EDA Contract_10th and Central Parking RampMasterpiece on the Mississippi
TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
Dubuque
AN- AmeicaCity
11111,
2007
SUBJECT: 10th & Central Parking Ramp (U.S. Department of Commerce Economic
Development Administration - EDA) (CIP #730 -2179)
DATE: April 28, 2010
Economic Development Director Dave Heiar recommends City Council approval of a
resolution authorizing the Mayor to execute a contract with the Economic Development
Administration (EDA) for a $1,500,000 grant to fund a downtown parking ramp. There is
a provision in the contract that the EDA will place a primary lien on the parking ramp for
the useful life of the ramp, which they have determined is 20 years. City Attorney Barry
Lindahl has reviewed this provision and states this lien should not impact the City's
ability to utilize the parking ramp as intended.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
M chael C. Van Milligen
MCVM:jh
Attachment
cc: Barry Lindahl, City Attorney
Cindy Steinhauser, Assistant City Manager
David J. Heiar, Economic Development Director
Masterpiece on the Mississippi
TO: Michael C. Van Milligen, City Manager
FROM: David J. Heiar, Economic Development Director
DATE: April 28, 2010
SUBJECT: 10 & Central Parking Ramp (U.S. Department of Commerce Economic
Development Administration — EDA) (CIP # 730 -2179)
ACTION STEP
The action step for the City Council is to approve the attached application.
Attachments
F: \USERS\Econ Dev \IBM\EDA Parking Ramp Application\20100426 10th & Central Pking Ramp EDA - Council Memo.doc
Dubuque
kettri
AM- Amedcacily
111111
2007
INTRODUCTION
The enclosed resolution authorizes a contract with the EDA for the 10 & Central Parking Ramp
Project.
BACKGROUND
An application for partial funding for the construction of a 477 space parking ramp to
accommodate job growth in the downtown area was submitted to the U.S. Department of
Commerce, Economic Development Administration. City staff has been in discussions and
negotiations for EDA assistance for nearly 18 months. Over that timeframe, the location and
size of the proposed parking ramp has been modified. The original application requested $7
million from the EDA. Due to changes in how the Denver EDA allocates public works funding
within our region, the EDA could only commit to a $1.5 million grant. The City of Dubuque also
sold general obligation bonds in the amount of $9.5 million to fully fund the cost of the project.
DISCUSSION
The EDA contract (Project No. 05 -01- 04941) was recently received by the City of Dubuque.
The contract has the standard federal requirements such as Davis Bacon, Buy America (see
attached contract). There is one provision however, that should be called to your attention. The
EDA will place a primary lien on the parking ramp for the useful life of the ramp which they have
determined is twenty (20) years.
I have discussed this provision with the City Attorney, and this lien should not impact the City's
ability to utilize the parking ramp as intended.
RECOMMENDATION
I recommend that the City Council approve the attached resolution to authorize the Mayor to
sign a contract with the EDA for a $1,500,000 grant to fund a downtown parking ramp.
This project is consistent with the City's goals to facilitate job growth in the community, and
increase the number of good paying jobs and further diversify our economic base.
RESOLUTION NO. 142-10
RESOLUTION AUTHORIZING CONTRACT WITH U.S. DEPARTMENT OF
COMMERCE ECONOMIC DEVELOPMENT ADMINISTRATION — EDA FOR
THE 10 & CENTRAL PARKING RAMP PROJECT
Whereas, the City Council has previously approved the site and design firm for
the construction of a 477 space parking ramp to accommodate job growth in the
downtown area; and
Whereas, the downtown parking ramp project is consistent with the City's goals
to increase the number of good paying jobs and further diversify our economic base;
and
Whereas, the City has received an EDA grant in the amount of $1,500,000 from
the Economic Development Administration to assist in funding a downtown parking
ramp.
NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY
OF DUBUQUE, IOWA:
Section 1. The attached Financial Assistance Award is hereby approved.
Section 2. The Mayor is hereby allowed to sign the award on behalf of the City.
Passed, approved and adopted this 3 rd day of May, 2010.
Attest:
eanne F. Schneider, City Clerk
F: \USERS \Econ Dev \IBM \EDA Parking Ramp Application\20100428 Resolution Authorizing EDA contract Pkg Ramp.doc
Roy D. Buol, Mayor
U.S. DEPARTMENT OF COMMERCE
Economic Development Administration
DENVER REGIONAL OFFICE
41017'" Street, Suitt 250
Denver, Colorado 80202 -4454
(303) 844 -6455 FAX (303) 844 -3988, -8012
MKathrynMspach(jtda.doc.gov
April 9, 2010 In Reply Refer to:
Project No. 05 -01 -04941
Mr. Roy D. Buol, Mayor
City of Dubuque
15 West 13 Street
Dubuque, Iowa 52001 -4805
Dear Mayor Buol:
We are pleased to inform the City of Dubuque that the Economic Development
Administration (EDA) has approved a Financial Assistance Award, in an amount not
to exceed $1.5 million, in response to your application for federal assistance to
construct a new parking facility in downtown Dubuque. The total project cost of
$10.7 million is based upon the line item estimates contained in Attachment No. I.
EDA's mission is to lead the federal economic development agenda by promoting
innovation and competitiveness, preparing American regions for growth and success
in the worldwide economy. EDA implements its mission by making strategic
investments that encourage private sector collaboration and the creation of higher -
skill, higher -wage jobs in the nation's most economically distressed communities.
Enclosed are three signed copies of the Financial Assistance Award. Your agreement
to the terms and conditions of the award should be indicated by the signatures of the
principal officials on all of the signed copies of the Financial Assistance Award. Two
of the executed copies should be returned to:
Mary Kathryn Alspach, Senior Program Officer
Economic Development Administration
410 17 Street, Suite 250
Denver, Colorado 80202 -4454
Roy D. Buol, Mayor
City of Dubuque
April 9, 2010
Page 2
You are cautioned not to make any commitments in reliance on this award, nor to
enter into negotiations relative hereto, until you have carefully reviewed the terms and
conditions and have determined that you are in compliance or that you can comply
therewith. Any commitments or undertakings entered into prior to obtaining the
approval of the Government in accordance with its regulations and requirements will
be at your own risk.
Sincerely,
,2 .acia(
o
bert E. Olson, Director
Denver Region
Enclosures
FORM CD -450 U.S. DEPARTMENT OF COMMERCE
(REV. 10 - 03)
DAO 203 -26
FINANCIAL ASSISTANCE AWARD
F, GRANT ❑ COOPERATIVE AGREEMENT
AWARD 04/09/2010 to 10/09/2013
RECIPIENT NAME
City of Dubuque
AWARD NUMBER
05 -01 -04941
STREET ADDRESS
50 West 13th Street
FEDERAL SHARE OF COST
$ 1,500,000.00
CITY, STATE, ZIP CODE
Dubuque, Iowa 52001 -4805
RECIPIENT SHARE OF COST
$ 9,200,000.00
AUTHORITY
Public Works and Economic Development Act of 1965, as amended =
TOTAL ESTIMATED COST
$ 10,700,000.00
CFDA NO. AND PROJECT TITLE
11.300 /Public Works and Development Facilities: Construction of a Parking Facility in Downtown Dubuque
BUREAU
20
FUND
40
FCFY
10
PROJECT -TASK
00
ORGANIZATION
05
OBJECT CLASS
41 10 16 00
This
funding.
below
the
without
this
❑
!
I4
❑
n
❑
�I4
❑
❑
4
FA
Award approved by the Grants Officer is issued in triplicate and constitutes an obligation of Federal
By signing the three documents, the Recipient agrees to comply with the Award provisions checked
and attached. Upon acceptance by the Recipient, two signed Award documents shall be returned to
Grants Officer and the third document shall be retained by the Recipient. If not signed and returned
modification by the Recipient within 30 days of receipt, the Grants Officer may unilaterally terminate
Award.
Department of Commerce Financial Assistance Standard Terms and Conditions
Special Award Conditions
Line Item Budget
15 CFR Part 14, Uniform Administrative Requirements for Grants and Agreements with Insitutions of Higher
Education, Hospitals, Other Nonprofit, and Commercial Organizations
15 CFR Part 24, Uniform Administrative Requirements for Grants and Agreements to State and Local
Governments
OMB Circular A -21, Cost Principles for Educational Institutions
OMB Circular A -87, Cost Principles for State, Local, and Indian Tribal Governments
OMB Circular A -122, Cost Principles for Nonprofit Organizations
48 CFR Part 31, Contract Cost Principles and Procedures
OMB Circular A -133, Audits of States, Local Governments, and Nonprofit Organizations
Other(s): Economic Development Administration Standard Terms and Conditions for Construction Projects
SIGNATURE OF EPARTMENT OF COMMERCE GRANTS OFFICER
A
Robert . Ikon J J ' f/Z.
TITLE
Director, Denver Regional Office
DATE
April 9, 2010
TYPED NAME AND SIGNATUR - • F AUTHORIZED R IPIENT OF ICIAL
Roy D. Buol
'fr-, / /�
TITLE
Mayor
DATE
, /3 /' n
ADMINISTRATIONIIPSG ELECTRONICif1ORM
EXHIBIT "A"
U.S. DEPARTMENT OF COMMERCE
Economic Development Administration
PUBLIC WORKS AND DEVELOPMENT FACILITIES
Page 1 of 5
RECIPIENTS: City of Dubuque Project No. 05 -01 -04941
Dubuque County, Iowa
SPECIAL AWARD CONDITIONS
PROJECT DESCRIPTION: The project will construct a parking facility in downtown Dubuque.
1. PROJECT DEVELOPMENT TIME SCHEDULE: The Recipient agrees to the following
project development time schedule, after approval of the Financial Assistance Award:
Commencement of Construction 18 months
Completion of Construction 24 months
Project Closeout - All Project closeout documents including final financial information and any
required program reports shall be submitted to the Government not more than 90 days after the
date the Recipient accepts the completed Project from the contractor(s).
The Recipient shall diligently pursue the development of the Project so as to ensure completion
and submission of closeout documents within the required time schedule. Moreover, the
Recipient shall notify the Government in writing of any event which could substantially delay
the achievement of the Project within the prescribed time limits The Recipient further
acknowledges that failure to meet the development time schedule may result in the
Government's taking action to terminate the Award in accordance with the regulations set forth
at 15 CFR 24.43 (53 Fed. Reg. 8048 -9, 8102, March 11, 1988).
2. GOALS FOR WOMEN AND MINORITIES IN CONSTRUCTION: Department of Labor
regulations, set forth in 41 CFR 60 -4, establish goals and timetables for participation of
minorities and women in the construction industry. These regulations apply to all federally
assisted construction contracts in excess of $10,000. The Recipient shall comply with these
regulations and shall obtain compliance with 41 CFR 60 -4 from contractors and subcontractors
employed in the completion of the Project by including such notices, clauses and provisions in
the Solicitations for Offers or Bids as required by 41 CFR 60 -4.
The goal for the participation of women in each trade area shall be as follows:
from April 1, 1981, until further notice: 6.9 percent
Exhibit "A"
SPECIAL CONDITIONS
Page 2 of 5
Project No. 05 -01 -04941
All changes to this goal, as published in the Federal Register in accordance with the Office of
Federal Contract Compliance Programs regulations at 41 CFR 60 -4.6, or any successor
regulations, shall hereafter be incorporated by reference into these Special Award Conditions.
Goals for minority participation shall be prescribed by Appendix B -80, Federal Register,
Volume 45, No.194, October 3, 1980, or subsequent publications. The Recipient shall include
the "Standard Federal Equal Employment Opportunity Construction Contract Specifications" (or
cause them to be included, if appropriate) in all Federally assisted contracts and subcontracts.
The goals and timetables for minority and female participation may not be less than those
published pursuant to 41 CFR 60 -4.6.
3. DISCLOSURE OF FEDERAL PARTICIPATION: No amount of this award shall be used to
finance the acquisition of goods or services (including construction services) for the project
unless the Recipient (s) agrees to:
a. specify in any announcement of the awarding of the contract for the procurement of the
goods or services involved (including construction services), the amount of Federal funds
that will be used to finance the acquisition; and
b. express the amount announced pursuant to paragraph (a) as a percentage of the total cost
of the planned acquisition.
The foregoing requirements shall not apply to a procurement for goods or services (including
construction services) that has an aggregate value of less than $500,000.
4. RECIPIENT AFFIRMATION OF AWARD: This Financial Assistance Award, subject to the
other Special Conditions and the Standard Terms and Conditions, shall constitute an obligation
to make such Award. If the Recipient (s) fails to affirm its intention to use the Award in
accordance with the terms and conditions of this Financial Assistance Award, it will be
terminated without further cause. By signing and returning the original Award documents,
within thirty (30) days of receipt, the Recipient (s) affirms that it intends to use the Award in
accordance with the terms and conditions as above - referenced.
5. START OF PROJECT: If significant development of plans and specifications (as determined
by EDA) has not begun within two years of project approval, or by the date estimated
in the grant application (or the expiration of any extension granted, in writing, by EDA),
whichever is later, the EDA grant will be automatically suspended and may be terminated if
EDA determines that completion cannot be expected to proceed promptly and expeditiously.
Exhibit "A"
SPECIAL CONDITIONS
Page 3 of 5
Project No. 05 -01 -04941
6. LOCAL SHARE: In affirming this Award, the Recipient (s) certifies that the non - federal share
of project costs is committed and is available as needed for the project, that the non - federal share
is from sources which can be used as match for the EDA project, and that the non - federal share
will not affect ownership of, or title to, the project facilities. The Recipient (s) further
acknowledges that, prior to award of any construction contracts, it will be required to provide
evidence satisfactory to the Government that all funds necessary to complete the project are
available.
7. TITLE: Prior to the disbursement of funds, the Recipient (s) shall provide evidence, satisfactory
to EDA, that the Recipient (s) has acquired good and merchantable title, free of all mortgages or
other foreclosable liens, to all land, easements and rights -of -way, necessary for the completion
of the project.
8. NONRELOCATION: In signing this Award of financial assistance, the Recipient (s) attests
that EDA funding is not intended by the Recipient to assist its efforts to induce the relocation of
existing jobs that are located outside of its jurisdiction, to within its jurisdiction, in competition
with other jurisdictions for those same jobs. In the event that EDA determines that its assistance
was used for those purposes, EDA retains the right to pursue appropriate enforcement action in
accord with the Standard Terms and Conditions of the Award, including suspension of
disbursements and termination of the Award for convenience or cause.
9. ARCHITECT/ENGINEER AGREEMENT: Prior to the disbursement of funds by EDA, the
Recipient must submit to the Government for approval, an Architect/Engineer Agreement
which meets the requirements of Section IV of the EDA publication, Summary of EDA
Construction Standards, as well as the competitive procurement standards of 15 CFR Part 24, or
15 CFR Part 14, as applicable. The fee for basic Architect/Engineer services will be a lump sum
or an agreed -to maximum, and no part of the fees for other services will be based on a cost -plus-
a- percentage -of -cost or a cost using a multiplier.
10. HISTORICAL & ARCHEOLOGICAL RESOURCES: If, during construction of the
project, historical and archeological resources, including burial grounds and artifacts, are
discovered, the Recipient shall immediately stop construction in the area, contact the State
Historic Preservation Officer (SHPO) and EDA, and follow the SHPO's instructions for
preservation of the resources.
Exhibit "A"
SPECIAL CONDITIONS
Page 4 of 5
Project No. 05 -01 -04941
11. FIRST PRIORITY LIEN: The Recipient expressly agrees to grant to the Government (EDA),
prior to final Award disbursement, a first priority lien against, or security interest in, the property
acquired or improved, in whole or in part, with the funds made available through this Award.
This lien or security interest must be perfected in accordance with local law.
The Recipient further agrees that, in the event that it alienates in any manner, any interest in the
real property acquired or improved with EDA Award funds, the Government shall be entitled to
recover damages. EDA's regulation at 13 CFR; Part 314 provides that, upon disposition of
property acquired or improved with EDA Award funds, the Government shall be entitled to a
recovery based upon the ratio of the percentage of the Government's participation in the total
cost of the Project to the fair market value of the property at the time of disposition. For
purposes of the lien, the amount of the Government's damages shall be the full amount of the
EDA Award, plus interest from the date of the disposition.
The lien must remain in effect through the useful life of the Project, which the Government
has determined to be twenty (20) years, as defined in 13 CFR; Part 314. Alienation shall
include, but not be limited to, sale, lease, rent, option, or mortgage, with the exception of
those leases or rental agreements which the Government approves, in writing, for tenant
space in the project facilities.
12. PERFORMANCE MEASURES: The Recipient agrees to report on core program performance
measures and project outcomes in such form and at such intervals as may be prescribed by EDA,
in compliance with the Government Performance and Results Act of 1993. Performance
measures and reporting requirements that presently apply to program activities funded by this
investment will be provided in a separate GPRA information collection document. EDA will
advise the Recipient, in writing, within a reasonable period, prior to the time of submission of
the reports, and in the event that there are any modifications in the performance measures.
13. INDIVIDUAL BACKGROUND SCREENING: Notwithstanding the requirements pertaining
to Individual Background Screenings set forth in Section F of the Department of Commerce
(DOC) Standard Terms and Conditions (March 2008), Individual Background Screenings will
be conducted in accordance with the updated guidance contained in Chapter 21 (February 2010)
of the DOC Grants and Cooperative Agreements Interim Manual. The guidance can be viewed
on - line at http://oamweb.osec.doe.gov/does/RevisedChapter21020210.pdf.
Exhibit "A"
SPECIAL CONDITIONS
Page 5 of 5
Project No. 05 -01 -04941
14. REAFFIRMATION OF APPLICATION: Recipient acknowledges that Recipient's
application for this Award might have been submitted to the Government and signed by
Recipient electronically. Regardless of the means by which Recipient submitted its
application to the Government, Recipient(s) hereby reaffirms and states that a.) all data in said
application and documents submitted with the application are true and correct as of the date of
the Award and were true and correct as of the date of said application, b) said application was as
of the date of this Award and as of the date of said application duly authorized by the governing
body of the Recipient and c.) Recipient will comply with the Assurances and Certifications
that were submitted with or attached to said application.
15. LICENSE AGREEMENT: Prior to the execution of any license, lease, or operation and
maintenance agreement (collectively, "Agreement ") with respect to the parking structure, or the
final disbursement of funds, whichever occurs first, the Recipient shall provide EDA with a draft
of the Agreement for EDA's approval. The initial term of the Agreement shall be for seven (7)
years, with an option by the Recipient to renew, subject to review by EDA, for additional seven
(7) year periods during the useful life of the project (20 years). A reasonable number of parking
spaces, as approved by EDA, shall be retained by the Recipient for use by the public. The rent
for the Agreement and any renewals thereto shall be at fair market value and the Recipient shall
provide evidence, satisfactory to EDA, such as comparables, with respect to the fair market
value.
16. EMPLOYING CERTAIN GOVERNMENT EMPLOYEES: For the two - year period,
beginning on the date the Government executes this award, the Recipient (s) agrees that it will
not employ, offer any office or employment to, or retain for professional services, any person
who, on the date the Government executes this award or within the one -year period ending on
that date:
(i) Served as an officer, attorney, agent, or employee of the Government;
and
(ii) Occupied a position or engaged in activities that the Assistant Secretary
determines involved discretion with respect to the award of investment assistance under
PWEDA.
The two -year period and associated restrictions referenced above also shall apply beginning on
the date the Government executes any cost amendment to this award that provides additional
funds to the Recipient (s).
Form ED -508
(Rev. 4/94)
U.S. Department of Commerce Attachment No. 1
Economic Development Administration
PUBLIC WORKS PROJECT COST CLASSIFICATIONS
EDA Award No. 05 -01 -04941 State Iowa County Dubuque
Cost Classification Proposed Approved
Administrative & legal expenses 80 $5,000 (1)
Land, structures, right -of -way,
appraisals, etc. 0 100 (2)
Relocation expenses & payments 0 100 (3)
Architectural & engineering fees 582,334 582,334
Other Architectural &
engineering fees 0 5,000 (4)
Project Inspection 100,000 100,000
Site Work 1,021,000 1,021,000
Demolition and removal 1,750,000 1,750,000
Construction 7,210,583 7,210,583
Equipment 0 0
Miscellaneous 0 0
Contingencies 0 25,883 (5)
TOTAL PROJECT COSTS $10,663,917 $10,700,000 (6)
Remarks:
(1) Added to open line item for Administrative and Legal Expenses.
(2) Added to open line item for Land, Structures & Rights -of -Way.
(3) Added to open line item for Relocation Expenses.
(4) Added to open line item for Other A/E Expenses.
(5) Added to open line item for Project Contigency.
(6) Total Project Cost increased to $10,700,000.
U.S. DEPARTMENT OF COMMERCE
ECONOMIC DEVELOPMENT ADMINISTRATION
STANDARD TERMS AND CONDITIONS
FOR CONSTRUCTION PROJECTS
Title II
Public Works and Economic Development Facilities
and
Economic Adjustment Assistance Construction Components
OCTOBER 2007
(as amended on December 13, 2007)
i
U.S. DEPARTMENT OF COMMERCE
ECONOMIC DEVELOPMENT ADMINISTRATION
STANDARD TERMS AND CONDITIONS
FOR CONSTRUCTION PROJECTS
Title II
Public Works and Economic Development Facilities
and
Economic Adjustment Assistance Construction Components
PREFACE 1
A. General Requirements and Responsibilities 2
1. Purpose 2
2. Authority and Policies 2
3. Definitions 3
4. Grant Recipient as Trustee 3
B. Financial Requirements. 3
1. Financial Reports 3
2. Disbursement Requests. 4
3. Federal and Non - Federal Cost Sharing. 4
4. Budget Revisions and Transfers of Funds Among Budget Categories 5
5. Indirect Costs 6
6. Incurring Costs Prior to Award 7
7. Incurring Costs or Obligating Funds Beyond the Project Expiration Date 7
8. Time Extensions 8
9. Tax Refunds 8
10. Program Income 9
C. Programmatic Requirements. 9
1. Quarterly Reporting 9
2. Interim Reporting 9
3. Government Performance and Results Act Reporting 10
4. Unsatisfactory Performance 10
5. Programmatic Changes 10
6. Other Federal Awards with Similar Programmatic Activities 10
7. Noncompliance with Award Provisions 10
8. Use by Beneficiary 11
9. Prohibition Against Assignment by the Recipient I 1
10. Disclaimer Provisions; Hold Harmless Requirement 11
ii
11. Prohibition on Use of Third Parties to Secure Award 12
12. Payment of Attorneys' or Consultants' Fees 12
13. Commencement of Construction. 12
14. Efficient Administration of Project 12
15. Conflicts -of- Interest Rules. 13
16. Record - Keeping Requirements. 13
17. Termination Actions 14
18. Project Closeout Procedures 14
D. Additional Requirements Relating to Construction Projects. 16
1. The Davis -Bacon Act, as amended (40 U.S.C. §§ 3141 -3144, 3146, 3147; 42 U.S.C. § 3212) 16
2. The Contract Work Hours and Safety Standards Act, as amended (40 U.S.C. §§ 3701 — 3708) 16
3. The National Historic Preservation Act of 1966, as amended (16 U.S.C. § 470 et seq.),
and the Advisory Council on Historic Preservation Guidelines 16
4. The Historical and Archeological Data Preservation Act of 1974, as amended
(16 U.S.C. § 469a -1 et seq.) 16
5. Architectural Barriers Act of 1968, as amended (42 U.S.C. § 4151 et seq.) 16
6. The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970,
as amended (42 U.S.C. § 4601 et seq.) 16
7. The Energy Conservation and Production Act (42 U.S.C. § 6834 et seq.) 16
8. Requirements for New Construction 17
E. Non - Discrimination Requirements 17
1. Statutory Provisions. 17
2. Other Provisions. 17
3. Title VII Exemption for Religious Organizations. 18
F. Audits. 18
1. Requirement to Have an OMB Circular A -133 Audit Performed; Organization -Wide,
Program - Specific, and Project Audits 18
2. Requirement to Submit Audit to EDA 19
3. Audit Resolution Process 19
G. Debts 20
1. Payment of Debts Owed the Federal Government 20
2. Late Payment Charges 20
3. Barring Delinquent Federal Debtors from Obtaining Federal Loans or
Loan Insurance Guarantees 20
4. Effect of Judgment Lien on Eligibility for Federal Grants, Loans, or Programs. 21
H. Name Check Reviews. 21
1. Name Check Requirement 21
2. Exemptions 21
iii
3. Results of Name Checks 21
4. Action(s) Taken as a Result of Name Check Review 21
I. Governmentwide Debarment and Suspension (Non- procurement) 22
J. Drug -free Workplace 22
K. Lobbying Restrictions. 22
1. Statutory Provisions 22
2. Disclosure of Lobbying Activities 22
3. Special Provisions Relating to Indian Tribes 22
L. Codes of Conduct and Subaward, Contract, and Subcontract Provisions 22
1. Code of Conduct for Recipients 22
2. Applicability of Award Provisions to Subrecipients 23
3. Competition and Codes of Conduct for Subawards 23
4. Applicability of Provisions to Subawards, Contracts, and Subcontracts. 24
5. Minority-Owned Business Enterprise 24
6. Subaward and/or Contract to a Federal Agency 25
7. EDA Contracting Provisions for Construction Projects 25
M. Property . 25
1. Standards 25
2. Retention of Title 25
3. EDA's Interest in Award Property 25
4. Insurance and Bonding 27
5. Leasing Restrictions 27
6. Use of Eminent Domain Prohibited 27
7. Disposal of Real Property 28
N. Environmental Requirements. 28
1. The National Environmental Policy Act of 1969 (42 U.S.C. § 4321 et seq.) 28
2. Environmental Quality Improvement Act of 1970, as amended (42 U.S.C. §§ 4371 — 4375) 29
3. Executive Order 12088, "Federal Compliance with Pollution Control Standards,"
(43 Fed. Reg. 47707, October 13, 1978), as amended 29
4. Executive Order 11514, "Protection and Enhancement of Environmental Quality,"
(35 Fed. Reg. 4247, March 5, 1970), as amended 29
5. Executive Order 11593, "Protection and Enhancement of the Cultural Environment,"
(36 Fed. Reg. 8921, May 13, 1971), as amended 29
6. Clean Air Act, Clean Water Act, and Executive Order 11738 29
7. The Safe Drinking Water Act of 1974, as amended (42 U.S.C. § 300f et seq.) 29
8. Executive Order 11988, "Floodplain Management," (42 Fed. Reg. 26951, May 24, 1977) and
Executive Order 11990, "Protection of Wetlands," (42 Fed. Reg. 26961, May 24, 1977) 29
iv
9. The Flood Disaster Protection Act of 1973, as amended (42 U.S.C. § 4002 et seq.),
and regulations and guidelines issued thereunder by the U.S. Federal Emergency Management
Administration ( "FEMA ") or by EDA 29
10. The Coastal Zone Management Act of 1972, as amended (16 U.S.C. § 1451 et seq.) 30
11. The Coastal Barrier Resources Act, as amended, (16 U.S.C. § 3501 et seq.) 30
12. The Wild and Scenic Rivers Act, as amended, (16 U.S.C. § 1271 et seq.) 30
13. The Fish and Wildlife Coordination Act, as amended, (16 U.S.C. § 661 et seq.) 30
14. The Endangered Species Act of 1973, as amended, (16 U.S.C. § 1531 et seq. 30
15. The Comprehensive Environmental Response, Compensation, and Liability Act of 1980
( "CERCLA ") (42 U.S.C. § 9601 et seq.), as amended by the Superfund Amendments
and Reauthorization Act of 1986 (42 U.S.C. § 9662 et seq.) 30
16. The Resource Conservation and Recovery Act of 1976, as amended, (42 U.S.C. § 6901 et seq.) 30
17. Executive Order 12898, "Federal Actions to Address Environmental Justice in Minority
Populations and Low - Income Populations" (59 Fed. Reg. 7629, February 11, 1994) 30
18. The Lead -Based Paint Poisoning Prevention Act, as amended, (42 U.S.C. § 4821 et seq.) 30
19. The Farmland Protection Policy Act, as amended, (7 U.S.C. §§ 4201 — 4209) 30
20. The Noise Control Act of 1972, as amended, (42 U.S.C. § 4901 et seq.) 31
21. The Native American Graves Protection and Repatriation Act, as amended,
(25 U.S.C. § 3001 et seq.) 31
O. Compliance with Environmental Requirements 31
P. Miscellaneous Requirements 31
1. Criminal and Prohibited Activities 31
2. Foreign Travel. 31
3. American -Made Equipment and Products 32
4. Intellectual Property Rights. 32
5. Increasing Seat Belt Use in the United States 34
6. Research Involving Human Subjects. 34
7. Federal Employee Expenses 35
8. Preservation of Open Competition and Government Neutrality Towards Government
Contractors' Labor Relations on Federal and Federally- Funded Construction Projects 35
9. Minority Serving Institutions ( "MSIs ") Initiative 35
10. Research Misconduct 35
11. Publications, Videos, and Acknowledgment of Sponsorship 36
12. Care and Use of Live Vertebrate Animals 36
13. Homeland Security Directive 36
14. Compliance with Department of Commerce Bureau of Industry and Security Export
Administration Regulations 37
APPENDIX 38
v
PREFACE
Terms and Conditions of the Award. This financial assistance award on Form CD -450 (this "Award "),
executed by the Economic Development Administration ( "EDA ") and the Recipient, together with the
EDA - approved project budget and scope of work, these construction standard terms and conditions,
special award conditions, and all applicable federal statutory and regulatory requirements as incorporated
by reference (e.g., all applicable statutes, regulations, Executive Orders, and Office of Management and
Budget (OMB) Circulars), constitute the complete requirements, hereinafter referred to as the "Terms and
Conditions," applicable to the EDA investment.
The Recipient and any subrecipient must, in addition to the assurances made as part of the application for
investment assistance, comply with and require each of its contractors and subcontractors employed in the
completion of the project to comply with the Terms and Conditions of this Award.
This Award is subject to the laws and regulations of the United States. Any inconsistency or conflict in
the Terms and Conditions specified in this Award will be resolved according to the following order of
precedence: public laws, regulations (including applicable notices published in the Federal Register),
Executive Orders, OMB Circulars, EDA's construction standard terms and conditions, and special award
conditions. A special award condition may take precedence on a case -by -case basis over a construction
standard term or condition when warranted by specific project circumstances.
Some of EDA's construction terms and conditions herein contain, by reference or substance, a summary
of the pertinent statutes or regulations published in the Federal Register or the Code of Federal
Regulations ( "C.F.R. "), Executive Orders, OMB Circulars, or the assurances required of the Recipient
(See Forms SF -424B and SF- 424D). To the extent that it is a summary, such provision is not in
derogation of, or an amendment to, any such statute, regulation, Executive Order, OMB Circular, or
assurance.
ECONOMIC DEVELOPMENT ADMINISTRATION
STANDARD TERMS AND CONDITIONS
FOR CONSTRUCTION PROJECTS
Title II - Public Works and Economic Development Facilities
and
Title II - Economic Adjustment Construction Components
A. General Requirements and Responsibilities.
1. Purpose. The Economic Development Administration's ( "EDA ") grants for (i) public works
(42 U.S.C. § 3141) and (ii) economic adjustment (42 U.S.C. § 3149) projects are designed to
enhance regional competitiveness and promote long -term economic development in regions
experiencing substantial economic distress. EDA provides construction, design, and
engineering grants to assist distressed communities and regions revitalize, expand, and upgrade
their physical infrastructure to attract new industry, encourage business expansion, diversify
local economies, and generate or retain long -term private sector jobs and investment. The
requirements set forth in these construction standard terms and conditions (the "Construction
Standard Terms and Conditions ") are applicable to construction, design, and engineering
projects funded in whole or in part by EDA. Any necessary modifications of these
requirements will be addressed in special award conditions to accommodate individual
projects. In addition, these Construction Standard Terms and Conditions apply to construction
pr41ects of revolving loan funds ( "RLFs ") awarded between 1975 and 1999 under EDA :s Title
IX Economic Adjustment Assistance Program, as well as to RLFs funded after February 11,
1999 under section 209 of PWEDA (42 U.S.C. § 3149).
2. Authority and Policies. EDA is a bureau within the U.S. Department of Commerce
established under the Public Works and Economic Development Act of 1965, as amended
(42 U.S.C. § 3121 et seq.) ( "PWEDA "). (See also 13 C.F.R. § 300.1.) As a federal agency,
EDA is obligated to promulgate regulations and establish policies and procedures to:
a. Ensure compliance with applicable federal requirements;
b. Safeguard the public's interest in the grant assets; and
c. Promote the effective use of grant funds in accomplishing the purpose(s) for which they
were awarded.
The Department or EDA may issue changes from time to time to the regulations and other
requirements and policies that apply to this Award. Such changes may upon occasion increase
administrative or programmatic flexibility in administering this Award in a manner that is
mutually beneficial to EDA and to the Recipient. The implementation of any such regulatory,
administrative, or programmatic change in administering this Award must have prior EDA
written approval.
EDA's policy is to administer all Awards uniformly; however, there may be special
circumstances that warrant a variance. To accommodate these circumstances and to encourage
innovative and creative ways to address economic development problems, EDA will consider
requests for variances to the procedures set out in these Construction Standard Terms and
Conditions if they do not conflict with applicable federal statutory and regulatory requirements,
are consistent with the goals of EDA's programs, and make sound economic and financial
sense.
2
3. Definitions. Whenever used in these Construction Standard Terms and Conditions, the
following words and phrases shall have the following meanings:
a. "Assistant Secretary" refers to the Assistant Secretary of Commerce for Economic
Development;
b. "Award" — see the definition set out in the first paragraph of the Preface above;
c. "Closeout" or "Project Closeout" refers to the process by which the Grants Officer
determines that all applicable administrative actions and all required work under the Award
has been completed by the Recipient and EDA;
d. "Department" or "DOC" refers to the U.S. Department of Commerce;
e. "Government" or "Federal Government" refers to EDA;
f. "Grants Officer" refers to the Regional Director in the appropriate Regional Office;
g. "Project Officer," refers to the EDA official responsible for technical or other
programmatic aspects of the Award. During the post - approval stage of the Award, EDA
generally assigns this role to an EDA Engineer /Construction Manager.
h. "Project" refers to the activity for which the EDA grant was awarded;
i. "Recipient" refers to the undersigned grantee of U.S. government funds under the Award to
which this document is made a part;
j. "Regional Office" refers to an EDA regional office;
k. "Subrecipient" or "Subgrantee" refers to the legal entity to which a subaward is made and
which is accountable to the Recipient for the use of grant funds (this term does not include
subcontractors with whom the Recipient enters into a contractual agreement); and
1. "Terms and Conditions of the Award"— see the definition set out in the first paragraph of
the Preface above.
Capitalized terms used but not otherwise defined in these Construction Standard Terms and
Conditions have the meanings ascribed to them in EDA's regulations at 13 C.F.R. §§ 300.3,
302.20, 307.8, and 314.1.
4. Grant Recipient as Trustee. The Recipient holds grant funds and any EDA - assisted Project
property in trust for the purpose(s) for which the Award was made. The Recipient's obligation
to the Federal Government continues for the estimated useful life of the Project, as determined
by EDA, during which EDA retains an undivided equitable reversionary interest (the "Federal
Interest") in the property improved, in whole or in part, with the EDA investment.
See 13 C.F.R. § 314.2.
If EDA determines that the Recipient fails or has failed to meet this obligation, the agency may
exercise any rights or remedies with respect to its Federal Interest in the Project. However,
EDA's forbearance in exercising any right or remedy in connection with the Federal Interest
does not constitute a waiver thereof.
B. Financial Requirements.
1. Financial Reports.
a. While EDA generally does not advance funds under an Award, the Recipient must submit
Form SF- 272, "Report of Federal Cash Transactions," for any Award where funds are to,
be advanced to the Recipient. Form SF -272 is due 15 working days following the end of
each quarter for an Award under $1 million, 15 working days following the end of each
3
month for an Award totaling $ 1 million or more per year, or as otherwise specified in a
special award condition. See 15 C.F.R. §§ 14.52(aX2) or 24.41(c), as applicable.
b. Any Recipient whose Award has not been fully disbursed is required to submit
Form SF -269, "Financial Status Report' to EDA semi - annually to report on the status of
unreimbursed obligations. This report will provide information on the amount of allowable
Project expenses that have been incurred, but not claimed for reimbursement by the
Recipient. The first report shall be as of March 30 of each year and shall be submitted to
EDA no later than April 30 of each year, and the second report shall be of September 30 of
each year and shall be submitted to EDA no later than October 30 of each year.
Instructions for completing and submitting Form SF -269 will be furnished to the Recipient
at least 60 days before the report is due.
c. The Recipient must submit a final financial report using Form SF -269 within 90 days of the
expiration date of the Award (or from the date the Recipient accepts the Project from the
contractor, whichever occurs earlier).
d. Noncompliance with these requirements will result in the suspension of disbursements
under this Award.
e. Financial reports are to be submitted to the Project Officer.
2. Disbursement Requests.
a. Method of Payment. The Grants Officer determines the appropriate method of payment.
Unless otherwise specified in a special award condition, the method of payment under this
Award will be reimbursement. Payments will be made through electronic funds transfers
directly to the Recipient's bank account and in accordance with the requirements of the
Debt Collection Improvement Act of 1996 (31 U.S.C. § 3720B et seq.). The Award
number shall be included on all payment- related correspondence, information, and forms.
b. Disbursement Requests. The Recipient shall use Form SF- 271, "Outlay Report and
Request for Reimbursement for Construction Programs," to request reimbursement under
the Award. Substantiating invoices and/or vouchers also must be provided. Each request
for the disbursement of funds shall be made to the Project Officer. Form SF -271 can be
downloaded from OMB's website at www. whitehouse .¢ov /omb/grants/arants forms.html.
Initial Disbursement Request. For the initial disbursement only, the Recipient must
complete and submit Form SF - 3881, "ACH Vendor /Miscellaneous Payment Enrollment
Form," along with Form SF -271, to the Project Officer.
Interim Disbursement Requests. All requests for interim disbursement shall be submitted
using Form SF -271 and include substantiating invoices and/or vouchers.
3. Federal and Non - Federal Cost Sharing.
a. Awards that include the federal and non - federal share incorporate an estimated budget
consisting of shared allowable costs. If actual allowable costs are less than the total
approved estimated budget, the federal share and non - federal share, or "Matching Share,"
shall be calculated by applying the approved federal and non- federal cost share ratios to
c.
d.
4
actual allowable costs. See also 13 C.F.R. §§ 305.10 and 308.2. If actual allowable costs
are greater than the total approved estimated budget, the federal share shall not exceed the
total federal dollar amount authorized by this Award.
b. The Matching Share, whether cash or in -kind, shall be paid out at the same rate as the
federal share. Exceptions to this requirement may be granted by the Grants Officer based
on sufficient documentation demonstrating previously determined plans for, or later
commitment of, cash or in-kind contributions. In any case, the Recipient must meet its cost
share commitment over the Award period.
c. The Recipient shall show that the Matching Share is committed to the Project, available as
needed, and not conditioned or encumbered in any way that precludes its use consistent
with the requirements of EDA investment assistance. See 13 C.F.R. § 301.5.
4. Budget Revisions and Transfers of Funds Among Budget Categories. The EDA - approved
budget is the budget plan for the Project. The Recipient must notify EDA of any deviation
from the budget or program plans, including any change in scope of work or the objective of
the Project (even if there is no associated budget revision requiring prior written approval).
See 15 C.F.R. §§ 14.25 or 24.30, as applicable.
a. Requests for budget revisions to the EDA - approved budget in accordance with the
provisions provided below must be submitted to the Grants Officer, who shall make the
final determination on such requests and notify the Recipient in writing.
b. Amendments to this Award require preparation of Form CD -451, "Amendment to Financial
Assistance Award," for execution by both the Grants Officer and the Recipient.
Form CD-451 is required for the following:
(i) Changes to the Project scope of work;
(ii) Budget revisions requiring additional EDA or non -EDA funds;
(iii) Budget revisions that result in cumulative transfer among direct cost categories in
excess of 10 percent of the project cost and the federal share is greater than $100,000;
(iv) The inclusion of costs for which EDA's prior approval is needed under the following
OMB Circulars: Circular A - 21, "Cost Principles for Educational Institutions"
(2 C.F.R. part 220); Circular A - 87, "Cost Principles for State, Local, and Indian
Tribal Governments" (2 C.F.R. part 225); and Circular A - 122, "Cost Principles for
Non - Profit Organizations" (2 C.F.R. part 230), as applicable;
(v) Change of site location;
(vi) Change or addition of Recipient;
(vii) Time extensions; and
(viii) Modifications to the Terms and Conditions of the Award, other than time extensions.
c. When an Award supports both construction and non- construction work, the Recipient must
obtain prior written approval from the Grants Officer before making any fund or budget
transfer from non - construction to construction or vice versa. See 15 C.F.R. §§ 14.25(j) or
24.30(c)(3), as applicable.
d. Transfers shall not be permitted if such transfers would cause any federal appropriation, or
part thereof, to be used for purposes other than those intended. This transfer authority does
not authorize the Recipient to create new budget categories within an approved budget
5
unless the Grants Officer has provided prior written approval. In addition, this does not
prohibit the Recipient from requesting the Grants Officer's approval for revisions to the
budget. See 15 C.F.R. §§ 14.25(e) and (f) or 24.30(c), as applicable.
e. The Recipient is not authorized at any time to transfer amounts budgeted for direct costs to
the indirect costs line item or vice versa, without written prior approval of the Grants
Officer.
f. Project Underrun Amounts. Underrun amounts shall be transferred to the contingencies
line item. Contingency funds are to be used to address situations resulting from unknown
conditions and changes required for the fulfillment of authorized activities under this
Award. EDA may approve the use of underrun funds to increase the federal share of the
Project or further improve the Project, as long as the improvements are approved by EDA
and consistent with the original purpose of the approved EDA investment.
See 13 C.F.R. § 308.1.
g. Additional EDA Funding in Case of Project Overrun Amounts. In accepting the Award,
the Recipient agrees to fund any overrun amounts. Additional EDA assistance for an
approved Project may not be approved.
5. Indirect Costs.
a. Indirect costs are generally not applicable under this Award.
b. When indirect costs are applicable, they will not be allowable charges against the Award
unless specifically inchided as a line item in the EDA - approved budget. For Recipients
that are educational institutions, the term "indirect cost" has been replaced with the term
"facilities and administrative cost" under OMB Circular A -21, "Cost Principles for
Educational Institutions" (see 2 C.F.R. part 220).
c. Excess indirect costs may not be used to offset unallowable direct costs.
d. If the Recipient has not previously established an indirect cost rate with a federal agency,
the negotiation and approval of a rate is subject to the procedures in applicable cost
principles and the following subparagraphs:
(i) State, local, and Indian Tribal Governments; Educational Institutions; and Non-
Profit Organizations (Non - Commercial Organizations)
For the above - listed organizations, "cognizant federal agency" is generally defined as
the agency that provides the largest dollar amount of direct federal funding. For those
organizations for which DOC is cognizant or has oversight, DOC or its designee will
either negotiate a fixed rate with carry- forward provisions for the Recipient or, in
some instances, will limit its review to evaluating the procedures described in the
Recipient's cost allocation methodology plan. Indirect cost rates and cost allocation
methodology reviews are subject to future audits to determine actual indirect costs.
(ii) Within 90 days of the Award start date, the Recipient shall submit to the address
listed below documentation (indirect cost proposal, cost allocation plan, etc.)
necessary to perform the review. The Recipient shall provide the Grants Officer with
a copy of the transmittal letter.
6
Office of Acquisition Management
U.S. Department of Commerce
14 Street and Constitution Avenue, N.W., Room # 6054
Washington, DC 20230
(iii) The Recipient can use the fixed rate proposed in the indirect cost plan until such time
as DOC provides a response to the submitted plan. Actual indirect costs must be
calculated annually and adjustments made through the carry- forward provision used
in calculating next year's rate. This calculation of actual indirect costs and the carry-
forward provision is subject to audit. Indirect cost rate proposals must be submitted
annually. An organization that has previously established mdirect cost rates must
submit a new indirect cost proposal to the cognizant agency within six months after
the close of the Recipient's fiscal years.
e. When DOC is not the oversight or cognizant federal agency, the Recipient shall provide the
Grants Officer with a copy of a negotiated rate agreement or a copy of the transmittal letter
submitted to the cognizant or oversight federal agency requesting a negotiated rate
agreement.
f. if the Recipient fails to submit the required documentation to DOC within 90 days of the
Award start date, the Grants Officer may amend the Award to preclude the recovery of any
indirect costs under the Award. If the DOC, oversight, or cognizant federal agency
determines there good and sufficient cause to excuse the Recipient's delay in submitting
the documentation, an extension of the 90 -day due date may be approved by the Grants
Officer.
g. Regardless of any approved indirect cost rate applicable to the Award, the maximum dollar
amount of allocable indirect costs for which DOC will reimburse the Recipient shall be the
lesser of:
(i) The line item amount for the federal share of indirect costs contained in the approved
budget of the Award; or
(ii) The federal share of the total allocable indirect costs of the Award based on the
indirect cost rate approved by a cognizant or oversight federal agency and current at
the time the cost was incurred, provided the rate is approved on or before the Award
end date.
6. Incurring Costs Prior to Award. Project activities carried out prior to EDA's approval of
this Award shall be carried out at the sole risk of the Recipient. Such activity is subject to the
rejection of the application, the disallowance of costs, or other adverse consequences as a result
of noncompliance with EDA or federal law, including but not limited to procurement
requirements, civil rights requirements, federal labor standards, or environmental and historic
preservation requirements. Costs must be included in the EDA - approved budget and must be
allowable costs under federal cost principles and under the Award. See 13 C.F.R. § 302.8.
7. Incurring Costs or Obligating Funds Beyond the Project Expiration Date.
a. The Recipient shall not incur costs or obligate funds for any purpose pertaining to the
Project, program, or activities beyond the expiration date stipulated in this Award (or the
7
date of acceptance of the Project by the contractor, whichever occurs earlier), unless a
written time extension of this Award is granted by the Grants Officer. The only costs that
are authorized for a period of up to 90 days following that date are those strictly associated
with Closeout activities. Closeout activities are generally limited to the preparation of final
reports. See 15 C.F.R. §§ 14.71 or 24.50, as applicable.
b. The Recipient shall adhere to the development time schedule and time limits set out in the
Terms and Conditions of this Award. Any such Term or Condition supersedes the
development time schedule and time limits set out in these Construction Standard Terms
and Conditions.
8. Time Extensions.
a. Unless otherwise authorized in 15 C.F.R. §§ 14.25(eX2) or 24.30, as applicable, or a
special award condition, any extension of the Project period can only be authorized by the
Grants Officer in writing. A verbal or written assurance of funding from other than the
Grants Officer, including Regional Office staff other than the Grants Officer, does not
constitute authority to obligate funds for programmatic activities beyond the expiration
date.
b. The Recipient is responsible for implementing the Project in accordance with the
development time schedule contained in this Award. As soon as the Recipient becomes
aware that it will not be possible to meet the development time schedule, the Recipient
must notify the Grants Officer. The Recipient's notice to EDA must contain the following:
(i) An explanation of the Recipient's inability to complete work by the specified date
(e.g., a lengthy period of unusual weather delayed the contractor's ability to excavate
the site, major re- engineering required in order to obtain State or federal approvals,
unplanned environmental mitigation required);
(ii) A statement that no other changes to the Project are contemplated;
(iii) Documentation that demonstrates there is still a bona fide need for the Project; and
(iv) A statement that no further delay is anticipated and that the Project can be completed
within the revised time schedule.
EDA reserves the right to withhold disbursements while the Recipient is not in compliance
with the time schedule. EDA reserves the right to suspend or terminate this Award if the
Recipient fails to proceed with reasonable diligence to accomplish the Project as intended.
c. EDA has no obligation to provide any additional prospective funding. Any amendment of
this Award to increase funding or to extend the period of performance is at the sole
discretion of EDA.
9. Tax Refunds. Refunds of Federal Insurance Contributions Act and Federal Unemployment
Tax Act ( "FICA/FUTA ") taxes received by the Recipient during or after the Project period
must be refunded or credited to DOC where the benefits were financed with federal funds
under the Award. The Recipient agrees to contact the Grants Officer immediately upon receipt
of these refunds. The Recipient further agrees to refund portions of FICA/FUTA taxes
determined to belong to the Federal Government, including refunds received after the
expiration of this Award.
8
10. Program Income. For Projects that create long -term rental revenue (e.g., buildings or real
property constructed or improved for the purpose of renting or leasing space), the Recipient
agrees to use such income generated from the rental or lease of any Project facility in the
following order of priority:
a. Administration, operation, maintenance, and repair of Project facilities for their estimated
useful life (as determined by EDA) in a manner consistent with good property management
practice and in accordance with established building codes. This includes, where
applicable, repayment of indebtedness resulting from any EDA - approved encumbrance
(e.g., approved mortgage) on the EDA - assisted facility.
b. Economic development activities that are authorized for support by EDA, provided such
activities meet the economic development purposes of PWEDA.
See 15 C.F.R. §§ 14.24 or 24.25, as applicable.
C. Programmatic Requirements.
I. Quarterly Reporting.
a. Quarterly performance reports must be submitted in accordance with the procedures set out
in 15 C.F.R. parts 14 or 24, as applicable, and as indicated below. Failure to submit
required reports in a timely manner may result in the withholding of payments under this
Award; deferral of processing of new awards, amendments, or supplemental funding;
pending the receipt of the overdue report(s); or the establishment of an account receivable
for the difference between the total federal share of outlays last reported and the amount
disbursed. See 13 C.F.R. § 302.18(a).
b. Unless otherwise specified in this Award, the quarterly performance report will contain the
following information for each Project program, function, or activity:
(i) A comparison of planned and actual accomplishments according to the timetable or
list of Project objectives in this Award;
(ii) An explanation of any delays or failures to meet the Project timetable or Project
goals; and
(iii) Any other pertinent information including, when appropriate, analysis, and
explanation of cost overruns or high unit costs.
c. Quarterly performance reports shall be submitted for each calendar quarter to the Project
Officer. Each performance report will be due not later than January 15, April 15, July 15,
and October 15 for the immediate previous quarter. The final Project performance report
shall be submitted to EDA no more than 90 days after the Project Closeout date. This
reporting requirement begins with the Recipient's acceptance of this Award and ends when
EDA approves Project Closeout. See 15 C.F.R. §§ 14.51 or 24.40, as applicable.
The Recipient shall submit quarterly performance reports to the EDA Project Officer in
hardcopy or electronically as specified in the special award conditions.
2. Interim Reporting. The Recipient must report any event that will or may have significant
impact upon the Project, including delays or adverse conditions that materially may affect the
9
ability of the Recipient to attain Project objectives within established time periods or meet the
development time schedule. The Recipient should report such events to the Project Officer in
the most time - expedient way possible and then, if the initial report was not in writing, report
the event to the Project Officer in writing. Such a report shall include a statement of die event
or issue, a statement of the course of action contemplated to resolve the matter, and any federal
assistance needed to resolve the situation. If budget changes are required, the Recipient must
submit a written budget revision request. See 15 C.F.R. §§ 14.25(h) or 24.30(cX2), as
applicable.
3. Government Performance and Results Act Reporting. In addition to quarterly performance
reports, EDA may require the Recipient to report on Project performance beyond the Project
Closeout date for Government Performance and Results Act (GPRA) purposes. In no case
shall the Recipient be required to submit any report more than ten years after the Project
Closeout date. Data used by the Recipient in preparing reports shall be accurate and from
independent sources whenever possible. See 13 C.F.R. § 302.16.
4. Unsatisfactory Performance. Failure to perform the work in accordance with the Terms and
Conditions of the Award and maintain at least satisfactory performance at the discretion of
EDA may result in the designation of the Recipient as high -risk and assignment of special
award conditions or further action as specified in section C.7. of these Construction Standard
Terms and Conditions. See 15 C.F.R. §§ 14.14 or 24.12, as applicable.
5. Programmatic Changes.
a. The Recipient must report to the Grants Officer, and request prior approval for any
programmatic change to the Award, in accordance with 15 C.F.R. §§ 14.25 or 24.30, as
applicable.
b. The Recipient must obtain the Grants Officer's written approval for any programmatic
changes to the Award. Any changes made to the Project without EDA's approval are made
at the Recipient's risk of nonpayment of costs, suspension, termination, or other EDA
action with respect to the Award. See 13 C.F.R. § 302.7(b).
c. Contract Change Orders. After construction contracts for the Project have been executed,
it may become necessary to alter them. This requires a formal contract change order that
must be issued by the Recipient and accepted by the contractor. All contract change orders
must be reviewed by EDA, even if EDA is not participating in the cost of the change order
or the contract price is to be reduced. Work on the Project may continue pending EDA
review and approval of the change order, but all such work shall be at the Recipient's risk
as to whether the cost of the work is eligible for EDA participation until the Recipient
receives EDA approval for the change order. See 13 C.F.R. § 305.13.
6. Other Federal Awards with Similar Programmatk Activities. The Recipient shall
immediately provide written notification to the Project Officer and the Grants Officer in the
event that, su to receipt of this Award, other financial assistance is received to support
or fund any portion of the scope of work incorporated into this Award. EDA will not pay for
costs that are funded by other sources.
7. Noncompliance with Award Provisions. Failure to comply with any or all of the Terms and
Conditions of this Award may have a negative impact on the Recipient's ability to receive
10
future funding from the Department, including EDA, and may be considered grounds for any
or all of the following actions: (a) the establishment of an account receivable; (b) withholding
payments under any EDA or DOC Award(s) to the Recipient; (c) the imposition of additional
special award conditions; (d) the suspension of any active DOC Awards; or (e) the termination
of any active DOC Awards.
The Recipient hereby agrees that the Government may at its option withhoki disbursement of
any Award funds if the Government learns or has knowledge that the Recipient has failed to
comply in any manner with any Term or Condition of the Award. See 13 C.F.R. § 302.18.
The Government may withhold funds until the violation or violations have been corrected to
the Government's satisfaction. The Recipient further agrees to reimburse the Government for
any ineligible costs paid from Award funds, or if the Recipient fails to reimburse the
Government, the Government shall have the right to offset the amount of such ineligible costs
from any undisbursed award funds held by the Government. The Recipient agrees to repay the
Government for all ineligible costs incurred in connection with the Project and paid from the
Award including but not limited to those costs determined to be ineligible if the Government
learns of any Award violations after all Award funds have been disbursed.
See 15 C.F.R. §§ 14.72 -14.73 or 24.51 - 24.52, as applicable.
8. Use by Beneficiary. In the event a beneficiary of the Project fails to comply in any manner
with certifications, assurances, or agreements that such beneficiary has entered into in
accordance with EDA's requirements, the Recipient will reimburse the Government the Award
amount or an amount to be determined by the Government pursuant to 13 C.F.R. §§ 314.4 and
314.5. Where the Government determines that the failure of a beneficiary to comply with EDA
requirements affects a portion of the property benefited by the Award, the Recipient will
reimburse the Government proportionately.
9. Prohibition Against Assignment by the Recipient. Except as provided in a special award
condition, the Recipient shall not transfer, pledge, mortgage, or otherwise assign the Award, or
any interest therein, or any claim arising thereunder, to any party or parties, banks, trust
companies, or other financing or financial institutions.
10. Disclaimer Provisions; Hold Harmless Requirement.
a. The United States expressly disclaims any and all responsibility or liability to the Recipient
or third persons for the actions of the Recipient or third persons resulting in death, bodily
injury, property damages, or any other losses resulting in any way from the performance of
this Award or any subaward or subcontract under this Award.
b. The acceptance of this Award by the Recipient does not in any way constitute an agency
relationship between the United States and the Recipient.
c. To the extent permitted by law, the Recipient agrees to indemnify and hold the Government
harmless from and against all liabilities that the Government may incur as a result of
providing an Award to assist, directly or indirectly, in the preparation of the Project site or
construction, renovation, or repair of any facility on the Project site, to the extent that such
liabilities are incurred because of toxic or hazardous contamination or groundwater, surface
water, soil, or other conditions caused by operations of the Recipient or any of its
predecessors (other than the Government or its agents) on the property.
See 13 C.F.R. § 302.19.
11
11. Prohibition on Use of Third Parties to Secure Award. Unless otherwise specified in the
special award conditions to this Award, the Recipient warrants that no person or selling agency
has been employed or retained to solicit or secure this Award upon an agreement or
understanding for a commission, percentage, brokerage, or contingent fee, excepting bona fide
employees, or bona fide established commercial or selling agencies maintained by the
Recipient for the purpose of securing business. For breach or violation of this warrant, the
Government has the right to annul this Award without liability, or at its discretion, to deduct
from the Award sum, or otherwise recover, the full amount of such commission, percentage,
brokerage, or contingent fee.
12. Payment of Attorneys' or Consultants' Fees. No Award funds shall be used, directly or
indirectly, to reimburse attorneys' or consultants' fees incurred in connection with obtaining
investment assistance under PWEDA, such as, for example, preparing the application for EDA
investment assistance. However, ordinary and reasonable attorneys' and consultants' fees
incurred for meeting Award requirements, such as, for example, conducting a title search or
preparing plans and specifications, may be eligible Project costs and may be paid out of Award
funds, provided such costs are otherwise eligible. See 13 C.F.R. § 302.10.
13. Commencement of Construction.
a. Delayed Construction Starts. If significant construction (as determined by EDA) is not
commenced within two years of the Award date or by the date estimated for start of
construction in this Award (or the expiration of any extension g nted in writing by EDA),
whichever is later, this Award will be automatically suspended and may be terminated if
EDA determines, after consultation with the Recipient, that construction to completion
cannot reasonably be expected to proceed promptly and expeditiously. If significant
construction has not been commenced within three years of the Award date, an extension
must be approved by the Assistant Secretary.
b. Early Construction Starts. The Recipient shall make a written request to EDA for early
construction start permission (that is, after the date of Award, but before EDA gives formal
approval for construction to commence). For Project costs to be eligible for EDA
reimbursement, EDA must determine that the award of all contracts necessary for design
and construction of the Project facilities is in compliance with the Terms and Conditions of
this Award. If construction commences prior to EDA's determination, the Recipient
proceeds at its own risk until EDA's review and concurrence. See 13 C.F.R. § 305.11.
c. Project Sign. The Recipient is responsible for constructing, erectin4, and maintaining in
good condition throufhout the construction period a sign (or signs) in a conspicuous place
at the Project site indicating that the Federal Government is participating in the Project.
EDA will provide specifications for the sign and may require more than one sign if site
conditions so warrant. If the EDA - recommended sign specifications conflict with State or
local law, the Recipient may modify such recommended specifications so as to comply
with State or local law. See 13 C.F.R. § 305.12.
14. Efficient Administration of Project. The Recipient agrees to properly and efficiently
administer, operate, and maintain the Project for its estimated useful life, as required by
section 504 of PWEDA (42 U.S.C. § 3194). If the Government determines, at any time during
the estimated useful life of the facility, that the Project is not being properly and efficiently
12
administered, operated, and maintained, the Government may terminate this Award and require
the Recipient to repay the Federal Share. See 13 C.F.R. §§ 302.12, 302.18, and 314.2- 314.5.
15. Conflicts -of - Interest Rules.
a. An "Interested Party" is defined in 13 C.F.R. § 300.3 as "any officer, employee, or member
of the board of directors or other governing board of the Recipient, including any other
parties that advise, approve, recommend, or otherwise participate in the business decisions
of the Recipient, such as agents, advisors, consultants, attorneys, accountants, or
shareholders." An Interested Party includes the Interested Party's "Immediate Family"
(defined in 13 C.F.R. § 300.3 as a person's spouse, parents, grandparents, siblings,
children, and grandchildren, but does not include distant relatives, such as cousins, unless
the distant relative lives in the same household as the person) and other persons directly
connected to the Interested Party by law or through a business organization. In addition,
"Immediate Family" includes an Interested Party's "significant other" or partner.
b. The Recipient must establish safeguards to prohibit an Interested Party from using its
position for a purpose that constitutes or presents the appearance of personal or
organizational conflicts -of- interest or of personal gain. See 13 C.F.R. § 302.17(a) and (b),
15 C.F.R. §§ 14.42 or 24.36(bX3), as applicable, and Forms SF -424B ( "Assurances —
Non Projects ") and SF - 424D ( "Assurances — Construction Projects ").
c. An Interested Party must not receive any direct or indirect financial or personal benefits in
connection with this Award or its use for payment or reimbursement of costs by or to the
Recipient. A financial interest may include employment, stock ownership, a creditor or
debtor relationship, or prospective employment with the organization selected or to be
selected for a subaw +d. An appearance of impairment of objectivity could result from an
organizational conflict where, because of other activities or relationships with other persons
or entities, a person is unable or potentially unable to render impartial assistance or advice.
It also could result from non - financial gain to the individual, such as benefit to reputation
or prestige in a professional field. See 13 C.F.R. § 302.17(b).
16. Record - Keeping Requirements.
a. Records. The Recipient must maintain records that document compliance with the Terms
and Conditions of this Award. At a minimum, the Recipient's records must fully disclose:
(i) The amount and disposition of EDA investment assistance;
(ii) All Project expenditures and procurement actions;
(iii) The total cost of the Project that the Award funds;
(iv) The amount and nature of the portion of Project costs provided by non- EDA sources;
(v) Contractor compliance with applicable federal requirements; and
(vi) Such other records as EDA determines will facilitate an effective audit.
b. Records Retention.
In general, all records pertinent to this Award must be kept retained for a period of three
years from the date of submission of the final project expenditure report (the final
Form SF -271 for disbursement). The only exceptions are the following:
13
(i) If any litigation, claim, or audit is started before the expiration of the three -year
period, the records shall be retained until all litigation, claims, or audit findings
involving the records have been resolved and final actions taken.
(ii) Records for real property and equipment acquired with federal funds must be retained
for three years after final disposition.
(iii) When records are transferred or maintained by EDA, the three -year retention
requirement is not applicable to the Recipient.
Records relating to indirect cost rate computations or proposals, cost allocation plans, and
any similar accounting computations on the rate at which a particular group of costs is
chargeable are subject to different retention requirements. See 15 C.F.R. H 14.53 or 24.42,
as applicable.
The Recipient is responsible for monitoring any subrecipients and contractors to ensure
their compliance with the records retention requirements. The Recipient must immediately
notify the Project Officer in case records are not retained for the general retention periods
noted above. See 13 C.F.R. § 302.14 and 15 C.F.R. §§ 14.50 -14.53 or §§ 24.40 - 24.42,
as applicable.
17. Termination Actions.
a. Termination for Cause. If the Recipient materially fails to comply with any of the Terms
and Conditions of this Award, EDA has the right to terminate for cause all or any part of its
obligation hereunder, including if:
(i) Any representation made by the Recipient to the Government in connection with the
application for Government assistance is incorrect or incomplete in any material
respect;
(ii) The intent and purpose and/or the economic feasibility of the Project is changed
substantially so as to affect significantly the accomplishment of te Project as
intended (including an unauthorized use of property as provided in 13 C.F.R § 314.4);
(iii) The Recipient has violated commitments it made in its application and supporting
documents or has violated any of the Terms and Conditions of this Award;
(iv) The conflicts -of- interest rules in 13 C.F.R. § 302.17 are violated; or
(v) The Recipient fails to report immediately to the Government any change of
authorized representative(s) acting in lieu of or on behalf of the Recipient.
In addition, EDA may take one or more of the actions set out in 15 C.F.R. §§ 14.62(a) or
24.43(a), as applicable.
b. Termination for Convenience. The Recipient may request at any time termination for
convenience of this Award upon sending to the Grants Officer written notification in a
form acceptable to EDA setting forth the reasons for requesting the termination and the
effective date of such termination. See 15 C.F.R. §§ 14.61 or 24.44, as applicable.
18. Project Closeout Procedures. After construction is completed and the Project is closed out
financially, the Recipient has an ongoing responsibility to properly administer, operate, and
maintain the Project for its estimated useful life (as determined by EDA) in accordance with its
original purpose. See 13 C.F.R. § 302.12. The Recipient must comply with all Award
14
requirements and maintain records to document such compliance, which shall be made
available for inspection by EDA or other Government officials as required.
a. Final Disbursement. When Project construction and final inspection have been completed,
or substantially completed as determined by EDA, and the Recipient has accepted the
Project from the contractor, the Recipient can begin the Closeout process by submitting the
following documentation to EDA:
(i) A request for final disbursement on an executed Form SF -271;
(ii) A written certification that all costs claimed are for eligible activities under this
Award, for which there is documentation in the Recipient's records;
(iii) An executed certificate of final acceptance signed by the Recipient and the
Recipient's architect/engineer;
(iv) The Recipient's certification that its currently valid single or program - specific audit
in accordance with OMB Circular A -133, "Audits of States, Local Governments, and
Non -Profit Organizations," if applicable, does not contain any material findings (if
the Recipient's currently valid OMB Circular A -133 audit does contain material
findings, the Recipient shall submit the applicable audit in hardcopy to the Grants
Officer);
(v) The Recipient's certification that its currently valid audit (in accordance with OMB
Circular A -133), if applicable, has been submitted to the Federal Audit
Clearinghouse; and
(vi) Other documentation as may be required by EDA.
EDA shall advise the Recipient of costs determined to be eligible and ineligible. If a
balance of this Award is due to the Recipient, the balance will be paid by wire transfer. If
the Recipient has received an amount in excess of the amount due the Recipient, the
Recipient must refund the excess to EDA. The Recipient shall contact the Project Officer
for refund instructions.
As noted above, if the Recipient's currently valid OMB Circular A -133 audit contains
material findings, the Recipient shall submit the audit in hardcopy to the Grants Officer
before final disbursement.
b. The Recipient shall submit, within 90 calendar days after the Project Closeout date, all
financial, performance, and other reports as required by the Terms and Conditions of this
Award. Additional GPRA reporting requirements also may apply.
c. Unless EDA authorizes an extension, the Recipient shall liquidate all obligations incurred
under this Award no later than 90 calendar days after acceptance of the Project from the
contractor or before the expiration date of this Award, whichever occurs earlier.
d. The Closeout of this Award does not affect any of the following:
(i) Audit requirements per OMB Circular A -133 and the related "Compliance
Supplement;"
(ii) The right of EDA to disallow costs and recover funds on the basis of a later audit or
other Project review;
(iii) The Recipient's obligation to return any funds due as a result of later corrections or
other transactions; and
15
(iv) Requirements for property management, records retention, and performance
measurement reports.
D. Additional Requirements Relating to Construction Projects.
The Recipient and any subrecipient(s) must, in addition to other statutory and regulatory
requirements detailed in these Construction Standard Terms and Conditions and the assurances made
to EDA in connection with the Award, comply and require each of its contractors and subcontractors
employed in the completion of the Project to comply with all applicable federal, State, territorial, and
local laws, and in particular, the following federal public laws (and the regulations issued
thereunder), Executive Orders, OMB Circulars, and local law requirements.
1. The Davis -Bacon Act, as amended (40 U.S.C. §§ 3141 -3144, 3146, 3147; 42 U.S.C. § 3212)
Requiring minimum wages for mechanics and laborers employed on Federal Government
public works projects to be based on the wages the Secretary of Labor determines to be
prevailing for the corresponding classes of laborers and mechanics employed on projects of a
character similar to the contract work in the civil subdivision of the State in which the Project
is to be performed, or in the District of Columbia if the Project is to be performed there.
2. The Contract Work Hours and Safety Standards Act, as amended
(40 U.S.C. §§ 3701 — 3708)
Providing work hour standards for every laborer and mechanic employed by any contractor or
subcontractor in the performance of a federal public works project.
3. The National Historic Preservation Act of 1966, as amended (16 U.S.C. § 470 et seq.), and
the Advisory Council on Historic Preservation Guidelines
Requiring projects involving federal funds to follow the requirements of the National Historic
Preservation Act, which requires stewardship of historic properties.
4. The Historical and Archeological Data Preservation Act of 1974, as amended
(16 U.S.C. § 469a -1 et seq.)
Requiring appropriate surveys and preservation efforts if a federally- licensed project may
cause irreparabk loss or destruction of significant scientific, prehistorical, historical, or
archeological data.
5. Architectural Barriers Act of 1968, as amended (42 U.S.C. § 4151 et seq.), and the
regulations issued thereunder, which prescribe standards for the design and construction of any
budding or facility intended to be accessible to the public or that may house handicapped
employees.
6. The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970,
as amended (42 U.S.C. § 4601 et seq.), and implementing regulations issued at 49 C.F.R.
part 24, which establish uniform policies for the fair and equitable treatment of persons,
businesses, or farm operations affected by the acquisition, rehabilitation, or demolition of real
property acquired for a Project financed wholly or in part with federal financial assistance.
7. The Energy Conservation and Production Act (42 U.S.C. § 6834 et seq.)
Establishing energy efficiency performance standards for the construction of new residential
and commercial structures undertaken with federal financial assistance.
16
8. Requirements for New Construction. For new building construction projects, the Recipient
will comply with current local building codes, standards, and other requirements applicable to
the Project.
E. Non - Discrimination Requirements. No person in the United States shall, on the ground of race,
color, national origin, handicap, age, religion, or sex, be excluded from participation in, be denied
the benefits of, or be subject to discrimination under any program or activity receiving federal
financial assistance. The Recipient agrees to comply with the following non - discrimination
requirements.
1. Statutory Provisions.
a. Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq.) and DOC
implementing regulations published at 15 C.F.R. part 8, which prohibit discrimination on
the grounds of race, color, or national origin under programs or activities receiving federal
financial assistance;
8•
b. Title IX of the Education Amendments of 1972 (20 U.S.C. § 1681 et seq.), which prohibits
discrimination on the basis of sex under federally- assisted education programs or activities;
c. Pub. L. No. 92 -65, 42 U.S.C. § 3123, which proscribes discrimination on the basis of sex in
EDA assistance provided under PWEDA; Pub. L. No. 94 -369, 42 U.S.C. § 6709, which
proscribes discrimination on the basis of sex under the Local Public Works Program; and
the Department's implementing regulations at 15 C.F.R. §§ 8.7 -8.15;
d. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794), and DOC
implementing regulations published at 15 C.F.R. part 8b, which prohibit discrimination on
the basis of handicap under any program or activity receiving or benefiting from federal
assistance;
e. The Age Discrimination Act of 1975, as amended (42 U.S.C. § 6101 et seq.) and DOC
implementing regulations published at 15 C.F.R. part 20, which prohibit discrimination on
the basis of age in programs or activities receiving federal financial assistance;
f. The Americans with Disabilities Act of 1990 (42 U.S.C. § 12101 et seq.), which prohibits
discrimination on the basis of disability under programs, activities, and services provided
or made available by State and local governments or instrumentalities or agencies thereto,
as well as public or private entities that provide public transportation; and
Other applicable federal statutes, regulations, and Executive Orders.
2. Other Provisions.
a. Parts II and III of Executive Order 11246 (30 Fed. Reg. 12319, 1965), as amended by
Executive Order 11375 (32 Fed. Reg. 14303, 1967) and 12086 (43 Fed. Reg. 46501, 1978),
requiring federally - assisted construction contracts to include the nondiscrimination
provisions of §§ 202 and 203 of that Executive Order and Department of Labor regulations
implementing Executive Order. 11246 (41 C.F.R. § 60- 1.4(b), 1991).
17
F. Audits.
b. Executive Order 13166 (August 11, 2000), "Improving Access to Services for Persons With
Limited English Proficiency," and DOC policy guidance issued on March 24, 2003
(68 Fed. Reg. 14180) to federal financial assistance Recipients on the Title VI prohibition
against national origin discrimination affecting Limited English Proficient ( "LEP ")
persons.
3. Title VII Exemption for Religious Organizations.
Generally, Title VII of the Civil Rights Act of 1964 (42 U.S.C. § 2000e et seq.), provides that
it shall be an unlawful employment practice for an employer to discharge any individual or
otherwise discriminate against an individual with respect to compensation, terms, conditions,
or privileges of employment because of such individual's race, color, religion, sex, or national
origin. However, Title VII, 42 U.S.C. § 2000e -1(a), expressly exempts from the prohibition
against discrimination on the basis of religion, a religious corporation, association, educational
institution, or society with respect to the employment of individuals of a particular religion to
perform work connected with the carrying on by such corporation, association, educational
institution, or society of its activities.
Under the Inspector General Act of 1978, as amended (5 U.S.C. App. 3, § 1 et seq.), an audit of the
Award may be conducted at any time. The Department's Inspector General ( "010"), or any of his
or her duly authorized representatives, shall have access to any pertinent books, documents, papers,
and records of the Recipient, whether written, printed, recorded, produced, or reproduced by any
electronic, mechanical, magnetic, or other process or medium, in order to make audits, inspections,
excerpts, transcripts, or other examinations as authorized by law. When the OIG requires a program
audit on a DOC Award, the OIG will usually make the arrangements to audit the Award, whether the
audit is performed by OIG personnel, an independent accountant under contract with DOC, or any
other federal, State, or local audit entity.
1. Requirement to Have an OMB Circular A -133 Audit Performed; Organization -Wide,
Program - Specific, and Project Audits.
a. Organization -wide or program - specific audits shall be performed in accordance with the
Single Audit Act Amendments of 1996, as implemented by OMB Circular A -133, "Audits
of States, Local Governments, and Non -Profit Organizations," and the related "Compliance
Supplement." Recipients that expend federal awards of $500,000 or more in a fiscal year
shall have an audit conducted for that year in accordance with the requirements contained
in OMB Circular A -133. A copy of the audit shall be submitted to the Bureau of the
Census, which has been designated by OMB as a central clearinghouse. The address is:
Federal Audit Clearinghouse
1201 E. 10 Street
Jeffersonville, IN 47132
b. In accordance with 15 C.F.R. § 14.26 (c) and (d), for -profit hospitals, commercial, and
other organizations not covered by the audit provisions of OMB Circular A -133 that
expend federal awards of $500,000 or more in a fiscal year, are required to have a program-
specific audit performed at the conclusion of the Project, but no less than once every five
years. Some DOC programs have specific audit guidelines that will be incorporated into
18
the Award. If DOC does not have a program- specific audit guide available for the
program, the auditor should follow Generally Accepted Government Auditing Standards
and the requirements for a program - specific audit as described in OMB Circular A -133
§ _ .235. A copy of the program- specific audit shall be submitted to the OIG at the
following address with a copy of the transmittal letter to the Grants Officer:
Office of Inspector General
U.S. Department of Commerce
Atlanta Regional Office of Audits
401 West Peachtree Street, N.W., Suite 2742
Atlanta, GA 30308
2. Requirement to Submit Audit to EDA. if the Recipient's currently valid audit required
under OMB Circular A -133 contains materials findings, the Recipient must submit the audit in
hardcopy to the Grants Officer. See also section C.18.a. of these Construction Standard Terms
and Conditions.
3. Audit Resolution Process.
a. An audit of the Award may result in the disallowance of costs incurred by the Recipient
and the establishment of a debt (account receivable) due to EDA. For this reason, the
Recipient should take seriously its responsibility to respond to all audit findings and
recommendations with adequate explanations and supporting evidence whenever audit
results are disputed.
b. In accordance with the Federal Register notice dated January 27, 1989
(54 Fed. Reg. 4053), a Recipient whose Award is audited has the following opportunities to
dispute the proposed disallowance of costs and the establishment of a debt:
(i) Unless the OIG determines otherwise, the Recipient has 30 days from the date of the
transmittal of the "Draft Audit Report" to submit written comments and documentary
evidence.
(ii) The Recipient has 30 days from the date of the transmittal of the "Final Audit Report"
to submit written comments and documentary evidence. There shall be no extension
of this deadline.
(iii) EDA shall review the documentary evidence submitted by the Recipient and shall
notify the Recipient of the results in an "Audit Resolution Determination Letter."
The Recipient has 30 days from the date of receipt of the Audit Resolution
Determination Letter to submit a written appeal. There shall be no extension of this
deadline. The appeal is the last opportunity for the Recipient to submit written
comments and documentary evidence that dispute the validity of the Audit Resolution
Determination Letter.
(iv) An appeal of the Audit Resolution Determination Letter does not prevent the
establishment of the audit - related debt nor does it prevent the accrual of interest on
such debt. If the Audit Resolution Determination Letter is overruled or modified on
appeal, appropriate corrective action will be taken retroactively. An appeal will stay
the offset of funds owed by the auditee against funds due to the auditee.
EDA shall review the Recipient's appeal and notify the Recipient of the results in an
Appeal Determination Letter. After the opportunity to appeal has expired or after the
19
G. Debts.
Appeal Determination Letter has been rendered, EDA will not accept any further
documentary evidence from the Recipient. No other administrative appeals are available in
the Department.
1. Payment of Debts Owed the Federal Government.
Any debt determined to be owed to the Federal Government must be paid promptly by the
Recipient. In accordance with 15 C.F.R. § 21.4, a debt will be considered delinquent if it is not
paid within 15 days of the established due date or, if there is no due date, within 30 days of the
billing date. Failure to pay a debt by the due date or, if there is no due date, within 30 days of
the billing date, shall result in the imposition of late payment charges as noted below. In
addition, failure to pay the debt or establish a repayment agreement by the due date or, if there
is no due date, within 30 days of the billing date, will also result in the referral of the debt for
collection action, including referral to the Treasury Offset Program (31 C.F.R. § 285.5) and
may result in EDA taking further action as specified in section C.7. of these Construction
Standard Terms and Conditions. The Recipient also may be suspended or debarred from
further federal financial and non - financial assistance and benefits, as provided in 2 C.F.R.
part 1326, "Nonprocurement Debarment and Suspension" until the debt has been paid in full or
until a repayment agreement has been approved and payments are made in accordance with the
repayment agreement. Payment of a debt may not come from other federally - sponsored
programs. Verification that other federal funds have not been used will be made during future
program visits and audits.
2. Late Payment Charges.
a. An interest charge shall be assessed on the delinquent debt as established by the Debt
Collection Act of 1982, as amended (31 U.S.C. § 3701 et seq.). The minimum annual
interest rate to be assessed is the U.S. Department of the Treasury's "Current Value of
Funds Rate" ( "CVFR "). See www .fms.treas.gov /cvfrjindex.html. The U.S. Department of
Treasury annually publishes the CVFR in the Federal Register. The assessed rate shall
remain fixed for the duration of the indebtedness.
b. A penalty charge will be assessed on any portion of a debt that is delinquent for more than
90 days, although the charge will accrue and be assessed from the date the debt became
delinquent.
c. An administrative charge will be assessed to cover processing and handling the amount
due.
3. Barring Delinquent Federal Debtors from Obtaining Federal Loans or Loan Insurance
Guarantees.
Pursuant to 31 U.S.C. § 3720B, unless waived, the Department is not permitted to extend
financial assistance in the form of a loan, loan guaranty, or loan insurance to any person
delinquent on a non -tax debt owed to a federal agency. This prohibition does not apply to
disaster loans.
20
4. Effect of Judgment Lien Eligibility for Federal Grants, Loans, or Programs.
Pursuant to 28 U.S.C. § 3201(e), unless waived by DOC, a debtor who has a judgment lien
against the debtor's property for a debt to the United States shall not be eligible to receive any
grant or loan that is made, insured, guaranteed, or financed directly or indirectly by the U.S. or
to receive funds directly from the Federal Government in any program, except funds to which
the debtor is entitled as beneficiary, until the judgment is paid in full or otherwise satisfied.
H. Name Check Reviews.
. Name Check Requirement. A name check review will be performed by the OIG on key
individuals associated with nonprofit organization applicants, unless: (a) the proposed award
amount is $100,000 or less; (b) the applicant has been a Recipient of financial assistance from
the Department for three or more consecutive years without any adverse programmatic or audit
finding; or (c) the applicant is a unit of a State or local government. See "Department of
Commerce Pre Award Notification Requirements for Grants and Cooperative Agreements"
(69 Fed. Reg. 78389, December 30, 2004).
2. Exemptions. The following individuals who are acting on behalf of their respective entities in
applying for assistance are exempt from the name check review process:
a. Officials of State and local governments;
b. Officials of accredited colleges and universities; and
c. Officials of economic development districts designated by EDA, including those entities
whose designations are pending.
3. Results of Name Checks. EDA reserves the right to take any of the actions described in
section H.4. below if any of the following occurs as a result of the name check review:
a. A key individual fails to submit the required Form CD -346, "Applicant for Funding
Assistance;"
b. A key individual makes an incorrect statement or omits a material fact on Form CD -346; or
c. The name check reveals significant adverse findings that reflect on the business integrity or
responsibility of the applicant and/or key individual.
4. Action(s) Taken as a Result of Name Check Review. If any situation listed in section 11.3.
above occurs, the Department, at its discretion, may take one or more of the following actions:
a. Consider suspension or termination of the Award;
b. Require the removal of any key individual from association with the management or
implementation of the Award; or
c. Make appropriate provisions or revisions as needed (in the special award conditions to the
Award) with respect to the method of payment and/or financial reporting requirements.
21
Governmentwide Debarment and Suspension (Non - procurement). The Recipient shall comply
with the provisions of subpart C of 2 C.F.R. part 1326, "Non- Procurement Debarment and
Suspension," which generally prohibit entities that have been debarred, suspended, or voluntarily
excluded from participating in federal non - procurement transactions either through primary or
lower -tier covered transactions.
J. Drug - free Workplace. The Recipient shall comply with the provisions of the Drug -Free Workplace
Act of 1988 (41 U.S.C. § 702), and the Department's implementing regulations found at
15 C.F.R. part 29, "Government -wide Requirements for Drug -Free Workplace (Financial
Assistance)" which require that the Recipient take steps to provide a drug -free workplace.
K. Lobbying Restrictions.
I . Statutory Provisions. The Recipient must comply with the provisions of 31 U.S.C. § 1352
and the Department's implementing regulations published at 15 C.F.R. part 28,
"New Restrictions on Lobbying." These provisions generally prohibit the use of federal funds
for lobbying the executive or legislative branches of the United States government in
connection with the Award and require the disclosure of the use of non - federal funds for
lobbying.
2. Disclosure of Lobbying Activities. A Recipient receiving in excess of $ 100,000 in federal
funding must submit a completed Form SF -LLL, "Disclosure of Lobbying Activities,"
regarding he use of non - federal funds for lobbying. The Form SF -LLL must be submitted
within 30 days following the end of the calendar quarter in which there occurs any event that
requires disclosure or that materially affects the accuracy of the information contained in any
disclosure form previously filed. The Recipient must submit Form SF -LLL from all applicable
parties, including those received from subrecipients, contractors, and subcontractors, to the
Grants Officer.
3. Special Provisions Relating to Indian Tribes. As set out in 31 U.S.C. § 1352, there are
special provisions applicable to Indian Tribes, tribal organizations, or other Indian
organizations eligible to receive federal contracts, grants, loans, or cooperative agreements. In
accordance with Departmental policy, EDA recognizes Tribal Employment Rights Ordinances
( "TEROs "), which may provide for preferences in contracting and employment, in connection
with its financial assistance awards. Tribal ordinances requiring preference in contracting,
hiring, firing, and the payment of a TERO fee generally are allowable provisions under federal
awards granted to American Indian and Alaska Native tribal governments. The payment of the
TERO fee, which supports the tribal employment rights office to administer the preferences,
should generally be allowable as an expense that is "necessary and reasonabk for proper and
efficient performance and administration" of an Award, as provided under the app ilicable cost
principles set out in 2 C.F.R. part 225.
L. Codes of Conduct and Snbaward, Contract, and Subcontract Provisions.
1. Code of Conduct for Recipients. Pursuant to the certification in Form SF -424B, paragraph 3,
the Recipient must maintain written standards of conduct to establish safeguards to prohibit
employees from using their positions for a purpose that constitutes or presents the appearance
of personal or organizational conflicts -of- interest or personal gain in the administration of this
Award.
22
2. Applicability of Award Provisions to Subrecipients.
a. The Recipient shall require all subrecipients, including lower tier subrecipients, under the
award to comply with the provisions of this Award, including applicable cost principles,
administrative, and audit requirements.
b. A Recipient is responsible for subrecipient monitoring, including the following:
Award Identification — At the time of the Award, identifying to the subrecipient the
federal award information (e.g., Catalog of Federal Domestic Assistance ( "CFDA ")
title and number, name of the federal agency, and the Award number) and applicable
compliance requirements.
(ii) During-the-Award Monitoring — Monitoring the subrecipient's use of federal awards
through reporting, site visits, regular contact, or other means to provide reasonable
assurance that the subrecipient administers federal awards in compliance with laws,
regulations, and the provisions of contracts or grant agreements and that performance
goals are achieved.
(iii) Subrecipient Audits — Ensuring that a subrecipient expending federal awards of
$500,000 or more during the subrecipient's fiscal year has met the audit requirements
of OMB Circular A -133 and that the required audits are completed within nine
months of the end of the subrecipient's audit period. In addition, the Recipient is
required to issue a management decision on audit findings within six months after
receipt of the subrecipient's audit report and ensure that the subrecipient takes timely
and appropriate corrective action on all audit findings. In cases of a subrecipient's
continued inability or unwillingness to have the required audits, the pass- through
entity shall take appropriate action using sanctions.
(i)
3. Competition and Codes of Conduct for Subawards.
a. All subawards will be made in a manner to provide, to the maximum extent practicable,
open and free competition. The Recipient must be alert to organizational conflicts of
interest as well as other practices among subrecipients that may restrict or eliminate
competition. In order to ensure objective subrecipient performance and eliminate unfair
competitive advantage, subrecipients that develop or draft work requirements, statements
of work, or requests for proposals shall be excluded from competing for such subawards.
b. The Recipient shall maintain written standards of conduct governing the performance of its
employees engaged in the Award and administration of subawards. No employee, officer,
or agent shall participate in the selection, award, or administration of a subaward supported
by federal funds if a real or apparent conflict -of- interest would be involved. Such a
conflict would arise when the employee, officer, or agent, any member of his or her
immediate family, his or her partner, or an organization in which he /she serves as an officer
or which employs or is about to employ any of the parties mentioned in this section, has a
financial interest or other interest in the organization selected or to be selected for a
subaward. The officers, employees, and agents of the Recipient shall neither solicit nor
accept anything of monetary value from subrecipients. However, the Recipient may set
standards for situations in which the financial interest is not substantial or the gift is an
unsolicited item of nominal value. The standards of conduct shall provide for disciplinary
23
actions to be applied for violations of such standards by officers, employees, or agents of
the Recipient.
c. A financial interest may include employment, stock ownership, a creditor or debtor
relationship, or prospective employment with the organization selected or to be selected for
a subaward. An appearance of impairment of objectivity could result from an
organizational conflict where, because of other activities or relationships with other persons
or entities, a person is unable or potentially unable to render impartial assistance or advice.
It could also result from non - financial gain to the individual, such as benefit to reputation
or prestige in a professional field.
4. Applicability of Provisions to Subawards, Contracts, and Subcontracts.
a. The Recipient shall include the following notice in each request for applications or bids:
Applicants/bidders for a lower tier covered transaction (except procurement contracts for
goods and services under S25,000 not requiring the consent of a DOC official) are subject
to 2 C.F.R. part 1326, subpart C, "Governmentwide Debarment and Suspension
(Nonprocurement)." In addition, applicants/bidders for a lower tier covered transaction for
a subaward, contract, or subcontract greater than $ 1 00,000 of federal funds at any tier are
subject to 15 C.F.R. part 28, "New Restrictions on Lobbying." Applicants/bidders should
familiarize themselves with these provisions, including the certification requirement.
Therefore, applications for a lower tier covered transaction must include a Form CD -512,
"Certification Regarding Lobbying -Lower Tier Covered Transactions," completed without
• modification.
b. The Recipient shall include a term or condition in all lower tier covered transactions
(subawards, contracts, and subcontracts), that the Award is subject to subpart C of
2 C.F.R. part 1326, "Governmentwide Debarment and Suspension (Nonprocurement)."
c. The Recipient shall include a statement in all lower tier covered transactions (subawards,
contracts, and subcontracts) exceeding $ 100,000 in federal funds, that the subaward,
contract, or subcontract is subject to 31 U.S.0 § 1352, as implemented at 15 C.F.R. part 28,
regarding new restrictions on lobbying. The Recipient shall further require the
subrecipient, contractor, or subcontractor to submit a completed Form SF -LLL,
"Disclosure of Lobbying Activities," regarding the use of non - federal funds for lobbying.
The Form SF -LLL shall be submitted within 15 days following the end of the calendar
quarter in which there occurs any event that requires disclosure or that materially affects
the accuracy of the information contained in any disclosure form previously filed. The
Form SF -LLL shall be submitted from tier to tier until received by the Recipient. The
Recipient must submit all disclosure forms received, including those that report lobbying
activity on its own behalf, to the Grants Officer within 30 days following the end of the
calendar quarter.
5. Minority - Owned Business Enterprise. DOC encourages Recipients to utilize minority- and
women -owned firms and enterprises in contracts under financial assistance awards. The
Minority Business Development Agency will assist Recipients in matching qualified minority
owned enterprises with contract opportunities. For further information contact:
24
U.S. Department of Commerce
Minority Business Development Agency
1401 Constitution Avenue, N.W.
Washington, D.C. 20230
Website: www.mbda.gov/
6. Subaward and/or Contract to a Federal Agency.
The Recipient, subrecipient, contractor and/or subcontractor shall not subgrant or subcontract
any part of the approved Project to any agency or employee of DOC or other federal
department, agency, or instrumentality without the prior written approval of the Grants Officer.
Requests for approval of such action must be submitted to the Project Officer who shall review
and make a recommendation to the Grants Officer. The Grants Officer shall make the final
determination and will notify the Recipient in writing of the final determination.
7. EDA Contracting Provisions for Construction Projects. The Recipient shall use the
"EDA Contracting Provisions for Construction Projects" as guidance in developing all
construction contracts. The "EDA Contracting Provisions for Construction Projects" lists
applicable EDA and other federal requirements for construction contracts.
M. Property.
1. Standards. With respect to any property acquired or improved in whole or in part with EDA
investment assistance under this Award, the Recipient shall comply with the property
management standards found in EDA's regulations at 13 C.F.R. part 314. Property acquired or
improved in whole or in part by the Recipient under this Award may consist of real personal
property, including intangible property such as money, notes, and security interests. Any
inventory listings stipulated under the applicable uniform administrative requirements must be
submitted to the Grants Officer on Form CD -281, "Report of Government Property in
Possession of Contractor."
2. Retention of Title.
a. The Government shall determine who retains title to all nonexpendable personal property
in accordance with 15 C.F.R. parts 14 or 24, as applicable. Use, management, and the
disposition of such property will be in accordance with the requirements set out at
15 C.F.R. parts 14 or 24, as applicable, and EDA's regulations at 13 C.F.R. part 314.
b. Title to real property (whether acquired partly or wholly with federal funds) will vest with
the Recipient subject to the condition that the Recipient uses the real property for the
authorized purpose of the Project.
3. EDA's Interest in Award Property.
a. Evidence of Title. Prior to the advertisement of bids or at such other time as EDA requires,
the Recipient must furnish evidence, satisfactory in form or substance to the Government,
that title to real property required for the Project (other than property of the United States
25
and as provided in 13 C.F.R. § 314.7(c)) is vested in the Recipient and that such
easements, rights -of -way, State or local government permits, long -tern leases, or other
items required for the Project have been or will be obtained by the Recipient within an
acceptable time, as determined by the Government. All liens, mortgages, other
encumbrances, reservations, reversionary interests, or other restrictions on title or the
Recipient's interest in the property must be disclosed to EDA. With limited exceptions set
forth in 13 C.F.R. § 314.6(b) or as otherwise authorized by EDA, Recipient -owned
property acquired or improved in whole or in part with EDA investment assistance must
not be used to secure a mortgage or deed of trust or in any way otherwise encumbered.
See 13 C.F.R. § 314.6.
b. Recording EDA's Interest in Property.
(i)
For all Projects involving the acquisition, construction, or improvement of a
building, as determined by EDA, the Recipient shall execute and furnish to the
Government, prior to initial Award disbursement, a lien, covenant, or other
statement, satisfactory to EDA in form and substance, of EDA's interest in the
property acquired or improved in whole or in part with the funds made available
under this Award. EDA may require such statement after initial Award
disbursement in the event that grant funds are being used to acquire such property.
The statement must specify the estimated useful life of the Project and shall include
but not be limited to the disposition, encumbrance, and the Federal Share
compensation requirements. See 13 C.F.R. §§ 314.1 and 314.8(a).
(ii) This lien, covenant, or other statement of the Government's interest must be
perfected and placed of record in the real property records of the jurisdiction in
which the property is located, all in accordance with applicable law. EDA shall
require an opinion of counsel for the Recipient to substantiate that the document has
been properly recorded. See 13 C.F.R. § 314.8(b).
(iii) Facilities in which the EDA investment is only a small part of a larger project, as
determined by EDA, may be exempted from the requirements listed in paragraphs
M.3.b.(i) and (ii) above. See 13 C.F.R. § 314.8(c).
c. The Recipient acknowledges that the Government retains an undivided equitable
reversionary interest in the property acquired or improved in whole or in part with grant
funds made available through this Award throughout the estimated useful life (as
determined by EDA) of the Project, except in applicable instances set forth in 13 C.F.R.
§ 314.7(c). See also 13 C.F.R. § 314.2(a).
d. The Recipient agrees that in the event that any interest in property acquired or improved in
whole or in part with EDA investment assistance is disposed of, encumbered or alienated
in any manner, or no longer used for the authorized purpose(s) of the Award durin; the
Project's estimated useful life without EDA's written approval, the Government will be
entitled to recover the Federal Share, as defined at 13 C.F.R. § 314.5. If, during the
Project's estimated useful life, the property is no longer needed for the purpose(s) of the
Award, as determined by EDA, EDA may permit its use for other acceptable purposes
consistent with those authorized by PWEDA and 13 C.F.R. chapter III.
See 13 C.F.R. § 314.3(b).
26
e. For purposes of any lien or security interest, the amount of the Federal Share shall be the
portion of the current fair market value of any property (after deducting any actual and
reasonable selling and repair expenses incurred to put the property into marketable
condition) attributable to EDA's participation in the Project. See 13 C.F.R. § 314.5.
f. The alienation of Award property includes sale or other conveyance of the Recipient's
interest, leasing or mortgaging the property, or granting an option for any of the foregoing.
4. Insurance and Bonding.
a. Recipients that are Institutions of Higher Education, Hospitals, Other Non - Profit and
Commercial Organizations. The Recipient shall, at a minimum, provide the equivalent
insurance coverage for real property and equipment acquired with federal funds as
provided to property owned by the Recipient. Federally -owned property need not be
insured unless required by the terms and conditions of the award. See 15 C.F.R. § 14.31.
b. Recipients that are State and Local Governments. If the Award exceeds the simplified
acquisition threshold, EDA may accept the Recipient's or subrecipient's bonding policy
and requirements if EDA determines that the Federal Interest is adequately protected. If
not, the following minimum requirements shall apply:
(i) A bid guarantee from each bidder equivalent to five percent of the bid price. The
"bid guarantee" shall consist of a firm commitment such as a bid bond, certified
check, or other negotiable instrument accompanying a bid as assurance that the
bidder will, upon acceptance of the proffered bid, execute such contractual
documents as may be required within the time specified;
(ii) A performance bond on the part of the contractor for 100 percent of the contract
price. A "performance bond" is one executed in connection with a contract to secure
fulfillment of all the contractor's obligations under such contract; and
(iii) A payment bond on the part of the contractor for 100 percent of the contract price.
A "payment bond" is one executed in connection with a contract to assure payment
as required by law of all persons supplying labor and material in the execution of the
work provided for in the contract. See 15 C.F.R. § 24.36(h)
5. Leasing Restrictions. Leasing or renting of facilities or property is prohibited unless
specifically authorized by EDA. The Recipient agrees that any leasing or renting of any
facilities or property involved in this Project will be subject to the following:
a. That said lease arrangement is consistent with the authorized general and special purpose
of the Award;
b. That said lease arrangement is for adequate consideration; and
c. That said lease arrangement is consistent with applicable EDA requirements concerning
but not limited to nondiscrimination and environmental compliance.
6. Use of Eminent Domain Prohibited. The Recipient will use funds solely for the authorized
use of the Project. Pursuant to Executive Order 13406, "Protecting the Property Rights of the
American People," the Recipient agrees:
27
a. Not to use any power of eminent domain available to the Recipient (including the
commencement of eminent domain proceedings) for use in connection with the Project for
the purpose of advancing the economic interests of private parties; and
b. Not to accept title to land, easements, or other interests in land acquired by the use of any
power of eminent domain for use in connection with the Project for such purposes.
The Recipient agrees that any use of the power of eminent domain to acquire land, easements,
or interests in land, whether by the Recipient or any other entity that has the power of eminent
domain, in connection with the Project without prior written consent of EDA is an
unauthorized use of the Project. If the Recipient puts the Project to an unauthorized use, the
Recipient shall compensate EDA for its fair share in accordance with 13 C.F.R. §§ 314.4 and
314.5, as same may be amended from time to time.
7. Disposal of Real Property.
a. If EDA and the Recipient determine that property acquired or improved in whole or in part
with EDA investment assistance is no longer needed for the original purpose(s) of this
Award, the Recipient must obtain approval from the Government to use the property in
other federal grant programs or in programs that have purposes consistent with those
authorized by PWEDA and 13 C.F.R. chapter 111. See 13 C.F.R. § 314.3(b).
b. When property is not disposed of as provided in section M.7.a. above, the Government
shall determine final disposition and must be compensated by the Recipient for the Federal
Share of the value of the property, plus costs and interest, as provided in 13 C.F.R.
§ 314.4.
N. Environmental Requirements.
Environmental impacts must be considered by federal decision - makers in their decisions whether or
not to: (i) approve a proposal for federal assistance; (ii) approve the proposal with mitigation; or
(iii) approve a different proposal/grant having less adverse environmental impacts. Federal
environmental laws require that the funding agency initiate a planning process with early
consideration of potential environmental impacts that Project(s) funded with federal assistance may
have on the environment. The Recipient and any subrecipients shall comply with all environmental
standards, to include those prescribed under the following statutes and Executive Orders, and shall
identify to the awarding agency any impact the Award may have on the environment. In some
cases, the Grants Officer can withhold Award funds under a special award condition requiring the
Recipient to submit additional environmental compliance information sufficient to enable the
Department to make an assessment on any impacts that a Project may have on the environment.
1. The National Environmental Policy Act of 1969 (42 U.S.C. § 4321 et seq.)
The National Environmental Policy Act ( "NEPA ") and the Council on Environmental Quality
( "CEQ ") implementing regulations (40 C.F.R. parts 1500 — 1508) require that an
environmental analysis be completed for all major federal actions significantly affecting the
environment. NEPA applies to the actions of federal agencies and may include a federal
agency's decision to fund non - federal projects under grants and cooperative agreements.
Recipients of federal assistance are required to identify to the awarding agency any impact an
award will have on the quality of the human environment and assist the agency to comply
with NEPA. Recipients may also be requested to assist EDA in drafting an environmental
28
assessment if EDA determines an assessment is required. If additional information is required
during the period of the Award, funds can be withheld by the Grants Officer under a special
award condition requiring the Recipient to submit additional environmental compliance
information sufficient to enable EDA to make an assessment on any impacts that the Project
may have on the environment.
2. Environmental Quality Improvement Act of 1970, as amended (42 U.S.C.
4371— 4375)
Federally-supported ported public works facilities and activities that affect the environment shall be
implemented in compliance with policies established under existing law.
3. Executive Order 12088, "Federal Compliance with Pollution Control Standards,"
(43 Fed. Reg. 47707, October 13, 1978), as amended
All necessary actions shall be taken for the prevention, control, and abatement of
environmental pollution with respect to federally - supported facilities and activities
4. Executive Order 11514, "Protection and Enhancement of Environmental Quality,"
(35 Fed. Reg. 4247, March 5, 1970), as amended
Federally - supported facilities and activities shall be maintained and directed to meet national
environmental goals.
5. Executive Order 11593, "Protection and Enhancement of the Cultural Environment,"
(36 Fed. Reg. 8921, May 13, 1971), as amended
Federally -owned sites, structures, and objects of historical, architectural, or archaeological
significance shall be preserved, restored, and maintained.
6. Clean Air Act, Clean Water Act, and Executive Order 11738
Recipients must comply with the provisions of the Clean Air Act (42 U.S.C. § 7401 et seq.),
the Clean Water Act (42 U.S.C. § 1251 et seq.), and Executive Order 11738, and shall not use
a facility on the Environmental Protection Agency's ( "EPA ") List of Violating Facilities in
performing any Award that is nonexempt under 2 C.F.R. § 1532, and shall notify the EDA
Project Officer in writing if it intends to use a facility that is on EPA's List of Violating
Facilities or knows that the facility has been recommended to be placed on the List.
7. The Safe Drinking Water Act of 1974, as amended (42 U.S.C. § 300f et seq.)
This Act precludes federal assistance for any project that the EPA determines may
contaminate a sole source aquifer so as to threaten public health.
8. Executive Order 11988, "Floodplaln Management," (42 Fed. Reg. 26951, May 24, 1977)
and Executive Order 11990, "Protection of Wetlands," (42 Fed. Reg. 26961,
May 24, 1977)
Recipients must identify proposed actions in federally - defined floodplains and wetlands to
enable the agency to make a determination whether there is an alternative to minimize any
potential harm.
9. The Flood Disaster Protection Act of 1973, as amended (42 U.S.C. § 4002 et seq.), and
regulations and uidelines issued thereunder by the U.S. Federal Emergency
Management Administration ( "FEMA") or by EDA
Flood insurance, when available, is required for federally- assisted construction or acquisition
in flood -prone areas.
29
10. The Coastal Zone Management Act of 1972, as amended (16 U.S.C. § 1451 et seq.)
Funded projects must be consistent with a coastal State's approved management plan for the
coastal zone.
11. The Coastal Barrier Resources Act, as amended, (16 U.S.C. § 3501 et seq.)
Restrictions are placed on federal funding for actions within a Coastal Barrier System.
12. The Wild and Scenic Rivers Act, as amended, (16 U.S.C. § 1271 et seq.)
This Act applies to awards that may affect existing or proposed components of the National
Wild and Scenic Rivers system.
13. The Fish and Wildlife Coordination Act, as amended, (16 U.S.C. § 661 et seq.)
Requiring the evaluation the impacts to fish and wildlife from federally- assisted proposed
water resource development projects.
14. The Endangered Species Act of 1973, as amended, (16 U.S.C. § 1531 et seq.)
The Recipient must identify any impact or activities that may involve a threatened or
endangered species. Federal agencies have the responsibility to ensure that federal awards do
not adversely affect protected species or habitats and must conduct the required reviews under
the Endangered Species Act.
15. The Comprehensive Environmental Response, Compensation, and Liability Act of 1980
( "CERCLA ") (42 U.S.C. § 9601 et seq.), as amended by the Superfund Amendments and
Reauthorization Act of 1986 (42 U.S.C. § 9662 et seq.)
These requirements address responsibilities of hazardous substance releases, threatened
releases, and environmental cleanup. There is also a requirement to impose reporting and
community involvement requirements to ensure disclosure of the release or disposal of
regulated substances and cleanup of hazards.
16. The Resource Conservation and Recovery Act of 1976, as amended,
(42 U.S.C. § 6901 et seq.)
This Act regulates the generation, transportation, treatment, and disposal of hazardous wastes,
and also provides that Recipients of federal funds give preference in their procurement
programs to the purchase of recycled products pursuant to EPA guidelines.
17. Executive Order 12898, "Federal Actions to Address Environmental Justice in Minority
Populations and Low- Income Populations" (59 Fed. Reg. 7629, February 11, 1994)
This Order identifies and addresses adverse human health or environmental effects of
programs, policies, and activities on low- income and minority populations.
18. The Lead - Based Paint Poisoning Prevention Act, as amended, (42 U.S.C. § 4821 et seq.)
Use of lead -based paint in residential structures constructed or rehabilitated by the Federal
Government or with federal assistance is prohibited.
19. The Farmland Protection Policy Act, as amended, (7 U.S.C. t§ 4201 4209)
Projects are subject to review under this Act if they may irreversibly directly or indirectly
convert farmland, including forest land, pastureland, cropland, or other land, to
nonagricultural use.
30
20. The Noise Control Act of 1972, as amended, (42 U.S.C. § 4901 et seq.)
Federally- supported facilities and activities shall comply with federal, State, interstate, and
local requirements respectin? control and abatement of environmental noise to the same
extent that any person is subject to such requirements.
21. The Native American Graves Protection and Repatriation Act, as amended,
(25 U.S.C. § 3001 et seq.)
This Act provides a process for returning certain Native American cultural items to lineal
descendants, culturally affiliated Indian Tribes, and Native Hawaiian organizations.
O. Compliance with Environmental Requirements. The Recipient agrees to notify the Grants
Officer of any environmental requirement or restriction, regulatory or otherwise, with which it must
comply. Before Project Closeout and final disbursement of Award funds, the Recipient further
agrees to provide evidence satisfactory to the Grants Officer that any required environmental
remediation has been completed: (1) in compliance with all applicable federal, State and local
regulations; and (2) as set forth in the applicable Lease, Finding of Suitability to Lease ( "FOSL "),
Lease in Furtherance of Conveyance, Quitclaim Deed, or other conveyance instrument and any
amendments, supplements, or succeeding documents. Compliance with said laws or restrictions
shall be included in any contract documents for Project construction. The Recipient must certify
compliance before final disbursement of grant funds.
P. Miscellaneous Requirements.
1. Criminal and Prohibited Activities.
a. The Program Fraud Civil Remedies Act (31 U.S.C. §§ 3801 -3812) provides for the
imposition of civil penalties against persons who make false, fictitious, or fraudulent
claims to the Federal Government for money (including grants, loans, or other benefits).
b. The Criminal False Claims Act and the False Statements Act (18 U.S.C. §§ 287 and 1001)
provide for criminal prosecution of a person who knowingly makes or presents any false,
fictitious, or fraudulent statements or representations or claims against the United States.
Such person shall be subject to imprisonment of not more than five years and shall be
subject to a fine.
c. The Civil False Claims Act (31 U.S.C. § 3729) provides that suits under this Act can be
brought by the Federal Government, or a person on behalf of the Federal Government, for
false claims under federal assistance programs.
d. The Copeland "Anti- Kickback" Act (18 U.S.C. § 874 and 40 U.S.C. § 276c), prohibits a
person or organization engaged in a federally- supported Project from enticing an
employee working on the Project from giving up a part of his compensation under an
employment contract.
2. Foreign Travel.
a. The Recipient shall comply with the provisions of the Fly America Act (49 U.S.C.
§ 40118). The implementing regulations of the Fly America Act are found at
41 C.F.R. §§ 301 - 10.131 — 301 - 10.143.
31
b. The Fly America Act requires that federal travelers and others performing federal
government - financed foreign air travel must use United States flag air carriers, to the
extent that service by such carriers is available. Foreign air carriers may be used only in
specific instances, such as when a United States flag air carrier is unavailable, or use of
United States flag air carrier service will not accomplish the agency's mission.
c. Use of foreign air carriers may also be used only if bilateral agreements permit such travel
pursuant to 49 U.S.C. § 40118(b). The Department is not aware of any bilateral
agreements that meet these requirements. Therefore, it is the responsibility of the
Recipient to provide the Grants Officer with a copy of the applicable bilateral agreement if
use of a foreign carrier under a bilateral agreement is anticipated.
d. If a foreign air carrier is anticipated to be used the Recipient must receive prior approval
from the Grants Officer. When requesting such approval in accordance with the guidance
provided by 41 C.F.R. § 301 - 10.142, the Recipient must provide a "certification" the
Grants Officer with the following: (i) his or her name; (ii) dates of travel; (iii) the origin
and destination of travel; (iv) a detailed itinerary of travel; (v) the name of the air Carer
and flight number for each leg of the trip; (vi) and a statement explaining why the
Recipient meets one of the exceptions to the applicable regulations. If the use of a foreign
air carrier is pursuant to a bilateral agreement, the Recipient must provide the Grants
Officer with a copy of the agreement. The Grants Officer shall make the final
determination and notify the Recipient in writing. Failure to adhere to the provisions of
the Fly America Act will result in the Recipient not being reimbursed for any
transportation costs for which the Recipient improperly used a foreign air carrier.
3. American -Made Equipment and Products. Recipients are hereby notified that they are
encouraged, to the greatest extent practicable, to purchase American -made equipment and
products with funding provided under this Award.
4. Intellectual Property Rights.
a. Inventions. The intellectual property rights to any invention made by a Recipient under a
DOC Award are determined by the Bayh -Dole Act, as amended (Pub. L. No. 96 -517), and
codified in 35 U.S.C. § 200 et seq., except as otherwise required by law. The specific
rights and responsibilities are described in more detail in 37 C.F.R. part 401, and in the
particular, in the standard patent rights clause in 37 C.F.R. § 401.14, which is hereby
incorporated by reference into this Award.
(1) Ownership.
(a) Recipient. The Recipient has the right to own any invention it makes
(conceived or first reduced to practice) or that is made by its employees. The
Recipient may not assign its rights to a third party without the permission of
the Department unless it is to a patent management organization (i.e., a
university's research foundation.) The Recipient's ownership rights are subject
to the Federal Government's nonexclusive paid -up license and other rights.
(b) Department. If the Recipient elects not to own or does not elect rights or file a
patent application within the time limits set forth in the standard patent rights
clause, the Department may request an assignment of all rights, which is
32
normally subject to a limited royalty free non - exclusive license for the
Recipient. The Department owns any invention made solely by its employees,
but may license the Recipient in accordance with the procedures in 37 C.F.R.
part 404.
(c) Inventor/Employee. If neither the Recipient nor the Department is interested in
owning an invention by a Recipient employee, the Recipient, with the written
concurrence of the Department's Patent Counsel, may allow the
inventor /employee to own the invention subject to certain restrictions as
described in 37 C.F.R. § 401.9.
(d) Joint Inventions. Inventions made jointly by a Recipient and a Department
employee will be owned jointly by the Recipient and DOC. However, the
Department may transfer its rights to the Recipient u authorized by 35 U.S.C.
§ 202(e) and 37 C.F.R. § 401.10 if the Recipient is willing to patent and license
the invention in exchange for a share of "net" royalties based on the number of
inventors (e.g., 50 -50 if there is one Recipient and Department employee). The
agreement will be prepared by the Department's Patent Counsel and may
include other provisions, such as a royalty free license to the Federal
Government and certain other entities. The Recipient also is authorized to
transfer its rights to the Federal Government, which can agree to share royalties
similarly as described above (35 U.S.C. § 202(e)).
(ii) Responsibilities — lEdison. The Recipient has responsibilities and duties set forth in
the standard patent rights clause, which are not described below. The Recipient is
expected to comply with all the requirements of the standard patent rights clause and
37 C.F.R. part 401. Recipients of DOC Awards are required to submit their
disclosures and elections electronically using the Interagency Edison extramural
invention reporting system (iEdison) at www.iedison.gov. The Recipient may obtain
a waiver of this electronic submission requirement by providing DOC compelling
reasons for allowing the submission of paper copies of reports related to inventions.
b. Patent Notification Procedures. Pursuant to Executive Order 12889, the Department is
required to notify the owner of any valid patent covering technology whenever the
Department or its Recipients, without making a patent search, knows (or has demonstrable
reasonable grounds to know) that technology covered by a valid United States patent has
been or will be used without a license from the owner. To ensure proper notification, if
the Recipient uses or has used patented technology under this Award without a license or
permission from the owner, the Recipient must notify the Grants Officer:
However, this notice does not necessarily mean that the Government authorizes and
consents to any copyright or patent infringement occurring under the financial assistance.
c. Data, Databases, and Software. The rights to any work produced or purchased under a
DOC Award are determined by 15 C.F.R. §§ 14.36 or 24.34, as applicable. Such works
may include data, databases, or software. The Recipient owns any work produced or
purchased under a DOC Award subject to the Department's right to obtain, reproduce,
publish, or otherwise use the work or authorize others to receive, reproduce, publish, or
otherwise use the data for Federal Government purposes.
33
d. Copyright. The Recipient may copyright any work produced under a DOC Award
subject to the Department's royalty-free, non - exclusive, and irrevocable right to
reproduce, publish or otherwise use the work or authorize others to do so for Federal
Government purposes. Works jointly authored by the Department and Recipient
employees may be copyrighted, but only the part authored by the Recipient is protected
un 17 U.S.C. § 105, which provides that works produced by Federal Government
employees are not copyrightable in the United States. If the contributions of the authors
cannot be separated, the copyright status of the joint work is questionable. On occasion,
the Department may ask the Recipient to transfer to the Department its copyright in a
particular work when the Department is undertaking the pnmary dissemination of the
work. Ownership of copyright by the Federal Government through assignment is
permitted under 17 U.S.C. § 105.
5. Increasing Seat Belt Use in the United States. Pursuant to Executive Order 13043,
Recipients should encourage employees and contractors to enforce on-the-job seat belt
policies and programs when operating company- owned, rented, or personally -owned vehicles.
6. Research Involving Human Subjects.
a. All proposed research involving human subjects must be conducted in accordance with
15 C.F.R. part 27, "Protection of Human Subjects." No research involving human
subjects is permitted under this Award unless expressly authorized by special award
condition or otherwise authorized in writing by the Grants Officer.
b. Federal policy defines a human subject as a living individual about whom an investigator
conducting research obtains (i) data through intervention or interaction with the
individual, or (ii) identifiable private information. Research means a systematic
investigation, including research development, testing and evaluation, designed to develop
or contribute to generalizable knowledge.
c. The Department's regulations at 15 C.F.R. part 27 require that Recipients maintain
appropriate policies and procedures for the protection of human subjects. In the event it
becomes evident that human subjects may be involved in carrying out the purposes) of
this Award, the Recipient shall submit appropriate documentation to the Project Officer
for approval. This documentation may include:
(i) Documentation establishing approval of the Project by an institutional review board
("IRB") approved for jovernment -wide use under Department of Health and Human
Services guidelines (see 15 C.F.R. § 27.103);
(ii) Documentation to support an exemption for the Project under 15 C.F.R. § 27.101(b);
(iii) Documentation to support deferral for an exemption or IRB review under 15 C.F.R.
§ 27.118; or
(iv) Documentation of IRB approval of any modification to a prior approved protocol or
to an informed consent form.
d. No work involving human subjects may be undertaken, conducted, or costs incurred or
charged for human subjects research until the appropriate documentation is approved in
34
writing by the Grants Officer. Notwithstanding this prohibition, work may be initiated or
costs incurred or charged to the Project for protocol or instrument development related to
human subjects research.
7. Federal Employee Expenses. Federal agencies are generally barred from accepting funds
from a Recipient to pay transportation, travel, or other expenses for any federal employee
unless specifically approved in the terms of the Award. Use of Award funds (federal or non-
federal) or the Recipient's provision of in -kind goods or services for the purposes of
transportation, travel, or any other expenses for any federal employee may raise appropriation
augmentation issues. In addition, DOC policy prohibits the acceptance of gifts, including
travel payments for federal employees, from Recipients or applicants regardless of the source.
8. Preservation of Open Competition and Government Neutrality Towards Government
Contractors' Labor Relations on Federal and Federally- Funded Construction Projects.
Pursuant to Executive Order 13202, "Preservation of Open Competition and Government
Neutrality Towards Government Contractors' Labor Relations on Federal and Federally -
Funded Construction Projects," as amended by Executive Order 13208, unless the Project is
exempted under section 5(c) of the Order, bid specifications, Project- related agreements, or
other controlling documents for construction contracts awarded by Recipients or any
construction manager acting on their behalf, shall not:
a. Include any requirement or prohibition on bidders, offerors, contractors, or subcontractors
about entering into or adhenng to agreements with one or more labor organizations on the
same or related construction Project(s); or
b. Otherwise discriminate against bidders, offerors, contractors, or subcontractors for
becoming or refusing to become or remain signatories or otherwise to adhere to
agreements with one or more tabor organizations, on the same or other related
construction Project(s).
9. Minority Serving Institutions ( "MSIs ") Initiative. Pursuant to Executive Orders 13256,
"President's Board of Advisors on Historically Black Colleges and Universities," 13230
"President's Advisory Commission on Educational Excellence for Hispanic Americans," and
13270, "Tribal Colleges and Universities," the Department is strongly committed to
broadening the participation of MSIs in its financial assistance programs. The Department's
goals include achieving full participation of MSIs in order to advance the development of
human potential, strengthen the nation's capacity to provide high - quality education, and
increase opportunities for MSIs to participate in and benefit from federal financial assistance
programs. The Department encourages all applicants and Recipients to include meaningful
participation of MSIs. Institutions eligible to be considered MSIs are listed on the U.S.
Department of Education's website.
10. Research Misconduct. Scientific or research misconduct refers to the fabrication,
falsification or plagiarism in proposing, performing, or reviewing research, or in reporting
research results. It does not include honest errors or differences of opinion. The Recipient
organization has the primary responsibility to investigate allegations and provide reports to
the Federal Govenunent. Funds expended on an activity that is determined to be invalid or
unreliable because of scientific misconduct may result in a disallowance of costs for which the
institution may be liable for repayment to the awarding agency. The Office of Science and
Technology Policy at the White House published in the Federal Register on December 6,
35
2000 a final policy that addressed research misconduct (65 Fed. Reg. 76260). The policy was
developed by the National Science and Technology Council. The Department requires that
any allegation be submitted to the Grants Officer, who also will notify the DIG of such
allegation. Generally, the Recipient organization shall investigate the allegation and submit
its findings to the Grants Officer. The Department may accept the Recipient's findings or
proceed with its own investigation. The Grants Officer shall inform the Recipient of the
Department's final determination.
11. Publications, Videos, and Acknowledgment of Sponsorship Publication of the results or
findings of a research Project in appropriate professional journals and production of video or
other media is encouraged as an important method of recording and reporting scientific
information. It is also a constructive means to expand access to federally- funded research.
The Recipient is required to submit a copy to the funding agency and when releasing
information related to a funded Project include a statement that the Project or effort
undertaken was or is sponsored by DOC. The Recipient also is responsible for ensuring that
every publication of material (including Internet sites and videos) based on or developed
under an Award, except scientific articles or papers appearing in scientific, technical or
professional journals, contains the following disclaimer: "This [report/video] was prepared by
Recipient name] under [Award number] from [name of operating unit], U.S. Department of
Commerce. The statements, findings, conclusions and recommendations are those of the
author(s) and do not necessarily reflect the views of the [name of operating unit] or the U.S.
Department of Commerce." This disclaimer also applies to videos produced under DOC
Awards.
12. Care and Use of Live Vertebrate Animals. Recipients must com with the Laboratory
Animal Welfare Act of 1966 (Pub. L. No. 89 -544), as amended (7 .S.C. § 2131 et seq.)
(animal acquisition, transport, care, handling, and use in projects), and the implementing
regulations at 9 C.F.R. parts 1, 2, and 3; the Endangered Species Act (16 U.S.C.
§ 1531 et seq.); the Marine Mammal Protection Act (16 U.S.C. § 1361 et seq.) (taking
i ion, transport, purchase, sale, export or import of wildlife and plants); the
ndigenous Aquatic Nuisance Prevention and Control Act (16 U.S.C. § 4701 et seq.)
(ensure preventive measures are taken or that probable harm of using species is minimal if
there is an escape or release); and all other applicable statutes pertaining to the care, handling,
and treatment of warm blooded animals held for research, teaching, or other activities
supported by federal financial assistance. No research involving vertebrate animals is
permitted under any DOC Award unless authorized by the Grants Officer.
13. Homeland Security Directive. If the performance of this Award requires the Recipient to
have physical access to federal premises for more than 180 days or access to a federal
information system, personal identity verification procedures must be implemented. Any
items or services delivered under this Award shall comply with the Department's personal
identity verification procedures that implement Homeland Security Presidential
Directive — 12, FIPS PUB 201, and OMB Memorandum M- 05 -24. The Recipient shall insert
this clause in all subawards or contracts when the subaward recipient or contractor is required
to have physical access to a federally - controlled facility or access to a federal information
system.
36
14. Compliance with Department of Commerce Bureau of Industry and Security Export
Administration Regulations.
a. This clause applies to the extent that this Award involves access to export- controlled
information or technology.
b. In performing this Award, the Recipient may gain access to export- controlled information
or technology. The Recipient is responsible for compliance with all applicable laws and
regulations regarding export - controlled information and technology, including deemed
exports. The Recipient shall establish and maintain throughout performance of this Award
effective export compliance procedures at non -DOC facilities. At a minimum, these
export compliance procedures must include adequate controls of physical, verbal, visual,
and electronic access to export - controlled information and technology.
c. Definitions.
(i) Deemed Export. The Export Administration Regulations ( "EAR ") define a deemed
export as any release of technology or source code subject to the EAR to a foreign
national, both in the United States and abroad. Such release is "deemed" to be an
export to the home country of the foreign national. See 15 C.F.R. § 734.2(bX2Xii).
(ii) Export- controlled information and technology. Export- controlled information and
technology subject to the EAR (15 C.F.R. §§ 730 -774), implemented by the
Department's Bureau of Industry and Security, or the "International Traffic In Arms
Regulations" ( "ITAR ") (22 C.F.R. §§ 120 -130), implemented by the Department of
State, respectively. This includes but is not limited to dual -use items, defense
articles and any related assistance, services, software, or technical data as defined in
the EAR and ITAR.
d. The Recipient shall control access to all export - controlled information and technology that
it possesses or that comes into its possession in performance of this Award, to ensure that
access is restricted, or licensed, as required by applicable federal laws, Executive Orders,
or regulations.
e. Nothing in the Terms and Conditions of this Award is intended to change, supersede or
waive the requirements of applicable federal laws, Executive Orders, or regulations.
f. The Recipient shall include this subsection entitled "Compliance with Department of
Commerce Bureau of Industry and Security Export Administration Regulations,"
including this subparafraph (f), in all lower -tier transactions (sub - awards, contracts, and
subcontracts) under this Award that may involve access to export- controlled information
technology.
37
38
APPENDIX
THE FOLLOWING REFERENCE MATERIALS AND FORMS ARE AVAILABLE ONLINE:
1. 2 C.F.R. part 220 (codifying OMB Circular A -21, "Cost Principles for Educational Institutions ")
2. 2 C.F.R. part 225 (codifying OMB Circular A -87, "Cost Principles for State, Local and Indian Tribal
Governments ")
3. 2 C.F.R. part 230 (codifying OMB Circular A -122, "Cost Principles for Nonprofit Organizations ")
4. 2 C.F.R. part 1326, "Non- Procurement Debarment and Suspension"
5. 13 C.F.R. chapter III (EDA's regulations)
6. 15 C.F.R. part 14, "Uniform Administrative Requirements for Grants and Agreements with
Institutions of Higher Education, Hospitals, Other Non - Profit and Commercial Organizations"
(codifying OMB Circular A -110)
7. 15 C.F.R. part 24, "Uniform Administrative Requirements for Grants and Cooperative Agreements to
State and Local Governments"
8. 15 C.F.R. part 4, "Disclosure of Government Information"
9. 15 C.F.R. part 27, "Protection of Human Subjects"
10. 15 C.F.R. part 28, "New Restrictions on Lobbying"
11. 15 C.F.R. part 29, "Government -wide Requirements for Drug -Free Workplace (Financial
Assistance)"
12. 48 C.F.R. part 31, "Contract Cost Principles and Procedures"
13. OMB Circular A -102, "Grants and Cooperative Agreements with State and Local Governments"
14. OMB Circular A -133, "Audits of States, Local Governments and Nonprofit Organizations," and the
related Compliance Supplement
To access EDA's regulations, visit EDA's Internet website at
mvw.eda.gov/InvestmentsGrants/Lawsrez.xml.
To access the Code of Federal Regulations (C.F.R), visit the Government Printing Office's Internet
website atbttp : / /eefr..gpoaccess.gov /cgi/t/ text / text- idx ?c= ecfr &tpl— %2Findex.Ril.
To access the OMB Circulars, visit OMB's Internet website at
www.whitehouse.zoviomb/circularslintkx.html.
To access the Davis Bacon wage rate determinations, visit the Department of Labor's Internet website at
www.wdol.$ov /.
RDA FORMS:
1. Form CD - 281, "Report of Government Property in Possession of Contractor"
2. Form CD - 451, "Amendment to Financial Assistance Award'
3. Form CD - 346, "Identification - Applicant for Funding Assistance"
4. Form SF - 269, "Financial Status Report"
5. Form SF - 270, "Request for Advance or Reimbursement" (with Instructions)
6. Form SF - 271, "Outlay Report and Request for Reimbursement for Construction Programs"
7. Form SF - 272, "Federal Cash Transaction Report"
8. Form SF - LLL, "Disclosure of Lobbying Activities"
To access Department of Commerce forms ("CD'), visit the Department's Internet website at
http: / /ocio. os. doc. fov/ITPol icvandPrograms/El ectronic f orms/index. htm.
To access the Standard Forms ( "SF'), visit the General Services Administration's Internet website at
www.rsa.gov/Portalistsa/ezilformslibrarv.do?formTVIV=SF.
39