U.S. DEPARTMENT OF THE TREASURY

STATE SMALL BUSINESS CREDIT INITIATIVE TECHNICAL ASSISTANCE

NOTICE OF AWARD

Recipient name and address: UEI Number:

UEI Registered Name: 

Taxpayer/Employer Identification Number:

Assistance Listing Number and Name:

Award Name: [XXX]

Federal Award Identification Number (FAIN): [XXX]

Federal Award Description: 

The U.S. Department of the Treasury (“Treasury”), pursuant to this Notice of Award (“Notice 

of Award”), hereby issues this award to [Recipient] (“Recipient”) under Title III of the Small 

Business Jobs Act of 2010 (SBJA), Pub. L. 111-240, as amended by the American Rescue 

Plan Act of 2021 (ARPA), Pub. L. 117-2 (collectively, the “SSBCI statute”) (codified at

12 U.S.C. §§ 5701 et seq.).

Treasury and Recipient hereby agree that this award shall be governed by the following 

Schedules, which are hereby incorporated into this Notice of Award in their entirety and are 

made a material part hereof: the (1) Schedule 1: General Award Terms and Conditions

(including Annex A) and (2) Schedule 2: Specific Award Condition(s), if applicable. By 

executing this Notice of Award, Recipient agrees to abide by all the terms of this Notice of 

Award, including the Schedules attached hereto, which collectively constitute the SSBCI 

Technical Assistance (TA) Grant Agreement. 

This Notice of Award constitutes an offer of a federal award. To officially accept the award, 

follow the instructions provided to electronically sign the Notice of Award and submit it to 

Treasury within 15 calendar days of the date of receipt. Failure to electronically sign and submit 

the Notice of Award within the 15-day award acceptance period may result in the SSBCI TA

award being withdrawn without additional notification.

_____________________________________

U.S. Department of the Treasury

Authorized Representative: [XX]

Title: [XX]

Date signed (Federal Award Date): [XX]

____________________________________

[Recipient]

Authorized Representative: [XX]

Title: [XX]

Date signed: [XX]
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Treasury Contact Information:

[Name]

[Title]

[Email]

Recipient Contact Information:

[Name]

[Title]

[Email]

Period of Performance Start Date: 

Period of Performance End Date: 

Total Amount of the Federal Award: $[XX]
Schedule 1: General Award Terms and Conditions

Use of Funds. 

a. Recipient understands and agrees that the funds disbursed under this award may only be 

used in compliance with 12 U.S.C. § 5708(e) and Treasury’s implementing regulations 

and guidance. 

b. Recipient will determine prior to engaging in any project using the award funds that it has 

the institutional, managerial, and financial capability to ensure proper planning, 

management, and completion of such project.

Compliance with Applicable Law and Regulations. 

a. Recipient agrees to comply with the requirements of 12 U.S.C. § 5708(e) and Treasury’s 

implementing regulations and guidance. Recipient also agrees to comply with all other 

applicable federal statutes, regulations, and executive orders, and Recipient shall provide 

for such compliance by other parties in any agreements it enters into with other parties 

relating to this award.

 

b. Federal statutes and regulations applicable to this award include, without limitation, the 

following:

i. Uniform Administrative Requirements, Cost Principles, and Audit Requirements for 

Federal Awards (Uniform Guidance), 2 C.F.R. Part 200, other than such provisions 

as Treasury may determine are inapplicable to this award and subject to such 

exceptions as may be otherwise provided by Treasury. Subpart F – Audit 

Requirements of the Uniform Guidance, implementing the Single Audit Act, shall 

apply to this award.

ii. Universal Identifier and System for Award Management (SAM), 2 C.F.R. Part 25, 

pursuant to which the award term set forth in Appendix A to 2 C.F.R. Part 25 is 

hereby incorporated by reference. 

iii. Reporting Subaward and Executive Compensation Information, 2 C.F.R. Part 170, 

pursuant to which the award term set forth in Appendix A to 2 C.F.R. Part 170 is

hereby incorporated by reference. 

iv. OMB Guidelines to Agencies on Governmentwide Debarment and Suspension 

(Nonprocurement), 2 C.F.R. Part 180, including the requirement to include a term 

or condition in all lower tier covered transactions (contracts and subcontracts 

described in 2 C.F.R. Part 180, subpart B) that the award is subject to 2 C.F.R. 

Part 180 and Treasury’s implementing regulation at 31 C.F.R. Part 19. 

v. Recipient Integrity and Performance Matters, pursuant to which the award term set 

forth in 2 C.F.R. Part 200, Appendix XII to Part 200 is hereby incorporated by 

reference.
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vi. Governmentwide Requirements for Drug-Free Workplace, 41 U.S.C. § 8103 and 

31 C.F.R. Part 20. 

vii. New Restrictions on Lobbying, 31 U.S.C. § 1352 and 31 C.F.R. Part 21. 

viii. Trafficking Victims Protection Act (TVPA) of 2000, as amended, 22 U.S.C. 

§ 7104(g).

ix. Civil Actions for False Claims Act, 31 U.S.C. § 3730. 

x. False Claims Act, 31 U.S.C. § 3729, 18 U.S.C. §§ 287 and 1001. 

xi. Program Fraud and Civil Remedies Act, 31 U.S.C. §§ 3801 et seq. 

xii. Lobbying Disclosure Act of 1995, 2 U.S.C. §§ 1601 et seq. 

c. Statutes and regulations prohibiting discrimination applicable to this award include, 

without limitation, the following:

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

Treasury’s implementing regulations at 31 C.F.R. Part 22, which prohibit 

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

activities receiving federal financial assistance (this statute and implementing 

regulations do not apply to Tribal governments);

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

which prohibits discrimination on the basis of disability under any program or 

activity receiving federal financial assistance;

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

Treasury’s implementing regulations at 31 C.F.R. Part 23, which prohibit 

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

financial assistance; and

iv. Title II of the Americans with Disabilities Act of 1990, as amended (42 U.S.C. 

§§ 12101 et seq.), which prohibits discrimination on the basis of disability under 

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

governments or instrumentalities or agencies thereto; and

v. 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.

Reporting. Recipient agrees to comply with any reporting obligations established by Treasury 

as they relate to this award.
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Maintenance of and Access to Records.

a. Recipient shall maintain records and financial documents sufficient to evidence 

compliance with 12 U.S.C. § 5708(e), Treasury’s implementing regulations and guidance, 

and the Uniform Guidance’s recordkeeping requirements at 2 C.F.R. §§ 200.334-200.338, 

except as otherwise provided by this section.

b. The Treasury Office of Inspector General and the Government Accountability Office, or 

their authorized representatives, shall have the right of access to records (electronic and 

otherwise) of Recipient in order to conduct audits or other investigations.

c. Records shall be maintained by Recipient for a period of five (5) years after all funds have 

been expended or returned to Treasury, whichever is later. 

Pre-award Costs. Pre-award costs, as defined in 2 C.F.R. § 200.458, are limited to five percent 

of the total amount of this award. Such costs are allowable only to the extent that they would 

have been allowable if incurred after the date of this award and only with Treasury’s written 

approval.

Administrative Costs. Recipient may use funds provided under this award to cover both direct 

and indirect costs. 

Cost Sharing. Cost sharing or matching funds are not required to be provided by Recipient.

Conflicts of Interest. Recipient and any subrecipients must maintain a conflict of interest 

policy consistent with 2 C.F.R. § 200.318(c) and the TA Grant Program Guidelines that is 

applicable to all activities funded under this award. In accordance with 2 C.F.R.§ 200.112, the 

Recipient and any subrecipients must disclose in writing to Treasury or the pass-through 

entity, as appropriate, any potential conflict of interest affecting this award.

Financial Management; Internal Controls. Recipient shall comply with the financial 

management and internal control requirements at 2 C.F.R. §§ 200.302-200.303.

Procurement; Contract Provision. Recipient agrees that all procurement transactions shall be 

in accordance with 2 C.F.R. §§ 200.317–200.327, as applicable. This includes that all

contracts made by the Recipient under this award, as applicable, must contain the provisions 

required under 2 C.F.R. Part 200, Appendix II to Part 200—Contract Provisions for 

Non-Federal Entity Contracts Under Federal Awards. Specifically, Recipient must ensure that 

all contracts in excess of $10,000 address termination for cause and for convenience, 

including the manner by which it will be effected and the basis for settlement.

Subawards. Certain award activities funded through this award may be accomplished through 

a subaward by the Recipient to one or more subrecipients. Before disbursing any funds to a 

proposed subrecipient, the Recipient must identify the subrecipient and provide 

documentation that the subrecipient is an entity eligible to receive a subaward under the 
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TA Grant Program consistent with Section III.c. of the TA Grant Program Guidelines. In 

addition, the Recipient must provide Treasury with an itemized subrecipient budget with an 

appropriate justification via a budget narrative. 

In addition, before a subrecipient undertakes any work to be funded through this award, the

Recipient shall enter into a written subaward agreement with the subrecipient governing the 

subrecipient’s work activities. The subaward agreement shall meet the requirements of 

2 C.F.R. § 200.332(a) and shall include a requirement that the subrecipient comply with all of 

the terms and conditions of this award. Recipient shall be responsible for monitoring the 

subrecipient’s performance under the subaward in accordance with the requirements of 

2 C.F.R. § 200.332.

Budget. Recipient must expend project funds in accordance with the approved budget set forth 

in Annex A to Schedule 1 (the “Approved Budget”). Recipient is required to report deviations 

from the Approved Budget and request prior written approval from Treasury in accordance 

with 2 C.F.R. §§ 200.308 and 200.407.

Project and Program Evaluation; Use of Information. As part of the process of validating and 

monitoring the award and the performance information provided by Recipient, and as a 

general method of evaluating the award and the TA Grant Program, Treasury reserves the 

right to conduct project and program evaluations through site visits and/or surveys during or 

after the period of performance. Such evaluations may be conducted by outside parties 

associated with Treasury or by Treasury staff. Recipient agrees to participate in the evaluation 

by answering the evaluator’s questions and furnishing information as requested. Evaluators 

will maintain the confidentiality of business information as required and appropriate. 

Recipient agrees to provide data and client management system information to facilitate 

evaluations. The site visit may include interviews with Recipient’s staff or visits with assisted 

businesses.

Treasury reserves the right to use information contained in the Recipient’s application as well 

as all reports and performance data submitted by the Recipient to undertake an evaluation of 

the TA Program. Recipient agrees to cooperate with such evaluations, including by sharing 

performance information that they have collected or will collect as part of their award

activities, including performance information for assisted businesses.

Remedial Actions. In the event of Recipient’s noncompliance with 12 U.S.C. § 5708(e), 

Treasury’s implementing regulations and guidance, other applicable laws, any term of this 

award, or any reporting or other program requirements, Treasury may impose specific 

conditions in accordance with 2 C.F.R. § 200.208 or take other available remedies as set forth 

in 2 C.F.R. § 200.339. In addition, Treasury may terminate an award in whole or in part as set 

forth in 2 C.F.R. §200.340.

Refunds, Interest, or Unused Funds. If Recipient needs to return award funds money to 

Treasury, for example in the case of unused funds, Treasury will provide instructions on how 

to process a repayment. Interest earned on Federal advance payments deposited in interestbearing accounts above $500 must be remitted annually in accordance with 2 C.F.R. § 
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200.305(b)(9).

Hatch Act. Recipient agrees to comply, as applicable, with requirements of the Hatch Act 

(5 U.S.C. §§ 1501-1508 and 7324-7328), which limit certain political activities of State or 

local government employees whose principal employment is in connection with an activity 

financed in whole or in part by this federal assistance.

False Statements. Recipient understands that making false statements or claims in connection 

with this award is a violation of federal law and may result in criminal, civil, or administrative 

sanctions, including fines, imprisonment, civil damages and penalties, debarment from

participating in federal awards or contracts, and/or any other remedy available by law.

Publications. Any publications produced with funds from this award must display the 

following language: “This project [is being] [was] supported, in whole or in part, by federal 

award number [enter project XXXX-XXXX] awarded to [name of Recipient] by the 

U.S. Department of the Treasury.”

Debts Owed the Federal Government.

a. Any funds paid to Recipient (1) in excess of the amount to which Recipient is finally 

determined to be authorized to retain under the terms of this award; or (2) that are 

determined by the Treasury Office of Inspector General to have been misused; and have 

not been repaid by Recipient shall constitute a debt to the federal government.

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

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 or if the Recipient knowingly or improperly retains funds that are a debt as defined 

in paragraph 18(a). Treasury will take any actions available to it to collect such a debt. 

Disclaimer.

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

third persons for the actions of 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 contract, or subcontract under this award.

b. The acceptance of this award by Recipient does not in any way establish an agency

relationship between the United States and Recipient.

Protections for Whistleblowers. 

a. In accordance with 41 U.S.C. § 4712, Recipient may not discharge, demote, or otherwise

discriminate against an employee in reprisal for disclosing to any of the list of persons or 

entities provided below, information 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. 
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b. The list of persons and entities referenced in the paragraph above includes the following: 

i. A member of Congress or a representative of a committee of Congress; 

ii. An Inspector General; 

iii. The Government Accountability Office; 

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

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

agency; 

vi. A court or grand jury; or 

vii. A management official or other employee of Recipient, contractor, or

subcontractor who has the responsibility to investigate, discover, or address

misconduct.

c. Recipient shall inform its employees in writing of the rights and remedies provided under 

this section, in the predominant native language of the workforce.

Increasing Seat Belt Use in the United States. Pursuant to Executive Order 13043, 

62 FR 19217 (Apr. 18, 1997), Recipient should encourage its contractors to adopt and enforce 

on-the-job seat belt policies and programs for their employees when operating 

company-owned, rented, or personally owned vehicles.

Reducing Text Messaging While Driving. Pursuant to Executive Order 13513, 74 FR 51225 

(Oct. 6, 2009), Recipient should encourage its employees, subrecipients, and contractors to

adopt and enforce policies that ban text messaging while driving, and Recipient should 

establish workplace safety policies to decrease accidents caused by distracted drivers.
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Annex A to Schedule 1: Approved Budget

Period of Performance:

Budget Period:

Personnel $

Fringe Benefits $

Travel $

Equipment $

Supplies $

Contractual $

Other $

Total Direct Costs $

Indirect Costs $

Non-Federal Funds $

- Match $

- Program Income $

Total Funds $
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Current Budget Period Information:

Amount of this action (Federal Share) $

Funds Previously Obligated $

Carryover/Offset $

Federal Share of Total Approved Budget $

Total Cost Share for this Award $

Total Approved Budget $

Cumulative SSBCI TA Grant Program Obligations:

This Budget Period $

Previous Budget Period $

Project Period to Date $
Schedule 2: Specific Award Conditions

Federal Award Identification Number (FAIN): [To be added when federal obligation is 

recorded]

If applicable, Amendment Award Number:

Name of Recipient: 

Special Award Condition 1:

Reason: