Grants and Cooperative Agreements - National Policy General Terms and Conditions - Prior to December 26, 2014

Provision Title

National Policy GT&C – Mandatory

Instructions

Assurance Regarding Felony Conviction or Tax Delinquent Status for Corporate Applicants

This award is subject to the provisions contained in the Agriculture, Rural Development, Food and Drug Administration, and Related Agencies Appropriations Act, 2012, P.L. No. 112-55, Division A, Sections 738 and 739 regarding corporate felony convictions and corporate federal tax delinquencies. Accordingly, by accepting this award the recipient acknowledges that it: (1) does not have a tax delinquency, meaning that it is not subject to 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, and (2) has not been convicted (or had an officer or agent acting on its behalf convicted) of a felony criminal violation under any Federal or State law within 24 months preceding the award, unless a suspending and debarring official of the United States Department of Agriculture has considered suspension or debarment of the recipient corporation, or such officer or agent, based on these convictions and/or tax delinquencies and determined that suspension or debarment is not necessary to protect the interests of the Government. If the recipient fails to comply with these provisions, [insert agency name] will annul this agreement and may recover any funds the recipient has expended in violation of sections 738 and 739.

Applies to all CAs and DGs.

Budget

The Recipient shall to the extent possible use this budget to carry out the activities under this agreement. Any deviation must comport with applicable regulations and other terms and conditions of this award. If this agreement includes any supplemental budgetary requirements, such as a detailed project budget, budget narrative, and/or other applicable budgetary requirement, then this budget must be used in a manner consistent with the totality of supplemental budget requirements.

This provision is required for CA & DG.

Building and Computer Access by Non-U.S. Foreign Agricultural Service Personnel

The Recipient may be granted access to U.S. Foreign Agricultural Service facilities and/or computer systems to accomplish work described in the Operating Plan or Statement of Work. All non-government employees with unescorted access to U.S. Foreign Agricultural Service facilities and computer systems must have background checks following the procedures established by USDA Directives 3505 and Departmental Manual 4620-02. Those granted computer access must fulfill all U.S. Foreign Agricultural Service requirements for mandatory security awareness and role-base advanced security training, and sign all applicable U.S. Foreign Agricultural Service statements of responsibilities.

Applies to all CAs and DGs when the Recipient or their subcontractors will have unescorted access to USDA/FAS facilities or computer systems. Prior to granting access to the computer system or facility, contact FAS Information Security & Risk Management Branch.

Central Contractor Registration and Universal Identifier Requirements Under 2 CFR Part 25 - Financial Assistance Use of Universal Identifier and Central Contractor Registration; Appendix A To Part 25

(a) Requirement for Central Contractor Registration (CCR).

Unless you are exempted from this requirement under 2 CFR 25.110, you as the Recipient must maintain the currency of your information in the CCR until you submit the final financial report required under this Agreement or receive the final payment, whichever is later. This requires that you review and update the information at least annually after the initial registration, and more frequently if required by changes in your information or another award term.

(b) Requirement for Data Universal Numbering System (DUNS) Numbers

If you are authorized to make subawards under this Agreement, you:

(1) Must notify potential sub Recipients that no entity (see definition in paragraph C of this provision) may receive a subaward from you unless the entity has provided its DUNS number to you.

(2) May not make a subaward to an entity unless the entity has provided its DUNS number to you.

(c) Definitions. For purposes of this provision:

(1) Central Contractor Registration (CCR) means the Federal repository into which an entity must provide information required for the conduct of business as a Recipient. Additional information about registration procedures may be found at the CCR Internet site (currently at http://www.ccr.gov).

(2) Data Universal Numbering System (DUNS) number means the nine-digit number established and assigned by Dun and Bradstreet, Inc. (D&B) to uniquely identify business entities. A DUNS number may be obtained from D&B by telephone (currently 866-705-5711) or the Internet (currently at http://fedgov.dnb.com/webform).

(3) Entity, as it is used in this provision, means all of the following, as defined at 2 CFR part 25, subpart C:

(i) A Governmental organization, which is a State, local government, or Indian Tribe;

(ii) A foreign public entity;

(iii) A domestic or foreign nonprofit organization;

(iv) A domestic or foreign for-profit organization; and

(v) A Federal agency, but only as a sub Recipient under an award or subaward to a non-Federal entity.

(4) Subaward:

(i) This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the Recipient award to an eligible sub Recipient.

(ii) The term does not include your procurement of property and services needed to carry out the project or program (for further explanation, see Sec. ----.210 of the attachment to OMB Circular A-133, ``Audits of States, Local Governments, and Non-Profit Organizations'').

(iii) A subaward may be provided through any legal agreement, including an agreement that you consider a contract.

(5) Sub Recipient means an entity that:

(i) Receives a subaward from you under this Agreement; and

(ii) Is accountable to you for the use of the Federal funds provided by the subaward.

Applies to all CAs and DGs, except to avoid compromising classified information or national security or jeopardizing the personal safety of the entity's clients.

Debarment and Suspension

The Recipient shall immediately inform the FAS if they or any of their principals are presently excluded, debarred, or suspended from entering into covered transactions with the Federal Government according to the terms of 2 CFR Part 180 as supplemented by 2 CFR Part 417. A listing of debarred or suspended entities can be found at www.epls.gov. Additionally, should the Recipient or any of their principals receive a transmittal letter or other official Federal notice of debarment or suspension, they shall notify the FAS without undue delay. This applies whether the exclusion, debarment, or suspension is voluntary or involuntary. The Recipient must include this provision, or a similar one, as term or condition in any lower tier covered transaction.

Applies to all CAs and DGs.

Drug-Free Workplace

(a) The recipient agrees to comply with 7 CFR Part 3021 “Governmentwide Requirements for Drug-Free Workplace (Financial Assistance).” The recipient will make a good faith effort, on a continuing basis, to maintain a drug-free workplace. As part of that effort, the recipient will publish a drug-free workplace statement and provide a copy to each employee who will be engaged in the performance of any project/program that receives federal funding. The statement must:

(1) Tell the employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in its workplace;

(2) Specify the actions the recipient will take against employees for violating that prohibition; and

(3) Let each employee know that, as a condition of employment under any instrument, he or she

i. Must abide by the terms of the statement, and

ii. Must notify you in writing if he or she is convicted for a violation of a criminal drug statute occurring in the workplace, and must do so no more than five calendar days after the conviction.

(b) The recipient agrees that it will establish an ongoing drug-free awareness program to inform employees about:

(1) The dangers of drug abuse in the workplace;

(2) Your policy of maintaining a drug-free workplace;

(3) Any available drug counseling, rehabilitation and employee assistance programs; and

(4) The penalties that you may impose upon them for drug abuse violations occurring in the workplace.

(c) The policy statement and program must be in place as soon as possible, no later than the 30 days after the effective date of this Agreement, or the completion date of this Agreement, whichever occurs first, unless the recipient obtains FAS’ express written approval.

(d) The recipient agrees to immediately notify FAS if an employee is convicted of a drug violation in the workplace. The notification must be in writing, identify the employee’s position title, the Agreement number of each instrument on which the employee worked. The notification must be sent to FAS within ten calendar days after the recipient learns of the conviction.

(e) Within 30 calendar days of learning about an employee’s conviction, the recipient must either:

(1) Take appropriate personnel action against the employee, up to and including termination, consistent with the requirements of the Rehabilitation Act of 1973 (29 USC 794), as amended, or

(2) Require the employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for these purposes by a Federal, State or local health, law enforcement, or other appropriate agency.

Applies to all CAs and DGs.

Eligible Workers

As related to workers hired for employment within the United States, the Recipient shall ensure that all such employees complete the I-9 form to certify that they are eligible for lawful employment under the Immigration and Nationality Act (8 USC 1324a). The Recipient shall comply with regulations regarding certification and retention of the completed forms. These requirements also apply to any contract or supplemental agreements awarded under this Agreement.

Applies to all CAs and DGs.

Financial Status Reporting

The Recipient shall submit original, {Financial Reporting Schedule} financial reports using form SF-425, Federal Financial Report, (and Federal Financial Report Attachment SF-425A, if required for reporting multiple transactions), to the FAS Program Manager. These reports are due no later than 30 calendar days after the reporting period, unless otherwise agreed upon in writing. This form shall, inter alia, include a report of federal cash transactions. The final financial status report, using form SF-425 (and SF-425A, if applicable), must be submitted no later than 90 days from the expiration or termination date of the Agreement. These forms may be found at www.whitehouse.gov/omb/grants_forms.

Applies to all CAs and DGs.

Freedom of Information Act (FOIA)

Public access to agreement records shall not be limited, except when such records must be kept confidential and would have been exempted from disclosure pursuant to "Freedom of Information" regulations (5 U.S.C. 552).

Applies to all CAs and DGs.

Implementation of E.O. 13224 – Executive Order on Terrorist Financing

Presidentially signed Executive Orders and U.S. law prohibit transactions with, and the provision of resources and support to, individuals and organizations associated with terrorism. Except when the United States Government provides a background investigation during the visa review process for an international participant on the request of USDA, it is the legal responsibility of the Recipient to ensure compliance with Executive Order 13224 and related laws. This provision must be included in all subawards and contracts issued under this Agreement.

Key responsibilities include, but are not limited to:

(a) The Recipient has not provided, and will take all reasonable steps to ensure that they do not and will not knowingly provide, material support or resources to any individual or entity that commits, attempts to commit, advocates, facilitates, or participates in terrorist acts, or has committed, attempted to commit, facilitated, or participated in terrorist acts.

(b) Specifically, in order to comply with Recipient obligations under paragraph 1, the Recipient will take the following steps:

(i) Before providing any material support or resources to an individual or entity, the Recipient will verify that the individual or entity does not appear:

(ii) On the master list of Specially Designated Nationals and Blocked Persons, which list is maintained by the U.S. Treasury’s Office of Foreign Assets Control (OFAC) and is available online at OFAC’s Web site : http://www.treasury.gov/resource-center/sanctions/SDN-List/Pages/default.aspx, or

(iii) On any supplementary list of prohibited individuals or entities that may be provided by FAS to the Recipient.

(iv) The Recipient also will verify that the individual or entity has not been designated by the United Nations Security (UNSC) sanctions committee established under UNSC Resolution 1267 (1999) (the “1267 Committee”) [individuals and entities linked to the Taliban, Usama bin Laden, or the Al Qaida Organization]. To determine whether there has been a published designation of an individual or entity by the 1267 Committee, the Recipient should refer to the consolidated list available online at the Committee’s Web site: http://www.un.org/Docs/sc/committees/1267/1267ListEng.htm.

(2) Before providing any material support or resources to an individual or entity, the Recipient will consider all information about that individual or entity of which it is aware or that is available to the public.

(3) The Recipient will implement reasonable monitoring and oversight procedures to safeguard against assistance being diverted to support terrorist activity.

(c) For purposes of this Certification:

(1) “Material support and resources” means currency or monetary instruments or financial securities, financial services, lodging, training, expert advice or assistance, safehouses, false documentation or identification, communications equipment, facilities, weapons, lethal substances, explosives, personnel, transportation, and other physical assets, except medicine or religious materials.

(2) “Terrorist act” means:

(i) An act prohibited pursuant to one of the 12 United Nations Conventions and Protocols related to terrorism (see UN terrorism conventions Internet site: http://untreaty.un.org/English/Terrorism.asp); or

(ii) An act of premeditated, politically motivated violence perpetrated against noncombatant targets by subnational groups or clandestine agents; or

(iii) Any other act intended to cause death or serious bodily injury to a civilian, or to any other person not taking an active part in hostilities in a situation of armed conflict, when the purpose of such act, by its nature or context, is to intimidate a population, or to compel a government or an international organization to do or to abstain from doing any act.

(3) “Entity” means a partnership, association, corporation, or other organization, group or subgroup.

Applies to all CAs and DGs.

Members of U.S. Congress

Pursuant to 41 U.S.C. 22, no United States member of, or United States delegate to, Congress shall be admitted to any share or part of this Agreement, or benefits that may arise there from, either directly or indirectly.

Applies to all CAs and DGs.

Nondiscrimination

The Recipient assures compliance with the following requirement: No person in the United States shall, on the grounds of race, color, national origin, sex, age, religion, political beliefs, or disability, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any project or activity under this Agreement.

Specific institutions and organizations have exemptions from the nondiscrimination requirements regarding religious preference, age limitations, gender focus, and tax exemption under section 501(a) of the Internal Revenue Code of 1954. Even though a basis or protected category is exempt in the operation of the organization, other civil rights provisions and protected bases may still apply.

These exemptions for instructional organizations are:

(a) Educational institutions controlled by religious organizations.

(b) Military and merchant marine educational organizations.

(c) Membership qualifications in organizations, such as social fraternities and sororities, YMCA, YWCA, Girl Scouts, Boy Scouts, Camp Fire Girls, and voluntary youth services organizations.

(d) Additionally, some activities have exemptions: Activities sponsored by the American Legion, such as selection of students relative to Girls State Conferences, Girls Nation Conferences, Boys State Conferences, and Boys Nation Conferences; father-son and mother-daughter activities at educational institutions if such activities are available to both gender groups equally; financial awards and scholarships that result from participation in pageants and contests limited to one gender.

To file a complaint of discrimination write to USDA, Director, Office of Civil Rights, 1400 Independence Avenue, S.W., Washington, D.C. 20250-9410 or call (800) 795-3272 (voice) or (202) 720-6382 (TDD). USDA is an equal opportunity provider and employer. The Recipient should post within a common area of their offices a copy of the “Justice for All” poster, AD-475A.

Applies to all CAs and DGs.

Positions of Influence

The Recipient shall establish safeguards to prohibit employees from using their positions for a purpose that is or gives the appearance of being motivated by a desire for private gain for themselves or others, particularly those with whom they have family, business, or other ties.

Applies to all CAs and DGs.

Program Performance Reports

The Recipient shall submit original, {Performance Reporting Schedule} performance reports using SF-PPR, Performance Progress Reports, to the FAS Program Manager with a copy to the Grants Management Officer. The Recipient must provide the SF-PPR.. These reports are due no later than 30 days after the reporting period. The final performance report shall be submitted either with the Recipient’s final payment request, or separately, but not later than 90 days from the expiration or termination date of the Agreement. The SF-PPR Performance Narrative section shall contain information on the following:

(a) A comparison of actual accomplishments with the goals and objectives established for the period and the findings of the principal investigator.

(b) Reasons why established goals were not met, if appropriate.

(c) Other pertinent information including, when appropriate, analysis and explanation of cost overruns or high unit costs.

Applies to all CAs and DGs.

Questionnaires and Survey Plans

The Recipient is required to submit to FAS copies of questionnaires and other forms for clearance in accordance with the Paperwork Reduction Act of 1980 and 5 CFR part 1320.

Applies to all CAs and DGs, when information collections under the Paper Reduction Act are anticipated.

Reporting Subawards and Executive Compensation Under 2 CFR Part 170 - Requirements for Federal Funding Accountability and Transparency Act Implementation; Appendix A to Part 170

(a) Reporting of first-tier subawards.

(1) Applicability. Unless you are exempt as provided in paragraph D. of this provision, you must report each action that obligates $25,000 or more in Federal funds that does not include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5) for a subaward to an entity (see definitions in paragraph E. of this award term).

(2) Where and when to report.

(i) You must report each obligating action described in paragraph (a)(1) of this provision to http://www.fsrs.gov.

(ii) For subaward information, report no later than the end of the month following the month in which the obligation was made. (For example, if the obligation was made on November 7, 2010, the obligation must be reported by no later than December 31, 2010.)

(3) What to report. You must report the information about each obligating action that the submission instructions posted at http://www.fsrs.gov specify.

(b) Reporting Total Compensation of Recipient Executives.

(1) Applicability and what to report. You must report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year, if—

(i) the total Federal funding authorized to date under this Agreement is $25,000 or more;

(ii) in the preceding fiscal year, you received—

(A) 80 percent or more of your annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and

(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and

(iii) The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.)

(2) Where and when to report. You must report executive total compensation described in paragraph (b)(1) of this provision:

(i) As part of your registration profile at http://www.ccr.gov.

(ii) By the end of the month following the month in which this award is made, and annually thereafter.

(c) Reporting of Total Compensation of Subrecipient Executives.

(1) Applicability and what to report. Unless you are exempt as provided in paragraph (d) of this provision, for each first-tier subrecipient under this Agreement, you shall report the names and total compensation of each of the subrecipient's five most highly compensated executives for the subrecipient's preceding completed fiscal year, if—

(i) in the subrecipient's preceding fiscal year, the subrecipient received—

(A) 80 percent or more of its annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and

(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts), and Federal financial assistance subject to the Transparency Act (and subawards); and

(ii) The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.)

(2) Where and when to report. You must report subrecipient executive total compensation described in paragraph (c)(1) of this provision:

(i) To the recipient.

(ii) By the end of the month following the month during which you make the subaward. For example, if a subaward is obligated on any date during the month of October of a given year (i.e., between October 1 and 31), you must report any required compensation information of the subrecipient by November 30 of that year.

(d) Exemptions

If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from the requirements to report:

(i) Subawards, and

(ii) The total compensation of the five most highly compensated executives of any subrecipient.

(e) Definitions. For purposes of this provision:

(1) Entity means all of the following, as defined in 2 CFR part 25:

(i) A Governmental organization, which is a State, local government, or Indian tribe;

(ii) A foreign public entity;

(iii) A domestic or foreign nonprofit organization;

(iv) A domestic or foreign for-profit organization;

(v) A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal entity.

(2) Executive means officers, managing partners, or any other employees in management positions.

(3) Subaward:

(i) This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient.

(ii) The term does not include your procurement of property and services needed to carry out the project or program (for further explanation, see Sec. ---- .210 of the attachment to OMB Circular A-133, ``Audits of States, Local Governments, and Non-Profit Organizations'').

(iii) A subaward may be provided through any legal agreement, including an agreement that you or a subrecipient considers a contract.

(4) Subrecipient means an entity that:

(i) Receives a subaward from you (the recipient) under this award; and

(ii) Is accountable to you for the use of the Federal funds provided by the subaward.

(5) Total compensation means the cash and noncash dollar value earned by the executive during the recipient's or subrecipient's preceding fiscal year and includes the following (for more information see 17 CFR 229.402(c)(2)):

(i) Salary and bonus.

(ii) Awards of stock, stock options, and stock appreciation rights. Use the dollar amount recognized for financial statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments.

(iii) Earnings for services under non-equity incentive plans. This does not include group life, health, hospitalization or medical reimbursement plans that do not discriminate in favor of executives, and are available generally to all salaried employees.

(iv) Change in pension value. This is the change in present value of defined benefit and actuarial pension plans.

(v) Above-market earnings on deferred compensation which is not tax- qualified.

(vi) Other compensation, if the aggregate value of all such other compensation (e.g. severance, termination payments, value of life insurance paid on behalf of the employee, perquisites or property) for the executive exceeds $10,000.

Applies to all CAs and DGs where subawards are contemplated that exceed $25,000. See 2 CFR 170 for specifics on applicability.

NOTE: All awards under $25,000 do not require this provision.

Safeguarding U.S. Funds

The Recipient shall establish safeguards to ensure that U.S. Federal funds are properly spent. The Recipient shall ensure that funds are not used for any partisan or political activity purposes (whether domestic or foreign), including, but not limited to:

(a) Supporting election, referendum, initiative, or similar procedure;

(b) Influencing the outcomes of elections;

(c) introducing legislation;

(d) Influencing government officials to engage in similar lobbying activity;

(e) Preparing, distributing, or using publicity or propaganda, or by urging members of the general public to contribute to or participate in any mass demonstration, march, rally, fund raising drive, lobbying campaign or letter writing or telephone campaign;

(f) Influencing or attempting to influence a member of Congress or a federal agency in connection with the award of any federal contract, grant loan or cooperative agreement;

(g) Attending legislative sessions or committee hearings, gathering information regarding legislation, and analyzing the effect of legislation, when such activities are carried on in support of or in knowing preparation for an effort to engage in unallowable lobbying.

If FAS funds under this Agreement have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, and officer or employee of Congress, or an employee of a Member of Congress in connections with this Agreement, the Recipient’s signatory official shall complete Standard Form LLL, Disclosure of Lobbying Activities, in accordance with its instructions and submit to the Grants Management Officer. This provision shall be included in the award documents for all subawards at all tiers including subcontracts, sub-grants, and contracts under this Agreements Any person who fails to file the SF-LLL shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

Applies to all CAs and DGs.

Text Messaging While Driving

In accordance with Executive Order (EO) 13513, “Federal Leadership on Reducing Text Messaging While Driving,” any and all text messaging by Federal employees is banned: a) while driving a Government owned vehicle (GOV) or driving a privately owned vehicle (POV) while on official Government business; or b) using any electronic equipment supplied by the Government when driving any vehicle at any time. All Recipients their employees, volunteers, and contractors are encouraged to adopt and enforce policies that ban text messaging when driving company owned, leased or rented vehicles, POVs or GOVs when driving while on official Government business or when performing any work for or on behalf of the Government.

Applies to all CAs and DGs.

Trafficking In Persons

(1) Provisions applicable to a recipient that is a private entity.

(a) You as the recipient, your employees, subrecipients under this Agreement, and subrecipients’ employees may not—

(i) Engage in severe forms of trafficking in persons during the period of time that the Agreement is in effect;

(ii) Procure a commercial sex act during the period of time that the Agreement is in effect; or

(iii) Use forced labor in the performance of the Agreement or subawards under the Agreement.

(b) We as the Federal awarding agency may unilaterally terminate this Agreement, without penalty, if you or a subrecipient that is a private entity —

(i) Is determined to have violated a prohibition in paragraph 1.a of this Agreement term; or

(ii) Has an employee who is determined by the agency official authorized to terminate the Agreement to have violated a prohibition in paragraph 1.a of this Agreement term through conduct that is either—

(A) Associated with performance under this Agreement; or

(B) Imputed to you or the subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR part 180, ‘‘OMB Guidelines to Agencies on Government wide Debarment and Suspension (Nonprocurement),’’ as implemented by our agency at 7 CFR 3017.

(2) Provision applicable to a recipient other than a private entity. We as the Federal awarding agency may unilaterally terminate this Agreement, without penalty, if a subrecipient that is a private entity—

(a) Is determined to have violated an applicable prohibition in paragraph 1.a of this Agreement term; or

(b) Has an employee who is determined by the agency official authorized to terminate the Agreement to have violated an applicable prohibition in paragraph 1.a of this Agreement term through conduct that is either—

(i) Associated with performance under this Agreement; or

(ii) Imputed to the subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR part 180, ‘‘OMB Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement),’’ as implemented by our agency at 7 CFR 3017.

(iii) Provisions applicable to any recipient.

(c) You must inform us immediately of any information you receive from any source alleging a violation of a prohibition in paragraph 1.a of this Agreement term.

(d) Our right to terminate unilaterally that is described in paragraph 1.b or 2 of this section:

(i) Implements section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as amended (22 U.S.C. 7104(g)), and

(ii) Is in addition to all other remedies for noncompliance that are available to us under this Agreement.

(e) You must include the requirements of paragraph 1.a of this Agreement term in any subaward you make to a private entity.

(3) Definitions. For purposes of this Agreement term:

(a) ‘‘Employee’’ means either:

(i) An individual employed by you or a subrecipient who is engaged in the performance of the project or program under this Agreement; or

(ii) Another person engaged in the performance of the project or program under this Agreement and not compensated by you including, but not limited to, a volunteer or individual whose services are contributed by a third party as an in-kind contribution toward cost sharing or matching requirements.

(b) ‘‘Forced labor’’ means labor obtained by any of the following methods: the recruitment, harboring, transportation, provision, or obtaining of a person for labor or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage, or slavery.

(c) ‘‘Private entity’’:

(i) Means any entity other than a State, local government, Indian tribe, or foreign public entity, as those terms are defined in 2 CFR 175.25.

(ii) Includes:

(A) A nonprofit organization, including any nonprofit institution of higher education, hospital, or tribal organization other than one included in the definition of Indian tribe at 2 CFR 175.25(b).

(B) A for-profit organization.

(d) ‘‘Severe forms of trafficking in persons,’’ ‘‘commercial sex act,’’ and ‘‘coercion’’ have the meanings given at section 103 of the TVPA, as amended (22 U.S.C. 7102).

Applies to all CAs and DGs.

U.S. Government Employment Status

In no event shall the Recipient or its subrecipients be considered as employees of the United States government, unless authorized by Federal Statute.

Applies to all CAs and DGs.

Provision Title

National Policy GT&C – Conditional

International

Instructions

International Travel and the Fly America Act

The Fly America Act (49 U.S.C. 40118) requires that all air travel and shipments under this Agreement must be made on U.S. flag air carriers to the extent service by such carriers is available or reasonably available, as applicable. The Administrator of the General Services Administration (GSA) is authorized to issue regulations to implement the Act. Those regulations may be found at 41 CFR Part 301, and are hereby incorporated by reference into this Agreement.

Applies to CAs and DGs that take place outside the U.S.

International Air Travel and Transportation

(a) In accordance with OMB Cost Principles, direct charges for foreign travel costs are allowable only when each foreign trip has received prior budget approval by the PM. Such approval will be deemed to have been met when:

(1) The trip is identified. Identification is accomplished by providing the following information: the number of trips, the number of individuals per trip, and the destination country(s);

(2) The information noted at (1) above is incorporated in: the Recipient’s project narrative, or mutually agreed amendments to this Agreement; and

(3) The costs related to the travel are incorporated in the Recipient’s revised budget, or in a subsequently approved budget to this Agreement.

(b) Post award approval may be allowed, but only if the Grants Management Officer approves the travel, in writing.

Applies to CAs and DGs that take place outside the U.S.

Investment Promotion

(a) No funds or other support provide hereunder may be used in a project or activity reasonably likely to involve the relocation or expansion outside of the United States of an enterprise located in the United States if non-U.S. production in such relocation or expansion replaces some or all of the production of, and reduces the number of employees at, said enterprise in the United States.

(b) No funds or other support provided hereunder may be used in a project or activity the purpose of which is the establishment or development in a foreign country of any export processing zone or designated area where the labor, environmental, tax, tariff, and safety laws of the country would not apply, without the prior written approval of FAS.

Applies to CAs and DGs that take place outside the U.S.

Nondiscrimination in International Programs

No U.S. citizen or legal resident shall be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity funded by this Agreement on the basis of race, color, national origin, age, handicap, or sex.

Applies to CAs and DGs that take place outside the U.S.

Regulations Governing Employees

(a) The Recipient's employees shall maintain private status and may not rely on local U.S. Government offices or facilities for support while under this Agreement.

(b) The Recipient's employees, while in a foreign country, are expected to show respect for its conventions, customs, and institutions, to abide by its applicable laws and regulations, and not to interfere in its internal political affairs.

(c) In the event the conduct of any of the Recipient's employees is not in accordance with the preceding paragraphs, the Recipient's chief of party shall consult with the employee involved and the FAS Program Manager shall recommend to the Recipient a course of action with regard to such employee.

(d) The parties recognize the rights of the U.S. Ambassador to direct the removal from a country of any U.S. citizen or the discharge from this Agreement of any third country national when, in the discretion of the Ambassador, the interests of the United States so require.

(e) If it is determined, either under (c) or (d) above, that the services of such employee should be terminated, the Recipient shall use its best efforts to cause the return of such employee to the United States, or point of origin, as appropriate.

Applies to all CAs and DGs.

Provision Title

National Policy GT&C – Conditional

Research

Instructions

Agriculture Bioterrorism Protection Act

The Recipient assures compliance with the Agriculture Bioterrorism Protection Act of 2002, as implemented at 7 CFR part 331 and 9 CFR part 121, by agreeing that it will not possess, use, or transfer any select agent or toxin without a certificate of registration issued by the Agency.

Applies to all CAs and DGs.

Animal Welfare Act

The Recipient assures compliance with the Animal Welfare Act, as amended, 7 U.S.C. 2131, et seq., and the regulations promulgated there under by the Secretary of Agriculture (9 CFR, Subchapter A) pertaining to the care, handling, and treatment of warm-blooded animals held or used for research, teaching, or other activities supported by Federal funds. The Recipient may request registration of facilities and a current listing of licensed dealers from the Regional Office of the Animal and Plant Health Inspection Service (APHIS), USDA, for the Region in which their facility is located. The location of the appropriate APHIS Regional Office, as well as information concerning this requirement, may be obtained by contacting the Senior Staff Officer, Animal Care Staff, USDA/APHIS, 4700 River Road, Riverdale, Maryland 20737.

Applies to all CAs and DGs when research, teaching, or other activities are anticipated.

Invention Disclosure and Utilization Reporting

The Recipient shall report Invention Disclosures and Utilization information electronically via i-Edison Web Interface at: www.iedison.gov.

Applies to all CAs and DGs when research activities are anticipated.

Metric System of Measurement

Wherever measurements are required or authorized, they must be made, computed, and recorded in metric system units of measurement, unless otherwise authorized by the FAS Program Manager in writing when it has found that such usage is impractical or is likely to cause United States firms to experience significant inefficiencies or the loss of markets. Where the metric system is not the predominant standard for a particular application, measurements may be expressed in both the metric and the traditional equivalent units, provided the metric units are listed first.

Applies to all CAs involving research and/or publications.

Protection Of Human Subjects

The Recipient assures compliance with the following provisions regarding the rights and welfare of human subjects:

(a) The Recipient is responsible for safeguarding the rights and welfare of any human subjects involved in research, development, and related activities supported by this Agreement. The Recipient may conduct research involving human subjects only as prescribed in the statement of work and as approved by the Recipient’s Cognizant Institutional Review Board.

Prior to conducting such research, the Recipient shall obtain and document a legally sufficient informed consent from each human subject involved. No such informed consent shall include any exculpatory language through which the subject is made to waive, or to appear to waive, any of his or her legal rights, including any release of the Recipient or its agents from liability for negligence.

(b) The Recipient agrees to comply with U.S. Department of Health and Human Services’ regulations regarding human subjects, appearing in 45 CFR part 46 (as amended).

(c) It will comply with FAS policy, which is to assure that the risks do not outweigh either potential benefits to the subjects or the expected value of the knowledge sought.

(d) Selection of subject or groups of subjects shall be made without regard to sex, race, color, religion, or national origin unless these characteristics are factors to be studied.

Applies to all CAs and DGs when research, development and related activities are anticipated.

Recombinant DNA Research

The Recipient assures that it will assume primary responsibility for implementing proper conduct on recombinant DNA research and it will comply with the National Institute of Health Guidelines for Recombinant DNA Research, as revised.

If the Recipient wishes to send or receive registered recombinant DNA material which is subject to quarantine laws, permits to transfer this material into the U.S. or across state lines may be obtained by contacting USDA/APHIS/PPQ, Scientific Services— Biotechnology Permits, 4700 River Road, Unit 133, Riverdale, Maryland 20737. In the event that the Recipient has not established the necessary biosafety committee, a request for guidance or assistance may be made to the USDA Recombinant DNA Research Officer.

Applies to all CAs and DGs when DNA research is anticipated.