Marine and Mammal Habitat Monitoring: Cook Inlet Beluga Whale (CIBW) Prey – Salmon Monitoring for Joint Base Elmendorf-Richardson (JBER)

RSOI W9126G262SOI8872

DEPARTMENT OF THE ARMY
U.S. ARMY CORPS OF ENGINEERS, FORT WORTH DISTRICT
P.O. BOX 17300
FORT WORTH, TX 76102-0300
18 March 2026
REQUEST FOR STATEMENT OF INTEREST
W9126G262SOI8872
Applicants must be a member in one of the following
Cooperative Ecosystem Studies Units Regions:
Alaska/Colorado Plateau Regions
Project Title: Marine and Mammal Habitat Monitoring: Cook Inlet Beluga Whale (CIBW) Prey
– Salmon Monitoring for Joint Base Elmendorf-Richardson (JBER)
A cooperative agreement is being offered ONLY to members of the Cooperative Ecosystem
Studies Units (CESU) Program Region(s) identified above. Award will be made upon mutual
agreement and acceptance of the terms and conditions contained in the request for proposal
and the recipient’s CESU Joint and Cooperative Agreement (also known as the CESU Master
Agreement).
NOTE: The established CESU indirect rate is 17.5%.
Responses to this Request for Statements of Interest will be used to identify potential
organizations for this project. Approximately $355,000.00 is expected to be available to
support this project for the base period. Additional funding may be available to the successful
recipient for optional tasks and/or follow on work in subsequent years.
NOTE: This project will be awarded under the authority of 16 USC 670c-1, Sikes Act. For
projects for the implementation and enforcement of integrated natural resources management
plans, priority shall be given to award to Federal and State agencies having responsibility for
the conservation or management of fish or wildlife.
Period of Performance. The base period of the agreement will extend 18 months from the
date of award. There may be up to six (6) 18-month follow-on periods based on availability of
funding.
Description of Anticipated Work: See attached Statement of Objectives
NOTE: At this time we are only requesting that you demonstrate available qualifications and
capability for performing similar or same type of work by submitting a Statement of Interest. A
full proposal and budget are NOT requested at this time.
Preparation of your Statement of Interest: Provide the following (Maximum length: 2 pages,
single-spaced, 12 pt. font):
1. Name, Organization, CAGE Code, Unique Entity ID, CESU Region, and Contact
Information (Email)
2. Brief Statement of Qualifications (including):
a. Biographical sketch of the Principal Investigator, to include specific experience and
capabilities in areas related to this project’s requirements
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b. Relevant past projects and clients with brief descriptions of these projects
c. Staff, faculty or students available to work on this project and their areas of expertise
d. Brief description of other capabilities to successfully complete the project: (e.g.
equipment, laboratory facilities, field facilities, etc.)
Submission of Your Statement of Interest
1. Statements of Interest (SOI) are due by Noon, Local Time (CDT),
17 April 2026 via email to the parties listed below.
2. Direct questions via email no later than Noon, Local Time (CDT) 27 March 2026
to the parties listed below.
Cheryl Vendemia
Grants Specialist
USACE, Fort Worth District
Email: cheryl.r.vendemia@usace.army.mil
Office: 817-253-3314
AND
David Leptien
Project Manager
USACE, Fort Worth District
Email: david.b.leptien@usace.army.mil
Office: 402-889-5570
Review of Statements Received: All statements of interest received from a member of the
CESU Region(s) identified above will be evaluated by a board comprised of one or more
people at the receiving installation or activity, who will determine which statement(s) best meet
the program objectives, offer the most highly qualified Principal Investigator, have the most
relevant experience and the highest capability to successfully meet the program objectives.
Submitters whose statements are determined to best meet the program objectives will be
invited to submit a full proposal.
Timeline for Review of Statements of Interest: RSOIs are required to be posted on
www.Grants.gov for 30 days prior to the Government making a decision and requesting full
proposals.
TO BE ELIGIBLE FOR AWARD, THE RECIPIENT AND ANY PROPOSED SUBRECIPIENTS
AND CONTRACT VENDORS MUST HAVE AN ACTIVE NIST SP 800-171 DOD
ASSESSEMENT (PERFORMED WITHIN THE LAST 3 YEARS).
Thank you for your interest in our Cooperative Agreements Program.
CHERYL R. VENDEMIA
Grants Officer
Attachment(s): Statement of Objectives
General Terms and Conditions
2
10 March 2025

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STATEMENT OF OBJECTIVES (SOO)
for
MARINE MAMMAL AND HABITAT MONITORING
COOK INLET BELUGA WHALE PREY – SALMON MONITORING
for
JOINT BASE ELMENDORF-RICHARDSON (JBER)
March 02, 2026
1.0 PURPOSE
1.1 This Statement of Objectives (SOO) provides the details of work to be performed to
support the U.S. Air Force 673d Civil Engineering Squadron (CES), Joint Base Elmendorf-
Richardson (JBER) Conservation Fisheries Program, through a Cooperative Agreement (CA). The
goal of this work is to support the recovery of the endangered Cook Inlet Beluga Whale (CIBW)
through continued long-term monitoring efforts of salmon, the primary prey species for CIBW, in
various waterways on JBER as part of the 2021 JBER Integrated Natural Resources Management
Plan (INRMP). This project shall (a) monitor salmon productivity as primary prey species for
Cook Inlet Beluga Whale (CIBW) recovery, (b) enumerate salmon escapement and smolt out-
migration in key waterways, (c) conduct invasive species surveillance using environmental DNA
(eDNA) monitoring to protect salmon populations from northern pike predation, and (d) support
management decisions to ensure sustainability of these resources critical to CIBW recovery.
1.2 Critical Habitat (CH) for critically endangered Cook Inlet Beluga Whale (CIBW),
designated in 2011, does not include waters on JBER but does include those waters (Knik Arm)
adjacent to 20 miles of JBER shoreline. The CH designation includes primary constituent elements
(PCE) deemed essential for CIBW recovery, including four Pacific salmon species (Chinook,
Chum, Coho, and Sockeye). Pacific salmon (Oncorhynchus spp.) constitute the primary fish prey
for the endangered Cook Inlet beluga whale population, occurring in 67% of stomachs containing
food based on stomach content analysis of Cook Inlet belugas collected between 2002 and 2010.
All five Pacific salmon species return to JBER streams to spawn, designated as Essential Fish
Habitat (EFH) under the Magnuson-Stevens Fishery Conservation and Management Act and
protected under the Anadromous Fish Act. JBER's INRMP focuses efforts on developing long-
term data sets on salmon escapement and lake productivity, as well as improving spawning habitat
and passageways for migratory salmon.
Eagle River and its tributaries provide habitats for all five species of Pacific salmon. During
summer 2011, Natural Resources staff installed a sonar system (SoundMetric ARIS) and picket
weir upstream of Bravo Bridge to monitor salmon escapement. The Sixmile system includes Upper
and Lower Sixmile Lakes and Sixmile Creek, supporting sockeye, pink, chum, and coho salmon,
with adult salmon enumerated annually at the Sixmile Creek fish weir since 1988. Cook Inlet
beluga whales have been documented exhibiting feeding behavior at the mouth of Sixmile Creek,
demonstrating the direct linkage between salmon productivity in this system and CIBW prey
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availability. Otter Lake, a tributary drainage of Eagle River, was restored in 2017 following
removal of northern pike and obstructions to salmon passage.
Environmental DNA (eDNA) monitoring represents an essential surveillance tool for detecting
potential northern pike (Esox lucius) recolonization in Otter Lake and Upper Sixmile Lake
following previous eradication and control efforts. Diet studies in Southcentral Alaska have
documented that salmonids occur in over half of pike stomachs sampled, with bioenergetics
models estimating that pike can consume up to 1.10 metric tons of juvenile salmonid prey annually
in a single drainage. Protecting salmon populations from invasive pike predation is therefore
directly linked to maintaining adequate prey availability for CIBW recovery.
This support implements INRMP Goals and Objectives, from the approved 2021 INRMP for Joint
Base Elmendorf-Richardson (JBER). The objectives for this work are to support the recovery of
the endangered CIBW by maintaining the integrity of the monitoring efforts of salmon (primary
prey species for CIBW) in various waterways on JBER. Primary objectives and their supporting
INRMP requirements are described as follows:
INRMP Goal 4: Contribute to the recovery of the Cook Inlet beluga whale
Objective 4.2: Monitor the quality and quantity of Cook Inlet beluga whale habitat on and
adjacent to JBER, especially features included as primary constituent elements in the Cook
Inlet beluga critical habitat designation.
Objective 4.3: Study/monitor, protect, and enhance (where appropriate) prey species for
Cook Inlet beluga whale.
2.0 AUTHORITY
Authority to enter into a Cooperative Agreements (CA) for the work: Section 670c-1, Title 16
United States Code, Sikes Act.
2.1. In agreement with the above stated goals, the Non-Federal Entity (NFE) agrees to provide
the necessary personnel, equipment, and materials required to im-plement, in part, the PRSC
responsibilities pursuant to the Sikes Act Improve-ment Act (16 USC 670 et seq.), the National
Environmental Policy Act (42 U.S.C. 4321 et seq.), and Air Force and Department of Defense
natural re-sources directives and instructions.
In general, cooperative agreements must carry out a public purpose of support or stimulation,
however under the authority of the Sikes Act (16 USC 670c-1 (c) (2)), notwithstanding chapter
63 of Title 31 (31 U.S.C. § 6301 et seq), a co-operative agreement under this section may be
used to acquire property or services for the direct benefit or use of the United States
Government.
Examples of carrying out a public purpose may include, but are not limited to, the following:
• Project results are made available to a wide audience (including nonfederal entities,
following necessary coordination with JBER Natural Resources Manager)
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• Project results/outputs add to the scientific literature/knowledge base, with applicability
and utility beyond the scope of the project footprint/study area
• Academic and other nonfederal partner institutions (and their personnel) gain
professional experience, increase knowledge, and develop skills and abilities
• Students benefit from direct interaction with federal scientists, program and technical
staff, and field unit managers
2.2. In accordance with section 6305 – Using cooperative agreements of the Federal Grant
and Cooperative Agreements Act of 1977 (31 U.S.C. § 6301 et seq.), substantial involvement is
expected between the Department of Defense and the recipient when carrying out the activity
contemplated by the cooperative agreement.
The installation further (hence DoD) agrees to provide substantial involvement as directed under
the appropriate master agreement to include, but not limited to, the following:
• JBER is involved in development of study methodology, data gathering, analysis, and/or
report writing.
• JBER actively participates and collaborates in carrying out the project plan of work,
reviews and approves activities, helps train or select project staff or trainees.
• JBER incurs in-kind or direct expenditures in carrying out the activities specified in the
project agreement. Examples include, but are not limited to, the following:
o Providing staff time to work on the project
o Coordinate research activities with other installation entities and scheduling of
range time.
o Collaborating on appropriate course of action for attainment of site-specific
objectives, including technical assistance and DoD guidance.
o Participation in status meetings including kick off meeting and Quarterly project
update meetings.
3.0 DESCRIPTION OF OBJECTIVES
Provide qualified labor, materials, equipment, supplies and logistical support to perform the tasks
described below. Conduct tasks in accordance with this Statement of Objectives, as prioritized by
AFCEC ISS Project Manager (PM) and Base Natural Resources Manager (NRM).
Travel: Provide transportation and fuel for all NFE staff to get to and from all field sites. Retain
current proof of insurance, current registration, and REAL ID-compliant driver’s licenses for all
modes of transportation.
Coordination: Coordinate concurrently with the Base NRM, AFCEC ISS, and USACE PM. All
work shall be approved by the AFCEC and be consistent with the Project Schedule & Work Plan
(Deliverable 9.3) approved by the Base NRM. Schedule changes can be made; trade-off
decisions will be jointly made by the USACE PM, Base NRM and AFCEC ISS and align with
the Sikes Act compliant INRMP and original budget programming. Any changes in scope or
cost must be approved by the USACE Grants Officer. All coordination with state and federal
regulators will be by the Base NRM or AFCEC ISS only.
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Security: photos must be cleared by the appropriate security and public affairs offices prior to any
external release.
Project Management: A Project Manager should be assigned to coordinate across tasks,
manage all personnel hired to complete work, and ensure all scoped objectives are completed on
time. Level of effort for Project Management is expected to be at least 6 hours per month with
additional hours as needed, generally at the beginning and end of the agreement period of
performance and before and after monthly meetings. Project manager shall provide monthly
meeting agenda, track deliverables, provide meeting notes, etc.
Within 30 days of award, the NFE will schedule an initial project kick off meeting with all parties
involved (JBER, AFCEC ISS, USACE, etc) to develop a project work schedule to implement the
SOO. A comprehensive Work Plan detailing the technical approach, methodologies, and schedule
shall be delivered for approval prior to initiating fieldwork.
3.1 TASK 1: Eagle River and Otter Lake System Salmon Productivity
This task is continuation of the long-term monitoring project to assess the status and trend in
salmon escapement in Eagle River established in 2012. The primary goal is to support the
recovery of the CIBW and monitor prey abundance in Eagle River. The objectives for this task
are:
• Deploy dual frequency identification sonars and associated picket weir in Eagle River to
enumerate adult salmon escapement
• Deploy the VAKI Riverwatcher camera monitoring system and associated equipment at
the outlet of Otter Lake to enumerate adult salmon escapement
• Process the data for total abundance, diurnal patterns, and riverbank preference
• Compare peak run timing and escapement to previous years
• Provide support coordinating and completing the annual maintenance of the
sonars/camera at Sound Metrics and VAKI at the end of each field season
The goal shall be to keep the Sonars/camera deployed for at least 80% of the season (estimated
deployment mid-May to mid-October, adjustments expected based on award date). The weir and
sonar shall be installed and operated in Eagle River following established Eagle River Operation
Protocols.
3.2 TASK 2: Sixmile Lake Fishery Salmon Productivity
This project is a continuation of the long-term monitoring project to assess productivity of the
salmon fishery within the Sixmile Lake system. The objectives for this task are:
•Enumerate the out-migration of salmon smolt
•Enumerate spawning adult salmon entering the system
•Evaluate long-term salmon population trends within the Sixmile drainage
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Monitoring shall involve two different weir operations throughout the field season,
approximately between mid-May and mid-October (adjustments expected based on award date).
The smolt weir should be installed within 7 days of ice-off of Lower Sixmile Lake, typically
within the first two weeks of May (adjustments expected based on award date). Adult salmon
weir monitoring shall begin immediately after completion of the smolt portion and continue
through mid- to end of October.
3.3 TASK 3: Invasive Species Surveillance using Environmental DNA (eDNA)
This task involves implementation of environmental DNA (eDNA) monitoring activities for
invasive species surveillance at JBER lakes. The objectives for this task are:
• Execute eDNA sampling protocols following standardized methodologies for targeting
invasive species including Northern Pike
• Conduct field sampling activities at designated JBER lake systems (Otter Lake and
Sixmile Lake)
• Coordinate laboratory analysis through qualified facilities with established eDNA
processing capabilities
• Provide quality assurance/quality control measures throughout the sampling and
analysis process
eDNA sampling shall be conducted between late April through September during critical
biological periods: late April-May (Northern Pike spawning period), June (post-spawn dispersal),
and late August-September (pre-winter staging period), with a minimum of three sampling
events annually.
3.4 TASK SPECIFIC DRAFT AND FINAL REPORT
The NFE shall prepare draft and final post field season summary reports for each monitoring
task. Reports shall contain detailed descriptions of the methods used to complete each task,
including maps of spatial data, summary statistics of surveys conducted, data analysis and
discussion, graphs, tables and photos. Draft reports shall be submitted within 90 days of
completion of field work. The Government shall have 30 calendar days to review deliverables.
Final reports shall be provided within 30 working days of receiving comments from the JBER
Technical POC.
4.0 QUALIFICATIONS
The NFE shall have recent experience performing work in Alaska settings. All parties must hold
a valid driver’s license from a US State or territory and REAL ID. All parties executing tasks in
this SOO must hold a minimum of a bachelor’s degree in biology or comparable scientific field.
Resumes for all parties involved in fieldwork shall be provided to the 673d CES. Field
biologists shall be capable of working in extreme cold, exhibit prior work experience in bear
country, and have completed swiftwater rescue training.
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Professional experience is required to accomplish the tasks described in this SOO. Project team
must have:
• Experience with identification of all five Pacific salmon (Oncorhynchus spp.) during
both juvenile and adult life stages
• Dual frequency sonar operations experience
• Review processing and identification/analysis of recorded sonar data for salmon
monitoring
• Flashy glacial river field work experience
5.0 GOVERNMENT FURNISHED MATERIALS OR PROPERTY
JBER shall provide access to the installation, training on how to access training areas, how to
identify and report ordnance, and how to avoid negative interactions with wildlife. Additional
government furnished material includes:
• Coordination and signup for range training, if needed
• Historical and current aerial imagery and GIS data, if needed
• Military radio for field communication with Range Control, if available
• Technical guidance
• Existing Sixmile smolt and adult weirs
• Existing Eagle River weir and sonars, including Sound Metrics ARIS software
• Existing Otter Lake weir and VAKI Riverwatcher
The NFE shall coordinate with the JBER-Natural Resources Program Manager to arrange and
prepare for supplies and equipment, personnel, transportation, range access information, etc. in
preparation for field events.
Equipment Checkout: Certain equipment and supplies, such as radios and GPS units, must be
picked up at JBER from the Natural Resources Program Office. Equipment may be checked out
at the start of the field season or as needed and returned after the field season is completed. Full
list of supplies and materials available for the projects shall be discussed at the kick-off meeting.
5.1 LOGISTICS
Fieldwork on JBER requires coordination with Range Control and adherence to installation
access procedures. The NFE shall coordinate with the JBER Technical POC to arrange and
prepare for supplies and equipment, personnel, transportation, range access information, and
other logistics in preparation for field events. NFE personnel are required to have a cellular
phone and bear spray on their person when operating in the field on JBER-managed lands
Installation Access: All NFE employees shall comply with applicable installation, facility, and
area commander installation/facility access and local security policies and procedures. The NFE
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shall provide all information required for background checks to meet installation access
requirements to be accomplished by the installation Provost Marshall Office, Director of
Emergency Services, or Security Office. The NFE shall ensure that its employees entering JBER
installations or facilities have obtained access badges and passes in accordance with facility
regulations and that these badges and passes are obtained in advance so as not to delay the
accomplishment of services.
Range Coordination: All fieldwork shall be scheduled with and approved by the JBER Technical
POC in writing, and coordinated with Range Control and others as appropriate. The NFE shall
coordinate with JBER for range training signup if work occurs in active training areas.
Vehicle/Transportation: The NFE shall provide 4x4 vehicle support if necessary to access weir
monitoring locations. It is not anticipated that government vehicles will be available for NFE
use.
5.2 SECURITY
No classified information shall result from this investigation. All NFE employees shall comply
with applicable installation, facility and area commander installation/facility access and local
security policies and procedures. The Recipient shall also provide all information required for
background checks to meet installation access requirements to be accomplished by installation
Provost Marshall Office, Director of Emergency services or Security Office. The NFE shall
ensure that its employees entering JBER installations or facilities have obtained access badges
and passes in accordance with facility regulations and that these badges and passes are obtained
in advance so as not to delay the accomplishment of services. The NFE shall immediately return
all issued US Government Common Access Cards (CAC), installation badges, and/or access
passes to the Government Representative when the agreement is completed or when a Recipient
employee no longer requires access to the installation or facility.
6.0 PERIOD OF PERFORMANCE (PoP)
Base Period: 18 months from date of award, 12 months technical support and 6 months
administrative for onboarding, preparation, seasonal delays, analysis and reporting.
7.0 FOLLOW-ON PERIODS (FOP)
Six (6) 18-month Follow-On Periods subject to funding availability. Any overlap between base
and follow-on periods is to accommodate field planning, subcontracting activities, and reporting
activities.
Example PoP Schedule:
Base Period: 06 JUN 2026 - 05 DEC 2027 (18 months)
FO Period 1: 06 JUN 2027 - 05 DEC 2028 (18 months)
FO Period 2: 06 JUN 2028 - 05 DEC 2029 (18 months)
FO Period 3: 06 JUN 2029 - 05 DEC 2030 (18 months)
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FO Period 4: 06 JUN 2030 - 05 DEC 2031 (18 months)
FO Period 5: 06 JUN 2031 - 05 DEC 2032 (18 months)
FO Period 6: 06 JUN 2032 - 05 DEC 2033 (18 months)
8.0 COORDINATION
The NFE is required to notify the AF Technical POC and the USACE PM of critical issues that
may affect the project performance and/or human health and the environment. The types of
issues that require notification include, but are not limited to, health risks, fuel spills, dive
accidents (and near misses), unusual inclement weather conditions, unacceptable materials,
Unexploded Ordinance (UXO), and changes in critical personnel. JBER POC and NFE shall
hold regular meetings to discuss needs, priorities, and updates as deemed necessary by parties to
this agreement. The timing and frequency of the meetings shall be determined by the project
needs.
David Leptien
Project Manager
U.S. Army Corps of Engineers
Regional Planning and Environmental Center (RPEC)
Email: david.b.leptien@usace.army.mil
Phone: 402-889-5570
Andrea Gilstad
USAF Technical Point of Contact 1
673d Civil Engineer Squadron
Email: Andrea.Gilstad.1@us.af.mil
Phone: 907-384-0276
Christopher Garner
USAR Technical Point of Contact 2
673d Civil Engineer Squadron
Email: christopher.garner.9@us.af.mil
Phone: 907-384-2479
9.0 DELIVERABLES
9.1 Progress Reports – Submit quarterly progress reports describing progress on the project
throughout the period of performance. The report shall be due as of the last day of the
third month (quarterly) and shall be transmitted via electronic mail no later than the
10th calendar day following the end of the reporting period. Invoices for partial
payment shall be submitted to coincide with receipt of the quarterly progress reports.
No partial payment will be approved unless the government has received all progress
reports which are due.
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9.2 Reports - Reports shall generally be free of typos, grammatical errors, formatting
inconsistencies and incorrectly labeled tables and figures. The reports shall provide
proper citations for all documents referenced. It is requested that draft reports contain
line numbering for ease of Government comment. Government and NFE comments
shall be provided in a comment matrix provided by the Government. Project GIS Data
shall be submitted along with draft and final reports. Final work plans, final technical
reports, and final GIS data deliverables shall be submitted only after the NFE has
addressed all Government comments satisfactorily.
9.3 Work Plan – The NFE shall submit a draft work plan, NFE reconciled comment
matrix of government comments of draft work plan, and final work plan.
Methodology section shall be described in sufficient detail to allow study or work to
be replicated by persons unfamiliar with the project. Methodologies shall also include
planned data analyses. Raw data collection methodology shall provide sufficient data
for planned analyses. The NFE shall provide a proposed comprehensive timeline for
completion of the required work element activities and submittals. Updated project
schedules will be provided by the NFE when the schedule changes, regardless of
whom is responsible for causing the change in schedule. Updated schedules shall be
submitted within seven (7) calendar days of any documented change in project
schedule.
9.4 Technical Report: The NFE shall submit a draft technical field report, NFE reconciled
comment matrix of government comments of draft technical report and GIS data, and
final technical report. The report shall describe in narrative format the
accomplishments of the project tasks including pertinent maps, figures, tables,
photographs, and GIS data. The report format shall follow that of a scientific
publication and include the following section heading: Introduction, Methods,
Results, Discussion and Literature Cited, as well as original data sheets and/or copies
thereof, laboratory reports, and other appendices as appropriate. A separate report will
be required for follow-on periods, if funded.
9.5 Data and Analysis Package: All raw and processed data (acoustic, photographic,
observational, geospatial), field notes, and records. All data, records, and equipment
purchased under this agreement become the property of the U.S. Government with the
exception of computer equipment.
9.6 Annual Inventory Federally Owned – Federally Owned Property - an annual inventory
listing Federal property (to include description of the property, a serial number or other
identification number) that is in the custody of the recipient and available at the request
of the government.
9.7 Annual Inventory Acquired – Acquired Property purchased with funding from award -
property records must be maintained that includes description of the property, serial
number or other identification number, source of funding, who holds title, acquisition
date, cost of property, percentage of Federal participation in project costs, location, use
and condition of property, and ultimate disposition including date of disposal and sale
price. A physical inventory must be taken and results reconciled. Copies of the
inventory to be sent annually following each year of support to USACE – SWF and
AFCEC ISS.
10.0 ADMINISTRATION
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10.1 This cooperative agreement may be administered through a CESU only upon mutual
agreement and official authorization by both parties of the acceptance of the application of the
CESU Network IDC rate (17.5%).
10.2 Any resulting cooperative agreement will be subject to and recipient/cooperator shall
comply with 2 CFR 200.313 “Equipment”, 200.314 “Supplies”, and 200.315 “Intangible
Property” which includes use of research data. NOTE: In addition to the General Terms and
Conditions, the Recipient shall request disposition instructions from the Federal Awarding
agency (USACE) PM, as applicable.
11.0 POST AWARD & INVOICE PROCESSES
11.1 Payment Requests and Progress Reports (Invoice Package) - Submit Payment Request
and additional required documents to: swf-cesu-invoice@usace.army.mil. Carbon Copy the
assigned USACE Project Manager as well as your organization’s point of contacts (POCs) for
the additional required documents and for delinquent accounts.
11.1.1. Frequency: Quarterly plus 30-day grace period (except for the final invoice package
noted below). If the coverage dates are not quarterly or preapproved by the PM (or the first/last
submittal), the invoice package will be rejected.
Quarters Invoice pkgs due No Later Than (NLT):
Q1: Oct-Dec Q1: 31 Jan
Q2: Jan-Mar Q2: 30 Apr
Q3: Apr-Jun Q3: 30 Jul
Q4: Jul-Sep Q4: 31 Oct
11.1.2. Payment Requests must be submitted on form SF270 Request for Advance or
Reimbursement with the accompanying Standard Form-Performance Progress Report (SF-
PPR), otherwise the SF270 will be rejected.
11.1.3. SF270 Request for Advance or Reimbursement
11.1.3.1 Block 9, Recipient Organization. For successful set up of Electronic Transfer of
Funds (EFT), the Recipient’s name and address shall reflect the exact name and physical
address that appears in the System for Award Management (SAM), https://sam.gov/.
11.1.3.2. Blocks 11, (a), (b), & (c) are for the description of funds. Preferred description is:
CLIN/POP Type, POP start and end dates, amount awarded (see example below); at minimum
include the CLIN. If the description or the minimum CLIN information is missing, the SF270
and SF-PPR will be rejected.
Example:
CLIN 0001 / Base
22SEP23 – 21SEP24
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$100,000.00
Funding must be separated as specified on the Award document. Sub-CLINs that specify “for
funding only” (e.g., numbered 000101, 000102, etc.) may be rolled into the primary CLIN (e.g.,
0001) unless otherwise instructed. All others required PM approval.
The SF270 may have multiple pages. An SF270 in Excel format may be requested at: swf-cesu-
invoice@usace.army.mil, however, must be submitted in pdf format otherwise will be
rejected.
11.1.4. SF-PPR Standard Form-Performance Progress Report : The Recipient shall tailor the SF-
PPR to include, at minimum, the following information:
• Separate details by CLIN as applicable
• Achievements (must detail work during quarter associated with the invoice)
• Percent Completion
• Project Status
• Problems encountered and impact of activities and personnel on schedule.
• Anticipated work in next reporting period.
If the SF-PPR is incomplete, the SF-PPR and SF270 will be rejected.
A tailored SF-PPR form may be requested at: swf-cesu-invoice@usace.army.mil.
11.2. The Final invoice package is due no later than 90 days from final (funded/exercised) POP
end date and must include the following documents: If any of the required information below is
missing, the final invoice package will be rejected.
Final SF270
SF-PPR
Final SF425
DD882
SF428 plus attachment B (C&S if applicable)
SF298
Final Report
Forms may be requested from the district office at swf-cesu-invoice@usace.army.mil or found
at: https://www.grants.gov/forms.
[End of SOO]
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DIVISION III: General Terms and Conditions
A. Preamble
(a)Table of contents. The following General Terms and Conditions are incorporated either in full text
or by reference (as identified) into this agreement. The terms and conditions provided in full text
describe required activities for the implementation of the CA by the recipient and special attention
should be paid to these provisions. Additional requirements are included in the provisions that are
incorporated by reference and these provisions will be used when the described circumstances arise.
A copy of all the terms and conditions in full text current at the date of cooperative agreement award
can be obtained from e-cfr at https://www.ecfr.gov/current/title-2/subtitle-B/chapter-XI/subchapter-
D/part-1128/appendix-Appendix%20A%20to%20Part%201128, or upon request from the Grants
Officer.
SUBDIVISION B: GENERAL TERMS AND CONDITIONS FOR ADMINISTRATIVE
REQUIREMENTS
FMS Article I. Financial Management System Standard
FMS Article II. Payments
FMS Article III. Allowable Costs, Period of Availability of Funds, and Fee or Profit
FMS Article IV. Revision of Budget and Program Plans
FMS Article V. Non-Federal Audits
FMS Article VI. Cost Sharing or Matching
FMS Article VII. Program Income
PROP Article I. Title to Property
PROP Article II. Property Management System
PROP Article III. Use and Disposition of Real Property
PROP Article IV. Use and Disposition of Equipment and Supplies
PROP Article V. Use and Disposition of Federally Owned Property
PROP Article VI. Intangible Property
PROC Article I. Procurement Standards for States
PROC Article II. Procurement Standards for Institutions of Higher Education, Nonprofit
Organizations, Local Governments, and Indian Tribes
PROC Article III. Contract Provisions for Recipient Procurements
REP Article I. Performance Management, Monitoring, and Reporting
REP Article II. Financial Reporting
REP Article III. Reporting on Property
REP Article IV. Reporting on Subawards and Executive Compensation
OAR Article I. Submitting and Maintaining Recipient Information
OAR Article II. Records Retention and Access
OAR Article III. Remedies and Termination
OAR Article IV. Claims, Disputes, and Appeals
OAR Article V. Collection of Amounts Due
OAR Article VI. Closeout
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OAR Article VII. Post-Closeout Adjustments and Continuing Responsibilities
SUB Article I. Distinguishing Subawards and Procurements
SUBDIVISION C – GENERAL TERMS AND CONDITIONS FOR NATIONAL POLICY
REQUIREMENTS
NP Article I. Nondiscrimination national policy requirements
NP Article II. Environmental national policy requirements
NP Article III. National policy requirements concerning live organisms
NP Article IV. Other National Policy Requirements
(b) Scope. All the terms and conditions apply to this Cooperative Agreement unless identified as
“(Reserved)”.
(c) Effective date. 17January 2023
(d) English language. In accordance with 2 CFR 200.111(b) the recipient offeror must translate any
of the award content (including attachments to it and any material incorporated into the award by
reference) into another language to the extent that the recipient's compliance with the award's terms
and conditions depends upon a significant number of its employees who are not fluent in English
being able to read and comprehend that content. If the recipient does translate any award content
into another language, either as required by paragraph (d)(1) of this section or at its own initiative, the
original award content in the English language will take precedence in the event of an inconsistency
between the award requirements in the English and translated versions.
(e) Plain language.
FMS (Financial Management System)
PROP (Property)
PROC (Procurement)
REP (Reporting)
OAR (Other Administrative Requirements)
SUB (Subawards)
NB (National Policy)
B. Administrative Requirements
Financial and Program Management System Standards (FMS) (2 CFR 1128)
FMS Article I. Financial Management System Standards. (DECEMBER 2014)
Section A. System Standard for States: As a State, you must expend and account for funds under
this award in accordance with:
1. Applicable State laws; and
2. To the extent they comply with the requirements of Section B of this Article, your procedures
for expending and accounting for your own State funds.
Section B. System standards for all recipients. Your financial management system must provide
for:
1. Inclusion, in your accounts, of the following information about each DoD grant or cooperative
agreement that you receive:
a. That you received the award from DoD;
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b. The number and title listed in the Catalog of Federal Domestic Assistance for the DoD
program under which the award was made;
c. The DoD award number; and
d. The year (your fiscal year) in which you received the award.
2. Accurate, current, and complete disclosure of the financial results of the award needed to
comply with financial and programmatic reporting requirements that are specified in REP Articles I
and II of these general terms and conditions, as supplemented by any award-specific terms and
conditions of this award concerning reporting requirements. If you are asked at any time under this
award to report financial information on an accrual basis, you:
a. Need not establish an accrual accounting system if you maintain your records on a different
basis; and
b. May develop the accrual data based on an analysis of the data you have on hand.
3. Records that identify adequately the sources of funds for all activities funded by DoD awards,
including any required cost sharing or matching, and the application of those funds. This includes
funding authorizations; your obligations and expenditures of the funds; unobligated balances;
property and other assets under the award; program income; and interest.
4. Effective control over, and accountability for, all funds, property, and other assets under this
award. You must adequately safeguard all assets and ensure they are used solely for authorized
purposes (see Section C of this article for additional requirements concerning internal controls).
5. Comparison of expenditures under this award for project or program purposes with
amounts in the approved budget for those purposes.
6. The ability to relate financial data to performance accomplishments under this award if you
are required to do so by the programmatic reporting requirements in REP Article I of these
general terms and conditions, as supplemented by any award- specific terms and conditions
of this award concerning reporting requirements.
7. Written procedures:
a. To implement requirements specified in FMS Article II, "Payments;"
b. For determining the allowability of costs, which for this award are determined in
accordance with FMS Article 111, "Allowable costs, period of availability of funds, and fee or
profit," of these general terms and conditions, as supplemented by any award- specific terms
and conditions of this award that relate to allowability of costs.
Section C. Internal controls. Your system of internal controls must conform to OMB guidance in 2
CFR 200.303. With respect to paragraph (e) of 2 CFR 200.303, your internal control system must
include measures to safeguard any information that Federal statute, Executive order, or regulation
requires to be protected (e.g., personally identifiable or export-controlled information), whether
generated under the award or provided to you and identified as being subject to protection.
FMS Article II. Payments (December 2014)
1. Frequency of requests. You may request payments as often as you wish unless you have been
granted a waiver from requirements to receive payments by electronic funds transfer (EFT). If you
have been granted a waiver from EFT requirements, the award-specific terms and conditions of this
award specify the frequency with which you may submit payment requests.
2. Withholding of payments. We will withhold payments for allowable costs under the
award at any time during the period of performance only if one or more of the following
applies:
a. We suspend either payments or the award, or disallow otherwise allowable costs, as a
remedy under OAR Article Ill due to your material failure to comply with Federal statutes,
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regulations, or the terms and conditions of this award. If we suspend payments and not the
award, we will release withheld payments upon your subsequent compliance. If we suspend
the award, then amounts of payments are subject to adjustment in accordance with the terms
and conditions of OAR Article Ill.
b. You are delinquent in a debt to the United States as defined in OMB Circular A-129,
"Policies for Federal Credit Programs and Non-Tax Receivables," in which case we may, after
reasonable notice, inform you that we will not make any further payments for costs you
incurred after a specified date until you correct the conditions or liquidate the indebtedness to
the Federal Government.
c. The award-specific terms and conditions of this award include additional requirements
that provide for withholding of payments based on conditions identified during our pre-award
risk evaluation, in which case you should have been notified about the nature of those
conditions and the actions needed to remove the additional requirements.
3. Depository requirements.
a. There are no eligibility requirements for depositories you use for funds you receive under this
award.
b. You are not required to deposit funds you receive under this award in a depository account
separate from accounts in which you deposit other funds. However, FMS Article I requires that
you be able to account for the receipt, obligation, and expenditure of all funds under this award.
c. You must deposit any advance payments of funds you receive under this award in
insured accounts whenever possible and, unless any of the following apply, you must
deposit them in interest-bearing accounts:
i. You receive a total of less than $120,000 per year under Federal grants and cooperative
agreements.
ii. You would not expect the best reasonably available interest-bearing account to earn
interest in excess of $500 per year on your cash balances of advance payments under
Federal grants and cooperative agreements.
iii. The best reasonably available interest-bearing account would require you to
maintain an average or minimum balance higher than it would be feasible for you to do
within your expected Federal and non-Federal cash balances.
iv. A foreign government or banking system precludes your use of interest-bearing accounts.
d. You may retain for administrative expenses up to $500 per year of interest that you earn in
the aggregate on advance payments you receive under this award and other Federal grants
and cooperative agreements. You must remit annually the rest of the interest to the
Department of Health and Human Services, Payment Management System, using the
procedures set forth in OMB guidance in 2 CFR 200.305(b)(9).
Section C. Electronic funds transfer and other payment procedural instructions or information.
1. Electronic funds transfer. Unless the award-specific terms and conditions of this award provide
otherwise, you will receive payments under this award by electronic funds transfer.
2. [Reserved)
FMS Article IV. Revision of Budget and Program Plans {DECEMBER 2014)
Section A. Approved budget. The approved budget of this award:
1. Is the most recent version of the budget that you submitted, and we approved (either at the time
of the initial award or a more recent amendment), to summarize planned expenditures for project or
program purposes.
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2. Includes all Federal funding that we make available to you under this award to use for
project or program purposes and any cost sharing or matching that you are required to provide
under this award for those same purposes
Section B. Revisions requiring prior approval.
1. Non-construction activities. You must request prior approval from us for any of the following
program or budget revisions in non- construction activities:
a. A change in the scope or objective of the project or program under this award, even if
there is no associated budget revision that requires our prior approval.
b. A change in a key person identified in the award cover pages.
c. The approved principal investigator's or project director's disengagement from the project
for more than three months, or a 25 percent reduction in his or her time devoted to the project.
d. The inclusion of direct costs that require prior approval in accordance with the applicable
cost principles, as identified in FMS Article Ill.
e. The transfer to other categories of expense of funds included in the approved budget for
participant support costs, as defined at 2 CFR 200.75.
f. A subaward to another entity under which it will perform a portion of the substantive
project or program under the award, if it was not included in the approved budget. This does
not apply to your contracts for acquisition of supplies, equipment, or general support services
you need to carry out the project or program.
g. Any change in the cost sharing or matching you provide under the award, as included in
the approved budget, for which FMS Article VI requires prior approval.
h. A transfer of funds among direct cost categories or programs, functions, and activities, if
the Federal share of the total value for your award exceeds the simplified acquisition threshold
and the cumulative amount of the transfers exceeds or is expected to exceed 10 percent of the
approved budget.
i. The need arises for additional Federal funds to complete the project or program.
2. Construction activities. You must request prior approval from us for any of the following
program or budget revisions in construction activities:
a. A change in the scope or objective of the project or program under this award, even if
there is no associated budget revision that requires our prior approval.
b. The need arises for additional Federal funds to complete the project or program.
c. The inclusion of direct costs that require prior approval in accordance with the applicable
cost principles, as identified in FMS Article Ill.
3. Funding transfers between construction and non-construction activities.
Section C. Pre-award costs, carry forward of unobligated balances, and one-time no-cost
extensions. You are authorized, without requesting prior approval from us, to:
1. Charge to this award after you receive it pre-award costs that you incurred, at your own risk,
up to 90 calendar days before the start date of the period of performance, as long as they are
costs that would be allowable charges to the project or program under the terms and conditions of
FMS Article Ill if they were incurred during the period of performance.
2. (RESERVED)
3. Initiate a one-time extension of the period of performance by up to 12 months, as long as:
a. You notify us in writing with the supporting reasons and revised end date of the period
of performance at least 10 calendar days before the current end date.
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b. The extension does not require any additional Federal funding.
c. The extension does not involve any change in the scope or objectives of the project or
program.
Section D. Procedures.
1. We will review each request you submit for prior approval for a budget or program change
and, within 30 calendar days of our receipt of your request, we will respond to you in writing to
either:
a. Notify you whether your request is approved; or
b. Inform you that we still are considering the request, in which case we will let you know when
you may expect our decision.
2. [Reserved)
FMS Article V. Non-Federal Audits (DECEMBER 2014)
Section A. Requirements for entities subject to the Single Audit Act. You and each subrecipient
under this award that is an institution of higher education, nonprofit organization, State, local
government, or Indian tribe must comply with the audit requirements specified in Subpart F of 2
CFR part 200, which is the OMB implementation of the Single Audit Act, as amended (31 U.S.C.
chapter 75).
Section B. Requirements for for-profit entities. Any for-profit entity that receives a subaward from
you under this award is subject to the audit requirements specified in 32 CFR 34.16. Your
subaward terms and conditions will require the subrecipient to provide the reports to you if it is
willing to do so, so that you can resolve audit findings that pertain specifically to your subaward
(e.g., disallowance of costs). If the for-profit entity is unwilling to agree to provide the auditor's
report to you, contact the grants officer for this award to discuss an alternative approach for
carrying out audit oversight of the subaward. If the grants officer does not provide an alternative
approach within 30 days of receiving your request, you may determine an approach to ensure the
for-profit subrecipient's compliance with the subaward terms and conditions, as described in OMB
guidance at 2 CFR 200.501(h).
FMS Article VI. Cost Sharing or Matching (DECEMBER 2014)
Section A. Required cost sharing or matching.
1. If any cost sharing or matching is required under this award, the total amount or percentage
required is shown in the award cover pages and included in the approved budget. That cost
sharing or matching includes all:
a. Cash contributions to the project or program either made by or through (if made by a third
party) you and any subrecipients.
b. Third-party in-kind contributions to the project or program.
2. You must obtain our prior approval if you wish to:
a. Change the amount or percentage of cost sharing or matching required under this award.
b. [Reserved]
Section B. Allowability as cost sharing or matching. Each cash or third party in-kind contribution
toward any cost sharing or matching required under this award, whether put forward by you or a
subrecipient under a subaward that you make, is allowable as cost sharing or matching if:
1. You (or the subrecipient, if it is a subrecipient contribution) maintain records from which one
may verify that the contribution was made to the project or program and, if it is a third-party in-
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kind contribution, its value.
2. The contribution is not counted as cost sharing or matching for any other Federal award.
3. The contribution is:
a. Allowable under the cost principles applicable to you (or the subrecipient, if it is a subrecipient
contribution) under FMS Article Ill of these terms and conditions; and
b. Allocable to the project or program and reasonable.
4. The Government does not pay for the contribution through another Federal award, unless
that award is under a program that has a Federal statute authorizing application of that
program's Federal funds to other Federal programs' cost sharing or matching requirements.
5. The value of the contribution is not reimbursed by the Federal share of this award as either a
direct or indirect cost.
6. The contribution conforms to the other terms and conditions of this award, including the
award-specific terms and conditions.
Section C. Allowability of unrecovered indirect costs as cost sharing or matching. You may use
your own or a subrecipient's unrecovered indirect costs as cost sharing or matching under this
award. Unrecovered indirect costs means the difference between the amount of indirect costs
charged to the award and the amount that you and any subrecipients could have charged in
accordance with your respective approved indirect cost rates, whether those rates are negotiated
or de minimis (as described in 2 CFR 200.414(f)).
Section D. Allowability of program income as cost sharing or matching. If FMS Article VII of these
general terms and conditions or the award- specific terms and conditions of this award specify that
you are to use some or all of the program income you earn to meet cost-sharing or matching
requirements under the award, then program income is allowable as cost sharing or matching to
the extent specified in those award terms and conditions.
Section E. Valuation of services or property that you or subrecipients contribute or donate. You
must establish values for services or property contributed or donated toward cost sharing or
matching by you or subrecipients in accordance with the provisions of this section. These
contributions or donations are distinct from third-party in-kind contributions to you or subrecipients,
which are addressed in Section F of this article.
1. Usual valuation of services or property that you or subrecipients contribute or donate. Values
established for contributions of services or property by you or a subrecipient must be the
amounts allowable in accordance with the cost principles applicable to the entity making the
contribution (i.e., you or the subrecipient), as identified in FMS Article Ill. For property, that
generally is depreciation.
2. Needed approvals for, and valuation of, property that you or subrecipients donate.
a. Types of property that may be donated.
i. Buildings or land. If the purposes of this award include construction, facilities
acquisition, or long-term use of real property, you may donate buildings or land to the
project if you obtain our prior approval. Donation of property to the project, as described in
PROP Article I, means counting the value of the property toward cost sharing or matching,
rather than charging depreciation.
ii. Other capital assets. If you obtain our prior approval, you may donate to the project
other capital assets identified in 2 CFR 200.439(b)(1) through (3).
b. Usual valuation of donated property. Unless you obtain our approval as described in
paragraph E.2.c of this article, the value for the donated property must be the lesser of:
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i. The value of the remaining life of the property recorded in your accounting records at the
time of donation, or
ii. The current fair market value.
c. Approval needed for alternative valuation of property. If you obtained our approval in the
approved budget, you may count as cost sharing or matching the current fair market value of the
donated property even if it exceeds the value of the remaining life of the property recorded in your
accounting records at the time of donation.
d. Federal interest in donated property. Donating buildings, land, or other property to the project,
rather than charging depreciation, results in a Federal interest in the property in accordance with
PROP Article I of these terms and conditions.
Section F. Valuation of third-party in-kind contributions.
1. General. If a third party furnishes goods or services to you or subrecipients that are to be
counted toward cost sharing or matching under this award, the entity to which the third party
furnishes the goods or services (i.e., you or a subrecipient) must document the fair market value of
those in-kind contributions and, to the extent feasible, support those values using the same methods
the entity uses internally.
2. Valuation of third-party services. You must establish values for third-party volunteer
services and services of third parties' employees furnished to you or subrecipients as follows:
a. Volunteer services. Volunteer services furnished by third-party professional and
technical personnel, consultants, and other skilled and unskilled labor must be valued in
accordance with 2 CFR 200.306(e).
b. Services of third parties' employees. When a third-party organization furnishes the
services of its employees to you or a subrecipient, values for the contributions must be
established in accordance with 2 CFR 200.306(f).
c. Additional requirement for donations to nonprofit organizations. For volunteer services or
services of third parties' employees furnished to a nonprofit organization:
i. OMB guidance in 2 CFR 200.434(e) also applies and may require the nonprofit
organization to allocate a proportionate share of its applicable indirect costs to the
donated services.
ii. The indirect costs that the nonprofit organization allocates to the donated services in
that case must be considered project costs and may be either reimbursed under the
award or counted toward required cost sharing or matching, but not both.
3. Valuation of third-party property. You must establish values for third-party property furnished to
you or subrecipients as follows:
a. Supplies donated by third parties. When a third-party organization donates supplies (e.g.,
office, laboratory, workshop, or classroom supplies), the value that may be counted toward
cost sharing or matching may not exceed the fair market value of the supplies at the time of
donation.
b. Equipment, buildings, or land donated by third parties.
i. The value of third-party donations of equipment, buildings, or land that may be counted
toward cost sharing or matching when the third party transferred title to you or a
subrecipient depends on the purpose of the award in accordance with the following:
(A) If one of the purposes of the award is to assist you or the subrecipient in the
acquisition of equipment, buildings, or land, you may count the aggregate fair market
value of the donated property toward cost sharing or matching.
(B) If the award's purposes instead include only the support of activities that require the
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use of equipment, buildings, or land, you may only charge depreciation unless you obtain
our prior approval to count as cost sharing or matching the fair market value of equipment
or other capital assets and fair rental charges for land.
ii. The values of the donated property must be determined in accordance with the usual
accounting policies of the entity to which the third party transferred title to the property, with
the qualifications specified in 2 CFR 200.306(i)(1) and (2) for donated land and buildings
and donated equipment, respectively.
c. Use of space donated by third parties. If a third party makes space available for use by
you or a subrecipient, the value that you may count toward cost sharing or matching may
not exceed the fair rental value of comparable space as established by an independent
appraisal, as described in 2 CFR 200.306(i)(3).
d. Equipment loaned by third parties. If a third party loans equipment for use by you or
a subrecipient, the value that you may count toward cost sharing or matching may not
exceed its fair rental value.
FMS Article VII. Program Income {December 2014)
Section A. Definition. The term "program income" as used in this award:
1. Is gross income that:
a. You earn that is directly generated by a supported activity or earned as a result of
this award; or
b. A subrecipient earns as a result of a subaward you make under this award.
2. Includes, but is not limited to, income earned under this award from:
a. Fees for services performed;
b. The use or rental of real or personal property acquired under any Federal award and
currently administered under this award;
c. The sale of commodities or items fabricated under this award;
d. License fees and royalties on patents and copyrights; and
e. Payments of principal and interest on loans made with Federal award funds.
3. Does not include for purposes of this award any:
a. Interest earned on advance payments, disposition of which is addressed in FMS
Article II;
b. Proceeds from the sale of real property, equipment or supplies, which is addressed in
PROP Articles Ill and IV;
c. Rebates, credits, discounts, and interest earned on any of them; and
d. Governmental revenues, including any taxes, special assessments, levies, fines and
similar revenues you raise.
Section B. Encouragement to earn program income. You are encouraged to earn program income
under this award when doing so does not interfere with the program or project the award supports.
Section C. Costs of generating program income. You may deduct costs incidental to the
generation of program income from the amount that you use in accordance with Section E of this
Article, as long as those costs are not charged to this award (which includes their being counted
toward any cost sharing or matching you are required to provide).
Section D. License fees and royalties. You have no obligations to the Federal Government with
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respect to program income earned under this award from license fees and royalties for patents or
patent applications, copyrights, trademarks, or inventions developed or produced under the
award.
Section E. Use of program income.
1. You must use any program income that you earn during the period of performance under this
award to increase the amount of the award (the sum of the Federal share and any cost sharing or
matching you are required to provide), thereby increasing the amount budgeted for the project. The
program income must be used for the purposes and under the terms and conditions of the award.
2. Your use of the additional funding is subject to the terms and conditions of this award, including:
a. FMS Article II concerning your use of balances of program income before you request
additional funds from us; and
b. FMS Article Ill concerning allowability of costs for which the funds may be used.
3. You must report on each Federal Financial Report (SF-425) that you submit in accordance
with REP Article II the program income that you earn and any that you use during the reporting
period covered by that SF-425.
Section F. Duration of accountability for program income. The requirements concerning
disposition of program income in Section E of this Article apply only to program income you earn
during the period of performance. There are no requirements under this award applicable to
program income you earn after the end of the period of performance.
Property Administration PROP (2 CFR 1130)
PROP Article I. Title to Property. (December 2014)
Section A. Title to property acquired under this award.
1. General. Other than any property identified in paragraph A.2 of this section as exempt property:
a. Title to real property, equipment, and supplies that you acquire (whether by purchase,
construction or fabrication, development, or otherwise) and charge as direct project costs
under this award vests in you, the recipient. Title to intangible property that you acquire (other
than by developing or producing it) under this award also vests in you.
b. That title is a conditional title, subject to the terms and conditions in PROP Articles II-IV,
Section D of PROP Article VI, and REP Article Ill of this award.
c. There is a Federal interest in the property, other than intangible property that you develop
or produce under the award. For real property, equipment, and intangible property, we retain
this Federal interest until final disposition of the property under PROP Article Ill (for real
property), PROP Article IV (for equipment and supplies), or Section D of PROP Article VI (for
intangible property that is acquired, other than by developing or producing it), a period that in
some cases may extend beyond closeout of this award.
2. Exempt property. [Reserved]
Section B. Property trust relationship.
1. Basic requirement. Other than intangible property that you develop or produce under
the award, you hold any real property, equipment, or intangible property that you acquire or
improve under this award in trust for the beneficiaries of the project or program that you are
carrying out under the award.
2. Notices of record. [Reserved]
Section C. Federally owned property. Title to any federally owned property that we provide to you
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under this award (or for which accountability is transferred to this award from another Federal
award) remains with the Federal Government.
Section D. Federal interest in donated real property or equipment. If real property or
equipment is acquired under this award through your donation of the property to the
project or program (i.e., counting the value of the remaining life of the property recorded
in your accounting records or the fair market value as permitted under FMS Article VI of
this award as part of your share of project costs to meet any cost sharing or matching
requirements, rather than charging depreciation):
1. The Federal Government acquires through that donation an interest in the real
property or equipment, the value of which at any given time is the product of:
a. The Federal share of the project costs under this award; and
b. The current fair market value of the property at that time.
2. The real property or equipment is subject to Section B of this article and the terms
and conditions of PROP Articles II-IV and REP Article Ill that are applicable to
property acquired under the award.
3. The Federal interest in the real property or equipment must be addressed at the time of
property disposition.
Section E. Federal interest in property improved under the award.
1. The Federal Government has an interest in improvements (as distinct from ordinary
repairs and maintenance) you make to an item of real property or equipment if you
charge the costs of the improvements as direct costs to this award.
2. We thereby acquire an interest in the property if the Government did not
previously have one. If the Government already had an interest in the property,
the value of that Federal interest in the property increases by the amount of the
Federal interest in the improvements.
3. The property is subject to Section B of this article and the terms and conditions of
PROP Articles II-IV and REP Article Ill that are applicable to real property or
equipment acquired under the award.
4. The Federal interest must be addressed at the time of property disposition.
PROP Article II. Property Management System. (December 2014)
Section A. Insurance coverage for real property and equipment. You must, at a minimum,
provide the equivalent insurance coverage for real property and equipment acquired or improved
under this award as you provide for real property and equipment that you own.
Section B. Other property management system standards for a State.
1. Equipment. Your property management system for equipment acquired or improved in whole
or in part under this award must be in accordance with your State laws and procedures.
2. Federally owned property. You may use your own property management system for any
federally owned property for which you are accountable, as long as it meets the following
minimum standards:
a. Records. Your records must include for each item of federally owned property:
i. A description of the item.
ii. The location of the item.
iii. The serial or other identification number.
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iv. Which Federal agency holds title.
v. The date you received the item.
vi. Any data on the ultimate disposition of the item, such as the date of disposal.
vii. The Federal award identification number of the award under which you are
accountable for the item.
b. Inventory. You must take a physical inventory of federally owned property annually.
c. Control system. You must:
i. Maintain an internal property control system with adequate safeguards
to prevent loss, damage, or theft of federally owned property.
ii. Investigate any loss, damage, or theft of federally owned property and promptly
notify the award administration office.
d. Maintenance. You must maintain the property in good condition.
Section C. Other property management system standards for an institution of higher education,
nonprofit organization, local government, or Indian tribe. Your procedures for managing equipment
(including replacement equipment) acquired or improved in whole or in part under this award and
any federally owned property for which you are accountable under this award must, as a minimum,
meet the requirements in this section.
1. Records. You must maintain records that include for each item of equipment or federally owned
property:
a. A description of the item.
b. The serial or other identification number.
c. Who holds title (e.g., you or the Federal Government and, if the latter, which Federal
agency).
d. The source of funding for the equipment, including the Federal award
identification number, or the source of the federally owned property,
including the award number of the award under which you are accountable
for the property.
e. The acquisition date and cost of the equipment (or improvement to the
equipment) or the date you received the federally owned property.
f. The location, use, and condition of the equipment or federally owned property.
g. Information from which one can calculate the amount of the Federal interest in
the acquisition or improvement of the item (this amount is zero after you
compensate us for the Federal interest in the item or improvement).
h. Any data on the ultimate disposition of the item including the date of disposal and
sale price.
2. Labelling. You must ensure that property owned by the Federal Government is labeled to
identify it as federally owned property.
3. Inventory.
a. You must take a physical inventory of equipment in which there is a Federal
interest and reconcile the results with your records at least once every 2 years.
b. You must take an annual inventory of any federally owned property for which you are
accountable under this award.
4. Control system. You must:
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a. Maintain an internal property control system with adequate safeguards to
prevent loss, damage, or theft of equipment and federally owned property.
b. Investigate any loss, damage, or theft and notify the award administration
office if it involved equipment in which there is a Federal interest under the
award or federally owned property.
5. Maintenance. You must maintain equipment acquired or improved in whole or in part
under the award and federally owned property in good condition.
PROP Article Ill. Use and Disposition of Real Property. (December 2014)
Section A. Use of real property.
1. You must use real property acquired or improved under this award for the originally
authorized purpose as long as needed for that purpose. During that time, you may
not:
a. Dispose of the property except, with the approval of the award administration
office, to acquire replacement property under this award, in which case you must
use the proceeds from the disposition as an offset to the cost of the replacement
property; or
b. Encumber the title or other interests in the property without the approval of the
award administration office identified in this award.
2. During the time that the real property is used for the originally authorized purpose,
you may make the property available for use on other projects or programs, but
only if that use will not interfere with the property's use as needed for its originally
authorized purpose.
a. First preference must be given to other projects or programs supported by DoD
Components and second preference to those supported by other Federal
agencies.
b. Third preference is for other projects or programs not currently supported by the
Federal Government. You should charge user fees for use of the property in
those cases, if it is at all practicable.
3. When the real property is no longer needed for the originally authorized purpose,
with the written approval of the award administration office, you may delay final
disposition of the property to use it on other federally sponsored projects or
programs. A condition for the award administration office's approval is that the other
projects or programs have purposes consistent with those authorized for support by
the DoD Component that made the award under which the property was acquired or
improved.
Section B. Disposition of real property. When you no longer need real property for the originally
authorized purpose, you must obtain disposition instructions from the award administration office,
except as provided in paragraph A.3 of this article. Those instructions will provide for one of the
following three alternatives, which are that you:
1. Retain title after compensating us for the Federal interest in the property, which is
to be computed as specified in the definition of "Federal interest."
2. Sell the property and compensate us for the Federal interest in the property, as described
in 2 CFR 200.311(c)(2).
3. Transfer title to us or a third party we designate, as described in 2 CFR 200.311(c)(3).
PROP Article IV. Use and Disposition of Equipment and Supplies. {December 2014)
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Section A. Property subject to this article. This article specifies requirements for use and
disposition of equipment and supplies. If a provision of PROP Article I identifies any type of
equipment or supplies as exempt property, requirements of this Article apply to that exempt
property only to the extent specified in that provision of PROP Article I or an award-specific term
or condition. The types of non-exempt property to which this article applies are:
1. Supplies that you acquire either by purchase or by donation as cost sharing or matching under
this award; and
2. Equipment for which title is vested conditionally in you. That includes equipment with a
conditional title resulting from your having, either under this award or under a previous award from
which you transferred accountability for the equipment to this award:
a. Directly charged as project costs, in whole or in part, the acquisition (by purchase,
construction or fabrication, or development) of equipment;
b. Donated the equipment to the project or program by counting the value of the
remaining life of the property recorded in your accounting records or the fair
market value toward any cost sharing or matching requirements under the
award, rather than charging depreciation (see PROP Article I, Section D); or
c. Directly charged as project costs improvements to the equipment that meet the
criteria given in paragraph E.1 of PROP Article I.
Section B. Requirements for a State's use and disposition of equipment. You:
1. Must use the equipment for the authorized purposes of the project or program
during the period of performance, or until the property is no longer needed for
those purposes.
2. May not encumber the property without the prior written approval of the award
administration office.
3. Must use and dispose of the equipment in accordance with your State laws and
procedures.
Section C. Use of equipment by an institution of higher education, nonprofit organization, local
government, or Indian tribe. You:
1. Must use the equipment for the authorized purposes of the project or program
under this award until the equipment is no longer needed for those purposes,
whether or not the project or program continues to be supported by this award.
2. May not encumber the equipment without the prior written approval of the award
administration office.
3. During the time that the equipment is used for the project or program under this award:
a. You must make the equipment available for use on other projects or
programs but only if that use will not interfere with the equipment's use as
needed for the project or program supported by this award.
i. First preference must be given to other projects or programs supported or
previously supported by DoD Components
ii. Second preference to projects or programs supported or previously supported by
other Federal agencies.
iii. Third preference is for other projects or programs not supported by the Federal
Government. You should charge user fees for use of the equipment in those
cases, if it is at all practicable.
b. You may use the equipment, if you need to acquire replacement equipment,
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as a trade-in or sell it (using sales procedures designed to ensure the highest
possible return) and use the proceeds from the sale to offset the cost of the
replacement equipment.
4. When the equipment is no longer needed for the project or program under this
award, you may defer final disposition of the equipment and continue to use it on
other federally sponsored projects or programs. You must give first priority to other
projects or programs supported by DoD Components.
5. Notwithstanding the encouragement in FMS Article VII to earn program income, you
may not use equipment in which there currently is a Federal interest - whether you
acquired it under this award or are otherwise accountable for it under this award - to
provide services for a fee that is less than private companies charge for equivalent
services.
Section D. Disposition of equipment by an institution of higher education, nonprofit
organization, local government, or Indian tribe. You must request disposition instructions
from the award administration office when either original or replacement equipment
acquired under this award with a current fair market value that exceeds $5,000 is no
longer needed for the original project or program or for other federally sponsored
activities as described in paragraph C.4 of this article. For each item of equipment with a
current fair market value of $5,000 or less, you may retain, sell, or otherwise dispose of
the item with no further obligation to the Federal Government.
1. We may issue disposition instructions that:
a. Allow you to retain or sell any item of equipment after compensating us for the
Federal interest in the property, which is to be computed as specified in the
definition of "Federal interest;" or
b. Require you to transfer title to the equipment to a Federal agency or a third
party, in which case you are entitled to compensation from us for the non-
Federal interest in the equipment, plus any reasonable shipping or interim
storage costs incurred.
2. If we fail to provide disposition instructions for any item of equipment within 120
calendar days of receiving your request, you may retain or sell the equipment, but
you must compensate us for the amount of the Federal interest in the equipment.
3. If you sell the equipment:
a. You must use sales procedures designed to ensure the highest possible return; and
b. You may deduct and retain for selling and handling expenses either $500 or ten
percent of the proceeds, whichever is less.
Section E. Use and disposition of supplies acquired under this award.
1. Use. As long as we retain a Federal interest in supplies acquired under this award
either by purchase or by donation as cost sharing or matching, you may not use the
supplies to provide services to other organizations for a fee that is less than private
companies charge for equivalent services, notwithstanding the encouragement in
FMS Article VII to earn program income.
2. Disposition. If you have a residual inventory of unused supplies with aggregate
value exceeding $5,000 at the end of the period of performance under this award,
and the supplies are not needed for any other Federal award, you must retain the
supplies or sell them but must in either case compensate us for the amount of the
Federal interest in the supplies. You may deduct and retain for selling and handling
expenses either $500 or ten percent of the proceeds, whichever is less.
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PROP Article V. Use and Disposition of Federally Owned Property. (December 2014)
Section A. Use. During the time that federally owned property for which you are accountable under
this award is used for the project or program supported by the award, you:
1. Also may make the property available for use on other federally supported projects or programs,
but only if that use will not interfere with the property's use for the project or program supported by
this award. You must give first priority to other projects or programs supported by DoD Components.
2. May use the property for purposes other than federally supported projects or programs only
with the prior approval of the awarding office or, if you request approval after the award is made, the
award administration office.
Section B. Disposition. You must request disposition instructions from the award administration
office for any federally owned property under this award, including any property for which a
subrecipient is accountable under a subaward you make under this award, either:
1. At any time during the period of performance if the property is no longer needed for the
project or program supported by this award; or
2. At the end of the period of performance.
PROP Article VI. Intangible Property. (December 2014)
Section A. Assertion of copyright.
1. You may assert copyright in any work that is eligible for copyright protection if you acquire
ownership of it under this award, either by developing it or otherwise.
2. With respect to any work, you developed or otherwise acquired under this award, DoD
reserves a royalty-free, nonexclusive and irrevocable license to:
a. Reproduce, publish, or otherwise use the work for Federal Government purposes; and
b. Authorize others to reproduce, publish, or otherwise use the work for Federal
Government purposes.
Section B. Inventions developed under the award.
1. Applicability of Governmentwide clause for research awards. You must comply with the
Governmentwide patent rights award clause published at 37 CFR 401.14, with the modifications
described in paragraph B.2 of this section. DoD adopts that Governmentwide clause for the
following entities, thereby broadening the applicability beyond types of entities included in the
definition of "contractor" in 37 CFR part 401:
a. Any governmental or nonprofit entity (the types of entities subject to these
general terms and conditions) receiving a DoD award for the performance of
experimental, research, or developmental work;
b. Any governmental, nonprofit, or for-profit entity receiving a subaward to perform
experimental, research, or developmental work under an award described in
paragraph B.1.a of this section.
2. Modifications to the wording of the Governmentwide clause. DoD adopts the
Governmentwide clause at 37 CFR 401.14, as described in paragraph B.1 of this section,
with the following modifications:
a. Terminology. Throughout the Governmentwide clause:
i. Insert the terms "recipient" and "subrecipient (or contractor to the
recipient or to a subrecipient)" to replace the terms "contractor" and
"subcontractor," respectively.
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ii. Insert the terms "award" and "subaward (or contract under either the
award or a subaward)" to replace the terms "contract" and
"subcontract;' respectively.
b. Final report. Add a new subparagraph (f)(S) to read, 'The recipient must submit a
final report listing all subject inventions made under the award or stating that
there were none. The final report is due 90 calendar days after the end date of
the period of performance unless you request, and we grant, an extension of the
due date."
c. Broadening applicability to all entities. Delete paragraphs (g)(2) and (3) of the
Governmentwide clause, redesignate paragraph (g)(1) as paragraph (g) and
delete the phrase "to be performed by a small business firm or domestic
nonprofit organization" from paragraph (g) as redesignated.
Section C. Data produced under the award.
1. Data in general. The Federal Government has the right to:
a. Obtain, reproduce, publish, or otherwise use the data produced under this award; and
b. Authorize others to receive, reproduce, publish, or otherwise use the data
produced under this award for Federal Government purposes.
2. Research data requested under the Freedom of Information Act (FOIA).
a. If we receive a request under the FOIA for "research data" that are related to
"published research findings" produced under this award and that were "used by
the Federal Government in developing an agency action that has the force and
effect of law,'' you must provide the data to us within a reasonable time after we
request it from you, so that the data can be made available to the public through
procedures established under the FOIA.
b. For purposes of the requirement in paragraph C.2.a of this section, 2 CFR
200.31 S(e) provides definitions of the phrases "published research findings,''
"used by the Federal Government in developing an agency action that has the
force and effect of law,'' and "research data."
Section D. Use and disposition of intangible property acquired, but not developed or produced, under
the award.
1. Applicability. This section applies to a patent, patent application, copyright, or other
intangible property acquired, but not developed or produced, under this award.
2. Use. You:
a. Must use the intangible property for the authorized purpose under this award
until the intangible property is no longer needed for that purpose, whether or
not that purpose is still being supported by this award.
b. May not encumber the intangible property without the prior written approval of the
award administration office.
3. Disposition. When the intangible property is no longer needed for the originally
authorized purpose, you must contact the award administration office to arrange
for disposition in accordance with the procedures specified for disposition of
equipment in either section B or D of PROP Article IV, as applicable.
Recipient Procurement Procedures (PROC) (2 CFR 1132)
PROC Article I. Procurement Standards for States. (December 2014)
Section A. Use of State procurement system. Subject only to the conditions in Sections B
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through D of this article, you must use the same policies and procedures to procure supplies,
equipment, real property, and services under this award that you use when you procure those
items for State purposes using non-Federal funds.
Section B. Procurement of recovered materials. You must comply with the Resource Conservation
and Recovery Act requirements described in OMB guidance in 2 CFR 200.322.
Section C. Debarment and suspension. You must comply with restrictions on awarding procurement
transactions to excluded or disqualified parties and other requirements specified by OMB guidelines
on nonprocurement debarment and suspension at 2 CFR part 180, as implemented by DoD at 2
CFR part 1125.
Section D. Contract provisions. You must include provisions in your procurement transactions under
this award to require the contractors' compliance with the requirements specified in PROC Article Ill,
as applicable.
PROC Article II. Procurement Standards for Institutions of Higher Education, Nonprofit
Organizations, Local Governments, and Indian Tribes. (December 2014)
Section A. General procurement standards.
1. For procurement under this award, you must comply with the following paragraphs of
OMB guidance in 2 CFR 200.318:
a. 200.318(a) concerning documented procurement procedures;
b. 200.37 8(b) concerning oversight of contractors;
c. 200.318(c) concerning standards of conduct and conflicts of interest;
d. 2 CFR 200.318(d) concerning purchases of unnecessary or duplicative items;
e. 200.318(e) concerning intergovernmental or inter-entity agreements;
f. 200.318(g) concerning value engineering;
g. 200.318(i) concerning procurement records;
h. 200.3180) concerning time and material type contracts; and
i. 200.318(k) concerning settlement of issues arising out of procurements.
2. You must do business only with responsible contractors who are able to perform, as
described in OMB guidance in 2 CFR 200.318(h). Related to that, you must comply
with restrictions on awarding procurement transactions to excluded or disqualified
parties and other requirements specified by OMB guidelines on nonprocurement
debarment and suspension at 2 CFR part 180, as implemented by DoD at 2 CFR
part 1125.
Section B. Competition. You must award procurement transactions under this DoD award in
accordance with the competition requirements described in OMB guidance in 2 CFR 200.319.
Section C. Procurement methods. You must award procurement transactions under this award
using methods described in OMB guidance in 2 CFR 200.320.
Section D. Contracting with small and minority businesses, womens business enterprises, and labor
surplus area firms. You must take the affirmative steps described in OMB guidance in 2 CFR 200.321
when awarding procurement transactions under this award.
Section E. Contract cost and price. When awarding a contract under this award, you must follow
the procedures related to costs and price that are described in OMB guidance in 2 CFR 200.323,
using the applicable cost principles specified in FMS Article Ill.
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Section F. Contract provisions. You must include provisions in your procurement transactions
under this award to require the contractors' compliance with the requirements of PROC Article
111, as applicable.
Section G. Procurement of recovered materials. If you are a political subdivision of a State, you
must comply with the Resource Conservation and Recovery Act requirements described in OMB
guidance in 2 CFR 200.322.
Section H. Review of procurement documents. Upon our request, you must make available:
1. Technical specifications on proposed procurements, as described in 2 CFR 200.324(a).
2. Pre-procurement documents for our review, as described in 2 CFR 200.324(b) unless you are
exempt from that requirement under 2 CFR 200.324(c).
Section I. Bonding requirements. If you award a construction or facility improvement contract
under this award with a value in excess of the simplified acquisition threshold, you must comply
with at least the minimum requirements for bidders' bid guarantees and contractors' performance
and payment bonds described in 2 CFR 200.325(a) through (c), unless a provision in the award-
specific terms and conditions of this award excepts you from the requirement based on our
determination that your bonding policy and requirements are adequate to protect Federal interests.
PROC Article Ill. Contract Provisions for Recipient Procurements. (December 2014)
Section A. Contract provisions for administrative requirements.
1. Remedies. In any contract under this award for an amount in excess of the simplified
acquisition threshold, you must provide for administrative, contractual, or legal remedies, including
any appropriate sanctions and penalties, when the contractor violates or breaches the contract
terms.
2. Termination. In any contract for an amount in excess of $10,000, you must specify conditions
under which you may terminate the contract for cause or convenience; the procedures for
termination; and the basis to be used for settlement.
3. Allowable costs under cost-type contracts. In any cost-type contract with an entity, you must
include a clause to permit the entity to charge to the contract only costs that are allowable under
the cost principles that FMS Article Ill identifies as applicable to that type of entity, as
supplemented by any award-specific terms and conditions related to allowability of costs that are
included in this award. Your contract clause may permit the contractor to use its own cost
principles in determining the allowability of its costs charged to the contract, as long as its cost
principles comply with those Federal cost principles supplemented by any award- specific terms
and conditions of this award.
4. Rights in copyright and data. You must include in each contract under this award a provision
requiring that the contractor:
a. Grant the Federal Government a royalty-free, nonexclusive and irrevocable right to:
i. Reproduce, publish, or otherwise use for Federal purposes any work that is
subject to copyright and that the contractor develops, or acquires ownership
of, under this award;
ii. Authorize others to reproduce, publish, or otherwise use such work for Federal
purposes; and
b. Grant the Federal Government the right to:
i. Obtain, reproduce, publish, or otherwise use data produced under this award;
ii. Authorize others to receive, reproduce, publish, or otherwise use such data for
Federal purposes; and
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c. Include the Federal Government rights described in subparagraphs 4.a. and 4.b. of
this section in any subcontracts.
5. Access to records.
a. In any negotiated, cost-type or time and materials contract for an amount in
excess of the simplified acquisition threshold, you must provide for access to any
of the contractor's books, documents, papers, and records that are directly
pertinent to that contract to enable and support audits, examinations, excerpts,
and transcriptions. The contract provision must provide access to those records
for all of the following and their duly authorized representatives:
i. You;
ii. Us as the Federal awarding agency, including our Inspector General; and
iii. The Comptroller General of the United States.
b. In any audit services contract for performance of an audit required by the Single
Audit Act, as implemented by OMB in Subpart F of 2 CFR part 200, you must
provide for the access to audit documentation described in 2 CFR 200.517(b).
6. Records retention.
a. In any negotiated, cost-type or time and materials contract for an amount in
excess of the simplified acquisition threshold, you must provide for retention of all
records that are directly pertinent to that contract for 3 years after you make final
payment and all pending matters are closed.
b. In any audit services contract for performance of an audit required by the Single
Audit Act, as implemented by OMB in Subpart F of 2 CFR part 200, you must
provide for the retention of audit documentation described in 2 CFR 200.517(a).
7. Reporting. In any contract awarded under this award, you must include any provision
for the contractor's reporting to you that may be needed in order for you to meet your
requirements under this award to report to us.
Section B. Contract provisions for national policy requirements.
1. Equal employment opportunity. You must include the clause provided in 41 CFR 60-1.4(b) in
any "federally assisted construction contract" (as defined in 41 CFR 60-1.3) under this award,
unless provisions of 41 CFR part 60-1 exempt the contract from the requirement.
2. Wage Rate Requirements (Construction), formerly the Davis-Bacon Act. With respect to each
construction contract for more than $2,000 to be awarded using funding provided under this award,
you must:
a. Place in the solicitation under which the contract will be awarded a copy of the
current prevailing wage determination issued by the Department of Labor;
b. Condition the decision to award the contract upon the contractor's acceptance of
that prevailing wage determination;
c. Include in the contract the clauses specified at 29 CFR 5.5(a) in Department of
Labor regulations at 29 CFR part 5, "Labor Standards Provisions Applicable to
Contracts Governing Federally Financed and Assisted Construction," to require
the contractor's compliance with the Wage Rate Requirements (Construction), as
amended (40 U.S.C. 3141-44, 3146, and 3147); and
d. Report all suspected or reported violations to the award administration office
identified in this award.
3. Copeland Act prohibition on kickbacks. In each contract under this award that is subject to the
Wage Rate requirements in paragraph 2 of these provisions, you must:
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a. Include a provision requiring the contractor to comply with the anti-kickback
provisions of the Copeland Act (18 U.S.C. 874 and 40 U.S.C. 3145), as
supplemented by Department of Labor regulations at 29 CFR part 3, "Contractors
and Subcontractors on Public Building or Public Work Financed in Whole or in
Part by Loans or Grants from the United States."
b. Report all suspected or reported violations to the award administration office
identified in the award notice cover sheet of this award.
4. Contract Work Hours and Safety Standards Act for work involving mechanics or laborers. In
each contract for an amount greater than $100,000 that involves the employment of mechanics or
laborers and is not a type of contract excepted under 40 U.S.C. 3701, you must include the clauses
specified in Department of Labor (DoL) regulations at 29 CFR 5.5(b) to require use of wage
standards that comply with the Contract Work Hours and Safety Standards Act (40 CFR, Subtitle II,
Part A, Chapter 37), as implemented by DoL at 29 CFR part 5, "Labor Standards Provisions
Applicable to Contracts Governing Federally Financed and Assisted Construction."
5. Patents and inventions. If you procure the services of a nonprofit organization, small business
firm, or other entity for the performance of experimental, developmental or research work, you
must include in the contract the clause prescribed in Section B of PROP Article VI to establish
contractual requirements regarding subject inventions resulting from the contract and provide for
Federal Government rights in those inventions.
6. Clean air and water requirements. You must:
a. In each contract for an amount greater than $150,000 under this award, include
a clause requiring the contractor to comply with applicable provisions of the Clean
Air Act (42 U.S.C. 7401-7671 q), Federal Water Pollution Control Act (33 U.S.C.
1251- 1387), and standards, orders, or regulations issued under those acts; and
b. Report any violations of the Acts, standards, orders, or regulations to both the
award administration office identified in this award and the appropriate regional
office of the Environmental Protection Agency.
7. Nonprocurement suspension and debarment. Unless you have an alternate method for
requiring the contractor's compliance, you must include a clause in each contract for an amount
equal to or greater than $25,000 for other than federally required audit services and in each
contract for federally required audit services regardless of dollar value to require the contractor to
comply with
OMB guidance on nonprocurement suspension and debarment in 2 CFR part 180, as implemented by
DoD regulations at 2 CFR part 1125.
8. Byrd Amendment anti-lobbying requirements. In each contract for an amount exceeding
$100,000, you must include a clause requiring the contractor to submit to you the certification
and any disclosure forms regarding lobbying that are required under 31 U.S.C. 3152, as
implemented by the DoD at 32 CFR part 28.
9. Purchase of recovered materials by States or political subdivisions of States. In each contract
under which the contractor may purchase items designated in Environmental Protection Agency
(EPA) regulations in 40 CFR part 247, subpart B, you must include a clause requiring the contractor
to comply with applicable requirements in those EPA regulations, which implement Section 6002 of
the Resource Conservation and Recovery Act of 1976, as amended (42 U.S.C. 6962).
10. Fly America requirements. In each contract under which funds provided under this award
might be used for international air travel for the transportation of people or property, you must
include a clause requiring the contractor to:
a. Comply with the International Air Transportation Fair Competitive Practices Act of
1974 (49 U.S.C. 40118, also known as the "Fly America" Act), as implemented at
41 CFR 301-10.131 through 301-10.143. The statute and regulations provide that
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U.S. Government-financed international air travel of passengers and
transportation of personal effects or property must use a U.S.
Flag air carrier or be performed under a cost-sharing arrangement with a U.S. carrier,
if such service is available; and
b. Include the requirements of the Fly America Act in all subcontracts that might involve
international air transportation.
11. Cargo preference for United States flag vessels. In each contract under which
equipment, material, or commodities may be shipped by oceangoing vessels, you
must include the clause specified in Department of Transportation regulations at 46
CFR 381.7(b) to require that at least 50 percent of equipment, materials or
commodities purchased or otherwise obtained with Federal funds under this award,
and transported by ocean vessel, be transported on privately owned U.S.-flag
commercial vessels, if available.
Financial Programmatic and Property Reporting (REP) (2 CFR 1134)
REP Article I. Performance Management, Monitoring, and Reporting. (DECEMBER 2014)
Section A. Required reporting form, format, or data elements for interim and final performance reports.
[Reserved]
Section B. Frequency, reporting periods, and due dates for interim performance reports. [Reserved]
Section C. Due date and reporting period for final performance report.
1. Due date. You must submit the final performance report under this award no later than [90
calendar days for non-construction awards other than research or 120 calendar days for
research awards] after the end date of the period of performance unless we approve an
extension of that due date as described in Section D of this article.
2. Reporting period. [Reserved]
Section D. Extensions of due dates. You may request extensions of the due dates that Sections B
and C of this Article specify for interim and final reports, respectively. You must provide the
reasons for your request and we will approve extensions that are adequately justified.
Section E. Reporting significant developments. You must report the following information to us as
soon as you become aware of it
1. Problems, delays, or adverse conditions that will materially impair your ability to meet the
objectives of this award. This disclosure must include a statement of the action taken, or
contemplated, and any assistance needed to resolve the situation.
2. Favorable developments which will enable you to meet schedules and objectives sooner or at
less cost than anticipated or produce more or different beneficial results than originally planned.
Section F. Performance reporting procedures. [Reserved]
Section G. Site visits. We reserve the right to make site visits as warranted to monitor program
performance under this award.
REP Article II. Financial Reporting. (DECEMBER 2014)
Section A. Required reporting form, format, or data elements for interim and final financial reports.
[Reserved]
Section B. Interim financial reports: Frequency, reporting periods, and due dates. [Reserved]
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Section C. Final financial report. You must submit the final financial report under this award no later
than 120 calendar days after the end date of the period of performance.
Section D. Extensions of due dates. You may request extensions of the due dates that Sections B
and C of this Article specify for interim and final reports, respectively. You must provide the
reasons for your request, and we will approve extensions that are adequately justified
Section E. Where and how to submit financial reports. [Reserved]
REP Article Ill. Reporting on Property {DECEMBER 2014)
Section A. Real property. Paragraphs A.1 through A.4 apply to real property for which you are
accountable under this award, for as long as there is a Federal interest in the property {whether that
interest is due to you or a subrecipient having acquired or improved the property under this award,
or a transfer of the accountability for the property to this award from another award).
1. Periodic status reports. You must submit periodic status reports, as follows:
a. Frequency and duration of reporting requirement. [Reserved]
b. Due dates. [Reserved]
c. Other submission instructions. [Reserved]
2. Notifications of critical changes. You must notify the award administration office of
any critical change in the status of real property as soon as feasible after you become
aware of it. A critical change is any event with a significant adverse impact on the
condition or value of the property, such as damage due to fire; flood, hurricane, or
other severe weather; earthquake; or accident.
3. Requests for disposition instructions. You must comply with applicable
requirements in PROP Article Ill to request disposition instructions, either
during the period of performance or at closeout.
4. Closeout accounting. You must account to the award administration office for real
property at the time of closeout of the award, as required by Section D of OAR
Article VI.
Section B. Equipment and supplies. Paragraphs B.1 through B.4 apply to equipment or
supplies for which you are accountable under this award and in which there is a Federal interest
{whether that interest is due to you or a subrecipient having acquired or improved the property
under this award, or a transfer of the accountability for the property to this award from another
award).
1. Periodic status report. There is no requirement for periodic reporting during the period of
performance.
2. Notifications of loss, damage, or theft. You must comply with applicable requirements
in PROP Article II governing your property management system to promptly notify the award
administration office of any loss, damage, or theft of equipment.
3. Requests for disposition instructions. You must comply with applicable requirements
in PROP Article IV to request disposition instructions for equipment, either during the
period of performance or at closeout.
4. Closeout accounting.
a. Equipment. You must account to the award administration office for
equipment at the time of closeout of this award, as required by Section D of
OAR Article VI.
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b. Supplies. If you have a residual inventory of unused supplies that meets the
criteria specified in paragraph E.2 of PROP Article IV, you must as part of your
closeout accounting arrange with the award administration office for the
compensation that paragraph specifies for the Federal interest in the supplies.
Section C. Federally owned property. Paragraphs C.1 through C.3 apply to federally owned
property for which you are accountable under this award.
1. Annual inventory. You must submit annually to the award administration office an inventory
of federally owned property.
2. Notifications of loss, damage, or theft. As provided in PROP Article II
governing your property management system, you must promptly notify the
award administration office of any loss, damage, or theft of federally owned
property.
3. Requests for disposition instructions. You must comply with requirements in
Section B of PROP Article V to request disposition instructions, either during the
period of performance or at closeout.
4. Closeout accounting. Your requests for disposition instructions for federally owned
property, as described in paragraph C.3 of this section, satisfy the need to account
for federally owned property at closeout (see Section D of OAR Article VI).
Section D. Intangible property. Paragraphs D.1 through D.3 apply to intangible property for which you
are accountable under this award.
1. Inventions developed under the award. You must submit all reports on subject
inventions developed under this award that are required by the modified
Governmentwide patent rights award provision specified in Section B of PROP
Article VI, which include a disclosure of each subject invention and a final report
listing all such subject inventions.
2. Copyrights and data. You are not required to submit periodic reports about data
produced under the award or about works for which you acquired ownership under
this award, either by development or otherwise, and in which copyright was
asserted. However, because of the DoD/Federal Government's rights in the works
and data that Sections A and C of PROP Article VI specify, you must
provide information about the works and data if we request it.
3. Intangible property acquired, but not developed or produced, under the award. You
must comply with requirements in Section D of PROP Article VI to request disposition
instructions for intangible property acquired, but not developed or produced, under
the award.
REP Article IV. Reporting on Subawards and Executive Compensation (DECEMBER 2014)
You must report information about subawards and executive compensation as specified in the award
provision in appendix A to 2 CFR part 170, "Reporting subaward and executive compensation
information," modified as follows:
1. To accommodate any future designation of a different Governmentwide website for reporting
subaward information, the website "http://www.fsrs.gov• cited in paragraphs a.2.i. and a.3 of the
award provision is replaced by the phrase "http://www.fsrs.gov or successor OMS-designated
website for reporting subaward information";
2. To accommodate any future designation of a different Governmentwide website for
reporting executive compensation information, the website "http://www.sam.gov• cited in
paragraph b.2.i. of the award provision is replaced by the phrase "https://www.sam.gov or
successor OMS-designated website for reporting information on total compensation"; and
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3. The reference to "Sec. _.210 of the attachment to OMB Circular A-133, 'Audits of States, Local
Governments, and Non-Profit
Organizations•' in paragraph e.3.ii of the award provision is replaced by "2 CFR 200.330, as
implemented in SUB Article I of this award".
REP Article V. Other Reporting. (Date) [Reserved]
Other Administrative Requirements (OAR) (2 CFR 1136)
OAR Article I. Submitting and Maintaining Recipient Information. (DECEMBER 2014)
Section A. System for Award Management.
1. Unless you are exempted from this requirement in accordance with OMB guidance in 2 CFR
25.110, you must maintain the currency of information about yourself in the system the Federal
Government specifies as the repository for information about its business partners (currently the
System for Award Management (SAM)).
2. You must maintain the information in that system until you submit the final financial report
required under this award or receive the final payment, whichever is later.
3. You must review and update the information at least annually after your initial registration in
the system (unless you are subject to the requirements in Section B) and more frequently if
required by changes in your information.
Section B. Reporting of Performance and Integrity Information.
1. Genera/ reporting requirement. If the total value of your currently active grants,
cooperative agreements, and procurement contracts from all Federal agencies exceeds
$10,000,000 for any period of time during the period of performance of this award, then
during that period of time you must maintain in SAM the currency of information required
by paragraph 8.2 of this section. Note that:
a. This reporting is required under section 872 of Public Law 110-417, as amended (41
U.S.C. 2313).
b. As required by section 3010 of Public Law 111-212, all performance and integrity
information posted in the designated information system on or after April 15, 2011,
except past performance reviews required for Federal procurement contracts, will
be publicly available.
c. Recipient information is submitted to the OMS-designated integrity and performance
system through the SAM, as described in paragraph 8.3 of this section. The currently
designated integrity and performance information system is the Federal Awardee
Performance and Integrity Information System (FAPIIS).
2. Proceedings about which you must report. Submit the information that the
designated information system requires about each proceeding that:
a. Is in connection with the award or performance of a grant, cooperative agreement,
or procurement contract from the Federal Government;
b. Reached its final disposition during the most recent 5-year period; and
c. Is one of the following:
i. A criminal proceeding that resulted in a conviction, as defined in paragraph B.5. of
this section;
ii. A civil proceeding that resulted in a finding of fault and liability and payment of a
monetary fine, penalty, reimbursement, restitution, or damages of $5,000 or
more;
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iii. An administrative proceeding, as defined in paragraph B.5. of this section, that
resulted in a finding of fault and liability and your payment of either monetary
fine or penalty of $5,000 or more or a reimbursement, restitution, or damages
in excess of $100,000; or
iv. Any other criminal. civil, or administrative proceeding if:
(A) It could have led to an outcome described in paragraph B.2.c.i, ii, or iii of this
section;
(B) It had a different disposition arrived at by consent or compromise with an
acknowledgment of fault on your part; and
(C) The requirement in this section to disclose information about the
proceeding does not conflict with applicable laws and regulations.
3. Reporting procedures. Submit the information required in paragraph B.2 of this section to
the Entity Management functional area of the SAM.
a. Current procedures are to submit the information as part of the maintenance of your
information in the SAM that Section A of this article requires.
b. You do not need to submit the information again under this award if you already
reported current information to the SAM under another Federal grant, cooperative
agreement, or procurement contract.
4. Reporting frequency. During any period of time when you are subject to the requirement
in paragraph B.1 of this section, you must report to SAM at least semiannually following
your initial report of any information required in paragraph B.2 of this section, either to
provide new information not reported previously or affirm that there is no new information
to report.
5. Definitions. For purposes of this section:
a. Administrative proceeding means a non-judicial process that is adjudicatory in nature
in order to make a determination of fault or liability (e.g., Securities and Exchange
Commission Administrative proceedings, Civilian Board of Contract Appeals
proceedings, and Armed Services Board of Contract Appeals proceedings). This
includes proceedings at the Federal and State level but only in connection with
performance of a Federal contract, grant, or cooperative agreement. It does not
include audits, site visits, corrective plans, or inspection of deliverables.
b. Conviction means a judgment or conviction of a criminal offense by any court of
competent jurisdiction, whether entered upon a verdict or a plea, and includes a
conviction entered upon a plea of nolo contendere.
c. Total value of currently active grants, cooperative agreements, and procurement
contracts includes:
i. Only the Federal share of the funding under any Federal agency award with a
recipient cost share or match; and
ii. The value of all expected funding increments and options, even if not yet exercised,
under each Federal agency award.
Section C. Disclosure of evidence of integrity-related issues.
1. Disclosure requirement. At any time during the period of performance of this award, if you
have evidence that a covered person committed a covered action (see paragraphs C.2
and C.3 of this section) that may affect this award, you must disclose the evidence in
writing to the Office of the Inspector General, DoD, with a copy to the grants officer
identified in the award cover pages.
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2. Covered person. As the term is used in this section, "covered person" means a
principal, employee, or agent of either you or a subrecipient under this award,
where:
a. "Principal" means:
i. An officer, director, owner, partner, principal investigator, or other person with
management or supervisory responsibilities that relate to this award; or
ii. A consultant or other person, whether or not employed by you or a subrecipient or
paid with funds under this award, who:
(A) Is in a position to handle funds under this award;
(B) Is in a position to influence or control the use of those funds; or
(C) Occupies a technical or professional position capable of substantially
influencing the development or outcome of an activity required to perform the
project or program under this award.
b. "Agent" means any individual who acts on behalf of, or who is authorized to
commit you or the subrecipient, whether or not employed by you or the
subrecipient.
3. Covered action. As the term is used in this section, "covered action" means a
violation of Federal criminal law in Title 18 of the United States Code involving fraud,
bribery, or a gratuity violation.
4. Safeguarding of the information.
a. To the extent permitted by law and regulation, we will:
i. Safeguard and treat information you disclose to us as confidential if you
mark the information as "confidential" or "proprietary."
ii. Not release the information to the public in response to a Freedom of
Information Act (5 U.S.C. 552) request without notifying you in advance.
b. We may transfer documents you provide to us to any other department or agency
within the Executive Branch of the Federal Government if the information relates to
matters within that organization's jurisdiction.
OAR Article II. Records Retention and Access. (DECEMBER 2014)
Section A. Records retention period. Except as provided in Sections B through D of this article:
1. You must keep records related to any real property and equipment acquired, in whole or
in part, using Federal funds under the award for 3 years after final disposition of the
property. For any item of exempt property with a current fair market value greater than
$5,000, and for which final disposition was not a condition of the title vesting, you must keep
whatever records you need for as long
as necessary to ensure that you can deduct the Federal share if you later use the
property in contributions for cost sharing or matching purposes under any Federal
award.
2. You must keep records related to rate proposals for indirect or facilities and
administrative costs, cost allocation plans, and supporting records such as indirect
cost rate computations and any similar accounting computations of the rate at which
a particular group of costs is chargeable (such as computer usage chargeback or
composite fringe benefit rates) as follows:
a. If you are required to submit a proposal, plan, or other computations to your Federal
cognizant agency for indirect costs, as the basis for negotiation of a rate, you must
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keep the submissions and all supporting records for 3 years from the date on which
you were required to make the submissions.
b. If you are not required to submit a proposal, plan, or other computation as the
basis for negotiation, you must keep the proposal, plan, other computation, and
supporting records for 3 years from the end of the fiscal year or other
accounting period covered by the proposal, plan, or other computation.
3. You must keep other financial records, supporting documents, statistical records, and
other records pertinent to this award for a period of 3 years from the date you submit
your final financial report under the award.
Section B. Extensions of retention period due to litigation, claim, or audit.
1. If any litigation, claim, or audit begins before the end of the 3-year retention period
specified in Section A of this article and the final action related to the litigation, claim, or
audit is not taken before the end of that 3-year period, you must retain all records related
to this award that may be involved in the litigation, claim, or audit until all findings
involving the records have been resolved and final action taken.
2. We may disallow costs and recover funds under this award based on an audit or other
review of records you elected to retain beyond the retention period required by this
article, even if the audit or review begins after the end of the 3-year retention period
specified in Section A of this article. Thus, the "retention period," as that term is used
in OMB guidance in 2 CFR 200.344(a)(l ), is extended, as described in 2 CFR
200.333(b), to include the entire period during which we and our authorized
representatives continue to have access to those records under paragraph F.2 of this
article.
Section C. Records for program income earned after the end of the performance period. In
accordance with Section F of FMS Article VII, there are no requirements under this award
applicable to program income you earn after the end of the period of performance and
therefore no associated records retention requirements.
Section D. Records for joint or long-term use.
1. Joint use. To avoid duplicate recordkeeping for records that you and we both need to
use on a continuous basis, we may ask you to make special arrangements with us, by
mutual agreement, to make records available for joint and continuous use.
2. Long-term use. If we determine that some records will be needed longer than the 3-year
period specified in Section A of this article, we may request that you either:
a. Retain the records for a longer period of time; or
b. Transfer the records to our custody for long-term retention.
3. Retention requirements for transferred records. For any records transferred to our
custody, you are not subject to the records retention requirements in Section A of
this article.
Section E. Methods for collecting, transmitting, and storing information .
1. You should, whenever practicable, collect, transmit, and store information related to
this award in open and machine-readable formats rather than in closed formats or
on paper. However, if you request it, we will:
a. Provide award related-information to you on paper; and
b. Accept award related-information from you on paper. In that case, we will not require
more than an original and two copies.
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2. When your original records are in an electronic form that cannot be altered, you do not
need to create and retain paper copies of those records.
3. When your original records are on paper, you may substitute electronic versions
produced through duplication or using other forms of electronic media, provided that:
a. You conduct periodic quality control reviews of the records;
b. You provide reasonable safeguards against alteration of the records; and
c. The records remain readable.
Section F. Access to records.
1. Scope of Federal Government access rights.
a. We as the awarding agency, the Federal Government Inspectors General, the
Comptroller General of the United States, and any of our authorized representatives
have the right of access to any documents, papers, or other records you have that
are pertinent to this award, in order to make audits, examinations, excerpts, and
transcripts.
b. This right also includes timely and reasonable access to your personnel for the
purposes of interview and discussion related to the records.
c. As described in OMB guidance at 2 CFR 200.336(b), the access to records
described in this section will include access to the true name of a victim of a crime
only under extraordinary and rare circumstances.
i. You are required to provide that access only in response to a court order or
subpoena pursuant to a bona fide confidential investigation, or in response to a
request duly authorized by the head of the DoD Component or his or her
designee; and
ii. You must take appropriate steps to protect this sensitive information.
2. Duration of Federal Government access rights. We have the access rights described
in paragraph F.1 of this section as long as you retain the records.
3. Public access.
a. You must comply with requirements to protect information that Federal statute,
Executive order, or regulation requires to be protected (e.g., personally identifiable
or export controlled information), to include both information generated under this
award and information provided to you and identified as being subject to protection.
Other than those limitations on dissemination of information, we place no
restrictions on you that limit public access to your records pertinent to this award.
b. We do not place any requirements on you to permit public access to your records
separate from any Federal, State, local, or tribal statute that may require you to do
so.
c. The Freedom of Information Act (FOIA, 5 U.S.C. 552) does not apply to records in
your possession but records you provide to us generally will be subject to FOIA,
with the applicable exemptions.
OAR Article III. Remedies and Termination is hereby superseded and revised in Section C.
Termination (20 August 2025).
Section A. Non-compliance with award terms and conditions . If you fail to comply with a term or
condition of this award or an applicable Federal statute or regulation, we may amend this
award to impose award-specific conditions, as described in OMB guidance in 2 CFR
200.207. If imposing award-specific conditions, we will notify you before modifying the
award and, once you have corrected the non- compliance, promptly remove the award-
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specific conditions. If we determine that the imposition of award-specific conditions is
insufficient to correct the non-compliance or the non-compliance remains uncorrected
despite the use of award-specific conditions, we may consider taking one or more of the
remedies specified in Section B of this article.
Section B. Remedies for noncompliance.
1. If you fail to comply with a term or condition of this award or an applicable Federal statute
or regulation, we may take one or more of the following actions that we deem appropriate
to the circumstances:
a. Temporarily withhold cash payments pending:
i. Your correction of the deficiency; or
ii. Our taking more severe enforcement action.
b. Disallow (that is, deny both use of funds and any applicable cost-sharing or
matching credit for) all or part of the cost of the activity or action not in compliance;
c. Suspend or, in accordance with paragraph C.1.a.i of this article, terminate this
award, in whole or in part (suspension of an award is a separate and distinct action
from suspension of a person under 2 CFR parts 180 and 1125, as noted in
paragraph B.3 of this article);
d. Withhold further awards to you for the project or program that is not in compliance;
e. Take any other action legally available to us under the circumstances.
2. You may raise an objection to our taking any remedy we take under paragraph B.1 of this
section and will be given an opportunity to provide information and documentation
challenging the action. The procedures are those specified in OAR Article IV for claims
and disputes.
3. Our use of any remedy under paragraph B.1 of this section, including suspension or
termination of the award, does not preclude our referring the noncompliance to a
suspension and debarment official and asking that official to consider initiating a
suspension or debarment action under 2 CFR part 1125, the DoD implementation of
OMB guidance at 2 CFR part 180.
Continued on next page
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Section C. Termination (20 August 2025)
1. This award may be terminated in whole or in part as follows:
a. Unilaterally by the Federal Government.
We will provide a notice of termination if we unilaterally terminate this award in whole or
in part, which we may do for any of the following reasons:
i. Your material failure to comply with the award terms and conditions. If we terminate
the award for that reason, we will report the termination to the OMB-designated integrity
and performance system (currently SAM.gov). In accordance with 41 U.S.C. 2313, each Federal
awarding official must review and consider the information in the OMB designated
integrity and performance system with regard to any proposal or offer before awarding a
grant, cooperative agreement, or contract.
ii.The program office does not have funding for an upcoming increment if this award is
incrementally funded. In that case, the Federal Government’s financial obligation does not
exceed the amount currently obligated under the award.
iii. At the convenience of the Federal Government at any time, in whole or in part, including if
the award no longer advances agency priorities or the national interest.
b.By mutual agreement. With mutual agreement, we may terminate this award, in whole or in
part, for any reason. In that case, you and we must agree to:
i.The termination conditions, including the effective date; and
ii.In the case of a partial termination, the portion to be terminated.
c.Unilaterally by the recipient. You may unilaterally terminate this award, in whole or in part, by
sending us written notification that states:

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i.The reasons for the termination;
ii.The effective date; and
iii.In the case of partial termination, the portion to be terminated. In that case, however, we
may terminate the award in its entirety if we determine that the remaining portion of the award
will not accomplish the purposes for which we made the award.
2.If this award is terminated in its entirety before the end of the performance period, you must
complete the closeout actions for which you are responsible under OAR Article VI. The due date
for each action is to be measured relative to the date of termination.
3.If this award is only partially terminated before the end of the performance period, with a
reduced or modified portion of the award continuing through the end of the performance
period, then closeout actions will occur at the end of the performance period as specified in
OAR Article VI.
4.You will continue to have all of the post closeout responsibilities that OAR Article VII specifies
for you if this award is wholly or partially terminated before the end of the performance period.

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Section D. Effects of suspension or termination of the award on allowability of costs. If we
suspend or terminate this award prior to the end of the period of performance, costs resulting
from obligations that you incurred:
1. Before the effective date of the suspension or termination are allowable if:
a. You properly incurred those obligations;
b. You did not incur the obligations in anticipation of the suspension or termination;
c. In the case of termination, the costs resulted from obligations that were noncancellable
after the termination; and
d. The costs would have been allowable if we had not suspended or terminated the
award and it had expired normally at the end of the period of performance.
2. During the suspension or after the termination are not allowable unless we
expressly authorize them, either in the notice of suspension or termination or
subsequently.
OAR Article IV. Claims, Disputes, and Appeals. (DECEMBER 2014)
Section A. Definitions.
1. Claim. The definition of the term "claim," as it is used in this article, is in the definitions
section of the preamble to these general terms and conditions.
2. Grant Appeal Authority. [Reserved]
Section B. Submission of claims.
1. Your claims. To submit a claim arising out of this award, you must submit it in writing to
the grants officer for decision, specify the nature and basis for the relief you are requesting,
and include all data that supports your claim.
2. Federal Government claims. You will receive a written grants officer's decision if a DoD claim
arises out of this award
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Section C. Alternative dispute resolution.
1. We encourage resolution of all issues related to this award by mutual agreement between
you and the grants officer.
2. If you and the grants officer are unable to resolve an issue through unassisted
negotiations, we encourage use of Alternative Dispute Resolution (ADR) procedures to
try to do so. ADR procedures are any voluntary means, such as mini-trials or mediation,
used to resolve issues in controversy. ADR procedures may be used prior to
submission of a claim or at any other time prior to the Grant Appeal Authority's decision
on any appeal you submit.
Section D. Grants officer decisions for claims you submit.
1. Within 60 calendar days of receiving your claim, the grants officer will either:
a. Transmit a written decision that
i. Identifies data on which the decision is based; and
ii. Identifies and provides the mailing address for the Grant Appeal Authority to
whom you would submit an appeal of the decision if you elect to do so; or
b. If more time is required to render a written decision, notify you of a specific date
when he or she will render the decision and inform you of the reason for delaying
it.
2. The grants officer's decision will be final unless you decide to appeal, in which case we
encourage use of ADR procedures as noted in Section C of this article.
Section E. Formal administrative appeals.
1. Right to appeal. You have the right to appeal a grants officer's decision to the Grant
Appeal Authority identified in Section A of this article.
2. Notice of appeal. You may appeal a grants officer's decision within 90 calendar days
of receiving the decision by submitting a written notice of appeal to the Grant Appeal
Authority and grants officer. If you elect to use ADR procedures, you are allowed an
additional 60 calendar days to submit the written notice of appeal.
3. Appeal file. Within 30 calendar days of the grants officer's receipt of your notice of
appeal, you should receive the appeal file with copies of all documents relevant to the
appeal. You may supplement the file with other documents you deem relevant and with
a memorandum in support of your position for the Grant Appeal Authority's
consideration. The Grant Appeal Authority may request
additional information from you.
4. Decision. Unless the Grant Appeal Authority decides to conduct fact-finding procedures
or an oral hearing on the appeal, the appeal will be decided solely on the basis of the
written record. Any fact-finding or hearing will be conducted using procedures that the
Grant Appeal Authority deems appropriate.
Section F. Representation. You may be represented by counsel or any other designated
representative in any claim, appeal, or ADR proceeding, as long as the representative is not
otherwise prohibited by law or regulation from appearing before the DoD Component
concerned.
Section G. Effect of Grant Appeal Authority's decision. The Grant Appeal Authority's decision is
the final administrative decision of DoD and cannot be further appealed within DoD.
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Section H. Non-exclusivity of remedies. Nothing in this article is intended to limit your right to any
remedy under the law.
OAR Article V. Collection of Amounts Due. (DECEMBER 2014)
Section A. Establishing a debt.
1. Any amount paid to you in excess of the amount to which you are determined to be
entitled under the terms and conditions of this award constitutes a debt to the Federal
Government.
2. A grants officer will attempt to resolve any claim of your indebtedness arising out of this
award by mutual agreement.
3. If the grants officer fails to resolve the claim in that manner, you will receive a written
notice of the grants officer's decision formally determining the debt, as described in
paragraph B.2 of OAR Article IV. The notice will describe the debt, including the amount,
name and address of the official who determined the debt, and a copy of that official's
determination.
Section B. Debt delinquency and appeals.
1. Within 30 calendar days of the grants officer's decision, you must either pay the amount
owed to the address provided in the written notice or inform the grants officer that you
intend to appeal the decision. Appeal procedures are described in OAR Article IV.
2. If you elect not to appeal, any amounts not paid within 30 calendar days of the grants
officer's decision will be a delinquent debt.
3. If you elect to appeal the grants officer's decision, you will have 90 calendar days after
receipt of the grants officer's decision to file your appeal unless Alternative Dispute
Resolution (ADR) procedures are used, as described in section C of OAR Article IV, in
which case you will have 150 calendar days.
Section C. Demand letter, interest, and debt collection.
1. If within 30 calendar days of the grants officer's decision, you neither pay the amount due
nor provide notice of your intent to appeal the grants officer's decision, the grants officer
will send you a demand letter identifying a payment office that will be responsible for any
further debt collection activity.
2. If you do not pay by the due date specified in the written demand letter, the Federal
Government may collect part or all of the debt by:
a. Making an administrative offset against your requests for reimbursements under Federal
awards;
b. Withholding advance payments otherwise due to you; and
c. Any other action permitted by Federal statute.
3. The debt will bear interest, and may include penalties and other administrative costs, in
accordance with applicable provisions of the DoD Financial Management Regulation
(DoD 7000.14-R), which implements the Federal Claims Collection Standards. The date
from which interest is computed is not extended by litigation or the filing of any form of
appeal.
OAR Article VI. Closeout. (DECEMBER 2014)
Section A. Liquidation of obligations. Unless the award administration office authorizes an
extension of the due date, you must liquidate all obligations that you incurred under this award not
later than 120 calendar days after the end date of the period of performance.
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Section B. Refunds of unobligated balances. You must promptly refund to the award
administration office any balances of unobligated cash that we have advanced or paid to you
and not authorized you to use on other projects or programs.
Section C. Final reports. You must submit the:
1. Final performance report under this award no later than the date specified in Section C
of REP Article I, subject to any extensions granted under Section D of that article;
2. Final financial report under this award no later than the date specified in Section C
of REP Article II, subject to any extensions granted under Section D of that article;
3. Final report listing subject inventions made under the award no later than the date specified
in Section B of PROP Article VI; and
4. Other final reports that are required under this award no later than 90 calendar days after
the end date of the period of performance, unless you request an extension of the due
date and the award administration office approves the request.
Section D. Accounting for property. You must account for any real property, equipment, supplies,
and intangible property that you and any subrecipients acquired or improved under the award, in
accordance with PROP Articles I through IV and VI. Your requests for disposition instructions for
any federally owned property, as required by PROP Article V, meet the need described in OMB
guidance at 2 CFR 200.343(f) to account for that property at closeout.
OAR Article VII. Post-Closeout Adjustments and Continuing responsibilities. (DECEMBER 2014)
Section A. Adjustments. The closeout of this award does not affect:
1. Our right to disallow costs and recover funds on the basis of a later audit or other review,
as long as we make the determination that the costs are disallowed and notify you about
that determination within the extended records retention period specified in paragraph
B.2 of OAR Article II of these terms and conditions.
2. Your obligation to return any funds due to the Federal Government as a result of later
refunds, corrections, or other transactions (to include any adjustments in final indirect
cost rates).
Section B. Continuing responsibilities. After closeout of this award, you must continue to comply
with terms and conditions of this award that have applicability beyond closeout, including
requirements concerning:
1. Audits, as specified in FMS Article V that cover periods of time during which you expended
funds under this award.
2. Management, use, and disposition of any real property or equipment acquired or
improved under this award in which we continue to have a Federal interest after closeout,
as specified in PROP Articles I through IV.
3. Retention of, and access to, records related to this award, as specified in OAR Article II
Subawards (SUB) (2 CFR 1138)
SUB Article I. Distinguishing Subawards and Procurements. (DECEMBER 2014)
Section A. Required recipient determination. For each transaction into which you enter with
another entity at the next tier below this award, you must determine whether the
transaction is a subaward or a procurement.
Section B. Considerations in making the determination.
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1. The primary purpose of the transaction between you and the other entity is the key
factor you must use to determine whether the transaction is a subaward or a
procurement.
a. The transaction is a subaward and the other entity therefore a subrecipient if
the transaction's primary purpose is for you to transfer - for performance by
the other entity - a portion of the substantive program for which we are
providing financial assistance to you through this award. You will continue to
be accountable to us for performance of the project or program under the
award, including portions performed by any subrecipients.
b. The transaction is a procurement and the other entity therefore your contractor
if the transaction's primary purpose is for you to purchase goods or services
that you need to perform the substantive program supported by this award.
The distinction from a subaward is the contractor is not performing a portion of
the substantive program as a result of the transaction.
2. What you call the transaction is not a factor in distinguishing a subaward from a
procurement. If the transaction meets the criterion in paragraph 8.1.a of this article, it
is a subaward for purposes of the requirements of this award even if you call and
consider the transaction a "contract."
Section C. Effect of the determination on the next-tier transaction.
1. Process for awarding the transaction. One important consequence of your
determining whether a next-tier transaction is a subaward or a procurement is that
there are different requirements governing the pre-award and time of award
processes that you use to award the transaction.
a. SUB Article II of this award specifies pre-award and time of award responsibilities for
subawards.
b. PROC Articles I and II of this award govern pre-award and time of award processes
for awarding procurement transactions.
2. Transaction terms and conditions. A second important consequence of your
determining whether a next-tier transaction is a subaward or a procurement is
that the terms and conditions you include in a subaward differ from those you
include in a procurement transaction.
a. Section C of SUB Article II of this award addresses requirements you must
include in subaward terms and conditions. Those requirements generally are
either identical or directly related to requirements in the general terms and
conditions of this award. They include national policy requirements as well as
administrative requirements in areas such as financial and programmatic
management, property administration, procurement, and reporting.
b. PROC Article Ill of this award lists requirements you must include in a
procurement transaction when applicable to the procurement.
SUB Article II. Pre-Award and Time of Award Responsibilities. (DECEMBER 2014)
Section A. Requirements for unique entity identifiers.
1. Definition of "entity." For purposes of the unique entity identifier requirements in
paragraphs A.2 and 3 of this section, "entity" has the meaning given in paragraph C.3
of appendix A to OMB guidance in 2 CFR part 25.
2. Pre-notification of potential subrecipients. You must notify potential subrecipients
that no entity may receive a subaward from you under this award unless it has
provided its unique entity identifier to you.
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