Exhibit F - Grant Federal Provisions.docx
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- Attached to
- FY26 MIECHV RFP Solicitation
- Solicitation number
- RFP QAAA 2027000003 1
- Issued by
- Arapahoe County, Colorado
About this file
This document is a Grant Federal Provisions exhibit issued by the State of Colorado that outlines compliance requirements for subrecipients of federally funded grants. The exhibit establishes the regulatory framework governing federal awards, incorporating provisions from the Office of Management and Budget (OMB) Uniform Guidance, the Federal Funding Accountability and Transparency Act of 2006, and applicable federal laws. The provisions apply to awards of $30,000 or more and flow down to all subrecipients and subcontractors involved in the federally funded project. Key compliance areas include registration and maintenance of information in the System for Award Management (SAM), reporting of executive compensation data, adherence to federal procurement standards emphasizing domestic preference for American-made goods, and compliance with restrictions on certain telecommunications equipment and services.
Subrecipients must obtain a Unique Entity ID (UEI) and maintain current information in SAM at least annually, with more frequent updates required for any material changes. Organizations receiving $30,000 or more in federal funding must report their five most highly compensated executives' total compensation to SAM if they meet specific revenue thresholds from federal sources. Subrecipients expending $1,000,000 or more in federal awards during their fiscal year are required to undergo a single or program-specific audit in accordance with Uniform Guidance standards. The State of Colorado reserves the right to terminate the grant upon 30 days' written notice if the subrecipient fails to cure any default within five calendar days following the notice period. Subrecipients with gross income under $300,000 in the previous tax year are exempt from subaward and executive compensation reporting requirements, and all employees must be informed in writing of whistleblower protections under federal law.
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Exhibit ??
| Grant Federal Provisions | Comment by Salazar, Gina: Drafter’s Note: These Federal Provisions for Grants are not intended for use with SLFRF funds. There is a separate Exhibit available when the funding source is SLFRF. Please reach out to the Grants Team for more information. |
| 1. | Applicability of Provisions. |
| 1.1. | The Grant to which these Federal Provisions are attached has been funded, in whole or in part, with an Award of Federal funds. In the event of a conflict between the provisions of these Federal Provisions, the Special Provisions, the body of the Grant, or any attachments or exhibits incorporated into and made a part of the Grant, the provisions of these Federal Provisions shall control. |
These Federal Provisions are subject to the Award as defined in §2 of these Federal Provisions, as may be revised pursuant to ongoing guidance from the relevant Federal or State of Colorado agency or institutions of higher education.
| 2. | Definitions. |
| 2.1. | For the purposes of these Federal Provisions, the following terms shall have the meanings ascribed to them below. For a full list of definitions (as of October 1, 2024) under the Uniform Guidance, see 2 CFR 200.1. |
| 2.1.1. | “Award” means an award of Federal financial assistance, and the Grant setting forth the terms and conditions of that financial assistance, that a non-Federal Entity receives or administers. |
| 2.1.2. | “Entity” means: |
| 2.1.2.1. | a non-federal entity; |
| 2.1.2.2. | a non-profit organization or for profit organization; |
| 2.1.3. | “Executive” means an officer, managing partner or any other employee in a management position. |
| 2.1.4. | “Federal Awarding Agency” means a Federal agency providing a Federal Award to a Recipient as described in 2 CFR 200.1 |
| 2.1.5. | “Grant” means the Grant to which these Federal Provisions are attached. |
| 2.1.6. | “Grantee” means the party or parties identified as such in the Grant to which these Federal Provisions are attached. Grantee also means Subrecipient. |
| 2.1.7. | “Non-Federal Entity” means a State, local government, Indian tribe, institution of higher education, or nonprofit organization that carries out a Federal Award as a Recipient or a Subrecipient. |
| 2.1.8. | “Nonprofit Organization” organization, that: |
| 2.1.8.1. | Is operated primarily for scientific, educational, service, charitable, or similar purposes in the public interest; |
| 2.1.8.2. | Is not organized primarily for profit; and |
| 2.1.8.3. | Uses net proceeds to maintain, improve, or expand the organization’s operations; and |
| 2.1.8.4. | Is not an IHE. |
| 2.1.9. | “OMB” means the Executive Office of the President, Office of Management and Budget. |
| 2.1.10. | “Pass-through Entity” means a recipient or subrecipient that provides a Subaward to a Subrecipient (including lower tier subrecipients) to carry out part of a Federal program. The authority of the pass-through entity under this part flows through the Subaward agreements between the pass-through entity and subrecipient. |
| 2.1.11. | “Recipient” means the Colorado State agency or institution of higher education identified as the Grantor in the Grant to which these Federal Provisions are attached. |
| 2.1.12. | “Subaward” means an award provided by a pass-through entity to a Subrecipient to contribute to the goals and objectives of the project by carrying out part of a Federal award received by the pass-through entity. The term does not include payments to a contractor, beneficiary or participant. |
| 2.1.13. | “Subrecipient” means an entity that receives a subaward from a pass-through entity to carry out part of a Federal award. The term subrecipient does not include a beneficiary or participant. A subrecipient may also be a recipient of other Federal awards directly from a Federal agency. Subrecipient also means Grantee. |
| 2.1.14. | “System for Award Management (SAM)” means the Federal repository into which an Entity must enter the information required under the Transparency Act, which may be found at http://www.sam.gov. |
| 2.1.15. | “Total Compensation” means the cash and noncash dollar value an Executive earns during the entity’s preceding fiscal year. This includes all items of compensation as prescribed in 17 CFR 229.402(c)(2). |
| 2.1.16. | “Transparency Act” means the Federal Funding Accountability and Transparency Act of 2006 (Public Law 109-282), as amended by §6202 of Public Law 110-252. |
| 2.1.17. | “Unique Entity ID” (UEI) is the universal identifier for federal financial assistance applicants, as well as recipients and their direct subrecipients (first tier subrecipients). |
| 2.1.18. | “Uniform Guidance” means the Office of Management and Budget Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. The terms and conditions of the Uniform Guidance flow down to Awards to Subrecipients unless the Uniform Guidance or the terms and conditions of the Federal Award specifically indicate otherwise. |
| 3. | Compliance. |
| 3.1. | Subrecipient shall comply with all applicable provisions of the Transparency Act and the regulations issued pursuant thereto, all applicable provisions of the Uniform Guidance, and all applicable Federal Laws and regulations required by this Federal Award. Any revisions to such provisions or regulations shall automatically become a part of these Federal Provisions, without the necessity of either party executing any further instrument. The State of Colorado, at its discretion, may provide written notification to Subrecipient of such revisions, but such notice shall not be a condition precedent to the effectiveness of such revisions. |
| 4. | System for Award Management (SAM) and Unique Entity ID Requirements. |
| 4.1. | SAM. Subrecipient must obtain a UEI but are not required to fully register in Sam.gov. Subrecipient shall maintain the currency of its information in SAM until the Subrecipient submits the final financial report required under the Award or receives final payment, whichever is later. Subrecipient shall review and update SAM information at least annually after the initial registration, and more frequently if required by changes in its information. |
| 4.2. | Unique Entity ID. Subrecipient shall provide its Unique Entity ID to its Recipient, and shall update Subrecipient’s information at http://www.sam.gov at least annually after the initial registration, and more frequently if required by changes in Subrecipient’s information. |
| 5. | Total Compensation. |
| 5.1. | Subrecipient shall include Total Compensation in SAM for each of its five most highly compensated Executives for the preceding fiscal year if: |
| 5.1.1. | The total Federal funding authorized to date under the Award is $30,000 or more; and |
| 5.1.2. | In the preceding fiscal year, Subrecipient received: |
| 5.1.2.1. | 80% or more of its annual gross revenues from Federal procurement contracts and subcontracts and/or Federal financial assistance Awards or Subawards subject to the Transparency Act; and |
| 5.1.2.2. | $25,000,000 or more in annual gross revenues from Federal procurement contracts and subcontracts and/or Federal financial assistance Awards or Subawards subject to the Transparency Act; and |
| 5.1.2.3. | The public does not have access to information about the compensation of such Executives through periodic reports filed under section 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. |
| 6. | Reporting. |
| 6.1. | Pursuant to the Transparency Act, Subrecipient shall report data elements to SAM and to the Recipient as required in this Exhibit. No direct payment shall be made to Subrecipient for providing any reports required under these Federal Provisions and the cost of producing such reports shall be included in the Grant price. The reporting requirements in this Exhibit are based on guidance from the OMB, and as such are subject to change at any time by OMB. Any such changes shall be automatically incorporated into this Grant and shall become part of Subrecipient’s obligations under this Grant. |
| 7. | Effective Date and Dollar Threshold for Reporting. |
| 7.1. | Reporting requirements in §8 below apply to new Awards as of October 1, 2010, if the initial award is $30,000 or more. If the initial Award is below $30,000 but subsequent Award modifications result in a total Award of $30,000 or more, the Award is subject to the reporting requirements as of the date the Award exceeds $30,000. If the initial Award is $30,000 or more, but funding is subsequently de-obligated such that the total award amount falls below $30,000, the Award shall continue to be subject to the reporting requirements. |
| 7.2. | The procurement standards in §9 below are applicable to new Awards made by Recipient as of December 26, 2015. The standards set forth in §11 below are applicable to audits of fiscal years beginning on or after December 26, 2014. |
| 8. | Subrecipient Reporting Requirements. |
| 8.1. | Subrecipient shall report as set forth below. |
| 8.1.1. | To SAM. A Subrecipient shall report the following data elements in SAM for each Federal Award Identification Number (FAIN) assigned by a Federal agency to a Recipient no later than the end of the month following the month in which the Subaward was made: |
| 8.1.1.1. | Subrecipient Unique Entity ID; |
| 8.1.1.2. | Subrecipient Unique Entity ID if more than one electronic funds transfer (EFT) account; |
| 8.1.1.3. | Subrecipient parent’s organization Unique Entity ID; |
| 8.1.1.4. | Subrecipient’s address, including: Street Address, City, State, Country, Zip + 4, and Congressional District; |
| 8.1.1.5. | Subrecipient’s top 5 most highly compensated Executives if the criteria in §4 above are met; and Subrecipient’s Total Compensation of top 5 most highly compensated Executives if the criteria in §4 above met. |
| 8.1.2. | To Recipient. A Subrecipient shall report to its Recipient, upon the effective date of the Grant, the following data elements: |
| 8.1.2.1. | Subrecipient’s Unique Entity ID as registered in SAM. |
| 9. | Primary Place of Performance Information, including: Street Address, City, State, Country, Zip code + 4, and Congressional District. Procurement Standards. |
| 9.1. | Procurement Procedures. A Subrecipient shall use its own documented procurement procedures which reflect applicable State, local, and Tribal laws and applicable regulations, provided that the procurements conform to applicable Federal law and the standards identified in the Uniform Guidance, including without limitation, 2 CFR 200.318 through 200.327 thereof. |
| 9.2. | Domestic preference for procurements (2 CFR 200.322). As appropriate and to the extent consistent with law, the non-Federal entity should, to the greatest extent practicable under a Federal award, provide a preference for the purchase, acquisition, or use of goods, products, or materials produced in the United States (including but not limited to iron, aluminum, steel, cement, and other manufactured products). The requirements of this section must be included in all subawards including all contracts and purchase orders for work or products under this award. |
| 9.3. | Procurement of Recovered Materials. If a Subrecipient is a State Agency or an agency of a political subdivision of the State, its contractors 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 CFR 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 during 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. |
| 9.4. | Never contract with the enemy (2 CFR 200.215). Federal awarding agencies and recipients are subject to the regulations implementing “Never contract with the enemy” in 2 CFR part 183. The regulations in 2 CFR part 183 affect covered contracts, grants and cooperative agreements that are expected to exceed $50,000 during the period of performance, are performed outside the United States and its territories, and are in support of a contingency operation in which members of the Armed Forces are actively engaged in hostilities. |
| 9.5. | Prohibition on certain telecommunications and video surveillance equipment or services (2 CFR 200.216). Subrecipient is prohibited from obligating or expending loan or grant funds on certain telecommunications and video surveillance services or equipment pursuant to 2 CFR 200.216. |
| 10. | Access to Records. |
| 10.1. | A Subrecipient shall permit Recipient and its auditors to have access to Subrecipient’s records and financial statements as necessary for Recipient to meet the requirements of 2 CFR 200.332 (Requirements for pass-through entities), 2 CFR 200.300 (Statutory and national policy requirements) through 2 CFR 200.309 (Modification to period of performance), 2 CFR 200.337 (Access to Records) and Subpart F-Audit Requirements of the Uniform Guidance. |
| 10.2. | A Subrecipient must collect, transmit, and store information related to this Subaward in open and machine-readable formats (2 CFR 200.336). |
| 11. | Single Audit Requirements. |
| 11.1. | If a Subrecipient expends $1,000,000 or more in Federal Awards during the Subrecipient’s fiscal year, the Subrecipient shall procure or arrange for a single or program-specific audit conducted for that year in accordance with the provisions of Subpart F-Audit Requirements of the Uniform Guidance, issued pursuant to the Single Audit Act Amendments of 1996, (31 U.S.C. 7501-7507). 2 CFR 200.501. |
| 11.1.1. | Election. A Subrecipient shall have a single audit conducted in accordance with Uniform Guidance 2 CFR 200.514 (Scope of audit), except when it elects to have a program-specific audit conducted in accordance with 2 CFR 200.507 (Program-specific audits). The Subrecipient may elect to have a program-specific audit if Subrecipient expends Federal Awards under only one Federal program (excluding research and development) and the Federal program’s statutes, regulations, or the terms and conditions of the Federal award do not require a financial statement audit of Recipient. A program-specific audit may not be elected for research and development unless all of the Federal Awards expended were received from Recipient and Recipient approves in advance a program-specific audit. |
| 11.1.2. | Exemption. If a Subrecipient expends less than $1,000,000 in Federal Awards during its fiscal year, the Subrecipient shall be exempt from Federal audit requirements for that year, except as noted in 2 CFR 200.503 (Relation to other audit requirements), but records shall be available for review or audit by appropriate officials of the Federal agency, the State, and the Government Accountability Office. |
| 11.1.3. | Subrecipient Compliance Responsibility. A Subrecipient shall procure or otherwise arrange for the audit required by Subpart F of the Uniform Guidance and ensure it is properly performed and submitted when due in accordance with the Uniform Guidance. Subrecipient shall prepare appropriate financial statements, including the schedule of expenditures of Federal awards in accordance with 2 CFR 200.510 (Financial statements) and provide the auditor with access to personnel, accounts, books, records, supporting documentation, and other information as needed for the auditor to perform the audit required by Uniform Guidance Subpart F-Audit Requirements. |
| 12. | Required Provisions for Subrecipient with Subcontractors. |
| 12.1. | In addition to other provisions required by the Federal Awarding Agency or the Recipient, Subrecipients shall include all of the following applicable provisions; |
| 12.1.1. | For agreements with Subrecipients – Include the terms in the Grant Federal Provisions Exhibit (this exhibit) |
| 12.1.2. | For contracts with Subcontractors – Include the terms in the Contract Federal Provisions Exhibit. |
| 13. | Certifications. |
| 13.1. | Unless prohibited by Federal statutes or regulations, Recipient may require Subrecipient to submit certifications and representations required by Federal statutes or regulations on an annual basis. 2 CFR 200.415. Submission may be required more frequently if Subrecipient fails to meet a requirement of the Federal award. Subrecipient shall certify in writing to the State at the end of the Award that the project or activity was completed or the level of effort was expended. If the required level of activity or effort was not carried out, the amount of the Award must be adjusted. |
| 14. | Exemptions. |
| 14.1. | These Federal Provisions do not apply to an individual who receives an Award as a natural person, unrelated to any business or non-profit organization he or she may own or operate in his or her name. |
| 14.2. | A Subrecipient with gross income from all sources of less than $300,000 in the previous tax year is exempt from the requirements to report Subawards and the Total Compensation of its most highly compensated Executives. |
| 15. | Event of Default and Termination. |
| 15.1. | Failure to comply with these Federal Provisions shall constitute an event of default under the Grant and the State of Colorado may terminate the Grant upon 30 days prior written notice if the default remains uncured five calendar days following the termination of the 30-day notice period. This remedy will be in addition to any other remedy available to the State of Colorado under the Grant, at law or in equity. |
| 15.2. | Termination (2 CFR 200.340). The Federal Award may be terminated in whole or in part as follows: |
| 15.2.1. | By the Federal Awarding Agency or Pass-through Entity, if a Non-Federal Entity fails to comply with the terms and conditions of a Federal Award; |
| 15.2.2. | By the Federal awarding agency or Pass-through Entity with the consent of the Non-Federal Entity, in which case the two parties must agree upon the termination conditions, including the effective date and, in the case of partial termination, the portion to be terminated; |
| 15.2.3. | By the Non-Federal Entity upon sending to the Federal Awarding Agency or Pass-through Entity written notification setting forth the reasons for such termination, the effective date, and, in the case of partial termination, the portion to be terminated. However, if the Federal Awarding Agency or Pass-through Entity determines in the case of partial termination that the reduced or modified portion of the Federal Award or Subaward will not accomplish the purposes for which the Federal Award was made, the Federal Awarding Agency or Pass-through Entity may terminate the Federal Award in its entirety; or |
| 15.2.4. | By the Federal Awarding Agency or Pass-through Entity pursuant to termination provisions included in the Federal Award |
| 16. | Additional Federal Requirements. |
| 16.1. | Whistle Blower Protections |
| 16.1.1. | An employee of a subrecipient must not be discharged, demoted, or otherwise discriminated against as a reprisal for disclosing to a person or body described in paragraph (a)(2) of 41 U.S.C. 4712 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. The subrecipient must inform their employees in writing of employee whistleblower rights and protections under 41 U.S.C. 4712. See statutory requirements for whistleblower protections at 10 U.S.C. 4701, 41 U.S.C. 4712, 41 U.S.C. 4304, and 10 U.S.C. 4310. |
| Grant Federal Provisions | Page 1 of 2 | Version 11.2024 |
| Ex_Fed Provisions_Grant_11-24A |
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