HomeMy WebLinkAboutEPA Cooperative Agreement2J-95428109.0 Pege1
•
•
. ASSISTANCE ID NO.
6t
U.S. -ENViRONMENTAi.
PRG 1 DOCID IAMEND#
DATE OF AWARD
PROTECTION AGENCY
2d ' 95428109 - o
09/24/2009
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TYPE OF ACTION
MAILING DATE
09/24/2009
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Cooperative Agreement
PAYMENT METHOD:
ASAP
ACH# •
40237
RECIPIENT TYPE:
Municipal
Send Payment Request to:
Las Vegas Finance Center
RECIPIENT:
PAYEE: ,
City of Miami
444 SW 2nd Avenue
Miami, FL 33130
EIN: 89-8000378
City of Miami
444 SW 2nd Avenue
Miami, FL 33130
PROJECT MANAGER
EPA PROJECT OFFICER •
EPA GRANT SPECIALIST
Glertdgn P. Mall
444 SW 2nd Avenue
Miami, FL. 33130 •
E-Mall: GPHalIGmianrigov.com
• Phone: 305:.416.1453
Nicole Bates •
81 Forsyth Street
Atlanta, GA 30303.8960
E-Mail: Bates•Nlcole@epamall.epa.gov
Phone: 404-562.9986
Keva Uoyd • \
Grants Management Office
E-Mall: Lloyd.Kavadeepe.gov •
Phone: 404-662-8420
PROifECTTITLE AND DESCRIPTION /
Brownfields Assessment and Cleanup Cooperative Agreements ,
This award provides American Recovery and Reinvestment Act (ARRA) funding to train residents for the skills necessary to gain employment with companies
that assess and remedlate brownfletd properties in the City of Miami, Florida.
BUDGET PERIOD •
10/01/2009 • 09/30/2012
PROJECT PERIOD
10/01/2009 • 09/30/2012 ' '
TOTAL BUDGET PERIOD COST
$500,000.00
TOTAL PROJECT PERIOD COST •
$600,000.00
• NOTICE OF AWARD •
Based on your application dated 08/11/2009, lnoluding all modifications and amendments, the. United States aoting by and through the US Environmental
• Protection Agency (EPA), hereby awards $500,000. EPA agrees to cost -share 100.00,% of all approved budget period costa Incurred, up to and not exceeding
total federal funding of $500,000. Such award may be terminated by EPA without further cause if the recipient falls to provide timely affirmation of the avvard .
by signing under the Affirmation of Award section and returning all pages of this agreement to the Grants Management Office listed below within 21 days after
receipt, or any extension of time, as may be granted by EPA. This agreement 1s subject to applicable EPA statutory provisions. The applicable regulatory •
provisions are 40 CFR Chapter 1, Subchapter B, and all terms and conditions of this agreement and any attachments. .
•
ISSUING OFFICE (GRANTS MANAGEMENT OFFICE)
AWARD APPROVAL OFFICE
ORGANIZATION / ADDRESS •
ORGANIZATION / ADDRESS •• •
.
61'Forsyth Street
Atlanta, GA 30303-8960
U.S. EPA, Region 4 . •
Resource Conservation and Recovery Aot Division
81 Forsyth Street •
Atlanta, GA 303Q3-8980
' THE UNITED STATES OF AMERICA BY THE U.S. ENVIRONMENTAL PROTECTION AGENCY '
SIGNATURE OF AWARD OFFICIAL '
Digital signature applied by EPA Award Mole!
.
TYPED NAME AND TITLE
-
Elaine Curies, Grants Management Officer •
DATE
09/2412009 •
• •
• AFFIRMATION OF AWARD
STAND ON BEHALF OF THE DESIGNATED RECIPIENT ORGANIZATION
SIGNATURE
' 4 - )% 4, ad 1
TYPED NAME AND TITLE ' • `
•
Robert Ruano, Director, Grants and Sustainable Initiatives
DATE
City of Mi
a Florida m
By:
Pedro G. Hernna�ndez, ► " Manager
Date: .J ZO-ID
cipal corporation
Attest:
By
Prisa!!a A. Thompson, Clty ' lerk
Date: �O—/ U
Approved as to
By:
Julie O.
Date:
B , ity Attorney
orrectness:
A pro as to Insurance Requirements:
By • L2DP4
LeeAnn B_re� m, isk Management Administrator
Date: ' 4 40/6
Item: EPA Brownfields Job Training Grant
EPA Funding Information •
.2J-85428109.0 Page2
• FUNDS
FORMER AWARD
THIS ACTION
AMENDED TOTAL
EPA Amount This Action
$
•
$ 600,000
$ 500;000
EPA In -Kind Amount •
$
$
$ 0
Unexpended Prior Year Balance
$
• $
\
•
$ 0
Other Federal Funds
$
$
$ 0
Recipient Contribution
$
$ C.
$ 0
•
State Contribution
$
..•$
$ 0
Local Contribution
$
• $
$ 0
other Contribution
$
$
•
$ 0
Allowable Project Cost
•
$ 0
$ 500,000
•
$ 600,000
Assistance Program (CFDA)
SlatutcryAuthority
Regulatory Authority •
88.816 - Brownfield Job Training Cooperative
—Agreements
•
Amerloan Recovery and Reinvestment Act of
2009
CERCLA: Sec.104(k)(6)
40 CFR PART 31 ,
Fiscal •
Site Name
Req No
FY
Approp.
Code
Budget
Organization
PRO
Object
Class
Site/Project
Cost
Organization
Obligation /
Deobiigatton
0904VT5015
•
0910
E48
04V2
•
•
t
402079E
•
•
4115
t3400SJ00
-
•
•
•
500,000
•
5oo,obo
• 2J - 95428109 - 0 Page 3
Budget Summary Page
Table A• Object Class Category
• (Non -construction)
Total Approved Allowable
Budget Period Coat
1. Personnel
• $0
2. Fringe Benefits
.
$0
3. Travel
$7,600
4. Equlpment
$0
5. Supplres
$70,000
6. Contractual
$422,600
7. Construction
•
$0
8. Other
. $0
9. Total Direct Charges '
$500,000
10, Indirect Costs: % Base •
•
$0
11. Total (Share: Reclplent 0.00 % Federal 100.00 %.)
$500,000
12. Total Approved Assistance Amount
$600,000
13. Program Income
$0
14. Total EPA Amount Awarded Thle Action
$500,000
15. Total EPA Amount Awarded To Date •
$600,000
zs
.O
2J - 95428109 - 0 Page 4
Administrative Conditions
1. ADVANCE METHOD OF PAYMENT
In accordance with EPA regulations, the recipient is authorized to receive advance payments under this
agreement, provided that the recipient takes action to minimize the time elapsing between the transfer of
funds from EPA and the disbursement of those funds.
2. DRUG -FREE WORKPLACE CERTIFICATION FORALL EPA RECIPIENTS
The recipient organization of this EPA assistance agreement must make an ongoing, •goodfaith effort to
maintain a drug -free workplace pursuant to the specific requirements set forth in Tide 40 CFR 36.200 -
36.230. Additionally, in' accordance with these regulations, the recipient organization must Identify all
known workplaces under its federal awards, and keep this information on file during the performance of
the award.
Those recipients who are individuals must comply with the drug -free provisions set forth In Title 40 CFR
36.300.
The consequences for vlolating this condition are detailed under Title 40 CFR 36.610. Recipients can
access the Cade of Federal Regulations (CFR) Title 40 Part 36 at
httpJ/www.access.gpo.gov/nara/cfr/waisidx 06/40cfr36_06.htrnl.
3. ELECTRONIC TRANSFER OF FUNDS •
The Debt Collection improvement Act of 1996 requires that Federal payments be made by electronic
funds transfer after January 2,1999. In order to:compiywfth the Act, a recipient must receive payments
via one of two electronioamechanisms available to them:
A) Automated Standard Application for Payments (ASAP)
ASAP Is an automated drawdown system sponsored by the U.S. Department of the Treasury.
Recipients; must enroll with Treasury. Additional information concerning ASAP can be
obtained bk contacting the EPA Las Vegas Finance Center, at (702) 798-2485,
http:l/www:epa.gov/ocfo/ftnserviceslpaylnfo.htm or by visiting www.fms.treas.clov/asap
•
Under this payment mechanism, the recipient initiates, via ASAP, an electronic payment
request which Is approved or rejected based on the amount of available funds authorized by
EPA In the recipient's account Approved funds are credited to the recipient organization at
the financial institution Identified on the recipient's ASAP enrollment application.
In order to receive payments via ASAP the recipient must first complete an ASAP enrollment
application and have an ASAP account set up.
B) Electronic Funds Transfer (EFT)
Under this payment meohanism, the recipient submits an EPA Payment Request Form to EPA for
approval. Approved funds are credited to the recipient organization at its designated financial
Institution. In order to receive EFT payments the recipient must first complete and return the ACH
Vendor/M/scellaneous Payment Enrollment form (TF8 Form 3881) to the EPA Las Vegas
Finance Center. The Enrollment form can be found by visiting
http://www.eca.pov/oofofflnservloesIoeylpfo.htm#arants. Upon receipt and processing of the
enrollment form, the LVFC will send you a letter assigning you an EFT Control Number. At that'
time you will also receive an EFT payment process Recipient's manual along with a supply of
EPA Payment Requests and other required forms. Additional -Information concerning EFT can be
obtained by contacting the EPA Las Vegas Finance Center, at (702) 798-2485.
4. FEDERAL FINANCIAL REPORTS/GRANT CLOSEOUT
A) interim Federal Financial Reports (FFR1
An Interim Federal Financial Report (FFR-SF425) Is to be submitted to the Las Vegas Finance Center
within 90 days after the end of the quarter of the anniversary of the project period start date The following
reporting period end dates shall be used for interim reports: 3/31, 8/30, 9/30, or 12/31. Interim FFRs
should be submitted to: US EPA, LVFC, PO Box 88516, Las Vegas, NV 89193 or by Fax to:
•702-798-2423:
B) Final Federal Financial Reports
Pursuant to 40 CFR 31.41(b) and 31.50(6), EPA recipients shall submit a final Federal Financial Report —
also called the SF425—to EPA's Las Vegas Finance Center (LVFC), within ninety (90) days after the
expiration of the budget period end date. Please note that these reports are required by EPA grant
regulations (see 40 Code of Federal Regulations §31.41(c)). Completed SF425s must be faxed to
702-798-2423 or mailed to the following address: USEPA LVFC, P.O. Box 98515, Las Vegas, NV
89193-8515. The LVFC will make adjustments, as necessary, to obligated funds after reviewing and
accepting a final Financial StatueReport.
C) Closeout
The Administrative Closeout Phase for this grant will be Initiated with the submission of a "final" FFR. At
that time, the recipient must submit the following forms/reports to the EPA Grants Management Office if
applicable:
- Federally OwnedProperty Report
- An inventory of all Property Acquired with federal funds
Contractor's or Grantee's invention Disclosure Report (EPA Form 3340-3)
Additionally, the recipient's Final Request for Payment should be submitted to the LVFC.
' 5. HOTEL -MOTEL FIRE SAFETY
Pursuant to 40 CFR 30.18, If applicable, and 16 USC 2225a, the recipient agrees to ensure that all space
for conferences, meetings, conventions, or training seminars funded In whole or In part with federal funds
complies with the protection end control guldefines of the Hotel and Motel Fire Safety Act (PL 101.39.1, es
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 compiiance (FEMA ID is currently not
required), or to find other Information about the Act.
6. LOBBYING AND LITIGATION ALL RECIPIENTS
The chief executive officer of this recipient agency shall ensure that no grant funds awarded under this
assistance agreement are used to engage In lobbying of the Federal Government or In litigation against
the United States unless authorized under existing taw. The recipient shall abide by its respective OMB
Circular (A-21, A-87, or A-122), which prohibits the use of federal grant funds for litigation against the
United States or for lobbying or other political activities.
RESTRICTIONS ON LOBBYING
The recipient agreesto comply with This 40 CFR Part 34, New Restrictions on Lobbying . The recipient
shall include the language of this provision in award doauments for all subawards exceeding $100,000,
and require that subrecipients submit certification and discrosure forms accordingly.
In accordance with the Byrd Ant -Lobbying Amendment, any recipient who makes a prohibited expenditure
under Title 40 CFR Part 34 or falls to file the required certification or lobbying forms shall be subject to a
civil penalty of not Tess than $10,000 and not more than $100,000 for each such expenditure.
7. MANAGEMENT FEES
Management fees or similar charges In excess of the direct costs and approved Indirect rates are not
allowable. The term "management fees or similar•chargea" refers to expenses added to the direct costs in
order to accumulate and reserve funds for ongoing business expenses, unforeseen liabilities, or for other
similar costs which are not allowable under this assistance agreement. Management fees or similar
charges may not be used to improve or expand the project funded under this agreement, except to the
extent authorized as.a direct cost of carrying out the scope of work.
8. EXTENSION. OF PROJECT/BUDGET PERIOD EXPIRATION DATE (PART 31)
if a no cost time extension Is necessary to extend the period of availability of funds (budget period), the
recipient must submit a written request, Including a Justification as to why additional time is needed and an
estimated date of completion to the EPA, Grants Management Office prior to the budget/project period
expiration dates. An interim FFR must be submitted along with the request which covers aff expenditures
end obligations to date.
9. RECYCLING AND WASTE PREVENTION
In accordance with the polices set forth in EPA Order 1000.25 and Executive Order 13423, Strengthening
Federal Environmental, Energy and Transportation Management (January 24, 2007) and or 40 CFR .
30.18, the recipient agrees to use recycled paper and double sided printing for all reports which are
prepared as a part of this agreement and delivered to EPA. This requirement does not apply to reports
prepared on forms supplied by EPA, or to Standard Forms, which are printed on recycled paper and are
available through the General Services Administration.
STATE AGENCIES AND POLITICAL SUBDIVISIONS
In accordance with Section 8002 of the Resource Conservation and Recovery Act (RCRA) (42 U.S.C.
8962) any State agendy or agency of a pofiticai subdivision of a State which is using appropriated Federal
funds shall comply with the requirements set forth. Regulations Issued under RCRA Section 6002 apply to
any acquisition of an item where the purchase price exceeds $10,000 .or where the quantity of such items
acquired In the course of the preceding fiscal year was $10,000 or more. RCRA Section 6002 requires
that preference be given in procurement programs to the purchase of specific products containing •
recycled materials identified in guidelines developed by EPA. These guidelines are listed in 40 CFR 247.
10. REIMBURSEMENT LIMITATION
EPA's financial obligations to the recipient ere limited by the amount of federal funding awarded to date as
• shown on line 15 In Its approved EPA budget. if the recipient incurs costs In anticipation of receiving
additional funds from EPA, It does so at is own risk. The recipient le responsible for ensuring that
projects funded under this agreement avoid unnecessary delays and are completed within the
EPA approved budget.
11. SINGLE AUDITS
In accordance with OMB Circular A-133, which implements the single Audit Act, the recipient hereby
agrees to obtain a single audit from an independent auditor if it expends $500,000 or mere in total Federal
funds in any fiscal year, Within nine months after the end of a recipients fiscal year or 30 days after
receiving the report from the auditor, the recipient shall submit a copy of the SF -SAC and a Single Audit
Report Package. For fiscal periods 2002 to 2007 recipients are to submit hard copy to the following
address:
Federal Audit Clearinghouse
1201 East 10'" Street
Jeffersonville, IN 47132
For fiscal periods 2008 and beyond the recipient MUST submit a copy of the SF -SAC and a Single
'Audit Report Package, using the Federal Audit Clearinghouse's Internet Data Entry System. Complete
information on how to accomplish the 2008 and beyond Single Audit Submissions Is available on the
Federal Audit Clearinghouse Web site: htto://harvester.census,aov/fac/
12. SUBAWARD POLICY
a. The recipient agrees to:
(1) - Establish all subaward agreements in writing;
(2) Maintain primary responsibility for ensuring successful completion of the EPA -approved
project (this responsibility cannot be delegated or transferred to a subreclplent);
(3) Ensure that any subawards comply with the standards in Section 210(a)-(d) of OMB'
Circular A-133 and are not used to acquire commercial goods or services for the recipient;'
(4) Ensure that any subawarda are awarded to eligible subreotplents and that proposed
subaward costs are necessary, reasonable, and allocable;
(6) Ensure that any aubawarda to 601(c)(4) organizations do not Involve lobbying activities;
(6) • Monitor the performance of their recipients and ensure that they comply with all
applicable regulations, statutes, and terms and conditions which flow down In the sub.award;
(7) Obtain EPA's consent before making a subaward to a foreign or international
organization, or a subaward to be performed in a foreign country; and
(8) Obtain approval from EPA for any new subaward work that Is not outllned in the approved
work plan in accordance with 40 CFR Parts 30.26 and 31.30, as applicable.
b. Any questions about subreclplent eligibility or other Issues pertaining to subawards should be
addressed to the recipient's EPA Project Officer. Additional Information regarding subawards may
be found at htto:!/www.eoa.aov/ogd/guide/subaward•ooiicwpart-2,adf. Guidance for distinguishing
between vendor and subreclplent relationships and ensuring compliance with Section 210(a)-(d)
of OMB Circular A-133 can be found at htto:/lwww.eoa.gov/oqd/guide/subawards-aooendlx-b.odf
and htto:/lwww.whitehouse.gov/omb/circulars/a133/a133.html.
c. The recipient is responsible for selecting Its subrecipfents and, if applicable, for conducting
subaward. competitions.
13. SUSPENSION AND DEBARMENT
Recipient shall fully comply with Subpart C of 2 CFR Part 180 ,and 2 CFR Part 1532, entitled
'Responsibilities of Participants Regarding Transactions (Doing Business with Other Persons) " Recipient
Is responsible for ensuring that any lower tier covered transaction as described in Subpart B of 2 CFR Part
180 and 2 CFR Part 1532, entitled "Covered Transactions," Includes a term or condition requiring
compliance with Subpart C. Recipient Is responsible for further requiring the inclusion of a similar term or •
condition In any subsequent lower tier covered transactions. Recipient acknowledges that failing to
disclose the information as required at 2 CFR 180.335 may result In the delay or negation of this
assistance agreement, -or pursuance of legal remedies, including suspension and debarment
Recipient may access the Excluded Parties List System at www.epls.gov. This term and condition
supersedes EPA Form 5700-49, "Certification Regarding Debarment, Suspension, and Other
Responsibility Matters."
14. TRAFFICKING VICTIM PROTECTION ACT OF 2000
To Implement requirements of Section 106 of the Trafficking Victims Protection Act of 2000, as amended,
the following provisions apply to this award:
a.. We, as the Federal awarding agency may unilaterally terminate this award; without penalty, If a
subreciplent that is a private entity: (1) is determined to have violated an applicable prohibition In the
Prohibition Statement below; or (2) has an employee who Is determined by the agency official authorized
to terminate the award to have violated an applicable prohibition In the Prohibition Statement below
through conduct that is either: (a) associated with performance under this award; or (b) Imputed to the
subreciplent 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 Governmentwlde
Debarment and Suspension (Nonproourement)," as Implemented by our' agency at 2 CFR part 1532.
You must inform us immediately of any information you receive from any source alleging a violation of a
prohibition In the Prohibition Statement below.
b. Our right to terminate unilaterally that Is described In paragraph a of this award term: (1) implements
section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as amended (22 • I.S.C. 7104(g)), •
and (2) is in addition to all other remedies for noncompliance that are available to us under this award.
c. You must Include the requirements of the Prohibition Statement below in any subaward you make to a
private entity.
Prohibition Statement • You as the recipient, your employees, subreciplents under thle award, and •
subreclpients' employees may not engage in severe forms of trafficking in persons during the period of
time that the award is in effect; procure a commercial sex act during the period of time that the award is in
effect; or use forced labor in the performance of the award or subawards under the award:
15. CERTIFICATIONS
Prior to obligating funds for a particular project, recipient must (a) provide a certif►cation from the Govemor
or Chief Environmental Executive, as appropriate, stating that (1) the infrastrrcture Investment has
received the full review end vetting required by law, and (2) the- Governor or Chief Environmental
Executive accepts.responsiblilty that the Infrastructure Investment is an appropriate use of taxpayer
dollars; and (b) ensure that the certification is posted on a webslte and linked to www.recovery.gov. The
certification shall include a description of the investment, the estimated total cost, and the amount of
awarded funds to be used.. For the purposes of this term and condition, "obligating funds" means entering.
into a contract requiring paymant for specified goods or services or entering Into a loan, reserving funds
for a loan guarantee or bond issuance, or making a subaward (subgrant) of financial assistance.
16. SECTION 1512 REPORTING AND REGISTRATION REQUIREMENTS
Reporting and Registration Requirements under Section 1512 of the American Recovery and
Reinvestment Act of 2009, Public Law 111.5
(a) This award requires the recipient to complete protects or activities which are funded under the
American Recovery and Reinvestment Act of 2009 ("Recovery Act') and to report on use of Recovery Act
funds provided through this award. Information from these reports will be made available to the public.
(b) The initial report Is due by October 10, 2009. Thereafter, the reports are due no later than ten calendar
days after each calendar quarter In which the recipient receives the assistance award funded in whole or
in part by the Recovery Act.
(c) Recipients and their first -tier recipients must maintain current registrations in the Central. Contractor
Registration (www.ccr.gov) at all times during which they have active federal awards funded with Recovery
Act funds. A Dun and Bradstreet Data Universal Numbering System (DUNS) Number (www.dnb.com) Is
one of the requirements for registration In the Central Contractor Registration.
(d) The recipient shall report the Information described Ih section 1512(c) using the reporting Instructions
and data elements that will be provided online at www.FedbraiReporting.gbv and ensure that any
Information that is pre -filled Is corrected or updated as needed.
17. INSPECTOR GENERAL REVIEWS
In addition to the access to records provisions of 2 CFR 215.53 or 40 CFR 31.42, and in accordance with
the provisions of section 1515 of the American Recovery and Reinvestment Act of 2009 (ARRA), recipient
agrees to allow any appropriate representative of the Office of inspector General tq (1) examine any
records of the recipient, any of its procurement contractors and subcontractors or aubgrantees, or any
State or local agency administering such contract, that pertain to, and involve transactions relating to, the
procurement contract, subcontract, grant or subgrant; and (2) Interview any officer or employee of the
recipient, subcontractor, grantee, subgrantee, or agency regarding such transactions.
The Grantee is advised that providing false, fictitious or misleading Information with respect to the receipt
and disbursement of EPA grant funds may result In criminal, civil or administrative fines and/or penalties...
Recipient should be aware that the findings of any review, along with any audits, conducted by an
inspector general of a Federal department or executive Agency and concerning funds awarded under
ARRA shall be posted on the inspector general's website and linked to www.recoverv.00v, except that
information that is protected from disclosure under sections 552 and 552a of title 5, United States Code
may be redacted from the posted version.
18. PROTECTION OF WHISTLEBLOWERS
In accordance with section 1553 of the American Recovery and Reinvestment Act of 2009 (Act), recipient
agrees that employees of non -Federal employer receiving covered funds may not be discharged,
demoted, or otherwise discriminated against as a reprisal for disclosing, including a disclosure made In
the ordinary course of an employee's duties, to the Recovery Accountability and Transparency Board, an
inspector general, the Comptroller General, a member of Congress, a State or Federal regulatory or law
enforcement Agency, a person with supervisory authority over the employee, a court or grand Jury, the
head of a Federal agency, or their representatives, information that the employee reasonably believes Is .
evidence of (1) gross mismanagement of an agency contract or grant relating to grant funds; (2) a gross
waste of covered funds; (3) a substantial and specific danger to• public health or safety related to
Implementation or use of grant funds; (4) an abuse of authority related to implementation or use of
covered funds; or (5) a violation of law, rule, or regulation related to a grant awarded or issued relating to
covered funds.
19. FALSE CLAIM The'grantee, and its sub -grantees must promptly refer to EPA's inspector General '
any credible evidence that a principal, employee, agent, sub -grantee contractor, subcontractor, loan
recipient, or other person has submitted a false claim under the False Claims Act or has committed a
criminal or civil violation of laws pertaining to fraud, conflict of interest, bribery, gratuity, or similar
misconduct involving funds provided under this grant or sub -grants awarded by the grantee.
20. PREFERENCE FOR QUICK -START ACTIVITIES
Recipient shall use funds in a manner that maximizes job creation and economic benefit. And, recipients
using funds for infrastructure investment must give preference to funding activities that can be started and
compleed expeditiously, including a goal of using at least 50 percent of the funds for activities that can be
initiated, not later than June 17, 2009,
21•. LiMIT ON FUNDS
Recipient shall not use funds for particular activities for any casino or other gambling establishment,
aquarium, zoo, golf course, or swimming pool:
22. Transparency and Accountability —Single Audit information for Recipients of Recovery Act
Funds•
Recovery Act Transactions listed in Schedule of Expenditures of Federal Awards and Recipient
Responsibilities for Informing Sub -recipients
(a) To maximize the transparency and accountability of funds authorized •under the American Recovery
and Reinvestment Act of 2009 (Public Law 111-5)(Recovery Act) as required by Congress and In
accordance with 2 CFR 215, subpart 21 "Uniform Administrative Requirements for Grants and
Agreements' and OMB A-102 Common Rules provisions, recipients agree to maintain records that identify
adequately the source and application of Recovery Act funds.
(b) For recipients covered by the Single Audit Act Amendments of 1996 and OMB Circular A-133, 'Audits
of States, Local Governments, and Non -Profit Organizations," recipients agree to separately Identify the
expenditures for Federal awards under the Recovery Act on the Schedule of Expenditures of Federal
Awards (SEFA) and the Data Collection Form (SF -SAC) required by OMB Circular A-133. This shall be
accomplished by identifying expenditures for Federal awards made under Recovery Act separately on the
SEFA, and as separate rows under Item 9 of Part Ill on the SF -SAC by CFDA number, and inclusion of ,
the prefix "ARRA-' in identifying the name of the Federal program on the SEFA and as the first characters
in Item 9d of Part III on the SF -SAC.
(c) Recipients agree to separately Identify to each sub -recipient, and document at the time of sub -award
and at the time of disbursement of funds, the Federal award number, CFDA number, and amount of
Recovery Act funds. When a recipient awards Recovery Act funds for an existing program, the Information
furnished to sub -recipients shall distinguish the sub -awards of incremental Recovery Act funds from
regular sub -awards under the existing program.
(d) Recipients agree to require their sub -recipients to Include on their SEFA Information to specifically
identify Recovery Act funding similar to the requirements for the recipient SEFA described above. This
• information Is needed to allow the recipient to properly monitor sub -recipient expenditure of ARRA funds
as well as oversight by the Federal awarding agencies, Offices of inspector General and the Government
Accountability Office,
23. PAYMENT TO CONSULTANTS
EPA participation In the salary rate (excluding overhead) paid to Individual consultants retained by
recipients or by a recipient's contractors or subcontractors shall be limited to the maximum daily rate for a
Level IV of the Executive Schedule (formerly G5-18), to be adjusted annually. This limit applies to
consultation services of designated individuals with specialized skills who are paid at a daily or hourly rate.
As of January 1, 2009, the limit is $587.20 per day and $73.40 per hour. This rate does not include
transportation and subsistence 'costs for travel performed (the recipient will pay these in accordance with
their normal travel reimbursement practices).
Subagreements with firms for services which are awarded using the procurement requirements In 40 CFR
30 or 31, as applicable, are not affected by this limitation unless the terms of the contract provide the
recipient with responsibility for the selection, direction, and control of the Individuals who will be providing
services under the contract at an hourly or daily rate of compensation. See 40 CFR 31,360) or 30.27(b).
24. OMB GUIDANCE
This award is subject to af( applicable provisions of implementing guidance forthe American Recovery and
Reinvestment Act of 2009 Issued by the United States Office of Management and Budget, including the
Initial Implementing Guidance for the American Recovery and Reinvestment Act (M-09-10) Issued on
February 18, 2009 and available on www.recoverv.gov, and any subsequent guidance documents issued •
by OMB. •
25. ADDITIONAL FUNDING DISTRIBUTION AND ASSURANCE OF APPROPRIATE USE OF FUNDS ,
Not later than 45 days after the enactment of ARRA and prior to receiving funds, Recipient must affirm
that either (1) the State Governor has certified that the State will request and use funds provided by the
Act and the funds will be used to create Jobs and promote economic growth, or (2) if funds are not
accepted for use by the Govemor of the State, the State legislature has accepted the funds by means of
adapting a concurrent resolution. After a State legislature's concurrent resolution, funding within the State
, shall be distributed to local governments, councils of government, public entitles, and public -private
entities within the State either by formufa or at the State's discretion.
28. The Grantee Is advised that providing false, fictitious or misleading Information with respect to the
receipt and disbursement of EPA grant funds may result In criminal, civil or administrative tines and/or
penalties.
27, UTILIZATION OF SMALL, MINORITY AND WOMEN'S BUSINESS ENTERPRISES
GENERAL COMPLIANCE, 40 CFR, Part 33
The recipient agrees to comply with the requirements of EPA's Program for Utilization of Small,
Minority and Women's Business Enterprises in procurement under assistance agreements,
contained In 40 CFR, Part 33. •
FAIR SHARE OBJECTIVES, 40 CFR, Part 33, Subpart D
A recipient must negotiate with the appropriate ERA award official, or his/her designee, air share
objectives for MBE and WBE (MBE/WBE) participation In procurement under the financial
assistance agreements.
Accepting the Fair Share Objectives/Goals of Another Recipient
The dollar amount of this assistance agreement is $250,000, or more; or the total dollar amount of
all of the recipient's non -TAG assistance agreements from EPA in the current fiscal year Is
$250,000, or more. The recipient accepts the applicable MBE/WBE fair share objectives/goals
negotiated with EPA by the FLORIDA DEPARTMENT OF ENVIRONMENTAL PROTECTION as
follows:
MBE: CONSTRUCTION 9%; SUPPLIES 9%; SERVICES 9%; EQUIPMENT 9%
WBE: CONSTRUCTION 3%; SUPPLIES 3%; SERVICES 3%; EQUIPMENT 3%
By signing this financial assistance agreement, the recipient is accepting the fair share
objectives/goals stated above and attests to the fact that it Is purchasing the same or similar
construction, supplies, services and equipment, in the same or similar relevant geographic buying
market asFLORIDA DEPARTMENT OF ENVIRONMENTAL PROTECTION .
Negotiating Fair Share Objectivee/Goals, 40 CFR, Section 33.404
The recipient has the option to negotiate its own MBENVBE falr share objectives/goals. If the
recipient wishes to negotiate Its own MBE/WBE fair share objectives/goals, the recipient agrees to
submit proposed MBE/WBE objectives/goals based on an availability analysis, or disparity study,
of qualified MBEs and WBEs in their relevant geographic buying market for construction, services,
supplies and equipment.
The submission of proposed fair share goals with the supporting analysts or disparity study means
that the recipient is not accepting the fair share objectives/goals of another recipient. The
recipient agrees to submit proposed fair share objectives/goals, together with the supporting
availability analysis or disparity study, to the Regional MBE/WBE Coordinator within 120 days of
Its acceptance of the financial assistance award. EPA will respond to the proposed fair share
objective/goals within 30 days of receiving the submission, If proposed fair share objective/goals
are not received within the 120 day time frame, the recipient may not expend its. EPA funds for
procurements until the proposed fair share objective/goals/are submitted.
SIX GOOD FAITH EFFORTS, 40 CFR, Part 33, Subpart C
Pursuanfto 40 CFR, Section 33.301, the recipient agrees to make the following good faith efforts
whenever procuring construction; equipment, services and supplies under an EPA financial
assistance agreement, and to require that sub -recipients, loan recipients, and prime contractors also
comply, Records documenting compliance with the six good faith efforts shall be retuned:
(a) Require DBEs are made aware of contracting opportunities to the fullest extent practicable
through outreach and recruitment activities. For Indian Tribal, State and Local and Government
recipients, this will include placing DBEs on solicitation lists and soliciting them whenever they are
potential sources.
(b) Make Information on forthcoming opportunities available to DBEs and arrange time frames for
contracts and establish delivery schedules, where the requirements permit, In a way that
encourages and facilitates participation by DBEs in the competitive process. This includes,
whenever possible, posting solicitations for blds or proposals for a minimum of 30 calendar days
before the bid or proposal closing date.
(o) Consldei• In the contracting process whether firms competing for large contracts could
subcontract with DBEs. For Indian Tribal, State and local Government recipients, this will Include
dividing total requirements when economically feasible into smaller tasks or quantities to permit
maximum participation by DBEs to the competitive process. .
(d) Encourage contracting with a consortium of DBEs when a contract is too large for one of these
firms to handle individually.
(e) Use the services and assistance of the SBA and the Minority Business Development Agency
of the Department of Commerce.
(f) if the prime contractor awards subcontracts, require the prime contractor to take the steps In
paragraphs (a) through (e) of this section,
MBE/VVBE REPORTING, 40 CFR, Part 33, Sections 33.502 and 33.503
The recipient agrees to complete and submit EPA Form 5700-52A, "MBE/W BE Utilization Under
Federal Grants, Cooperative Agreements and Interagency Agreements" beginning with the
Federal fiscal year reporting period the recipient receives the award, and continuing until the
project is completed. Only procurements with certified MBE/WBEs are counted toward a
recipient's. MBE/WBE accomplishments, The reports must be submitted semiannually for the
periods ending March 311' and September 30th for:
Recipients of financial assistance agreements that capitalize revolving loan programs
(CWSRF, DWSRF, Brownflelds); and
All other recipients not identified as annual reporters (40 CFR Part 30 and 40 CFR Part 35,
Subpart A and Subpart B recipients are annual reporters).
The reports are due within 30 days of the end of the semiannual reporting periods (April 30.
"and October 30). Reports should be sent to:
EPA GRANTS MANAGEMENT OFFICE •
61 FORSYTH STREET, SW
ATLANTA, GEORGIA 30303
Final MBE/WBE reports must be submitted within 90 days after the protect period of the
grant ends. Your grant cannot be officially closed without all MBE/WSE reports.
EPA Form 5700.52A may be obtained from the EPA Office of Small Business Program's Home
Page on the Internet at www.eoa.aov/osbo
CONTRACT ADMINISTRATION PROVISIONS; 40 CFR, Section 33.302
The recipient agrees to comply with the contract administration provisions of 40 CFR, Section
33.302.
BIDDERS LIST; 40 CFR, Section 33,501(b) and (c)
Recipients of a Continuing Environmental Program Grant dr other annual reporting grant, agree to
create and maintain a bidders list Recipients of an EPA financial assistance agreement to
capitalize a revolving loan fund also agree to require entities receiving Identified loans to create
and maintain a bidders list If the recipient of the loan is subject to, or chooses to follow,
competitive bidding requirements. Please see 40 CFR, Section 33.501 (b) and (c) for specific
requirements and exemptions.
28. This project receives funding under the American Recovery and Reinvestment Act of 2009 (ARRA)
and the grantee, sub -grantee or loan recipient must display the ARRA Logo In a manner that Informs the
public that the project is an ARRA investment. The ARRA logo may be obtained from the EPA grants
office listed in this award document if the EPA logo is displayed along with the ARRA logo and logos of
other participating entities, the EPA logo must not be displayed in a manner that implies that EPA itself is
conducting the project. Instead, the EPA logo must be accompanied with a statement.indicating that the
•grantee, sub -grantee or loan recipient received financial assistance from EPA for the project.
29. Recipients and subreciplents of Recovery Act funds or other Federal financial assistance must
comply with Title VI of the Civil Rights Act of 1964, Section 504 of the Rehabilitation Act of 1973, Title IX of
the Education Amendments of 1972, the Age Discrimination Act of 1975, and a variety Of program -specific
statutes with nondiscrimination requirements.
Other civil rights laws may impose additional requirements on recipients and aubrecipients. These laws
Include, but are not limited to, Title VII of the Civil Rights Act of 1964 (prohibiting race, color, national
origin, religion, and sex discrimination in employment), the Americans with Disabilities Act (prohibiting
disability discrimination in employment and In services provided by State and local governments,
businesses, and non-profit agencies), and the Fair Housing Act (prohibiting race, color, national origin,
age, family status, and disability discrimination In housing), as well as any other applicable civil rights laws.
For questions about these civil rights obligations, please call the EPA's Office of Civil Rights at
202-664-7272 or contact us via e-mall: htto 11&,w.eos oov/cly lrIQhtsloomrnant8..btrn.
30. PRE -AWARD COSTS FOR RECOVERY ACT GRANTS TO STATE AND LOCAL GOVERNMENTS •
SUBJECT TO 40 CFR PART 31 OTHER THAN CLEAN WATER OR DRINKING WATER STATE
REVOLVING FUND CAPITILIZATiON GRANTS AND SUPERFUND COOPERATIVE AGREEMENTS
in accordance with 2 CFR Part 225, Appendix B, item 31, costs the recipient incurred up to 90 days prior
to award that were negotiated with EPA in anticipation of the award, including preparing for expending
funds made available by the American Recovery and Reinvestment Act, and are necessary to comply with
the schedule for delivering work products during the period of performance are allowable provided the
costs:
1. Are eligible under the statutory authority for the award and are otherwise allowable under 2 CFR
Part 225, and;
2. Are for activities described in the EPA approved scope of work .and included In the EPA approved
budget, and;
3: Were Incurred In compliance with the procurement provisions of 40. CFR Part 31, 40 CFR Part 33,
and if applicable, 40 CFR Part 35, Subpart 0, and;
4. Were not incurred for activities directly related to a casino orother gambling establishment,
aquarium, zoo, golf course, or swimming pool, and;
5. Further the goals of the American Recovery and Reinvestment Act to create and preserve jobs,
promote economic recovery, and Invest In environmental protection, and;
6. Are In compliance with the applicable provisions of the American Recovery and Reinvestment Act. •
Programmatic Conditions
Please see attached American Recovery and Reinvestment Act (ARRA) Brownflelds Job Training
Cooperative Agreement Terms and Conditions.
ARRA Brownfields Job Training Cooperative Agreement
Terms and Conditions
Please note that these terms and conditions apply only to Recovery Act Brownfields Job Training Grants awarded
under CERCLA 104(k)(6)
A. Term of the Agreement
' 1. The term of this agreement is three years from the date of award, unless otherwise
extended by BPA at the cooperative agreement recipient's (CAR) request. (Required
national term and condition'. Regions may use alternatives that achieve the same
result).
2. If after 1 year from the date of award, but not later than July 15, 2010, EPA determines
that the CAR has not made sufficient progress in implementing its cooperative '
agreement, EPA may terminate this agreement under applicable Agency regulations.
3. For the purposes of ARRA Job Training cooperative agreements the term "sufficient
progress" means the applicant has: established a program and begun marketing the
program; hired all key personnel; and has completed the fast round of training.
4. ARRA Brownfields Job training grants must not exceed $500,000 over a three year
period. (Required national term and condition. Regions may use alternatives that
achieve the same result).
5. Unless approved with the award of this cooperative agreement, the recipient must
receive written EPA approval of a Final Workplan within 60 calendar days following the
. date of the award. Recipient must receive written EPA approval of the Workplan prior to
expenditure of federal funds under this cooperative'agreement Unless the Agency Award
official, or designee grants a waiver, no financial reimbursement may be made without an
EPA approved Final Workplan. If the recipient fails to obtain EPA approval of the Final
Workplan within 60 days of award, EPA mayterminate this agreement under applicable
Agency regulations.
6. The CAR must use funds in a manner that maximizes program recruitment, training,
and'placement.
7. This award is subject to all applicable provisions of implementing guidance for the
American Recovery and Reinvestment Act of 2009 issued by the United States Office of
Management and Budget, including the Initial Implementing Guidance for the American
Recovery and Reinvestment Act (M-09-10) issued on February 18, 2009 and available on
www.recovery.gov, and any subsequent guidance docuitients issued by OMB.
B. Substantial Involvement
1. Cooperative agreements permit substantial involvement between the EPA Project
the CAR and subgrant recipients and contractors are consistent with the terms and
conditions of this agreement.
A. Funding may be used to provide subawards of'financial assistance to non-
profit organizations, governmental entities, or public educational
institutions or hire commercial contractors provided the recipient follows
subaward or subgrant procedures of competitive procurement standards
contained in 40 CFR Parts 30 or 31, as applicable. Successful applicants
must compete contracts for services and products and conduct cost and
price analyses to the extent required by these regulations. The regulations
also contain limitations on consultant compensation. The fact that a
successful applicant named a specific contractor or consultant in the
proposal EPA approved, does not relieve it of its obligations to comply
with competitive procurement requirements
B. Sttbgrants or subawards maybe used to fund partnerships with nonprofit
organizations governmental entities and public educational institutions.
For -profit organizations are not eligible subgrant recipients. Successful
applicants cannot use subgrants or subawards to avoid requirements in
EPA grant regulations for competitive procurement by using these
instruments to acquire commercial services or products to carry out its
cooperative agreement. The nature of the transaction between the
recipient and the subgrantee must be consistent with the standards for
distinguishing between vendor transactions and subrecipient assistance
under Subpart B Section 210 of OMB Circular A-133, and the definitions
of "subaward" at 40 CFR 30.2(ff) or "sttbgrant" at 40 CFR 31.3, as
applicable. EPA will not be a party to these transactions.
(Optional Term and Condition since this is already covered by EPA grant regulations and
OMB Circular A-133). c
C. The recipient must make clear in any solicitation for private or public
funding that the recipient's organization, and not EPA, is seeking funding.
The recipient may not imply that EPA endorses any fundraising activities
in connection with its project. Further, the recipient must make clear to
donors that any gift to the recipient for use in connection with brownfields
training; research, and/or technical assistance will go solely toward
defraying its own expenses, and not those of EPA.
D. The CAR, and any sub -grantees must promptly refer to EPA's Inspector
General any credible evidence that a principal, employee, agent, sub-
grantee contractor, subcontractor, or other person has submitted a false
claim wider the False Claims Act or has committed a criminal or civil
violation of laws pertaining to fraud, conflict of interest, bribery, gratuity,
or similar misconduct involving funds provided under this grant or sub -
grants awarded by the grantee.
3. In. accordance with section 1553 of the American Recovery and Reinvestment Act of
2009, the CAR must ensure that employees of a non -Federal employer receiving covered
funds may not be discharged, demoted, or otherwise discriminated against as a reprisal
include:
1. Documentation of progress in meeting the
outputs/outcomes listed in the Final Workplan, deliverables
completed to date as cited in the CAR's project narrative,
and an explanation of any slippage in meeting these
deliverables.
2. An update on meeting project milestones and progress in
meeting project deadlines/time line.
3. A summary of the number of persons recruited, number of
persons entering and completing training, and the number
of trainees placed in full-time employment to date (as also
required when submitting the Job Training Reporting Form
listed below in Section (B.)).
• 4. Information regarding the location from where trainees
were recruited, drop out numbers of the training program, if
applicable, and information regarding placement of
graduates (i.e. job titles, starting salaries, and names of
organizations where graduates were placed).
S A summary of the training completed to date including
courses held and certifications provided. •
6. Information regarding leveraged funds, including the source
and the amount of funds (gs also required when submitting
the Job Training Reporting Form, as listed below in Section
(B•))•
7. A detailed "budget summary" page with a budget table
showing the approved budget for each task, by year, by
object class, including the funds used to date for each task,
the funds remaining for each task, and explanation notes if
applicable. Following budget headings may include:
Current Approved Budget, Costs Incurred this Quarter,
Costs Incurred to Date, and Total Remaining Fronds.
• 8. In accordance with 40 C.F.R. § 31.40 (d) or 40 C.F.R. §
30.51(f), the CAR agrees to inform their designated Project
Officer as soon as problems, delays or adverse conditions
become known which will materially impair the ability to
meet the outputs/outcomes specified in the Final Workplan.
(Required national term and condition. Regions may use alternatives that achieve the same
result).
B. The CAR must report on interim progress and any final accomplishments •
by completing and submitting relevant portions of the OMB Circular
2030-0020BPA-Form 9310-2 "Job Training Reporting Form." Th8 CAR
must submit the updated Job Training Reporting Form reflecting any
immediate progress or within 30 days after the end of the Federal fiscal
quarter in which the event occurred. The CAR will be provided access to
an on-line reporting system, the Assessment, Cleanup and Redevelopment
impacted communities.
D. , A summary of the post -tracking and follow-up activities that the recipient
conducted for each trainee.
G. A summary of the cost per trainee, licensing fees incurred, etc.
G. Problems encountered which prohibited the completion of the project
goals or objectives, if applicable.
G. Future plans for continuation of the program.
2. After review of the final report, the EPA Project Officer may request additional
information of the recipient. In addition to the final report, the recipient must submit (if
requested to do so by EPA's Project Officer) a copy of all tangible and intangible
products that were created for the purpose of the funded project (i.e. videos, research
findings, curriculum, presentations, etc.) If an exhibit or 'slide show was created or an
item too large and/or expensive to duplicate, photos or transcripts of the product may be
substituted.
(Required national term and condition. Regions may use alternatives that achieve the same .
result).
I. Eligible Use of Funds
1. Eligible use of grant funds under this agreement includes:
A. Training residents for the handling and removal of hazardous substances,
including training for jobs in sampling, analysis, and site remediation.
B. Training in the management of facilities at which hazardous substances,
pollutants, contaminants or petroleum contamination are located;
C. Training for response activities often associated with cleanups for
example, landsaping, demolition, and groundwater extraction;
D. Development/refinement of existing curriculum for the training described
in this paragraph.
E. Training participants in the use of techniques and methods for cleanup of
leaking underground storage tanks and other sites contaminated by
petroleum products, asbestos abatement, or lead abatement where these
topics are a component of a more comprehensive hazardous waste training
course or environmental technology training course,
F. Recruiting job training participants from communities impacted by
brownfields and for outreach activities directed towards engaging
prospective employers to be involved in the job training program. These
activities should be part of improving participation in hazardous waste
training for communities impacted by brownfields. Proposed training
programs must establish procedures to ensure that participants are
recruited from the neighborhoods where the brownfield sites are located.
It is anticipated that these graduates will be employed in brownfields
and/or environmental work that involves assessing and cleani¢g up
result).
J. Prohibited Use of Funds
1. Funds awarded under Section 104(k)(6) of CERCLA are intended for job training
activities and may not be used for:
A. Conducting site assessments or actual cleanups outside the context of on- -
the -job training including response activities often associated with
cleanups for example, landscaping, demolition, and groundwater
extraction.
B. General or life skills education activities, such as remedial classes in math
and reading, job readiness training, such as developing resumes and
acquiring interview akiils, job placement costs, GED costs, web site
development, vehicle or medical insurance, or child care costs.
C. Stipends for trainees are unallowable with the exception of stipends for
transportation for trainees for site visits during training or for trainees to
get to and from class.
D. Costs that are vn 1Iowable te.g. lobbying, fund-raising) under OMB
Circulars A-21(universities), A-87 (state, tribal, and local governments),
or A 122 (nonprofit organizations), as applicable.
E. Matching any other federal funds unless there is specific statutory
authority for the match. CERCLA does not provide this authority. Grant,
funds may be used to match state or local funds, if authorized by the
relevant state statute or local ordinance.
F. Administrative costs, penalty, or fine:
1. Prohibited administrative costs are also all indirect costs under
OMB Circular A-21 (Educational Institutions), A-87
(Governments), and A-122 (Nonprofit Organizations), and Subpart
312 (Commercial Organizations) of the Federal Acquisition
Regulation even if the recipient has an approved or interim
indirect cost rate with a cognizant Federal auditing agency.
2. Prohibited Administrative costs include direct costs including
those in the form of salaries, benefits, contractual costs, supplies,
and data processing charges incurred to comply with most
provisions of the "Uniform Administrative Requirements for
Grants" contained in 40 C.F.R. Part 30 or 40 C.F.R. Part 31.
Direct costs for grant administration are ineligible even if the
grantee or sub -grantee is required to carry out the activity under the
grant agreement.
Ineligible grant administration costs include expenses for:
a. Preparation of applications for Brownfields grants and sub -
grants;
b. Record retention required under 40 C.F.R. 30.53 and 40 '
C.F.R.31.42 r
c. Record -keeping associated with supplied and equipment
1 q
.q
appearance of the CAR's lack of impartiality. Such situations include, but are not limited
to, situations in which an employee, official, consultant, contractor, or other individual
associated with the CAR (affected party) approves or administers a sub -grant to with -
grant recipient in which the affected party has a financial or other interest. Such a
conflict of interest or appearance of impartiality may arise when: •
A. The affected party,
B. Any member of his immediate family,
C. His or her partner, or
D. An organization which employs, or is about to employ, any of the above,
Has a financial interest or other interest in the sub -grant recipient.
Affected employees will neither solicit nor accept gratuities, favors, or anything of
monetary value from sub -grant recipients. Recipients may set minimum rules
where the financial interest is not substantial or the gift is an unsolicited item of
nominal intrinsic value. To the extent permitted by ,State or local law or
regulations, such standards of conduct will provide for penalties, sanctions, or
other disciplinary actions for violations of such standards by affected parties.
(Required national term and condition. Regions may use alternatives that achieve the same
result).
Circular A-133 -- Audits of States, Local Governments, and Non -Profit Organizations Page 6 of 20
(1) Value of new loans made or received during the fiscal year; plus
(2) Balance of loans from previous years for which the Federal Government imposes continuing compliance
requirements; plus
(3) Any interest subsidy, cash, or administrative cost allowance received.
(c) Loan and loan guarantees (loans) at institutions of higher education. When loans are made to students of
an institution of higher education but the institution does not make the loans, then only the value of loans made
during the year shall be considered Federal awards expended in that year. The balance of loans for previous years is
not included as Federal awards expended because the lender accounts for the prior balances.
(d) Prior loan and loan guarantees (loans). Loans, the proceeds of which were received and expended in prior -
years, are not considered Federal awards expended under this part when the laws, regulations, and the provisions of
contracts or grant agreements pertaining to such loans impose no continuing compliance requirements other than to
repay the loans.
(e) Endowment funds. The cumulative balance of Federal awards for endowment funds which are federally
restricted are considered awards expended in each year in which the funds are still restricted.
(f) Free rent. Free rent received by itself is not considered a Federal award expended under this part. However, free
rent received as part of an award to carry out a Federal program shall be included in determining Federal awards
expended and subject to audit under this part.
(g) Valuing non -cash assistance. Federal non -cash assistance, such as free rent, food stamps, food commodities,
donated property, or donated surplus property, shall be valued at fair market value at the time of receipt or the
assessed value provided by the Federal agency.
(h) Medicare. Medicare payments to a non -Federal entity for providing patient care services to Medicare eligible
individuals are not considered Federal awards expended under this part.
(i) Medicaid. Medicaid payments to a subrecipient for providing patient care services to Medicaid eligible individuals
are not considered Federal awards expended under this part unless a State requires the funds to be treated as
Federal awards expended because reimbursement is on a cost -reimbursement basis.
(j) Certain loans provided by the National Credit Union Administration. For purposes of this part, loans made
from the National Credit Union Share Insurance Fund and the Central Liquidity Facility that are funded by
contributions from insured institutions are not considered Federal awards expended.
§_.210 Subrecipient and vendor determinations.
(a) General. An auditee may be a recipient, a subrecipient, and a vendor. Federal awards expended as a recipient or
a subrecipient would be subject to audit under this part. The payments received for goods or services provided as a
vendor would not be considered Federal awards. The guidance in paragraphs (b) and (c) of this section should be
considered in determining whether payments constitute a Federal award or a payment for goods and services.
(b) Federal award. Characteristics indicative of a Federal award received by a subrecipient are when the
organization:
(1) Determines who is eligible to receive what Federal financial assistance;
(2) Has its performance measured against whether the objectives of the Federal program are met;
(3) Has responsibility for programmatic decision making;
(4) Has responsibility for adherence to applicable Federal program compliance requirements; and
(5) Uses the Federal funds to carry out a program of the organization as compared to providing goods or
services for a program of the pass -through entity.
(c) Payment for goods and services. Characteristics indicative of a payment for goods and services received by a
vendor are when the organization:
(1) Provides the goods and services within normal business operations;
(2) Provides similar goods or services to many different purchasers;
(3) Operates in a competitive environment;
(4) Provides goods or services that are ancillary to the operation of the Federal program; and
(5) Is not subject to compliance requirements of the Federal program.
(d) Use of judgment in making determination. There may be unusual circumstances or exceptions to the listed
characteristics. In making the determination of whether a subrecipient or vendor relationship exists, the substance of
the relationship is more important than the form of the agreement. It is not expected that all of the characteristics will
be present and judgment should be used in determining whether an entity is a subrecipient or vendor.
http://georgewbush-whitehouse.archives.gov/omb/circulars/a133/a133.html 11/29/2010
Circular A-133 -- Audits of States, Local Governments, and Non -Profit Organizations Page 7 of 20
(e) For -profit subrecipient. Since this part does not apply to for -profit subrecipients, the pass -through entity is
responsible for establishing requirements, as necessary, to ensure compliance by for -profit subrecipients. The
contract with the for -profit subrecipient should describe applicable compliance requirements and the for -profit
subrecipient's compliance responsibility. Methods to ensure compliance for Federal awards made to for -profit
subrecipients may include pre -award audits, monitoring during the contract, and post -award audits.
(f) Compliance responsibility for vendors. In most cases, the auditee's compliance responsibility for vendors is
only to ensure that the procurement, receipt, and payment for goods and services comply with laws, regulations, and
the provisions of contracts or grant agreements. Program compliance requirements normally do not pass through to
vendors. However, the auditee is responsible for ensuring compliance for vendor transactions which are structured
such that the vendor is responsible for program compliance or the vendor's records must be reviewed to determine
program compliance. Also, when these vendor transactions relate to a major program, the scope of the audit shall
include determining whether these transactions are in compliance with laws, regulations, and the provisions of
contracts or grant agreements.
§___.215 Relation to other audit requirements.
(a) Audit under this part in lieu of other audits. An audit made in accordance with this part shall be in lieu Of any
financial audit required under individual Federal awards. To the extent this audit meets a Federal agency's needs, it
shall rely upon and use such audits. The provisions of this part neither limit the authority of Federal agencies,
including their Inspectors General, or GAO to conduct or arrange for additional audits (e.g., financial audits,
performance audits, evaluations, inspections, or reviews) nor authorize any auditee to constrain Federal agencies
from carrying out additional audits. Any additional audits shall be planned and performed.in such a way as to build
upon work performed by other auditors.
(b) Federal agency to pay for additional audits. A Federal agency that conducts or contracts for additional audits
shall, consistent with other applicable laws and regulations, arrange for funding the full cost of such additional audits.
(c) Request for a program to be audited as a major program. A Federal agency may request an auditee to have
a particular Federal program audited as a major program in lieu of the Federal agency conducting or arranging for
the additional audits. To allow for planning, such requests should be made at least 180 days prior to the end of the
fiscal year to be audited. The auditee, after consultation with its auditor, should promptly respond to such request by
informing the Federal agency whether the program would otherwise be audited as a major program using the risk -
based audit approach described in §_ 520 and, if not, the estimated incremental cost. The Federal agency shall
then promptly confirm to the auditee whether it wants the program audited as a major program. If the program is to
be audited as a major program based upon this Federal agency request, and the Federal agency agrees to pay the
full incremental costs, then the auditee shall have the program audited as a major program. A pass -through entity
may use the provisions of this paragraph for a subrecipient.
§_.220 Frequency of audits.
Except for the provisions for biennial audits provided in paragraphs (a) and (b) of this section, audits required by this
part shall be performed annually. Any biennial audit shall cover both years within the biennial period.
(a) A State or local government that is required by constitution or statute, in effect on January 1, 1987, to undergo its
audits less frequently than annually, is permitted to undergo its audits pursuant to this part biennially. This
requirement must still be in effect for the biennial period under audit.
(b) Any non-profit organization that had biennial audits for all biennial periods ending between July 1, 1992, and
January 1, 1995, is permitted to undergo its audits pursuant to this part biennially.
§_.225 Sanctions.
No audit costs may be charged to Federal awards when audits required by this part have not been made or have
been made but not in accordance with this part. In cases of continued inability or unwillingness to have an audit
conducted in accordance with this part, Federal agencies and pass -through entities shall take appropriate action
using sanctions such as:
(a) Withholding a percentage of Federal awards until the audit is completed satisfactorily;
(b) Withholding or disallowing overhead costs;
(c) Suspending Federal awards until the audit is conducted; or
(d) Terminating the Federal award.
§_.230 Audit costs.
(a) Allowable costs. Unless prohibited by law, the cost of audits made in accordance with the provisions of this part
are allowable charges to Federal awards. The charges may be considered a direct cost or an allocated indirect cost,
as determined in accordance with the provisions of applicable OMB cost principles circulars, the Federal Acquisition
Regulation (FAR) (48 CFR parts 30 and 31), or other applicable cost principles or regulations.
(b) Unallowable costs. A non -Federal entity shall not charge the following to a Federal award:
(1) The cost of any audit under the Single Audit Act Amendments of 1996 (31 U.S.C. 7501 et seq.) not
conducted in accordance with this part.
http://georgewbush-whitehouse.archives.gov/omb/circulars/a133/a133.html 11/29/2010