TEGL_18_13_Attachment_I_Acc.pdf

ETA Advisory File Text

19 Att achment I WORKFORCE INVESTMENT ACT WIA PROGRAM ANNUAL FUNDING AGREEMENT Including Mod 0 initial Notice of Obligation PY 2014 Grant Agreement No . AA - CFDA 17.258 WIA Adult Program To be completed by DOL CFDA 17.259 WIA Youth Acti vities CFDA 17.278 WIA Dislocated Workers 1. Parties Pursuant to the Governor Secretary Agreement provided for at 20 CFR 667.110 and 20 CFR 667.105 this grant agreement is entered into between the U.S. Department of Labor Employment a nd Training Administration Grantor and the STATE COMMONWEALTH of Grantee . 2. Grant Funds This grant agreement applies to funds appropriated for Program Year PY 2014 for WIA Title I State formula -funded Youth Adult and Dislocated Worker programs. Thus it includes the Fiscal Year 2015 Advance funds to be appropriated for PY 2014. 3. Applicable Authority Funds provided under this grant agreement must be expended in accordance with all applicable fede ral statutes regulations and policies including those of the Workforce Investment Act as presently in effect and as may become effective during the terms of this Agreement the applicable approved State WIA plan including approved modifications and ame ndments to the plan and any waiver plan approved under 20 CFR 661.420 or Workforce Flexibility Workflex plan approved under 20 CFR 661.430 the negotiated performance levels and policies established pursuant to the Secretary s authority under WIA Sectio n 136 and the applicable provisions in the appropriations act s . 4. Grant Period This period of availability of funds is effective April 1 2014 for Youth funds July 1 2014 for Adult and Dislocated Worker funds through June 30 2017. 5. Notice of O bligation Funds shall be obligated and allocated via a Notice of Obligation NOO grant modification. Obligations and costs may not exceed the amount obligated by the NOO modification unless otherwise modified by the Grantor. Upon execution of this agre ement t he Modification 0 supplement to the agreement will serve as the initial PY 2014 Notice of Obligation. Funds are obligated for the amount indicated in the Modification 0 document in accordance with the Grantee s PY 2014 allotment levels. The Fe deral obligation level will be amended by the Grant Officer to increase or adjust amounts available to the Grantee as funds become available for obligation and additional Notice of Obligation or Deobligation grant modifications are required and issued. 6. Electronic Fund Transfers Cash payments shall be made to the Grantee under the Department of Health and Human Services HHS Payment Management System PMS . 20 7. Certifications and Assurances The following are incorporated by reference and are a part of this agreement CERTIFICATION REGARDING LOBBYING 29 CFR Part 93 DRUG -FREE WORKPLACE REQUIREMENTS CERTIFICATION 29 CFR Part 98 NONDISCRIMINATION AND EQUAL OPPORTUNITY ASSURANCE 29 CFR Part 37 CERTIFICATION REGARDING DEBARMENT SUSPEN SION AND OTHER RESPONSIBILITY MATTERS -- PRIMARY COVERED TRANSACTIONS 29 CFR Part 98 STANDARD FORM 424B STANDARD ASSURANCES NON CONSTRUCTION PROGRAMS 8. Other Administrative Requirements In performing its responsibilities under this agreemen t the grantee further certifies and assures that it will fully comply with 29 CFR Part 97 Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments and the 29 CFR Part 97 clarifications and exceptio ns specified below 29 CFR 97.25 - Program Income. Grantees shall use the Addition method for computing Program Income. The grantee may deduct those costs incident to generation of program income from gross income to determine net program income provi ded that such costs were not charged to grant funds under this agreement. 29 CFR 97.31 - Property. Real property includes both real property acquired under this agreement and real property transferred to this agreement from prior agreements. 29 CFR 9 7.32 - Equipment and 29 CFR 97.33 - Supplies. Equipment and Supplies includes both equipment and supplies acquired under this agreement and equipment and supplies transferred to this agreement from prior agreements. 29 CFR 97.41 a and b Financial Reporting. 29 CFR 97.41 b The Employment and Training Administration ETA has implemented the Office of Management and Budget OMB -approved quarterly financial reporting form to be used for financial reporting starting with the quarter which ende d September 30 2007. The reporting instructions for the form are posted on the www.doleta.gov grants financial reporting.cfm website. State grantees are required to use the ETA Web -based reporting system for the filing of quarterly financial status repo rts. A separate report must be completed each quarter for each funding source See Fund Type provided under this agreement until such time as such funds for a given year have been expended or expired i.e. expired due to statutory provision or expired d ue to 21 terms of a specific grant plan as applicable . The software provided to grantees by the grantor agency will contain a menu listing all funding source reporting options to assist the grantees in full reporting coverage. 29 CFR 97.41 b 2 As t he awarding agency the Employment and Training Administration requires grantees to report program outlays expenditures on an accrual basis. If the grantee s accounting records are not normally kept on the accrual basis the grantee shall not be required to convert its accounting system but shall develop such accrual information through an analysis of the documentation on hand. 29 CFR 97.41 c 1 - The grantee is exempted from the requirement to submit the SF - 272 Federal Cash Transactions Report an d the SF -272a Federal Cash Transactions Report continuation sheet provided that the grantee files the SF - 272 e electronic report in accordance with the HHS Payment Management System requirements. OMB Circular A -87 Revised Cost Principles for State and Local Governments See http www.whitehouse.gov omb grants circulars and the provisions and exceptions specified below For those selected items of cost requiring prior a pproval the authority to grant or deny approval is delegated to the Governor 20 CFR 667.200 c for programs funded under this Agreement except that the Secretary reserves the right to require transfer of title in accordance with the provisions at 29 CFR 97.32 g . 29 CFR Part 96 and 99 Audit Requirements . These requirements apply as supplemented by the WIA regulations at 20 CFR 667.200 b . Intergovernmental Personnel Act 42 U.S.C. 4701 and amendments thereto. 9. Veterans Priority Provisions This program funded by the U.S. Department of Labor is subject to the priority of service requirements of 38 USC 4215 and 20 CFR Part 1010. Section 4215 of Title 38 requires that priority of service be provided to veterans and spouses of certain servi ce members and veterans for the receipt of employment training and placement services. Agreement by a program operator to implement priority of service is a condition of receipt of DOL funds. The Planning Guidance either the Stand -Alone Planning Guida nce at 73 FR 72853 December 1 2008 or the Unified Planning Guidance at 73 FR 73730 December 3 2008 requires states to describe the policies and strategies in place to ensure that priority of service is provided to veterans and certain spouses who otherwise meet the eligibility requirements for all employment and training programs funded in whole or in part by the U.S. Department of Labor. In addition the states are required to provide assurances that they will comply with the Veterans Priority o f Service Provisions in 38 USC 4215 and Training and Employment Guidance Letter TEGL No. 10 -09 issued November 10 2009 . TEGL No. 10 - 09 is available at http wdr.doleta.gov direct ives corr doc.cfm DOCN 2816 10. Buy American Notice Requirement In the case of any equipment or product that may be authorized to be purchased with financial assistance provided using funds available under the Workforce Investment Act it is the sense of the Congress that entities receiving the assistance should in expending the assistance purchase only American -made equipment and products as 22 required by the Buy American Act 41 USC 10a et seq. . See WIA Section 505 Buy American Requirements. 11. Salary and Bonus Limitations None of the funds appropriated under the heading Employment and Training in the appropriation statute s may be used by a recipient or subrecipient of such funds to pay the salary and bonuses of an individual either as di rect costs or indirect costs at a rate in excess of Executive Level II. This limitation shall not apply to vendors providing goods and services as defined in OMB Circular A -133 codified at 29 CFR Parts 96 and 99 . Where States are recipients of such fun ds States may establish a lower limit for salaries and bonuses of those receiving salaries and bonuses from subrecipients of such funds taking into account factors including the relative cost -of-living in the State the compensation levels for comparable State or local government employees and the size of the organizations that administer Federal programs involved including Employment Training Administration programs. See Public Law 113 -76 Division H Title I Section 105 and Training and Employment Guidance Letter number 05 -06 for further clarification. TEGL No. 05 -06 is available at http wdr.doleta.gov directives corr doc.cfm DOCN 2262. 12. Intellectual Property Rights The Federal Government reserves a paid -up nonexclusive and irrevocable license to reproduce publish or otherwise use and to authorize others to use for federal purposes i the copyright in all products developed under the grant including a subgrant or contract under the grant or subgrant and ii any rights of copyright to which the grantee subgrantee or a contractor purchases ownership under an award including but not limited to curricula training models technical assistance products and any related materials . Such uses include but are not limited to the right t o modify and distribute such products worldwide by any means electronically or otherwise. Federal funds may not be used to pay any royalty or license fee for use of a copyrighted work or the cost of acquiring by purchase a copyright in a work where the Department has a license or rights of free use in such work. If revenues are generated through selling products developed with grant funds including intellectual property these revenues are program income. Program income is added to the grant and must be expended for allowable grant activities. If applicable the following needs to be on all products developed in whole or in part with grant funds This workforce product was funded by a grant awarded by the U.S. Department of Labor s Employment a nd Training Administration. The product was created by the grantee and does not necessarily reflect the official position of the U.S. Department of Labor. The Department of Labor makes no guarantees warranties or assurances of any kind express or impl ied with respect to such information including any information on linked sites and including but not limited to accuracy of the information or its completeness timeliness usefulness adequacy continued availability or ownership. This product is co pyrighted by the institution that created it. Internal use by an organization and or personal use by an individual for non - commercial purposes is permissible. All other uses require the prior authorization of the copyright owner. 13. Transparency Act Federal Funding Accountability and Transparency Act of 2006 Pub. L. 109 -282 as amended by section 6202 of Pub. L. 110 -252 FFATA . Grantees must ensure that they have the necessary processes and systems in place to comply with the reporting 23 requireme nts of FFATA. See Training and Employment Guidance Letter TEGL No. 11 -10 issued November 15 2010 http wdr.doleta.gov directives attach TEGL TEGL11 -10acc.pdf and attachme nt to this agreement. 14 Executive Order 13333 This agreement may be terminated without penalty if the grantee or any subgrantee or the contractor or any subcontractor engages in i severe forms of trafficking in persons ii the procurement of a commercial sex act during the period of time that the grant contract or cooperative agreement is in effect iii the use of forced labor in the performance of the grant contract or cooperative agreement or iv acts that directly support or advance trafficking in persons. 22 U.S.C. 7104 g 15. Special Requirements for Conferences and Conference Space Grantee must obtain prior approval from the Grantor before holding any conference which includes meeting retreat seminar symposium training activity or similar event held in either Federal on non -Federal space or any activity related to holding a conference including but not limited to obligating or expending Grantor funds signing contracts for space or services announcing Grantor s in volvement in any conference and using Grantor official s name or Grantor s name or logo. Grantor retains the right to obtain information from the Grantee about any conference that is funded in whole or in part with Grantor funds. 16. Seat Belts Pursu ant to Executive Order EO 13043 April 16 1997 Increasing the Use of Seat Belts in the United States recipients are encouraged to adopt and enforce on -the -job seat belt policies and programs for their employees when operating vehicles whether orga nizationally owned or rented or personally owned. 17. Executive Order 13513 Sec. 4. Text Messaging While Driving by Government Contractors Subcontractors and Recipients and Subrecipients. Contractors subcontractors and recipients and subrecipients are encouraged to adopt and enforce policies that ban text messaging while driving company -owned or -rented vehicles or Government -owned Government -leased or Government -rented vehicles or while driving privately -owned vehicles when on official Governmen t business or when performing any work for or on behalf of the Government and to conduct initiatives of the type described in section 3 a of the Executive Order. 18. Signatory Information By signing below the signatories agree to the terms and condi tions of this agreement including all applicable assurances and certifications on behalf of their respective agencies indicated below. In the absence of a signature by the Grantee only this award is nevertheless effective by virtue of Grantee s electro nic signature on the SF -424 upon which this award is based. In addition the Grantee s expenditure of any funds properly granted hereunder constitutes acceptance of the award including any new or additional terms and conditions as may be attached hereto. FOR GRANTEE PMS EIN PMS PIN ACCT 24 See SF -424 Signature and Clause 18 above BY Governor Authorized Si gnatory Signature Date FOR GRANTOR U.S. Department of Labor Employment and Training Administration 200 Constitution Ave NW Room N -4716 Washington DC 20210 THOMAS C. MARTIN Signature Date Grant Officer 25 Attachment to Workforce Investment Act WIA Program Annual Funding Agreement WIA Agreement Clause No.13 Transparenc y Act Attachment This Grant is subject to the following Transparency Act requirements 2 CFR Part 170 Appendix A to Part 170 --Award Term I. Reporting Subawards and Executive Compensation. a. Reporting of first -tier subawards. 1. Applicability . Unless you are exempt as provided in paragraph d. of this award term you must report each action that obligates 25 000 or more in Federal funds that does not include Recovery funds as defined in section 1512 a 2 of the American Recovery an d Reinvestment Act of 2009 Pub. L. 111 -5 for a subaward to an entity see definitions in paragraph e. of this award term . 2. Where and when to report. i. You must report each obligating action described in paragraph a.1. of this award term to http www.fsrs.gov . ii. For subaward information report no later than the end of the month following the month in which the obligation was made. For example if the obligation was made on November 7 2010 the obligation must be reported by no later than December 31 2010. 3. What to report. You must report the information about each obligating action that the submis sion instructions posted at http www.fsrs.gov specify. b. Reporting Total Compensation of Recipient Executives. 1. Applicability and what to report. You must report total compensation for each of your five mo st highly compensated executives for the preceding completed fiscal year if -- i. the total Federal funding authorized to date under this award is 25 000 or more ii. in the preceding fiscal year you received -- A 80 percent or more of your annual gross revenues from Federal procurement contracts and subcontracts and Federal financial assistance subject to the Transparency Act as defined at 2 CFR 170.320 and subawards and B 25 000 000 or more in annual gross revenue s from Federal procurement contracts and subcontracts and Federal financial assistance subject to the Transparency Act as defined at 2 CFR 170.320 and subawards and iii. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13 a or 15 d of the Securities Exchange Act of 1934 15 U.S.C. 78m a 78o d or section 6104 of the Internal Revenue Code of 1986. To determine if the public ha s access to the compensation information see the U.S. Security and Exchange Commission total compensation filings at http www.sec.gov answers execomp.htm . 2. Where and when to report. You must report executive total compensation described in paragraph b.1. of this award term i. As part of your registration profile at http www.sam.gov ii. By the end of the month following the month in which this award is made and annually thereafter. c. Reporting of Total Compensation of Subrecipient Executives. 1. Applicability and what to report. Unless you a re exempt as provided in paragraph d. of this award term for each first -tier subrecipient under this award you shall report the names and total compensation of each of the subrecipient s five most highly compensated executives for the subrecipient s pre ceding completed fiscal year if-- i. in the subrecipient s preceding fiscal year the subrecipient received -- A 80 percent or more of its annual gross revenues from Federal procurement contracts and subcontracts and Federal financial assistance subject to the Transparency Act as defined at 2 CFR 170.320 and subawards and B 25 000 000 or more in annual gross revenues from Federal procurement contracts and subcontracts and Federal financial assistance subject to the Transparency Act and subawards and ii. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13 a or 15 d of the Securities Exchange Act of 1934 15 U.S.C. 78m a 78o d or section 6104 of the Internal Revenue Code of 1986. To determine if the public has access to the compensation information see the U.S. Security and Exchange Commission total compensation filings at http www.sec.gov answers execomp.htm . 2. Where and when to report. You must report subrecipient executive total compensation describe d in paragraph c.1. of this award term i. To the recipient. ii. By the end of the month following the month during which you make the subaward. For example if a subaward is obligated on any date during the month of October of a given ye ar i.e. between October 1 and 31 you must report any required compensation information of the subrecipient by November 30 of that year. 26 d. Exemptions If in the previous tax year you had gross income from all sources under 300 000 you are exempt from the requirements to report i. Subawards and ii. The total compensation of the five most highly compensated executives of any subrecipient. e. Definitions. For purposes of this award term 1. Entity means all of th e following as defined in 2 CFR part 25 i. A Governmental organization which is a State local government or Indian tribe ii. A foreign public entity iii. A domestic or foreign nonprofit organization iv. A domestic or foreign for -pro fit organization v. A Federal agency but only as a subrecipient under an award or subaward to a non -Federal entity. 2. Executive means officers managing partners or any other employees in management positions. 3. Subaward i. This te rm means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. ii. The term does not i nclude your procurement of property and services needed to carry out the project or program for further explanation see Sec. ---- .210 of the attachment to OMB Circular A - 133 Audits of States Local Governments and Non -Profit Organizations . iii. A subaward may be provided through any legal agreement including an agreement that you or a subrecipient considers a contract. 4. Subrecipient means an entity that i. Receives a subaward from you the recipient under this awar d and ii. Is accountable to you for the use of the Federal funds provided by the subaward. 5. Total compensation means the cash and noncash dollar value earned by the executive during the recipient s or subrecipient s preceding fiscal year a nd includes the following for more information see 17 CFR 229.402 c 2 i. Salary and bonus. ii. Awards of stock stock options and stock appreciation rights. Use the dollar amount recognized for financial statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial Accounting Standards No. 123 Revised 2004 FAS 123R Shared Based Payments. iii. Earnings for services under non -equity incentive plans. This does not include group life health hospitalization or medical reimbursement plans that do not discriminate in favor of executives and are available generally to all salaried employees. iv. Change in pension value. This is the change in present value of defined benef it and actuarial pension plans. v. Above -market earnings on deferred compensation which is not tax -qualified. vi. Other compensation if the aggregate value of all such other compensation e.g. severance termination payments v alue of life insurance paid on behalf of the employee perquisites or property for the executive exceeds 10 000. 2 CFR Subtitle A Chapter I and Part 25 Appendix A to Part 25 --Award Term I. Central Contractor Registration 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 fi nancial 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 inform ation or another award term. B. Requirement for Data Universal Numbering System DUNS Numbers If you are authorized to make subawards under this award you 1. Must notify potential subrecipients that no entity see definition in paragraph C of this award term may receive a subaward from you unless the entity has provided its DUNS number to you. 2. May not make a subaward to an entity unless the entity has provided its DUNS number to you. C. Definitions For purposes of this award t erm 27 1. Central Contractor Registration CCR means the Federal repository into which an entity must provide information required for the conduct of business as a recipient. The CCR process has recently migrated to the System for Award Manageme nt SAM . Additional information about registration procedures may be found at http www.sam.gov . 2. Data Universal Numbering System DUNS number means the nine -digit number established and assigned by Dun a nd 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 . 3. Entity as it is used in this award term means all of the following as defined at 2 CFR part 25 subpart C a. A Governmental organization which is a Stat e local government or Indian Tribe b. A foreign public entity c. A domestic or foreign nonprofit organization d. A domestic or foreign for -profit organization and e. A Federal agency but only as a subrecipient under an award or subaw ard to a non -Federal entity. 4. Subaward a. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. b. The term does not include your procurement of property and services needed to carry out the project or program for further explanation see 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 consider a contract. 5. Subrecipient means an entity that a. Receives a subaward from you under this award and b. Is accountable to you for the use of the Federal funds provided by the subaward.