HomeMy WebLinkAbout042020_ca11 Consent Agenda
JEFFERSON COUNTY
BOARD OF COUNTY COMMISSIONERS
AGENDA REQUEST
TO: Board of County Commissioners
Philip Morley, County Administrator
FROM: Su Tipton
DATE: Sri\ o aoQ
SUBJECT: WDFW Grant Amendment : No Cost Amendment
STATEMENT OF ISSUE:
Amend to Contract to add EPA Terms and Conditions These terms and conditions are in
addition to the General Terms and Conditions described in Attachment A.
ANALYSIS:
This is a no Cost Amendment resulting in the total Grant award the same at $100,000. No
other changes authorized under this Amendment.
FISCAL IMPACT:
No Fiscal Impact.
RECOMMENDATION:
Recommend approval by Commissioners
REVIEWED BY:
P
ilip Mor sunt Ad 's'- ator Date
Washington
Department of
FISH and GRANT AMENDMENT
WILDLIFE
TITLE: Engaging the Community in WDFW NUMBER: 18-10502
Strait Ecosystem Recovery AMENDMENT NUMBER: 1
CONTRACTOR: Jefferson County AMENDMENT VALUE: $0.00
AMENDMENT EFFECTIVE DATE: CONTRACT END DATE:
October 1, 2018 February 29, 2020
The above-referenced Grant between the State of Washington, Department of Fish and Wildlife(WDFW); and the Jefferson
County is hereby amended as follows:
AMEND Contract to add EPA Terms and Conditions
The sub-recipient must comply with the applicable EPA general terms and conditions. These terms and conditions are in
addition to the General Terms and Conditions described in Attachment A.
EPA Terms and Conditions: https://www.epa.gov/grants/epa-general-terms-and-conditions-effective-October-1-2018
This is a no cost Amendment resulting in the total Grant award remaining the same at$100,000.
No other changes authorized under this Amendment.
All other terms and conditions of this Grant remain in full force and effect.
THIS AMENDMENT is executed by the persons signing below, who warrant that they have the authority to execute this
Amendment.
JEFFERSON COUNTY WASHINGTON DEPARMENT OF
FISH AND WILDLIFE
SIGNATURE AND DATE SIGNATURE AND DATE
PRINTED NAME AND TITLE PRINTED NAME AND TITLE
Aps roved a t form only: ���
c: Date:YA W .2
Philip C. Hunsucker,Chief Civil Deputy Prosecuting Attorney
Jefferson County Prosecuting Attorney's Office
CMS No. 18-14244 Page 1 of 1
EPA General Terms and Conditions
Effective October 1, 2018
1. Introduction
(a) The recipient and any sub-recipient must comply with the applicable EPA general tei ins and
conditions outlined below.These terms and conditions are in addition to the assurances and
certifications made as part of the award and terms,conditions or restrictions reflected on the official
assistance award document. Recipients gmareview their official award document for additional
administrative and programmatic requirements. Failure to comply with the general terms and
conditions outlined below and those directly reflected on the official assistance award document may
result in enforcement actions as outlined in 2 CFR 200338 and 200339.
(b) If the EPA General Terms and Conditions have been revised.EPA will update the terms and
conditions when it provides additional funding(incremental or supplemental)prior to the end of
the period of performance of this agreement.The recipient must comply with the revised terms
and conditions after the effective date of the EPA action that leads to the revision. Revised terms
and conditions do not apply to the recipient's expenditures of EPA funds or activities the recipient
carries out prior to the effective date of the EPA action. EPA will inform the recipient of revised
terms and conditions in the action adding additional funds.
2. Uniform Administrative Requirements,Cost Principles and Audit Requirements for Federal
Awards This award is subject to the requirements of the Uniform Administrative Requirements,Cost
Principles and Audit Requirements for Federal Awards; Title 2 CFR.,Parts 200 and 1500.2 CFR 1500.1,
Adoption of 2 CFR 200, states Environmental Protection Agency adopts the Office of Management and
Budget(OMB)guidance Uniform Administrative Requirements,Cost Principles,and Audit Requirements
for Federal Awards to Non-Federal Entities(subparts A through F of 2 CFR 200),as supplemented by 2
CFR Part 1500,as the Environmental Protection Agency(EPA)policies and procedures for financial
assistance administration.2 CFR Part 1500 satisfies the requirements of 2 CFR 200,110(a)and gives
regulatory effect to the OMB guidance as supplemented by 2 CFR Part 1500.This award is also subject
to applicable requirements contained in EPA programmatic regulations located in 40 CFR Chapter 1
Subchapter B.
2.1.Implementing Procurement Standards.Per 2 CFR 200.110,there is a three-year grace
period available to non-Federal entities for implementation of the procurement standards in 2
CFR 200.317 through 200.326. As detailed in the 2015 OMB Compliance Supplement and
OMB's July 2017 Frequently Asked Questions,non-Federal entities choosing to delay
implementation will need to specify in their documented policies and procedures that they
continue to comply with 40 CFR Part 30 or 31.as applicable,for three additional fiscal years
which begins after December 26,20I 4.
2.2. Effective Date and Incremental or Supplemental Funding.Consistent with the OMB
Frequently Asked Questions at https:;'cry.gov.colon Effective Date and Incremental Funding,
any new funding through an amendment(supplemental or incremental)on or after December 26,
2014,and any unobligated balances(defined at 200.98)remaining on the award at the time of the
amendment.will be subject to the requirements of the Uniform Administrative Requirements.Cost
Principles and Audit Requirements(2 CFR 200 and 1500).
Financial information
Page 1 of 26
3. Reimbursement Limitation
EPA's financial obligations to the recipient are limited by the amount of federal funding awarded to date
as reflected on the award document. If the recipient incurs costs in anticipation of receiving additional
funds from EPA. it does so at its own risk. See 2 CFR 1500.8
4. Automated Standard Application Payments(ASAP)and Proper Payment Draw Down
Electronic Payments. Recipients must be enrolled or enroll in the Automated Standard Application for
Payments(ASAP)system to receive payments under EPA financial assistance agreements unless:
• EPA grants a recipient specific exception or the assistance program has received a waiver from this
requirement;
• The recipient is exempt front this requirement under 3 t 1-it _ .5 ,or.
• The recipient is a fellowship recipient pursuant to 4, F R Par, 4r
EPA will not make payments to recipients until the ASAP enrollment requirement is met unless the
recipients fall under one of the above categories. Recipients may request exceptions using the procedures
below but only EPA programs may obtain waivers.
To enroll in ASAP, complete the ASAP Initiate Enrollment form located at:
'tit- w_.epa.g.ttinancia; forms and email it to L Ft_'-yrints,z or mail it to:
USEPA LVFC
4220 S. Maryland Pkwy Bldg.C,Suite 503
Las Vegas,NV 89119
Under this payment mechanism,the recipient initiates an electronic payment request online via ASAP.
which is approved or rejected based on the amount of available funds authorized by EPA in the recipient's
ASAP account.Approved payments are credited to the account at the financial institution of the recipient
organization set up by the recipient during the ASAP enrollment process. Additional information
concerning ASAP and enrollment can be obtained by contacting the EPA Las Vegas Finance Center
(LVFC),at 702-798-2485,or by visiting:
hitp� :, ;�f� ti�c4lKtreaur 20`. pmLs ap_3_42_horne htm.
EPA will grant exceptions to the ASAP enrollment requirement only in situations in which the recipient
demonstrates to EPA that receiving payment via ASAP places an undue administrative or financial
management burden on the recipient or EPA determines that granting the waiver is in the public
interest. Recipients may request an exception to the requirement by following the procedures specified in
i2 Al\-2u!B-6Uo.
Proper Payment Drawdown(for recipients other than states)
a. As required by ' R ti , the recipient must draw funds from ASAP only for the minimum
amounts needed for actual and immediate cash requirements to pay employees,contractors, subrecipients or
to satisfy other obligations for allowable costs under this assistance agreement, The timing and amounts of
the drawdowns must be as close as administratively feasible to actual disbursements of EPA
funds, Disbursement within 5 business days of drawdown will comply with this requirement and the
recipient agrees to meet this standard when performing this award,
b. Recipients may not retain more than 5°%o of the amount drawn down,or$1,000 whichever is less, 5
business days after drawdown to materially comply with the standard. Any EPA funds subject to this
paragraph that remain undisbursed after 5 business days must be fully disbursed within 15 business days of
draw down or be returned to EPA
Page 2 of 2e
c. If the iectpient draws down EPA funds in excess of that allowed by paragraph b.,the recipient must
contact for instructions on whether to return the funds to EPA. Recipients must
comply with the requirements ti ' i P =, a . .,,,,1 ,regarding depositing advances of Federal
funds in interest bearing accounts.
d. Information on how to repay EPA via check is available at A A
Instructions on how to return funds to EPA electronically via ASAP are available at
«fir utrns.treas.& asa .
e. Failure on the part of the recipient to materially comply with this condition may, in addition to EPA
recovery of the un-disbursed portions of the drawn down funds, lead to changing the payment method from
advance payment to a reimbursable basis, EPA may also take other remedies for noncompliance under
2c;U.21`+'and/or 200.336.
f. If the recipient believes that there are extraordinary circumstances that prevent it from complying with the
5-business day disbursement requirement throughout the performance period of this agreement. recipients
may request an exception to the requirement by following the procedures specified in RAI\
EPA will grant exceptions to the 5-business day disbursement requirement only if the recipient
demonstrates that compliance places an undue administrative or financial management burden or EPA
determines that granting the exception is in the public interest.
Selected Items of Cost
5. Consultant Cap
EPA participation in the salary rate(excluding overhead)paid to individual consultants retained by
recipients or by a recipient's contractors or subcontractors shall be limited to the maximum daily rate for
a Level IV of the Executive Schedule,available at: hues. 'www.upnn. pot t, -1tta-0versizlttra•.
few,e salaries-v+age :,to be adjusted annually.This limit applies to consultation services of designated
individuals with specialized skills who are paid at a daily or hourly rate. This rate does not include
transportation and subsistence costs for travel performed(the recipient will pay these in accordance with
their normal travel reimbursement practices).
Subagreements with firms for services which are awarded using the procurement requirements in
Subpart D of 2 CFR 200 are not affected by this limitation unless the terms of the contract provide the
recipient with responsibility for the selection,direction and control of the individuals who will be
providing services under the contract at an hourly or daily rate of compensation.See 2 CFR 1500.9.
6. Establishing and Managing Subawards
If the recipient chooses to pass funds from this assistance agreement to other entities,the recipient must
comply with applicable provisions of 2 CFR Part 200 and the EPA Subaward Policy,which may be
found at: haps. etst. »grirtts epa-subaward-pule,
As a pass-through entity,the recipient agrees to:
6.1. Be responsible for selecting subrecipients and as appropriate conducting subaward competitions
using a system for properly differentiating between subrecipients and procurement contractors
under the standards at 2 CFR 200.330 and EPA's supplemental guidance in Appendix A of the
EPA Subaward Policy.
a. For-profit organizations and individual consultants,in almost all cases, are not eligible
Page 3 of 26
subrecipients under EPA financial assistance programs and the pass-through entity must obtain prior
written approval from EPA's Award Official for subawards to these entities unless the EPA-
approved budget and work plan for this agreement contain a precise description of such subawards.
b. Stipends and tras el assistance for trainees(including interns)and similar individuals who are not
are not employees of the pass-through entity must be classified as participant support costs rather
than subawards as required by 2 CFR 200.75 and 2 CFR 200.92,
6.2. Establish and follow a system that ensures all subaward agreements are in writing and contain all
of the elements required by 2 CFR 200,331(a), EPA has developed a template for subassard
agreements that is available in Appendix D of the EPA Subaward Policy.
6.3. Prior to making subawards. ensure that each subrecipient has a"unique entity identifier."This
identifier is required for registering in the System for Award Management(SAM)and by 2
CFR Part 25 and 2 CFR 200.33 (1) The unique entity identifier currently is the
sunrecipient's Data lenisersal Numbering System 'DUNS) number Information regarding
obtaining a DUNS number and registering in SAM is available in the General Condition of the
pass-through entity's agreement ss ith EPA entitled"Central Contractor RegistratioaSystem
for Award Management and Universal Identifier Requirements" T&C 1/4)f the pass-through
entity's agreement with the EPA.
6.4.Ensure that subrecipients are aware that they are subject to the same requirements as those that
apply to the pass-through entity's EPA award as required by 2 CFR 200.331(a)42). These
requirements include, among others:
a. Title V!of the Cis il Rights Act and other Federal statutes and regulations prohibiting
discrimination in Federal financial assistance programs.as applicable,
b. Reporting Subawards and Executive Compensation under Federal Funding Accountability and
Transparency Act FA TA)set forth in the General Condition pass-through entity's agreement.
with EPA entitled"Reporting Subawards and Executive Compensation."
c. Limitations on individual consultant fees as set forth in 2 CFR 1500.9 and the Genera!
Condition of the pass-through entity's agreement with EPA entitled"Consultant Fee Cap."
d. EPA's prohibition on paying management fees as set forth in General Condition of the pass-
through entity's agreement with EPA entitled"Management Fees."
e.The Procurement Standards in 2 CFR Part 200 including those requiring competition when the
subrecipient acquires goods and services from contractors(including consultants).
EPA pros ides general information on other statutes,regulations and Executive Orders on the Grants
Internet site at www epa.gov;grants, Many Federal requirements are agreement or program specific
and EPA encourages pass-through entities to review the terms of their assistance agreement carefully
and consult with their EPA Project Officer for advice if necessary.
6.5. Establish and follow a system for evaluating subrecipient risks of noncompliance with Federal
statutes, regulations and the terms and conditions of the subaward as required by 2 CFR
200,331(b)and document the evaluation Risk factors may include:
a. Prior experience with same or similar subawards:
b. Results of previous audits:
c. Whether new or substantially changed personnel or systems, and:
d. Extent and results of Federal awarding agency or the pass-through entity's monitoring:
Page 4 of 26
6.6.Establish and follow a process for deciding whether to impose additional requirements on
subrecipients based on risk factors as required by 2 CFR 200.331(c).Examples of additional
requirements authorized by 2 CFR 200.207 include:
a. Requiring payments as reimbursements rather than advance payments;
b. Withholding authority to proceed to the next phase until receipt of evidence of
acceptable performance within a given period of performance;
c. Requiring additional,more detailed financial reports;
d. Requiring additional project monitoring;
e. Requiring the non-Federal entity to obtain technical or management assistance,and
f. Establishing additional prior approvals.
6.7.Establish and follow a system for monitoring subrecipient performance that includes the elements
required by 2 CFR 200.331(d)and report the results of the monitoring in performance reports as
provided in the reporting terms and conditions of this agreement.
6.8.Establish and maintain an accounting system which ensures compliance with the$25,000 limitation at
2 CFR 200.68 on including subaward costs in Modified Total Direct Cost for the purposes of
distributing indirect costs.
6.9. Work with EPA's Project Officer to obtain the written consent of EPA's Office of International
and Tribal Affairs(OITA),prior to awarding a subaward to a foreign or international
organization, or a subaward to be performed in a foreign country even if that subaward is
described in a proposed scope of work.
6.10.Obtain written approval from EPA's Award Official for any subawards that are not
described in the approved work plan in accordance with 2 CFR Part 200.308.
6.11. Obtain the written approval of EPA's Award Official prior to awarding a subaward to an
individual if the EPA-approved scope of work does not include a description of subawards to
individuals.
6.12. Establish and follow written procedures under 2 CFR 200.302(b)(7)for determining that subaward
costs are allowable in accordance with 2 CFR Part 200,Subpart E and the terms and conditions of
this award.These procedures may provide for allowability determinations on a pre-award basis,
through ongoing monitoring of costs that subrecipients incur,or a combination of both approaches
provided the pass-through entity documents its determinations.
6.13. Establish and maintain a system under 2 CFR 200.331(d)(3)and 2 CFR 200.521(c)for issuing
management decisions for audits of subrecipients that relate to Federal awards.However,the
recipient remains accountable to EPA for ensuring that unallowable subaward costs initially paid by
EPA are reimbursed or mitigated through offset with allowable costs whether the recipient recovers
those costs from the subrecipient or not.
6.14.As provided in 2 CFR 200.332,pass-through entities must obtain EPA approval to make
fixed amount subawards.EPA is restricting the use of fixed amount subawards to a limited
number of situations that are authorized in official EPA pilot projects.Recipients should
consult with their EPA Project Officer regarding the status of these pilot projects.
By accepting this award,the recipient is certifying that it either has systems in place to comply with the
requirements described in Items 7.1 through 7.14 above or will refrain from making subawards until the
systems are designed and implemented.
7. Management Fees
Page 5 of 26
Management fees or similar charges in excess of the direct costs and approved indirect rates are not
allowable. The term "management fees or similar charges"refers to expenses added to the direct costs in
order to accumulate and reserve funds for ongoing business expenses;unforeseen liabilities;or for other
similar costs which are not allowable under this assistance agreement. Management fees or similar
charges may not be used to improve or expand the project funded under this agreement, except to the
extent authorized as a direct cost of carrying out the scope of work.
8. Federal Employee Costs
The recipient understands that none of the funds for this project(including funds contributed by the
recipient as cost sharing) may be used to pay for the travel of Federal employees or for other costs
associated with Federal participation in this project unless a Federal agency will be providing services to
the recipient as authorized by a Federal statute.
9. Foreign Travel
EPA policy requires that all foreign travel must be approved by its Office of International and
Tribal Affairs. The recipient agrees to obtain prior EPA approval before using funds available under this
agreement for international travel unless the trip(s)are already described in the EPA approved budget for
this agreement. Foreign travel includes trips to Mexico and Canada but does not include trips to Puerto
Rico.the U S. Territories or possessions. Recipients that request post-award approval to travel frequently to
Mexico and Canada by motor vehicle(e.g. for sampling or meetings)may describe their proposed travel in
general terms in their request for EPA approval. Requests for prior approval must be submitted to the
Project Officer for this agreement..
10. The Fly America Act and Foreign Travel
The recipient understands that all foreien travel funded under this assistance agreement must comply
with the Fly America Act. All travel must be on U.S. air carriers certified under 49 U.S.C. Section 401 18,,
to the extent that service by such carriers is available even if foreign air carrier costs are less than the
American air carrier.
Reporting and Additional Post-Award Requirements
U. Central Contractor Registration/System for Award Management and Universal
Identifier Requirements
11.1. Requirement for System for Award Management(SAM)Unless exempted from this
requirement under 2 CFR 25.110.the recipient must maintain the currency of the
organization's information in SAM until the submittal of the final financial report required
under this award or receipt of the final payment,whichever is later. This requires that the
recipient reviews and updates the information at least annually after the initial registration.and
more frequently if required by changes in the information or another award term.
11.2. Requirement for Data Universal Numbering System(DUNS)numbers. If the
recipient is authorized to make subawards under this award,the recipient:
a. Must notify potential subrecipients that no entity (definition paragraph 12.3 of this award
term) may receive a subaward unless the entity has provided its DUNS number.
b. May not make a subaward to an entity unless the entity has provided its DUNS number.
11.3. Definitions. For the purposes of this award term:
a. System for Award Management(SAM)means the Federal repository into which an
entity must provide information required for the conduct of business as a recipient.
Additional information about registration procedures may be found at the System for
Page 6 of 26
Award Management(SAM) Internet site: LT,
b. Data Universal Numbering System(DUNS)number means the nine-digit number
established and assigned by Dun and Bradstreet. Inc,(D&B)to uniquely identify
business entities A DINS number may be obtained from D&B by telephone
(currently 866-705-5711)or the Internet (currently at f� r �i�:,: ,�ri�;t,�z,,ti��ci ri),
c. Entity.as it is used in this award term, means all of the following, as defined at 2 CFR
part 25, subpart C:
11.3.c.1. A Governmental organization, which is a State, local government,or,Indian tribe;
11.3.c.2. A foreign public entity;
11.3.c.3. A domestic or foreign nonprofit organization;
11.3.c.4. A domestic or foreign for-profit organization;and
11.3.c.5. A Federal agency.but only as a subrecipient under an award or subaward
to a non- Federal entity
d. Subaward:
1 L3.d.1. This term means a legal instrument to provide support for the performance of
any portion of the substantive project or program for which the recipient received
this award and that the recipient awards to an eligible subrecipient.
11.3.d.2. The term does not include procurement of property and services needed to
carry out the project or program(for further explanation.see 2 CFR 200 Subpart
D).
11.3.d.3. A subaward may be provided through any legal agreement,including an
agreement that the recipient considers a contract.
e. Subrecipient means an entity that:
11.3.e.1. Receives a subaward from the recipient under this award;and
11.3.e.2. Is accountable to the recipient for the use of the Federal funds provided by the
subaward.
12. Reporting Subawards and Executive Compensation
12.1. Reporting of first-tier subawards.
a. Applicability. Unless the recipient is exempt as provided in paragraph 12.4.of this award
term,the recipient must report each action that obligates$25,000 or more in Federal funds
that does not include Recovery funds(as defined in section 1512(a)(2)of the American
Recovery and Reinvestment Act of 2009.Pub.L. 1 1 1-5) for a subaward to an entity(see
definitions in paragraph
10.5 of this award term).
b. Where and when to report. (1)The recipient must report each obligating action
described in paragraph 10.1.1 of this award term to www. srs.go%. (2) For subaward
information,report no later than the end of the month following the month in which the
obligation was made.(For example,if the obligation was made on any date during the
month of November of a given year.the obligation must be reported by no later than
December 31 of that year.)
c. What to report.The recipient must report the information about each obligating
action as described in the submission instructions available at: httr_ wwk tsra.go�.
12.2. Reporting Total Compensation of Recipient Executives.
a. Applicability and what to report.The recipient must report total compensation for each
of their five most highly compensated executives for the preceding completed fiscal year,
if:
12.2.a.1. the total Federal funding authorized to date under this award is$25,000 or more;
12.2.a.2. in the preceding fiscal year,the recipient received:(i.) 80 percent or more of their
annual gross revenues from Federal procurement contracts(and subcontracts)and
Federal financial assistance subject to the Transparency Act,as defined at 2 CFR
Page 7 of 26
I 70.320(and subawards): (ii.) and $25,000,000 or more in annual gross revenues
from Federal procurement contracts(and subcontracts)and Federal financial
assistance subject to the Transparency Act,as defined at 2 CFR 170.320(and
subawards): and
12.2.a.3. The public does not have access to information about the compensation of the
executives through periodic reports filed under section I3(a)or 15(d)of the
Securities Exchange Act of 1934(15 U.S.C. 78m(a), 78o(d))or section 6104 of the
Internal Revenue Code of 1986.(To determine if the public has access to the
compensation information,see the U S.Security and Exchange Commission total
compensation filings at: hur.. tt�'k .«.�Ut"11t ���r� ex: ern F
b. Where and when to report.The recipient must report executive total compensation
described in paragraph 12.2.a of this award term.(i.)As part of the registration Central
System for A ward Management profile available at w a,;. at ; , ,(ii.)By the end of the
month following the month in which this award is made,and annually thereafter.
12.3. Reporting of Total Compensation of Subrecipient Executives.
a. Applicability and what to report. Unless exempt as provided in paragraph 12.4.of this
award term, for each first-tier subrecipient under this award, the recipient shall report the
names and total compensation of each of the subrecipient's five most highly compensated
executives for the subrecipient's preceding completed fiscal year,if:
12.3.a.1. in the subrecipient's preceding fiscal year,the subrecipient received:(1.)80 percent
or more of its annual gross revenues from Federal procurement contracts(and
subcontracts)and Federal financial assistance subject to the Transparency Act,as
defined at 2 CFR 170.320(and subawards);and(ii.)$25,000,000 or more in annual
gross revenues from Federal procurement contracts(and subcontracts),and Federal
financial assistance subject to the Transparency Act (and subawards);and
12.3.a.2. The public does not have access to information about the compensation of the
executives through periodic reports filed under section 13(a)or 15(d)of the Securities
Exchange Act of 1934(1 S U.S.C. 78m(a),78o(d))or section 6104 of the Internal
Revenue Code of 1986. (To determine if the public has access to the compensation
information,see the U.S.Security and Exchange Commission total compensation filings
at: hap: Hees z .go% answers.execomp.htm.)
b. Where and when to report.The recipient must report subrecipient executive total
compensation described in paragraph 12.3.a. of this award term:
12.3.b.1. To the recipient.
12.3.b.2. By the end of the month following the month during which the recipient makes
the subaward. For example,if a subaward is obligated on any date during the month
of October of a given year(i.e.,between October i and 31 ►,the recipient must report
any required compensation information of the subrecipient by November 30 of that
year.
12.4. Exemptions
a. If. in the previous tax year,the recipient had gross income, from all sources, under$300,000,
the recipient is exempt from the requirements to report:
12.4.a.1. subawards. and the total compensation of the five most highly compensated
executives of any subrecipient.
12.5, Definitions. For purposes of this award term:
a. Entity means all of the following,as defined in 2 CFR Part 25:(i.) A Governmental
organization, which is a State, local government,or Indian tribe;(ii.)A foreign public entity;
(iii,)A domestic or foreign nonprofit organization:(iv.)A domestic or foreign for-profit
organization;(v ) A Federal agency,but only as a subrecipient under an award or subaward to
a non-Federal entity.
Page 8 of 26
b. Executive means officers,managing partners,or any other employees in management
positions.
c. Subaward:
12.5.c.1. This term means a legal instrument to provide support for the performance of any
portion of the substantive project or program for which you received this award and that
the recipient award to an eligible subrecipient.
12.5.c.2. The term does not include procurement of property and services needed to carry
out the project or program(for further explanation,see 2 CFR 200 Subpart D).
12.5.c.3. A subaward may be provided through any legal agreement,including an
agreement that the recipient or a subrecipient considers a contract.
d. Subrecipient means an entity that:
12.5.d.1. Receives a subaward from the recipient under this award;and
12.5.d.2. Is accountable to the recipient for the use of the Federal funds provided by the
subaward.
e. Total compensation means the cash and noncash dollar value earned by the executive during
the recipient's or subrecipient's preceding fiscal year and includes the following(for more
information see 17 CFR 229.402(c)(2)):
12.5.e.1. Salary and bonus.
12.5.e.2. Awards of stock,stock options and stock appreciation rights. Use the dollar
amount recognized for financial statement reporting purposes with respect to the
fiscal year in accordance with the Statement of Financial Accounting Standards No.
123 (Revised 2004) (FAS 123R),Shared Based Payments.
12.5.e.3. Earnings for services under non-equity incentive plans.This does not include
group life, health,hospitalization or medical reimbursement plans that do not
discriminate in favor of executives,and are available generally to all salaried
employees.
12.5.e.4. Change in pension value.This is the change in present value of defined
benefit and actuarial pension plans.
12.5.e.5. Above-market earnings on deferred compensation which is not tax-qualified.
12.5.e.6. Other compensation,if the aggregate value of all such other compensation
(e.g. severance,termination payments,value of life insurance paid on behalf of
the employee, perquisites or property)for the executive exceeds$10,000.
13. Recipient Integrity and Performance Matters-Reporting of Matters Related to Recipient Integrity
and Performance
13.1. General Reporting Requirement
If the total value of your currently active grants,cooperative agreements,and procurement contracts
from all Federal awarding agencies exceeds$10,000,000 for any period of time during the period of
performance of this Federal award,then you as the recipient during that period of time must
maintain the currency of information reported to the System for Award Management(SAM)that is
made available in the designated integrity and performance system(currently the Federal Awardee
Performance and Integrity Information System(FAPIIS))about civil,criminal,or administrative
proceedings described in paragraph 2 of this award term and condition.This is a statutory
requirement under section 872 of Public Law 110-417,as amended(41
U.S.C.2313).As required by section 3010 of Public Law 111-212,all information posted in the
designated integrity and performance system on or after April 15,2011,except past performance
reviews required for Federal procurement contracts,will be publicly available.
13.2.Proceedings About Which You Must Report
Submit the information required about each proceeding that:
a. Is in connection with the award or performance of a grant,cooperative agreement,or
procurement contract from the Federal Government;
b. Reached its final disposition during the most recent five-year period;and
c. Is one of the following:
Page 9 of 26
13.2.c.1. A criminal proceeding that resulted in a conviction, as defined in paragraph
5 of this award term and condition,
13.2.c.2. A civil proceeding that resulted in a finding of fault and liability and
payment of a monetary fine, penalty,reimbursement, restitution,or damages of
$5,000 or more;
13.2.c.3. An administrative proceeding,as defined in paragraph 5. of this award term
and condition,that resulted in a finding of fault and liability and your payment of
either a monetary tine or penalty of$5.000 or more or reimbursement,restitution,or
damages in excess of S100.000;or
13.2.c.4. Any other criminal,civil,or administrative proceeding if:
13.2.c.4.1. it could have led to an outcome described in paragraph 13.2.c.1,
I3.2.c.2,or
13.2.c.3 of this award term and condition;
13.2.c.4.2. It had a different disposition arrived at by consent or
compromise with an acknowledgment of fault on your part;and
13.2.c.4.3. The requirement in this award term and condition to disclose
information about the proceeding does not conflict with applicable laws
and regulations.
13.3. Reporting Procedures
Enter in the SAM Entity Management area the information that SAM requires about each proceeding
described in paragraph 2 of this award term and condition. You do not need to submit the information a
second time under assistance awards that you received if you already provided the information through
SAM because you were required to do so under Federal procurement contracts that you were awarded.
13.4.Reporting Frequency
During any period of time when you are subject to the requirement in paragraph I LI of this award term
and condition,you must report proceedings information through SAM for the most recent five year
period, either to report new information about any proceeding(s)that you have not reported previously or
affirm that there is no new information to report. Recipients that have Federal contract,grant,and
cooperative agreement awards with a cumulative total value greater than$10,000,000 must disclose
semiannually any information about the criminal, civil,and administrative proceedings.
13.5.Definitions
For purposes of this award term and condition:
a. Administrative proceeding means a non-judicial process that is adjudicatory in nature in
order to make a determination of fault or liability(e g. Securities and Exchange Commission
Administrative proceedings,Civilian Board of Contract Appeals proceedings.and Armed
Services Board of Contract Appeals proceedings).This includes proceedings at the Federal and
State level but only in connection with performance of a Federal contract or grant. It does not
include audits,site visits,corrective plans,or inspection of deliverables.
b. Conviction,for purposes of this award term and cOndition, means a judgment or
conviction of a criminal offense by any court of competent jurisdiction, whether entered upon
a verdict or a plea,and includes a conviction entered upon a plea of nolo contendere.
c. Total value of currently active grants.cooperative agreements,and procurement
contracts includes--
13.5.c.1. Only the Federal share of the funding under any Federal award with a
recipient cost share or match;and
13.5.c.2. The value of all expected funding increments under a Federal award and
options,even if not yet exercised
14. Federal Financial Reporting(FFR)
Pursuant to 2 C:FR 200.327 and 200,343. EPA recipients must submit the Federal Financial Report
(SF-425)at least annually and no more frequently than quarterly EPA's standard reporting frequency is
annual unless an EPA Region has included an additional term and condition specifying greater
reporting frequency within this award document. EPA recipients must submit the SF-425 no later than
Page 10 of 26
30 days after the end of each specified reporting period for quarterly and semi-annual reports.and 90
calendar days for annual and final reports. Extension of reporting due dates may be approved by EPA
upon request of the recipient. The FFR form is available on the intemet at:
financial :vrri.. All FFRs must be submitted to the Las Vegas Finance Center
(LVFC)via email . A 1_(.grarlts l:cpay_or mail it to:
USEPA LVFC
4220 S. Maryland Pkwy Bldg. C.Suite 503
Las Vegas,NV 89119
The LVFC will make adjustments,as necessary,to obligated funds after reviewing and accepting a
final Federal Financial Report. Recipients will be notified and instructed by EPA if they must complete
any additional forms for the closeout of the assistance agreement.
15. Indirect Cost Rate Agreements
This term and condition implements EPA's li Jirect t'olic\ tor RcLipr>:n:. ut EPa :‘.;si t.u?L
\greenient (IDC Policy)and applies to all EPA assistance agreements unless there are - anctt; r
regulator. limits on IDC.'..
In order for the assistance agreement recipient to use EPA funding for indirect costs.the IDC category of
the recipient's assistance agreement award budget must include an amount for IDCs and at least one of the
following must apply:
• With the exception of"exempt"agencies and Institutions of Higher Education as noted below,all
recipients must have one of the following current(not expired) IDC rates,including IDC rates that
have been extended by the cognizant agency:
• Provisional:
• Final;
• Fixed rate with carry-forward:
• Predetermined;
• 10%de minimis rate authorized by 2 CFR 200.414(f)
• EPA-approved use of one of the following on an exception basis for EPA agreements:
o 10%de minimis as detailed in section 6.3 of the IDC Policy;or
o Expired fixed rate with carry-forward as detailed in section 6.4.a.of the IDC
Policy.
• "Exempt"state or local governmental departments or agencies are agencies that receive up to and
including$35,000,000 in Federal funding per the department or agency's fiscal year,and must have
an IDC rate proposal developed in accordance with 2 CFR 200 Appendix VII,with documentation
maintained and available for audit.
• Institutions of Higher Education must use the IDC rate in place at the time of award for the life of
the assistance agreement(unless the rate was provisional at time of award, in which case the rate
will change once it becomes final).As provided by 2 CFR Part 71.10, Appendix 111[C 71,the term
"life of the assistance agreement", means each competitive segment of the project.Additional
information is available in the regulation.
IDCs incurred during any period of the assistance agreement that are not covered by the provisions above
are not allowable costs,and must not be drawn down by the recipient.Recipients may budget for IDCs
pending approval of their IDC rate by the cognizant Federal agency or an exception granted by EPA under
section 6.3 or 6.4 of the IDC Policy. However.recipients may not draw down IDCs until their rate is
approved or EPA grants an exception.
This term and condition does not govern indirect rates for subrecipients or recipient procurement
Page 11 of 26
contractors under EPA assistance agreements. Pass-through entities are required to comply with
_ t • when establishing indirect cost rates for subawards.
See the . '. , , .. �r t for additional information.
16. Audit Requirements
In accordance with 2 CFR 200.501(a).the recipient hereby agrees to obtain a single audit from an
independent auditor. if their organization expends$750,000 or more in total Federal funds in their fiscal
year beginning on or after December 26, 2014.
The recipient must submit the form SF-SAC and a Single Audit Report Package within 9 months of the end
of the recipient's fiscal year or 30 days after receiving the report from an independent auditor.The SF-SAC
and a Single Audit Report Package MUST be submitted using the Federal Audit Clearinghouse's Internet
Data Entry System available at:
For complete information on how to accomplish the single audit submissioin n ill need to visit the
Federal Audit Clearinghouse Web site: 'In li'•„nnernn inn nh...:L".r
17. Closeout Requirements
Reports required for closeout of the assistance agreement must be submitted in accordance with this
agreement. Submission requirements and frequently asked questions can also be found at:
_�.``_vs.2 cv ,71nt .'�i�f 1 n J- "u�:tf r,�:3't �' ;
18. Suspension and Debarment
Recipient shall fully comply with Subpart C of 2 C.F R. Part 180 entitled,"Responsibilities of Participants
Regarding Transactions Doing Business With Other Persons,"as implemented and supplemented by 2
C.F.R. Part 1532. Recipient is responsible for ensuring that any lower tier covered transaction, as
described in Subpart B of 2 C F.R. Part 180.entitled"Covered Transactions."and 2 C.F.R. § 1532.220,
includes a term or condition requiring compliance with 2 C.F.R. Part 180,Subpart C. Recipient is
responsible for further requiring the inclusion of a similar term and condition in any subsequent lower tier
covered transactions. Recipient acknowledges that failing to disclose the information required under 2
C.F.R.§ 180.335 to the EPA office that is entering into the transaction with the recipient may result in the
delay or negation of this assistance agreement,or pursuance of administrative remedies, including
suspension and debarment. Recipients may access the System for Award Management(SAM)exclusion
list at .r•j A wU },1r,10, to determine whether an entity or individual is presently excluded or
disqualified
19. Representation by Corporations Regarding Delinquent Tax Liability or a Felony Conviction under
any Federal Law.This award is subject to the provisions contained in an appropriations act(s)which
prohibits the Federal Government from entering into a contract, memorandum of understanding.or
cooperative agreement with. make a grant to,or provide a loan or loan guarantee to any corporation
having a delinquent Federal tax liability or a felony conviction under any Federal law, unless the agency
has considered suspension or debarment of the corporation and has made a determination that this further
action is not necessary to protect the interests of the Government. A"corporation" is a legal entity that is
separate and distinct from the entities that own, manage,or control it. It is organized and incorporated
under the jurisdictional authority of a governmental body, such as a State or the District of Columbia. A
corporation may be a for-profit or non-profit organization.
As required by the appropriations acts) prohibitions, the Government will not enter into a contract.
memorandum of understanding,or cooperative agreement with. make a grant to,or provide a loan or loan
guarantee with any corporation that —(I) Has any unpaid Federal tax liability that has been assessed. for
which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being
paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax
Page 12 of 26
liability, where the awarding agency is aware of the unpaid tax liability, unless an agency has considered
suspension or debarment of the corporation and made a determination that suspension or debarment is not
necessary to protect the interests of the Government; or(2)Was convicted of a felony criminal violation
under any Federal law within the preceding 24 months. where the awarding agency is aware of the
conviction, unless an agency has considered suspension or debarment of the corporation and made a
determination that this action is not necessary to protect the interests of the Government.
By accepting this award, the recipient represents that it is not a corporation that has any unpaid Federal tax
liability that has been assessed, for which all judicial and administrative remedies have been exhausted or
have lapsed,and that is not being paid in a timely manner pursuant to an agreement with the authority
responsible for collecting the tax liability;and it is not a corporation that was convicted of a felony
criminal violation under a Federal law within the preceding 24 months.
Alternatively, by accepting this award, the recipient represents that it disclosed unpaid Federal tax liability
information and;or Federal felony conviction information to the EPA, The Recipient may accept this
award if'the EPA Suspension and Debarment Official has considered suspension or debarment of the
corporation based on a tax liabilities andior Federal felony convictions and determined that suspension or
debarment is not necessary to protect the Government's interests.
If the recipient fails to comply with this term and condition. EPA will annul this agreement and may
recover any funds the recipient has expended in violation of the appropriations act(s)prohibition(s). The
EPA may also pursue other administrative remedies as outlined in 2 CFR 200.338.and may also pursue
suspension and debarment.
20. Disclosing Conflict of Interests
20.1. For awards to Non-federal entities and individuals(other than states and fellowship recipients
under 40 CFI/Part 46).
As required by 2 CFR 200.1 12, EPA has established a policy(CO1 Policy)for
disclosure of conflicts of interest(COI)that may affect EPA financial assistance
awards.EPA's COi Policy is posted at hegrants.cpas-tinarrlial-
'asststancr-conilic -intense-poiic„. The posted version of EPA's COi Policy is
applicable to new funding(initial awards.supplemental and incremental funding)
awarded on or after October I.2015. This COI term and condition supersedes prior
COI terms and conditions for this award based on either EPA's May 22,2015 Revised
Interim COI Policy or December 26,2014 Interim COI Policy.
For competitive awards,recipients must disclose any competition related COI described in
section 4.0(a)of the COI Policy that are discovered after award to the EPA Grants Specialist
listed on the Assistance AgreementiAmendment within 30 calendar days of discovery of the
COI. The Grants Specialist will respond to any such disclosure within 30 calendar days.
EPA's COI Policy requires that recipients have systems in place to address,resolve and
disclose to EPA COts described in sections 4.0(b),(c)and/or(d)of the COI Policy that
affect any contract or subaward regardless of amount funded under this award. The
recipient's COI Point of Contact for the award must disclose any COI to the EPA Grants
Specialist listed on the Assistance AgreementAmendment within 30 calendar days of the
discovery of the potential COI and their approach for resolving the COI.
EPA's COI Policy requires that subrecipients have systems in place to address,resolve
and disclose COI's described in section 4.0(b)(c)and(d)of the COI Policy regardless of
the amount of the transaction. Recipients who are pass-through entities as defined at 2
CFR 200.74 must require that subrecipients being considered for or receiving subawards
Page 13 of 26
disclose COI to the pass-through entities in a manner that,at a minimum, is in
accordance with sections 5.0(d)and 7.0(c) of EPA's COI Policy. Pass-through entities
must disclose the subrecipient COI along with the approach for resolving the COl to the
EPA Grants Specialist listed on the Assistance Agreement/Amendment within 30
calendar days of receiving notification of the CO1 by the subrecipient.
EPA only requires that recipients and subrecipients disclose COI's that are discovered
under their systems for addressing and resolving COI. If recipients or subrecipients do
not discover a COI,they do not need to advise EPA or the pass-through entity of the
absence of a COL.
Upon notice from the recipient of a potential COt and the approach for resolving it. the
Agency will then make a determination regarding the effectiveness of these measures
within 30 days of receipt of the recipient's notice unless a longer period is necessary due
to the complexity of the matter.Recipients may not request payment from EPA for costs
for transactions subject to the COI pending notification of EPA's determination. Failure
to disclose a COI may result in cost disallowances.
Disclosure of a potential COI will not necessarily result in EPA disallowing costs. with
the exception of procurement contracts that the Agency determines violate 2 CFR
200318(0 I)or(2).provided the recipient notifies EPA of measures the recipient or
subrecipient has taken to eliminate.neutralize or mitigate the conflict of interest when
making the disclosure.
20.2. For awards to states including state universities that are state agencies or
instrumentalities
As required by 2 CFR 200.112,EPA has established a policy(COI Policy)for disclosure of
conflicts of interest(COt)that may affect EPA financial assistance awards. EPA's CO! Policy
is posted at:
- 2,:pa, • The posted version of
EPA's COl Policy is applicable to new funding(initial awards,supplemental,incremental funding)
awarded on or after October 1,2015. This CO1 term and condition supersedes prior COI terms and
conditions for this award based on either EPA's May 22,2015 Revised Interim COI Policy or
December 26. 2014 Interim COI Policy.
For competitive awards,recipients must disclose any competition related COI described in section
4.0(a)of the COt Policy that are discovered after award to the EPA Grants Specialist listed on the
Assistance Agreement'Amendment within 30 calendar days of discovery of the COt. The Grants
Specialist will respond to any such disclosure within 30 calendar days.
States including state universities that are state agencies and instrumentalities receiving funding
from EPA are only required to disclose subrecipient COl as a pass-through entity as defined by 2
CFR 200.74 Any other COI are subject to state laws,regulations and policies. EPA's COI Policy
requires that subrecipients have systems in place to address,resolve and disclose COts described in
section 4,0(b)(c)and(d)of the COl Policy that arise after EPA made the award regardless of the
amount of the transaction. States who are pass-through entities as defined at 2 CFR 200.74 must
require that subrecipients being considered for or receiving subawards disclose COI to the state in a
manner that,as a minimum, in accordance with sections 5.0(d)and 7.0(c)of EPA's CO1 Policy.
States must disclose the subrecipient COI along with the approach for resolving the COI to the
EPA Grants Specialist listed on the Assistance Agreement'Amendment within 30 calendar days of
receiving notification of the COI by the subrecipient.
Page 14 of 26
EPA only requires that subrecipients disclose COI's to state pass-through entities that are discovered
under their systems for addressing,resolving,and disclosing COI. If subrecipients do not discover a
COI,they do not need to advise state pass-through entities of the absence of a COI.
Upon receiving notice of a potential COI and the approach for resolving it,the Agency will make a
determination regarding the effectiveness of these measures within 30 days of receipt of the state's
notice of a subrecipient COI unless a longer period is necessary due to the complexity of the matter.
States may not request payment from EPA for costs for transactions subject to the COI pending
notification of EPA's determination. A subrecipient's failure to disclose a COI to the state and
EPA may result in cost disallowances.
Disclosure of a potential subrecipient COI will not necessarily result in EPA disallowing costs,with
the exception of procurement contracts that the Agency determines violate 2 CFR 200.318(c)(1)or
(2), provided the subrecipient has taken measures that EPA and the state agree eliminate,neutralize
or mitigate the conflict of interest.
21. Transfer of Funds
Applicable to all assistance agreements other than Continuing Environmental Program Grants
subject to 40 CFR 35.114 and 40 CFR 35.514 when the amount of the award exceeds the 2 CFR
200.88 Simplified Acquisition Threshold.
(I)As provided at 2 CFR 200.308(e),recipient must obtain prior approval from EPA's Grants
Management Officer if the cumulative amount of funding transfers among direct budget categories or
programs,functions and activities exceeds 10%of the total budget. Recipients must submit requests for
prior approval to the Grant Specialist and Grants Management Officer for this agreement.
(2)Recipients must notify EPA's Grant Specialist and Project Officer of cumulative funding transfers
among direct budget categories or programs,functions and activities that do not exceed 10%of the total
budget for the agreement. Recipients must also notify EPA when transferring funds from direct budget
categories to the indirect cost category or from the indirect cost category to the direct cost category. Prior
approval by EPA's Grant Management Officer is required if the transfer involves any of the items listed in
2 CFR 200.407 that EPA did not previously approve at time of award or in response to a previous post-
award request by the recipient.
Applicable to Continuing Environmental Program Grants subject to 40 CFR 35.114 and 40 CFR
35.514.when the amount of the award exceeds the 2 CFR 200.88 Simplified Acquisition Threshold.
Recipients of continuing environmental program grants subject to 40 CFR 35.114 and 40 CFR 35.514
must notify EPA of funding transfers among direct budget categories,programs, functions and activities or
transfers that change amounts budgeted for indirect costs,but prior EPA approval is not required unless
the transfer results in significant changes to work plan commitments.Recipients must obtain prior written
approval if the transfer involves any of the items listed in 2 CFR 200.407 that EPA did not previously
approve at time of award,in response to a previous post-award request by the recipient,or is subject to an
EPA waiver of prior approval under 40 CFR 35.114(d)or 40 CFR 35.514(d).
Programmatic General Terms and Conditions
22. Sufficient Progress
EPA will measure sufficient progress by examining the performance required under the workplan in
conjunction with the milestone schedule,the time remaining for performance within the project period
and/or the availability of funds necessary to complete the project.EPA may terminate the assistance
agreement for failure to ensure reasonable completion of the project within the project period.
Page 15 of 26
23. Copyrighted Material and Data
In accordance with 2 CFR 200 315. EPA has the right to reproduce. publish, use and authorize others to
reproduce, publish and use copyrighted works or other data developed under this assistance agreement
for Federal purposes.
Examples of a Federal purpose include but are not limited to: (1) Use by EPA and other Federal
employees for official Government purposes;(2) Use by Federal contractors performing specific tasks
for the Government;(3) Publication in EPA documents provided the document does not disclose trade
secrets(e.g. software codes)and the work is properly attributed to the recipient through citation or
otherwise: (4)Reproduction of documents for inclusion in Federal depositories:(5)Use by State,tribal
and local governments that carry out delegated Federal environmental programs as"co-regulators"or act
as official partners with EPA to carry out a national environmental program within their jurisdiction and:
(6)Limited use by other grantees to carry out Federal grants provided the use is consistent with the
terms of EPA's authorization to the other grantee to use the copyrighted works or other data.
Under Item 6. the grantee acknowledges that EPA may authorize another grantee(s)to use the
copyrighted works or other data developed under this grant as a result of:
• the selection of another grantee by EPA to perfoim a project that will involve the use of the
copyrighted works or other data or;
• termination or expiration of this ageement.
In addition, EPA may authorize another grantee to use copyrighted works or other data developed with
Agency funds provided under this grant to perform another grant when such use promotes efficient and
effective use of Federal grant funds,
24. Patents and Inventions
Rights to inventions made under this assistance agreement are subject to federal patent and licensing
regulations,which are codified at Title 37 CFR Part 401 and Title 35 USC Sections 200-212.
Pursuant to the Bayh-Dole Act(set forth in 35 USC 200-212),EPA retains the right to a worldwide.
nonexclusive,nontransferable, irrevocable,paid-up license to practice the invention owned by the
assistance agreement holder, as defined in the Act. To streamline the invention reporting process and to
facilitate compliance with the Bayh-Dole Act,the recipient must utilize the Interagency Edison
extramural invention reporting system at hop..iE,nsom,o:....Annual utilization reports must be submitted
through the system. The recipient is required to notify the Project Officer identified on the award
document when an invention report,patent report.or utilization report is filed at hrtp. tEdiion.goN,. EPA
elects not to require the recipient to provide a report prior to the close-out of a funding agreement listing
all subject inventions or stating that there were none.
In accordance with Executive Order 1259 I.as amended, government owned and operated laboratories
can enter into cooperative research and development agreements with other federal laboratories,state
and local governments, universities, and the private sector,and license,assign,or waive rights to
intellectual property -developed by the laboratory either under such cooperative research or
development agreements and from within individual laboratories.-
25. Acknowledgement Requirements for Non-ORD Assistance Agreements
The recipient agrees that any reports, documents, publications or other materials developed for public
distribution supported by this assistance agreement shall contain the following statement:
"This project has been funded wholly or in part by the United States Environmental Protection Agency
under assistance agreement(number) to(recipient). The contents of this document do not necessarily
reflect the views and policies of the Environmental Protection Agency,nor does the EPA endorse trade
names or recommend the use of commercial products mentioned in this document."
Page 16 of 26
Recipients of EPA Office of Research Development(ORD)research awards must follow the
acknowledgement requirements outlined in the research T&Cs available at:
asp. A Federal-wide workgroup is currently updating the
Federal-Wide Research Terms and Conditions Overlay to the Uniform Administrative Requirements.
Cost Principles and Audit Requirements for Federal Awards and when completed recipients of EPA
ORD research must abide by the research T&Cs.
26. Electronic and Information Technology Accessibility
Recipients are subject to the program accessibility provisions of Section 504 of the Rehabilitation Act.
codified in 40 CFR Part 7, which includes an obligation to provide individuals with disabilities
reasonable accommodations and an equal and effective opportunity to benefit from or participate in a
program, including those offered through electronic and information technology(`ElY'). In compliance
with Section 504. EHT systems or products funded by this award must be designed CO meet the diverse
•
needs of users(e.g., U.S. public,recipient personnel)without barriers or diminished function or quality.
Systems shall include usability features or functions that accommodate the needs of persons with
disabilities, including those who use assistive technology.At this time,the EPA will consider a
recipient's websites,interactive tools.and other EIT as being in compliance with Section 504 if such
technologies meet standards established under Section 598 of the Rehabilitation Act,codified at 36 CFR
Part 1194. While Section 508 does not apply directly to grant recipients,we encourage recipients to
follow either the 508 guidelines or other comparable guidelines that concern accessibility to EIT for
individuals with disabilities.
Recipients may wish to consult the latest Section 508 guidelines issued by the U.S.Access Board or
W3C's Web Content Accessibility Guidelines(WCAG)2.0(see hap. wwu_access-
board.gok.sec508,guide,"index,hun).
27. Human Subjects
Human subjects research is any activity that meets the regulatory definitions of both research AND
human subject. Research is a systematic investigation, including research development,testing and
evaluation,designed to develop or contribute to generalizable knowledge. Human subject means a
living individual about whom an investigator(whether professional or student)conducting research
obtains(1)data through intervention or interaction with the individual,or(2)identifiable private
information. [40 CFR 26.102(dxf)]
No research involving human subjects will be conducted under this agreement without prior written
approval of the EPA to proceed with that research. If engaged in human subjects research as part of
this agreement,the recipient agrees to comply with all applicable provisions of EPA Regulation 40
CFR 26(Protection of Human Subjects). This includes,at Subpart A,the Basic Federal Policy for the
Protection of Human Research Subjects,also known as the Common Rule. It also includes,at
Subparts B.C.and D. prohibitions and additional protections for children,nursing women,pregnant
women_and fetuses in research conducted or supported by EPA.
The recipient further agrees to comply with EPA's procedures for oversight of the recipient's
compliance with 40 CFR 26, as given in EPA Order 1000.17 Change A 1 (Policy and Procedures on
Protection of Human Research Subjects in EPA Conducted or Supported Research). As per this order,
no human subject may be involved in any research conducted under this assistance agreement, including
recruitment, until the research has been approved or determined to be exempt by the EPA Human
Subjects Research Review Official(HSRRO)after review of the approval or exemption determination of
the Institutional Review Board(s)(IRB(s))with jurisdiction over the research under 40 CFR 26.
For HSRRO approval, the recipient must forward to the Project Officer:(I)copies of all documents upon
which the IRB(s)with jurisdiction based their approval(s)or exemption determination(s),(2)copies of the
IRB approval or exemption determination letter(s). (3)copy of the IRB-approved consent forms and
Page 17 of 26
subject recruitment materials, if applicable, and (4)copies of all supplementary IRB correspondence
Following the initial approvals indicated above, the recipient must,as part of the annual report(s).provide
evidence of continuing review and approval of the research by the IRB(s)with jurisdiction, as required
by 40 CFR 26 I09(e). Materials submitted to the IRB(s)for their continuing review and approval are to
be provided to the Project Officer upon [RB approval During the course of the research, investigators
must promptly report any unanticipated problems involving risk to subjects or others according to
requirements set forth by the(RB. In addition, any event that is significant enough to result in the
removal of the subject from the study should also be reported to the Project Officer.even if the event is
not reportable to the IRB of record
28. Animal Subjects
The recipient agrees to comply with the Animal Welfare Act of 1966(P.L. 89-544),as amended. 7 USC
2131-2156. Recipient also agrees to abide by the"U.S. Government Principles for the Utilization and
Care of Vertebrate Animals used in Testing, Research,and Training" (Federal Register 50(97): 20864-
20865. May 20.1985), The nine principles can be viewed at
hu-1J;LS4..ro%.l'criciple-. For additional information
about the Principles, the recipient should consult the Guide for Care and L'se of Laboratory Animals,
prepared by the Institute of Laboratory Animal Resources,National Research Council and can be accessed
at tiiir eJi labrat,
29. Light Refreshments andior Meals
APPLICABLE TO ALL AGREEMENTS EXCEPT STATE CONTINUING ENVIRONMENTAL
PROGRAMS(AS DESCRIBED BELOW):
Unless the event(s)and all of its components are described in the approved workplan.the recipient agrees
to obtain prior approval from EPA for the use of grant funds for light refreshments andior meals served at
meetings,conferences,training Workshops and outreach activities(events). The recipient must send
requests for approval to the EPA Project Officer and include:
•
(1)An estimated budget and description for the light refreshments, meals.and/or beverages to be served at
the event(s):
(2)A description of the purpose,agenda, location, length and timing for the event;and.
(3)An estimated number of participants in the event and a description of their roles.
Costs for light refreshments and meals for recipient staff meetings and similar day-to-day activities are not
allowable under EPA assistance agreements.
Recipients may address questions about whether costs for light refreshments, and meals for events may be
allowable to the recipient's EPA Project Officer; however,the Agency Award Official or Grant
Management Officer will make final determinations on allowability. Agency policy prohibits the use of
EPA funds for receptions. banquets and similar activities that take place after normal business hours unless
the recipient has provided a justification that has been expressly approved by EPA's Award Official or
Grants Management Officer
EPA funding for meals, light refreshments, and space rental may not be used for any portion of an event
A1-iere alcohol is served, purchased, or otherwise available as part of the event or meeting,even if EPA
funds are not used to purchase the alcohol.
Note: U.S. General Services Administration regulations define light refreshments for morning, afternoon
or evening breaks to include, but not be limited to, coffee, tea, milk,juice, soft drinks,donuts, bagels, fruit,
pretzels, cookies, chips,or muffins. (41 CFR 301-747)
FOR STATE CONTINUING ENVIRONMENTAL PROGRAM GRANT RECIPIENTS
EXCLUDING STATE UNIVERSITIES:
Page 18 of 26
If the state maintains systems capable of complying with federal grant regulations at 2 CFR 200.432 and
200.438. EPA has waived the prior approval requirements for the use of EPA funds for light refreshments
and/or meals served at meetings, conferences, and training, as described above. The state may follow its
own procedures without requesting prior approval from EPA. However, notwithstanding state policies, EPA
Funds may not be used for(1)evening receptions, or(2)other evening events(with the exception of
working meetings). Examples of working meetings include those evening events in which small groups
discuss technical subjects on the basis of a structured agenda or there are presentations being conducted by
experts. EPA funds for meals, light refreshments, and space rental may not be used for any portion of an
event(including evening working meetings)where alcohol is served,purchased,or otherwise available as
part of the event or meeting. even if EPA funds are not used to purchase the alcohol.
By accepting this award,the state is certifying that it has systems in place(including internal controls)to
comply with the requirements described above.
30. Tangible Personal Property
30.1 Reporting Pursuant to 2 CFR 200.312 and 200.314.property reports. if applicable,are required for
Federally-owned property in the custody of a non-Federal entity upon completion of the Federal
award or when the property is no longer needed. Additionally,upon termination or completion of
the project, residual unused supplies with a total aggregate fair market value exceeding$5,000 not
needed for any other Federally-sponsored programs or projects must be reported. For Superfund
awards under Subpart 0,refer to 40 CFR 35.6340 and 35.6660 for property reporting requirements.
Recipients should utilize the Tangible Personal Property Report form series(SF-428)to report
tangible personal property.
30.2 Disposition
30.2.1 Most Recipients.Consistent with 2 CFR 200.313,unless instructed otherwise on the official
award document,this award term,or at closeout,the recipient may keep the equipment and
continue to use it on the project originally funded through this assistance agreement or on
other federally funded projects whether or not the project or program continues to be supported
by Federal funds.
30.2.2 State Agencies.Per 2 CFR 200.313(b).state agencies may manage and dispose of equipment
acquired under this assistance agreement in accordance with state laws and procedures.
30.2.3 Superfund Recipients.Equipment purchased under Superfund projects is subject to specific
disposal options in accordance with 40 CFR Part 35.6345.
31. Dual Use Research of Concern(DURC)
The recipient agrees to conduct all life science research' in compliance with EP.t Order Jn the Puh t-
,inJ Prc% =Juresjurtluruging Dual 1 .+e ReAear..h(y(,,n.. rn(EPA DURC Order)and L niteJ StateN
i rvventme►rf Palm y /fir lnst,t,urunul(hersi_ ht c,l L/. S..i ,ru. Dual'(�_ Re search,y t'.)rr.errr(iDURC
Policy) If the recipient is an institution within the United States that receives funding through this
agreement,or from any other source,the recipient agrees to comply with the iDURC Policy if they
conduct or sponsor research involving any of the agents or toxins identified in Section 6.2.1 of the iDURC
Policy. If the institution is outside the United States and receives funding through this agreement to
conduct or sponsor research involving any of those same agents or toxins,the recipient agrees to comply
with the iDURC Policy. The recipient agrees to provide any additional information that may be requested
by EPA regarding DURC and iDURC.The recipient agrees to immediately notify the EPA Project Officer
should the project use or introduce use of any of the agents or toxins identified in the iDURC Policy The
recipient's Institution=Organization must also comply with USG iDURC policy and EPA DURC Order
and will inform the appropriate government agency if funded by such agency of research with the agents
or toxins identified in Section 6.2.1 of the iDURC Policy. If privately funded the recipient agrees to notify
the National Institutes of Health at Ut ltd a
Page 19 of 26
*"Life Sciences Research," for purposes of the EPA DURC Order, and based on the definition of research
in 40 CFR §26.I 02(d), is a systematic investigation designed to develop or contribute to generalizable
knowledge involving living organisms(e.g., microbes, human beings,animals, and plants)and their
products. EPA does not consider the following activities to be research: routine product testing,quality
control, mapping,collection of general-purpose statistics, routine monitoring and evaluation of an
operational program,observational studies,and the training of scientific and technical personnel. [Note:
This is consistent with Office of Management and Budget Circular A-Ill
32. Research Misconduct
In accordance with 2 CFR 200,328, the recipient agrees to notify the EPA Project Officer in writing about
research misconduct involving research activities that are supported in whole or in part with EPA funds
under this project. EPA defines research misconduct as fabrication, falsification,or plagiarism in
proposing, performing,or reviewing research, or in reporting research results[65 FR 76262. lj,or
ordering,advising or suggesting that subordinates engage in research misconduct. The recipient agrees to:
(1.) Immediately notify. the EPA Project Officer who will then inform the EPA Office of Inspector General
(OIG) if,at any time,an allegation of research misconduct falls into one of the categories listed below:
A. Public health or safety. is at risk.
B. Agency resources or interests are threatened.
C Circumstances where research activities should be suspended.
D. There is a reasonable indication of possible violations of civil or criminal law.
E. Federal action is required to protect the interests of those involved in the investigation.
F. The research entity believes that the inquiry or investigation may be made public prematurely so that
appropriate steps can be taken to safeguard evidence and protect the rights of those involved.
G Circumstances where the research community or public should be informed. [65 FR 76263,1111
(2)Report other allegations to the DIG when they have conducted an inquiry and determined that there is
sufficient evidence to proceed with an investigation, (65 FR 76263, 1111
33. Scientific Integrity Terms and Conditions
The recipient agrees to comply with r' \ Soentitic int.ggrr. PoiR:-, when conducting,supervising, and
communicating science arid when using or applying the results of science. For purposes of this.award
condition scientific activities include, but are not limited to,computer modelling,economic analysis, field
sampling,laboratory experimentation,demonstrating new technology,statistical analysis. and writing a
review article on a scientific issue. The recipient agrees to:
33.1 Scientific Products
33.1.1 Produce scientific products of the highest quality,rigor,and objectivity, by
adhering to applicable EPA ;atom-1460n quai[L\ Jchi .4Lial.tt‘x_kji!,..._,and peer
review policy,
33.1.2 Prohibit all recipient employees,contractors,and program participants, including
scientists, managers, and other recipient leadership,from suppressing,altering, or
otherwise impeding the timely release of scientific findings or conclusions.
33.13 Adhere to L Peer ilanilnuoik4.j4it .0, for the peer review of
scientific and technical work products generated through EPA grants or cooperative
agreements which, by definition,are not primarily for EPA's direct use or benefit.
33.2 Scientific Findings
33.2.1 Require that reviews regarding the content of a scientific product that are
conducted by the project manager and other recipient managers and the broader
management chain be based only on scientific quality considerations,e.g., the
methods used are clear and appropriate,the presentation of results and conclusions
is impartial.
Page 20 of 26
33.2.2 Ensure scientific findings are generated and disseminated in a timely and
transparent manner, including scientific research performed by employees,
contractors, and program participants, who assist with developing or applying the
results of scientific activities.
312.3 Include, when communicating scientific findings,an explication of underlying
assumptions, accurate contextualization of uncertainties,and a description of the
probabilities associated with both optimistic and pessimistic projections, if
applicable
33.2.4 Document the use of independent validation of scientific methods.
33.2,5 Document any independent review of the recipient's scientific facilities and testing
activities,as occurs with accreditation by a nationally or internationally recognized
sanctioning body.
33.2.6 Make scientific information available online in open formats in a timely manner,
including access to data and non-proprietary models.
33.3 Scientific Misconduct
33.3.1 Prohibit intimidation or coercion of scientists to alter scientific data, findings, or
professional opinions or non-scientific influence of scientific advisory boards. In
addition. recipient employees.contractors, and program participants, including
scientists, managers,and other leadership,shall not knowingly misrepresent,
exaggerate,or downplay areas of scientific uncertainty.
33.3.2 Prohibit retaliation or other punitive actions toward recipient employees who
uncover or report allegations of scientific and research misconduct,or who express
a differing scientific opinion. Employees who have allegedly engaged in scientific
or research misconduct shall be afforded the due process protections provided by
law, regulation,and applicable collective bargaining agreements.prior to any
action. Recipients shall ensure that all employees and contractors of the recipient
shall be familiar with these protections and avoid the appearance of retaliatory
actions.
33.3.3 Require all recipient employees,contractors, and program participants to act
honestly and refrain from acts of research misconduct,including publication or
reporting,as described in EPA P1.11l‘ Prouedures for Addressing Re',e4rd I
Mix:onduo. Section 9.C.Research misconduct does not include honest error or
differences of opinion. While EPA retains the ultimate oversight authority for
EPA-supported research,grant recipients conducting research bear primary
responsibility for prevention and detection of research misconduct and for the
inquiry, investigation,and adjudication of research misconduct alleged to have
occurred in association with their own institution.
33.3.4 Take the actions required on the part of the recipient described in EPA's Policy and
Procedures for Addressing Research Misconduct. Sections 6 through 9,when
research misconduct is suspected or found.
33.4 Additional Resources
For more information about the Scientific Integrity Policy,an introductory video can be accessed
at: lily, *.t: 1(24( ?B\\ .. A training video is available at: hitcs 01.1L4 t'S: 7, I
Public Policy Requirements
34. Civil Rights Obligations
This term and condition incorporates by reference the signed assurance provided by the recipient's
authorized representative on: I)EPA Form 4700-4, "Preaward Compliance Review Report for All
Applicants and Recipients Requesting EPA Financial Assistance-: and 2)Standard Form 424B or
Page 21 of 26
Standard Form 424D, as applicable.
These assurances and this term and condition obligate the recipient to comply fully with applicable civil
rights statutes and implementing EPA regulations.
•
a. Statutory Requirements
In carrying out this agreement,the recipient must comply with:
f. Title Vl of the Civil Rights Act of 1964,which prohibits discrimination based on
race,color, and national origin, including limited English proficiency(LEP), by
entities receiving Federal financial assistance.
2. Section 504 of the Rehabilitation Act of 1973,which prohibits discrimination against
persons with disabilities by entities receiving Federal financial assistance;and
3. The Age Discrimination Act of 1975.which prohibits age discrimination by entities
receiving Federal financial assistance.
ii.
lithe recipient is an education program or activity(e.g.,school,college or university)or
if the recipient is conducting an education program or activity under this agreement, it
must also comply with.
1. Title IX of the Education Amendments of 1972,which prohibits discrimination on
the basis of sex in education programs and activities operated by entities receiving
Federal financial assistance.For further information about your compliance
obligations regarding Title IX,see 40 CFR Part 5 and
iii. if agreement is funded with financial assistance under the Clean Water Act
(CWA),the recipient must also comply with:
Section 13 of the Federal Water Pollution Control Act Amendments of 1972,which
prohibits discrimination on the basis of sex in CWA-funded programs or activities.
b. Regulatory Requirements
The recipient agrees to comply with all applicable EPA civil rights regulations.including:
1. For Title IX obligations,40 C.F.R, Part 5:and
2. For Title VI, Section 504,Age Discrimination Act,and Section 13 obligations.40
CFR Part 7,
3. As noted on the EPA Form 4700-4 signed by the recipient's authorized
representative_these regulations establish specific requirements including
maintaining compliance information.establishing grievance procedures,
designating a Civil Rights Coordinator and providing notices of non-
discrimination.
c. TITLE VI -LEP,Public Participation and Affirmative Compliance Obligation
As a recipient of EPA financial assistance,you are required by Title VI of the Civil
Rights Act to provide meaningful access to LEP individuals, In implementing that
requirement,the recipient agrees to use as a guide the Office of Civil Rights(OCR)
document entitled"Guidance to Environmental Protection Agency Financial Assistance
Recipients Regarding Title VI Prohibition Against National Origin Discrimination
Affecting Limited English Proficient Persons." The guidance can be found at:
hug, +15 A ?ultra ruj,tcr L ucutnent. l)04 no 25 04-14464,ouidance-lo-
: ? ,Ilnel ' ,usisianc re'l Tient ftiySr if1L llt;�-vi
ii. If the recipient is administering permitting programs under this agreement,the recipient
agrees to use as a guide OCR's Title VI Public Involvement Guidance for EPA
Assistance Recipients Administering Environmental Permitting Programs.The
Guidance can be found at r ,.i ace,, ... UUr-put 06-209 is,s.i%
In accepting this assistance agreement, the recipient acknowledges it has an affirmative
obligation to implement effective Title VI compliance programs and ensure that its
actions do not involve discriminatory treatment and do not have discriminatory effects
Page 22 of 26
even when facially neutral. The recipient must be prepared to demonstrate to EPA that
such compliance programs exist and are being implemented or to otherwise
demonstrate how it is meeting its Title VI obligations.
35. Drug-Free Workplace
The recipient organization of this EPA assistance agreement must make an ongoing,good faith effort to
maintain a drug-free workplace pursuant to the specific requirements set forth in Title 2 CFR Part 1536
Subpart B. Additionally, in accordance with these regulations, the recipient organization must identify
all known workplaces under its federal awards,and keep this information on file during the performance
of the award.
Those recipients who are individuals must comply with the drug-free provisions set forth in Title 2 CFR
Part 1536 Subpart C.
The consequences for violating this condition are detailed under Title 2 CFR Part 1536 Subpart E.
Recipients can access the Code of Federal Regulations(CFR)Title 2 Part 1536 at KV,,rkeçrr
36. Hotel-Motel Fire Safety
Pursuant to 15 USC 2225a,the recipient agrees to ensure that all space for conferences, meetings.
conventions or training seminars funded in whole or in part with federal funds complies with the
protection and control guidelines of the Hotel and Motel Fire Safety Act(PL 101-391.as amended).
Recipients may search the Hotel-Motel National Master List at h tip.> app. Lista.jeff1J.SON hotel to see
if a property is in compliance,or to find other information about the Act.
37. Lobbying Restrictions(Updated 11/19/18)
This assistance agreement is subject to lobbying restrictions as described below.
a) Applicable to all assistance agreements:
ii The chief executive officer of this recipient agency shall ensure that no grant funds awarded
under this assistance agreement are used to engage in lobbying of the Federal Government
or in litigation against the U.S.unless authorized under existing law.The recipient shall
abide by the Cost Principles available at 2 CFR 200 which generally prohibits the use of
federal grant funds for litigation against the U.S. or for lobbying or other political activities.
ii) The recipient agrees to comply with Title 40 CFR Part 34,New Restrictions on Lobbying.
The recipient shall include the language of this provision in award documents for all
subawards exceeding$100,000 and require that subrecipients submit certification and
disclosure forms accordingly
iii) In accordance with the Byrd Anti-Lobbying Amendment,any recipient who makes a
prohibited expenditure under Title 40 CFR Part 34 or fails to file the required certification or
lobbying forms shall be subject to a civil penalty of not less than$10,000 and not more than
$100,000 for each such expenditure.
iv) Contracts awarded by a recipient shall contain, when applicable,the anti-lobbying
provision as stipulated in the Appendix to Part 200 Contract Provisions for Non-
Federal Entity Contracts Under Federal Awards.
v) By accepting this award,the recipient affirms that it is not a nonprofit organization described
in Section 501(c)14)of the Internal Revenue Code of 1986 as required by Section 18 of the
Page 23 of 26
Lobby log Disclosure Act; or that it is a nonprofit organization described in Section 501(c)(4)
of the Code but does not and will not engage in lobbying activities as defined in Section 3 of
the Lobbying Disclosure Act.Nonprofit organizations exempt from taxation under section
501(c)(4)of the Internal Revenue Code that engage in lobbying activities are ineligible for
EPA subawards.
b) Applicable to assistance agreements when the amount of the award is over$100,000:
ii By accepting this award, the recipient certifies, to the best of its knowledge and belief, that:
(I) No Federal appropriated funds have been or will be paid, by or on behalf of the recipient, to
any person for influencing or attempting to influence an officer or employee of any agency,
a Member of Congress, an officer or employee of Congress,or an employee of a Member
of Congress in connection with the awarding of any Federal contract, the making of any
Federal grant, the making of any Federal loan,the entering into of any cooperative
agreement.and the extension,continuation, renewal,amendment,or modification of any
Federal contract,grant.loan,or cooperative agreement.
i2 if any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency,a
Member of Congress,or any employee of a Member of Congress in connection with this
Federal grant or cooperative agreement,the recipient shall complete and submit the linked
Ann - 1 i Dts0,,,urc i urm to R,10.2,11Loto;.ikj. in accordance with its
instructions.
(3) The recipient shall require that the language of this certification be included in the award
documents for all subawards exceeding$100,000 at all tiers(including subcontracts.
subgrants,and contracts under grants, loans, and cooperative agreements)and that all
subrecipients shall certify and disclose accordingly.
ii) 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.S.Code. Any
person who fails to file the required certification shall be subject to a civil penalty of not less
than S10.000 and not more than$100,000 for each failure.
38. Recycled Paper
When directed to provide paper documents,the recipient agrees to use recycled paper and double-sided
printing for all reports which are prepared as a part of this agreement and delivered to EPA. This
requirement does not apply to reports prepared on forms supplied by EPA.
39, Resource Conservation and Recovery Act
Consistent with goals of section 6002 of RCRA (42 U.S.C. 6962), State and local institutions of higher
education,hospitals and non-profit organization recipients agree to give preference in procurement programs
to the purchase of specific products containing recycled materials, as identified in 40 CFR Part 247.
Consistent with section 6002 of RCRA(42 U.S.C.6962)and 2 CFR 200.322.State agencies or agencies
of a political subdivision of a State and its contractors are required to purchase certain items made from
recycled materials, as identified in 40 CFR Part 247, when the purchase price exceeds$10,000 during the
course of a fiscal year or where the quantity of such items acquired in the course of the preceding fiscal
year was$10,000 or more: Pursuant to 40 CFR 247:2 (d), the recipient may decide not to procure such
items if they are not reasonably available in a reasonable period of time; fail to meet reasonable
Page 24 of 26
performance standards;or are only available at an unreasonable price.
40. Trafficking in Persons
a. Provisions applicable to a recipient that is a private entity.
i. The recipient,the recipient's employees,subrecipients under this award,and
subrecipients' employees may not-
1.
ot1. Engage in severe forms of trafficking in persons during the period of time that
the award is in effect;
2. Procure a commercial sex act during the period of time that the award is in
effect; or
3. Use forced labor in the performance of the award or subawards under the award.
ii. We as the Federal awarding agency may unilaterally terminate this award,without
penalty,if the recipient or a subrecipient that is a private entity—
!. Is determined to have violated a prohibition in paragraph a of this award
term;or
2. Has an employee who is determined by the agency official authorized to
terminate the award to have violated a prohibition in paragraph a of this
award term through conduct that is either—
a. Associated with performance under this award;or
b. Imputed to the recipient or subrecipient using the standards and due
process for imputing the conduct of an individual to an organization that
are provided in 2 CFR part 180, "OMB Guidelines to Agencies on
Governmentwide Debarment and Suspension(Nonprocurement)," as
implemented by our Agency at 2 CFR 1532.
b. Provision applicable to a recipient other than a private entity.EPA may unilaterally terminate
this award,without penalty,if a subrecipient that is a private entity—
i. Is determined to have violated an applicable prohibition in paragraph a.of this award
term;or
ii. Has an employee who is determined by the agency official authorized to terminate the
award to have violated an applicable prohibition in paragraph a of this award term
through conduct that is either-
1. Associated with performance under this award;or
2. Imputed to the subrecipient using the standards and due process for imputing the
conduct of an individual to an organization that are provided in 2 CFR part 180,
"OMB Guidelines to Agencies on Governmentwide Debarment and Suspension
(Nonprocurement),"as implemented by EPA at 2 CFR 1532
c. Provisions applicable to any recipient.
i. The recipient must inform the EPA immediately of any information received from any
source alleging a violation of a prohibition in paragraph a of this award term.
ii. Our right to terminate unilaterally that is described in paragraph a and b:
1. Implements section 106(g)of the Trafficking Victims Protection Act of 2000
(TVPA),as amended(22 U.S.C.7104(g)),and
2. Is in addition to all other remedies for noncompliance that are available to us
under this award.
iii. The recipient must include the requirements of paragraph a of this award term in any
subaward made to a private entity.
d. Definitions.For purposes of this award term:
i. "Employee" means either:
1. An individual employed by you or a subrecipient who is engaged in the
Page 2S of 26
performance of the project or program under this award;or
2. Another person engaged in the performance of the project or program under this
award and not compensated by you including, but not limited to,a volunteer or
individual whose services are contributed by a third party as an in-kind
contribution toward cost sharing or matching requirements.
ii. "Forced labor" means labor obtained by any of the following methods:the recruitment,
harboring,transportation,provision,or obtaining of a person for labor or services,
through the use of force,fraud,or coercion for the purpose of subjection to involuntary
servitude,peonage,debt bondage,or slavery.
iii. "Private entity":
1. Means any entity other than a State, local government, Indian tribe,or foreign
public entity,as those terms are defined in 2 CFR 175.25.
2. Includes:
a. A nonprofit organization.including any nonprofit institution of higher
education,hospital,or tribal organization other than one included in the
definition of Indian tribe at 2 CFR 175.25(b).
b. A for-profit organization.
iv. "Severe forms of trafficking in persons," "commercial sex act," and`'coercion" have
the meanings given at section I03 of the TVPA.as amended(22 U.S.C. 7102).
Page 26 of 26