HomeMy WebLinkAboutCOMMUNITY ACTION PARTNERSHIP OF ORANGE COUNTY 6 -2015Subgrant Agreement
This Subgrant (hereinafter referenced as "Agreement ") is entered into between
Community Action Partnership of Orange County; a California non - profit corporation,
(hereinafter referenced as " "Subgrantor "" and City of Santa Ana, a municipal
corporation, (hereinafter referenced as "Subgrantee ") for the funding of Orange
County Partnerships to Improve Community Health Grant (hereinafter referenced as
"Grant ") for a one (1) year term and shall be effective on October 1, 2014,
Recitals
The Grant is authorized under Section 317(k)(2) of the Public Health Service Act, 42
U.S. Code 247b(k)(2). The Grant Number is 1 U58DP005861 -01. The goals of the
Grant are (1) Create social and physical environments that promote good health for
all; (2) Promote health and reduce chronic disease risk through the consumption of
healthful diets and achievement and maintenance of healthy body weight; (3)
Improve access to comprehensive, quality health care services; and (4) Reduce
illness, disability, and death related to tobacco use and secondhand smoke
exposure. The Orange County Partnership to Improve Community Health project will
focus on goals one and two. The Grant aligns with national health objectives aimed
at creating social and physical environments that promote good health for all by
encouraging collaboration across sectors, implementing evidence -based strategies,
and measuring the effects of prevention activities. With the making of policy,
systems and environment (PSE) changes, the goal is to improve short- and long-
term health outcomes. Population -based strategies create greater access to
healthier environments where people live, learn, work, and play. The Grant reflects
the importance of cross - sector collaborations to build accepted and sustainable
changes and the need to evaluate and communicate what works. The PICH logic
model provides a framework to use throughout program planning, implementation,
and evaluation. All proposed objectives and activities in the work plan, known as the
Community Action Plan (CAP), should be connected to elements reflected in the
logic model and contribute to the ultimate goals of improving quality of life, averting
premature death and reducing medical costs.
Scope of Work
Subgrantee's scope of work is set forth in Exhibit "A" and is made part of this
Agreement. Failure to complete the scope of work within the Term of this
PICH Subcontract Page 1
CFDA Number: 93.331
Federal Award Identification dumber (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
Agreement is considered as a default and at Subgrantor's option, subgrantor
can refuse future renewal of this Agreement.
This Grant has been assigned the Federal Award Identification Number
(FAIN) U58DP005861. Subgrantee must document the assigned FAIN on all
communication and correspondence.
2. Term and Amount of Agreement
a. Term of this Agreement is from October 1, 2014 to Sept 29, 2015;
b. There are two (2) 1 -year options which are contingent on adequate
funding from the Centers for Disease Control and Prevention (CDC)
and satisfactory programmatic progress of Subgrantee. Subgrantee
must give ninety (90) day notice in writing as prescribed herein to
Subgrantor.to exercise each option;
c. The maximum amount of funding from October 1, 2014 to Sept 29,
2015 is $145,000; and
d. This Agreement shall terminate if the agreement between Subgrantor
and CDC is terminated and upon such termination, Subgrantor shall
have no further liability to Subgrantee.
3. Program Requirements, Standards and Guidance
a. This award is based on the application submitted to Subgrantor and as
approved by CDC and is subject to the terms and conditions
incorporated either directly or by reference in the following:
i. The Grant program legislation and program regulation, as
amended from time to time, cited in the Notice of Award (NOA)
between CDC and Subgrantor; (a copy of which is attached
hereto and incorporated herein as Exhibit "B ");
ii. The restrictions on the expenditure of federal funds in
appropriation acts to the extent those restrictions are pertinent
to this award;
iii. The HS Grants Policy Statement, including addenda in effect as
of the beginning date of the budget period; and
iv. The terms and conditions cited in this Agreement.
b. Subgrantee shall comply with all of the requirements, standards, and
guidelines contained in the authorities listed below, as they maybe
amended from time to time, with respect to procurement requirements,
PICH Subcontract Page 2
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
administrative expenses, and other costs claimed under this
Agreement, including those costs incurred pursuant to sub - subgrants
executed by Subgrantee, notwithstanding any language contained in
the following authorities that might otherwise exempt Subgrantee from
their applicability.
i. OMB Circular A -102 (Common Rule for State and Local
Governments), as codified by the Department of Health and
Human Services (HHS) at 45 CFR Part 92;
ii. OMB Circular A -110 (Uniform Administrative Requirements for
Grants and Agreements with Institutions of Higher Education,
Hospitals and other Non - Profit Organizations), as codified by
HHS at 45 CFR Pat174;
iii. OMB Circular A -122 (Cost Principles for Non - Profit
Organizations) as codified at 2 CFR Part 230;
iv. OMB Circular A -87 (Cost Principles for State, Local and Indian
Tribal Governments) as codified at 2 CFR Part 225; and
v. OMB Circular A -133 will apply to audits of fiscal year ending
before December 26, 2014. The standards set forth in 2 CFR
Part 200 Subpart F will apply to audits of fiscal year beginning
on or after December 26, 2014.
4. Payment and Whistleblower Hot Line Information
a. Subgrantor will issue monthly payment to Subgrantee upon receipt and
approval of a certified Expenditure /Activity Report. The Report shall
indicate the actual expenditures being billed to Subgrantor for
reimbursement for the specific report period. Subgrantee shall submit
backup for all expenses, including but not limited to invoices, proposed
bids, time cards and payroll register, within 15 days after the month
ended;
b. If Subgrantee owes Subgrantor any outstanding balances(s) for
overpayments, current or previous, the balance(s) may be offset after
notice to Subgrantee providing an opportunity to present any valid
objection to the offset; and
c. Whistleblower Protections — The HHS office Inspector General (OIG)
maintains a toll -free number (1- 800 -HHS -TIPS [1- 800 - 447 - 8477]) for
receiving information concerning fraud, waste or abuse under grants
and cooperative agreements. Information also may be submitted by e-
PICH Subcontract Page 3
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -D1314 -1417
mail to hhstips .oig.hhs.gov or by mail to Office of the Inspector
General Department of Health and Human Services, Attn: HOTLINE,
330 Independence Ave., SE, Washington DC 20201. Such reports are
treated as sensitive material and submitters may decline to give their
names if they choose to remain anonymous.
5. Award Information
a. The Funding Opportunity Announcement (FOA) Number for this Non-
Research award is CDC - RFA -DP14 -1417. Subgrantee must comply
with all terms and conditions outlined in Subgrantor's Notice of Award,
including grants policy terms and conditions contained in applicable
HHS Grants Policy Statements, and requirements imposed by program
statutes and regulations and HHS grant administration regulations, as
applicable; as well as any requirements or limitations in any applicable
appropriations acts; and
b. Program income — Any program income generated under this Grant
will be used in accordance with the Addition alternative.
6. Funding Restrictions and Limitations
a. Funding Opportunity Announcement (FOA) Restrictions:
Restrictions that must be considered while planning the programs and
writing the budget are:
i. Subgrantee may not use funds for research;
ii. Subgrantee may not use funds for clinical care;
iii. Subgrantee may use funds only for reasonable program
purposes, including personnel, travel, supplies, and services;
iv. Generally, Subgrantee may not use funds to purchase
furniture or equipment. Any such proposed spending must
be clearly identified in the budget;
V. Reimbursement of pre -award costs is not allowed;
vi. Other than for normal and recognized executive - legislative
relationships, no funds may be used for: publicity or
propaganda purposes, for the preparation, distribution, or
use of any material designed to support or defeat the
enactment of legislation before any legislative body the
salary or expenses of any grant or contract recipient, or
agent acting for such recipient, related to any activity
PICH Subcontract Page 4
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: lU58DP005861 -01
Funding Opportunity Announcement Number: CDC - RFA -DP14 -1417
designed to influence the enactment of legislation,
appropriations, regulation, administrative action, or Executive
order proposed or pending before any legislative body; and
vii. See Additional Requirement (AR) 12 for detailed guidance
on this prohibit on and additional guidance on lobbying for
CDC awardees.
b. Indirect Costs are not approved for this award;
c. Cost limitations as stated in the Consolidated Appropriations Act 2014
— Item A through G
i. Cap on Salaries (Div. H, Title II, Sec. 203): None of the
funds appropriated in this Grant shall be used to pay the
salary of an individual, through a grant or other extramural
mechanism, at a rate in excess of Executive Level li. Note:
The salary rate limitation does not restrict the salary that an
organization may pay an individual working under an HHS
contract or order; it merely limits the portion of that salary
that may be paid with Federal funds;
ii. Gun Control Prohibition (Oiv. H, Title II, Sec. 217): None of
the funds made available in this title may be used, in whole
or in part, to advocate or promote gun control;
iii. Proper Use of Appropriations - Publicity and Propaganda
(LOBBYING) FY2012 (Div. H. Title V, Sec. 503):
a) 503(a): No part of any appropriation contained in this
Act or transferred pursuant to section 4002 of Public
Law'111 -148 shall be used, other than for normal and
recognized executive - legislative relationships, for
publicity or propaganda purposes, for the preparation,
distribution, or use of any kit, pamphlet, booklet,
publication, electronic communication, radio, television,
or video presentation designed to support or defeat the
enactment of legislation before the Congress or any
State or local legislature or legislative body, except in
presentation of the Congress or any State or local
legislature itself, or designed to support or defeat any
proposed or pending regulation, administrative action,
or order issued by the executive branch of any State or
local government itself;
PICH Subcontract Page 5
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
b) 503 (b):No part of any appropriation contained in this Act
or transferred pursuant to section 4002 of Public Law
111 -148 shall be used to pay the salary or expenses of
any grant or contract recipient, or agent acting for such
recipient, related to any activity designed to influence the
enactment of legislation, appropriations, regulation,
administrative action, or Executive order proposed or
pending before the Congress or any State government,
State legislature or local legislature or legislative body,
other than normal and recognized executive legislative
relationships or participation by an agency or officer of an
State, local or tribal government in policymaking and
administrative processes within the executive branch of
that government;
c) 503(c): The prohibitions in subsections (a) and (b)
shall include any activity to advocate or promote any
proposed, pending or future Federal, State or local tax
increase, or any proposed, pending, or future
requirement or restriction on any legal consumer
product, including its sale of marketing, including but
not limited to the advocacy or.promotion of gun control.
For additional information, see Additional Requirement
12 at
http : / /www.cdc.gov /od /pgo /fundinq /grants /additional_req.
shtm and AntiLobbying Restrictions for CDC Grantees
at http: / /www.cdc.gov /od /pgo /funding /�rants /Anti-
Lobbyi nq_Restrictio ns_for_CDC—Grantees—Jul
y_2012.pdf;
d) Needle Exchange (Div. H, Title V, Sec. 522):
Notwithstanding any other provision of this Act, no funds
appropriated in this Act shall be used to carry out any
program of distributing sterile needles or syringes for the
hypodermic injection of any illegal drug;
e) Restricts dealings with corporations with recent felonies
(Div. E. Title VI, Sec. 623): None of the funds made
available by this Act may be used to enter into a contract,
memorandum of understanding, or cooperative
PICH Subcontract Page 6
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
agreement with, make a grant to, or provide a loan or
loan guarantee to any corporation that was convicted (or
had an officer or agent of such corporation acting on
behalf of the corporation convicted) of a felony criminal
violation under any Federal or State law within the
preceding 24 months, where the awarding agency is
aware of the conviction, unless the agency has
considered suspension or debarment of the corporation,
or such officer or agent, and made a determination that
this further action is not necessary to protect the interests
of the Government;
fl Restricts dealings with corporations with recent felonies
(Div. E. Title VI, Sec. 623): None of the funds made
available by this Act may be used to enter into a contract,
memorandum of understanding, or cooperative
agreement with, make a grant to, or provide a loan or
loan guarantee to any corporation that was convicted (or
had an officer or agent of such corporation acting on
behalf of the corporation convicted) of a felony criminal
violation under any Federal or State law within the
preceding 24 months, where the awarding agency is
aware of the conviction, unless the agency has
considered suspension or debarment of the corporation,
or such officer or agent, and made a determination that
this further action is not necessary to protect the
interests of the Government;
g) Blocking access to pornography (Div. H, Title V, Sec.
528): (a) None of the funds made available in this Act
may be used to maintain or establish a computer
network unless such network blocks the viewing,
downloading, and exchanging of pornography; (b)
Nothing in subsection (a) shall limit the use of funds
necessary for any Federal, State, tribal, or local law
enforcement agency or any other entity carrying out
criminal investigations, prosecution, or adjudication
activities.
PICH Subcontract Page 7
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DPOO5861
Grant Number: 1U58DPOO5861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
iv. Rent or Space Costs: Subgrantee is responsible for ensuring
that all costs included in this Grant to establish billing are
allowable in accordance with the requirements of the Federal
award(s) to which they apply, including 2 CFR Part 200,
Uniform Administrative Requirements, Cost Principles and
Audit Requirements for Federal Awards; 2 CFR Part 225„
Cost Principles for State, Local and Indian Tribal
Governments (OMB Circular A -87); 2 CFR Part 230, Cost
Principles for Non - Profit Organizations (OMB Circular A-
122). Furthermore, it is the responsibility of the Subgrantee
to ensure rent is a legitimate direct cost line item;
V. Trafficking In Persons: This award is subject to the
requirements of the Trafficking Victims Protection Act of
2000, as amended (22 U.S.C. Part 7104(g)). For the full text
of the award terms and conditions, see,
http: / /www.cdc.gov /od /pgo /funding /grants /Award Term and
Condition for Trafficking in Persons.shtm; and
vi. Cancel Year: 31 U.S.C. Part 1552(x) Procedure for
Appropriation Accounts Available for Definite Periods
states the following: On September 30th of the 5th
fiscal year after the period of availability for obligation
of a fixed appropriation account ends, the account
shall be closed and any remaining balances (whether
obligated or unobligated) in the account shall be
canceled and thereafter shall not be available for
obligation or expenditure for any purpose. An example
is provided below:
7. Audit Requirements
a. Audit requirements for Subgrantee: The Subgrantor will ensure that
the Subgrantee receiving CDC funds meet the requirements
detailed in the NOA. The Subgrantor will also ensure to take
appropriate corrective action within six (6) months after receipt of
the Subgrantee audit report in instances of non - compliance with
applicable Federal law and regulations (2 CFR 200 Subpart F and
HHS Grants Policy Statement). If a Subgrantee is not required to
have a program- specific audit, the Subgrantor will still perform
adequate monitoring of Subgrantee's activities. Subgrantee will
PICH Subcontract Page 8,
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
cooperate and permit the independent auditor access to
Subgrantee's records and financial statements.
Note: The standards set forth in 2 CFR Part 200 Subpart F will apply to
audits of fiscal year beginning on or after December 26, 2014;
b. Federal Funding Accountability and Transparency Act ( FFATA):
Subgrantor is required to comply with sub -award reporting
requirements of the Federal Funding Accountability and Transparency
Act ( FFATA). Subgrantor must file the FFATA sub -award report by the
end of the month following the month in which Subgrantor awards
funds greater than or equal to $25,000 to any agency /service provider.
In accordance with terms of the Agreement, agencies are required to
provide the information requested in the FFATA form on or before the
15th day after execution of this Agreement. Failure to timely submit the
completed form may result in "high- risk" designation and /or imposition
of additional special terms and conditions on Subgrantee's eligibility for
CDC funds;
c. Total Compensation of Subgrantee's Executives: Unless you are
exempt (gross income from all sources reported in last tax return is
under $300,000), for each first -tier subgrantee under this Grant, you
must report the names and total compensation, of each of the sub -
grantee's five most highly compensated executives for the
subgrantee's preceding completed fiscal year, if:
• In the Subgrantee's preceding fiscal year, the Subgrantee
received:
0 80 percent or more of its annual gross revenues from
Federal procurement contracts (and subcontracts) and
Federal financial assistance subject to the Transparency Act,
as defined at 2 CFR Part 170.320 (and sub - awards);
o $25,000,000 or more in annual gross revenues from Federal
procurement contracts (and subcontracts), and Federal
financial assistance subject to the Transparency Act (and
sub- awards); and
o The public does not have access to information about the
compensation of the executives through periodic reports filed
under section 13(a) or 15(d) of the Securities Exchange Act
of 1934 (15 U.S C. Part 78m(a), 78o(d)) or section 6104 of
PICH Subcontract Page 9
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
the Internal Revenue Code of 1986. (To determine if the
public has access to the compensation information, see the
U.S Security and Exchange Commission total compensation
filings at http: / /www.sec.gov /answers /execomp.htm).
Subgrantee must report Subgrantee's executive total compensation to
Subgrantor by the 20th of the month following the month during which
Subgrantor makes the Subgrant. For example, if a subgrant is
obligated on any date during the month of October of a given year (i.e.,
between October 1st and 31st), Subgrantee must report any required
compensation information to the Subgrantor by November 20th of that
year.
Definitions:
• Entity means all of the following, as defined in 2 CFR
Part 25 (Appendix A, Paragraph(C)(3)):
• Governmental organization, which is a State, local
government, or Indian tribe;
• Foreign public entity;
• Domestic or foreign non - profit organization;
• Domestic or foreign for - profit organization; and
• Federal agency, but only as a sub - recipient under an award
or sub -award to a non - Federal entity.
• Executive means officers, managing partners, or any other
employees in management positions;
• Sub - award: a legal instrument to provide support to an eligible sub -
recipient for the performance of any portion of the substantive
project or program for which the grantee received this award. The
term does not include the grantees procurement of property and
services needed to carry out the project or program (for further
explanation, see Sec. _.210 of the attachment to OMB Circular A-
133. Audits of States, Local Governments, and Non - Profit
Organizations). A sub -award may be provided through any legal
agreement, including an agreement that the grantee or a sub-
recipient considers a contract;
Subgrantee means an entity that receives a sub -award from
Subgrantor under the Grant; and is accountable to the Subgrantor
for the use of the Federal funds provided by the sub - award;
PICH Subcontract Page 10
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
• Total compensation means the cash and non -cash dollar value
earned by the executive during the Subgrantee's or the sub -
subgrantee's preceding fiscal year and includes the following
(for more information see 17 CFR Part 229.402(c)(2)):
• Salary and bonus;
• Awards of stock, stock options, and stock appreciation
rights. Use the dollar amount recognized for financial
statement reporting purposes with respect to the fiscal
year in accordance with the Statement of Financial
Accounting Standards No. 123 (Revised 2004) (FAS
123R), Shared Based Payments;
• Earnings for services under non - equity incentive plans. This
does not include group life, health, hospitalization or medical
reimbursement plans that do not discriminate in favor of
executives, and are available generally to all salaried
employees;
• Change in pension value. This is the change in present value
of defined benefit and actuarial pension plans;
• Above - market earnings on deferred compensation which is
not tax - qualified; and
• Other compensation, if the aggregate value of all such other
compensation (e.g. severance, termination payments, value
of life insurance paid on behalf of the employee, perquisites
or property) for the executive exceeds $10,000.
d. Record Retention
i. All records maintained by Subgrantee shall meet the OMB
requirements contained in the following Circulars, or
subsequent amendments thereto: A 102, Subpart C, ( "Uniform
Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments ") or A 110,
Subpart C, (Nonprofit Organizations and Education
Institutions), whichever is applicable;
ii. Subgrantee shall maintain all records pertaining to this
Agreement for a minimum period of three (3) years after
submission of the final report. However, Subgrantee shall
maintain all such records until resolution of all audit and
monitoring findings are completed; and
PICH Subcontract Page 11
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
iii. Subgrantee assures that employee and applicant records shall
be maintained in a confidential manner to assure compliance
with the Information Practices Act of 1977, as amended, and the
Federal Privacy Act of 1974, as amended.
Compliance Monitoring
a. Right to monitor, audit and investigate
i. Any duly authorized representative of the federal government
and Subgrantor shall have the right to monitor and audit
Subgrantee and all sub - subgrantees providing services under
this Agreement through on -site inspections, audits, and other
applicable means determines necessary;
ii. Subgrantee shall make available all reasonable information
necessary to substantiate that expenditures under this
Agreement are allowable and allocable, including, but not
limited to books, documents, papers, and records. Subgrantee
shall agree to make such information available to the federal
government and Subgrantor to perform inspections, for
examination, copying, or mechanical reproduction, on or off the
premises of the appropriate entity upon a reasonable request;
iii. Any duly authorized representative of the federal government or
Subgrantor shall have the right to undertake investigations in
accordance with 42 U.S.C. §9901 et seq., as amended; and
iv. All agreements entered into by Subgrantee with audit firms for
purposes of conducting independent audits under this
Agreement shall contain a clause permitting any duly authorized
representative of the federal government or Subgrantor access
to. the working papers of said audit firm(s).
b. Ensuring all costs claimed are allowable:
As the subrecipient of federal funds under this Agreement,
Subgrantee is responsible for substantiating that all costs
claimed under this Agreement are allowable and allocable under
all applicable federal laws, and for tracing all costs to the level of
expenditure;
ii. As the administrator of this Grant, duly authorized
representative of the federal government or Subgrantor must
PICH Subcontract Page 12
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DPOO5861
Grant Number: 1U58DPOO5861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
conduct onsite and follow -up monitoring, and other
audits /reviews as necessary, to ensure that:
a) Subgrantee meets federal performance goals,
administrative and financial management standards, and
other requirements applicable to Grant; and
b) Funds allocated to Subgrantee are expended for the
purposes identified in federal law for allowable and
allocable costs in accordance with federal OMB
requirements.
c. The federal government and Subgrantor shall provide Subgrantee
reasonable advance written notice of on -site monitoring reviews of
Subgrantee's program or fiscal performance. Subgrantee shall
cooperate with the Inspector General and Subgrantor's program and
audit staff and other representatives, and provide access to all
programs, records, documents, resources, personnel, inventory, and
other things reasonably related to the administration and
implementation of the services and activities funded directly or
indirectly by this Agreement;
d. In the event it is determined that Subgrantee is not in compliance with
material or other legal requirements of this Agreement, Subgrantor
shall provide Subgrantee with observations, recommendations, and /or
findings of noncompliance in writing, along with specific action plans
for correcting the noncompliance;
e. Collection of Disallowed Costs
i. In the event questioned costs are identified in a final decision on
cost disallowance issued by the federal government or
Subgrantor, Subgrantee shall comply with any demand for
repayment, as specified in such final report;
ii. Time to response. Subgrantee shall have no more than twenty
(20) days from receipt of the final decision to tender payment to
Subgrantor or, alternatively, to provide Subgrantor with
complete and accurate information or documentary evidence in
support of the allowability of questioned costs;
iii. Notice after review of further supporting evidence. If
Subgrantee challenges questioned costs and submits complete
and accurate information or documentary evidence in support of
the allowability of questioned costs as provided above in
PICH Subcontract Page 13
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
subparagraph 8(e)(ii), Subgrantor shall, after consideration of
Subgrantee's submission, accordingly issue a revised Notice of
Disallowed Costs, if any, no later than forty (40) days after
receipt of Subgrantee's information or documentation.
Subgrantee shall have ten (10) days from receipt of such Notice
to tender payment or a repayment plan acceptable to
Subgrantor;
iv. All statements, notices, responses and demands issued in
accordance with—this paragraph shall be-in writing and delivered-
in accordance with the terms stated under this Agreement; and
v. Subgrantor may, at its discretion, reasonably extend the time
periods allowed for responses specified in this paragraph.
In the event that Subgrantee fails to comply with the audit
requirements stated herein, Subgrantor may impose sanctions as
provided in 2 CFR §200.338 - Remedies for noncompliance, which
may include:
i. Temporarily withholding cash payments pending correction of
the deficiency or more severe enforcement action by the
Federal awarding agency or Subgrantor;
ii. Disallowing all or part of the cost of the activity or action not in
compliance;
iii. Wholly or partly suspending or terminating the Grant;
iv. Initiate suspension or debarment proceedings (as authorized
under 2 CFR part 180 and Federal awarding agency
regulations);
v. Withholding further funding for the Grant; and /or
vi. Taking other remedies that may be legally available.
General Requirements
a. Travel Cost
In accordance with HHS Grants Policy Statement, travel costs are only
allowable where such travel will provide direct benefit to the project or
program. There must be a direct benefit imparted on behalf of the
traveler as it applies to the approved activities of the NOA. To prevent
disallowance of cost, the Subgrantee is responsible for ensuring that
only allowable travel reimbursements are applied in accordance with
their organization's established travel policies and procedures.
PICH Subcontract Page 14
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
Subgrantee approved policies must meet the requirements of 2 CFR
Parts 200, 225 and 230, as applicable and 45 CFR Parts 74 and 92, as
applicable;
b. Food and Meals
Costs associated with food or meals are allowable when consistent
with OMB Circulars and guidance, HHS Federal regulations,
Program Regulations, HHS policies and guidance. In addition, costs
must be proposed in accordance with Subgrantee approved policies
and a determination of reasonableness has been performed by the
Subgrantee. Subgrantee approved policies must meet the
requirements of 2 CFR Parts 200, 225 and 230, as applicable and
45 CFR Parts 74 and 92, as applicable;
c. Prior Approval
All requests, which require prior approval, must bear the signature of
an authorized official of the business office of the Subgrantee's
organization named on this Agreement.
All correspondence (including emails and faxes) regarding this Grant
must be dated, identified with the AWARD NUMBER, and include a
point of contact (name, phone, fax, and email). All correspondence
should be addressed to the Contract Manager listed below:
Belinda Ong
Community Action Partnership of Orange County
12666 Hoover St
Garden Grove, CA 92841
Telephone: 714 - 406 -2500, ext. 5350
Email: bongaa.capoc.org
d. Inventions
Acceptance of Grant funds obligates Subgrantee to comply with the
standard patent rights clause in 37 CFR Part 401.14;
e. Publications
Publications, journal articles, etc. produced under this Grant must bear
an acknowledgment and disclaimer, as appropriate, for example:
This publication (journal article, etc.) was supported by the Grant or
Cooperative Agreement Number, 1 U58 DP 005861 -1 funded by the
Centers for Disease Control and Prevention. Its contents are solely the
PICH Subcontract Page 15
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
responsibility of the authors and do not necessarily represent the
official views of the Centers for Disease Control and Prevention or the
Department of Health and Human Services;
Acknowledgment of Federal Support
When issuing statements, press releases, requests for proposals, bid
solicitations and other documents describing projects or programs
funded in whole or in part with this Grant, Subgrantee shall clearly
state:
• Percentage of the total costs of the program or project which
will be financed with this Grant;
• Dollar amount of this Grant for the project or program; and
• Percentage and dollar amount of the total costs of the
project or program that will be financed by non-
governmental sources.
Copyright Interests Provision
This provision is intended to ensure that the public has access to the
results and accomplishments of public health activities funded by
CDC. Pursuant to applicable Grant regulations and CDC's Public
Access Policy, Subgrantee agrees, through Subgrantor, to submit
into the National Institutes of Health (NIH) Manuscript Submission
(NIHMS) system an electronic version of the final, peer- reviewed
manuscript of any such work developed under this Grant upon
acceptance for publication, to be made publicly available no later
than 12 months after the official date of publication. Also at the time
of submission, Subgrantee and /or the Subgrantee's submitting
author must specify the date the final manuscript will be publicly
accessible through PubMed Central (PMC). Subgrantee and /or
Subgrantee's submitting author must also post the manuscript
through PMC within twelve (12) months of the publisher's official
date of final publication; however the author is strongly encouraged
to make the subject manuscript available as soon as possible.
Subgrantee must obtain prior approval from Subgrantor and CDC
for any exception to this provision.
The author's final, peer- reviewed manuscript is defined as the final
version accepted for journal publication, and includes all
modifications from the publishing peer review process, and all
graphics and supplemental material associated with the article.
PICH Subcontract Page 16
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DPOO5861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
Subgrantee and its submitting authors working under this Grant are
responsible for ensuring that any publishing or copyright agreements
concerning submitted articles reserve adequate right to fully comply
with this provision and the license reserved by CDC. The manuscript
will be hosted in both PMC and the CDC Stacks institutional
repository system. In progress reports for this Grant, Subgrantee
must identify publications subject to the CDC Public Access Policy
by using the applicable NIHMS identification number for up to three
(3) months after the publication date and the PubMed Central
identification number (PMCID) thereafter;
h. Disclaimer for Conference /Meeting /Seminar Materials
If a conference /meeting /seminar is funded by this Grant, Subgrantee
must include the following statement on conference materials,
including promotional materials, agenda, and internet sites:
Funding for this conference was made possible (in part) by the Centers
for Disease Control and Prevention. The views expressed in written
conference materials or publications and by speakers and moderators
do not necessarily reflect the official policies of the Department of
Health and Human Services, nor does the mention of trade names,
commercial practices, or organizations imply endorsement by the U.S.
Government;
i. Logo use for Conference and Other Materials
Neither the Department of Health and Human Services (HHS) nor the
CDC logo may be displayed if such display would cause confusion as
to the funding source or give false appearance of Government
endorsement. Use of the HHS name or logo is governed by U.S.C.
Part 1320b -10, which prohibits misuse of the HHS name and emblem
in written communication. A non - federal entity is unauthorized to use
the HHS name or logo governed by U.S.C.Part 132Ob -10. The
appropriate use of the HHS logo is subject to review and approval of
the HHS Office of the Assistant Secretary for Public Affairs (OASPA).
Moreover, the HHS Office of the Inspector General has authority to
impose civil monetary penalties for violations (42 CFR- Part 1003).
Accordingly, neither the HHS nor the CDC logo can be used by the
Subgrantee without the express, written consent of either the CDC
Project Officer or the CDC Grants Management Officer. It is the
responsibility of the Subgrantee to request consent through
Subgrantor for use of the logo in sufficient detail to ensure a
complete depiction and disclosure of all uses of the Government
PICH Subcontract Page 17
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DPO05861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
logos. In all cases for utilization of Government logos, Subgrantee
must ensure written consent is received from the Project Officer
and /or the Grants Management Officer through Subgrantor;
j. American Made products
To the greatest extent practicable, all equipment and products
purchased with CDC funds should be American -made. CDC defines
equipment as tangible non - expendable personal property
(including exempt property) charged directly to an award having a
useful life of more than one year AND an acquisition cost of $5,000
or more per unit. However, consistent with Subgrantee policy, a
lower threshold may be established. Please provide the information
to Subgrantor to establish a lower equipment threshold to reflect
Subgrantee's organization's policy.
Subgrantee may use its own property management standards and
procedures, provided it observes provisions of in applicable grant
regulations and OMB circulars;
k. Federal Information Security Management Act (FISMA)
All information systems, electronic or hard copy, that contain federal
data must be protected from unauthorized access. This standard
also applies to information associated with CDC grants. Congress
and the OMB have instituted laws, policies and directives that
govern the creation and implementation of federal information
security practices that pertain specifically to grants and contracts.
The current regulations are pursuant to the Federal Information
Security Management Act (FISMA), Title III of the E- Government
Act of 2002, PL 107 -347.
FISMA applies to Subgrantee only when Subgrantee collects, stores,
processes, transmits or uses information on behalf of HHS or any of
its component organizations. In all other cases, FISMA is not
applicable to recipients of grants, including cooperative agreements.
Under FISMA, Subgrantee retains the original data and intellectual
property, and is responsible for the security of these data, subject to
all applicable laws protecting security, privacy, and research.
If/When information collected by a Subgrantee is provided to HHS,
responsibility for the protection of the HHS copy of the information is
transferred to HHS and it becomes the agency's responsibility to
protect that information and any derivative copies as required by
FISMA. For the full text of the requirements under Federal
PICH Subcontract Page 18
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: IU58DPOO5861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
Information Security Management Act (FISMA), Title III of the E-
Government Act of 2002 Pub. L. No. 107 -347, please review the
following website: http: / /frwebgate.access.gpo.gov /cqi-
bin/ getdoc .cgi ?dbname= 107_cong_public_ laws &docid= f:publ347.10
7.pdf;
Pilot Program for Enhancement of Contractor Employee Whistleblower
Protection:
i. Subgrantee is hereby given notice that the 48 CFR section
3.908, implementing section 828, entitled "Pilot Program for
Enhancement of Contractor Employee Whistleblower
Protections," of the National Defense Authorization Act (NOAA)
for Fiscal Year (FY) 2013 (Pub. L. 112 -239, enacted January 2,
2013), applies to this Grant. The use of the term "Contract ",
"contractor," "subcontract," or "subcontractor" for the purpose of
this term and condition, should be read as "grant," "grantee,"
"subgrant," or "subgrantee ";
ii. This Agreement and employees working on this Agreement will
be subject to the whistleblower rights and remedies in the pilot
program on Contractor employee whistleblower protections
established at 41 U.S.C. 4712 by section 828 of the National
Defense Authorization Act for Fiscal Year 2013 (Pub. L. 112-
239) and FAR 3.908;
iii. The Subgrantee shall inform its employees in writing, in the
predominant language of the workforce, of employee
Whistleblower rights and protections under 41 U.S.C. 4712, as
described in section 3.908 of the Federal Acquisition Regulation;
and
iv. The Subgrantee shall insert the substance of this clause,
including this paragraph (d), in all subcontracts over the
simplified acquisition threshold.
m. Amendment and Modification
Formal amendments to this Agreement are required for changes
to: the term, total cost or Maximum Amount, scope of work,
and /or formal name changes. No amendment to this
Agreement shall be valid unless made in writing, signed by the
parties, and approved as required. No oral understanding or
PICH Subcontract Page 19
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: lU58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
Agreement not incorporated in the Agreement is binding on any
of the parties;
ii. If Subgrantee intends to request a formal amendment to this
Agreement, the request must be submitted in writing; and
iii. Any increase to out -of -state travel costs or equipment
purchases will require a request for modification to the budget.
10. Correspondence Requirements
a. All correspondence, including emails and faxes, to Subgrantor must be
dated, identified with the Award Number and include name, email
address, phone number and fax number of contact person.
b. Unless otherwise provided herein, notice given by the parties shall be
in writing, delivered personally, by United States certified mail and
deemed delivered three (3) days after tendered for delivery, or by
overnight delivery service (with confirmation). Certain reporting and
other communications may be delivered electronically or as is
customary between the parties.
c. Address of Subgrantor and point of contact:
For Program Correspondence
Ann Mino — Program Manager
12666 Hoover Street
Garden Grove, CA 92841
Email: amino(cDcapoc.org
Telephone: 717- 406 -2500, ext. 5316
For Contract Correspondence
Belinda Ong — Contract Manager
12666 Hoover Street
Garden Grove, CA 92841
Email: bong @capoc.org
Telephone: 714 - 406 -2500, Ext. 5350
d. Address of Subgrantee and point of contact
PICH Subcontract Page 20
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: lU58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
City of Santa Ana
Attn: Cory Wilkerson
20 Civic Center Plaza
Santa Ana, CA 92701
11. Closeout Requirements
Subgrantee must submit closeout reports in a timely manner. Unless an
extension is granted, Subgrantee must submit all closeout reports within sixty
(60) days after the last day of the final budget period. Failure to submit timely
and accurate final reports may affect future funding. An original plus two
copies of the reports must be mailed to Subgrantor by the due date noted.
Ensure the Award and Program Announcement numbers shown above are on
the reports. All manuscripts published as a result of the work supported in
part or whole by this Grant must be submitted with the progress reports.
a. Final Performance Report:
At a minimum, the report should include the following:
i. Statement of progress made toward the achievement of
originally stated aims;
ii. Description of results (positive or negative) considered
significant; and
iii. List of publications resulting from the project, with plans, if any,
for further publication.
b. Final Financial Report
The final financial report should only include those funds authorized
and actually expended during the timeframe covered by this report.
This report must indicate the exact balance of unobligated funds and
may not reflect any unliquidated obligations;
c. Equipment Inventory Report
An original and two copies of a complete inventory must be
submitted for all major equipment acquired or furnished under this
Grant with a unit acquisition cost of $5,000 or more. The inventory
list must include the description of the item, manufacturer serial
and /or identification number, acquisition date and cost, percentage of
PICH Subcontract Page 21
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
Federal funds used in the acquisition of the item. The Subgrantee
should also identify each item of equipment that it wishes to retain for
continued use in accordance with 2 CFR Parts 200, 215.37 or 2 CFR
Part 215.71. These requirements do apply to equipment purchased
with non - federal funds for this Grant. CDC may exercise its rights to
require the transfer of equipment purchased under the assistance
award. CDC and Subgrantor will notify the Subgrantee if transfer to
title will be required and provide disposition instruction on all major
equipment. Equipment with a unit acquisition cost of less than $5,000
that is no longer to be used in projects or programs currently or
previously sponsored by the Federal Government may be retained,
sold, or otherwise disposed of, with no further obligation to the
Federal Government. If no equipment was acquired under this
award, a negative report is required; and
d. Final Invention Statement
An original and two copies of a Final Invention Statement are required.
Electronic versions of the form can be downloaded by visiting
http: / /www.hhs.gov /forms /hhs568.pdf. If no inventions were conceived
under this assistance award, a negative report is required.
12. Insurance Requirements
a. By execution of this Agreement, Subgrantee agrees that the below -
required insurance policies and bond shall be in effect at all times
during the term of this Agreement.
Commercial General Liability with broad form property damage and
contractual liability — minimum $1,000,000 per occurrence and
$2,000,000 aggregate
Automobile Liability (including coverage for owned, non -owned and
hired vehicles) — minimum $1,000,000 per occurrence
Worker's Compensation — statutory
Employer's Liability — minimum $1,000,000 per occurrence
Professional Liability - $1,000,000 per claims made or per occurrence
Employee Liability — minimum $750,000
PICH Subcontract Page 22
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
b. Subgrantee shall provide Subgrantor with written notice at least
thirty (30) calendar days prior to cancellation or reduction of
insurance coverage to an amount less than that required in this
Agreement;
c. In the event said insurance coverage expires at any time or times
during the term of this Agreement, Subgrantee agrees to provide within
thirty (30) calendar days prior to said expiration date, a new Certificate
of Insurance (ACORD 25) evidencing insurance coverage as provided
for herein for not less than the remainder of the term of this
Agreement. The Certificate shall identify and name Subgrantor as the
Certificate Holder;
d. New Certificates of Insurance will be reviewed for content and form by
Subgrantor;
e. In the event Subgrantee fails to maintain in effect at all times the
specified insurance and bond coverage as herein provided,
Subgrantor may, in addition to any other available remedies it may
have, suspend this Agreement;
f. With the exception of workers' compensation and fidelity bond, CDC
shall be named as additional insured on all Certificates of Insurance
required under this Agreement;
g. The issuance of other CDC contracts, to include any cash advances
and reimbursement payments, to the Subgrantee shall be contingent
upon required current insurance coverage being on file at Subgrantor
and CDC for this Agreement; and
h. Should Subgrantee utilize a sub - subgrantee(s) to provide services
under this Agreement, Subgrantee shall indemnify and hold
Subgrantor and CDC harmless against any liability incurred by that
sub - grantee(s).
13. Codes of Conduct
a. Written standards. Subgrantee shall maintain written standards of
conduct governing the performance of its employees engaged in the
award and administration of contracts or subcontracts. No employee,
officer, or agent of the Subgrantee shall participate in the selection,
award, or administration of a sub - subcontract supported by federal
funds if a real or apparent conflict of interest would be involved. Such
a conflict would arise when the employee, officer, or agent, any
PICH Subcontract Page 23
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
member of his or her immediate family, his or her partner, or an
organization that employs or is about to employ any of the parties
indicated herein, has a financial or other interest in the firm selected for
an award. The officers, employees, and agents of the Subgrantee
shall neither solicit nor accept gratuities, favors, or anything of
monetary value from sub - subgrantees or parties to sub -
subagreements. The standards of conduct shall provide for
disciplinary actions to be applied for violations of such standards by
officers, employees, or agents of the recipients.
b. Self- dealing prohibited. Subgrantee shall not pay federal funds
received from CDC to any entity in which it (or one of its employees,
officers, agents, any member of his or her immediate family, his or her
partner, or an organization that employs or is about to employ any of
the parties indicated herein) has an interest. As ownership constitutes
a financial interest, Subgrantee shall not sub - subcontract with a
subsidiary. Similarly, Subgrantee shall not sub - subcontract with an
entity that employs or is about to employ any person described in 45
CFR Part 92 (for states and local governments) and 45 CFR Part 74
(for nonprofit organizations), and /or OMB Circular A 110, Section 42,
or subsequent amendments to these requirements.
c. Subgrantee certifies that its employees and the officers of its governing
body shall avoid any actual or potential conflicts of interest and that no
officer or employee who performs any functions or responsibilities in
connection with this Agreement shall have any personal financial
interest or benefit that either directly or indirectly arises from this
Agreement.
d. Subgrantee shall establish written safeguards to prohibit its employees
or its officers from using their positions for a purpose that could result
in private gain or that gives the appearance of being motivated for
private gain for themselves or others, particularly those with whom they
have family, business, or other ties.
14. Procurement Standards
a. Maintenance of written procurement procedures. Subgrantee shall
administer this Agreement in accordance with all federal rules and
regulations pertaining to procurement, including Office of Management
and Budget (OMB) Circulars and amendments thereto. Subgrantee
PICH Subcontract Page 24
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
shall establish, maintain, and follow written procurement procedures
consistent with the procurement standards in 45 CFR Part 92 (OMB
Circular A -102 for state and local governments) and 45 CFR Part 74
(OMB Circular A -110 for education institutions and nonprofit
organizations), or any subsequent amendments to these standards,
and all additional provisions in this Agreement, including but not limited
to a code of conduct for the award and administration of contracts and
a procedure that provides, to the maximum extent practical, open and
free competition;
b. Eligible bidders. Subgrantee shall not permit any organizational
conflicts of interest or noncompetitive practices that may restrict or
eliminate competition or otherwise restrain trade. In order to ensure
objective sub - subgrantee performance and eliminate unfair competitive
advantage, individuals, or firms that develop or draft specifications,
requirements, statements of work, invitations for bids, and /or requests
for proposals shall be excluded from competing for such procurements.
Subgrantee shall award any sub - subgrant to the bidder or offeror
whose bid or offer is responsive to the solicitation and is most
advantageous to Subgrantee when considering price, quality, and
other factors. Subgrantee's solicitations shall clearly set forth all
requirements that the bidder or offeror shall fulfill in order for the bid or
offer to be evaluated by the recipient;
c. Subgrantee assures that all supplies, materials, vehicles, equipment,
or services purchased or leased with funds provided by this Agreement
shall be used solely for the activities allowed under this Agreement,
unless a fair market value for such use is charged to the benefiting
program and credited to this Agreement.
d. Subgrantee shall provide for open and free competition and adequate
cost analysis in all procurement transactions for each purchase order,
lease, or sub - subcontract for any articles, supplies, equipment, or
services to be obtained from vendors or sub - subcontractors;
e. Non - competitive bid justification. If a service or product is of a unique
nature, or more than one vendor /provider cannot reasonably be
identified, Subgrantee shall maintain adequate justification for the
absence of competitive bidding "Adequate justification" must include,
but is not limited to:
PICH Subcontract Page 25
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DPOO5861
Grant Number: 1U58DPOO5861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
i. Explanation of why the acquisition of goods or services is limited
to one vendor or supplier;
ii. Description of sole vendor /supplier's unique qualifications to
provide the goods or services in question; and
iii. Analysis of cost(s) to demonstrate reasonableness.
f. Emergency procurements. In cases of bona fide emergency where
awarding a sub - subgrant is necessary for the immediate preservation
of public health, welfare, or safety, documentation of the emergency
will be sufficient in lieu of the three -bid process;
g. In all procurements, Subgrantee is solely responsible for maintenance
of adequate procurement records demonstrating compliance with
Federal and State requirements; and
h. Noncompliance with any of the provisions in this section may result in
a disallowance of the costs of the procurement transaction.
15. Sub - Subgrant
a. Subgrantee may enter into sub- subgrants) to perform part or all of the
direct services covered under this Agreement. Prior to the
commencement of sub- subcgrant services under this Agreement,
Subgrantee shall obtain board approval, to include but not be limited
to, an assurance that the sub - subgrantee agreement(s) shall comply
with all terms, conditions, assurances, and certifications of this
Agreement for the nonprofit and local governmental agencies
performing services in the area(s) described in ARTICLE 1 -SCOPE
OF WORK;
b. Notification of sub - subgrant execution. Subgrantee shall provide
written notification to Subgrantor within sixty (60) calendar days prior to
execution of each sub - subgrant agreement the name of the sub -
subgrantee entity, its address, telephone number, contact person,
contract amount, and program description of each sub - subgrantee
activity to be performed under this Agreement. This written notification
shall also include a certification that, to the best of Subgrantee's
knowledge, the sub - subgrantee is not presently debarred, suspended,
proposed for debarment, declared ineligible, or voluntarily excluded
from covered transactions by any federal department or agency. For
purposes of this certification of sub - subgrantee eligibility, Subgrantee
PICH Subcontract Page 26
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
may rely on information provided via the Excluded Parties List System
(EPLS), available at https: / /www.sam.gov /portal /public /SAM /•
c. If Subgrantor determines that Subgrantee has executed a sub -
subgrant with an individual or entity listed as debarred, suspended, or
otherwise ineligible on EPLS as of the effective start date of the sub-
subgrant, costs Subgrantee has incurred under this Agreement may be
disallowed;
d. Subgrantee is solely responsible for allowable use and allocation of all
funds under this Agreement. Subgrantee shall maintain control and
accounting procedures capable of tracing funds paid to any sub -
subgrantee to a level of expenditure sufficient to establish that such
funds have been used in accordance with the terms of this Agreement
and applicable laws. Any sub - subgrants under this Agreement shall
provide for adequate controls and substantiation of expenditures.
Such controls may include requiring sub - subgrantees to provide
detailed invoices, periodic monitoring of sub- subgrantee's program
activities and fiscal accountability, retaining a right of reasonable
access to the sub - subgrantee's books and records, or any other
method(s) by which Subgrantee can fulfill its responsibility to
substantiate costs as required by OMB Circulars A -87, 122, and 133
and /or applicable amendments to these provisions;
e. Subgrantee is solely responsible for performance of the terms,
conditions, assurances, and certifications of this Agreement, without
recourse to the Federal government, the State and Subgrantor;
regarding the settlement and satisfaction of all contractual and
administrative issues arising out of sub - subgrant agreement(s) entered
into in support of this Agreement, including disputes, claims, or other
matters of a contractual nature as well as civil liability arising out of
negligence or intentional misconduct of the sub - subgrantee(s);
f. Nothing contained in this Agreement shall create any contractual
relation between Subgrantor and any sub - subgrantees, and no sub -
subgrant shall relieve the Subgrantee of its responsibilities and
obligations hereunder. Subgrantee shall be liable for any acts and
omissions of its sub - subgrantees or of persons either directly or
indirectly employed by sub - subgrantees in violation of this Agreement.
Subgrantee's obligation to pay sub - subgrantee(s) is independent from
CDC and Subgrantor's obligation to make payments to Subgrantee.
PICH Subcontract Page 27
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
As a result, CDC and Subgrantor shall have no obligation to pay or to
enforce payment of any moneys to any sub - subgrantee; and
g. In the event CDC and /or Subgrantor suspends, terminates, and /or
makes changes to the services to be performed under this Agreement,
Subgrantee shall notify all of its sub - subgrantees in writing within five
(5) days of receipt of notice of such action.
16. Federal and State Policy Provisions
a. Certifications — Subgrantee's signature affixed hereon shall constitute a
certification that to the best of its ability and knowledge it will comply
with the provisions set forth in the following:
i. Drug Free Workplace Requirements Contract Certification
Clause (CCC 307);
J. National Labor Relations Board Certification (CCC 307);
iii. Expatriate Corporations (CCC 307);
iv. Domestic Partners (CCC 307);
v. Amendment for Change of Agency Name (CCC 307);
vi. Resolution (CCC 307);
vii. Air and Water Pollution Violation (CCC -307);
viii. Information Integrity and Security (Department of Finance,
Budget Letter 04 -35); and
ix. Safeguarding Against and Responding to a Breach of Security
Involving Personal Information (Department of General
Services, Management Memo 08 -11)
The above documents are hereby incorporated by reference and made
a part of this Agreement by this reference as if attached hereto;
b. Federal Certification Regarding Debarment, Suspension and Related
Matters - Contractor hereby certifies to the best of its knowledge that it,
any of its officers, or any sub - subgrantee(s):
i. Are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from
covered transactions by any federal department or agency;
ii. Have not within a three (3) year period preceding this
Agreement been convicted of or had a civil judgment rendered
against them for commission of fraud or a criminal offense in
connection with obtaining, attempting to obtain, or performing a
public (federal, state, or local) transaction or contract under a
PICH Subcontract Page 28
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
public transaction; violation of federal or State antitrust statutes;
commission of embezzlement, theft, forgery, or bribery;
falsification or destruction of records; making false statements;
or receiving stolen property;
iii. Are not presently indicted for or otherwise criminally or civilly
charged by a governmental entity (federal, state, or local) with
commission of any of the offenses enumerated in paragraph b
of this certification;
iv. Have not, within a three (3) year period preceding this
Agreement, had one or more public (federal, state, or local)
transactions terminated for cause or default;
v. If any of the above conditions are true for the Subgrantee, any
of its officers, or any sub - subgrantee(s), Subgrantee shall
describe such condition(s) in writing and submit this information
to Subgrantor with the other forms Subgrantee must complete
and return prior to Subgrantor's execution of this Agreement.
Based on the description, Subgrantor in its discretion may
decline to execute this Agreement, or set further conditions of
this Agreement. In the event any of the above conditions are
true and not disclosed by Subgrantee, it shall be deemed a
material breach of this Agreement, and Subgrantor may
terminate this Agreement for cause immediately pursuant to the
termination provisions of State and federal law governing the
this Agreement; and
vi. As provided in this Agreement, Subgrantee must certify in
writing to the best of its knowledge that any sub - subgrantee(s)
are not presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from
covered transactions by any federal department or agency.
c. Affirmative Action Compliance
i. Each Subgrantee or sub - subgrantee with 50 or more employees
and an agreement of $50,000 or more shall be required to
develop a written Affirmative Action Compliance Program;
ii. The written program shall follow the guidelines set forth in Title
41 CFR Section 60 1.40, Sections 60 2.10 through 60 2.32,
Sections 60 250.1 through 60 250.33, and Sections 60 741.4
through 60 741.32; and
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CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
iii. Each Subgrantee or sub - subgrantee with less than 50
employees shall comply with Section 202 of Part II of Executive
Order 11246, as amended by Executive Order 11375.
Subgranee shall ensure that sub - subgrantees falling within the
scope of this provision shall comply in full with the requirements
thereof.
d. Nondiscrimination Compliance
i. Subgrantee's signature affixed hereon shall constitute a
certification that to the best of its ability and knowledge will,
unless exempted, comply with the nondiscrimination program
requirements set forth in this section;
ii. Subgrantee hereby certifies compliance with the following:
a) Federal Executive Order 11246, as amended by
Executive Order 11375, relating to equal employment
opportunity;
b) Title VI and Title VII of the Civil Rights Act of 1964, as
amended;
c) Rehabilitation Act of 1973, as amended;
d) Vietnam Era Veterans Readjustment Assistance Act of
1972, as amended;
e) Title 41, Code of Federal Regulations (CFR), Chapter 60,
Office of Federal Contract Compliance Programs, Equal
Employment Opportunity, Department of Labor, as
amended; and
f) Public Law 101 336, Americans with Disabilities Act of
1990, as amended.
e. Transparency Act Reporting - In accordance with requirements of the
Federal Funding Accountability and Transparency Act (FFATA),
Subgrantee that 1) are not required by the IRS to annually file a Form
990 federal return, 2) receive at least 80% of their annual gross
revenues from federal sources (excluding any ARRA funds), and 3)
have annual gross revenues totaling $25,000,000.00 or more from
federal grants, contracts, or other federal sources (excluding any
ARRA funds), shall provide to Subgrantor a current list of names and
total compensation of Subgrantee's top five (5) highly compensated
officials /employees. The list shall be provided with the executed copy
of the Agreement returned to Subgrantor. This requirement applies
PICH Subcontract Page 30
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
only to Subgrantee that falls within all three categories set forth in this
paragraph;
f. Specific Assurances
i. Pro - Children Act of 1994
a) This Agreement incorporates by reference all provisions
set forth in Public Law 103 -227, Part C - Environmental
Tobacco Smoke, also known as the Pro - Children Act of
1994 (Act);
b) Subgrantee further agrees that the above language will
be included in any sub - subgrants that contain provisions
for children's services and that all sub- subgrantees shall
certify compliance accordingly. For detailed explanation,
see http: / /Providers.csd.ca.gov /;
c) This Agreement incorporates by reference all provisions
set forth in the Child Support Services and Referrals
(Section 678 (b) 1998 CSBG Reauthorization Act)." For
detailed explanation, see http: / /providers.csd.ca.gov /.
ii. Federal and State Occupational Safety and Health Statues.
Subgrantee assures that it shall be in compliance with the
provisions as set forth in Federal and State Occupational Safety
and Health Statutes; the California Safe Drinking Water and
Toxic Enforcement Act of 1986; Universal Waste Rule
(Hazardous Waste Management System: Modification of the
Hazardous Waste Recycling Regulatory Program); Final Rule;
and Workers' Compensation laws;
iii. Political Activities
a) Subgrantee shall refrain from all political activities if such
activities involve the use of any funds that are the subject
of this Agreement; and
b) Subgrantee is prohibited from any activity that is
designed to provide voters or prospective voters with
transportation to the polls or to provide similar assistance
in connection with an election if such activities involve the
use of any funds that are subject to this Agreement.
iv. Lobbying Activities
a) Subgrantee shall refrain from all lobbying activities if such
activities involve the use of any funds that are the subject
PICH Subcontract Page 31
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA-DP14 -1417
of this Agreement or any other fund, programs, projects,
or activities that flow from this Agreement; and
b) If Subgrantee engages in lobbying activities, Subgrantee
shall complete, sign and date the CERTIFICATION
REGARDING LOBBYING /DISCLOSURE OF LOBBYING
ACTIVITIES, Attachment _, as required by the U.S.
Department of Health and Human Services under 45
CFR Part 93.
v. Data Universal Numbering System (DUNS) Requirements
Subgrantee shall provide to Subgrantor proof of an active nine -
digit Data Universal Numbering System (DUNS) number as a
prerequisite to execution of this Agreement. To obtain
authentication of the DUNS number, print and submit
verification from the Systems for Award Management website
at https: / /www.sam.gov /portal /public /SAM /.
17. General Terms and Conditions
a. Approval: This Agreement is of no force or effect until signed by both
parties and approved by the CDC, if required. Subgrantee may not
commence performance until such approval has been obtained;
b. Amendment: No amendment or variation of the terms of this
Agreement shall be valid unless made in writing, signed by the parties
and approved as required. No oral understanding or Agreement not
incorporated in the Agreement is binding on any of the parties;
c. Assignment: This Agreement is not assignable by Subgrantee, either in
whole or in part, without the consent of Subgrantor in the form of a
formal written amendment;
d. Audit: Subgrantee agrees to allow the auditor(s) access to such
records during normal business hours and to allow interviews of any
employees who might reasonably have information related to such
records. Further, Subgrahtee agrees to include a similar right of the
awarding agency and Subgrantor to audit records and interview staff in
any sub - subgrantees related to performance of this Agreement. (Gov.
Code §8546.7, Pub. Contract Code §10115 et seq., CCR Title 2,
Section 1896);
e. Indemnification: Subgrantee agrees to indemnify, defend and save
harmless CDC and Subgrantor, their officers, agents and employees
PICH Subcontract Page 32
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
from any and all claims and losses accruing or resulting to any and all
subgrantee, sub - subgrantees, suppliers, laborers, and any other
person, firm or corporation furnishing or supplying work services,
materials, or supplies in connection with the performance of this
Agreement, and from any and all claims and losses accruing or
resulting to any person, firm or corporation who may be injured or
damaged by Subgrantee in the performance of this Agreement;
f. Disputes: Subgrantee shall continue with the responsibilities under
this Agreement during any dispute;
g. Termination for Cause: Subgrantor may terminate this Agreement and
be relieved of any payments should the Subgrantee fail to perform the
requirements of this Agreement at the time and in the manner herein
provided. In the event of such termination Subgrantor may proceed
with the work in any manner deemed proper by Subgrantor. All costs to
Subgrantor shall be deducted from any sum due Subgrantee under this
Agreement and the balance, if any, shall be paid to the Subgrantor
upon demand;
h. Independent Contractor: Subgrantee, and the agents and employees
of Subgrantee, in the performance of this Agreement, shall act in an
independent capacity and not as officers or employees or agents of
Subgrantor;
i. Non - Discrimination Clause: During the performance of this
Agreement, Subgrantee and its sub - subgrantees shall not unlawfully
discriminate, harass, or allow harassment against any employee or
applicant for employment because of sex, race, color, ancestry,
religious creed, national origin, physical disability (including HIV and
AIDS), mental disability, medical condition (e.g., cancer), age (over
40), marital status, and denial of family care leave. Subgrantee and its
sub - subgrantees shall insure that the evaluation and treatment of their
employees and applicants for employment are free from such
discrimination and harassment. Subgrantee and its sub- subgrantee(s)
shall comply with the provisions of the Fair Employment and Housing
Act (Gov. Code §12990 (a -f) et seq.) and the applicable regulations
promulgated thereunder (California Code of Regulations, Title 2,
Section 7285 et seq.). The applicable regulations of the Fair
Employment and Housing Commission implementing Government
Code Section 12990 (a -f), set forth in Chapter 5 of Division 4 of Title 2
PICH Subcontract Page 33
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
of the California Code of Regulations, are incorporated into this
Agreement by reference and made a part hereof as if set forth in full.
Subgrantee and its sub - subgrantees shall give written notice of their
obligations under this clause to labor organizations with which they
have a collective bargaining or other Agreement. Subgrantee shall
include the nondiscrimination and compliance provisions of this clause
in all sub - subgrant to perform work under this Agreement;
j. Timeliness: Time is of the essence in this Agreement;
k. Governing Law: This Agreement is governed by and shall be
interpreted in accordance with the laws of the State of California;
I. Antitrust Claims: The Subgrantee by signing this Agreement hereby
certifies that if services or goods are obtained by means of a
competitive bid, the Subgrantee shall comply with the requirements of
the federal and state laws;
m. Child Support Compliance Act: If this Agreement is in excess of
$100,000, the Subgrantee acknowledges in accordance with Public
Contract Code 7110, that:
i. The Subgrantee recognizes the importance of child and family
support obligations and shall fully comply with all applicable
state and federal laws relating to child and family support
enforcement, including, but not limited to, disclosure of
information and compliance with earnings assignment orders,
as provided in Chapter 8 (commencing with section 5200) of
Part 5 of Division 9 of the Family Code; and
ii. The Subgrantee, to the best of its knowledge is fully complying
with the earnings assignment orders of all employees and is
providing the names of all new employees to the New Hire
Registry maintained by the California Employment Development
Department.
n. Unenforceable Provision: In the event that any provision of this
Agreement is unenforceable or held to be unenforceable, then the
parties agree that all other provisions of this Agreement have force and
effect and shall not be affected thereby;
o. Texting while driving: Subgrantee and sub- subgrantees of this
Agreement are prohibited from texting while driving a Government
owned vehicle or when using Government furnished electronic
equipment while driving any vehicle. Texting means reading from or
PICH Subcontract Page 34
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
entering data into any handheld or other electronic device., including
SMS texting, e- mailing, instant messaging, obtaining navigational
information, or engaging in any other form of electronic data retrieval or
electronic data communication. Driving means operating a motor
vehicle on an active roadway with the motor running, including while
temporarily stationary due to traffic, a traffic light, stop sign or
otherwise. It does not include operating a motor vehicle with or without
the motor running when one has pulled over to the side of, or off, an
active roadway and has halted in a location where one can safely
remain stationary. Subgrantee and sub- subgrantees are responsible
for ensuring their employees are aware of this prohibition and adhere
to this prohibition.
IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be duly
executed as of the day and year last signed.
Subgrantor
Community Action Partnership
Of Orange County,
a California non - profit corporation
Name: Clarence W. Ray
Title: Executive Director
Date: g
APPROVED AS TO FORM
LISA E. STORCK
Assistant City Attorney
Subgrantee
City of Santa Ana
a municipal corporation
Title: _0 -11Y AcLyyaa e y -
Date: JL @ 9 2015
ATTEST'
D I/
MARIA D. HUIZAR
CLERK OF THE COUNCIL.
PICH Subcontract Page 35
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
Exhibit A
Scope of Work
PICH Subcontract Page 36
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
City Of Santa Ana 2€14-201.5
Scope of Work October.l, 2014 to September 29, 2015
Partnerships to Improve Community Health (PICH) use evidence and practice -based
strategies to create or strengthen healthy environments that make it easier for people to
make healthy choices and take charge of their health. PICH maximizes public health
impact in a sustainable way by creating, updating and implementing Policy, Systems
and Environmental (PSE) changes within the targeted communities.
OC -PICH, which includes 11 funded agencies, will focus on 3 targeted strategies;
increase access and consumption of healthy foods and beverages, increase access to
safe places to be active, and media /communications as it related to CDC approved
activities /strategies to community residents (safe biking /walking campaign, increase
water consumption campaign, etc.). All strategies will have an evaluation component,
which all subgrantees will provide their evaluation information (surveys, results, etc.), as
it related to OC- PICH /CDC funded projects, to CAPOC and to the program evaluation
subgrantees,. The project is required to reach 75% or 623,757 residents in the cities of
Anaheim, Garden Grove and Santa Ana by September 2017.
Project Period Objective (PPO) — Nutrition
Increase the number of K -12 schools with improved school local procurement
policies and practices:
Farm to Institution —The Coalition will expand farm -to- institutions programs in Anaheim,
Garden Grove and Santa Ana. Implementing Farm to School with the programs
jurisdiction will create access to healthy, local food options for community residents and
priority population. The City's activities for this strategy include:
• Support OCFAC and other coalition partners.
Increases the number of jurisdictions with strategies to incorporate land /vendor
use agreements to improve access to fresh, local produce and strategies to
incorporate free /low -cost beverage options, specifically water to community
residents:
Community Garden - Year 1, the Coalition will focus on community gardens. The
achievement of our activities will create land use policies that will allow community
members access to healthy foods. The City's activities for this strategy include:
+ Advocate updating, amending or establishing new zoning or land policies to
accommodate community gardens. Deliverable - calendar of events; and
• Identify opportunities to implement new community gardens.
Page 1 of 4
City of Santa Ana 1 2014 -2015
Water Access - Discourage consumption of sugar - sweetened beverages /encourage
consumption of water, specifically tap water in public spaces. AHOC's activities for this
strategy include;
• Encourage residents to consume water /support CAPOC's water campaign; and
• Develop a balanced offering policy plan that will increase personal choice in
vending machines in public venues.
Project Period Objective (PPO) — Physical Activity
Increase the number of K -12 schools insuring students receive moderate to
vigorous state required physical activity minutes.
Physical Activity Opportunities — Supports the CA State law that mandates every
student needs to receive 200 minutes of'Physical Education every 10 school days in
elementary schools and 400 minutes every 10 school days in secondary schools.
AHOC will support the development and implementation of physical activity policies in
the targeted school districts. The Coalition will focus on one school district, while still
providing technical assistance to the other districts. The City's activities for this strategy
include:
t Support OCDE and other coalition partners.
Increase the number of jurisdiction with improved policies and physical
environment related to active transportation.
Active Transportation — Includes enhancing and supporting infrastructure for bicycle and
pedestrian plans, enhance traffic safety in areas where persons are physical activity.
The City's activities for this strategy include:
• Provide and 'encourage physical activity opportunities for residents;
• Install 5 waste receptacles along walking corridors to support safe and healthy
environments. Deliverable — installation of waste receptacles;
• Install 25 tree guards along sidewalks to increase walkable surface area of
sidewalks. Deliverable — installation of tree guards;
• Install 4 benches around the city of people to take breaks while engaging in
physical activity. Deliverable — installation of benches;
• Install 30 bike racks around the city. Deliverable — installation of bike racks;
• Install 4 intersection enhancements to encourage safe and attractive physical
activity. Deliverable — installation of enhancements;
Page 2 of 4
City of Santa Ana 12014-2015
• Organize and host an Open Streets Event. Deliverable - Event;
• Support safe, healthy environments; Deliverable — program /progress report and
• Support and assist, as needed, UCI and SSG evaluation efforts. Deliverable —
program /progress report.
Increase the number of jurisdictions with media and communications supporting
community health activities.
Media /Communications - communicate our partnerships and PSE strategies to the
public. The overall communication plan will utilize mixed communication methods to
target all areas of OC -PICH jurisdiction in communication our health campaigns.
CAPOC will house the communications at their site. If any technical assistance is
needed regarding communications for OC -PICH please submit a request.
• Provide support for the development of a social media campaigns, as well as,
other mixed communication methods. Deliverable - Calendar of events and
implementation of media campaigns.
The City's program progress and performance will be monitored by the Program
Manager. The Contract Manager will ensure The City of Santa Ana is contract
compliant. The following will be required of Subgrantee;
• Required attendance to monthly OC -PICH planning meetings;
• Provide a monthly activity /event calendar to the Program Manager. The calendar
will include activities completed with CDC funds, as well as supporting un- funded
activities;
• Quarterly program /progress reports due to Program Manager (including;
meetings, activities, PSE efforts, etc.);
• All payroll related support materials for personnel working on the OC PICH
program will be submitted to Contract Manager monthly;
• Submit bidding process, following CDC & CAPOC policies and procedures, to
Contracts Manager, as needed;
• All budget and /or program modifications need to have prior approval by PI;
• Monthly billing reports (including all invoices related to OC PICH funding) due to
Contract Manager;
• CAPOC will complete site visits at a minimum two times per contract year, as
funding allows; and
Page 3 of 4
City of Santa Ana 12014-2015
• Use OC -PICH logo, slogan and materials, once created and approved by the
Coalition, for all OC -PICH related materials. CAPOC will house the
Communications for this project. If any materials or more information is needed
regarding media /communications please submit a request.
Page 4 of 4
Exhibit B
Notice of Award
PICH Subcontract Page 37
CFDA Number: 93.331
Federal Award Identification Number (FAIN): U58DP005861
Grant Number: 1U58DP005861 -01
Funding Opportunity Announcement Number: CDC- RFA -DP14 -1417
The first page of the NOA is intentionally left blank
Page 1 of 16
SECTION I —AWARD DATA — 1USODPO05861.01
Award Calculation fU S Dollarsl
$1,385,251
Salaries and Wages
$1,385,251
Fringe Benefits
$183 489
Personnel Costs (Subtotal)
,221
$60$60,710
Supplies
$
Travel Costs
$5,100
Other Costs
$5,908
Consortium /contractual Cost
$240,750
02 $1,385,251
$889,783
Federal Direct Costs
Approved Budget
$1,385,251
Federal Share
$1,385,251
TOTAL FEDERAL AWARD AMOUNT
$1,385,251
$1,385,251
AMOUNT OF THIS ACTION (FEDERAL SHARE)
$1,385,251
Recommended future year total cost support, subject to
the availability of funds and satisfactory
Progress of the project.
02 $1,385,251
03 $1,385,251
Fiscal Information•
CFDA Number: 93.331
EIN: 1952452787A1
Document Number: 005861DP14
Recommended future year total cost support, subject to the availability of funds and satisfactory
Progress of the project
CDC Administrative Data:
PCC: / OC: 4151 / Processed: ERAAPPS 09/20/2014
SECTION 11— PAYMENT /HOTLINE INFORMATION — 1u58DP005861 -01
For payment Information see Payment Information section in Additional Terms and Conditions
INSPECTOR GENERAL: The HHS Office Inspector General (OIG) maintains a toll -free number
(1- 800 -HHS -TIPS [1- 800-447 - 8477)) for receiving information concerning fraud, waste or abuse
under grants and cooperative agreements. Information also may be submitted by e-mail to
hhstlps @oig.hhs,gov or by mail to Office of the Inspector General, Department of Health and
Human Services, Attn: HOTLINE, 330 independence Ave., SW, Washington DC 20201. Such
reports are treated as sensitive material and submitters may decline to give their names if they
choose to remain anonymous. This note replaces the Inspector General contact Information cited
in previous notice of award.
Page 2 of 16
101 Zl.,l, : ,..
This award is based on the application submitted to, and as approved by, CDC on the above -
titled project and is subject to the terms and conditions incorporated either directly or by reference
in the following:
a. The grant program legislation and program regulation cited in this Notice of Award.
b. The restrictions on the expenditure of federal funds in appropriations acts to the extent
those restrictions are pertinent to the award.
C. 45 CFR Part 74 or 45 CFR Part 92 as applicable.
d. The HIS Grant Policy Statement, including addenda in effect as of the beginning date of
the budget period.
e. This award notice, INCLUDING THE TERMS AND CONDITIONS CITED BELOW.
This award has been assigned the Federal Award Identification Number (FAIN) U58DPoo5861.
Recipients must document the assigned FAIN on each consortium /subaward issued under this
award.
Treatment of Program Income:
Additional Costs
SECTION Iv— DP Spacial Terms and Conditions — 1U58DP0058s1 ®1
Funding Opportunity Announcement (FOA) Number: CDC- RFA -DP14 -1417
Award Number; 1U58DP005861 -1 Community Action Partnership of Orange County
Award Type; Cooperative Agreement
Applicable Cost Principles: 2 CFR Part 230 Cost Principles Non -Profit Organizations (OMB
Circular A -122)
Incorporation: The Centers for Disease Control and Prevention (CDC) hereby incorporates
Funding Opportunity Announcement number CDC- RFA- DP14.1417, entitled Partnerships to
Improve Community Health (PICH), and application dated SELECT DATE, as may be
amended, which are hereby made a part of this Non - Research award hereinafter referred to as
the Notice of Award (NoA). The Department of Health and Human Services (HHS) grant
tera comply with
outlined qt policy ms nd conditions contained in applicable HHS Grants Policy Statements, and requirements
imposed by program statutes and regulations and NHS grant administration regulations, as
applicable; as well as any requirements or limitations in any applicable appropriations acts. The
term grant is used throughout this notice and includes cooperative agreements.
CLARIFICATION: The Statutory Authority of 42 USC 241 42 CFR 52 cited on the first page of
this Notice of Award is incorrect.
The correct Statutory Authority for this grant under FOA DP14 -1417 is: This program is
authorized under Sections 317 (k)(2) of the Public Health Service Act 42 U.S,Code 247b(k)(2),
Approved Funding; Funding in the amount of $1,385,251 is approved for the Year 01 budget
period, which is September 30, 2014 through September 29, 2015. All future year funding will be
based on satisfactory programmatic progress and the availability of funds.
Note: Refer to the Payment Information section for draw down and Payment Management
System (PMS) subaccount information.
Award Funding; Not funded by the Prevention and Public Health Fund
Objective Review Statement Response Requirement: The review comments on the strengths
and weaknesses of the proposal are provided as part of this award. A response to the
weaknesses in these statement must be submitted to and approved, in writing, by the Grants
Management Specialist/Grants Management Officer (GMS /GMO) noted in the Staff Contacts
section of this NOA, no later than 30 days from the budget period start date. Failure to submit the
required information by the due date, October 30, 2014, will cause delay in programmatic
progress and will adversely affect the future funding of this project.
Page 3 of 16
,, %I� �,.,.,
Budget Revision Requirement: By October 30, 2014 the grantee must submit a revised budget
with a narrative justification and work plan. Failure to submit the required Information In a timely
manner may adversely affect the future funding of this project. If the information cannot be
provided by the due date, you are required to contact the GMS /GMO identified in the Staff
Contacts section of this notice before the due date.
Program income: Any program income generated under this grant or cooperative agreement
will be used in accordance with the Addition alternative.
Funding Opportunity Announcement (FOA) Restrlctions:
Restrictions that must be considered while planning the programs and writing the budget are:
• Awardees may not use funds for research.
• Awardees may not use funds for clinical care.
• Awardees may use funds only for reasonable program purposes, including personnel,
travel, supplies, and services.
• Generally, awardees may not use funds to purchase furniture or equipment. Any such
Proposed spending must be clearly identified in the budget.
• Reimbursement of pre -award costs is not allowed,
• Other than for normal and recognized executive - legislative relationships, no funds may
be used for: publicity or propaganda purposes,for the preparation, distribution, or use of
any material designed to support or defeat the enactment of legislation before any
legislative body the salary or expenses of any grant or contract recipient, or agent acting
for such recipient, related to any activity designed to influence the enactment of
legislation, appropriations, regulation, administrative action, or Executive order proposed
or pending before any legislative body.
• See Additional Requirement (AR) 12 for detailed guidance on this prohibition and
additional guidance on lobbying for CDC awardees.
• The direct and primary recipient in a cooperative agreement program must perform a
substantial role in carrying out project outcomes and not merely serve as a conduit for
an award to another party or provider who is ineligible.
Indirect Costs: Indirect costs are not approved for this award, because an approved Indirect
Cost Rate Agreement has not been established. The costs identified as Indirect Costs have been
moved to Direct Costs, Other category. To have indirect costs approved for this grant, submit an
approved indirect cost rate agreement to the grants management specialist no later than 30 days
of receipt of this Notice of Award.
Cost Limitations as Stated in the Consolidated Appropriations Act, 2014, (Items A through
G)
A. Cap on Salaries (Div. H, Title 11, Sec, 203): None of the funds appropriated in this title shall be
used to Pay the salary of an individual, through a grant or other extramural mechanism, at a rate
in excess of (Executive Level 11. Note: The salary rate limitation does not restrict the salary that an
organization may pay an individual working under an HHS contract or order; it merely limits the
portion of that salary that may be paid with Federal funds. B. Gun Control Prohibition (Div. H, Title
II, Sec. 217): None of the funds made available in this title may be used, in whole or in part, to
advocate or promote gun control. C. Proper Use of Appropriations - Publicity and Propaganda
(LOBBYING) FY2012 (Div. H, Title V, Sec. 503):
503(a): No part of any appropriation contained in this Act or transferred pursuant to
section 4002 of Public Law 111 -148 shall be used, other than for normal and recognized
executive - legislative relationships, for publicity or propaganda purposes, for the
preparation, distribution, or use of any kit, pamphlet, booklet, publication, electronic
communication, radio, television, or video presentation designed to support or defeat the
enactment of legislation before the Congress or any State or local legislature or
legislative body, except in presentation of the Congress or any State or local legislature
itself, or designed to support or defeat any proposed or pending regulation, administrative
action, or order issued by the executive branch of any State or local government itself.
• 503 (b): No part of any appropriation contained in this Act or transferred pursuant to
section 4002 of Public Law 111 -148 shall be used to pay the salary or expenses of any
grant or contract recipient, or agent acting for such recipient, related to any activity
Page 4 of 16
designed to influence the enactment of legislation, appropriations, regulation,
administrative action, or Executive order proposed or pending before the Congress or
any State government, State legislature or local legislature or legislative body, other than
normal and recognized executive legislative relationships or participation by an agency or
officer of an State, local or tribal government in policymaking and administrative
Processes within the executive branch of that government.
503(0): The prohibitions in subsections (a) and (b) shall include any activity to advocate
or promote any proposed, pending or future Federal, State or local tax increase, or any
proposed, pending, or future requirement or restriction on any legal consumer product,
including its sale of marketing, including but not limited to the advocacy or promotion of
gun control,
For additional information, see Additional Requirement 12 at
t 1/ rick oov /odf1 fun ine /grants /additional re shtm and Anti Lobbying Restrictions for
CDC Grantees at ttc Ilwww odc ov/od/ogoifundina/arants/Anti-
Lobbvinc Re tr(cr I for DC G + 2012.odf.
D. Needle Exchange (Dro, H, Title V, Sec. 522): Notwithstanding any other provision of this Act,
no funds appropriated in this Act shall be used to carry out any program of distributing sterile
needles or syringes for the hypodermic injection of any illegal drug,
E. Restricts dealings with corporations with recent felonies (Div. E, Title VI, Sec. 623): None of
the funds made available by this Act may be used to enter into a contract, memorandum of
understanding, or cooperative agreement with, make a grant to, or provide a loan or loan
guarantee to any corporation that was convicted (or had an officer or agent of such corporation
acting on behalf of the corporation convicted) of a felony criminal violation under any Federal or
State law within the preceding 24 months, where the awarding agency is aware of the conviction,
unless the agency has considered suspension or debarment of the corporation, or such officer or
agent, and made a determination that this further action is not necessary to protect the interests
of the Government.
F. Restricts dealings with corporations with unpaid federal tax liability (Div. E, Title VI, See, 622,
Div. H, Title V, Sec. 518): None of the funds made available by this Act may be used to enter into
a contract, memorandum of understanding, or cooperative agreement with, make a grant to, or
provide a loan or loan guarantee to, any corporation that any unpaid Federal tax liability that has
been assessed, for which all judicial and administrative remedies have been exhausted or have
lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority
responsible for collecting the tax liability, where the awarding agency is aware of the unpaid tax
liability, unless the agency has considered suspension or debarment of the corporation and made
a determination that this further action is not necessary to protect the interests of the
Government.
G. Blocking access to pornography (Div, H, Title V, Sec. 528): (a) None of the funds made
available in this Act may be used to maintain or establish a computer network unless such
network blocks the viewing, downloading, and exchanging of pornography; (b) Nothing in
subsection (a) shall limit the use of funds necessary for any Federal, State, tribal, or local law
enforcement agency or any other entity carrying out criminal investigations, prosecution, or
adjudication activities.
Rent or Space Costs: Grantees are responsible for ensuring that all costs included in this
Proposal to establish billing or final indirect cost rates are allowable in accordance with the
requirements of the Federal award(s) to which they apply, including 2 CFR Part 200, Uniform
Administrative Requirements, Cost Principles, and Audit Requirements for federal Awards; 2
CFR Part 225, Cost Principles for State, Local, and Indian Tribal Governments (OMB Circular A-
87); and 2 CFR Part 230, Cost Principles for Non- Profit Organizations (OMB Circular A -122), The
grantee also has a responsibility to ensure sub- recipients expend funds in compliance with
applicable federal laws and regulations. Furthermore, it is the responsibility of the grantee to
ensure rent is a legitimate direct cost line item, which the grantee has supported in current and /or
prior projects and these same costs have been treated as indirect costs that have not been
claimed as direct costs. If rent is claimed as direct cost, the grantee must provide a narrative
justification, which describes their prescribed policy to include the effective date to the assigned
Grants Management Specialist (GMS) identified in the CDC Contacts for this award.
Trafficking in Persons: This award is subject to the requirements of the Trafficking Victims
Protection Act of 2000, as amended (22 U.S.C. Part 7104(g)). For the full text of the award terms
Page 5 of 16
and conditions, see,
http: // cdgsov/ad(poolfi gkg /ar3nfts /A
ns.shtm ward Term and Cgndition foe Traffiekina in Perso
Cancel Year: 31 U.S.C. Part 1552(x) Procedure for Appropriation Accounts Available for Definite
ailability
Periods states the following, On September 301h of the 51h fiscal year after the period of av
for obligation of a fixed appropriation account ends, the account shall be closed and any
remaining balances (whether obligated or unobligated) in the account shall be canceled and
thereafter shall not be available for obligation or expenditure for any purpose. An example is
provided below:
Fiscal Year (FY) 2014 funds will expire September 30, 201T All FY 2014 funds should be draw
down and reported to Payment Management Services (PMS) prior to September 30, 201 n
7. After
this date, corrections or cash requests will not be permitted.
Annual Federal Financial Report (FFR, SF -425): The Annual Federal Financial Report (FFR)
SF-425 is required and must be submitted through eRA Commons no later than 90 days
after the end of the calendar quarter In which the budget period ends, The FFR for this
budget period Is due to the GMSIGMO by December 29, 2015. Reporting timeframe is
September 30, 2014 through September 29, 2015.
The FFR should only include those funds authorized and disbursed during the timeframe covered
by the report, The final FFR must indicate the exact balance of unobligated funds and may not
reflect any unliquidated obligations. There must be no discrepancies between the final FFR
expenditure data and the Payment Management System's (PMS) cash transaction data. All
Federal reporting in PMS Is unchanged.
Failure to submit the required information in a timely manner may adversely effect the future
funding of this project. If the information cannot be provided by the due date, the grantee is
required to contact the Grants Officer listed in the contacts section of this notice before the due
date.
FFR (SF -425) Instructions for CDC Grantees are available at
httpAgr_ ants nih goylgrants/forms.htm. For further Information, contact Grantslnfo @nih.gov.
Additional resources concerning the eFSR /FFR system, including a User Guide and an on -line
demonstration, can be found on the eRA Commons Support Page:
httpa/www__ cdcaov/gd /pgg /fuqd ino /grants /eramaln.shtm.
Performance Reporting: The Annual Performance Report is due no later than 120 days prior to
the end of the budget period, May 29, 2015, and serves as the continuing application. This
report should include the information specified in the FDA.
Audit Requirement: Domestic Organizations: An organization that expends $500 000 or more in
cted for that
,
a fiscal year In Federal awards shall have a single or program - specific audit condu
year in accordance with the provisions of OMB Circular A -133. The audit period is an
organization's fiscal year. The audit must be completed along with a data collection form (SF-
SAC), and the reporting package shall be submitted within the earlier of 30 days after receipt of
the auditor's report(s), or nine (9) months after the end of the audit period. The audit report must
be sent to:
Federal Audit Clearing House Internet Data Entry System
AND
Procurement & Grants Office, Risk Management & Compliance Activity
Electronic Cony m: PGD.Audit Resolution@a cdc aov
After receipt of the audit report, the National External Audit Review Center will provide audit
resolution instructions. CDC will resolve findings by issuing Final Determination Letters.
Page 6 of 16
d a a Audit requirements for cute : The grantee must ensure that the subreciplents receiving
CDC funds also meet these requirements. The grantee must also ensure to take appropriate
corrective action within six months after receipt of the subrecipient audit report in instances of
non - compliance with applicable Federal law and regulations (2 CFR 200 Subpart F and HHS
Grants Policy Statement). The grantee may consider whether subrecipient audits necessitate
adjustment of the grantee's Own accounting records, if a subrecipient is not required to have a
program - specific audit, the grantee is still required to perform adequate monitoring of subrecipient
activities. The grantee shall require each subrecipient to permit the Independent auditor access to
the subrecipient's records and financial statements. The grantee must include this requirement in
all subrecipient contracts.
Note: The standards set forth in 2 CFR Part 200 Subpart F will apply to audits Of fiscal years
beginning on or after December 26, 2014.
Federal Funding Accountability and Transparency Act (FFATA): FFATA applies to new
awards that have been made and noncompeting continuations that were issued as new
awards on or after October 1, 2010. In accordance with 2 CFR Chapter 1, Part 170
Reporting Sub -Award And Executive Compensation Information, Prime Awardees awarded
a federal grant are required to fife a FFATA sub -award report by the end of the month
following the month In which the prime awardee awards any sub -grant equal to or greater
than $25,000.
Pursuant to A -133 (see Section .205(h) and Section_ 205(1)), a grant sub -award includes the
Provision of any commodities (food and non -food) to the sub - recipient where the sub - recipient is
required to abide by terms and conditions regarding the use or future administration of those
goods. If the sub- awardee merely consumes or utilizes the goods, the commodities are not in
and of themselves considered sub- awards.
2 CFR Part 170:
FFATA: www.fsrs.gov. Reoorting of First -Tier Sub awards
Applicability: Unless you are exempt (gross income from all sources reported in last tax return Is
under $300,000), YOU must report each action that obligates $25,000 or more in Federal funds
that does not include Recovery funds (as defined in section 1512(a)(2) of the American Recovery
and Reinvestment Act of 2009, Pub. L 111 -5) for a sub -award to an entity.
Reporting: Report each obligating action of this award term to httoa /www.fsrs oov. For sub -award
information, report no later than the end of the month following the month in which the obligation
was made. (For example, if the obligation was made on November 7, 2010, the obligation must
be reported by no later than December 31, 2010). You must report the information about each
obligating action that the submission instructions posted at WJL1/www fSrE goyspecify.
To I Compensation Of Recipient Executives: You must report total compensation for each of your
five most highly compensated executives for the preceding completed fiscal year, if.
• The total Federal funding authorized to date under this award is $25,000 or more;
• In the preceding fiscal year, you received-
0 80 percent or more of your annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the
Transparency Act, as defined at 2 CFR Part 170.320 (and sub - awards); and
o $25,000,000 or more in annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the
Transparency Act, as defined at 2 CFR Part 170.320 (and sub - awards); and
o The public does not have access to information about the compensation of the
executives through periodic reports filed under section 13(a) or 15(d) of the
Securities Exchange Act of 1934 (15 U.S.C. Part 78m(a), 780(d)) or section 6104
of the Internal Revenue Code of 1986. (To determine if the public has access to
the compensation information, see the U.S. Security and Exchange
Commission total compensation filings at
http / /www sec gov /a Ewer /9xgcomp.htm),
Page 7 of 16
Report executive total compensation as part of your registration profile at htto: / / /—o✓v,
Reports should be made at the end of the month following the month in which this award Is made
and annually thereafter.
Total Comoanaa of Sub re In' r executives Unless you are exempt (gross income from all
sources reported in last tax return is under $300,000), for each first -tier sub - recipient under this
award, you must report the names and total compensation of each of the sub - recipient's five most
highly compensated executives for the sub - recipient's preceding completed fiscal year, if:
• In the sub - recipient's preceding fiscal year, the sub - recipient received-
* 80 percent or more of its annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the
Transparency Act, as defined at 2 CFR Part 170.320 (and sub - awards); and
o $25,000,000 or more in annual gross revenues from Federal procurement
contracts (and subcontracts), and Federal financial assistance subject to the
Transparency Act (and sub- awards); and
o The public does not have access to information about the compensation of the
executives through periodic reports filed under section 13(a) or 15(d) of the
Securities Exchange Act of 1934 (15 U.S.C. Part 78m(a), 78o(d)) or section 6104
of the internal Revenue Code of 1986. (To determine if the public has access to
the compensation Information, see the U.S. Security and Exchange Commission
total compensation filings at http: / /www,sec.gov /answers /execomp.htm),
You must report sub - recipient executive total compensation to the grantee by the end of the
month following the month during which you make the sub - award. For example, 0 a sub -award is
obligated on any date during the month of October of a given year (i.e., between October 1st and
31 at), you must report any required compensation information of the sub - recipient by November
30th of that year.
Definitions:
• Entity means all of the following, as defined in 2 CFR Part 25 (Appendix A,
Paragraph(C)(3)):
• Governmental organization, which is a State, local government, or Indian tribe;
• Foreign public entity;
• Domestic or foreign non- profit organization;
• Domestic or foreign for - profit organization;
• Federal agency, but only as a sub - recipient under an award or sub -award to a
non - Federal entity.
• Executive means officers, managing partners, or any other employees in management
positions.
• Sub - award: a legal instrument to provide support to an eligible sub - recipient for the
performance of any portion of the substantive project or program for which the grantee
received this award. The term does not include the grantees procurement of property and
services needed to carry out the project or program (for further explanation, see Sec.
210 of the attachment to OMB Circular A -133. Audits of States, Local Governments,
and Non- Profit Organizations). A sub -award may be provided through any legal
agreement, including an agreement that the grantee or a sub - recipient considers a
contract.
• Sub - recipient means an entity that receives a sub -award from you (the grantee) under
this award; and is accountable to the grantee for the use of the Federal funds provided by
the sub - award.
• Total compensation means the cash and non -cash dollar value earned by the executive
during the grantee's or sub - recipient's preceding fiscal year and includes the following
(for more information see 17 CFR Part 229.402(c)(2)):
• Salary and bonus
• Awards of stock, stock options, and stock appreciation rights. Use the dollar
amount recognized for financial statement reporting purposes with respect to the
fiscal year in accordance with the Statement of Financial Accounting Standards
No. 123 (Revised 2004) (FAS 123R), Shared Based Payments,
• Earnings for services under non - equity incentive plans. This does not include
group life, health, hospitalization or medical reimbursement plans that do not
discriminate in favor of executives, and are available generally to all salaried
employees.
Page 8 of 16
16.11
Change in pension value. This is the change in present value of defined benefit
and actuarial pension plans.
Above- market earnings on deferred compensation which is not tax - qualified.
Other compensation, if the aggregate value of all such other compensation (e.g.
severance, termination payments, value of life insurance paid on behalf of the
employee, perquisites or property) for the executive exceeds $10,000.
Travel Cost: In accordance with HHS Grants Policy Statement, travel costs are only allowable
where such travel will provide direct benefit to the project or program. There must be a direct
benefit imparted on behalf of the traveler as it applies to the approved activities of the NoA. To
prevent disallowance of cost, the grantee is responsible for ensuring that only allowable travel
reimbursements are applied in accordance with their organization's established travel policies
and procedures. Grantees approved policies must meet the requirements of 2 CFR Parts 200,
225 and 230, as applicable and 45 CFR Parts 74 and 92, as applicable.
Food and Meals: Costs associated with food or meals are allowable when consistent with OMB
Circulars and guidance, HHS Federal regulations, Program Regulations, HHS policies and
guidance. In addition, costs must be proposed in accordance with grantee approved policies and
a determination of reasonableness has been performed by the grantees. Grantee approved
Policies must meet the requirements of 2 CFR Parts 200, 225 and 230, as applicable and 46 CFR
Parts 74 and 92, as applicable.
Prior Approval: All requests, which require prior approval, must bear the signature of
an authorized official of the business office of the grantee organization as well as the principal
investigator or program or project director named on this NoA. The grantee must submit these
requests by May 29, 2015 or no later than 120 days prior to this budget period's end date. Any
requests received that reflect only one signature will be returned to the grantee unprocessed.
Additionally, any requests involving funding issues must include an itemized budget and
a narrative justification of the request.
The following types of requests require prior approval.
• Use of unobiigated funds from prior budget period (Carryover)"
• Lift funding restriction, withholding, or disallowance
• Redirection of funds
• Change in scope
• Implement a new activity or enter into a sub -award that is not specified in the most
recently approved budget
• Apply for supplemental funds
• Response to the Objectiverrechnical Review Statement
• Change in key personnel
• Extensions
• Conferences or meetings that exceed cost threshold
Note: Awardees may request up to 75 percent of their estimated unobligated funds to be carried
forward into the next budget period.
Templates for prior approval requests can be found at:
bb. /www cdo gov /od loco/ funding /arantsrnranteeguidar,Lcg,ahtm
Correspondence: ALL correspondence (including emails and faxes) regarding this award must
be dated, Identified With the AWARD NUMBER, and include a point of contact (name, phone, fax,
and email). All correspondence should be addressed to the Grants Management Specialist listed
below and submitted with an original plus two copies.
Cynthia Atkins - Woods, Grants Management specialist
Centers for Disease Control,
PGO, Chronic and Birth Defects Services Branch
2920 Brandywine Road, Mail Stop E -09
Atlanta, GA 30341 -4146
Telephone: (7701488-3181
Page 9 of 16
I 1 , 1 ,. � „ i ..
Email; vfi4gcdc.00v
Key Personnel: In accordance with 2 CFR Parts 200.308 and 215.25(c)(2) & (3), CDC grantees
must obtain prior approval from CDC for (1) change in the project directodprincipal investigator,
business official, authorized organizational representative or other key persons specified in the
FOA, application or award document; and (2) the disengagement from the project for more than
three months, or a 25 percent reduction in time devoted to the project, by the approved project
director or principal investigator,
Inventions: Acceptance of grant funds obligates grantees to comply with the standard patent
rights clause in 37 CFR Part 401.14.
Publications: Publications, journal articles, etc, produced under a CDC grant support project
must bear an acknowledgment and disclaimer, as appropriate, for example:
This publication Qournal article, etc.) was supported by the Grant or Cooperative Agreement
Number, 9 U58 DP 005861 -1 funded by the Centers for Disease Control and Prevention. Its
contents are solely the responsibility of the authors and do not necessarily represent the official
views of the Centers for Disease Control and Prevention or the Department of Health and Human
Services,
Acknowledgment Of Federal Support: When issuing statements, press releases, requests for
proposals, bid solicitations and other documents describing projects or programs funded in whole
or in part with Federal money, all awardees receiving Federal funds, including and not limited to
State and local governments and grantees of Federal research grants, shall clearly state:
• percentage of the total costs of the program or project which will be financed with Federal
money
• dollar amount of Federal funds for the project or program, and
• percentage and dollar amount of the total costs of the project or program that will be
financed by non - governmental sources.
Copyright Interests Provision- This provision is intended to ensure that the public has access
to the results and accomplishments of public health activities funded by CDC. Pursuant to
applicable grant regulations and CDC's Public Access Policy, Recipient agrees to submit into
the National Institutes of Health (NIH) Manuscript Submission (NIHMS) system an electronic
version of the final, peer - reviewed manuscript of any such work developed under this award
upon acceptance for publication, to be made publicly available no later than 12 months after
the official date of publication. Also at the time of submission, Recipient and /or the Recipient's
submitting author must specify the date the final manuscript will be publicly accessible through
PubMed Central (PMC), Recipient and /or Recipient's submitting author must also post the
manuscript through PMC within twelve (12) months of the publisher's official date of final
publication; however the author is strongly encouraged to make the subject manuscript available
as soon as possible. The recipient must obtain prior approval from the CDC for any exception
to this provision.
The author's final, peer- reviewed manuscript is defined as the final version accepted for journal
publication, and includes all modifications from the publishing peer review process, and all
graphics and supplemental material associated with the article. Recipient and its submitting
authors working under this award are responsible for ensuring that any publishing or copyright
agreements concerning submitted articles reserve adequate right to fully comply with this
provision and the license reserved by CDC. The manuscript will be hosted in both PMC and the
CDC Stacks institutional repository system. In progress reports for this award, recipient must
identify publications subject to the CDC Public Access Policy by using the applicable NIHMS
identification number for up to three (3) months after the publication date and the PubMed
Central identification number (PMCID) thereafter.
Disclaimer for Conference /Meeting /Seminar Materials: Disclaimers for conferences /meetings,
etc. and /or publications: If a conference /meeting /seminar is funded by a grant, cooperative
agreement, sub -grant and /or a contract the grantee must include the following statement on
conference materials, including promotional materials, agenda, and internet sites:
Page 10 of 16
I . 'I :, , ., _
Funding for this conference was made possible (in part) by the Centers for Disease Control and
Prevention. The views expressed in written conference materials or publications and by speakers
and moderators do not necessarily reflect the official policies of the Department of Health and
Human Services, nor does the mention of trade names, commercial practices, of organizations
imply endorsement by the U.S. Government,
Logo Use for Conference and Other Materials: Neither the Department of Health and Human
Services (HHS) nor the CDC logo may be displayed if such display would cause confusion as to
the funding source or give false appearance of Government endorsement. Use of the HHS
or logo is governed by U.S.C. Part 1320b -10, which prohibits misuse of the HHS n name
ame and
emblem in written communication. Anon- federal entity is unauthorized to use the HHS name or
logo governed by U.S.C. Part 1320b -10. The appropriate use of the HHS logo is subject to review
and approval of the HMS Office of the Assistant Secretary for Public Affairs (OASPA). Moreover,
the HHS Office of the Inspector General has authority to impose civil monetary penalties for
violations (42 CFR Part 1003). Accordingly, neither the NHS nor the CDC logo can be used by
the grantee without the express, written consent of either the CDC Project Officer or the CDC
Grants Management Officer. It is the responsibility of the grantee to request consent for use of
the logo in sufficient detail to ensure a complete depiction and disclosure of all uses of the
Government logos. in all cases for utilization of Government logos, the grantee must ensure
written consent is received from the Project Officer and /or the Grants Management Officer.
Equipment and Products: To the greatest extent practicable, all equipment and products
purchased with CDC funds should be Amerioan -made. CDC defines equipment as tangible non-
expendable personal property (including exempt property) charged directly to an award having a
useful life of more than one year AND an acquisition cost of $5,000 or more per unit. However,
consistent with grantee policy, a lower threshold may be established. Please provide the
information to the Grants Management Officer to establish a lower equipment threshold to reflect
your organization's policy.
The grantee may use its own property management standards and procedures, provided it
observes provisions of in applicable grant regulations and OMB circulars.
Federal Information Security Management Act (FISMA): All information systems, electronic or
hard copy, that contain federal data must be protected from unauthorized access, This standard
also applies to information associated with CDC grants. Congress and the OMB have instituted
laws, policies and directives that govern the creation and implementation of federal information
security practices that pertain specifically to grants and contracts. The current regulations are
pursuant to the Federal Information Security Management Act (FISMA), Title III of the E-
Government Act of 2002, PL 107347.
FISMA applies to CDC grantees only when grantees collect, store, process, transmit or use
information on behalf of HHS or any of its component organizations. In all other cases, FISMA is
not applicable to recipients of grants, including cooperative agreements. Under FISMA, the
grantee retains the original data and intellectual property, and is responsible for the security of
these data, subject to all applicable laws protecting security, privacy, and research. If/When
information collected by a grantee is provided to HHS, responsibility for the protection of the HHS
copy of the information is transferred to HHS and it becomes the agency's responsibility to protect
that information and any derivative copies as required by FISMA. For the full text of the
requirements under Federal Information Security Management Act (FISMA), Title III of the E-
Government Act of 2002 Pub. L. No. 107 -347, please review the following website:
Pilot Program for Enhancement of Contractor Employee Whistleblower Protections;
Grantees are hereby given notice that the 48 CFR section 3,906, implementing section 828,
entitled "Pilot Program for Enhancement of Contractor Employee Whistleblower Protections," of
the National Defense Authorization Act (NDAA) for Fiscal Year (FY) 2013 (Pub. L. 112 -239,
enacted January 2, 2013), applies to this award.
Federal Acquisition Regulations
As promulgated in the Federal Register, the relevant portions of 48 CFR section 3.908 read as
follows (note that use of the term "Contract," "contractor," "subcontract," or "subcontractor" for the
Page 11 of 16
purpose of this term and condition, should be read as "grant," "grantee," "subgrant," or
"subgranteelly
3.908 Pilot program for enhancement of contractor employee whistleblower protections
3.908 -1 Scope of section.
(a) This section implements 41 U,C, U , 4712.
(b) This section does not apply to-
(1) DoD, NASA, and the Coast Guard; or
(2) Any element of the intelligence community, as defined in section 3(4) of the National Security
Act of 1947 (50 U.S,C, 3003(4)), This section does not apply to any disclosure made by an
employee of a contractor or subcontractor of an element of the intelligence community if such
disclosure -
(i) Relates to an activity of an element of the intelligence community; or
(ii) Was discovered during contract or subcontract services provided to an element of the
intelligence community,
3.908 -2 Definitions.
As used in this section -
"Abuse of authority" means an arbitrary and capricious exercise of authority that Is inconsistent
with the mission of the executive agency concerned or the successful performance of a contract
of such agency.
"Inspector General" means an Inspector General appointed under the Inspector General Act of
1978 and any Inspector General that receives funding from, or has oversight over contracts
awarded for, or on behalf of, the executive agency concerned.
3.908 -3 Policy.
(a) Contractors and subcontractors are prohibited from discharging, demoting, or otherwise
discriminating against an employee as a reprisal for disclosing, to any of the entities listed at
paragraph (b) of this subsection, information that the employee reasonably believes is evidence
of gross mismanagement of a Federal contract, a gross waste of Federal funds, an abuse of
authority relating to a Federal contract, a substantial and specific danger to public health or
safety, or a violation of law, rule, or regulation related to a Federal contract (including the
competition for or negotiation of a contract), A reprisal is prohibited even if it is undertaken at the
request of an executive branch official, unless the request takes the form of a non - discretionary
directive and is within the authority of the executive branch official making the request.
(b) Entities to whom disclosure may be made,
(1) A Member of Congress or a representative of a committee of Congress.
(2) An Inspector General
(3) The Government Accountability Office.
(4) A Federal employee responsible for contract oversight or management at the relevant agency.
(5) An authorized official of the Department of Justice or other law enforcement agency.
(6) A court or grand jury.
(7) A management official or other employee of the contractor or subcontractor who has the
responsibility to investigate, discover, or address misconduct.
(c) An employee who initiates or provides evidence of contractor or subcontractor misconduct in
any judicial or administrative proceeding relating to waste, fraud, or abuse on a Federal contract
shall be deemed to have made a disclosure,
3.908 -9 Contract clause.
Contractor Employee Whistleblower Rights and Requirement to Inform Employees of
Whistleblower Rights (Sept. 2013)
(a) This contract and employees working on this contract will be subject to the whistleblower
rights and remedies in the pilot program on Contractor employee whistleblower protections
established at 41 U S C. 4712 by section 828 of the National Defense Authorization Act for Fiscal
Year 2013 (Pub. L. 112 -239) and FAR 3,908,
Page 12 of 16
�„.,.
(b) The Contractor shall inform its employees in writing, in the predominant language of the
workforce, of employee whistleblower rights and protections under 41 U.S.C. 4712, as described
in section 2.908 of the Federal Acquisition Regulation.
(c) The Contractor shall insert the substance of this clause, including this paragraph (c), In all
subcontracts over the simplified acquisition threshold.
Automatic Drawdown (Direct/Advance Payments): Payment under this award will be made
available through the Department of Health and Human Services (HHS) Payment Management
System (PMS). PMS will forward instructions for obtaining payments.
PMS correspondence mailed throuah the U S Postal Service should be addresd as follows.
Director, Division of Payment Management
P.O. Box 6021
Rockville, MD 20852
Phone Number: (877) 614 -5533_
Email: PMSSupport@psc.gov
WebslW htro: / /www dpm osc ggAhe1p/h .a x
Note: To obtain the contact information of PMS staff within respective Payment Branches refer to
the links listed below:
Y University and Non - Profit Payment Branch:
us
• Governmental and Tribal Payment Branch:
httgdl www �ovlcontacts /dpm contact Lis, agq t tribal a, px�exolorer event =true
• Cross Servicing Payment Branch:
htto: / /www dpm osc goy /contacts /dpm contact list/cross servicing asox
International Payment Branch:
Shavin Patel (301) 443 -9188_
U.S. Department of Health and Human Services
Division of Payment Management
7700 Wisconsin Avenue, Suite 920
Bethesda, MD 20814
To expedite your first payment from this award, attach a copy of the Notice of Grant/Cooperative
Agreement to your payment request form.
The grant document number and subaccount title (below) must be known in order to draw down
funds from this P Account,
Grant Document Number: 005861DP14
Subaccount Title: DP141417PARTIMPICH14
Acceptance of the Terms of an Award: By drawing or otherwise obtaining funds from the
grant Payment Management Services, the grantee acknowledges acceptance of the terms
and conditions of the award and is obligated to perform in accordance with the
Page 13 of 16
requirements of the award, If the recipient cannot accept the terms, the recipient should
notify the Grants Management Officer within thirty (30) days of receipt of this award notice.
Certification Statement: By drawing down funds, the grantee certifies that proper financial
management controls and accounting systems, to include personnel policies and procedures,
have been established to adequately administer Federal awards and funds drawn down.
Recipients must comply with all terms and conditions outlined in their NoA, including grant
policy terms and conditions contained in applicable
HHS Grant Policy Statements, and requirements imposed by program statutes and regulations
and HHS grants administration regulations, as applicable; as well as any regulations or
limitations in any applicable appropriations acts.
LOSEOUT REpUiREMENTS
Grantees must submit closeout reports in a timely manner. Unless the Grants Management
SpecialistlGrants Management Officer (GMS /GMO) approves a deadline extension the grantee
must submit ell closeout reports within 90 days after the last day of the final budget period,
Reporting li meframe is September 30, 2014 through September 29, 2017. Failure to submit
timely and accurate final reports may affect future funding to the organization or awards under the
direction of the same Project Director /Principal Investigator (PD /PI).
All manuscripts published as a result of the work supported in part or whole by the cooperative
grant must be submitted with the progress reports.
An original plus two copies of the reports must be mailed to the GMS for approval by the GMO by
the due date noted. Ensure the Award and Program Announcement numbers shown above are
on the reports.
The final and other programmatic reports required by the terms and conditions of the NoA are the
following.
Final Performance Report: An original and two copies are required. At a minimum, the report
should include the following:
• Statement of progress made toward the achievement of originally stated alms,
• Description of results (positive or negative) considered significant.
+ List of publications resulting from the project, with plans, if any, for further publication.
Final Federal Financial Report (FFR, SF -425): The FFR should only include those funds
authorized and actually expended during the timeframe covered by the report. The Final FFR,
SF-425 is required and must be submitted through eRA Commons no later than 90 days after the
end of the project period. This report must indicate the exact balance of unobligated funds and
may not reflect any unliquidated obligations. Should the amount not match with the final
expenditures reported to the Department of Health and Human Services' Payment Management
Services (PMS), you will be required to update your reports to PMS accordingly. Remaining
unobligated funds will be de- obligated and returned to the U.S. Treasury.
If the final reports (FFR and Final Progress Report) cannot be submitted within 90 days after the
end of the project period, in accordance with 2 CFR Parts 200.343 (Closeout), 225 and 230, the
grantee must submit a letter requesting an extension that includes the justification for the delay
and state the expected date the CDC Procurement and Grants Office will receive the reports. All
required documents must be mailed to the business contact identified in Staff Contacts.
Equipment Inventory Report: An original and two copies of a complete inventory must be
submitted for all major equipment acquired or furnished under this project with a unit acquisition
cost of $5,000 or more, The inventory list must include the description of the item, manufacturer
serial and /or identification number, acquisition date and cost, percentage of Federal funds used in
the acquisition of the item. The grantee should also identify each item of equipment that it wishes
to retain for continued use in accordance with 2 CFR Parts 200, 215.37 or 2 CFR Part 295.71.
These requirements do apply to equipment purchased with non - federal funds for this program.
The awarding agency may exercise its rights to require the transfer of equipment purchased
under the assistance award referenced in the cover letter. CDC will notify the grantee if transfer to
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title will be required and provide disposition instruction on all major equipment. Equipment with a
unit acquisition cost of less than $5,000 that is no longer to be used in projects or programs
currently or previously sponsored by the Federal Government may be retained, sold, or otherwise
disposed of, with no further obligation to the Federal Government. If no equipment was acquired
under this award, a negative report is required.
Final Invention Statement: An original and two copies of a Final Invention Statement are
required. Electronic versions of the form can be downloaded by visiting
bt pY /www hhs gav/forms/hhs5FR odf. If no inventions were conceived under this assistance
award, a negative report is required. This statement may be included in a cover letter.
Roles and Responsibilities: Grants Management Specialists /Officers (GMO /GMS) and
Program/Project Officers (PO) work together to award and manage CDC grants and cooperative
agreements. From the pre- planning stage to closeout of an award, grants management and
program staff have specific roles and responsibilities for each phase of the grant cycle. The
GMS /GMO is responsible for the business management and administrative functions. The PO is
responsible for the programmatic, scientific, and /or technical aspects. The purpose of this
factsheet is to distinguish between the roles and responsibilities of the GMO /GMS and the PO to
provide a description of their respective duties.
Its
Management Officer: The GMO is the federal official responsible for the business and
other non - programmatic aspects of grant awards including:
• Determining the appropriate award instrument, i.e.; grant or cooperative agreement
• Determining if an application meets the requirements of the FOA
• Ensuring objective reviews are conducted in an above- the -board manner and according
to guidelines set forth In grants policy
• Ensuring grantee compliance with applicable laws, regulations, and policies
• Negotiating awards, including budgets
• Responding to grantee inquiries regarding the business and administrative aspects of
an award
• Providing grantees with guidance on the closeout process and administering the
closeout of grants
• Receiving and processing reports and prior approval requests such as changes in
funding, carryover, budget redirection, or changes to the terms and conditions of an
award
• Maintaining the official grant file and program book
The GMO is the only official authorized to obligate federal funds and is responsible for signing
the NOA, including revisions to the NoA that change the terms and conditions, The GMO
serves as the counterpart to the business officer of the recipient organization.
GMO Contact: See Staff Contacts below for the assigned GMO
Grants Management Specialist: The GMS is the federal staff member responsible for the day -
to -day management of grants and cooperative agreements. The GMS is the primary contact of
recipients for business and administrative matters pertinent to grant awards. Many of the
functions described above are performed by the GMS on behalf of the GMO,
GMS Contact: See Staff Contacts below for the assigned GMS
Program /Project Officer: The PO is the federal official responsible for the programmatic,
scientific, and /or technical aspects of grants and cooperative agreements including:
• The development of programs and FOAs to meet the CDC's mission
• Providing technical assistance to applicants in developing their applications e.g.
explanation of programmatic requirements, regulations, evaluation criteria, and guidance
to applicants on possible linkages with other resources
• Providing technical assistance to grantees in the performance of their project
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i,. 1;\11 -, .
Post -award monitoring of grantee performance such as review of progress reports,
review of prior approval requests; conducting site visits, and other activities
complementary to those of the GMO /GMS
Programmatic Contact:
Project Officer, Audrey Williams
Centers for Disease Control
Telephone: 770.488 -6941
Email: agw2@cdc.gov
STAFF CONTACTS
Grants Management Specialist: Cynthia M Atkins -woods
2920 Brandywine Road
MS K-69
Atlanta, GA 30341
Email: vfi4 @cdc.gov Phone: 770 -488 -3181 Fax: 770 -488 -2670
Grants Management Officer: Vivian F. Walker
Centers for Disease Control and Prevention
Procurement and Grants Office
Koger Center, Colgate Building
2920 Brandywine Road, Mail Stop E-09
Atlanta, GA 30341
Email: vew4Qcdc.gov Phone: 770 -488 -2077
SPREADSHEET SUMMARY
GRANT NUMBER: 1U68DP006861 -01
INSTITUTION: COMMUNITY ACTION PARTNERSHIP /ORANGE CNTY
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