DEPARTMENT OF COMMERCE FINANCIAL ASSISTANCE …

1 January 2013 DEPARTMENT OF COMMERCE FINANCIAL ASSISTANCE STANDARD TERMS AND CONDITIONS 1 | January 2013 DEPARTMENT OF COMMERCE FINANCIAL ASSISTANCE STANDARD TERMS AND CONDITIONS Table of Contents PREFACE .. 4 A. FINANCIAL REQUIREMENTS .. 4 .01 FINANCIAL Reports .. 4 .02 Award Payments .. 4 .03 Federal and Non-Federal Sharing .. 5 .04 Budget Changes and Transfer of Funds among Categories .. 6 .05 Indirect Costs and Facilities and Administrative Costs .. 6 .06 Incurring Costs or Obligating Federal Funds beyond the Expiration Date .. 9 .07 Tax Refunds .. 9 B. PROGRAMMATIC REQUIREMENTS .. 9 .01 Performance (Technical) Reports .. 9 .02 Unsatisfactory Performance .. 10 .03 Programmatic Changes.

2 10 .04 Other Federal Awards with Similar Programmatic Activities .. 10 .05 Non-Compliance with Award Provisions .. 10 .06 Prohibition against Assignment by the Recipient .. 10 .07 Disclaimer Provisions .. 11 C. NON-DISCRIMINATION REQUIREMENTS .. 11 .01 Statutory Provisions .. 11 .02 Other 12 .03 Title VII Exemption for Religious Organizations .. 13 D. AUDITS .. 13 .01 Organization-Wide, Program-Specific, and Project Audits .. 13 .02 Audit Resolution Process .. 14 E. DEBTS .. 15 .01 Payment of Debts Owed the Federal Government .. 15 .02 Late Payment Charges .. 16 .03 Barring Delinquent Federal Debtors from Obtaining Federal Loans or Loan Insurance Guarantees .. 16 2 | January 2013 .04 Effect of Judgment Lien on Eligibility for Federal Grants, Loans, or Programs.

3 16 F. GOVERNMENTWIDE DEBARMENT AND SUSPENSION .. 16 G. DRUG-FREE WORKPLACE .. 17 H. LOBBYING RESTRICTIONS .. 17 .01 Statutory Provisions .. 17 .02 Disclosure of Lobbying Activities .. 17 I. CODES OF CONDUCT AND SUBAWARD, CONTRACT, AND SUBCONTRACT PROVISIONS .. 17 .01 Code of Conduct for Recipients .. 17 .02 Applicability of Award Provisions to Subrecipients .. 18 .03 Competition and Codes of Conduct for Subawards .. 18 .04 Applicability of Provisions to Subawards, Contracts, and Subcontracts .. 19 .05 Small Businesses, Minority Business Enterprises and Women s Business Enterprises 20 .06 Subaward and/or Contract to a Federal Agency .. 20 J. PROPERTY .. 20 .01 Standards .. 20 .02 Real and Personal Property .. 21 K. ENVIRONMENTAL REQUIREMENTS.

4 21 .01 The National Environmental Policy Act (42 4321 et seq.) .. 22 .02 National Historic Preservation Act (16 470 et seq.) .. 22 .03 Executive Order 11988 ( Floodplain Management ) and Executive Order 11990 ( Protection of Wetlands ) .. 23 .04 Clean Air Act (42 7401 et seq.), Federal Water Pollution Control Act (33 1251 et seq.) (Clean Water Act), and Executive Order 11738 ( Providing for administration of the Clean Air Act and the Federal Water Pollution Control Act with respect to Federal contracts, grants or loans ) .. 23 .05 The Flood Disaster Protection Act (42 4002 et seq.) .. 23 .06 The Endangered Species Act (16 1531 et seq.) .. 23 .07 The Coastal Zone Management Act (16 1451 et seq.) .. 23.

5 08 The Coastal Barriers Resources Act (16 3501 et seq.) .. 23 .09 The Wild and Scenic Rivers Act (16 1271 et seq.) .. 23 .10 The Safe Drinking Water Act of 1974, as amended, (42 300f et seq.) .. 24 .11 The Resource Conservation and Recovery Act (42 6901 et seq.) .. 24 3 | January 2013 .12 The Comprehensive Environmental Response, Compensation, and Liability Act (Superfund) (42 9601 et seq.) and the Community Environmental Response Facilitation Act (41 11001 et seq.) .. 24 .13 Executive Order 12898 ( Environmental Justice in Minority Populations and Low Income Populations ).. 24 L. MISCELLANEOUS REQUIREMENTS .. 24 .01 Criminal and Prohibited Activities .. 24 .02 Foreign Travel .. 25 .03 American-Made Equipment and Products.

6 26 .04 Intellectual Property Rights .. 26 .05 Increasing Seat Belt Use in the United States .. 28 .06 Research Involving Human Subjects .. 28 .07 Federal Employee Expenses .. 29 .08 Minority Serving Institutions Initiative .. 29 .09 Research Misconduct .. 29 .10 Publications, Videos and Acknowledgment of Sponsorship .. 30 .11 Care and Use of Live Vertebrate Animals .. 30 .12 Homeland Security Presidential Directive 12 .. 31 .13 Compliance with DEPARTMENT of COMMERCE Bureau of Industry and Security Export Administration Regulations .. 32 .14 The Trafficking Victims Protection Act of 2000 (22 7104(g)), as amended, and the implementing regulations at 2 part 175 .. 33 .15 The Federal Funding Accountability and Transparency Act of 2006 (Pub.)

7 L. No. 109-282, 31 USCA 6101 Note) .. 35 .16 Federal FINANCIAL ASSISTANCE Planning During a Funding Hiatus or Government Shutdown .. 40 APPENDIX A: Summary of Changes to the 2008 DOC FINANCIAL ASSISTANCE Standard Terms and Conditions .. 42 4 | January 2013 PREFACE The recipient and any subrecipients must, in addition to the assurances made as part of the application, comply and require each of its contractors and subcontractors employed in the completion of the project to comply with all applicable statutes, regulations, executive orders ( .s), Office of Management and Budget (OMB) circulars, terms and conditions, and approved applications. This award is subject to the laws and regulations of the United States.

8 Any inconsistency or conflict in terms and conditions specified in the award will be resolved according to the following order of precedence: public laws, regulations, applicable notices published in the Federal Register, , OMB circulars, DEPARTMENT of COMMERCE (DOC) FINANCIAL ASSISTANCE Standard Terms and Conditions, agency standard award conditions (if any), and special award conditions. Special award conditions may amend or take precedence over DOC standard terms and conditions, on a case-by-case basis, when allowed by the DOC standard term and condition. Some of the DOC terms and conditions herein contain, by reference or substance, a summary of the pertinent statutes, or regulations published in the Federal Register or Code of Federal Regulations ( ), , OMB circulars or the assurances (Forms SF-424B and SF- 424D).

9 To the extent that it is a summary, such provision is not in derogation of, or an amendment to, any such statute, regulation, , OMB circular, or assurance. A. FINANCIAL REQUIREMENTS .01 FINANCIAL Reports a. The recipient shall submit a Federal FINANCIAL Report ( Form SF-425) on a semi-annual basis for the periods ending March 31 and September 30, 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 Form SF-425 shall be submitted within 90 days after the expiration of the project period. b. The reports must be submitted to the Grants Officer electronically, or i n hard copy (no more than an original and two copies), in accordance with the award conditions.

10 02 Award Payments a. Consistent with 15 and , the advance method of payment shall be authorized unless otherwise specified in a special award condition. The Grants Officer determines the appropriate method of payment. Payments will be made through electronic funds transfers directly to the recipient s bank account and in accordance with the requirements of the Debt Collection Improvement Act of 1996 and the Cash Management Improvement Act. The DOC Award Number must be included on all payment-related correspondence, information, and forms. 5 | January 2013 b. When the Request for Advance or Reimbursement ( Form SF-270) is used to request payment, the recipient shall submit the request no more frequently than monthlyc.