HomeMy WebLinkAboutReso 143-2017 (17-1058)City of South San Francisco
P.O. - Box 711 (City Hall,
400 Grand Avenue)
South San Francisco, CA
City council
Resolution: RES 143 -2017
File Number: 17 -1058 Enactment Number: RES 143 -2017
RESOLUTION AUTHORIZING THE ACCEPTANCE OF $200,000 IN
GRANT FUNDING FROM THE SILICON VALLEY COMMUNITY
FOUNDATION, SOCIAL INNOVATION FUND AND COUNTY OF
SAN MATEO MEASURE A SALES TAX FUNDS FOR THE THIRD
YEAR OF THE BIG LIFT LITTLE STEPS PRESCHOOL AT THE
COMMUNITY LEARNING CENTER, AND AMENDING THE
PARKS AND RECREATION DEPARTMENT'S FISCAL YEAR
2017 -18 OPERATING BUDGET PURSUANT TO BUDGET
AMENDMENT # 18.013.
WHEREAS, the Big Lift initiative, a collaborative led by the Silicon Valley Community Foundation, the
San Mateo County Office of Education and the County of San Mateo, aims to close the achievement gap
and improve third -grade reading proficiency in San Mateo County by supporting preschools and reading
readiness activities; and
WHEREAS, the Department of Parks and Recreation was awarded $20,500 for Fiscal Year 2014 -15,
$252,175 for Fiscal Year 2015 -16, $286,619.39 for Fiscal Year 2016 -17, and $200,000 for Fiscal Year
2017 -18 for a total of $759,294.39 in grant funds to create additional preschool space at the Little Steps
Preschool at the Community Learning Center; and
WHEREAS, these grant funds will be utilized to amend the Department's 2017 -18 operating budget to
fund the Little Steps Preschool and support reading readiness, parent engagement, improved attendance,
and enhanced preschool teacher trainings, as allowed by the terms of the grant agreement, a draft
attached herewith as Exhibit A; and
WHEREAS, acceptance of these funds does not commit the City to ongoing funding after the close of
the grant cycle; and
WHEREAS, receipt of these grant funds will enable the Parks and Recreation Department to implement
preschool programs, which would not otherwise be funded, and to work collaboratively with our Big Lift
partners to increase outreach and enhance the quality of City and community preschools.
NOW, THEREFORE, BE IT RESOLVED, by the City Council of the City of South San Francisco that
the City Council hereby authorizes the acceptance of $200,000 in grant funding from Silicon Valley
Community Foundation, the Social Innovation Fund, and County of San Mateo Measure A Sales Tax
City of South San Francisco Page 1
File Number. 17 -1058
revenue to support preschool and reading readiness activities.
Enactment Number. RES 143 -2017
BE IT FURTHER RESOLVED, that the City Council amends the Parks and Recreation Department's
2017 -18 Operating Budget by $200,000.
BE IT FURTHER RESOLVED that the City Council hereby authorizes the City to execute the
documents necessary to accept the grant funding and take any other actions necessary to carry out the
intent of this resolution on behalf of the City Council, subject to approval as to form by the City
Attorney.
At a meeting of the City Council on 11/8/2017, a motion was made by Mark Addiego, seconded by
Richard Garbarino, that this Resolution be adopted. The motion passed.
Yes: 5 Vice Mayor Normandy, Councilmember Garbarino, Councilmember
Matsumoto, Mayor Gupta, and CouncilmemberAddiego
Atte t by
K ' a go I'
City of South San Francisco Page 2
September 30, 2017
Mr. Mike Futrell
City Manager
City of South San Francisco
33 Arroyo Drive
South San Francisco, CA 94080
Dear Mr. Futrell:
On behalf of Silicon Valley Community Foundation, I am pleased to inform you that the community
foundation has awarded City of South San Francisco a renewal grant award not to exceed $200,000 from The
Big Lift collaborative for the grant period of September 1, 2017 – August 31, 2017. We are delighted to support
City of South San Francisco with this award to improve outcomes for children in San Mateo County, made
possible through San Mateo County Measure A tax dollars and a Social Innovation Fund (SIF) grant from the
Corporation for National and Community Service (CNCS).
Once we receive the signed agreement, you may begin invoicing for this award. All questions related to your
award (including your scope of work, budget and the Terms and Conditions) should be directed to
[email protected].
The enclosed grant agreement is City of South San Francisco contract with Silicon Valley Community
Foundation detailing how the funds will be spent. You may not use the funds in any way other than as
described in the grant proposal and agreement unless you receive written permission from the community
foundation.
The community foundation is proud to partner with you in our shared mission to strengthen the common
good and support innovative solutions to the region’s most challenging issues.
Sincerely,
Erica Wood
Chief Community Impact Officer
Enclosure: Grant Agreement
Approved Budget (Attachment A)
Scope of Work (Attachment B)
Certifications regarding (A) Debarment, Suspension and Other Responsibility Matters; (B)
Drug-free Workplace Requirements; and (C) Lobbying (Attachment C)
The Big Lift Background Check Policies (Attachment D)
Reporting Calendar – 2017-2018 (Attachment E)
The Big Lift SIF Subgrantee Terms and Conditions (Attachment F)
CNCS SIF Cooperative Agreement Terms and Conditions (Attachment G)
Exhibit A
Exhibit A - Page 1
2
Silicon Valley Community Foundation
Grant Agreement
Amount: $200,000 Date: September 30, 2017
Subgrantee Name: City of South San Francisco
Subgrantee Contact: Mr. Mike Futrell
CityManager
City of South San Francisco
650.877.8500
[email protected]
Foundation Staff: Elisa Espinoza
Grants Coordinator – The Big Lift
Silicon Valley Community Foundation
2440 West El Camino Real, Suite 300
Mountain View, CA 94040
Phone:650.450.5506 Fax: 650.450.5545
Email: [email protected]
Grant Purpose: The Big Lift
Federal Grant Number: CFDA 94.019
Grant Amount: $70,000 in Federal funds
$130,000 in Match funds
Grantee Cash-Match Contribution: $23,239
Grant Period: September 1, 2017 to August 31, 2018
Special Conditions: (1.) This is a not to exceed amount. Renewed funding for each additional year is
dependent upon the subgrantee’s compliance with all provisions in the attached The
Big Lift SIF Subgrantee Terms and Conditions and the continued availability of
funding. Funding that is not spent during the grant period will not roll over into
other funding periods.
(2.) Subgrantees will secure a resolution by their governing body (city council,
school board, board of directors or equivalent), within 60 days of execution of this
grant agreement, which acknowledges receipt of The Big Lift grant funds and
commits staff to deliver services as described in their scope of work.
(3). Subgrantees commit to providing cash and in-kind match each year, as follows:
•FY 2015/16 – Grantee Match - 10% of Big Lift grant expenditures, 5% of
which must be a cash contribution
•FY 2016/17 – Grantee Match - 15% of Big Lift grant expenditures, 7.5%
of which must be a cash contribution
•FY 2017/18 – Grantee Match - 20% of Big Lift grant expenditures, 10% of
which must be a cash contribution
Exhibit A
Exhibit A - Page 2
3
Reporting Requirements:
Silicon Valley Community Foundation requires reporting at specified dates in order for reimbursements to be
made. Please note that future grant requests may be jeopardized if a subgrantee has failed to submit a
required report.
Financial
Invoices are due on the 15th day of each month following the end of the reporting period (or on the next
business day if the 15th falls on a holiday or weekend), utilizing the SVCF-approved form. Final requests for
reimbursement are due no later than 35 days (to the nearest business day) following the end date of the
contract unless amended. Final reimbursements are to be inclusive of the final month or final quarter of the
respective contract for services up to and including those provided on the final day of the contract.
Programmatic
Progress reports are due two times a year on March 31st and September 30th utilizing the SVCF-approved
form.
Inspection, Audit and Retention of Records:
The subgrantee agrees to provide for an audit of its activities, in accordance with the federal Office of
Management and Budget (OMB) Circulars A-128 and A-110. The subgrantee agrees to conduct these audits
annually. Accounts and records of all subgrantees that disburse or utilize grant funds must be accessible to
authorized officials for the purpose of audit of the subgrantee’s records pertaining to the use of grant funds.
Financial records, supporting documents, statistical records, and all other organizational records pertinent to
this award must be retained for a period of three (3) years from the date of submission of the final
expenditure report, and made available to SVCF and/or CNCS upon request.
Nondiscrimination:
The subgrantee agrees to certify that no person shall be excluded from participation in, denied the benefits of,
subjected to discrimination under, or denied employment in connection with any activity receiving funds
from SVCF on the basis of race, color, religion, national origin, sex, handicap, veteran status, sexual
orientation or age. The subgrantee agrees to comply with all federal statutes relating to nondiscrimination,
including E.O. 11246, ‘‘Equal Employment Opportunity’’ (30 FR 12319, 12935, 3 CFR, 1964–1965 Comp., p.
339), as amended by E.O. 11375, ‘‘Amending Executive Order 11246 Relating to Equal Employment
Opportunity,’’ and as supplemented by regulations at 41 CFR part 60, ‘‘Office of Federal Contract
Compliance Programs, Equal Employment Opportunity, Department of Labor.’’
Environmental Law Compliance:
The subgrantee agrees to comply with all applicable standards, orders or regulations issued pursuant to the
Clean Air Act (42 U.S.C. 7401 et seq.) and the Federal Water Pollution Control Act as amended (33 U.S.C.
1251 et seq.). Violations shall be reported to the Federal awarding agency and the Regional Office of the
Environmental Protection Agency (EPA).
CCR and DUNS:
The subgrantee agrees to comply with applicable requirements regarding Central Contractor Registration
(CCR) and to provide a Data Universal Numbering System (DUNS) number. The subgrantee must maintain
the currency of its information in the CCR until it submits the final financial report required under this award
or receives the final payment, whichever is later. This requires that the subgrantee review and update the
information at least annually after the initial registration, and more frequently if required by changes in
information or another award term. No subgrantee will receive a SIF award until it has provided its DUNS
number to SVCF. To learn how to obtain CCR registration, go to http://www.ccr.gov. To obtain a nine digit
Exhibit A
Exhibit A - Page 3
4
DUNS number that will uniquely identify your business call 866-705-5711 or go to
http://fedgov.dnb.com/webform.
Intellectual Property:
By signing below, City of South San Francisco and Silicon Valley Community Foundation agree that all
copyright and other interests in materials produced as a result of this grant shall be owned by the subgrantee
organization. To ensure the widest possible distribution of such materials and ensure that they enter and
remain in the public domain, the subgrantee organization and any individuals who may have some interest
hereby grant to the Foundation a non-exclusive, transferable, perpetual, irrevocable, royalty-free, paid-up
worldwide license to use or publish the materials or other work products arising out of or resulting from the
subgrantee’s use of the grant funds and any earnings thereon, including all intellectual property rights, and to
sublicense to third parties the rights described herein. The subgrantee, at Foundation’s request, agrees to
execute any additional documents required to affect such license.
Hold Harmless:
The subgrantee hereby irrevocably and unconditionally agrees, to the fullest extent permitted by law, to
defend, indemnify and hold harmless the community foundation, its officers, directors, trustees, employees,
and agents from and against any and all claims, liabilities, losses and expenses (including reasonable attorney’s
fees) directly, indirectly, wholly or partially arising from or in connection with the grant, the application of
funds furnished pursuant to the grant, the program or project funded or financed by the grant or in any way
relating to the subject of this Agreement. This paragraph shall survive the termination of this Agreement.
Agreement to Terms and Conditions:
By signing below, City of South San Francisco agrees to comply with all provisions outlined in this Grant
Agreement and the attached The Big Lift SIF Subgrantee Terms and Conditions. Failure to comply with any of
these requirements may jeopardize and/or result in termination of funding.
Exhibit A
Exhibit A - Page 4
5
By signing below, the City of South San Francisco also acknowledges that the proposal submitted and this
grant agreement constitutes the contract with Silicon Valley Community Foundation detailing the purpose(s)
of the grant, including what activities are supported by this grant. Please inform the community foundation if
there are changes in agency personnel who are important to the administration of the grant, or if the grant
funds cannot be expended for the purpose or in the time period described in the proposal.
The subgrantee may not use the funds in any way other than as described in the approved scope of work and
budget unless the subgrantee receives written permission from the community foundation. As outlined in the
attached Terms and Conditions, any changes to the approved scope of work or budget must be reported and,
in some cases, approved by SVCF before implementation.
Accepted on behalf of City of South San Francisco by:
Signature Printed or Typed Name
(Authorized Signatory)
Title Date
Accepted on behalf of Silicon Valley Community Foundation by:
Erica Wood
Signature Printed or Typed Name
Chief Community Impact Officer
Title Date
Exhibit A
Exhibit A - Page 5
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FORM C The Big Lift
Social Innovation Fund
Funding Request
Subgrantee:
TRAVEL
Direct or AdminTotalGrant
Item/VendorBudget Calculation CostCostRequest
MileageMileage .535 Administrative 500.00$ $ 500.00
TravelTravel, air and hotel Administrative1,000.00$ $ 2,000.00
Grand Totals
SUPPLIES
Direct or AdminTotalGrant
Item/VendorBudget Calculation CostCostRequest
Program Supplies Direct2,000.00$ $ 2,000.00
Janitorial Direct1,000.00$ $ 1,000.00
Office/technology Administrative1,250.00$ $ 1,250.00
Grand Totals
Direct or AdminTotalGrant
Item/VendorBudget Calculation CostCostRequest
TBA Fieldtrip/Buses Direct 2,500.00$ $ 2,500.00
Grand Totals
OTHER
Direct or AdminTotalGrant
Item/VendorBudget Calculation CostCostRequest
staff trainings Direct1,000.00$ $ 1,000.00
books publications Administrative 500.00$ $ 500.00
1,500.00$ -$ $ 1,500.00
City of South San Francisco
$ 2,500.00
$ 4,250.00
1,500.00$ -$
4,250.00$ -$
$ 2,500.00 2,500.00$ -$
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Subgrantee Cash
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Subgrantee Cash
Match
Exhibit A
Exhibit A - Page 8
FORM C The Big Lift
Social Innovation Fund
Funding Request
Grand Totals
Direct or AdminTotalGrant
Item/VendorBudget Calculation CostCostRequest
Grand Totals
Direct or AdminTotalGrant
CostCostRequest
Administrative
Grand Totals
$ - -$ -$
-$ -$ $ -
Overhead Calculation
Subgrantee Cash
Match
COORDINATION (If applicable)
INDIRECT/OVERHEAD
Subgrantee Cash
Match
Exhibit A
Exhibit A - Page 9
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Big Lift Scope of WorkExhibit A
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18
CERTIFICATIONS REGARDING (A) DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY
MATTERS; (B) DRUG-FREE WORKPLACE REQUIREMENTS; AND (C) LOBBYING
A. Debarment, Suspension, and Other Responsibility Matters
As required by the regulations implementing Executive Order 12549, Debarment and Suspension, implemented at 34 CFR Part 85, Section 85.510,
Participants’ responsibilities.
A. As authorized representative of the applicant, I the applicant certify that neither the applicant nor its principals:
· Are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal
department or agency.
· Has, within a three-year period preceding this application, been convicted of, or had a civil judgment entered against them for commission of fraud
or other criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract
under a public transaction; violation of federal or state antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or
destruction or records, making false statements, or receiving stolen property.
· Is presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the
offenses enumerated in paragraph (2) (b) of this certification, and
· Has not, within a three-year period preceding this application, had one or more public transactions (federal, state or local) terminated for cause or
default;
B. Where the applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application.
B. Drug-Free Workplace7
As required by the Drug-Free Workplace Act of 1988, and implemented at 34 CFR Part 85, Subpart F. The regulations require certification by grantees,
prior to award, that they will maintain a drug-free workplace. The certification set out below is a material representation of fact upon which reliance will
be placed when the agency determines to award the grant. False certification or violation of the certification may be grounds for suspension of payments,
suspension or termination of grants, or government-wide suspension or debarment (see 34 CFR Part 85, Section 85.615 and 85.620).
The applicant certifies that it has or will continue to:
(a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is
prohibited in the grantee’s workplace and specifying the actions that will be taken against employees for violation of such prohibition;
(b) Establish an ongoing drug-free awareness program to inform employees about—
(1) the dangers of drug abuse in the workplace,
(2) the grantee’s policy of maintaining a drug-free workplace.
(3) any available drug counseling, rehabilitation, and employee assistance programs, and
(4) the penalties that may be imposed upon employees for drug abuse violations occurring in the workplace;
(c) Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph
(a)
(d) Notifying the employee in the statement required by paragraph (A) that, as a condition of employment under the grant, the employee will:
(1) abide by the terms of the statement, and
(2) notify the employer, in writing of his or her conviction for a violation conviction for a violation of any criminal drug statute occurring in
the workplace no later than five days after such conviction
(e) Notifying the agency in writing within ten days after receiving notice under subparagraph (d) (2)) from an employee or otherwise receiving actual
notice of such conviction;
(f) Taking one of the following actions, within 30 days of receiving notice under subparagraph (d) (2), with respect to any employee who is so
convicted—
(1) Taking appropriate personnel action against such an employee, up to and including termination…; or
(2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a
Federal, State, or local health, law enforcement, or other appropriate agency;
(3) Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f)
C. Certification – Lobbying Activities
(a) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to
influence an officer or employee of any agency, a member of Congress, an officer of Congress in connection with the making of any federal grant,
the entering into of any cooperative agreement, and the extension, renewal, amendment or modification of any federal grant, 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 grant or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure Form to Report
Lobbying,” in accordance with its instructions;
(c) The undersigned shall require that the language of this certification be included in the award documents for all tiers (including subawards, subgrants, contracts under grants and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.
By signing this Certification page, you certify that you agree to perform all actions and support all intentions in the Certification sections of this
application.
__________________________________________________________ ____________________________________________________________
Legal Applicant
Printed Name and Title of Authorized Representative
____________________________________________________________
_______________________________________________________________
Signature of Authorized Representative Date
22
Exhibit A
Exhibit A - Page 19
Big Lift Background Check Policies
According to the Big Lift Subgrantee Terms and Conditions, and in accordance with regulations established
by the federal Social Innovation Fund grant, all grant-funded staff is subject to a mandated criminal
history screening procedure. The Corporation for National and Community Service (CNCS) requires that
subgrantees complete the appropriate criminal history checks on every individual listed in the final
budget, including those who are paid with match funds, those who donate their time or services as in-
kind match, and those who are employed as contractors, consultants, and program partners. These
checks must be completed before any employee time is charged to the grant or the grant’s matching
funds.
CNCS regulations require that subgrantees:
Verify grant funded staff identity against government photo identification
Obtain written authorization from individual to preform background check
Document understanding that selection is subject to the checks
Determine the types of checks required and from where they are to be obtained
Pay for the background checks
Preform the NSOPW (nsopw.gov) check before service/work begins
Initiate the criminal history information check(s) no later than the start of service/work
Provide opportunity for review of findings
Keep information confidential
Accompany those with pending checks when in contact with vulnerable populations1
Maintain the results of checks
Document that you verified identity and conducted the required checks
Document that you considered the results of the checks
Staff with recurring2 access to vulnerable populations must pass a three-part criminal history check
before beginning work (or charging time to this grant). The check must include:
1) A nationwide check of the Department of Justice’s National Sex Offender Public Website
(NSOPW)
2) A name or fingerprint based search of the official state criminal history registry in California
3) Submission of fingerprints through the state central record repository to the FBI for a
national criminal background check.
All grant-funded staff (including consultants) that do not have recurring access vulnerable populations
must have passed at least:
1) the NSOPW check AND EITHER
2) the state criminal history background check OR
3) the FBI national criminal history background check.
Staff cannot begin service until checked against the NSOPW, however, individuals may begin service while
criminal registry checks are pending. Staff with pending background checks, however, may not have
unaccompanied access to vulnerable populations while waiting for the results of the State or FBI checks.
1 Vulnerable populations are defined as children, persons age 60 or older, or individuals with disabilities.
2 Recurring access is defined as the ability on more than one occasion to approach, observe, or communicate through
physical proximity or other means, including but not limited to electronic or telephonic communications,
Exhibit A
Exhibit A - Page 20
Individuals with pending checks must at all times be in the physical presence of someone who has been
cleared for access.
Any individual who is registered, or required to be registered, on a sex offender registry or was convicted
of murder will not be cleared to participate in the program, even if the organization’s policy may, under
some circumstances (such as through an appeal process), allow it. Anyone who refuses to undergo the
National Service Criminal History Check or makes a false statement in connection with a program’s
inquiry concerning the person’s criminal history is ineligible to serve.
Subgrantees may use a pre-approved alternative search procedure to conduct background checks,
including maintaining clearance letters in lieu of actual results for FBI and state checks. Subgrantees using
an approved alternative procedure must satisfy documentation requirements by entering into a written
agreement with the organization conducting the background check that specifies that any individual who
is registered, or required to be registered, on a sex offender registry or was convicted of murder will not
be cleared to participate in the program, even if the organization’s policy, may under some circumstances,
allow it. Please review CNCS guidance on Pre-Approved Alternative Search Procedures3 and contact The
Big Lift at [email protected] to receive approval if your organization plans to use an alternative
search procedure.
_____________________ agrees to conduct the appropriate background checks on all grant funded staff and
agrees to maintain a record of all results either by printing the screen(s) or by some other method that
retains paper or digital images that show the date the searches were performed and the results.
Subgrantees must allow SVCF and/or CNCS access to these records for oversight and monitoring
purposes. SVCF will review the results and proper documentation of background checks during desk
audits and site visits. Failure to comply with this requirement could jeopardize funding.
Failure to comply with background check procedures can result in a fine made payable to Silicon
Valley Community Foundation.
Background checks are an ongoing requirement. Subgrantees are required to initiate/complete appropriate
checks and maintain appropriate records for any new hire to subgrantee program. Please refer to CNCS’ FAQs
on criminal history checks for more useful information on meeting the requirement.
Signature: ________________________________ Date: ________________
Name ___________________________________________________________
Title _____________________________________________________________
3 http://www.nationalservice.gov/sites/default/files/resource/Current_Pre-
Approved_ASPs_as_of_January_4_2016_0.pdf
Exhibit A
Exhibit A - Page 21
The Big Lift Reporting Calendar
September 1, 2017 through August 31, 2018
2017
S M T W T F S S M T W T F S S M T W T F S S M T W T F S
SEPTEMBER OCTOBER NOVEMBER DECEMBER
1 2 1 2 3 4 5 6 7 1 2 3 4 1 2
3 4 5 6 7 8 9 8 9 10 11 12 13 14 5 6 7 8 9 10 11 3 4 5 6 7 8 9
10 11 12 13 14 15 16 15 16 17 18 19 20 21 12 13 14 15 16 17 18 10 11 12 13 14 15 16
17 18 19 20 21 22 23 22 23 24 25 26 27 28 19 20 21 22 23 24 25 17 18 19 20 21 22 23
24 25 26 27 28 29 30 29 30 21 26 27 28 29 30 24 25 26 27 28 29 31
31
2018
S M T W T F S S M T W T F S S M T W T F S S M T W T F S
JANUARY
FEBRUARY MARCH APRIL
1 2 3 4 5 6 1 2 3 1 2 3 1 2 3 4 5 6 7
7 8 9 10 11 12 13 4 5 6 7 8 9 10 4 5 6 7 8 9 10 8 9 10 11 12 13 14
14 15 16 17 18 19 20 11 12 13 14 15 16 17 11 12 13 14 15 16 17 15 16 17 18 19 20 21
21 22 23 24 25 26 27 18 19 20 21 22 23 24 18 19 20 21 22 23 24 22 23 24 25 26 27 28
28 29 30 31 25 26 27 28 25 26 27 28 29 30 31 29 30
MAY JUNE JULY AUGUST
1 2 3 4 5 1 2 1 2 3 4 5 6 7 1 2 3 4
6 7 8 9 10 11 12 3 4 5 6 7 8 9 8 9 10 11 12 13 14 5 6 7 8 9 10 11
13 14 15 16 17 18 19 10 11 12 13 14 15 16 15 16 17 18 19 20 21 12 13 14 15 16 17 18
20 21 22 23 24 25 26 17 18 19 20 21 22 23 22 23 24 25 26 27 28 19 20 21 22 23 24 25
27 28 29 30 31 24 25 26 27 28 29 30 29 30 31 26 27 28 29 30 31
SEPTEMBER
1
2 3 4 5 6 7 8
9 10 11 12 13 14 15
16 17 18 19 20 21 22
23 24 25 26 27 28 29
30
= Reimbursement Request Due
= Progress Report Due
Exhibit A
Exhibit A - Page 22
Effective 9/1/2017
The Big Lift
Subgrantee Terms and Conditions
2017
Exhibit A
Exhibit A - Page 23
Page | ii Big Lift Subgrantee Terms and Conditions 2017
Table of Contents
I. Introduction .................................................................................................................................................... 1
II. Authority and Scope ...................................................................................................................................... 1
III. Programmatic Terms and Conditions ........................................................................................................ 2
a. Definitions and Roles ................................................................................................................................. 2
b. Project Period ............................................................................................................................................. 3
c. Programmatic Compliance ....................................................................................................................... 3
d. Family Eligibility .......................................................................................................................................... 7
e. Programmatic Amendments .................................................................................................................... 7
f. Progress Reports ......................................................................................................................................... 8
IV. Fiscal Terms and Conditions ........................................................................................................................ 8
a. Fiscal Compliance ....................................................................................................................................... 8
b. Cost reimbursement ................................................................................................................................. 8
c. Direct Costs Priority ................................................................................................................................... 9
d. Allowable Costs and Activities .................................................................................................................. 9
e. Unallowable Costs ................................................................................................................................... 11
f. Collaborating Organizational Costs ........................................................................................................ 12
g. Supplantation ........................................................................................................................................... 12
h. Matching Requirements .......................................................................................................................... 12
i. Program Income ........................................................................................................................................ 14
j. Budgets and Budget Amendments ......................................................................................................... 14
k. Fraud, Waste and Abuse ......................................................................................................................... 16
V. Reporting Requirements ............................................................................................................................. 16
a. Programmatic Reporting ......................................................................................................................... 16
b. Fiscal Reporting ........................................................................................................................................ 17
c. Grant Close Out ........................................................................................................................................ 18
VI. Appendix ...................................................................................................................................................... 18
Resources ...................................................................................................................................................... 18
Exhibit A
Exhibit A - Page 24
Page | 1 Big Lift Subgrantee Terms and Conditions 2017
I. Introduction
The Big Lift is a collective impact approach where school districts partner with nonprofit
preschool programs and community-based agencies to work toward the long-term goal of
third grade reading success. This collaborative is led by three agencies – Silicon Valley
Community Foundation (SVCF), the San Mateo County Office of Education (SMCOE) and the
County of San Mateo, and funding for this grant is made available through San Mateo
County Measure A tax dollars and a Social Innovation Fund (SIF) grant from the Corporation
for National and Community Service (CNCS).
There are five conditions that, together, lead to meaningful results from collective impact
and that are integral to The Big Lift’s approach: a shared vision for change or common
agenda, shared measurement, mutually reinforcing activities, continuous communication
and backbone support. To achieve this ambitious goal, The Big Lift has committed to
advancing the national Campaign for Grade-Level Reading framework, which specifies the
following evidence-based interventions, or “four pillars”:
1) A comprehensive school readiness strategy focused on high-quality preschool for 3-
and 4-year-olds, leading to an aligned and sequenced set of high-quality learning
experiences in kindergarten through third grade;
2) A focus on reducing chronic absence in the early grades, based on research about
the importance of attendance in the early years to improving academic outcomes;
3) Development of inspiring summer learning opportunities that enable children to
maintain their academic and developmental gains from high-quality preschool
throughout the early grades; and
4) Strengthening family and community engagement through investments in strategies
that support meaningful partnerships between families and schools.
Subgrantees of these funds will be expected to participate in all aspects of The Big Lift, to
support the implementation of all four of the above pillars, to work collaboratively with
SVCF, SMCOE and the County of San Mateo and to be active partners in leading this change
effort.
More information about The Big Lift can be found at www.thebiglift.org, and more
information about the Social Innovation Fund can be found at
www.nationalservice.gov/programs/social-innovation-fund.
II. Authority and Scope
These Terms and Conditions, developed by SVCF, set forth the requirements of the Big Lift
Social Innovation Fund (SIF) grant program in compliance with all applicable laws, rules and
regulations and are to be adhered to by both SVCF and all subgrantees of SIF federal funds,
whether or not they are explicitly stated here. These include, but are not limited to: the
National and Community Service Act (NCSA) of 1990 (42 U.S.C. 12501 et seq., at §12653(d));
Exhibit A
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Page | 2 Big Lift Subgrantee Terms and Conditions 2017
the Social Innovation Fund Cooperative Agreement Terms and Conditions; Criminal History
Check Requirements (45 CFR, Part 2540); Cost Principles for Non-Profit Organizations (2
CFR Part 230) or Cost Principles for State, Local, and Indian Tribal Governments (2 CFR, Part
225) or Cost Principles for Educational Institutions (2 CFR, Part 220); Uniform Administrative
Requirements for Grants and Cooperative Agreements with Institutions of Higher
Education, Hospitals, and Other Non-Profit Organizations (2 CFR, Part 215); Audits of States,
Local Governments and Non-Profit Organizations (OMB Circular A-133); Government wide
Requirements for Drug-Free Workplace (45 CFR Part 2545); and Nondiscrimination on the
Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance (45
CFR Part 2555).
SVCF may waive any provision within its authority contained in these Terms and
Conditions; however, waivers cannot be given for provisions that are beyond the scope of
SVCF’s authority. Any subgrantee that desires a waiver of any of the provisions of these
Terms and Conditions must initiate the process in writing, to SVCF. A written request for a
waiver does not excuse a subgrantee from following the provisions of these Terms and
Conditions until such a waiver is (or is not) granted. SVCF may choose to grant a waiver
request in full, grant a request in part, or not grant a request for a waiver.
SVCF reserves the right, at any time, to terminate grants with subgrantees that are
not in compliance with the requirements set forth in The Big Lift SIF Terms and
Conditions.
III. Programmatic Terms and Conditions
a. Definitions and Roles
Federal Awarding Agency: The Corporation for National and Community Service (CNCS) is
the federal awarding agency for the Social Innovation Fund (SIF). All entities receiving
funding from this agency, either directly or through an intermediary, must comply with the
SIF Terms and Conditions and all applicable federal regulations, statutes and administrative
authorities.
Intermediary: The Silicon Valley Community Foundation (SVCF) is the intermediary entity
for the SIF award from CNCS. SVCF is responsible for ensuring that the SIF award meets all
applicable CNCS and federal regulations, statutes and administrative authorities, in
conformance with the approved application. SVCF is legally accountable to CNCS for the
use of SIF award funds, is bound by the provisions of the award, and is responsible for
ensuring that co-lead organizations and subgrantee organizations comply with The Big Lift
SIF Terms and Conditions, federal regulations and OMB circulars, etc.
Co-Lead: The entities that are responsible for coordinating and collaborating with
organizations in their communities to perform the activities of the SIF Big Lift award are
Exhibit A
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Page | 3 Big Lift Subgrantee Terms and Conditions 2017
“co-lead” entities. The co-lead is expected to provide leadership to The Big Lift collaborative
and ensure that activities are aligned and that the community is making steady progress
towards third grade reading proficiency.
Subgrantee: Any entity that receives a Big Lift SIF grant award from SVCF to provide a
direct service is a “subgrantee” and is accountable to SVCF for the use of the federal (and
matching) funds provided. Each subgrantee is expected to work collaboratively with its co-
lead agency(ies) to carry out the work outlined in its grant agreement, scope of work and
budget.
Matching Contributions: SIF requires that both intermediaries and subgrantees provide a
1:1 match for funds received from CNCS. By law, SIF match must be in non-federal cash.
Unlike most Federal grant programs, the market value of goods and services donated by
third parties as “in kind” matching costs does not count toward the matching requirement.
However, a significant amount of matching contributions for The Big Lift awards will be
provided by Measure A Tax dollars. For this reason, subgrantees will be asked to provide
matching contributions in small, increasing amounts, and The Big Lift will consider in-kind
contributions as a part of meeting this requirement. All matching contributions are bound
by the provisions of federal rules and regulations, statutes and administrative authorities.
b. Project Period
A project period is the complete length of time a subgrantee is proposed to be funded to
complete approved activities under the agreement. A project period may contain one or
more budget periods. A budget period is a specific interval of time for which Federal funds
are being provided to fund an Awardee's approved activities and budget. Unless otherwise
specified, the subgrantees grant agreement covers a 36-month project period. Contracts
and budgets will be reviewed and renewed annually up to the 36-month project period.
Funding is contingent upon satisfactory performance as determined by SVCF and the
availability of funds.
Please review your grant agreement and approved budget to see the specific dates of your
budget period.
c. Programmatic Compliance
By entering into a grant agreement, the subgrantee has agreed to participate and
contribute to the larger Big Lift community collaborative, to support progress on all four
pillars of The Big Lift and to comply with the following:
Eligibility. Big Lift eligible communities are defined by school district boundaries and
include: Bayshore, Brisbane, Cabrillo, Jefferson Elementary, La Honda-Pescadero, Pacifica,
Ravenswood, Redwood City, San Bruno Park, San Mateo-Foster City and South San
Exhibit A
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Page | 4 Big Lift Subgrantee Terms and Conditions 2017
Francisco. Big Lift preschool classrooms will be required to meet and maintain a Tier 3 or
higher rating on the San Mateo County Quality Rating and Improvement System (QRIS).
Licensure in good standing. Preschool subgrantees must have a license to operate
preschool facilities and must ensure that licensed sites are in good standing with
Community Care Licensing.
Background check requirements. All grant-funded staff (including consultants) that have
recurring access1 to children, persons age 60 or older, or individuals with disabilities must
have passed a three-part criminal history check before beginning work (or charging time to
this grant). This check must include: (1) a nationwide check of the Department of Justice’s
National Sex Offender Public Website (http://www.NSOPW.gov), (2) a name- or fingerprint-
based search of the official state criminal history registry in the state in which the
subgrantee is operating and of the official state criminal history registry in which the
individual resides and (3) submission of fingerprints through the state central record
repository to the FBI for a national criminal history background check.
All grant-funded staff (including consultants) that do not have recurring access to children,
persons age 60 or older, or individuals with disabilities must have passed at least:
(1) the NSOPW check AND EITHER
(2) the state criminal history background check OR
(3) the FBI national criminal history background check.
Subgrantees must retain a record of all results either by printing the screen(s) or by some
other method that retains paper or digital images that show the date the searches were
performed and the results. Subgrantees must allow SVCF and/or CNCS access to these
records for oversight and monitoring purposes.
Any individual who is registered, or required to be registered, on a sex offender registry or
was convicted of murder will not be cleared to participate in the program, even if the
organization’s policy may, under some circumstances (such as through an appeal process),
allow it. Anyone who refuses to undergo the National Service Criminal History Check or
makes a false statement in connection with a program’s inquiry concerning the person’s
criminal history is ineligible to serve.
Failure to conduct proper background checks may jeopardize your grant, or require
organization to pay a fine for every staff member without the proper background
checks in place.
1 Recurring access is defined as the ability on more than one occasion to approach, observe, or communicate with a person,
through physical proximity or other means, including but not limited to, electronic or telephonic communication.
Exhibit A
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Page | 5 Big Lift Subgrantee Terms and Conditions 2017
Involvement in evaluation efforts. Subgrantees must participate in evaluation efforts led
by SVCF, SMCOE and the designated external evaluator, which may include participating in
surveys, focus groups, interviews, assessments and/or classroom observations.
Subgrantees will not be required to conduct their own evaluation but will be expected to
collect and provide access to information as outlined in their scope of work and as
necessary. This will include, but not be limited to: timely reporting of required data in the
designated data system, conducting twice a year observational assessments using a valid
and reliable child assessment tool, and making progress toward conducting a
developmental screening on each child in a Big Lift-funded classroom using an approved
tool.
Compliance with subgrantee monitoring activities. Monitoring activities include, but are
not limited to, site visits by SVCF staff and/or staff from CNCS, progress reports on
implementation of goals and objectives, and submission of financial records, as required
by SVCF. SVCF will conduct both in-person site visits and occasional desk reviews of
subgrantees throughout the course of the contract to ensure compliance with these Terms
and Conditions. Subgrantees are required to address all site visit or desk review report
findings by the deadline as set forth by SVCF.
State and other federal funding compliance. Subgrantees must maintain compliance
with other funding sources. Subgrantees receiving Title 5 or Head Start funds must
maintain good standing with the California Department of Education/Child Development
Division and/or the Administration for Children and Families. Failure to do so may
jeopardize Big Lift funding.
Timely reporting. SVCF will track and monitor timely and accurate submissions of data,
progress reports and requests for reimbursement, and efforts will be made to correct and
implement improvements to any areas of concern identified at a site visit or at any other
point during the grant cycle. Patterns of late and/or inaccurate reporting as well as minimal
or no effort to improve compliance with these Terms and Conditions will be taken into
consideration when making future funding recommendations, and in egregious cases may
affect continued funding for the current grant year.
Utilization of the Social Innovation Fund name and logo. Subgrantees must use the
Social Innovation Fund name and logo on all public facing materials, signs, banners, press
releases, social media, and publications related to their SIF program in accordance with
CNCS requirements. To publicize the relationship between the program and the SIF, the
subgrantee should use one of the following phrases when describing their program: “a
Social Innovation Fund (SIF) program” or “a proud subgrantee of the Social Innovation Fund (SIF)
program.” The subgrantee may not alter the SIF logo, and must obtain written permission
before using the SIF name or logo on materials that will be sold, or permitting
donors/affiliates to use the SIF name or logo in promotional materials. The subgrantee may
Exhibit A
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Page | 6 Big Lift Subgrantee Terms and Conditions 2017
not use or display the SIF name or logo in connection with any activity prohibited in these
Terms and Conditions.
SIF logos can and more guidance can be found on our subgrantee portal:
http://www.thebiglift.org/grantees
Utilization of The Big Lift name and logo. Subgrantees must use The Big Lift name and
logo on all public facing materials, signs, banners, press releases, social media, and
publications related to their Big Lift SIF program, in addition to the SIF name and logo.
The Big Lift logo can be found here.
Communication collaboration. Subgrantees must participate in The Big Lift’s efforts to
disseminate information about Big Lift SIF program(s) and The Big Lift through social media
and other communication channels. This includes obtaining photo releases to be provided
to SVCF for the purposes of communicating information about The Big Lift, when
applicable, through social media, publications, reports, etc.
Prohibited Program Activities. While charging time to this Award, subgrantees may not
engage in the following activities:
1. Attempting to influence legislation.
2. Organizing or engaging in protests, petitions, boycotts, or strikes.
3. Assisting, promoting or deterring union organizing.
4. Impairing existing contracts for services or collective bargaining agreements.
5. Engaging in partisan political activities or other activities designed to influence the
outcome of an election to any public office.
6. Conducting a voter registration drive or using Big Lift funds to conduct a voter
registration drive.
7. Participating in, or endorsing, events or activities that is likely to include advocacy
for or against political parties, political platforms, political candidates, proposed
legislation, or elected Officers.
8. Engaging in religious instruction; conducting worship services; providing instruction
as part of a program that includes mandatory religious instruction or worship;
constructing or operating facilities devoted to religious instruction or worship;
maintaining facilities primarily or inherently devoted to religious instruction or
worship; or engaging in any form of religious proselytization.
9. Providing a direct benefit to:
a. A for-profit entity;
b. A labor union;
c. A partisan political organization;
d. An organization engaged in the religious activities described in the preceding
sub clause; unless funds are not used to support the religious activities; or
Exhibit A
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Page | 7 Big Lift Subgrantee Terms and Conditions 2017
e. A nonprofit entity that fails to comply with the restrictions contained in
section(c)(3) of U.S.C. Title 26.
10. Providing abortion services or referrals for receipt of such services.
11. Grant funds may not be used for international travel or projects where the primary
beneficiaries of an activity are outside of the United States
12. Such other activities as the Big Lift may prohibit
Individuals my exercise their rights as private citizens and may participate in the above
activities on their own initiative, on non-Big Lift time, and using non-Big Lift (or matching)
funds.
d. Family Eligibility
The Big Lift strives for a diversity of income levels to be represented within classrooms,
while giving overall priority for new spaces to low-income families. The goal is to increase
accessibility for low- and middle-income families. The Big Lift’s definition of low-income
households is those earning 80 percent of San Mateo County’s most current median
income. The Big Lift programs are required to enroll only children whose family income
meets this definition.
The Big Lift uses HUD income guidelines to establish eligibility. Income guidelines for 2017
are as follows:
Family size of 2: $84,300 annually or $7,025 monthly
Family size of 3: $94,850 annually or $7,904 monthly
Family size of 4: $105,350 annually or $8,779 monthly
Family size of 5: $113,800 annually or $9,483 monthly
e. Programmatic Amendments
The scope of work outlined in the subgrantee’s contract details the activities to be carried
out and goals to be accomplished over the course of the contractual period. Subgrantees
are required to obtain written approval from SVCF before making any changes to the
scope, objectives or goals of their program, whether or not a budgetary change is
involved.
For any changes to the previously-approved staffing of the program (resignation, hire,
medical leave, etc.), SVCF must be notified within two weeks of the time the subgrantee is
notified of the change, in writing via e-mail. Any submission beyond two weeks from the
change date may impact the possibility of reimbursement and will be subject to SVCF
Exhibit A
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Page | 8 Big Lift Subgrantee Terms and Conditions 2017
approval. For all new hires, a resume must be provided, as well as a certification of
completed background check requirements.
SVCF must also be notified if the Executive Director, Program or Fiscal Contact is changed
to ensure contact information is updated, regardless of whether or not the individual(s) are
on the approved budget.
See the Budgets and Budget Amendments section for more information on changes that
require a formal budget amendment.
f. Progress Reports
Subgrantees will be required to submit twice-yearly narrative reports that describe
progress toward meeting identified goals from the approved scope of work and success
and challenges in implementing their Big Lift-funded program. Subgrantees will also be
asked to share interesting or inspiring stories and anecdotes that reflect the value of their
program. These stories will be shared with CNCS and other interested parties, and may be
disseminated and/or published via The Big Lift’s social media channels and The Big Lift
reports.
The report is due on the last business day of the first and third quarters only (September
30th and March 30th), utilizing an SVCF-approved form.
IV. Fiscal Terms and Conditions
a. Fiscal Compliance
The subgrantee agrees to account for its federal grant funds, make monthly financial
reports on prescribed forms and meet reasonable fiscal and administrative requirements,
as described below. The subgrantee further agrees to establish fiscal control and fund
accounting procedures which meet minimum requirements of these Terms and Conditions,
CNCS SIF Terms and Conditions, and federal Office of Management and Budget Circulars,
along with all other requirements, which assure proper disbursement of and accounting
for grant funds. Accounting procedures should be established and those procedures must
provide for an accurate and timely recording of receipt of funds by source, of expenditures
made from such funds, and of unexpended balances.
These requirements and all provisions in these Terms and Conditions are also applicable to
all matching funds for this federal award, the details for which are outlined below under
Matching Requirements.
b. Cost reimbursement
This is a cost reimbursement grant. Reimbursements will be made only for expenses
included in the approved subgrantee budget, and only after the approved expenses have
Exhibit A
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Page | 9 Big Lift Subgrantee Terms and Conditions 2017
been incurred and expensed. Funds will not be paid in a lump sum, such as by dividing a
grant into a monthly or quarterly billing amount, or on a per-child per-day basis, but rather
funds will be disbursed over time as the subgrantee incurs costs, and submits a request for
reimbursement (invoice) to SVCF with appropriate back-up documentation. All items listed
on invoices, including those covered through matching funds, must be accounted for and
easily identifiable through receipts, a general ledger, timesheets, etc., and made available
to SVCF for monitoring and review.
Subgrantees will be required to submit monthly invoices. Invoices are due on the 15th day
of each month following the end of the reporting period (or on the next business day if the
15th falls on a holiday or weekend), utilizing the SVCF-approved form. Final requests for
reimbursement are due no later than 35 days (to the nearest business day) following the
end date of the contract unless amended. Final reimbursements are to be inclusive of the
final month or final quarter of the respective contract for services up to and including those
provided on the final day of the contract. Supplemental billing (billing for additional dollars
to supplement previous invoices) is not allowable.
Late or inaccurate invoices that require resubmittal may result in delay of payment.
c. Direct Costs Priority
Subgrantees must allocate at least 85% of their total Big Lift SIF budget to providing direct
services to children, parents and/or providers. The Big Lift award is not intended to defray
administrative costs2 within an organization, and funding requests to pay for direct service
activities will be given priority over requests for related administrative costs. When other
sources of support are not available for these costs, no more than 15% of the total Big Lift
budget can be allocated toward administrative costs.
d. Allowable Costs and Activities
In general, costs associated with coordinating the local Big Lift collaborative and dedicated
staff time to ensure grant compliance are allowable costs, keeping in mind that priority is
given to direct service costs.
All items listed below are allowable costs for federal and matching funds, as they pertain to
the implementation and administration of the subgrantee’s Big Lift award:
Administrative Costs: general administration and general expenses (not specific to
one program but necessary for implementation) such as the director's office,
accounting, auditing, personnel, general legal services, and operations and
maintenance expenses
2 Administrative costs are defined as activities that do not provide a direct benefit to children, parents or providers, and include
any allowance for indirect costs and audits, as well as general administration and expenses.
Exhibit A
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Page | 10 Big Lift Subgrantee Terms and Conditions 2017
Advertising: includes only those costs for (1) the recruitment of personnel required
for performance of the award, (2) the procurement of goods and services for the
performance of the award, or (3) program outreach and other specific purposes
necessary to meet the requirements of the award
Advisory council or committee costs
Audits: a reasonably proportionate share of the costs of audits required by, and
performed in accordance with, the Single Audit Act Amendments of 1996
Consultants: includes costs of professional and consultant services rendered by
persons who are members of a particular profession or possess a special skill that
falls outside of the subgrantees capability, and who are not officers or employees of
the subgrantee; requires evidence of the contractual agreement
Equipment: includes any single item with a value of $5,000 or more and an
expected useful life of one year or more; requires prior approval before purchasing
Fringe Benefits: include FICA, unemployment insurance, workers compensation,
disability, retirement/pension, life insurance, and medical/dental benefits
Indirect Cost Rate: For organizations that have an established indirect cost rate for
Federal awards, administrative costs mean those costs that are included in the
organization’s indirect cost rate. Such costs are generally identified with the
organization’s overall operation and are further described in OMB Circular A-122
(for non-profits), A-87 (for state, local and Indian tribal governments) and A-21 (for
educational institutions).
Insurance: refers to insurance the subgrantee is required to carry, or which is
approved, under the terms of the award
Labor relations costs
Maintenance and repair costs: for necessary maintenance, repair or upkeep
which neither adds to the permanent value nor appreciably prolongs its intended
life
Memberships, subscriptions and professional activity costs
Public Relations: refers to community relations and those activities dedicated to
maintaining the image of the organization or maintaining or promoting
understanding and favorable relations with the community or public at large or any
segment of the public, which includes only (1) costs specifically required by the
award, (2) costs of communicating with the public and press pertaining to specific
activities or accomplishments which result from performance of the award (these
costs are considered necessary as part of the outreach effort for the award), or (3)
costs of conducting general liaison with news media and government public
relations officers, to the extent that such activities are limited to communication and
liaison necessary to keep the public informed on matters of public concern, such as
notices of funding opportunities, financial matters, etc.
Rental costs of buildings and equipment
Salaries and Wages: including all full- and part-time employees working on award
activities
Supplies
Exhibit A
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Training: includes only training for staff and providers of award initiatives, and may
also include materials and training-related travel
Travel
e. Unallowable Costs
The following list of costs cannot be supported with Big Lift grant awards, or matching
contributions (either cash or in-kind):
Advertising: includes costs of displays, demonstrations and exhibits; costs of
promotional items and memorabilia, including models, gifts and souvenirs; and
costs of advertising and public relations designed solely to promote the
organization
Alcoholic beverages
Alumni/ae activities (for Institutes of Higher Education)
Bad debts: including losses (whether actual or estimated) arising from uncollectable
accounts and other claims, and related collection costs, and related legal costs,
arising from such debts after they have been determined to be uncollectable
Construction
Entertainment costs: including for amusement, diversion, and social activities and
any costs directly associated with such costs (such as tickets to shows or sports
events, meals, lodging, rentals, transportation, and gratuities)
Facilities improvement
Fundraising
Goods or services for personal use
Impairing existing contracts for services or collective bargaining agreements
International activities: including travel or projects where the primary
beneficiaries of an activity are outside the United States
Lobbying: any activity with the purpose of influence legislation, political parties,
political platforms, political candidates or elected officers, including engaging in
partisan political activities or other activities designed to influence the outcome of
an election to any public office
Protests or strikes: including organizing or engaging in protests, petitions,
boycotts, strikes or assisting, promoting or deterring union organizing
Public relations: includes costs of meetings, meeting rooms, conventions,
convocations, hospitality suites or other events and facilities related to other
activities of the organization; and salaries and wages of employees engaged in
setting up and displaying exhibits, making demonstrations, and providing briefings
Religious activities: including engaging in religious instruction; conducting worship
services; providing instruction as part of a program that includes mandatory
religious instruction or worship; operating facilities devoted to religious instruction
or worship; maintaining facilities primarily or inherently devoted to religious
instruction or worship; or engaging in any form of religious proselytization
Voter registration drives
Exhibit A
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Page | 12 Big Lift Subgrantee Terms and Conditions 2017
Other organizational costs: not related to the management or administration of
this federal award
Other such activities as CNCS and/or SVCF may prohibit
Individuals may exercise their rights as private citizens and may participate in the above
activities on their own initiative, on non-Big Lift time, and using non-Big Lift (or matching)
funds.
f. Procurement
The purchasing of goods and services at the subgrantee level must follow federal
procurement standards set in the Uniform Guidance on Procurement Standards for Non-
State Entities in 2 CFR Part 200.318-326. Procurement guidelines ensure materials and
services are obtained in an effective manner and maintain a standard of quality and
integrity with maximum purchasing power of Big Lift funds.
Subgrantees must maintain written policies and procedures for procurement that meet
federal standards and written standards of conduct covering conflicts of interest. Costs
incurred must be necessary and cost-effective. Absent of sole-source justification, all
procurement transactions must be conducted in a manner providing full and open
competition.
g. Supplantation
Federal funds must be used to supplement and not to supplant funds that have been
appropriated for the same purpose. Therefore, awarded funds cannot be used to supplant
- or replace - existing state and local funds already allocated for the same purpose.
In addition, these grant funds should not be used to purchase items or services that would
otherwise be purchased with the subgrantee’s own funds for this project. Expenditure of
funds for the acquisition of new equipment or services, when equipment and/or personnel
required for the successful execution of projects are already available, or budgeted for
within the subgrantee organization, will be considered supplanting and will be disallowed.
It will be expected of Big Lift subgrantees, however, to pursue other sources of funding
where applicable. For example, state preschools, when eligible, should apply for additional
funding when it comes available for the expansion of new spaces.
h. Matching Requirements
SIF intermediaries and subgrantees must both provide a 1:1 cash match for federal dollars
received and be able to track the receipt and expenditure of both federal and cash match
dollars. However, SVCF and its partners are utilizing San Mateo County Measure A tax
dollars to meet the cash match requirements for subgrantees. This means that
subgrantees will not have to raise the entirety of the required cash match each year, but
Exhibit A
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Page | 13 Big Lift Subgrantee Terms and Conditions 2017
will be required to make small, gradually increasing commitments of monetary and in-kind
resources, as follows:
Cohort 1:
Year 1 (5/1/2015-8/31/2016) – 10% of grant award, 5% of which must be a cash
contribution
Year 2 (9/1/2016-8/31/2017) – 15% of grant award, 7.5% of which must be a cash
contribution
Year 3 (9/1/2017-8/31/2018) – 20% of grant award, 10% of which must be a cash
contribution
Cohort 2:
Year 1 (7/1/2016-8/31/2017) – 10% of grant award, 5% of which must be a cash
contribution
Year 2 (9/1/2017-8/31/2018) – 15% of grant award, 7.5% of which must be a cash
contribution
Year 3 (9/1/2018-8/31/2019) – 20% of grant award, 10% of which must be a cash
contribution
Districts will allocate funding to early learning through the district’s Local Control and
Accountability Plan and budgets in FY16/17.
Cash Match vs. In-kind Match
Cash match includes unrestricted new or existing funds garnered through other, non-
federal grant sources and spent for program-related costs. They cannot be previously
obligated funding that is redirected for purposes of meeting this match requirement.
Allowable cash match must include those costs which are allowable with Federal funds.
Possible sources of cash match include (but are not limited to): private or philanthropic
grants or contributions, state or local government grants or contracts for supportive
services, or state or local government rent subsidy programs.
Federal grant funds, including federal block grants distributed or administered by state
or local governments, are not eligible as matching funds.
In-kind match includes, but is not limited to, the valuation of in-kind real property,
equipment, supplies, services, and other expendable property. “In-kind” is the value of
something received or provided that does not have a cost associated with it. For
example, if in-kind match is permitted by law (other than cash payments), the fair
market value of donated services/office space could be used to comply with the in-kind
match requirement. Also, third party in-kind contributions may count toward satisfying
Exhibit A
Exhibit A - Page 37
Page | 14 Big Lift Subgrantee Terms and Conditions 2017
match requirements provided the subgrantee receiving the contributions expends
them as allowable costs.
All matching funds, provided by both the subgrantee and SVCF, must be tracked
accordingly. SVCF and SMCOE will work with subgrantees to ensure compliance with this
requirement. Subgrantees must maintain an audit trail for all matching contributions,
whether cash or in-kind, and all supporting documentation must be maintained and made
available for review and monitoring by SVCF. The matching requirement amounts will be
tracked on an on-going basis, but must be fully expended within 12 months from the start
of the award period. Failure to meet the matching requirement at any of the 12 month
increments will jeopardize current and future grant funding and may result in
contract termination.
i. Program Income
Subgrantees that choose to charge fees must use The Big Lift Family Fee Scale. Income
generated from family fees must be reported during each reporting period may not be
used as match for The Big Lift.
Grantees charging program fees must report program income on monthly invoices.
j. Budgets and Budget Amendments
Subgrantees may not begin to incur costs for a program until the budget has been
approved by SVCF, referred to as the “original budget” or the “originally approved budget,”
and included as part of the subgrantee’s contract. Any deviations from this originally
approved budget are required to be reported to SVCF, and, in some cases, may require
prior approval and a formal budget amendment before such changes can be made and
costs incurred. All changes must be reported to SVCF within two weeks of the time the
subgrantee/program director is notified of the change, in writing via e-mail. Any submission
beyond two weeks from the change date may impact the possibility of reimbursement and
will be subject to SVCF approval.
In addition, the following types of changes that are reported to SVCF must be accompanied
by a formal budget amendment:
disengagement from the project for more than three months, or a 25 percent
reduction in time devoted to the project, by the approved project director or
program manager;
the inclusion/addition of specific costs that require prior approval (such as
items that cost more than $5,000);
the transfer of funds budgeted for one category of expense to another category of
expense in excess of 10% of the total budget category; and/or
transferring or contracting out of any work under The Big Lift award, unless
included in the originally approved budget.
Exhibit A
Exhibit A - Page 38
Page | 15 Big Lift Subgrantee Terms and Conditions 2017
When requesting approval for budget revisions, the subgrantee must use the SVCF-
approved form for budget requests, to be submitted via e-mail to SVCF along with a written
explanation for the requested change(s). SVCF will review the request and notify the
subgrantee whether or not the budget revisions have been approved.
All allowable costs as listed above may be included in a budget request and in requests for
reimbursement (invoices). However, these costs must be necessary and reasonable for the
performance of the federal award, be determined in accordance with generally accepted
accounting principles (GAAP), and not be included as a cost or used to meet cost sharing or
matching requirements for any other federally-financed program during the contractual
period of this award. All matching costs must also be included in budget and
reimbursement requests, allocated appropriately. Specific allowable costs per category are
detailed below:
Categories
Salaries and Benefits: Any individual working on grant-funded activities must be
identified on the budget in order to receive reimbursement for his/her time. The
salary and fringe benefits for each employee must be identified, and appropriate
documentation kept on file (including signed timesheets and background checks
that were initiated prior to start date). Identify each employee as either direct or
administrative, and if an employee is providing both direct and administrative
services, divide his/her salary and benefits appropriately onto different lines to
distinguish the two. The budget narrative should include hourly rate and number of
hours working on The Big Lift.
Travel: Mileage and expenses for program related travel (excluding
normal/personal commute) is reimbursable at the subgrantees established rate of
reimbursement, but not to exceed the most current IRS standard mileage rate. If the
subgrantee does not have a written policy for mileage reimbursement, the most
current IRS standard mileage rate will apply. Maintain appropriate documentation
(receipts), when applicable.
Supplies: Items, necessary to carry out the functions of the grant, are allowable,
such as age-appropriate literature, classroom materials, brochures, pens, postage,
etc. List the item and cost and the need for the expenditure in the budget narrative
section. Maintain appropriate documentation (receipts). Items that cost more than
$5,000 require prior approval before purchase.
Contractual and Consultant Services: Any individual or organization that is
providing a contractual/consultant service must be listed, with the hourly rate and
total budgeted hours for the duration of the contract listed in the budget narrative.
This does not include fringe benefits. (The contractual agreement between the
consultant and the subgrantee must be submitted to and approved by SVCF.)
Other: Any other allowable items that do not fall under the above categories,
including, for example, an approved indirect cost rate, or rent and utilities, are to be
Exhibit A
Exhibit A - Page 39
Page | 16 Big Lift Subgrantee Terms and Conditions 2017
included and recorded appropriately (except costs to be paid for with additional
funds as detailed below). List the item and cost and the need for the expenditure in
the budget narrative section. Maintain appropriate documentation (receipts). Items
that cost more than $5,000 require prior approval before purchase.
Coordination: Additional funds are provided for the coordination of The Big Lift
collaborative efforts. Examples include salary and benefits for an employee to
coordinate and facilitate meetings, or fees for a consultant to do so, and meeting-
related expenses. List the item and cost and the need for the expenditure in the
budget narrative section. Maintain appropriate documentation (receipts).
k. Fraud, Waste and Abuse
The Corporation for National and Community Service (CNCS) awards federal funds to
recipients and subgrantees for specific purposes and requires them to use the funds within
the established Terms and Conditions. A federal award agreement is a legally binding
contract. Subgrantees are encouraged to be aware of common grant fraud schemes and to
adopt effective fraud risk-management efforts within their organization, and encourage
other recipients of federal awards to do the same in order to prevent and detect fraud as
early as possible. Each subgrantee awarded funding is to promptly report any credible
evidence that a principal, employee, agent, contractor, subgrantee, or other person has
submitted a false claim or has committed a criminal or civil violation of laws pertaining to
fraud, conflict of interest, bribery, gratuity, or similar misconduct involving grant funds. You
may report potential fraud, waste, abuse or misconduct by contacting SVCF or by reporting
directly to the CNCS Office of the Inspector General (OIG):
By mail:
Office of the Inspector General
Corporation for National and Community Service
1201 New York Avenue, NW Suite 830
Washington, DC 20525
By e-mail or telephone:
[email protected]
800-452-8210
Additional information is available from the CNCS OIG website at www.cncsoig.gov.
V. Reporting Requirements
a. Programmatic Reporting
Programmatic Changes
Exhibit A
Exhibit A - Page 40
Page | 17 Big Lift Subgrantee Terms and Conditions 2017
Twice Per Year
March 31st September 30th
As stated above in Programmatic Amendments, any changes to the scope, objectives or
goals of the program must be submitted to SVCF and require prior approval before
changes are to be made. Changes to staffing of the program must be reported to SVCF in
writing within two weeks of knowledge of the change (in order to ensure timely payment of
affected invoices).
Progress Reports Due Twice Per Year
Twice annually, on March 31st and September 30th, Big Lift subgrantees must submit
progress reports:
1. A narrative report using The Big Lift Progress Report Template and an updated
scope of work will be collected.
b. Fiscal Reporting
Invoices Due monthly
Budget Changes
As stated above in Budgets and Budget Amendments, any major changes to the originally
approved budget must be submitted to SVCF and require prior approval before changes
are to be made. All other changes must be reported to SVCF in writing as soon as possible
(in order to ensure timely payment of affected invoices).
January 15th July 15th
February 15th August 15th
March 15th September 15th
April 15th October 15th
May 15th November 15th
June 15h December 15th
Exhibit A
Exhibit A - Page 41
Page | 18 Big Lift Subgrantee Terms and Conditions 2017
c. Grant Close Out
Grant close out is the process by which SVCF determines that all applicable administrative
actions and all required work of the Federal award have been completed or if
SVCF/subgrantee decides to discontinue contract. During grant close out SVCF will verify
completion of program and financial requirements by subgrantee, reconcile funds
expended and payments, ensure the proper match has been met, and account for
equipment and supplies as necessary. Subgrantees must submit closeout documents
within 45 days of the end of the contract period.
Deliverables: Subgrantees will provide the following documents within 45 days of the end
of award:
Final progress report
Cumulative Data Report
Final monthly Financial Report
Final reconciliation of revenue and expenses for each project year
Closeout Certification Form certifying information is accurate and supported by
documentation
Equipment & Supply Inventory Forms (if applicable)
Inventory of Residual Supplies (if applicable)
Record Retention: As a Subgrantee, it is important to maintain financial records,
supporting documents, and all other records pertinent to your award. Subgrantees must
retain all financial books, documents, papers and records directly related to this Agreement
for a period of three (3) years after SVCF makes its final disbursement.
VI. Appendix
Resources
Programmatic
The Big Lift Website
Corporation for National & Community Service Website
Social Innovation Fund
CNCS Criminal History Checks Quick Guide
2014 Social Innovation Fund Notice of Funding Availability
2014 Social Innovation Fund FAQs
Fiscal
Office of Management and Budget Circulars
Exhibit A
Exhibit A - Page 42
Page | 19 Big Lift Subgrantee Terms and Conditions 2017
List of Cost Items Contained in the OMB Cost Principles
Fedesral Financial Management: Required Written Policies and Procedures Checklist
Exhibit A
Exhibit A - Page 43
CORPORATION FOR NATIONAL
AND COMMUNITY SERVICE
SOCIAL INNOVATION FUND
COOPERATIVE AGREEMENT
TERMS AND CONDITIONS
(CFDA No. 94:019)
Version 3.0 (effective July 31, 2012)
Exhibit A
Exhibit A - Page 44
Version 3.0 (effective July 31, 2012)
TABLE OF CONTENTS
I. GOVERNING AUTHORITIES, TERMS AND CONDITIONS OF SOCIAL INNOVATION FUND
COOPERATIVE AGREEMENTS.......................................................................................................... 1
A. STATUTORY AUTHORITY. ............................................................................................. 1
B. OTHER APPLICABLE STATUTORY AND ADMINISTRATIVE PROVISIONS ....... 1
1. States, Indian Tribes, U.S. Territories, And Local Governments ................................... 1
2. Nonprofit Organizations .................................................................................................... 1
3. Educational Institutions..................................................................................................... 1
C. OTHER APPLICABLE STATUTES, REGULATIONS AND AUTHORITIES ............. 2
D. OTHER DOCUMENTS GOVERNING THE COOPERATIVE AGREEMENT ........... 2
E. ORDER OF PRECEDENCE ............................................................................................... 2
II. SOCIAL INNOVATION FUND SPECIAL PROVISIONS ..................................................................... 3
A. DEFINITIONS ..................................................................................................................... 3
B. ROLES AND RESPONSIBILITIES OF THE AWARDEE .............................................. 4
1. General ............................................................................................................................... 4
2. Sub-grants .......................................................................................................................... 4
3. Evaluation, Replication and Expansion ............................................................................ 5
4. SIF Learning Community ................................................................................................. 6
C. ROLES AND RESPONSIBILITIES OF THE CORPORATION..................................... 6
1. Sub-grants .......................................................................................................................... 6
2. Evaluation and Replication or Expansion ........................................................................ 6
3. SIF Learning Community ................................................................................................. 6
D. BUDGET AND PROGRAMMATIC CHANGES .............................................................. 6
1. Programmatic Changes ..................................................................................................... 6
2. Budgetary Changes ............................................................................................................ 7
E. NOTIFICATION OF STAFFING AND MANAGEMENT CHANGES........................... 7
F. MATCHING FUND REQUIREMENTS............................................................................. 7
G. REPORTING REQUIREMENTS ...................................................................................... 8
Exhibit A
Exhibit A - Page 45
Version 3.0 (effective July 31, 2012)
Social Innovation Fund Cooperative Agreement Terms and Conditions i
Exhibit A
Exhibit A - Page 46
Version 3.0 (effective July 31, 2012)
1. Awardee Progress Reports ................................................................................................ 8
2. Financial Reports ............................................................................................................... 8
3. Requests for Extensions ..................................................................................................... 8
4. Final Financial Reports ..................................................................................................... 9
H. COOPERATIVE AGREEMENT PERIOD AND INCREMENTAL FUNDING ............ 9
I. SITE VISITS .......................................................................................................................... 9
III. GENERAL PROVISIONS .............................................................................................................. 9
A. RESPONSIBILITIES FOR COOPERATIVE AGREEMENT ADMINISTRATION . 9
1. Accountability of the Awardee ........................................................................................ 9
2. Notice to Corporation ..................................................................................................... 10
B. FINANCIAL MANAGEMENT STANDARDS .............................................................. 10
1. General ............................................................................................................................. 10
2. Consistency of Treatment............................................................................................... 10
3. Audits ............................................................................................................................... 10
4. Indirect Cost Rates ......................................................................................................... 11
5. Payments Under The Cooperative Agreement............................................................. 11
6. Program Income.............................................................................................................. 12
C. AWARDEE PRODUCTS .................................................................................................. 12
1. Sharing Cooperative Agreement Products ................................................................... 12
2. Acknowledgment of Support ......................................................................................... 12
D. PROHIBITED PROGRAM ACTIVITIES ..................................................................... 13
E. CRIMINAL HISTORY CHECKS ................................................................................... 14
F. SUSPENSION OR TERMINATION OF GRANT ......................................................... 14
G. THE OFFICE OF INSPECTOR GENERAL ................................................................. 14
H. FEDERAL GRANT POLICIES ....................................................................................... 15
1. Nonprocurement Debarment And Suspension ............................................................ 15
2. Drug-Free Workplace ..................................................................................................... 15
3. Non-Discrimination......................................................................................................... 15
4. Trafficking In Persons .................................................................................................... 19
5. Central Contractor Registration (CCR) and Universal Identifier Requirement…..21
6. Transparency Act Award………………………………………………………………22
Appendices.................................................................................................................................. 276
Exhibit A
Exhibit A - Page 47
Version 3.0 (effective July 31, 2012)
Social Innovation Fund Cooperative Agreement Terms and Conditions ii
Exhibit A
Exhibit A - Page 48
Version 3.0 (effective July 31, 2012)
Social Innovation Fund Cooperative Agreement Terms and Conditions
111
Exhibit A
Exhibit A - Page 49
Version 3.0 (effective July 31, 2012)
I. GOVERNING AUTHORITIES, TERMS AND CONDITIONS OF SOCIAL INNOVATION
FUND COOPERATIVE AGREEMENTS
A. STATUTORY AUTHORITY.
This Cooperative Agreement is authorized by and subject to the National and Community
Service Act of 1990, as amended by the Serve America Act (the “NCSA”), codified as 42
U.S.C. 12501 et seq. Awardees must comply with the requirements of the Act and its
implementing regulations.
B. OTHER APPLICABLE STATUTORY AND ADMINISTRATIVE PROVISIONS
The following applicable federal cost principles, administrative requirements and audit
requirements are incorporated by reference.
1. States, Indian Tribes, U.S. Territories, And Local Governments
The following circulars and their implementing regulations apply to states, Indian tribes,
U.S. territories, and local governments:
a. OMB Circular A-102, Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments – 45 CFR Part 2541.
b. OMB Circular A-87, Cost Principles for State and Local Governments – 2 CFR Part
225.
c. OMB Circular A-133, Audits of States, Local Governments and Non-Profit
Organizations.
2. Nonprofit Organizations
The following circulars and their implementing regulations apply to nonprofit organizations:
a. OMB Circular A-110, Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals and Other Nonprofit
Organizations – 45 CFR Part 2543 or 2 CFR Part 215.
b. OMB Circular A-122, Cost Principles for Nonprofit Organizations – 2 CFR Part 230.
c. OMB Circular A-133, Audits of States, Local Governments and Non-Profit
Organizations.
3. Educational Institutions
The following circulars and their implementing regulations apply to educational institutions:
Exhibit A
Exhibit A - Page 50
Version 3.0 (effective July 31, 2012)
a. OMB Circular A-110, Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals and Other Nonprofit
Organizations – 45 CFR Part 2543 or 2 CFR Part 215.
b. OMB Circular A-21, Cost Principles for Educational Institutions – 2 CFR Part 220.
c. OMB Circular A-133, Audits of States, Local Governments and Non-Profit
Organizations.
These documents can be found here:
http://www.access.gpo.gov/nara/cfr/waisidx_07/2cfrv1_07.html#215
and here:
http://ecfr.gpoaccess.gov/cgi/t/text/text-
idx?sid=1289932cf6539210eb14f3d8d3052a8b&c=ecfr&tpl=/ecfrbrowse/Title02/2cfrv1_
02.tpl#200
C. OTHER APPLICABLE STATUTES, REGULATIONS AND AUTHORITIES
The Awardee must comply with all other applicable statutes, executive orders, regulations,
and policies governing the Cooperative Agreement, including, but not limited to, those cited
in the Notice of Federal Funds Opportunity, these Terms and Conditions, the Cooperative
Agreement Assurances and Certifications, and those cited in 45 CFR Parts 2541 and 2543.
D. OTHER DOCUMENTS GOVERNING THE COOPERATIVE AGREEMENT
In addition to the applicable statutes and regulations referred to and incorporated above, the
Awardee must perform its Cooperative Agreement consistent with the requirements stated
in:
1. The Notice of Grant Award and Signature Page;
2. These Social Innovation Fund Cooperative Agreement Terms and Conditions;
3. The Social Innovation Fund Notice of Federal Funds Opportunity;
4. The Awardee’s approved Application (included the final approved budget).
E. ORDER OF PRECEDENCE
Any inconsistency in the documents governing this Cooperative Agreement shall be
resolved by giving precedence in the following order (a) the NCSA and other applicable
Federal Statutes, (b) Corporation and other Federal regulations, (c) Notice of Grant Award
and Signature Page, (d) Social Innovation Fund Special Provisions (contained herein), (e)
General Provisions (contained herein), (f) the Social Innovation Fund Notice of Federal
Exhibit A
Exhibit A - Page 51
Version 3.0 (effective July 31, 2012)
Funds Opportunity, and (g) the approved Application (including all assurances,
certifications, attachments, and pre-award negotiations).
II. SOCIAL INNOVATION FUND SPECIAL PROVISIONS
A. DEFINITIONS
For purposes of this Cooperative Agreement the following definitions apply:
1. Application means all information and materials (including all assurances and
certifications, the proposed budget as approved by the Corporation, or any information
incorporated by reference) submitted by the Awardee in the Corporation’s eGrants
system in response to the Notice of Federal Funds Opportunity, including any
amendments or modifications to the information and materials made in response to any
Corporation request for clarification. Copies of the assurances and certifications agreed
to in the eGrants system are included for reference as appendices to these Terms and
Conditions.
2. Awardee means the direct recipient of this award under section 198K of the NCSA (42
U.S.C. 12653k).
3. Competitive sub-grant selection process means an open and merit-based process to
select sub-grantees carried out by an Awardee in compliance with section 198k(j)(3) of
the NCSA (42 U.S.C. 12653K9J)(3)), and in a manner which:
a. Is open to all eligible nonprofit organizations (except nonprofit organizations
previously funded or affiliated with the Awardee);
b. Provides sufficient public notice of the availability of SIF subgrants to eligible
nonprofit community organizations within the specific local geographic areas and
issue area(s) covered under this Cooperative Agreement;
c. Advises potential applicants of:
i. What organizations are eligible for funding;
ii. How to obtain and submit an application;
iii. The criteria (including appropriate subcriteria) that will be considered in
reviewing applications; and
iv. Any relative percentages, weights, or other means used to distinguish among
the criteria; and
d. Ensures that sub-grant applications will be reviewed consistent with the established
criteria and will be free from any actual conflicts of interest (or the reasonable
perception of any such conflict).
Exhibit A
Exhibit A - Page 52
Version 3.0 (effective July 31, 2012)
4. Low-income community means either:
a. A population of individuals or households being served by a sub-grantee on the basis
of having a household income that is 200 percent or less of the applicable Federal
poverty guideline, or
b. Either a population of individuals or households, or a specific local geographic area,
with specific measurable indicators that correlate to low-income status (such as, but
not exclusive to, long-term unemployment, risk of homelessness, low school
achievement, persistent hunger, or serious mental illness), as identified in the
Awardee’s Application.
5. Sub-grantee means a community organization receiving funds awarded by an Awardee
under section 198K(j) of the NCSA (42 U.S.C. 12653k(j)).
B. ROLES AND RESPONSIBILITIES OF THE AWARDEE
1. General
The Awardee must perform the activities supported by this Cooperative Agreement in
compliance with the statutes, regulations and administrative authorities cited or referred to
these Terms and Conditions, in conformance with its approved Application (including the
approved budget), and consistent with any approvals or directions provided by the
Corporation in the course of carrying out the Cooperative Agreement. The Awardee is
legally accountable to the Corporation for the use of award funds and is bound by the
provisions of the award. The Awardee is responsible for ensuring that sub-grantees or
other organizations carrying out activities under this award comply with these Terms and
Conditions, including regulations and OMB circulars incorporated by reference.
2. Sub-grants
a. Within 15 business days of receipt of this Cooperative Agreement, the Awardee shall
provide to the Corporation a detailed plan for carrying out its competitive sub-grant
selection process. That detailed plan must:
i. Fully comply with the requirements specified in section 198K((j)(3) of the
NCSA (42 U.S.C. 12653k(j)(3)) and in the definition of “Competitive sub-
grant selection process” in these Terms and Conditions;
ii. Result in awards to subgrantees to serve low-income communities (as defined
in these Terms and Conditions) either:
(a) In the case of an Awardee that applied as a geographic-based SIF, within
the specific local geographic area and addressing the specific measurable
outcomes in the specific issue area(s) identified in the Awardee’s
Application; or
Exhibit A
Exhibit A - Page 53
Version 3.0 (effective July 31, 2012)
(b) In the case of an Awardee that applied as an issue-based SIF—
(1) Addresses the specific measurable outcomes in the specific issue
area identified in the Awardee’s Application; and
(2) Are within the specific geographic areas of need related to that
issue area, as identified in the Awardee’s Application or as
approved by the Corporation;
iii. Reflect that the Awardee will make more substantial investment in
subgrantees which show the highest levels of effectiveness, impact and
evidence, as described in the Social Innovation Fund Notice of Federal Funds
Opportunity; and
iv. Be otherwise consistent with the Awardee’s application and approved budget.
b. The Awardee shall—
i. Make its sub-grant awards consistent with the requirements of sections
198K(j) and (k) of the NCSA (42 U.S.C. 12653k(j) and (k)), and the Terms
and Conditions of this Cooperative Agreement;
ii. Complete its competitive sub-grant selection process and make its sub-grant
awards within six-months of entering into this Cooperative Agreement; and
iii. Ensure that no less than 80% of the funds provided by the Corporation under
its Cooperative Agreement are awarded to sub-grantees.
3. Evaluation, Replication and Expansion
a. With input from the Awardee, the Corporation will reasonably set the date by which
the Awardee shall provide to the Corporation the Awardee’s detailed plans for
evaluation of its major sub-grantees. The detailed plans shall include;
i. the specific questions the evaluation(s) intend to answer;
ii. the type of research design, timeline, and estimated budget for evaluation;
iii. the selection of who will conduct the evaluations and the process to be
employed to maintain independence, objectivity, and high-quality reports;
and
iv. any additional elements specified by the Corporation.
b. With input from the Awardee, the Corporation will establish required elements of a
detailed plan for an Awardee’s replication or expansion of sub-grantees and set a
reasonable deadline for submission by the Awardee.
Exhibit A
Exhibit A - Page 54
Version 3.0 (effective July 31, 2012)
4. SIF Learning Community
The Awardee shall participate in SIF Learning Community activities as reasonably
requested by the Corporation from time to time and shall work collaboratively with the
Corporation to develop such activities.
C. ROLES AND RESPONSIBILITIES OF THE CORPORATION
Performance under this Cooperative Agreement is subject to the general oversight and
monitoring of the Corporation. Additional substantial involvement of the Corporation will
include:
1. Sub-grants
a. Reviewing and approving the Awardee’s final detailed plan for carrying out its
competitive sub-grant selection process within 15 business days of receipt of the plan;
and
b. Reviewing the Awardee’s execution of its approved competitive sub-grant selection
process for compliance with applicable requirements under the grant award.
2. Evaluation and Replication or Expansion
a. Reviewing and reaching mutual agreement with the Awardee on the Awardee’s final,
detailed plans for evaluation of major sub-grantees; and
b. Reviewing and reaching mutual agreement with the Awardee on the Awardee’s final,
detailed plans for replication or expansion of sub-grantees.
3. SIF Learning Community
a. Coordination of activities between the Awardee, the Corporation, other Social
Innovation Fund awardees, other recipients of assistance from the Corporation, public
agencies, and other invited public or private organizations; and
b. The development of best practices deliverables.
D. BUDGET AND PROGRAMMATIC CHANGES
1. Programmatic Changes
The Awardee must first obtain the prior written approval of the Corporation’s Social
Innovation Fund Program Office before making the following changes:
a. Changes in the scope, objectives or goals of the Awardee’s program, whether or not
they involve budgetary changes;
Exhibit A
Exhibit A - Page 55
Version 3.0 (effective July 31, 2012)
b. Entering into sub-grants or contracts for Social Innovation Fund activities funded by
the Cooperative Agreement which had not been previously identified or included in
the approved application and budget.
c. Changes in deadlines identified in these Terms and Conditions. Deadlines may be
reasonably extended or revised upon mutual agreement of the parties.
Programmatic changes also require final approval of the Corporation’s Office of Grants
Management after written recommendation for approval is received from the Program
Office. The Grants Officers will execute written amendments, and Awardees should not
assume approvals have been granted unless documentation from the Grants Office has
been received. Changes in deadlines require prior approval, but are not considered
programmatic changes requiring a grant amendment.
2. Budgetary Changes
The Awardee must obtain the prior written approval of the Corporation’s Office of
Grants Management before amending the approved budget in any of the following ways:
a. Specific Costs Requiring Prior Approval before Incurrence under OMB Circulars A-
21 (2 CFR Part 220), A-87 (2 CFR Part 225) or A-122 (2 CFR Part 230). For certain
cost items, the cost circulars require approval of the awarding agency for the cost to be
allowable. Examples of these costs are overtime pay, rearrangement and alteration
costs, and pre-award costs.
b. Purchases of Equipment over $5,000 using Cooperative Agreement funds, unless
specified in the approved Application and budget.
c. Changes to cumulative and/or aggregate budget line items that amount to 10 per cent
or more of the total budget must be approved in writing in advance by the
Corporation. The total budget includes both the Corporation and Awardee shares.
Awardees may transfer funds among approved direct cost categories when the
cumulative amount of such transfers does not exceed 10 percent of the total budget.
E. NOTIFICATION OF STAFFING AND MANAGEMENT CHANGES
The Awardee will notify the Corporation of any change in the staffing of any key position
included (in whole or in part) as a cost in the award budget. This requirement applies regardless
of whether the position is included in the federal or matching cost portions of the budget. The
Awardee will also notify the Corporation of any changes in any positions which are not included
in the approved budget, but which involve leadership oversight of the activity under this award.
The Awardee will also notify the Corporation of any change in the senior leadership of the
Awardee.
F. MATCHING FUND REQUIREMENTS
Exhibit A
Exhibit A - Page 56
Version 3.0 (effective July 31, 2012)
As provided in section 198k(i) of the NCSA (42 U.S.C. 12653k(i), the Awardee must provide at
least fifty percent (50%) of the overall cost of carrying out the activities supported under its
Cooperative Agreement. In addition, under section 198k(k) of the NCSA (42
U.S.C.12653k(k)), all subgrantees must provide at least fifty percent (50%) of the cost of
carrying out the activities supported under their sub-grants. In both cases, the matching funds
must be provided in cash. References in any of the applicable OMB Cost Principles to
providing matching funds in-kind do NOT apply to Social Innovation Fund award or sub-grants.
G. REPORTING REQUIREMENTS
1. Awardee Progress Reports
Each Awardee must submit quarterly reports in the appropriate electronic system
summarizing progress on the specific measurable outcomes identified in the Awardee’s
Application during the quarter. Each Awardee shall also report on other measures
established by the Corporation in consultation with the Awardee. Deadlines are as
follows:
Due Date Reporting Period Covered
October 31 Start of Award through September 30
January 31 October 1 through December 31
April 30 January 1 through March 31
July 31 April 1 through June 30
2. Financial Reports
The Awardee must submit semi-annual cumulative Federal Financial Reports (FFR),
summarizing expenditures during the reporting period. These reports will be submitted
through the appropriate electronic system. The FFR deadlines are as follows:
Due Date Reporting Period Covered
October 31 Start of Award through September 30
April 30 October 1 – March 31
An Awardee must set its own submission deadlines for its respective sub-grantees
sufficient to enable the Awardee to report on-time.
All Awardees must also submit an FFR - Cash Transactions Report on a quarterly basis to
the Department of Health and Human Services Payment Management System per the
Electronic Funds Transfer Agreement.
3. Requests for Extensions
Requests for extensions of reporting deadlines will be granted when 1) the report cannot
be furnished in a timely manner for reasons legitimately beyond the control of the
Awardee and 2) the Corporation receives a request explaining the need for an extension
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before the due date of the report. Extensions of deadlines for financial reports may only
be granted by the Office of Grants Management, and extensions of deadlines for Progress
Reports may only be granted by the Social Innovation Fund Program Office.
4. Final Financial Reports
An Awardee completing the final year of its Cooperative Agreement must submit, in lieu
of the last semi-annual financial report, a final financial report that is due within 90 days
after the end of the Cooperative Agreement.
H. COOPERATIVE AGREEMENT PERIOD AND INCREMENTAL FUNDING
For the purpose of Social Innovation Fund Cooperative Agreements, a project period is the
complete length of time an Awardee is proposed to be funded to complete approved activities
under the agreement. A project period may contain one or more budget periods. A budget
period is a specific interval of time for which Federal funds are being provided to fund an
Awardee's approved activities and budget.
Unless otherwise specified, the Awardee’s Cooperative Agreement covers a five-year project
period. In approving a multi-year project period, the Corporation generally makes an initial
award for the first year of operation. Additional funding is contingent upon satisfactory
performance and the availability of funds. The project period and the budget period are noted
on the Notice of Grant Award.
I. SITE VISITS
The Corporation reserves the right to make site visits to review and evaluate Awardee and sub-
grantee records, activities, organizational procedures and financial control systems; to conduct
interviews; to request additional information; and to provide technical assistance as necessary.
III. GENERAL PROVISIONS
A. RESPONSIBILITIES FOR COOPERATIVE AGREEMENT ADMINISTRATION
1. Accountability of the Awardee
The Awardee has full responsibility for managing all aspects of the Cooperative
Agreement and agreement-supported activities, subject to the oversight of the
Corporation. The Awardee is accountable to the Corporation for its operation of the
Social Innovation Fund program and the use of Corporation funds. The Awardee must
expend Cooperative Agreement funds in a judicious and reasonable manner, and it
must record accurately the activities performed and outcomes achieved under the
grant. Although Awardees are encouraged to seek the advice and opinion of the
Corporation on special problems that may arise, such advice does not diminish the
Awardee’s responsibility for making sound judgments and does not mean that the
responsibility for operational decisions has shifted to the Corporation.
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2. Notice to Corporation
The Awardee will notify the appropriate Corporation Program or Grants Officer
immediately of any developments or delays that have a significant impact on funded
activities, any significant problems relating to the administrative or financial aspects
of the award, or any suspected misconduct or malfeasance related to the award or
Awardee. The Awardee will inform the Corporation official about the corrective
action taken or contemplated by the Awardee and any assistance needed to resolve the
situation.
B. FINANCIAL MANAGEMENT STANDARDS
1. General
The Awardee must maintain financial management systems that include standard
accounting practices, sufficient internal controls, a clear audit trail, and written cost
allocation procedures, as necessary. The Awardee’s financial management systems
must be capable of distinguishing expenditures attributable to its award from
expenditures not attributable to its award. The systems must be able to identify costs
by programmatic year and by budget category and to differentiate between direct and
indirect costs or administrative costs. For further details about the Awardee’s
financial management responsibilities, refer to OMB Circular A-102 and its
implementing regulations (45 CFR Part 2541) or A-110 (2 CFR Part 215) and it’s
implementing regulations (45 CFR Part 2543), as other applicable OMB regulaions.
These regulations are currentlyunder review and likely to be amended.
2. Consistency of Treatment
To be allowable under an award, costs must be consistent with policies and procedures
that apply uniformly to both federally financed and other activities of the Awardee.
Furthermore, the costs must be accorded consistent treatment in both federally
financed and other activities, as well as between activities, supported by different
sources of funds.
3. Audits
Organizations that expend $500,000 or more in a year in Federal awards (grants or
cooperative agreements) shall have a single or program-specific audit conducted for
that year in accordance with the Single Audit Act, as amended, 31 U.S.C. 7501, et seq.,
and OMB Circular A-133. This regulation is currently under review and likely to be
amended. If the Awardee expends federal awards under only one federal program, it
may elect to have a program specific audit, if it is otherwise eligible. A grantee that
does not expend $500,000 in federal awards is exempt from the single audit
requirements of OMB Circular A-133 for that year. However, it must continue to
conduct financial management reviews of its sub-grantees, and records must be
available for review and audit.
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A recipient of a Federal grant (pass-through entity) is required in accordance with
paragraph 400(d) of OMB Circular A-133, to do the following with regard to its
subrecipients: (1) identify the Federal award and funding source; (2) advise sub-
recipients of all requirements imposed on them; (3) monitor subrecipient activities and
compliance; (4) ensure subrecipients have A-133 audits when required; (5) issue
decisions and ensure follow-up on audit findings in a timely manner; (6) where
necessary, adjust its own records and financial statements based on audits; and (7)
require subrecipients to permit access by the pass-through entity and auditors to
records and financial statements, as necessary, for the pass-through entity to comply
with A-133.
4. Indirect Cost Rates
Reimbursement for indirect costs, general and administrative costs, overhead, or any
similar cost rate type agreement, will be at the rate(s) and on the base(s) specified in
the approved award budget. These amounts are subject to finalization by the
cognizant federal agency or the Corporation. Any provisional rate(s) is subject to
downward adjustment only under this award. Accordingly, final approved rate(s)
charged to this award may not exceed the maximum provisional rate(s). If the
cognizant federal agency or the Corporation does not approve a final rate, then the
maximum provisional rate will be considered the final rate.
5. Payments Under The Cooperative Agreement
a. Advance Payments. The Awardee may receive advance payments of Agreement
funds provided the Awardee meets the financial management standards specified in
OMB Circular A-102 and its implementing regulations (45 CFR Part 2541) or A-
110 and its implementing regulations (45 CFR Part 2543), as applicable.
b. Immediate Cash Flow Needs. The amount of advance payments requested by the
Awardee must be based on actual and immediate cash needs in order to minimize
federal cash on hand, in accordance with policies established by the U.S.
Department of the Treasury in 31 CFR Part 205.
c. Discontinuing Advance Payments. If an Awardee does not establish procedures
to minimize the time elapsing between the receipt of the cash advance and its
disbursement, the Corporation may, after providing due notice to the Awardee,
discontinue the advance payment method and allow payments by reimbursement,
or in advance only by individual request and approval.
d. Interest-Bearing Accounts. The Awardee must deposit advance funds received
from the Corporation in federally-insured, interest bearing accounts. The
exceptions to this requirement are:
i. Institutions of Higher Education and Other Non-Profit Organizations.
If an Awardee is covered by 45 CFR Part 2543 it must maintain advance
funds in interest-bearing accounts unless:
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(a) It receives less than $120,000 in federal funds per year;
(b) The best reasonably available account would not be expected to earn
interest in excess of $250 per year on federal cash balances; or
(c) The required minimum balance is so high that it would not be feasible
within expected federal and non-federal cash resources. Earned interest
must be remitted annually to HHS-PMS, Rockville, MD 20852.
Awardees may keep up to $250 of interest per year to offset
administrative expenses.
ii. State and Local Governments. All Awardees and sub-awardees covered
by 45 CFR Part 2541, with the exception of State Governments and Indian
Tribes, must remit earned interest quarterly to the Corporation. Awardees
may keep up to $100 of the earned interest per year to offset administrative
expenses.
6. Program Income
a. General. Income, including any fees for service earned as a direct result of the
Cooperative Agreement-funded program activities during the award period, must
be retained by the Awardee and used to finance the Cooperative Agreement’s non-
Corporation share.
b. Excess Program Income. Program income earned in excess of the amount needed
to finance the Awardee share must be added to funds committed to the project by
the Corporation and the Awardee and used to further expand eligible program
activities and objectives.
C. AWARDEE PRODUCTS
1. Sharing Cooperative Agreement Products
To the extent practicable, the Awardee agrees to make products produced under the
grant available to others in the field at the cost of reproduction.
2. Acknowledgment of Support
Publications created or developed by staff funded under the award must be consistent
with the purposes of the grant. The Corporation’s logo may be included on such
documents. The Awardee is responsible for assuring that the following
acknowledgment and disclaimer appears in any external report or publication of
material based upon work supported by this award.
“This material is based upon work supported by the Corporation for National and
Community Service under Social Innovation Fund Grant No. . Opinions or
points of view expressed in this document are those of the authors and do not
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necessarily reflect the official position of, or a position that is endorsed by, the
Corporation or the Social Innovation Fund program.”
D. PROHIBITED PROGRAM ACTIVITIES
The Awardee must comply with, and require all sub-grantees to comply with, the
prohibitions on use of Corporation funds in section 174 of the NCSA (42 U.S.C.§12634).
While charging time to this Award, the Awardee, and anyone acting under the supervision or
authority of the Awardee, may not engage in the following activities:
1. Attempting to influence legislation.
2. Organizing or engaging in protests, petitions, boycotts, or strikes.
3. Assisting, promoting or deterring union organizing.
4. Impairing existing contracts for services or collective bargaining agreements.
5. Engaging in partisan political activities or other activities designed to influence the
outcome of an election to any public office.
6. Participating, in or endorsing, events or activities that is likely to include advocacy for or
against political parties, political platforms, political candidates, proposed legislation, or
elected Officers.
7. Engaging in religious instruction; conducting worship services; providing instruction as
part of a program that includes mandatory religious instruction or worship; constructing
or operating facilities devoted to religious instruction or worship; maintaining facilities
primarily or inherently devoted to religious instruction or worship; or engaging in an y
form of religious proselytization.
8. Providing a direct benefit to:
a. A for-profit entity;
b. A labor union;
c. A partisan political organization;
d. An organization engaged in the religious activities described in the preceding sub-
clause, unless Agreement funds are not used to support the religious activities; or
e. A nonprofit entity that fails to comply with the restrictions contained in section(c)(3)
of U.S.C. Title 26.
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E. CRIMINAL HISTORY CHECKS
The grantee must comply with, and require all sub-grantees to comply with, the requirements
of 45 CFR sections 2540.200 – 2540.207 and related CNCS implementing guidance in effect
at the time of award, and with any amendments to the requirements and guidance adopted
during the period of performance.
Under the Serve America Act (SAA), all grantees must conduct criminal history checks on
all employees and others who receive a salary under Corporation grants, even if the activities
don’t involve service with vulnerable populations. Therefore, this award is a covered
program subject to these requirements. Further information, guidance and resources are
found at http://nationalserviceresources.org/criminal-history.
F. SUSPENSION OR TERMINATION OF GRANT
Regulations related to the Corporation’s authority to suspend or terminate this award are
contained in 45 CFR § 2540.400. In addition, an Awardee may suspend or terminate
assistance to one of its sub-grantees, provided that such action affords the sub-grantee, at a
minimum, the notice and hearing rights described in 45 CFR § 2540.400.
G. THE OFFICE OF INSPECTOR GENERAL
The Corporation’s Office of Inspector General (OIG) conducts and supervises independent
and objective audits, evaluations, and investigations of Corporation programs and operations.
Based on the results of these audits, reviews, and investigations, the OIG recommends
policies to promote economy and efficiency and to prevent and detect fraud, waste, and abuse
in the Corporation’s programs and operations.
The OIG conducts and supervises audits of Corporation grantees, as well as legislativel y
mandated audits and reviews. The legislatively mandated audits include the annual financial
statement audit, and fulfilling the requirements of the Government Information Security
Reform Act and its successor, the Federal Information Security Management Act. A risk-
based approach, along with input received from Corporation management, is used to select
grantees and grants for audit. The OIG hires audit firms to conduct some of its audits. The
OIG audit staff is available to discuss its audit function, and can be reached at (202) 606-
9390.
The OIG is available to offer assistance to Corporation grantees that become aware of
suspected criminal activity in connection with the Corporation’s programs. Awardees should
immediately contact OIG when they first suspect that a criminal violation has occurred. The
OIG investigative staff is available to provide guidance and ensure that the appropriate law
enforcement agency is notified, if required. The OIG may be reached by email at
[email protected] or by telephone at (800) 452-8210.
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H. FEDERAL GRANT POLICIES
1. Nonprocurement Debarment And Suspension
The Awardee must comply with, and require all sub-grantees to comply with, the
requirements of 2 CFR Part 180, as implemented by 2 CFR Part 2200.
2. Drug-Free Workplace
The Awardee must comply with, and require all sub-grantees to comply with, the
requirements of 45 CFR Part 2545.
3. Non-Discrimination
a. Assurances. The Awardee must assure that its program or activity, including
those of its sub-grantees, will be conducted, and facilities operated, in compliance
with the applicable statutes set forth below, as well as with their implementing
regulations. The Awardee must obtain an assurance of such compliance prior to
extending federal financial assistance to sub-grantees. The U.S. Government shall
have the right to seek judicial enforcement of these assurances.
b. Discrimination Prohibited. A person, a service recipient, or Program staff, may
not, on the grounds of race, color, national origin, sex, age, political affiliation,
disability, or religion be excluded from participation in, denied the benefits of, or
be otherwise subjected to discrimination, directly or through contractual or other
arrangements, under any program or activity receiving federal financial assistance.
The prohibition on discrimination on the basis of disability protects otherwise
qualified individuals with disabilities. The prohibition against discrimination on
the basis of religion, with respect to Program staff, applies only to Program staff
paid with Corporation funds but excludes staff paid with Corporation funds who
were employed by the Awardee on the date the Corporation Agreement was
awarded. This prohibition against discrimination includes, but is not limited to:
i. Denying an opportunity to participate in, benefit from, or provide a service,
financial aid, or other benefit;
ii. Providing an opportunity which is different or provided differently;
iii. Denying an opportunity to participate as a member of a planning or
advisory body integral to the program;
iv. Segregating or subjecting a person to separate treatment;
v. Providing an aid, benefit, or service to a qualified disabled person that is
less effective in affording opportunity to obtain the same result, gain the
same benefit, or reach the same level of achievement;
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vi. Denying a qualified-disabled person the opportunity to participate in
integrated programs or activities, even though permissibly separate or
different programs or activities exist;
vii. Restricting a person’s enjoyment of an advantage or privilege enjoyed by
others;
viii. Providing different or separate aid, benefits, or services to disabled
persons, unless necessary in order to provide them as effectively as
provided to others;
ix. Treating a person differently in determining admission, enrollment, quota,
eligibility, membership or other requirements;
x. Using criteria or administrative methods, including failing to provide needed
auxiliary aids for disabled persons, which have the effect of subjecting
persons to discrimination, or defeating or substantially impairing
achievement of the objectives of the program for a person;
xi. Selecting a site or location of facilities with the purpose or effect of
excluding individuals from, denying them the benefits of, or subjecting
them to discrimination under the program;
xii. Denying a qualified-disabled person a benefit, aid, or participation
because facilities whose groundbreaking occurred after May 30, 1979 are
inaccessible to or unusable by disabled persons or because programs or
activities in facilities predating May 30, 1979, when viewed in their
entirety, are inaccessible to or unusable by disabled persons; and
xiii. Failing to provide reasonable accommodation to otherwise qualified
individuals with disabilities.
The Corporation's “Grant Program Civil Rights and Non-Harassment
Policy,” which include additional discrimination prohibitions, is attached
and incorporated herein in its entirety.
c. Public Notice of Nondiscrimination. The Awardee must notify service recipients,
applicants, Program staff, and the public, including those with impaired vision or
hearing, that it operates its program or its activity subject to the nondiscrimination
requirements of the applicable statutes. The notice must summarize the
requirements, note the availability of compliance information from the Awardee
and the Corporation, and briefly explain procedures for filing discrimination
complaints with the Corporation. Sample language is:
It is against the law for organizations that receive federal financial assistance
from the Corporation for National & Community Service to discriminate on the
basis of race, color, national origin, disability, sex, age, political affiliation, or, in
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most programs, religion. It is also unlawful to retaliate against any person who,
or organization that, files a complaint about such discrimination.
In addition to filing a complaint with local and state agencies that are responsible
for resolving discrimination complaints, you may bring a complaint to the
attention of the Corporation for National & Community Service. If you believe
that you or others have been discriminated against, or if you want more
information, contact:
(Name, address, phone number – both voice and TDD, and preferably toll free –
FAX number and e-mail address of the Awardee) or
Office of Civil Rights and Inclusiveness
Corporation for National Service
1201 New York Avenue, NW
Washington, D.C. 20525
(202) 606-7503 (voice); (202) 565-2799 (TDD)
(202) 606-3465 (FAX); [email protected] (e-mail)
The Awardee must include information on civil rights requirements, complaint
procedures, and the rights of beneficiaries in handbooks, manuals, pamphlets, and
post information in prominent locations, as appropriate. The Awardee must also
notify the public in recruitment material and application forms that it operates its
Program or activity subject to the nondiscrimination requirements. Sample
language, in bold print, is “This program is available to all, without regard to race,
color, national origin, disability, age, sex, political affiliation, or, in most instances,
religion.” Where a significant portion of the population eligible to be served needs
services or information in a language other than English, the Awardee shall take
reasonable steps to provide written material of the type ordinarily available to the
public in appropriate languages.
d. Records and Compliance Information. The Awardee must keep records and make
available to the Corporation timely, complete and accurate compliance information to
allow the Corporation to determine if the Awardee is complying with the civil rights
statutes and implementing regulations. Where an Awardee extends federal financial
assistance to sub-awardees, the sub-awardees must make available compliance
information to the Awardee so it can carry out its civil rights obligations. The
Corporation will provide specific guidance regarding records and compliance
information.
e. Obligation to Cooperate. The Awardee must cooperate with the Corporation so
that the Corporation can ensure compliance with the civil rights statutes and
implementing regulations. The Awardee shall permit access by the Corporation
during normal business hours to its books, records, accounts, staff, facilities, and
other sources of information as may be needed to determine compliance.
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f. Discrimination Complaints, Investigations and Compliance Reviews. The
Corporation may review the practices of the Awardee to determine civil rights
compliance. Any person who believes discrimination has occurred may file a
discrimination complaint with the Corporation’s Office of Civil Rights and
Inclusiveness. The Awardee may not intimidate, threaten, coerce, or discriminate
against an individual to interfere with a right or privilege secured by the civil rights
acts or because the person made a complaint, testified, assisted or participated in
any manner in an investigation, proceeding, or hearing. The Corporation will keep
the identity of complainants and witnesses confidential, except as necessary to
conduct an investigation, hearing, or judicial proceeding.
The Corporation will investigate whenever a compliance review, report, complaint, or
other information indicates a possible failure to comply with the statutes and their
implementing regulations. If an investigation indicates a failure to comply, the
Corporation will so inform the Awardee and any applicable sub-awardees and will
attempt to resolve the matter by voluntary means. If the matter cannot be resolved by
voluntary means, the Corporation will initiate formal enforcement action.
Discrimination complaints may be raised through the Awardee’s grievance procedure.
Use of the Awardee’s grievance procedure may not be a required precursor to filing a
federal discrimination complaint with the Corporation. Use of the Awardee’s
grievance procedure does not preclude filing a federal discrimination complaint. The
Awardee’s grievance procedure should advise individuals that use of the grievance
procedure does not stop the running of Corporation time frames for filing a
discrimination complaint with the Corporation. In all cases where discrimination
allegations have been raised with the Awardee, the Awardee must submit a written
report to the Corporation’s Equal Opportunity Office, which has a review authority
over the investigation and disposition of all discrimination complaints.
g. Self-Evaluation Requirements. The Awardee must comply with (1) the self-
evaluation requirements under section 504 of the Rehabilitation Act regarding
accessibility for individuals with disabilities; (2) the self-evaluation requirements of
the Age Discrimination Act of 1975; and (3) the self-evaluation requirements under
title IX of the Education Amendments of 1972 regarding discrimination based on
sex. Guidance regarding the self-evaluation requirements may be obtained from
the Corporation’s Office of Civil Rights and Inclusiveness, 1201 New York
Avenue, NW, Washington, D.C. 20525, (202) 606-7503 (voice); (202) 565-2799
(TDD); (202) 606-3465 (FAX); or [email protected] (e-mail).
h. Applicable Statutes. In accordance with its assurances, the Awardee must comply
with all federal statutes relating to non-discrimination to the extent applicable,
including, but not limited to titles VI and VIII of the Civil Rights Act of 1964 (42
U.S.C. 2000d and 3601 et seq.); section 504 of the Rehabilitation Act of 1973 (29
U.S.C. 794); title IX of the Education Amendments of 1972 (20 U.S.C. 1681 et
seq.); the Age Discrimination Act of 1975 (42 U.S.C. 6101 et seq.); the Drug
Abuse Office and Treatment Act of 1972 (P.L. 92-255); the Comprehensive
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Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of
1970 (P.L. 91-616); the Public Health Service Act of 1912 (42 U.S.C. 290dd-3 and
290ee-3); and the requirements of any other non-discrimination provision in the
NCSA (42 U.S.C. 12635), or any other applicable non-discrimination provision.
4. Trafficking In Persons
This Grant is subject to requirements of Section 106(g) of the Trafficking Victims
Protection Act (TVPA) of 2000, as amended (22 U.S.C. 7104).
a. Provisions applicable to a recipient that is a private entity.
i. You as the Awardee and your employees may not:
(a) Engage in severe forms of trafficking in persons during the period of
time that the Grant is in effect;
(b) Procure a commercial sex act during the period of time that the Grant
is in effect; or
(c) Use forced labor in the performance of the Grant.
ii. We as the Federal awarding agency may unilaterally terminate this Grant,
without penalty, if it,
(a) Is determined you have violated a prohibition in paragraph a.1 of this
Grant term; or
(b) Has an employee who is determined by the agency official authorized
to terminate the Grant to have violated a prohibition in paragraph a.i of
this Grant term through conduct that is either:
(1) Associated with performance under this Grant; or
(2) Imputed to you 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
Government-wide Debarment and Suspension (Non-
procurement),” as implemented by our agency at 2 CFR Part
2200.
b. Provisions applicable to an Awardee 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—
i. Is determined to have violated an applicable prohibition of paragraph a.i of
this Grant term; or
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ii. has an employee who is determined by the agency official authorized to
terminate the Grant to have violated an applicable prohibition in paragraph
a.1 of this Grant term through conduct that is –
(a) Associated with performance under this Grant; or
(b) Imputed to you using the standards and due process for imputing
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 2200.
c. Provisions applicable to any grantee.
i. You must inform us immediately of any information you receive from any
source alleging a violation of a prohibition in paragraph a.i of this grant
term.
ii. Our right to terminate unilaterally that is described in paragraph a.ii or b of
this section:
(a) Implements section 106(g) of the TVPA of 2000, as amended (22
U.S.C. 7104(g)), and
(b) Is in addition to all other remedies for noncompliance that are
available to us under this Grant.
iii. You must include the requirements of paragraph a.i of this Grant term in
any sub-Grant you make to a private entity.
d. Definitions. For purposes of this grant term:
i. “Employee” means either:
(a) An individual employed by you or a sub-grantee who is engaged in the
performance of the project or program under this Grant; or
(b) Another person engaged in the performance of the project or program
under this Grant and not compensated b y you including, but not limited
to, a volunteer or individual whose service are contributed by a third
part as an in-kind contribution toward cost sharing or matching
requirements.
ii. “Forced labor” means labor obtained by any of the following methods: the
recruitment, harboring, transportation, provision, or obtaining of a person
for labor or services, through the use of force, fraud, or coercion for the
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purpose of subjection to involuntary servitude, peonage, debt bondage, or
slavery.
iii. “Private entity”:
(a) Means any entity other than a State, local government, Indian tribe, or
foreign public entity, as those terms are defined in 2 CFR Part 175.25.
(b) Includes:
(1) A non-profit organization, including any non-profit institution
of higher education, hospital, or tribal organization other than
one included in the definition of Indian tribe at 2 CFR Part
175.25(b).
(2) A for-profit organization.
“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).
5. Central Contractor Registration (CCR) and Universal Identifier Requirements
a. Requirement for Central Contractor Registration (CCR): 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 CCR 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 Data Universal Numbering System (DUNS) Numbers. If you are
authorized to make subawards under this award, you:
i. Must notify potential subrecipients that no entity (see definition in
paragraph 3. of this award term) may receive a subaward from you unless
the entity has provided its DUNS number to you.
ii. May not make a subaward to an entity unless the entity has provided its
DUNS number to you.
iii. Definitions. For purposes of this award term:
(a) Central Contractor Registration (CCR) 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 CCR Internet site (currently at
http://www.ccr.gov).
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(b) Data Universal Numbering System (DUNS) number means the nine-
digit number established and assigned by Dun and Bradstreet, Inc.
(D&B) to uniquely identify business entities. A DUNS number may be
obtained from D&B by telephone (currently 866-705-5711) or the
Internet (currently at http://fedgov.dnb.com/webform).
(c) Entity, as it is used in this award term, means all of the following, as
defined at 2 CFR part 25, subpart C:
(1) A Governmental organization, which is a State, local
government, or Indian Tribe;
(2) A foreign public entity;
(3) A domestic or foreign nonprofit organization;
(4) A domestic or foreign for-profit organization; and
(5) A Federal agency, but only as a subrecipient under an award or
subaward to a non-Federal entity.
(d) Subaward:
(1) This term means a legal instrument to provide support for the
performance of any portion of the substantive project or
program for which you received this award and that you as the
recipient award to an eligible subrecipient.
(2) The term does not include your procurement of property and
services needed to carry out the project or program (for further
explanation, see Sec. ----.210 of the attachment to OMB
Circular A-133, ``Audits of States, Local Governments, and
Non-Profit Organizations'').
(3) A subaward may be provided through any legal agreement,
including an agreement that you consider a contract.
(e) Subrecipient means an entity that:
(1) Receives a subaward from you under this award; and
(2) Is accountable to you for the use of the Federal funds provided
by the subaward.
6. Reporting Subawards and Executive Compensation.
a. Reporting of first-tier subawards.
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i. 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 5. of this
award term).
ii. Where and when to report.
(a) You must report each obligating action described in paragraph a.i. of
this award term to http://www.fsrs.gov.
(b) 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.)
iii. What to report. You must report the information about each obligating
action that the submission instructions posted at http://www.fsrs.gov
specify.
b. Reporting Total Compensation of Recipient Executives.
i. 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--
(a) the total Federal funding authorized to date under this award is
$25,000 or more;
(b) in the preceding fiscal year, you received--
(1) 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
(2) $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
(c) 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
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the U.S. Security and Exchange Commission total compensation filings
at http://www.sec.gov/answers/execomp.htm.)
ii. Where and when to report. You must report executive total compensation
described in paragraph 2.a. of this award term:
(a) As part of your registration profile at http://www.ccr.gov.
(b) 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.
i. Applicability and what to report. Unless you are exempt as provided in
paragraph 4. 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--
(a) in the subrecipient's preceding fiscal year, the subrecipient received--
(1) 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
(2) $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
(b) 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.)
ii. Where and when to report. You must report subrecipient executive total
compensation described in paragraph 3.a. of this award term:
(a) To the recipient.
(b) 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
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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:
i. Entity means all of the following, as defined in 2 CFR part 25:
(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;
(e) A Federal agency, but only as a subrecipient under an award or
subaward to a non-Federal entity.
ii. Executive means officers, managing partners, or any other employees in
management positions.
iii. 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
Sec. ---- .210 of the attachment to OMB Circular A-133, ``Audits of
States, Local Governments, and Non-Profit Organizations'').
(c) A subaward may be provided through any legal agreement, including
an agreement that you or a subrecipient considers a contract.
iv. Subrecipient means an entity that:
(a) Receives a subaward from you (the recipient) under this award; and
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(b) Is accountable to you for the use of the Federal funds provided by the
subaward.
v. 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)):
(a) Salary and bonus.
(b) 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.
(c) 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.
(d) Change in pension value. This is the change in present value of defined
benefit and actuarial pension plans.
(e) Above-market earnings on deferred compensation which is not tax-
qualified.
(f) Other compensation, if the aggregate value of all such other
(g) 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.
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Appendices
ASSURANCES
As the duly authorized representative of the applicant, I certify, to the best of my knowledge and belief, that the applicant:
Has the legal authority to apply for federal assistance, and the institutional, managerial, and financial capability
(including funds sufficient to pay the non-federal share of project costs) to ensure proper planning, management, and
completion of the project described in this application.
Will give the awarding agency, the Comptroller General of the United States, and if appropriate, the state, through any
authorized representative, access to and the right to examine all records, books, papers, or documents related to the
award; and will establish a proper accounting system in accordance with generally accepted accounting standards or
agency directives.
Will establish safeguards to prohibit employees from using their position for a purpose that constitutes or presents the
appearance of personal or organizational conflict of interest, or personal gain.
Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding agency.
Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. 4728-4763) relating to prescribed standards
for merit systems for programs funded under one of the nineteen statutes or regulations specified in Appendix A of
OPM’s Standards for a Merit System of Personnel Administration (5 CFR 900, Subpart F).
Will comply with all federal statutes relating to nondiscrimination. These include but are not limited to: Title VI of the
Civil Rights Act of 1964 (P.L. 88-352) which prohibits discrimination on the basis of race, color, or national origin; (b)
Title IX of the Education Amendments of 1972, as amended (20 U.S.C. 1681-1683, and 1685-1686). which prohibits
discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. 794),
which prohibits discrimination on the basis of disability (d) The Age Discrimination Act of 1975, as amended (42
U.S.C. 6101-6107), which prohibits discrimination on the basis of age; (e) The Drug Abuse Office and Treatment Act
of 1972 (P.L. 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; (f) The Comprehensive
Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616), as amended,
relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (g) sections 523 and 527 of the Public Health
Service Act of 1912 (42 U.S.C. 290dd-3 and 290ee-3), as amended, relating to confidentiality of alcohol and drug
abuse patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. 3601 et seq.), as amended, relating to
nondiscrimination in the sale, rental or financing of housing; (i) any other nondiscrimination provisions in the National
and Community Service Act of 1990, as amended; and (j) the requirements of any other nondiscrimination statute(s)
which may apply to the application.
Will comply, or has already complied, with the requirements of Titles II and III of the Uniform Relocation Assistance
and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair and equitable treatment of
persons displaced or whose property is acquired as a result of federal or federally assisted programs. These
requirements apply to all interests in real property acquired for project purposes regardless of federal participation in
purchases.
Will comply with the provisions of the Hatch Act (5 U.S.C. 1501-1508 and 7324-7328) which limit the political
activities of employees whose principal employment activities are funded in whole or in part with Federal funds.
Will comply, as applicable, with the provisions of the Davis-Bacon Act (40 U.S.C 276a and 276a-77), the Copeland
Act (40 U.S.C 276c and 18 U.S.C. 874), and the Contract Work Hours and Safety Standards Act (40 U.S.C. 327-333),
regarding labor standards for Federally assisted construction sub-agreements.
Will comply, if applicable, with flood insurance purchase requirements of Section 102(a) of the Flood Disaster
Protection Act of 1973 (P.L. 93-234) which requires the recipients in a special flood hazard area to participate in the
program and to purchase flood insurance if the total cost of insurable construction and acquisition is $10,000 or more.
Will comply with environmental standards which may be prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National Environmental Policy Act of 1969 (P.L. 91-190) and
Executive Order (EO) 11514; (b) notification of violating facilities pursuant to EO 11738; (c) protection of wetlands
pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in accordance with EO 11988; (e) assurance of
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project consistency with the approved state management program developed under the Coastal Zone Management Act
of 1972 (16 U.S.C 1451 et seq.); (f) conformity of federal actions to State (Clean Air) Implementation Plans under
Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. 7401 et seq.); (g) protection of underground
sources of drinking water under the Safe Drinking Water Act of 1974, as amended (P.L. 93-523); and (h) protection of
endangered species under the Endangered Species Act of 1973, as amended (P.L. 93-205).
Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C 1271 et seq.) related to protecting components or
potential components of the national wild and scenic rivers system.
Will assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of
1966, as amended (16 U.S.C. 470), EO 11593 (identification and protection of historic properties), and the
Archaeological and Historic Preservation Act of 1974 (16U.S.C. 469a-l et seq.).
Will comply with P.L. 93-348 regarding the protection of human subjects involved in research, development, and
related activities supported by this award of assistance.
Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7 U.S.C. 2131 et seq.)
pertaining to the care, handling, and treatment of warm blooded animals held for research, teaching, or other activities
supported by this award of assistance.
Will comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. §§ 4801 et seq.) which prohibits the use
of lead based paint in construction or rehabilitation of residence structures.
Will cause to be performed the required financial and compliance audits in accordance with the Single Audit Act of
1984, as amended, and OMB Circular A-133, Audits of States, Local Governments, and Non-Profit Organizations.
Will comply with all applicable requirements of all other Federal laws, executive orders, regulations, application
guidelines, and policies governing this program.
For Social Innovation Fund Applicants ONLY
Will use the funds received through the award in order to make sub-grants to community organizations that will use the
funds to replicate or expand proven initiatives, or support new initiatives, in low-income communities.
Will consult with a diverse cross section of community representatives in making decisions about sub-grants for
communities (including individuals from the public, nonprofit private, and for-profit private sectors).
Will make sub-grants of a sufficient size and scope to enable the community organizations to build their capacity to
manage initiatives, and sustain replication or expansion of the initiatives;
Will not make any sub-grants to--
the parent organizations of the applicant,
a subsidiary organization of the parent organization of the applicant, or,
if the applicant applied for a SIF award as a partnership, any member of the partnership.
Commits to meeting the matching cash fund requirements of section 198k(i) of the National and Community Service
Act of 1990 (42 U.S.C. §12653k(i)).
Commits to use data and evaluations to improve the applicant’s own model and to improve the initiatives funded by the
applicant.
Commits to cooperate with any evaluation activities undertaken by the Corporation.
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CERTIFICATIONS
Certification – Debarment, Suspension, and Other Responsibility Matters
This certification is required by the government-wide regulations implementing Executive Order 12549, Debarment
and Suspension, 2 CFR Part 180, Section 180.335, What information must I provide before entering into a covered
transaction with a Federal agency?
As the duly authorized representative of the applicant, I certify, to the best of my knowledge and belief, that neither
the applicant nor its principals:
Is presently excluded or disqualified;
Has been convicted within the preceding three years of any of the offenses listed in § 180.800(a) or
had a civil judgment rendered against it for one of those offenses within that time period;
Is presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal,
State, or local) with commission or any of the offenses listed in § 180.800(a); or
Has had one or more public transactions (Federal, State, or local) terminated within the preceding three
years for cause or default.
Certification – Drug Free Workplace
This certification is required by the Corporation’s regulations implementing sections 5150-5160 of the Drug-Free Workplace
Act of 1988 (P.L. 100-690), 45 CFR Part 2545, Subpart B. The regulations require certification by grantees, prior to award,
that they will make a good faith effort, on a continuing basis, to maintain a drug-free workplace. The certification set out
below is a material representation of fact upon which reliance will be placed when the agency determines to award the grant.
False certification or violation of the certification may be grounds for suspension of payments, suspension or termination of
grants, or government-wide suspension or debarment (see 2 CFR Part 180, Subparts G and H).
As the duly authorized representative of the gran tee, I certify, to the best of my knowledge and belief, that the grantee will
provide a drug-free workplace by:
A. Publishing a drug-free workplace statement that:
a. Notifies employees that the unlawful manufacture, distribution, dispensing, possession, or us e of a controlled
substance is prohibited in the grantee’s workplace;
b. Specifies the actions that the grantee will take against employees for violating that prohibition; and
c. Informs employees that, as a condition of employment under any award, each employee will abide by the
terms of the statement and notify the grantee in writing if the employee is convicted for a violation of a
criminal drug statute occurring in the workplace within five days of the conviction;
B. Requiring that a copy of the statement described in paragraph (A) be given to each employee who will be engaged in
the performance of any Federal award;
C. Establishing a drug-free awareness program to inform employees about:
a. The dangers of drug abuse in the workplace;
b. The grantee’s policy of maintaining a drug-free workplace;
c. Any available drug counseling, rehabilitation, and employee assistance programs; and
d. The penalties that the grantee may impose upon them for drug abuse violations occurring in the workplace;
D. Providing us, as well as any other Federal agency on whose award the convicted employee was working, with written
notification within 10 calendar days of learning that an employee has been convicted of a drug violation in the
workplace;
E. Taking one of the following actions within 30 calendar days of learning that an employee has been convicted of a drug
violation in the workplace:
a. Taking appropriate personnel action against the employee, up to and including termination; or
b. Requiring that the employee participate satisfactorily in a drug abuse assistance or rehabilitation program
approved for these purposes by a Federal, State, or local health, law enforcement, or other appropriate
agency;
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F. Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs (A)
through (E).
Certification - Lobbying Activities
As required by Section 1352, Title 31 of the U.S. Code, as the duly authorized representative of the applicant, I certify, to the best
of my knowledge and belief, that:
No funds received from CNCS have been or will be paid, by or on behalf of the applicant, to any person or agent
acting for the applicant, related to activity designed to influence the enactment of legislation, appropriations,
administrative action, proposed or pending before the Congress or any State government, State legislature or local
legislature or legislative body.
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 agreement, the applicant will submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in
accordance with its instructions;
The applicant will require that the language of this certification be included in the award documents for all
subcontracts at all tiers (including subcontracts, subgrants, and contracts under grants, loans and cooperative
agreements) and that all subrecipients will certify and disclose accordingly.
Erroneous certification or assurance
The assurances and certifications are material representations of fact upon which we rely in determining whether to enter into this
transaction. If we later determine that you knowingly submitted an erroneous certification or assurance, in addition to othe r
remedies available to the federal government, we may terminate this transaction for cause or default.
Notice of error in certification or assurance
You must provide immediate written notice to us if at any time you learn that a certification or assurance was erroneous when
submitted or has become erroneous because of changed circumstances.
Definitions
The terms “debarment”, “suspension”, “excluded”, “disqualified”, “ineligible”, “participant”, “person”, “principal”, “proposal”,
and “voluntarily excluded” as used in this document have the meanings set out in 2 CFR Part 180, subpart I, “Definitions.” A
transaction shall be considered a “covered transaction” if it meets the definition in 2 CFR part 180 subpart B, “Covered
Transactions.”
Assurance requirement for subgrant agreements
You agree by submitting this proposal that if we approve your application you shall not knowingly enter into any lower tier
covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in
this covered transaction, unless authorized by us.
Assurance inclusion in subgrant agreements
You agree by submitting this proposal that you will obtain an assurance from prospective participants in all lower tier covered
transactions and in all solicitations for lower tier covered transactions that the participants are not debarred, suspended, ineligible,
or voluntarily excluded from the covered transaction.
Assurance of subgrant principals
You may rely upon an assurance of a prospective participant in a lower-tier covered transaction that is not debarred, suspended,
ineligible, or voluntarily excluded from the covered transaction, unless you know that the assurance is erroneous. You may
decide the method and frequency by which you determine the eligibility of your principals. You may, but are not required to,
check the List of Parties Excluded from Federal Procurement and Nonprocurement Programs.
Non-assurance in subgrant agreements
If you knowingly enter into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or volunta rily
excluded from participation in this transaction, in addition to other remedies available to the federal government, we may
terminate this transaction for cause or default.
Prudent person standard
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Nothing contained in the aforementioned may be construed to require establishment of a system of records in order to render in
good faith the assurances and certifications required. Your knowledge and information is not required to exceed that which is
normally possessed by a prudent person in the ordinary course of business dealings.
Social Innovation Fund Cooperative Agreement Terms and Conditions 31
Exhibit A
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