PY2021 FEDERAL AWARD T-C 6.28.21.PDF

PY 2021 Workforce Innovation and Opportunity Act (WIOA)
Youth, Adult & Dislocated Workers Grant Agreement
TERMS AND CONDITIONS
Table of Contents
1. Order of Precedence ...............................................................................................................3
2. Notice of Award ......................................................................................................................3
3. Training and Employment Guidance Letter (TEGL) No. 19-20 .......................................3
4. Administrative Law Judge Removal of Award ...................................................................4
5. Federal Project Officer ..........................................................................................................4
6. Approved Budget ....................................................................................................................4
7. Return of Funds ......................................................................................................................5
8. Evaluation, Data, and Implementation ................................................................................5
9. Cost Limitation Restrictions ..................................................................................................5
a. Administrative Costs ................................................................................................................5
b. PY 2019 Administrative Costs Limit Change – Coronavirus Aid, Relief, and Economic
Security (CARES) Act ..........................................................................................................5
c. PY 2019 Rapid Response Activities Change – CARES Act ....................................................5
d. Single Audit Submission Deadline Extension Related to COVID-19 .....................................6
e. Budget Flexibility .....................................................................................................................6
f. Consultants ...............................................................................................................................6
g. Non-Federal Share (Match or Cost Share) ...............................................................................7
h. Travel ........................................................................................................................................7
i. Travel – Foreign .......................................................................................................................7
j. Travel – Mileage Reimbursement Rates ..................................................................................7
k. WIOA Infrastructure ................................................................................................................7
10. Administrative Requirements ...............................................................................................8
a. SF-424, Application for Federal Assistance, and SF-424B, Assurances and Certifications ....8
b. Audits .......................................................................................................................................8
c. Revisions to the Uniform Guidance .........................................................................................8
d. Changes in Micro-purchase and Simplified Acquisition Thresholds .......................................9
e. Closeout/Final Year Requirements ..........................................................................................9
f. Equipment ................................................................................................................................9
g. Federal Funding Accountability and Transparency Act (FFATA) ..........................................9
h. Personally Identifiable Information ........................................................................................12
i. Pre-Award ..............................................................................................................................12
j. Procurement ............................................................................................................................13
k. Program Income .....................................................................................................................13
l. Recipient Integrity and Performance Matters ........................................................................13
m. Reports ....................................................................................................................................15
n. Requirements for Conference and Conference Space ............................................................15
o. Subawards ..............................................................................................................................15
p. Supportive Services & Participant Support Costs ..................................................................16
q. System for Award Management (SAM) ................................................................................16
r. Vendor/Contractor ..................................................................................................................18
s. Whistleblower Protection .......................................................................................................18
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t. Telecommunications ..............................................................................................................18
u. Intellectual Property Rights ....................................................................................................19
v. Domestic Preferences for Procurements ................................................................................20
w. Funding for Pay-For-Performance Contract Strategies ..........................................................20
11. Program Requirements ........................................................................................................20
12. FY 2021 Federal Appropriations Requirements ...............................................................20
a. Requirement to Provide Certain Information in Public Communications .............................20
b. Fair Labor Standards Act Amendment for Major Disasters ...................................................21
c. Health Benefits Coverage for Contraceptives ........................................................................22
d. Privacy Act .............................................................................................................................22
e. Prohibition on Contracting with Corporations with Felony Criminal Convictions ...............22
f. Prohibition on Contracting with Corporations with Unpaid Tax Liabilities ..........................22
g. Prohibition on Procuring Goods Obtained Through Child Labor ..........................................22
h. Prohibition on Providing Federal Funds to Association of Community Organizations for
Reform Now (ACORN) ......................................................................................................23
i. Reporting of Waste, Fraud and Abuse ...................................................................................23
j. Requirement for Blocking Pornography ................................................................................23
k. Restriction on Health Benefits Coverage for Abortions ........................................................23
l. Restriction on Lobbying/Advocacy ........................................................................................23
m. Publicity ..................................................................................................................................24
n. Restriction on the Promotion of Drug Legalization ...............................................................24
o. Restriction on Purchase of Sterile Needles or Syringes .........................................................24
p. Salary and Bonus Limitations ................................................................................................24
13. Public Policy ..........................................................................................................................25
a. Architectural Barriers .............................................................................................................25
b. Drug-Free Workplace .............................................................................................................25
c. Executive Orders ....................................................................................................................25
12928: .........................................................................................................................................25
13043: .........................................................................................................................................25
13166: .........................................................................................................................................25
13513: .........................................................................................................................................26
14005: .........................................................................................................................................26
d. Flood Insurance ......................................................................................................................26
e. Hotel-Motel Fire Safety ..........................................................................................................26
f. Prohibition on Trafficking in Persons ....................................................................................27
g. Veterans’ Priority Provisions .................................................................................................28
14. Technical Assistance, Resources, and Information ...........................................................29
15. Attachments ..........................................................................................................................29
Attachment A: SF-424
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1. Order of Precedence
In the event of any inconsistency between the terms and conditions of this Notice of
Award (NOA) and other requirements, the following order of precedence shall apply:
I. Workforce Innovation and Opportunity Act (Public Law 113-128).
II. Other applicable Federal statutes.
III. Consolidated Appropriations Act, 2021 (Public Law 116-260) dated December
27, 2020.
IV. Implementing Regulations.
V. Executive Orders and Presidential Memoranda.
VI. The Office of Management and Budget (OMB) Guidance, including the Uniform
Guidance at 2 CFR 200 and 2900.
VII. The U.S. Department of Labor (DOL)/Employement and Training Administation
(ETA) Directives.
VIII. Terms and conditions of this award.
2. Notice of Award
The funds that are provided under this NOA must be expended according to all applicable
Federal statutes, regulations and policies, including those of the Workforce Innovation
and Opportunity Act (WIOA), the applicable approved WIOA State Plan (including
approved modifications and amendments to the plan), and any waiver plan approved
under WIOA Section 189(i)(3) or Workforce Flexibility (Workflex) plan approved under
WIOA Section 190, the negotiated performance levels and policies established pursuant
to the Secretary’s authority under WIOA Section 116, and the applicable provisions in
the appropriations act(s).
The funds shall be obligated and allocated via a NOA grant modification. These
obligations and expenditures may not exceed the amount awarded by the NOA
modification unless otherwise modified by the ETA.
3. Training and Employment Guidance Letter (TEGL) No. 19-20
Training and Employment Guidance Letter (TEGL) No. 19-20 and any amendments
https://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=4427 are hereby incorporated into
this Grant Agreement. Award recipients are bound by the authorizations, restrictions,
and requirements contained in the TEGL. Therefore, the expenditure of grant funds by
the award recipient certifies that (your organization has read and will comply with all the
parts that are contained in the Notice of Award (NOA).
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4. Administrative Law Judge Removal of Award
By drawing down funds, your organization as the award recipient agrees to the provisions
of 20 CFR 683.820(b)(6), which states:
“Any organization selected and/or funded under WIOA Title I,
Subtitle D, is subject to having its award removed if an
Administrative Law Judge (ALJ) decision so orders. As part of this
process, the Grant Officer will provide instructions on transition
and closeout to both the newly selected grantee and to the grantee
whose positions is affected or which is being removed.”
5. Federal Project Officer
The DOL/ETA Federal Project Officer (FPO) for this award is:
Name: Jeffrey Patton
Telephone: 415- 625-7945
E-mail: Patton.Jeffrey.D@dol.gov
The FPO is not authorized to change any of the terms or conditions of the award, or
approve prior approval requests. Any changes to the terms or conditions or prior
approvals must be approved by the Grant Officer through the use of a formally executed
award modification process.
6. Approved Budget
The grant award recipient’s budget documents are attached in this NOA. The documents
are: 1) the SF-424, included as Attachment A. As the grant award recipient, the grantee
must confirm that all costs are allowable before creating any expenses. Pursuant to 2 CFR
2900.1, the approval of the budget as awarded does not constitute prior approval of those
items specified in 2 CFR part 200 or as a part of the grant award as requiring prior
approval. The Grant Officer is the only official with the authority to provide such
approval.
Any changes to the budget that impact the Statement of Work (SOW) and agreed upon
outcomes or deliverables will require a request for modification and prior approval from
the Grant Officer.
If the period of performance will include multiple budget periods, subsequent budget
periods are subject to the availability of funds, program authority, satisfactory
performance, and compliance terms and conditions of the Federal award.
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7. Return of Funds
DOL/ETA does not accept paper checks for any type of returned funds. For active grants,
all returns of funds are to be submitted electronically through the PMS operated by the
U.S. Department of Health and Human Services (HHS) via the same method as a
drawdown. For grants that have been cancelled or are expired (typically older than five
years), incoming payments, including returns and recoveries to DOL, must be made via
the Pay.gov website (https://www.pay.gov/public/form/start/177233981).
If there are questions regarding the return of funds or your organization no longer has
access to PMS, contact the DOL, ETA, Office of Financial Administration via email at:
ETA-ARteam@dol.gov for further assistance.
8. Evaluation, Data, and Implementation
As the grant award recipient, the grantee must cooperate during the implementation of a
third-party evaluation. This means providing DOL or its authorized contractor with the
appropriate data and access to program operating personnel and participants in a timely
manner.
9. Cost Limitation Restrictions
a. Administrative Costs
Administrative costs are defined in the WIOA at 20 CFR 683.215. Limitations on
administrative costs are described at 20 CFR 683.205. Under no circumstances may the
administrative costs exceed these limits. The grant recipient will be monitored for
compliance with the administrative cost limits throughout the grant’s period of
performance. Any amounts that exceed these limitations will be disallowed and subject
to debt collection.
b. PY 2019 Administrative Costs Limit Change – Coronavirus Aid, Relief, and
Economic Security (CARES) Act
Pursuant to Public Law 116-136 (the CARES Act), and notwithstanding WIOA section
128(b)(4), for PY 2019, not more than 20% of the total amount allocated to a local area
may be used for the administrative costs of carrying out local workforce investment
activities under WIOA Chapter 2 (Youth Workforce Investment Activities) and Chapter 3
(Adult and Dislocated Worker Employment and Training Activities), if the portion of the
total amount of administrative costs that exceeds 10% of the total amount allocated is
used to respond to a qualifying emergency.
c. PY 2019 Rapid Response Activities Change – CARES Act
Pursuant to Public Law 116-136 (the CARES Act), the funds reserved by a Governor for
PY 2019 for statewide activities under WIOA 128(a) that remain unobligated may be
used for statewide rapid response activities as described in WIOA 134(a)(2)(A) for
responding to a qualifying emergency.
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d. Single Audit Submission Deadline Extension Related to COVID-19
In OMB Memorandum M-20-17, OMB offered an extension of Single Audit submission
deadlines for fiscal years ending June 30, 2020 to allow recipients and subrecipients a
responsible transition to normal operations. This flexibility was extended through
December 31, 2020 by OMB Memorandum 20-26.
In OMB Memorandum M-21-20, Appendix 3, Item IX, OMB has offered an additional
extension of Single Audit submission deadlines for fiscal years ending June 30, 2021.
Award recipients and subrecipients that have not yet filed their single audits with the
Federal Audit Clearinghouse as of March 19, 2021 that have fiscal year-ends through
June 30, 2021 may delay the completion and submission of the Single Audit reporting
package, as required under 2 CFR § 200.501 (Audit Requirements), to six (6) months
beyond the normal due date. This extension does not require individual recipients and
subrecipients to seek approval for the extension by the cognizant or oversight agency for
audit; however, recipients and subrecipients should maintain documentation of the reason
for the delayed filing.
e. Budget Flexibility
Federal recipients are not permitted to make transfers that would cause any funds to be
used for purposes other than those consistent with this Federal program. Any budget
changes that impact the SOW and agreed upon outcomes or deliverables require a request
for modification and approval from the Grant Officer.
As directed in 2 CFR 200.308(e), for programs where the Federal share is over the
Simplified Acquisition Threshold (SAT) (currently $250,000), the transfer of funds
among direct cost categories or programs, functions, and activities is restricted such that
if the cumulative amount of such transfers exceeds or is expected to exceed 10% of the
total budget as last approved by the Federal awarding agency, the recipient must receive
prior approval from the Grant Officer. Any changes within a specific cost category on the
SF424(a) do not require a grant modification unless the change results in a cumulative
transfer among direct cost categories exceeding 10% of total budget. It is recommended
that the assigned FPO review any within-line changes to the grant award recipient’s
budget prior to implementation to ensure they do not require a modification.
For programs where the Federal share of the project is below the SAT of $250,000,
recipients are not required to obtain the Grant Officer’s approval when transferring funds
among direct cost categories.
f. Consultants
For the purposes of this grant award, the ETA’s Grant Officer has determined that fees
paid to a consultant who provides services under a program shall be limited to $750.00 a
day (representing an eight-hour workday). Such costs must be reasonable, allocable and
allowable to the program. Any fees paid in excess of this amount cannot be paid without
prior approval from the Grant Officer.
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g. Non-Federal Share (Match or Cost Share)
This grant award does not include a match requirement.
h. Travel
This award waives the prior approval requirement for domestic travel as contained in 2
CFR 200.475. For domestic travel to be an allowable cost, it must be necessary,
reasonable, allocable and conform to the non-Federal entity’s written policies and
procedures. All travel must also comply with Fly America Act (49 USC 40118), which
states in part that any air transportation, regardless of price, must be performed by, or
under a code-sharing arrangement with, a U.S. Flag air carrier if service provided by such
carrier is available.
i. Travel – Foreign
Funds that are awarded and authorized to carry out an activity under WIOA, Subtitle B
cannot be used for foreign travel.
j. Travel – Mileage Reimbursement Rates
Pursuant to 2 CFR 200.475(a), all award recipients must have policies and procedures in
place related to travel costs; however, for reimbursement on a mileage basis, this Federal
grant award cannot be charged more than the maximum allowable mileage
reimbursement rates for Federal employees. Mileage rates must be checked annually at
www.gsa.gov/mileage to ensure compliance.
k. WIOA Infrastructure
WIOA, Section 121(b)(1)(B) and 20 CFR 678.400 require the following programs to be
One-Stop partners:
A. WIOA, Title I programs: Adult, Dislocated Worker, and Youth formula
programs, Job Corps, YouthBuild, Native American programs, National
Dislocated Worker Grants (DWG), and NFJP;
B. Wagner-Peyser Act Employment Service (ES) program authorized under the
Wagner-Peyser Act (29 U.S.C. 49 et seq.), as amended by WIOA, Title III;
C. SCSEP authorized under Title V of the Older Americans Act of 1965;
D. Trade Adjustment Assistance (TAA) activities authorized under Chapter 2 of
Title II of the Trade Act of 1974;
E. Unemployment Compensation (UC) programs;
F. Jobs for Veterans State Grants (JVSG) programs authorized under Chapter 41 of
Title 38, U.S.C.; and
G. Reentry Employment Opportunities (REO) programs (formerly known as the
Reintegration of Ex-Offenders Program (RExO) awarded prior to January 1, 2019
which were authorized under Section 212 of the Second Chance Act of 2007 (42
U.S.C. 17532).
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With the exception of Native American programs established under WIOA, Section 166
all One-Stop partner programs including all programs that are funded under Title I of
WIOA are required to contribute to the infrastructure costs and certain additional costs of
the One-Stop delivery system in proportion to their use and relative benefits received, per
20 CFR 678.700 and 678.760. While Native American programs are not required to
contribute to infrastructure costs per WIOA Section 121(h)(2)(D)(iv), they are strongly
encouraged to contribute as stated in TEGL No. 17-16. The sharing and allocation of
infrastructure costs between One-Stop partners is governed by WIOA Section 121(h),
WIOA’s implementing regulations, and the Federal Cost Principles contained in the
Uniform Guidance at 2 CFR part 200 and DOL’s exceptions at 2 CFR part 2900. The
Federal Cost Principles state that a partner’s contribution is an allowable, reasonable,
necessary, and allocable cost to the program and is consistent with other legal
requirements.
10. Administrative Requirements
a. SF-424, Application for Federal Assistance, and SF-424B, Assurances and
Certifications
The signed SF-424, Application for Federal Assistance, has been included as an
attachment to this grant award. The individual that signed the SF-424 on behalf of the
applicant is considered the Authorized Representative of the applicant. As stated in block
21 of the SF-424 form, the signature of the Authorized Representative on the SF-424
certifies that the grant award recipient is in compliance with the Assurances and
Certifications form SF-424B (available at
http://apply07.grants.gov/apply/forms/sample/SF424B-V1.1.pdf). The grant award
recipient does not need to submit the SF-424B form separately.
b. Audits
Organization-wide or program-specific audits must be performed in accordance with
Subpart F, the Audit Requirements of the Uniform Guidance. DOL awards recipients that
expend $750,000 or more in a year from any Federal awards must have an audit
conducted for that year in accordance with the requirements contained in 2 CFR 200.501.
OMB’s approved exception at 2 CFR 2900.2 expands the definition of ‘non-Federal
entity’ to include for-profit entities and foreign entities. As such, for-profit and foreign
entities that are recipients/subrecipients of a DOL award must adhere to the Uniform
Guidance at 2 CFR 200, including Subpart F. Audits of direct award recipients that are
for-profit and foreign entities must be submitted directly to: USDOL ETA-OGM, Attn:
Audit Resolution, 200 Constitution Ave NW, Room N4716, Washington, DC 20210. All
other audit reports are submitted through the Federal Audit Clearinghouse.
c. Revisions to the Uniform Guidance
The Office of Management and Budget issued revisions to 2 CFR parts 25, 170, 183, and
200 (the Uniform Guidance) on August 13, 2020. These revisions became effective
November 12, 2020, except for the amendments to §§ 200.216 and 200.340, which were
immediately effective on August 13, 2020. The grant award recipient must operate in
compliance with these revised regulations. Please note that the section numbering in the
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Uniform Guidance has changed in some instances, and this Terms & Conditions
document has been updated accordingly.
d. Changes in Micro-purchase and Simplified Acquisition Thresholds
OMB’s memorandum M-18-18, issued on June 20, 2018, increased the threshold for
micro-purchases under Federal financial assistance awards from $3,500 to $10,000 and
the threshold for simplified acquisitions under Federal financial assistance awards from
$100,000 to $250,000. These two threshold increases were effective for all of ETA’s
grant recipients as of October 1, 2018. All ETA grant recipients should carefully review
the above-referenced memorandum and make any necessary updates to their financial
and administrative policies, procedures, and systems as a result of these threshold
increases.
e. Closeout/Final Year Requirements
At the end of the grant period, the award recipient will be required to close the grant with
the ETA. The grant recipient will be notified approximately 15 days prior to the end of
the period of performance that the closeout process will begin when the period of
performance ends. See https://www.dol.gov/agencies/eta/grants/management/closeout
for further information on the closeout process. The recipient’s responsibilities at
closeout may be found at 2 CFR 200.344. During the closeout process, the grant recipient
must be able to provide documentation for all direct and indirect costs that are incurred.
For instance, if an organization is claiming indirect costs, the required documentation is a
NICRA or CAP issued by the grantee’s FCA. For those approved to utilize a de minimis
rate for indirect costs, the grant agreement is sufficient documentation. Not having
documentation for direct or indirect costs will result in costs being disallowed and subject
to debt collection.
The only liquidation that can occur during closeout is the liquidation of accrued
expenditures (NOT obligations) for goods and/or services received during the grant
period (2 CFR 2900.15).
f. Equipment
The requirement that grant recipients obtain prior approval from the Grant Officer for all
purchases of equipment (as described in 2 CFR 200.439) is waived in accordance with 2
CFR 200.308(c)(4) and 20 CFR 683.200, and approval authority is delegated to the
Governor for programs funded under Section 127 (Youth) or Section 132 (Adult &
Dislocated Worker) of WIOA or under the Wagner-Peyser Act. Notwithstanding this
waiver, the Grant Officer reserves the right to reimpose the requirement of prior
approval, after providing advance notice to the grant recipient.
g. Federal Funding Accountability and Transparency Act (FFATA)
1. Reporting of first-tier subawards.
I. Applicability. Unless the grant award recipient is exempt as provided in
paragraph [4.] of this award term, the grantee must report each action that
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equals or exceeds $30,000 in Federal funds for a subaward to an non-Federal
entity or Federal agency (see definitions in paragraph [5.] of this award term).
II. Where and when to report.
I. The Federal entity or Federal agency must report each obligating action
described in paragraph [1.i.] of this award term to https://www.fsrs.gov.
II. For subaward information, the recipient must report no later than the end
of the month following the month in which the obligation was made.
(For example, if the obligation was made on November 7, 2010, the
obligation must be reported by no later than December 31, 2010.)
III. What to report. The grant award recipient must report the information about
each obligating action that the submission instructions posted at
https://www.fsrs.gov specify.
2. Reporting total compensation of recipient executives for non-Federal entities.
I. Applicability and what to report. The grant award recipient must report total
compensation for each of their five most highly compensated executives for
the preceding completed fiscal year, if—
I. the total Federal funding authorized to date under this Federal award is
equals or exceeds $30,000 as defined in 2 CFR 170.320;
II. in the preceding fiscal year, the grantee received—
(A) 80% or more of the annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject
to the Transparency Act, as defined at 2 CFR 170.320 (and
subawards); and
(B) $25,000,000 or more in annual gross revenues from Federal
procurement contracts (and subcontracts) and Federal financial
assistance subject to the Transparency Act, as defined at 2 CFR
170.320 (and subawards); and
III. The public does not have access to information on the compensation of
the executives through periodic reports filed under section 13(a) or 15(d)
of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or
Section 6104 of the Internal Revenue Code of 1986. (To determine if the
public has access to the compensation information, see the U.S. Security
and Exchange Commission (SEC) total compensation filings at
https://www.sec.gov/answers/execomp.htm.)
II. Where and when to report. The grant award recipient must report executive
total compensation described in paragraph [2.a.] of this award term:
a. As part of your registration profile at http://www.sam.gov.
b. By the end of the month following the month in which this award is
made, and annually thereafter.
3. Reporting of Total Compensation of Subrecipient Executives.
I. Applicability and what to report. Unless the grantee is exempt as provided in
paragraph [4.]of this award term, for each first-tier non-Federal entity
subrecipient under this award, the grant award recipient shall report the names
and total compensation of each of the subrecipient's five most highly
compensated executives for the subrecipient's preceding completed fiscal
year, if—
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I. in the subrecipient's preceding fiscal year, the subrecipient received—
(A) 80% or more of its annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject
to the Transparency Act, as defined at 2 CFR 170.320 (and
subawards); and
(B) $25,000,000 or more in annual gross revenues from Federal
procurement contracts (and subcontracts), and Federal financial
assistance subject to the Transparency Act (and subawards); and
II. The public does not have access to information on the compensation of
the executives through periodic reports filed under Section 13(a) or
15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a),
78o(d)) or Section 6104 of the Internal Revenue Code of 1986. (To
determine if the public has access to the compensation information, see
the SEC total compensation filings at
https://www.sec.gov/answers/execomp.htm.)
II. Where and when to report. The grant award recipient must report subrecipient
executive total compensation described in paragraph [3.a] of this award term:
I. To the recipient.
II. By the end of the month following the month during which the grantee
make the subaward. For example, if a subaward is obligated on any date
during the month of October of a given year (i.e., between October 1 and
31), the grantee must report any required compensation information of
the subrecipient by November 30 of that year.
4. Exemptions.
If, in the previous tax year, the grant award recipient had gross income, from all
sources, under $300,000, the grantee is exempt from the requirements to report:
a. Subawards, and
b. The total compensation of the five most highly compensated executives of any
subrecipient.
5. Definitions.
For purposes of this award term:
a. Federal Agency means a Federal agency as defined at 5 U.S.C. 551(1) and
further clarified by 5 U.S.C. 552(f).
b. Non-Federal Entity means all of the following, as defined in 2 CFR part 25:
I. A Governmental organization, which is a State, local government, or
Indian tribe;
II. A foreign public entity;
III. A domestic or foreign nonprofit organization; and
IV. A domestic or foreign for-profit organization.
c. Executive means officers, managing partners, or any other employees in
management positions.
d. Subaward:
I. This term is used as a legal instrument to provide support for the
performance of any portion of the substantive project or program for
which the grantee received this award and that the grantee as the
recipient award to an eligible subrecipient.
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II. The term does not include the grant award recipient procurement of
property and services needed to carry out the project or program (for
further explanation, see [2 CFR 200.330]).
III. A subaward may be provided through any legal agreement, including an
agreement that the grantee or a subrecipient considers a contract.
e. Subrecipient means a non-Federal entity or Federal agency that:
I. Receives a subaward from the grant award recipient under this award;
and
II. Is accountable to the grantee for the use of the Federal funds provided by
the subaward.
f. Total compensation means the cash and noncash dollar value earned by the
executive during the recipient's or subrecipient's preceding fiscal year and
includes the following (for more information see 17 CFR 229.402(c)(2)):
I. Salary and bonus.
II. Awards of stock, stock options, and stock appreciation rights. Use the
dollar amount recognized for financial statement reporting purposes with
respect to the fiscal year in accordance with the Statement of Financial
Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared
Based Payments.
III. Earnings for services under non-equity incentive plans. This does not
include group life, health, hospitalization or medical reimbursement
plans that do not discriminate in favor of executives, and are available
generally to all salaried employees.
IV. Change in pension value. This is the change in present value of defined
benefit and actuarial pension plans.
V. Above-market earnings on deferred compensation which is not tax-
qualified.
VI. Other compensation, if the aggregate value of all such other
compensation (e.g. severance, termination payments, value of life
insurance paid on behalf of the employee, perquisites or property) for
the executive exceeds $10,000.
h. Personally Identifiable Information
The grant award recipient(s) must recognize and safeguard Personally Identifiable
Information (PII) except where disclosure is allowed by prior written approval of the
Grant Officer or by court order. Award recipients must meet the requirements in TEGL
No. 39-11, Guidance on the Handling and Protection of PII, can be found at
http://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=7872.
i. Pre-Award
All costs incurred by the award recipient prior to the start date specified in the grant
award issued by the Department are incurred at the recipient’s own expense.
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j. Procurement
The Uniform Guidance (2 CFR 200.317) require States (as defined at 2 CFR 200.1) to
follow the same procurement policies and procedures it uses for non-Federal funds. The
state must comply with 2 CFR 200.321, 200.322, and 200.323 and ensure that every
purchase order or other contract includes any clauses required by § 200.327. The grant
award recipient(s) must also follow the requirements regarding the competitive selection
of One-Stop Operators at WIOA Sections 121(d) and 123.
k. Program Income
The “Addition” method as described in 2 CFR 200.307 must be used in allocating any
program income generated for this grant award. The grant award recipient must expend
all program income prior to drawing down any additional funds as required at 2 CFR
200.305(b)(5) and 2 CFR 200.307(e). Any program income found remaining at the end of
period of performance must be returned to ETA. In addition, the grant award recipient(s)
must report program income on the quarterly financial report using the ETA-9130 report.
l. Recipient Integrity and Performance Matters
1. If the total value of the currently active grants, cooperative agreements, and
procurement contracts from all Federal awarding agencies exceeds $10,000,000 for
any period of time during the period of performance of this Federal award, then the
grant award recipient during that period of time must maintain the currency of
information reported to the System for Award Management (SAM) that is made
available in the designated integrity and performance system (currently the Federal
Awardee Performance and Integrity Information System (FAPIIS)) about civil,
criminal, or administrative proceedings described in Paragraph 2 of this award term
and condition. This is a statutory requirement under Section 872 of Public Law 110-
417, as amended (41 U.S.C. 2313). As required by Section 3010 of Public Law 111-
212, all information posted in the designated integrity and performance system on or
after April 15, 2011, except past performance reviews required for Federal
procurement contracts, will be publicly available.
2. Proceedings about which the grant recipient must report. Submit the information
required about each proceeding that:
a. Is in connection with the award or performance of a grant, cooperative agreement,
or procurement contract from the Federal Government;
b. Reached its final disposition during the most recent 5-year period; and
c. Is one of the following:
I. A criminal proceeding that resulted in a conviction, as defined in Paragraph 5.
of this award term;
II. A civil proceeding that resulted in a finding of fault and liability and paying a
monetary fine, penalty, reimbursement, restitution, or damages of $5,000 or
more;
III. An administrative proceeding, as defined in Paragraph 5. of this award term,
that resulted in a finding of fault and liability and grantee payment of either
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monetary fine or penalty of $5,000 or more or a reimbursement, restitution, or
damages in excess of $100,000; or
IV. Any other criminal, civil, or administrative proceeding if:
(A) It could have led to an outcome described in Paragraph 2.c.I, II, or III of
this award term;
(B) It had a different disposition arrived at by consent or compromise with
an acknowledgment of fault on the grantee’s part; and
(C) The requirement in this award term to disclose information about the
proceeding does not conflict with applicable laws and regulations.
3. Reporting procedures. Enter in SAM, Entity Management area (formerly CCR), or
any successor system, the FAPIIS information that SAM requires about each
proceeding described in Paragraph 2. of this award term. The grant award recipient
does not need to submit the information a second time under assistance awards that
were received if the recipient already provided the information through SAM
(formerly CCR) because the recipient was required to do so under Federal
procurement contracts that the recipient was awarded.
4. Reporting frequency. During any period of time when the grant award recipient is a
subject to the requirement in paragraph 1. of this award term, the grantee must report
FAPIIS information through SAM no less frequently than semiannually following the
initial report of any proceedings for the most recent 5-year period, either to report
new information about any proceeding(s) that the grantee has not reported previously
or affirm that there is no new information to report.
5. Definitions. For purposes of this award term:
a. Administrative proceeding means a non-judicial process that is adjudicatory in
nature in order to make a determination of fault or liability (e.g., SEC
Administrative proceedings, Civilian Board of Contract Appeals proceedings, and
Armed Services Board of Contract Appeals proceedings). This includes
proceedings at the Federal and State level. It does not include audits, site visits,
corrective plans, or inspection of deliverables.
b. Conviction, for purposes of this award term, means a judgment or conviction of a
criminal offense by any court of competent jurisdiction, whether entered upon a
verdict or a plea, and includes a conviction entered upon a plea of nolo contendere.
c. Total value of currently active grants, cooperative agreements, and procurement
contracts includes —
I. Only the Federal share of the funding under any award with a recipient cost
share or match; and
II. The value of all options, even if not yet exercised.
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m. Reports
All ETA grant award recipients are required to submit quarterly financial and narrative
progress reports for each grant award.
a. Quarterly Financial Reports. All ETA grant award recipients are required to
report financial data on the ETA-9130 Finanical Report. ETA-9130 reports are
due no later than 45 calendar days after the end of each specified reporting quarter.
Reporting quarter end dates are March 31, June 30, September 30, and December
31. A final financial report must be submitted no later than 45 calendar days after
the quarter encompassing the grant award end date ends, or 45 calendar days after
the completion of the quarter in which all funds have been expended, whichever
comes first. For grants awarded before November 12, 2020, a closeout ETA-9130
report must be submitted no later than 90 calendar days after the grant period of
performance ends. For grants awarded after November 12, 2020, a closeout ETA-
9130 report must be submitted no later than 120 calendar days after the grant
period of performance ends. See 2 CFR 200.344. A closeout report will be
submitted during the closeout process. For additional guidance on ETA’s financial
reporting, reference TEGL 20-19 and https://www.doleta.gov/grants/pdf/ETA-
9130_Financial_Reporting_Resources.pdf
The instructions for accessing both the online financial reporting system and the
HHS PMS can be found in the transmittal memo accompanying this NOA.
n. Requirements for Conference and Conference Space
Conferences sponsored in whole or in part by the grant award recipient are allowable if
the conference is necessary and reasonable for the successful performance of the Federal
Award. The grant award recipients are urged to use discretion and good judgment to
ensure that all conference costs charged to the grant are appropriate and allowable. For
more information on the requirements and the allowability of costs associated with
conferences, refer to 2 CFR 200.432. Recipients will be held accountable to the
requirements in 2 CFR 200.432. Therefore, costs that do not comply with 2 CFR 200.432
will be questioned and may be disallowed.
o. Subawards
A subaward means an award provided by a Pass-Through Entity (PTE) to a subrecipient
for the subrecipient to carry out part of a Federal award received by the PTE. It does not
include payments to a contractor or payments to an individual that is a beneficiary of a
Federal program. A subaward may be provided through any form of legal agreement,
including an agreement that the PTE considers a contract.
The provisions of the Terms and Conditions of this award will be applied to any
subrecipient under this award. The recipient is responsible for monitoring the
subrecipient, ensuring that the Terms and Conditions are in all subaward packages and
that the subrecipient complies with all applicable regulations and the Terms and
Conditions of this award (2 CFR 200.101(b)).
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p. Supportive Services & Participant Support Costs
When supportive services are expressly authorized by a program statute, regulation, or
FOA, this award waives the prior approval requirement for participant support costs as
described in 2 CFR 200.456. Costs must still meet the basic considerations at 2 CFR
200.402 – 200.411. Questions regarding supportive services and participant support costs
should be directed to the FPO who is assigned to the grant.
q. System for Award Management (SAM)
SAM is the official federal system that collects, validates, stores, and disseminates
business information about the federal government's trading partners in support of
contract awards, grants, and electronic payment processes. A SAM registration is
required for an entity to be able to apply for federal grants, to request modifications to
existing grants, and to enable them to closeout expiring grants. See Training and
Employment Notice 18-17 for additional guidance.
Unless the grant award recipient is exempt from this requirement under 2 CFR 25.110,
the grantee must maintain current its information in the SAM. This includes information
on the recipient’s immediate and highest level owner and subsidiaries, as well as on all of
the recipient’s predecessors that have been awarded a Federal contract or Federal
financial assistance within the last three years, if applicable, until the grantee submits the
final financial report required under this Federal award or receive the final payment,
whichever is later. This requires that the grantee review and update the information at
least annually after the initial registration, and more frequently if required by changes in
its information or another Federal award term.
1. Unique Entity Identifier Requirements
If the grant award recipient is authorized to make subawards under this award, then the
grantee:
i. Must notify potential subrecipients that no entity (see definitions below) may
receive a subaward from the grant award recipient until the entity has provided its
unique entity identifier to the grantee.
ii. May not make a subaward to an entity unless the entity has provided its Unique
Entity Identifier to the grantee. Subrecipients are not required to obtain an active
SAM registration, but must obtain a Unique Entity Identifier.
NOTE: At some point, the DUNS Number will be replaced by a new, non-proprietary
identifier requested in and assigned by SAM.gov. This new identifier is being called the
Unique Entity Identifier (UEI), or the Entity ID. Users should continue using the DUNS
Number in UEI fields until further notice. To learn more about SAM’s rollout of the UEI,
please visit gsa.gov/entityid.
2. Definitions
For purposes of this term:
i. SAM is the Federal repository where the grant award recipients must provide
information required for the conduct of business as recipients. Additional
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information about registration procedures may be found at the SAM website
(http://www.sam.gov).
ii. Unique entity identifier means the identifier assigned by SAM to uniquely
identify business entities.
iii. Entity, as it is used in this grant award term, includes all of the following, as
defined at 2 CFR Part 25, Appendix A:
a. A non-Federal entity as defined at 2 CFR 200.1 (A State, local
government, Indian Tribe, Institute of Higher Education (IHE), or
nonprofit organization that carries out a Federal award as a recipient or
subrecipient);
b. A foreign organization;
c. A foreign public entity;
d. A domestic for-profit organization; and
e. A Federal agency.
iv. Subaward means:
An award provided by a pass-through entity to a subrecipient for the
subrecipient to carry out part of a Federal award received by the pass-
through entity. It does not include payments to a contractor or payments to
an individual that is a beneficiary of a Federal program. A subaward may
be provided through any form of legal agreement, including an agreement
that the pass-through entity considers a contract.
v. Subrecipient means:
An entity, usually but not limited to non-Federal entities, that receives a
subaward from a pass-through entity to carry out part of a Federal award;
but does not include an individual that is a beneficiary of such award. A
subrecipient may also be a recipient of other Federal awards directly from
a Federal awarding agency.
3. Existing SAM Registrants
ETA advises grant recipients registered in SAM to review their registration information,
particularly their financial information and points of contact. Assistance is available by
contacting the Federal Service Desk at www.fsd.gov. Grant recipients should contact
ETA at ETAAccountingGrants@dol.gov if they find that payments have been paid to a
bank account other than their registered bank account.
ETA further encourages grant recipients to review the expiration date of their SAM
registration and begin the renewal process well in advance, to ensure that their
registration remains valid. If the grant recipient has not logged in and updated its entity
registration record within at least the past 365 days, its record will expire and go into
inactive status. Timely renewal will ensure that the grant recipient can continue to request
and receive modifications to their existing grants, as well as apply for new funding
opportunities. Further, the DUNS and EIN numbers must remain active until the grant
award closeout process is fully completed.
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4. Validation
ETA routinely checks the validity of a grant recipient’s SAM registration and verifies
that the recipient isn’t included on the excluded parties list before making a grant award,
or approving a modification to an existing award. Failure to have an active SAM
registration can delay grant recipients from receiving their initial award or requested
modifications to their existing awards.
r. Vendor/Contractor
The term “contractor,” sometimes referred to as a vendor, is a dealer, distributor,
merchant or other seller providing goods or services that are required to implement a
Federal program (see 2 CFR 200.1). These goods or services may be for an organization's
own use or for the use of the beneficiaries of the Federal program. Additional guidance
on distinguishing between a subrecipient and a contractor (vendor) is provided in 2 CFR
200.331. When procuring contractors for goods and services, DOL/ETA recipients and
subrecipients, must follow the procurement requirements found at 2 CFR 200.319, except
states, pursuant to 2 CFR 200.317,which calls for free and open competition.
s. Whistleblower Protection
This grant award and employees working on this grant award are subject to the
whistleblower rights and remedies established at 41 U.S.C. 4712. The grant award
recipient shall inform its employees in writing, in the predominant language of the
workforce, of employee whistleblower rights and protections under 41 U.S.C. 4712, as
described in section 3.908 of the Federal Acquisition Regulation (48 CFR 3.908; note
that for the purpose of this term and condition, use of the term "contract," "contractor,"
"subcontract," or "subcontractor" in section 3.908 should be read as "grant," "grantee,"
"subgrant," or "subgrantee"). The recipient shall insert the substance of this clause in all
subgrants and contracts over the Simplified Acquisition Threshold.
t. Telecommunications
Title 2 CFR §200.216 Prohibition on certain telecommunications and video
surveillance services or equipment. (Effective August 13, 2020)
(a) Recipients and subrecipients are prohibited from obligating or expending loan or
grant funds to: (1) Procure or obtain; (2) Extend or renew a contract to procure or obtain;
or (3) Enter into a contract (or extend or renew a contract) to procure or obtain
equipment, services, or systems that uses covered telecommunications equipment or
services as a substantial or essential component of any system, or as critical technology
as part of any system. As described in Public Law 115-232, section 889, covered
telecommunications equipment is telecommunications equipment produced by Huawei
Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such
entities).
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(i) For the purpose of public safety, security of government facilities, physical security
surveillance of critical infrastructure, and other national security purposes, video
surveillance and telecommunications equipment produced by Hytera Communications
Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology
Company (or any subsidiary or affiliate of such entities). (ii) Telecommunications or
video surveillance services provided by such entities or using such equipment. (iii)
Telecommunications or video surveillance equipment or services produced or provided
by an entity that the Secretary of Defense, in consultation with the Director of the
National Intelligence or the Director of the Federal Bureau of Investigation, reasonably
believes to be an entity owned or controlled by, or otherwise connected to, the
government of a covered foreign country. (b) In implementing the prohibition under
Public Law 115-232, section 889, subsection (f), paragraph (1), heads of executive
agencies administering loan, grant, or subsidy programs shall prioritize available
funding and technical support to assist affected businesses, institutions and organizations
as is reasonably necessary for those affected entities to transition from covered
communications equipment and services, to procure replacement equipment and
services, and to ensure that communications service to users and customers is sustained.
(c) See Public Law 115-232, section 889 for additional information. (d) See also
§200.471.
u. Intellectual Property Rights
The Federal Government reserves a paid-up, nonexclusive and irrevocable license to
reproduce, publish or otherwise use, and to authorize others to use for federal purposes: i)
the copyright in all products developed under the grant, including a subgrant or contract
under the grant or subgrant; and ii) any rights of copyright to which the grant award
recipient, subrecipient or a contractor purchases ownership under an award (including but
not limited to curricula, training models, technical assistance products, and any related
materials). Such uses include, but are not limited to, the right to modify and distribute
such products worldwide by any means, electronically or otherwise.
Federal funds may not be used to pay any royalty or license fee for use of a copyrighted
work, or the cost of acquiring by purchase a copyright in a work, where the DOL/ETA
has a license or rights of free use in such work, although they may be used to pay costs
for obtaining a copy which is limited to the developer/seller costs of copying and
shipping.
If revenues are generated by selling products developed with grant funds, including
intellectual property, these revenues are considered as program income. Program income
must be used in accordance with the provisions of this grant award and 2 CFR 200.307.
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The following language must be on all workforce products developed in whole or in part
with grant funds:
“This workforce product was funded by a grant awarded by the U.S.
Department of Labor (DOL)’s Employment and Training Administration
(ETA). The product was created by the recipient and does not necessarily
reflect the official position of DOL/ETA. DOL/ETA makes no guarantees,
warranties, or assurances of any kind, express or implied, with respect to
such information, including any information on linked sites and including,
but not limited to, accuracy of the information or its completeness,
timeliness, usefulness, adequacy, continued availability, or ownership.
This product is copyrighted by the institution that created it.”
v. Domestic Preferences for Procurements
As appropriate and to the extent consistent with law, the non-Federal entity should, to the
greatest extent practicable under a Federal award, provide a preference for the purchase,
acquisition, or use of goods, products, or materials produced in the United States
(including but not limited to iron, aluminum, steel, cement, and other manufactured
products). The requirements of 2 CFR Part 200.322 must be included in all subawards
including all contracts and purchase orders for work or products under this award.
w. Funding for Pay-For-Performance Contract Strategies
If any subrecipients (Local Workforce Development Boards (LWDBs)) of the grant
recipient elect to set aside funds for pay-for-performance (PFP) contract strategies under
20 CFR 683.520, a separate grant agreement must be created to administer these funds.
The grant recipient must provide sufficient notice to the Grant Officer, through its FPO,
of any LWDB’s decision to reserve up to 10% of its total local Adult/Dislocated Worker
or Youth allotment for PFP contract strategies so that a new grant agreement can be
issued to cover those funds. The grant recipient should inform its FPO as soon as an
amount to be reserved under this provision has been finalized.
11. Program Requirements
Training and Employment Guidance Letter (TEGL) No. 19-20 contains the program
requirements for this award.
12. FY 2021 Federal Appropriations Requirements
a. Requirement to Provide Certain Information in Public Communications
Pursuant to P.L. 116-260, Division H, Title V, Section 505, when issuing statements,
press releases, requests for proposals, bid solicitations and other documents describing
projects or programs funded in whole or in part with Federal money, all non-Federal
entities receiving Federal funds shall clearly state:
20

1. The percentage of the total costs of the program or project which will be financed
with Federal money;
2. The dollar amount of Federal funds for the project or program; and
3. The percentage and dollar amount of the total costs of the project or program that
will be financed by non-governmental sources.
The requirements of this term are separate from those in 2 CFR Part 200 and, when
applicable, both must be complied with.
b. Fair Labor Standards Act Amendment for Major Disasters
Pursuant to P.L. 116-260, Division H, Title I, Section 108, the Fair Labor Standards Act
of 1938 (FLSA) will apply as if the following language was added to Section 7 (the
Maximum Hours Worked Section). This language specifically relates to occurrences of a
major disaster (as declared or designated by the state or federal government) and are
applied for a period of two years afterwards. The language is as follows:
“(s)(1) The provisions of this section [maximum hours worked] shall not apply for
a period of 2 years after the occurrence of a major disaster to any employee—
(A) employed to adjust or evaluate claims resulting from or relating to such major
disaster, by an employer not engaged, directly or through an affiliate, in
underwriting, selling, or marketing property, casualty, or liability insurance
policies or contracts;
(B) who receives from such employer on average weekly compensation of not
less than $591.00 per week or any minimum weekly amount established by the
Secretary, whichever is greater, for the number of weeks such employee is
engaged in any of the activities described in subparagraph (C); and (C) whose
duties include any of the following:
(i) interviewing insured individuals, individuals who suffered injuries or other
damages or losses arising from or relating to a disaster, witnesses, or physicians;
(ii) inspecting property damage or reviewing factual information to prepare
damage estimates;
(iii) evaluating and making recommendations regarding coverage or
compensability of claims or determining liability or value aspects of claims;
(iv) negotiating settlements; or
(v) making recommendations regarding litigation.
(2) The exemption in this subsection shall not affect the exemption provided by
section 13(a)(1) [of the FLSA].
(3) For purposes of this subsection—
(A) the term ‘major disaster’ means any disaster or catastrophe declared or
designated by any State or Federal agency or department;
(B) the term ‘employee employed to adjust or evaluate claims resulting from or
relating to such major disaster’ means an individual who timely secured or
secures a license required by applicable law to engage in and perform the
activities described in clauses (i) through (v) of paragraph (1)(C) relating to a
major disaster, and is employed by an employer that maintains worker
compensation insurance coverage or protection for its employees, if required by
21

applicable law, and withholds applicable Federal, State, and local income and
payroll taxes from the wages, salaries and any benefits of such employees; and
(C) the term ‘affiliate’ means a company that, by reason of ownership or control
of 25% or more of the outstanding shares of any class of voting securities of one
or more companies, directly or indirectly, controls, is controlled by, or is under
common control with, another company.”
c. Health Benefits Coverage for Contraceptives
Federal funds may not be used to enter into or renew a contract which includes a
provision for prescription drug coverage unless the contract also includes a provision for
contraceptive coverage. This requirement does not apply to contracts with 1) the religious
plans Personal Care’s HMO and OSF HealthPlans, Inc. and 2) any existing or future plan
if the carrier for the plan objects to such coverage on the basis of religious beliefs.
In implementing this section, any plan that enters into or renews a contract may not
subject any individual to discrimination on the basis that the individual refuses to
prescribe or otherwise provide for contraceptives because such activities would be
contrary to the individuals’ religious beliefs or moral convictions. Nothing in this term
shall be construed to require coverage of abortion or abortion related services.
d. Privacy Act
No funds can be used in contravention of 5 U.S.C. 552a (the Privacy Act) or regulations
implementing the Privacy Act.
e. Prohibition on Contracting with Corporations with Felony Criminal
Convictions
The recipient may not knowingly enter into a contract, memorandum of understanding, or
cooperative agreement with, make a grant to, or provide a loan or loan guarantee to, any
corporation that was convicted of a felony criminal violation under any Federal law
within the preceding 24 months.
f. Prohibition on Contracting with Corporations with Unpaid Tax Liabilities
The grant award recipient may not knowingly enter into a contract, memorandum of
understanding, or cooperative agreement with, make a grant to, or provide a loan or loan
guarantee to, any corporation that has any unpaid Federal tax liability that has been
assessed, for which all judicial and administrative remedies have been exhausted or have
lapsed, and that is not being paid in a timely manner pursuant to an agreement with the
authority responsible for collecting the tax liability.
g. Prohibition on Procuring Goods Obtained Through Child Labor
Pursuant to P.L. 116-260, Division H, Title I, Section 103, no funds may be obligated or
expended for the procurement of goods mined, produced, manufactured, or harvested or
services rendered, in whole or in part, by forced or indentured child labor in industries
22

and host countries identified by the DOL prior to December 20, 2019. DOL has identified
these goods and services here: https://www.dol.gov/agencies/ilab/reports/child-labor/list-
of-products.
h. Prohibition on Providing Federal Funds to Association of Community
Organizations for Reform Now (ACORN)
Pursuant to P.L. 116-260, Division H, Title V, Section 521, these funds may not be
provided to the ACORN, or any of its affiliates, subsidiaries, allied organizations or
successors.
i. Reporting of Waste, Fraud and Abuse
No entity receiving federal funds may require employees or contractors of such entity
seeking to report fraud, waste, or abuse to sign internal confidentiality agreements or
statements prohibiting or otherwise restricting such employees or contractors from
lawfully reporting such waste, fraud, or abuse to a designated investigative or law
enforcement representative of a Federal department or agency authorized to receive such
information.
j. Requirement for Blocking Pornography
Pursuant to P.L. 116-260, Division H, Title V, Section 520, no Federal funds may be
used to maintain or establish a computer network unless such network blocks the
viewing, downloading, and exchanging of pornography.
k. Restriction on Health Benefits Coverage for Abortions
Pursuant to P.L. 116-260, Division H, Title V, Section 506 and 507, Federal funds may
not be expended for health benefits coverage that includes coverage of abortions, except
when the pregnancy is the result of rape or incest, or in the case where a woman suffers
from a physical disorder, physical injury, or physical illness, including a life-endangering
physical condition caused by or arising from the pregnancy itself that would, as certified
by a physician, place the women in danger of death unless an abortion is performed. This
restriction does not prohibit any non-Federal entity from providing health benefits
coverage for abortions when all funds for that specific benefit do not come from a
Federal source. Additionally, no funds made available through this grant award may be
provided to a State or local government if such government subjects any institutional or
individual health care entity to discrimination on the basis that the health care entity does
not provide, pay for, provide coverage of, or refer for abortions.
l. Restriction on Lobbying/Advocacy
Pursuant to P.L. 116-260, Division H, Title V, Section 503, no federal funds may be used
to pay the salary or expenses of any grant recipient, or agent acting for such recipient,
related to any activity designed to influence the enactment of legislation, appropriations,
regulation, administrative action, or executive order proposed or pending before the
Congress or any state government, state legislature or local legislature or legislative body,
other than for normal and recognized executive–legislative relationships or participation
23

by an agency or officer of a state, local or tribal government in policymaking and
administrative processes within the executive branch of that government.
m. Publicity
Pursuant to P.L. 116-260, Division H, Title V, Section 503, the grant award recipient is
not authorized to use any funds provided under this grant award—other than for normal
and recognized executive–legislative relationships—for publicity or propaganda
purposes, for the preparation, distribution or use of any kit, pamphlet, booklet,
publication, electronic communication, radio, television, or video presentation, designed
to support or defeat legislation pending before the Congress or any state or local
legislature or legislative body, except in presentation to the Congress or any state or local
legislature itself, or designed to support or defeat any proposed or pending regulation,
administrative action, or order issued by the executive branch of any state or local
government, except in presentation to the executive branch of any state or local
government itself.
n. Restriction on the Promotion of Drug Legalization
Pursuant to P.L. 116-260, Division H, Title V, Section 509, no Federal funds shall be
used for any activity that promotes the legalization of any drug or other substance
included in Schedule I of the schedules of controlled substances established under
Section 202 of the Controlled Substances Act except for normal and recognized
executive-congressional communications or where there is significant medical evidence
of a therapeutic advantage to the use of such drug or other substance or that federally
sponsored clinical trials are being conducted to determine therapeutic advantage.
o. Restriction on Purchase of Sterile Needles or Syringes
Pursuant to P.L. 116-260, Division H, Title V, Section 527, no Federal funds shall be
used to purchase sterile needles or syringes for the hypodermic injection of any illegal
drug.
p. Salary and Bonus Limitations
Pursuant to P.L. 116-260, Division H, Title I, Section 105, recipients and subrecipients
shall not use funds to pay the salary and bonuses of an individual, either as direct costs or
as indirect costs, at a rate in excess of Executive Level II. The Executive Level II salary
may change yearly and is located on the OPM.gov website (https://www.opm.gov/policy-
data-oversight/pay-leave/salaries-wages/). The salary and bonus limitation does not apply
to contractors (vendors) providing goods and services as defined in 2 CFR 200.331.
Where States are recipients of such funds, States may establish a lower limit for salaries
and bonuses of those receiving salaries and bonuses from subrecipients, taking into
account factors including the relative cost-of-living in the State, the compensation levels
for comparable State or local government employees, and the size of the organizations
that administer Federal programs involved including ETA programs. See TEGL 5-06 for
further clarification, available at
http://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2262 .
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13. Public Policy
a. Architectural Barriers
The Architectural Barriers Act of 1968, 42 U.S.C. 4151 et seq., as amended, the Federal
Property Management Regulations (see 41 CFR 102-76), and the Uniform Federal
Accessibility Standards issued by the U.S. General Services Administration (GSA) (see
36 CFR 1191, Appendixes C and D) set forth requirements to make facilities accessible
to, and usable by, the physically handicapped and include minimum design standards. All
new facilities designed or constructed with grant support must comply with these
requirements.
b. Drug-Free Workplace
The Drug-Free Workplace Act of 1988, 41 U.S.C. 702 et seq., and 2 CFR 182 require
that all award recipients receiving grants from any Federal agency maintain a drug-free
workplace. The award recipient must notify the awarding office if an employee of the
recipient is convicted of violating a criminal drug statute. Failure to comply with these
requirements may be cause for suspension or debarment.
c. Executive Orders
12928: Pursuant to Executive Order (EO) 12928, the grant award recipient is strongly
encouraged to provide subcontracting/subgranting opportunities to Historically Black
Colleges and Universities and other Minority Institutions such as Hispanic-Serving
Institutions and Tribal Colleges and Universities; and to Small Businesses Owned and
Controlled by Socially and Economically Disadvantaged Individuals.
13043: Pursuant to EO 13043, Increasing Seat Belt Use in the United States, dated April
16, 1997, the grant award recipients are encouraged to adopt and enforce on-the-job seat
belt policies and programs for their employees when operating company-owned, rented,
or personally owned vehicles.
13166: As clarified by EO 13166, Improving Access to Services for Persons with
Limited English Proficiency, dated August 11, 2000, and resulting agency guidance,
national origin discrimination includes discrimination on the basis of limited English
proficiency (LEP). To ensure compliance with Title VI, recipients must take reasonable
steps to ensure that LEP persons have meaningful access to programs in accordance with
DOL’s Policy Guidance on the Prohibition of National Origin Discrimination as it
Affects Persons with Limited English Proficiency [05/29/2003] Volume 68, Number 103,
pages 32289-32305. Meaningful access may entail providing language assistance
services, including oral and written translation, where necessary. The grant award
recipients are encouraged to consider the need for language services for LEP persons
served or encountered both in developing budgets and in conducting programs and
activities. For assistance and information regarding your LEP obligations, go to
http://www.lep.gov.
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13513: Pursuant to EO 13513, Federal Leadership On Reducing Text Messaging While
Driving, dated October 1, 2009, the grant award recipients and subrecipients are
encouraged to adopt and enforce policies that ban text messaging while driving company-
owned or -rented vehicles or government-owned vehicles (GOV), or while driving
privately-owned vehicles (POV) when on official Government business or when
performing any work for or on behalf of the Government. Recipients and subrecipients
are also encouraged to conduct initiatives of the type described in section 3(a) of this
order.
14005: Pursuant to EO 14005, Ensuring the Future Is Made in All of America by All of
America's Workers, the grant award recipient agrees to comply with all applicable Made
in America Laws (as defined in the EO), including the Buy American Act at 41 USC
sections 8301-8305. For the purposes of this award, the grant recipient is required to
maximize the use of goods, products, and materials produced in, and services offered in,
the United States, in accordance with the Made in America Laws. No funds may be
made available to any person or entity (including as a contractor or subrecipient of the
grant recipient) that has been found to be in violation of any Made in America Laws.
“Made in America Laws” means all statutes, regulations, rules, and Executive Orders
relating to Federal financial assistance awards or Federal procurement, including those
that refer to “Buy America” or “Buy American,” that require, or provide a preference for,
the purchase or acquisition of goods, products, or materials produced in the United States,
including iron, steel, and manufactured goods offered in the United States. Made in
America Laws include laws requiring domestic preference for maritime transport,
including the Merchant Marine Act of 1920 (Public Law 66-261), also known as the
Jones Act.
d. Flood Insurance
The Flood Disaster Protection Act of 1973, as amended, 42 U.S.C. 4001 et seq., provides
that no Federal financial assistance to acquire, modernize, or construct property may be
provided in communities in the United States identified as flood-prone, unless the
community participates in the National Flood Insurance Program and flood insurance is
purchased within 1 year of the identification. The flood insurance purchase requirement
applies to both public and private applicants for the DOL support. Lists of flood-prone
areas that are eligible for flood insurance are published in the Federal Register by FEMA.
e. Hotel-Motel Fire Safety
Pursuant to 15 U.S.C. 2225a, the recipient must ensure that all space for conferences,
and, conventions or training seminars funded in whole or in part with federal funds
complies with the protection and control guidelines of the Hotel and Motel Fire Safety
Act (P.L. 101-391, as amended). Recipients may search the Hotel-Motel National Master
List at https://apps.usfa.fema.gov/hotel/ to see if a property is in compliance, or to find
other information about the Act.
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f. Prohibition on Trafficking in Persons
1. Trafficking in persons.
a. Provisions applicable to a recipient that is a private entity.
I. The grantee as the recipient, the grantee’s employees, subrecipients under
this award, and subrecipients' employees may not—
(A). Engage in severe forms of trafficking in persons during the
period of time that the grant award is in effect;
(B). Procure a commercial sex act during the period of time that the
award is in effect; or
(C). Use forced labor in the performance of the award or subawards
under the award.
II. DOL/ETA as the Federal awarding agency may unilaterally terminate
this grant award, without penalty, if the grantee or a subrecipient that is a
private entity —
(A). Is determined to have violated a prohibition in paragraph a.1 of
this award term; or
(B). Has an employee who is determined by the agency official
authorized to terminate the award to have violated a prohibition in
paragraph a.1 of this award term through conduct that is either—
i. Associated with performance under this award; or
ii. Imputed to you or the subrecipient using the standards and
due process for imputing the conduct of an individual to an
organization that are provided in 2 CFR Part 180, “OMB
Guidelines to Agencies on Governmentwide Debarment and
Suspension (Nonprocurement),” as implemented by our
agency at 2 CFR Part 2998.
b. Provision applicable to a recipient other than a private entity. DOL/ETA as the
Federal awarding agency may unilaterally terminate this grant award, without
penalty, if a subrecipient that is a private entity—
I. Is determined to have violated an applicable prohibition in paragraph a.1
of this grant award term; or
II. Has an employee who is determined by the agency official authorized to
terminate the award to have violated an applicable prohibition in paragraph
a.1 of this grant award term through conduct that is either—
(A). Associated with performance under this award; or
(B). Imputed to the subrecipient using the standards and due process
for imputing the conduct of an individual to an organization that are
provided in 2 CFR part 180, “OMB Guidelines to Agencies on
Governmentwide Debarment and Suspension (Nonprocurement),”
as implemented by our agency at 29 CFR Part 98.
c. Provisions applicable to any recipient.
I. The grant award recipient must inform DOL/ETA immediately of any
information the grantee receive from any source alleging a violation of a
prohibition in paragraph a.1 of this grant award term.
II. DOL/ETA right to terminate unilaterally that is described in paragraph
a.2 or b of this section:
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(A). Implements section 106(g) of the Trafficking Victims
Protection Act of 2000 (TVPA), as amended (22 U.S.C. 7104(g)),
and
(B). Is in addition to all other remedies for noncompliance that are
available to DOL/ETA under this grant award.
III. The grant award recipient must include the requirements of paragraph
a.1 of this grant award term in any subaward the grantee make to a private
entity.
d. Definitions. For purposes of this award term:
I. “Employee” means either:
(A). An individual employed by the grant award recipient or a
subrecipient who is engaged in the performance of the project or
program under this award; or
(B). Another person engaged in the performance of the project or
program under this grant award and not compensated by the grantee
including, but not limited to, a volunteer or individual whose
services are contributed by a third party as an in-kind contribution
toward cost sharing or matching requirements.
II. “Forced labor” means labor obtained by any of the following methods:
the recruitment, harboring, transportation, provision, or obtaining of a
person for labor or services, through the use of force, fraud, or coercion for
the purpose of subjection to involuntary servitude, peonage, debt bondage,
or slavery.
III. “Private entity”:
(A). Means any entity other than a State, local government, Indian
tribe, or foreign public entity, as those terms are defined in 2 CFR
175.25.
(B). Includes:
i. A nonprofit organization, including any nonprofit
institution of higher education, hospital, or tribal
organization other than one included in the definition of
Indian tribe at 2 CFR 175.25(b).
ii. A for-profit organization.
IV. “Severe forms of trafficking in persons,” “commercial sex act,” and
“coercion” have the meanings given at section 103 of the TVPA, as
amended (22 U.S.C. 7102).
g. Veterans’ Priority Provisions
The Jobs for Veterans Act (Public Law 107-288) requires grant award recipients to
provide priority service to veterans and spouses of certain veterans for the receipt of
employment, training, and placement services in any job training program directly
funded, in whole or in part, by the DOL. The regulations implementing this priority of
service can be found at 20 CFR Part 1010. In circumstances where a grant award
recipient must choose between two qualified candidates for a service, one of whom is a
veteran or eligible spouse, the veterans priority of service provisions require that the grant
award recipient give the veteran or eligible spouse priority of service by first providing
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him or her that service. To obtain priority of service, a veteran or spouse must meet the
program’s eligibility requirements. Recipients must comply with the DOL guidance on
veterans’ priority. ETA’s TEGL No. 10-09 (issued November 10, 2009) provides
guidance on implementing priority of service for veterans and eligible spouses in all
qualified job training programs funded in whole or in part by DOL. TEGL No. 10-09 is
available at http://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=2816.
14. Technical Assistance, Resources, and Information
Additional resources, training, and information to assist the grant award recipient are located on
the ETA website at https://www.dol.gov/agencies/eta/grants/resources and on the Grants
Application and Management collection page on WorkforceGPS.org at
https://grantsapplicationandmanagement.workforcegps.org/. SMART training is a technical
assistance initiative sponsored by DOL-ETA to assist its grant recipients and subrecipients in
improving its program/project operations through effective grants management. Please take
some time to review the training modules which are focused on:
Strategies for sound grant management that include:
Monitoring,
Accountability,
Risk mitigation and
Transparency.
These four themes are woven throughout the OMB Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards, also known as the Uniform Guidance (2
CFR Part 200 and 2 CFR Part 2900). The 508-compliant PowerPoints of the modules may be
found on WorkforceGPS.org at the Resource page.
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