PKG00244746-instructions.docx

UNITED STATES DEPARTMENT OF THE INTERIOR

U.S. GEOLOGICAL SURVEY

Upper Mississippi River Restoration Long Term Resource Monitoring Element (UMRR LTRM) Cooperative Agreement Program

The Long Term Resource Monitoring Element (LTRM) was authorized under the Water Resources Development Act of 1986 (Public Law 99-662) as an element of the U.S. Army Corps of Engineers' Upper Mississippi River Restoration Program (UMRR). Original authorization provided for a 10-year Program starting in 1987; Section 405 of the Water Resources Development Act of 1990 (Public Law 101-640) extended the Program an additional 5 years; Section 509 of the Water Resources Act of 1999 (Public Law 106-53) extended the Program indefinitely.

PROGRAM ANNOUNCEMENT No. G19AS00007

For Fiscal Year 2019

ISSUE DATE: September 6, 2018

CLOSING DATE:

July 1, 2019 (new or changes in scope of work or total estimated cost) July 1, 2019 (other changes not involving change to scope of work or total estimated cost)

APPLICATIONS MUST BE SUBMITTED ELECTRONICALLY VIA THE GRANTS.GOV WEB SITE. COMPLETE DETAILS ARE PROVIDED UNDER PART III.

TABLE OF CONTENTS

i

USGS-LTRMP 2019 PROGRAM ANNOUNCEMENT NO. G19AS00007

PART I. Public Law and Program Priorities A. The Long Term Resource Monitoring (LTRM) Element Cooperative Agreement Program.

LTRM is the monitoring and research element of the UMRR Program, managed by the U.S. Geological Survey (USGS) and implemented by the five Upper Mississippi River System states (Illinois, Iowa, Minnesota, Missouri, and Wisconsin). Overall guidance, funding, and Program responsibility is provided by the U.S. Army Corps of Engineers (USACE). A directive outlining the mode of operation and the respective roles of each agency is embodied in a 1988 Memorandum of Agreement.

The authority to enter into a cooperative agreement is stipulated in the Water Resources Development Act of 1986. Congress recognized the Upper Mississippi River System (UMRS) as both a nationally significant ecosystem and a nationally significant commercial navigation system. The Upper Midwest Environmental Sciences Center (UMESC) is the USGS facility which administers the LTRM element of the U.S. Army Corps of Engineers’ Upper Mississippi River Restoration Program (UMRR). Five Upper Mississippi River System states which house six state-operated field stations provide data collection for water quality, sediment, fish, vegetation, and invertebrates, and land cover/use, and participate in numerous research projects. This work directly addresses the Secretarial Priority to “create a conservation stewardship legacy second only to Teddy Roosevelt” through the utilization of science to identify best practices to manage land and water resources and adapt to changes in the environment.

This program announcement, with its support of UMRR, contributes to science that will enhance and inform the implementation of the Habitat Restoration and Enhancement Project element (HREP) of the UMRR. The UMRR HREP provide substantial economic benefit to local and regional economies bordering the Mississippi River by increasing consumptive and nonconsumptive recreational opportunities. Research and information developed through this agreement will inform HREP planning, thereby indirectly supporting the Secretarial Priority ‘Generating additional revenues to support DOI & National Interests’ by providing the sound science on which local and regional managers depend.

B. LTRM mission

The mission of the LTRM Element is to provide decision makers with the information needed to maintain the Upper Mississippi River System as a viable multiple-use large river ecosystem. The long-term monitoring goals of the Program are to understand the system, determine resource trends and impacts, develop management alternatives, manage information, and develop useful products.

C. Cooperative Agreement coordination

All proposals must be coordinated with the Recipient’s Financial Department prior to submission, and will be required to be submitted electronically through grants.gov. Complete details are provided under Part III.

PART II. Timetables, Eligibility and Proposal Format Instructions A. Timetables The announcement shall open each year for new cooperative agreements and modifications to be submitted from October 1 through the due date stipulated by the USGS. For FY 2019, due dates are as follows:

July 1, 2019 (new or changes in scope of work or total estimated cost) July 1, 2019 (other changes not involving change to scope of work or total estimated cost) B. Eligibility – Who May Submit a Proposal

Only five state agencies (six field stations) listed below are eligible to apply as stipulated in the Water Resources Development Act of 1986 (Public Law 99-662)

a. Iowa – Department of Natural Resources – LTRM Iowa DNR Mississippi River Monitoring Station

b. Illinois – Illinois Natural History Survey through the University of Illinois,

c. Minnesota – Department of Natural Resources – LTRM Lake City Field Station

d. Missouri – Department of Conservation – LTRM Big Rivers and Wetlands Field Station

e. Wisconsin – Department of Natural Resources – LTRM La Crosse Field Station C. Proposal and Budget Content Instructions

All proposal text shall include the following:

· the types of data, samples, physical collections, software, curriculum materials, and other materials to be produced in the course of the project;

· the standards to be used for data and metadata format and content (where existing standards are absent or deemed inadequate, this should be documented along with any proposed solutions or remedies);

· policies for access and sharing including provisions for appropriate protection of privacy, confidentiality, security, intellectual property, or other rights or requirements;

· provisions for re-use, re-distribution, and the production of derivatives; and

· plans for archiving data, samples, and other research products, and for preservation of free public access to them.

Detailed Budget Breakdown - Please include the following:

PART III. Proposal Delivery/Submission Instructions and Deliverables A. Preparing and Submitting an application via Grants.gov – www.grants.gov.

Note: All proposals will be reviewed in advance by UMESC Long Term Resource Monitoring Element (LTRM) project manager prior to submission.

This section provides the application submission and receipt instructions for USGS program applications. Please read the following instructions carefully and completely.

1. Electronic Delivery USGS is participating in the Grants.gov initiative to provide the grant community with a single site to find and apply for grant funding opportunities. USGS requires applicants to submit their applications online through Grants.gov.

2. How to Register to Apply through Grants.gov

a. Instructions: Read the instructions below about registering to apply for USGS funds. Applicants should read the registration instructions carefully and prepare the information requested before beginning the registration process. Reviewing and assembling the required information before beginning the registration process will alleviate last-minute searches for required information.

The registration process can take up to four weeks to complete. Therefore, registration should be done in sufficient time to ensure it does not impact your ability to meet required application submission deadlines.

If individual applicants are eligible to apply for this grant funding opportunity, refer to:

https://www.grants.gov/web/grants/applicants/individual-registration.html Organization applicants can find complete instructions here:

https://www.grants.gov/web/grants/applicants/organization-registration.html

1) Obtain a DUNS Number: All entities applying for funding, including renewal funding, must have a Data Universal Numbering System (DUNS) number from Dun & Bradstreet (D&B). Applicants must enter the DUNS number in the data entry field labeled "Organizational DUNS" on the SF-424 form.

For more detailed instructions for obtaining a DUNS number, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-1-obtain-duns-number.html

2) Register with SAM: In addition to having a DUNS number, organizations applying online through Grants.gov must register with the System for Award Management (SAM). All organizations must register with SAM in order to apply online. Failure to register with SAM will prevent your organization from applying through Grants.gov.

For more detailed instructions for registering with SAM, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html

3) Create a Grants.gov Account: The next step in the registration process is to create an account with Grants.gov. Applicants must know their organization's DUNS number to complete this process. Completing this process automatically triggers an email request for applicant roles to the organization's E-Business Point of Contact (EBiz POC) for review. The EBiz POC is a representative from your organization who is the contact listed for SAM. To apply for grants on behalf of your organization, you will need the Authorized Organizational Representative (AOR) role.

For more detailed instructions about creating a profile on Grants.gov, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-3-username-password.html

4) Authorize Grants.gov Roles: After creating an account on Grants.gov, the EBiz POC receives an email notifying them of your registration and request for roles. The EBiz POC will then log in to Grants.gov and authorize the appropriate roles, which may include the AOR role, thereby giving you permission to complete and submit applications on behalf of the organization. You will be able to submit your application online anytime after you have been approved as an AOR.

For more detailed instructions about creating a profile on Grants.gov, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-4-aor-authorization.html

5) Track Role Status: To track your role request, refer to:

https://www.grants.gov/web/grants/applicants/organization-registration/step-5-track-aor-status.html

b. Electronic Signature: When applications are submitted through Grants.gov, the name of the organization's AOR that submitted the application is inserted into the signature line of the application, serving as the electronic signature. The EBiz POC must authorize individuals who are able to make legally binding commitments on behalf of the organization as an AOR; this step is often missed and it is crucial for valid and timely submissions.

3. How to Submit an Application to USGS via Grants.gov Grants.gov applicants can apply online using Workspace. Workspace is a shared, online environment where members of a grant team may simultaneously access and edit different webforms within an application. For each funding opportunity announcement (FOA), you can create individual instances of a workspace.

Below is an overview of applying on Grants.gov. For access to complete instructions on how to apply for opportunities, refer to:

https://www.grants.gov/web/grants/applicants/apply-for-grants.html

1) Create a Workspace: Creating a workspace allows you to complete it online and route it through your organization for review before submitting.

2) Complete a Workspace: Add participants to the workspace, complete all the required forms, and check for errors before submission.

a. Adobe Reader: If you decide not to apply by filling out webforms you can download individual PDF forms in Workspace so that they will appear similar to other Standard or [INSERT AGENCY NAME] forms. The individual PDF forms can be downloaded and saved to your local device storage, network drive(s), or external drives, then accessed through Adobe Reader.

NOTE: Visit the Adobe Software Compatibility page on Grants.gov to download the appropriate version of the software at: https://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html

b. Mandatory Fields in Forms: In the forms, you will note fields marked with an asterisk and a different background color. These fields are mandatory fields that must be completed to successfully submit your application.

c. Complete SF-424 Fields First: The forms are designed to fill in common required fields across other forms, such as the applicant name, address, and DUNS number. To trigger this feature, an applicant must complete the SF-424 information first. Once it is completed, the information will transfer to the other forms.

3) Submit a Workspace: An application may be submitted through workspace by clicking the Sign and Submit button on the Manage Workspace page, under the Forms tab. Grants.gov recommends submitting your application package at least 24-48 hours prior to the close date to provide you with time to correct any potential technical issues that may disrupt the application submission.

4) Track a Workspace: After successfully submitting a workspace package, a Grants.gov Tracking Number (GRANTXXXXXXXX) is automatically assigned to the package. The number will be listed on the Confirmation page that is generated after submission.

For additional training resources, including video tutorials, refer to: https://www.grants.gov/web/grants/applicants/applicant-training.html Applicant Support: Grants.gov provides applicants 24/7 support via the toll-free number 1-800-518-4726 and email at support@grants.gov. For questions related to the specific grant opportunity, contact the number listed in the application package of the grant you are applying for.

If you are experiencing difficulties with your submission, it is best to call the Grants.gov Support Center and get a ticket number. The Support Center ticket number will assist the USGS with tracking your issue and understanding background information on the issue.

4. Timely Receipt Requirements and Proof of Timely Submission

a. Online Submission. All applications must be received by 5 p.m. Eastern time on the due date established for each program. Proof of timely submission is automatically recorded by Grants.gov. An electronic date/time stamp is generated within the system when the application is successfully received by Grants.gov. The applicant AOR will receive an acknowledgement of receipt and a tracking number (GRANTXXXXXXXX) from Grants.gov with the successful transmission of their application. Applicant AORs will also receive the official date/time stamp and Grants.gov Tracking number in an email serving as proof of their timely submission.

When USGS successfully retrieves the application from Grants.gov, and acknowledges the download of submissions, Grants.gov will provide an electronic acknowledgment of receipt of the application to the email address of the applicant with the AOR role. Again, proof of timely submission shall be the official date and time that Grants.gov receives your application. Applications received by Grants.gov after the established due date for the program will be considered late and will not be considered for funding by USGS.

Applicants using slow internet, such as dial-up connections, should be aware that transmission can take some time before Grants.gov receives your application. Again, Grants.gov will provide either an error or a successfully received transmission in the form of an email sent to the applicant with the AOR role. The Grants.gov Support Center reports that some applicants end the transmission because they think that nothing is occurring during the transmission process. Please be patient and give the system time to process the application.

B. Award Administration Information Award recipients are responsible for managing the day-to-day operations of the agreement and supported activities to assure compliance with applicable Federal requirements, and that performance goals are being achieved. Recipient monitoring must cover each program, function or activity.

SPECIAL NOTE:

Pre-agreement costs are any costs that are incurred by a recipient prior to the effective date of the assistance award. The effective date of an award is the date it is signed by the Contracting Officer (CO).Requests for approval of anticipated pre-agreement costs will be sent to the designated Grant Specialist. The request must be received and approved by the USGS before the recipient incurs any costs. The request should include the following information:

Recipient name, Project title or other identifying information (including previous Agreement/Award Number, if applicable), Period of time to be covered by funds, Justification of need to begin incurring costs before the award is signed, Amount Requested, including a breakdown by category, and A statement that the recipient understands that they proceed at their own risk and that the Government will have no obligation or liability to reimburse these costs unless and until the contemplated award is made. Please note that pre-agreement costs, even when approved by the Contracting Officer, are incurred at the recipient’s risk. Awards are subject to the availability of funds and until obligation of the award, cannot be guaranteed.

C. Reports

The following reports will be required from all award recipients:

1. Progress Report

a) The Recipient shall submit two copies of each Progress Report to the USGS Project Officer and one copy of the transmittal letter to the USGS Contracting Officer. Unless otherwise specified in this Agreement, annual progress reports should be submitted no later than fifteen (30) days after the end of the current budget period to allow adequate time for the designated office to review the report. In the case of multi-year Agreements, failure to submit timely reports may delay processing of funding increments. For Agreements with a total anticipated performance period of twelve months (12) months or less, only a Final Technical Report will be required. A progress report is not required in the final budget year, unless the Recipient requests an extension to the project period.

b) The progress reports shall include the following information:

(i) A comparison of actual accomplishments to the objectives of the Agreement established for the budget period and overall progress in response to the performance metrics.

(ii) The reasons why established goals were not met, if appropriate.

(iii) Additional pertinent information including, when appropriate, analysis and explanation of cost overruns or high unit costs.

(iv) An outline of anticipated activities and adjustments to the program during the next budget period.

c) Between the required reporting dates, events may occur which have significant impact upon the project or program. In such cases, the Recipient shall inform the USGS as soon as the following types of conditions become known:

(i) Problems, delays, or adverse conditions which will materially impair the ability to meet the objective of the Agreement. This disclosure must include a statement of the action taken, or contemplated, and any assistance needed to resolve the situation.

(ii) Favorable developments which enable meeting time schedules and objectives sooner or at less cost than anticipated or producing more or different beneficial results than originally planned.

2 Final Technical Report

a) The Recipient shall submit two copies of the final technical report to the USGS Project Officer and one copy of the transmittal letter to the USGS Contracting Officer. The final performance report will be due 90 calendar days after the period of performance end date.

b) The final technical report shall document and summarize the results of Recipient’s work. The report shall include a quantitative description of activities and overall progress in response to the performance metrics which documents and summarizes the results of the entire Agreement. The final report shall include tables, graphs, diagrams, sketches, etc., as required to explain the results achieved under the Agreement. The report shall also include recommendations and conclusions based upon both the experience and the results obtained.

3 Annual Financial Reports

a) The Recipient will submit an annual SF 425, Federal Financial Report, for each individual USGS award. The SF 425 is available at https://www.grants.gov/web/grants/forms/post-award-reporting-forms. The SF 425 will be due in accordance with the following schedule. USGS acknowledges that this annual reporting schedule may not always correspond with a specific budget period.

End Date (year following start date) Annual Interim Report Due Date (90 days after report end date)

b) The SF 425 must be submitted electronically through the FedConnect Message Center (www.fedconnect.net) or, if FedConnect is not available, by e-mail to SF425@usgs.gov with a cc to the Contracting Officer. Recipient must include the USGS award number in the subject line of all correspondence. If, after 90 days, Recipient has not submitted a report, the Recipient’s account in ASAP will be placed in a manual review status until the report is submitted.

4 Final Financial Report

PART IV. General Provisions

A. Cost Principles, Audit, and Administrative Requirements

The Recipient shall be subject to the following regulations, which are incorporated herein by reference. Copies of these Circulars can be obtained from the Internet at: http://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title02/2cfr200_main_02.tpl

2 CFR Part 200, Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards, as implemented by the Department of the Interior in 2 CFR Part 1402 and 43 CFR Part 12.

B. Method of Payment Payments under financial assistance awards must be made using the Department of the Treasury Automated Standard Application for Payments (ASAP) system (www.asap.gov).

a. The Recipient will establish an account with ASAP. USGS will initiate enrollment in ASAP. If the Recipient does not currently have an ASAP account, they must designate an individual (name, title, address, phone and e-mail) who will serve as the Point of Contact (POC).

b. With the award of each cooperative agreement, a sub-account will be set up from which the Recipient may draw down funds. After recipients complete enrollment in ASAP and link their banking information to the USGS ALC (14080001), it may take 7-10 days for sub-accounts to be activated and for funds to be authorized for drawdown in ASAP.

c. Inquiries regarding payment should be directed to the Department of the Treasury’s Financial Management Service (FMS) Payment Management Call Center at 855-868-0151.

d. Payments may be drawn in advance only as needed to meet immediate cash disbursement needs.

C. Additional Regulations This award is subject to the following additional Governmentwide regulations:

· 2 CFR 180, Government wide Debarment and Suspension (Nonprocurement)

· 2 CFR 182, Government wide Requirements for Drug-Free Workplace (Financial Assistance) This award is subject to the following additional regulations of the U.S. Department of the Interior:

· 2 CFR Part 1400, Nonprocurement Debarment and Suspension

· 2 CFR Part 1401, Requirements for a Drug Free Workplace (Financial Assistance)

· 43 CFR Part 17, Nondiscrimination in Federally Assisted Programs of the Department of the Interior

· 43 CFR Part 18, New Restrictions on Lobbying

· Submission of an application also represents the applicant’s certification of the statements in 43 CFR Part 18, Appendix A, Certification Regarding Lobbying

· 43 CFR Part 41, Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance [Applies only if this award provides assistance to an education program or student(s)]

D. Additional Articles Required For Compliance with Statute Or Regulation

a) The Seat Belt Provision (Executive Order 13043) Recipients of grants/cooperative agreements and/or sub-awards are encouraged to adopt and enforce on-the-job seat belt use policies and programs for their employees when operating company owned, rented, or personally owned vehicles. These measures include, but are not limited to, conducting education, awareness, and other appropriate programs for their employees about the importance of wearing seatbelts and the consequences of not wearing them.

b) Federal Leadership on Reducing Text Messaging while Driving (Executive Order 13513) Recipients are encouraged to adopt and enforce policies that ban text messaging while driving, including conducting initiatives of the type described in section 3(a) of the order. (http://www.whitehouse.gov/the_press_office/Executive-Order-Federal-Leadership-on-Reducing-Text-Messaging-while-Driving/)

c) Use of U.S. Flag Air Carriers (49 USC Section 40118) Any air transportation to, from, between or within a country other than the U.S. of persons or property, the expense of which will be paid in whole or in part by U.S. Government funding, must be performed by, or under a code-sharing arrangement with, a U.S. flag air carrier if service provided by such a carrier is "available" (49 U.S.C. 40118, commonly referred to as the Fly America Act). Tickets (or documentation for electronic tickets) must identify the U.S. flag air carrier's designator code and flight number. See the Federal Travel Regulation §301-10.131 - §301-10.143 for definitions, exceptions, and documentation requirements. (See also Comp. Gen. Decision B-240956, dated September 25, 1991.)

d) Trafficking in Persons (2 CFR Part 175)

a. Provisions applicable to a recipient that is a private entity.

1. You as the recipient, your employees, subrecipients under this award, and subrecipients' employees may not—

i. Engage in severe forms of trafficking in persons during the period of time that the award is in effect;

ii. Procure a commercial sex act during the period of time that the award is in effect; or

iii. Use forced labor in the performance of the award or subawards under the award.

2. We as the Federal awarding agency may unilaterally terminate this award, without penalty, if you or a subrecipient that is a private entity —

i. Is determined to have violated a prohibition in paragraph a.1 of this award term; or

ii. Has an employee who is determined by the agency official authorized to terminate the award to have violated a prohibition in paragraph a.1 of this award term through conduct that is either— A. Associated with performance under this award; or B. Imputed to you or the subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR part 180, “OMB Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement),” as implemented by our agency at 2 CFR part 1400.

b. Provision applicable to a recipient other than a private entity.

We as the Federal awarding agency may unilaterally terminate this award, without penalty, if a subrecipient that is a private entity—

1. Is determined to have violated an applicable prohibition in paragraph a.1 of this award term; or

2. Has an employee who is determined by the agency official authorized to terminate the award to have violated an applicable prohibition in paragraph a.1 of this award term through conduct that is either—

i. Associated with performance under this award; or

ii. Imputed to the subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR part 180, “OMB Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement),” as implemented by our agency at 2 CFR part 1400.

c. Provisions applicable to any recipient.

1. You must inform us immediately of any information you receive from any source alleging a violation of a prohibition in paragraph a.1 of this award term.

2. Our right to terminate unilaterally that is described in paragraph a.2 or b of this section:

i. Implements section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as amended (22 U.S.C. 7104(g)), and

ii. Is in addition to all other remedies for noncompliance that are available to us under this award.

3. You must include the requirements of paragraph a.1 of this award term in any subaward you make to a private entity.

d. Definitions.

For purposes of this award term:

1. “Employee” means either:

i. An individual employed by you or a subrecipient who is engaged in the performance of the project or program under this award; or

ii. Another person engaged in the performance of the project or program under this award and not compensated by you including, but not limited to, a volunteer or individual whose services are contributed by a third party as an in-kind contribution toward cost sharing or matching requirements.

2. “Forced labor” means labor obtained by any of the following methods: the recruitment, harboring, transportation, provision, or obtaining of a person for labor or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage, or slavery.

3. “Private entity”:

i. Means any entity other than a State, local government, Indian tribe, or foreign public entity, as those terms are defined in 2 CFR 175.25.

ii. Includes:

A. A nonprofit organization, including any nonprofit institution of higher education, hospital, or tribal organization other than one included in the definition of Indian tribe at 2 CFR 175.25(b).

B. A for-profit organization.

4. “Severe forms of trafficking in persons,” “commercial sex act,” and “coercion” have the meanings given at section 103 of the TVPA, as amended (22 U.S.C. 7102).

e) Reporting Subawards and Executive Compensation Information (2 CFR Part 170).

a. Reporting of first-tier subawards.

1. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must report each action that obligates $25,000 or more in Federal funds that does not include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5) for a subaward to an entity (see definitions in paragraph e. of this award term).

2. Where and when to report.

i. You must report each obligating action described in paragraph a.1. of this award term to http://www.fsrs.gov.

ii. For subaward information, report no later than the end of the month following the month in which the obligation was made. (For example, if the obligation was made on November 7, 2010, the obligation must be reported by no later than December 31, 2010.)

3. What to report. You must report the information about each obligating action that the submission instructions posted at http://www.fsrs.gov specify.

b. Reporting Total Compensation of Recipient Executives.

1. Applicability and what to report. You must report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year, if—

i. the total Federal funding authorized to date under this award is $25,000 or more;

ii. in the preceding fiscal year, you received—

(A) 80 percent or more of your annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and

(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and

iii. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.)

2. Where and when to report. You must report executive total compensation described in paragraph b.1. of this award term:

i. As part of your registration profile at https://www.sam.gov.

ii. By the end of the month following the month in which this award is made, and annually thereafter.

c. Reporting of Total Compensation of Subrecipient Executives.

1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of this award term, for each first-tier subrecipient under this award, you shall report the names and total compensation of each of the subrecipient's five most highly compensated executives for the subrecipient's preceding completed fiscal year, if—

i. in the subrecipient's preceding fiscal year, the subrecipient received—

(A) 80 percent or more of its annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and

(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts), and Federal financial assistance subject to the Transparency Act (and subawards); and

ii. The public does not have access to information about the compensation of the 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 section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.)

2. Where and when to report. You must report subrecipient executive total compensation described in paragraph c.1. of this award term:

i. To the recipient.

ii. By the end of the month following the month during which you make the subaward. For example, if a subaward is obligated on any date during the month of October of a given year (i.e., between October 1 and 31), you must report any required compensation information of the subrecipient by November 30 of that year.

d. Exemptions If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from the requirements to report:

i. Subawards, and

ii. The total compensation of the five most highly compensated executives of any subrecipient.

e. Definitions. For purposes of this award term:

1. Entity means all of the following, as defined in 2 CFR part 25:

i. A Governmental organization, which is a State, local government, or Indian tribe;

ii. A foreign public entity;

iii. A domestic or foreign nonprofit organization;

iv. A domestic or foreign for-profit organization;

v. A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal entity.

2. Executive means officers, managing partners, or any other employees in management positions.

3. Subaward:

i. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient.

ii. The term does not include your procurement of property and services needed to carry out the project or program (for further explanation, see Sec. __ .210 of the attachment to OMB Circular A-133, “Audits of States, Local Governments, and Non-Profit Organizations”).

iii. A subaward may be provided through any legal agreement, including an agreement that you or a subrecipient considers a contract.

4. Subrecipient means an entity that:

i. Receives a subaward from you (the recipient) under this award; and

ii. Is accountable to you for the use of the Federal funds provided by the subaward.

5. Total compensation means the cash and noncash dollar value earned by the executive during the recipient's or subrecipient's preceding fiscal year and includes the following (for more information see 17 CFR 229.402(c)(2)):

i. Salary and bonus.

ii. Awards of stock, stock options, and stock appreciation rights. Use the dollar amount recognized for financial statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments.

iii. Earnings for services under non-equity incentive plans. This does not include group life, health, hospitalization or medical reimbursement plans that do not discriminate in favor of executives, and are available generally to all salaried employees.

iv. Change in pension value. This is the change in present value of defined benefit and actuarial pension plans.

v. Above-market earnings on deferred compensation which is not tax-qualified.

vi. Other compensation, if the aggregate value of all such other compensation (e.g. severance, termination payments, value of life insurance paid on behalf of the employee, perquisites or property) for the executive exceeds $10,000.

f) System of Award Management and Universal Identifier Requirements (2 CFR Part 25)

a. Requirement for System of Award Management Unless you are exempted from this requirement under 2 CFR 25.110, you as the recipient must maintain the currency of your information in the SAM until you submit the final financial report required under this award or receive the final payment, whichever is later. This requires that you review and update the information at least annually after the initial registration, and more frequently if required by changes in your information or another award term.

b. Requirement for Unique Entity identifier Numbers If you are authorized to make subawards under this award, you:

1. Must notify potential subrecipients that no entity (see definition in paragraph C of this award term) may receive a subaward from you unless the entity has provided its unique entity identifier number to you.

2. May not make a subaward to an entity unless the entity has provided its DUNS number to you.

c. Definitions For purposes of this award term:

1. System of Award Management (SAM) means the Federal repository into which an entity must provide information required for the conduct of business as a recipient. Additional information about registration procedures may be found at the SAM Internet site (currently at http://www.sam.gov).

2. Unique entity identifier means the identifier required for SAM registration to uniquely identify business entities.

3. Entity, as it is used in this award term, means all of the following, as defined at 2 CFR part 25, subpart C:

i. A Governmental organization, which is a State, local government, or Indian Tribe;

ii. A foreign public entity;

iii. A domestic or foreign nonprofit organization;

iv. A domestic or foreign for-profit organization; and

v. A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal entity.

4. Subaward:

i. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient.

ii. The term does not include your procurement of property and services needed to carry out the project or program (for further explanation, see 2 CFR 200.330).

iii. A subaward may be provided through any legal agreement, including an agreement that you consider a contract.

5. Subrecipient means an entity that:

i. Receives a subaward from you under this award; and

ii. Is accountable to you for the use of the Federal funds provided by the subaward.

g) Prohibition on Members of Congress Making Contracts with Federal Government (41 USC Section 6306) No member of or delegate to the United States Congress or Resident Commissioner shall be admitted to any share or part of this award, or to any benefit that may arise therefrom; this provision shall not be construed to extend to an award made to a corporation for the public’s general benefit.

h) Enhancement of Recipient and Subrecipient Employee Whisleblower Protection (41 USC Section 4712)

a. This award and related subawards and contracts over the simplified acquisition threshold and all employees working on this award and related subawards and contracts over the simplified acquisition threshold are subject to the whistleblower rights and remedies in the pilot program on award recipient employee whistleblower protections established at 41 U.S.C. 4712 by section 828 of the National Defense Authorization Act for Fiscal Year 2013 (P.L. 112-239).

b. Recipients, and their subrecipients and contractors awarded contracts over the simplified acquisition threshold related to this award, shall inform their employees in writing, in the predominant language of the workforce, of the employee whistleblower rights and protections under 41 U.S.C. 4712.

c. The recipient shall insert this clause, including this paragraph (c), in all subawards and contracts over the simplified acquisition threshold related to this award.

i) Prohibition on Issuing Financial Assistance Awards to Entities that Require Certain Internal Confidentiality Agreements (P.L. 113-235) Section 743 of Division E, Title VII of the Consolidated and Further Continuing Resolution Appropriations Act of 2015 (Pub. L. 113-235) prohibits the use of funds appropriated or otherwise made available under that or any other Act for grants or cooperative agreements to an entity that requires employees or contractors of such entity seeking to report fraud, waste, or abuse to sign internal confidentiality agreements or statements prohibiting or otherwise restricting such employees or contractors from lawfully reporting such waste, fraud, or abuse to a designated investigative or…