec In the ClruSe and Custodial Requlrewcts for Records.
in addition, tne reclplent shall lnsert a clause contalnlng all the terms of thls ClruSe. tnCludl In a11 subconfmcts over $100,030 under thls agreement, rltcrlng the clause only 4s necessary to the Contract3n~ parties anC she SO unaer the Governmnt prlw agreement.
18. STANDARD PATEKT5 RIGU'S - (OM; Circular A-124) - [This clause 1s applicable to (11 assistance Jgl pcformnce of resmmr an6 oevelopment work unless otherwise superceded In the Specla1 PtOvlSlOM Of 1 asststance agree-:;
a. De*in:t?wL
(1) 'lnvcnrior' means any lnventlon or alscovery uhlch 1s or MY be ptrentable or otherwise Tltle 35 af' the Ur$itea States Code.
(2) '5ubja:t Inventlon' Oydns any invention of the reclpient concelved or ffrst rcturlly CIt In the ptrfmmnce of work under thls agreement.
(3) oPract3ca1 Apollcatlon' wins to manufacture In the case of a composltlon Or product, t case of a prroccrs or method, or to operate In the case of J uchlne or system; and, in each conaitlora ;as to establish that the lnventlon 1s belng utllited and that Its kneflts are. t ptrmjtted &* law or Lovernwnt regulations, avri1able to the public on reasonable tern.
(4) %a&' when used In relatlon to 4r-v tnrentfon orans the conceptlon or ftrrt rcturl mh of sucn iownfion.
(5) 'Saprll Buslners Firm' mans I domestlc small business concern as deflned Jt sectlon 2 t
(IS U.S.C. C32) anc jrrylementing regblations of the Adnlnfstrrtor of tne Smll 8urlnos Am' the purpose of tn:s clause, the %Ire, standards for rmdll buslness concerns lnvolved in 60~ ana subcm'terrct?ns a; 13 CFR 121.3-12, respectively, shall be uSC0.
(6) 'NoryrTofit Gtganlzatjon' means a domestic unlversjty or other lnsrltution Of hlgner Cdd otganirariro- of tne type CescrlbeC In section 501(c)(3) of the Internal Rerenur Coat of 195' anc exec;: 'ror tara:ion unae- sec:ior 50l[a) of the 1n:ernal RevenJe Coae (26 U.S.C. S'Jl(d
nonprofit s.;ien:?*:c gr eadca:ionai OrpdnlzdtloP qdaltfled under a State nonprofit Or9dnJla
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b. Allocdtlon of Prlnclpal Rlg9:s - The reclpfent my retain the entlre rlphr. tltle, and interest tnrwww
rorid to each subject Invention subject to the provlsions of thls clause und 35 U.S.C. 203. YIth respect to subject Inrentton fn which the reclpfent retdfns tftle, the Federal Government shall have a non-8xcluslve no transferable, trrevocuble, pale-up llccnsc to practice or have practlced for or on khalf of the Unlted State rubJect invenclon throughout the world.
C. InVentlOn OlSclosure, Election of Tftlc and Flllng of Patent Applfcatlons by RecIpfent
(1) The mclplent shall disclore each subject inrentfon to FUS wlthln 2 months rftrr :he lnwntor dlrclc
. ' . In uritlnp to nclplent personnel responsible for patent utters. The dloclosure to CMS shall k in the of a urltten report and shall tdentlfy the rprttarnt uroder uhtch the fnventtoir uas u6e ana the inrentor( It lhall be sufflclently complete In technical detail to convey a clear unoerstrnalng, to tht extent kfta the tln of the dlsclosure. of the nature, purpose, operation. and phyrlcrl, chnlca1. biological or *let Characterlstlcs of the lnventlon. The dlsc~osure shall also 14entlfy any publlcatlon, on sale or public the InVentlOn and whether a anuscrlpt descrlbing the invention has been subaltted for publfcrtion 4nQ. 1
whether ft has ken accepted for publlcatlon at the tfe of dfrclosurc. In adaltlon, after dlsclorun t
FUS, the reclplent shall prwtly notlfy Fwf of the acceptance of any unurcript dtscrlbing the inventlo publtcatlon or of any on sale or publlc use planned by the rcclplent.
(2) The recfpjcnx Shall elect ln urltlng whether or not to retain tltle to any such lnventlon by notify FYS ulthin 12 raonths of dlsclosure to the reclgient, provlded that In any case where publicrtlon, on sal pubilc use has Initlafed the one year statutory perlod whereln valld patent protection Can St111 be ObtJ
the Unlted States. the period of election of title may be shortened by FYS to a date that Is no -re th. adys prlor to tne enc of tne statutory perloa.
(3) The recfpfent shall file fts in$tiai patent appllcat$on on an elected invention rlthln 2 years aftc election or, If ea-)let, prlor to the ena of any StatiJtOry perlod uhereln valld patent protection can bc obtafnec in tne lln1:eC Sta:es af:er d p~blicat!on, on sale, or publlc use. Tne recipient shall file pa1 app1ica:lons In aadjtlonal countries uitnln either 10 mntns of the correspondjng Initla1 patent appllcc
6 months fro7 the date perrjsslon is granted by the Comlssioner of Patents and Trademarks to flle fore'
paten: 8pplic&:lons rhere such f:llnl; has been pronibltec by a Secrecy Order.
(4) Requests for ex:enr:on of the tlinc. for discloruri? tc fhj, ele::lon, and f!llns my. at the discret' FuS, be srante:.
C. ConCi:ioqs Y>e? tr,e Governre-.: et, D:,:a',r 1::le - Tne recjpjen: shell convey to FWS. upon urjtten -que: t!t;e 30 cp.r soje:: inver.::on: -
(1) If the rec:p:er: falis to c:s:lcse or cblect the su~ject invention dtnln the ttmes speclffed In C. or e1e::s no: f~ re:a!n t1:le. FYS my onlJ, request tltle w!thln 60 day% after learning Of the WCfpfC
fa:l~re tc repor: ci elec: w:tn:n the speciflea times.
(2) In those COi.?:r:e~ !r; rh<C? the recjpjen: falls to flit patent iIppllCatlOnS rfth the ttaKS SpeCtfl
aaove; probidec, nolever, tnt: If tne reclp'len: hus filec a paten: rppllcatlon ln a country after the t
spec;fiec irl c. aaove. bu: prior to Its receipt of foe wrl:ten request of FuS, the recipient shall COnt re:e:n t',;le :r :t&: coun:r,.
(3) In a.r,J ~o,-t'~ !r, w>icr tne recjcient declaes no: :o cor.:ln;e tl7e prosecution of any applicat$on C
$2~ the rd:a:e,?d-8ce feer or, or crfe,;; Ir, ree~aminb:ton or op?orl:~on proceedlns. on a patent on a Sub.
7 nrcn: lor.
e. P,lnimJc R~s*,:s t~ Re::p!cr:
\L) The recipler: $hail re:alr. .j no?ex:luslve, royaiij-free Ilcense throughout the world In each subji Inr?qtlon to uv,!cb, :he Governrent obtains tl;lc except If the reclplent fails to dlSClore the subject
rlthln tr#e tlmes spec!fitc In c. above. The rcciplent's llcense extends to Its dmStlC rubfldiartes dffi\IEteS, 1! any, wl:h!n the orpnizat$onal structL,re of HhiCh the reclplent 1s a party and includes
Flpil: to S'aC: Su5i:censes c' tne sa,w scope 10 the trxtent tht rec!plent uas leytlly obligated tO 60 S ;1w tee aSreer;p-.: rbs auaraec. lne license fs ;rrns,ferable only with the approval Of fYS CXCCpt whcr
:rrnrfcrrec to :ne sL:ces$gr of thd: pafly of the re::jple,-,:'s buslnesf to uhlch the 1nVentlOn peflEinS
(2) The rcc!;:e?r'r uo,-.er::c ircense may be revoke: or mGjf!cz by FUS to tne ertcn: necessary tc ach
cxpec1:~o~s prac:!;d? rpp11,ca:lor. 07 the sublect inrtn:lor, pu-s:an: to an a>pllcrtlon for an erclusfve
submlt:et In aiccrCa-.;e w::t ap;:+ca:]e prcrjsjons Ifl the Feocrri Property Management Regulaflonr and lice-s:c; ie;-!8:::-$ (if a?,). Tr.1~ licerse shall li2: be rerorec jn that fleld of use or the 9to3rr; rrees :r *-:cr :re re::>!e-,: rics scn:erec ;ra~tjc~l rJjlrca:!on a*,< ccr$:!nues to cake the bcnefjts of Inven:::; retso?,a>:-y rcces::"J;f. to the pdslj:. Tne \jccr.se lr: anJ lorclp? cobn:?y cay be revotec 0'
a: :?,e c:s:~F:',c- :' c.5 :c tee ei:er: the recfpfer.:, jts ltcc-sees, or 1:s oomei:Ic subslalarltr or 4
have fr:iec tc tcr.:ere pra:::~~', rpp:!cs:!cr, In tne !crel;- cwn:r-Y.
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(3) Before revocation or mdiflcatlon Of the Iicense, FUS shall furnlsh the reclplent a written fntentlon to revoke or mdify the llcense. and the rrclplent shall be allord 30 days (or such o my be authorized by the FYS for good cause shorn by the reclpltnt) after ithe notlce to show cau
llcense should not be rCvOked or modlfled . The ftcfplent has the rlght to appeal, In rccordanc appltcablt FYS llcenslng regulations (If any) and the Federal Property Ran,igclacnt RIgulJt~OM ce llcenslny of 6overnracnt-arned Inventlons, any Qcclslof~ concerning the revocatlon or .odlfIcrtlocr 11 cense.
f. Rrclplent Actlon to Protect the Covernmcnt's Interest
(1) The mclplent agrtes to execute or to have extcuted and praptly delfrer to IUS r?l lnrtw to (1) eSt4bllsh or confirm the rlghtr the 6overnmnt has throughout the ulorle In those subject rhfch the rrclplent tlects to retaln tltle, and (li) convey tltle to fYS when mquerted under 94 above, Jnd to enable the Covernmnt tu obtaln prtcnt protection throughout the world In that rut
(2) The reclp'lent agrees to rtqulre, by written rgrmcnt. Its ~loyees, other than clrricrl i ewloyees, to disclose promptly In rrltlng to personnel Ibcntlfled as nsponslble for the rbfn' patent matters and In a format suggested by the nclplent each subject lnventlon -de undcr @gn that the reclplent can comgly ulth the disclosure provlsions of paragraph c. above, and to execi MCtSSdfy to f11e patent appllcations on subject Inventlons and to tstabllsh the 6ovemarnt'r t' subject inventlons. This dlsclosure format should require, as a minlmm, the lnformtlon nquli above. Tne reclplcnt shall instruct such employees tnrough employee agreements or other sultab proyrrms on the lmgortance of reporting lnventlons In rufflclent tlm to permit the fillnu of p Jpp1fCdtlQnS prior to U.S. or foreign statutory bars.
(3) The reclplent shall notlfy FwS of any declslon not to contlnue the prosecution of a patent pay mlntenance fees, or aefena In a reexamination or opposltlon proceedlny on a patent, In any less than 3G days before the expiration of tne response pcrfoa requlred by the relevant patent 1
(4) The reciplen: agrees to Include. wlthin the specificatlon any Unlted States patent appllcc patent issu:ng thereo? coverlng a subject Inventton, the folialng stdtewnf: 'This lnVentiOn Government SJppOrt under (taenttfy the agreement awaraed by the u.S. Flsh and uildllfe Servlce: 6overnment has certa:n rlgh:s In this Invention.'
I_
g. Subcontracts - The reclple?: shall Include this clause suftaDiy walflea 1.0 identffy the partlc subagreements, regardless of tler. for experimental, developmental, or research work to be perform business flrm or nonproflt organlratlon. Tne subreciplent shall retain all r'ights provtded for tht this clause, anc the rec!>ient snall not, as part of tne conslaeratlon for arhrdlng the sublgreemr In the subreclpient's sutjec: Inventions.
h. Repo-tips UtiIiZa:lOr 0' SUbJeit Inve?:ions - The reclplent agrees to submlt on request per+Od'
more frequently than ann~ally on tne utilization of a Subject lnventlon or on efforts at obtainlny that are bejnj rrdae by the recipient or its Ilcensees or assignees. Such reports Shdli Include fnl regardiny the StdtuS of development, date of ffrst comnercla) sale or use. gross royalties rtcelvei reciplen:, anc such other data ana informatjon as the agency my reasonably speclfy. The nclplenl provide daCitlona1 reports as nay be requested by FLS in connection wlth any march-in PrOCeedlngS I
ln accoradnce wlfn parag-aph J. of tnls clause. To the extent data or lnformatlon supplled unaer considered bj the recipient, its licensee or asslgnee to be prlvllegea and confidential and 1s so
agrees that. to the extent permlttec by law, it shall not aisclose such Information to persons Out Government.
1. Preference for Unltec States Inaustry - kotwlthstandtny any other provlslon of this ClaUSe. th
agrees that neitner It nor any assignee will grant to any person the exclusive rlght to use or re1 Invention In the United States unless such person rgrees tnrt any products moodylnp the SubJtCt I unufactured substanttally In the united States. Haever, in (ndlvldual cases, the requlrtclllnt fa agreement may be walved by tne Fh'S upon a shoring by the reclpient or its assignee that reasonable efforts hdVC ken Mae to yrant llcenses on slmllar terms to potentla1 ltcensecs that rould k 11k
nanufrCKure substantit1 ly In the United States or that under tne ctrcumstrnces domestlc vnufrctur cocnrrrci a1 iy fear tole.
j. tltle. [US nes tne rlgn: In tccoraance wlth the procedures ln OH8 Clrculdr A-124 to require the r4 assignee or exclusive llccnsce of r subject lnventlon to grant 1 non-exc1uslre, partIaily IXClUStl llcense In any fjeld of use to a rcrponslbie applfcant or applfcantr, upon terms that are reason8 circumstances. anc I' the rec!plen:, assignee, or exclusive ltcensce refuses such a request. FUS grant sucn a Ilcense :tself If Fh'S aezermlnes that:
March-In-Rignts - Tne reclplent agrees that wlth respect to any Subject inventfon fn rhlch ft
(1) SUC~ ac:loq Is necessary because the reclpfent or asslgnee hds not taken, or IS not eve
w1tn:r J reasorA3ie ttme, effective steps to actiteve prtctlcal appllcat'or of :ne subject Inv
fielc of use,
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(2) nclplent. assipnee, or their llcensees;
(3) rqulmments are not reasonably ratlsflea by the rcclplent. rsslgnee, or llcensees; or
(4) obtrlned or arlvea or because a 11CenSe of the excluslre rtght to use or ne11 any subject lnventlon In th' Unlted States Is In breach of such agreerent,,
k. Speclal Provlsfons for Agreements xlth Nonprofit Organlzatlons - If the mclpltnt 1s r nonproflt orglnlzr It agrees that:
(1) Rlyhts to a subject lnventlon In the Unltted State:s my not be astlgncd without the approval of Fa. where such assigment Is aaae to rn organltatlon ahich has as one of fts primary functlons the unrwnt
inventlons ana whlch is not, Itself, engaged In or doe's not hold a substantial interest In other wganlra engaged In the manufacture or sale of products or the use of processes that alght utlllze the Invention o In competttlon with embodiments of the lnrent,lon (provlaed that such assignee shall be subject to the su provlrlons as the rccfpient;
(2) The recipient my not grant exclusive licenses under United States patents or patent app1icatlons In Subject Inventions to persons otner than small busines:s flrms for a period fn excess of the earlter of:
(1) Five years from flrst comnerclal s,ale or usie of the lnventlon; or (li) _Eign: years from the aate of the cxcluslve llcense excepting that tlme before rqulatory rycnc necessary to obta:n premarkct clearance,, unless 011 a case-by-case bcsls, FWS approves a longer excli license. If exclusive fiela of use lfcenscs are jprantea, comnerclal sale or use In one field of us(
not be aeenec come-::al sale or use with resgect t~ a product of tne Invention shall not be ocemed tne exclus; re perloc to ajfferent subsequent proalJcts covccea by the Invention.
Such actton 5s necessdry to a'11eviate health or safety needs which ape not reasonably satlsffea by tl
Such actlon is necessary to meet requlrtrmcnts for publlc use speclflaa by federal .regulatims and su
Such rctlon 6s nrcrssary because the rgree'nt mlpulred by paragraph t. of this clruse has rwt hn
(3) Tne recipient sha:l snare royaltles collected or, (I Subject lnrentlon with the Inventor; and
(4) Tne oalance of aqy royalties or income earnec by the rcciplent with respect to subJect lnventlonr. '
paymen: of expeqses (in:?uc:nc payments to inventors) incldentlal to the adminlstratlon of subject Inrcn'
shall be u:ilizeo for tne support of scien;ilic research or education.
34. Db?A CO?LfCT:O\ - (?aperrsrk keCuc:lor. Act Of 198;) - [TnlS Clause Shall bC dppllcdblt tO all rSSlStarCe 4Qr' through wr<icn Fki sponso-s the collection of 1nfcrmat:on as defined In 5 CFR 4.132G.7J
a. OMS repuires review anc apjrova; of plans and reports ~usea to collect ldentlcal lnformtlon from 10 or persons (other than Fecerai em:lojees) under assistance agreements sponsorea by FWS. A collectlon Of Inform undertatefi by a re::p;en: is conslcerec to be 'sponsorec' by FYS only If:
(1) Tne reclp!ent 'Is coilccrln;; informarion at the speclfic request of fUS; or
(2) Tne terrs anc CO~C::;G~S cf the agreement require speclfic approval by fYS of the collection Of lnfbrme:ior, or tne ccl1e::ior procedures.
b. Unless Otherwise s:e::fie:. Odta colleclion conducted under the assistance agreement Is the responstblll the reciplen:, cnc FiS 5u;port of the project aoes no: conrtltute FYS approval of the survey deslgn, questlc content, or data collectlon proceaures. Tne rec'lplent shall not represent to respondents that such data IS collected for, or ln asrocia:ion WItn, the FYS or any federdl agency wfthou: the speclflc wrltten approval (
data collectlor, plan or device by tne FYS. However, this requirement Is not lntcnded to preclude rntton 01 support of the project 'in response to any tnqujry or acknowledgement of such support 1n.any publlcrtloo of 1
data.
20. RIGHTS 1h TE:H'~!:kL DL': A\: :?U:-TER SOFTY&QE - [This clause shall be ap;1lcdble to a11 8SSfStanCe agrtcmtf Involrfny tne tccunu1r::o- 0" tecnn:ca; Gaia or tne developwnt of computer software financtd ln whole or in par1
Federal funas]
a. 0efini:ions
(1) Tne te-r ':e:br!ct. ~t:t' Deans rccorde: jnforw regardless of form or ChdfaCteffStfC, of d
scien:,f!c c- iec*r:ce: r.e:L-c. iecnnlcal data does 'nclude con~~:er software. ana It docs no; lnc' fjnanc:a!, ao-:n;s:re:ive, ccs: pricin~, &no mfidQer;+ :ala, or other informtion incldcntrl to contra!
a a r : n : s : r a : 1 c -. .
(23 CO-~,-:P- 5~f:rr-e - CO~G~:C- prcpracs anc corr+s:er aa:a bases.
.
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(3) tonju:er Software Docume~tatlo~ - Tcchnlcsl data, Including conyuter llstings and printouts. '
rercaote forn- wnicn (I) oocumnts tne ocsiyn or details of computer software, (11) explains the CJI the software, or (111) provloes operating Instructions for urlny the software to obtain &stred re! computer.
(4) Unlimitea Rights mans rights to use, dupljcate. Or disclose tcchnlcdl Clata or coRputtr softr
or in part, in any mnner and for any purpose uhatsoever, and to have or ptmilt others to do so.
(5) LImltcd Rlyhts means rlQhtS to use. eupl4cate. or alsclosc technic41 data, In uhole or In par the 6overnment. ufth the express Iimitatlon that such technical data shall not. rlthout the rritt4 of the party furnlshlng such technical mi be (a) releasee or disclosed in rrho\e or In part outs1 fovcrnmcnt, (b) use0 In whole or In part by the Government for ahnufacture. or In the case of cm dOcumntation, for preparlng the same or simt)ar coaputer software, or (c] uricd by a pirty other t Ciovernmcnt, except for emergency repairs of release to a forclyn government cks the Interest of tL
States my require.
(6) Restrlctcd Rlgnts apply only to conputcr softuare roe Include. is I hin~num, the ripht to: ( computer software with the computer (or If lnoycrative, a backup) for which It was acquired at an, installation; (ill copy computer programs for safekeepfng (archives) or backup purposes; (lti) mo software or combine it with other software. Subject to contln,urtlon of the cxjrting restricted ri prorlsionr.
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b. Governnen? Rig-,:s
(1) U-,lirrfteC Nights - Ine Government shall have unlimited rights In:
(a) Technical data and COnguter software resultiny directly from performance of experlwnti developmental or research work which was specified as an element of performance tn thlS or 4 bsrerrrmen: assistance agreement or contract, at any tier;
IC:' COr,Jter soft.iare requirec to be originate0 or develoyea or genercited as a necessary p unoer tnis or any other Government assistance aqreement or con:ract:dZ any tier;
i:) Con2,ter aatt bases preyarec under tnis or any other Governmen; assistance agreement a
a"., :-,e* cons?stj~, of inforEa::on supplleG by the Governmen:, Information In which tne Gov
uriir.::ec r:$-,Is, CY Informa:ion wnlch js in the public dord?~;
(c, Tecnnica! oat6 or cor.:3uter scftware. constitutln~ corrections or changes to Government
or co.:;;.:er scftw?re. prepares or reGJirec to De aeiiverec under this or dny other Governw a,ree-.er: or cor.;ra:t dt any tier;
(e: 'Tecn?ic,?l ad:? or cor,@uter software which is in the public domain or has been or is n o* ClSc:OSeG b~ tne rec:pienL or subrecrpients without rcstrictlon or further Cli5ClOSUre;
(f) Tecr.--czl Ge:d or coqlfer scftware iistea or aescrlbed elsewhere in this aSSlSt4nCe rne bar:ies ndve yreaeterrr;neG sr,c agreec hill be furnisneo with un11n;jteo riyhts.
(2; Llr:tf?C ?:arts - lne Government shall nave Iixteo rights in:
(c: Tecnr,?cal ad:&, listec or OestriDed elsewhere In this assistance agreement which the agreeo wili be furnishea witn limltea rlgnts;
(c) unpublished ttchnicai data developed at private expense ana unpubllshcd computer soft uocumentatior. relarec to corryuter software that is acqulred with restricted riyhts provldc
to which the Government's rights are 1lmite.a Is loentifled.
(3) Restrjcted Rioe'ts - Tne Government shall have restrlcted rlynts In coiwuter sOft*arC, 11s.
elsmnere in this assistance scjreement, which the partles have agreeo ui11 De furnlshed with r provlae: furtner that:
(a) The recipien; clearly marts the corrputer software with a restricted rlyhts lewnd Yn cmputer software aocumentation Includes a prominsnt statement of the restrictions appll~ cowc';.ter softmare. Failure of the recipient to apply d rektricted rights ltytnc to such sr,ail relieve the Government of Iitbillty with respect to such unmarked software.
(c: The recipien: may nc: place any legend on compute* softwdre lndlcating restrictton5
G:vernixr.:'r ris?:s in sbcn softrare unless the restrictions are set forth e1Smhere In 1 a$-eewr,: dnc agree- to by the parties prior to the delivery oata of the software.
(4,' h: leqe?c scdi! DC narreo on, nor s9all any 1irn:te:ion or reS:ricKion OF riynts of use 1' C~n;-:e' ~ofi-d'e 0-i~' tne recipien: n?S previcju~lr aellverec to tne Govtrrnmen: rltnOut rest l:r.:ec c- res:r:,c:ez, r:g*:s pr~t:~~: for b, ~r~s ciaJse sr,ali nc: tvc!r tle rlgqt 0' rnr GO
sir: id- or 1oec:icei cc:d ~r c~,-;j:er softrare acGi1reC from orne- sot,rces.
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c. Inaemnlflcatlon - The reclylenf shall Indemntfy and 5ave and hold harmless the Govcrnmnt, it5 Offjcers, ayent5, ana emp\oyees actlny wlthln the scope Of their Offfcldl dutles against any liability. includiny Cost
expenses, resulting from any willful or lntentionaj violation by the rcciplent of proprietary tights. copyri or rlyhts of privacy, rrlrlns out of the publlcrtfon. translation, reprobuctlon, delfvery, perfo-nce, use disposltlon of any aata furnlrhea under thlS assistance aQreernent.
d. Acgulsltlon of Technlcal Data ana Computer !Software from Subcontractors
(1) Jgrtemnt, the rrclpfent shall use this saw ClauSe tin the subcontract. without alterrtlon, Jnd no other shall be u5ca to enlarye of dlmlnlsn the Governarnt's or the hclpjent's rlQhts In that subcontractor oa computer Software which 1s rqulred for the Government.
(2) The reclplent ana higher-tler subcontrlrctorS will not use their power to award Subcontracts JS *Con leverrye to acqulrc rights In technlcrl ddtd of Computer software from their subcontractors for thcaclr
e. Relatlor to Patents - Nothlng contained In Phls clause shall irply a Ilcense to the 6orernmnt unOer any or be construec as affectins the scope of any l?cense or (Other rlpht otherwise granted to the 6orernwnt una paten;.
Whenever any technical data or conputer Softuare is to be obtained from r subcontractor under thls
21. Prlntin~, ConyreSS of tne LinlKeC States) - [This clause 1s ap>licable to all dsslstance ayreemnts,eXcepf those i
tne entire cost of printing is no; Dorne by the FbiS or tne printins is not exclusively for the FNS
a. This assistance agreeme-: Is not mae primarily or substantially for the purpose of typesettiny or havlr adteriai prinrec for FnS USE.
B. Recipie5:s tw~ reDrodu:e w::no,: further aufhorizatlon, reports, data, or other wrjtten raaterlal requlrc
the terns C' :?,e e,-eer+e-.: 'cr t->e ~se o' FRS. proticec tb8at the m:er;al au:licatea does no: exceed 5.UUU i only one pege. or :rid: ite:; co?s:stIny of mJltip1e payes eo no: exceed 25.UOG units In the aggrepate. Recl mist Ecvlse Kbe SC :f r-te es:lct'.eC qua-:::ies )<<;I exceec these celllnSs IC tna: Departmnta~/Comlttee .PI can Be ob:e;nec.
c. Tnese restrictions 6: r.ct preclirz~ :he wr:tin;, *:-?:ns, prepara:lo~ of manuscript copy and related 1llustrd;:ve ficterial, 0- tne pb2lice:iop, of finc;nss cy recipients; or tne eominlstratlve printlny rcqulrca the recipie-': re;\.irec fop Its our use KG resporc to tne 'terms of the agreewct.
RESTRICT!O:iS Oh PiliKTlh; - (Governmen: Printiny ana tlinalnrj Reyuiatlons puDllshee by the Joint Comnittee on
use]
22. as s 1 s I an c e a 4 re ere 7,: s ~
UTHEa kC":\:S?i:';;l ~V.~$:S:C~S Ah.. hSS;"*,:ES .. [The fol lowir; provislons ana assurances are applicable to
T~P recipient nere:, assiires ant, certifies that:
c. 1: porsesses lei*: a,t-z-;:J tc e:iiy for cnc acce;: tr4:s A;ree-en:; that any ne: ;err resolut~on. rot s;nilar cc:-:- nt5 3ee- c-': ec;;tec c- cesspc ai 8~ c~fi:id: d:2 G' it's yoverning t.c:). autnorizlny the f
any applica;:c-, .in;lwc:~; e; 1 unoersrdnclnSs anc assurdnces containec :herein anc directing ana autnorlzin perscr. ioer::!:ec 6s ::'s c'!;c:t: re,-eseqtd::re KC cct ir connection ~i:n an, application or accevtance 4 proviae LUCC inform:!or, e; G?: De requ;rec.
B. It shall coqiy rn::?, :::le V! of tne civil i?iyh:s ~ct of 195t (P.L. 86-332). an6 In accordance wlth Tit tnat AC;, nc verso+ in tne LI-::~; S:a:es shall, on the grouns of race. color, or natlonal orlpin, be exclud
particlpation it?, be aert:ec tne oenefitr of, or be o:neru:se rubjecrec KC discriminatton under any program acttv$:y for which rec:ple-: re:e: ver Feaerdl finan::at (Ss1s;ance anc snail lmneefately take any measures necesir,ry to c!fe::udre tr:s Aireewne:.
c. It $hail cosi~ w!fr ?::)e VI of the Clvll Rights A:? of 1964 (ti U.S.C. Z0L)Od) prohlbltlnp crrployllent
dircrlrn:nc:lo-. r?ere (ij :-E. :*'amtry pu-pose of an r;reener: is tc pr~t:de e~1oyrrpn: or (11) dfSCtlninltOr
ciyloycun: prac:lces vi! i resul: in uneqdal ;rea:Wn: of persons en3 are or should De bcntfitinp from the
astlriance-a: ae3 ac: I vl:~ .
d. I< rRa:i CO-Ci, w.:- :-e ;-:v'S',c-$ of the .C;e ~is:r)r'r&t:00 LC: cf lY?> (?.L. 9:-135; 42 U.S.C. 61U1.
rec.) rnc Ir d;:?'Cd';e -:iF tn4: Act, sr,ali pr3:,iS:t d:scr:r,:na:ron on the Basis of age.
e. I: 5:~:' ca-.';, . LC ,. :pe exte-: 6;;. :"e, .":n :j:;e ;x c! tne Ecu:d:ioc Amendnen:s cf 1972 (20 U.5.C.
f:.ie:,., m-.:~ ;-;.'cfi 1-2: r: 2e-sz- :ne br,i:ec ~te:es s~zii, o- :ne oasis of sex, be excludeo fro?
~e-:1:';t!'c- .?, ze ce-,:er :'.e ~ene':.. 3'. cr De iu3je::ec 10 cis:ri~:r~e:137 uncer any taucs:lonal proyrr e:;.,,':; re:e.v'-L ;e:?-?' ',-
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f. It shall comply 4th Section 504 of the Rehdbl~ltatlon Act of 1973. as amended (29 u.S.C. 794, p.1
c and 411 requirements imposed by or pursuant to the regulations of the Oepartnrnt of Health, Eoucation
(45 CFR Parts 80. 81 and 84). p~lgated under the foregolng statute. It rytees that. In JCCOrdJnCe foregoing rcquirewnts, no otherwise qualified handlcapped person. by reason of ihrndicap, shall be ex1 participation in, be aenjed the benefits of, or be subjected to discrlnlnrtion under any program or JI ncelvlng federal flnanclal asststance, and that It shall take JIIJ measures necessary to effectuate u
0. It shall c-ly with nquirements of the provlslons of the Unlfom Rc~ocrtion Asslstrnce and Real Acpuisitlons Act of 1970 (P.L. 91-646; 42 U.S.C. 4601, et. req.) which prevldes for trlr and qultrblc perrons dlsplrcea IS a result of Federal and federally rsslsted proQrras.
h. It shall camply rlth the ainiaum urge and UXIN~ hours provlslons of the Federal Frlr Labor Stan1 U.S.C. SOU, et. sq.) requirlng the paynnt of the ninlrurn wage for all covered (#ployerr and the pu~ overt1 me.
1. It shall tstrbllsh safeguards to prohibit mployees from using their posltlons for J purpose that the appearance of being motivated by J derlre for prlvatc galn for thenselves or others. prrttculrrly whom they have farnlly. business. or other ties.
j. It shdll assure that no meaer of or delegate to Congress, or rpsldent Comnlssloner. wlll be aM share or part of this assistance ryreement, or to any twnefft that may arlse from It. And further, 1 with the provisions of 18 U.S.C. 1Y13 which prOhlbltS the direct or lndlrect use of any funds 4ppropr Congress to pay for dny personal service, advertisement, teleyram. telephone, letter. prlnted Or wrlt otner oevlce Intendea or designed to fnfluence a mmber of Congress, to favor or oppose, any 1egiSlJt rpproprlation, whether before or after the lntroductfon of any blll or resolutlon proposing such leg1 rpproyrlctlon. finally, It warrants that It has not pald and agrees not to pay any bonus, cwalsslon the purpose of obtaining approval of It's applicrtlon for the financlal rsslstance rgrctaent.
k. It shall comply with the flood insurance purchase requirements of Section 102(d) of the Flood 01s
Protection Act of 1973 (P.L. 93-234, 87 Stat. Y75, approved December 13, 1975) which call for the pur Insurance In ~0wt~ni;ies where such lnsurance Is available ds B condition for the recelpt Of Jny fede assistance for constructfon or acqulsitlon purposes for use in any area thdt hds been iclentified by 1
the Feaeral Emeryency Hanagemen: Agency as dn ired hav:nb special flood hazards. The phrase 'federal
dssfstance' incluaes any form of loan, grant, guarant~, insurance payment. rebate. SubSldy. dlSJSter loan or grant, or afij otner fox, of direct or Inairect feoeral assistance.
1. It shall ensure, purst~ant to Executive Order 11738, thtt the ftCilitfeS under Its anerrhip. Iea3
supervision, whim shdii be Jtillzec In the accovllshwnt of the agreement are not llsted on the Eni Protection Agency ([PA) list of vlolatfni; facilities anc that It shall notify FLlS of the receipt Of 4 comnunication frorr. the Oirector of tne EPA Office of Federal Activities indlcatfng that J f&Cillty t<
the project Is unaer cocsiaera:ion for llsting bj tne EPA.
m. It shall covly uIth the provislons of the hatlonal Environmental Policy Act. of 1969. (P.L. 91-1! Executlve Oraer 11516, as amenaeo cy Executive Order 11991, rnlch promotes efforts to prevent or elit to the environment anc biospnere anp requires an Environmental lmpact Statement when plans and prOgr4 the quality of the environwn:.
n. It snail comply, tG the extent rppljcable, with all the requlremnts of Sect.fon 114 Of the Clean 4menOeG (42 U.S.C. 1@5?, e:. seq., as amended b, P.L. 91-604) rna Sectton 308 01: the Federal Mater PC Control Act (33 U.S.C. 1251 et. seq., as imenaec oy P.L. 92-500), respectlvely, relatlnp to inspectii
entry, reports, ana information, as well as otner requirements speciffed in Sectlon 114 rnd Stctlon i Act ana the Uater Act, respectively, and all rtgulatlons and guldellnes lsrued 1:hereunder.
0. It wlll comply with the provlslons of Executlve Order 11288, wlrtlng to thtr pmventlon, Control of water pollution.
p. It shall assiJt fUS In Its compliance with Section 106 of the National Hlstorlc PreServatlM Act amended (16 U.S.C. 47U), lxtcutlve Order 11593, and the Archeologlcal and HlrtolFic Preservatlon Act
U.S.C. 469a-1 et. req.1 by (1) consulting with the State Hlstorlc Preservatlon ilfflcer on the conduc investigations, as necessary, to ldentlfy properttes listed In or ellylble for 'lnclurlon In the htl of Hlstorlc Placer that are subject to adverse effects (see 36 CFA Part sOU.8) 13y the JCtlvfty. Jnd
of Lnt CAi>bCIILt w; d..; sdcr, properties, and 01 (e) cov1ylny with a11 requiremcnts established by f
mitly4tt 4Cfcrse effeits upon such propertles.
q. It Shall corvly uIth the provislons of the Cargo Preference Act of 1958 (46 U.S.C. 1241(b)(l)) J ensuring fair dnc recSOndGle partlcipatton by privately Wneo u.S. fias comnercial vessels In transp
41-15 the requjremen:s of tne 1n:ernatlonal A1r Transp0r:a:lon Fair Congctltlve Practicer Act Of 1974 ll596j for preferential use of u.5. flas air carriers for tne lnternrt~onal transporatlon Of persons effects anc o;ner cars;.
r. Ir $hail cor?ly r::r fne ~-c~l~lor,s of Se::!on 176 (c) of the Clean Air Act (42 U.S.C. 74U1, et.
assure t~a: Fecera; ass!s:an:e &::!bitie5 cc n?: ae:r:r-ertailj affect Stste efforts 10 a:ta!n anG o(
nrtior.al a-Lier: 8:- C~Z!',:~ s:dncarcs ana prc:e:t 8:: qua\lty cleaner thar the Standard&.
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I. It Shall comply wlth the provisions of the Endtngered Specter Act of 1973. IS awnded (16 U.S.C. 1531, et. req.) to assure that federal assistance actfvtttes are not Ilkely to jeopardlre the contlwcd rr~Strnce of an) endangered or thrertencd species or result In thtl destructlon or rdvrrre oodlllcatlon of crltlcal habitat of spec1 es.
t.
et. oeq.) IS lt relater to restrlctlon on the trklng and use of urlne -1s.
u. et. teq.) rnd the rrgulatlons promulgated by the U.S. Dopartrnt of Agrtculture pcrtalnlng to the cam, hndl rnd trritrnt of warm-aloodea anlovls held or wtd for research, trrchlng or other actlvltfii sopportre by Fe funds.
V. It shall comply with the rcqulrementr of the federal InSeCtlClde, FungIclde and Rodentfctde Act, as ycni
U.S.C. 135, et. reg.) ai It relates to the rppllcrtlon of au pestlclde.
u. It shall comqly wlth the rtqulrencnts of the National Research Act of 1974, IS rrndcd, (42 U.S.C. 289 (; and rrgulatlons Issued by the U.S. Department of Health and human Servfccs (45 CfR. Part 46) as they nlrte 1 safcguardlny tne rlghts ana welfare of any humn sub)ects lnvolved ln research, 6eve1op~nt and related act11
nupportea by Federal asslstance funaincj.
x. It shall cowIy wf:n the requirements of the Prfvrcy Pict of 1984 15 u.S.C. SSZ(a)], W ttrcular A-lUB r
freedom of 1nform:ion Act (5 U.S.C. 552) as amenaea. as they relate to the besiyn, derelopmcnt or operation system of records on lndi viouals perfotmea by the Federal ossjstance reciplcnt or subreciplent involvlng the
perforirdnce of the Gcvernneo; functlor,, lnclucinp the col lectlon, use, and disseminrtlon of records.
y. It shall com;:y wIth the provlslons 01 Executive Order' 12372. as l~lcmented by Dcpartmrnt of the Inter1 reyu1a:ions [4j Cik Far: S; 40 Fir 25224, June 24, 19b3j as they relate to lnterporerninenttl Rcvln of feuerr
Programs.
L. It rhdll cor-;::T witn a11 requtremen:s t~osau bJ a ieoerai ayency concerninp specla1 requirements of la
projrd:: re;b'reT8e-ts, I~C c:r,er a~c:n:~tra::ve reqs'rerexs approvec in accordance with rppllcable otca Cfrci
[The follodlns aoc:::o,:a: acr;n:s:ra::ve prov:Stocs dr: re:ip:en: assurances ore applicable to assistance ayreecnl
w::h S:a:e anc local 9orernwnts.j
ft Shall coarply ufth the provlslons of the Xarlne )Icraul Protectlon Act of 1972. as vrnord (16 U.S.C. 13'
ft 8hall cvly ulth the nqulrtavnts of the lrborroory Anlul Yelfrra Act of 1966, at rrndtd (7 U.S.C.
ad.
pO?ltl<d! dL<?Yi:) of S:a:e anc 10:~: governriec;. ery:o,,ees unoLe salaries are paia from Federal asslstance
b:. it 5hdl 1 con:ly w::?. tne re3u:renents of the Coastal Zone Management Act of 1972,. as amended (16 U.5.C e:.sc<.) to assure t~t: ieoe:sl dsslstance acrivitles are cons>stent wltn feaerally-approvec State coastal
renagenen; p-csrtrs Ges:;-ec to preserve, protect, aetelc; an<, where possible, restore or enhance the nrtf coastal rtso..rces.
It sht?l cor;If w:?t :he provfsioos of fne Hatch Polltical Ac: of 19CU (5 U.S.C. 1501) whlCh llnits tl
[The fol!cm.in; acc;:lcce: ac-:riS:rd;ive provisions ,kn: reclp!erlr &zsacances are lrppllcable to 4SsiSttnCe agree
~iirolvir i coci:r,r:;ar 47,: lr;-ovex-,:s.:
cc. 1: %:I! ?:ve sb'f::!ert funzs avcila3le tc me: tne non-feaeral share of the cost for COnrtruCtiOn pr'
5.iT?<clec: tu?:; r:l; be dve:lacie *-en cons:ru:tion Is C0n;It:eG to (ssure tffectlve operatlon ana rdinte
1i.t Ydclji;; To; tne purpcres cons:ructec.
dC. It rli: rcqulre tne facility to be deslgnec to cowly wltn tnc 'Awr5can Standard SpeCf&)fC&tlOnS for
Bul!c!n~r 871; fa:lliK:es kccessfble to, ana Usable 91, the Physically Handjcdppcd,' C(um3er A117.1-1961. aS
noCilfet, (4: CFR 131-19.653). Tne r;pllccn; wil: oe rts,ponsiDle for conaucrlns inrpections to Insure CO(~
*!<?I tneic i?eCtfiCat!GrS by the con:ractor.
re, :: E!'] O~!dlil ap?rovd! 3y FWS af the fjnal aorklng drarlngs and spcclflcstlons before the prOJcC: 1s
ad.tl-tIs?< iir placec on 1r.e IXdrte: for blaGln5; :ha: ?t ~!ll construct the project, or cause it to be cons
to ?indl cc*:yle:ion ir tcccraar,ce rt;n tne app11ca:toa (l>C approred plans and rpcclflcrtions; th&t it wili tc JUS for $-!o- a2proval chanqts tn(K alter the Costs o'f the project, use of space, or functtonal IWwt;
%':! na: e,,:?- !C:O a CO?II~~C~~O~, con:ract(s) for tnc projtc: or unaertrte other activltles untll the :or
Of Zht COiiZ'c::;9~ $7&-:+. prc$rrm[s; have been ow:.
If. 11 rlll caijse WS-K 0" tpe prc~e:: to be comyr:c~ rt:~i~ 4 rearontble t!me after mcelpt of notlftcr
F.5 tet&: 'd-25 t,dre bee- c;;rovec a?.: tne: tr,r prc~e:; *::I be prose;u:eG to COvlctiOn wjth rcaromS~! C
9;. I! e:': C:sj:se cc c- er,curce- :ts :<::e 0- otr,er :n:eres:s 1" the s::e anc frcl1ltr:r (!briny the ?t Fe;?-e' ::.:e-ei: or w*.:le :ne i3ve--r+-t ~slcs boq~~, w-!chever 1s the io?ge-.
cr. I: r':i ??cr:ce (in: rd:n:a4,r, :or?:e:e.-,: ar.3 60e3dd;e c-cr~!tc:t~r~i englneer',r,; su~c~v!sI~- ant !fir??:
:-e CC-s:rL::.:? s::e IC. !c?sJre :rt: fne c--,,;p:e: ,.:pt co'f~rr5 .\:- :f-e a>;rcve: pidr~ .5rC Spe:!ffCd:?G
!t r:i: fLi--.s- ;;-o;*ess re;:-:$ arc rlrct. c:r,e- (r,fcrra:>o-, 4s ib'S cat r-cq;lre.
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11. It rill aqrrrtr and vlntrfn the frcl?lty In rccordrncr rlth the dnlurn stmaads @r my be rw )C.rCrlkb by the rppllcrble Feb(rrlr State and 1oc41 rgencler for the wlntrrunce and rprrrtlocl of f lac1 11 t ler.
. jj. It shall rttlrt In coqllrncc with Executive Order 11988, Flood Clrln RanJlglrnt uhlch rrqulrrr the oxtent gootlble. of the long- and short-tern rdnrrr lqrctr rtroclrted ufth the ocwQIny 4nd floob glrlnr and to wold the d$rrct or Indlrrct 4upport of flood plrln devrlqmnt whmever -re I
&k. It shall asslit ln corpllrncr ulth Eaecutlve Order 11990, ~COtKtlm of Mrtlrnds. rRllCh mutt tRe clrsttwctton, loss or aegrrartlon of urtlrnar rnd efforts to pmrrn end ecrhrnce thrlr rrturrl 4 val yes.
.
rlwt1 ve.
23. ORDfR Of ?RfCEDfNtl 9 [Thfs clrure $hall k rppllcrblr to 411 U$lrtrW@ rgr-lrntS]
In the went of 4~ tnconslrtency between rqy provlrlonr of thlr egfwmnt, the follalnp 0-t of I
WPlY:
a.
b. fpeclrl ?rovlrfons.
c. Canctrl Provirlons.
d. Rrclplcnt'r Proposal (If Incorporbttd).
Strtmnt of Mort (rxcludlng the nclplrnt'r pf'OpOlr1, $1 Incorporrtrd).
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24, CERTIFICAlI!X' REGAi7DIhG A DRUG-FREE WRKPLAA
A. Definitlons as used in this prwision:
1. "Control lod substance" tmam a contml led wbst.ncm In schdules 1 thrcugh V of sactlon 202
of the ControIld Substance Act (21 U.S.C. 812) ad as further defined in ropulation at 21
CFR 1392.11-1308.15.
"Convtction" naant a findiq of guilt (Including 8 p7u of -10 corrt.ndm) or Imltlm
of nntmca. or both. by any judklal body Chqd ulth th mpcnulblllty to drtrralrw
violations of th Fderal or St.- crlnlnal drug -tu*.
"Criminal drug statute" arm 8 F-1 or mfd.ta1 crlalnal st.- im1vl~ th
2.
3.
manufacture, dlstrlkrtlon. dispsmlnp. possession or ut. of any controlld rubstur*.
"Drug-fme rnrkplaaz" mans c slta for e perfornun& of work docre in axvrctlon ulth a
specific contract at which mployces of the Contractor ate prohlbltud fnm angaging In the
unlawful mnufacture, dlstrlbutloo. dispensing, possession. or use of a antrolld
substance.
"Ernplow" mans an mployee of a Gmtractor dfroctly engaged in ttm perfomunca of wxk
under a Goverment contract.
"Individual" means an offemr/contrlctor that has no mre than one anployoe including th
offeror/contractor.
4.
5.
6.
8. By sutmission of its offer, the of4eror. If other than an individual, wtro is making an offer -1
equals or exceeds $25,000. ceeifiL5 and ngnes. that with respect to all enplopes of the
offeror to be mployed under a amtract resulting frum this solicitation. it will:
;. Pub;ish a stamnt mr<fyi% such employees that the unlawful manufacture, distrikrtion,
disxnsix, possession, 07 use of a oortrolled substance is prohibited in the Contractor's
*orkp;ace and spscifying the actions that will be taken apainst unployees for violations of
such proh,1bltio?..
2. EstaS!ish a drug-free awareness prograr to inform such enployees about:
(1) the dangers of drug abuse in tt-e mrkp:ace:
(11)
( i 1 -, )
the Contractcr's policy of maintaining a-drug-free workplace;
any avdi lable dug carnsel-;nf, rehab7 1 itdtlon. an6 employee assistance programs;
a nZ
the penalties that may be inpo!;ed 1~x3 mployees for drug abuse violation axxrrirr
IC tbe vo-kplace.
(iv)
3. Frovi6e all WG~OYWS engaged in performaxr of the contract with a cagy of the statement
requirec by subparagraph, (b)(l) of this. provision.
Kotrfy sdch employees in the staterrent rpquired by subparajraph (b)(l) of this provlslon.
that as a condition of mntinued enploywnt on the ojntraz resulting fmn thls
soiicization. the enployee willl:
(1) aSlCe by the terns of the staL~;~t; and
(11)
4.
mt!fy the enpioyer of any crirninai drug statu+& =miction for a violatton
cxzarriw in the Mrkpla- rw latar than five (5) days after such conviction.
5. k:-*y t?e tontractinp Officer wlthin Ten (IC) days afte- -ivinp notice under
su&?v?si3i (b)(l)(ii) of th.ls provision, fm an e~lplope or othervise receiving actual
13t:ce 0' sxh wnv1ct:on; and
_. -<,.. d>
e e
S 6. Within 33 days after receiving notice under ruMivisim (b)(4)(ii) of this provision
conviction. import the foilO-ring sanctions or Mia1 medsures. on any rnployee vtro *
convicted of drug abuse violations -wing in the workplace:
(1)
%
w
Take appropriate personnel actlocl .gainst such employeta, up to and including
tennlrution; or,
Requlrr such mp1oy.e to ratisfactorlly participate in a drug abuse usistan
rrhabilltrtlon prcqram apprwad for sucf~ purposes by a fuioral. Stam. or lo
hulth, law Wforomsnt, of othr apfwopriate my.
(ii)
7. Make a good faith offort to ruintaln a drug-frra tarkpl.cr thmeugh Ilplwntatbn of subparagraphs (b)(l) thrargh (b)(6) of thtr provision.
C. By rubm~rsion of its offor, tho offomr. if an Indtvidual who is waking an offer of any dc
value, c4cifios and agmes that tho offomr wlll rut wage In the .unlawful manuf.ctum..
dirtrlbution, dirpsnttng, pozsussion, or use of a amtrolld substance in tho porforruno
axtract rstulting fran this solicitation. ,
Failure of the offemr to pcovide the artlfiution mquirad by paragraphs (b) or (c) or 1
provision, randerr the offoror unqualified and ineligible for ward. (See FAR 9.104-1(g) I
0.
19.602-1 (a) (2)( 1). ).
E. In addition to other remedies available to the Govcrrment, the certification in paragraph!
and (c) of this provision concerns a matter within the jurisdiction of an agency of the UI
States and the making of a false, fictitious, or fraudulent certification may render thc I
subject to prosecution under Title 18, United States Code, Section 1001.
25. CERTIFICATION REGARDING LOBBYING ACTIVITIES
The undersigned certifies, to the best of his or her krwledpe and teelief that:
(1)
A.
No Federal appropriated funds have been paid or will be paid, by or on behalf of t
undersigned, to any person for influencing or attempting to 1,nfluence an officer o
employee of any agency, a b&r of Congress. an officer or anployee of Gnqress.
employee of a briber of Congress in connection with awarding of any Federal amtra
making of any Federal grant. the making of any Federal loan, the enterinp in- of
cooperative agrement. and the extension, continuation. renewal. amendment. or
modification of any Federal contract. grant, loan, or cmperzitive agreement.
If any funds other than federal appropriated funds have been paid to any perton fc
influenciq or attempting to influence an officer or enployec~ of any agency. a Fk
Congress. an officer or anployee of Congress, or an anployee of a bnbr of &ogre
connection with this Federal contract, grant. Ian, or ampei-ative AgmbSnent, the
undersipned shall aanplete and submit Standard Form LLL, "Disclosum Form to Rewr
Lobbying". in accordaoce with its instructions.
The undersigned shall require that the languape of this cert.ification be irc1uded
award documents for all sub-awards at all tiers (including sdxxntracts, subgrants
Contracts under grants, loans. and cooperative agreenents) and that a11 submipic
shall certify and disclose accordingly).
(2)
(3)
6. This certification is a material representation of fact upon which reliance was placed d
transaction was made or entered into. Submission of this certification is a prerequisite
making or entering into this transaction imposed by -Ion 1352, title 31. U.S. code. Ai
who fails to file the requited certification shall be subject to a civil fxnalty of mt '
$10,000 and wt mre than $lOO,~O for each such fallure.
-32-
25. ze-:-J-Cd:-C-, iie:a-bir,: w jni>~c: gC jnte~~=: Q
There are nc relevant facts or ClrCumSta!Ke which Ca-Cl give r-se to e,=her an indlvldual cc
orpanizarion conflict of interest.
tdvernment em2loyees being associated with or a member of the requestlng organization and beiq
in a position to influence the awarding of a grant or cooperative agrmnt. agrees that if an actual or potential conflict of interest is discovered the recipient shall make
a full disclosure in vriting to the Contracting Officer. This disclosure shall include a
description of actioos which the recipient has taken or pruwses to take, after consultation with
the Contracting Officer. to avoid. mitigate or neutralize the actual or potentla1 conflict.
Sucn conflict of interest couia involve such thinps as
The recipient
27. Cert<fication Reoarding Debarment, SusDenslon, and Other Resconsibility Matters - Primary Covered
Transaction - Fonn DI-1953. (Refer to Appendix 2 for Instructions)
The prospective primary participants certifies to the best of its knowledge and belief, that it
and its principals:
(a) Are not presently debarred, suspended. proposed for debanrent. declared ineligible, or
voluntarily excluded frm cover& transactions by any Federal department or wncy;
Have not within a three-year period prding this ptoposal been convicted of or had a
civil judgement rendered against them for cmission of fraud or a criminal offense in
connection with obtaining, attempting to obtain, or performiog a public (Federal. State
or local) transaction or contract under a public transact-ion; vlolation of Federal or
Szate antitrust statutes or cmission of embezzlement. theft, forgery. bribery.
falsification or destruction of reccros. niakins false statements,.or receiving stolen
(b)
prope-ty:
(c) Ace ncz presently indicted for or otherw1s.e criminally or civilly charged by a
Gwerrmentai entity (Federal. St.ate, or lccal) witn cmission of any of the offenses
erumeratec in paragraph (b) of this certification: and
Have not within a three-year period prececing this a?plication/proposal had one or mre
~~jlrc transaczions (Feaeral, State, or lccal) terminated for cause or default.
(e; ' niece :ne prospective primary 2ar:icioant is unabie to cert:fy to any of the szatemenis
(d)
i? this ce-tification. sucn prcsw'five part:cipant shall attach an explanation to their
proposal ~
2e. Certification 2ecadclno Oebarmeqt, Susxns:on. Ineliqibility and Voluntary Exclusion - Love- Tie-
Cove-ec Transacricns - Form Dl-193.
The prcs3ective 1-r tier pacticipant certTfies to tbe bes: of its knowledge and belief thaz It
and its S-incipaTs:
(a: Sj me sLmission of tneir proocsa:. that neither 1: nor its principals is present!y
ce3aVrer. suspwaed, prcmsed for aebamnt. oeclared ineligible, or voiuntariiy
exzlucec :ran part:ciaa:icn in this transaczion DY aqy Federal depamnt or agency.
"-ere tne prosxctive iowe- t\ec par::cipant is unz>ie to ce-tify to any of the
sra:eTe-,zs in this ce-::ficaticn, sdch prosxcrive participant shall attacn an
exa!anation to the-r proposal.
(Ge=e- t3 Aspendix 2 far Instructions)
(3)
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