HomeMy WebLinkAboutC-8643-1 - Grant #R19AP00129 for Advanced Metering Infrastructure Implementation Program (Phase 2)UNITED STATES DEPARTMENT OF THE INTERIOR
BUREAU OF RECLAMATION
ASSISTANCE AGREEMENT
IA. AGREEMENT NUMBER
R19AP00129
1B. MOD NUMBER
1 2. TYPE OF AGREEMENT
® GRANT
❑ COOPERATIVE AGREEMENT
3. CLASS OF RECIPIENT
US Local Government
4. ISSUING OFFICE
5. RECIPIENT
Bureau of Reclamation
City of Newport Beach Inc.
Acquisitions and Assistance Management Division
100 Civic Center Dr.
Acquisitions and Assistance Operations Branch
Newport Beach, CA 92660-3267
P.O. Box 25007, MS 84-27810
Denver, CO 80225-5007
EIN #:
956000751 County:
Orange
DUNS #:
1060752482 Congress. Dist:
CA -48
6. RECIPIENT PROJECT MANAGER
Steffen Catron, Utilities Manager
7A. INITIAL AGREEMENT
EFFECTIVE DATE:
7B. MODIFICATION EFFECTIVE DATE:
City of Newport Beach
See Block 13.a below
Utilities Department
8. COMPLETION DATE
949 West 16th St
Newport Beach, CA 92663-9998
March 31, 2023
949-718-3402
scatron@newportbeachca.gov
9A. PROGRAM STATUTORY AUTHORITY
9B. CFDA Number
Section 9504(a) of the Secure Water Act, Public Law 111-11 (42 United States Code 10364)
15.507
10. FUNDING INFORMATION
NON-FEDERAL
RECLAMATION
TOTAL PROJECT COSTS
Total Estimated Amount of Agreement
$7,245,000,00
$1,500,000.00
$8,745,000.00
This Obligation
$7,245,000.00
$1,499,000.00
$8,744,000.00
Previous Obligation
$0,00
$0.00
$0.00
Total Obligation
$7,245,000.00
$1,499,000.00
$8,744,000.00
IL PROJECT TITLE
Newport Beach Advanced Metering Infrastructure Implementation Program (Phase 2)
12a. Acceptance of this Assistance Agreement in accordance with the terms and
conditions contained herein is hereby made on behalf of the above-named
13a. Award of this Assistance Agreement in accordance with the terms and
conditions contained herein is hereby made on behalf of the United States
recipient
of America, D artment of the Interior, Bureau of Reclamation
i
BY:
BY: •2i./
DATE: 6�O ho Z-0
DATE: "' �_202,0
12b. NAME AND TITLE OF SIGNER
13b. NAME OF GRANTS OFFICER
vvt►,�- a'N�t►-t- tMY-1�I�R
Pe+u A rr
APPROVED AS TO FORM:
CITY ATTORN 'S OFFICE
Date*,
RwtAaron Warp, City Attomey
Attest:
Leilani I. Brown,
MC, City Clerk
Date: .10 zao
FP
TABLE OF CONTENTS
I. OVERVIEW AND SCHEDULE .................................................
1. AUTHORITY.........................................................................................
2. PUBLIC PURPOSE OF SUPPORT OR STIMULATION ....................
Page 2 of 50
.......... 4
........ 4
5
3. BACKGROUND AND OBJECTIVES................................................................................. 5
4. PERIOD OF PERFORMANCE AND FUNDS AVAILABILITY ....................................... 6
5. SCOPE OF WORK AND MILESTONES............................................................................ 6
6. RESPONSIBILITY OF THE PARTIES............................................................................... 7
7. BUDGET............................................................................................................................... 8
8. KEY PERSONNEL............................................................................................................. 10
9. LIMITATION OF AUTHORITIES.................................................................................... 10
10. REPORTING REQUIREMENTS AND DISTRIBUTION ............................................... 11
11. REGULATORY COMPLIANCE..................................................................................... 14
12. AGRICULTURAL OPERATIONS [Public Law 111-11, Section 9504(a)(3)(B)]........... 14
13. TITLE TO IMPROVEMENTS [Public Law 111-11, Section 9504(a)(3)(D)]................. 14
14. OPERATION AND MAINTENANCE COSTS [Public Law 111-11, Section
9504(a)(3)(E)(iv.)]............................................................................................................ 14
15. LIABILITY [Public Law 111-11, Section 9504(a)(3)(F)]............................................... 14
II. RECLAMATION STANDARD TERMS AND CONDITIONS ............................................ 16
1. REGULATIONS.................................................................................................................. 16
2. PAYMENT.......................................................................................................................... 16
3. PROCUREMENT STANDARDS (2 CFR 200.317 through 200.326) ............................... 20
4. EQUIPMENT (2 CFR 200.313).......................................................................................... 29
5. SUPPLIES (2 CFR 200.314)............................................................................................... 32
6. INSPECTION...................................................................................................................... 32
7. AUDIT REQUIREMENTS (2 CFR 200.501)..................................................................... 32
8. REMEDIES FOR NONCOMPLIANCE (2 CFR 200.338) ................................................. 34
9. TERMINATION (2 CFR 200.339)...................................................................................... 34
10. DEBARMENT AND SUSPENSION (2 CFR 1400) ........................................................ 35
11. DRUG-FREE WORKPLACE (2 CFR 182 and 1401) ...................................................... 35
12. ASSURANCES AND CERTIFICATIONS INCORPORATED BY REFERENCE........ 35
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13. COVENANT AGAINST CONTINGENT FEES.............................................................. 36
14. TRAFFICKING VICTIMS PROTECTION ACT OF 2000 (2 CFR 175.15) ................... 36
15. NEW RESTRICTIONS ON LOBBYING (43 CFR 18) .................................................... 38
16. UNIFORM RELOCATION ASSISTANCE AND REAL PROPERTY ACQUISITION
POLICIES ACT OF 1970 (URA) (42 USC 4601 et seq.)............................................... 39
18. PROHIBITION ON TEXT MESSAGING AND USING ELECTRONIC EQUIPMENT
SUPPLIED BY THE GOVERNMENT WHILE DRIVING ............................................ 41
19. REPORTING SUBAWARDS AND EXECUTIVE COMPENSATION (2 CFR 170
APPENDIXA).................................................................................................................. 42
20. RECIPIENT EMPLOYEE WHISTLEBLOWER RIGHTS AND REQUIREMENT TO
INFORM EMPLOYEES OF WHISTLEBLOWER RIGHTS (SEP 2013) ...................... 45
21. RECIPIENT INTEGRITY AND PERFORMANCE MATTERS (APPENDIX XII to 2
CFRPart 200)................................................................................................................... 46
22. CONFLICTS OF INTEREST............................................................................................. 48
23. DATA AVAILABILITY.................................................................................................... 49
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Financial Assistance Agreement
Between
Bureau of Reclamation
And
City of Newport Beach Inc.
For
Newport Beach Advanced Metering Infrastructure Implementation Program (Phase 2)
I. OVERVIEW AND SCHEDULE
1. AUTHORITY
This Financial Assistance Agreement (Agreement) is entered into between the United States of
America, acting through the Department of the Interior, Bureau of Reclamation (Reclamation)
and City of Newport Beach (Recipient), pursuant to Section 9504(a) of the SECURE WATER
ACT, Subtitle F of Title IX of the OMNIBUS PUBLIC LAND MANAGEMENT ACT OF 2009,
Public Law 111-11 (42 United States Code 10364) (the "Act"). The following section, provided
in full text, authorizes Reclamation to award this financial assistance agreement:
SEC. 9504. WATER MANAGEMENT IMPROVEMENT.
(a) AUTHORIZATION OF GRANTS AND COOPERATIVE AGREEMENTS—
(1) A UTHORITY OF SECRETARY.—The Secretary may provide any grant to,
or enter into an agreement with, any eligible applicant to assist the eligible
applicant in planning, designing, or constructing any improvement—
(A) to conserve water;
(B) to increase water use efficiency;
(C) to facilitate water markets;
(D) to enhance water management, including increasing the use of
renewable energy in the management and delivery of water;
(E) to accelerate the adoption and use of advanced water treatment
technologies to increase water supply;
(F) to prevent the decline of species that the United States Fish and
Wildlife Service and National Marine Fisheries Service have
proposed for listing under the Endangered Species Act of 1973 (16
U.S.C. 1531 et seq.) (or candidate species that are being
considered by those agencies for such listing but are not yet the
subject of a proposed rule);
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(G) to accelerate the recovery of threatened species, endangered
species, and designated critical habitats that are adversely affected
by Federal reclamation projects or are subject to a recovery plan
or conservation plan under the Endangered Species Act of 1973
(16 U.S. C. 1531 et seq.) under which the Commissioner of
Reclamation has implementation responsibilities; or
(H) to carry out any other activity—
to address any climate -related impact to the water supply of
the United States that increases ecological resiliency to the
impacts of climate change; or
(ii) to prevent any water -related crisis or conflict at any
watershed that has a nexus to a Federal reclamation project
located in a service area.
2. PUBLIC PURPOSE OF SUPPORT OR STIMULATION
The Newport Beach Advanced Metering Infrastructure Implementation Program (Phase 2)
project (Project) achieves the public purpose of the Act by increasing the reliability of water
supplies and improving water management.
3. BACKGROUND AND OBJECTIVES
Through WaterSMART (Sustain and Manage America's Resources for Tomorrow), Reclamation
leverages Federal and non -Federal funding to work cooperatively with states, tribes, and local
entities as they plan for and implement actions to increase water supply reliability through
investments and attention to local water conflicts. Working together with our stakeholders,
WaterSMART provides support for the Department of the Interior's priorities, including creating
a legacy of conservation stewardship, sustainably developing our energy and natural resources,
modernizing our infrastructure through public-private partnerships, and restoring trust with local
communities by improving relationships and communication with states, tribes, local
governments, communities, landowners and water users.
Through Water and Energy Efficiency Grants, Reclamation provides assistance to states, tribes,
irrigation districts, water districts, and other entities with water or power delivery authority to
undertake projects that result in quantifiable and sustained water savings and support broader
water reliability benefits.
The City of Newport Beach will upgrade 26,309 existing meters to an advanced metering
infrastructure (AMI) fixed based network, including AMI radio transmitters, collectors, and
software that will automatically collect and store hourly consumption data. The project is
expected to result in annual water savings of 1,157 acre-feet that is currently being lost to
unauthorized consumption, metering inaccuracies, systematic data handling errors, and leaks.
The water conserved through the project will be used to offset groundwater pumping and to
reduce demands on existing supplies in an area that has experienced drought conditions and a
heightened competition for limited supplies.
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4. PERIOD OF PERFORMANCE AND FUNDS AVAILABILITY
This Agreement becomes effective on the date shown in Block 13a of Page 1 of this agreement,
United States of America, Department of the Interior, Bureau of Reclamation, Assistance
Agreement. The Agreement shall remain in effect until the date shown in Block 8 of Page 1 of
this agreement, United States of America, Department of the Interior, Bureau of Reclamation,
Assistance Agreement. The period of performance for this Agreement may only be modified
through written modification of the Agreement by a Reclamation Grants Officer.
No legal liability on the part of the Government for any payment may arise until funds are made
available, in writing, to the Recipient by the Grants Officer. The total estimated amount of
federal funding for this agreement is $1,500,000.00, of which the initial amount of federal funds
available is limited to $1,499,000.00 as indicated by "this obligation" within Block 10 of Page 1
of this agreement, United States of America, Department of the Interior, Bureau of Reclamation,
Assistance Agreement.
5. SCOPE OF WORK AND MILESTONES
Under this Agreement, the Recipient shall replace and retrofit existing water meters with an
Advanced Metering Infrastructure (AMI) fixed -based network system, including:
26,309 water meters ranging in size from 5/8 -inch to 8 -inches
13 AMI radio transmitters, 14 collectors
AMI software
Meters will be installed throughout the City of Newport Beach water service area. The Recipient
shall include in its records the locations of the meters and network infrastructure installed under
this Agreement.
After review of the methodology used to estimate water conservation savings, consideration of
supporting documentation provided by Recipient, and any adjustments made during the
evaluation of the Project, it was determined that these improvements are expected to result in
annual water savings of 1,157 acre-feet.
The milestones for completing the Project are:
Milestone / Task / Activity
Planned
Start Date
Planned
Completion Date
Complete environmental and cultural compliance
Completed
September 2019
Procurement and installation of AMI system
May 2020
July 2020
Begin installation of AMI meters
July 2020
July 2020
AMI Meter Installation - 25% complete
March 2021
AMI Meter Installation — 50% complete
September 2021
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AMI Meter Installation — 75% complete
March 2022
Meter equipment procurement
May 2020
July 2022
System Testing
June 2022
September 2022
Complete installation of AMI meters
March 2023
6. RESPONSIBILITY OF THE PARTIES
6.1 Recipient Responsibilities
6.1.1 The Recipient shall carry out the Scope of Work (SOW) in accordance with the terms and
conditions stated herein. The Recipient shall adhere to Federal, state, and local laws, regulations,
and codes, as applicable, and shall obtain all required approvals and permits. If the SOW
contains construction activities, the Recipient is responsible for construction inspection,
oversight, and acceptance. If applicable, the Recipient shall also coordinate and obtain approvals
from site owners and operators.
6.1.2 Interim Performance Reports. The Recipient shall prepare and submit to Reclamation
interim Project performance reports (Interim Performance Reports) as required by Section I.10 of
this Agreement. Each Interim Performance Report will include (but is not limited to) the
information identified in paragraph I.10.3 and will discuss the following:
• A comparison of actual accomplishments to the milestones established by the financial
assistance agreement for the reporting period
• The reasons why established milestones were not met, if applicable
• The status of milestones from the previous reporting period that were not met, if
applicable
• Whether the Project is on schedule and within the original cost estimate
• Any additional pertinent information or issues related to the status of the Project
6.1.3 Final Project Report. The Recipient shall prepare and submit to Reclamation a final
Project performance report (Final Project Report) as required by Section I.10 of this Agreement.
The Final Project Report will include (but is not limited to) the information identified in
paragraph I.10.3 and will discuss the following:
• Whether the Project objectives and goals were met
• The amount of water conserved, if applicable, including information and/or calculations
supporting that amount
• The amount of energy the renewable energy system is generating annually, if applicable
• How the Project demonstrated collaboration, if applicable
Photographs documenting the project are also appreciated. Recipient understands that
Reclamation may print photos with appropriate credit to Recipient. Recipient also understands
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that the Final Project Report is a public document and may be made available on Reclamation's
website, www.usbr.izov/watersmart/.
6.2 Reclamation Responsibilities
Reclamation will monitor and provide Federal oversight of activities performed under this
Agreement. Monitoring and oversight includes review and approval of financial status and
performance reports, payment requests, and any other deliverables identified as part of the SOW.
Additional monitoring activities may include site visits, conference calls, and other on-site and
off-site monitoring activities. At the Recipient's request, Reclamation may also provide
technical assistance to the Recipient in support of the SOW and objectives of this Agreement.
7. BUDGET
7.1 Budget Estimate. The following is the estimated budget for this Agreement. As Federal
financial assistance agreements are cost -reimbursable, the budget provided is for estimation
purposes only. Final costs incurred under the budget categories listed may be either higher or
lower than the estimated costs. All costs incurred by the Recipient under this agreement must be
in accordance with any pre -award clarifications conducted between the Recipient and
Reclamation, as well as with the terms and conditions of this agreement. Final determination of
the allowability, allocability, or reasonableness of costs incurred under this agreement is the
responsibility of the Grants Officer. Recipients are encouraged to direct any questions regarding
allowability, allocability or reasonableness of costs to the Grants Officer for review prior to
incurrence of the costs in question.
BUDGET ITEM DESCRIPTION
TOTAL COST
CONTRACTUAL
Construction contracts
$8,744,000.00
Reclamation review of Environmental Compliance
$1,000.00
TOTAL DIRECT COSTS
$8,745,000.00
INDIRECT COSTS
None
$0.00
TOTAL ESTIMATED PROJECT COST
$8,745,000.00
7.2 Cost Sharing Requirement
At least 50% non -Federal cost -share is required for costs incurred under this Agreement.
Based on the budget estimate reflected in Section 7.1 above, the estimated Federal share of
allowable costs is 17% and the Recipient's estimated non -Federal cost share is 83%. The
Federal share of allowable costs shall not be expended in advance of the Recipient's non -Federal
share. It is expected that expenditure of Federal and non -Federal funds based upon the estimated
cost share percentages shall occur concurrently.
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If a bona fide need arises which requires the expenditure of Federal funds in advance of the
Recipient share, then the Recipient must request written approval from the Grants Officer prior
to the expenditure. Recipient's may expend their agreed upon share of costs in advance of the
expenditure of Federal funds without prior written approval.
7.3 Pre -Award Incurrence of Costs
The Recipient is not authorized to incur costs prior to the award of this Agreement. Costs
incurred prior to the award of this agreement are not allowable.
7.4 Allowable Costs
Costs incurred for the performance of this Agreement must be allowable, allocable to the project,
and reasonable. The following regulations, codified within the Code of Federal Regulations
(CFR), governs the allowability of costs for Federal financial assistance:
2 CFR 200 Subpart E, "Cost Principles"
Expenditures for the performance of this Agreement must conform to the requirements within
this CFR. The Recipient must maintain sufficient documentation to support these expenditures.
Questions on the allowability of costs should be directed to the Grants Officer responsible for
this Agreement.
The Recipient shall not incur costs or obligate funds for any purpose pertaining to operation of
the program or activities beyond the expiration date stated in the Agreement. The only costs
which are authorized for a period of up to 90 days following the project performance period are
those strictly associated with closeout activities for preparation of the final reports.
7.5 Revision of Budget and Program Plans
In accordance with 2 CFR 200.308(g) the recipient must request prior written approval for any of
the following changes:
(a) A change in the approved scope of work or associated tasks, even if there is no associated
budget revisions.
(b) Revisions which require additional Federal funds to complete the project.
(c) Revisions which involve specific costs for which prior written approval requirements
may be imposed consistent with OMB cost principles listed in 2 CFR 200 Subpart E
"Cost Principles".
7.6 Modifications
Any changes to this Agreement shall be made by means of a written modification. Reclamation
may make changes to the Agreement by means of a unilateral modification to address changes in
address, no -cost time extensions, changes to Key Personnel, the addition of previously agreed
upon funding, or administrative corrections which do not impact the terms and conditions of this
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agreement. Additionally, a unilateral modification may be utilized by Reclamation if it should
become necessary to suspend or terminate the Agreement in accordance with 2 CFR 200.338.
All other changes shall be made by means of a bilateral modification to the Agreement. No oral
statement made by any person, or written statement by any person other than the Grants Officer,
shall be allowed in any manner or degree to modify or otherwise effect the terms of the
Agreement.
All requests for modification of the Agreement shall be made in writing, provide a full
description of the reason for the request, and be sent to the attention of the Grants Officer. Any
request for project extension shall be made at least 45 days prior to the expiration date of the
Agreement or the expiration date of any extension period that may have been previously granted.
Any determination to extend the period of performance or to provide follow-on funding for
continuation of a project is solely at the discretion of Reclamation.
8. KEY PERSONNEL
8.1 Recipient's Key Personnel.
The Recipient's Project Manager for this Agreement shall be:
Steffen Catron, Utilities Manager
City of Newport Beach
Utilities Department
949 West 16th St.
Newport Beach, CA 92663-9998
949-718-3402
scatron ,newportbeachca.gov
9. LIMITATION OF AUTHORITIES
9.1 Grants Officer.
The Grants Officer is the only official with legal delegated authority to represent Reclamation.
The Grants Officer's responsibilities include, but are not limited to, the following:
(a) Formally obligate Reclamation to expend funds or change the funding level of the
Agreement;
(b) Approve through formal modification changes in the scope of work and/or budget;
(c) Approve through formal modification any increase or decrease in the period of
performance of the Agreement;
(d) Approve through formal modification changes in any of the expressed terms, conditions,
or specifications of the Agreement;
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(e) Be responsible for the overall administration, management, and other non -programmatic
aspects of the Agreement including, but not limited to, interpretation of financial
assistance statutes, regulations, circulars, policies, and terms of the Agreement;
Where applicable, ensures that Reclamation complies with the administrative
requirements required by statutes, regulations, circulars, policies, and terms of the
Agreement.
9.2 Grants Management Specialist (GMS).
The Grants Management Specialist is the primary administrative point of contact for this
agreement and should be contacted regarding issues related to the day-to-day management of the
agreement. Requests for approval regarding the terms and conditions of the agreement,
including but not limited to modifications and prior approval, may only be granted, in writing, by
a Reclamation Grants Officer. Please note that for some agreements, the Grants Officer and the
Grants Management Specialist may be the same individual.
10. REPORTING REQUIREMENTS AND DISTRIBUTION
10.1 Noncompliance. Failure to comply with the reporting requirements contained in this
Agreement may be considered a material noncompliance with the terms and conditions of the
award. Noncompliance may result in withholding of payments pending receipt of required
reports, denying both the use of funds and matching credit for all or part of the cost of the
activity or action not in compliance, whole or partial suspension or termination of the
Agreement, recovery of funds paid under the Agreement, withholding of future awards, or other
legal remedies in accordance with 2 CFR 200.338.
10.2 Financial Reports. Federal Financial Reports shall be submitted by means of the SF -425
and shall be submitted according to the Report Frequency and Distribution schedule below. All
financial reports shall be signed by an Authorized Certifying Official for the Recipient's
organization.
10.3 Monitoring and Reporting Program Performance (2 CFR 200.328).
(a) Monitoring by the non -Federal entity. The non -Federal entity is responsible for oversight
of the operations of the Federal award supported activities. The non -Federal entity must
monitor its activities under Federal awards to assure compliance with applicable Federal
requirements and performance expectations are being achieved. Monitoring by the non -
Federal entity must cover each program, function or activity. See also 200.331
Requirements for pass-through entities.
(b) Non -construction performance reports. The Federal awarding agency must use standard,
OMB -approved data elements for collection of performance information (including
performance progress reports, Research Performance Progress Report, or such future
collections as may be approved by OMB and listed on the OMB Web site).
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(1) The non -Federal entity must submit performance reports at the interval required by
the Federal awarding agency or pass-through entity to best inform improvements in
program outcomes and productivity. Intervals must be no less frequent than annually
nor more frequent than quarterly except in unusual circumstances, for example where
more frequent reporting is necessary for the effective monitoring of the Federal award
or could significantly affect program outcomes. Annual reports must be due 90
calendar days after the reporting period; quarterly or semiannual reports must be due
30 calendar days after the reporting period. Alternatively, the Federal awarding
agency or pass-through entity may require annual reports before the anniversary dates
of multiple year Federal awards. The final performance report will be due 90 calendar
days after the period of performance end date. If a justified request is submitted by a
non -Federal entity, the Federal agency may extend the due date for any performance
report.
(2) The non -Federal entity must submit performance reports using OMB -approved
governmentwide standard information collections when providing performance
information. As appropriate in accordance with above mentioned information
collections, these reports will contain, for each Federal award, brief information on
the following unless other collections are approved by OMB:
(i) A comparison of actual accomplishments to the objectives of the Federal award
established for the period. Where the accomplishments of the Federal award can
be quantified, a computation of the cost (for example, related to units of
accomplishment) may be required if that information will be useful. Where
performance trend data and analysis would be informative to the Federal
awarding agency program, the Federal awarding agency should include this as a
performance reporting requirement.
(ii) The reasons why established goals were not met, if appropriate.
(iii) Additional pertinent information including, when appropriate, analysis and
explanation of cost overruns or high unit costs.
(c) Construction performance reports. For the most part, onsite technical inspections and
certified percentage of completion data are relied on heavily by Federal awarding
agencies and pass-through entities to monitor progress under Federal awards and
subawards for construction. The Federal awarding agency may require additional
performance reports only when considered necessary.
(d) Significant developments. Events may occur between the scheduled performance
reporting dates that have significant impact upon the supported activity. In such cases, the
non -Federal entity must inform the Federal awarding agency or pass-through entity as
soon as the following types of conditions become known:
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(1) Problems, delays, or adverse conditions which will materially impair the ability to
meet the objective of the Federal award. This disclosure must include a statement of
the action taken, or contemplated, and any assistance needed to resolve the situation.
(2) Favorable developments which enable meeting time schedules and objectives sooner
or at less cost than anticipated or producing more or different beneficial results than
originally planned.
Reclamation requires Performance reporting for all financial assistance awards, both
Construction and non -Construction. Performance reports for Construction agreements shall meet
the same minimum requirements outlined in 2 CFR 200.328(b)(2) above.
10.4 Report Frequency and Distribution. The following table sets forth the reporting
requirements for this Agreement. Please note the first report due date listed for each type of
report.
Required Reports
Interim Reports
Final Report
Performance Report
Format
No specific format required. See content
Summary of activities completed
requirements within Section 9.3 (2 CFR
during the entire period of
200.328) above.
performance is required. See
content requirements within Section
9.3 (2 CFR 200.328) above.
Reporting Frequency
Semi -Annual
Final Report due within 90 days
after the end of the period of
performance.
Reporting Period
October 1 through March 31 and April 1
Entire period of performance
through September 30.
Due Date
Within 30 days after the end of the
Final Report due within 90 days
Reporting Period.
after the end of the period of
performance or completion of the
project.
First Report Due
The first performance report is due for
N/A
Date
reporting period ending 09/30/2020.
Submit to:
sha-dro-faonerations(&usbr.Eov
sha-dro-faoperationsna usbr.gov
Federal Financial Report
Format
SF -425 (all sections must be completed)
SF-425(all sections must be
completed)
Reporting Frequency
Semi -Annual
Final Report due within 90 days
after the end of the period of
performance.
Reporting Period
October 1 through March 31 and April 1
Entire period of performance
through September 30.
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Required Reports
Interim Reports
Final Report
Due Date
Within 30 days after the end of the
Final Report due within 90 days
Reporting Period.
after the end of the period of
performance or completion of
project.
First Report Due
The first Federal financial report is due
N/A
Date
for reporting period ending 09/30/2020.
Submit to:
sha-dro-faonerations(&usbr.gov
sha-dro-faonerations anusbr.gov
11. REGULATORY COMPLIANCE
The Recipient agrees to comply or assist Reclamation with all regulatory compliance
requirements and all applicable state, Federal, and local environmental and cultural and
paleontological resource protection laws and regulations as applicable to this project. These may
include, but are not limited to, the National Environmental Policy Act (NEPA), including the
Council on Environmental Quality and Department of the Interior regulations implementing
NEPA, the Clean Water Act, the Endangered Species Act, consultation with potentially affected
Tribes, and consultation with the State Historic Preservation Office. If the Recipient begins
project activities that require environmental or other regulatory compliance approval prior to
receipt of written notice from the Grants Officer that all such clearances have been obtained, then
Reclamation reserves the right to initiate remedies for non-compliance as defined by 2 CFR
200.338 up to and including unilateral termination of this agreement.
12. AGRICULTURAL OPERATIONS [Public Law 111-11, Section 9504(a)(3)(B)]
The Recipient shall not use any associated water savings to increase the total irrigated acreage of
the Recipient or otherwise increase the consumptive use of water in the operation of the
Recipient, as determined pursuant to the law of the State in which the operation of Recipient is
located.
13. TITLE TO IMPROVEMENTS [Public Law 111-11, Section 9504(a)(3)(D)]
If the activities funded under this Agreement result in an infrastructure improvement to a
federally owned facility, the Federal Government shall continue to hold title to the facility and
improvements to the facility.
14. OPERATION AND MAINTENANCE COSTS [Public Law 111-11, Section
9504(a)(3)(E)(iv.)]
The non -Federal share of the cost of operating and maintaining any infrastructure improvement
funded through this Agreement shall be 100 percent.
15. LIABILITY [Public Law 111-11, Section 9504(a)(3)(F)]
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(a) IN GENERAL.—Except as provided under chapter 171 of title 28, United States Code
(commonly known as the "Federal Tort Claims Act"), the United States shall not be
liable for monetary damages of any kind for any injury arising out of an act, omission,
or occurrence that arises in relation to any facility created or improved under this
Agreement, the title of which is not held by the United States.
(b) TORT CLAIMS ACT. Nothing in this section increases the liability of the United
States beyond that provided in chapter 171 of title 28, United States Code (commonly
known as the "Federal Tort Claims Act").
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II. RECLAMATION STANDARD TERMS AND CONDITIONS
1. REGULATIONS
The regulations at 2 CFR Subtitle A, Chapter II, Part 200 "Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards", are hereby
incorporated by reference as though set forth in full text. Failure of a Recipient to comply with
any applicable regulation or circular may be the basis for withholding payments for proper
charges made by the Recipient and/or for termination of support.
2. PAYMENT
2.1 Payment (2 CFR 200.305).
(a) For states, payments are governed by Treasury -State CMIA agreements and default
procedures codified at 31 CFR Part 205 "Rules and Procedures for Efficient Federal -State
Funds Transfers" and TFM 4A-2000 Overall Disbursing Rules for All Federal Agencies.
(b) For non -Federal entities other than states, payments methods must minimize the time
elapsing between the transfer of funds from the United States Treasury or the pass-
through entity and the disbursement by the non -Federal entity whether the payment is
made by electronic funds transfer, or issuance or redemption of checks, warrants, or
payment by other means. See also 200.302 Financial management paragraph (b)(6).
Except as noted elsewhere in this part, Federal agencies must require recipients to use
only OMB -approved standard governmentwide information collection requests to request
payment.
(1) The non -Federal entity must be paid in advance, provided it maintains or
demonstrates the willingness to maintain both written procedures that minimize the
time elapsing between the transfer of funds and disbursement by the non -Federal
entity, and financial management systems that meet the standards for fund control and
accountability as established in this part. Advance payments to a non -Federal entity
must be limited to the minimum amounts needed and be timed to be in accordance
with the actual, immediate cash requirements of the non -Federal entity in carrying out
the purpose of the approved program or project. The timing and amount of advance
payments must be as close as is administratively feasible to the actual disbursements
by the non -Federal entity for direct program or project costs and the proportionate
share of any allowable indirect costs. The non -Federal entity must make timely
payment to contractors in accordance with the contract provisions.
(2) Whenever possible, advance payments must be consolidated to cover anticipated cash
needs for all Federal awards made by the Federal awarding agency to the recipient.
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(i) Advance payment mechanisms include, but are not limited to, Treasury check and
electronic funds transfer and must comply with applicable guidance in 31 CFR
part 208.
(ii) Non -Federal entities must be authorized to submit requests for advance payments
and reimbursements at least monthly when electronic fund transfers are not used,
and as often as they like when electronic transfers are used, in accordance with
the provisions of the Electronic Fund Transfer Act (15 U.S.C. 1693-1693r).
(3) Reimbursement is the preferred method when the requirements in paragraph (b)
cannot be met, when the Federal awarding agency sets a specific condition per
200.207 Specific conditions, or when the non -Federal entity requests payment by
reimbursement. This method may be used on any Federal award for construction, or if
the major portion of the construction project is accomplished through private market
financing or Federal loans, and the Federal award constitutes a minor portion of the
project. When the reimbursement method is used, the Federal awarding agency or
pass-through entity must make payment within 30 calendar days after receipt of the
billing, unless the Federal awarding agency or pass-through entity reasonably
believes the request to be improper.
(4) If the non -Federal entity cannot meet the criteria for advance payments and the
Federal awarding agency or pass-through entity has determined that reimbursement is
not feasible because the non -Federal entity lacks sufficient working capital, the
Federal awarding agency or pass-through entity may provide cash on a working
capital advance basis. Under this procedure, the Federal awarding agency or pass-
through entity must advance cash payments to the non -Federal entity to cover its
estimated disbursement needs for an initial period generally geared to the non -Federal
entity's disbursing cycle. Thereafter, the Federal awarding agency or pass-through
entity must reimburse the non -Federal entity for its actual cash disbursements. Use of
the working capital advance method of payment requires that the pass-through entity
provide timely advance payments to any subrecipients in order to meet the
subrecipient's actual cash disbursements. The working capital advance method of
payment must not be used by the pass-through entity if the reason for using this
method is the unwillingness or inability of the pass-through entity to provide timely
advance payments to the subrecipient to meet the subrecipient's actual cash
disbursements.
(5) Use of resources before requesting cash advance payments. To the extent available,
the non -Federal entity must disburse funds available from program income (including
repayments to a revolving fund), rebates, refunds, contract settlements, audit
recoveries, and interest earned on such funds before requesting additional cash
payments.
(6) Unless otherwise required by Federal statutes, payments for allowable costs by non -
Federal entities must not be withheld at any time during the period of performance
unless the conditions of 200.207 Specific conditions, Subpart D—Post Federal Award
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Requirements of this part, 200.338 Remedies for Noncompliance, or one or more of
the following applies:
(i) The non -Federal entity has failed to comply with the project objectives, Federal
statutes, regulations, or the terms and conditions of the Federal award.
(ii) The non -Federal entity is delinquent in a debt to the United States as defined in
OMB Guidance A-129, "Policies for Federal Credit Programs and Non -Tax
Receivables." Under such conditions, the Federal awarding agency or pass-
through entity may, upon reasonable notice, inform the non -Federal entity that
payments must not be made for obligations incurred after a specified date until the
conditions are corrected or the indebtedness to the Federal Government is
liquidated.
(iii) A payment withheld for failure to comply with Federal award conditions, but
without suspension of the Federal award, must be released to the non -Federal
entity upon subsequent compliance. When a Federal award is suspended, payment
adjustments will be made in accordance with 200.342 Effects of suspension and
termination.
(iv) A payment must not be made to a non -Federal entity for amounts that are
withheld by the non -Federal entity from payment to contractors to assure
satisfactory completion of work. A payment must be made when the non -Federal
entity actually disburses the withheld funds to the contractors or to escrow
accounts established to assure satisfactory completion of work.
(7) Standards governing the use of banks and other institutions as depositories of advance
payments under Federal awards are as follows.
(i) The Federal awarding agency and pass-through entity must not require separate
depository accounts for funds provided to a non -Federal entity or establish any
eligibility requirements for depositories for funds provided to the non -Federal
entity. However, the non -Federal entity must be able to account for the receipt,
obligation and expenditure of funds.
(ii) Advance payments of Federal funds must be deposited and maintained in insured
accounts whenever possible.
(8) The non -Federal entity must maintain advance payments of Federal awards in
interest-bearing accounts, unless the following apply.
(i) The non -Federal entity receives less than $120,000 in Federal awards per year.
(ii) The best reasonably available interest-bearing account would not be expected to
earn interest in excess of $500 per year on Federal cash balances.
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(iii) The depository would require an average or minimum balance so high that it
would not be feasible within the expected Federal and non -Federal cash resources.
(iv) A foreign government or banking system prohibits or precludes interest bearing
accounts.
(9) Interest earned amounts up to $500 per year may be retained by the non -Federal entity
for administrative expense. Any additional interest earned on Federal advance
payments deposited in interest-bearing accounts must be remitted annually to the
Department of Health and Human Services Payment Management System (PMS)
through an electronic medium using either Automated Clearing House (ACH)
network or a Fedwire Funds Service payment. Remittances must include pertinent
information of the payee and nature of payment in the memo area (often referred to as
"addenda records" by Financial Institutions) as that will assist in the timely posting of
interested earned on federal funds. Pertinent details include the Payee Account
Number (PAN) if the payment originated from PMS, or Agency information if the
payment originated from ASAP, NSF or another federal agency payment system. The
remittance must be submitted as follows:
(i) For ACH Returns:
Routing Number: 051036706
Account number: 303000
Bank Name and Location: Credit Gateway—ACH Receiver St. Paul, MN
(ii) For Fedwire Returns*:
Routing Number: 021030004
Account number: 75010501
Bank Name and Location: Federal Reserve Bank Treas NYC/Funds Transfer
Division New York, NY
(* Please note organization initiating payment is likely to incur a charge from
your Financial Institution for this type of payment)
(iii) For International ACH Returns:
Beneficiary Account: Federal Reserve Bank of New York/ITS (FRBNY/ITS)
Bank: Citibank N.A. (New York)
Swift Code: CITIUS33
Account Number: 36838868
Bank Address: 388 Greenwich Street, New York, NY 10013 USA
Payment Details (Line 70): Agency
Name (abbreviated when possible) and ALC Agency POC: Michelle Haney,
(301) 492-5065
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(iv) For recipients that do not have electronic remittance capability, please make
check** payable to: "The Department of Health and Human Services."
Mail Check to Treasury approved lockbox:
HHS Program Support Center, P.O. Box 530231, Atlanta, GA 30353-0231
(** Please allow 4-6 weeks for processing of a payment by check to be applied to
the appropriate PMS account)
(v) Any additional information/instructions may be found on the PMS Web site at
http://www.dpm.psc.gov/.
2.2 Payment Method.
Recipients must utilize the Department of Treasury Automated Standard Application for
Payments (ASAP) payment system to request advance or reimbursement payments. ASAP is a
Recipient -initiated payment and information system designed to provide a single point of contact
for the request and delivery of Federal funds. ASAP is the only allowable method for request
and receipt of payment. Recipient procedures must minimize the time elapsing between the
drawdown of Federal funds and the disbursement for agreement purposes.
In accordance with 2 CFR 25.200(b)(2) the Recipient shall "Maintain an active SAM registration
with current information at all times during which it has an active Federal award or an
application or plan under consideration by an agency". If the Recipient allows their SAM
registration to lapse, the Recipient's accounts within ASAP will be automatically suspended by
Reclamation until such time as the Recipient renews their SAM registration.
3. PROCUREMENT STANDARDS (2 CFR 200.317 through 200.326)
200.317 Procurements by States.
When procuring property and services under a Federal award, a state must follow the same
policies and procedures it uses for procurements from its non -Federal funds. The state will
comply with 200.322 Procurement of recovered materials and ensure that every purchase order
or other contract includes any clauses required by section 200.326 Contract provisions. All other
non -Federal entities, including subrecipients of a state, will follow 200.318 General procurement
standards through 200.326 Contract provisions.
200.318 General procurement standards.
(a) The non -Federal entity must use its own documented procurement procedures which
reflect applicable State, local, and tribal laws and regulations, provided that the
procurements conform to applicable Federal law and the standards identified in this part.
(b) Non -Federal entities must maintain oversight to ensure that contractors perform in
accordance with the terms, conditions, and specifications of their contracts or purchase
orders.
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(1) The non -Federal entity must maintain written standards of conduct covering conflicts
of interest and governing the actions of its employees engaged in the selection, award
and administration of contracts. No employee, officer, or agent may participate in the
selection, award, or administration of a contract supported by a Federal award if he or
she has a real or apparent conflict of interest. Such a conflict of interest would arise
when the employee, officer, or agent, any member of his or her immediate family, his
or her partner, or an organization which employs or is about to employ any of the
parties indicated herein, has a financial or other interest in or a tangible personal
benefit from a firm considered for a contract. The officers, employees, and agents of
the non -Federal entity may neither solicit nor accept gratuities, favors, or anything of
monetary value from contractors or parties to subcontracts. However, non -Federal
entities may set standards for situations in which the financial interest is not
substantial or the gift is an unsolicited item of nominal value. The standards of
conduct must provide for disciplinary actions to be applied for violations of such
standards by officers, employees, or agents of the non -Federal entity.
(2) If the non -Federal entity has a parent, affiliate, or subsidiary organization that is not a
state, local government, or Indian tribe, the non -Federal entity must also maintain
written standards of conduct covering organizational conflicts of interest.
Organizational conflicts of interest means that because of relationships with a parent
company, affiliate, or subsidiary organization, the non -Federal entity is unable or
appears to be unable to be impartial in conducting a procurement action involving a
related organization.
(d) The non -Federal entity's procedures must avoid acquisition of unnecessary or duplicative
items. Consideration should be given to consolidating or breaking out procurements to
obtain a more economical purchase. Where appropriate, an analysis will be made of lease
versus purchase alternatives, and any other appropriate analysis to determine the most
economical approach.
(e) To foster greater economy and efficiency, and in accordance with efforts to promote cost-
effective use of shared services across the Federal Government, the non -Federal entity is
encouraged to enter into state and local intergovernmental agreements or inter -entity
agreements where appropriate for procurement or use of common or shared goods and
services.
(f) The non -Federal entity is encouraged to use Federal excess and surplus property in lieu of
purchasing new equipment and property whenever such use is feasible and reduces
project costs.
(g) The non -Federal entity is encouraged to use value engineering clauses in contracts for
construction projects of sufficient size to offer reasonable opportunities for cost
reductions. Value engineering is a systematic and creative analysis of each contract item
or task to ensure that its essential function is provided at the overall lower cost.
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(h) The non -Federal entity must award contracts only to responsible contractors possessing
the ability to perform successfully under the terms and conditions of a proposed
procurement. Consideration will be given to such matters as contractor integrity,
compliance with public policy, record of past performance, and financial and technical
resources. See also 200.212 Suspension and debarment.
(i) The non -Federal entity must maintain records sufficient to detail the history of
procurement. These records will include, but are not necessarily limited to the following:
rationale for the method of procurement, selection of contract type, contractor selection
or rejection, and the basis for the contract price.
(1) The non -Federal entity may use a time and materials type contract only after a
determination that no other contract is suitable and if the contract includes a ceiling
price that the contractor exceeds at its own risk. Time and materials type contract
means a contract whose cost to a non -Federal entity is the sum of-
(i)
£
(i) The actual cost of materials; and
(ii) Direct labor hours charged at fixed hourly rates that reflect wages, general and
administrative expenses, and profit.
(2) Since this formula generates an open-ended contract price, a time -and -materials
contract provides no positive profit incentive to the contractor for cost control or
labor efficiency. Therefore, each contract must set a ceiling price that the contractor
exceeds at its own risk. Further, the non -Federal entity awarding such a contract must
assert a high degree of oversight in order to obtain reasonable assurance that the
contractor is using efficient methods and effective cost controls.
(k) The non -Federal entity alone must be responsible, in accordance with good administrative
practice and sound business judgment, for the settlement of all contractual and
administrative issues arising out of procurements. These issues include, but are not
limited to, source evaluation, protests, disputes, and claims. These standards do not
relieve the non -Federal entity of any contractual responsibilities under its contracts. The
Federal awarding agency will not substitute its judgment for that of the non -Federal
entity unless the matter is primarily a Federal concern. Violations of law will be referred
to the local, state, or Federal authority having proper jurisdiction.
200.319 Competition.
(a) All procurement transactions must be conducted in a manner providing full and open
competition consistent with the standards of this section. In order to ensure objective
contractor performance and eliminate unfair competitive advantage, contractors that
develop or draft specifications, requirements, statements of work, or invitations for bids
or requests for proposals must be excluded from competing for such procurements. Some
of the situations considered to be restrictive of competition include but are not limited to:
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(1) Placing unreasonable requirements on firms in order for them to qualify to do
business;
(2) Requiring unnecessary experience and excessive bonding;
(3) Noncompetitive pricing practices between firms or between affiliated companies;
(4) Noncompetitive contracts to consultants that are on retainer contracts;
(5) Organizational conflicts of interest;
(6) Specifying only a "brand name" product instead of allowing "an equal" product to be
offered and describing the performance or other relevant requirements of the
procurement; and
(7) Any arbitrary action in the procurement process.
(b) The non -Federal entity must conduct procurements in a manner that prohibits the use of
statutorily or administratively imposed state, local, or tribal geographical preferences in
the evaluation of bids or proposals, except in those cases where applicable Federal
statutes expressly mandate or encourage geographic preference. Nothing in this section
preempts state licensing laws. When contracting for architectural and engineering (A/E)
services, geographic location may be a selection criterion provided its application leaves
an appropriate number of qualified firms, given the nature and size of the project, to
compete for the contract.
(c) The non -Federal entity must have written procedures for procurement transactions. These
procedures must ensure that all solicitations:
(1) Incorporate a clear and accurate description of the technical requirements for the
material, product, or service to be procured. Such description must not, in competitive
procurements, contain features which unduly restrict competition. The description
may include a statement of the qualitative nature of the material, product or service to
be procured and, when necessary, must set forth those minimum essential
characteristics and standards to which it must conform if it is to satisfy its intended
use. Detailed product specifications should be avoided if at all possible. When it is
impractical or uneconomical to make a clear and accurate description of the technical
requirements, a "brand name or equivalent' description may be used as a means to
define the performance or other salient requirements of procurement. The specific
features of the named brand which must be met by offers must be clearly stated; and
(2) Identify all requirements which the offerors must fulfill and all other factors to be
used in evaluating bids or proposals.
(d) The non -Federal entity must ensure that all prequalified lists of persons, firms, or
products which are used in acquiring goods and services are current and include enough
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qualified sources to ensure maximum open and free competition. Also, the non -Federal
entity must not preclude potential bidders from qualifying during the solicitation period.
[78 FR 78608, Dec. 26, 2013, as amended at 79 FR 75885, Dec. 19, 2014]
200.320 Methods of procurement to be followed.
The non -Federal entity must use one of the following methods of procurement.
(a) Procurement by micro -purchases. Procurement by micro -purchase is the acquisition of
supplies or services, the aggregate dollar amount of which does not exceed the micro -
purchase threshold (200.67 Micro -purchase). To the extent practicable, the non -Federal
entity must distribute micro -purchases equitably among qualified suppliers. Micro -
purchases may be awarded without soliciting competitive quotations if the non -Federal
entity considers the price to be reasonable.
(b) Procurement by small purchase procedures. Small purchase procedures are those
relatively simple and informal procurement methods for securing services, supplies, or
other property that do not cost more than the Simplified Acquisition Threshold. If small
purchase procedures are used, price or rate quotations must be obtained from an adequate
number of qualified sources.
(c) Procurement by sealed bids (formal advertising). Bids are publicly solicited and a firm
fixed price contract (lump sum or unit price) is awarded to the responsible bidder whose
bid, conforming with all the material terms and conditions of the invitation for bids, is the
lowest in price. The sealed bid method is the preferred method for procuring
construction, if the conditions in paragraph (c)(1) of this section apply.
(1) In order for sealed bidding to be feasible, the following conditions should be present:
(i) A complete, adequate, and realistic specification or purchase description is
available;
(ii) Two or more responsible bidders are willing and able to compete effectively for
the business; and
(iii) The procurement lends itself to a firm fixed price contract and the selection of the
successful bidder can be made principally on the basis of price.
(2) If sealed bids are used, the following requirements apply:
(i) Bids must be solicited from an adequate number of known suppliers, providing
them sufficient response time prior to the date set for opening the bids, for state,
local, and tribal governments, the invitation for bids must be publically
advertised;
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(ii) The invitation for bids, which will include any specifications and pertinent
attachments, must define the items or services in order for the bidder to properly
respond;
(iii) All bids will be opened at the time and place prescribed in the invitation for bids,
and for local and tribal governments, the bids must be opened publicly;
(iv) A firm fixed price contract award will be made in writing to the lowest
responsive and responsible bidder. Where specified in bidding documents, factors
such as discounts, transportation cost, and life cycle costs must be considered in
determining which bid is lowest. Payment discounts will only be used to
determine the low bid when prior experience indicates that such discounts are
usually taken advantage of; and
(v) Any or all bids may be rejected if there is a sound documented reason.
(d) Procurement by competitive proposals. The technique of competitive proposals is
normally conducted with more than one source submitting an offer, and either a fixed
price or cost -reimbursement type contract is awarded. It is generally used when
conditions are not appropriate for the use of sealed bids. If this method is used, the
following requirements apply:
(1) Requests for proposals must be publicized and identify all evaluation factors and their
relative importance. Any response to publicized requests for proposals must be
considered to the maximum extent practical;
(2) Proposals must be solicited from an adequate number of qualified sources;
(3) The non -Federal entity must have a written method for conducting technical
evaluations of the proposals received and for selecting recipients;
(4) Contracts must be awarded to the responsible firm whose proposal is most
advantageous to the program, with price and other factors considered; and
(5) The non -Federal entity may use competitive proposal procedures for qualifications -
based procurement of architectural/engineering (A/E) professional services whereby
competitors' qualifications are evaluated and the most qualified competitor is
selected, subject to negotiation of fair and reasonable compensation. The method,
where price is not used as a selection factor, can only be used in procurement of A/E
professional services. It cannot be used to purchase other types of services though
A/E firms are a potential source to perform the proposed effort.
(e) [Reserved]
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(f) Procurement by noncompetitive proposals. Procurement by noncompetitive proposals is
procurement through solicitation of a proposal from only one source and may be used
only when one or more of the following circumstances apply:
(1) The item is available only from a single source;
(2) The public exigency or emergency for the requirement will not permit a delay
resulting from competitive solicitation;
(3) The Federal awarding agency or pass-through entity expressly authorizes
noncompetitive proposals in response to a written request from the non -Federal
entity; or
(4) After solicitation of a number of sources, competition is determined inadequate.
[78 FR 78608, Dec. 26, 2013, as amended at 79 FR 75885, Dec. 19, 2014]
200.321 Contracting with small and minority businesses, women's business enterprises,
and labor surplus area firms.
(a) The non -Federal entity must take all necessary affirmative steps to assure that minority
businesses, women's business enterprises, and labor surplus area firms are used when
possible.
(b) Affirmative steps must include:
(1) Placing qualified small and minority businesses and women's business enterprises on
solicitation lists;
(2) Assuring that small and minority businesses, and women's business enterprises are
solicited whenever they are potential sources;
(3) Dividing total requirements, when economically feasible, into smaller tasks or
quantities to permit maximum participation by small and minority businesses, and
women's business enterprises;
(4) Establishing delivery schedules, where the requirement permits, which encourage
participation by small and minority businesses, and women's business enterprises;
(5) Using the services and assistance, as appropriate, of such organizations as the Small
Business Administration and the Minority Business Development Agency of the
Department of Commerce; and
(6) Requiring the prime contractor, if subcontracts are to be let, to take the affirmative
steps listed in paragraphs (1) through (5) of this section.
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200.322 Procurement of recovered materials.
A non -Federal entity that is a state agency or agency of a political subdivision of a state and its
contractors must comply with section 6002 of the Solid Waste Disposal Act, as amended by the
Resource Conservation and Recovery Act. The requirements of Section 6002 include procuring
only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 CFR
part 247 that contain the highest percentage of recovered materials practicable, consistent with
maintaining a satisfactory level of competition, where the purchase price of the item exceeds
$10,000 or the value of the quantity acquired during the preceding fiscal year exceeded $10,000;
procuring solid waste management services in a manner that maximizes energy and resource
recovery; and establishing an affirmative procurement program for procurement of recovered
materials identified in the EPA guidelines.
[78 FR 78608, Dec. 26, 2013, as amended at 79 FR 75885, Dec. 19, 2014]
200.323 Contract cost and price.
(a) The non -Federal entity must perform a cost or price analysis in connection with every
procurement action in excess of the Simplified Acquisition Threshold including contract
modifications. The method and degree of analysis is dependent on the facts surrounding
the particular procurement situation, but as a starting point, the non -Federal entity must
make independent estimates before receiving bids or proposals.
(b) The non -Federal entity must negotiate profit as a separate element of the price for each
contract in which there is no price competition and in all cases where cost analysis is
performed. To establish a fair and reasonable profit, consideration must be given to the
complexity of the work to be performed, the risk borne by the contractor, the contractor's
investment, the amount of subcontracting, the quality of its record of past performance,
and industry profit rates in the surrounding geographical area for similar work.
(c) Costs or prices based on estimated costs for contracts under the Federal award are
allowable only to the extent that costs incurred or cost estimates included in negotiated
prices would be allowable for the non -Federal entity under Subpart E—Cost Principles of
this part. The non -Federal entity may reference its own cost principles that comply with
the Federal cost principles.
(d) The cost plus a percentage of cost and percentage of construction cost methods of
contracting must not be used.
200.324 Federal awarding agency or pass-through entity review.
(a) The non -Federal entity must make available, upon request of the Federal awarding agency
or pass-through entity, technical specifications on proposed procurements where the
Federal awarding agency or pass-through entity believes such review is needed to ensure
that the item or service specified is the one being proposed for acquisition. This review
generally will take place prior to the time the specification is incorporated into a
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solicitation document. However, if the non -Federal entity desires to have the review
accomplished after a solicitation has been developed, the Federal awarding agency or
pass-through entity may still review the specifications, with such review usually limited
to the technical aspects of the proposed purchase.
(b) The non -Federal entity must make available upon request, for the Federal awarding
agency or pass-through entity pre -procurement review, procurement documents, such as
requests for proposals or invitations for bids, or independent cost estimates, when:
(1) The non -Federal entity's procurement procedures or operation fails to comply with the
procurement standards in this part;
(2) The procurement is expected to exceed the Simplified Acquisition Threshold and is to
be awarded without competition or only one bid or offer is received in response to a
solicitation;
(3) The procurement, which is expected to exceed the Simplified Acquisition Threshold,
specifies a "brand name" product;
(4) The proposed contract is more than the Simplified Acquisition Threshold and is to be
awarded to other than the apparent low bidder under a sealed bid procurement; or
(5) A proposed contract modification changes the scope of a contract or increases the
contract amount by more than the Simplified Acquisition Threshold.
(c) The non -Federal entity is exempt from the pre -procurement review in paragraph (b) of
this section if the Federal awarding agency or pass-through entity determines that its
procurement systems comply with the standards of this part.
(1) The non -Federal entity may request that its procurement system be reviewed by the
Federal awarding agency or pass-through entity to determine whether its system
meets these standards in order for its system to be certified. Generally, these reviews
must occur where there is continuous high -dollar funding, and third party contracts
are awarded on a regular basis;
(2) The non -Federal entity may self -certify its procurement system. Such self -
certification must not limit the Federal awarding agency's right to survey the system.
Under a self -certification procedure, the Federal awarding agency may rely on written
assurances from the non -Federal entity that it is complying with these standards. The
non -Federal entity must cite specific policies, procedures, regulations, or standards as
being in compliance with these requirements and have its system available for review.
200.325 Bonding requirements.
For construction or facility improvement contracts or subcontracts exceeding the Simplified
Acquisition Threshold, the Federal awarding agency or pass-through entity may accept the
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bonding policy and requirements of the non -Federal entity provided that the Federal awarding
agency or pass-through entity has made a determination that the Federal interest is adequately
protected. If such a determination has not been made, the minimum requirements must be as
follows:
(a) A bid guarantee from each bidder equivalent to five percent of the bid price. The "bid
guarantee" must consist of a firm commitment such as a bid bond, certified check, or
other negotiable instrument accompanying a bid as assurance that the bidder will, upon
acceptance of the bid, execute such contractual documents as may be required within the
time specified.
(b) A performance bond on the part of the contractor for 100 percent of the contract price. A
"performance bond" is one executed in connection with a contract to secure fulfillment of
all the contractor's obligations under such contract.
(c) A payment bond on the part of the contractor for 100 percent of the contract price. A
"payment bond" is one executed in connection with a contract to assure payment as
required by law of all persons supplying labor and material in the execution of the work
provided for in the contract.
200.326 Contract provisions.
The non -Federal entity's contracts must contain the applicable provisions described in Appendix
Il to Part 200—Contract Provisions for non -Federal Entity Contracts Under Federal Awards.
4. EQUIPMENT (2 CFR 200.313)
See also 200.439 Equipment and other capital expenditures.
(a) Title. Subject to the obligations and conditions set forth in this section, title to equipment
acquired under a Federal award will vest upon acquisition in the non -Federal entity.
Unless a statute specifically authorizes the Federal agency to vest title in the non -Federal
entity without further obligation to the Federal Government, and the Federal agency
elects to do so, the title must be a conditional title. Title must vest in the non -Federal
entity subject to the following conditions:
(1) Use the equipment for the authorized purposes of the project during the period of
performance, or until the property is no longer needed for the purposes of the project.
(2) Not encumber the property without approval of the Federal awarding agency or pass-
through entity.
(3) Use and dispose of the property in accordance with paragraphs (b), (c) and (e) of this
section.
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(b) A state must use, manage and dispose of equipment acquired under a Federal award by
the state in accordance with state laws and procedures. Other non -Federal entities must
follow paragraphs (c) through (e) of this section.
(c) Use.
(1) Equipment must be used by the non -Federal entity in the program or project for which
it was acquired as long as needed, whether or not the project or program continues to
be supported by the Federal award, and the non -Federal entity must not encumber the
property without prior approval of the Federal awarding agency. When no longer
needed for the original program or project, the equipment may be used in other
activities supported by the Federal awarding agency, in the following order of
priority:
(i) Activities under a Federal award from the Federal awarding agency which funded
the original program or project, then
(ii) Activities under Federal awards from other Federal awarding agencies. This
includes consolidated equipment for information technology systems.
(2) During the time that equipment is used on the project or program for which it was
acquired, the non -Federal entity must also make equipment available for use on other
projects or programs currently or previously supported by the Federal Government,
provided that such use will not interfere with the work on the projects or program for
which it was originally acquired. First preference for other use must be given to other
programs or projects supported by Federal awarding agency that financed the
equipment and second preference must be given to programs or projects under
Federal awards from other Federal awarding agencies. Use for non -federally -funded
programs or projects is also permissible. User fees should be considered if
appropriate.
(3) Notwithstanding the encouragement in 200.307 Program income to earn program
income, the non -Federal entity must not use equipment acquired with the Federal
award to provide services for a fee that is less than private companies charge for
equivalent services unless specifically authorized by Federal statute for as long as the
Federal Government retains an interest in the equipment.
(4) When acquiring replacement equipment, the non -Federal entity may use the
equipment to be replaced as a trade-in or sell the property and use the proceeds to
offset the cost of the replacement property.
(d) Management requirements. Procedures for managing equipment (including replacement
equipment), whether acquired in whole or in part under a Federal award, until disposition
takes place will, as a minimum, meet the following requirements:
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(1) Property records must be maintained that include a description of the property, a
serial number or other identification number, the source of funding for the property
(including the FAIN), who holds title, the acquisition date, and cost of the property,
percentage of Federal participation in the project costs for the Federal award under
which the property was acquired, the location, use and condition of the property, and
any ultimate disposition data including the date of disposal and sale price of the
property.
(2) A physical inventory of the property must be taken and the results reconciled with the
property records at least once every two years.
(3) A control system must be developed to ensure adequate safeguards to prevent loss,
damage, or theft of the property. Any loss, damage, or theft must be investigated.
(4) Adequate maintenance procedures must be developed to keep the property in good
condition.
(5) If the non -Federal entity is authorized or required to sell the property, proper sales
procedures must be established to ensure the highest possible return.
(e) Disposition. When original or replacement equipment acquired under a Federal award is
no longer needed for the original project or program or for other activities currently or
previously supported by a Federal awarding agency, except as otherwise provided in
Federal statutes, regulations, or Federal awarding agency disposition instructions, the
non -Federal entity must request disposition instructions from the Federal awarding
agency if required by the terms and conditions of the Federal award. Disposition of the
equipment will be made as follows, in accordance with Federal awarding agency
disposition instructions:
(1) Items of equipment with a current per unit fair market value of $5,000 or less may be
retained, sold or otherwise disposed of with no further obligation to the Federal
awarding agency.
(2) Except as provided in 200.312 Federally -owned and exempt property, paragraph (b),
or if the Federal awarding agency fails to provide requested disposition instructions
within 120 days, items of equipment with a current per-unit fair -market value in
excess of $5,000 may be retained by the non -Federal entity or sold. The Federal
awarding agency is entitled to an amount calculated by multiplying the current market
value or proceeds from sale by the Federal awarding agency's percentage of
participation in the cost of the original purchase. If the equipment is sold, the Federal
awarding agency may permit the non -Federal entity to deduct and retain from the
Federal share $500 or ten percent of the proceeds, whichever is less, for its selling
and handling expenses.
(3) The non -Federal entity may transfer title to the property to the Federal Government or
to an eligible third party provided that, in such cases, the non -Federal entity must be
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entitled to compensation for its attributable percentage of the current fair market
value of the property.
(4) In cases where a non -Federal entity fails to take appropriate disposition actions, the
Federal awarding agency may direct the non -Federal entity to take disposition
actions.
[78 FR 78608, Dec. 26, 2013, as amended at 79 FR 75884, Dec. 19, 2014]
5. SUPPLIES (2 CFR 200.314)
See also 200.453 Materials and supplies costs, including costs of computing devices.
(a) Title to supplies will vest in the non -Federal entity upon acquisition. If there is a residual
inventory of unused supplies exceeding $5,000 in total aggregate value upon termination
or completion of the project or program and the supplies are not needed for any other
Federal award, the non -Federal entity must retain the supplies for use on other activities
or sell them, but must, in either case, compensate the Federal Government for its share.
The amount of compensation must be computed in the same manner as for equipment.
See 200.313 Equipment, paragraph (e)(2) for the calculation methodology.
(b) As long as the Federal Government retains an interest in the supplies, the non -Federal
entity must not use supplies acquired under a Federal award to provide services to other
organizations for a fee that is less than private companies charge for equivalent services,
unless specifically authorized by Federal statute.
6. INSPECTION
Reclamation has the right to inspect and evaluate the work performed or being performed under
this Agreement, and the premises where the work is being performed, at all reasonable times and
in a manner that will not unduly delay the work. If Reclamation performs inspection or
evaluation on the premises of the Recipient or a sub -Recipient, the Recipient shall furnish and
shall require sub -recipients to furnish all reasonable facilities and assistance for the safe and
convenient performance of these duties.
7. AUDIT REQUIREMENTS (2 CFR 200.501)
(a) Audit required. A non -Federal entity that expends $750,000 or more during the non -
Federal entity's fiscal year in Federal awards must have a single or program -specific audit
conducted for that year in accordance with the provisions of this part.
(b) Single audit. A non -Federal entity that expends $750,000 or more during the non -Federal
entity's fiscal year in Federal awards must have a single audit conducted in accordance
with 200.514 Scope of audit except when it elects to have a program -specific audit
conducted in accordance with paragraph (c) of this section.
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(c) Program -specific audit election. When an auditee expends Federal awards under only one
Federal program (excluding R&D) and the Federal program's statutes, regulations, or the
terms and conditions of the Federal award do not require a financial statement audit of
the auditee, the auditee may elect to have a program -specific audit conducted in
accordance with 200.507 Program -specific audits. A program -specific audit may not be
elected for R&D unless all of the Federal awards expended were received from the same
Federal agency, or the same Federal agency and the same pass-through entity, and that
Federal agency, or pass-through entity in the case of a subrecipient, approves in advance
a program -specific audit.
(d) Exemption when Federal awards expended are less than $750,000. A non -Federal entity
that expends less than $750,000 during the non -Federal entity's fiscal year in Federal
awards is exempt from Federal audit requirements for that year, except as noted in
200.503 Relation to other audit requirements, but records must be available for review or
audit by appropriate officials of the Federal agency, pass-through entity, and Government
Accountability Office (GAO).
(e) Federally Funded Research and Development Centers (FFRDC). Management of an
auditee that owns or operates a FFRDC may elect to treat the FFRDC as a separate entity
for purposes of this part.
(f) Subrecipients and Contractors. An auditee may simultaneously be a recipient, a
subrecipient, and a contractor. Federal awards expended as a recipient or a subrecipient
are subject to audit under this part. The payments received for goods or services provided
as a contractor are not Federal awards. Section 200.330 Subrecipient and contractor
determinations sets forth the considerations in determining whether payments constitute a
Federal award or a payment for goods or services provided as a contractor.
(g) Compliance responsibility for contractors. In most cases, the auditee's compliance
responsibility for contractors is only to ensure that the procurement, receipt, and payment
for goods and services comply with Federal statutes, regulations, and the terms and
conditions of Federal awards. Federal award compliance requirements normally do not
pass through to contractors. However, the auditee is responsible for ensuring compliance
for procurement transactions which are structured such that the contractor is responsible
for program compliance or the contractor's records must be reviewed to determine
program compliance. Also, when these procurement transactions relate to a major
program, the scope of the audit must include determining whether these transactions are
in compliance with Federal statutes, regulations, and the terms and conditions of Federal
awards.
(h) For-profit subrecipient. Since this part does not apply to for-profit subrecipients, the pass-
through entity is responsible for establishing requirements, as necessary, to ensure
compliance by for-profit subrecipients. The agreement with the for-profit subrecipient
must describe applicable compliance requirements and the for-profit subrecipient's
compliance responsibility. Methods to ensure compliance for Federal awards made to for -
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profit subrecipients may include pre -award audits, monitoring during the agreement, and
post -award audits. See also 200.331 Requirements for pass-through entities.
[78 FR 78608, Dec. 26, 2013, as amended at 79 FR 75887, Dec. 19, 2014]
8. REMEDIES FOR NONCOMPLIANCE (2 CFR 200.338)
200.338 Remedies for noncompliance.
If a non -Federal entity fails to comply with Federal statutes, regulations or the terms and
conditions of a Federal award, the Federal awarding agency or pass-through entity may impose
additional conditions, as described in 200.207 Specific conditions. If the Federal awarding
agency or pass-through entity determines that noncompliance cannot be remedied by imposing
additional conditions, the Federal awarding agency or pass-through entity may take one or more
of the following actions, as appropriate in the circumstances:
(a) Temporarily withhold cash payments pending correction of the deficiency by the non -
Federal entity or more severe enforcement action by the Federal awarding agency or
pass-through entity.
(b) Disallow (that is, deny both use of funds and any applicable matching credit for) all or
part of the cost of the activity or action not in compliance.
(c) Wholly or partly suspend or terminate the Federal award.
(d) Initiate suspension or debarment proceedings as authorized under 2 CFR part 180 and
Federal awarding agency regulations (or in the case of a pass-through entity, recommend
such a proceeding be initiated by a Federal awarding agency).
(e) Withhold further Federal awards for the project or program.
(f) Take other remedies that may be legally available.
9. TERMINATION (2 CFR 200.339)
(a) The Federal award may be terminated in whole or in part as follows:
(1) By the Federal awarding agency or pass-through entity, if a non -Federal entity fails to
comply with the terms and conditions of a Federal award;
(2) By the Federal awarding agency or pass-through entity for cause;
(3) By the Federal awarding agency or pass-through entity with the consent of the non -
Federal entity, in which case the two parties must agree upon the termination
conditions, including the effective date and, in the case of partial termination, the
portion to be terminated; or
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(4) By the non -Federal entity upon sending to the Federal awarding agency or pass-
through entity written notification setting forth the reasons for such termination, the
effective date, and, in the case of partial termination, the portion to be terminated.
However, if the Federal awarding agency or pass-through entity determines in the
case of partial termination that the reduced or modified portion of the Federal award
or subaward will not accomplish the purposes for which the Federal award was made,
the Federal awarding agency or pass-through entity may terminate the Federal award
in its entirety.
(b) When a Federal award is terminated or partially terminated, both the Federal awarding
agency or pass-through entity and the non -Federal entity remain responsible for
compliance with the requirements in 200.343 Closeout and 200.344 Post -closeout
adjustments and continuing responsibilities.
10. DEBARMENT AND SUSPENSION (2 CFR 1400)
The Department of the Interior regulations at 2 CFR 1400—Governmentwide Debarment and
Suspension (Nonprocurement), which adopt the common rule for the governmentwide system of
debarment and suspension for nonprocurement activities, are hereby incorporated by reference
and made a part of this Agreement. By entering into this grant or cooperative Agreement with
the Bureau of Reclamation, the Recipient agrees to comply with 2 CFR 1400, Subpart C, and
agrees to include a similar term or condition in all lower -tier covered transactions. These
regulations are available at http://www.gpoaccess.gov/ecfr/.
11. DRUG-FREE WORKPLACE (2 CFR 182 and 1401)
The Department of the Interior regulations at 2 CFR 140 1 —Governmentwide Requirements for
Drug -Free Workplace (Financial Assistance), which adopt the portion of the Drug -Free
Workplace Act of 1988 (41 U.S.C. 701 et seq, as amended) applicable to grants and cooperative
agreements, are hereby incorporated by reference and made a part of this agreement. By
entering into this grant or cooperative agreement with the Bureau of Reclamation, the Recipient
agrees to comply with 2 CFR 182.
12. ASSURANCES AND CERTIFICATIONS INCORPORATED BY REFERENCE
The provisions of the Assurances, SF 424B or SF 424D as applicable, executed by the Recipient
in connection with this Agreement shall apply with full force and effect to this Agreement. All
anti -discrimination and equal opportunity statutes, regulations, and Executive Orders that apply
to the expenditure of funds under Federal contracts, grants, and cooperative Agreements, loans,
and other forms of Federal assistance. The Recipient shall comply with Title VI or the Civil
Rights Act of 1964, Title IX of the Education Amendments of 1972, Section 504 of the
Rehabilitation Act of 1973, the Age Discrimination Act of 1975, and any program -specific
statutes with anti -discrimination requirements. The Recipient shall comply with civil rights laws
including, but not limited to, the Fair Housing Act, the Fair Credit Reporting Act, the Americans
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with Disabilities Act, Title VII of the Civil Rights Act of 1964, the Equal Educational
Opportunities Act, the Age Discrimination in Employment Act, and the Uniform Relocation Act.
Such Assurances also include, but are not limited to, the promise to comply with all applicable
Federal statutes and orders relating to nondiscrimination in employment, assistance, and housing;
the Hatch Act; Federal wage and hour laws and regulations and work place safety standards;
Federal environmental laws and regulations and the Endangered Species Act; and Federal
protection of rivers and waterways and historic and archeological preservation.
13. COVENANT AGAINST CONTINGENT FEES
The Recipient warrants that no person or agency has been employed or retained to solicit or
secure this Agreement upon an Agreement or understanding for a commission, percentage,
brokerage, or contingent fee, excepting bona fide employees or bona fide offices established and
maintained by the Recipient for the purpose of securing Agreements or business. For breach or
violation of this warranty, the Government shall have the right to annul this Agreement without
liability or, in its discretion, to deduct from the Agreement amount, or otherwise recover, the full
amount of such commission, percentage, brokerage, or contingent fee.
14. TRAFFICKING VICTIMS PROTECTION ACT OF 2000 (2 CFR 175.15)
Trafficking in persons.
(a) Provisions applicable to a recipient that is a private entity.
(1) You as the recipient, your employees, subrecipients under this award, and
subrecipients' employees may not
(i) Engage in severe forms of trafficking in persons during the period of time that the
award is in effect;
(ii) Procure a commercial sex act during the period of time that the award is in effect;
or
(iii) Use forced labor in the performance of the award or subawards under the award.
(2) We as the Federal awarding agency may unilaterally terminate this award, without
penalty, if you or a subrecipient that is a private entity —
(i) Is determined to have violated a prohibition in paragraph a.I of this award term; or
(ii) Has an employee who is determined by the agency official authorized to terminate
the award to have violated a prohibition in paragraph a. l of this award term
through conduct that is either:
(A) Associated with performance under this award; or
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(B) Imputed to you or the subrecipient using the standards and due process for
imputing the conduct of an individual to an organization that are provided in 2
CFR part 180, "OMB Guidelines to Agencies on Governmentwide Debarment
and Suspension (Nonprocurement)," as implemented by our agency at 2 CFR
part 1400.
(b) Provision applicable to a recipient other than a private entity. We as the Federal
awarding agency may unilaterally terminate this award, without penalty, if a subrecipient
that is a private entity—
(1) Is determined to have violated an applicable prohibition in paragraph a.I of this award
term; or
(2) Has an employee who is determined by the agency official authorized to terminate the
award to have violated an applicable prohibition in paragraph a.I of this award term
through conduct that is either:
(i) Associated with performance under this award; or
(ii) Imputed to the subrecipient using the standards and due process for imputing the
conduct of an individual to an organization that are provided in 2 CFR part 180,
"OMB Guidelines to Agencies on Governmentwide Debarment and Suspension
(Nonprocurement)," as implemented by our agency at 2 CFR part 1400.
(c) Provisions applicable to any recipient.
(1) You must inform us immediately of any information you receive from any source
alleging a violation of a prohibition in paragraph a. l of this award term.
(2) Our right to terminate unilaterally that is described in paragraph a.2 or b of this
section:
(i) Implements section 106(g) of the Trafficking Victims Protection Act of 2000
(TVPA), as amended (22 U.S.C. 7104(g)), and
(ii) Is in addition to all other remedies for noncompliance that are available to us
under this award.
(3) You must include the requirements of paragraph a.l of this award term in any
subaward you make to a private entity.
(d) Definitions. For purposes of this award term:
(1) "Employee" means either:
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(i) An individual employed by you or a subrecipient who is engaged in the
performance of the project or program under this award; or
(ii) Another person engaged in the performance of the project or program under this
award and not compensated by you including, but not limited to, a volunteer or
individual whose services are contributed by a third party as an in-kind
contribution toward cost sharing or matching requirements.
(2) "Forced labor" means labor obtained by any of the following methods: the
recruitment, harboring, transportation, provision, or obtaining of a person for labor or
services, through the use of force, fraud, or coercion for the purpose of subjection to
involuntary servitude, peonage, debt bondage, or slavery.
(3) "Private entity":
(i) Means any entity other than a state, local government, Indian tribe, or foreign
public entity, as those terms are defined in 2 CFR 175.25.
(ii) Includes:
(A) A nonprofit organization, including any nonprofit institution of higher
education, hospital, or tribal organization other than one included in the
definition of Indian tribe at 2 CFR 175.25(b).
(B) A for-profit organization.
(4) "Severe forms of trafficking in persons," "commercial sex act," and "coercion" have
the meanings given at section 103 of the TVPA, as amended (22 U.S.C. 7102).
15. NEW RESTRICTIONS ON LOBBYING (43 CFR 18)
The Recipient agrees to comply with 43 CFR 18, New Restrictions on Lobbying, including the
following certification:
(a) No Federal appropriated funds have been paid 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 an agency, a Member of Congress, and 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.
(b) 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, an officer or employee of Congress, or an employee of a Member
of Congress in connection with this Federal contract, grant, loan, or cooperative
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agreement, the undersigned shall complete and submit Standard Form -LLL, "Disclosure
Form to Report Lobbying" in accordance with its instructions.
(c) The Recipient shall require that the language of this certification be included in the award
documents for all subawards at all tiers (including subcontracts, subgrants, and contracts
under grants, loans, and cooperative agreements) and that all subrecipients shall certify
accordingly. 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 such failure.
16. UNIFORM RELOCATION ASSISTANCE AND REAL PROPERTY ACQUISITION
POLICIES ACT OF 1970 (URA) (42 USC 4601 et seq.)
(a) The Uniform Relocation Assistance Act (URA), 42 U.S.C. 4601 et seq., as amended,
requires certain assurances for Reclamation funded land acquisition projects conducted
by a Recipient that cause the displacement of persons, businesses, or farm operations.
Because Reclamation funds only support acquisition of property or interests in property
from willing sellers, it is not anticipated that Reclamation funds will result in any
"displaced persons," as defined under the URA.
(b) However, if Reclamation funds are used for the acquisition of real property that results in
displacement, the URA requires Recipients to ensure that reasonable relocation payments
and other remedies will be provided to any displaced person. Further, when acquiring
real property, Recipients must be guided, to the greatest extent practicable, by the land
acquisition policies in 42 U.S.C. 4651.
(c) Exemptions to the URA and 49 CFR Part 24
(1) The URA provides for an exemption to the appraisal, review and certification rules
for those land acquisitions classified as "voluntary transactions." Such "voluntary
transactions" are classified as those that do not involve an exercise of eminent domain
authority on behalf of a Recipient, and must meet the conditions specified at 49 CFR
24.101(b)(1)(i)-(iv).
(2) For any land acquisition undertaken by a Recipient that receives Reclamation funds,
but does not have authority to acquire the real property by eminent domain, to be
exempt from the requirements of 49 CFR Part 24 the Recipient must:
(i) provide written notification to the owner that it will not acquire the property in
the event negotiations fail to result in an amicable agreement, and;
(ii) inform the owner in writing of what it believes to be the market value of the
property
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(d) Review of Land Acquisition Appraisals. Reclamation reserves the right to review any
land appraisal whether or not such review is required under the URA or 49 CFR 24.104.
Such reviews may be conducted by the Department of the Interior's Appraisal Services
Directorate or a Reclamation authorized designee. When Reclamation determines that a
review of the original appraisal is necessary, Reclamation will notify the Recipient and
provide an estimated completion date of the initial appraisal review.
17. SYSTEM FOR AWARD MANAGEMENT AND UNIVERSAL IDENTIFIER
REQUIREMENTS (2 CFR 25, APPENDIX A)
A. Requirement for System for Award Management
Unless you are exempted from this requirement under 2 CFR 25.110, you as the recipient
must maintain the currency of your information in the SAM until you submit the final
financial report required under this award or receive the final payment, whichever is later.
This requires that you review and update the information at least annually after the initial
registration, and more frequently if required by changes in your information or another
award term.
B. Requirement for unique entity identifier
If you are authorized to make subawards under this award, you:
1. Must notify potential subrecipients that no entity (see definition in paragraph C of this
award term) may receive a subaward from you unless the entity has provided its
unique entity identifier to you.
2. May not make a subaward to an entity unless the entity has provided its unique entity
identifier to you.
C. Definitions
For purposes of this award term:
1. 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 (currently at http://www.sam.gov).
2. Unique entity identifier means the identifier required for SAM registration to
uniquely identify business entities.
3. Entity, as it is used in this award term, means all of the following, as defined at 2
CFR part 25, subpart C:
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a. A Governmental organization, which is a State, local government, or Indian
Tribe;
b. A foreign public entity;
c. A domestic or foreign nonprofit organization;
d. A domestic or foreign for-profit organization; and
e. A Federal agency, but only as a subrecipient under an award or subaward to a
non -Federal entity.
4. Subaward:
a. 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.
b. The term does not include your procurement of property and services needed to
carry out the project or program (for further explanation, see 2 CFR 200.330).
c. A subaward may be provided through any legal agreement, including an
agreement that you consider a contract.
5. Subrecipient means an entity that:
a. Receives a subaward from you under this award; and
b. Is accountable to you for the use of the Federal funds provided by the subaward.
18. PROHIBITION ON TEXT MESSAGING AND USING ELECTRONIC EQUIPMENT
SUPPLIED BY THE GOVERNMENT WHILE DRIVING
Executive Order 13513, Federal Leadership On Reducing Text Messaging While Driving, was
signed by President Barack Obama on October 1, 2009 (ref-
httl2:Hedocket.access.gpo.gov/2009/pdf/E9-24203.pdf). This Executive Order introduces a
Federal Government -wide prohibition on the use of text messaging while driving on official
business or while using Government -supplied equipment. Additional guidance enforcing the ban
will be issued at a later date. In the meantime, please adopt and enforce policies that
immediately ban text messaging while driving company-owned or rented vehicles, government-
owned or leased vehicles, or while driving privately owned vehicles when on official
government business or when performing any work for or on behalf of the government.
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19. REPORTING SUBAWARDS AND EXECUTIVE COMPENSATION (2 CFR 170
APPENDIX A)
I. Reporting Subawards and Executive Compensation.
a. Reporting of first-tier subawards.
1. Applicability. Unless you are exempt as provided in paragraph d. of this award
term, you must report each action that obligates $25,000 or more in Federal funds
that does not include Recovery funds (as defined in section 1512(a)(2) of the
American Recovery and Reinvestment Act of 2009, Pub. L. 111-5) for a
subaward to an entity (see definitions in paragraph e. of this award term).
2. Where and when to report.
i. You must report each obligating action described in paragraph a. 1. of this
award term to http://Www.fsrs.gov.
ii. For subaward information, report no later than the end of the month following
the month in which the obligation was made. (For example, if the obligation
was made on November 7, 2010, the obligation must be reported by no later
than December 31, 2010.)
3. What to report. You must report the information about each obligating action that
the submission instructions posted at http://www.fsrs.goov specify.
b. Reporting Total Compensation of Recipient Executives.
Applicability and what to report. You must report total compensation for each of
your five most highly compensated executives for the preceding completed fiscal
year, if—
the total Federal funding authorized to date under this award is $25,000 or
more;
ii. in the preceding fiscal year, you received—
(A) 80 percent or more of your annual gross revenues from Federal
procurement contracts (and subcontracts) and Federal financial
assistance subject to the Transparency Act, as defined at 2 CFR
170.320 (and subawards); and
(B) $25,000,000 or more in annual gross revenues from Federal
procurement contracts (and subcontracts) and Federal financial
assistance subject to the Transparency Act, as defined at 2 CFR
170.320 (and subawards); and
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iii. The public does not have access to information about the compensation of
the executives through periodic reports filed under section 13(a) or 15(d)
of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or
section 6104 of the Internal Revenue Code of 1986. (To determine if the
public has access to the compensation information, see the U.S. Security
and Exchange Commission total compensation filings
at http://www. sec.gov/answers/execomp.htm.)
2. Where and when to report. You must report executive total compensation
described in paragraph b.1. of this award term:
i. As part of your registration profile at http.,Ilwww.ccr.gov
ii. By the end of the month following the month in which this award is made,
and annually thereafter.
c. Reporting of Total Compensation of Subrecipient Executives.
1. Applicability and what to report. Unless you are exempt as provided in paragraph
d. of this award term, for each first-tier subrecipient under this award, you shall
report the names and total compensation of each of the subrecipient's five most
highly compensated executives for the subrecipient's preceding completed fiscal
year, if—
i. in the subrecipient's preceding fiscal year, the subrecipient received—
(A) 80 percent or more of its annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the
Transparency Act, as defined at 2 CFR 170.320 (and subawards); and
(B) $25,000,000 or more in annual gross revenues from Federal procurement
contracts (and subcontracts), and Federal financial assistance subject to the
Transparency Act (and subawards); and
ii. The public does not have access to information about the compensation of the
executives through periodic reports filed under section 13(a) or 15(d) of the
Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104
of the Internal Revenue Code of 1986. (To determine if the public has access
to the compensation information, see the U.S. Security and Exchange
Commission total compensation filings
at http://Www.sec.govlanswerslexecomp.htm.)
2. Where and when to report. You must report subrecipient executive total
compensation described in paragraph c. 1. of this award term:
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i. To the recipient.
ii. By the end of the month following the month during which you make the
subaward. For example, if a subaward is obligated on any date during the
month of October of a given year (i.e., between October 1 and 31), you must
report any required compensation information of the subrecipient by
November 30 of that year.
d. Exemptions
If, in the previous tax year, you had gross income, from all sources, under $300,000,
you are exempt from the requirements to report:
i. Subawards, and
ii. The total compensation of the five most highly compensated executives of any
subrecipient.
e. Definitions. For purposes of this award term:
1. Entity means all of the following, as defined in 2 CFR part 25:
i. A Governmental organization, which is a State, local government, or Indian
tribe;
ii. A foreign public entity;
iii. A domestic or foreign nonprofit organization;
iv. A domestic or foreign for-profit organization;
v. A Federal agency, but only as a subrecipient under an award or subaward to a
non -Federal entity.
2. Executive means officers, managing partners, or any other employees in
management positions.
3. Subaward:
i. This term means a legal instrument to provide support for the performance of
any portion of the substantive project or program for which you received this
award and that you as the recipient award to an eligible subrecipient.
ii. The term does not include your procurement of property and services needed
to carry out the project or program (for further explanation, see Sec. .210
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of the attachment to OMB Circular A-133, "Audits of States, Local
Governments, and Non -Profit Organizations").
iii. A subaward may be provided through any legal agreement, including an
agreement that you or a subrecipient considers a contract.
4. Subrecipient means an entity that:
i. Receives a subaward from you (the recipient) under this award; and
ii. Is accountable to you for the use of the Federal funds provided by the
subaward.
5. Total compensation means the cash and noncash dollar value earned by the
executive during the recipient's or subrecipient's preceding fiscal year and
includes the following (for more information see 17 CFR 229.402(c)(2)):
i. Salary and bonus.
ii. Awards of stock, stock options, and stock appreciation rights. Use the dollar
amount recognized for financial statement reporting purposes with respect to
the fiscal year in accordance with the Statement of Financial Accounting
Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments.
iii. Earnings for services under non -equity incentive plans. This does not include
group life, health, hospitalization or medical reimbursement plans that do not
discriminate in favor of executives, and are available generally to all salaried
employees.
iv. Change in pension value. This is the change in present value of defined
benefit and actuarial pension plans.
v. Above -market earnings on deferred compensation which is not tax -qualified.
vi. Other compensation, if the aggregate value of all such other compensation
(e.g. severance, termination payments, value of life insurance paid on behalf
of the employee, perquisites or property) for the executive exceeds $10,000.
20. RECIPIENT EMPLOYEE WHISTLEBLOWER RIGHTS AND REQUIREMENT TO
INFORM EMPLOYEES OF WHISTLEBLOWER RIGHTS (SEP 2013)
(a) This award and employees working on this financial assistance agreement will be subject
to the whistleblower rights and remedies in the pilot program on Award Recipient
employee whistleblower protections established at 41 U.S.C. 4712 by section 828 of the
National Defense Authorization Act for Fiscal Year 2013 (Pub.L. 112-239).
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(b) The Award Recipient shall inform its employees in writing, in the predominant language
of the workforce, of employee whistleblower rights and protections under 41 U.S.0 4712.
(c) The Award Recipient shall insert the substance of this clause, including this paragraph
(c), in all subawards or subcontracts over the simplified acquisition threshold. 48 CFR
52.203-17 (as referenced in 48 CFR 3.908-9).
21. RECIPIENT INTEGRITY AND PERFORMANCE MATTERS (APPENDIX XII to 2
CFR Part 200)
A. Reporting of Matters Related to Recipient Integrity and Performance
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.
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:
(1) A criminal proceeding that resulted in a conviction, as defined in paragraph 5
of this award term and condition;
(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;
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(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
(4) Any other criminal, civil, or administrative proceeding if:
(i) It could have led to an outcome described in paragraph 2.c.(1), (2), or (3)
of this award term and condition;
(ii) It had a different disposition arrived at by consent or compromise with an
acknowledgment of fault on your part; and
(iii) The requirement in this award term and condition to disclose information
about the proceeding does not conflict with applicable laws and
regulations.
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.
4. Reporting Frequency
During any period of time when you are subject to the requirement in paragraph 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.
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
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connection with performance of a Federal contract or grant. It does not include
audits, site visits, corrective plans, or inspection of deliverables.
b. Conviction, 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—
(1) Only the Federal share of the funding under any Federal award with a
recipient cost share or match; and
(2) The value of all expected funding increments under a Federal award and
options, even if not yet exercised.
22. CONFLICTS OF INTEREST
(a) Applicability.
(1) This section intends to ensure that non -Federal entities and their employees take
appropriate steps to avoid conflicts of interest in their responsibilities under or with
respect to Federal financial assistance agreements.
(2) In the procurement of supplies, equipment, construction, and services by recipients
and by subrecipients, the conflict of interest provisions in 2 CFR 200.318 apply.
(b) Requirements.
(1) Non -Federal entities must avoid prohibited conflicts of interest, including any
significant financial interests that could cause a reasonable person to question the
recipient's ability to provide impartial, technically sound, and objective performance
under or with respect to a Federal financial assistance agreement.
(2) In addition to any other prohibitions that may apply with respect to conflicts of
interest, no key official of an actual or proposed recipient or subrecipient, who is
substantially involved in the proposal or project, may have been a former Federal
employee who, within the last one (1) year, participated personally and substantially
in the evaluation, award, or administration of an award with respect to that recipient
or subrecipient or in development of the requirement leading to the funding
announcement.
(3) No actual or prospective recipient or subrecipient may solicit, obtain, or use non-
public information regarding the evaluation, award, or administration of an award to
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that recipient or subrecipient or the development of a Federal financial assistance
opportunity that may be of competitive interest to that recipient or subrecipient.
(c) Notification.
(1) Non -Federal entities, including applicants for financial assistance awards, must
disclose in writing any conflict of interest to the DOI awarding agency or pass-
through entity in accordance with 2 CFR 200.112, Conflicts of Interest.
(2) Recipients must establish internal controls that include, at a minimum, procedures to
identify, disclose, and mitigate or eliminate identified conflicts of interest. The
recipient is responsible for notifying the Financial Assistance Officer in writing of
any conflicts of interest that may arise during the life of the award, including those
that have been reported by subrecipients.
(d) Restrictions on Lobbying. Non -Federal entities are strictly prohibited from using funds
under this grant or cooperative agreement for lobbying activities and must provide the
required certifications and disclosures pursuant to 4 3 CFR Part 18 and 31 USC 13 52.
(e) Review Procedures. The Financial Assistance Officer will examine each conflict of
interest disclosure on the basis of its particular facts and the nature of the proposed grant or
cooperative agreement, and will determine whether a significant potential conflict exists and,
if it does, develop an appropriate means for resolving it.
(f) Enforcement. Failure to resolve conflicts of interest in a manner that satisfies the
Government may be cause for termination of the award. Failure to make required disclosures
may result in any of the remedies described in 2 CFR 200.338, Remedies for
Noncompliance, including suspension or debarment (see also 2 CFR Part 180).
23. DATA AVAILABILITY
(a) Applicability. The Department of the Interior is committed to basing its decisions on the
best available science and providing the American people with enough information to
thoughtfully and substantively evaluate the data, methodology, and analysis used by the
Department to inform its decisions.
(b) Use of Data. The regulations at 2 CFR 200.315 apply to data produced under a Federal
award, including the provision that the Federal Government has the right to obtain,
reproduce, publish, or otherwise use the data produced under a Federal award as well as
authorize others to receive, reproduce, publish, or otherwise use such data for Federal
purposes.
(c) Availability of Data. The recipient shall make the data produced under this award and
any subaward(s) available to the Government for public release, consistent with
applicable law, to allow meaningful third -party evaluation and reproduction of the
following:
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(i) The scientific data relied upon;
(ii) The analysis relied upon; and
(iii) The methodology, including models, used to gather and analyze data.
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