Ordinance No. 5,653900927 -17
ORDINANCE NO. 5653
AN ORDINANCE AUTHORIZING AND DIRECTING THE MAYOR TO
EXECUTE AND THE CITY CLERK TO ATTEST TO A FINANCIAL
ASSISTANCE AWARD WITH THE U.S. DEPARTMENT OF COMMERCE-
ECONOMIC DEVELOPMENT ADMINISTRATION (EDA) AND PROVIDING
FOR THE EFFECTIVE DATE THEREOF.
BE IT ORDAINED BY THE CITY COUNCIL OF THE CITY OF BAYTOWN,
TEXAS:
Section 1: That the City Council of the City of Baytown,
Texas, hereby authorizes and directs the Mayor and City Clerk of
the City of Baytown to execute and attest to a Financial
Assistance Award with the U.S. Department of Commerce - Economic
Development Administration (EDA) . A copy of said agreement is
attached hereto, marked Exhibit "A," and made a part hereof for
all intents and purposes.
Section 2: This ordinance shall take effect immediately
from and after its passage by the City Council of the City of
Baytown.
INTRODUCED, READ and PASSED by the aff irmative vote of the
City Council of the City of Baytown, this the 27th day of
September, 1990.
CEMMETT O. HUTTO, Mayor
ATTEST:
CDL,-,) 16,
LYNDA K GORE, Deputy C' y Clerk
RANDALL B. STRONG, Cit Attorney
C:1:54:12
W
Form CD -450 (EDA /ADP) United States Department of Commerce (DOC)
(11 -87)
[X] Grant
FINANCIAL ASSISTANCE AWARD [ ] Cooperative Agreement
Project Title: Initial Urban 302(a) Planning Grant
Award Number: 08 -25 -02735 Accounting Code:
Award Period From: 08/01/90 U.S. Share of Cost: $ 60,000
To: 01/31/92 Recipient's Share of Cost: $ 20,000
Total Estimated Cost: $ 80,000
Recipient's Name: City of Baytown
Street Address: 2401 Market Street
City: Baytown State: TX Zip Code: 77522 -0424
Authority: Public Works and Economic Development Act of 1965, as amended
Special Award Conditions: Attached
The Recipient agrees to execute the work in accordance with the approved
application to the extent encompassed by this award, the attached documents,
the nondiscrimination requirements set forth on the reverse of this doc-
ument, and the pertinent rules checked below and any subsequent revisions:
[X] DOC Financial Assistance Standard Terms and Conditions
[X] EDA Standard Terms and Conditions - Nonconstruction Programs
[X] 15 CFR Part 24 (53 Fed. Reg. 8048 -9; 8087 -8103, March 11, 1988)
[ J 48 CFR, Part 31, "Cost Principles for Commercial Organizations"
[ ] OMB Circular A -21 [ ] OMB Circular A -110
[X] OMB Circular A -87 [ ] OMB Circular A -122
[X] OMB Circular A -128 [ ] OMB Circular A -133
[X] Others: Lobbying Restrictions Section 319 of P.L. 101 -121,
15 CFR Part 28 (55 Federal Register, 6736 -6748, 2/26/90).
Grants Officer 17Y4 M0
L. (Jo 6_Hkoers V Title Date
Assistant Secretary
for Economic Development
Signature Title Date
(Authorized Recipient Official)
Recipient is required to sign all three (3) copies of this document and
return two (2) copies within 45 days to:
Grants Office: Marvin Hagemeier, Planning and TA Chief
Economic Development Administration
Austin Regional Office
611 East Sixth Street, Suite 201, Grant Building
Austin, TX 78701
EXHIBIT A
U.S. Department of Commerce
Economic Development Administration
Special Terms and Conditions of Financial Assistance Award
for Planning Grants to States and Local Units of Government
under Section 302(a) of the
Public Works and Economic Development Act of 1965, as Amended
Award Number: 08 -25 -02735
Recipient: City of Baytown
Address: 2401 Market Street
Baytown, TX 77522 -0424
I. This award will extend from August 1, 1990, through January 31, 1992.
EDA will make an award payment on or near the beginning of each of
the periods listed below and in the corresponding amounts when the
Recipient submits a Request for Advance or Reimbursement (SF -270):
Period Amount
August 1, 1990 -- April 30, 1991 $30,000
May 1, 1991 -- January 31, 1992 $30,000
II. Under terms of this agreement, the ratio of Federal and nonfederal
contributions to the total budget is 75 percent and 25 percent,
respectively. The same ratio will be used to determine Federal
and nonfederal shares of total allowable costs, in accordance with
provisions of OMB Circulars A -87 and A -128, at the conclusion of
the award period. The Federal share of total allowable costs shall
not exceed the dollar amount in the approved budget of the original
award and subsequent amendments.
III. The following reports are due on the dates indicated:
A. Midpoint Progress Report
B. Final Progress Report
C. Financial Reports
April 1, 1991
December 1, 1991
Quarterly reports shall include the Financial Status Report
(SF -269 or SF -269A) and Federal Cash Transactions Report
(SF -272) according to schedule below:
FM
October
31,
Period
January
August
1,
1990,
to
November
1,
1990,
to
February
1,
1991,
to
May
1,
1991,
to
August
1,
1991,
to
November
1,
1991,
to
FM
October
31,
1990
January
31,
1991
April
30,
1991
July
31,
1991
October
31,
1991
January
31,
1992
Due Date
November
15,
1990
February
15,
1991
May
15,
1991
August
15,
1991
November
15,
1991
February
15,
1992
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Note: The final quarterly financial report should include
all expenses charged to the award. The Recipient, however,
may elect to submit a separate final financial report for the
entire award period no later than 60 days following the
expiration of the award period.
EDA will close the award on the basis of the final financial
report. EDA may, however, revise the eligible project costs
based upon the audit report, if required under the Standard
Terms and Conditions.
D. Submissions
All reports and correspondence related to this project are to
be submitted to the Federal Program Officer:
Marvin Hagemeier, Planning and TA Chief
Economic Development Administration
Austin Regional Office
611 East Sixth Street, Suite 201, Grant Building
Austin, TX 78701
In addition, the Recipient will submit a copy of the Midpoint
Progress Report and the Final Progress Report to the
appropriate EDA Economic Development Representative.
IV. Budget:
A. Under the terms of the Award the approved budget is:
Federal Cash Contribution $ 60,000
Recipient Contribution $ 20.000
Total $ 80,000
B. Budget Categories
Direct Charges:
1.
Personnel
$
43,914
2.
Fringe Benefits
$
16,906
3.
Travel
$
6,500
4.
Equipment
$
980
5.
Supplies
$
500
6.
Contractual
$
10,000
7.
Other
$
1.200
Total Direct Charges
$
80,000
8.
Indirect Charges
$
0
Grand Total
$
80,000
V. See the
attached Scope of Work
(Attachment A) and Authorized Staff
Positions (Attachment B).
-3- Project No. 08 -25 -02735
VI. The Recipient shall comply with:
A. NEW RESTRICTIONS ON LOBBYING: This Award is subject to
Section 319 of Public Law 101 -121, which added Section
1352, regarding lobbying restrictions, to Chapter 13 of
Title 31 of the United States Code. The new section is
explained by the Department of Commerce in an "Interim
Final Rule," 15 CFR Part_ 28, published in 55 FR 6736 -6748,
February 26, 1990. The Recipient of this Award and
subrecipient_s are generally prohibited from using Federal
funds for lobbying the Executive or Legislative Branches of
the Federal Government in connection with this Award.
B. The Drug -Free Workplace Act of 1988, Public Law 100 -690,
Title V, Subtitle D, and 15 CFR Part 26 (55 FR 21678, May
25, 1990) for projects approved on or after March 18, 1989.
C. This Financial Assistance Award, subject to the other
Special and Standard Terms and Conditions, which shall
constitute an obligation to make such Award. If the
Recipient fails to affirm its intention to use the Award in
accordance with the terms and conditions of this Financial
Assistance Award, it will be terminated without further
cause. By signing and returning two of the original
Financial Assistance Award documents within 45 calendar
days from the date of approval by the Assistant_ Secretary,
the Recipient hereby affirms that it intends to use the
Award in accordance with the terms and conditions as
above - referenced.
VII. Method of Award Payment:
Award payments shall be made only through advancement or
reimbursement. by Treasury check method.
W
Attachment A
Project No.: 08 -25 -02735
Scope of Work: EDA's funds will provide partial support for
approved activities. The work program detailed in the application
encompasses the major activities listed below:
o Improve existing economic conditions and prevent further
deterioration by producing a needs assessment, long range
goals, and an action plan to reverse long -term negative
economic patterns.
o Analyze, at a minimum the population base, housing market,
environmental resources, and infrastructure of Baytown.
o Long range goals and an action plan will be developed by a
broad -based community advisory group and local staff to be
submitted to city council.
o Special i. ^. -depth studies growing out of the general
planning effort will be done by consultants with local
staff and community input.
Authorized Staff Positions:
Personnel
Senior Planner
Planning Intern
Planning Intern
Attachment B
Project No.: 08 -25 -02735
Approximate
Time Cost
100% $36,234
100% $ 3,540
100% $ 3,540
DEPARTMENT OF COMMERCE
FINANCIAL ASSISTANCE
STANDARD TERMS AND CONDITIONS
A. AWARD IDENTIFICATION
This award, numbered 08- 25- 02735, supports the
work described in the Recipient's proposal, entitled
initial urban 302(a) planning grant
dated 06/13/90, as revised by N/A
dated
which is incorporated into the award by reference. Where the
terms of the award and proposal differ, the terms of the
award shall prevail.
B. FINANCIAL ASSISTANCE CONTACTS
1. Recipient Contact's Name, Address and Telephone Number
Richard L. Harris
City of Baytown
2401 Market Street
Baytown, TX 77522 -0424
(713) 422 -8281
2. Federal Program Officer's Name, Address and Telephone Number
Marvin Hagemeier, Planning and TA Chief
Economic Development Administration
Austin Regional Office
611 East Sixth Street, Suite 201, Grant Building
Austin, TX 78701
(512) 482 -5416
The Federal Program Officer is responsible for the
programmatic, technical and /or scientific aspects of
this award. This Federal Program Officer will act as
the programmatic liaison with the Recipient but may not
authorize any change which affects the budget, terms or
conditions of this award.
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3. Grants Officer's Name, Address and Telephone Number
L. Joyce Hampers
Assistant Secretary
for Economic Development
Room 7800B, U.S. Department of Commerce
14th Street and Constitution Avenue, N.W.
Washington, DC 20230
(202) 377 -5081
The Grants Officer is responsible for all administrative
aspects of this award and is authorized to award, amend,
suspend, and terminate all Financial Assistance Awards.
4. Grants /Cooperative Agreements Specialist's Name, and
Telephone Number
Ethel Mazurek
(512) 482 -5416
The Specialist is responsible for administrative coordination
and liaison with the Recipient. This individual receives
appropriate material from either the Federal Program Officer
and /or the Recipient for administrative processing. In addition,
all information addressed to the Grants Officer is received and
processed by this individual prior to forwarding to the Grants
Officer for final action.
C. FINANCIAL, REQUIREMENTS
1. Budget Identification
Check the appropriate box:
/X/ The line item budget for this award is attached and
incorporated into the award by reference.
/ / The line item budget for this award is as follows:
Federal Nonfederal Total
Personnel
Fringe Benefits
Travel
Equipment
Supplies
Contractual
Other
Total Direct
Indirect
Total
roll -2- 10/87
2. Funding Mechanism.
Payments to the Recipient may be made through
letter -of- credit or advancement or reimbursement by
Treasury check. The Grants Officer authorizes the
appropriate method of funding for Recipients. For those
Recipients who do not comply with the provisions set
forth and /or demonstrate an unwillingness or inability to
establish procedures which will minimize the time
elapsing between the transfer of funds and disbursement,
the Grants Officer shall change the method of funding to
reimbursement only by Treasury Check.
The method of funding deemed appropriate for this
Recipient is indicated below:
/X/ See Special Award Conditions.
Award payments shall be made through the letter -of-
credit method. In accordance with 31 C.F.R. 205
(Treasury Circular 1075 11197710) the Recipient shall:
(1) maintain procedures for fund control to ensure
that drawdowns are made only when actually needed for
its immediate disbursement needs; (2) comply with
timely reporting of cash disbursements and balances
as required. if the recipient does not adhere to
these provisions, the Agency or the Department of
Treasury may revoke the unobligated portion of the
letter -of- credit. Instructions for use of the
letter -of- credit are attached.
Form SF -1194, Authorized Signature Card for Payment
Vouchers of Letter -of- Credit, shall be submitted in
triplicate (three originals) to the Grants Officer in
order for the recipient to be issued a letter -of-
credit. At least two officials of the recipient
institution must be designated to draw payment
vouchers against the letter -of- credit.
Award payments shall be made through advancement or
reimbursement by Treasury check method. Advances
shall be limited to the minimum amounts necessary to
meet immediate disbursement needs. Advanced funds
not disbursed in a timely manner will be promptly
returned to the Department of Commerce. Advances
shall be approved for periods not to exceed 30 days.
Form SF -270, Request for Advance or Reimbursement,
shall be submitted in triplicate (an original and two
copies) to the Grants Officer to request an advance
or reimbursement.
Award payments shall be made only through
reimbursement by Treasury check.
"` -3- 10/87
Form SF -270, Request for Advance or Reimbursement,
shall be submitted in triplicate (an original and two
copies) to the Grants Officer to request
reimbursement.
3. Budget Changes and Transfer of Funds Among Categories.
Requests for budget changes (as identified below) must be
submitted to the Federal Program Officer who shall review
and make a recommendation to the Grants Officer. The
Grants Officer shall make the final determination and
notify the Recipient in writing.
For awards where the Federal share exceeds $100,000,
transfer of funds among direct cost categories is
restricted when the cumulative amount of such transfers
exceeds or is expected to exceed 5 percent (applicable to
awards subject to OMB Circular A -110) or 10 percent
(applicable to awards subject to OMB Circular A -102) of
the total budget. The same criteria applies to the
cumulative amount of t_ansfer of funds among programs,
functions and activities when budgeted separately for an
award, except transfers will not be permitted if such
transfers would cause any Federal appropriation, or part
thereof, to be used for purposes other than those
intended. The recipient is not authorized at any time to
transfer amounts budgeted for direct costs to the
indirect cost line item.
4. Indirect Costs.
For those awards subject to OMB Circular A -122, the
indirect costs will not be allowable charges against this
award unless specifically included as a line item in the
approved budget for this agreement.
The dollar amount of indirect costs in the approved
budget should be a reflection of any established indirect
cost rate negotiated and approved by a cognizant Federal
agency prior to the effective date of this award, subject
to the limitation in subparagraph 4c. below. If the
Recipient has a negotiated indirect cost rate but has not
submitted evidence of the app: -••ed rate to the Department
prior to the effective date of his award, the Department
is not obligated thereaft = _ to 1 just the indirect cost
line item in the approved budge when it becomes aware of
the existing approved rate.
If the Recipient has not previously established an
indirect cost rate with a Federal agency, the negotiation
and approval of a rate is subject to subparagraphs 4a.,
4b., and 4c. below and the procedures in OMB Circular
A -122:
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a. The Office of Inspector General (OIG) is authorized
to negotiate indirect cost rates on behalf of the
Department for those organizations which the
Department is cognizant. The OIG will negotiate only
fixed rates. Indirect cost rates negotiated and
approved by OIG after the effective date of this
award shall not apply to this award.
b. Regardless of any approved indirect cost rate
applicable to the Recipient or this award, the
maximum dollar amount of allocable indirect costs
for which the Department will reimburse the Recipient
shall be the lesser of:
(1) The line item amount for the Federal share of
indirect costs contained in the approved budget
for this award; or
(2) The Federal share of the total allocable
indirect costs for the award.
C. Commerce's acceptance of negotiated rates as provided
in this section is subject to total indirect costs
not to exceed 100$ of total direct costs. where the
indirect cost rate exceeds 100 %, a 100% rate shall be
used to compute the dollar amount of indirect costs.
Any actual indirect costs incurred by the Recipient
which are greater than the indirect cost line item in
the budget will not be treated as a cost of the award
by the Department for the purpose of final cost
settlement. Instead, the excess actual indirect
costs will be carried forward as an adjustment to the
indirect cost rate computation of a future period.
d. Excess indirect costs will not be used to offset
unallowable or disallowed direct costs when the
Department determines the total allowable costs of
the award.
5. Cost Sharing (if applicable).
a. To the extent applicable to this award, contributions
by the Recipient, whether in cash or in kind, are
expected to be paid out at the same general rate as
the "Federal Share" expenditure. Exceptions to this
requirement may be granted by the Grants Officer
based on sufficient documentation demonstrating
previously determined plans for or later commitment
of cash or in kind contributions as outlined in the
Recipient's application. Such exceptions must be
approved in writing by the Grants Officer.
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6.
b. The approved budget for this award is predicated upon
a sharing of allowable costs. In the event allowable
costs are less than the approved budget, the Federal
share of this award will be limited to the percentage
of the total allowable costs not to exceed the total
Federal dollar amount reflected on the award document
(CD -450 or CD -451).
Program Income (If applicable).
Program income earned during the project period shall be
retained by the Recipient and be used as indicated below.
Check the appropriate box below:
/X/ Added to funds committed to the project by this award
and be used to further eligible program objectives.
Used to finance the non - Federal share of the project.
Deducted from the total project costs for the purpose
of determining the net costs on which the Federal
share of costs will be based.
7. Post -Award Spending.
No obligation shall be created by the Recipient for any
purpose pertaining to the operation of the program or
activities for which the funds were awarded where the
obligation would require performance beyond the
expiration date stipulated in the award document. Funds
may only be expended beyond the expiration date (within
90 days of the closeout period) for activities such
as the preparation of final reports, and documents
directly associated with closeout of the award in
accordance with OMB Circulars A -110 or A -102, and for
obligations properly created prior to the expiration date
that may result in disbursement beyond the expiration but
within 90 days of the expiration date.
Verbal or written assurances of funding shall not
constitute authority to obligate funds for programmatic
activities beyond the expiration date. Funds shall not
be obligated unless or until an award document is
received by the Recipient from the Grants officer
authorizing such obligations.
8. Tax Refunds.
Refunds of FICA /FUTA taxes received by the Recipient
during or after this award period must be refunded or
credited to the Federal Government where the benefits
were financed by Federal funds under this award.
Recipient agrees to refund portions of FICA /FUTA taxes
determined to belong to the Federal Government, including
refunds received after the expiration of this award.
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IQ
Recipient agrees to initiate action to contact the Grants
Officer immediately upon receipt of refunds.
9. Debts.
AMIN Any debts determined to be owed the Federal Government
arising from the receipt of this financial assistance
award shall be paid promptly by the Recipient. If the
debt is not paid by the stated due date, the Recipient
(with the exception of State and local governments and
Indian tribal governments) shall be subject to late
payment charges imposed by the Federal government. These
late payment charges may take the form of one or more of
the following:
a) interest on the amount due applied and collected at a
percentage rate based on the "Current Value of Funds
to the Treasury";
b) a penalty charge on any portion of a debt that is
delinquent for more than 90 days;
c) an administrative charge to cover processing and
handling the amount due.
D. REPORTING REQUIREMENTS.
1. Financial Reports.
See Special Award Conditions.
The Financial Status Report (SF -269) shall be
submitted on a quarterly basis for the period ending
March 31, June 30, September 30, and December 31, or
any portion thereof. Reports are due no later than
30 days following the end of each reporting period.
A final SF -269 shall be submitted within 90 days
after the expiration date of the award.
The Federal Cash Transactions Report (SF -272) shall
be submitted for each award where funds are advanced
either by Treasury check or letter -of- credit. The
SF -272 is due:
a) within 15 days of the end of each calendar guar rter
for awards under $1 million dollars, or
b) within 15 days of the end of each month for awards
over $1 million dollars.
All financial reports shall be submitted in
triplicate (one original and two copies) to the
Grants Officer.
_7_ 10/87
2. Performance (Technical) Reports.
/X/ See Special Award Conditions.
The Performance Report shall be submitted in the same
frequency as the Financial Status Report (SF -269).
Information should be prepared in accordance with the
applicable OMB Circular.
All Performance Reports shall be submitted in
triplicate (one original and two copies) to the
Federal Program Officer.
3. Subcontracting Reports.
Recipients of awards which involve both Federal financial
assistance valued at $500,000 or more and procurement of
supplies, equipment, construction or-services shall be
required to submit the SF -334, "MBE /WBE Utilization Under
Federal Grants, Cooperative Agreements, and Other Federal
Financial Assistance". Reports shall be submitted on a
quarterly basis for the period ending March 31, June 30,
September 30, and December 31. Reports are due no later
than thirty (30) days following the end of the reporting
period during which any procurement in excess of $10,000
is executed under this award. The report should be
submitted in duplicate to the Grants Officer.
Any questions concerning this report should be directed
to the Federal Program Officer.
E. AUDIT.
1. General.
The Inspector General of the Department of Commerce, or
any of his or her duly authorized representatives, shall
have access to any pertinent books, documents, papers,
and records of the Recipient, whether written, printed,
recorded, produced or reproduced by any mechanical,
magnetic or other process or medium, in order to make
audits, inspections, excerpts, transcripts or other
examinations as authorized by law.
2. Requirements.
Under the Inspector General Act of 1978, as amended, 5
U.S.C. Aop. I, section 1 et sea., an audit of this award
may be conducted at any time. The Office of Inspector
General usually will make the arrangements to audit this
-8- 10/87
award, whether the audit is performed by Inspector
General personnel, an independent accountant under
contract with the Department, or any other Federal, State
or local audit entity.
For awards subject to the requirements of OMB Circular
A -102, the Recipient is subject to the audit requirements
found in the Single Audit Act of 1984, 31 U.S.C.
7501 -7507, as implemented by OMB Circular A -128 and
Department of Commerce regulations found at 15 C.F.R.
Part 8a. For all other awards where a special award
condition stipulates, the Recipient shall arrange for an
audit of the project funded by this award. The cost of
the audit is an allowable cost and is included as part of
the budget of this award.
3. Establishment and Collection of Audit - related Debts.
(The following sections do not apply to audits performed
under the Single Audit Act.)
a. An audit of this financial assistance award may
result in the disallowance of costs incurred by the
Recipient and the establishment o£ a debt (accounts
receivable) due the Department. For this reason, a
Recipient should take seriously its responsibility to
respond to all audit findings and recommendations
with adequate explanations and supporting evidence
whenever audit results are disputed and the Recipient
has the opportunity to comment.
b. A Recipient whose financial assistance award is
audited has the following opportunities to dispute
the proposed disallowance of costs and the
establishment of a debt:
(1) Unless the Inspector General determines
otherwise, the Recipient will be given 30 days
from the transmittal of the draft audit report in
which to submit written comments and documentary
evidence.
(2) The Recipient will be given 30 days from the
transmittal of the final audit report in which to
submit written comments and documentary evidence.
There will be no extension of this deadline.
Based on all of the evidence available at the
expiration of this time period, the Department
will make a decision on the actions it will take
as a result of the final audit report.
(3) The Department's decisions to disallow costs
under the financial asssistance award and to
establish a.debt (as well as its decisions on
nonfinancial issues) will be sent to the
Recipient in an Audit Resolution Determination
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letter. This letter will contain information on
the procedures to be followed by the Recipient to
appeal the Department's decisions. The Recipient
will be given 30 days from the transmittal of
this letter in which to pay any debt or to appeal
to the Department to reconsider its
Determination. This appeal will be addzessed to
the Inspector General and to the head of the
agency administering the financial assistance
award. There will be no extension of this
deadline. This appeal is the last opportunity
for the Recipient to submit to the Department
arguments and evidence that dispute the validity
of the audit - related debt.
(4) After the opportunity to appeal has expired, or
after the final decision on reconsideration has
been made, the Department will not accept any
submissions from the Recipient concerning its
dispute of the Department's decisions on the
settlement of costs under the financial
assistance award. If the debt is not paid, the
Department will undertake other collection action
but will not thereafter reconsider the legal
validity of the debt.
c. There are no other administrative appeals available
in the Department of Commerce concerning this
matter.
F. MISCELLANEOUS ITEMS.
1. Programmatic Changes.
All requests by the Recipient for programmatic changes
must be submitted to the Federal Program Officer who
shall review and make recommendations to the Grants
Officer. The Grants Officer shall make the final
determination and notify the Recipient in writing.
2. Name Check Requirement.
The Name Check requirement applies to non - profit and
for- prcfit organizations. Exempted from this requirement
are of--_cials of State and local governments and
officia_s of accredited colleges and un:.-ersities actin g
on beha_f of their respective entities in applying for
assistance.
The Department of Commerce reserves the right to take
action-
ction if as a result of the Name Check procedure either
subsequent to the award or acceptance of this offer of
assistance one of the following occurred:
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a) the Recipient failed to identify each officer and
each individual owning or controlling at least 20
percent of the enterprise, the chief financial
manager, the project manager, and any other person
who has authority to speak for and commit the
recipient in the management of the project;
b) the Recipient or any other person associated with
this assistance made an incorrect statement or
omitted a material fact on the Form CD -346,
"Identification - Applicant For funding Assistance ";
or
c) significant adverse findings resulted from the Name
Check investigation.
In the event of a finding the Department of Commerce
at its discretion may take one or more of the following
actions:
a) terminate the assistance immediately for cause;
b) require the removal from association with the
management of and /or implementation of the project
any person or persons, and if appropriate, to require
that the appropriate grants administration office be
afforded the right of final approval of any person or
persons to replace any individual removed as a result
of this condition prior to any further disbursals
associated with this assistance;
c) make appropriate provision or revisions at the
Department's discretion with respect to method of
payment and /or financial reporting requirements.
3. Prohibition Against Assignment.
Notwithstanding any other provision of this award, the
Recipient shall not transfer, pledge, mortgage, or
otherwise assign this .award, or any interest therein, or
any claim arising thereunder, to any party or parties,
bank trust companies, or other financing or financial
institutions.
4. Covenant Against Contingent Fees.
Unless otherwise specified in the Special Award
Conditions, the Recipient warrants that no person or
selling agency has been employed or retained to solicit
or secure this award upon an agreement or understanding
for a commission, percentage, brokerage, or contingent
i01^ -11- 10/87
fee, excepting bona fide employees, or bona fide
established commercial, or selling agencies maintained by
the Recipient for the purpose of securing business. For
breach or violation of the warrant, the Government shall
have the right to annul this award without liability or,
at its discretion, to deduct from the award sum, or
otherwise recover, the full amount of such commission,
percentage, brokerage, or contingent fee.
5. Officials Not To Benefit.
No member of or delegate to Congress or resident Federal
Commissioner shall be admitted to any share or part of
this award or to any benefit that may arise therefrom;
but this provision shall not be construed to extend to
this award if made to a corporation, education, or
non - profit institution for its general benefit.
6. Notification of Award For Similar Program.
The Recipient shall notify the Federal Program Officer
and the Grants Officer in the event that, subsequent to
this award, other Federal financial assistance is
received relative to the scope of work of this award.
7. Sub -grant and /or Contract to Other Federal Agencies.
The Recipient, or any subgrantee or subcontractor, shall
not sub -grant or sub - contract the approved project in
whole or in any part to any agency of the Department of
Commerce. The Recipient, or any subgrantee or
subcontractor, shall not sub -grant or sub - contract any
part of the approved project to any other Federal
department, agency or instrumentality, without the
advance written approval of the Grants Officer, the
Department's Office of General Counsel and the legal
office of the department, agency or instrumentality
receiving the sub - award.
B. Nondiscrimination clause.
In accordance with Section 504 of the Rehabilitation Act
of 1973, all recipients of Federal financial assistance
and all programs receiving or benefiting from such
assistance must provide fair and equitable treatment of
the handicapped. Recipients are required to comply with
the Department of Commerce regulation, 15 C.F.R. Part 8b,
implementing Section 504. This regulation protects the
richts of handicapped persons and establishes a mandate
to end discrimination.
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9. Property Management.
a. Non - expendable Personal Property.
The Grants Officer determines who retains title to
all non- expendable personal property of a unit
acquisition cost of $1,000 or more (for awards
subject to Circular A -110) or $5,000 or more (for
awards subject to Circular A -102). This award is
subject to the provision as indicated with a check in
the appropriate box below:
Title is vested with the Federal Government. The
Recipient must maintain an inventory listing of
all property financed with grant funds, including
matching /cost sharing funds. Upon project
conclusion, the listing must be submitted to the
Grants Officer.
/X/ Title is vested with the Recipient. The
Recipient is required to maintain the official
property inventory listing including
matching /cost sharing inventory.
b. Real Property (whether acquired partly or wholly with
Federal funds).
(1) Title to real property shall vest with the
Recipient subject to the condition that the
Recipient shall use the real property for the
authorized purpose of the project.
(2) When the Recipient determines the property is no
longer needed for the purpose of the original
project, the recipient shall obtain prior
approval from the Grants Officer for the use of
real property in other projects. Use in other
projects shall be limited to those under other
federally funded projects or projects that have
purposes consistent with those authorized for
support by the organization unit.
(3) When property is no longer required as provided
in (1) or (2) above, the Grants Officer
determines final disposition which may include
one of the following:
The Recipient will be permitted to retain title
after it compensates the Federal Government in an
amount computed by applying the Federal
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percentage of participation in the cost of the
original project to the fair market value of the
property.
The Recipient will sell the property and pay the
Federal Government an amount computed by applying
the Federal percentage of participation in the
cost of the original project to the proceeds from
sale (after deducting actual and reasonable
selling and fix up expenses, if any,
sales proceeds). Proper sales procedures will be
established that provide for competition to the
extent practicable and result in the highest
possible return.
The Recipient will transfer title to the property
to the Federal Government provided that in such
cases the recipient shall applying to
compensation computed by the
percentage of participation in the cost of the
project to the current fair market value of the
property.
10. Executive Order 12432, "Minority Business
Enterprise ".
In support of the above referenced Executive Order
signed by President Reagan on July 14, 1983, the
Department of Commerce encourages all Recipients to
utilize minority firms and enterprises in contracts
under grants and cooperative agreements. The Office
Of Program Development, Minority Business
Development Agency, will assist Recipients in
matching qualified minority enterprises with
contract opportunities. For further information
contact:
U.S. Department of Commerce
Minority Business Development Agency
Office of Program Development
Herbert C. Hoover Building
14th Street and Constitution Avenue, N.W.
Washington, D.C. 20230
11. Internal Revenue Service (IRS) Information.
A Recipient classified for tax purposes as an
individual, partnership, proprietorship, or medical
corporation is required to submit a taxpayer
identification number (TIN) (either social security
number or employer identification number as
applicable) on Form W -9, "Payer's Request for
Taxpayer Identification Number ". Tax - exempt
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organizations and corporations (with the exception
of medical corporations) are excluded from this
requirement. The Recipient should submit the form
to the Grants Officer.
The Department provides the Recipient's TIN to the
IRS on Form 1099 -G, "Statement for Recipients of
Certain Government Payments. Applicable Recipients
who either fail to provide their taxpayer
identification number or provide an incorrect number
may not be eligible for funding or have funding
suspended until the requirement is met.
PRIVACY ACT STATEMENT
Mandatory Disclosure, Authority, Purpose,
and Uses.
Disclosure of your social security number or
employer identification number is mandatory
for Federal income tax reporting purposes
under the authority of 26 U.S.C., Section
6011 and 6109(d), and 26 CFR, Section
301.6109 -1. This is to ensure the accuracy
of income computation by the Internal
Revenue Service. This information will be
used to identify an individual who is
compensated by funds of the Department of
Commerce or paid interest under the Prompt
Payment Act. A Recipient who either fails
to provide the taxpayer identification
number or provides an incorrect number may
not be eligible for funding or have funding
suspended until the requirement is met.
This information is being provided to the
Internal Revenue Service on Form 1099.
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ECONOMIC DEVELOPMENT ADMINISTRATION
STANDARD TERMS AND CONDITIONS
Nonconstruction Programs
For awards of nonconstruction programs under Title III, and the
Economic Adjustment Strategy grant program of Title IX, of the Public
Works and Economic Development Act of 1965, as amended (Act)
A. Statutory and Executive Order Requirements
Some of the terms and conditions herein contain, by reference or
substance, a summary of the pertinent statutes or of regulations
published in the Code of Federal Regulations (CFR). To the extent
that it is a summary, such term or condition is not in derogation of,
or an amendment to, the regulation issued by a Federal agency. All
statutes or regulations whether or not referenced herein are to be
applied as amended'on the date they are administered.
1. The Recipient shall comply, and require any contractors or
subcontractors to comply, with all the terms and conditions
of the Act under which this award is made, the regulations
issued pursuant thereto, such directives and instructions as
may be issued from time to time by EDA in connection with the
assistance herein offered, and with all other Federal, state,
and local laws applicable to its undertaking and activities.
2. The Recipient shall comply with P.L. 92 -E5, section 112
prohibiting sex discrimination on programs under Public Works
and Economic Development Act; 13 CFR Part 311 imposing civil
rights requirements on recipients; and such other civil rights
legislation as is applicable;
a. EN\'IRON'!ENTAL CONSIDERATIONS: The Recipient will in
accordance with the National Environmental Policy Act of 1969,
as amended (P.L. 91 -190), develop and implement as part of its
planning process a mechanism which considers and analyzes the
existing environment of the planning area and the potential
environmental impacts on this environment from the alternative
planning strategies under consideration. Furthermore, in
selection of the best alternative strategy for implementation,
the environmental impact analyses will be utilized as a factor
for consideration in this selection process by taking into
account all applicable Federal, state, territorial and local
laws, and particular, but not limited to the following, laws,
regulations and Executive Orders:
a. The Clean Air Act, as amended (42 U.S.C. 7401, et sea.);
b. The Federal Eater Pollution Control Act, as amended
(33 U.S.C. 1251, et seg.);
N
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c. The Coastal Zone Management Act of 1972, as amended
(16 U.S.C. 1451, et se g.);
d. The !rational Historic Preservation Act (16 U.S.C. 470,
et seg. ) ;
e. Executive Order 11988, Floodplain Management (May 24,
1977);
f. Executive Order 11990, Protection of Wetlands (May 24,
1977);
g. The Endangered Species Act, as amended (16 U.S.C. 1531,
et se q.); and
h. The Historical and Archeological Data Preservation Act, as
amended (16 U.S.C. 469a, et se .).
i. The Safe Drinking Water Act of 1972, as amended
(42 U.S.C. 300f -j9);
i. The Wild and Scenic Rivers Act as amended (16 U.S.C. 1271,
et se .);
k. The Flood Disaster Protection Act of 1973, as amended
(42 U.S.C. 4002, et se q.);
1. the Resource Conservation and Recovery Act of 1976, as
amended (42 U.S.C. 6901); and
m. The Comprehensive Environmental Response, Compensation,
and Liability Act of 1980, as amended (42 U.S.C. 9601,
et se q.).
4. HATCH ACT: Recipient gill comply with the provisions of the
Hatch Act (5 U.S.C. section 1501 -1508 and 7324 -7328) which
limit the political activities of employees whose principal
employment is funded in whole or in part with Federal funds.
If doubt exists in particular cases, the Recipient should
contact the U.S. Office of Special Counsel, Merit Sy
Protection Board, Washington, D.C. for guidance.
S. Recipient will comply with Executive Order 12372, 14, 1982).
Intergovernmental Review of Federal Programs (July
6. PATENT POLICY: The policy and procedures set forth in the DOC
regulations (37 CFR 401), "Rights To Inventions Made by
Nonprofit Organizations and Small Business Firms Under
Government Grants, Contracts, and Cooperative Agreements,
1067, in the Federal Rehr on March 18, 1- shall
apply to all away agreements made for which the purpose is
experimental, developmental or research work.
-3-
B. General Requirements
1. PERSONNEL LIMITS AND APPROVALS: Unless explicitly authorized
by EDA, the Recipient shall limit both the number of its
employees and the funds spent therefor to the number of its
employees and amounts set forth in the budget. This
limitation shall not apply to additional employees not in any
way compensated from Federal -state funds or recipient
contributions made available under this award.
a. Prior to hiring any employees who shall be paid with hawed
funds, the Recipient must submit a staffing plan and
it approved by the Federal Program Officer (FPO). The
staffing plan shall indicate (1) the salary level, (2) the
performed, (3) knowledge, abilities,
nature of work to be
and experience
and skills required, and (4) education
required for each position. Any substanti�}e changes in
the approved staffing plan must be resubmitted for
approval bN the FPO. Any increases in individual salar;
levels which equal 10 percent or more must have prior
approval of the FPO.
? USE OF CONSULTANTS /COATRACTORS: For all proposals and
the
contracts where costs are expected to exceed $10,000,
scope of work (request for proposal) and the cost of such must
be submitted to am approved by ED% prior to employment of
Recipient will ensure
such consultants or contrraid from fundsprovidedunder
any consultant or contractor p
this award is bound by all applicable award terms and
conditions. EDA shall not be liable hereunder to a third
party or to any party other than the Recipient.
3. PROGRAM; PERFORMANCE: The Recipient shall inform EDA as soon
as the following types of conditions become known:
a. Problems, delays, or adverse conditions which materially
prevent
affect the ability- to attain program objectives, preven
the meeting of time schedules or goals, or
attainment of project work units by established time
periods. This disclosure shall be accompanied by a
statement of the action taken, or contemplated, and any
EDA assistance needed to resolve the situation.
b. Favorable developments or events which enable meeting time
schedules and goals sooner than anticipated or producing
more work units than originally projected.
4. DUPLICATION OF WORK: The purpose and scope of work for which
this award is made shall not duplicate programs for which
monies have been received, committed, or applied for from
other sources, public or private. The Recipient shall submit
full information about related programs that may be initiated
within the award period.
-4-
S. WORK STARTED OR COMPLETED: No funds provided under this award
shall be used to pay for cost of any work started or completed
prior to the effective date of this award.
6. OTHER FUNDING SOURCES: Federal -share funds budgeted or
awarded for this program shall not be used to replace any
financial support previously provided or assured from any
other source. The Recipient agrees that the general level of
expenditure by the Recipient for the benefit of program area
and /or program designated in the Special Terms and Conditions
of this award, or any amendment or modification thereto, shall
be maintained and not reduced as a result of the Federal -share
funds received under this program.
7. REIMBURSEMENT FOR TRAVEL: Use of award funds for travel,
which is determined as being necessary to the program for
which the award is established, may be subject to the travel
policies of the Recipient in situations if they are uniformly
applied regardless of source of funds in determining recipient
amounts and types of reimbursable
staff and consultants. When the recipient institution does
not have such specific policies uniformly applied, the
U.S. Standard Governmental Travel Regulations shall apply in
determining the amount charged to the award.
a. Any travel by the Recipient confined to the EDA region(s)
within which that Recipient is operating and /or to
Washington, D.C. for purposes related to the award
program, does not need prior approval, as long as budgeted
travel funding levels are not exceeded. All other travel
not in an approved work schedule plan must have prior
approval of the FPO.
8. RECIPIENT CONTRIBUTIONS: When the Recipient shall have
claimed credit for contributions -in -kind to the total cost of
allowable expenses, the evaluation of such Contributions -
in -kind shall be subject to reevaluation by EDA at any time,
and any deficiency so determined by EDA shall be compensated
by supplemental contributions by the Recipient as a condition
for further disbursements by EDA.
9. AVAILABILITY OF INFORMATION: The Recipient agrees that all
nonconfidential information resulting from its activities
shall be made freely available to the general public on an
equal basis.
10. BONDING AND PAYMENT OF FUNDS: Prior to payment of funds
hereunder, the Recipient shall inform the FPO as to what
provision they have for fidelity bond coverage of persons
authorized to' handle funds under this award. This is to
assure the FPO that the Government's interest is protected.
11. COPYRIGHTS: Recipient shall relinquish any and all copyrights
and /or privileges to the materials developed under this award,
such material being the sole property of the Federal
Government.
a. The FPO, subject to approval by the Chief Counsel and the
Deputy Assistant Secretary or a designee, may waive
above copyright prohibition, but only under exceptional
circumstances. If assertion of copyright by the Recipient
is permitted by EDA, then EDA shall be given a
royalty -free, nonexclusive, and irrevocable license to
reproduce, publish, translate, and dispose of'such work,
and to authorize others to so use the work.
b. The Recipient shall forward five (5) copies of any
published material to the FPO within two (2) months of the
date of publication.
C. The Receipient shall advise the FPO, at the time of
delivering any copyrighted or copyrightable work furnished
under this award, of any adversely held copyrighted or
copyrightable material incorporated in any such work and
of any invasion of the right of privacy therein contained.
d. In no event shall the Recipient publish any report(s) or
other materials, in whole or in part, specifically
required to be submitted to the Federal Government under
the terms of this award, without the expressed authority
of the FPO. Except as otherwise authorized in writing by
the FPO, publication of said report(s) or such other
materials, in whole or in part, shall not be made sooner
than sixty (60) days after report(s) or other materials
have been accepted in final form by the Federal Government.
e. Publication and reproduction, as authorized above, of all
or part of the final report, or publication of other
articles or papers that reference the final report, shall
be accomplished with the following statement appearing on
the title page:
This publication was prepared by [Recipient]
The statements, findings, conclusions, ano
recommendations are those of the author[sl
and do not necessarily reflect the views of
the Economic Development Administration.
f. Except as otherwise authorized in writing by the FPO, the
Recipient shall insert in each subcontract or subgrant
involving work to be performed under the financial
assistance document, provisions making this coryriaht
paragraph applicable to the subcontractor and /or
subgrantee and /or izs employees.
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12. For awards subject to OMB Circular A -110, the Recipient agrees
to the revision of that circular which was published in the
Federal Register on February 10, 1987, requiring recipients of
Federal financial assistance to maintain erestnearned onderdl i
funds in interest bearing accoun
Federal advances deposited in such accounts (with the
exception of $100 per year which may be retained for
administrative expenses) shall be remitted promptly, but no
less frequently than quarterly. All checks submitted should
be made out the the Economic Development Administration ollowed
should identify on their face the EDA project number
by the work INTEREST in order to identify the check in
question as remittance of interest income. The checks
should be mailed to:
ECONOMIC DEVELOPMENT ADMINISTRATION
P. 0. BOX 100202
ATLANTA, GEORGIA 30384
13. The Recipient hereby agrees that the Government may, at its
option, withhold disbursement of any award funds if the
Government learns, or has knowledge, that the Recipient has
failed to comply in any manner with any provision of the
award. The Government will withhold funds until the violation
or violations have been corrected to the Government's
satisfaction. The Recipient further agrees to reimburse the
Government for any ineligible costs which were paid from award
funds, or-if the Recipient fails to reimburse the Government,
the Government shall have the right to offset the amount o£
such ineligible costs from any undisbursed funds held by the
Government. The Recipient agrees to repay the Government for
all ineligible costs incurred in connection with the project
and paid from the award including, but not limited to, tnose-
costs determined to be ineligible if the Government learns o=
any violations after all funds have been disbursed.
14. The Grantee hereby agrees that no funds rude available from
directly or indirectly, for paying
this grant shall. be used,
attorneys' or consultants' fees in connection with securing
this grant or other grants or cooveretivedagreementnafrom
EDA. For example, funds could not b
attorneys' or consultants' to prepare the application for this
or other EDA assistance. However, attorneys' or consultants`
fees incurred for meeting grant reauirements may be eligible
project costs and may a pair out of unas rude available from
this grant, provided such costs are otherwise eligible.
3/1988
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