EXHITIT C SPEC TCS.PDF

Maricopa County — Formal (2017-02-01)

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EXHIBIT C - SPECIAL TERMS AND CONDITIONS
1. ADMINISTRATIVE REQUIREMENTS
a. System for Award Management and Universal Identifier Requirements
1. Requirement for System of Award Management
Unless you are exempted from this requirement under 2 CFR 25.110, you as the
recipient must maintain the currency of your information in the SAM until you submit the
final financial report required under this award or receive the final payment, whichever is
later. This requires that you review and update the information at least annually after the
initial registration, and more frequently if required by changes in your information or
another award term.
2. Requirement for unique entity identifier
If you are authorized to make subawards under this award, you:
i. Must notify potential subrecipients that no entity (see definition in paragraph [3]
of this award term) may receive a subaward from you unless the entity has
provided its unique entity identifier to you.
ii. May not make a subaward to an entity unless the entity has provided its unique
entity identifier to you.
3. Definitions
For purposes of this award term:
i. System of Award Management (SAM) means the Federal repository into which
an entity must provide information required for the conduct of business as a
recipient. Additional information about registration procedures may be found at
the SAM Internet site (currently at http://www.sam.gov.)
ii. Unique entity identifier means the identifier required for SAM registration to
uniquely identify business entities.
iii. Entity, as it is used in this award term, means all of the following, as defined at
2 CFR part 25, subpart C:
a. A Governmental organization, which is a State, local government, or
Indian Tribe;
b. A foreign public entity;
c. A domestic or foreign nonprofit organization;
d. A domestic or foreign for-profit organization; and
e. A Federal agency, but only as a subrecipient under an award or
subaward to a non- Federal entity.
iv. Subaward:
a. This term means a legal instrument to provide support for the
performance of any portion of the substantive project or program for
which you received this award and that you as the recipient award to an
eligible subrecipient.
b. The term does not include your procurement of property and services
needed to carry out the project or program (for further explanation, see 2
CFR 200.330).
c. A subaward may be provided through any legal agreement, including
an agreement that you consider a contract.
v. Subrecipient means an entity that:
a. Receives a subaward from you under this award; and
b. Is accountable to you for the use of the Federal funds provided by the
subaward.
b. Federal Funding Accountability and Transparency Act
1. Reporting of first-tier subawards
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i. Applicability. Unless you are exempt as provided in paragraph [4.] of this award
term, you must report each action that obligates $25,000 or more in Federal
funds that does not include Recovery funds (as defined in section 1512(a)(2) of
the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5) for a
subaward to an entity (see definitions in paragraph [5.] of this award term).
ii. Where and when to report.
a. You must report each obligating action described in paragraph [1.i.] of
this award term to http://www.fsrs.gov.
b. For subaward information, report no later than the end of the month
following the month in which the obligation was made. (For example, if
the obligation was made on November 7, 2010, the obligation must be
reported by no later than December 31, 2010.)
c. What to report. You must report the information about each obligating
action that the submission instructions posted at http://www.fsrs.gov
specify.
2. Reporting Total Compensation of Recipient Executives.
i. Applicability and what to report. You must report total compensation for each of
your five most highly compensated executives for the preceding completed fiscal
year, if—
a. the total Federal funding authorized to date under this award is
$25,000 or more;
b. in the preceding fiscal year, you received—
(A) 80 percent or more of your 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
(C) The public does not have access to information about the
compensation of the executives through periodic reports filed
under section 13(a) or 15(d) of the Securities Exchange Act of
1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal
Revenue Code of 1986. (To determine if the public has access to
the compensation information, see the U.S. Security and
Exchange Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm.)
ii. Where and when to report. You must report executive total compensation
described in paragraph [2.i.] 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 you are exempt as provided in
paragraph [4.]of this award term, for each first-tier subrecipient under this award,
you 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—
a. In the subrecipient's preceding fiscal year, the subrecipient received—
(A) 80 percent or more of its annual gross revenues from Federal
procurement contracts (and subcontracts) and Federal financial
assistance subject to the Transparency Act, as defined at 2 CFR
170.320 (and subawards); and
(B) $25,000,000 or more in annual gross revenues from Federal
procurement contracts (and subcontracts), and Federal financial
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assistance subject to the Transparency Act (and subawards);
and
b. The public does not have access to information about the
compensation of the executives through periodic reports filed under
section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C.
78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986.
(To determine if the public has access to the compensation information,
see the U.S. Security and Exchange Commission total compensation
filings at http://www.sec.gov/answers/execomp.htm.)
ii. Where and when to report. You must report subrecipient executive total
compensation described in paragraph [3.i] of this award term:
a. To the recipient.
b. By the end of the month following the month during which you 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), you must report any required compensation information of the
subrecipient by November 30 of that year.
4. Exemptions
If, in the previous tax year, you had gross income, from all sources, under $300,000, you
are exempt from the requirements to report:
i. Subawards, and
ii. The total compensation of the five most highly compensated executives of any
subrecipient.
5. Definitions.
For purposes of this award term:
i. Entity means all of the following, as defined in 2 CFR part 25:
a. A Governmental organization, which is a State, local government, or
Indian tribe;
b. A foreign public entity;
c. A domestic or foreign nonprofit organization;
d. A domestic or foreign for-profit organization;
e. A Federal agency, but only as a subrecipient under an award or
subaward to a non-Federal entity.
ii. Executive means officers, managing partners, or any other employees in
management positions.
iii. Subaward:
a. This term means a legal instrument to provide support for the
performance of any portion of the substantive project or program for
which you received this award and that you as the recipient award to an
eligible subrecipient.
b. The term does not include your procurement of property and services
needed to carry out the project or program (for further explanation, see [2
CFR 200.330]).
c. A subaward may be provided through any legal agreement, including
an agreement that you or a subrecipient considers a contract.
iv. Subrecipient means an entity that:
a. Receives a subaward from you (the recipient) under this award; and
b. Is accountable to you for the use of the Federal funds provided by the
subaward.
v. 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)):
a. Salary and bonus.
b. 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
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Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared
Based Payments.
c. 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.
d. Change in pension value. This is the change in present value of
defined benefit and actuarial pension plans.
e. Above-market earnings on deferred compensation which is not tax-
qualified.
f. 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.
c. Personally Identifiable Information
Recipients 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. Recipients
must meet the requirements in Training and Employment Guidance letter (TEGL 39-11, Guidance
on the Handling and Protection of Personally Identifiable Information (PII)), (located at
http://wdr.doleta.gov/directives/corr_doc.cfm?DOCN=7872)
d. Recipient Integrity and Performance Matters
1. General reporting requirement
If the total value of your currently active grants, cooperative agreements, and
procurement contracts from all Federal agencies exceeds $10,000,000 for any period of
time during the project period of this award, then you as the recipient during that period of
time must maintain the currency of information in the Federal Awardee Performance and
Integrity Information System (FAPIIS)(then you as the recipient during that period of time
must maintain the currency of information in the Federal Awardee Performance and
Integrity Information System (FAPIIS) about civil, criminal, or administrative proceedings
described in paragraph B. of this award term by updating the information in SAM) about
civil, criminal, or administrative proceedings described in paragraph B. of this award term.
This is a statutory requirement under section 872 of Public Law 110-417, as amended
(41 U.S.C. 417b). As required by section 3010 of Public Law 111–212, all information
posted in FAPIIS on or after April 15, 2011, except past performance reviews, will be
publicly available.
2. Proceedings about which you must report
Submit the information required about each proceeding that:
i. Is in connection with the award or performance of a grant, cooperative
agreements, or procurement contract from either the Federal Government or a
State;
ii. Reached its final disposition during the most recent 5-year period; and
iii. Is one of the following:
a. A criminal proceeding that resulted in a conviction, as defined in
paragraph E. of this award term
b. A civil proceeding that resulted in a finding of fault and liability
and your paying a monetary fine, penalty, reimbursement,
restitution, or damages of $5,000 or more;
c. An administrative proceeding, as defined in paragraph e. of this
award term, that resulted in a finding of fault and liability and
your payment of either monetary fine or penalty of $5,000 or
more or a reimbursement, restitution, or damages in excess of
$100,000; or
d. Any other criminal, civil, or administrative proceeding if:
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(A) It could have led to an outcome described in paragraph
B.3.a, b, or c of this award term;
(B) It had a different disposition arrived at by consent or
compromise with an acknowledgment of fault on your 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 B.
of this award term. You do not need to submit the information a second time under
assistance awards that you received if you already provided the information through SAM
(formerly CCR) because you were required to do so under Federal procurement
contracts that you were awarded.
4. Reporting frequency
During any period of time when you are subject to the requirement in paragraph A. of this
award term, you must report FAPIIS information through SAM no less frequently than
semiannually following your initial report of any proceedings for the most recent 5-year
period, either to report new information about any proceeding(s) that you have not
reported previously or affirm that there is no new information to report.
5. Definitions
For purposes of this award term:
Administrative proceeding means a non-judicial process that is adjudicatory in nature in
order to make a determination of fault or liability (e.g., Securities and Exchange
Commission Administrative proceedings, Civilian Board of Contract Appeals proceedings,
and Armed Services Board of Contract Appeals proceedings). This includes proceedings
at the Federal and State level. It does not include audits, site visits, corrective plans, or
inspection of deliverables. 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. 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.
e. Audits
Organization-wide or program-specific audits shall be performed in accordance with the Single
Audit Act Amendments of 1996. Recipients that expend $750,000 or more in a year in Federal
awards shall have an audit conducted for that year in accordance with the requirements
contained in 2 CFR 200.501. The provisions of 2 CFR Subpart F, Audit Requirements, will apply
to audits of non-Federal entity fiscal years beginning on or after December 26, 2014. The revised
audit requirements are not applicable to fiscal years beginning prior to that date.
f. Equipment
Recipients must receive prior approval from the DOL/ETA Grant Officer for the purchase of any
equipment with a per unit acquisition cost of $5,000 or more, and a useful life of more than one
year. This includes the purchases of Automated Data Processing (ADP) equipment. Equipment
purchases must be made in accordance with 2 CFR 200.313 or 2 CFR 200.439. This grant award
does not give approval for equipment specified in a recipient’s budget or statement of work unless
specifically approved above. If not specified above, the recipient must submit a detailed
description list to the FPO for review within 90 days of the Notice of Award date. We strongly
encourage grantees to submit equipment purchase requests as early as possible in the grant’s
period of performance with as many planned pieces of equipment as possible. Recipients may
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not purchase equipment in the last year of performance. If any approved acquisition has not
occurred prior to the last year of performance, approval for that item(s) is rescinded.
g. 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 recipient is allowed to deduct costs incidental to
generating Program Income to arrive at a Program Income. Reporting on program income
expenditures must be reported on the ETA-9130.
h. Supportive Services & Participant Support Costs
When supportive services are expressly authorized by program statute, regulation or Funding
Opportunity Announcement, 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 402 – 200.411. Questions regarding supportive services and participant support costs
should be directed to the Federal Project Officer assigned to the grant.
i. Pre-Award
All costs incurred by the recipient prior to the start date specified in the award issued by the
Department are incurred at the recipient’s own expense.
j. Reports
All ETA recipients are required to submit quarterly financial and progress reports for each grant
award.
1. Quarterly Financial Reports
All ETA recipients are required to report quarterly financial data on the ETA 9130. ETA
9130 reports are due no later than 45 calendar days after the end of each specified
reporting quarter. Reporting quarter end dates are June 30, September 30, December
31, and March 31. A final financial closeout report is required to be submitted no later
than 90 calendar days after the grant period of performance ends. For guidance on ETA’s
financial reporting, reference Training and Employment Guidance Letter (TEGL) 13-12.
ETA requires all grant recipients to submit the 9130 form electronically through an on-line
reporting system. Expenditures are required to be reported on an accrual basis,
cumulative from the beginning of the life of a grant, through the end of each reporting
period. The instructions for accessing both the on-line financial reporting system and the
HHS Payment Management System can be found in the transmittal memo accompanying
this Notice of Award. To gain access to the online financial reporting system, a request
for a password and pin must be submitted via e-mail to ETApassword.pin@dol.gov. The
Financial Report Access Document, copies of the ETA 9130, and detailed reporting
instructions are available at www.doleta.gov/grants/financial_reporting.cfm.
2. Quarterly Progress Reports
Recipients are required to submit a quarterly and final report to the designated Federal
Project Officer (FPO) on grant activities funded under this award. All reports are due no
later than 45 calendar days after the end of each specified reporting quarter. Reporting
quarter end dates are June 30, September 30, December 31, and March 31.
i. The last quarterly progress report that recipients submit will serve as the grant’s
Final Performance Report. This report should provide both quarterly and
cumulative information on the grant’s activities. It must summarize project
activities, employment outcomes and other deliverables, and related results of
the project.
ii. The recipient shall use any standard forms and instructions to report on
training and employment outcomes and other data relating to the progress
reports as provided by ETA.
iii. The recipient shall utilize standard reporting processes and electronic
reporting systems to submit their quarterly progress reports as provided by ETA.
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k. Managing Subawards
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.
The provisions of the Terms and Conditions of this award will be applied to any subrecipient
under this award. The recipient is responsible for the monitoring of the subrecipient, ensuring that
the Terms and Conditions are in all subaward packages and that the subrecipient is in
compliance with all applicable regulations and the terms and conditions of this award (2 CFR
200.101(b)(1)).
l. Final Year/Closeout Requirements
At the end of the grant period, the recipient will be required to close the grant with ETA. The
recipient will be notified approximately 15 days prior to the end of the period of performance that
the initiation of closeout will begin at the end of the grant. Information concerning the recipient’s
responsibilities at closeout may be found in 2 CFR 200.343.
m. Publicity
No funds provided under this grant shall be used for publicity or propaganda purposes, for the
preparation, distribution or use of any kit, pamphlet, booklet, publication, radio, television or film
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. Nor shall
grant funds be used to pay the salary or expenses of any 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 body other than for normal and
recognized executive-legislative relationships or participation by an agency or officer of a state,
local, or tribal government in policymaking and administrative processes within the executive
branch of that government.
n. Procurement
The Uniform Administrative Requirements (2 CFR 200.317-36) require all recipient procurement
transactions to be conducted in a manner to provide, to the maximum extent practical, open and
free competition. If the statement of work identifies a specific entity to provide goods or services,
the DOL ETA’s award does not provide the justification or basis to sole-source the procurement,
i.e., avoid competition. The County may procure goods and services consistent with the
Maricopa County Procurement Code, as amended (09/11/2013).
o. 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 for the conduct of a Federal program. (2
CFR 200.23) These goods or services may be for an organization's own use or for the use of
beneficiaries of the Federal program. Additional guidance on distinguishing between a
subrecipient and a contractor (vendor) is provided in 2 CFR 200.330. When procuring contractor
provided goods and services, DOL ETA recipients and subrecipients must follow the procurement
requirements 2 CFR 200.319, which call for free and open competition.
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p. 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 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 Department 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
through selling products developed with grant funds, including intellectual property, these
revenues are program income. Program income must be used in accordance with the provisions
of this grant award and 2 CFR 200.307. If applicable, the following needs to be on all 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’s
Employment and Training Administration. The product was created by the recipient and does not
necessarily reflect the official position of the U.S. Department of Labor. The Department of Labor
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.”
q. Bayh-Dole Act
With the exception of grants made for educational purposes, all non-federal entities must adhere
to the Bayh Dole Act, which requirements are provided at 37 CFR 401.3(a). To summarize, these
requirements describe the ownership of Intellectual Property rights and the government’s
nonexclusive, nontransferable, irrevocable, paid-up license to use any invention conceived or first
actually reduced to practice in the performance of work under this grant.
r. Creative Commons License Requirement
Pursuant to 2 CFR 2900.13, intellectual property must be licensed under a Creative Commons
Attribution 4.0 (CC BY) license, which allows subsequent users to copy, distribute, transmit and
adapt the copyrighted work and requires such users to attribute the work in the manner specified
by the recipient. For general information on CC BY, please visit
http://creativecommons.org/licenses/by/4.0. Instructions for marking your work with CC BY can be
found at http://wiki.creativecommons.org/Marking_your_work_with_a_CC_license.
s. Requirements for Conference and Conference Space
Conferences sponsored in whole or in part by the recipient of Federal awards are allowable if the
conference is necessary and reasonable for the successful performance of the Federal Award.
Recipients are urged to use discretion and judgment to ensure that all conference costs charged
to the grant are appropriate and allowable. For more information on the requirements and
allowability of costs associated with conferences, refer to 2 CFR 200.432. Recipients will be held
to the requirements in 2 CFR 200.432. Costs that do not comply with 2 CFR 200.432 will be
questioned and may be disallowed.
t. Travel
This award waives the prior approval requirement for domestic travel as contained in 2 CFR
200.407. For domestic travel to be an allowable cost, it must be necessary, reasonable, allocable
and conform to the non-Federal entities written policies and procedures. All travel must also
comply with Fly America Act ( 49 USC 40118), which states in part that any air transportation,
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regardless of price, must be performed by, or under a code-sharing arrangement with, a US Flag
air carrier if service provided by such carrier is available.
2. APPROPRIATIONS REQUIREMENTS
a. Funding for Travel to and from Meetings with an Executive Branch
Agency
Pursuant to P.L. 114-113, Division E, Title VII, Section 739, grant funds may not be used for the
purposes of defraying the costs of a conference held by any Executive branch department,
agency, board, commission, or office unless it is directly and programmatically related to the
purpose for which the grant or contract was awarded.
No funds made available through DOL appropriations may be used for travel and conference
activities that are not in compliance with Office of Management and Budget Memorandum M-12-
12 dated May 11, 2012 or any subsequent revisions to that memorandum.
b. Reporting of Waste, Fraud and Abuse
Pursuant to P.L. 114-113, Division E, Title VII, Section 743, 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.
c. Prohibition on Contracting with Corporations with Unpaid Tax Liabilities
Pursuant to P.L. 114-113, Division E, Title VII, Section 745, 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 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.
d. Prohibition on Contracting with Corporations with Felony Criminal
Convictions
Pursuant to P.L. 114-113, Division E, Title VII, Section 746, 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.
e. Prohibition on Procuring Goods Obtained Through Child Labor
Pursuant to P.L. 114-113, 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 and host countries identified
by DOL prior to December 18, 2015. DOL has identified these goods and services
here:http://www.dol.gov/ilab/reports/child-labor/list-of-products/index-country.htm.
f. Participant Minimum Age
Pursuant to P.L. 114-113, Division H, Title I, Section 104, H-1B funds must only be used: 1) for
training individuals and for the related activities necessary to support such training, 2) for training
individuals in the occupations and industries for which employers are using H-1B visas to hire
foreign workers, and 3) to serve individuals who are older than 16 years of age and who are not
currently enrolled in a school with a local educational agency.
g. Requirement to Provide Certain Information in Public Communications
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Pursuant to P.L. 114-113, 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 recipients receiving Federal funds
shall clearly state:
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 part are separate
from those in the 2 CFR 200 and, when appropriate, both must be complied with.
h. Restriction on Health Benefits Coverage for Abortions
Pursuant to P.L. 114-113, Division H, Title V, Sections 506 and 507, Federal funds may not be
expended for health benefits coverage that includes coverage of abortions, except when the
abortion due to a pregnancy that is the result of rape or incest, or in the case where a woman
suffers from a physical disorder, physical injury, including life-endangering physical conditions
caused by or arising from the pregnancy itself that would, as certified by a physician, place the
women in danger of death unless and 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 no come from a Federal source. Additionally, no funds made available through
this 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.
i. Restriction on the Promotion of Drug Legalization
Pursuant to P.L. 114-113, 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 recognized executive-congressional communications or where the grant
agreement provides for such use because there is significant medical evidence of a therapeutic
advantage to the use of such drug or other substance.
j. Restriction on Purchase of Sterile Needles or Syringes
Pursuant to P.L. 114-113, Division H, Title V, Section 520, no Federal funds shall be used to
purchase sterile needles or syringes for the hypodermic injection of any illegal drug.
k. Requirement for Blocking Pornography
Pursuant to P.L. 114-113, Division H, Title V, Section 521, no Federal funds may be used to
maintain or establish a computer network unless such network blocks the viewing, downloading,
and exchanging of pornography.
l. Prohibition on Providing Federal Funds to ACORN
Pursuant to P.L. 114-113, Division H, Title V, Section 522, these funds may not be provided to
the Association of Community Organizations for Reform Now (ACORN), or any of its affiliates,
subsidiaries, allied organizations or successors.
3. PUBLIC POLICY
a. Executive Orders
12928: Pursuant to Executive Order 12928, the 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.
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13043: Pursuant to Executive Order 13043, Increasing Seat Belt Use in the United States, dated
April 16, 1997, 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.
13513: Pursuant to Executive Order 13513, Federal Leadership On Reducing Text Messaging
While Driving, dated October 1, 2009, recipients and subrecipients are encouraged to adopt and
enforce policies that ban text messaging while driving company-owned or -rented vehicles or
GOV, or while driving 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.
13166: As clarified by Executive Order 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, Page 32289-32305. Meaningful access may entail
providing language assistance services, including oral and written translation, where necessary.
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.
b. Veteran’s Priority Provisions
The Jobs for Veterans Act (Public Law 107-288) requires recipients to provide priority of 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 DOL. The
regulations implementing this priority of service can be found at 20 CFR part 1010. In
circumstances where a grant 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 recipient give the veteran or eligible spouse priority of service by first
providing 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 DOL guidance on veterans’
priority. ETA’s Training and Employment Guidance Letter (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.
c. 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
identified flood-prone communities in the United States, 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 DOL support. Lists of flood-prone areas that are eligible for flood insurance are
published in the Federal Register by FEMA.
d. 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 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.
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e. Drug-Free Workplace
The Drug-Free Workplace Act of 1988, 41 U.S.C. 702 et seq., and 2 CFR 182 require that all
organizations receiving grants from any Federal agency maintain a drug-free workplace. The
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.
f. Hotel-Motel Fire Safety
Pursuant to 15 U.S.C. 2225a, the recipient must ensure that all space for conferences, meetings,
conventions or training seminars funded in whole or in part with federal funds complies with the
protection and control guidelines of the Hotel and Motel Fire Safety Act (P.L. 101-391, as
amended). Recipients may search the Hotel Motel National Master List at
http://www.usfa.dhs.gov/applications/hotel/ to see if a property is in compliance, or to find other
information about the Act.
g. Prohibition on Trafficking in Persons
1. Trafficking in persons
i. Provisions applicable to a recipient that is a private entity.
a. You as the recipient, your 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 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.
b. We as the Federal awarding agency may unilaterally terminate this award,
without penalty, if you 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—
1) Associated with performance under this award; or
2) 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 29
CFR Part 98.
ii. Provision applicable to a recipient other than a private entity. We as the Federal
awarding agency may unilaterally terminate this award, without penalty, if a
subrecipient that is a private entity—
a. Is determined to have violated an applicable 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 an applicable prohibition in paragraph a.1
of this 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 Government wide
Debarment and Suspension (Nonprocurement),” as implemented by our
agency at 29 CFR Part 98.
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iii. Provisions applicable to any recipient.
a You must inform us immediately of any information you receive from any
source alleging a violation of a prohibition in paragraph a.1 of this award term.
b Our right to terminate unilaterally that is described in paragraph a.2 or b of this
section:
(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 us under this award.
c. You must include the requirements of paragraph a.1 of this award term in any
subaward you make to a private entity.
iv. Definitions. For purposes of this award term:
a. “Employee” means either:
(A). An individual employed by you 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 award and not compensated by you including, but not
limited to, a volunteer or individual whose services are contributed by a
third party as an in-kind contribution toward cost sharing or matching
requirements.
b. “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.
c. “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:
1.) 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).
2.) A for-profit organization.
d. “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).
h. Buy American Notice Requirement
None of the funds made available under this act may be expended by an entity unless the entity
agrees that in expending the funds it will comply with sections 8301 through 8303 of title 41,
United States Code (commonly known as the “Buy American Act”).
i. Violation of the Privacy Act
These funds cannot be used in contravention of the 5 USC 552a or regulations implementing that
section.
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