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Americorps Grant AwardTHE CITY OF Dubuque DUB E "~'"'~a~"" 1 1 Masterpiece on the Mississippi 2007 TO: The Honorable Mayor and City Council Members FROM: Michael C. Van Milligen, City Manager SUBJECT: AmeriCorps Grant Award DATE: June 26, 2009 Finance Director Ken TeKippe has recommended the authorization of the City Manager's execution of the grant agreement with the Iowa Commission on Volunteer Service for the City of Dubuque AmeriCorps Program. The City of Dubuque's Partners in Learning AmericCorps Program has been awarded a grant from the Corporation for National and Community Service through the American Recovery and Reinvestment Act of 2009. Dubuque's award is one of three in the state of Iowa. The stimulus grant for the period of July 1, 2009 to June 30, 2010 will provide a onetime grant of $186,201 to hire 30 additional members (14.5 FTE's). These members will provide for increased staffing at the Multicultural Family Center to provide community and cultural liaisons and start up position with the Four Mounds Youth Build Program. The source of match funding is 25% match from AmericCorps sites and in kind match for administration and training. This program is directed by Penny Ehlinger, with assistance from Beverly Berna, Family Specialist with Iowa State University Dubuque County Extension. I concur with the recommendation and respectfully request Mayor and City Council approval. 1 Mic ael C. Van Milligen MCVM:Iw Attachment cc: Barry Lindahl, City Attorney Cindy Steinhauser, Assistant City Manager Ken TeKippe, Finance Director THE CTTY OF DtJbUgUe DT T~ ~ AI-AmericaC"~y Masterpiece on the Massisszppt , i ,~ 2007 TO: Michael Van Milligen, City Manager FROM: Ken TeKippe, Finance Director ~ ~~ ~Q- SUBJECT: AmeriCorps grant award DATE: June 19, 2009 INTRODUCTION The purpose of this memorandum is to request the City Council to authorize the City Manager's execution of the attached grant agreement with the Iowa Commission on Volunteer Service for the City of Dubuque AmeriCorps Program. BACKGROUND The City of Dubuque's Partners in Learning AmeriCorps Program has been awarded a grant from the Corporation for National and Community Service through the American Recovery and Reinvestment Act of 2009. Dubuque's award is one of three in the state of Iowa. The stimulus grant for the period of July 1, 2009 to June 30, 2010 will provide a onetime grant of $186, 201 to hire 30 additional members (14.5 FTE's). These members will provide for increased staffing at the Multicultural Family Center to provide community and cultural liaisons and start up positions with the Four Mounds Youth Build Program. The source of match funding is a 25% match from AmeriCorps sites and in kind match for administration and training. This program is directed by Penny Ehlinger, with assistance from Beverly Berna, Family Specialist with Iowa State University Dubuque County Extension. RECOMMENDED ACTION The action requested of the City Council is to authorize the City Manager's signature of the attached grant agreement with the Iowa Commission on Volunteer Service. KT:Id Attachments cc: Penny Ehlinger, AmeriCorps Program Director IOWA COMMISSION ON VOLUNTEER SERVICE AmeriCorps GRANT AGREEMENT GRANT NUMBER: 09-CR-13 AWARD DATE: July 1, 2009 AWARD AMOUNT: $186,201 GRANTEE FED. ID. #: 42-6004596 THIS AmeriCorps AGREEMENT is made by and between the IOWA COMMISSION ON VOLUNTEER SERVICE, 200 East Grand Avenue, Des Moines, Iowa 50309 ("Commission" or "ICVS"), an agency of the State of Iowa, and City of Dubuque ("Grantee"), a city government. The Commission desires to make a grant to the Grantee and the Grantee desires to accept this grant, all upon the terms and conditions set forth in this Agreement. ~ THEREFORE, in consideration of the mutual promises contained in this Agreement and other good and valuable consideration, it is agreed as follows: ARTICLE I DEFINITIONS As used in this Agreement, the following terms shall apply: 1.1 ACT. "Act" means the National and Community Service Act of 1990, as amended (42 U.S.C. 5.12591 ET seq.). 1.2 AWARD DATE. "Award Date" means the date on which the Commission approved the grant award. 1.3 GRANT AGREEMENT or AGREEMENT. "Grant Agreement" or "Agreement" means this Agreement and all of the exhibits, attachments and documents referred to in the Agreement and all other instruments or documents executed by the parties or otherwise required in connection with the Agreement. 1.4 PROJECT. "Project" means the detailed description of the work, services, and other obligations to be performed or accomplished by the Grantee as described in this Agreement and the AmeriCorps application approved by the Commission. 1.5 PROJECT COMPLETION DATE. "Project Completion Date" means June 30, 2010 and is the date by which the Project tasks shall have been fully accomplished including fulfillment of the obligations identified in Article VI. AmeriCorps Grant Agreement Format Approved 10/94 Revised 5/09 09-CR-13 Page 2 of 11 ARTICLE II FUNDING 2.1 FUNDING SOURCE. The source of funding for the Grant is a grant from the Corporation for National Service for the AmeriCorps Program. The Grantee shall comply with the requirements, conditions and rules of the Commission and any other public or private entity having authority over the funds or the Grant. 2.2 RECEIPT OF FUNDS. All payments under this Agreement are subject to receipt by the Commission of sufficient funds for the AmeriCorps Program. Any termination, reduction or delay of funds to the Commission shall, at the option of the Commission, result in the termination, reduction or delay of funds to the Grantee. ARTICLE III GRANT; TIME OF PERFORMANCE; WORK TO BE PERFORMED 3.1 GRANT. The Commission grants $186,201 for the time period of July 1, 2009, to June 30, 2010, to the Grantee for AmeriCorps activities. 3.2 WORK TO BE PERFORMED. Subject to the terms and conditions set forth in this Agreement, ICVS grants funds to the Grantee to perform activities and services as specifically outlined in Exhibit C entitled "Grant Application" dated May 4, 2009, attached hereto, and incorporated by this reference, and for such other tasks as ICVS and Grantee may agree to in writing. ARTICLE IV CONDITIONS TO DISBURSEMENT OF FUNDS Unless and until the following conditions have been satisfied, the Commission shall be under no obligation to disburse to the Grantee any amounts under the Grant Agreement: 4.1 GRANT AGREEMENT EXECUTED. The Grant Agreement shall have been properly executed and, where required, acknowledged. 4.2 AUTHORITY Resolution of the Board of Directors authorizing the execution and delivery of this Grant Agreement and such other papers as the Commission may reasonably request, and specifying the officer(s) authorized to execute the Grant Agreement and bind the Grantee. ARTICLE V REPRESENTATIONS AND WARRANTIES OF GRANTEE To induce the Commission to make the Grant referred to in this Agreement, the Grantee represents, covenants and warrants that: 5.1 AUTHORITY. The Grantee is duly authorized and empowered to execute and deliver the Grant Agreement. All action on the Grantee's part, such as appropriate resolution of its Board of AmeriCorps Grant Agreement Format Approved 10/94 Revised 5/09 09-CR-13 Page 3 of 11 Directors for the execution and delivery of the Grant Agreement, has been effectively taken. 5.2 FINANCIAL INFORMATION. All financial statements and related materials concerning the Grantee and the Proj ect provided to the Commission are true and correct in all material respects and completely and accurately represent the subject matter thereof as of the effective date of the statements and related materials, and no material adverse change has occurred since that date. 5.3 APPLICATION. The contents of the application the Grantee submitted to the Commission for funding is a complete and accurate representation of the Grantee and the Project as of the date of submission and there has been no material adverse change in the organization, operation, or key personnel of the Grantee since the date the application was submitted to the Commission. 5.4 PRIOR AGREEMENTS. The Grantee has not entered into any verbal or written contracts, agreements or arrangements of any kind, which are inconsistent with the Grant Agreement. 5.5 EFFECTIVE DATE. The covenants, warranties and representations ofthisArticle are made as of the date of this Agreement and shall be deemed to be renewed and restated by the Grantee at the time of each request for disbursement of funds. ARTICLE VI GRANTEE OBLIGATIONS 6.1 AFFIRMATIVE COVENANTS. The Grantee covenants with ICVS that: (a) PROJECT WORK AND SERVICES. The Grantee shall complete the work and services detailed in its application. (b) COMPLIANCE WITH LAW AND REGULATIONS. The Grantee shall comply with the provisions of the Act, the Corporation's regulations (45 CFR 2510 et al) (Exhibit D), AmeriCorps -Provisions (Exhibit E) and all other applicable laws and regulations. (c) ACCESS TO RECORDS. The Grantee shall permit the Commission, Auditor of the State of Iowa or any authorized representative of the State, and where federal funds are involved, the Comptroller General of the United States or any other representative of the United States Government, to access and examine, audit, excerpt and transcribe any directly pertinent books, documents, papers and records of Grantee relating to orders, invoices, or payments or any other documentation or materials pertaining to this contract. (d) RECORDS RETENTION. All records of the Grantee relating to this contract shall be retained for a period of five (5) years following the date of final payment or completion of any required audit and resolution of any audit findings, whichever is earlier. (e) USE OF GRANT FUNDS. The Grantee shall expend funds received under the Grant only for the purposes and activities described in its application and approved by the AmeriCorps Grant Agreement Format Approved 10/94 Revised 5/09 09-CR-13 Page4of11 Commission and in compliance with applicable federal and state law and regulations. (f) DOCUMENTATION. The Grantee shall deliver to ICVS upon request, (i) copies of all contracts or agreements relating to the Project, (ii) invoices, receipts, statements or vouchers relating to the Project, (iii) a list of all unpaid bills for labor and materials in connection with the Project, (iv) budgets and revisions showing estimated Project costs and funds required at any given time to complete and pay for the Project, and (v) current and year-to-date operating statements not older than sixty (60) days from the date of request. (g) NOTICE OF PROCEEDINGS. The Grantee shall promptly notify ICVS of the initiation of any claims, lawsuits or proceedings brought against the Grantee. (h) REPORTS. The Grantee shall submit the following reports to ICVS: Payment Request Periodic Expense Report Financial Status Report (FSR) Final Financial Status Report one signed original in WBRS or alternate system in WBRS or alternate system in WBRS or alternate system Performance Measures Reporting Performance Measures Reporting Final Performance Measures Report in Survey Monkey in Survey Monkey of each month 20th of each month July 6, 2009 October 5, 2009 January 5, 2010 and April 5, 2010 Within 60 days of termination of grant agreement July 6, 2009 October 5, 2009 January 5, 2010 and April 5, 2010 Within 60 days of (or other reporting system) expiration or termination of grant agreement Audit Report one copy See exhibit "A" (i) MAINTENANCE OF PROJECT PROPERTY AND INSURANCE. Grantee shall maintain with financially sound and reputable insurers, insurance to protect its properties against losses or damages of the kind customarily insured against by corporations of established favorable reputation engaged in the same or similarly situated. Grantee shall, on request of ICVS, furnish a schedule of all insurance carried by it, setting forth in detail the amount and type of such insurance. AmeriCorps Grant Agreement Format Approved 10/94 Revised 5/09 09-CR-13 Page 5 of 11 (j) INDEMNIFICATION. Grantee shall jointly and severally defend, indemnify and hold ICVS and any federal funding source, its successors and assigns, harmless from and against any liability, loss, damage or expense, including reasonable counsel fees, which ICVS may incur or sustain by reason of (a) the failure of Grantee to fully perform and comply with the terms and obligations of this loan; (b) Grantee's performance or attempted performance of the Project; (c) Grantee's activities with subcontractors and third parties. (k) INTEREST AND UNEXPENDED PROCEEDS. The Grantee shall return all unexpended Grant proceeds and interest accrued on Grant proceeds to the Commission within thirty (30) days after the agreement expiration date. ARTICLE VII DOCUMENTS INCORPORATED BY REFERENCE PRIORITY 7.1 DOCUMENTS INCORPORATED BY REFERENCE. The following documents are hereby incorporated by reference: - 1. Exhibit A, "AUDIT REQUIREMENTS". 2. Exhibit B, "APPROVED BUDGET", dated May 4, 2009. 3. Exhibit C, "GRANT APPLICATION", dated May 4, 2009 on the SF424 form. 4. Exhibit D, "FEDERAL REGULATIONS" 5. Exhibit E, "AmeriCorps -PROVISIONS". 6. Exhibit F, "American Recovery and Reinvestment Act AmeriCorps Grant Provisions", effective April 1, 2009. 7.2 ORDER OF PRIORITY. In the event of a conflict between documents of this agreement, the following order of priority shall govern: 1. Articles I through X herein. 2. Exhibit A, "AUDIT REQUIREMENTS". 3. Exhibit B, "APPROVED BUDGET", dated May 4, 2009. 4. Exhibit C, "GRANT APPLICATION", dated May 4, 2009 on the SF424 form. 5. Exhibit D, "FEDERAL REGULATIONS" 6. Exhibit E, "AmeriCorps -PROVISIONS". 7. Exhibit F, "American Recovery and Reinvestment Act AmeriCorps Grant Provisions", effective April 1, 2009. AmeriCorps Grant Agreement Format Approved 10/94 Revised 5/09 09-CR-13 Page 6 of 11 ARTICLE VIII DEFAULT AND REMEDIES 8.1 EVENTS OF DEFAULT. The following shall constitute Events of Default under this Grant Agreement: (a) MATERIAL MISREPRESENTATION. If at any time any representation, warranty or statement made or furnished to the Commission by, or on behalf of, the Grantee in connection with this Grant Agreement or to induce the Commission to make a grant to the Grantee shall be determined by the Commission to be incorrect, false, misleading or erroneous in any material respect when made or furnished and shall not have been remedied to the Commission's satisfaction within thirty (30) days after written notice by the Commission is given to the Grantee. (b) LACK OF PROGRESS. If there is a failure of the Grantee to make substantial and timely progress toward performance of the Project; (c) NONCOMPLIANCE. If there is a failure by the Grantee to comply with any of the covenants, terms or conditions contained in this Agreement. (d) PROJECT COMPLETION DATE. If the Project, in the sole judgment of the Commission, is not completed on or before the Project Completion Date. (e) MISSPENDING. If the Grantee expends Grant proceeds for purposes not described in the application or authorized by the Commission. (f) INSOLVENCY OR BANKRUPTCY If the Grantee becomes insolvent or bankrupt, or admits in writing its inability to pay its debts as they mature, or makes an assignment for the benefit of creditors, or the Grantee applies for or consents to the appointment of a trustee or receiver for the Grantee or for the major part of its property; or if a trustee or receiver is appointed for the Grantee or for all or a substantial part of the assets of the Grantee and the order of such appointment is not discharged, vacated or stayed within sixty (60) days after such appointment; or if bankruptcy, reorganization, arrangement, insolvency, or liquidation proceedings or other proceedings for relief under any bankruptcy or similar law or laws for the relief of debtors, are instituted by or against the Grantee and, if instituted against the Grantee is consented to, or, if contested by the Grantee is not dismissed by the adverse parties or by an order, decree or judgment within sixty (60) days after such institution. (g) INSURANCE. If loss, theft, damage or destruction of any substantial portion of the property of the Grantee occurs for which there is either no insurance coverage or for which, in the opinion of the Commission, there is insufficient insurance coverage. 8.2 NOTICE OF DEFAULT. ICVS shall issue a written notice of default providing therein a fifteen (15) day period in which the Grantee shall have an opportunity to cure, provided that cure is possible and feasible. AmeriCorps Grant Agreement Format Approved 10/94 Revised 5/09 09-CR-13 Page 7 of 11 8.3 REMEDIES UPON DEFAULT. If, after opportunity to cure, the default remains, ICVS may do one or more of the following: (a) exercise any remedy provided by law, (b) require immediate repayment of the full amount of funds disbursed to the Grantee under the Grant Agreement plus interest. ARTICLE IX DISBURSEMENT PROCEDURES 9.1 REQUEST FOR REIMBURSEMENT. All disbursements of proceeds shall be subject to receipt by the Commission of requests for disbursement submitted by the Grantee. Requests for disbursement shall be in form and content acceptable to the Commission. Each requisition shall be submitted to the Commission according to the schedule shown in Article 6.1(h). 9.2 REQUEST FOR ADVANCE PAYMENT. (a) Advance Payments. The Grantee may receive advance payments of grant funds, provided the Grantee meets the financial management standards specified in OMB Circulars A-102 or A-110, as applicable. (b) Immediate cash flow needs. The amount of advance payments requested by the Grantee must be based on actual and immediate cash needs in order to minimize federal cash on hand in accordance with policies established by the U.S. Commission of the Treasury in 31 CFR Part 205. (c) Discontinuing advance payments. The ICVS may, after providing due notice to the Grantee, discontinue the advance payment method and allow payments in advance only by individual request and approval or by reimbursement when a grantee receiving payments demonstrates unwillingness or inability to establish procedures to minimize the time elapsing between the receipt of the cash advance and its disbursement. (d) Interest bearing accounts. In most circumstances, the Grantee must deposit advance funds received from the ICVS in a federally insured, interest-bearing account. For exceptions to this requirement, refer to OMB Circular A-102 or A-110, as appropriate. ARTICLE X GENERAL TERMS AND PROVISIONS 10.1 BINDING EFFECT. This Grant Agreement shall be binding upon the Grantee and the Commission, and their respective successors, legal representatives and assigns. The obligations, covenants, warranties, acknowledgments, waivers, agreements, terms, provisions and conditions of this 'Grant Agreement shall be jointly and severally enforceable against the parties to this Grant Agreement. AmeriCorps Grant Agreement Format Approved 10/94 Revised 5/09 09-CR-13 Page 8 of 11 10.2 COMPLIANCE WITH LAWS AND REGULATIONS. Grantee shall comply with all applicable State and federal laws, rules, ordinances, regulations and orders. 10.3 TERMINATION DUE TO NONAPPROPRIATION OR REDUCTION. If funds anticipated for the continuing fulfillment of this Agreement are at any time not forthcoming or insufficient due to non-appropriation, termination of the program, or reduction in funding level, then ICVS shall have the right to terminate this contract without penalty by giving the Contractor not less than thirty (30) days written notice. In the event of termination of this agreement under this Article, the exclusive, sole and complete remedy of the Contractor shall be payment of services rendered prior to termination. 10.4 TERMINATION. This agreement may be terminated in the following circumstances: (a) At ICVS' discretion, without cause, after thirty (30) days written notice to Contractor. (b) As a result of Contractor's default under this Agreement. (c) As a result of the termination or reduction of funding to ICVS. The Administrative Rules of ICVS in regards to the appeals process apply in all situations. 10.5 TERMINATION FOR CONVENIENCE. In addition to termination due to an event of default ornon-appropriation of funds, this Grant Agreement may be terminated in whole, or in part, when the Commission and the Grantee agree that the continuation of the Project would not produce beneficial results commensurate with the future disbursement of Grant funds. The Grantee shall not incur any obligations after the effective date of the termination and shall cancel as many outstanding obligations as is reasonably possible. The Commission will allow full credit to the Grantee for the Commission share of the non-cancelable obligations allowable under the Grant Agreement and properly incurred by the Grantee prior to termination. 10.6 PROCEDURE UPON TERMINATION. If the Grant Agreement is terminated for convenience, an event of default or non-appropriation of funds, disbursements shall be allowed for costs up to the date of termination determined by the Commission to be in compliance with this Grant Agreement. The Grantee shall return to the Commission all unencumbered Grant proceeds within one (1) week of receipt of Notice of Termination. 10.7 UNALLOWABLE COSTS. If ICVS determines at any time, whether through monitoring, audit, closeout procedures or by other means, that the Grantee has expended funds which are unallowable, the Grantee will be notified of the questioned costs and given an opportunity to justify questioned costs prior to ICVS' final determination of the disallowance of costs. If it is ICVS' final determination that costs previously paid by the Commission are unallowable under the terms of the Agreement, the expenditures will be disallowed and the Grantee shall repay to ICVS any and all disallowed costs. 10. S SURVIVAL OF AGREEMENT. If any portion of this Grant Agreement is held to be invalid or unenforceable, the remainder shall be valid and enforceable. The provisions of this Grant Agreement shall survive the execution of all instruments herein mentioned and shall continue in full force until the Grant is paid in full. AmeriCorps Grant Agreement Format Approved 10/94 Revised 5/09 09-CR-13 Page 9 of 11 10.9 GOVERNING LAW. This Grant Agreement shall be interpreted in accordance with the law of the State of Iowa, and any action relating to the Grant Agreement shall only be commenced in the Iowa District Court for Polk County or the United States District Court for the Southern District of Iowa. 10.10 MODIFICATION. (a) JOINT MODIFICATION. The Commission or the Grantee may, during the duration of this Agreement, deem it necessary to modify provisions of this Agreement, which increase or decrease the total amount of the Agreement, make a substantial change in the scope of services, add additional budget line items or transfer funds between line items within a budget category. All changes shall be incorporated into this Agreement through written amendment signed by both the Commission and the Grantee. The provisions of the amendment shall be in effect as of the date of modification is signed by both the Commission and the Grantee, unless otherwise specified within the amendment. (b) MODIFICATION NOT REQUIRED. Budget modifications that do not require a written amendment are those in which any or all of the administrative budget category is transferred to the AmeriCorps member wages and fringe benefit category or those in which one or more administrative budget line items changed but the total expenditures for administrative budget categories do not exceed the approved budget for administrative budget categories. (c) UNILATERAL MODIFICATION. Notwithstanding paragraph "a" above, ICVS may unilaterally modify this Agreement at will in order to accommodate any change in the Actor any change in the interpretation of the Act or any applicable federal, state or local laws, regulations, rules or policies. A copy of such unilateral modification will be given to the Grantee as an amendment to this Agreement. 10.11 NOTICES. Whenever this Grant Agreement requires or permits any notice or written request by one party to another, it shall be in writing, enclosed in an envelope, addressed to the party to be notified at the address heretofore stated (or at such other address as may have been designated by written notice), properly stamped, sealed and deposited in the United States Mail, as Certified Mail, Return Receipt Requested. Any such notice given hereunder shall be deemed delivered upon the earlier of actual receipt or two (2) business days after posting. The Commission may rely on the address of the Grantee set forth heretofore, as modified from time to time, as being the address of the Grantee. 10.12 WAIVERS. No waiver by the Commission of any default hereunder shall operate as a waiver of any other default or of the same default on any future occasion. No delay on the part of the Commission in exercising any right or remedy hereunder shall operate as a waiver thereof. No single or partial exercise of any right or remedy by the Commission shall preclude future exercise thereof or the exercise of any other right or remedy. AmeriCorps Grant Agreement Format Approved 10/94 Revised 5/09 09-CR-13 Page 10 of 11 10.13 LIMITATION. The Commission shall not, under any circumstances, be obligated financially under this Grant Agreement except to disburse funds according to the terms of the Agreement. 10.14 ENFORCEMENT EXPENSES. The Grantee shall pay upon demand any and all reasonable fees and expenses of the Commission, including the fees and expenses of their attorneys, experts and agents, in connection with the exercise or enforcement of any of the rights of the Commission under this Grant Agreement. 10.15 HEADINGS. The headings in this Grant Agreement are intended solely for convenience of reference and shall be given no effect in the construction and interpretation of this Grant Agreement. 10.16 COST VARIATION. In the event that the total Project cost is less than the amount specified in this Agreement, ICVS' participation shall be reduced at the same ratio as ICVS funds are to the total Project cost, and any disbursed excess above the reduced ICVS participation amount shall be returned immediately to ICVS. 10.17 COMPLIANCE WITH EEO/AA PROVISIONS. Grantee shall comply with the provisions of federal, state and local laws and regulations to ensure that no employee or applicant for employment is discriminated against because of race, religion, color, age, sex, national origin, or disability. Grantee shall provide state or federal agencies with appropriate reports as required to ensure compliance with equal employment laws and regulations. Grantee shall ensure that all authorized subcontractors comply with provisions of this clause. A breach of this Article shall be considered a material breach of this contract. 10.18 NON-ASSIGNMENT. This contract may not be assigned without prior ICVS written consent. 10.19 JOINT LIABILITY. If Grantee is a joint entity, consisting of more than one individual, partnership, corporation or other business organization, all such entities shall be jointly and severally liable for carrying out the activities and obligations of this contract, and for any default of such activities and obligations. 10.20 INTEGRATION. This Grant Agreement contains the entire understanding between the Grantee and the Commission and any representations that may have been made before or after the signing of this Grant Agreement, which are not contained herein, are nonbinding, void and of no effect. Neither of the parties has relied on any such prior representation in entering into this Grant Agreement. AmeriCorps Grant Agreement Format Approved 10/94 Revised 5/09 09-CR-13 Page 11 of 11 10.21 COUNTERPARTS. This Agreement maybe executed in any number of counterparts, each of which shall be deemed to be an original, but all of which together shall constitute but one and the same instrument. IN WITNESS WHEREOF, the parties have executed this Grant Agreement. IOWA COMMISSION ON VOLUNTEER SERVICE CITY OF DUBUQUE BY: Adam Lounsbury Executive Director DATE: BY: Michael VanMilligen City Manager DATE: AmeriCorps Grant Agreement Format Approved 10/94 Revised 5/09 Exhibit A Audit Requirements AUDIT REQUIREMENTS 1. Agreements must be audited by a Certified Public Accountant or a Public Accountant as defined by Chapter 16 of the Code of Iowa or by the State Auditor. 2. Audit Report Format. The report must include at a minimum: a. short form auditor's opinion on the financial statements; b. Auditor's comments on: compliance of the Grantee with the terms and conditions of the Agreement (including Statement of Work) and policies and procedures prescribed by the Grantee's governing board regarding financial operations; internal accounting controls; reasonableness of cost allocation methods if personnel and overhead costs are allocated to more than one project; c. cumulative statement of resources and expenses by the individual project Agreement for the full Agreement period; balance sheet if there are receivables and payables at the end of the project period; and d. notes to the financial statements; comments on questioned costs and accounting system weaknesses. 3. The Agreement shall be audited within ninety (90) days after the termination date of the Agreement, unless the Commission approves a time extension. One (1) copy of the audit report is to be submitted to the Commission for consideration. 4. If the audit for this Agreement is included as part of an annual agency-wide audit, the provisions included in OMB Circular A-133 (Revised) will meet the minimum audit requirements of the Commission. Grantees expending $500,000 or more in federal awards in their fiscal year must have these funds audited in accordance with OMB Circular A-133 (Revised) (Either organization-wide or program specific). If $500,000 or more in federal funds were expended from more than one federal source, anorganization-wide audit under OMB Circular A-133 (Revised) will be required. Grantees expending- less than $500,000 in federal awards in a year are exempt from any federal audit requirements for that year, but shall comply with audit requirements prescribed by state or local law. In an annual agency-wide audit, the audit report shall be due within 30 days after the completion of the audit period, unless a longer period is agreed to by both parties. At a minimum, the report must show revenues by source: state and local; and expenses by category; administrative costs and enrollee costs. Exhibit B Approved Budget May 15, 2009 9:27 AM Recovery Partners in Learning AmeriCorps Program City of Dubuque Application ID: 09AC100036 Budget Dates: 07/01/2009 - 10/01/2010 Total Amt CNCS Share Grantee Share Section I. Program Operating Costs A. Personnel Expenses _ 34,550 0 34,550 B. Personnel Fringe Benefits 4,665 0 4,665 C. Travel Staff Travel Member Travel Total $0 $0 $0 D. Equipment E. Supplies F. Contractual and Consultant Services G. Training Staff Training Member Training 11,500 0 11,500 Total $11,500 $0 $11,500 H. Evaluation I. Other Program Operating Costs 2,459 0 2,459 Travel to CNCS-Sponsored Meetings 0 0 0 Total $2,459 $0 $2,459 Section I. Subtotal $53,174 $0 $53,174 Section I Percentage 0% 100% Section II. Member Costs A. Living Allowance Full Time (1700 hrs) 11,400 11,400 0 1-Year Half Time (900 hours) 150,875 150,875 0 Reduced Half Time (675 hrs) 0 0 0 Quarter Time (450 hrs) 12,072 12,072 0 Minimum Time (300 hrs) 0 0 0 2-Year Half Time (2nd Year) 0 0 0 2-Year Half Time (1st Year) 0 0 0 Total $174,347 $174,347 $0 B. Member Support Costs 1,050 1,050 0 FICA for Members 13,338 0 13,338 Worker's Compensation 858 0 858 Health Care 1,800 1,500 300 Total $17,046 $2,550 $14,496 Section II. Subtotal $191,393 $176,897 $14,496 Section II. Percentages 92% 8% Section III. Administrativellndirect Costs A. Corporation Fixed Percentage Corporation Fixed Amount 25,137 7,447 17,690 Commission Fixed Amount 1,857 1,857 0 Total $26,994 $9,304 $17,690 B. Federally Approved Indirect Cost Rate Section III. Subtotal $26,994 $9,304 $17,690 Section III Percentage 34% 66% Section I + III. Funding Percentages 12% 88% tsudget Totals $271,561 $186,201 $85,360 Budget Total Percentage 69% 31% Required Match 0% # of years Receiving CNCS Funds 1 Form 424A Modified SF-424A (4/88 and 12/97) Page 1 Budget Narrative for 09AC100036 Page 1 of 4 Budget Narrative: Recovery Partners in Learning AmeriCorps Program for City of Dubuque Section I. Program Operating Costs A. Personnel Expenses Position/Title -Qty -Annual Salary -% Time CNCS Share Grantee Share Total Amount Multicultural Family Center Executive Director: - 1 person(s) at 47000 each x 40 % usage 0 18,800 18,800 Four Mounds Foundation Director: - 1 person(s) at 45000 each x 35 % usage 0 15,750 15,750 CATEGORY Totals 0 34,550 34,550 B. Personnel Fringe Benefits Purpose -Calculation -Total Amount CNCS Share Grantee Share Total Amount MFC Director: IPERS, Life, SS. Worker's Comp $17,150 x 20% 00 3,430 3,430 FM Foundation Director: SS, Retirement $3,350 x 35% ~ 0 I ~ 1,235 1,235 CATEGORY Totals ~~ 4,665 4,665 C. Travel Staff Travel Purpose -Calculation CNCS Share Grantee Share Total Amount CATEGORY Totals 0 0 0 Member Travel Purpose -Calculation CNCS Share Grantee Share Total Amount CATEGORY Totals 0 0 0 D. Equipment Item/Purpose -Qty -Unit Cost CNCS Share Grantee Share Total Amount CATEGORY Totals 0 0 0 E. Supplies Item -Calculation CNCS Share Grantee Share Total Amount https://egrants2.cns.gov/espan/main/report.jsp?sid=967dec4a290eadb54be0cOd6519f9d7fd... 5/15/2009 BudgetNanative for 09AC100036 CATEGORY Totals F. Contractual and Consultant Services Page 2 of 4 Purpose -Calculation -Daily Rate CNCS Share Grantee Share Total Amount CATEGORY Totals 0 ~~ 0 G. Training Staff Training Purpose -Calculation -Daily Rate CNCS Share Grantee Share Total Amount CATEGORY Totals 0 0 0 Member Training Purpose -Calculation -Daily Rate CNCS Share Grantee Share Total Amount Initial & Ongoing Training: CPR/First Aid 30 x $12; Name tags 30 x $5; Portfolios, Member Handbookds and Other Training Supplies- Daily Rate of 0 2,500 2,500 50 Member Development Training: Construction, Lead Abatement, OSHA, GED Teacher & Diversity training for 300 hours x $30 calculation based on salary 0 9,000 9,000 and benefits- Daily Rate of 30 CATEGORY Totals 0 11,500 11,500 H. Evaluation Purpose -Calculation -Daily Rate CNCS Share Grantee Share Total Amount CATEGORY Totals 0 0 0 I. Other Program Operating Costs Purpose -Calculation CNCS Share Grantee Share Total Amount Travel to CNCS-Sponsored Meetings: 0 0 0 Fiscal Management, Bookkeeping i~ Office Support: Budget Officer @ $30/hr x 52 hours = $560 + Account Clerk $16/hr x 104 hours = $1664 0 2,224 2,224 Criminal Background Checks: Instate 20 x $5 = $100; Out of state 9 x $15 = $135 0 235 235 CATEGORY Totals 0 2,459 2,459 SECTION Totals 0 53,174 53,174 https://egrants2.cns.gov/espan/main/report. j sp?sid=967dec4a290eadb54be0cOd6519f9d7fd... 5/15/2009 Budget Narrative for 09AC100036 PERCENTAGE II 0% II 100% Section II. Member Costs A. Living Allowance Page 3 of 4 Item - #Mbrs w/ Allow -Allowance Rate - #Mbrs w/o Allow CNCS Share Grantee Share Total Amount Full Time (1700 hrs): 1 Member(s) at a rate of 11400 each Members W/O allowance 0 11,400 0 11,400 1-Year Half Time (900 hours): 25 Member(s) at a rate of 6035 each Members W/O allowance 0 150,875 0 150,875 2-Year Half Time (1st Year): Member(s) at a rate of each Members W/0 allowance 0 0 0 2-Year Half Time (2nd Year): Member(s) at a rate of each Members W/O allowance 0 0 0 Reduced Half Time (675 hrs): Member(s) at a rate of each Members W/O allowance 0 0 0 Quarter Time (450 hrs): 4 Member(s) at a rate of 3018 each Members W/O allowance 0 12 072 0 12,072 Minimum Time (300 hrs): Member(s) at a rate of each Members W/O allowance 0 0 0 CATEGORY Totals 174,347 0 174,347 B. Member Support Costs Purpose -Calculation CNCS Share Grantee Share Total Amount FICA for Members:.0765 0 1 3,338 13,338 Worker's Compensation: 28.57 x Member # 0 X ' ~ 858 LL 858 Health Care: $150 per Member x 12 1,500 -300 1,800 Uniforms: Member Uniforms: $35 per Member 1,050 ~~ 1,050 CATEGORY Totals 2,550 14,496 17,046 SECTION Totals 176,897 ~ 14,496 I 191,393 ~ PERCENTAGE 92% 8% Section III. Administrativellndirect Costs A. Corporation Fixed Percentage I~ Item -Calculation I CNCS Share Grantee Share Total Amount ~~ ~~ https://egrants2. cns. gov/espan/main/report. j sp?sid=967dec4a290eadb54be0cOd6519f9d7fd... 5/ 15/2009 Budget Narrative for 09AC100036 Page 4 of 4 Corporation Fixed Amount: 0.0421 for CNCS + 0.10 Grantee Match I 7,447 17,690 25,137 Commission Fixed Amount: 0.0105 1,857 0 1,857 - CATEGORY Totals 9,304 17,690 ~ 26,994 B. Federally Approved Indirect Cost Rate Calculation -Cost Type -Rate Claimed -Cost Basis -Rate CNCS Share Grantee Share Total Amount CATEGORY Totals 0 0 ~~ SECTION Totals 9,304 17,690 26,994 PERCENTAGE 34% 66% BUDGET Totals 186,201 85,360 271,561 PERCENTAGE 69% 31% Total MSYs 14.56 Cost/MSY 12,789 Source of Funds Section I Match Description Amount Type Source Salary and Benefits for Multicultural Family Center Executive Director 40% time or $22,230; Four Mounds Director 35% time or $16,985; Training Instructors $9,000; Fiscal Support 50,439 In Kind StatelLocal $2,224. Section I. Program Operating Costs Private donation for Member Training Supplies $2,500 and Criminal Background Checks $235 2,735 Cash Private Section I Total 53,174 ~ ~ Section II. Member Casts Private donations 14,496 Cash Private Section II Total 14,496 ~~ ~~ This program utilizes fiscal and program admininstration from the City of Dubuque, strategic planning from the Community Section III. Foundation and supervision from the City of Dubuque 17,690 In Kind State/Local Administrative/Indirect Costs Leisure Services and Dubuque County Extension Section III Total 17 690 Total Source of Funds 85,360 ~~ ~~ https://egrants2.cns.gov/espan/main/report.jsp?sid=967dec4a290eadb54be0cOd6519f9d7fd... 5/15/2009 Exhibit C Grant Application PART I -FACE SHEET APPLICATION FOR FEDERAL ASSISTANCE 1. TYPE OF SUBMISSION: Modified Standard Form 424 (Rev.02/07 to confirm to the Corporation's eGrants System) Application ~ Non-Construction 2a. DATE SUBMITTED TO CORPORATION 3. DATE RECEIVED BY STATE: STATE APPLICATION IDENTIFIER: FOR NATIONAL AND COMMUNITY SERVICE (CNCS): 03-APR-09 2b. APPLICATION ID: 4. DATE RECEIVED BY FEDERAL AGENCY: FEDERAL IDENTIFIER: 09AC100036 09RCHIA0020002 5. APPLICATION INFORMATION LEGAL NAME: City of Dubuque NAME AND CONTACT INFORMATION FOR PROJECT DIRECTOR OR OTHER PERSON TO BE CONTACTED ON MATTERS INVOLVING THIS APPLICATION (give DUNS NUMBER: 093105302 area codes): ADDRESS (give street address, city, state, zip code and county): NAME: Penny Ehlinger City of Dubuque TELEPHONE NUMBER: (563) 584-8644 1805 Central Dubuque IA 52001 FAX NUMBER: (563) 584-8643 Cdunty: Dubuque INTERNET E-MAIL ADDRESS: Penny.Ehlinger@clarke.edu 6. EMPLOYER IDENTIFICATION NUMBER (EIN): 7. TYPE OF APPLICANT: 426004596 7a. Local Government -Municipal 7b. Local Government, Municipal 8. TYPE OF APPLICATION (Check appropriate box). NEW ~ NEW/PREVIOUS GRANTEE CONTINUATION ~ AMENDMENT If Amendment, enter appropriate letter(s) in box(es): A. AUGMENTATION B. BUDGET REVISION C. NO COST EXTENSION D. OTHER (specify below): 9. NAME OF FEDERAL AGENCY: Corporation for National and Community Service 10a. CATALOG OF FEDERAL DOMESTIC ASSISTANCE NUMB~R:94.006 11.a. DESCRIPTIVE TITLE OF APPLICANT'S PROJECT: 10b. TITLE: AmeriCorps State Recovery Partners in Learning AmeriCorps Program 12. AREAS AFFECTED BY PROJECT (List Cities, Counties, States, etc): 11.b. CNCS PROGRAM INITIATIVE (IF ANY): Dubuque County 13. PROPOSED PROJECT: START DATE: 07/01/09 END DATE: 10/01/10 14. CONGRESSIONAL DISTRICT OF: a.Applicant b.Program 15. ESTIMATED FUNDING: Year #: ~ 16. IS APPLICATION SUBJECT TO REVIEW BY STATE EXECUTIVE ORDER 1 2372 PROCESS? a. FEDERAL $ 186,201.00 ^ YES THIS PREAPPLICATION/APPLIC T . A ION WAS MADE AVAILABLE b. APPLICANT $ 85,360.00 TO THE STATE EXECUTIVE ORDER 12372 PROCESS FOR REVIEW ON : c. STATE $ 0.00 DATE: d. LOCAL $ 0,00 ~ NO. PROGRAM IS NOT COVERED BY E.O. 12372 OTHER $ 0 00 e. . f. PROGRAM INCOME $ 0.00 17. IS THE APPLICANT DELINQUENT ON ANY FEDERAL DEBT? g. TOTAL $ 271,561.00 YES if "Yes," attach an explanation. ® NO 18. TO THE BEST OF MY KNOWLEDGE AND BELIEF, ALL DATA IN THIS APPLICATION/PREAPPLICATION ARE TRUE AND CORRECT THE DOCUMENT HAS BEEN , DULY AUTHORIZED BY THE GOVERNING BODY OF THE APPLICANT AND THE APPLICANT W ILL COMPLY WITH THE ATTACHED ASSURANCES IF THE S AS ISTANCE IS AWARDED. a. TYPED NAME OF AUTHORIZED REPRESENTATIVE: b. TITLE: c. TELEPHONE NUMBER: Penny Ehlinger Program Director (563) 584-8644 d. SIGNATURE OF AUTHORIZED REPRESENTATIVE: e. DATE SIGNED: 05/04!09 For Official Use Only Narratives Rationale and Approach Dubuque County is feeling the consequences of our current economic crisis. According to the Iowa Workforce Development, our current unemployment rate is 6.6 percent. This is a major increase from the 2008 annual rate of 4.3 percent. Comparing January 2oo9's unemployment rate to January 2008, Dubuque County experienced a i.3 percent increase in unemployment, which translates to a loss of over 60o jobs. Iowa Workforce Development staff stated, "The major share of Iowa's job losses since January 2008, occurred during the final four months of the year." Dubuque is suffering from the economic crisis and the negative outcomes will continue unless we make an organized effort to improve the workforce within our community. With the number of individuals losing their jobs increasing, more staff is needed to help with these outreach, referral and catalyst efforts to the underemployed and non-employed. AmeriCorps will provide the support needed to refer individuals seeking employment to appropriate community resources and employment programs and provide one-on-one assistance to families negatively impacted by the economic crisis. Volunteering is often an excellent way to explore employment opportunities for both youth and adults. During these difficult economic times volunteers can be the key to sustaining local nonprofits and provide a huge community resource. Nonprofits, service providers, educators, and other organizations working with families affected by the current economic crisis need help locating and connecting families with available resources. Dubuque needs to update their printed and online 211 resource guides. A comprehensive listing of services and resources could help us better meet the needs of families in our community. Our goal with these efforts would be to keep our nonprofit community strong so they can in turn provide needed support to struggling families. The Recovery Act funding will allow the Partners in Learning AmeriCorps program to strengthen the social fabric of the downtown neighborhoods where people live so that they can stay on track through For Official Use Only For Official Use Only Narratives their educational years and into the job market. The Partners in Learning AmeriCorps program is requesting an additional io FTE's for YouthBuild and 4.56 FTE's for the Multicultural Family Center. This funding will provide 20 part-time (goo hour) Members for YouthBuild based and supervised through Four Mounds plus ifull-time (1,~0o hour), 5 part-time (90o hour), and 4 reduced part-time (45o hour) Members based and supervised through the Multicultural Family Center to be dispersed and used in partnerships with other community agencies. The Multicultural Family Center has been in operation for three years in downtown Dubuque and has seen a significant increase in clients which has necessitated a relocation that will take place August i, 2009. Building and program space will increase from 725 feet to 6,025 feet. The building acquisition and remodeling costs are totaling $~25,00o and is being made possible through the City of Dubuque and Dubuque Community School District funding. The recent economic crisis finds the Center seeking funding for staffing and this recovery act funding could not have come at a better time. We have secured funding for an executive director which will begin on July ~, 2009, as we prepare to move to the new, larger Multicultural Family Center. The full-time AmeriCorps Member, funded by the Recovery Act, will be at the Center to provide program and volunteer coordination. The other nine positions funded by the Recovery Act will be cultural and neighborhood positions. These AmeriCorps positions will be individuals who represent cultural outreach to Hispanic, Marshallese, and African American/Black families as well as target outreach for employment and skills training, literacy, intergenerational, and English Language Learners (ELL) in the downtown neighborhoods. We have targeted these three races/cultures because the school district has seen an increase for services for ELL with i5o students (48% Spanish speaking and 48 % Marshallese). In addition, the Multicultural Family Center has had a significant increase in African American/Black clients requesting services. Dubuque needs to provide outreach, support and referrals to assist these minority populations with For Official Use Only For Official Use Only Narratives employment, healthcare, education and other services and, the one year Recovery Act funds, can strengthen these efforts. The full-time coordinator will have the task of involving the whole community in volunteering, mentoring, and providing programs to serve the needs of individuals from these various cultural and neighborhood groups. The YouthBuild AmeriCorps Members will be ages 1~ to 24 who are current students at-risk for dropping out of school or who have already left school. In August, aligned with Northeast Iowa Community College's school year, which is essential to the GED component of YouthBuild, participants will start the Mental Toughness period. This period will include 32 enrollees working approximately 3 weeks on team building, assessments, and goal setting, while they become acquainted with worksites, program structure and staff. These potential AmeriCorps Members will be narrowed down to 20, and by September i, 2009, they will be receiving a stipend and be fully engaged in regular program structure from 8 a.m. to 4 p.m. each weekday. This Mental Toughness period will insure that the selected participants have earned their place and do not view it as an entitlement. The goal for the participants is to keep students, with significant behavioral and developmental challenges, in school as long as possible and provide them with opportunities to learn valuable work ethic and skills. Four Mounds Foundation executive director, Chris Olson will dedicate 35% time toward HEART YouthBuild for recruitment, Member supervision, and program oversight and the program will be expanding with multiple staff in subsequent years. Four Mounds is the umbrella for HEART YouthBuild and has established connection with the newly formed DubuqueWorks which is comprised of five core employment and economic development organizations (Iowa Workforce Development, Dubuque Area Labor Management Council, Greater Dubuque Development Corporation, Chamber of Commerce and Project HOPE). Over the past few years there has been a significant increase in demand coupled with an increased shortage of labor trades and skill sets such as those targeted through YouthBuild. For Official Use Only For Official Use Only Narratives DubuqueWorks has committed to working with the YouthBuild program to place these students in livable wage positions and meaningful employment upon graduation from the YouthBuild program. These partner organizations are working with companies throughout Dubuque County to help identify and match employer needs with qualified employees. July 2009 will serve as a recruitment month, where partners will work to identify individuals in need of GED, including Dubuque Community School's Alternative High School, Northeast Iowa Community College, and our local social service agencies. Community Foundation of Greater Dubuque will provide connections through Elevate and Opportunity Passport programs for you who have aged out of foster care (Iowa KidsNet) or who are not longer in foster care (Iowa Aftercare Network). The Community Foundation will also provide connections through Project HOPE (Dubuque's multi-organizational partnership which stands for Helping Our People Excel) which is addressing the underemployment and un-employment issues in Dubuque. In addition, HEART YouthBuild has existing relationships with Juvenile Court Services and the Department of Corrections. The Multicultural Family Center will begin recruitment and start placing Members on July i, 2009. The opening of the new Center planned for August 1, 2009 is creating many new opportunities and will assist us in recruitment. During the last three years the Multicultural Family Center has received 1,615 new clients and this includes many minority individuals so these contacts will serve as the pool for recruitment. In addition, current AmeriCorps program staff, Beverly Berna & Penny Ehlinger, has established relationships with all three targeted neighborhood associations (Downtown, North End & Washington). These contacts and other organizations serving in the downtown who are currently involved with the Center will be utilized for the additional assistance in recruitment. The Multicultural Family Center outreach will include employment counseling, job service referrals, or For Official Use Only For Official Use Only Narratives referrals to other services related to employment, foreclosure, or the economic stress currently being experienced by families in our community. In addition, YouthBuild will serve youth and young adults who have dropped out of school and are having a difficult time finding employment due to the economics conditions in our community. Both of these programs are vital components to connecting and maintaining relationships with Dubuque's underserved populations. Member Outputs and Outcomes NA Community Outputs and Outcomes NA Organizational Capability The Partners in Learning AmeriCorps program has been successful because it has created partnerships that have created more significant outcomes and shared resources to increase sustainability. The fiscal and administrative functions are being handled by the City of Dubuque which has committed to separate accounting and additional reporting requirements for the Recovery Act funds. The City has a strong history of handling federal funds and is fully supportive of this grant application. Four Mounds Foundation executive director, Chris Qlson will dedicate 35 % time toward YouthBuild for recruitment, Member supervision, and program oversight. The Multicultural Family Center has funding to hire afull-time executive director through the City of Dubuque Leisure Services Department and this person can provide oversight for 40 % of their time. In addition, Gil Spense, Leisure Service Department and Beverly Berna Extension Families Specialist, will be providing supervision and oversight to the new Multicultural Family Center and staff. Beverly Berna and Penny Ehlinger, AmeriCorps Partners in Learning Program Director, are already familiar with the functions of AmeriCorps recruitment, Member supervision, and program oversight through their involvement over the past nine years with the AmeriCorps Program. The Community Foundation of Greater Dubuque has been an engaged partner For Official Use Only For Official Use Only Narratives and is newly committed to the nonprofit and volunteer generation and management program additions that fit with their role of strategic planning. Cost Effectiveness and Budget Adequacy The City of Dubuque requests funding for 14.56 MSY and i5% match waiver. The cost per MSY is $i2,~89. The partners will be assuming costs for training including CPR/First Aid, criminal background checks, and partial Member benefits. Fiscal management, Member supervision, and program oversight will be provided by the partners. Other supports and their costs have been secured and will add sustainability to these efforts. The Multicultural Family Center's new location includes building acquisition and construction costs totaling $~25,00o and afull-time executive director for an additional $64,i5o with benefits. An additional $45,200 will need to be raised in the community for the Center's operation and programming either through grants, revenue generation or private donors. One year Recovery Act funding will allow for additional program coordination, volunteer generation and outreach to specific minority, low-resource, and/or neighborhood participants which have been impacted by the current economic conditions. Recovery Act funds will allow for a one year pilot program for HEART YouthBuild. In subsequent years, other funding sources, such as Dubuque Community Schools, will be secured for programming and staffing for Dubuque YouthBuild Program. Dubuque Community Schools has been a partner with the Four Mounds Foundation HEART program since the beginning and appreciates the value in YouthBuild. These efforts will save students from dropping out and, as a result, this program will have stronger outcomes - by reaching at-risk youth who are in danger of not graduating, well as those individuals who have already dropped out of school. In addition, the HEART YouthBuild dedicated program space, which serves as headquarter, home-base, classroom, and office for the program located in the historic Mill Working District and can serve as in-kind match. This YouthBuild site is located downtown and within walking distance from the worksites, public transportation, offices of the For Official Use Only For Official Use Only Narratives Community Foundation of Greater Dubuque and City Hall, as well as Northeast Iowa Community College's downtown campus, Iowa Workforce Development, and the Multicultural Family Center. Evaluation Summary or Plan NA Amendment Justification NA Clarification Summary #i Performance Measures have been reworked to indicate two areas: Primary =Job Preparedness, School to Work and Secondary =Community and Economic Development. #2 Ten AmeriCorps slots will be filled by July 1, 2oog and the remaining twenty YouthBuild AmeriCorps slots will begin their service by September 1, 2009. All Members will be participating in recovery activities. #3 The moving of the Multicultural Family Center is not related to the economic crisis. However, it will remain in the low income neighborhood. Expansion will allow for an increase of services to respond to higher needs of clients served due to the economic downturn. A national goal for years has been to try to reduce concentrations of poverty that exist in inner cities by moving individuals into neighborhoods with lower concentrations of poverty. Recent research is indicating that success flowing from this dispersion has been limited in recent years for reasons that fall into two broad areas: i) lack of adequate supports in communities individuals move into, and 2) lack of social capital for individuals in new communities, particularly when there are cultural differences. The Multicultural Family Center is striving to address these two needs by making efforts to move individuals out of poverty. Center outreach includes employment counseling, job service resources, and referral to other services For Official Use Only For Official Use Only Narratives related to the economic situation of families. Residents are moving to downtown Dubuque from Chicago, Madison, Milwaukee in search of affordable housing and a safer place to raise their families. The Multicultural Family Center is serving this new population while still serving current families who are in need due to the economic downturn. The expansion of the Center to a new location will allow an increase of partnership with agencies and organizations to serve these needs. # 4 The AmeriCorps program has been involved in the Multicultural Family Center since its opening through staffing and recruitment of community volunteers. The full-time AmeriCorps recovery staff position will be working to increase community volunteers, assist with programming, and increase the family and individual based social function while addressing cultural differences. This AmeriCorps Member will be supervised by Multicultural Family Center Executive Director and the AmeriCorps Program Director. The other five half-time and four quarter-time AmeriCorps Members will be serving specific minority populations (Hispanic, Marshallese, African-American/Black) by providing language and translation services and connections to local resources for employment opportunities, career and health services. These AmeriCorps Member will also be serving the needs of the current downtown neighborhood families and children with arts and cultural programming, tutoring, recreational, reading and literacy to assist their move toward economic sustainability. YouthBuild is enrolling youth who are dropping out or having difficulty finding employment due to the current economic conditions. The program will provide youth with opportunities for non-traditional education and service learning experience. YouthBuild AmeriCorps Member will spend i6 hours per week at a worksite that includes housing rehabilitation plus 20 hours per week in the classroom. HEART YouthBuild AmeriCorps members worksite hours will consist of a complete rehabilitation of a For Official Use Only For Official Use Only Narratives historic, brick row house in the Washington Neighborhood. Work includes project planning and nearly all aspects of rehabilitation: flooring, trim replacement, wall and trim finishes (staining & painting), concrete prep and pour, window restoration and window replacement (as necessary), energy retrofit (caulking, repointing mortar, sensitive weatherization for historic windows, insulation, and new mechanicals preparation), framing, drywalling, and kitchen & bath features replacement (counters, appliance installation, flooring, sinks, energy efficient fixture replacement). The educational classroom hours will include instruction for GED, pre-employment strategies, financial literacy, OSHA, and lead paint training. #5 See description of Member activities above. # 6 The Four Mounds Foundation Executive Director will dedicate 35% time toward YouthBuild recruitment, member supervision, and program oversight through her partnerships with five other agencies. In additional, the full-time AmeriCorps Program Director will provide additional supervision, training, Member development, and fiscal management. #~ The Program did not have full retention (g6%) for last grant year but has a 100% recruitment rate for this grant year. We expect recruitment to be at loo% again because of the lack of employment opportunities due to the economy. To improve retention, the Program plans to continue to provide specialized training both at the placement sites and through monthly, Member development meetings. Additional training will be provided to site supervisors so that they can better serve as mentors and monitor the activities and needs of their Members. At the initial interview, additional attention will be given to impressing potential applicants regarding the importance of making a firm commitment -both to their obligation to community service and for the benefit of the children and families they will be serving. For Official Use Only For Official Use Only Narratives Continuation Changes NA For Official Use Only For Official Use Only Performance Measures Service Categories Job Preparedness, School to Work Other Education Other Community and Economic Development Primary ^x Secondary ^ Primary ^ Secondary ^ Primary ^ Secondary ~ Service Category: Job Preparedness, School to Work Measure Category: Participant Development Result: Output Provide services related to employment and skills training. Indicator: Increase in knowledge or skills Target: NA Target Value: 36 Instruments: Attendance logs PM Statement: NA Prev. Yrs. Data: NA Result: Intermediate Outcome NA Indicator: NA Target: NA Target Value: 0 Instruments: NA PM Statement: NA Prev. Yrs. Data: Result: End Outcome NA Indicator: Target: NA Target Value: 0 Instruments: NA PM Statement: NA Prev. Yrs. Data: NA For Official Use Only For Official Use Only i i ~ ~ u Service Category: Other Community and Economic Development Measure Category: Strengthening Co__mmunities Activity Start Date: 01 July 2009 Number of Members: g Activity End Date: 01 September 2010 Hours per Day (on average): 4 Days per Week (on average): 5 Results Result: Output Community volunteers will be recruited and managed to address needs in their communities. Indicator: community volunteers recruited Target: NA Target Value: 150 Instruments: Website enrollment registrations, and training sign in sheets PM Statement: NA Prev. Yrs. Data: NA i i i i ~, ~ ~ Service Category: Other Community and Economic Development Measure Category: Needs and Service Activities Activity Start Date: 01 July 2009 Activity End Date: 30 June 2010 Number of Members: g Hours per Day (on average): 4 Days per Week (on average): 5 For Official Use Only For Official Use Only Service Category: Other Community and Economic Development Measure Category: Needs and Service Activities Need . .. . a Briefly describe the need to be addressed (Max. 4,000 characters) NA Activity. .: - Briefly describe how you will achieve this result (Max 4,000 chars.) NA Activity Start Date: 01 September 2009 Number of Members: 20 Activity End Date: 31 May 2010 Hours per Day (on average): 16 Days per Week (on average): 5 Results. Result: Output Two homes will be substantially rehabilitated and restored and made energy efficient. ' Indicator: # of homes rehabilitated and restored. Target: NA Target Value: 2 Instruments: Tally Sheet from City of Dubuque. PM Statement: NA Prev. Yrs. Data: NA For Official Use Only For Official Use Only Required Documents Document Name Evaluation Status Not Applicable For Official Use Only Exhibit D Federal Regulations 48574 ~ Federal Register /Vol. 72, No. 164 /Friday, August 24, 2007 /Rules and Regulations (i) Make reasonable attempts to notify the patient, or to notify the attending physician or the physician who ordered the blood or blood component and ask the physician to notify the patient, or other individual as permitted under paragraph (b)(10) of this section, that potentially HIV or HCV infectious blood or blood components were transfused to the patient and that there may be a need for HIV or HCV testing and counseling. (ii) If the physician is unavailable or declines to make the notification, make reasonable attempts to give this notification to the patient, legal guardian, or relative. (iii) Document in the patient's medical record the notification or attempts to give the required notification. (7) Timeframe for notification-(i) For donors tested on or after February 20, 2008. For notifications resulting from donors tested on or after February 20, 2008 as set forth at 21 CFR 610.46 and 21 CFR 610.47 the notification effort begins when the blood collecting establishment notifies the hospital that it received potentially HIV or HCV infectious blood and blood components. The hospital must make reasonable attempts to give notification over a period of 12 weeks unless- (A) The patient is located and notified; or (B) The hospital is unable to locate the patient and documents in the patient's medical record the extenuating circumstances beyond the hospital's control that caused the notification timeframe to exceed 12 weeks. (ii) For donors tested before February 20, 2008. For notifications resulting from donors tested before February 20, 2008 as set forth at 21 CFR 610.48(b) and (c), the notification effort begins when the blood collecting establishment notifies the hospital that it received potentially HCV infectious blood and blood components. The hospital must make reasonable attempts to give notification and must complete the actions within 1 year of the date on which the hospital received notification from the outside blood collecting establishment. (8) Contenf of notification. The notification must include the following information: (i) A basic explanation of the need for HIV or HCV testing and counseling; (ii) Enough oral or written information so that an informed decision can be made about whether to obtain HIV or HCV testing and counseling; and (iii) A list of programs or places where the person can obtain HIV or HCV testing and counseling, including any requirements or restrictions the program may impose. (9) Policies and procedures. The hospital must establish policies and procedures for notification and documentation that conform to Federal, State, and local laws, including requirements for the confidentiality of medical records and other patient information. (10) Notification to legal representative or relative. If the patient has been adjudged incompetent by a State court, the physician or hospital must notify a legal representative designated in accordance with State law. If the patient is competent, but State law permits a legal representative or relative to receive the information on the patient's behalf, the physician or hospital must notify the patient or his or her legal representative or relative. For possible HIV infectious transfusion recipients that are deceased, the physician or hospital must inform the deceased patient's legal representative or relative. If the patient is a minor, the parents or legal guardian must be notified. (11) Applicability. HCV notification requirements resulting from donors tested before February 20, 2008 as set forth at 21 CFR 610.48 will expire on August 24, 2015. (c) General blood safety issues. For lookback activities only related to new blood safety issues that are identified after August 24, 2007, hospitals must comply with FDA regulations as they pertain to blood safety issues in the following areas: (1) Appropriate testing and quarantining of infectious blood and blood components. (2) Notification and counseling of recipients that may have received infectious blood and blood components (Catalog of Federal Domestic Assistance Program No. 93.778, Medical Assistance Program) (Catalog of Federal Domestic Assistance Program No. 93.773, Medicare-Hospital Insurance; and Program No. 93.774, Medicare-Supplementary Medical Insurance Program) Dated: July 22, 2005. Mark B. McClellan, Administrator, Centers for Medicare 6 Medicaid Services. Approved: December 18, 2006. Michael O. Leavitt, Secretary. Editorial Note: This document was received at the Office of the Federal Register on August 17, 2007. [FR Doc. E7-16647 Filed 8-23-07; 8:45 am] BILLING CODE 4120-01-P CORPORATION FOR NATIONAL AND COMMUNITY SERVICE 45 CFR Parts 2510, 2522, 2540, 2551, and 2552 RIN 3045-AA44 National Service Criminal History Checks AGENCY: Corporation for National and Community Service. ACTION: Final rule. SUMMARY: The Corporation for National and Community Service (Corporation) is issuing a regulation requiring grantees to conduct and document National Service Criminal History Checks on Senior Companions and Foster Grandparents, as well as on AmeriCorps State and National (including Education Award Program) participants and grant- funded staff in those programs who, on a recurring basis, have access to children, persons age 60 and older, or individuals with disabilities. A National Service Criminal History Check consists of a State criminal registry check; and a National Sex Offender Public Registry (NSOPR) check. SATES: This final rule is effective November 23, 2007. FOR FURTHER INFORMATION CONTACT: Amy Borgstrom at (202) 606-6930 (aborgstromQcns.gov). The TDD/TTY number is (202) 606-3472. You may request this rule in an alternative format for the visually impaired. I. Background-The October 26, 2006, Proposed Rule On October 26, 2006, the Corporation published a proposed rule (71 FR 62573) to require its grantees to conduct and document criminal history checks on Senior Companions and Faster Grandparents, as well as on AmeriCorps State and National (including Education Awards Program) participants and grant-funded staff in those programs who, on a recurring basis, have access to children, persons age 60 and older, or individuals with disabilities. The objective of this rule is to help protect vulnerable individuals who are beneficiaries of programs that are funded by the Corporation. This update to the Corporation's criminal history check policies was prompted by a recommendation by the Corporation's Acting Inspector General in an advisory letter to the Corporation's Chief Executive Officer in January 2005. Emphasis on Protecting Vulnerable Populations Many national and community service programs are dedicated to Federal Register /Vol. 72, No. 164 /Friday, August 24, 2007 /Rules and Regulations 48575 helping children learn to read, giving children better opportunities to thrive, helping older persons maintain their independence, and otherwise serving vulnerable individuals while striving to recruit diverse participants. With this commitment comes the responsibility to safeguard the well-being of program beneficiaries, including the effective screening of staff, participants, and volunteers. This responsibility is principally determined by State law, and the standard of care required may vary from one State to another. Organizations carrying out national and community service programs should establish and regularly review their screening and supervision practices as measured against the applicable standard of care under State law. The Corporation's Authority Sections 192A, 193, and 193A of the National and Community Service Act of 1990, 42 U.S.C. 12651b-d, give the Corporation.broad authority to establish rules to protect program beneficiaries. This authority is reinforced by Executive Order 13331, National and Community Service Programs (Feb. 27, 2004), 60 FR. 9911 (Mar. 3, 2004), which directs the Corporation to "strengthen its oversight of national and community service programs through performance and compliance standards and other management tools." FBI Fingerprint Checks Rapid advances in technology are increasing the availability and accessibility of information about individuals in our society. However, we have not yet identified any established criminal history check process at the national level that we can mandate for all grantees. The FBI maintains the most complete criminal database in the United States, with records that are fingerprint-based. A fingerprint check of this database is generally considered the most reliable, in part because it screens a physical characteristic rather than a name provided by an applicant. However, FBI-maintained records can sometimes be less complete and less up- to-date than State records, and are available only to organizations specifically authorized by a Federal or State law. Many organizations operating national and community service programs do not currently have access to FBI fingerprint checks. The Attorney General's Report on Criminal History Background Checks In 2006, the U.S. Attorney General issued a report with recommendations for broader access to FBI criminal history records for non-criminal purposes, including screening volunteers for entities providing services to children, the elderly, and individuals with disabilities. The Attorney General's Report on Criminal History Background Checks (June 2006) is available on-line at http:// www. usd oj.gov/ol p/ a~bechecks_report.pdf (hereinafter The Attorney General's Report). As such recommendations are implemented in Federal and State law, grantees operating national and community service programs may have better access to FBI fingerprint checks. In time, they may also have access to State and national criminal history databases that make use of driver's licenses incorporating fingerprint or other biometric data as a result of the Real ID Act of 2005 (Pub. L. 109-13) and new biometric techniques such as DNA identification. The PROTECT Act We are aware•of Congressional interest in making accurate information about individuals' criminal history available while appropriately limiting the sharing of such information. For example, the PROTECT Act (Pub. L. 108-21) authorizes the Boys & Girls Club of America, the National Council of Youth Sports, the National Mentoring Partnership, and nonprofit organizations that provide care, treatment, education, training, instruction, supervision, or recreation to children to participate in a pilot program with the National Center for Missing and Exploited Children to obtain FBI fingerprint criminal history checks on volunteer applicants for a fixed fee of $18.00 per individual. Corporation grantees that provide the above types of services to children may consider contacting the National Center far Missing and Exploited Children (http://www.missingkids.com) to determine if they are eligible to participate in the pilot program. Alternatively, mentoring organizations, such as Foster Grandparent programs and many AmeriCorps programs, may request to participate through the National Mentoring Partnership (http:// www.mentoring.org), acurrent participant in the pilot program. The lessons learned from the ongoing PROTECT Act's pilot program are likely to inform and spur greater and more effective coordination across State lines. For example, in January, 2007, Senators McCain and Schumer introduced legislation (S.431, Keeping the Internet Devoid of Sexual Predators Act of 2007, or KIDS Act) to strengthen national reporting requirements (including the requirement to register online Internet identifiers) for sex offenders. Also, in January, 2007, Congressman Pomeroy introduced legislation (H.R. 719) to establish a National Sex Offender Risk Classification Task Force to create guidelines for arisk-based sex offender classification system for use in sex offender registries. Amid this changing landscape, the Corporation seeks at this time to achieve a consistent baseline practice among Senior Companion and Foster Grandparent programs, and among AmeriCorps State and National programs serving children, persons age 60 and older, or individuals with disabilities. The Requirement for Grantees To Establish a Baseline Screening Process This rule establishes a baseline screening process at the national level. This screening requirement will be a Federal grant condition separate and apart from any State requirement. The Need for a Comprehensive Screening Process This baseline screening requirement does not, however, preclude grantees from conducting a more thorough evaluation of supervising staff and participants if they choose to do so. Criminal history checks are one part of an effective risk management approach to protecting program participants from harm as well as protecting the sponsoring organization from liability. Organizations serving children and other vulnerable populations need to be mindful that no screening process is foolproof. Sponsoring organizations should also note that the design and operation of programs can provide additional safeguards. Examples include programs designed to minimize opportunities for potential abuse; regular child or elder abuse prevention training; restricted one-on-one and other unsupervised contact with vulnerable clients; controlled access to areas where vulnerable clients are present; unannounced observation visits; and the posting and reinforcement of protocols on how to respond to suspected or reported abuse. To assist our grantees, the Corporation has distributed and also made available on our Web site the Staff Screening Tool ICit, 3rd Edition, a publication prepared by the Nonprofit Risk Management Center that contains helpful information designed to strengthen an organization's staff and volunteer screening and supervision processes. You can access this resource at http://www.nationalservice.gov/ screeningtoolkit. 48576 Federal Register /Vol. 72, No. 164 /Friday, August 24, 2007 /Rules and Regulations Fairness and Confidentially The National Service Criminal History Check also seeks to ensure fairness and confidentiality in handling criminal history information. Such fairness and confidentiality considerations are congruent with the Attorney General's privacy recommendation and discussion of "fair information practices" as applied to criminal history records in The Attorney General's Report. As the Attorney General points out, we also have an interest, as a society, in rehabilitating individuals with a criminal history and in avoiding unlawful discrimination. In developing the rule, the Corporation reviewed comments and public statements submitted to DOJ by privacy, civil liberties, and ex-offender advocates concerning the impact of criminal background checks and sex offender registries on privacy, rehabilitation, and discrimination. Because criminal history searches and results often disclose other potentially sensitive identifying data, such as Social Security number, date of birth, driver's license number, and home address, grantees need to protect the individuals concerned from identity theft, physical threats, or other injury. Fairness and confidentiality procedures can also help ensure that qualified prospective program volunteers, participants, and employees are not discouraged from seeking to be involved in national and community service programs. Laws That Prohibit Employment Discrimination Closely related to privacy requirements are Federal and State laws that prohibit discrimination in employment, such as Title VII of the Civil Rights Act of 1964 (42 U.S.C. 2000e et seq.). This can be an issue, for example, if employment decisions are attributed to the results of criminal history checks, but the results are actually used as a pretext for excluding individuals based on their race, religion, gender, or age. The recently-revised Equal Employment Opportunity Commission (EEOC) Compliance Manual, Section 15: Race and Color Discrimination (April 19, 2006), refers to court rulings on the potential "disparate impact" of a hiring policy based on arrests or convictions. The EEOC suggests that prospective ' employers should weigh the following factors in each case to ensure their decisions to disqualify applicants based on criminal history results are grounded on defensible "business needs," despite any differential impact: • The nature and gravity of the offense; • The time that has passed since the conviction or completion of the sentence; and • The nature of the job held or sought. These considerations apply directly to preventing unlawful discrimination in the employment of persons for covered grant-funded staff positions, and may be relevant to a national and community service program's evaluation of applicants to a position as a staff member or participant. The EEOC Compliance Manual is available online at: http://www.eeoc.gov/policy/docs/ race-color.html. Preliminary Public Input On October 17, 2005, the Corporation published a notice in the Federal Register inviting informal preliminary public input in advance of rulemaking (70 FR 60257). The Corporation also held two conference calls following the notice. The Corporation considered the input received in drafting its proposed rule. 60-Day Comment Period In the Federal Register of October 26, 2006 (71 FR 62573), the Corporation published the proposed rule, with a 60- day comment period. In addition to accepting comments in writing, the Corporation held two conference calls in November, 2006. The Corporation received over 70 comments concerning the proposed rule, including those in writing and those received through the conference calls. Comments are discussed in detail in Part III. In general, almost all of the comments supported the requirement that criminal history background and NSOPR checks be conducted on individuals working with vulnerable populations in the positions designated in the proposed rule. II. Discussion of the Final Rule Covered Positions This final rule covers Senior Companions and Foster Grandparents, and participant positions in AmeriCorps State and National and other programs that provide aCorporation-funded living allowance, stipend, education award, or other remuneration to individuals who have recurring access to children, persons age 60 and older, or individuals with disabilities. We define "children" as individuals 17 years of age and younger, consistent with the PROTECT Act. Sixty years of age-the lowest age commonly used by Congress to define elderly persons-is the threshold age for protecting elderly persons. "Individuals with disabilities" has the same meaning given the term in the Rehabilitation Act in 29 U.S.C. 705(20)(B), and includes any person who has a physical or mental impairment which substantially limits one or more major life activities, has a record of such an impairment, or is regarded as having such an impairment. The final rule also covers grant-funded staff with access to the identified vulnerable populations in these programs. Grantees, therefore, must establish the age and disability status of program participants, including beneficiaries. The rule covers the Senior Companion and Foster Grandparent programs because their focus on serving vulnerable populations warrants baseline screening provisions that meet a national standard. The requirement includes specipic search elements, as well as fairness considerations. It gives more specific direction to Senior Companion and Foster Grandparent sponsoring organizations in carrying out an important part of their responsibility to establish risk management policies and procedures, and disqualifies registered sex offenders from serving as Senior Companions or Foster Grandparents. Currently, AmeriCorps State and National grant programs, including the Education Awards Program, have a criminal background check requirement in their grant provisions. In light of the Corporation's substantial support for AmeriCorps participants, all of whom are eligible to receive aCorporation- funded education award upon successful completion of service, we believe that baseline screening requirements are appropriate. This rule adds details to the required search elements, establishes procedures to assure fairness and confidentiality, and disqualifies registered sex offenders from AmeriCorps positions with recurring access to children, persons age 60 and older, or individuals with disabilities. The rule also applies to other Corporation-supported grant programs in which service participants receive a Corporation-funded living allowance, stipend, or education award and, on a recurring basis, have access to children, persons age 60 and older, or individuals with disabilities. For example, the rule would also cover anon-AmeriCorps program that provides a stipend to participants who tutor children in an after-school program. Federal Register /Vol. 72, No. 164 /Friday, August 24, 2007 /Rules and Regulations 48577 Programs Not Covered Under Final Rule The rule's requirements do not cover individuals in the RSVP or Learn and Serve America programs, or unaffiliated volunteers recruited by national and community service programs. Those individuals have an attenuated connection to the Corporation, and the Federal government does not directly facilitate unsupervised contact between vulnerable persons and individuals through those programs. The Corporation therefore defers to existing duties of care under State law. For example, participants in Learn and Serve K-12 programs seldom serve in unsupervised settings. In addition, participants in Learn and Serve Higher Education programs, who concentrate primarily on curriculum development, as well as participants in Community- Based programs who usually serve in supervised, group settings, generally do not have unsupervised access to vulnerable populations. The Corporation emphasizes, however, the importance of ascertaining and meeting the applicable standards of care under State law for all Corporation-supported programs and activities. The final rule also does not cover the AmeriCorps National Civilian Community Corps or the AmeriCorps VISTA programs, as the selection of participants in those programs is made by Federal personnel rather than by grantee organizations. While the Corporation has strengthened our internal screening practices in both of those federally-operated programs through an arrangement with the U.S. Office of Personnel Management, these programs are outside the scope of this rulemaking. Specifics of the Final Rule The rule requires a criminal history review that reflects information that should be reasonably accessible to grantees. The following elements are required: Components of the National Service Criminal History Check Unless the Corporation approves an alternative screening protocol and unless prohibited or otherwise precluded by State law, a covered grantee must, in selecting an individual for participation, conduct and document two searches: (A) A search (by name or fingerprint) of the State criminal registry for the State in which the program operates and the State in which the applicant resides at the time of application; and (B) a search of the Department of Justice (DOJ) National Sex Offender Public Registry (NSOPR) at http://www.nsopr.gov. The farm "State," when used in this rule, also includes U.S. Territories, as defined in 45 CFR 2510.20; 2551.12 (u); and 2552.12 (x). Required Procedures Procedures must include: (a) Verification of the applicant's identity by examining agovernment-issued photo identification card; (b) prior, written authorization by the applicant authorizing the program to conduct State criminal registry checks (not required for NSOPR checks), as well as authorization to share the results of that check within the program, as appropriate; (c) documentation of the applicant's understanding that selection into the program is contingent upon the organization's review of the applicant's criminal history, if any; (d) an opportunity for the applicant to review and challenge the factual accuracy of a result before action is taken to exclude the applicant from the position; (e) safeguards to ensure the confidentiality of any information relating to the criminal history check, consistent with the authorization provided by the applicant (grantees may find a useful model in considering confidentiality safeguards in the Federal Trade Commission's Standards for Safeguarding Customer Information, 16 CFR Part 314, posted at http:// www. ftc.gov/os/2oo2/05/ 67fr36585.pdf.); and (f) ensuring that an individual, for whom the results of a required State criminal registry check are pending, is not permitted to have access to vulnerable beneficiaries without being accompanied by an authorized program representative who has previously been cleared for such access. An individual who refuses to authorize a program to conduct a criminal history State registry check, or who makes a false statement in connection with a grantee's inquiry concerning the individual's criminal history, may not serve in a covered position. Required Documentation A grantee must document in writing that it (or its designee) verified the identity of the individual by examining the individual's government-issued photo identification card, conducted the required checks, maintained the results of the National Service Criminal History Check (unless precluded by State law), and considered the results in selecting or retaining an individual for a covered position. NSOPR Checks Required on All Covered Positions, Including Those Currently Serving The NSOPR is a DOJ-sponsored Internet-based, searchable Web site that provides one-stop access to registries from all 50 States, Guam, Puerto Rico, and the District of Columbia. To assist the public, the FBI also has a link on its Web site to each State's sexual offender registry. The FBI Web site can be accessed at http://www.fbi.gov/hq/cid/ cac/States.htm. The NSOPR check must be conducted on any applicant for a covered position, as well as on any individual currently serving in a covered position at the time this rule becomes effective. Grantees should know that the NSOPR compiles, but does not independently verify or analyze, data that is provided by each State, and even if current legislative proposals to establish national reporting standards are adopted, there may continue to be differences in the content and currency of data held respectively in the NSOPR and State sex offender registries. Effective Dates for Conducting State Criminal Registry and NSOPR Checks A Senior Companion or Foster Grandparent sponsoring organization must demonstrate that any required State criminal registry check is conducted at least once for any Senior Companion or Foster Grandparent who begins serving with the program on or after the effective date of this rule. An AmeriCorps grantee must document that the required State criminal registry check is conducted the first time an individual applies for a covered position in its program on or after the rule's effective date. NSOPR checks must, however, be conducted for all Senior Companion, Foster Grandparent, and AmeriCorps covered positions, including those currently serving at the time this final rule becomes effective. Programs must complete the NSOPR check on their current participants and grant-funded employees in covered positions within 90 days from the publication date of the final rule. Alternative Search Procedures If a grantee demonstrates that, for good cause, including a conflict with State law, it is unable to conduct the required searches or that it can obtain substantially equivalent or better information through an alternative process, the Corporation will consider approving an alternative search protocol proposed in writing by the grantee. This includes, but is not limited to, situations where a State or local government body 48578 Federal Register /Vol. 72, No. 164 /Friday, August 24, 2007 /Rules and Regulations has established screening and documentation requirements designed to protect one or more vulnerable populations covered by the final rule. A school board, far example, acting pursuant to State legislation, may have set requirements for screening staff and volunteers that provide substantially equivalent protections to the vulnerable populations identified in this rule. Consequently, a teacher corps, whose members are all school district employees screened pursuant to a requirement imposed by a school board or other governing body, would satisfy the criteria for an approved alternative search procedure. In determining whether an alternative process results in substantially equivalent or better information, the Corporation will review the nature of the sources included in the alternative process, as well as the reliability of the information obtained. A current grantee can submit a written request within 90 days after the publication of this rule to the Corporation for approval of an alternative search protocol. A grantee qualifying for an exception must still conduct NSOPR checks on its participants and grant-funded employees, if not already required under State or local authority. Grantees must submit any applicable alternative protocol requests for approval in writing to the Corporation's Office of Grants Management. The Office of Grants Management will review the alternative protocol and will consider factors including, but not limited to: (1) That it sufficiently verifies the identity of the applicant; and (2) that it includes a search of an alternative criminal database that is sufficient to identify the existence, or absence of, a criminal offense. In addition, a grantee that conducts and documents a criminal history check through the FBI or through a national name-based check that, at a minimum, includes a search of the State criminal registry in the State in which the program is operating, as well as in the State in which the applicant resides, will be deemed to have satisfied the required State criminal registry check and does not need separate approval by the Corporation. Additional Safeguards Establishing a baseline process as a grant condition is in no way intended to discourage grantees from undertaking additional measures to screen applicants. For example, grantees should be aware that individuals might provide a false name during the application process. Consequently, while a grantee must verify an applicant's identity with agovernment- issued photo identification card, such as a driver's license, the Corporation also strongly encourages grantees to take other precautionary steps such as consistently checking references or past employment. Additional screening practices include conducting a personal interview or, for an individual whose program assignment will include driving a vehicle, examining driving records. In addition, some programs have access to State-based child abuse or elder abuse registries. A grantee's decision to take any of these additional steps reflects the organization's own judgment about appropriate screening and is not considered a requirement under the Corporation grant. Terminations and the Corporation's Refill Policy The Corporation's refill policy may enable AmeriCorps program grantees that have fully enrolled their awarded slots to replace a participant who terminates service before completing a required minimum (currently 30 percent) of his or her term and without having receiving apro-rated education award. If the background screening results in the participant being ineligible to serve and the participant has already served more than the term of service specified under the refill policy, a grantee may seek an exception to the refill policy by submitting a written request for an exception to the Corporation's Office of Grants Management. The Office of Grants Management will review the request. based on factors including, but not limited to, whether the delay in obtaining the criminal history check for the participant was a result of the grantee's lack of due diligence, or was for a reason that was beyond the grantee's control, and will reply within 30 days of receipt of such requests. Disqualification of Registered Sex Offenders States have developed sexual offender registries to inform the public concerning the presence and location of individuals who have been convicted of certain sex-related offenses, either committed within that State, or in another State. Depending on the severity of the convicted offense, individuals are required to register as sex offenders either for a specified number of years (e.g., 10 years) or for life. An individual who is subject to a State sex offender registration requirement is deemed unsuitable for, and may not serve in, a covered position. The disqualification includes individuals who are applicants for covered positions, as well as individuals who are currently serving with the organization in a covered position. Grantees not Precluded From Adopting Other Disqualifying Offenses In developing the proposed rule, the Corporation considered other disqualifying factors and offenses, such as convictions for serious and violent felonies, but ultimately determined that the selection criteria for covered positions-beyond any statutory eligibility criteria and the disqualification of registered sex offenders-should continue to be the responsibility of each grantee organization. Therefore, this rule does not preclude a grantee from adopting additional grounds for disqualification if it decides that it is appropriate or necessary for a particular program. Grantees should, however, be aware that State law may specifically prohibit the consideration of conviction or arrest records under certain circumstances. Finally, grantees should look at criminal history checks as but one of many sources of information to assess whether an individual is suitable for a program. Selection of Applicants Pending Criminal History Results A grantee may not select an individual for a position that has recurring access to children, persons age 60 and older, or individuals with disabilities prior to determining whether the individual is subject to a State sex offender registration requirement, which is readily ascertainable through an on-line search. Because the additionally-required search of State criminal registries, or an approved alternative search, may take more time, a grantee is not precluded under this rule from selecting or placing an individual contingent upon obtaining these additional results subsequently. However, until all required State criminal registry check results are received and reviewed by the grantee, an applicant may not have access to a vulnerable beneficiary without being accompanied by an authorized program representative who has previously been cleared to have such access. A grantee should take other reasonable precautions to ensure that safeguards are in place while the results are pending, including additional monitoring, and other risk mitigation steps, as determined by the grantee. The Corporation again emphasizes that the NSOPR check must be conducted before the individual begins to serve, as it is a no-cost, almost instantaneous search that can be conducted by accessing the DOJ Web site. Federal Register /Vol. 72, No. 164 /Friday, August 24, 2007 /Rules and Regulations 48579 Use of Intermediary Permitted A grantee may ascertain and assess an individual's criminal history or sex offender status directly from the applicable government agency, or indirectly through a duly authorized intermediary selected by the grantee such as a commercial entity or nonprofit organization. However, as a prudential matter, grantees should routinely review the intermediary's criminal history check procedures and practices to ensure that they are in compliance with the Corporation's requirements. In addition, because the amount of time from application until actual enrollment can be substantial, grantees should ensure that the criminal history result that it reviews before selecting the applicant is as current as possible. Costs The final rule requires grantees (or their designees) to obtain and document a National Service Criminal History Check for covered individuals. The Corporation considers the cost of this required criminal history check a reasonable and necessary program grant expense, such costs being presumptively eligible for reimbursement. A grantee should include the costs associated with its screening process in the grant budget it submits for approval to the Corporation. Unless specifically approved by the Corporation, a grantee may not charge an individual for the cost of a criminal history check required under this rule. The Corporation will consider approving, for example, along-standing school district policy of charging staff, volunteers, and others who work or serve in schools for the cost of criminal history checks, provided the income is treated in accordance with applicable grant conditions. In addition, because criminal history checks are inherently attributable to operating a program, such costs may not be charged to a State commission administrative grant. We will monitor the screening and documentation requirement as a material condition of receiving a Corporation grant. A grantee's material failure to comply with this requirement (including the NSOPR check) will result in the Corporation taking appropriate action, up to and including denial of the grantee's claim for reimbursements, suspending the grantee's access to grant funds, or restricting (or denying) the grantee's eligibility to obtain future grants from the Corporation. And specifically, a grantee jeopardizes eligibility for reimbursement of costs related to a disqualified individual if it fails to perform or document the required check. III. Comments and Response - Of the more than 70 comments received, the vast majority of the comments supported the requirement that national service programs conduct and document criminal history checks on individuals in covered positions. The comments and our responses are set forth below. Comment: Several commenters inquired as to why the Corporation was not including the RSVP or Learn and Serve programs under this rule. Response: The Corporation's connections with individual participants in the RSVP and Learn and Serve programs are sufficiently attenuated to rely on existing duties of care under State law. At the same time, the Corporation recognizes the importance of protecting all Corporation-supported program beneficiaries; therefore, we wish to emphasize the importance and need for all programs to ascertain and meet the applicable duties of care under State law. Comment: Several commenters asked for clarification concerning the term "recurring access," expressing concern that it may be too broad in its scope. Response: The term is defined in the final rule at § 2510.20 Definitions. The Corporation believes that the definition of recurring access in the proposed rule is appropriate, and that it is prudent to include more applicants under this requirement than to exclude them by limiting the definition to a narrower category of individuals. A definition other than "more than once" would be likely to result in additional documentation requirements and collateral disputes about the adequacy of such documentation. Note that the definition does not apply to Senior Companions and Foster Grandparents, all of whom are covered by the requirements. Comment: Some commenters expressed concern that including persons age 60 and older as vulnerable individuals may offend individuals in this age category. Response: While we acknowledge that many individuals, age 60 and older, would not consider themselves vulnerable, we thought it would be prudent, from a policy and safety perspective, to be more inclusive than exclusive on this point. In addition, we have determined that sixty years of age appears to be the lowest age commonly used by Congress to define elderly persons in legislation that establishes a threshold age for elderly persons (e.g., Older Americans Act; Food Stamp Act) (§§ 2522.205; 2540.200; 2551.26; 2552.26)). Comment: One commenter asked us to clarify which State criminal registry checks are required for a program that operates in more than one State. Response: The final rule requires a search of the criminal registry for the State in which a program operates and the State in which the applicant resides at the time of application. "State in which your program operates" refers to the actual geographic location where an individual will be serving on a permanent basis while participating in the program. For example, if the program's headquarters is in Florida, but the individual is applying to serve in an operating site in another State, the program must conduct a criminal history check in the State in which the operating site is located. If a program is unsure where an applicant is going to serve at the time that the applicant submits an application, the program must check each State in which the applicant could be assigned to serve on a permanent basis. (§§ 2540.202 (a); 2551.27 (a); 2552.27 (a)). Comment: One commenter asked for clarification as to what has to be documented when conducting the NSOPR check. Response: The program must document in writing that it conducted the NSOPR check on all covered positions, and considered the results in determining the individual's suitability. Any individual who is registered, or who is required to be registered, on a State sex offender registry is deemed unsuitable for, and may not serve in, a covered position (§§ 2540.202(b); 2551.27(b); 2552.27(b)); (§§ 2522.206; 2540.201; 2551.42; 2552.42). Comment: Another commenter asked us to clarify the term "consecutive terms of service" as it relates to a grantee's requirement to conduct a separate criminal history check for a subsequent term of service. There is an exception to this requirement if an individual is serving "consecutive terms of service." Response: A consecutive term of service means that there is no intervening break in service of more than 30 days during which the applicant did not serve in that specific program. Consequently, if there is no break in service, there is no requirement that a grantee conduct a new State criminal registry and NSOPR check (§ 2540.203). Notwithstanding this exception, any AmeriCorps participant who is serving in a covered position at the time this rule becomes effective will be required to submit to a criminal registry check if the participant decides to serve another 48580 Federal Register /Vol. 72, No. 164 /Friday, August 24, 2007 /Rules and Regulations term, even if it is with the same program and there is no 30-day break in service. Comment: We were asked to clarify when the requirement takes effect and to whom it applies. Response: Both the State criminal registry check and NSOPR requirements take effect 90 days after publication of the Final Rule in the Federal Register. The State criminal registry check requirement applies only to those covered individuals who apply after the effective date of the final rule. The NSOPR check, however, applies to all covered individuals who apply to serve, or who are currently serving with, or working in, the affected programs (See paragraph V, Effective Dates). Comment: One commenter asked if costs (such as a living allowance) attributable to an individual under a grant were allowable if the grantee subsequently determines that the individual must leave the program as a result of a criminal history check. Response: The costs are allowable unless the delay in determining that an individual is ineligible to serve is caused by non-compliance or unreasonable delay by the grantee (e.g., failure to conduct the NSOPR check before enrolling or hiring the individual). Comment: Some commenters asked whether staff members of a grantee whose salaries are paid with matching funds are included under this requirement. Response: If the staff members are included in the grantee's proposed budget as grant-funded employees, whether supported by Corporation or matching funds, they are included under this requirement (§§ 2522.205; 2540.200; 2551.26; 2552.26). Comment: A commenter asked for clarification as to which States' criminal registry must be checked for a college student who is attending college in a State that is not his or her home of record. Response: For the purpose of this rule, a student who is attending college in a State that is not the student's "home of record" (i.e., where the student's parent(s) reside) is deemed to be residing in the State in which the college is located. The final rule requires programs to conduct a criminal registry check in the State in which the program is operating, as well as in the State in which the applicant is residing at the time the application is submitted. There is nothing, however, to preclude a program from including additional States (i.e., the applicant's home of record or other States in which the student has lived) in its criminal registry check (§§ 2540.202(a); 2551.27(a); 2552.27(a)). Comment: One commenter expressed concern that the prospective nature of the rule would leave unchecked potentially unsuitable participants who are currently in the programs. Response: In establishing this new requirement as a grant condition, we were mindful of the costs associated with retrospective application. Because the criminal history State registry check requirement is prospective, grantees should design their programs' applications in a manner that appropriately reflects their screening practices. Programs with relatively less stringent screening practices are well advised to build in compensating controls to minimize the risks to their program beneficiaries. In addition, because an NSOPR check is cost-free and relatively easy to conduct, we are requiring all programs subject to this rule to conduct NSOPR checks on all applicants for covered positions, as well as on all individuals who are currently serving in covered positions (See paragraph V, Effective Dates). Comment: One individual submitted a written comment asking why the final rule disqualifies registered sex offenders, but not those individuals convicted of other offenses. Response: Disqualifying registered sex offenders from positions with recurring access to children, older persons, or individuals with disabilities takes advantage of the newly established national registry of sex offenders, accessible online across the country, and is consistent with our objective of establishing by rule an achievable baseline set of screening practices, Advances in information sharing at the national level may make it possible to strengthen this baseline in the future. To this end, the Corporation intends, at a later date, to consider adding other disqualifying factors, including specific offenses. Accordingly, we invite grantees and other interested parties to provide input on additional disqualifying factors. Input should be submitted to the individual listed at, FOR FURTHER INFORMATION CONTACT (§§ 2522.206; 2540.201; 2551.42; 2552.42). Comment: One commenter asked for clarification concerning the eligibility of an individual who refuses to consent to a State criminal registry check. Response: We have added language in the final rule clarifying that an individual who refuses to consent to a State criminal registry check, or who makes a false statement in connection with a grantee's inquiry concerning the individual's criminal history, is not eligible to serve in a covered position (§§ 2540.207; 2551.32; 2552.32). Comment: One commenter asked for clarification concerning an individual's right to review and challenge the factual accuracy of a criminal history check before any action is taken to exclude the individual from serving in, or working with, the program. Response: We believe that the ability of an applicant to review and challenge the results of State criminal registry and NSOPR checks is a basic right that all programs must give to each individual. With the potential for false positives, it is essential that all Corporation programs safeguard an individual's personal information and give the individual the opportunity to challenge any adverse findings that may surface (§§ 2540.204 (d); 2551.29 (d); 2552.29 (d))• Comment: Several commenters expressed concern that their individual States may not permit them to conduct criminal history checks without specific statutory authority to conduct the search. Response: We are prepared to approve an alternative search protocol if a program is prohibited or otherwise precluded from complying with the Corporation's criminal history check requirement (§§ 2540.206(c); 2551.31(c); 2552.31(c)). Comment: Several commenters expressed that the Corporation's criminal history requirement could be redundant if a program is already required to comply with a State or local government-mandated criminal history check that is equivalent to the Corporation's requirement. Response: Based upon these comments, we have included preamble language making clear that a program that is required to comply with a State or local government-mandated criminal history check that parallels the Corporation's requirement may request that the Corporation approve this alternative search protocol. A program qualifying for this exception must, however, in addition to satisfying State criminal history check requirements, conduct NSOPR checks on its participants and grant-funded employees, if not already required (§§ 2540.206(c); 2551.31(c); 2552.31(c)). Comment: Several commenters thought the criminal history requirement was necessary and prudent but were concerned about the cost of conducting the criminal history checks. They asked whether the Corporation would provide more funding to pay for the checks. Response: Although there are no additional funds designated for these Federal Register /Vol. 72, No. 164 /Friday, August 24, 2007 /Rules and Regulations 48581 checks, these costs are allowable. In addition, the NSOPR check is a no-cost Internet search. While the Corporation will provide guidance to assist grantees on effective and economic ways to reduce costs in this area, we remind our grantees that it is their responsibility when operating programs that serve vulnerable populations to ensure that they establish appropriate safeguards to meet their respective States' existing duties of care. It should also be noted that many programs are already managing within their budgets to secure the types of criminal history checks that we are requiring. For example, many local law enforcement agencies offer in- kind support to non-profit organizations that require this type of assistance. IV. Relationship to State Laws To the extent that any element of the final rule is prohibited, or is otherwise precluded under State law, the Corporation's Office of Grants Management is prepared to approve an alternative that is consistent with State law, within 30 days of receiving such notice. V. Effective Dates The final rule takes effect November 23, 2007. The State criminal registry search requirement applies prospectively to the selection of any individual who applies on or after the effective date. However, an AmeriCorps participant who is serving in a covered position at the time this rule becomes effective will be required to submit to a criminal registry check if the participant desires to serve another term, even if it is with the same program. The NSOPR requirement applies: (1) To any applicant for a covered position beginning on or after the effective date, as well as (2) to an individual who is serving as a participant or grant-funded employee in a covered position on the effective date. VI. Regulatory Procedures Executive Order 12866 The Corporation has determined that this rule is not an "economically significant" rule within the meaning of E.O. 12866 because it is not likely to result in: (1) An annual effect on the economy of $100 million or more, or an adverse and material effect on a sector of the economy, productivity, competition, jobs, the environment, public health or safety, or State, local, or tribal government or communities; (2) the creation of a serious inconsistency or interference with an action taken or planned by another agency; (3) a material alteration in the budgetary impacts of entitlement, grants, user fees, or loan programs or the rights and obligations of recipients thereof; or (4) the raising of novel legal or policy issues arising out of legal mandates, the President's priorities, or the principles set forth in E.O. 12866. It is, however, a significant rule and has been reviewed by the Office of Management and Budget in accordance with E.O. 12866. Regulatory Flexibility Act As required by the Regulatory Flexibility Act of 1980, 5 U.S.C. 605(b), the Corporation certifies that this rule will not have a significant economic impact on a substantial number of small entities. This regulatory action will not result in (1) An annual effect on the economy of $100 million or more; (2) a major increase in costs or prices for consumers, individual industries, Federal, State, or local government agencies, or geographic regions; or (3) significant adverse effects on competition, employment, investment, productivity, innovation, or on the ability of United States-based enterprises to compete with foreign- based enterprises in domestic and export markets. Therefore, the Corporation has not performed the initial regulatory flexibility analysis that is required under the Regulatory Flexibility Act, 5 U.S.C. 601 et seq., for major rules that are expected to have such results. Unfunded Mandates For purposes of Title II of the Unfunded Mandates Reform Act of 1995, 2 U.S.C. § 1531-1538, as well as Executive Order 12875, this regulatory action does not contain any Federal mandate that may result in increased expenditures in either Federal, State, local, or tribal governments in the aggregate, or impose an annual burden exceeding $100 million on the private sector. Paperwork Reduction Act This rule contains no information collection requirements and is therefore not subject to the requirements of the Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq.). Executive Order 13132, Federalism Executive Order 13132, Federalism, prohibits an agency from publishing any rule that has Federalism implications if the rule either imposes substantial direct compliance costs on State and local governments and is not required by statute, or the rule preempts State law, unless the agency meets the consultation and funding requirements of section 6 of the Executive Order. The rule does not have any Federalism implications, as described above. List of Subjects 45 CFR Part 2510 Grant programs-social programs, Volunteers. 45 CFR Part 2522 Grant programs-social programs, Reporting and recordkeeping requirements, Volunteers. 45 CFR Part 2540 Administrative practice and procedure, Grant programs-social programs, Reporting and recordkeeping requirements, Volunteers. 45 CFR Part 2551 Aged, Grant programs-social programs, Volunteers. 45 CFR Part 2552 Aged, Grant programs-social programs, Volunteers. ^ For the reasons stated in the preamble, the Corporation for National and Community Service amends chapter XXV, title 45 of the Code of Federal Regulations as follows: PART 2510-OVERALL`PURPOSES AND DEFINITIONS ^ 1. The authority citation for part 2510 continues to read as follows: Authority: 42 U.S.C. 12501 et seq. ^ 2. Amend § 2510.20 by adding the definitions of "children," and "recurring access" in alphabetical order to read as follows: §2510.20 Definitions. Children. The term children means individuals 17 years of age and younger. Recurring access. The term recurring access means the ability on more than one occasion to approach, observe, or communicate with, an individual, through physical proximity or other means, including but not limited to, electronic or telephonic communication. PART 2522-AMERICORPS PARTICIPANTS, PROGRAMS, AND APPLICANTS ^ 1. The authority citation for part 2522 is revised to read as follows: Authority: 42 U.S.C. 12571-12595; 12651b-12651 d; E.O. 13331, 69 FR 9911. 48582 Federal Register /Vol. 72, No. 164 /Friday, August 24, 2007 /Rules and Regulations ^ 2. Add the following new sections: § 2522.205, § 2522.206, and § 2522.207 to read as follows: § 2522.205 To whom must 1 apply suitability criteria relating to criminal history? You must apply suitability criteria relating to criminal history to a participant or staff position for which an individual receives a Corporation grant- funded living allowance, stipend, education awazd, salary, or other remuneration, and which involves recurring access to children, persons age 60 and older, or individuals with disabilities. § 2522.206 What suitability criteria must I apply to a covered position? Any individual who is registered, or required to be registered, on a State sex offender registry is deemed unsuitable for, and may not serve in, a covered position. § 2522.207 What are the procedures I must follow to determine an individual's suitability to serve in a covered position? In determining an individual's suitability to serve in a covered position, you must follow the procedures in part 2540 of this title. PART 2540-GENERAL ADMINISTRATIVE PROVISIONS ^ 1. The authority citation for part 2540 is revised to read as follows: Authority: 42 U.S.C. 12651b-12651 d; E.O. 13331, 69 FR 9911. § 2540.200 [Redesignated as § 2540.208] ^ 2. Redesignate § 2540.200 as § 2540.208. ^ 3. Add the following sections: §§ 2540.200, 2540.201, 2540.202, 2540.203, 2540.204, 2540.205, 2540.206, and 2540.207. § 2540.200 To whom must I apply suitability criteria relating to criminal history? You must apply suitability criteria relating to criminal history to an individual applying for, or serving in, a position for which an individual receives a Corporation grant-funded living allowance, stipend, education award, salary, or other remuneration, and which involves recurring access to children, persons age 60 and older, or individuals with disabilities. §2540.201 What suitability criteria must I apply to a covered position? Any individual who is registered, or required to be registered, on a State sex offender registry is deemed unsuitable for, and may not serve in, a position covered by suitability criteria. § 2540.202 What two search components of the National Service Criminal History Check must I satisfy to determine an individual's suitability to serve in a covered position? Unless the Corporation approves an alternative screening protocol, in determining an individual's suitability to serve in a covered position, you are responsible for conducting and documenting a National Service Criminal History Check, which consists of the following two search components: (a) State criminal registry search. A search (by name or fingerprint) of the State criminal registry for the State in which your program operates and the State in which the individual resides at the time of application; and (b) National Sex Offender Public Registry. Aname-based search of the Department of Justice (DOJ) National Sex Offender Public Registry (NSOPR). § 2540.203 When must I conduct a State criminal registry check and a NSOPR check on an individual in a covered position? (a) The State criminal registry check must be conducted on an individual who enrolls in, or is hired by, your program after November 23, 2007. (b) The NSOPR check must be conducted on an individual who is serving, or applies to serve, in a covered position on or after November 23, 2007. (c) For an individual who serves consecutive terms of service in your program with a break in service of no more than 30 days, no additional check is required after the first term. § 2540.204 What procedures must 1 follow in conducting a National Service Criminal History Check for a covered position? You are responsible for following these procedures: (a) Verify the individual's identity by examining the individual's government- issued photo identification card, such as a driver's license; (b) Obtain prior, written authorization for the State criminal registry check and the appropriate sharing of the results of that check within the program from the individual (but not for the NSOPR check); (c) Document the individual's understanding that selection into the program is contingent upon the organization's review of the individual's criminal history, if any; (d) Provide a reasonable opportunity for the individual to review and challenge the factual accuracy of a result before action is taken to exclude the individual from the position; (e) Provide safeguards to ensure the confidentiality of any information relating to the criminal history check, consistent with authorization provided by the applicant; and (f) Ensure that an individual, for whom the results of a required State criminal registry check are pending, is not permitted to have access to children, persons age 60 and older, or individuals with disabilities without being accompanied by an authorized program representative who has previously been cleared for such access. § 2540.205 What documentation must I maintain regarding a National Service Criminal History Check for a covered position? You must: (a) Document in writing that you verified the identity of the individual in a covered position by examining the individual's government-issued photo identification card, and that you conducted the required checks for the covered position; and (b) Maintain the results of the National Service Criminal History check (unless precluded by State law) and document in writing that you considered the results in selecting the individual. §2540.206 Under what circumstances may I follow alternative procedures in conducting a State criminal registry check for a covered position? (a) FBI fingerprint-based check. If you conduct and document afingerprint- based criminal history check through the Federal Bureau of Investigation, you will be deemed to have satisfied the State criminal registry check requirement and do not need separate approval by the Corporation. (b) Name-based search. If you conduct and document aname-based criminal history check through a source other than the FBI that includes a check of the criminal records repository in the State in which your program is operating, as well as in the State in which the applicant lives, you will be deemed to have satisfied the State criminal registry check requirement and do not need separate approval by the Corporation. (c) Alternative search approval. If you demonstrate that you are prohibited or otherwise precluded under State law from complying with a Corporation requirement relating to criminal history checks or that you can obtain substantially equivalent or better information through an alternative process, the Corporation will consider approving an alternative search protocol that you submit in writing to the Corporation's Office of Grants Management. The Office of Grants Federal Register /Vol. 72, No. 164 /Friday, August 24, 2007 /Rules and Regulations 48583 Management will review the alternative protocol to ensure that it: (1) Verifies the identity of the individual; and (2) Includes a search of an alternative criminal database that is sufficient to identify the existence, or absence of, criminal offenses. § 2540.207 Is an individual who refuses to consent to a State criminal registry check, or who makes a false statement in connection with a grantee's inquiry concerning the individual's criminal history, eligible to serve in a covered position? An individual who refuses to consent to a State criminal registry check, or who makes a false statement in connection with a grantee's inquiry concerning the individual's criminal history, is not eligible to serve in a covered position. PART 2551-SENIOR COMPANION PROGRAM ^ 1. The authority citation for part 2551 is revised to read as follows: Authority: 42 U.S.C. 4950 et seq.; 42 U.S.C. 12651b-12651d; E.O. 13331, 69 FR 9911. Subpart C of Part 2551-[Amended] §2551.31 [Redesignated as §2551.34] ^ 2. Amend subpart C by redesignating § 2551.31 as § 2551.34. Subpart B of Part 2551-[Amended] §2551.26 [Redesignated as §2551.33] ^ 3. Amend subpart B of part 2551 by redesignating § 2551.26 as § 2551.33. ^ 4. Add the following sections to subpart B: §§ 2551.26, 2551.27, 2551.28 2551.29, 2551.30, 2551.31, and 2551.32 §2551.26 To whom does this part apply? This part applies to Senior Companion Sponsors when determining the suitability of Senior Companions, as well as to Senior Companion grant- funded employees who, on a recurring basis, have access to children, persons age 60 and older, or individuals with disabilities. § 2551.27 What two search components of the National Service Criminal History Check must I satisfy to determine an individual's suitability to serve in a covered position? Unless the Corporation approves an alternative screening protocol, in determining the suitability of an individual to serve as a Senior Companion or as a covered grant-funded employee, you are responsible for ensuring, unless prohibited by State law, that you conduct and document a National Service Criminal History Check, which consists of the following two search components: (a) State criminal registry search. A search (by name or fingerprint) of the State criminal registry for the State in which the program operates and the State in which the individual resides at the time of application; and (b) National Sex Offender Public Registry. Aname-based search of the Department of Justice (DOJ) National Sex Offender Public Registry (NSOPR). § 2551.28 When must I conduct a State criminal registry check and a NSOPR check on an individual in a covered position? (a) The State criminal registry check must be conducted on an individual who enrolls in, or is hired by, your program after the effective date of this regulation. (b) The NSOPR check must be conducted on an individual who is serving, or applies to serve, in a covered position on or after the effective date of this regulation. § 2551.29 What procedures must 1 follow in conducting a National Service Criminal History Check? You are responsible for ensuring that the following procedures are satisfied: (a) Verify the individual's identity by examining the individual's government- issued photo identification card, such as a driver's license; (b) Obtain prior, written authorization far the State criminal registry check and the appropriate sharing of the results of that check within the program from the individual (but not for the NSOPR check); (c) Document the individual's understanding that selection into the program is contingent upon the organization's review of the individual's criminal history, if any; (d) Provide a reasonable opportunity for the individual to review and challenge the factual accuracy of a result before action is taken to exclude the individual from the position; (e) Provide safeguards to ensure the confidentiality of any information relating to the criminal history check, consistent with authorization provided by the individual; and (f) Ensure that an individual, for whom the results of a required State criminal registry check are pending, is not permitted to have access to children, persons age 60 and older, or individuals with disabilities without being accompanied by an authorized program representative who has previously been cleared for such access. § 2551.30 What documentation must I maintain regarding a National Service Criminal History Check? You must: (a) Document in writing that you verified the identity of the individual in a covered position by examining the individual's government-issued photo identification card, and that you conducted the required checks for the covered position; and (b) Maintain the results of the National Service Criminal History check (unless precluded by State law) and document in writing that you considered the results in selecting the individual. § 2551.31 Under what circumstances may I follow alternative procedures in conducting a State criminal registry check? (a) FBI fingerprint-based check. If you or your designee conduct and document a fingerprint-based criminal history check through the Federal Bureau of Investigation, you will be deemed to have satisfied the State criminal registry check requirement and do not need separate approval by the Corporation. (b) Name-based search. If you conduct and document aname-based criminal history check through a source other than the FBI that, includes a check of the criminal records repository, in the State in which your program is operating, as well as in the State in which the individual lives, you will be deemed to have satisfied the State criminal registry check requirement and do not need separate approval by the Corporation. (c) Alternative search approval. If you demonstrate that you are prohibited or otherwise precluded under State law from complying with a Corporation requirement relating to criminal history checks or that you can obtain substantially equivalent or better information through an alternative process, the Corporation will consider approving an alternative search protocol that you submit in writing to the Office of Grants Management. The Office of Grants Management will review the alternative protocol to ensure that it: (1) Verifies the identity of the individual; and (2) Includes a search of an alternative criminal database that is sufficient to identify the existence, or absence of, criminal offenses. § 2551.32 Is an individual who refuses to consent to a State criminal registry check, or who makes a false statement in connection with a grantee's inquiry concerning the individual's criminal history, eligible to serve in a covered position? An individual who refuses to consent to a State criminal registry check, or 48584 Federal Register /Vol. 72, No. 164 /Friday, August 24, 2007 /Rules and Regulations who makes a false statement in connection with a grantee's inquiry concerning the individual's criminal history, is not eligible to serve in a covered position. §§2551.42, 2551.43, 2551.44, 2551.45, and 2551.46 [Redesignated as §§2551.43, 2551.44, 2551.45, 2551.46, and 2551.47] ^ 5. Amend subpart D of part 2551 by redesignating §§ 2551.42, 2551.43, 2551.44, 2551.45, 2551.46 as §§ 2551.43, 2551.44, 2551.45, 2551.46, 2551.47, respectively. ^ 6. Add the following new section to subpart D: § 2551.42. § 2551.42 May an individual who is subject to a State sex offender registration requirement serve as a Senior Companion or as a Senior Companion grant-funded employee? Any individual who is registered, or who is required to be registered, on a State sex offender registry is deemed unsuitable for, and may not serve in, a position as a Senior Companion or as a Senior Companion grant-funded employee. PART 2552-FOSTER GRANDPARENT PROGRAM ^ 1. The authority citation for part 2552 is revised to read as follows: Authority: 42 U.S.C. 4950 et seq.; 42 U.S.C. 12651b-12651d; E.O. 13331, 69 FR 9911. Subpart C of Part 2552-[Amended] §2552.31 [Redesignated as §2552.34] ^ 2. Amend subpart C by redesignating § 2552.31 as § 2552.34. Subpart B of Part 2552-[Amended] §2552.26 [Redesignated as §2552.33] ^ 3. Amend subpart B of part 2552 by redesignating § 2552.26 as § 2552.33. ^ 4. Add the following sections to subpart B: §§ 2552.26, 2552.27, 2552.28, 2552.29, 2552.30, 2552.31, and 2552.32. §2552.26 To whom does this part apply? This part applies to Foster Grandparent Sponsors in determining the suitability of Foster Grandparents, as well as to Foster Grandparent grant- funded employees who, on a recurring basis, have access to children, persons age 60 and older, or individuals with disabilities. §2552.27 What two search components of the National Service Criminal History Check must I satisfy to determine an individual's suitability to serve in a covered position? Unless the Corporation approves an alternative screening protocol, in selecting an individual as a Foster Grandparent or as a covered grant- funded employee, you are responsible for ensuring, unless prohibited by State law, that you conduct and document a National Service Criminal History Check, which consists of the following two search components: (a) State criminal registry search. A search (by name or fingerprint) of the State criminal registry for the State in which the program operates and the State in which the individual resides at the time of application; and (b) National Sex Offender Public Registry. Aname-based search of the Department of Justice (DOJ) National Sex Offender Public Registry (NSOPR). § 2552.28 When must I conduct a State criminal registry check and a NSOPR check on an individual in a covered position? (a) The State criminal registry check must be conducted on an individual who enrolls in, or is hired by, your program after November 23,.2007. (b) The NSOPR check must be conducted on an individual who is serving, or applies to serve, in a covered position on or after November 23, 2007. §2552.29 What procedures must 1 follow in conducting a National Service Criminal History Check? You are responsible for ensuring that the following procedures are satisfied: (a) Verify the individual's identity by examining the individual's government- issued photo identification card, such as a driver's license; (b) Obtain prior, written authorization for the State criminal registry check and the appropriate sharing of the results of that check within the program from the individual (but not for the NSOPR check); (c) Document the individual's understanding that selection into program is contingent upon the organization's review of the individual's criminal history, if any; (d) Provide a reasonable opportunity for the individual to challenge the factual accuracy of a result before action is taken to exclude the individual from the position; (e) Provide safeguards to ensure the confidentiality of any information relating to the criminal history check, consistent with authorization provided by the individual; and (f) Ensure that an individual, for whom the results of a required State criminal registry check are pending, is not permitted to have access to children, persons age 60 and older, or individuals with disabilities without being accompanied by an authorized program representative who has previously been cleared for such access. § 2552.30 What documentation must I maintain regarding a National Service Criminal History Check? You must: (a) Document in writing that you verified the identity of the individual in a covered position by examining the individual's government-issued photo identification card, and that you conducted the required checks for the covered position; and (b) Maintain the results of the National Service Criminal History check (unless precluded by State law) and document in writing that you considered the results in selecting the individual. § 2552.31 Under what circumstances may I follow alternative procedures in conducting a State criminal registry check? (a) FBI fingerprint-based check. If you or your designee conduct and document a fingerprint-based criminal history check through the Federal Bureau of Investigation, you will be deemed to have satisfied the State criminal registry check requirement and do not need separate approval by the Corporation. (b) Name-based search. If you conduct and document aname-based criminal history check through a source other than the FBI that, includes a check of the criminal records repository, in the State in which your program is operating, as well as in the State in which the individual lives, you will be deemed to have satisfied the State criminal registry check requirement and do not need separate approval by the Corporation. (c) Alternative search approval. If you demonstrate that you are prohibited or otherwise precluded under State law from complying with a Corporation requirement relating to criminal history checks or that you can obtain substantially equivalent or better information through an alternative process, the Corporation will consider approving an alternative search protocol that you submit in writing to the Office of Grants Management. The Office of Grants Management will review the alternative protocol to ensure that it: (1) Verifies the identity of the individual; and (2) Includes a search of an alternative criminal database that is sufficient to identify the existence, or absence of, criminal offenses. § 2552.32 Is an individual who refuses to consent to a State criminal registry check, or who makes a false statement in connection with a grantee's inquiry concerning the individual's criminal history, eligible to serve in a covered position? An individual who refuses to consent to a State criminal registry check, or Federal Register /Vol. 72, No. 164 /Friday, August 24, 2007 /Rules and Regulations 48585 who makes a false statement in connection with a grantee's inquiry concerning the individual's criminal history, is not eligible to serve in a covered position. - §§ 2552.42, 2552.43, 2552.44, 2552.45, and 2552.46 [Redesignated as §§2552.43, 2552.44, 2552.45, 2552.46, and 2552.47] ^ 5. Amend subpart D of part 2552 by redesignating §§ 2552.42, 2552.43, 2552.44, 2552.45, and 2552.46 as §§ 2552.43, 2552.44, 2552.45, 2552.46, and 2552.47, respectively. ^ 6. Add adding the following new section to subpart D: § 2552.42. § 2552.42 May an individual who is subject to a State sex offender registration requirement serve as a Foster Grandparent or as a Foster Grandparent grant-funded employee? Any individual who is registered, or required to be registered, on a State sex offender registry is deemed unsuitable for, and may not serve in, a position as a Foster Grandparent or as a Foster Grandparent grant-funded employee. Dated: August 16, 2007. Frank R. Trinity, General Counsel. [FR Doc. E7-16681 Filed 8-23-07; 8:45 am] BILLING CODE 6050-28-P DEPARTMENT OF TRANSPORTATION Federal Motor Carrier Safety Administration 49 CFR Part 367 [Docket No. FMCSA-2007-27871] RIN 2126-A609 Fees for Unified Carrier Registration Plan and Agreement AGENCY: Federal Motor Carrier Safety Administration (FMCSA), DOT. ACTION: Final rule. SUMMARY: This rule establishes initial fees for 2007 and a fee bracket structure for the Unified Carrier Registration Agreement. This action is required under the Uniform Carrier Registration Act of 2005, enacted as Subtitle C of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users. EFFECTIVE DATE: August 24, 2007. FOR FURTHER INFORMATION CONTACT: Mr, David Miller, Regulatory Development Division, (202) 366-5370, or by e-mail at: FMCSAregsQdot.gov. Availability of Rulemaking Documents For access to the docket to read background documents and comments received, go to http://dms.dot.gov at any time or to U.S. Department of Transportation, Room W12-140, 1200 New Jersey Ave., SE., Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. SUPPLEMENTARY INFORMATION: I. Legal Basis for the Rulemaking This rule involves the fees to be set for the Unified Carrier Registration Agreement established by 49 U.S.C. 14504a, enacted by section 4305(b) of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) (119 Stat. 1144, 1764 (2005)). Section 14504a states that the "Unified Carrier Registration Plan * * mean[s] the organization * * * responsible for developing, implementing, and administering the unified carrier registration agreement" (49 U.S.C. 14504a(a)(9)) (UCR Plan). The Unified Carrier Registration Agreement (UCR Agreement) developed by the UCR Plan is the "interstate agreement governing the collection and distribution of registration and financial responsibility information provided and fees paid by motor carriers, motor private carriers, brokers, freight forwarders and leasing companies * * *" (49 U.S.C. 14504a(a)(8)). Congress also repealed the statutory provisions of 49 U.S.C. 14504 governing the Single State Registration System (SSRS) (SAFETEA-LU section 4305(a)).1 The legislative history indicates that the purpose of the UCR Plan and Agreement is both to "replace the existing outdated system [SSRS]" for registration of interstate motor carrier entities with the States and to "ensure that States don't lose current revenues derived from SSRS" (S. Rep. 109-120, at 2 (2005)).2 The statute provides fora 15-member Board of Directors for the UCR Plan and Agreement (Board) appointed by the Secretary of Transportation. The statute specified that the Board should consist of one individual (either the FMCSA Deputy Administrator or another Presidential appointee) from the Department of Transportation; four directors, including one from each of the four FMCSA service areas, selected from among the chief administrative officers of the State agencies responsible for administering the UCR Agreement; five directors from among the professional staffs of State agencies ' This repeal became effective on January 1, 2007 in accordance with section 4305(a). ~ The Senate bill's provisions were enacted "with modifications." H. Conf. Rep. No, 109-203, at 1020 (zoos). responsible for administering the UCR Agreement, to be nominated by the National Conference of State Transportation Specialists (NCSTS); and five directors representing the motor carrier industry, of whom at least one must be from a national trade association representing the general motor carrier of property industry and one from a motor carrier that falls within the smallest fleet fee bracket. The establishment of the Board "was announced in the Federal Register on May 12, 2006 (71 FR 27777). Among its responsibilities, the Board was required to submit to the Secretary of Transportation s a recommendation for the initial annual fees to be assessed on motor carriers, motor private carriers, freight forwarders, brokers and leasing companies under the UCR Agreement (49 U.S.C. 14504a(d)(7)(A)). The FMCSA then was directed to set the fees within 90 days after receiving the Board's recommendation and after notice and opportunity for public comment (49 U.S.C. 14504a(d)(7)(B)). II. Statutory Requirements for UCR Fees The statute specifies several relevant factors that must be considered by the Board and FMCSA in setting the fees (see 49 U.S.C. 14504a(d)(7)(A), (f)(1) and (g)). It specifies that fees are to be determined by FMCSA based upon the recommendation of the Board. The FMCSA described the statutory requirements in detail in a Notice of Proposed Rulemaking (NPRM) published on May 29, 2007 (72 FR 29472). Section 14504a(f)(1) also stipulates that for the purpose of charging fees the Board shall develop no less than 4 and no more than 6 brackets of carriers based on the size of the fleet, i.e. the number of commercial motor vehicles owned or operated. Finally, the fee scale is required to be progressive in the amount of the fee. Overall, the fees assessed under the UCR Agreement must produce a level of revenues established by the statute. Section 14504a(g) establishes the revenue entitlements for States that choose to participate in the UCR Plan. That section provides that a participating State, which participated in the SSRS in the registration year prior to the enactment of the Unified Carrier Registration Act of 2005 (i.e., the 2004 registration year), is entitled to receive revenues under the UCR Agreement a The Secretary's functions under section 145o4a have been delegated to the Administrator of the Federal Motor Carrier Safety Administration. 49 CFR 1.73(a)(7), as amended, 71 FR 30833 (May 31, zoos). 2008 AMERICORPS GRANT PROVISIONS Effective May 20, 2008 These AmeriCorps Grant Provisions are binding on the grantee. By accepting funds under this grant, the grantee agrees to comply with, and include in.all subgrants, the AmeriCorps Provisions, all applicable federal statutes, regulations and guidelines, and any amendments thereto. The grantee agrees to operate the funded program in accordance with the approved grant application and budget, supporting documents, and other representations made in support of the approved grant application. For the purposes of these Provisions, "AmeriCorps" refers to AmeriCorps State and National grantees only. The term grantee is used to connote either grantee or subgrantee, as appropriate, throughout these Provisions. TABLE OF CONTENTS I. Changes to the 2008 AmeriCorps Grant Provisions .........................................................2 II. Legislative and Regulatory Authority ............................................................................. ..5 III. Other Applicable Statutory and Administrative Provisions ............................................ ..5 A. States, Indian Tribes, U.S. Territories and Local Governments .............:.............. ..5 B. Nonprofit Organizations ........................................................................................ ..5 C. Educational Institutions ......................................................................................... ..5 D. Other Applicable Statutes and Regulations ........................................................... ..6 E. Order of Precedence ............................................................................................... ..6 IV. AmeriCorps Special Provisions ...................................................................................... ..6 A. Definitions .............................................................................................................. ..6 B. Affiliation with the AmeriCorps National Service Network ................................. ..7 C. Member Recruitment, Selection, and Exit ............................................................. ..8 D. Supervision and Support ........................................................................................ ..9 E. Release from Participation ..................................................................................... 10 F. Living Allowances, Other In-Service Benefits, and Taxes .................................... 10 G. Member Records and Confidentiality .................................................................... 12 H. Budget and Programmatic Changes ....................................................................... 13 I. Reporting Requirements ........................................................................................ 14 J. Grant Period and Incremental Funding .................................................................. 15 V. General Provisions .......................................................................................................... 15 A. Responsibilities under Grant Administration ......................................................... 15 B. Financial Management Standards .......................................................................... 16 C. The Office of Inspector General ............................................................................ 17 D. Program Income ..................................................................................................... 17 E. Safety ..................................................................................................................... 18 F. Non-discrimination Public Notice and Records Compliance ................................ 18 G. Grants Products ...................................................................................................... 19 H. Suspension or Termination of Grant ...................................................................... 19 I. Fixed Amount Award (Education Award Programs Only) ................................... 19 J. Trafficking in Persons ........................................................................................... 20 VI. Attachment Grant Program Civil Rights and Non-Harassment Policy ........................................... 22 Revised - 5/27/2008 I. CHANGES IN THE 2008 AMERICORPS GRANT PROVISIONS A previously separate set of Provisions for Education Award Programs (EAPs) has been incorporated into these 2008 AmeriCorps Provisions. The Corporation will no longer maintain two separate sets of Provisions. The Provisions were edited throughout for clarity and accuracy. The AmeriCorps Statute, Regulations, these Provisions, and the Policy FAQs can be found in keyword searchable format here: http : //www. americorps. gov/for organizations/manage/index. asp. The following sections from the 2007 Provisions were deleted or revised in the 2008 Provisions. Section IV. A. 1. The definition for "AmeriCorps National Service Network" was deleted and can be found in the Policy FAQ entitled Definitions. Section IV. A. 2. The definition for "Approved National Service Position" was deleted and can be found in the AmeriCorps regulations 45 CFR 2550.20. Section IV. A. 3, 6 and 7. The definitions for "Faith Based Organization," "Parent Organization," and "Service Recipient" were deleted as immaterial to these Provisions. Section IV. B. 3. and 4. on AmeriCorps Service Gear and Participation in AmeriCorps Events were deleted and can be found in the AmeriCorps regulations 45 CFR 2520.65 and 2522.100(n), and the Policy FAQ entitled Member Service Gear. Section IV. C. on Enrollment was revised, re-titled "Member Recruitment, Selection, and Exit" and includes Exit information. Section IV. C. 1. on Enrollment Procedures was deleted and replaced with former IV. E. 2. Notification to the National Service Trust. Section IV. C. 4. on Reasonable Accommodation, paragraphs 2 and 3 were deleted and can be found in the AmeriCorps regulations 45 CFR 2522.100 (h) and the Policy FAQ entitled Reasonable Accommodation. Section IV. C. 5. on Member Classification was deleted and can be found in the Policy FAQ entitled Member Classification. Section IV. C. 7. on Criminal Charges was deleted and can be found in the AmeriCorps regulations 45 CFR 2522.230(c) and (d) and the Policy FAQ entitled Criminal Charges. Section IV. D. on Training, Supervision, and Support has been re-titled "Supervision and Support." Section IV. D. 1. on Completion of Term can be found in the Policy FAQ entitled Completion of Term. Section IV. D. 2. on Member Contracts was revised and includes a paragraph recommending that a member signs a contract before commencement of service. Section IV. D. 3. on Training and Orientation was deleted and can be found in the AmeriCorps regulations 45 CFR 2522.100(g)(2) and (j) and the Policy FAQ entitled Orientation. Section IV. D. 4. on Service Learning was deleted and can be found in the AmeriCorps regulations 45 CFR 2522.100 (j). Section IV. D. 7. on Registration to Vote was deleted and can be found in the AmeriCorps regulations 45 CFR 2522.100(1) and the Policy FAQ entitled Voting. Section IV. D. 7. (b) was retained. Section IV. D. 8. on Jury Duty was deleted and can be found in the Policy FAQ entitled Jury Duty. Section IV. D. 10. on Armed Forces Reserves was deleted and can be found in the Policy FAQ entitled Armed Forces Reserves. Section IV. E. on Terms of Service, paragraph 1 was deleted and can be found in the AmeriCorps regulations 45 CFR 2522.220 and in the Policy FAQ entitled Definitions. The remainder, on Notification to the National Service Trust, was maintained and moved to IV. C. 1. Member Enrollment and Exit. Section IV. F. on Changes in Member Status was deleted and can be found in the Policy FAQ entitled Changes in Member Status. Section IV. F. 4 includes language to clarify the amount of time a person must serve to qualify for healthcare when serving part time in a full time capacity (former Section IV. I. 5. d.) Section IV. F 4. on Notice to Childcare and Healthcare Providers was retained and can be found in Section IV. F. 6. Section IV. G. 2. on Required Disclosure by Member of Prior Release for Cause was deleted and can be found in the AmeriCorps regulations 45 CFR 2522.230 (b) (4) and in the Policy FAQ entitled Release for Cause. Section IV. H. on Minor Disciplinary Actions was deleted and can be found in the Policy FAQ entitled Minor Disciplinary Actions. Section IV. I. 2. d. on Unemployment Insurance was deleted and can be found in the Policy FAQ entitled Unemployment Insurance. Section IV. I. 7. on Administration of Childcare Payments, paragraph 2 was deleted and can be found in the Policy FAQ entitled Administration of Childcare Payments. Section IV. I. 8. on Family and Medical Leave was deleted and eligibility requirements can be found in the AmeriCorps regulations 45 CFR 2523.100 and 2540.220(b). The remainder of the Provision can be found in the Policy FAQ entitled Family and Medical Leave. Section IV. I. 9. on Federal Work Study was deleted and can be found in the Policy FAQ entitled Federal Work Study. Section IV. J. on Post-Service Education Awards, paragraph 1 was moved to C. 6. and retitled Exit. Section IV. J. on Post-Service Education Awards, paragraphs 2 was deleted and can be found in the AmeriCorps regulations 45 CFR 2526.50. Paragraph 3 can be found Policy FAQ entitled Post-service Education Awards. Section IV. K. on Matching Requirements was deleted and can be found in the AmeriCorps regulations 45 CFR 2521.35-2521.95. The section on the Exception for Donated Professional Service can be found in the Policy FAQ entitled Exception for Donated Professional Service. Changes in Matching Requirements implemented through appropriations language are reflected in Application Instructions. Section V. C. on Administrative Costs was deleted and can be found in the AmeriCorps regulations 45 CFR 2510.20 and 45 CFR 2521.95. Section V. D. on Program Income was revised to specify how grantees must use program income in excess of match. Section V. E. on Retention of Records was deleted and can be found in the AmeriCorps regulations 45 CFR 2543.53 and 2541.420. Section V. F. on Liability was moved to Section IV. F. 2. (a). Section V. E entitled Liability and Safety Issues has been retitled Safety. Section V. G. on Non-Discrimination was deleted. The AmeriCorps requirements on non- discrimination can be found in the AmeriCorps regulations 45 CFR 2540.210, the Attachment to these Provisions, the Certifications and Assurances, and the Policy FAQ entitled Non- Discrimination. The sections on Public Notice and Records Compliance were retained. Sections V. I. on Ownership and Sharing of Grant Products, paragraph 3 and V. J. on Publications were merged, revised, and retitled V. G. Grant Products. Section V. I. on Ownership and Sharing of Grant Products, paragraphs 1 and 2 were deleted and can be found in the AmeriCorps regulations 45 CFR 2541.340 and 2543.36. Section V. J. 2. on Materials Provided to the Corporation was deleted and is no longer required. Section V.J. on Trafficking in Persons was added to comply with agovernment-wide administrative order. Section VI. ATTACHMENTS A revised Grant Program Civil Rights and Non-harassment Policy, effective November 5, 2007, replaces former attachments. II. LEGISLATIVE AND REGULATORY AUTHORITY This grant is authorized by and subject to the National and Community Service Act of 1990 as amended, codified as 42 U.S.C. 12501 et seq., and 45 CFR 2510 et seq. Grantees must comply with the requirements of the Act and its implementing regulations. III. OTHER APPLICABLE STATUTORY AND ADMINISTRATIVE PROVISIONS The following applicable federal cost principles, administrative requirements and audit requirements are incorporated by reference. A. STATES, INDIAN TRIBES, U.S. TERRITORIES, AND LOCAL GOVERNMENTS The following circulars and their implementing regulations apply to states, Indian tribes, U.S. territories, and local governments: 1. OMB Circular A-102, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments - 45 CFR part 2541. 2. OMB Circular A-87, Cost Principles for State and Local Governments - 2 CFR part 225. 3. OMB Circular A-133, Audits of States, Local Governments and Non-Profit Organizations._ B. NONPROFIT ORGANIZATIONS The following circulars and their implementing regulations apply to nonprofit organizations: 1. OMB Circular A-110, Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals and Other Nonprofit Organizations - 45 CFR 2543 or 2 CFR part 215. 2. OMB Circular A-122, Cost Principles for Nonprofit Organizations - 2 CFR part 230. 3. OMB Circular A-133, Audits of States, Local Governments and Non-Profit Organizations._ C. EDUCATIONAL INSTITUTIONS The following circulars and their implementing regulations apply to educational institutions: 1. OMB Circular A-110, Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals and Other Nonprofit Organizations - 45 CFR 2543 or 2 CFR part 215. 2. OMB Circular A-21, Cost Principles for Educational Institutions - 2 CFR part 220. 3. OMB Circular A-133, Audits of States, Local Governments and Non-Profit Organizations._ These documents can be found here: httg~//www.access.~uo.gov/nara/cfr/waisidx 07/2cfrv1 07.htm1#215 and here: http ://ecfr. gpoaccess. gov/chi/dtext/text- idx~sid=1289932cf6539210eb 14f3 d8d3052a8b&c=ecfr&tpl=/ecfrbrowse/Title02/2cfrv 1 02.tp1#200 D. OTHER APPLICABLE STATUTES AND REGULATIONS The grantee must comply with all other applicable statutes, executive orders, regulations, and policies governing the grant, including, but not limited to, those cited in these Grant Provisions, the Grant Assurances and Certifications, and those cited in 45 CFR Parts 2541 and 2543. E. ORDER OF PRECEDENCE Should there be any inconsistency among the Notice of Grant Award, the AmeriCorps Special Provisions, the General Provisions, and the approved grant application, the order of precedence is: (1) Notice of Grant Award; (2) the AmeriCorps Special Provisions; (3) the General Provisions; and (4) the approved Grant Application. IV. AMERICORPS SPECIAL PROVISIONS A. DEFINITIONS For purposes of this grant the following definitions apply: Grantee, for the purposes of this agreement, means the direct recipient of this grant (45 CFR 2542.510). The grantee is legally accountable to the Corporation for the use of grant funds and is bound by the provisions of the grant. The grantee is responsible for ensuring that sub-grantees or other organizations carrying out activities under this award comply with these provisions, including regulations and OMB circulars incorporated by reference. 2. Sub-grantee refers to an organization receiving AmeriCorps grant funds or member positions from a grantee of the Corporation. See 45 CFR 2541.370. Member or participant means an individual: a. Who has been selected by a grantee or sub-grantee to serve in an approved national service position; b. Who is a U.S. citizen, U.S. national, or lawful permanent resident alien of the United States; c. Who is at least 17 years of age at the commencement of service unless the member is out of school and enrolled i. in a full-time, year-round youth corps or full-time summer program as defined in the Act (42 U.S.C. 12572 (a) (2)), in which case he or she must be between the ages of 16 and 25, inclusive, or ii. in a program for economically disadvantaged youth as defined in the Act (42 U.S.C. 12572 (a)(9)), in which case he or she must be between the ages of 16 and 24, inclusive; and iii. Has a high school diploma or an equivalency certificate (or agrees to obtain a high school diploma or its equivalent before using an education award) and who has not dropped out of elementary or secondary school in order to begin a term of service as an AmeriCorps member (unless enrolled in an institution of higher education on an ability to benefit basis and is considered eligible for funds under section 484 of the Higher Education Act of 1965, 20 U.S.C. 1091), or who has been determined through an independent assessment conducted by the grantee to be incapable of obtaining a high school diploma or its equivalent. B. AFFILIATION WITH THE AMERICORPS NATIONAL SERVICE NETWORK Identification as an AmeriCorps Program or Member. The grantee must identify the program as an AmeriCorps program and members eligible for an education award as AmeriCorps members. 2. The AmeriCorps Name and Logo. AmeriCorps is a registered service mark of the Corporation for National and Community Service. Grantees and sub-grantees except for Education Award Programs (EAPs) must use the AmeriCorps name and logo on service gear and public materials such as stationery, .application forms, recruitment brochures, orientation materials, member curriculum, signs, banners, press releases and publications created by AmeriCorps members in accordance with Corporation requirements. The Corporation provides acamera-ready logo. EAPS are strongly encouraged to use the AmeriCorps name and logo on such materials. To establish the relationship between the program and AmeriCorps, the grantee must use the phrase "The AmeriCorps National Service Network" or "an AmeriCorps program" and may use the slogan "Getting Things Done"TM on such materials in accordance with Corporation guidelines and requirements. The grantee may not alter the AmeriCorps logo, and must obtain the written permission of the Corporation before using the AmeriCorps name or logo on materials that will be sold, or permitting donors to use the AmeriCorps name or logo in promotional materials. The grantee may not use or display the AmeriCorps name or logo in connection with any activity prohibited in these grant provisions. C. MEMBER RECRUITMENT, SELECTION, AND EXIT Member recruitment and selection requirements are in the Corporation's regulations at 45 CFR part 2522.210. In addition, the grantee must ensure that the following procedures are followed: 1. Notice to the Corporation's National Service Trust. The grantee must notify the Corporation's National Service Trust within 30 days of a member's selection for, completion of, suspension from, or release from, a term of service. Suspension of service is defined as an extended period during which the member is not serving, nor accumulating service hours or receiving AmeriCorps benefits. The grantee also must notify the Trust when a change in a member's status is approved and changed (i.e. from full-time to less than full-time or vice versa). Failure to report such changes within 30 days may result in sanctions to the grantee, up to and including, suspension or termination. Grantees or sub-grantees meet notification requirements when they use the appropriate electronic system to inform the Corporation within the approved time frames. Any questions regarding the Trust should be directed to the Trust Office (800) 942-2677. Penalties for false information: Any individual who makes a materially false statement or representation in connection with the approval or disbursement of an education award or other payment from the National Service Trust may be liable for the recovery of funds and subject to civil and criminal sanctions. 2. Parental Consent. Parental or legal guardian consent must be obtained for members under 18 years of age before beginning a term of service. Grantees may also include an informed consent form of their own design as part of the member contract materials. 3. Reasonable Accommodation. Programs and activities must be accessible to persons with disabilities, and the grantee must provide reasonable accommodation to the known mental or physical disabilities of otherwise qualified members, service recipients, applicants, and staff. All selections and project assignments must be made without regard to the need to provide reasonable accommodation. See the Policy FAQ entitled Reasonable Accommodation for more information. 4. Timekeeping. The grantee is required to ensure that time and attendance recordkeeping is conducted by the individual who supervises the AmeriCorps member. This time and attendance record is used to document member eligibility for in-service and post-service benefits. Time and attendance records must be signed and dated both by the member and by an individual with oversight responsibilities for the member. Completion of Terms of Service. The grantee must ensure that each member has sufficient opportunity to complete the required number of hours of service to qualify for their education award. Members must be exited within 30 days of the end of their term of service. Should a program not be renewed, a member who was scheduled to continue in a term of service may either be placed in another program where feasible, or a member may receive apro-rated education award if the member has completed at least 15% of the service hour requirement. 6. Member Exit. In order for a member to receive apost-service education award from the National Service Trust, the grantee must certify to the National Service Trust that the member is eligible to receive the education benefit. The grantee (and any individual or entity acting on behalf of the grantee} is responsible for the accuracy of the information certified on the end-of--term certification. D. SUPERVISION AND SUPPORT Planning for the Term of Service. The grantee must develop member position descriptions that provide for meaningful service activities and performance criteria that are appropriate to the skill level of members. In planning for the member's term of service, the grantee must account for holidays and other time off, and must provide each member with sufficient opportunity to make up missed hours. 2. Member Contracts. The grantee must require that each member signs a contract that, at a minimum, includes or refers to the following: a. Member position description; b. The minimum number of service hours (as authorized by statute) and other requirements (as developed by the grantee) necessary to successfully complete the term of service and to be eligible for the education award; c. Standards of conduct, as developed by the grantee or sub-grantee; d. Prohibited activities, including those specified in the regulations; e. Requirements under the Drug-Free Workplace Act (41 U.S.C. 701 et seq.); f. Suspension and termination rules; g. The specific circumstances under which a member may be released for cause; h. Grievance procedures; and Other requirements as established by the grantee. The grantee should ensure that the contract is signed before commencement of service so that members are fully aware of their rights and responsibilities. 3. Supervision. The grantee must provide members with adequate supervision by qualified supervisors in accordance with the approved application. The grantee must conduct an orientation for members and comply with any pre-service orientation or training required by the Corporation. 4. Performance Reviews. The grantee must conduct and keep a record of at least a midterm and end-of--term written evaluation of each member's performance for Full and Half-Time members and an end-of--term written evaluation for less than Half-time members. The evaluation should focus on such factors as: a. Whether the member has completed the required number of hours; b. Whether the member has satisfactorily completed assignments; and c. Whether the member has met other performance criteria that were clearly communicated at the beginning of the term of service. 5. Voter Registration Activities Prohibited. In addition to the prohibited activities listed in 45 CFR 2520.65, staff and members may not engage in voter registration drives, and the grantee may not use grant funds to conduct a voter registration drive. 6. Member Death or Injury. The grantee must report any member deaths or serious injuries to the designated Corporation Program Officer immediately. E. RELEASE FROM PARTICIPATION Grantees may release members from participation for two reasons: (a) for compelling_personal circumstances; and (b) for cause. See 45 CFR §2522.230 for requirements. In addition to the regulations, the following applies: No Automatic Disqualification if Released for Cause: A release for cause covers all circumstances in which a member does not successfully complete his/her term of service for reasons other than compelling personal circumstances. Therefore, it is possible for a member to receive a satisfactory performance review and be released for cause. For example, a member who is released for cause for a first term for personal reasons-e.g. he/she has decided to take a job offer-but who, otherwise, was performing well up until the time he/she decided to leave, would not be disqualified for a second term as long as he/she received a satisfactory performance evaluation for the period he/she served. F. LIVING ALLOWANCES, OTHER IN-SERVICE BENEFITS, AND TAXES Living Allowance Distribution. A living allowance is not a wage. Grantees must not pay a living allowance on an hourly basis. Grantees should pay the living allowance in regular increments, such as weekly or bi-weekly, paying an increased increment only on the basis of increased living expenses such as food, housing, or transportation. Payments should not fluctuate based on the number of hours served in a particular time period, and must cease when a member concludes a term of service. If a member serves all required hours and is permitted to conclude his or her term of service before the originally agreed upon end of term, the grantee may not provide a lump sum payment to the member. Similarly, if a member is selected after the program's start date, the grantee must provide regular living allowance payments from the member's start date and may not increase the member's living allowance incremental payment or provide a lump sum to make up any missed payments. AmeriCorps EAPs may provide a living allowance or other in-service benefits to their members, but are not required to do so. 2. Waiving the Living Allowance. If a living allowance is paid, a member may waive all or part of the payment of a living allowance if he or she believes his or her public 10 assistance may be lost or decreased because of the living allowance. Even if a member waives his or her right to receive the living allowance, it is possible~iepending on the specific public assistance program rules-that the amount of the living allowance that the member is eligible to receive will be deemed available. A member who has waived the living allowance may revoke the waiver at any time and may begin receiving the living allowance prospective to the revocation date; the member may not receive any portion of the living allowance accrued during the waiver period. 3. Taxes and Insurance. Requirements related to member living allowances and benefits are in 45 CFR§§2522.240 and 2522.250. In addition, grantees must ensure that the following procedures are followed: a. Liability Insurance. The grantee is responsible for ensuring adequate general liability coverage for the organization, employees and members, including coverage of members engaged in on- and off-site project activities. b. FICA (Social Security and Medicare taxes). Unless the grantee obtains a ruling from the Social Security Administration or the Internal Revenue Service that specifically exempts its AmeriCorps members from FICA requirements, the grantee must pay FICA for any member receiving a living allowance. The grantee also must withhold 7.65% from the member's living allowance. c. Income Taxes. The grantee must withhold Federal personal income taxes from member living allowances, requiring each member to complete a W-4 form at the beginning of the term of service and providing a W-2 form at the close of the tax year. The grantee must comply with any applicable state or local tax requirements. d. Worker's Compensation. Some states require worker's compensation for AmeriCorps members. Grantees must check with State Departments of Labor or state commissions to determine worker's compensation requirements. If worker's compensation is not required, grantees must obtain Occupational, Accidental, and Death and Dismemberment coverage for members to cover in-service injury or incidents. 4. Healthcare Coverage. Except for EAPs, Professional Corps, or members covered under a collective bargaining agreement, the grantee must provide healthcare insurance to those members serving on a full-time basis who are not otherwise covered by a healthcare policy at the time each begins his/her period of full-time service. For purposes of this provision, a member is serving on a full-time basis when his/her regular term of service will involve performing service on a normal full-time schedule for a period of six weeks or more. A member may be serving on a full-time basis without regard to whether his/her agreed term of service will result in a full-time Segal AmeriCorps Education Award. The grantee must also provide healthcare insurance to members serving on a full-time basis who lose coverage during their term of service as a result of service or through no deliberate act of their own. The Corporation will not cover healthcare costs for family members or for members who have not served on a full-time, or who have ceased serving on a full-time basis. 11 Minimum Benefits. When required to provide healthcare insurance coverage, the grantee may obtain healthcare from any provider as long as the coverage provided by the grantee provides the following minimum benefits: a. Physician services for illness or injury b. Hospital room and board c. Emergency room d. X-ray and laboratory e. Prescription drugs f. Limited mental/nervous disorders g. Limited substance abuse coverage h. An annual deductible of no more than $250 charges per member i. No more than $1,000 total annual out-of-pocket per member j. A 20% co-pay or a comparable fixed fee with the exception of a 50% co-pay for mental and substance abuse care k. A maximum benefit of at least $50,000 per occurrence or cause 5. Administration of Childcare Payments. In general, the Corporation will provide for childcare payments, which will be administered through the National Association of Child Care Resource and Referral Agencies (NACCRRA), hereafter referred to as AmeriCorps®CARE. Requirements and eligibility criteria are in the AmeriCorps regulation 45 CFR §2522.250. Grantees that choose to provide childcare as a match source (as approved in their budget) may use AmeriCorps®CARE for technical assistance. Grantees can contact AmeriCorps®CARE at (800) 570-4543 with questions regarding childcare. The criteria for member eligibility are contained in 45 CFR 2522.250. Members are considered to be full-time participants for purposes of eligibility for childcare payments on the same basis as eligibility for healthcare coverage. Members who excluded from healthcare coverage solely on the basis of serving in a Professional Corps, or because they are covered under a collective bargaining agreement are not excluded from receiving childcare benefits on that basis. Members serving in EAPs are not eligible for the childcare benefit. The Corporation will not cover childcare costs for family members or for members who have not served on a full-time, or who have ceased serving on a full-time basis. Also see the Policy FAQs for more detailed information on administering childcare and healthcare. 6. Notice to Childcare and Healthcare Providers. The grantee must notify the Corporation's designated agents immediately in writing when a member's status changes, such that it would affect eligibility for childcare or healthcare. Examples of changes in status include: changes to a member's scheduled service so that he/she is no longer serving on a full-time basis; terminating or releasing a member from service; and suspending a member for cause for a lengthy or indefinite time period. Program directors should contact AmeriCorps®CARE at NACCRRA at (800) 570-4543 on childcare related changes, and their health insurance provider about health insurance related changes. G. MEMBER RECORDS AND CONFIDENTIALITY 12 Recordkeeping. The grantee must ensure that records are maintained sufficient to establish that each member was eligible to participate and that the member successfully completed all requirements. A program may store member files electronically if the program can ensure that the validity and integrity of the record is not compromised. The Corporation will recognize electronically stored files where: The electronic storage procedures and system provide for the safe-keeping and security of the records, including: a. Sufficient prevention of unauthorized alterations or erasures of records; b. Effective security measures to ensure that only authorized persons have access to records; c. Adequate measures designed to prevent physical damage to records; and d. A system providing for back-up and recovery of records; and The electronic storage procedures and system provide for the easy retrieval of records in a timely fashion, including: e. Storage of the records in a physically accessible location; f. Clear and accurate labeling of all records; and g. Storage of the records in a usable, readable format. Where there is a requirement for a signature on a record, electronically stored records must include an image of the original signature; records without signatures, when required, are considered incomplete. 2. Documentation. The grantee must obtain and maintain documentation as required by 45 CFR§2522.200(c). The Corporation does not require programs to make and retain copies of the actual documents used to confirm age or citizenship eligibility requirements, such as a driver's license, or birth certificate, as long as the grantee has a consistent practice of identifying the documents that were reviewed and maintaining a record of the review. To verify whether the member meets the requirements relating to high-school education, the grantee must obtain from the member, and maintain in the member's file, a written declaration under penalty of law that the member meets the requirements of these provisions relating to high school education as required by 45 CFR§2522.200(b). If the member has been determined to be incapable of obtaining a high school diploma or its equivalent, the grantee must retain a copy of the supporting independent evaluation. 3. Confidential Member Information. The grantee must maintain the confidentiality of information regarding individual members. The grantee must obtain the prior written consent of all members before using their names, photographs and other identifying information for publicity, promotional or other purposes. Grantees may release aggregate and other non-identifying information, and are required to release member information to the Corporation and its designated contractors. The grantee must permit a member who 13 submits a written request for access to review records that pertain to the member and were created pursuant to this grant. H. BUDGET AND PROGRAMMATIC CHANGES 1. Programmatic Changes. The grantee must first obtain the prior written approval of the AmeriCorps Program Office before making the following changes: a. Changes in the scope, objectives or goals of the program, whether or not they involve budgetary changes; b. Substantial changes in the level of participant supervision; c. Entering into additional sub-grants or contracts for AmeriCorps activities funded by the grant, but not identified or included in the approved application and grant budget. 2. Program Changes for Formula Programs. State Commissions are responsible for approving the above changes for state formula programs. 3. Budgetary Changes. The grantee must obtain the prior written approval of the Corporation's Office of Grants Management before amending the approved budget in any of the following ways: a. Specific Costs Requiring Prior Approval before Incurrence under OMB Circulars A- 21 (2 CFR part 220), A-87 (2 CFR part 225) or A-122 (2 CFR part 230). For certain cost items, the cost circulars require approval of the awarding agency for the cost to be allowable. Examples of these costs are overtime pay, rearrangement and alteration costs, and pre-award costs. b. Purchases of Equipment over $5,000 using grant funds, unless specified in the approved application and budget. c. Unless the Corporation share of the award is $100,000 or less, changes to cumulative and/or aggregate budget line items that amount to 10 per cent or more of the total budget must be approved in writing in advance by the Corporation. The total budget includes both the Corporation and grantee shares. Grantees may transfer funds among approved direct cost categories when the cumulative amount of such transfers does not exceed 10 percent of the total budget. 4. Approvals of Programmatic and Budget Changes. Programmatic changes also require final approval of the Corporation's Office of Grants Management after written recommendation for approval is received from the Program Office. The Grants Officers will execute written amendments, and grantees should not assume approvals have been granted unless documentation from the Grants Office has been received. I. REPORTING REQUIREMENTS 1. Grantee Progress Reports. Each grantee must submit an annual progress report due to the Corporation by the first Monday in December. The report is submitted through the appropriate electronic system. 14 2. Financial Reports. The grantee must submit semi-annual cumulative financial reports, summarizing expenditures during the reporting period. These reports will be submitted through the appropriate electronic system. Financial report deadlines are as follows: Due Date Reporting Period Covered April 30 Start of grant through March 31 October 31 April 1 -September 30 A grantee must set its own submission deadlines for its respective sub-grantees sufficient to enable the grantee to report on-time. National Professional Corps grantees submit one financial report per year. All grantees including EAPs must submit cash transaction reports on a quarterly basis to the Department of Health and Human Services Payment Management System per the Electronic Funds Transfer Agreement. 3. Financial Reports for EAPs. EAP grants are fixed amount awards, so the financial report is not required. 4. Requests for Extensions. Requests for extensions of reporting deadlines will be granted when 1) the report cannot be furnished in a timely manner for reasons legitimately beyond the control of the grantee and 2) the Corporation receives a request explaining the need for an extension before the due date of the report. Extensions of deadlines for financial reports may only be granted by the Office of Grants Management, and extensions of deadlines for Progress Reports may only be granted by the AmeriCorps Program Office. 5. Final Financial Reports. A grantee completing the final year of its grant must submit, in lieu of the last semi-annual financial report, a final financial report that is due within 90 days after the end of the grant. J. GRANT PERIOD AND INCREMENTAL FUNDING For the purpose of the grant, a project period is the complete length of time the grantee is proposed to be funded to complete approved activities under the grant. A project period may contain one or more budget periods. A budget period is a specific interval of time for which Federal funds are being provided to fund a grantee's approved activities and budget. Unless otherwise specified, the grant covers athree-year project period. In approving a multi- year project period, the Corporation generally makes an initial award for the first year of operation. Additional funding is contingent upon satisfactory performance and the availability of funds. The project period and the budget period are noted on the award document. V. GENERAL PROVISIONS 15 A. RESPONSIBILITIES UNDER GRANT ADMINISTRATION 1. Accountability of Grantee. The grantee has full responsibility for managing all aspects of the grant and grant-supported activities, subject to the oversight of the Corporation. The grantee is accountable to the Corporation for its operation of the AmeriCorps program and the use of Corporation grant funds. The grantee must expend grant funds in a judicious and reasonable manner, and it must record accurately the service activities and outcomes achieved under the grant. Although grantees are encouraged to seek the advice and opinion of the Corporation on special problems that may arise, such advice does not diminish the grantee's responsibility for making sound judgments and does not mean that the responsibility for operating decisions has shifted to the Corporation. 2. Notice to Corporation. The grantee will notify the appropriate Corporation Program or Grants Officer immediately of any developments or delays that have a significant impact on funded activities, any significant problems relating to the administrative or financial aspects of the grant, or any suspected misconduct or malfeasance related to the grant or grantee. The grantee will inform the Corporation official about the corrective action taken or contemplated by the grantee and any assistance needed to resolve the situation. B. FINANCIAL MANAGEMENT STANDARDS General. The grantee must maintain financial management systems that include standard accounting practices, sufficient internal controls, a clear audit trail, and written cost allocation procedures, as necessary. Financial management systems must be capable of distinguishing expenditures attributable to this grant from expenditures not attributable to this grant. The systems must be able to identify costs by programmatic year and by budget category and to differentiate between direct and indirect costs or administrative costs. For further details about the grantee's financial management responsibilities, refer to OMB Circular A-102 and its implementing regulations (45 CFR§2541) or A-110 (2 CFR part 215) and its implementing regulations (45 CFR§2543), as applicable. 2. Consistency of Treatment. To be allowable under an award, costs must be consistent with policies and procedures that apply uniformly to both federally financed and other activities of the organization. Furthermore, the costs must be accorded consistent treatment in both federally financed and other activities, as well as between activities, supported by different sources of federal funds. 3. Audits. Grantee organizations that expend $500,000 or more in a year in Federal awards shall have a single or program-specific audit conducted for that year in accordance with the Single Audit Act, as amended, 31 U.S.C. 7501, et seq., and OMB Circular A-133. If the grantee expends federal awards under only one federal program, it may elect to have a program specific audit, if it is otherwise eligible. A grantee that does not expend $500,000 in federal awards is exempt from the single audit requirements of OMB Circular A-133 for that year. However, it must continue to conduct financial management reviews of its sub-grantees, and records must be available for review and audit. 16 A recipient of a Federal grant (pass-through entity) is required in accordance with paragraph 400(d) of OMB Circular A-133, to do the following with regard to its subrecipients: (1) identify the Federal award and funding source; (2) advise sub- recipients of all requirements imposed on them; (3) monitor sub-recipient activities and compliance; (4) ensure sub-recipients have A-133 audits when required; (5) issue decisions and ensure follow-up on audit findings in a timely manner; (6) where necessary, adjust its own records and financial statements based on audits; and (7) require sub-recipients to permit access by the pass-through entity and auditors to records and financial statements, as necessary, for the pass-through entity to comply with A-133. 4. Consultant Services. Payments for consultant services under this grant will not exceed $540.00 per day (exclusive of any indirect expenses, travel, supplies and so on) unless procured consistent with 45 CFR 2543.44. C. THE OFFICE OF INSPECTOR GENERAL The Corporation's Office of Inspector General (OIG) conducts and supervises independent and objective audits, evaluations, and investigations of Corporation programs and operations. Based on the results of these audits, reviews, and investigations, the OIG recommends policies to promote economy and efficiency and to prevent and detect fraud, waste, and abuse in the Corporation's programs and operations. The OIG conducts and supervises audits of Corporation grantees, as well as legislatively mandated audits and reviews. The legislatively mandated audits include the annual financial statement audit, and fulfilling the requirements of the Government Information Security Reform Act and its successor, the Federal Information Security Management Act. A risk-based approach, along with input received from Corporation management, is used to select grantees and grants for audit. The OIG hires audit firms to conduct some of its audits. The OIG audit staff is available to discuss its audit function, and can be reached at (202) 606-9390. The OIG is available to offer assistance to AmeriCorps grantees that become aware of suspected criminal activity in connection with the AmeriCorps program. Grantees should immediately contact OIG when they first suspect that a criminal violation has occurred. The OIG investigative staff is available to provide guidance and ensure that the appropriate law enforcement agency is notified, if required. The OIG may be reached by email at hotline@cnsoig.gov or by telephone at (800) 452-8210. D. PROGRAM INCOME 1. General. Income, including. fees for service earned as a direct result of the grant-funded program activities during the award period, must be retained by the Grantee and used to finance the grant's non-Corporation share. 2. Excess Program Income. Program income earned in excess of the amount needed to finance the grantee share must follow the appropriate requirements of 45 CFR §2541.250, 17 2 CFR 225, 2 CFR 215, or 2 CFR 220 and be deducted from total claimed costs. Grantees that earn excess income must specify the amount of the excess in the comment box on the Financial Report. 3. Fees for Service. When using assistance under this Grant, the Grantee may not enter into a contract for or accept fees for service performed by members when: a. The service benefits afor-profit entity, b. The service falls within the other prohibited activities set forth in these Grant Provisions, or c. The service violates the non-displacement Provisions of the Act set forth in these Grant Provisions. E. SAFETY The grantee must institute safeguards as necessary and appropriate to ensure the safety of members. Members may not participate in projects that pose undue safety risks. F. NON-DISCRIMINATION PUBLIC NOTICE AND RECORDS COMPLIANCE 1. Public Notice of Nondiscrimination. The grantee must notify members, community beneficiaries, applicants, program staff, and the public, including those with impaired vision or hearing, that it operates its program or activity subject to the nondiscrimination requirements of the applicable statutes. The notice must summarize the requirements, note the availability of compliance information from the grantee and the Corporation, and briefly explain procedures for filing discrimination complaints with the Corporation. Sample language is: It is against the law for organizations that receive federal financial assistance from the Corporation for National and Community Service to discriminate on the basis of race, color, national origin, disability, sex, age, political affiliation, or, in most cases, religion. It is also unlawful to retaliate against any person who, or organization that, files a complaint about such discrimination. In addition to filing a complaint with local and state agencies that are responsible for resolving discrimination complaints, you may bring a complaint to the attention of the Corporation for National and Community Service. If you believe that you or others have been discriminated against, or if you want more information, contact: (Name, address, phone number -both voice and TTY, and preferably toll free -FAX number and e-mail address of the grantee) or Office of Civil Right and Inclusiveness Corporation for National and Community Service 1201 New York Avenue, NW Washington, D.C. 20525 (202) 606-7503 (voice); (202) 565-2799 (TTY) (202) 565-3465 (FAX); eo@cns.gov (e-mail) 18 The grantee must include information on civil rights requirements, complaint procedures and the rights of beneficiaries in member contracts, handbooks, manuals, pamphlets, and post in prominent locations, as appropriate. The grantee must also notify the public in recruitment material and application forms that it operates its program or activity subject to the nondiscrimination requirements. Sample language, in bold print, is "This program is available to all, without regard to race, color, national origin, disability, age, sex, political affiliation, or, in most instances, religion." Where a significant portion of the population eligible to be served needs services or information in a language other than English, the grantee shall take reasonable steps to provide written material of the type ordinarily available to the public in appropriate languages. 2. Records and Compliance Information. The grantee must keep records and make available to the Corporation timely, complete and accurate compliance information to allow the Corporation to determine if the grantee is complying with the civil rights statutes and implementing regulations. Where a grantee extends federal financial assistance to sub-grantees, the sub-grantees must make available compliance information to the grantee so it can carry out its civil rights obligations. Obligation to Cooperate. The grantee must cooperate with the Corporation so that the Corporation can ensure compliance with the civil rights statutes and implementing regulations. The grantee shall permit access by the Corporation during normal business hours to its books, records, accounts, staff, members, facilities, and other sources of information as may be needed to determine compliance. G. GRANT PRODUCTS 1. Sharing Grant Products. To the extent practical, the grantee agrees to make products produced under the grant available at the cost of reproduction to others in the field. 2. Acknowledgment of Support. Publications created by members or grant-funded staff must be consistent with the purposes of the grant. The AmeriCorps logo may be included on such documents. The grantee is responsible for assuring that the following acknowledgment and disclaimer appears in any external report or publication of material based upon work supported by this grant. "This material is based upon work supported by the Corporation for National and Community Service under AmeriCorps Grant No. .Opinions or points of view expressed in this document are those of the authors and do not necessarily reflect the official position of, or a position that is endorsed by, the Corporation or the AmeriCorps program." H. SUSPENSION OR TERMINATION OF GRANT Regulations related to the Corporation's authority to suspend or terminate this grant are contained in 45 CFR§2540.400. In addition, a Grantee may suspend or terminate assistance to 19 one of its sub-grantees, provided that such action affords the sub-grantee, at a minimum, the notice and heazing rights described in 45 CFR§2540.400. I. FIXED AMOUNT AWARD (Education Award Programs Only) EAP awards are for fixed amounts. The fixed federal assistance amount of the grant is based on the approved and awarded number of full time equivalent members (MSYs) specified in the award. The final award amount that the grantee may retain is dependent upon the grantee's notifying the Corporation's National Service Trust of the members that it has selected (subject to the number of members allotted to the grantee as specified in the award). All such members must carry out activities to achieve the specific project objectives as approved by the Corporation. At closeout, the Corporation will calculate the final amount of the grant based on Trust documentation. The Corporation will recover any amounts drawn down by the grantee in excess of the final grant amount allowed based on member selection documentation in the Trust. J. TRAFFICKING IN PERSONS This grant is subject to requirements of Section 106(g) of the Trafficking Victims Protection Act of 2000, as amended (22 U.S.C. 7104). a. Provisions applicable to a recipient that is a private entity. 1. You as the grantee, your employees, subgrantees under this grant, and subgrantee's employees may not: i. Engage in severe forms of trafficking in persons during the period of time that the grant is in effect; ii. Procure a commercial sex act during the period of time that the grant is in effect; or iii. Use forced labor in the performance of the grant or subgrants under the grant. 2. We as the Federal awarding agency may unilaterally terminate this grant, without penalty, if you or a subgrantee that is a private entity - i. Is determined to have violated a prohibition in paragraph a. l of this grant term; or ii. Has an employee who is determined by the agency official authorized to terminate the grant to have violated a prohibition in paragraph a. l of this grant term through conduct that is either: A. Associated with performance under this grant; or B. Imputed to you or the subgrantee 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 Government-wide Debarment and Suspension (Non-procurement)," as implemented by our agency at 2 CFR part 2200. 20 b. Provisions applicable to a grantee other than a private entity. We as the Federal awarding agency may unilaterally terminate this grant, without penalty, if a subgrantee that is a private entity - 1. Is determined to have violated an applicable prohibition of paragraph a. l of this grant term; or 2. Has an employee who is determined by the agency official authorized to terminate the grant to have violated an applicable prohibition in paragraph a.l of this grant term through conduct that is - i. Associated with performance under this grant; or ii. Imputed to the subgrantee using the standards and due process for imputing 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 part 2200. c. Provisions applicable to any grantee. 1. You must inform us immediately of any information you receive from any source alleging a violation of a prohibition in paragraph a. l of this grant term. 2. Our right to terminate unilaterally that is described in paragraph a.2 or b of this section: i. Implements section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as amended (22 U.S.C. 7104(g}), and ii. Is in addition to all other remedies for noncompliance that are available to us under this grant. 3. You must include the requirements of paragraph a.l of this grant term in any subgrant you make to a private entity. d. Definitions. For purposes of this grant term: 1. "Employee" means either: i. An individual employed by you or a subgrantee who is engaged in the performance of the project or program under this grant; or ii. Another person engaged in the performance of the project or program under this grant and not compensated by you including, but not limited to, a volunteer or individual whose service are contributed by a third part as an in-kind contribution toward cost sharing or matching requirements. 2. "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. 3. "Private entity": i. 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. ii. 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. Afor-profit organization. 21 4. "Severe forms of trafficking in persons," "commercial sex act," and "coercion" have the meanings given at section 103 of the TVPA, as amended (22 U.S.C. 7102). 22 NATIQNAL~ COMMUNITY SERVICE Grant Program Civil Rights and Non-Harassment Policy The Corporation for National and Community Service (CNCS) has zero tolerance for the harassment of any individual or group of individuals for any reason. CNCS is committed to treating all persons with dignity and respect. CNCS prohibits all forms of discrimination based upon race, color, national origin, gender, sexual orientation, religion, age. disability, political affiliation, marital or parental status, or military service. All programs administered by, or receiving Federal financial assistance frvm CNCS, must be free from all forms of harassment. Whether in CNCS offices or campuses, in other service-related settings such as training sessions or service sites, or at service-related social events, such harassment is unacceptable. Any such harassment, if found, will result in immediate corrective action, up to and including removal or termination of any CNCS employee or volunteer. Recipients of Federal financial assistance, be they individuals, organisations, programs and/or projecu arc also subject to this zero tolerance policy. Where a violation is found, and subject to regulatory procedures, appropriate corrective action will be taken, up to and including termination of Federal financial assistance from all Federal sources. Slurs and other verbal or physical conduct relating to an individual's gender, race, ethnicity, religion, sexual orientation or any other basis constitute harassment when it has the purpose or effect of interfering with service performance or creating an intimidating, hostile, or offensive service environment. Harassment includes, but is not limited to: explicit or implicit demands for sexual favors; pressure for dates; deliberate touching, leaning over, or cornering; offensive teasing, jokes, remarks, or questions; lencrs, phone calls, or distribution or display of offensive materials; offensive looks or gestures; gender, racial, ethnic, or religious baiting; physical assaults or other Ehreatenin~ behavior; or demeaning, debasing or abusive comments or actions that intimidate. CNCS does not tolerate harassment from anyone including persons of the same or different races, sexes, religions, or ethnic origins; or from a CNCS employee or supervisor; a project, or site employee or supervisor; anon-employee (e.g., client); a co-worker or service member. 1 expect supervisors and managers of CNCS programs and projects, when made aware of alleged harassment by employees, service participants, or other individuals, to immediately take swift and appropriate. CNCS will not tolerate retaliation against a person who raises harassment concerns in good faith. Any CNCS employee who violates this policy will be subject to discipline, up to and including termination, and any grantee that permits harassment in violation of this policy will be subject to a finding of noncompliance and administrative procedures that may result in termination of federal financial assistance from CNCS and all other federal agencies. Any person who believes that he or she has been discriminated against in violation of civil rights laws, rc~ulations, or this policy, or in netaliation fur opposition to discrimination or participation in discrintinarion complaint proceedings (e.g., as a complainant or witness) itt any CNCS program or project, may raise his or her concerns with our Office of Civil Rights and Inclusiveness (OCRI). Discrimination claims not brought to the attention of OCRI within 45 days of their occurrence may trot be accepted in a formal complaint of discrimination. No one can be required to use a program, project or sponsor dispute resolution procedure before contacting OCRI, and if another procedure is used, it does not affect the 45-day time limit. OCRI may be reached at (202) 606-703 (voice), {203) 606-3472 (TTY), eoc.cns.LOV, or through www.nationalservice.gnv. r lo~sln_oo7 Date David Eisner, Chief Executive Officer 1201 Ncw York Avenue N.W. * Washington, DC 20525 _ S A j, 202-606-5000 * www.nationalservice.org Fnxd~om Capx Senior Corps * ArneriCorps ,t Learn and Serve America The Presidcntb Cait to Stmicc 23 Exhibit F American Recovery and Reinvestment Act AmeriCorps Grant Provisions American Recovery and Reinvestment Act (ARRA) AmeriCorps Grant Provisions Effective April 1, 2009 These American Recovery and Reinvestment Act Provisions are binding on the grantee. By accepting funds under this grant, the grantee agrees to comply with, and include in all subgrants, the American Recovery and Reinvestment Act Provisions, the AmeriCorps Provisions, all applicable federal statutes, regulations and guidelines, and any amendments thereto. The grantee agrees to operate the funded program in accordance with the approved grant application and budget, supporting documents, and other representations made in support of the approved grant application. For the purposes of these Provisions, "AmeriCorps" refers to AmeriCorps State and National grantees only. The term grantee is used to connote either grantee or subgrantee, as appropriate, throughout these Provisions. TABLE OF CONTENTS I. II Legislative and Regulatory Authority ...............................................................................1 Other Applicable Statutory and Administrative Provisions ..............................................2 A. States, Indian Tribes, U.S. Territories, and Local Governments.......... B. Nonprofit Organizations ....................................................................... C. Educational Institutions ........................................................................ D. Other Applicable Statutes and Regulations .......................................... E. Order of Precedence .............................................................................. Special Provisions .......................................................................................... A. Reporting Requirements ....................................................................... B. Grant Period and Incremental Funding ................................................. General Provisions ......................................................................................... A Buy American ....................................................................................... B. Wage Rate Requirements ...................................................................... C. Whistleblower Protection ...................................................................... D. DUNS/CCR ........................................................................................... E. Schedule of Expenditures of Federal Awards ....................................... F. Informing Subgrantees .......................................................................... G. Further Guidance and Provisions .......................................................... .2 III IV LEGISLATIVE AND REGULATORY AUTHORITY ...................2 ...................2 ...................3 ...................3 ...................3 ...................3 ...................4 ...................4 ...................4 ...................4 ...................4 ...................5 ...................5 ...................5 ...................5 This grant is authorized by and subject to the American Recovery and Reinvestment Act of 2009 ("ARRA"), Public Law 111-005, and the National and Community Service Act of 1990 ("NCSA"), as amended. Grantees must comply with the requirements of the ARRA, the NCSA, their implementing regulations, and other guidance. 1 II. OTHER APPLICABLE STATUTORY AND ADMINISTRATIVE PROVISIONS The following applicable federal cost principles, administrative requirements, and audit requirements are incorporated by reference. II. A. STATES, INDIAN TRIBES, U.S. TERRITORIES, AND LOCAL GOVERNMENTS The following circulars and their implementing regulations apply to states, Indian tribes, U.S. territories, and local governments: 1. OMB Circular A-102, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments - 45 CFR Part 2541. 2. OMB Circular A-87, Cost Principles for State and Local Governments - 2 CFR Part 225. 3. OMB Circular A-133, Audits of States, Local Governments and Non-Profit Organizations. II. B. NONPROFIT ORGANIZATIONS The following circulars and their implementing regulations apply to nonprofit organizations: 1. OMB Circular A-110, Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals and Other Nonprofit Organizations - 45 CFR Part 2543 or 2 CFR Part 215. 2. OMB Circular A-122, Cost Principles for Nonprofit Organizations - 2 CFR Part 230. 3. OMB Circular A-133, Audits of States, Local Governments and Non-Profit Organizations. II. C. EDUCATIONAL INSTITUTIONS The following circulars and their implementing regulations apply to educational institutions: 1. OMB Circular A-110, Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals and Other Nonprofit Organizations - 45 CFR Part 2543 or 2 CFR Part 215. 2. OMB Circular A-21, Cost Principles for Educational Institutions - 2 CFR Part 220. 2 OMB Circular A-133, Audits of States, Local Governments and Non-Profit Organizations. These documents can be found here: http://www.access.~po.~ov/nara/cfr/waisidx 07/2cfrvl 07.htm1#215 and here: http://ecfr. gpoaccess. gov/cgi/t/textltext- idx?sid=1289932cf6539210eb14f3d8d3052a8b&c=ecfr&tp1=/ecfrbrowse/Tit1e02/2cfrvl 02 tpl# 200 II. D. OTHER APPLICABLE STATUTES AND REGULATIONS The grantee must comply with all other applicable statutes, executive orders, regulations, and policies governing the grant, including, but not limited to, those cited in these Grant Provisions, the AmeriCorps Provisions, the Grant Assurances and Certifications, and those cited in 45 CFR Parts 2541 and 2543. II. E. ORDER OF PRECEDENCE Any inconsistency in the Grant Award shall be resolved by giving precedence in the following order (a) Applicable Federal Statutes, (b) Corporation and other Federal regulations, (c) Special Provisions, (d) General Provisions, (e) Notice of Funding Opportunity, and (f) the approved Grant Application including all assurances, certifications, attachments, and pre-award negotiations. III. SPECIAL PROVISIONS III. A. REPORTING REQUIREMENTS Grantees must comply with all requirements specified in Division A of the ARRA, including reporting requirements outlined in Section 1512 and any implementing guidance issued by the Office of Management and Budget. For purposes of reporting, grantees must report on subgrantee activities as specified below. Grantee Progress Reports. Each grantee must submit a progress report due to the Corporation no later than 10 days after the end of each calendar quarter. The report is submitted through the appropriate electronic system. 2. Financial Reports. Each grantee must submit a financial report due to the Corporation no later than 10 days after the end of each calendar quarter. The report is submitted through the appropriate electronic system. 3 Grantees must set their own submission deadlines for their respective subgrantees sufficient to enable the grantee to report on-time. All grantees must submit cash transaction reports on a quarterly basis to the Department of Health and Human Services Payment Management System per the Electronic Funds Transfer Agreement. 3. Progress and Financial Report Deadlines. Quarterly progress and financial report deadlines are as follows: Beginning Apri12009 until the grant closeout: Due Date Reporting Period Covered July 10 April 1 -June 30 October 10 July 1 -September 30 January 10 October 1 -December 31 April 10 January 1 -March 31 4. Progress and Financial Reporting Requirements. Reporting requirements are subject to change based on additional ARRA guidance from OMB. 5. Progress and Financial Reports for EAPs. EAP grants are subject to the same progress and financial reporting requirements for the purpose of the ARRA grants. 6. Final Progress and Financial Reports. A grantee cgmpleting the final year of its grant must submit a final progress and financial report that is due 10 days following the close of the calendar year quarter. A grantee will have 90 days to close out the grant. III. B. GRANT PERIOD AND INCREMENTAL FUNDING For the purpose of the grant, a project period is the complete length of time the grantee is proposed to be funded to complete approved activities under the grant. A project period may contain one or more budget periods. A budget period is a specific interval of time for which Federal funds are being provided to fund a grantee's approved activities and budget. Unless otherwise specified, the grant covers aone-year project period. The project period and the budget period are noted on the award document. IV. GENERAL PROVISIONS IV. A. BUY AMERICAN 4 Use of American Iron, Steel, and Manufactured Goods. Grantees may not use any funds obligated under this grant for the construction, alteration, maintenance, or repair of a public building or public work unless all of the iron, steel, and manufactured goods used in the project are produced in the United States.(ARRA Sec. 1605) IV. B. WAGE RATE REQUIREMENTS Subject to further clarification issued by the Office of Management and Budget, Section 1606 of ARRA provides that all laborers and mechanics employed by contractors and subcontractors on projects funded by this grant shall be paid wages at rates not less than those prevailing on projects of a character similar in the locality as determined by the Secretary of Labor in accordance with subchapter IV of chapter 31 of title 40, United States Code. With respect to the labor standards specified in this section, the Secretary of Labor shall have the authority and functions set forth in Reorganization Plan Numbered 14 of 1950 (64 Stat. 1267; 5 U.S.C. App.) and section 3145 of title 40, United States Code. (ARRA Sec. 1606) IV. C. WHISTLEBLOWER PROTECTION Each grantee or subgrantee shall promptly refer to the Corporation's Office of Inspector General (OIG) any credible evidence that a principal, employee, agent, contractor, subrecipient, subcontractor, or other person has submitted a false claim under the False Claims Act or has committed a criminal or civil violation of laws pertaining to fraud, conflict of interest, bribery, gratuity, or similar misconduct involving those funds. (ARRA Sec. 1553). The OIG may be reached by email at hotline@cnsoig.gov or by telephone at (800) 452-8210. IV. D. DUNS/CCR All grantees and subgrantees are required to obtain a Dun and Bradstreet Data Universal Numbering System (DUNS) number if they do not already have one, and register with the Central Contractor Registration (CCR). IV. E. SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS Grantees are required to separately identify the expenditures for each grant award funded under ARRA on the Schedule of Expenditures of Federal Awards (SEFA) and the Data Collection Form (SF-SAC) required by Office of Management and Budget Circular A-133, "Audits of States, Local Governments, and Non-Profit Organizations." This identification on the SEFA and SF-SAC shall include the Federal award number, the Catalog of Federal Domestic Assistance (CFDA) number, and the amount such that separate accountability and disclosure is provided for ARRA funds by Federal award number consistent with the recipient reports required by ARRA Section 1512(c). 5 IV. F. INFORMING SUBGRANTEES Grantees agree to separately identify to each subgrantee, and document at the time of sub-award and at the time of disbursement of funds, the Federal award number, CFDA number, and amount of ARRA funds. For the purpose of these funds, national direct grantees are considered the grantee, not the subgrantee. IV. G. FURTHER GUIDANCE AND PROVISIONS The Corporation may from time to time issue further guidance, clarifications, or modified provisions in order to implement the requirements of ARRA and/or instructions issued by the Office of Management and Budget. Grantees agree that any such supplementary guidance, clarifications, or provisions, shall become terms and conditions of this award. 6