RESTORE ACT

FINANCIAL ASSISTANCE STANDARD TERMS

AND CONDITIONS AND PROGRAM-SPECIFIC

TERMS AND CONDITIONS

U.S. Department of the Treasury

August 2017
TABLE OF CONTENTS

RESTORE ACT FINANCIAL ASSISTANCE STANDARD TERMS AND CONDITIONS AND PROGRAMSPECIFIC TERMS AND CONDITIONS ....................................................................................................... 1

A PROGRAM-SPECIFIC TERMS AND CONDITIONS - AWARDS UNDER THE DIRECT

COMPONENT.................................................................................................................................. 2

B PROGRAM-SPECIFIC TERMS AND CONDITIONS - AWARDS UNDER THE CENTERS OF

EXCELLENCE RESEARCH GRANTS PROGRAM ........................................................................ 3

STANDARD TERMS AND CONDITIONS - AWARDS UNDER THE DIRECT COMPONENT AND

AWARDS UNDER THE CENTERS OF EXCELLENCE RESEARCH GRANTS PROGRAM

C FINANCIAL REQUIREMENTS ........................................................................................................ 4

D RECIPIENT REPORTING AND AUDIT REQUIREMENTS............................................................. 7

E FINANCIAL MANAGEMENT SYSTEM AND INTERNAL CONTROL REQUIREMENTS ............... 9

F RECORDS RETENTION REQUIREMENTS................................................................................. 10

G THE FEDERAL GOVERNMENT’S RIGHT TO INSPECT, AUDIT, AND INVESTIGATE.............. 11

H AWARD DISBURSEMENT ............................................................................................................ 12

I EFFECT OF A GOVERNMENT SHUTDOWN ON DISBURSEMENTS AND THE AVAILABILITY

OF TREASURY PERSONNEL ...................................................................................................... 13

J NOTIFICATIONS AND PRIOR APPROVALS ............................................................................... 13

K PROPERTY ................................................................................................................................... 14

L AMENDMENTS AND CLOSEOUT................................................................................................ 15

M REMEDIES FOR NONCOMPLIANCE........................................................................................... 16

N DEBTS........................................................................................................................................... 17

O NON-DISCRIMINATION REQUIREMENTS.................................................................................. 18

P REQUIREMENT TO CHECK DEBARMENT AND SUSPENSION STATUS OF SUBRECIPIENTS,

CONTRACTORS, SUBCONTRACTORS AND VENDORS .......................................................... 20

Q DRUG FREE WORKPLACE.......................................................................................................... 20

R LOBBYING RESTRICTIONS......................................................................................................... 20

S PROCUREMENT........................................................................................................................... 22

T RESEARCH INVOLVING HUMAN SUBJECTS............................................................................ 23

U ENVIRONMENTAL REQUIREMENTS.......................................................................................... 23

V MISCELLANEOUS REQUIREMENTS AND PROVISIONS.......................................................... 24

SUPPLEMENTAL STANDARD TERMS AND CONDITIONS - AWARDS UNDER THE DIRECT

COMPONENT FOR ACQUISTION AND IMPROVEMENTS TO REAL PROPERTY

W ACQUISITION AND IMPROVEMENTS TO REAL PROPERTY ................................................... 34
August 2017 Page 1

RESTORE ACT FINANCIAL ASSISTANCE STANDARD TERMS AND

CONDITIONS AND PROGRAM-SPECIFIC TERMS AND CONDITIONS

PREFACE

The grant agreement is comprised of the following documents:

1. A Notice of Award from the Department of the Treasury (“Treasury”);

2. The RESTORE Act Financial Assistance Standard Terms and Conditions (“Standard Terms and

Conditions”);

3. The RESTORE Act Financial Assistance Program-Specific Terms and Conditions (“ProgramSpecific Terms and Conditions”);

4. The approved application, including all documents, certifications, and assurances that are part of

the approved application;

5. The approved scope of work;

6. The approved budget; and,

7. Any special terms and conditions applied by Treasury to the award (“Special Award Conditions”).

The recipient must comply, and require each of its subrecipients, contractors, and subcontractors

employed in the completion of the activity, project, or program to comply with all federal statutes, federal

regulations, executive orders (EOs), Office of Management and Budget (OMB) circulars, Standard Terms

and Conditions, Program-Specific Terms and Conditions, and any Special Award Conditions of this

federal financial assistance award (“Award”), as applicable, in addition to the certifications and

assurances required at the time of application. This Award is subject to the laws and regulations of the

United States.

Any inconsistency or conflict in Standard Terms and Conditions, Program-Specific Terms and Conditions,

and any Special Award Conditions of this Award will be resolved according to the following order of

precedence: federal laws, federal regulations, applicable notices published in the Federal Register, EOs,

OMB circulars, Treasury’s Standard Terms and Conditions, Program-Specific Terms and Conditions, and

any Special Award Conditions. Special Award Conditions may amend or take precedence over Standard

Terms and Conditions and Program-Specific Terms and Conditions.

Some of these Standard Terms and Conditions contain, by reference or substance, a summary of

pertinent federal statutes, federal regulations published in the Federal Register (Fed. Reg.) or Code of

Federal Regulations (C.F.R.), EOs, or OMB circulars. In particular, these Standard Terms and Conditions

incorporate many of the provisions contained in OMB’s Uniform Guidance for Grants and Cooperative

Agreements (2 C.F.R. Part 200), which supersedes former OMB Circular A-102 (the former grants

management common rule), OMB Circular A-133 (single audit requirements), and all former OMB

circulars containing the cost principles for grants and cooperative agreements. To the extent that it is a

summary, such a provision is not in derogation of, or an amendment to, any such statute, regulation, EO,

or OMB circular. Unless a definition is provided here, definitions can be found in the RESTORE Act (Public

Law No. 112-141 (July 6, 2012)), Treasury’s RESTORE Act regulations (79 Fed. Reg. 48039

(Aug. 15, 2014) and 79 Fed. Reg. 61236 (Oct. 10, 2014), codified at 31 C.F.R. Part 34)), and/or 2 C.F.R.

Part 200.
August 2017 Page 2

A PROGRAM-SPECIFIC TERMS AND CONDITIONS - AWARDS UNDER THE DIRECT

COMPONENT

In addition to all the Standard Terms and Conditions described in Sections C through V of this

document, all Treasury RESTORE Act awards made under the Direct Component include the

following Program-Specific Terms and Conditions in this Section A:

1. Administrative Costs

a. Administrative costs are defined at 31 C.F.R. § 34.2.

b. Under no circumstances may the recipient use more than three percent of the

Award funds received for administrative costs. Administrative costs do not

include indirect costs that are identified specifically with, or readily assignable to

facilities, as defined in 2 C.F.R. § 200.414. Costs borne by subrecipients do not

count toward the three percent cap.

c. Up to 100 percent of program income may be used to pay for allowable

administrative costs, subject to the three percent cap.

2. Oil Spill Liability Trust Fund

The recipient must not seek any compensation for the approved program or project from

the Oil Spill Liability Trust Fund. If the recipient is authorized to make subawards, the

recipient must not use Direct Component funds to make subawards to fund activities for

which any claim for compensation was filed and paid out by the Oil Spill Liability Trust

Fund after July 6, 2012.

3. Remedies for Noncompliance

a. If Treasury determines that the recipient has expended Direct Component funds

to cover the cost of any ineligible activities, in addition to the remedies available

in Section M of these Standard Terms and Conditions, per 31 C.F.R. § 34.804,

Treasury will make no additional payments to the recipient from the Gulf Coast 

Restoration Trust Fund (Trust Fund), including no payments from the Trust Fund

for activities, projects, or programs other than Direct Component activities,

projects, or programs, until the recipient has either (1) deposited an amount

equal to the amount expended for the ineligible activities in the Trust Fund, or (2)

Treasury has authorized the recipient to expend an equal amount from the

recipient’s own funds for an activity that meets the requirements of the

RESTORE Act.

b. If Treasury determines the recipient has materially violated the terms of this

Award, Treasury will make no additional funds available to the recipient from any

part of the Trust Fund until the recipient corrects the violation.
August 2017 Page 3

B PROGRAM-SPECIFIC TERMS AND CONDITIONS - AWARDS UNDER THE CENTERS OF

EXCELLENCE RESEARCH GRANTS PROGRAM

In addition to all the Standard Terms and Conditions described in Sections C through V of this

document, all Treasury RESTORE Act awards under the Centers of Excellence Research Grants

Program include the following Program-Specific Terms and Conditions in this Section B:

1. Allowable Costs

In addition to the prohibitions contained in 2 C.F.R. Part 200, Subpart E (Cost Principles),

the following costs are unallowable unless approved in writing by Treasury:

a. Construction, including the alteration, repair, or rehabilitation of existing

structures. Facilities costs are allowable as indirect costs in a federally approved

negotiated indirect cost rate.

b. Acquisition of land or interests in land.

2. Notifications

a. If the selection of a Center or Centers of Excellence occurs after the start date of

this Award, the recipient must promptly inform Treasury of the following:

i. Name of the Center of Excellence and the entity selected to administer it,

including the names of member organizations if the entity is a

consortium;

ii. The DUNS Number of the entity;

iii. Location of the entity;

iv. Discipline or disciplines assigned to the Center of Excellence;

v. Description of the actual public input process undertaken, including a

summary of any comments received and a description of how they were

addressed; and

vi. The estimated budget for the Center, including the total allocation of

funded dollars for the Center.

b. The recipient must immediately notify Treasury if it anticipates selecting a new

entity or consortium to serve as a Center of Excellence, or making other changes

to the initial selection of Center(s) of Excellence described in the scope of work.

3. Performance Reports

In addition to the reporting requirements in Section D, the recipient must submit an annual

report to the Gulf Coast Ecosystem Restoration Council (“Council”), in a form prescribed

by the Council that includes information on subrecipients, subaward amounts, disciplines

addressed, and any other information required by the Council. When the subrecipient is a

consortium, the annual report must also identify the consortium members. The recipient

must provide a copy of this report to Treasury when it submits the report to the Council.
August 2017 Page 4

STANDARD TERMS AND CONDITIONS

AWARDS UNDER THE DIRECT COMPONENT AND THE CENTERS OF EXCELLENCE RESEARCH

GRANTS PROGRAM

C FINANCIAL REQUIREMENTS

1. Applicable Regulations

This Award is subject to the following federal regulations and requirements. This list is not

exclusive:

a. Uniform Administrative Requirements, Cost Principles, and Audit Requirements

for Federal Awards, 2 C.F.R. Part 200, Subparts A through F, and any Treasury

regulations incorporating these requirements.

b. Treasury’s RESTORE Act regulations, 31 C.F.R. Part 34.

c. Governmentwide Debarment and Suspension, 31 C.F.R. Part 19.

d. Governmentwide Requirements for Drug-Free Workplace, 31 C.F.R. Part 20.

e. New Restrictions on Lobbying, 31 C.F.R. Part 21.

f. Reporting Subaward and Executive Compensation Information, 2 C.F.R. Part

170.

g. Award Term related to Trafficking in Persons, 2 C.F.R. Part 175.

2. Scope of Work

The recipient must only use funds obligated and disbursed under this Award for the

purpose of carrying out activities described in the attached approved scope of work. The

recipient must not incur or pay any expenses under this Award for activities not related to

the attached approved scope of work unless Treasury first approves an Award

amendment explicitly modifying the approved scope of work to include those activities.

3. Period of Performance; Pre-award Costs

The recipient must use funds obligated and disbursed under this Award only during the

period of performance specified in the Notice of Award, which is the time period during

which the recipient may incur new obligations and costs to carry out the work authorized

under this Award. The only exception is for costs incurred prior to the effective date of

this Award, which are allowable only if:

a. Treasury specifically authorized these costs in writing on or after the issuance

date of this Award;

b. Incurring these costs was necessary for the efficient and timely performance of

the scope of work; and

c. These costs would have been allowable if incurred after the date of the award.

4. Indirect Costs

a. The recipient may only charge indirect costs to this Award if these costs are

allowable under 2 C.F.R. Part 200, subpart E (Cost Principles).
August 2017 Page 5

b. Indirect costs charged must be consistent with an accepted de minimis rate or

the indirect cost rate agreement negotiated between the recipient and its

cognizant agency (defined as the federal agency that is responsible for

reviewing, negotiating, and approving cost allocation plans or indirect cost

proposals, see 2 C.F.R. § 200.19) and must be included in the recipient’s budget.

c. Unallowable direct costs are not recoverable as indirect costs.

d. The maximum dollar amount of allocable indirect costs charged to this Award

shall be the lesser of:

i. The line item amount for the indirect costs contained in the approved

budget, including all budget revisions approved in writing by the

Treasury; or,

ii. The total indirect costs allocable to this Award based on the indirect cost

rate approved by a cognizant or oversight federal agency and applicable

to the period in which the cost was incurred, provided that the rate is

approved on or before the Award end date.

5. Cost Sharing and Budget Limitations

a. The recipient is not required to contribute any matching funds.

b. The recipient shall not request or receive additional funding beyond what was

included in the approved application for the attached approved scope of work

from any federal or non-federal source without first notifying Treasury.

6. Program Income

Any program income (defined at 2 C.F.R. § 200.80) generated by the recipient or the 

subrecipient during the period of performance of the award or subrecipient agreement, 

as applicable, must be included in the approved budget and be used for the purposes

and under the conditions of these Standard Terms and Conditions and any Special

Award Conditions, i.e. solely to accomplish the approved scope of work.

7. Incurring Costs or Obligating Federal Funds Beyond the Expiration Date

The recipient must not incur costs or obligate funds under this Award for any purpose

pertaining to the operation of the activity, project, or program beyond the end of the

period of performance. The only costs which are authorized for a period up to 90 days

following the end of the period of performance are those strictly associated with close-out

activities. Close-out activities are normally limited to the preparation of final progress,

financial, and required audit reports unless otherwise approved in writing by Treasury.

Under extraordinary circumstances, and at Treasury’s sole discretion, Treasury may

approve the recipient’s request for an extension of the 90-day closeout period.

8. Tax Refunds

Refunds of taxes paid under the Federal Insurance Contributions Act (FICA) and the

Federal Unemployment Tax Act (FUTA) that are received by the recipient during or after the

period of performance must be refunded or credited to Treasury if these taxes were paid out

of RESTORE Act funds in accordance with 2 C.F.R. Part 200, subpart E (Cost Principles).

The recipient agrees to contact Treasury immediately upon receipt of these refunds.
August 2017 Page 6

9. Subawards

a. If the recipient is permitted to make subawards under this award, the recipient

must execute a legally binding written agreement with the subrecipient. This

agreement must incorporate all the terms and conditions of this Award, including

any Special Award Conditions, and must include the information at 2 C.F.R. §

200.331. The recipient must perform all responsibilities required of a passthrough entity, as specified in 2 C.F.R. Part 200.

b. The recipient must evaluate and document each subrecipient’s risk of

noncompliance with federal statutes, federal regulations, and the terms and

conditions of the subaward for purposes of determining the appropriate

subrecipient monitoring strategy, as described in 2 C.F.R. § 200.331(b).

c. The recipient must monitor the subrecipient’s use of federal funds through

reporting, site visits, regular contact, or other means to provide reasonable

assurance that the subrecipient is administering the subaward in compliance with

the RESTORE Act, Treasury’s RESTORE Act regulations, these Standard Terms

and Conditions, Program-Specific Terms and Conditions, and any Special Award

Conditions, and to ensure that performance goals are achieved.

d. The recipient must provide training and technical assistance to the subrecipient

as necessary.

e. The recipient must, if necessary, take appropriate enforcement actions against

non-compliant subrecipients.

f. If lower tier subawards are authorized by Treasury, the recipient must ensure that

a subrecipient who makes a subaward applies the terms and conditions of this

Award, including any Special Award Conditions, to all lower tier subawards, and

that a subrecipient who makes a subaward carries out all the responsibilities of a

pass-through entity described at 2 C.F.R. Part 200.

g. The recipient must maintain written standards of conduct governing the

performance of its employees involved in executing this Award and

administration of subawards.

i. No employee, officer, or agent shall participate in the selection, award, or

administration of a subaward supported by federal funds if a real or

apparent conflict of interest would be involved. Such a conflict would

arise when the employee, officer, or agent, any member of his or her

immediate family, his or her partner, or an organization in which he/she

serves as an officer or which employs or is about to employ any of the

parties mentioned in this section, has a financial interest or other interest

in the organization selected or to be selected for a subaward.

ii. The officers, employees, and agents of the recipient shall neither solicit

nor accept anything of monetary value from subrecipients.

iii. A recipient may set standards for situations in which the financial interest

is not substantial or the gift is an unsolicited item of nominal value. A

financial interest may include employment, stock ownership, a creditor or

debtor relationship, or prospective employment with the organization

selected or to be selected for a subaward.

iv. The standards of conduct must provide for disciplinary actions to be

applied for violations of such standards by officers, employees, or agents

of the recipient.
August 2017 Page 7

D RECIPIENT REPORTING AND AUDIT REQUIREMENTS

1. Financial Reports

a. The recipient must submit a "Federal Financial Report" (SF-425) on a semiannual basis for the periods ending March 31 and September 30 (or June 30 and

December 31, if instructed by Treasury), or any portion thereof, unless otherwise

specified in a special award condition. Reports are due no later than 30 days

following the end of each reporting period. A final SF-425 must be submitted

within 90 days after the end of the period of performance.

b. In the remarks section of each SF-425 submitted, the recipient must describe by 

budget category the use of all funds received.

c. The report must be signed by an authorized certifying official who is the

employee authorized by the recipient organization to submit financial data on its

behalf.

d. The recipient must submit all financial reports via http://www.GrantSolutions.gov,

unless otherwise specified by Treasury in writing.

2. Performance Reports

a. The recipient must submit an SF-PPR (“Performance Progress Report”), a

“RESTORE Act Status of Performance Report,” (standard format provided by

Treasury, OMB Approval No. 1505-0250) and an updated “RESTORE Act

Milestones Report,” (standard format provided by Treasury, OMB Approval No.

1505-0250) on a semi-annual basis for the periods ending March 31 and

September 30 (or June 30 and December 31, if instructed by Treasury), or any

portion thereof, unless otherwise specified in a Special Award Condition. Reports

are due no later than 30 days following the end of each reporting period, except

the final report, which is due 90 days following the end of the period of

performance.

b. The recipient must submit all performance reports in (a) above, via

http://www.GrantSolutions.gov, unless otherwise specified in writing by Treasury,

and the recipient must complete these reports according to the following

instructions:

i. SF-PPR: In the “performance narrative” attachment (section B of the SFPPR), the recipient must provide the following information:

a) In Section B-1:

1) Summarize activities undertaken during the reporting period;

2) Summarize any key accomplishments, including milestones

completed for the reporting period;

3) List any contracts awarded during the reporting period, along

with the name of the contractor and its principal, the DUNS

number of the contractor, the value of the contract, the date of

award, a brief description of the services to be provided, and

whether or not local preference was used in the selection of the

contractor; and

4) If the recipient is authorized to make subawards, list any

subawards executed during the reporting period, along with the

name of the entity and its principal, the DUNS number of the

entity, the value of the agreement, the date of award, and a brief
August 2017 Page 8

description of the scope of work.

b) In Section B-2:

1) Indicate if any operational, legal, regulatory, budgetary, and/or

ecological risks, and/or any public controversies, have

materialized. If so, indicate what mitigation strategies have been

undertaken to attenuate these risks or controversies; and

2) Summarize any challenges that have impeded the recipient’s

ability to accomplish the approved scope of work on schedule

and on budget.

c) In Section B-3:

Summarize any significant findings or events, including any data

compiled, collected, or created, if applicable.

d) In Section B-4:

Describe any activities to disseminate or publicize results of the activity,

project, or program, including data and its repository and citations for

publications resulting from this Award.

e) In Section B-5:

1) Describe all efforts taken to monitor contractor and/or

subrecipient performance, including site visits, during the

reporting period.

2) For subawards, indicate whether the subrecipient submitted

an audit to the recipient, and if so, whether the recipient

issued a management decision on any findings; and

3) Describe any other activities or relevant information not already

provided.

f) In Section B-6:

Summarize the activities planned for the next reporting period.

ii. “RESTORE Act Status of Performance Report”: Instructions are

provided on the report form.

iii. “RESTORE Act Milestones Report”: Instructions are provided on the

report form.

3. Interim Reporting on Significant Developments per 2 C.F. R. § 200.328(d)

a. Events may occur between the scheduled performance reporting dates that have

significant impact upon the activity, project, or program. In such cases, the

recipient must inform Treasury as soon as the following types of conditions

become known:

i. Problems, delays, or adverse conditions which will materially impair the

ability to meet the objective of this Award. This disclosure must include a

statement of the action taken, or contemplated, and any assistance

needed to resolve the situation.

ii. Favorable developments, which enable meeting time schedules and

objectives sooner or at less cost than anticipated or producing more or

different beneficial results than originally planned.
August 2017 Page 9

b. The recipient must:

i. Promptly provide to Treasury and the Treasury Inspector General a copy

of all state or local inspector general reports, audit reports other than

those prepared under the Single Audit Act, and reports of any other

oversight body, if such report pertains to an award under any RESTORE

Act component, including the Comprehensive Plan Component and Spill

Impact Component.

ii. Immediately notify Treasury and the Treasury Inspector General of any

indication of fraud, waste, abuse, or potentially criminal activity pertaining

to grant funds.

iii. Promptly notify Treasury upon the selection of a contractor or

subrecipient performing work under this Award, and include the name

and DUNS number for the subrecipient or contractor, and the total

amount of the contract or subaward.

4. Audit Requirements

The recipient is responsible for complying, and ensuring all subrecipients comply, with all

audit requirements of the Single Audit Act and 2 C.F.R. Part 200 Subpart F – Audit

Requirements.

5. OperationalSelf-Assessment

The recipient must submit a revised Operational Self-Assessment form no later than June

30th of each calendar year for the duration of this Award. Only one Operational SelfAssessment must be submitted per recipient per year. In completing the form, the

recipient must note controls or activities that have changed from its previous submission.

The recipient must submit the Operational Self-Assessment electronically to

restoreact@treasury.gov, unless otherwise specified in writing by Treasury. The form

may be downloaded at https://www.treasury.gov/services/restoreact/Pages/Direct%20Component/DirectComponent.aspx.

E FINANCIAL MANAGEMENT SYSTEM AND INTERNAL CONTROL REQUIREMENTS

1. Recipients that are states must expend and account for Award funds in accordance with

the applicable state laws and procedures for expending and accounting for the state’s

own funds. All other recipients must expend and account for Award funds in

accordance with federal laws and procedures. In addition, all recipients’ financial

management systems must be sufficient to:

a. Permit the preparation of accurate, current, and complete SF-425, SF-PPR,

RESTORE Act Milestones Report, and RESTORE Act Status of Performance

Reports, as well as reporting on subawards, if applicable, and any additional

reports required by any Special Award Conditions;

b. Permit the tracing of funds to a level of expenditures adequate to establish that

such funds have been used in accordance with all applicable federal, state, and

local requirements, including the RESTORE Act, Treasury RESTORE Act

regulations, these Standard Terms and Conditions, Program-Specific Terms and

Conditions, and any Special Award Conditions.

c. Allow for the comparison of actual expenditures with the amount budgeted for

each Award made to the recipient by Treasury under the RESTORE Act.
August 2017 Page 10

d. Identify and track all RESTORE Act awards received and expended by the

assigned grant number, which is the Universal Award ID (as provided by

Treasury), the year the Award was made, the awarding agency (Treasury), and

the program’s CFDA title and CFDA number (21.015).

e. Record the source and application of funds for all activities funded by this Award,

as well as all awards, authorizations, obligations, unobligated balances, assets,

expenditures, program income, and interest earned on federal advances, and

allow users to tie these records to source documentation such as cancelled

checks, paid bills, payroll and attendance records, contract and subaward

agreements, etc.

f. Ensure effective control over, and accountability for, all federal funds, and all

property and assets acquired with federal funds. The recipient must adequately

safeguard all assets and ensure that they are used solely for authorized

purposes.

2. The recipient must establish written procedures to implement the requirements set forth 

in section H below (Award Disbursement), as well as written procedures to determine the

allowability of costs in accordance with 2 C.F.R. Part 200, subpart E (Cost Principles) and

the terms and conditions of this Award.

3. The recipient must establish and maintain effective internal controls over this Award in a

manner that provides reasonable assurance that the recipient is managing this Award in

compliance with the RESTORE Act, Treasury’s RESTORE Act regulations, these

Standard Terms and Conditions, Program-Specific Terms and Conditions, and any

Special Award Conditions. These internal controls should be in compliance with guidance

in “Standards for Internal Control in the Federal Government” issued by the Comptroller

General of the United States or the “Internal Control Integrated Framework”, issued by

the Committee of Sponsoring Organizations of the Treadway Commission (COSO). The

recipient must evaluate and monitor its compliance, and the compliance of any

subrecipients, with the RESTORE Act, Treasury’s RESTORE Act regulations, these

Standard Terms and Conditions, Program-Specific Terms and Conditions, and any

Special Award Conditions, and promptly remedy any identified instances of

noncompliance. When and if an instance of noncompliance cannot be remedied by the

recipient, the recipient must promptly report the instance of noncompliance to Treasury

and the Treasury Inspector General, followed by submitting a proposed mitigation plan to

Treasury.

4. The recipient must take reasonable measures to safeguard protected personally

identifiable information (PII) consistent with applicable federal, state, and local laws

regarding privacy and obligations of confidentiality.

F RECORDS RETENTION REQUIREMENTS

1. The recipient must retain all records pertinent to this Award for a period of three years,

beginning on a date as described in 2 C.F.R. § 200.333. While electronic storage of

records (backed up as appropriate) is preferable, the recipient has the option to store

records in hardcopy (paper) format. For the purposes of this section, the term “records”

includes but is not limited to:

a. Copies of all contracts and all documents related to a contract, including the

Request for Proposal (RFP), all proposals/bids received, all meeting minutes or

other documentation of the evaluation and selection of contractors, any disclosed

conflicts of interest regarding a contract, all signed conflict of interest forms, all

conflict of interest and other procurement rules governing a particular contract,

and any bid protests;
August 2017 Page 11

b. Copies of all subawards, including the funding opportunity announcement or

equivalent, all applications received, all meeting minutes or other documentation

of the evaluation and selection of subrecipients, any disclosed conflicts of interest

regarding a subaward, and all signed conflict of interest forms);

c. All documentation of site visits, reports, audits, and other monitoring of

contractors (vendors) and subrecipients);

d. All financial and accounting records, including records of disbursements to

contractors (vendors) and subrecipients, and documentation of the allowability of

Administrative Costs charged to this Award;

e. All supporting documentation for the performance outcome and other information

reported on the recipient’s SF-425s, SF-PPRs, RESTORE Act Milestones

Reports, and RESTORE Act Status of Performance Reports; and

f. Any reports, publications, and data sets from any research conducted under this

Award.

2. If any litigation, claim, investigation, or audit relating to this Award or an activity funded

with Award funds is started before the expiration of the three year period, the records

must be retained until all litigation, claims, investigations, or audit findings involving the

records have been resolved and final action taken.

3. If the recipient is authorized to enter into contracts to complete the approved scope of

work, the recipient must include in its legal agreement with the contractor a requirement

that the contractor retain all records in compliance with 2 C.F.R. § 200.333.

4. If the recipient is authorized to make subawards, the recipient must include in its legal

agreement with the subrecipient a requirement that the subrecipient retain all records in

compliance with 2 C.F.R. § 200.333.

G THE FEDERAL GOVERNMENT’S RIGHT TO INSPECT, AUDIT, AND INVESTIGATE

1. Access to Records

a. Treasury, the Treasury Office of Inspector General, and the Government

Accountability Office have the right of timely and unrestricted access to any

documents, papers or other records, including electronic records, of the recipient

that are pertinent to this Award, in order to make audits, investigations,

examinations, excerpts, transcripts, and copies of such documents. This right

also includes timely and reasonable access to the recipient’s personnel for the

purpose of interview and discussion related to such documents. This right of

access shall continue as long as records are required to be retained.

b. If the recipient is authorized to make subawards, the recipient must include in its

legal agreement or contract with the subrecipient a requirement that the

subrecipient make available to Treasury, the Treasury Office of Inspector

General, and the Government Accountability Office any documents, papers or

other records, including electronic records, of the subrecipient, that are pertinent

to this Award, in order to make audits, investigations, examinations, excerpts,

transcripts, and copies of such documents. This right also includes timely and

reasonable access to the subrecipient’s personnel for the purpose of interview

and discussion related to such documents. This right of access shall continue as

long as records are required to be retained (see Section F above).

c. If the recipient is authorized to enter into contracts to complete the approved

scope of work, the recipient must include in its contract a requirement that the
August 2017 Page 12

contractor make available to Treasury, the Treasury Office of Inspector General,

and the Government Accountability Office any documents, papers or other

records, including electronic records, of the contractor that are pertinent to this

Award, in order to make audits, investigations, examinations, excerpts,

transcripts, and copies of such documents. This right also includes timely and

reasonable access to the contractor’s personnel for the purpose of interview and

discussion related to such documents. This right of access shall continue as long

as records are retained (see Section F above).

2. Access to the Recipient’s Sites.

The Treasury, the Treasury Office of Inspector General, and Government Accountability

Office shall have the right during normal business hours to conduct announced and

unannounced onsite and offsite physical visits of recipients and their subrecipients and

contractors corresponding to the duration of their records retention obligation for this

Award.

H AWARD DISBURSEMENT

1. Unless otherwise specified in a Special Award Condition, Treasury will make advance

payments under this Award. However, if one of the following occurs, Treasury will

require Award funds to be disbursed on a reimbursement basis either with or without 

pre-approval of drawdown requests: (1) Treasury determines that the recipient does

not meet the financial management system standards (see Section E) included in

these Standard Terms and Conditions, (2) Treasury determines that the recipient has

not established procedures that will minimize the time elapsing between the transfer of

funds and disbursement, or (3) Treasury determines that the recipient is in

noncompliance with the RESTORE Act, Treasury’s RESTORE Act regulations, other

pertinent federal statutes, these Standard Terms and Conditions, Program-Specific

Terms and Conditions, and/or any Special Award Conditions, and determines that the

appropriate remedy is to require payment on a reimbursement basis.

2. If reimbursement is used, Treasury may require pre-approval of drawdown requests. If 

Treasury requires pre-approval of drawdown requests, Treasury will provide the 

recipient with instructions on what billing to submit. Treasury will make payment

within 30 calendar days after receipt of the billing, unless Treasury determines the

request to be improper, in which case payment will not be made.

3. To the extent available, the recipient must disburse funds available from program

income, rebates, refunds, contract settlements, audit recoveries, and interest earned

on such funds before requesting additional cash payments of Award funds.

4. Treasury will use the Department of Treasury’s Automated Standard Application for

Payment (ASAP) system to disburse payments of Award funds. In order to receive

payments, the recipient must first enroll in ASAP.gov. Treasury creates and funds

account(s) for recipients in ASAP.gov, and recipients access their account(s) online to

request funds. All Award funds will be disbursed electronically using the Automated

Clearing House (ACH) for next day or future day payments only. Awards paid through

ASAP.gov may contain controls or withdrawal limits set by Treasury.

5. Requirements applicable to recipients that are states: Payment methods of state

agencies or instrumentalities must be consistent with Treasury-State agreements under

the Cash Management Improvement Act, 31 C.F.R. Part 205 “Rules and Procedures for

Efficient Federal-State Funds Transfers,” and Treasury Financial Manual (TFM) 4A-2000

Overall Disbursing Rules for All Federal Agencies.

6. Requirements applicable to recipients that are not states: The recipient must minimize
August 2017 Page 13

the time between the transfer of funds from Treasury and the use of the funds by the

recipient. Advance payments to the recipient must be limited to the minimum amounts

needed and be timed to be in accordance with the actual, immediate cash requirements

of the recipient in carrying out the purpose of the approved activity, project, or program. 

The timing and amount of advance payments must be as close as is administratively

feasible to the actual disbursements by the parish or county for activity, project, or

program costs and the proportionate share of any allowable indirect costs. Advances

should not be drawn down more than three business days before expenditure.

Advanced funds not disbursed in a timely manner must be promptly returned to

Treasury. The recipient must make timely payment to contractors (vendors) in

accordance with the contract provisions.

7. Advances of federal funds must be deposited and maintained in United States

Government-insured interest-bearing accounts whenever possible. The recipient is not

required to maintain a separate depository account for receiving Award funds. If the

recipient maintains a single depository account where advances are commingled with

funds from other sources, the recipient must maintain on its books a separate subaccount

for the Award funds. Consistent with the national goal of expanding opportunities for

women-owned and minority-owned business enterprises, the recipient is encouraged to

ensure fair consideration of women-owned and minority-owned banks (a bank which is

owned at least 50 percent by women or minority group members).

8. The recipient must maintain advances of federal funds in interest bearing accounts,

unless one of the following conditions applies:

a. The recipient receives less than $120,000 in federal awards per year;

b. The best reasonably available interest bearing account would not be expected to

earn interest in excess of $500 per year on federal cash balances; or

c. The depository would require an average or minimum balance so high that it

would not be feasible within the expected federal and non-federal cash

resources.

9. On an annual basis, the recipient must remit interest earned on federal advance

payments deposited in interest-bearing accounts to the Department of Health and Human

Services, Payment Management System, Rockville, MD 20852. Interest amounts up to

$500 per year may be retained by the recipient and used for administrative costs.

I EFFECT OF A GOVERNMENT SHUTDOWN ON DISBURSEMENTS AND THE AVAILABILITY

OF TREASURY PERSONNEL

In the event of a federal government shutdown, Treasury will issue guidance to the recipient

concerning the expected effects on this Award.

J NOTIFICATIONS AND PRIOR APPROVALS

1. Notifications

In addition to other notifications required under these Standard Terms and Conditions,

the recipient must promptly notify Treasury in writing whenever any of the following is

anticipated or occurs:

a. A vacancy or change to key personnel listed in the application.

b. Any termination of a subaward prior to the expiration of the agreement with the

subrecipient.

c. Except for changes described in (2) below, the recipient may revise the budget

without prior approval. If the recipient alters the budget, the recipient must
August 2017 Page 14

provide a revised budget form (SF-424A or SF-424C, as applicable) to Treasury

as an attachment to the SF-PPR, reflecting all budget revisions from the same

period covered by the SF-PPR. Acceptance of such budget information does not

constitute Treasury’s approval of the revised budget.

2. Prior Approvals

a. The recipient must obtain prior written approval from Treasury whenever any of

the following actions is anticipated:

i. A change in the scope or the objective of the activity, project, or

program (even if there is no associated budget revision requiring

prior written approval);

ii. A need to extend the period of performance;

iii. A need for additional federal funds to complete the activity, project,

or program;

iv. The transfer of funds among direct cost categories or programs,

functions, and activities if this Award exceeds the Simplified

Acquisition Threshold (defined at 2 C.F.R. § 200.88) and the

cumulative amount of such transfers exceeds or is expected to

exceed 10 percent of the total budget as last approved by Treasury;

v. The subawarding, transferring or contracting out of any work under

this Award (this provision does not apply to the acquisition of

supplies, material, equipment or general support services), unless 

described in the application and approved in this Award.;

vi. Any transfer between the non-construction and construction

activities; and

vii. The inclusion of costs that require prior approval in accordance with

2 C.F.R. Part 200, Subpart E—Cost Principles, unless described in 

the application and approved in this Award.

b. If requesting a no-cost extension to this Award, the request must be made no

less than 30 days prior to the end of the period of performance for this Award.

Any extension of the period of performance requires prior written approval from

Treasury.

K PROPERTY

1. General Requirements

a. The recipient must comply with the property standards at 2 C.F.R. § 200.310

through § 200.316 for real property, equipment, supplies, and intangible 

property. The recipient must also comply with the RESTORE Act requirements

concerning the acquisition of land and interests in land at 31 C.F.R. § 34.803.

b. No real property or interest in real property may be acquired under this Award

unless authorized in the approved scope of work.

2. Supplies and Equipment

a. Requirements that are applicable to recipients that are states:

i. Equipment: The recipient must use, manage, and dispose of equipment

acquired under this Award in accordance with state laws and
August 2017 Page 15

procedures.

ii. Supplies: If the recipient has a residual inventory of unused supplies

exceeding $5,000 in total aggregate value upon termination or

completion of the activity, project, or program and the supplies are not

needed for any other federal award, the recipient must report the value

and the retention or sale of such supplies by submitting to Treasury a

completed SF-428 Tangible Personal Property Report and SF-428-B

Final Report Form no later than 60 days after the end of the Period of

Performance.

b. Requirements that are applicable to recipients that are not states:

i. Equipment and Supplies: During the period of performance, the

recipient must seek disposition instructions from Treasury for

equipment and/or unused or residual supplies acquired under this Award

if the current fair market value of the equipment and/or unused or 

residual supplies is greater than $5,000 per unit. The recipient must

seek disposition instructions before disposing of the property by

submitting a completed SF-428 Tangible Personal Property Report

and SF-428-C Disposition Request/Report. Not later than 60 days

after the end of the period of performance, the recipient must submit

to Treasury a completed SF-428 Tangible Personal Property Report

and SF-428-B Final Report Form if the recipient retains any

equipment with a current fair market value greater than $5,000 per unit

or a residual inventory of unused supplies exceeding $5,000 in total

aggregate value upon termination or completion of the activity, project,

or program and the equipment and/or supplies are not needed for

any other federal award.

L AMENDMENTS AND CLOSEOUT

1. Amendments

a. The terms of this Award may be amended with the written approval of the

recipient and Treasury.

b. Treasury reserves the right to amend the terms of this Award if required by

federal law or regulation.

c. Amendments must be requested in writing, and must include an explanation for

the reason this Award should be amended.

2. Closeout

a. Treasury will close out this Award when it determines that all applicable

administrative actions and all required work of this Award have been completed.

Within 90 calendar days after the end of the period of performance, the recipient

must submit any outstanding SF-PPR and RESTORE Act Status of Performance

reports, as well as the required reporting on subawards, if applicable, plus a final

SF-425 report, unless the recipient requests, and Treasury approves, an

extension.

b. The recipient must liquidate all obligations incurred under this Award not later

than 90 calendar days after the end of the period of performance, unless the

recipient requests, and Treasury approves, an extension.

c. The recipient must promptly refund any balances of unobligated cash that
August 2017 Page 16

Treasury paid.

d. Within 90 days after receipt of reports in paragraph (a) of this section, Treasury

will make upward or downward adjustments to the allowable costs, and then

make prompt payment to the recipient for allowable, unreimbursed costs.

f. The closeout of this Award does not affect any of the following:

i. The right of Treasury to disallow costs and recover funds on the basis of

a later audit or other review;

ii. The obligation of the recipient to return any funds due as a result of

later refunds, corrections, or other transactions including final indirect

cost rate adjustments;

iii. The recipient’s obligations regarding audits, property management and

disposition (if applicable), and records retention.

M REMEDIES FOR NONCOMPLIANCE

1. If Treasury determines that the recipient has failed to comply with the RESTORE Act,

Treasury’s RESTORE Act regulations, these Standard Terms and Conditions, ProgramSpecific Terms and Conditions, or any Special Award Conditions, Treasury may take any

of the following actions (in addition to the remedies in Section A.3, above, applicable to

Direct Component awards):

a. Impose additional Special Award Conditions such as:

i. Allowing payment only on a reimbursement basis, with pre-approval of 

drawdown requests,

ii. Requiring additional reporting or more frequent submission of the SF425, SF-PPR, or RESTORE Act Status of Performance Report,

iii. Requiring additional activity, project, or program monitoring,

iv. Requiring the recipient or one or more of its subrecipients to obtain

technical or management assistance, and/or

v. Establishing additional actions that require prior approval;

b. Temporarily withhold payments pending correction of the noncompliance;

c. Disallow from funding from this Award all or part of the cost of the activity or

action not in compliance;

d. Wholly or partly suspend or terminate this Award;

e. Withhold additional Awards; and/or

f. Initiate suspension or debarment proceedings as authorized under 2 C.F.R. Part

180.

Treasury will notify the recipient in writing of Treasury’s proposed determination that an

instance of noncompliance has occurred, provide details regarding the instance of

noncompliance, and indicate the remedy that Treasury proposes to pursue. The recipient

will have 30 calendar days to respond and provide information and documentation

contesting Treasury’s proposed determination or suggesting an alternative remedy.

Treasury will consider any and all information provided by the recipient and issue a final

determination in writing, which will state Treasury’s final findings regarding

noncompliance and the remedy to be imposed.

2. In extraordinary circumstances, Treasury may require that any of the remedies above

take effect immediately upon notice in writing to the recipient. In such cases, the recipient

may contest Treasury’s determination or suggest an alternative remedy in writing to
August 2017 Page 17

Treasury, and Treasury will issue a final determination.

3. Instead of, or in addition to, the remedies listed above, Treasury may refer the

noncompliance to the Treasury Office of Inspector General for investigation or audit.

Treasury will refer all allegations of fraud, waste, or abuse to the Treasury Inspector

General.

4. Treasury may terminate this Award in accordance with 2 C.F.R. § 200.339. Requests for

termination by the recipient must also be in accordance with 2 C.F.R. § 200.339. Such

requests must be in writing and must include the reasons for such termination, the

effective date, and in the case of partial termination, the portion to be terminated. If

Treasury determines that the remaining portion of this Award will not accomplish the

purpose of this Award, Treasury may terminate this Award in its entirety.

5. If this Award is terminated, Treasury will update or notify any relevant government-wide

systems or entities of any indications of poor performance as required by 41 U.S.C. §

417b and 31 U.S.C. § 3321 and implementing guidance at 2 C.F.R. Part 180.

6. Costs that result from obligations incurred by the recipient during a suspension or after

termination are not allowable unless Treasury expressly authorizes them in the notice of

suspension or termination or subsequently. However, costs during suspension or after

termination are allowable if: (1) the costs result from obligations which were properly

incurred by the recipient before the effective date of suspension or termination, and are

not in anticipation of it; and (2) the costs would be allowable if the Award was not

suspended or expired normally at the end of the period of performance in which the

termination takes effect.

N DEBTS

1. Payment of Debts Owed the Federal Government

a. Any funds paid to the recipient in excess of the amount to which the recipient is

finally determined to be authorized to retain under the terms of this Award

constitute a debt to the federal government.

b. Any debts determined to be owed the federal government must be paid promptly

by the recipient. A debt is delinquent if it has not been paid by the date specified

in Treasury’s initial written demand for payment, unless other satisfactory

arrangements have been made. Interest, penalties, and administrative charges

(see paragraphs c, d, and e below) shall be charged on delinquent debts in

accordance with 31 U.S.C. § 3717 and 31 C.F.R. § 901.9. Treasury will refer any

debt that is more than 180 days delinquent to Treasury’s Bureau of the Fiscal

Service for debt collection services.

c. The minimum annual interest rate to be assessed on any debts is the Department

of the Treasury’s Current Value of Funds Rate (CVFR). The CVFR is available

online at https://www.fiscal.treasury.gov/fsreports/rpt/cvfr/cvfr_home.htm.The

assessed rate shall remain fixed for the duration of the indebtedness, based on

the beginning date in Treasury’s written demand for payment.

d. Penalties on any debts shall accrue at a rate of not more than 6 percent per year

or such other higher rate as authorized by law.

e. Administrative charges, that is, the costs of processing and handling a delinquent

debt, shall be determined by Treasury.

f. Funds for payment of a debt must not come from other federally sponsored

programs. Verification that other federal funds have not been used will be made,

e.g., during on-site visits and audits.
August 2017 Page 18

2. Effect of Judgment Lien on Eligibility for Federal Grants, Loans, or Programs

Pursuant to 28 U.S.C. § 3201(e), unless waived in writing by Treasury, a debtor who has

a judgment lien against the debtor’s property for a debt to the United States shall not be

eligible to receive any grant or loan that is made, insured, guaranteed, or financed

directly or indirectly by the United States or to receive funds directly from the federal

government in any program, except funds to which the debtor is entitled as beneficiary,

until the judgment is paid in full or otherwise satisfied.

O NON-DISCRIMINATIONREQUIREMENTS

No person in the United States shall, on the ground of race, color, national origin, handicap, age,

religion, or sex, be excluded from participation in, be denied the benefits of, or be subject to

discrimination under any program or activity receiving federal financial assistance. The recipient

is required to comply with all non-discrimination requirements summarized in this section, and to

ensure that all subawards and contracts contain these nondiscrimination requirements.

1. StatutoryProvisions

a. Title VI of the Civil Rights Act of 1964 (42 U.S.C. §§ 2000d et seq.) prohibits

discrimination on the grounds of race, color, or national origin under programs or

activities receiving federal financial assistance;

b. Title IX of the Education Amendments of 1972 (20 U.S.C. §§ 1681 et seq.)

prohibits discrimination on the basis of sex under federally assisted education

programs or activities;

c. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794)

prohibits discrimination on the basis of handicap under any program or activity

receiving or benefitting from federal assistance;

d. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101 et seq.),

prohibits discrimination on the basis of age in programs or activities receiving

federal financial assistance;

e. The Americans with Disabilities Act of 1990, as amended (42 U.S.C. §§ 12101 et

seq.) (“ADA”), including the ADA Amendments Act of 2008 (Public Law 110-325,

(“ADAAA”), prohibits discrimination on the basis of disability under programs,

activities, and services provided or made available by state and local

governments or instrumentalities or agencies thereto, as well as public or private

entities that provide public transportation;

f. Any other applicable non-discrimination law(s).

2. RegulatoryProvisions

a. Treasury Title VI regulations, 31 C.F.R. Part 22, implement Title VI of the Civil 

Rights Act of 1964, as amended (42 U.S.C. §§ 2000d, et seq.) which prohibits

discrimination on the grounds of race, color, or national origin under programs or

activities receiving federal financial assistance;

b. Treasury Title IX regulations, 31 Part 28, implement Title IX of the Education

Amendments of 1972 (20 U.S.C. §§ 1681 et seq.) which prohibits discrimination

on the basis of sex under federally assisted education programs or activities.
August 2017 Page 19

3. Other Provisions

a. Parts II and III of EO 11246 (30 Fed. Reg. 12319, 1965), “Equal Employment

Opportunity,” as amended by EO 11375 (32 Fed. Reg. 14303, 1967) and 12086

(43 Fed. Reg. 46501, 1978), require federally assisted construction contracts to

include the nondiscrimination provisions of §§ 202 and 203 of EO 11246 and

Department of Labor regulations implementing EO 11246 (41 C.F.R. § 60-1.4(b),

1991).

b. EO 13166 (August 11, 2000), “Improving Access to Services for Persons With

Limited English Proficiency,” requires federal agencies to examine the services

provided, identify any need for services to those with limited English proficiency

(LEP), and develop and implement a system to provide those services so LEP

persons can have meaningful access to them.

4. Title VII Exemption for Religious Organizations

Generally, Title VII of the Civil Rights Act of 1964, 42 U.S.C. §§ 2000e et seq., provides

that it shall be an unlawful employment practice for an employer to discharge any

individual or otherwise to discriminate against an individual with respect to compensation,

terms, conditions, or privileges of employment because of such individual’s race, color,

religion, sex, or national origin. However, Title VII, 42 U.S.C. § 2000e-1(a), expressly

exempts from the prohibition against discrimination on the basis of religion, a religious

corporation, association, educational institution, or society with respect to the

employment of individuals of a particular religion to perform work connected with the

carrying on by such corporation, association, educational institution, or society of its

activities.

5. Protections for Whistleblowers

In accordance with 41 U.S.C. § 4712, neither the recipient nor any of its subrecipients,

contractors (vendors), or subcontractors may discharge, demote, or otherwise

discriminate against an employee as a reprisal for disclosing information to a person or

entity listed below that the employee reasonably believes is evidence of gross

mismanagement of a federal contract or grant, a gross waste of federal funds, an abuse

of authority relating to a federal contract or grant, a substantial and specific danger to

public health or safety, or a violation of law, rule, or regulation related to a federal

contract (including the competition for or negotiation of a contract) or grant:

a. A Member of Congress or a representative of a committee of Congress;

b. An Inspector General;

c. The Government Accountability Office;

d. A Treasury employee responsible for contract or grant oversight or management;

e. An authorized official of the Department of Justice or other law enforcement

agency;

f. A court or grand jury; and/or

g. A management official or other employee of the recipient, subrecipient, vendor,

contractor (vendor), or subcontractor who has the responsibility to investigate,

discover, or address misconduct.
August 2017 Page 20

P REQUIREMENT TO CHECK DEBARMENT AND SUSPENSION STATUS OF

SUBRECIPIENTS, CONTRACTORS, SUBCONTRACTORS AND VENDORS

1. Recipients that are authorized to enter into subawards or contracts to accomplish all or a

portion of the approved scope of work must verify that a proposed subrecipient or

contractor (if the contract is expected to equal or exceed $25,000) or its principals, does

not appear on the federal government’s Excluded Parties List prior to executing an

agreement or contract with that entity. Recipients may not enter into a subaward or

contract with an entity that appears on the Excluded Parties List. The Excluded Parties

List is accessible at http://www.sam.gov.

2. The recipient must ensure that any agreements or contracts with subrecipients or

contractors (vendors) require that they verify that their contractors (for contracts expected

to equal or exceed $25,000), subcontractors (for subcontracts expected to equal or

exceed $25,000), or principals that the subrecipients or contractors engage to accomplish

the scope of work, if applicable, do not appear on the federal government’s Excluded

Parties List. Subrecipients and contractors may not enter into a contract or subcontract

with an entity, or that entity’s principals, if that entity or its principals appear on the

Excluded Parties List.

3. The recipient must include a term or condition in all lower tier covered transactions

(subawards, contracts, and subcontracts described in 31 C.F.R. Part 19, subpart B) that

the award is subject to 31 C.F.R. Part 19.

Q DRUG FREE WORKPLACE

The recipient must comply with the provisions of the Drug-Free Workplace Act of 1988 (Public

Law 100-690, Title V, Sec. 5153, as amended by Public Law 105-85, Div. A, Title VIII, Sec. 809,

as codified at 41 U.S.C. § 8102), and Treasury implementing regulations at 31 C.F.R. Part 20,

which require that the recipient take steps to provide a drug-free workplace.

R LOBBYINGRESTRICTIONS

1. Lobbying Restrictions

a. Solely for the purposes of Section R of these Standard Terms and Conditions, 

“recipient” is used as defined at 31 C.F.R. § 21.105(0). Solely for the purposes of 

Section R of these Standard Terms and Conditions, “award recipient” refers to the 

recipient of this RESTORE Act award from Treasury.

b. All recipients must comply with the provisions of 31 U.S.C. § 1352, as amended, 

and with regulations at 31 C.F.R. Part 21. No appropriated funds may be expended 

by the recipient of a Federal grant to pay any person for influencing or attempting to 

influence an officer or employee of any agency, a Member of Congress, an officer 

or employee of Congress, or an employee of a Member of Congress in connection 

with the making of any Federal grant or the extension, continuation, renewal, 

amendment, or modification of any Federal grant.

2. Certification

a. Each person who requests or receives from Treasury a RESTORE Act grant shall 

file with Treasury a certification, set forth in Appendix A of 31 C.F.R. Part 21, that 

the person has not made, and will not make, any payment prohibited under 31 

U.S.C. § 1352, as amended.

b. The certification shall be filed pursuant to 31 C.F.R. § 21.100(a) and (b).

c. Any subrecipient, at any tier, who receives a subaward exceeding $100,000 under 
August 2017 Page 21

this award, shall file with the tier above them a certification, set forth in appendix A 

of 31 C.F.R. Part 21, that the subrecipient as not made, and will not make, any 

payment prohibited by 31 C.F.R. § 21.100(a). Pursuant to 31 C.F.R. 21.100(d), the 

certification shall be filed to the next tier above.

d. Any contractor or subcontractor, at any tier, who receives a contract or subcontract 

exceeding $100,000 under this award, shall file with the tier above them a 

certifications, set forth in Appendix A of 31 C.F.R. Part 21, that the contractor or

subcontractor has not made, and will not make, any payment prohibited by 31 

U.S.C. § 1352, as amended. Pursuant to 31 C.F.R. 21.100(d), the certification 

shall be filed to the next tier above.

e. Every certification filed shall be treated as a material representation of fact upon 

which all receiving tiers shall rely. All liability arising from an erroneous 

representation shall be borne solely by the tier filing that representation and shall 

not be shared with any tier to which the erroneous representation if forwarded. 

Submitting an erroneous certification or disclosure constitutes a failure to file the 

required certification. If a person fails to file a required certification, the United 

States may pursue all available remedies, including those authorized by 31 U.S.C. 

§ 1352.

3. Disclosure of Lobbying Activities

a. The award recipient of this RESTORE Act grant from Treasury, if this grant 

exceeds $100,000, shall file with Treasury disclosure form SF-LLL, set forth in 

Appendix B of 31 CF.R. Part 21, if that award recipient is paid or will pay any 

funds, other than Federal appropriated funds, to any person for influencing or 

attempting to influence an officer or employee of any agency, a Member of 

Congress, an officer or employee of any agency, a Member of Congress, an 

officer or employee of Congress, or an employee of a Member of Congress in 

connection with this Federal grant.

b. Every recipient of a subaward under this RESTORE Act grant from Treasury, if 

this grant exceeds $100,000, shall file with the tier above it the disclosure form 

SF-LLL, set forth in Appendix B of 31 C.F.R. Part 21, if that recipient has paid 

or will pay any funds, other than Federal appropriated funds, to any person for 

influencing or attempting to influence an officer or employee of any agency, a 

Member of Congress, an officer or employee of any agency, a Member of 

Congress, an officer or employee of Congress, or an employee of a Member of 

Congress in connection with this Federal grant. Each tier who receives the 

completed and signed SF-LLL disclosure form shall forward it to the tier above 

it, and the award recipient of this RESTORE Act grant from Treasury will 

forward it to Treasury.

c. Every recipient of a contract or subcontract under this RESTORE Act grant 

from Treasury, if this grant exceeds $100,000, shall file with the tier above it the 

disclosure form SF-LLL, set forth in Appendix B of 31 C.F.R. Part 21, if that 

recipient has paid or will pay any funds, other than Federal appropriated funds, 

to any person for influencing or attempting to influence an officer or employee 

of any agency, a Member of Congress, an officer or employee of any agency, a 

Member of Congress, an officer or employee of Congress, or an employee of a 

Member of Congress in connection with this Federal grant. Each tier who 

receives the completed and signed SF-LLL disclosure form shall forward it to 

the tier above it, and the award recipient of this RESTORE Act grant from

Treasury will forward it to Treasury.

d. Every SF-LLL disclosure form filed shall be treated as a material representation 

of fact upon which all receiving tiers shall rely. All liability arising from an 
August 2017 Page 22

erroneous representation shall be borne solely by the tier filing that 

representation and shall not be shared with any tier to which the erroneous 

representation is forwarded. Submitting an erroneous certification or disclosure 

constitutes a failure to file the required certification. If a person fails to file a 

required disclosure, the United States may pursue all available remedies, 

including those authorized by 31 US.C. § 1352,

e. Pursuant to 31 C.F.R. § 21.110(c), every recipient must file a new disclosure 

form at the end of each calendar quarter in which a payment, or an agreement 

to make a payment, is made which would have otherwise required reporting at 

the time of application. Moreover, if an event occurs during the calendar 

quarter which materially affects the accuracy of information reported on the 

disclosure form previously submitted, the submitter must file a new disclosure 

form. Events which “materially affect” the accuracy of information already 

reported include:

i. A cumulative increase of $25,000 or more in the amount paid or 

expected to be paid for influencing or attempting to influence a covered 

Federal action;

ii. A change in the persons(s) influencing or attempting to influence; 

and/or

iii. A change in the Federal official(s) contacted to influence or attempt to 

influence a covered Federal action,

f. The award recipient must submit its form SF-LLLs, as well as those received 

from subrecipients, contractors and subcontractors, to Treasury within 30 

calendar days following the end of the calendar quarter in which there occurs 

any event that requires disclosure or that materially affects the accuracy of the 

information contained in any disclosure form previously filed.

g. The award recipient must include a statement in all subaward, contracts and 

subcontracts exceeding $100,000 in federal funds, that the subaward, contract, 

or subcontract is subject to 31 U.S.C. § 1352,

h. The award recipient must require subrecipients, contractors and subcontractors 

to submit form SF-LLL to the award recipient with 15 calendar days following

the end of the calendar quarter in which there occurs any event that requires 

disclosure or that materially affects the accuracy of the information contained in 

any disclosure from previously filed.

S PROCUREMENT

1. The recipient must comply with Section 6002 of the Solid Waste Disposal Act, as

amended by the Resource Conservation and Recovery Act. The requirements of Section

6002 include procuring only items designated in guidelines of the Environmental

Protection Agency (EPA) at 40 C.F.R. Part 247 that contain the highest percentage of

recovered materials practicable, consistent with maintaining a satisfactory level of

competition, where the purchase price of the item exceeds $10,000 or the value of the

quantity acquired by the preceding fiscal year exceeded $10,000; procuring solid waste

management services in a manner that maximizes energy and resource recovery; and

establishing an affirmative procurement program for procurement of recovered materials

identified in the EPA guidelines.

2. When the recipient makes a subaward to a subrecipient that is authorized to enter into

contracts for the purpose of completing the subaward scope of work, the recipient must

require the subrecipient to comply with the requirements contained in this section.

3. Requirements applicable to recipients that are states: When executing procurement
August 2017 Page 23

actions under this Award, the recipient must follow the same policies and procedures it

uses for procurements from its non-federal funds. The recipient must ensure that every

purchase order or other contract contains any clauses required by federal statutes and

EOs and their implementing regulations, including all of the provisions listed in Appendix

II to 2 C.F.R. Part 200—Contract Provisions for Non-Federal Entity Contracts under

Federal Awards, as well as any other provisions required by law or regulations.

4. Requirements applicable to recipients that are not states: The recipient must follow all

procurement requirements set forth in 2 C.F.R. §§ 200.318, 200.319, 200.320, 200.321,

200.323, and 200.324. In addition, all contracts executed by the recipient to accomplish

the approved scope of work must contain any clauses required by federal statutes and

EOs and their implementing regulations, including all of the provisions listed in Appendix

II to 2 C.F.R. Part 200—Contract Provisions for Non-Federal Entity Contracts under

Federal Awards.

5. The recipient, subrecipient, contractor, and/or subcontractor must not sub-grant or subcontract any part of the approved project to any agency or employee of Treasury and/or

other federal department, agency, or instrumentality without the prior written approval of

Treasury. Treasury will forward all requests to Treasury’s Office of General Counsel for

review before making a decision. Treasury will notify the recipient in writing of the final

determination.

T RESEARCH INVOLVING HUMAN SUBJECTS

1. No research involving human subjects is permitted under this Award unless expressly

authorized by a special award condition, or otherwise in writing by Treasury.

2. Federal policy defines a human subject as a living individual about whom an investigator

conducting research obtains (1) data through intervention or interaction with the

individual, or (2) identifiable private information. Research means a systematic

investigation, including research development, testing and evaluation, designed to

develop or contribute to generalizable knowledge.

3. The recipient must maintain appropriate policies and procedures for the protection of

human subjects. In the event it becomes evident that human subjects may be involved in

this project, the recipient must submit appropriate documentation to Treasury for approval

by the appropriate Treasury officials. This documentation may include:

a. Documentation establishing approval of the project by an institutional review

board (IRB) approved for federal-wide use under Department of Health and

Human Services guidelines;

b. Documentation to support an exemption for the project;

c. Documentation to support deferral for an exemption or IRB review; or

d. Documentation of IRB approval of any modification to a prior approved protocol

or to an informed consent form.

4. No work involving human subjects may be undertaken, conducted, or costs incurred and/or

charged for human subjects research, until the appropriate documentation is approved in

writing by Treasury.

U ENVIRONMENTAL REQUIREMENTS

The recipient must comply with all environmental standards, and provide information requested by

Treasury relating to compliance with environmental standards, including but not limited to the

following federal statutes, regulations, and EOs. If the recipient is permitted to make any

subawards, the recipient must include all of the environmental statutes, regulations, and executive
August 2017 Page 24

orders listed below in any agreement or contract with a subrecipient, and require the subrecipient

to comply with all of these and to notify the recipient if the subrecipient becomes aware of any

impact on the environment that was not noted in the recipient’s approved application package:

1. National Historic Preservation Act, as amended (54 U.S.C. § 300101 et seq.) and

Archeological and Historic Preservation Act, as amended (54 U.S.C. § 312501 et

seq.)

2. The National Environmental Policy Act of 1969, as amended (42 U.S.C. § 4321 et seq.)

3. Clean Air Act, as amended (42 U.S.C. § 7401 et seq.), Clean Water Act, as amended

(33 U.S.C. § 1251 et seq.), and EO 11738

4. The Flood Disaster Protection Act of 1973, as amended (42 U.S.C. § 4002 et seq.)

5. The Endangered Species Act of 1973, as amended, (16 U.S.C. § 1531 et seq.)

6. The Coastal Zone Management Act, as amended, (16 U.S.C. § 1451 et seq.)

7. The Coastal Barriers Resources Act, as amended, (16 U.S.C. § 3501 et seq.)

8. The Wild and Scenic Rivers Act, as amended, (16 U.S.C. § 1271 et seq.)

9. The Safe Drinking Water Act of 1974, as amended, (42 U.S.C. § 300f-j)

10. The Resource Conservation and Recovery Act of 1976, as amended, (42 U.S.C. §

6901 et seq.)

11. The Comprehensive Environmental Response, Compensation, and Liability Act

(Superfund) (42 U.S.C. § 9601 et seq.) and the Community Environmental Response

Facilitation Act (42 U.S.C. § 9601 note)

12. Magnuson-Stevens Fishery Conservation and Management Act, as amended (16 U.S.C.

§1801)

13. Marine Mammal Protection Act, as amended (16 U.S.C § 31)

14. Migratory Bird Treaty Act, as amended (16 U.S.C. §§ 703-712)

15. Responsibilities of Federal Agencies to Protect Migratory Birds, EO 13186

16. Bald and Golden Eagle Protection Act, as amended (16 U.S.C. § 668-668d)

17. Marine Protection, Research and Sanctuaries Act (33 U.S.C. §§ 1401-1445 and 16 U.S.C.

§§ 1431—1445)

18. National Marine Sanctuaries Act, as amended (16 U.S.C. § 1431 et seq.)

19. Rivers and Harbors Act of 1899 (33 U.S.C § 407)

20. Environmental Justice in Minority Populations and Low Income Populations, EO 12898,

as amended

21. Floodplain Management, EO 11988, as amended by EO 13690 and, Protection of

Wetlands, EO 11990, May 24,1977, as amended by EO 12608

22. Farmland Protection Policy Act, as amended (7 U.S.C. § 4201 et. seq.)

23. Coral Reef Protection, EO 13089Invasive Species, EO 13112

V MISCELLANEOUS REQUIREMENTS AND PROVISIONS

The recipient must comply with all miscellaneous requirements and provisions described in this

section and, when applicable, require its subrecipients, contractors, and subcontractors to

comply. This list is not exclusive:
August 2017 Page 25

1. Prohibition Against Assignment by the Recipient

Notwithstanding any other provision of this Award, the recipient must not transfer, pledge,

mortgage, or otherwise assign this Award, or any interest therein, or any claim arising

thereunder, to any party or parties, banks, trust companies, or other financing or financial

institutions without the express written approval of Treasury.

2. Disclaimer Provisions

a. The United States expressly disclaims any and all responsibility or liability to the

recipient or third persons for the actions of the recipient or third persons resulting

in death, bodily injury, property damages, or any other losses resulting in any

way from the performance of this Award or any other losses resulting in any way

from the performance of this Award or any subaward, contract, or subcontract

under this Award.

b. The acceptance of this Award by the recipient does not in any way constitute an

agency relationship between the United States and the recipient.

3. Prohibited and Criminal Activities

a. The Program Fraud Civil Remedies Act of 1986 (31 U.S.C. §§ 3801-3812),

provides for the imposition of civil penalties against persons who make false,

fictitious, or fraudulent claims to the federal government for money (including

money representing grants, loans or other benefits).

b. False Statements, as amended (18 U.S.C. § 1001) provides that whoever makes

or presents any materially false, fictitious, or fraudulent statements to the United

States shall be subject to imprisonment of not more than five years.

c. False, Fictitious, or Fraudulent Claims, as amended (18 U.S.C. § 287) provides

that whoever makes or presents a false, fictitious, or fraudulent claim against or

to the United States shall be subject to imprisonment of not more than five

years and shall be subject to a fine in the amount provided in 18 U.S.C. § 287.

d. False Claims Act, as amended (31 U.S.C. 18 U.S.C. § 3729 et seq.), provides that

suits under this act can be brought by the federal government, or a person on

behalf of the federal government, for false claims under federal assistance

programs

e. Copeland “Anti-Kickback” Act, as amended (18 U.S.C. § 874 and 40 U.S.C. §

276c), prohibits a person or organization engaged in a federally supported project

from enticing an employee working on the project from giving up a part of his

compensation under an employment contract. The Copeland “Anti-Kickback” Act

also applies to contractors and subcontractors pursuant to 40 U.S.C. § 3145.

4. Political Activities

The recipient must comply, as applicable, with provisions of the Hatch Act, as amended

(5 U.S.C. §§ 1501-1508 and §§ 7321-7326) which limit the political activities of

employees whose principal employment activities are funded in whole or in part with

federal funds.

5. American-Made Equipment and Products

The recipient is hereby notified that it is encouraged, to the greatest extent practicable, to

purchase American-made equipment and products with funding provided under this
August 2017 Page 26

Award.

6. Increasing Seat Belt Use in the United States

Pursuant to EO 13043, the recipient should encourage its employees and contractors to

enforce on-the-job seat belt policies and programs when operating company-owned,

rented or personally owned vehicles.

7. Minority Serving Institutions (MSIs) Initiative

Pursuant to EOs 13555 and13270, as amended, Treasury is strongly committed to

broadening the participation of MSIs in its financial assistance programs. Treasury’s

goals include achieving full participation of MSIs in order to advance the development of

human potential, strengthen the nation’s capacity to provide high-quality education, and

increase opportunities for MSIs to participate in and benefit from federal financial

assistance programs. Treasury encourages recipients to include meaningful participation

of MSIs. Institutions eligible to be considered MSIs are listed on the Department of

Education website at http://www2.ed.gov/about/offices/list/ocr/edlite-minorityinst.html.

8. Research Misconduct

Treasury adopts, and applies to Awards for research, the Federal Policy on Research

Misconduct (Federal Policy) issued by the EO of the President’s Office of Science and

Technology Policy on December 6, 2000 (65 Fed. Reg. 76260 (2000)). As provided for in

the Federal Policy, research misconduct refers to the fabrication, falsification, or

plagiarism in proposing, performing, or reviewing research, or in reporting research

results. Research misconduct does not include honest errors or differences of opinion.

Recipients that conduct research funded by Treasury must foster an atmosphere

conducive to the responsible conduct of sponsored research by safeguarding against and

resolving allegations of research misconduct. Recipients also have the primary

responsibility to prevent, detect, and investigate allegations of research misconduct and,

for this purpose, may rely on their internal policies and procedures, as appropriate, to do

so. Award funds expended on an activity that is determined to be invalid or unreliable

because of research misconduct may result in appropriate enforcement action under the

Award, up to and including Award termination and possible suspension or debarment.

Treasury requires that any allegation that contains sufficient information to proceed with

an inquiry be submitted to Treasury, which will also notify the Treasury Office of Inspector

General of such allegation. Once the recipient has investigated the allegation, it will

submit its findings to Treasury. Treasury may accept the recipient’s findings or proceed

with its own investigation; Treasury shall inform the recipient of the Treasury’s final

determination.

9. Care and Use of Live Vertebrate Animals

Recipients must comply with the Laboratory Animal Welfare Act of 1966 (Public Law 89-

544), as amended, (7 U.S.C. § 2131 et seq.) (animal acquisition, transport, care,

handling, and use in projects), and implementing regulations, 9 C.F.R. Parts 1, 2, and 3;

the Endangered Species Act, as amended, (16 U.S.C. § 1531 et seq.); Marine Mammal

Protection Act, as amended, (16 U.S.C. § 1361 et seq.) (taking possession, transport,

purchase, sale, export or import of wildlife and plants); the Nonindigenous Aquatic

Nuisance Prevention and Control Act, as amended, (16 U.S.C. § 4701 et seq.) (ensure

preventive measures are taken or that probable harm of using species is minimal if there

is an escape or release); and all other applicable statutes pertaining to the care, handling,

and treatment of warm blooded animals held for research, teaching, or other activities

supported by federal financial assistance.
August 2017 Page 27

10. The Trafficking Victims Protection Act of 2000, as amended, (22 U.S.C. § 7104(g)),

and the implementing regulations at 2 C.F.R. Part 175

The Trafficking Victims Protection Act of 2000 authorizes termination of financial

assistance provided to a private entity, without penalty to the federal government, if the

recipient or subrecipient engages in certain activities related to trafficking in persons.

a. Provisions applicable to a recipient that is a private entity.

1. You as the recipient, your employees, subrecipients under this Award, and

subrecipients' employees may not—

i. Engage in severe forms of trafficking in persons during the period of

time that this Award is in effect;

ii. Procure a commercial sex act during the period of time that this

Award is in effect; or

iii. Use forced labor in the performance of this Award or subawards

under this Award.

2. We as the federal awarding agency may unilaterally terminate this Award,

without penalty, if you or a subrecipient that is a private entity —

i. Is determined to have violated a prohibition in paragraph a.1 of this

Section V.10; or

ii. Has an employee who is determined by the agency official

authorized to terminate this Award to have violated a prohibition in

paragraph a.1 of this Section V.10 through conduct that is either—

A. Associated with performance under this Award; or

B. 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 C.F.R. Part 180, “OMB

Guidelines to Agencies on Governmentwide Debarment and

Suspension (Nonprocurement),” as implemented by our

agency at 31 C.F.R. Part 19.

b. 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—

1. Is determined to have violated an applicable prohibition in paragraph a.1 of

this Section V.10; or

2. Has an employee who is determined by the agency official authorized to

terminate this Award to have violated an applicable prohibition in paragraph

a.1 of this Section V.10 through conduct that is either—

i. Associated with performance under this Award; or

ii. 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 C.F.R. Part 180, “OMB Guidelines to Agencies on

Governmentwide Debarment and Suspension (Nonprocurement),” as

implemented by our agency at 31 C.F.R. Part 19.

c. Provisions applicable to any recipient.

1. 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 Section

V.10.
August 2017 Page 28

2. Our right to terminate unilaterally that is described in paragraph a.2 or b of

this Section V.10:

i. Implements section 106(g) of the Trafficking Victims Protection Act of

2000 (TVPA), as amended (22 U.S.C. § 7104(g)), and

ii. Is in addition to all other remedies for noncompliance that are available

to us under this Award.

3. You must include the requirements of paragraph a.1 of this Section V.10 in

any subaward you make to a private entity.

d. Definitions. For purposes of this award term:

1. “Employee” means either:

i. An individual employed by you or a subrecipient who is engaged in the

performance of the project or program under this Award; or

ii. 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.

2. “Forced labor” means labor obtained by any of the following methods: the

recruitment, harboring, transportation, provision, or obtaining of a person for

labor or services, through the use of force, fraud, or coercion for the purpose

of subjection to involuntary servitude, peonage, debt bondage, or slavery.

3. “Private entity”:

i. Means any entity other than a state, local government, Indian tribe, or

foreign public entity, as those terms are defined in 2 C.F.R. § 175.25.

ii. Includes:

A. A nonprofit organization, including any nonprofit institution of

higher education, hospital, or tribal organization other than one

included in the definition of Indian tribe at 2 C.F.R. § 175.25(b).

B. A for-profit organization

4. “Severe forms of trafficking in persons,” “commercial sex act,” and “coercion”

have the meanings given at § 103 of the TVPA, as amended (22 U.S.C. §

7102).

11. The Federal Funding Accountability and Transparency Act of 2006, as amended,

(Pub. L. No. 109-282, 31 U.S.C. § 6101 note)

a. The award term at Appendix A of 2 C.F.R. Part 170 is hereby incorporated by

reference.

b. The Federal Funding Accountability and Transparency Act of 2006 (FFATA)

requires information on federal awards to be made available to the public via a

single, searchable website. This information is available at

www.USASpending.gov. The FFATA Subaward Reporting System (FSRS) is the

reporting tool federal prime awardees (i.e., prime contractors and prime grants

recipients) use to capture and report subaward and executive compensation data

regarding their first-tier subawards to meet the FFATA reporting requirements.

Prime grant awardees will report against sub-grants awarded. The subaward

information entered in FSRS will then be displayed at
August 2017 Page 29

http://www.USASpending.gov.

c. Recipients of RESTORE Act funding are subject to FFATA subaward reporting

requirements as outlined in the OMB guidance on FFATA issued August 27,

2010. The recipient is required to file a FFATA subaward report by the end of the

month following the month in which the recipient makes any subaward greater

than or equal to $25,000. This includes any action that brings the cumulative

total award to $25,000 or more. This report must be filed electronically at

http://www.fsrs.gov.

d. The recipient must report total compensation for each of its five most highly

compensated executives for the preceding completed fiscal year, by the end of

the month following the month in which this Award is made, and annually

thereafter if—

i. The total federal funding authorized to date under this Award is $25,000

or more; and

ii. In the preceding fiscal year, the recipient received—

1) 80 percent or more of annual gross revenues from federal

procurement contracts (and subcontracts) and federal financial

assistance subject to FFATA, as defined at 2 C.F.R. § 170.320 (and

subawards); and

2) $25,000,000 or more in annual gross revenues from federal

procurement contracts (and subcontracts) and federal financial

assistance subject to FFATA, as defined at 2 C.F.R. 170.320 (and

subawards); and

iii. The public does not have access to information about the compensation

of the executives through periodic reports filed under § 13(a) or 15(d) of

the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or §

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.)

e. The recipient must report on the total compensation of its subrecipients’ five most

highly compensated executives, as required by FFATA, and must include

provisions in every executed contract or agreement with affected subrecipients

requiring the subrecipient to provide all information necessary for the recipient to

report on subrecipient executive compensation. The recipient must report on

subrecipient executive compensation by the end of the month following the month

during which the recipient makes the subaward. 

f. The recipient must keep its information current in SAM (System for Award

Management, which is the successor to the Central Contractor Registry, (CCR))

at least until submission of the final SF-425 or receipt of the final Award payment,

whichever is later. This requires that the recipient review and update the

information at least annually after the initial registration, and more frequently if

required by changes in the recipient’s information. SAM is 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 System for Award Management Internet site (currently at

https://www.sam.gov/portal/public/SAM/).

g. If the recipient is authorized to make subawards under this Award, the recipient

must notify potential subrecipients that the recipient may not make a subaward to

any entity unless that entity has provided its Data Universal Numbering System

(DUNS) number to the recipient. A DUNS number is the nine-digit number
August 2017 Page 30

established and assigned by Dun and Bradstreet, Inc. to uniquely identify

business entities.

12. Recipient Integrity and Performance Matters (80 FR 43301, July 22, 2015) Reporting

of Matters Related to Recipient Integrity and Performance

a. General Reporting Requirement

If the total value of the recipient’s currently active grants, cooperative agreements,

and procurement contracts from all Federal awarding agencies exceeds

$10,000,000 for any period of time during the period of performance of this

Federal award, then the recipient during that period of time must maintain the

accuracy of information reported to the System for Award Management (SAM) that

is made available in the designated integrity and performance system (currently

the Federal Awardee Performance and Integrity Information System (FAPIIS))

about civil, criminal, or administrative proceedings described in paragraph b. of

this award term and condition. This is a statutory requirement under § 872 of

Public Law 110-417, as amended (41 U.S.C. § 2313). As required by § 3010 of

Public Law 111-212, all information posted in the designated integrity and

performance system on or after April 15, 2011, except past performance reviews

required for Federal procurement contracts, will be publicly available.

b. Proceedings About Which The Recipient Must Report

The recipient must submit the information required about each proceeding that:

i. Is in connection with the award or performance of a grant, cooperative

agreement, or procurement contract from the Federal Government;

ii. Reached its final disposition during the most recent five year period; and

iii. Is one of the following:

1) A criminal proceeding that resulted in a conviction, as defined in

paragraph e. of this award term and condition;

2) A civil proceeding that resulted in a finding of fault and liability

and payment of a monetary fine, penalty, reimbursement,

restitution, or damages of $5,000 or more;

3) An administrative proceeding, as defined in paragraph e. of this

award term and condition, that resulted in a finding of fault and

liability and your payment of either a monetary fine or penalty of

$5,000 or more or reimbursement, restitution, or damages in

excess of $100,000; or

4) Any other criminal, civil, or administrative proceeding if:

a) It could have led to an outcome described in paragraph b.iii.

1), 2), or 3) of this award term and condition;

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 and condition to disclose

information about the proceeding does not conflict with

applicable laws and regulations.

c. ReportingProcedures

Enter in the SAM Entity Management area the information that SAM requires

about each proceeding described in paragraph b of this award term and condition.
August 2017 Page 31

The recipient does not need to submit the information a second time under

assistance awards that the recipient received if they already provided the

information through SAM because they were required to do so under Federal

procurement contracts that they were awarded.

d. ReportingFrequency

During any period of time when the recipient is subject to the requirement in

paragraph1 of this award term and condition, the recipient must report proceedings

information through SAM for the most recent five year period, either to report new

information about any proceeding(s) that they have not reported previously or

affirm that there is new information to report. Recipients that have Federal

contract, grant, and cooperative agreement awards with a cumulative total value

greater than $10,000,000 must disclose semiannually any information about the

criminal, civil, and administrative proceedings.

e. Definitions

For purposes of this award term and condition:

i. 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 but only in connection with performance of a

Federal contract or grant. It does not include audits, site visits, corrective

plans, or inspection of deliverables.

ii. Conviction, for purposes of this award term and condition, 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.

iii. Total value of currently active grants, cooperative agreements, and

procurement contracts includes—

1) Only the Federal share of the funding under any Federal award with a

recipient cost share or match; and

2) The value of all expected funding increments under a Federal award

and options, even if not yet exercised.

13. Publications and Signage

Any publications (except scientific articles or papers appearing in scientific, technical, or

professional journals) or signage produced with funds from this Award, or informing the

public about the activities funded in whole or in part by this Award, must clearly display

the following language: “This project was paid for [in part] with federal funding from the

Department of the Treasury under the Resources and Ecosystems Sustainability, Tourist

Opportunities, and Revived Economies of the Gulf Coast States Act of 2012 (RESTORE

Act).” Publications (except scientific articles or papers appearing in scientific, technical,

or professional journals) produced with funds from this Award must display the following

additional language: “The statements, findings, conclusions, and recommendations are

those of the author(s) and do not necessarily reflect the views of the Department of the

Treasury.”
August 2017 Page 32

14. Homeland Security Presidential Directive 12

If the performance of this Award requires the recipient’s personnel to have routine access

to Treasury-controlled facilities and/or Treasury-controlled information systems (for

purpose of this term “routine access” is defined as more than 180 days), such personnel

must undergo the personal identity verification credential process. In the case of foreign

nationals, Treasury will conduct a check with U.S. Citizenship and Immigration Services’

(USCIS) Verification Division, a component of the Department of Homeland Security

(DHS), to ensure the individual is in a lawful immigration status and that he or she is

eligible for employment within the United States. Any items or services delivered under

this Award must comply with Treasury personal identity verification procedures that

implement Homeland Security Presidential Directive 12, “Policy for a Common

Identification Standard for Federal Employees and Contractors”, FIPS PUB 201, as

amended, and OMB Memorandum M-05-24, as amended. The recipient must ensure that

its subrecipients and contractors (at all tiers) performing work under this Award comply

with the requirements contained in this Section V.14. Treasury may delay final payment

under this Award if the subrecipient or contractor fails to comply with the requirements

listed in the section below. The recipient must insert the following term in all subawards

and contracts when the subrecipient or contractor is required to have routine physical

access to a Treasury-controlled facility or routine access to a Treasury-controlled

information system:

a. The subrecipient or contractor must comply with Treasury personal identity

verification procedures identified in the subaward or contract that implement

Homeland Security Presidential Directive 12 (HSPD-12), Office of Management

and Budget (OMB) Guidance M-05-24, as amended, and Federal Information

Processing Standards Publication, FIPS PUB 140-2, as amended, for all

employees under this subaward or contract who require routine physical access

to a federally controlled facility or routine access to a federally controlled

information system.

b. The subrecipient or contractor must account for all forms of government-provided

identification issued to the subrecipient or contractor employees in connection

with performance under this subaward or contract. The subrecipient or contractor

must return such identification to the issuing agency at the earliest of any of the

following, unless otherwise determined by Treasury:

i. When no longer needed for subaward or contract performance;

ii. Upon completion of the subrecipient or contractor employee’s

employment; or

iii. Upon subaward or contract completion or termination.

15. Foreign Travel

a. The recipient may not use funds from this Award for travel outside of the United

States unless Treasury provides prior written approval.

b. The recipient must comply with the provisions of the Fly America Act, as

amended, (49 U.S.C. § 40118). The implementing regulations of the Fly America

Act are found at 41 C.F.R. §§ 301-10.131–301-10.143.

c. The Fly America Act requires that federal travelers and others performing U.S.

Government-financed air travel must use U.S. flag air carriers, to the extent that

service by such carriers is available. Foreign air carriers may be used only in

specific instances, such as when a U.S. flag air carrier is unavailable, or use of

U.S. flag air carrier service will not accomplish the agency’s mission.
August 2017 Page 33

d. One exception to the requirement to fly U.S. flag carriers is transportation

provided under a bilateral or multilateral air transport agreement, to which the

United States Government and the government of a foreign country are parties,

and which the Department of Transportation has determined meets the

requirements of the Fly America Act pursuant to 49 U.S.C. § 40118(b). The

United States Government has entered into bilateral/multilateral “Open Skies

Agreements” (U.S. Government Procured Transportation) that allow federal

funded transportation services for travel and cargo movements to use foreign air

carriers under certain circumstances. There are multiple “Open Skies

Agreements” currently in effect. For more information about the current bilateral

and multilateral agreements, visit the GSA website

http://www.gsa.gov/portal/content/103191. Information on the Open Skies

agreements (U.S. Government Procured Transportation) and other specific

country agreements may be accessed via the Department of State’s website

http://www.state.gov/e/eeb/tra/.

e. If a foreign air carrier is anticipated to be used for any portion of travel funded

under this Award, the recipient must receive prior approval from the Treasury.

When requesting such approval, the recipient must provide a justification in

accordance with guidance provided by 41 C.F.R. § 301–10.142, which requires

the recipient to provide Treasury with the following: name; dates of travel; origin

and destination of travel; detailed itinerary of travel; name of the air carrier and

flight number for each leg of the trip; and a statement explaining why the 

recipient meets one of the exceptions to the regulations. If the use of a foreign air

carrier is pursuant to a bilateral agreement, the recipient must provide Treasury

with a copy of the agreement or a citation to the official agreement available on

the GSA website. Treasury shall make the final determination and notify the

recipient in writing. Failure to adhere to the provisions of the Fly America Act will

result in the recipient not being reimbursed for any transportation costs for which

the recipient improperly used a foreign air carrier.

16. Export Control

a. This clause applies to the extent that this Award involves access to exportcontrolled items.

b. In performing this financial assistance Award, the recipient may gain access to

items subject to export control (export-controlled items) under the Export

Administration Regulations (EAR) issued by the Department of Commerce

(DOC). The recipient is responsible for compliance with all applicable laws and

regulations regarding export-controlled items, including the EAR’s deemed

exports and re-exports provisions. The recipient shall establish and maintain

effective export compliance procedures throughout performance of the Award. At

a minimum, these export compliance procedures must include adequate controls

of physical, verbal, visual, and electronic access to export-controlled items,

including by foreign nationals.

c. Definitions:

i. Export-controlled items. Items (commodities, software, or technology),

that are subject to the EAR (15 C.F.R. §§ 730–774), implemented by

the DOC’s Bureau of Industry and Security. These are generally known

as “dual-use” items, items with a military and commercial application.

ii. Deemed Export/Re-export. The EAR defines a deemed export as a

release of export-controlled items (specifically, technology or source

code) to a foreign national in the U.S. Such release is “deemed” to be an

export to the home country of the foreign national. 15 C.F.R. §
August 2017 Page 34

734.2(b)(2)(ii). A release may take the form of visual inspection, oral

exchange of information, or the application abroad of knowledge or

technical experience acquired in the United States. If such a release

occurs abroad, it is considered a deemed re-export to the foreign

national’s home country. Licenses from DOC may be required for

deemed exports or re-exports.

d. The recipient shall control access to all export-controlled items that it possesses

or that comes into its possession in performance of this Award, to ensure that

access to, or release of, such items are restricted, or licensed, as required by

applicable federal statutes, EOs, and/or regulations, including the EAR.

e. To the extent the recipient wishes to provide foreign nationals with access to

export-controlled items, the recipient shall be responsible for obtaining any

necessary licenses, including licenses required under the EAR for deemed

exports or deemed re-exports.

f. Nothing in the terms of this Award is intended to change, supersede, or waive the

requirements of applicable federal statutes, EOs, and/or regulations.

g. Compliance with this Section V.15 will not satisfy any legal obligations the

recipient may have regarding items that may be subject to export controls

administered by other agencies such as the Department of State, which has

jurisdiction over exports of munitions items subject to the International Traffic in

Arms Regulations (ITAR) (22 C.F.R. §§ 120–130), including releases of such

items to foreign nationals.

h. The recipient shall include this clause, including this paragraph (i), in all lower tier

transactions (subawards, contracts, and subcontracts) under this Award that may

involve access to export-controlled items.

SUPPLEMENTAL STANDARD TERMS AND CONDITIONS - AWARDS UNDER THE DIRECT

COMPONENT FOR ACQUISITION AND IMPROVEMENTS TO REAL PROPERTY

W ACQUISITION AND IMPROVEMENTS TO REAL PROPERTY

1. Compliance with State, Local and Federal Requirements

The project must comply with all applicable federal laws and regulations, and with all

requirements for state, and local laws and ordinances to the extent that such requirements

do not conflict with federal laws. The recipient is also responsible for supervising the

design, bidding, construction, and operation of construction projects in compliance with all

award requirements. The recipient must comply with, and must require all contractors

and subcontractors, to comply with all federal, state, and local laws and regulations. The

recipient must ensure compliance with special award conditions which may contain

conditions that must be satisfied prior to advertisement of bids, start of construction, or

other critical event.

2. Title

Prior to receiving Treasury authorization to start construction, the recipient must furnish

evidence, satisfactory to Treasury, that the recipient has acquired good and

merchantable title free of all mortgages, foreclosable liens, or encumbrances, to all land,

rights of way and easements necessary for the completion of the project.
August 2017 Page 35

3. Permitting Requirements

Prior to receiving Treasury authorization to start construction, the recipient must furnish

evidence, satisfactory to Treasury, that recipient has received all federal, state and local

permits necessary for the completion of the project.

4. Federal Interest in Real Property

“Federal interest” refers to real property that is acquired or improved, in whole or in part,

with RESTORE Act Direct Component funds, which must be held in trust by the

Recipient for the benefit of the project for the Estimated Useful Life of the project, during

which period Treasury retains an undivided equitable reversionary interest in the real

property (i.e., the “federal interest”).

5. Estimated Useful Life

Property that is acquired or improved, in whole or in part, with federal assistance is held in

trust by the recipient for the purpose(s) for which the award was made for the Estimated

Useful Life. Estimated Useful Life means the period of years that constitutes the

expected useful lifespan of a project, as determined by Treasury, during which Treasury

anticipates obtaining the benefits of the project pursuant to project purposes authorized by

the RESTORE Act. For this award the recipient has proposed an Estimated Useful Life

from the date of construction completion. Treasury’s issuance of the grant agreement

represents its concurrence with the recipient’s proposed Estimated Useful Life.

The recipient’s obligation to the federal government continues for the Estimated Useful

Life of the project, as determined by Treasury, during which Treasury retains an

undivided equitable reversionary interest (the "federal interest”) in the property improved,

in whole or in part, with the Treasury investment.

If Treasury determines that the recipient has failed or fails to meet its obligations under

the terms and conditions of this award, Treasury may exercise its rights or remedies with

respect to its federal interest in the project. However, Treasury’s forbearance in

exercising any right or remedy in connection with the federal interest does not constitute

a waiver thereof.

6. Commencement of Construction

The recipient should not commence construction prior to the date of the Award. The

recipient must make a written request to Treasury for permission to commence

construction after the construction contractor has been selected and at least 30 days 

prior to construction. For project costs to be eligible for Treasury reimbursement,

Treasury must determine that the award of all contracts with associated costs are in

compliance with the scope of the project and all terms and conditions of this award, and 

all necessary permits have been obtained, and the federal interest is secure. No 

construction funds may be drawn from ASAP without Treasury’s written permission. If

the recipient commences construction prior to Treasury’s determination, the recipient

proceeds at its own risk.

Treasury will only review contract amendments or change orders which change the 

scope of a contract.

7. Use of Real Property

Encumbering real property on which there is a federal interest without prior Treasury

approval is an unauthorized use of the property and of project trust funds under this
August 2017 Page 36

award. See 2 C.F.R. § 200.316. Real property or interest in real property may not be

used for purposes other than the authorized purpose of the award without the express,

prior written approval of Treasury, for as long as the federal government retains an

interest in the property. The property must not be sold, conveyed, transferred, assigned,

mortgaged, or in any other manner encumbered except as expressly authorized in

writing by Treasury. The recipient must maintain facilities constructed or renovated with

grant funds in a manner consistent with the purposes for which the funds were provided

for the duration of the Estimated Useful Life.

In the event that the real property or interest in real property is no longer needed for the

originally authorized purpose, the recipient must obtain disposition instructions from

Treasury consistent with 2 C.F.R. § 200.311.

8. Recording the Federal Interest in the Real Property

To document the federal interest, the recipient agrees to prepare and properly record a

“Covenant of Purpose, Use and Ownership” (Covenant), or, where a subrecipient is the 

title owner, to ensure that the subrecipient prepares and properly records a “Covenant of

Purpose, Use and Ownership” (Covenant) on the property acquired or improved with 

federal assistance funds. See 2 C.F.R. § 200.316. This Covenant does not establish a

traditional mortgage lien in that it does not establish a traditional creditor relationship

requiring the periodic repayment of principal and interest, or the ability of Treasury to

foreclose on the real property at any time. Rather, pursuant to the Covenant, the

recipient and/or the subrecipient, as applicable, acknowledges that it holds title to the real

property in trust for the public purposes of the financial assistance award and agrees,

among other commitments, that it will repay the federal interest if it disposes of or

alienates an interest in the real property, or uses it in a manner inconsistent with the

public purposes of the award, during the Estimated Useful Life of the property.

a. The Covenant must be satisfactory in form and substance to Treasury, must 

include the name and current address of the recipient and subrecipient (if applicable), 

the grant award number, amount and date of award and subrecipient agreement (if 

applicable), date of the purchase of property (if applicable), and the Estimated Useful

Life of the project. It must also include statements that the real property will only 

be used for purposes consistent with the RESTORE Act; that it will not be 

mortgaged or used as collateral, sold or otherwise transferred to another party, 

without the written permission of Treasury; and that the federal interest cannot be 

subordinated, diminished, nullified or released through encumbrance of the 

property, transfer of the property to another party or any other action the 

recipient/subrecipient takes without the written permission of Treasury.

b. The recipient agrees to provide to Treasury an attorney’s title opinion as to the title 

owner of the property, and to properly record, in accordance with applicable law,

the Covenant in the real property records in the jurisdiction in which the real

property is located in order to provide public record notice to interested parties

that there are certain restrictions on the use and disposition of the real property

during its Estimated Useful Life, and that Treasury retains an undivided equitable

reversionary interest in the real property to the extent of its participation in the

project for which funds have been awarded.

c. Treasury requires an opinion of counsel for the recipient to substantiate that the

document has been properly recorded.

d. Failure to properly and timely file and maintain documentation of the federal

interest may result in appropriate enforcement action, including, but not limited

to, disallowance of the cost of the acquisition or improvement by Treasury.
August 2017 Page 37

e. The Federal Interest must be perfected and recorded/filed in accordance 

with state and/or local law concurrent with the acquisition of the real 

property, where an award includes real property acquisition, and

for construction of buildings and projects to improve the real property, no 

later than the date construction and/or improvement work commences.

f. When the Estimated Useful Life of the project is ended, the federal interest is

extinguished and the federal government has no further interest in the real

property.

9. Administration, Operation and Maintenance

The recipient agrees to administer, operate, and maintain the project for its Estimated

Useful Life in the same manner in which it operates and maintains similar facilities and

equipment owned by it, and in accordance with state and local standards, laws and

regulations. The recipient must not be in breach of its obligations under this award except

to the extent the failure to fulfill any obligation is due to an Uncontrollable Force.

“Uncontrollable Force” means an event beyond the reasonable control of, and without the

fault or negligence of, the party claiming the Uncontrollable Force that prevents the

recipient from honoring its contractual obligations under this Agreement and which, by

exercise of the recipient’s reasonable care, diligence and foresight, such recipient was

unable to avoid. Uncontrollable Forces include, but are not limited to:

a. Strikes or work stoppage;

b. Floods, earthquakes, or other natural disasters; terrorist acts; and

c. Final orders or injunctions issued by a court or regulatory body having competent

subject matter jurisdiction which the recipient, claiming the Uncontrollable Force,

after diligent efforts, was unable to have stayed, suspended, or set aside pending

review by a court of competent subject matter jurisdiction. Neither the

unavailability of funds or financing, nor conditions of national or local economies

or markets must be considered an Uncontrollable Force.

10. Reporting Requirement

The recipient must complete and submit to Treasury a report on the status of the real

property or interest in real property in which the federal government retains an interest,

using a SF-429 Real Property Status Report form annually for the first three years of a

federal award and thereafter every five years until the end of the Estimated Useful Life or

time of disposition, whichever is less. All reports must be for the period ending

December 31, or any portion thereof, beginning with the year of the award, and are due

no later than 30 days following the end of the reporting period.

11. Insurance

The recipient must, at a minimum, provide the equivalent insurance coverage for real

property improved with federal funds as provided to property owned by the recipient

state, county or parish, in compliance with 2 C.F.R. § 200.310.

12. Bonding

a. For construction or facility improvement contracts or subcontracts exceeding the

simplified acquisition threshold, the recipient or pass-through entity may request

in writing that Treasury accept its bonding policy and requirements. If Treasury
August 2017 Page 38

determines that the federal interest in the project is adequately protected, the

recipient or pass-through entity need not comply with the following three

bonding requirements. For all other recipients and pass-through entities, the

minimum requirements for construction or facility improvement contracts or

subcontracts exceeding the simplified acquisition threshold are as follows: A bid

guarantee from each bidder equivalent to five percent of the bid price. The “bid

guarantee” must consist of a firm commitment such as a bid bond, certified

check, or other negotiable instrument accompanying a bid as assurance that the

bidder will, upon acceptance of the bid, execute such contractual instruments as

may be required within the time specified.

b. A performance bond on the part of the contractor for 100 percent of the contract

price. A “performance bond” is one executed in connection with a contract to

secure fulfillment of all the contractor's obligations under such contract.

c. A payment bond on the part of the contractor for 100 percent of the contract

price. A “payment bond” is one executed in connection with a contract to assure

payment as required by law of all persons supplying labor and material in the

execution of the work provided for in the contract.

13. Floodplain Requirements

In accordance with 44 C.F.R. Part 9, prior to Treasury’s authorization to commence

construction in a designated 100-year floodplain, the recipient must provide evidence

satisfactory to Treasury of a Floodplain Notice, that the 30-day period established for

receipt of comments from the public in response to public notice published regarding

the potential for adverse project impact on the values and functions of a designated 100-

year floodplain has expired and that identified concerns (if any) have been addressed

to Treasury’s satisfaction. This notice may be satisfied through a federal/state 

environmental assessment process used as the vehicle for public notice, involvement, 

and explanation per 44 C.F.R. § 9.8(2).

In addition, prior to Treasury’s authorization to commence construction of structures 

and/or buildings within a designated 100-year floodplain, the recipient must provide 

evidence satisfactory to Treasury of the following: 

a. Floodplain Protection: That the project engineer/architect has certified that the

project facility will be adequately protected from damage by floods in this area of

apparent potential flood hazard. The evidence must include adequate

justification for the Base Flood Elevation designation for the financial assistance

award site.

b. Floodplain Insurance: That the community is participating in the National Flood

Insurance Program, and that as required, the recipient will purchase flood

insurance.

14. Goals for Women and Minorities in Construction

Department of Labor regulations set forth in 41 C.F.R. § 60-4 establish goals and

timetables for participation of minorities and women in the construction industry. These

regulations apply to all federally assisted construction contracts in excess of $10,000.

The recipient must comply with these regulations and must obtain compliance with 41

C.F.R. § 60-4 from contractors and subcontractors employed in the completion of the

project by including such notices, clauses and provisions in the Solicitations for Offers or

Bids as required by 41 C.F.R. § 60-4.
August 2017 Page 39

a. The goal for participation of women in each trade area must be as follows: 

From April 1, 1981, until further notice: 6.9 percent;

b. All changes to this goal, as published in the Federal Register in accordance with

the Office of Federal Contract Compliance Programs regulations at 41 C.F.R. §

60-4.6, or any successor regulations, must hereafter be incorporated by

reference into these Special Award Conditions; and,

c. Goals for minority participation must be as prescribed by Appendix B-80,

Federal Register, Volume 45, No. 194, October 3, 1980, or subsequent

publications. The recipient must include the “Standard Federal Equal

Employment Opportunity Construction Contract Specifications” (or cause them

to be included, if appropriate) in all federally assisted contracts and

subcontracts. The goals and timetables for minority and female participation

may not be less than those published pursuant to 41 C.F.R. § 60-6.

15. Contracting with small and minority businesses, women’s business

enterprise, and labor surplus area firms

The recipient must take all necessary affirmative steps to assure that minority

businesses, women’s business enterprises, and labor surplus area firms are used when

possible. Affirmative steps must include:

a. Placing qualified small and minority businesses and women’s business

enterprises on solicitation lists;

b. Assuring that small and minority businesses, and women’s business enterprises 

are solicited whenever they are potential sources;

c. Dividing total requirements, when economically feasible, into smaller tasks or

quantities to permit maximum participation by small and minority business, and

women’s business enterprises;

d. Establishing delivery schedules, where the requirement permits, which

encourage participation by small and minority businesses, and women’s

business enterprises;

e. Using the services and assistance, as appropriate, of such organizations as the

Small Business Administration and the Minority Business Development Agency

of the Department of Commerce; and,

f. Requiring the prime contractor, if subcontracts are to be let, to take the

affirmative steps listed in (a) — (e) of this paragraph.

16. Davis Bacon Act, as amended (40 U.S.C. §§ 3141–3148)

Davis-Bacon Act-related provisions are applicable for a construction project if it is for the

construction of a project that can be defined as a “treatment works” in 33 U.S.C § 1292;

or for a construction project regardless of whether it is a “treatment works” project if it is

receiving federal assistance from another federal agency operating under an authority

that requires the enforcement of Davis-Bacon Act-related provisions. When required, all

prime construction contracts in excess of $2,000 awarded by the non-Federal entity must

include a provision for compliance with the Davis-Bacon Act (40 U.S.C. §§ 3141–3144,

and §§ 3146–3148) as supplemented by Department of Labor regulations (29 C.F.R.

Part 5, “Labor Standards Provisions Applicable to Contracts Covering Federally

Financed and Assisted Construction”). In accordance with the statute, contractors must
August 2017 Page 40

be required to pay wages to laborers and mechanics at a rate not less than the

prevailing wages specified in a wage determination made by the Secretary of Labor. In

addition contracts must be required to pay wages not less than once a week.

The non-Federal entity must place a copy of the current prevailing wage determination

issued by the Department of Labor in each solicitation. The decision to award a contract

or subcontract must be conditioned upon the acceptance of the wage determination. The

non-Federal entity must report all suspected or reported violations to Treasury. The

contracts must also include a provision for compliance with the Copeland “Anti-Kickback”

Act (40 U.S.C. § 3145), as supplemented by Department of Labor regulations (29 C.F.R.

Part 3, “Contracts and Subcontractors on Public Building or Public Work Financed in

Whole or in Part by Loans or Grants from the United States”). The Act provides that each

contractor or subrecipient must be prohibited from inducing, by any means, any person

employed in the construction, completion, or repair of public work, to give up any part of

the compensation or which he or she is otherwise entitled. The non-federal entity must

report all suspected or reported violations to Treasury.

17. Equal Opportunity Clause

Pursuant to 41 C.F.R. § 60-1.4(b), Federally assisted construction contracts, for

construction which is not exempt from the requirements of the equal opportunity clause,

41 C.F.R. Part 60-1—Obligations of Contractors and Subcontractors, [t]he [recipient]

hereby agrees that it will incorporate or cause to be incorporated into any contract for

construction work, or modification thereof, as defined in the regulations of the Secretary

of Labor at 41 C.F.R. Chapter 60, which is paid for in whole or in part with funds obtained

from the federal government or borrowed on the credit of the federal government

pursuant to a grant, contract, loan, insurance, or guarantee, or undertaken pursuant to

any federal program involving such grant, contract, loan, insurance, or guarantee, the

following equal opportunity clause:

41 C.F.R. § 60-1.4 Equal opportunity clause.

During the performance of this contract, the contractor agrees as follows:

(1) The contractor will not discriminate against any employee or applicant for

employment because of race, color, religion, sex, sexual orientation, gender identity,

or national origin. The contractor will take affirmative action to ensure that applicants

are employed, and that employees are treated during employment without regard to

their race, color, religion, sex, sexual orientation, gender identity, or national origin.

Such action shall include, but not be limited to the following:

Employment, upgrading, demotion, or transfer; recruitment or recruitment advertising;

layoff or termination; rates of pay or other forms of compensation; and selection for

training, including apprenticeship. The contractor agrees to post in conspicuous

places, available to employees and applicants for employment, notices to be provided

setting forth the provisions of this nondiscrimination clause.

(2) The contractor will, in all solicitations or advertisements for employees placed by or

on behalf of the contractor, state that all qualified applicants will receive consideration

for employment without regard to race, color, religion, sex, sexual orientation, gender

identity, or national origin.

(3) The contractor will not discharge or in any other manner discriminate against any

employee or applicant for employment because such employee or applicant has

inquired about, discussed, or disclosed the compensation of the employee or applicant

or another employee or applicant. This provision shall not apply to instances in which
August 2017 Page 41

an employee who has access to the compensation information of other employees or

applicants as a part of such employee's essential job functions discloses the

compensation of such other employees or applicants to individuals who do not

otherwise have access to such information, unless such disclosure is in response to a

formal complaint or charge, in furtherance of an investigation, proceeding, hearing, or

action, including an investigation conducted by the employer, or is consistent with the

contractor's legal duty to furnish information.

(4) The contractor will send to each labor union or representative of workers with

which he has a collective bargaining agreement or other contract or understanding, a

notice to be provided advising the said labor union or workers' representatives of the

contractor's commitments under this section, and shall post copies of the notice in

conspicuous places available to employees and applicants for employment.

(5) The contractor will comply with all provisions of Executive Order 11246 of

September 24, 1965, and of the rules, regulations, and relevant orders of the

Secretary of Labor.

(6) The contractor will furnish all information and reports required by Executive Order

11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary

of Labor, or pursuant thereto, and will permit access to his books, records, and

accounts by the administering agency and the Secretary of Labor for purposes of

investigation to ascertain compliance with such rules, regulations, and orders.

(7) In the event of the contractor's noncompliance with the nondiscrimination clauses

of this contract or with any of the said rules, regulations, or orders, this contract may

be canceled, terminated, or suspended in whole or in part and the contractor may be

declared ineligible for further Government contracts or federally assisted construction

contracts in accordance with procedures authorized in Executive Order 11246 of

September 24, 1965, and such other sanctions may be imposed and remedies

invoked as provided in Executive Order 11246 of September 24, 1965, or by rule,

regulation, or order of the Secretary of Labor, or as otherwise provided by law.

(8) The contractor will include the portion of the sentence immediately preceding

paragraph (1) and the provisions of paragraphs (1) through (8) in every subcontract or

purchase order unless exempted by rules, regulations, or orders of the Secretary of

Labor issued pursuant to section 204 of Executive Order 11246 of September 24,

1965, so that such provisions will be binding upon each subcontractor or vendor. The

contractor will take such action with respect to any subcontract or purchase order as

the administering agency may direct as a means of enforcing such provisions,

including sanctions for noncompliance:

Provided, however, that in the event a contractor becomes involved in, or is

threatened with, litigation with a subcontractor or vendor as a result of such direction

by the administering agency, the contractor may request the United States to enter

into such litigation to protect the interests of the United States.

The applicant further agrees that it will be bound by the above equal

opportunity clause with respect to its own employment practices when it participates in

federally assisted construction work: Provided, That if the applicant so participating is a

State or local government, the above equal opportunity clause is not applicable to 

any agency, instrumentality or subdivision of such government which does not

participate in work on or under the contract.
August 2017 Page 42

The applicant agrees that it will assist and cooperate actively with the

administering agency and the Secretary of Labor in obtaining the compliance of

contractors and subcontractors with the equal opportunity clause and the rules,

regulations, and relevant orders of the Secretary of Labor, that it will furnish the

administering agency and the Secretary of Labor such information as they may require

for the supervision of such compliance, and that it will otherwise assist the

administering agency in the discharge of the agency's primary responsibility for

securing compliance.

The applicant further agrees that it will refrain from entering into any contract

or contract modification subject to Executive Order 11246 of September 24, 1965, with

a contractor debarred from, or who has not demonstrated eligibility for, Government

contracts and federally assisted construction contracts pursuant to the Executive 

Order and will carry out such sanctions and penalties for violation of the equal

opportunity clause as may be imposed upon contractors and subcontractors by the

administering agency or the Secretary of Labor pursuant to Part II, Subpart D of the

Executive Order. In addition, the applicant agrees that if it fails or refuses to comply

with these undertakings, the administering agency may take any or all of the following

actions: Cancel, terminate, or suspend in whole or in part this grant (contract, loan,

insurance, guarantee); refrain from extending any further assistance to the applicant

under the program with respect to which the failure or refund occurred until satisfactory

assurance of future compliance has been received from such applicant; and refer the

case to the Department of Justice for appropriate legal proceedings.

18. Revised ADA Standards for Accessible Design for Construction Awards

The U.S. Department of Justice has issued revised regulations implementing Title II of

the ADA (28 C.F.R. Part 35) and Title III of the ADA (28 C.F.R. Part 36). The revised

regulations adopted new enforceable accessibility standards called the “2010 ADA

Standards for Accessible Design” (2010 Standards). The 2010 Standards are an

acceptable alternative to the Uniform Federal Accessibility Standards (UFAS). Treasury

deems compliance with the 2010 Standards to be an acceptable means of complying

with the Section 504 accessibility requirements for new construction and alteration

projects. All new construction and alteration projects must comply with the 2010 

Standards.