EPA General Terms and Conditions effective October 1, 2022 or later

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EPA General Terms and Conditions Effective

October 1, 2022

1. Introduction

(a) The recipient and any sub-recipient must comply with the applicable EPA general terms and conditions

outlined below. These terms and conditions are in addition to the assurances and certifications made as part

of the award and terms, conditions, and restrictions reflected on the official assistance award document.

Recipients must review their official award document for additional administrative and programmatic

requirements. Failure to comply with the general terms and conditions outlined below and those directly

reflected on the official assistance award document may result in enforcement actions as outlined in 2 CFR

200.339 and 200.340.

(b) If the EPA General Terms and Conditions have been revised, EPA will update the terms and conditions

when it provides additional funding (incremental or supplemental) prior to the end of the period of

performance of this agreement. The recipient must comply with the revised terms and conditions after

the effective date of the EPA action that leads to the revision. Revised terms and conditions do not

apply to the recipient’s expenditures of EPA funds or activities the recipient carries out prior to the

effective date of the EPA action. EPA will inform the recipient of revised terms and conditions in the

action adding additional funds.

2. Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards

This award is subject to the requirements of the Uniform Administrative Requirements, Cost Principles and

Audit Requirements for Federal Awards; Title 2 CFR, Parts 200 and 1500

. 2 CFR 1500.2, Adoption of 2 CFR

Part 200, states the Environmental Protection Agency adopts the Office of Management and Budget (OMB)

guidance Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards to

Non-Federal Entities (subparts A through F of 2 CFR Part 200), as supplemented by 2 CFR Part 1500, as the

Environmental Protection Agency (EPA) policies and procedures for financial assistance administration. 2 CFR

Part 1500 satisfies the requirements of 2 CFR 200.110(a) and gives regulatory effect to the OMB guidance as

supplemented by 2 CFR Part 1500. This award is also subject to applicable requirements contained in EPA

programmatic regulations located in 40 CFR Chapter 1 Subchapter B.

2.1. Effective Date and Incremental or Supplemental Funding. Consistent with the OMB Frequently

Asked Questions at https://cfo.gov/cofar

on Effective Date and Incremental Funding, any new funding

through an amendment (supplemental or incremental) on or after December 26, 2014, and any

unobligated balances (defined at 2 CFR 200.1) remaining on the award at the time of the amendment,

will be subject to the requirements of the Uniform Administrative Requirements, Cost Principles and

Audit Requirements (2 CFR Parts 200 and 1500).

3. Termination

Consistent with 2 CFR 200.340, EPA may unilaterally terminate this award in whole or in part:

a. if a recipient fails to comply with the terms and conditions of the award including statutory or regulatory

requirements; or

b. if the award no longer effectuates the program goals or agency priorities. Situations in which EPA may

terminate an award under this provision include when:

(i) EPA obtains evidence that was not considered in making the award that reveals that specific award

objective(s) are ineffective at achieving program goals and EPA determines that it is in the government’s interest

to terminate the award;

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(ii) EPA obtains evidence that was not considered in making the award that causes EPA to significantly question

the feasibility of the intended objective(s) of the award and EPA determines that it is in the government’s

interest to terminate the award;

(iii) EPA determines that the objectives of the award are no longer consistent with funding priorities for

achieving program goals.

Financial Information

4. Reimbursement Limitation

EPA's financial obligations to the recipient are limited by the amount of federal funding awarded to date as

reflected on the award document. If the recipient incurs costs in anticipation of receiving additional funds from

EPA, it does so at its own risk. See 2 CFR 1500.9

5. Automated Standard Application Payments (ASAP) and Proper Payment Draw Down

Electronic Payments. Recipients must be enrolled or enroll in the Automated Standard Application for

Payments (ASAP) system to receive payments under EPA financial assistance agreements unless:

• EPA grants a recipient-specific exception;

• The assistance program has received a waiver from this requirement;

• The recipient is exempt from this requirement under 31 CFR 208.4

; or,

• The recipient is a fellowship recipient pursuant to 40 CFR Part 46.

EPA will not make payments to recipients until the ASAP enrollment requirement is met unless the recipients fall

under one of the above categories. Recipients may request exceptions using the procedures below but only EPA

programs may obtain waivers.

To enroll in ASAP, complete the ASAP Initiate Enrollment Form located at:

https://www.epa.gov/financial/forms and email it to rtpfc-grant[email protected] or mail it to:

US Environmental Protection Agency

RTP-Finance Center (Mail Code AA216-01)

4930 Page Rd.

Durham, NC 27711

Under this payment mechanism, the recipient initiates an electronic payment request online via ASAP, which is

approved or rejected based on the amount of available funds authorized by EPA in the recipient’s ASAP account.

Approved payments are credited to the account at the financial institution of the recipient organization set up by

the recipient during the ASAP enrollment process. Additional information concerning ASAP and enrollment can

be obtained by contacting the EPA Research Triangle Park Finance Center (RTPFC), at rtpfc-gr[email protected]

919-541-5347, or by visiting: https://www.fiscal.treasury.gov/asap/.

EPA will grant exceptions to the ASAP enrollment requirement only in situations in which the recipient

demonstrates to EPA that receiving payment via ASAP places an undue administrative or financial management

burden on the recipient or EPA determines that granting the waiver is in the public interest. Recipients may

request an exception to the requirement by following the procedures specified in RAIN-2018-G06-R

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Proper Payment Drawdown (for recipients other than states)

a. As required by 2 CFR 200.305(b)

, the recipient must draw funds from ASAP only for the minimum amounts

needed for actual and immediate cash requirements to pay employees, contractors, subrecipients or to satisfy other

obligations for allowable costs under this assistance agreement. The timing and amounts of the drawdowns must

be as close as administratively feasible to actual disbursements of EPA funds. Disbursement within 5 business

days of drawdown will comply with this requirement and the recipient agrees to meet this standard when

performing this award.

b. Recipients may not retain more than 5% of the amount drawn down, or $1,000 whichever is less, 5 business

days after drawdown to materially comply with the standard. Any EPA funds subject to this paragraph that remain

undisbursed after 5 business days must be fully disbursed within 15 business days of draw down or be returned to

EPA.

c. If the recipient draws down EPA funds in excess of that allowed by paragraph b., the recipient must contact

rtpfc-[email protected]

for instructions on whether to return the funds to EPA. Recipients must comply with the

requirements at 2 CFR 200.305(b)(8) and (9) regarding depositing advances of Federal funds in interest bearing

accounts.

d. Returning Funds: Pay.gov

is the preferred mechanism to return funds. It is free, secure, paperless, expedient,

and does not require the recipient/vendor to create an account. Contact RTPFC-Grants at rtpfc-grant[email protected] to

obtain complete instructions. Additional information is available at the Pay.gov website:

(https://www.pay.gov/public/home). Information on how to repay EPA via check is available

at https://www.epa.gov/financial/makepayment. Instructions on how to return funds to EPA electronically via

ASAP are available at https://www.fiscal.treasury.gov/asap/.

e. Failure on the part of the recipient to materially comply with this condition may, in addition to EPA recovery

of the un-disbursed portions of the drawn down funds, lead to changing the payment method from advance

payment to a reimbursable basis. EPA may also take other remedies for noncompliance under 2 CFR 200.208

and/or 2 CFR 200.339.

f. If the recipient believes that there are extraordinary circumstances that prevent it from complying with the 5-

business day disbursement requirement throughout the performance period of this agreement, recipients may

request an exception to the requirement by following the procedures specified in RAIN-2018-G06

-R. EPA will

grant exceptions to the 5-business day disbursement requirement only if the recipient demonstrates that

compliance places an undue administrative or financial management burden or EPA determines that granting the

exception is in the public interest.

Proper Payment Drawdown for State Recipients

In accordance with 2 CFR 200.305(a), payments are governed by Treasury-State Cash Management Improvement

Act (CMIA) agreements and default procedures codified at 31 CFR Part 205, Subparts A and B and Treasury

Financial Manual (TFM) 4A-2000, “Overall Disbursing Rules for All Federal Agencies” unless a program

specific regulation (e.g. 40 CFR 35.3160 or 40 CFR 35.3560) provides otherwise. Pursuant to 31 CFR Part 205,

Subpart A—Rules Applicable to Federal Assistance Programs Included in a Treasury-State Agreement, States

follow their Treasury-State CMIA Agreement for major Federal programs listed in the agreement. For those

programs not listed as major in the Treasury-State agreement, the State follows the default procedures in 31 CFR

Part 205, Subpart B—Rules Applicable to Federal Assistance Programs Not Included in a Treasury-State

Agreement, which directs State recipients to draw-down and disburse Federal financial assistance funds in

anticipation of immediate cash needs of the State for work under the award. States must comply with 2 CFR

200.302(a) in reconciling costs incurred and charged to EPA financial assistance agreements at time of close out

unless a program specific regulation provides otherwise.

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Selected Items of Cost

6. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment

This term and condition implements 2 CFR 200.216 and is effective for obligations and expenditures of EPA

financial assistance funding on or after 8/13/2020.

As required by 2 CFR 200.216, EPA recipients and subrecipients, including borrowers under EPA funded

revolving loan fund programs, are prohibited from obligating or expending loan or grant funds to procure or

obtain; extend or renew a contract to procure or obtain; or enter into a contract (or extend or renew a contract) to

procure or obtain equipment, services, or systems that use covered telecommunications equipment or services as

a substantial or essential component of any system, or as critical technology as part of any system. As described

in Public Law 115-232

, section 889, covered telecommunications equipment is telecommunications equipment

produced by Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such entities).

Recipients, subrecipients, and borrowers also may not use EPA funds to purchase:

a. For the purpose of public safety, security of government facilities, physical security surveillance of critical

infrastructure, and other national security purposes, video surveillance and telecommunications equipment

produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or

Dahua Technology Company (or any subsidiary or affiliate of such entities).

b. Telecommunications or video surveillance services provided by such entities or using such equipment.

c. Telecommunications or video surveillance equipment or services produced or provided by an entity that the

Secretary of Defense, in consultation with the Director of the National Intelligence or the Director of the Federal

Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to,

the government of a covered foreign country.

Consistent with 2 CFR 200.471, costs incurred for telecommunications and video surveillance services or

equipment such as phones, internet, video surveillance, and cloud servers are allowable except for the following

circumstances:

a. Obligating or expending EPA funds for covered telecommunications and video surveillance services or

equipment or services as described in 2 CFR 200.216 to:

(1) Procure or obtain, extend or renew a contract to procure or obtain;

(2) Enter into a contract (or extend or renew a contract) to procure; or

(3) Obtain the equipment, services, or systems.

Certain prohibited equipment, systems, or services, including equipment, systems, or services produced or

provided by entities identified in section 889, are recorded in the System for Award Management exclusion list.

7. Consultant Cap

EPA participation in the salary rate (excluding overhead) paid to individual consultants retained by recipients

or by a recipient's contractors or subcontractors shall be limited to the maximum daily rate for a Level IV of

the Executive Schedule, available at: https://www.opm.gov/policy-data-oversight/pay-leave/salaries-wages/

to be adjusted annually. This limit applies to consultation services of designated individuals with specialized

skills who are paid at a daily or hourly rate. This rate does not include transportation and subsistence costs for

travel performed (the recipient will pay these in accordance with their normal travel reimbursement practices).

Information on how to calculate the maximum daily rate and the daily pay limitation is available at the Office Of

Personnel Management’s Fact Sheet: How to Compute Rates of Pay and Fact Sheet: Expert and Consultant Pay

Specifically, to determine the maximum daily rate, follow these steps:

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1. Divide the Level IV salary by 2087 to determine the hourly rate. Rates must be rounded to the nearest

cent, counting one-half cent and over as the next higher cent (e.g., round $18.845 to $18.85).

2. Multiply the hourly rate by 8 hours. The product is the maximum daily rate.

Contracts and subcontracts with firms for services that are awarded using the procurement requirements in

Subpart D of 2 CFR Part 200 are not affected by this limitation unless the terms of the contract provide the

recipient with responsibility for the selection, direction and control of the individuals who will be providing

services under the contract at an hourly or daily rate of compensation. See 2 CFR 1500.10

8. Establishing and Managing Subawards

If the recipient chooses to pass funds from this assistance agreement to other entities, the recipient must

comply with applicable provisions of 2 CFR Part 200 and the EPA Subaward Policy, which may be found at:

https://www.epa.gov/grants/grants-policy-issuance-gpi-16-01-epa-subaward-policy-epa-assistance-

agreement-recipients.

As a pass-through entity, the recipient agrees to:

Be responsible for selecting subrecipients and as appropriate conducting subaward competitions using a

system for properly differentiating between subrecipients and procurement contractors under the standards

at 2 CFR 200.331 and EPA’s supplemental guidance in Appendix A of the EPA Subaward Policy.

(a)

For-profit organizations and individual consultants, in almost all cases, are not eligible

subrecipients under EPA financial assistance programs and the pass-through entity must obtain prior

written approval from EPA’s Award Official for subawards to these entities unless the EPA-

approved budget and work plan for this agreement contain a precise description of such subawards.

(b)

Stipends and travel assistance for trainees (including interns) and similar individuals who are

not are not employees of the pass-through entity must be classified as participant support costs rather

than subawards as provided in 2 CFR 200.1 Participant support costs, 2 CFR 200.1

Subaward, and

EPA’s Guidance on Participant Support Costs.

(c)

Subsidies, rebates and similar payments to participants in EPA funded programs to encourage

environmental stewardship are also classified as Participant support costs as provided in 2 CFR

1500.1 and EPA’s Guidance on Participant Support Costs

Establish and follow a system that ensures all subaward agreements are in writing and contain all of the

elements required by 2 CFR 200.332(a). EPA has developed a template for subaward agreements that is

available in Appendix D of the EPA Subaward Policy.

Prior to making subawards, ensure that each subrecipient has a “Unique Entity Identifier (UEI).” The UEI

is required by 2 CFR Part 25 and 2 CFR 200.332(a)(1)

. Subrecipients are not required to complete full System

for Award Management (SAM) registration to obtain a UEI. Information regarding obtaining a UEI is

available at the SAM Internet site:

https://www.sam.gov/SAM/ and in EPA’s General Term and Condition

“System for Award Management and Universal Identifier Requirements” of the pass-through entity’s

agreement with the EPA.

Ensure that subrecipients are aware that they are subject to the same requirements as those that apply

to the pass-through entity’s EPA award as required by 2 CFR 200.332(a)(2). These requirements

include, among others:

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(a)

Title VI of the Civil Rights Act and other Federal statutes and regulations prohibiting

discrimination in Federal financial assistance programs, as applicable.

(b)

Reporting Subawards and Executive Compensation under Federal Funding

Accountability and Transparency Act (FFATA) set forth in the General Condition pass-

through entity’s agreement with EPA entitled “Reporting Subawards and Executive

Compensation.”

(c)

Limitations on individual consultant fees as set forth in 2 CFR 1500.10 and the

General Condition of the pass-through entity’s agreement with EPA entitled

“Consultant Fee Cap.”

(d)

EPA’s prohibition on paying management fees as set forth in General Condition of the

pass-through entity’s agreement with EPA entitled “Management Fees.”

(e)

The Procurement Standards in 2 CFR Part 200 including those requiring competition when the

subrecipient acquires goods and services from contractors (including consultants).

EPA provides general information on other statutes, regulations and Executive Orders on the Grants

internet site at www.epa.gov/grants. Many Federal requirements are agreement or program specific and

EPA encourages pass-through entities to review the terms of their assistance agreement carefully and

consult with their EPA Project Officer for advice if necessary.

Ensure, for states and other public recipients, that subawards are not conditioned in a manner that

would disadvantage applicants for subawards based on their religious character.

Establish and follow a system for evaluating subrecipient risks of noncompliance with Federal statutes,

regulations and the terms and conditions of the subaward as required by 2 CFR 200.332(b) and document the

evaluation. Risk factors may include:

Prior experience with same or similar subawards;

(a)

Results of previous audits;

(b)

Whether new or substantially changed personnel or systems, and;

(c)

Extent and results of Federal awarding agency or the pass-through entity’s

monitoring.

Establish and follow a process for deciding whether to impose additional requirements on

subrecipients based on risk factors as required by 2 CFR 200.332(c). Examples of additional

requirements authorized by 2 CFR 200.208 include:

(a)

Requiring payments as reimbursements rather than advance payments;

(b)

Withholding authority to proceed to the next phase until receipt of evidence of

acceptable performance within a given period of performance;

(c)

Requiring additional, more detailed financial reports;

(d)

Requiring additional project monitoring;

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(e)

Requiring the non-Federal entity to obtain technical or management assistance, and

(f)

Establishing additional prior approvals.

Establish and follow a system for monitoring subrecipient performance that includes the elements

required by 2 CFR 200.332(d) and report the results of the monitoring in performance reports as provided

in the reporting terms and conditions of this agreement.

Establish and maintain an accounting system which ensures compliance with the $25,000

limitation at 2 CFR 200.1, Modified Total Direct Costs, if applicable, on including subaward costs

in Modified Total Direct Costs for the purposes of distributing indirect costs. Recipients with

Federally approved indirect cost rates that use a different basis for distributing indirect costs to

subawards must comply with their Indirect Cost Rate Agreement.

10.

Work with EPA’s Project Officer to obtain the written consent of EPA’s Office of

International and Tribal Affairs (OITA), prior to awarding a subaward to a foreign or

international organization, or a subaward to be performed in a foreign country even if that

subaward is described in a proposed scope of work.

11.

Obtain written approval from EPA’s Award Official for any subawards that are not

described in the approved work plan in accordance with 2 CFR 200.308

12.

Obtain the written approval of EPA’s Award Official prior to awarding a subaward to an

individual if the EPA-approved scope of work does not include a description of subawards to

individuals.

13.

Establish and follow written procedures under 2 CFR 200.302(b)(7) for determining that subaward costs

are allowable in accordance with 2 CFR Part 200, Subpart E and the terms and conditions of this award.

These procedures may provide for allowability determinations on a pre-award basis, through ongoing

monitoring of costs that subrecipients incur, or a combination of both approaches provided the pass-through

entity documents its determinations.

14.

Establish and maintain a system under 2 CFR 200.332(d)(3) and 2 CFR 200.521 for issuing

management decisions for audits of subrecipients that relate to Federal awards. However, the recipient

remains accountable to EPA for ensuring that unallowable subaward costs initially paid by EPA are

reimbursed or mitigated through offset with allowable costs whether the recipient recovers those costs

from the subrecipient or not.

15.

As provided in 2 CFR 200.333, pass-through entities must obtain EPA approval to make fixed amount

subawards. EPA is restricting the use of fixed amount subawards to a limited number of situations that are

authorized in official EPA pilot projects. Recipients should consult with their EPA Project Officer

regarding the status of these pilot projects.

By accepting this award, the recipient is certifying that it either has systems in place to comply with the

requirements described in Items 1 through 14 above or will refrain from making subawards until the systems

are designed and implemented.

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9. Management Fees

Management fees or similar charges in excess of the direct costs and approved indirect rates are not allowable.

The term "management fees or similar charges" refers to expenses added to the direct costs in order to

accumulate and reserve funds for ongoing business expenses; unforeseen liabilities; or for other similar costs

which are not allowable under this assistance agreement. Management fees or similar charges may not be used

to improve or expand the project funded under this agreement, except to the extent authorized as a direct cost of

carrying out the scope of work.

10. Federal Employee Costs

The recipient understands that none of the funds for this project (including funds contributed by the recipient as

cost sharing) may be used to pay for the travel of Federal employees or for other costs associated with Federal

participation in this project unless a Federal agency will be providing services to the recipient as authorized by a

Federal statute.

11. Foreign Travel

EPA policy requires that all foreign travel must be approved by its Office of International and Tribal

Affairs. The recipient agrees to obtain prior EPA approval before using funds available under this agreement for

international travel unless the trip(s) are already described in the EPA approved budget for this

agreement. Foreign travel includes trips to Mexico and Canada but does not include trips to Puerto Rico, the

U.S. Territories or possessions. Recipients that request post-award approval to travel frequently to Mexico and

Canada by motor vehicle (e.g. for sampling or meetings) may describe their proposed travel in general terms in

their request for EPA approval. Requests for prior approval must be submitted to the Project Officer for this

agreement.

12. The Fly America Act and Foreign Travel

The recipient understands that all foreign travel funded under this assistance agreement must comply with the

Fly America Act. All travel must be on U.S. air carriers certified under 49

U.S.C. Section 40118, to the extent

that service by such carriers is available even if foreign air carrier costs are less than the American air carrier.

13. Union Organizing (Added 6/14/2023)

Grant funds may not be used to support or oppose union organizing, whether directly or as an offset for other

funds.

Reporting and Additional Post-Award Requirements

14. System for Award Management and Universal Identifier Requirements

14.1. Requirement for System for Award Management (SAM) Unless exempted from this

requirement under 2 CFR 25.110, the recipient must maintain current information in the SAM. This

includes information on the recipient’s immediate and highest level owner and subsidiaries, as well as

on all the recipient’s predecessors that have been awarded a Federal contract or Federal financial

assistance within the last three years, if applicable, until the submittal of the final financial report

required under this award or receipt of the final payment, whichever is later. This requires that the

recipient reviews and updates the information at least annually after the initial registration, and more

frequently if required by changes in the information or another award term.

14.2. Requirement for Unique Entity Identifier. If the recipient is authorized to make subawards

under this award, the recipient:

a. Must notify potential subrecipients that no entity (see definition in paragraph 14.3 of this award

term) may receive a subaward unless the entity has provided its Unique Entity Identifier.

b. May not make a subaward to an entity unless the entity has provided its Unique Entity Identifier.

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Subrecipients are not required to obtain an active SAM registration but must obtain a Unique Entity

Identifier.

14.3. Definitions. For the purposes of this award term:

a. System for 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:

https://www.sam.gov/SAM/

b. Unique Entity Identifier means the identifier assigned by SAM to uniquely identify business

entities.

c. Entity includes non-Federal entities as defined at 2 CFR 200.1 and also includes all of

the following:

14.3.c.1. A foreign organization;

14.3.c.2. A foreign public entity;

14.3.c.3. A domestic for-profit organization; and

14.3.c.4. A domestic or foreign for-profit organization; and

14.3.c.5. A Federal agency.

d. Subaward is defined at 2 CFR 200.1.

e. Subrecipient is defined at 2 CFR 200.1.

15. Reporting Subawards and Executive Compensation

15.1. Reporting of first-tier subawards.

a. Applicability. Unless the recipient is exempt as provided in paragraph 15.4. of this award term,

the recipient must report each action that obligates $30,000 or more in Federal funds for a

subaward to a non-Federal entity or Federal agency (see definitions in paragraph 15.5 of this

award term).

b. Where and when to report. (1) The recipient must report each obligating action described in

paragraph 15.1.a of this award term to www.fsrs.gov.

(2) 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 any date during the month of November of a given year,

the obligation must be reported by no later than December 31 of that year.)

c. What to report. The recipient must report the information about each obligating action as

described in the submission instructions available at: http://www.fsrs.gov.

15.2. Reporting Total Compensation of Recipient Executives.

a. Applicability and what to report. The recipient must report total compensation for each of their

five most highly compensated executives for the preceding completed fiscal year, if:

15.2.a.1. the total Federal funding authorized to date under this award is $30,000 or more;

15.2.a.2. in the preceding fiscal year, the recipient received: (i.) 80 percent or more of their

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); (ii.) and $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

15.2.a.3. 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

b. Where and when to report. The recipient must report executive total compensation described in

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paragraph 15.2.a of this award term: (i.) As part of the registration Central System for Award

Management profile available at https://www.sam.gov/SAM/

(ii.) By the end of the month

following the month in which this award is made, and annually thereafter.

15.3. Reporting of Total Compensation of Subrecipient Executives.

a. Applicability and what to report. Unless exempt as provided in paragraph 15.4. of this award

term, for each first-tier non-Federal entity subrecipient under this award, the recipient 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:

15.3.a.1. in the subrecipient's preceding fiscal year, the subrecipient received: (i.) 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 (ii.) $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

15.3.a.2. 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

b. Where and when to report. The recipient must report subrecipient executive total compensation

described in paragraph 15.3.a. of this award term:

15.3.b.1. To the recipient.

15.3.b.2. By the end of the month following the month during which the recipient makes 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), the recipient must report any required

compensation information of the subrecipient by November 30 of that year.

15.4. Exemptions

a. If, in the previous tax year, the recipient had gross income, from all sources, under $300,000, the

recipient is exempt from the requirements to report:

15.4.a.1. (i) subawards, and (ii) the total compensation of the five most highly compensated

executives of any subrecipient.

15.5. Definitions. For purposes of this award term:

a. Federal agency means a Federal agency as defined at 5 U.S.C. 551(1) and further clarified by 5

U.S.C 552(f).

b. Non-Federal 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; and (iv.) A domestic or foreign for-profit organization.

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

d. Suba

ward:

15.5.d.1. 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.

15.5.d.2. The term does not include procurement of property and services needed to carry out the

project or program (for further explanation, see 2 CFR 200.331).

15.5.d.3. A subaward may be provided through any legal agreement, including an agreement that

the recipient or a subrecipient considers a contract.

e. Subrecipient means a non-Federal entity or Federal agency that:

15.5.e.1. Receives a subaward from the recipient under this award; and

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15.5.e.2. Is accountable to the recipient for the use of the Federal funds provided by the subaward.

f. 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)):

15.5.f.1. Salary and bonus.

15.5.f.2. 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.

15.5.f.3. 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.

15.5.f.4. Change in pension value. This is the change in present value of defined benefit

and actuarial pension plans.

15.5.f.5. Above-market earnings on deferred compensation which is not tax-qualified.

15.5.f.6. 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.

16. Recipient Integrity and Performance Matters - Reporting of Matters Related to Recipient Integrity and

Performance

16.1. General Reporting Requirement

If the total value of your currently active grants, cooperative agreements, and procurement contracts from

all Federal awarding agencies exceeds $10,000,000 for any period of time during the period of performance

of this Federal award, then you as the recipient during that period of time must maintain the currency of

information reported to the System for Award Management (SAM) that is made available in the designated

integrity and performance system (currently the Federal Awardee Performance and Integrity Information

System (FAPIIS)) about civil, criminal, or administrative proceedings described in paragraph 2 of this

award term and condition. This is a statutory requirement under section 872 of Public Law 110-417, as

amended (41 U.S.C. 2313). As required by section 3010 of Public Law 111-212, all information posted in

the designated integrity and performance system on or after April 15, 2011, except past performance

reviews required for Federal procurement contracts, will be publicly available.

16.2. Proceedings About Which You Must Report

Submit the information required about each proceeding that:

a. Is in connection with the award or performance of a grant, cooperative agreement, or

procurement contract from the Federal Government;

b. Reached its final disposition during the most recent five-year period; and

c. Is one of the following:

16.2.c.1. A criminal proceeding that resulted in a conviction, as defined in paragraph 5 of

this award term and condition;

16.2.c.2. A civil proceeding that resulted in a finding of fault and liability and payment

of a monetary fine, penalty, reimbursement, restitution, or damages of $5,000 or more;

16.2.c.3. An administrative proceeding, as defined in paragraph 5. of this award term and

condition, that resulted in a finding of fault and liability and your payment of either a

monetary fine or penalty of $5,000 or more or reimbursement, restitution, or damages in

excess of $100,000; or

16.2.c.4. Any other criminal, civil, or administrative proceeding if:

16.2.c.4.1. It could have led to an outcome described in paragraph 16.2.c.1, 16.2.c.2,

or 16.2.c.3 of this award term and condition;

16.2.c.4.2. It had a different disposition arrived at by consent or compromise with

an acknowledgment of fault on your part; and

16.2.c.4.3. The requirement in this award term and condition to disclose

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information about the proceeding does not conflict with applicable laws and

regulations.

16.3. Reporting Procedures

Enter in the SAM Entity Management area the information that SAM requires about each proceeding described

in paragraph 2 of this award term and condition. You do not need to submit the information a second time under

assistance awards that you received if you already provided the information through SAM because you were

required to do so under Federal procurement contracts that you were awarded.

16.4. Reporting Frequency

During any period of time when you are subject to the requirement in paragraph 16.1 of this award term and

condition, you must report proceedings information through SAM for the most recent five-year period, either to

report new information about any proceeding(s) that you have not reported previously or affirm that there is no

new information to report. Recipients that have Federal contract, grant, and cooperative agreement awards with

a cumulative total value greater than $10,000,000 must disclose semiannually any information about the

criminal, civil, and administrative proceedings.

16.5. Definitions

For purposes of this award term and condition:

a. Administrative proceeding means a non-judicial process that is adjudicatory in nature in order

to make a determination of fault or liability (e.g., Securities and Exchange Commission

Administrative proceedings, Civilian Board of Contract Appeals proceedings, and Armed Services

Board of Contract Appeals proceedings). This includes proceedings at the Federal and State level but

only in connection with performance of a Federal contract or grant. It does not include audits, site

visits, corrective plans, or inspection of deliverables.

b. C

onviction, for purposes of this award term and condition, means a judgment or conviction of

a criminal offense by any court of competent jurisdiction, whether entered upon a verdict or a plea,

and includes a conviction entered upon a plea of nolo contendere.

c. Total value of currently active grants, cooperative agreements, and procurement

contracts includes—

16.5.c.1. Only the Federal share of the funding under any Federal award with a recipient

cost share or match; and

16.5.c.2. The value of all expected funding increments under a Federal award and options,

even if not yet exercised.

17. Federal Financial Reporting (FFR)

Pursuant to 2 CFR 200.328 and 2 CFR 200.344, EPA recipients must submit the Federal Financial Report

(SF-425) at least annually and no more frequently than quarterly. EPA’s standard reporting frequency is

annual unless an EPA Region has included an additional term and condition specifying greater reporting

frequency within this award document. EPA recipients must submit the SF-425 no later than 30 calendar days

after the end of each specified reporting period for quarterly and semi-annual reports and 90 calendar days for

annual reports. Final reports are due no later than 120 calendar days after the end date of the period of

performance of the award Extension of reporting due dates may be approved by EPA when requested and

justified by the recipient. The FFR form is available on the internet at: https://www.epa.gov/financial/forms

All FFRs must be submitted to the Research Triangle Park Finance Center (RTPFC) via email at rtpfc-

[email protected] or mail it to:

US Environmental Protection Agency

RTP-Finance Center (Mail Code AA216-01)

4930 Page Rd.

Durham, NC 27703

The RTPFC will make adjustments, as necessary, to obligated funds after reviewing and accepting a final

Federal Financial Report. Recipients will be notified and instructed by EPA if they must complete any

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additional forms for the closeout of the assistance agreement.

18. Indirect Cost Rate Agreements

This term and condition provides requirements for recipients using EPA funds for indirect costs and applies to all

EPA assistance agreements unless there are statutory or regulatory limits on IDCs. See also

EPA’s Indirect Cost

Policy for Recipients of EPA Assistance Agreements (IDC Policy).

In order for the assistance agreement recipient to use EPA funding for indirect costs, the IDC category of the

recipient’s assistance agreement award budget must include an amount for IDCs and at least one of the following

must apply:

• With the exception of “exempt” agencies and Institutions of Higher Education as noted below, all

recipients must have one of the following current (not expired) IDC rates, including IDC rates that have

been extended by the cognizant agency:

• Provisional;

• Final;

• Fixed rate with carry-forward;

• Predetermined;

• 10% de minimis rate authorized by 2 CFR 200.414(f)

• EPA-approved use of an expired fixed rate with carry-forward on an exception basis, as detailed

in section 6.4.a. of the IDC Policy.

• “Exempt” state or local governmental departments or agencies are agencies that receive up to and

including $35,000,000 in Federal funding per the department or agency’s fiscal year, and must have an

IDC rate proposal developed in accordance with 2 CFR Part 200, Appendix VII, with documentation

maintained and available for audit.

• Institutions of Higher Education must use the IDC rate in place at the time of award for the life of the

assistance agreement (unless the rate was provisional at time of award, in which case the rate will change

once it becomes final). As provided by 2 CFR Part 200, Appendix III(C)(7), the term “life of the

assistance agreement”, means each competitive segment of the project. Additional information is

available in the regulation.

IDCs incurred during any period of the assistance agreement that are not covered by the provisions

above are not

allowable costs and must not be drawn down by the recipient. Recipients may budget for IDCs if they have

submitted a proposed IDC rate to their cognizant Federal agency or requested an exception from EPA under

subsection 6.4 of the IDC Policy. However, recipients may not draw down IDCs until their rate is approved, if

applicable, or EPA grants an exception. IDC drawdowns must comply with the indirect rate corresponding to the

period during which the costs were incurred.

This term and condition does not govern indirect rates for subrecipients or recipient procurement contractors

under EPA assistance agreements. Pass-through entities are required to comply with 2 CFR 200.332(a)(4)(i) and

(ii) when establishing indirect cost rates for subawards.

19. Audit Requirements

In accordance with 2 CFR 200.501

(a), the recipient hereby agrees to obtain a single audit from an independent

auditor, if their organization expends $750,000 or more in total Federal funds in their fiscal year beginning on

or after December 26, 2014.

The recipient must submit the form SF-SAC and a Single Audit Report Package within 9 months of the end of the

recipient’s fiscal year or 30 days after receiving the report from an independent auditor. The SF-SAC and a Single

Audit Report Package MUST be submitted using the Federal Audit Clearinghouse’s Internet Data Entry System

available at: https://facides.census.gov/

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For complete information on how to accomplish the single audit submissions, you will need to visit the Federal

Audit Clearinghouse Web site: https://facweb.census.gov/

20. Closeout Requirements

Reports required for closeout of the assistance agreement must be submitted in accordance with this

agreement. Submission requirements and frequently asked questions can also be found at:

https://www.epa.gov/grants/frequent-questions-about-closeouts

21. Suspension and Debarment

Recipient shall fully comply with Subpart C of 2 C.F.R. Part 180 entitled, “Responsibilities of Participants

Regarding Transactions Doing Business With Other Persons,” as implemented and supplemented by 2 C.F.R.

Part 1532. Recipient is responsible for ensuring that any lower tier covered transaction, as described in Subpart

B of 2 C.F.R. Part 180, entitled “Covered Transactions,” and 2 C.F.R. § 1532.220, includes a term or condition

requiring compliance with 2 C.F.R. Part 180, Subpart C. Recipient is responsible for further requiring the

inclusion of a similar term and condition in any subsequent lower tier covered transactions. Recipient

acknowledges that failing to disclose the information required under 2 C.F.R. § 180.335 to the EPA office that is

entering into the transaction with the recipient may result in the delay or negation of this assistance agreement,

or pursuance of administrative remedies, including suspension and debarment. Recipients may access the

System for Award Management (SAM) exclusion list at

https://sam.gov/SAM/ to determine whether an entity

or individual is presently excluded or disqualified.

22. Representation by Corporations Regarding Delinquent Tax Liability or a Felony Conviction under any

Federal Law.

This award is subject to the provisions contained in an appropriations act(s) which prohibits the Federal

Government from entering into a contract, memorandum of understanding, or cooperative agreement with, make

a grant to, or provide a loan or loan guarantee to any corporation having a delinquent Federal tax liability or a

felony conviction under any Federal law, unless the agency has considered suspension or debarment of the

corporation and has made a determination that this further action is not necessary to protect the interests of the

Government. A “corporation” is a legal entity that is separate and distinct from the entities that own, manage, or

control it. It is organized and incorporated under the jurisdictional authority of a governmental body, such as a

State or the District of Columbia. A corporation may be a for-profit or non-profit organization.

As required by the appropriations act(s) prohibitions, the Government will not enter into a contract,

memorandum of understanding, or cooperative agreement with, make a grant to, or provide a loan or loan

guarantee with any corporation that — (1) Has any unpaid Federal tax liability that has been assessed, for which

all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a

timely manner pursuant to an agreement with the authority responsible for collecting the tax liability, where the

awarding agency is aware of the unpaid tax liability, unless an agency has considered suspension or debarment

of the corporation and made a determination that suspension or debarment is not necessary to protect the

interests of the Government; or (2) Was convicted of a felony criminal violation under any Federal law within

the preceding 24 months, where the awarding agency is aware of the conviction, unless an agency has

considered suspension or debarment of the corporation and made a determination that this action is not necessary

to protect the interests of the Government.

By accepting this award, the recipient represents that it is not a corporation that has any unpaid Federal tax

liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have

lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for

collecting the tax liability; and it is not a corporation that was convicted of a felony criminal violation under a

Federal law within the preceding 24 months.

Alternatively, by accepting this award, the recipient represents that it disclosed unpaid Federal tax liability

information and/or Federal felony conviction information to the EPA. The recipient may accept this award if the

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EPA Suspension and Debarment Official has considered suspension or debarment of the corporation based on

tax liabilities and/or Federal felony convictions and determined that suspension or debarment is not necessary to

protect the Government's interests.

If the recipient fails to comply with this term and condition, EPA will annul this agreement and may recover any

funds the recipient has expended in violation of the appropriations act(s) prohibition(s). The EPA may also

pursue other administrative remedies as outlined in 2 CFR 200.339 and 2 CFR 200.340, and may also pursue

suspension and debarment.

23. Disclosing Conflict of Interests

23.1. For awards to Non-federal entities and individuals (other than states and fellowship recipients under

40 CFR Part 46).

As required by 2 CFR 200.112, EPA has established a policy (COI Policy) for disclosure of

conflicts of interest (COI) that may affect EPA financial assistance awards. EPA’s COI Policy

is posted at https://www.epa.gov/grants/epas-financial-assistance-conflict-interest-policy

The posted version of EPA’s COI Policy is applicable to new funding (initial awards,

supplemental and incremental funding) awarded on or after October 1, 2015. This COI term

and condition supersedes prior COI terms and conditions for this award based on either EPA’s

May 22, 2015 Revised Interim COI Policy or December 26, 2014 Interim COI Policy.

For competitive awards, recipients must disclose any competition related COI described in section

4.0(a) of the COI Policy that are discovered after award to the EPA Grants Specialist listed on the

Assistance Agreement/Amendment within 30 calendar days of discovery of the COI. The Grants

Specialist will respond to any such disclosure within 30 calendar days.

EPA’s COI Policy requires that recipients have systems in place to address, resolve and

disclose to EPA COIs described in sections 4.0(b), (c) and/or (d) of the COI Policy that affect

any contract or subaward regardless of amount funded under this award. The recipient’s COI

Point of Contact for the award must disclose any COI to the EPA Grants Specialist listed on

the Assistance Agreement/Amendment within 30 calendar days of the discovery of the

potential COI and their approach for resolving the COI.

EPA’s COI Policy requires that subrecipients have systems in place to address, resolve and

disclose COI’s described in section 4.0(b)(c) and (d) of the COI Policy regardless of the

amount of the transaction. Recipients who are pass-through entities as defined at 2 CFR 200.1

must require that subrecipients being considered for or receiving subawards disclose COI to

the pass-through entities in a manner that, at a minimum, is in accordance with sections 5.0(d)

and 7.0(c) of EPA’s COI Policy. Pass-through entities must disclose the subrecipient COI

along with the approach for resolving the COI to the EPA Grants Specialist listed on the

Assistance Agreement/Amendment within 30 calendar days of receiving notification of the

COI by the subrecipient.

EPA only requires that recipients and subrecipients disclose COI’s that are discovered under

their systems for addressing and resolving COI. If recipients or subrecipients do not discover a

COI, they do not need to advise EPA or the pass-through entity of the absence of a COI.

Upon notice from the recipient of a potential COI and the approach for resolving it, the Agency

will then make a determination regarding the effectiveness of these measures within 30 days of

receipt of the recipient’s notice unless a longer period is necessary due to the complexity of the

matter. Recipients may not request payment from EPA for costs for transactions subject to the

COI pending notification of EPA’s determination. Failure to disclose a COI may result in cost

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disallowances.

Disclosure of a potential COI will not necessarily result in EPA disallowing costs, with the

exception of procurement contracts that the Agency determines violate 2 CFR 200.318(c)(1) or

(2), provided the recipient notifies EPA of measures the recipient or subrecipient has taken to

eliminate, neutralize or mitigate the conflict of interest when making the disclosure.

23.2. For awards to states including state universities that are state agencies or instrumentalities

As required by 2 CFR 200.112, EPA has established a policy (COI Policy) for disclosure of conflicts

of interest (COI) that may affect EPA financial assistance awards. EPA’s COI Policy is posted at:

https://www.epa.gov/grants/epas-financial-assistance-conflict-interest-policy

. The posted version of

EPA’s COI Policy is applicable to new funding (initial awards, supplemental, incremental funding)

awarded on or after October 1, 2015. This COI term and condition supersedes prior COI terms and

conditions for this award based on either EPA’s May 22, 2015 Revised Interim COI Policy or

December 26, 2014 Interim COI Policy.

For competitive awards, recipients must disclose any competition related COI described in section 4.0(a)

of the COI Policy that are discovered after award to the EPA Grants Specialist listed on the Assistance

Agreement/Amendment within 30 calendar days of discovery of the COI. The Grants Specialist will

respond to any such disclosure within 30 calendar days.

States including state universities that are state agencies and instrumentalities receiving funding from EPA

are only required to disclose subrecipient COI as a pass-through entity as defined by 2 CFR 200.1. Any

other COI are subject to state laws, regulations and policies. EPA’s COI Policy requires that subrecipients

have systems in place to address, resolve and disclose COIs described in section 4.0(b)(c) and (d) of the

COI Policy that arise after EPA made the award regardless of the amount of the transaction. States who

are pass-through entities as defined at 2 CFR 200.1 must require that subrecipients being considered for or

receiving subawards disclose COI to the state in a manner that, as a minimum, in accordance with sections

5.0(d) and 7.0(c) of EPA’s COI Policy. States must disclose the subrecipient COI along with the approach

for resolving the COI to the EPA Grants Specialist listed on the Assistance Agreement/Amendment

within 30 calendar days of receiving notification of the COI by the subrecipient.

EPA onl

y requires that subrecipients disclose COI’s to state pass-through entities that are discovered under

their systems for addressing, resolving, and disclosing COI. If subrecipients do not discover a COI, they

do not need to advise state pass-through entities of the absence of a COI.

Upon receiving notice of a potential COI and the approach for resolving it, the Agency will make a

determination regarding the effectiveness of these measures within 30 days of receipt of the state’s notice

of a subrecipient COI unless a longer period is necessary due to the complexity of the matter. States may

not request payment from EPA for costs for transactions subject to the COI pending notification of EPA’s

determination. A subrecipient’s failure to disclose a COI to the state and EPA may result in cost

disallowances.

Disclosure of a potential subrecipient COI will not necessarily result in EPA disallowing costs, with the

exception of procurement contracts that the Agency determines violate 2 CFR 200.318(c)(1) or (2),

provided the subrecipient has taken measures that EPA and the state agree eliminate, neutralize or mitigate

the conflict of interest.

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24. Transfer of Funds (Updated 6/14/2023)

24.1. Transfer of Funds

Applicable to all assistance agreements other than Continuing Environmental Program Grants subject to

40 CFR 35.114 and 40 CFR 35.514 when EPA’s share of the total project costs exceeds the Simplified

Acquisition Threshold. Simplified Acquisition Threshold is defined at 2 CFR 200.1 and is currently set at

$250,000 but the amount is subject to adjustment.

(1) As provided at 2 CFR 200.308(f), the recipient must obtain prior approval from EPA’s Grants Management

Officer if the cumulative amount of funding transfers among direct budget categories or programs, functions and

activities exceeds 10% of the total budget. Recipients must submit requests for prior approval to the Grant

Specialist and Grants Management Officer with a copy to the Project Officer for this agreement.

(2) Recipients must notify EPA’s Grant Specialist and Project Officer of cumulative funding transfers among

direct budget categories or programs, functions and activities that do not exceed 10% of the total budget for the

agreement. Prior approval by EPA’s Grant Management Officer is required if the transfer involves any of the

items listed in 2 CFR 200.407 that EPA did not previously approve at time of award or in response to a previous

post-award request by the recipient.

24.2. Post-Award Changes for Continuing Environmental Program Grants

Applicable to Continuing Environmental Program Grants subject to 40 CFR 35.114 and 40 CFR 35.514

when EPA’s share of the total project costs exceeds the Simplified Acquisition Threshold. Simplified

Acquisition Threshold is defined at 2 CFR 200.1 and is currently set at $250,000 but the amount is

subject to adjustment.

To determine if a post-award change in work plan commitments is significant and requires prior written approval

for the purposes of 40 CFR §35.114(a) or 40 CFR §35.514(a)

, the recipient agrees to consult the EPA Project

Officer (PO) before making the change. The term work plan commitments is defined at 40 CFR §35.102. If the

PO determines the change is significant, the recipient cannot make the change without prior written approval by

the EPA Award Official or Grants Management Officer.

The recipient must obtain written approval from the EPA Award Official prior to transferring funds from one

budget category to another if the EPA Award Official determines that such transfer significantly changes work

plan commitment(s). All transfers must be reported in required performance reports. In addition, unless

approved with the budget at the time of award, Continuing Environmental Program (CEP) recipients must also

obtain prior written approval from the EPA Award Official or Grants Management Officer to use EPA funds for

directly charging compensation for administrative and clerical personnel under 2 CFR 200.413(c) and the

General Provisions for Selected Items of Cost allowability at 2 CFR 200.420 through 200.476 as supplemented

by EPA’s Guidance on Selected Items of Cost

. The recipient is not required to obtain prior written approval

from the EPA Award Official for other items requiring prior EPA approval listed in 2 CFR §§ 200.407.

25. Electronic/Digital Signatures on Financial Assistance Agreement Form(s)/Document(s)

Throughout the life of this assistance agreement, the recipient agrees to ensure that any form(s)/document(s)

required to be signed by the recipient and submitted to EPA through any means including but not limited to hard

copy via U.S. mail or express mail, hand delivery or through electronic means such as e-mail are: (1) signed by

the individual identified on the form/document, and (2) the signer has the authority to sign the form/document

for the recipient. Submission of any signed form(s)/document(s) is subject to any provisions of law on making

false statements (e.g., 18 U.S.C. 1001).

26. Extension of Project/Budget Period Expiration Date

EPA has not exercised the waiver option to allow automatic one-time extensions for non-research

grants under 2 CFR 200.308

(e)(2). Therefore, if a no-cost time extension is necessary to extend the

period of availability of funds, the recipient must submit a written request to the EPA prior to the

budget/project period expiration dates. The written request must include: a justification describing

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the need for additional time, an estimated date of completion, and a revised schedule for project

completion including updated milestone target dates for the approved workplan activities. In

addition, if there are overdue reports required by the general, administrative, and/or programmatic

terms and conditions of this assistance agreement, the recipient must ensure that they are submitted

along with or prior to submitting the no-cost time extension request.

27. Utilization of Disadvantaged Business Enterprises

GENERAL COMPLIANCE, 40 CFR, Part 33

The recipient agrees to comply with the requirements of EPA's Disadvantaged Business Enterprise (DBE)

Program for procurement activities under assistance agreements, contained in 40 CFR, Part 33.

The following text either provides updates to 40 CFR, Part 33 based upon the associated class exception or

highlights a requirement.

1. EPA MBE/WBE CERTIFICATION, 40 CFR, Part 33, Subpart B

EPA no longer certifies entities as Minority-Owned Business Entities (MBEs) or Women-Owned

Business Entities (WBEs) pursuant to a class exception issued in October 2019. The class exception was

authorized pursuant to the authority in 2 CFR, Section 1500.3(b).

2. SIX GOOD FAITH EFFORTS, 40 CFR, Part 33, Subpart C

Pursuant to 40 CFR Section 33.301, the recipient agrees to make good faith efforts whenever procuring

construction, equipment, services and supplies under an EPA financial assistance agreement, and to

require that sub-recipients, loan recipients, and prime contractors also comply. Records documenting

compliance with the six good faith efforts shall be retained. The specific six good faith efforts can be

found at: 40 CFR Section 33.301 (a)-(f)

However, in EPA assistance agreements that are for the benefit of Native Americans, the recipient must

solicit and recruit Native American organizations and Native American-owned economic enterprises and

give them preference in the award process prior to undertaking the six good faith efforts (

40 CFR Section

33.304). If recruiting efforts are unsuccessful, the recipient must follow the six good faith efforts.

3. CONTRACT ADMINISTRATION PROVISIONS, 40 CFR Section 33.302

The recipient agrees to comply with the contract administration provisions of 40 CFR Section 33.302

(a)-

(d) and (i).

4. BIDDERS LIST, 40 CFR Section 33.501(b) and (c)

Recipients of a Continuing Environmental Program Grant or other annual reporting grant, agree to create

and maintain a bidders list. Recipients of an EPA financial assistance agreement to capitalize a revolving

loan fund also agree to require entities receiving identified loans to create and maintain a bidders list if the

recipient of the loan is subject to, or chooses to follow, competitive bidding requirements. Please see 40

CFR Section 33.501 (b) and (c) for specific requirements and exemptions.

5. FAIR SHARE OBJECTIVES, 40 CFR, Part 33, Subpart D

In October 2019, a class exception to the entire Subpart D of 40 CFR, Part 33 has been authorized

pursuant to the authority in 2 CFR Section 1500.3(b). Notwithstanding Subpart D of 40 CFR, Part 33,

recipients are not required to negotiate or apply fair share objectives in procurements under assistance

agreements.

6. MBE/WBE REPORTING, 40 CFR, Part 33, Subpart E

When required, the recipient agrees to complete and submit a “MBE/WBE Utilization Under Federal

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Grants and Cooperative Agreements” report (EPA Form 5700-52A) on an annual basis. The current EPA

Form 5700-52A can be found at the EPA Grantee Forms Page at

https://www.epa.gov/system/files/documents/2021-08/epa_form_5700_52a.pdf

Reporting is required for assistance agreements where funds are budgeted for procuring construction,

equipment, services and supplies (including funds budgeted for direct procurement by the recipient or

procurement under subawards or loans in the “Other” category) with a cumulative total that exceed the

Simplified Acquisition Threshold (SAT) (currently, $250,000 however the threshold will be

automatically revised whenever the SAT is adjusted; See 2 CFR Section 200.1), including amendments

and/or modifications. When reporting is required, all procurement actions are reportable, not just the

portion which exceeds the SAT.

Annual reports are due by October 30th of each year. Final reports are due 120 days after the end

of the project period.

This provision represents an approved exception from the MBE/WBE reporting requirements as described

in 40 CFR Section 33.502.

7. MBE/WBE RECORDKEEPING, 40 CFR, Part 33, Subpart E

The recipient agrees to comply with all recordkeeping requirements as stipulated in 40 CFR, Part 33,

Subpart E including creating and maintaining a bidders list, when required. Any document created as a

record to demonstrate compliance with any requirement of 40 CFR, Part 33 must be maintained pursuant

to the requirements stated in this Subpart.

Programmatic General Terms and Conditions

28. Sufficient Progress

EPA will measure sufficient progress by examining the performance required under the workplan in

conjunction with the milestone schedule, the time remaining for performance within the project period and/or

the availability of funds necessary to complete the project. EPA may terminate the assistance agreement for

failure to ensure reasonable completion of the project within the project period.

29. Copyrighted Material and Data

In accordance with 2 CFR 200.315

, EPA has the right to reproduce, publish, use and authorize others to

reproduce, publish and use copyrighted works or other data developed under this assistance agreement for

Federal purposes.

Examples of a Federal purpose include but are not limited to: (1) Use by EPA and other Federal employees for

official Government purposes; (2) Use by Federal contractors performing specific tasks for [i.e., authorized

by] the Government; (3) Publication in EPA documents provided the document does not disclose trade secrets

(e.g. software codes) and the work is properly attributed to the recipient through citation or otherwise; (4)

Reproduction of documents for inclusion in Federal depositories; (5) Use by State, tribal and local

governments that carry out delegated Federal environmental programs as “co-regulators” or act as official

partners with EPA to carry out a national environmental program within their jurisdiction and; (6) Limited use

by other grantees to carry out Federal grants provided the use is consistent with the terms of EPA’s

authorization to the other grantee to use the copyrighted works or other data.

Under Item 6, the grantee acknowledges that EPA may authorize another grantee(s) to use the copyrighted

works or other data developed under this grant as a result of:

• the selection of another grantee by EPA to perform a project that will involve the use of the

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copyrighted works or other data or;

• termination or expiration of this agreement.

In addition, EPA may authorize another grantee to use copyrighted works or other data developed with Agency

funds provided under this grant to perform another grant when such use promotes efficient and effective use

of Federal grant funds.

30. Patents and Inventions

Rights to inventions made under this assistance agreement are subject to federal patent and licensing

regulations, which are codified at Title 37 CFR Part 401 and Title 35 USC Sections 200-212.

Pursuant to the Bayh-Dole Act (set forth in 35 USC 200-212), EPA retains the right to a worldwide,

nonexclusive, nontransferable, irrevocable, paid-up license to practice the invention owned by the assistance

agreement holder, as defined in the Act. To streamline the invention reporting process and to facilitate

compliance with the Bayh-Dole Act, the recipient must utilize the Interagency Edison extramural invention

reporting system at https://www.nist.gov/iedison

. Annual utilization reports must be submitted through the

system. The recipient is required to notify the Project Officer identified on the award document when an

invention report, patent report, or utilization report is filed at

https://www.nist.gov/iedison. EPA elects not to

require the recipient to provide a report prior to the close-out of a funding agreement listing all subject

inventions or stating that there were none.

In accordance with Executive Order 12591, as amended, government owned and operated laboratories can

enter into cooperative research and development agreements with other federal laboratories, state and local

governments, universities, and the private sector, and license, assign, or waive rights to intellectual property

“developed by the laboratory either under such cooperative research or development agreements and from

within individual laboratories.”

31. Acknowledgement Requirements for Non-ORD Assistance Agreements

The recipient agrees that any reports, documents, publications or other materials developed for public

distribution supported by this assistance agreement shall contain the following statement:

"This project has been funded wholly or in part by the United States Environmental Protection Agency under

assistance agreement (number) to (recipient). The contents of this document do not necessarily reflect the views

and policies of the Environmental Protection Agency, nor does the EPA endorse trade names or recommend the

use of commercial products mentioned in this document.”

Recipients of EPA Office of Research Development (ORD) research awards must follow the acknowledgement

requirements outlined in the research T&Cs available at: https://www.nsf.gov/awards/managing/rtc.jsp

. A

Federal-wide workgroup is currently updating the Federal-Wide Research Terms and Conditions Overlay to the

Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards and when

completed recipients of EPA ORD research must abide by the research T&Cs.

32. Electronic and Information Technology Accessibility

Recipients are subject to the program accessibility provisions of Section 504 of the Rehabilitation Act, codified

in 40 CFR Part 7, which includes an obligation to provide individuals with disabilities reasonable

accommodations and an equal and effective opportunity to benefit from or participate in a program, including

those offered through electronic and information technology (“EIT”). In compliance with Section 504, EIT

systems or products funded by this award must be designed to meet the diverse needs of users (e.g., U.S. public,

recipient personnel) without barriers or diminished function or quality. Systems shall include usability features

or functions that accommodate the needs of persons with disabilities, including those who use assistive

technology. At this time, the EPA will consider a recipient’s websites, interactive tools, and other EIT as being

in compliance with Section 504 if such technologies meet standards established under Section 508 of the

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Rehabilitation Act, codified at 36 CFR Part 1194. While Section 508 does not apply directly to grant recipients,

we encourage recipients to follow either the 508 guidelines or other comparable guidelines that concern

accessibility to EIT for individuals with disabilities.

Recipients may wish to consult the latest Section 508 guidelines issued by the U.S. Access Board or W3C’s

Web Content Accessibility Guidelines (WCAG) 2.0 (see

https://www.access-

board.gov/about/policy/accessibility.html).

33. Human Subjects

Human subjects research is any activity that meets the regulatory definitions of both research AND human

subject. Research is a systematic investigation, including research development, testing and evaluation,

designed to develop or contribute to generalizable knowledge. Human subject means a living individual about

whom an investigator (whether professional or student) conducting research obtains (1) data through

intervention or interaction with the individual, or (2) identifiable private information. [40 CFR 26.102 (d)(f)]

No research involving human subjects will be conducted under this agreement without prior written approval

of the EPA to proceed with that research. If engaged in human subjects research as part of this agreement,

the recipient agrees to comply with all applicable provisions of EPA Regulation 40 CFR 26 (Protection of

Human Subjects). This includes, at Subpart A, the Basic Federal Policy for the Protection of Human Research

Subjects, also known as the Common Rule. It also includes, at Subparts B, C, and D, prohibitions and

additional protections for children, nursing women, pregnant women, and fetuses in research conducted or

supported by EPA.

The recipient further agrees to comply with EPA’s procedures for oversight of the recipient’s compliance with

40 CFR 26, as given in EPA Order 1000.17 Change A1 (Policy and Procedures on Protection of Human

Research Subjects in EPA Conducted or Supported Research). As per this order, no human subject may be

involved in any research conducted under this assistance agreement, including recruitment, until the research

has been approved or determined to be exempt by the EPA Human Subjects Research Review Official

(HSRRO) after review of the approval or exemption determination of the Institutional Review Board(s)

(IRB(s)) with jurisdiction over the research under 40 CFR 26.

For HSRRO approval, the recipient must forward to the Project Officer: (1) copies of all documents upon which

the IRB(s) with jurisdiction based their approval(s) or exemption determination(s), (2) copies of the IRB

approval or exemption determination letter(s), (3) copy of the IRB-approved consent forms and subject

recruitment materials, if applicable, and (4) copies of all supplementary IRB correspondence.

Following the initial approvals indicated above, the recipient must, as part of the annual report(s), provide

evidence of continuing review and approval of the research by the IRB(s) with jurisdiction, as required by 40

CFR 26.109(e). Materials submitted to the IRB(s) for their continuing review and approval are to be provided

to the Project Officer upon IRB approval. During the course of the research, investigators must promptly report

any unanticipated problems involving risk to subjects or others according to requirements set forth by the IRB.

In addition, any event that is significant enough to result in the removal of the subject from the study should

also be reported to the Project Officer, even if the event is not reportable to the IRB of record.

34. Animal Subjects

The recipient agrees to comply with the Animal Welfare Act of 1966 (P.L. 89-544), as amended, 7 USC 2131-

2156. Recipient also agrees to abide by the “U.S. Government Principles for the Utilization and Care of

Vertebrate Animals used in Testing, Research, and Training.” (Federal Register 50(97): 20864-20865. May

20,1985). The nine principles can be viewed at

https://olaw.nih.gov/policies-laws/phs-policy.htm. For

additional information about the Principles, the recipient should consult the Guide for the Care and Use of

Laboratory Animals, prepared by the Institute of Laboratory Animal Resources, National Research Council.

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35. Light Refreshments and/or Meals

APPLICABLE TO ALL AGREEMENTS EXCEPT STATE CONTINUING ENVIRONMENTAL

PROGRAMS (AS DESCRIBED BELOW):

Unless the event(s) and all of its components are described in the approved workplan, the recipient agrees to

obtain prior approval from EPA for the use of grant funds for light refreshments and/or meals served at

meetings, conferences, training workshops and outreach activities (events). The recipient must send requests for

approval to the EPA Project Officer and include:

(1) An estimated budget and description for the light refreshments, meals, and/or beverages to be served at the

event(s);

(2) A description of the purpose, agenda, location, length and timing for the event; and,

(3) An estimated number of participants in the event and a description of their roles.

Costs for light refreshments and meals for recipient staff meetings and similar day-to-day activities are not

allowable under EPA assistance agreements.

Recipients may address questions about whether costs for light refreshments, and meals for events may be

allowable to the recipient’s EPA Project Officer; however, the Agency Award Official or Grant Management

Officer will make final determinations on allowability. Agency policy prohibits the use of EPA funds for

receptions, banquets and similar activities that take place after normal business hours unless the recipient has

provided a justification that has been expressly approved by EPA's Award Official or Grants Management

Officer.

EPA funding for meals, light refreshments, and space rental may not be used for any portion of an event where

alcohol is served, purchased, or otherwise available as part of the event or meeting, even if EPA funds are not

used to purchase the alcohol.

Note: U.S. General Services Administration regulations define light refreshments for morning, afternoon or

evening breaks to include, but not be limited to, coffee, tea, milk, juice, soft drinks, donuts, bagels, fruit,

pretzels, cookies, chips, or muffins. (41 CFR 301-74.7)

FOR STATE CONTINUING ENVIRONMENTAL PROGRAM GRANT RECIPIENTS EXCLUDING

STATE UNIVERSITIES:

If the state maintains systems capable of complying with federal grant regulations at 2 CFR 200.432 and 200.438,

EPA has waived the prior approval requirements for the use of EPA funds for light refreshments and/or meals

served at meetings, conferences, and training, as described above. The state may follow its own procedures

without requesting prior approval from EPA. However, notwithstanding state policies, EPA funds may not be

used for (1) evening receptions, or (2) other evening events (with the exception of working meetings). Examples

of working meetings include those evening events in which small groups discuss technical subjects on the basis of

a structured agenda or there are presentations being conducted by experts. EPA funds for meals, light

refreshments, and space rental may not be used for any portion of an event (including evening working meetings)

where alcohol is served, purchased, or otherwise available as part of the event or meeting, even if EPA funds are

not used to purchase the alcohol.

By accepting this award, the state is certifying that it has systems in place (including internal controls) to comply

with the requirements described above.

36. Tangible Personal Property

36.1. Reporting Pursuant to 2 CFR 200.312 and 200.314, property reports, if applicable, are required for

Federally-owned property in the custody of a non-Federal entity upon completion of the Federal award or

when the property is no longer needed. Additionally, upon termination or completion of the project,

residual unused supplies with a total aggregate fair market value exceeding $5,000 not needed for any other

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Federally-sponsored programs or projects must be reported. For Superfund awards under Subpart O, refer

to 40 CFR 35.6340 and 35.6660 for property reporting requirements. Recipients should utilize the Tangible

Personal Property Report form series (SF-428) to report tangible personal property.

36.2. Disposition

36.2.1 Most Recipients. Consistent with 2 CFR 200.313, unless instructed otherwise on the official award

document, this award term, or at closeout, the recipient may keep the equipment and continue to use it on the

project originally funded through this assistance agreement or on other federally funded projects whether or

not the project or program continues to be supported by Federal funds.

36.2.2 State Agencies. Per 2 CFR 200.313(b), state agencies may manage and dispose of equipment acquired

under this assistance agreement in accordance with state laws and procedures.

36.2.3 Superfund Recipients. Equipment purchased under Superfund projects is subject to specific disposal

options in accordance with 40 CFR Part 35.6345.

37. Dual Use Research of Concern (DURC)

The recipient agrees to conduct all life science research

in compliance with EPA’s Order on the Policy and

Procedures for Managing Dual Use Research of Concern (EPA DURC Order) and United States Government

Policy for Institutional Oversight of Life Sciences Dual Use Research of Concern (iDURC Policy). If the

recipient is an institution within the United States that receives funding through this agreement, or from any

other source, the recipient agrees to comply with the iDURC Policy if they conduct or sponsor research

involving any of the agents or toxins identified in Section 6.2.1 of the iDURC Policy. If the institution is outside

the United States and receives funding through this agreement to conduct or sponsor research involving any of

those same agents or toxins, the recipient agrees to comply with the iDURC Policy. The recipient agrees to

provide any additional information that may be requested by EPA regarding DURC and iDURC. The recipient

agrees to immediately notify the EPA Project Officer should the project use or introduce use of any of the agents

or toxins identified in the iDURC Policy. The recipient’s Institution/Organization must also comply with USG

iDURC policy and EPA DURC Order and will inform the appropriate government agency if funded by such

agency of research with the agents or toxins identified in Section 6.2.1 of the iDURC Policy. If privately funded

the recipient agrees to notify the National Institutes of Health at

[email protected]ih.gov.

*“Life Sciences Research,” for purposes of the EPA DURC Order, and based on the definition of research in 40

CFR §26.102(d), is a systematic investigation designed to develop or contribute to generalizable knowledge

involving living organisms (e.g., microbes, human beings, animals, and plants) and their products. EPA does not

consider the following activities to be research: routine product testing, quality control, mapping, collection of

general-purpose statistics, routine monitoring and evaluation of an operational program, observational studies,

and the training of scientific and technical personnel. [Note: This is consistent with Office of Management and

Budget Circular A-11.]

38. Research Misconduct

In accordance with 2 CFR 200.329, the recipient agrees to notify the EPA Project Officer in writing about

research misconduct involving research activities that are supported in whole or in part with EPA funds under

this project. EPA defines research misconduct as fabrication, falsification, or plagiarism in proposing,

performing, or reviewing research, or in reporting research results [65 FR 76262. I], or ordering, advising or

suggesting that subordinates engage in research misconduct. The recipient agrees to:

(1) Immediately notify the EPA Project Officer who will then inform the EPA Office of Inspector General (OIG)

if, at any time, an allegation of research misconduct falls into one of the categories listed below:

A. Public health or safety is at risk.

B. Agency resources or interests are threatened.

C. Circumstances where research activities should be suspended.

D. There is a reasonable indication of possible violations of civil or criminal law.

E. Federal action is required to protect the interests of those involved in the investigation.

F. The research entity believes that the inquiry or investigation may be made public prematurely so that

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appropriate steps can be taken to safeguard evidence and protect the rights of those involved.

G. Circumstances where the research community or public should be informed. [65 FR 76263.III]

(2) Report other allegations to the OIG when they have conducted an inquiry and determined that there is

sufficient evidence to proceed with an investigation. [65 FR 76263. III]

39. Scientific Integrity Terms and Conditions

The recipient agrees to comply with EPA’s Scientific Integrity Policy

when conducting, supervising, and

communicating science and when using or applying the results of science. For purposes of this award condition

scientific activities include, but are not limited to, computer modelling, economic analysis, field sampling,

laboratory experimentation, demonstrating new technology, statistical analysis, and writing a review article on a

scientific issue. The recipient agrees to:

39.1 Scientific Products

39.1.1 Produce scientific products of the highest quality, rigor, and objectivity, by adhering to

applicable EPA information quality guidelines quality policy

and peer review policy.

39.1.2 Prohibit all recipient employees, contractors, and program participants, including

scientists, managers, and other recipient leadership, from suppressing, altering, or

otherwise impeding the timely release of scientific findings or conclusions.

39.1.3 Adhere to EPA’s Peer Review Handbook, 4

Edition, for the peer review of scientific

and technical work products generated through EPA grants or cooperative agreements

which, by definition, are not primarily for EPA’s direct use or benefit.

39.2 Scientific Findings

39.2.1 Require that reviews regarding the content of a scientific product that are conducted by

the project manager and other recipient managers and the broader management chain be

based only on scientific quality considerations, e.g., the methods used are clear and

appropriate, the presentation of results and conclusions is impartial.

39.2.2 Ensure scientific findings are generated and disseminated in a timely and transparent

manner, including scientific research performed by employees, contractors, and program

participants, who assist with developing or applying the results of scientific activities.

39.2.3 Include, when communicating scientific findings, an explication of underlying

assumptions, accurate contextualization of uncertainties, and a description of the

probabilities associated with both optimistic and pessimistic projections, if applicable.

39.2.4 Document the use of independent validation of scientific methods.

39.2.5 Document any independent review of the recipient’s scientific facilities and testing

activities, as occurs with accreditation by a nationally or internationally recognized

sanctioning body.

39.2.6 Make scientific information available online in open formats in a timely manner,

including access to data and non-proprietary models.

39.3 Scientific Misconduct

39.3.1 Prohibit intimidation or coercion of scientists to alter scientific data, findings, or

professional opinions or non-scientific influence of scientific advisory boards. In

addition, recipient employees, contractors, and program participants, including scientists,

managers, and other leadership, shall not knowingly misrepresent, exaggerate, or

downplay areas of scientific uncertainty.

39.3.2 Prohibit retaliation or other punitive actions toward recipient employees who uncover or

report allegations of scientific and research misconduct, or who express a differing

scientific opinion. Employees who have allegedly engaged in scientific or research

misconduct shall be afforded the due process protections provided by law, regulation, and

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applicable collective bargaining agreements, prior to any action. Recipients shall ensure

that all employees and contractors of the recipient shall be familiar with these protections

and avoid the appearance of retaliatory actions.

39.3.3 Require all recipient employees, contractors, and program participants to act honestly and

refrain from acts of research misconduct, including publication or reporting, as described

in EPA’s Policy and Procedures for Addressing Research Misconduct

, Section 9.C.

Research misconduct does not include honest error or differences of opinion. While EPA

retains the ultimate oversight authority for EPA-supported research, grant recipients

conducting research bear primary responsibility for prevention and detection of research

misconduct and for the inquiry, investigation, and adjudication of research misconduct

alleged to have occurred in association with their own institution.

39.3.4 Take the actions required on the part of the recipient described in EPA’s Policy and

Procedures for Addressing Research Misconduct, Sections 6 through 9, when research

misconduct is suspected or found.

39.4 Additional Resources

For more information about the Scientific Integrity Policy, an introductory video can be accessed at:

https://youtu.be/FQJCy8BXXq8. A training video is available at: https://youtu.be/Zc0T7fooot8

40. Post-Award Disclosure of Current and Pending Support on Research Grants (Added 8/8/2023)

The recipient is required to notify EPA if there has been a change in support for the principal investigator and/or

major co-investigators listed on EPA Key Contacts Form, EPA Form 5700-54, since submission of its application

or the last reporting period in the performance report. If there has been a change, the recipient must report the

change within 30 calendar days to the EPA Project Officer. The information should also be included in the next

due performance report. EPA may consult with the Principal Investigator and the Authorized Representative, to

determine the impact of the new information on the EPA-funded research grant and, where necessary, take

appropriate action.

If the recipient discovers that an investigator on an active EPA research grant failed to disclose current and

pending support information or provided inaccurate information as part of the proposal submission process, it

must provide the revised current and pending support information to the EPA Project Officer within 30 calendar

days of the identification of the undisclosed or inaccurate current and pending support information.

Public Policy Requirements

41. Civil Rights Obligations

This term and condition incorporates by reference the signed assurance provided by the recipient’s authorized

representative on: 1) EPA Form 4700-4, “Preaward Compliance Review Report for All Applicants and

Recipients Requesting EPA Financial Assistance”; and 2) Certifications and Representations in Sam.gov or

Standard Form 424D, as applicable.

These assurances and this term and condition obligate the recipient to comply fully with applicable civil rights

statutes and implementing federal and EPA regulations.

a. Statutory Requirements

i. In carrying out this agreement, the recipient must comply with:

1. Title VI of the Civil Rights Act of 1964, which prohibits discrimination based on race,

color, and national origin, including limited English proficiency (LEP), by entities

receiving Federal financial assistance.

2. Section 504 of the Rehabilitation Act of 1973, which prohibits discrimination against

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persons with disabilities by entities receiving Federal financial assistance; and

3. The Age Discrimination Act of 1975, which prohibits age discrimination by entities

receiving Federal financial assistance.

ii. If the recipient is an education program or activity (e.g., school, college or university) or if the

recipient is conducting an education program or activity under this agreement, it must also

comply with:

1. Title IX of the Education Amendments of 1972, which prohibits discrimination on the

basis of sex in education programs and activities operated by entities receiving Federal

financial assistance. For further information about your compliance obligations regarding

Title IX, see 40 CFR Part 5 and https://www.justice.gov/crt/title-ix

iii. If this agreement is funded with financial assistance under the Clean Water Act (CWA),

the recipient must also comply with:

1. Section 13 of the Federal Water Pollution Control Act Amendments of 1972, which

prohibits discrimination on the basis of sex in CWA-funded programs or activities.

b. Regulatory Requirements

i. The recipient agrees to comply with all applicable EPA civil rights regulations, including:

1. For Title IX obligations, 40 C.F.R. Part 5; and

2. For Title VI, Section 504, Age Discrimination Act, and Section 13 obligations, 40 CFR

Part7.

3. For statutory and national policy requirements, including those prohibiting

discrimination and those described in Executive Order 13798 promoting free speech

and religious freedom, 2 CFR 200.300.

4. As noted on the EPA Form 4700-4 signed by the recipient’s authorized representative,

these regulations establish specific requirements including maintaining compliance

information, establishing grievance procedures, designating a Civil Rights Coordinator

and providing notices of non-discrimination.

c. TITLE VI – LEP, Public Participation and Affirmative Compliance Obligation

i. As a recipient of EPA financial assistance, you are required by Title VI of the Civil Rights

Act to provide meaningful access to LEP individuals. In implementing that requirement, the

recipient agrees to use as a guide the Office of Civil Rights (OCR) document entitled

"Guidance to Environmental Protection Agency Financial Assistance Recipients Regarding

Title VI Prohibition Against National Origin Discrimination Affecting Limited English

Proficient Persons." The guidance can be found at:

https://www.federalregister.gov/documents/2004/06/25/04-14464/guidance-to-

environmental-protection-agency-financial-assistance-recipients-regarding-title-vi

ii. If the recipient is administering permitting programs under this agreement, the recipient

agrees to use as a guide OCR’s Title VI Public Involvement Guidance for EPA Assistance

Recipients Administering Environmental Permitting Programs. The Guidance can be found

at: https://www.govinfo.gov/content/pkg/FR-2006-03-21/pdf/06-2691.pdf

iii. In accepting this assistance agreement, the recipient acknowledges it has an affirmative

obligation to implement effective Title VI compliance programs and ensure that its actions do

not involve discriminatory treatment and do not have discriminatory effects even when

facially neutral. The recipient must be prepared to demonstrate to EPA that such compliance

programs exist and are being implemented or to otherwise demonstrate how it is meeting its

Title VI obligations.

42. Drug-Free Workplace

The recipient organization of this EPA assistance agreement must make an ongoing, good faith effort to

maintain a drug-free workplace pursuant to the specific requirements set forth in Title 2 CFR Part 1536

Subpart B. Additionally, in accordance with these regulations, the recipient organization must identify all

known workplaces under its federal awards, and keep this information on file during the performance of the

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award.

Those recipients who are individuals must comply with the drug-free provisions set forth in Title 2 CFR Part

1536 Subpart C.

The consequences for violating this condition are detailed under Title 2 CFR Part 1536 Subpart E

. Recipients

can access the Code of Federal Regulations (CFR) Title 2 Part 1536 at www.ecfr.gov/.

43. Hotel-Motel Fire Safety

Pursuant to 15 USC 2225a, the recipient agrees to ensure that all space for conferences, meetings, conventions

or training seminars funded in whole or in part with federal funds complies with the protection and control

guidelines of the Hotel and Motel Fire Safety Act (PL 101-391, as amended). Recipients may search the

Hotel-Motel National Master List at https://apps.usfa.fema.gov/hotel/

to see if a property is in compliance, or

to find other information about the Act.

44. Lobbying Restrictions

a) This assistance agreement is subject to lobbying restrictions as described below. Applicable to all

assistance agreements:

i) The chief executive officer of this recipient agency shall ensure that no grant funds awarded

under this assistance agreement are used to engage in lobbying of the Federal Government or in

litigation against the U.S. unless authorized under existing law. The recipient shall abide by the

Cost Principles available at 2 CFR Part 200 which generally prohibits the use of federal grant

funds for litigation against the U.S. or for lobbying or other political activities.

ii) The recipient agrees to comply with Title 40 CFR Part 34, New Restrictions on Lobbying. The

recipient shall include the language of this provision in award documents for all subawards

exceeding $100,000 and require that subrecipients submit certification and disclosure forms

accordingly.

iii) In accordance with the Byrd Anti-Lobbying Amendment, any recipient who makes a prohibited

expenditure under Title 40 CFR Part 34 or fails to file the required certification or lobbying forms

shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such

expenditure.

iv) Contracts awarded by a recipient shall contain, when applicable, the anti-lobbying provision as

stipulated in the Appendix II to Part 200—Contract Provisions for Non-Federal Entity Contracts

Under Federal Awards.

v) B

y accepting this award, the recipient affirms that it is not a nonprofit organization described in

Section 501(c)(4) of the Internal Revenue Code of 1986 as required by Section 18 of the Lobbying

Disclosure Act; or that it is a nonprofit organization described in Section 501(c)(4) of the Code but

does not and will not engage in lobbying activities as defined in Section 3 of the Lobbying

Disclosure Act. Nonprofit organizations exempt from taxation under section 501(c)(4) of the

Internal Revenue Code that engage in lobbying activities are ineligible for EPA subawards.

b) Applicable to assistance agreements when the amount of the award is over $100,000:

i) By accepting this award, the recipient certifies, to the best of its knowledge and belief, that:

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(1) No Federal appropriated funds have been or will be paid, by or on behalf of the recipient, to any

person for influencing or attempting to influence an officer or employee of any agency, a Member

of Congress, an officer or employee of Congress, or an employee of a Member of Congress in

connection with the awarding of any Federal contract, the making of any Federal grant, the

making of any Federal loan, the entering into of any cooperative agreement, and the extension,

continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or

cooperative agreement.

(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person

for influencing or attempting to influence an officer or employee of any agency, a Member of

Congress, or any employee of a Member of Congress in connection with this Federal grant or

cooperative agreement, the recipient shall complete and submit the linked

Standard Form -- LLL,

"Disclosure Form to Report Lobbying," in accordance with its instructions.

(3) The recipient shall require that the language of this certification be included in the award

documents for all subawards exceeding $100,000 at all tiers (including subcontracts, subgrants,

and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall

certify and disclose accordingly.

ii) This certification is a material representation of fact upon which reliance was placed when this

transaction was made or entered into. Submission of this certification is a prerequisite for making or

entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to

file the required certification shall be subject to a civil penalty of not less than $10,000 and not more

than $100,000 for each failure.

45. Recycled Paper

When directed to provide paper documents, the recipient agrees to use recycled paper and double-sided

printing for all reports which are prepared as a part of this agreement and delivered to EPA. This requirement

does not apply to reports prepared on forms supplied by EPA.

46. Resource Conservation and Recovery Act

Consistent with goals of section 6002 of RCRA (42 U.S.C. 6962), State and local institutions of higher education,

hospitals and non-profit organization recipients agree to give preference in procurement programs to the purchase

of specific products containing recycled materials, as identified in 40 CFR Part 247.

Consistent with section 6002 of RCRA (42 U.S.C. 6962) and 2 CFR 200.323, State agencies or agencies of a

political subdivision of a State and its contractors are required to purchase certain items made from recycled

materials, as identified in 40 CFR Part 247, when the purchase price exceeds $10,000 during the course of a

fiscal year or where the quantity of such items acquired in the course of the preceding fiscal year was $10,000 or

more. Pursuant to 40 CFR 247.2 (d), the recipient may decide not to procure such items if they are not

reasonably available in a reasonable period of time; fail to meet reasonable performance standards; or are only

available at an unreasonable price.

47. T

rafficking in Persons

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

i. The recipient, the recipient’s employees, subrecipients under this award, and

subrecipients’ employees may not—

1. Engage in severe forms of trafficking in persons during the period of time that the

award is in effect;

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

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

ii. We as the Federal awarding agency may unilaterally terminate this award, without

penalty, if the recipient or a subrecipient that is a private entity—

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

2. Has an employee who is determined by the agency official authorized to

terminate the award to have violated a prohibition in paragraph a of this award

term through conduct that is either—

a. Associated with performance under this award; or

b. Imputed to the recipient or 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 1532.

b. Provision applicable to a recipient other than a private entity. EPA may unilaterally terminate this

award, without penalty, if a subrecipient that is a private entity—

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

ii. Has an employee who is determined by the agency official authorized to terminate the

award to have violated an applicable prohibition in paragraph a of this award term through

conduct that is either—

1. Associated with performance under this award; or

2. 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 EPA at 2 CFR Part 1532.

c. Provisions applicable to any recipient.

i. The recipient must inform the EPA immediately of any information received from any

source alleging a violation of a prohibition in paragraph a of this award term.

ii. Our right to terminate unilaterally that is described in paragraph a and b:

1. Implements section 106(g) of the Trafficking Victims Protection Act of 2000

(TVPA), as amended (22 U.S.C. 7104(g)), and

2. Is in addition to all other remedies for noncompliance that are available to us under

this award.

iii. The recipient must include the requirements of paragraph a of this award term in any

subaward made to a private entity.

d. Definitions. For purposes of this award term:

i. ‘‘Employee’’ means either:

1. An individual employed by you or a subrecipient who is engaged in the

performance of the project or program under this award; or

2. 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.

ii. ‘‘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.

iii. ‘‘Private entity’’:

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1. 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.

2. 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.

iv. ‘‘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).

48. Build America, Buy America (Effective May 14, 2022 and applicable to all funding that date forward;

Updated 6/14/2023)

a. The recipient is subject to the Buy America Sourcing requirements under the Build America, Buy America

provisions of the Infrastructure Investment and Jobs Act

(IIJA) (P.L. 117-58, §§70911-70917) for the types of

infrastructure projects under the EPA program and activities specified in EPA’s Identification of Federal

Financial Assistance Infrastructure Programs Subject to the Build America, Buy America Provisions of the

Infrastructure Investment and Jobs Act. None of the funds provided under this award may be used for a project of

infrastructure unless all iron and steel, manufactured products, and construction materials that are consumed in,

incorporated into, or affixed to an infrastructure project are produced in the United States. The Buy America

preference requirement applies to an entire infrastructure project, even if it is funded by both Federal and non-

Federal funds. The recipient must implement these requirements in its procurements, and these requirements must

flow down to all subawards and contracts at any tier. For legal definitions and sourcing requirements, the recipient

must consult EPA’s

Build America, Buy America website and the Office of Management and Budget’s (OMB)

Memorandum M-22-11, Initial Implementation Guidance on Application of Buy America Preference in Federal

Financial Assistance Programs for Infrastructure.

b. When supported by rationale provided in IIJA §70914, the recipient may submit a waiver request to EPA.

Recipients should request guidance on the submission instructions of an EPA waiver request from the EPA

Project Officer for this agreement. A list of approved EPA waivers (general applicability and project specific) is

available on the EPA Build America, Buy America website

c. For questions regarding the applicability of the Build America, Buy America Act requirements to this

assistance agreement or if there is an approved waiver in place, please contact the EPA Project Officer for this

agreement.

49. Required Certifications and Consequences of Fraud (Added 8/8/2023)

Per 2 CFR 200.415(a)

Required Certifications, to assure that expenditures are proper and in accordance with the

terms and conditions of the Federal award and approved project budgets, the financial reports or vouchers

requesting payment under the agreement will include a certification that must be signed by an official who is

authorized to legally bind the recipient which reads as follows:

“By signing this report, I certify to the best of my knowledge and belief that the report is true, complete, and

accurate, and the expenditures, disbursements and cash receipts are for the purposes and objectives set forth in the

terms and conditions of the Federal award. I am aware that any false, fictitious, or fraudulent information, or the

omission of any material fact, may subject me to criminal, civil or administrative penalties for fraud, false

statements, false claims or otherwise. (U.S. Code Title 18, Section 1001 and Title 31, Sections 3729-3730 and

3801-3812).”

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50. Reporting Waste, Fraud, and Abuse (Added 8/8/2023)

Consistent with 2 CFR 200.113

, the recipient and any subrecipients must report, in a timely manner, any

violations of Federal criminal law involving fraud, bribery, or gratuity violations potentially affecting this award

to the EPA Project Officer and the

EPA Office of Inspector General (OIG) Hotline. The methods to contact the

OIG hotline are (1) online submission via the EPA OIG Hotline Complaint Form; (2) email to

[email protected]; (3) phone 1-888-546-8740; or (4) mail directed to Environmental Protection Agency,

Office of Inspector General, 1200 Pennsylvania Avenue, N.W. (2410T), Washington, DC 20460.

To support awareness of the OIG hotline, recipients and/or subrecipients receiving an EPA award or subaward of

$1,000,000 or more must display EPA OIG Hotline posters in facilities where the work is performed under the

grant. EPA OIG Hotline posters may be downloaded or printed or may be obtained by contacting the OIG at 1-

888-546-8740. Recipients and subrecipients need not comply with this requirement if they have established a

mechanism, such as a hotline, by which employees may report suspected instances of improper conduct and have

provided instructions that encourage employees to make such reports.

51. Whistleblower Protections (Added 8/8/2023)

This award is subject is to whistleblower protections, including the protections established at 41 U.S.C. 4712

providing that an employee of the recipient or a subrecipient may not be discharged, demoted, or otherwise

discriminated against as a reprisal for disclosing to a covered person or body information that the employee

reasonably believes is evidence of gross mismanagement of a Federal grant or subaward, a gross waste of Federal

funds, an abuse of authority relating to a Federal grant or subaward, a substantial and specific danger to public

health or safety, or a violation of law, rule, or regulation related to a Federal grant or subaward. These covered

persons or bodies include:

a. A Member of Congress or a representative of a committee of Congress.

b. An Inspector General.

c. The Government Accountability Office.

d. A Federal employee responsible for contract or grant oversight or management at the relevant agency.

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

f. A court or grand jury.

g. A management official or other employee of the contractor, subcontractor, or grantee who has the responsibility

to investigate, discover, or address misconduct.

Consistent with 41 U.S.C. 4712(d), the recipient and subrecipients shall inform their employees in writing, in the

predominant language of the workforce or organization, of employee whistleblower rights and protections under

41 U.S.C. 4712. Additional information about whistleblower protections, including protections for such

employees may be found at the EPA Office of Inspector General’s Whistleblower Protection page

52. Access to Records (Added 8/8/2023)

In accordance with 2 CFR 200.337

, EPA and the EPA Office of Inspector General (OIG) have the right to access

any documents, papers, or other records, including electronic records, of the recipient and subrecipient which are

pertinent to this award in order to make audits, examinations, excerpts, and transcripts. This right of access also

includes timely and reasonable access to the recipient and subrecipient’s personnel for the purpose of interview

and discussion related to such documents. This right of access shall continue as long as the records are retained.