HomeMy WebLinkAboutCOMMUNITY ACTION PARTNERSHIP OF ORANGE COUNTY 6b.' A-2015-086-02
IN, SURANCE NOT REQUIRED
WORK MAY PROCEED
CLERK OF COUNCI SECOND AMENDMENT TO SUBGRANT
DATE: I q T
This Second Amendment to Subgrant (hereinafter referenced as "Second Amendment')
is dated effective as of the date fully executed by all parties ("Effective Date") and is
entered into between Community Action Partnership of Orange County, a California
non-profit corporation, (hereinafter referenced as "Subgrantor") and City of Santa Ana, a
municipal corporation (hereinafter referenced as "Subgrantee") for the funding of
Orange County Partnerships to Improve Community Health Grant (hereinafter
referenced as "Grant').
Subgrantor and Subgrantee entered into that certain Subgrant dated October 1, 2014
and said Subgrant was amended on January 22, 2016 and May 9, 2016.
Subgrantor and Subgrantee now desire to amend the terms of the Agreement, as more
particularly set forth below:
1. Section 1, Paragraph 1, Exhibit A will be replaced with the Exhibit A attached
hereto and made part of the Agreement.
2. Section 1, Paragraph 2, the following sentence is hereby added to the end of the
paragraph: "Grant No, for the second option term is 5 NU58DPOO5861-03-00 and
Subgrantee must document the Grant No. on all communication and
correspondence".
Section 2, a. will be amended to read as follows: "Term of this Agreement is now
extended from Sept 30, 2016 to Sept 29, 2017.°
4. Section 2, b. will be amended to read as follows: "There are no more options
remaining for the Agreement."
5. Section 2, c. will be amended to read as follows: "The maximum amount of
funding from September 29, 2016 to Sept 29, 2017 is $108,750; and".
6. Section 3, a. I. Exhibit B will be replaced with the Exhibit B attached hereto and
incorporated as part of the Agreement.
7. Except as provided in this Second Amendment, all terms used in this Second
Amendment that are not otherwise defined shall have the respective meanings
ascribed to such terms in the Agreement.
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This Second Amendment embodies the entire agreement between Subgrantor
and Subgrantee with respect to the amendment of the Agreement. In the event of
any conflict or inconsistency between the provisions of the Agreement and this
Second Amendment, the provisions of this Second Amendment shall control and
govern.
Except as specifically modified and amended herein, all of the terms, provisions,
requirements and specifications contained in the Agreement remain in full force
and effect. Except as otherwise expressly provided herein, the parties do not
intend to, and the execution of this Second Amendment shall not, in any manner
impair the Agreement, the purpose of this Second Amendment being simply to
amend and ratify the Agreement, as hereby amended and ratified, and to confirm
and carry forward the Agreement, as hereby amended, in full force and effect.
This Second Amendment shall be construed and governed by the laws of the State of
CALIFORNIA.
IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be duly
executed as of the day and year last signed.
Subgrantor
Community Action Partnership
Of Orange County,
a California non-profit corporation
By: 1�" WR"
Name: Clarence W Ray
Title: Executive Director
Date: to/Zil //(o
APPROM AS 70 PORM
joh M. ill;, Aldwo MY Avg"
Subgrantee
City of Santa Ana
a municipal corporation
By. —
Name:
Title: City Manager
Date:
ATTBST:
MARIA D. HUIZAR
CLERK OF THE COUN IL
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Exhibit A
Scope of Work
Page 3 of 4
C:\Users\b ong\Dropbox(CAPOC)\OC PICH\Year 3 Amendment to Subgrant\City of Santa Ana• Second Amendment to Subgant.docx
City of Santa Ana City of Santa Ana
Scope of Work 9/30/2016 to 9/29/2017
1. City of Santa Ana -institution.
2. The City of Santa Ana was sole sourced. City of Santa Ana is the municipal entity
responsible for land use decisions; zoning, streets, bike lanes, sidewalks, open
space such as parks and trails. The city is responsible for transportation decisions
that affect safety such a speed limits, stop signs/lights, lighting. The city provides tap
water in public spaces; drinking fountains and hydration stations.
3. The contract for this project is September 30, 2015 through September 29, 2016,
4. Scope of Work
Period Project Objective 03 — Increase the number of people with improved
access to physical activity opportunities.
• Provide and encourage physical activity opportunities for residents. Deliverable-
Progress/Program Report;
• Engineering Design to ensure proper placement of bike land and route without
harm to underground piping and wiring and to ensure ADA compliance.
Deliverable -engineer design;
• Bike lane treatment to include; signage, striping, installation of bike lane legend
& merge. Deliverable -installation of bike lane and components;
• Bike route treatment to include; bicycle detection, installation of lane markings &
signage. Deliverable -completion of bike route treatment; and
• Support and assist, as needed, UCI evaluation efforts. Deliverable -technical
assistance provided.
Period Project Objective 05 — Increase the number of public and partner
messages promoting healthy lifestyles.
• Collaborate with the OC PICH coalition for the development of asocial media
campaigns, as well as, other mixed communication methods. Deliverable -
Attendance and participation in meetings related to OC PICH
communication/media goals.
5. The City's program progress and performance will be monitored by the Program
Manager. The Contract Manager will ensure The City's is contract compliant. The
following will be required of subcontractors;
• Required attendance to monthly OC-PICH planning meetings;
• Provide a monthly activity/event calendar to the Program Manager. The calendar
will include activities completed with CDC funds, as well as supporting activities;
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• Monthly program/progress reports due to Program Manager (including; meetings,
activities, PSE efforts, etc.);
• All payroll and expense related suppo.rt materials will be submitted to Contract
Manager monthly;
• Submit bidding process, following CDC & CAPOC policies and procedures, to
Contract Manager, as needed;
• All budget and/or program modifications need to have prior approval by PI;
• Monthly billing reports due to Contract Manager; and
• CAPOC will complete site visits at a minimum two times per contract year.
6. Budget
Salaries and Wages
Justification
Job Description: Title — (Name)
Fringe Benefits
Fringe Benefits Total $ x% of Total salaries = Fringe Benefits
(OR)
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Supplies
Justification.
Travel
Travel (In -State and Out -of -State) Total $
Travel (In -State): Total I
In -State Travel Justification
Out -of -State Travel Total $
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Justification
Other
Bike Lane Treatment — 0.7 miles
Install Sign and Post
40
$300
$12,000
Remove Striping(Sandblast
5,500
$2.50
$13,750
Install Bike Lane Le end
40
$600
$24,000
Install Bike Lane Mere
12
$520
$6,240
Double Yellow Striping
2,760
$1
$2,760
4" Line Striping
8,250
$0.80
$6,600
6" Line Striping
5,500
$0.80
$4,400
Bike Route Treatment — 0.4 miles
Install shared Lane Marking (Sharrow)
26
$600
$15,600
Install Sign and Post
26
$300
$7,800
Bicycle Detection
9
$400
$3,600
Engineering Design
60
$200
$12,000
Total Other
$108,750
Justification
The buffered bike lane treatment on Chestnut and Cypress will close a gap in the
existing bikeway network by connecting the existing bike lanes on Chestnut to the
Maple Trail (a separate bicycle path) and into the Downtown. This treatment will be
accomplished by removing the center two-way left turn lane to provide the space
necessary for this high quality bike lane.
Sharrows, which are chevrons combined with bicycle stencils placed in the center of a
travel lane, make business districts safer and friendlier by indicating that bicycles and
motor vehicles share the lane. They are often times accompanied by signs. The
purpose of sharrows is to communicate to motorists to safely share a narrower street
with bicyclist, "sharrows" — chevrons and bicycle stencils on the roadway alert travelers
to "be aware and share" the road with bicyclists. And to communicate to the bicyclist
where they should position themselves on the road to be most visible.
Bicycle signage will accompany sharrows along Bush between First Street and Civic
Center Drive, providing connections between the bike lanes on Civic Center Drive and
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Cypress Avenue and connecting to the sharrows on Third Street and the planning
sharrows on Bush north of Civic Center.
Engineer design is needed to ensure underground piping and electrical components are
unharmed during the installation of the bicycle lane treatment and route. In addition, the
engineer design will ensure ADA compliance.
Budget Category•
Salary & Wages
.
$
Fringe Benefits
$
Supplies
$
Travel
$
Other
$108,750
Total
$108,750
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Exhibit B
Notice of Award (NOA)
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C:\Users\b_ong\Dropbox (CAPOC)\OC PICH\Year 3 Amendment to Subgrant\City of Santa Ana - Second Amendment to Subgant.docx
Funding Opportunity Announcement (FOA) Number: DP14-1417
Award Number: NU58DP005861-03
Award Type: Cooperative Agreement
Applicable Regulations: 45 Code of Federal Regulations (CFR) Part 75, Uniform Administrative Requirements,
Cost Principles, and Audit Requirements for HHS Awards
45 CFR Part 75 supersedes regulations at 45 CFR Part 74 and Part 92
AWARD INFORMATION
Incorporation: The Centers for Disease Control and Prevention (CDC) hereby incorporates Funding Opportunity
Announcement number DP14-1417, entitled Partnerships to Improve Community Health (PICH) program, and
application dated July 11, 2016, as may be amended, which are hereby made a part of this Non -Research award
hereinafter referred to as the Notice of Award (NoA). The Department of Health and Human Services (HHS) grant
recipients must comply with all terms and conditions outlined in their NoA, including grants policy terms and
conditions contained in applicable HHS Grants Policy Statements, and requirements imposed by program statutes
and regulations, Executive Orders, and HHS grant administration regulations, as applicable; as well as any
requirements or limitations in any applicable appropriations acts. The term grant is used throughout this notice and
includes cooperative agreements.
Note: In the event that any requirement in this Notice of Award, the Funding Opportunity Announcement, the HHS
Grants Policy Statement, 45 CFR Part 75, or applicable statutes/appropriations acts conflict, then statutes and
regulations take precedence.
Approved Funding: Funding in the amount of $1,246,726 is approved for the Year 3 budget period, which is
September 30, 2016 through September 29, 2017. All future year funding will be based on satisfactory
programmatic progress and the availability of funds.
Note: Refer to the Payment Information section for draw down and Payment Management System (PMS)
subaccount information.
Award Funding: Not funded by the Prevention and Public Health Fund
Use of Unobligated Funds: This NoA includes use of Year 02 unobligated funds in the amount of $187.00,
which has been applied as an offset to the currently approved funding level for this budget period. The use of
unobligated funds is approved based on the Year 02 Federal Financial Report (FFR) dated November 25,
2015. The amount of this NoA will be subject to reduction if the final amount of unobligated funds is less than the
amount of unobligated funds reported on the referenced FFR.
Objective/Technical Review Statement Response Requirement: The review comments on the strengths and
weaknesses of the proposal are provided as part of this award. A response to the weaknesses in these
statements must be submitted to and approved, in writing, by the Grants Management Specialist/Grants
Management Officer (GMS/GMO) noted in the Staff Contacts section of this NoA, no later than 30 days from the
budget period start date. Failure to submit the required information by the due date, October 30, 2016, will cause
delay in programmatic progress and will adversely affect the future funding of this project.
Program Income: Any program income generated under this grant or cooperative agreement will be used in
accordance with the Addition alternative.
Addition alternative: Under this alternative, program income is added to the funds committed to the
project/program and Is used to further eligible project/program objectives.
Note: The disposition of program income must have written prior approval from the GMO.
FUNDtVCc,RESTRIGTfON$1ND LIMITATIONS
Indirect costs are not applicable to this award.
Cost Limitations as Stated in the Consolidated and Further Continuing Appropriations Act, 2015 (Items A
through E)
A. Cap on Salaries (Div. G, Title II, Sec. 203): None of the funds appropriated in this title shall be used to pay the
salary of an individual, through a grant or other extramural mechanism, at a rate in excess of Executive Level II.
Note: The salary rate limitation does not restrict the salary that an organization may pay an individual working
under an HHS contract or order; it merely limits the portion of that salary that may be paid with Federal funds.
B. Gun Control Prohibition (Div. G, Title ll, Sec. 217): None of the funds made available in this title may be used,
in whole or in part, to advocate or promote gun control.
C. Lobbying Restrictions (Div. G, Title V, Sec. 503)
503(a): No part of any appropriation contained in this Act or transferred pursuant to section 4002 of Public
Law 111-148 shall be used, other than for normal and recognized executive -legislative relationships, for
publicity or propaganda purposes, for the preparation, distribution, or use of any kit, pamphlet, booklet,
publication, electronic communication, radio, television, or video presentation designed to support or defeat
the enactment of legislation before the Congress or any State or local legislature or legislative body, except in
presentation of the Congress or any State or local legislature itself, or designed to support or defeat any
proposed or pending regulation, administrative action, or order issued by the executive branch of any State or
local government itself.
503 (b): No part of any appropriation contained in this Act or transferred pursuant to section 4002 of Public
Law 111-148 shall be used to pay the salary or expenses of any grant or contract recipient, or agent acting for
such recipient, related to any activity designed to influence the enactment of legislation, appropriations,
regulation, administrative action, or Executive order proposed or pending before the Congress or any State
government, State legislature or local legislature or legislative body, other than normal and recognized
executive legislative relationships or participation by an agency or officer of an State, local or tribal
government in policymaking and administrative processes within the executive branch of that government.
• 503(c): The prohibitions in subsections (a) and (b) shall include any activity to advocate or promote any
proposed, pending or future Federal, State or local tax increase, or any proposed, pending, or future
requirement or restriction on any legal consumer product, including its sale of marketing, including but not
limited to the advocacy or promotion of gun control.
For additional information, see Additional Requirement 12 at
http://www.cdc.qoV/qrants/additionalrequirements/index.html and Anti Lobbying Restrictions for CDC
Grantees at httiD://Www.cdc.aov/arants/documents/Anti-
D. Needle Exchange (Div. G, Title V, Sec. 521): Notwithstanding any other provision of this Act, no funds
appropriated in this Act shall be used to carry out any program of distributing sterile needles or syringes for the
hypodermic injection of any illegal drug.
E. Blocking access to pornography (Div. G, Title V, Sec. 526): (a) None of the funds made available In this Act
may be used to maintain or establish a computer network unless such network blocks the viewing, downloading,
and exchanging of pornography; (b) Nothing in subsection (a) shall limit the use of funds necessary for any
Federal, State, tribal, or local law enforcement agency or any other entity carrying out criminal investigations,
prosecution, or adjudication activities.
Rent or Space Costs: Grantees are responsible for ensuring that all costs Included in this proposal to establish
billing or final indirect cost rates are allowable in accordance with the requirements of the Federal award(s) to
which they apply, including 45 CFR Part 75, Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for HHS Awards. The grantee also has a responsibility to ensure sub -recipients expend funds In
compliance with applicable federal laws and regulations. Furthermore, it is the responsibility of the grantee to
ensure rent is a legitimate direct cost line item, which the grantee has supported in current and/or prior projects
and these same costs have been treated as indirect costs that have not been claimed as direct costs. If rent Is
claimed as direct cost, the grantee must provide a narrative justification, which describes their prescribed policy to
include the effective date to the assigned Grants Management Specialist (GMS) identified in the CDC Contacts
for this award.
This provision includes expressed terms and conditions of the award and any violation of it shall be grounds for
unilateral termination of the award by (HHS OPDIV) prior to the end of its term,
Trafficking In Persons: This award is subject to the requirements of the Trafficking Victims Protection Act of
2000, as amended (22 U.S.C. Part 7104(g)).
Cancel Year: 31 U.S.C. Part 1552(a) Procedure for Appropriation Accounts Available for Definite Periods states
the following, On September 30th of the 51' fiscal year after the period of availability for obligation of a fixed
appropriation account ends, the account shall be closed and any remaining balances (whether obligated or
unobligated) in the account shall be canceled and thereafter shall not be available for obligation or expenditure for
any purpose. An example is provided below:
Fiscal Year (FY) 2016 funds will expire September 30, 2021. All FY 2016 funds should be drawn down and
reported to Payment Management Services (PMS) prior to September 30, 2021. After this date, corrections or
cash requests will not be permitted.
Domestic Organizations: An organization that expends $750,000 or more in a fiscal year in Federal awards shall
have a single or program -specific audit conducted for that year in accordance with the provisions of 45 CFR Part
75. The audit period is an organization's fiscal year. The audit must be completed along with a data collection
form (SF -SAC), and the reporting package shall be submitted within the earlier of 30 days after receipt of the
auditor's report(s), or nine (9) months after the end of the audit period.
The audit report must be sent to:
Federal Audit Clearing House Internet Data Entry System
Electronic Submission:
https://harvester.census..Qov/facides/(S(Ovkw1 zaelvziibnahocoa5iO))/account/loain.aspx
F110419-
Office
_1QL
Office of Grants Services, Financial Assessment and Audit Resolution Unit
Electronic Copy to: PGO. Audit. ResolutionOcdc.aov
This paragraph applies to both Domestic and Foreign organizations. Audit requirements for Subrecipients to
whom 45 CFR 75 Subpart F applies: The grantee must ensure that the subrecipients receiving CDC funds also
meet these requirements. The grantee must also ensure to take appropriate corrective action within six months
after receipt of the subrecipient audit report in instances of non-compliance with applicable Federal law and
regulations (45 CFR 75 Subpart F and HHS Grants Policy Statement). The grantee may consider whether
subrecipient audits necessitate adjustment of the grantee's own accounting records. If a subrecipient is not
required to have a program -specific audit, the grantee is still required to perform adequate monitoring of
subrecipient activities. The grantee shall require each subrecipient to permit the independent auditor access to
the subrecipient's records and financial statements. The grantee must include this requirement in all subrecipient
contracts.
Note: The standards set forth in 45 CFR Part 75 Subpart F will apply to audits of fiscal years beginning on or after
December 26. 2014.
Federal Funding Accountability and Transparency Act (FFATA):
In accordance with 2 CFR Chapter 1, Part 170 Reporting Sub -Award And Executive Compensation Information,
Prime Awardees awarded a federal grant are required to file a FFATA sub -award report by the end of the month
following the month In which the prime awardee awards any sub -grant equal to or greater than $25,000.
Pursuant to 45 CFR Part 75, §75.502, a grant sub -award includes the provision of any commodities (food and
non-food) to the sub -recipient where the sub -recipient is required to abide by terms and conditions regarding the
use or future administration of those goods. If the sub-awardee merely consumes or utilizes the goods, the
commodities are not in and of themselves considered sub -awards.
2 CFR Part 170: http://www.ecfr..qov/c.gi-bin/text-idx?tpl=/ecfrbrowse/Title02/2cfrl70 main 02 tpl
FFATA: www.fsrs.gov.
Reporting of First -Tier Sub -awards
Applicability: Unless you are exempt (gross income from all sources reported in last tax return is under
$300,000), 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 sub -award to an entity.
Reporting: Report each obligating action of this award term to www.fsrs.,qOV. For sub -award 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). You must report the information about each obligating action that the submission instructions
posted at www.fsrS.gOV specify.
Total Compensation of Reciplent Executives: You must report total compensation for each of your five most
highly compensated executives for the preceding completed fiscal year, if:
• The total Federal funding authorized to date under this award is $25,000 or more;
• In the preceding fiscal year, you received—
* 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 Part 170.320 (and sub -awards); and
o $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 Part 170.320 (and sub -awards); and
o 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. Part 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,qov/answers/execomp.htm?explorer.event=true).
Report executive total compensation as part of your registration profile at http://www.sam.gOV. Reports
should be made at the end of the month following the month in which this award is made and annually
thereafter.
Total Compensation of Sub -recipient Executives: Unless you are exempt (gross income from all sources
reported in last tax return is under $300,000), for each first-tier sub -recipient under this award, you must
report the names and total compensation of each of the sub -recipient's five most highly compensated
executives for the sub -recipient's preceding completed fiscal year, if:
0 In the sub -recipient's preceding fiscal year, the sub -recipient received—
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 Part 170.320 (and sub -awards); and
$25,000,000 or more in annual gross revenues from Federal procurement contracts (and
subcontracts), and Federal financial assistance subject to the Transparency Act (and sub -
awards); and
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. Part 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.see.gov/answers/execomp.htm).
You must report sub -recipient executive total compensation to the grantee by the end of the month following
the month during which you make the sub -award. For example, If a sub -award is obligated on any date during
the month of October of a given year (i.e., between October 1st and 31st), you must report any required
compensation information of the sub -recipient by November 30th of that year.
Definitions:
Entity means all of the following, as defined in 2 CFR Part 25 (Appendix A, Paragraph (C)(3)):
o Governmental organization, which is a State, local government, or Indian tribe;
o Foreign public entity;
o Domestic or foreign non-profit organization;
o Domestic or foreign for-profit organization;
o Federal agency, but only as a sub -recipient under an award or sub -award to a non -Federal
entity.
• Executive means officers, managing partners, or any other employees in management positions.
• Sub -award: a legal instrument to provide support to an eligible sub -recipient for the performance of
any portion of the substantive project or program for which the grantee received this award. The
term does not include the grantees procurement of property and services needed to carry out the
project or program (for further explanation, see 45 CFR Part 75). A sub -award may be provided
through any legal agreement, including an agreement that the grantee or a sub -recipient considers
a contract.
• Sub -recipient means an entity that receives a sub -award from you (the grantee) under this award;
and is accountable to the grantee for the use of the Federal funds provided by the sub -award.
Total compensation means the cash and non-cash dollar value earned by the executive during the
grantee's or sub -recipient's preceding fiscal year and includes the following (for more information
see 17 CFR Part 229.402(c)(2)):
o Salary and bonus
o 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.
o 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.
o Change in pension value. This is the change in present value of defined benefit and
actuarial pension plans.
o Above -market earnings on deferred compensation which is not tax -qualified.
o Other compensation, if the aggregate value of all such other compensation (e.g. severance,
termination payments, value of life insurance paid on behalf of the employee, perquisites or
property) for the executive exceeds $10,000.
GENERAL` REQf11REMENTS
Travel Cost: In accordance with MHS Grants Policy Statement, travel costs are only allowable where such travel
will provide direct benefit to the project or program. There must be a direct benefit imparted on behalf of the
traveler as it applies to the approved activities of the NoA. To prevent disallowance of cost, the grantee is
responsible for ensuring that only allowable travel reimbursements are applied in accordance with their
organization's established travel policies and procedures. Grantees approved policies must meet the
requirements of 45 CFR Part 75, as applicable.
Food and Meals: Costs associated with food or meals are allowable when consistent with applicable federal
regulations and HHS policies and guidance, which can be found at
http://www.hhs.gov/asfr/ogapa/acquisition/effspendl:)ol memo html. In addition, costs must be
proposed in accordance with grantee approved policies and a determination of reasonableness has been
performed by the grantees. Grantee approved policies must meet the requirements of 45 CFR Part 75, as
applicable.
Prior Approval: All requests, which require prior approval, must bear the signature of the authorized
organization representative. The grantee must submit these requests by May 29, 2017 or no later than 120 days
prior to this budget period's end date. Additionally, any requests involving funding issues must include an
itemized budget and a narrative justification of the request.
The following types of requests require prior approval.
• Use of unobligated funds from prior budget period (Carryover)
• Lift funding restriction, withholding, or disallowance
• Redirection of funds
• Change in scope
• Implement a new activity or enter into a sub -award that is not specified in the approved budget
• Apply for supplemental funds
• Change in key personnel
• Change in Contractor
• Extensions
• Conferences or meetings that were not specified in the approved budget
Templates for prior approval requests can be found at:
http://www.cdc.clov/grants/alreadvhavegrant/priorapprovalreauests html
Key Personnel: In accordance with 45 CFR Part 75.308, CDC grantees must obtain prior approval from CDC for
(1) change in the project director/principal investigator, business official, authorized organizational representative
or other key persons specified in the FOA, application or award document; and (2) the 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 principal investigator.
Inventions: Acceptance of grant funds obligates grantees to comply with the standard patent rights clause in 37
CFR Part 401.14.
Publications: Publications, journal articles, etc. produced under a CDC grant support project must bear an
acknowledgment and disclaimer, as appropriate, for example:
This publication (journal article, etc.) was supported by the Grant or Cooperative Agreement Number,
NU58DP005861, funded by the Centers for Disease Control and Prevention. Its contents are solely
the responsibility of the authors and do not necessarily represent the official views of the Centers for
Disease Control and Prevention or the Department of Health and Human Services.
Acknowledgment Of Federal Support: When issuing statements, press releases, requests for proposals, bid
solicitations and other documents describing projects or programs funded in whole or in part with Federal money,
all awardees receiving Federal funds, including and not limited to State and local governments and grantees of
Federal research grants, shall clearly state:
• percentage of the total costs of the program or project which will be financed with Federal money
• dollar amount of Federal funds for the project or program, and
• percentage and dollar amount of the total costs of the project or program that will be financed by non-
governmental sources.
Copyright Interests Provision: This provision is intended to ensure that the public has access to the results and
accomplishments of public health activities funded by CDC. Pursuant to applicable grant regulations and CDC's
Public Access Policy, Recipient agrees to submit Into the National Institutes of Health (NIH) Manuscript
Submission (NIHMS) system an electronic version of the final, peer-reviewed manuscript of any such work
developed under this award upon acceptance for publication, to be made publicly available no later than 12
months after the official date of publication, Also at the time of submission, Recipient and/or the Recipient's
submitting author must specify the date the final manuscript will be publicly accessible through PubMed Central
(PMC). Recipient and/or Recipient's submitting author must also post the manuscript through PMC within twelve
(12) months of the publisher's official date of final publication; however the author is strongly encouraged to make
the subject manuscript available as soon as possible. The recipient must obtain prior approval from the CDC for
any exception to this provision.
The author's final, peer-reviewed manuscript is defined as the final version accepted for journal publication, and
includes all modifications from the publishing peer review process, and all graphics and supplemental material
associated with the article. Recipient and its submitting authors working under this award are responsible for
ensuring that any publishing or copyright agreements concerning submitted articles reserve adequate right to fully
comply with this provision and the license reserved by CDC. The manuscript will be hosted in both PMC and the
CDC Stacks institutional repository system. In progress reports for this award, recipient must identify
publications subject to the CDC Public Access Policy by using the applicable NIHMS identification number for up
to three (3) months after the publication date and the PubMed Central identification number (PMCID) thereafter.
Disclaimer for Conference/Meeting/Seminar Materials: Disclaimers for conferences/meetings, etc. and/or
publications: If a conference/meeting/seminar is funded by a grant, cooperative agreement, sub -grant and/or a
contract the grantee must include the following statement on conference materials, including promotional
materials, agenda, and internet sites:
Funding for this conference was made possible (in part) by the Centers for Disease Control and
Prevention. The views expressed In written conference materials or publications and by speakers and
moderators do not necessarily reflect the official policies of the Department of Health and Human
Services, nor does the mention of trade names, commercial practices, or organizations imply
endorsement by the U.S. Government.
Logo Use for Conference and Other Materials: Neither the Department of Health and Human Services (HHS)
nor the CDC logo may be displayed if such display would cause confusion as to the funding source or give false
appearance of Government endorsement. Use of the HHS name or logo is governed by U.S.C. Part 1320b-10,
which prohibits misuse of the HHS name and emblem in written communication. A non-federal entity is
unauthorized to use the HHS name or logo governed by U.S.C. Part 1320b-10. The appropriate use of the HHS
logo is subject to review and approval of the HHS Office of the Assistant Secretary for Public Affairs (OASPA).
Moreover, the HHS Office of the Inspector General has authority to impose civil monetary penalties for violations
(42 CFR Part 1003). Accordingly, neither the HHS nor the CDC logo can be used by the grantee without the
express, written consent of either the CDC Project Officer or the CDC Grants Management Officer. It is the
responsibility of the grantee to request consent for use of the logo in sufficient detail to ensure a complete
depiction and disclosure of all uses of the Government logos. In all cases for utilization of Government logos, the
grantee must ensure written consent is received from the Project Officer and/or the Grants Management Officer.
Further, the HHS and CDC logo cannot be used by the grantee without a license agreement setting forth the
terms and conditions of use.
Equipment and Products: To the greatest extent practicable, all equipment and products purchased with CDC
funds should be American-made. CDC defines equipment as tangible non -expendable personal property
(including exempt property) charged directly to an award having a useful life of more than one year AND an
acquisition cost of $5,000 or more per unit. However, consistent with grantee policy, a lower threshold may be
established. Please provide the information to the Grants Management Officer to establish a lower equipment
threshold to reflect your organization's policy.
The grantee may use its own property management standards and procedures, provided it observes provisions In
applicable grant regulations found at 45 CFR Part 75.
Federal Information Security Management Act (FISMA): All information systems, electronic or hard copy, that
contain federal data must be protected from unauthorized access. This standard also applies to information
associated with CDC grants. Congress and the OMB have instituted laws, policies and directives that govern the
creation and implementation of federal information security practices that pertain specifically to grants and
contracts. The current regulations are pursuant to the Federal Information Security Management Act (FISMA),
Title III of the E -Government Act of 2002, PL 107-347.
FISMA applies to CDC grantees only when grantees collect, store, process, transmit or use information on behalf
of HHS or any of its component organizations. In all other cases, FISMA is not applicable to recipients of grants,
including cooperative agreements. Under FISMA, the grantee retains the original data and Intellectual property,
and is responsible for the security of these data, subject to all applicable laws protecting security, privacy, and
research. If/When Information collected by a grantee is provided to HHS, responsibility for the protection of the
HHS copy of the information is transferred to HHS and it becomes the agency's responsibility to protect that
information and any derivative copies as required by FISMA. For the full text of the requirements under Federal
Information Security Management Act (FISMA), Title III of the E -Government Act of 2002 Pub. L. No. 107-347,
please review the following website:
Pilot Program for Enhancement of Contractor Employee Whistleblower Protections: Grantees are hereby
given notice that the 48 CFR section 3.908, implementing section 828, entitled "Pilot Program for Enhancement of
Contractor Employee Whistleblower Protections," of the National Defense Authorization Act (NDAA) for Fiscal
Year (FY) 2013 (Pub. L. 112-239, enacted January 2, 2013), applies to this award.
Federal Acquisition Regulations
As promulgated in the Federal Register, the relevant portions of 48 CFR section 3.908 read as follows (note that
use of the term "contract," "contractor," "subcontract," or "subcontractor" for the purpose of this term and
condition, should be read as "grant," "grantee," "subgrant," or "subgrantee"):
3.908 Pilot program for enhancement of contractor employee whistleblower protections.
3.908-1 Scope of section.
(a) This section implements 41 U.S.C_ 4712.
(b) This section does not apply to -
(1) DoD, NASA, and the Coast Guard; or
(2) Any element of the intelligence community, as defined in section 3(4) of the National Security Act of
1947 (50 U.S.C. 3003(4)). This section does not apply to any disclosure made by an employee of a
contractor or subcontractor of an element of the intelligence community if such disclosure -
(i) Relates to an activity of an element of the intelligence community; or
(ii) Was discovered during contract or subcontract services provided to an element of the
intelligence community.
3.908-2 Definitions.
As used in this section -
"Abuse of authority" means an arbitrary and capricious exercise of authority that is inconsistent with the mission of
the executive agency concerned or the successful performance of a contract of such agency.
"Inspector General" means an Inspector General appointed under the Inspector General Act of 1978 and any
Inspector General that receives funding from, or has oversight over contracts awarded for, or on behalf of, the
executive agency concerned.
3..908-3 Policy.
(a) Contractors and subcontractors are prohibited from discharging, demoting, or otherwise discriminating against
an employee as a reprisal for disclosing, to any of the entities listed at paragraph (b) of this subsection,
information that the employee reasonably believes is evidence of gross mismanagement of a Federal contract, a
gross waste of Federal funds, an abuse of authority relating to a Federal contract, a substantial and specific
danger to public health or safety, or a violation of law, rule, or regulation related to a Federal contract (including
the competition for or negotiation of a contract). A reprisal is prohibited even if it is undertaken at the request of an
executive branch official, unless the request takes the form of a non -discretionary directive and is within the
authority of the executive branch official making the request.
(b) Entities to whom disclosure may be made.
(1) A Member of Congress or a representative of a committee of Congress.
(2) An Inspector General.
(3) The Government Accountability Office.
(4) A Federal employee responsible for contract oversight or management at the relevant agency.
(5) An authorized official of the Department of Justice or other law enforcement agency.
(6) A court or grand jury.
(7) A management official or other employee of the contractor or subcontractor who has the responsibility
to investigate, discover, or address misconduct.
(c) An employee who initiates or provides evidence of contractor or subcontractor misconduct in any judicial or
administrative proceeding relating to waste, fraud, or abuse on a Federal contract shall be deemed to have made
a disclosure.
3.908-9 Contract clause.
Contractor Employee Whistleblower Rights and Requirement to Inform Employees of Whistleblower Rights (Sept.
2013)
(a) This contract and employees working on this contract will be subject to the whistleblower rights and remedies
in the pilot program on Contractor employee whistleblower protections established at 41 U.S.C. 4712 by section
828 of the National Defense Authorization Act for Fiscal Year 2013 (Pub. L. 112-239) and FAR 3.908.
(b) The Contractor shall inform its employees in writing, in the predominant language of the workforce, of
employee whistleblower rights and protections under 41 U.S.C. 4712, as described in section 3.908 of the
Federal Acquisition Regulation.
(c) The Contractor shall insert the substance of this clause, including this paragraph (c), in all subcontracts over
the simplified acquisition threshold.
--------------------------------
AYMENT INRORMAT,IONt+
Automatic Drawdown (Direct/Advance Payments): Payment under this award will be made available through
the Department of Health and Human Services (HHS) Payment Management System (PMS). PMS will forward
instructions for obtaining payments.
PMS correspondence, mailed through the U.S. Postal Service should be addressed as follows•
Director, Payment Management Services
P.O. Box 6021
Rockville, MD 20852
Phone Number: (877) 614-5533
Email: PMSSupport@psc.gov
Website: http://Www.dpm.pse.gov/help/help.aspx?explorer.event=true
Note: To obtain the contact information of PMS staff within respective Payment Branches refer to the links listed
below:
• University and Non -Profit Payment Branch:
http://www.dpm.psc.gov/contacts/dpm contact list/univ nonprofit aspx?explorer event -true
• Governmental and Tribal Payment Branch:
http://www.dpm.Dsc.gov/contacts/governmental and tribal aspx?explorer event=true
• Cross Servicing Payment Branch:
httio://www.dpm.r)sc.gov/contacts/cross servicing aspx?explorer event=true
• International Payment Branch:
Bhavin Patel (301) 492-4918
Email: Bhavin.pateI0Psc.hhs.gov
If a carrier other than the U.S. Postal Service is used such as United Parcel Service Federal Express or other
commercial service, the correspondence should be addressed as follows:
U.S. Department of Health and Human Services
Division of Payment Management
7700 Wisconsin Avenue, Suite 920
Bethesda, MD 20814
To expedite your first payment from this award, attach a copy of the Notice of Grant/Cooperative Agreement to
your payment request form.
Payment Management System Subaccount: Effective October 1, 2013, a new HHS policy on subaccounts
requires the CDC setup payment subaccounts within the Payment Management System (PMS) for all grant awards
Funds awarded In support of approved activities have been obligated in a newly established subaccount in the
PMS, herein identified as the "P Account'. A P Account is a subaccount created specifically for the purpose of
tracking designated types of funding in the PMS.
Funds must be used in support of approved activities in the FOA and the approved application. All award funds
must be tracked and reported separately.
The grant document number and subaccount title (below) must be known in order to draw down funds from this P
Account.
Grant Document Number: 005861 DP14
Subaccount Title: DP141417PARTIMPICH14
Acceptance of the Terms of an Award: By drawing or otherwise obtaining funds from the grant Payment
Management Services, the grantee acknowledges acceptance of the terms and conditions of the award and is
obligated to perform in accordance with the requirements of the award. If the recipient cannot accept the terms, the
recipient should notify the Grants Management Officer within thirty (30) days of receipt of this award notice.
Certification Statement: By drawing down funds, the grantee certifies that proper financial management
controls and accounting systems, to include personnel policies and procedures, have been established to
adequately administer Federal awards and.funds drawn down. Recipients must comply with all terms and
conditions outlined in their NoA, including grant policy terms and conditions contained in applicable
HHS Grant Policy Statements, and requirements imposed by program statutes and regulations and HHS grants
administration regulations, as applicable; as well as any regulations or limitations in any applicable appropriations
acts.
CLOSEOUT RE€IUIREMEtITS `, '
Grantees must submit closeout reports in a timely manner. Unless the Grants Management Specialist/Grants
Management Officer (GMS/GMO) approves a deadline extension the grantee must submit all closeout reports
within 90 days after the last day of the final budget period. Reporting timeframe is 09/30/2014 through
09/29/2017. Failure to submit timely and accurate final reports may affect future funding to the organization or
awards under the direction of the same Project Director/Principal Investigator (PD/PI).
All manuscripts published as a result of the work supported in part or whole by the cooperative grant must be
submitted with the progress reports
An original plus two copies of the reports must be mailed to the GMS for approval by the GMO by the due date
noted. Ensure the Award and Program Announcement numbers shown above are on the reports.
The final and other programmatic reports required by the terms and conditions of the NoA are the following.
Final Performance Report: An original and two copies are required. At a minimum, the report should include
the following:
• Statement of progress made toward the achievement of originally stated aims.
• Description of results (positive or negative) considered significant.
• List of publications resulting from the project, with plans, if any, for further publication.
Final Federal Financial Report (FFR, SF -425): The FFR should only include those funds authorized and
actually expended during the timeframe covered by the report. The Final FFR, SF -425 is required and must be
submitted to the GMO/GMS no later than 90 days after the end of the project period. This report must indicate the
exact balance of unobligated funds and may not reflect any unliquidated obligations. Should the amount not
match with the final expenditures reported to the Department of Health and Human Services' Payment
Management Services (PMS), you will be required to update your reports to PMS accordingly. Remaining
unobligated funds will be de -obligated and returned to the U.S. Treasury.
If the final reports (FFR and Final Progress Report) cannot be submitted within 90 days after the end of the
project period, in accordance with 45 CFR Part 75.381 (Closeout), the grantee must submit a letter requesting an
extension that includes the justification for the delay and state the expected date the CDC Office of Grants
Services will receive the reports. All required documents must be mailed to the business contact identified in Staff
Contacts.
Equipment Inventory Report: An original and two copies of a complete inventory must be submitted for all
major equipment acquired or furnished under this project with a unit acquisition cost of $5,000 or more. The
inventory list must include the description of the item, manufacturer serial and/or identification number, acquisition
date and cost, percentage of Federal funds used in the acquisition of the item. The grantee should also identify
each item of equipment that it wishes to retain for continued use in accordance with 45 CFR Part 75. These
requirements do apply to equipment purchased with non-federal funds for this program. The awarding agency
may exercise Its rights to require the transfer of equipment purchased under the assistance award referenced in
the cover letter. CDC will notify the grantee if transfer to title will be required and provide disposition instruction on
all major equipment. Equipment with a unit acquisition cost of less than $5,000 that is no longer to be used in
projects or programs currently or previously sponsored by the Federal Government may be retained, sold, or
otherwise disposed of, with no further obligation to the Federal Government. If no equipment was acquired under
this award, a negative report is required.
Final Invention Statement: An original and two copies of a Final Invention Statement are required. Electronic
versions of the form can be downloaded by visiting httr)://grantsl .nih..qoy/grants/hhs568.pdf. If no
inventions were conceived under this assistance award, a negative report is required. This statement may be
included in a cover letter.
CQCA, Ot S AND, RESPON$I�I ITI S
Roles and Responsibilities: Grants Management Specialists/Officers (GMO/GMS) and Program/Project Officers
(PO) work together to award and manage CDC grants and cooperative agreements. From the pre -planning stage
to closeout of an award, grants management and program staff have specific roles and responsibilities for each
phase of the grant cycle. The GMS/GMO is responsible for the business management and administrative
functions. The PO is responsible for the programmatic, scientific, and/or technical aspects. The purpose of this
factsheet is to distinguish between the roles and responsibilities of the GMO/GMS and the PO to provide a
description of their respective duties.
Grants Management Officer: The GMO is the federal official responsible for the business and other non -
programmatic aspects of grant awards including:
• Determining the appropriate award instrument, i.e.; grant or cooperative agreement
• Determining if an application meets the requirements of the FOA
• Ensuring objective reviews are conducted in an above -the -board manner and according to guidelines set
forth in grants policy
• Ensuring grantee compliance with applicable laws, regulations, and policies
• Negotiating awards, including budgets
• Responding to grantee inquiries regarding the business and administrative aspects of an award
• Providing grantees with guidance on the closeout process and administering the closeout of grants
• Receiving and processing reports and prior approval requests such as changes in funding, carryover,
budget redirection, or changes to the terms and conditions of an award
• Maintaining the official grant file and program book
The GMO is the only official authorized to obligate federal funds and Is responsible for signing the NoA, including
revisions to the NoA that change the terms and conditions. The GMO serves as the counterpart to the business
officer of the recipient organization.
GMO Contact: See Staff Contacts below for the assigned GMO
Grants Management Specialist: The GMS is the federal staff member responsible for the day-to-day
management of grants and cooperative agreements. The GMS is the primary contact of recipients for business
and administrative matters pertinent to grant awards. Many of the functions described above are performed by
the GMS on behalf of the GMO.
GMS Contact: See Staff Contacts below for the assigned GMS
Program/Project Officer: The PO is the federal official responsible for the programmatic, scientific, and/or
technical aspects of grants and cooperative agreements including:
• The development of programs and FOAs to meet the CDC's mission
• Providing technical assistance to applicants in developing their applications e.g. explanation of
programmatic requirements, regulations, evaluation criteria, and guidance to applicants on possible
linkages with other resources
• Providing technical assistance to grantees in the performance of their project
• Post -award monitoring of grantee performance such as review of progress reports, review of prior
approval requests, conducting site visits, and other activities complementary to those of the GMO/GMS
Programmatic Contact:
Audrey Williams, Project Officer
Centers for Disease Control
NCCDPHP/ONDIEH
4770 Buford Highway, MS F-73
Atlanta, GA 30341
Telephone: 770-488-5941
Email: agw2@cdc.gov
OGS Staff Contacts:
Grants Management Specialist: Romero Stokes
Centers for Disease Control and Prevention
Office of Grant Services (OGS)
2920 Brandywine Rd, MS E-09
Atlanta, GA 30341
Email: InjO@cdc.gov
Phone: 770-488-2075
Grants Management Officer: Roslyn Curington
Centers for Disease Control and Prevention
Office of Grants Services
2920 Brandywine Road, MS E-09
Atlanta, GA 30341
Email: zlp8@cdc.gov
Phone: 770-488-2832