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HomeMy WebLinkAbout5573ORDINANCE NO. 5 5 7 3 AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF AUBURN, WASHINGTON, AUTHORIZING THE ACCEPTANCE OF A GRANT OF ONE HUNDRED NINETY THOUSAND ONE HUNDRED TWENTY-THREE ($190,123) DOLLARS FROM THE WASHINGTON SERVICE CORPS TO PROVIDE AND OPERATE THE AUBURN AMERICORPS TEAM; PROVIDE AN IN-KIND MATCH OF SIXTY-THREE THOUSAND SEVEN HUNDRED TWO ($63,702) DOLLARS AND A CASH MATCH OF SEVEN THOUSAND FIVE HUNDRED ($7,500) DOLLARS; AND AUTHORIZE THE MAYOR TO IMPLEMENT THE NECESSARY ADMINISTRATIVE PROCEDURES. NOW, THEREFORE, THE CITY COUNCIL OF THE CITY OF AUBURN, WASHINGTON, DO ORDAIN AS FOLLOWS: Section 1. Pursuant to Chapter 35A33 RCW the City Council hereby accepts a grant of One Hundred Ninety Thousand One Hundred Twenty-three ($190,123) Dollars from the State of Washington Employment Security Department's Washington Service Corps to provide and operate the Auburn AmeriCorps Team and deposits said grant funds into the City of Auburn's general fund, a copy of said Grant Agreement is attached hereto as Exhibit "A" and is incorporated herein by reference.. Section 2. Approximately One Hundred Thousand Eight Hundred Ninety-two ($100,892) Dollars of the above grant is personnel costs for the AmeriCorps members. These member costs are administered by the Washington Service Corps. The Washington Service Corps pays Ninety-three Ordinance 5563 June 21, 2001 Page 1 Thousand Three Hundred Ninety-two ($93,392) Dollars of the cost for the AmeriCorps members and the City pays for the remaining Seven Thousand Five Hundred ($7,500) Dollars of member costs. Section 3. The remaining Eight -nine Thousand Two Hundred Thirty- one ($89,231) Dollars of the grant is operating costs incurred by the City of Auburn out of which the Washington Service Corps reimburses Twenty-five Thousand Five Hundred Twenty-nine ($25,529) Dollars and the remaining Sixty-three Thousand Seven Hundred Two ($63,702) Dollars is an in-kind match provided by the City of Auburn. Approximately Twenty -Eight Thousand Fifty-two ($28,052) Dollars or 44% of the in-kind match is donated to the City in the form of supervision and supplies provided by participating non-profit agencies and the Auburn School District. The remaining Thirty-five Thousand Six Hundred Fifty ($35,650) Dollars or 56% will be absorbed by the City in the form of indirect administrative support Seven Thousand ($7,000) Dollars; in- kind salary and fringe benefits provided by participating City Staff Twenty-five Thousand Five Hundred Forty ($25,540) Dollars; transportation One Thousand Seven Hundred Fifty ($1,750) Dollars and miscellaneous supplies and materials One Thousand Three Hundred Sixty ($1,360) Dollars. Ordinance 5573 July 24, 2001 Page 2 Section 4. Implementation. The Mayor is hereby authorized to implement such administrative procedures as may be necessary to cant' out the directions of this legislation. Section 5. Effective Date. This ordinance shall take effect and be in force five (5) days from and after its passage, approval, and publication, as provided by law. INTRODUCED: August 6, 2001 PASSED: August 6, 2001 APPROVED: August 6, 2001 CLX6�v CHARLES A. BOOTH MAYOR ATTEST: Dan'iefle E. Daskam, City Clerk APPROVED AS TO FORM: Michael J. Reynolds, City Attorney eco r4-1-fof aao 1 Ordinance 5573 July 24, 2001 Page 3 CFDA # 94.006 Grant Number: -01-010-G Grant Amount: Funding Source: WCNCS (3835) GRANT AGREEMENT BETWEEN STATE OF WASHINGTON Employment Security Department And City of Auburn This Agreement is made and entered into by and between the Washington State Employment Security Department (hereinafter called the "DEPARTMENT"), located at 605 Woodland Square Loop SE, Lacey, Washington, and the City of Auburn (hereinafter called the "GRANTEE"), located at: 25 W. Main Auburn, WA 98001. The GRANTEE staff member responsible for management of this agreement is: Name: Bill Mandeville Phone Number: 253-804-5029 It is the purpose of this agreement to operate a team -based national service program in partnership with the Washington Service Corps,.a member of the AmeriCorps National Service Network. In consideration of the terms and conditions contained herein, or attached and incorporated and made a part hereof, the parties agree as follows: , STATEMENT OF WORK The GRANTEE shall fulfill the objectives and cavy out the components of each objective as outlined in Exhibit "A". The GRANTEE shall furnish the necessary personnel and services and otherwise do all things necessary for or incidental to the performance of the work set forth in the Exhibit "A" and the Program Budget attached hereto as Exhibit "B" and incorporated by reference herein. The GRANTEE will ensure attendance of team members and supervisor(s) at member development institutes, and cooperate with evaluation and continuous improvement efforts. The GRANTEE shall submit an Evaluation Plan for approval by October 1, 2000, into the web based reporting system known as ROLES (Reports: On -Line Evaluation System). TERMS AND CONDITIONS All rights and obligations of the parties to this Contract shall be subject to and governed by the Terms and Conditions contained in the text of this Contract instrument, AmeriCorps Grant Provisions (and as they may be amended by the Corporation for National and Community Service) attached hereto as Exhibit "C", the Washington Service Corps Grant Provisions (and as they may be amended by the Department) attached hereto as Exhibit "D" and the Employment Security Department General Terms and Conditions attached hereto as Exhibit "E" and each are incorporated by reference herein. PERIOD OF PERFORMANCE Regardless of the date of execution, the beginning date of this Agreement shall be September 1, 2000 and all rights and obligations of the parties to this Agreement shall be subject to and governed by the terms and conditions contained in the text of this agreement for that period between September 1, 2000 and the date of execution of this agreement, and be completed on August 31, 2001 unless terminated sooner as provided herein. Ordinance 5573 Ecxhibit "A" REPORTING The GRANTEE will comply with requests from the DEPARTMENT including but not limited to status report(s) on activity on a quarterly basis or as requested by the Corporation for National and Community Service and/or the Washington Commission for National and Community Service, as well as timely submission of reports including documenting member attendance and hours of service. PAYMENT SCHEDULE The DEPARTMENT shall pay an amount not to exceed $27,079 for the performance of all things necessary for or incidental to the performance of work as set forth in Exhibit "A". Satisfactory progress toward accomplishment of program objectives, as demonstrated in monitoring and quarterly reports, must be made or payment may be delayed or denied. BILLING PROCEDURE The GRANTEE shall submit match reports and invoices on at least a quarterly basis for services performed under this Contract on an Invoice Voucher (Form A-19) prepared in duplicate (original and one copy). Invoices shall include such information as is necessary for the DEPARTMENT to determine the exact nature of all expenditures. The final invoice must be received by the DEPARTMENT by sixty days following the termination of this agreement. Each invoice will clearly indicate that it is "FOR SERVICES RENDERED IN PERFORMANCE UNDER ESD GRANT NUMBER -01-010-G- (3835)" The original and. one copy of each invoice voucher shall be submitted to: Employment Security Department Attention: Washington Service Corps P.O. Box 9046 Olympia, Washington 98507-9046 GRANT MANAGEMENT The DEPARTMENTs Program Manager, Nancy Pringle, or her designee or successor shall provide the GRANTEE the assistance and guidance necessary for the performance of this agreement. The Program Manager shall be responsible for the review and acceptance of the GRANTEE's performance and invoices. ORDER OF PRECEDENCE In the event of an inconsistency in this agreement, unless otherwise provided herein, the inconsistency shall be resolved by giving precedence in the following order: 1) Applicable Federal and State Statutes and Regulations (which may include OMB Circular 133, and Public Law 104-156 [1996 amendments to the Single Audit Act]); 2) Those Special Terms and Conditions as contained in the basic agreement instrument; 3) AmeriCorps Terms and Conditions attached hereto and incorporated by reference herein; 4) The General Terms and Conditions attached hereto and incorporated by reference herein;. 5) The Statement of Work attached hereto and incorporated by reference herein; and 6) Any other provisions of the Contract whether incorporated by reference or otherwise. DEBARMENT AND SUSPENSION By executing this Contract, the GRANTEE certifies to the DEPARTMENT that it is not debarred, suspended, or otherwise excluded from or ineligible for, participation in Federal Assistance programs under Executive Order 12549 "Debarment and Suspension." The GRANTEE certifies that it will not contract with a subcontractor that is debarred or suspended. ALL WRITINGS CONTAINED HEREIN This agreement contains all the terms and conditions agreed upon by the parties. No other understandings, oral or otherwise, regarding the subject matter of this agreement shall be deemed to exist or to bind any of the parties hereto. IN WITNESS WHEREOF, the parties have executed this agreement. City of Auburn STATE OF WASHINGTON Q 1 �} f EMPLOYMENT SECURITY DEPARTMENT Q4o . . Charles A. Booth, Date Date Mayor APPROVED AS TO FORM ONLY IRS#1SSA# 91-6001228 Assistant Attorney General STATE OF WASHINGTON EMPLOYMENT SECURITY DEPARTMENT Attachments: Exhibit "A" Exhibit "B" Exhibit "C" Exhibit "D" Exhibit "E" Program Objectives Program Budget AmeriCorps Grant Provisions WSC Grant Provisions ES General Terms and Conditions A roved s Form: Michael J. Reynolds, City Attorney F; m y a _e ►• u _ m a � n• q v V O U t y .0 Y y N io p v o` L V a In a u Q 0 U . S � Q Q v V E p c 3 c S 04 > E c c as o Go Asa a3 � e u L v •� � m � y u u y u o� o,c.0 �= 5 • � > o u.a e u eo c mL O h a E C aE u V a V u co .ao ao a N 3 c V C as � a�aLu. 3 a� O A O p. q c 0 0- \ e s o L o s 3 •o u cr h �, 3 ON a .E C6 v C u >, c L L Q u �. Y O V q>, C O � � Q0 ae u v u a �c�e°o a 30 3a •� i c •O O � ap3 V L O a.5 E� i o0 E N uo u E V u N vs v E• „ E- Q E. a. Ei E y u m u 7 u E m <` Q E, a c ,am v F; V y V! � Q C ° �U E G E o UQz cts o v •a h u n � m � of C C 4) qu o .. 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C C Z Y ^� -0 C is CL C a H °Q a E " 7 y O 3 — C a a vs ; a al c on a s lu V a lu cv u N> a H Z •� C 7 N L+ y G u •u i. u ,eW 'u a Y 'o 3 C �` u .z U ,v a c E c. c 9 �• u > C O a u H a u u V O man y= c V d. v =, 4I Z >, y L _' V O �. ed u V y uIN O 6. d 7 '•• `u u as •C1 C7 j i� 00 E vi a >D Yy T = T R Y SOX ` Y ° aC • ` V ,�> R £3. u _V G C R O � C. 7 of ea — CJ a� _ �� vEy g v' = E E '' o''� v U a o 00 a Y Exhibit B PROJECTBUDGET FORMAMERICORPS Applicant Name: Program Name: A. MEMBER SUPPORT COSTS Living Allowance Type Local Match - Living Number of $500 per full Corporation Share Allowance Members time member (Maximum 85%) Grantee Share Total 1 Year FT Leader 900 0 0 0 0 $0 1 Year FT Member 800 8 6,000 64,400 6,000 $70,400 1 Year PT 400 4 1,500 16,100 1,500 $17,600 Summer $0 Subtotal 10.00 7,500 $80,500 $7,500 $88,000 FICA (7.65°/x) 6,732 $6,732 Workers' Compensation (2%) 1,760 $1,760 Health Care ($50 per month) 4,400 $4,400 Section total 10.00 7,500 $93,392 $7,500 $100,892 B. OTHER MEMBER SUPPORT COSTS Training and Education $3,168 $2,112 $5,280 (please specify in budget narrative) Other $0 Subtotal $3,168F $2,112 $5,280 C. STAFF Salaries $17,510 41,140 $58,650 Benefits $0 0 $0 Training $0 500 $500 (please specify in budget narrative) Other $0 $0 $0 Subtotal $171510 1 $440 1,6 F $59,150 D. OPERATING COSTS Travel $1,250 $750 $2,000 Supplies $3,101 $2,400 $5,501 Transportation $0 $1,000 $1,000 (no greater than 10% ofA through F) Equipment $500 $0 $500 (please specify in budget narrative) Other $0 $360 $360 Subtotal $4,851 $4,510 :E361] E. INTERNAL EVALUATION 0 $6,940 $6,940 F. ADMINISTRATION Program/Operating Site $8,500 $8,500 G. TOTAL PROGRAM OPERATING COSTS (B - F) $25,529 + $63,702 = $89,231 (max. 670/.) (min_ 330%) H. TOTAL OPERATING SITE BUDGET (A+G) $190,123 I. AVERAGE COST PER MEMBER $2,553 $6,370 $8,923 Applicant Name: City of Auburn Program Name: Auburn's Neighborhood Program BUDGET NARRATIVE W.S.C. Grantee City Exhibit B PY 2002 Grantee Total ASD A. Member Costs 93,392 7,500 0 100,892 8 Full -Time Members {$800 /mon} 64,400 6,000 70,400 4 Part -Time Member {$400/mon) 16,100 1,500 17,600 FICA (7.65%) 6,732 6,732 Workers' Compensation (2%) 1,760 1,760 Health Care ($50 / mem / month) 4,400 4,400 B. MEMBER SUPPORT 3,168 0 2,112 5,280 Training and Education 3,168 0 2,112 5,280 (Six team training workshops at $443 each plus travel and preparation. Individual member training for full time members at $250 each.) Other 0 0 0 0 C. STAFF 17,510 18,500 23,140 59,150 Salaries & Benefits 17,510 18,000 23,140 58,650 0.30 FTE Program Coordinator 18,000 0 18,000 (600 hrs of program management at a cost of $30 per hour. Program management includes designing the program, recruitment, finances, grawwriting, orientation, training, and negotiating the placment of members.) 0.45 FTE Team Supervisor 17,510 0 0 17,510 { 875 hrs of direct supervision at a cost of $20 per hour. Supervision includes coaching and mentoring members, conducting performance appraisals, organizing meetings and projects.) 0.25 FTE On -Site Supervisors 0 0 23,140 23,140 (@ 460 hrs on-site supervision provided by School District principals and teachers at @ $50 / hr.) Benefits 0 0 0 0 {Benefits are included in the above hourly calculations at approximately 20%) Training 0 500 0 500 (City will budget sending the Planner and Team Supervisor to training conferences at $250 per conference.) Other 0 0 0 0 Exhibit B E. INTERNAL EVALUATION 0 6,940 0 6,940 0.10 FTE Program Coordinator 0 6,940 0 6,940 (@ 230 hrs of staff time to collect and compile data, analyze, monitor and report the progress of the AmeriCorps Team at a cost of $30 / hr.) F. ADMINISTRATION W.S.C. Grantee Grantee Total City ASD 2,000 D. OPERATIONAL 4,851 3,210 1,300 9,361 Travel 1,250 750 0 2,000 {Reimbursable travel of approximately 6,000 3,168 0 2,112 5,280 miles at $0.325 / mile.} 17,510 18,500 23,140 59,150 Supplies 3,101 1,100 1,300 5,501 Uniforms: $50 per member 0 0 0 0 - Program Materials & Supplies: 3,101 1,100 1,300 5,501 ... Team Projects & Events 1,500 500 0 2,000 ... Middle School Projects & Events 0 0 1,000 1,000 ... Youth Crime Watch 1,000 500 300 1,800 ... PEP Giriz & After School 601 100 0 701 Transportation 0 1,000 0 1,000 {Team travel expenses to two MDIs at approx $500 per conference.} Equipment 500 0 0 500 (Radios & telecommunications for members at middle school.) Other {Internet accest at $30 / month) 0 360 0 360 E. INTERNAL EVALUATION 0 6,940 0 6,940 0.10 FTE Program Coordinator 0 6,940 0 6,940 (@ 230 hrs of staff time to collect and compile data, analyze, monitor and report the progress of the AmeriCorps Team at a cost of $30 / hr.) F. ADMINISTRATION 0 7,000 1,500 8,500 -- Indirect Admin costs City ... communication 2,000 1,500 3,500 ... advertising 500 0 500 ... insurance 4,500 0 4,500 Operating Cost Per Member: 2,553 10,710 2,805 8,923 W.S.C. Grantee Grantee Total City ASD Summary of Total Costs -- Member Costs 93,392 7,500 0 100,892 -- Member Support 3,168 0 2,112 5,280 -- Staff Support 17,510 18,500 23,140 59,150 -- Operating Costs 4,851 3,210 1,300 9,361 -- Internal Evaluation 0 6,940 0 6,940 -- Administration 0 7,000 1,500 8,500 Total Budget 118,921 43,150 28,052 190,123 Operating Cost Per Member: 2,553 10,710 2,805 8,923 Exhibit C AmeriCorpse Provisions For the purposes of these Provisions, AmeriCorps refers to AmeriCorps*State, V ­ AmeriCorps* National and AmeriCorps*Tribes and Territories Programs only. The term Cooperative Agreement is used interchangeably with the term Grant or Grant Award. All applicable Provisions of the Cooperative Agreement shall apply to sub - Grantee AmeriCorps Programs and other awards. A. DEFINITIONS 1. Definitions B. AMERICORPS SPECIAL PROVISIONS 2. Purposes of the Award 3. AmeriCorps Affiliation 4. Local and State Consultation 5. Prohibited Program Activities 6. Fund Raising 7. Member Eligibility, Recruitment and Selection 8. Member Training, Supervision and Support 9. Terms of Service 10. Release from Participation 11. Minor Disciplinary Actions 12. Living Allowances, In -Service Benefits and Taxes 13. Post -service Education Awards 14. Matching Requirements 15. Member Records and Confidentiality 16. Budget and Programmatic Changes 17. Reporting Requirements 18. Renewal of the Award C. GENERAL PROVISIONS 19. Terms of Acceptance 20. Legislative and Regulatory Authority 21. Other Applicable Statutory and Administrative Provisions 22. Responsibilities under Grant Administration 23. Financial Management Provisions 24. Administrative Costs 25. Equipment and Supplies Costs 26. Project Income 27. Payments under the Award 28. Retention of Records 29. Site Visits 30. Liability and Safety Issues 31. Drug -Free Workplace Fina/ - Apel/ 30,1999 Q Exhibit C 32. Non-discrimination 33. Supplementation, Non -duplication and Non-displacement 34. Grievance Procedure 35. Ownership and Sharing of the Award Products - 36. Publications 37. Evaluation 38. Suspension or Termination of the Award 39. Order of Precedence Anal - AWI30, s"Rn 2 A. DEFINITIONS 1. Definitions. For purposes of this Cooperative Agreement, the following definitions apply: a. Act means the National and Community Service Act of 1990, as amended (42-U.S.C. §12501 et seq.) b. Administrative costs are expenses associated with the overall administration of a Program, and are defined in the General Provisions, Clause 24, Administrative Costs. c. AmeriCorps National Service Network means AmeriCorps*State, AmeriCorps*National, AmeriCorps*Tribes and Territories, Volunteers in Service to America (VISTA), and National Civilian Community Corps (NCCC) Programs taken together as programs dedicated to national service. VISTA is authorized under the Domestic Volunteer Service Act (42 U.S.C. §4950 et seq.). NCCC is authorized under the National and Community Service Act (42 U.S.C. §12611 et seq.). d. Approved national service position means a national service position forwhich the Corporation has approved the provision of a national service education award as one of the benefits to be provided for successful service in the position. e. Cognizant agency means the federal agency coordinating audit and other fiscal requirements for those organizations with grants from multiple federal agencies. f. Cooperative Agreement is a type of federal award with substantial Corporation involvement during the Project performance period, used in these provisions interchangeably with the term Grant or Grant Award. g. Corporation means the Corporation for National and Community Service established under of the Act (42 U.S.C. §12651). h. Education Award means an award provided to a member who has completed a required term of service in an approved national service position successfully and who otherwise meets the eligibility criteria set forth in the Act. An education award may be used: (1) to repay qualified student loans, as defined in the Act; (2) toward the cost of attendance at an institution of higher education, as those terms are defined in the Act; and (3) toward expenses incurred in participating in school -to -work programs approved by the Secretaries of Labor and Education. i. Grantee, for the purposes of this agreement, means the direct recipient or the subrecipient/site of this Grant. The term sub -Grantee shall be substituted for the term Grantee where appropriate. The Grantee is Fina! - April 30. 1999 3 legally accountable to the Corporation for the use of Grant funds and is bound by the provisions of the Grant. j. Indian tribe means a band, nation, or other organized group or community, including: (1) any Native village group as defined in §3(c) of the Alaska Native Claims Settlement Act (43 U.S.C. §1602 (c)), whether organized traditionally or pursuant to the Act of June 18, 1934 (commonly known as the "Indian Reorganization Act", 25 U.S.C. §§461 et seq.); (2) any Regional Corporation or Village Corporation, as defined in subsection (g) or 0), respectively, of section 3 of the Alaska Native Claims Settlement Act 43 U.S.C. §1602 (g) or (i)), that is recognized as eligible for the special programs and services provided by the United States under federal law to Indians because of their status as Indians; and (3) any tribal organization controlled, sanctioned, or chartered by an entity described in paragraph (13) (i) (A) of this section. k. Member means an individual: I. who is enrolled in an approved national service position; ii. who is a U.S. citizen, U.S. national or lawful permanent resident alien of the United States; iii. who is at least 17 years of age at the commencement of service unless the member is out of school and enrolled (a) in a full-time, year-round youth corps Program or full- time summer Program as defined in the Act (42 U.S.C. §12572 (a) (2)), in which case he or she must be between the ages of 16 and 25, inclusive, or (b) in a Program for economically disadvantaged youth as defined in the Act (42 U.S.C. § 12572 (a) (9)), in which case he or she must be between the ages of 16 and 24, inclusive; iv. has a high school diploma or an equivalency certificate [or agrees to obtain a high school diploma or its equivalent before using an education award] and who has not dropped out of elementary or secondary school in order to enroll as an AmeriCorps member (unless enrolled in an institution of higher education on an ability to benefit basis and is considered eligible for funds under section 484 of the Higher Education Act of 1965, 20 U.S.C. §1091), or who has been determined through an independent assessment conducted by the Program to be incapable of obtaining a high school diploma or its equivalent (provided that the Corporation has waived the education attainment requirement for the individual). 1. National Service Trust is the account established in the U.S. Department of.the Treasury under the Act (42 U.S.C. §12601) for the purpose of holding and making payments of education awards and other education benefits to AmeriCorps members. Final- April 30, 1999 4 m. OMB means the U.S. Office of Management and Budget, which issues uniform administrative, allowable cost and audit requirements for the " administration of federal grants and other agreements. n. Out -of school youth means those individuals who have either dropped out or otherwise have no permanent affiliation with a secondary school. This definition does not include individuals who are in between school years and fully intend to return to school in the fall. o. Parent Organization means a single entity, including an Indian tribe, that is responsible for implementing and managing a National Direct AmeriCorps Program. p. Program means a national service Program, described in the Act (42 U.S.C. §12572(a)), carried out by the Grantee through funds awarded by the Corporation and carried out in accordance with federal requirements and the Provisions of this Grant. q. Project means an activity or set of activities carried out by a Program that results in a specific, identifiable community service or improvement: i. that otherwise would not have been made with existing funds; and ii. that does not duplicate the routine services or functions of the organization to whom the members are assigned. r. Project sponsor means an organization or other entity that has been selected to provide a placement for a member. s. Service recipient means a community beneficiary who receives a service or benefit from the service of AmeriCorps members. t. State Commission means, for the purposes of these Grant Provisions, the Commission on National and Community Service established by a state pursuant to the Act (42 U.S.C. §12638), including an authorized alternative administrative entity to administer the state's national service plan and national service programs and to perform such other duties prescribed by law. u. Sub -Grantee or sub -recipient refers to an organization receiving an AmeriCorps Grant from a Grantee of the Corporation. Final - Apri130. 1999 5 B. AMERICORPS SPECIAL PROVISIONS 2. PURPOSES OF THE AWARD. The general purposes of this Grant are "Getting Things Done" in communities, strengthening the ties that bind communities together, and developing the citizenship and skills of AmeriCorps members. Activities funded through this Grant are intended to help engage Americans of all backgrounds as members in community-based service that provides a direct and demonstrable benefit that is valued by the community. Service activities must result in a specific identifiable service or improvement that otherwise would not be provided with existing funds or volunteers and that does not duplicate the routine functions of workers or displace paid employees. All applicable Provisions of the Cooperative Agreement shall flow down to sub - Grantee AmeriCorps Programs and other awards. 3. AFFILIATION WITH THE AMERICORPS NATIONAL SERVICE NETWORK. a. Identification as an AmeriCorps Program. The Grantee must identify the Program as an AmeriCorps Program and members eligible for a Corporation -approved post -service education award as AmeriCorps members. b. The AmeriCorps name and logo. The Grantee must use the AmeriCorps name and logo on service gear, stationery, application forms, fundraising solicitations, recruitment brochures, orientation materials, member curriculum, signs, banners, press releases and publications created by AmeriCorps members in accordance with Corporation guidelines and requirements. The Corporation provides a camera-ready logo. To establish the relationship between the Program and AmeriCorps, the Grantee must use the phrase "The AmeriCorps National Service Network" or "an AmeriCorps" Program" and may use the slogan "Getting Things Done"'"Aon such materials in accordance with Corporation guidelines and requirements. The Grantee may not alter the AmeriCorps logo, and must obtain the written permission of the Corporation before: I. using the AmeriCorps name or logo on materials that will be sold, or ii. permitting donors to use the AmeriCorps name or logo'in promotional materials. c. AmeriCorps service gear. The Grantee is encouraged to provide the Core AmeriCorps Service Gear Package for each member. The core package includes the standard items made available by the Corporation. Final - A;Wil 30, /999 6 The Grantee should direct members to wear their service gear at officially designated AmeriCorps events and may allow members to wear their - - service gear at other times consistent with Corporation guidelines. The Grantee may not use Corporation funds to purchase local Program service gear. d. Participation in AmeriCorps events. The Grantee agrees, within reasonable limits, to participate in AmeriCorps events and activities sponsored by the Corporation, such as the National Opening Ceremonies, conferences and national service days. 4. LOCAL AND STATE CONSULTATION. a. Community consultation. The Grantee must design, implement and evaluate the funded project with extensive and broad-based community involvement, including consultation with representatives from the community served, members and potential members, community-based agencies with a demonstrated record in providing services, foundations and businesses. b. Labor union concurrence. Prior to the placement of members, the Grantee must consult with local labor organizations representing employees of project sponsors or representing employees in the area to be served by the Program. This includes people engaged in the same or similar work as that proposed to be carried out by the Program, and is required to ensure compliance with the non-displacement requirements contained in these Grant Provisions. c. State Commission consultation. In coordination with the Corporation, AmeriCorps*National and AmeriCorps*Tribes and Territories Grantees are strongly encouraged to consult on a regular basis with the State Commission in each state that a Program operates. Such communications build upon existing programs throughout the state while avoiding the duplication of efforts in other AmeriCorps Programs. 5. PROHIBITED PROGRAM ACTIVITIES. While charging time to the AmeriCorps Program, accumulating service or training hours or otherwise performing activities associated with the AmeriCorps program or the Corporation, staff and members may not engage in the following activities: 'a. Any effort to influence legislation. b. Organizing or engaging in protests, petitions, boycotts, or strikes. Final - April 30, 1999 i c. Assisting, promoting or deterring union organizing. d. Impairing existing contracts for services or collective bargaining agreements. e. Engaging in partisan political activities or other activities designed to influence the outcome of an election to any public office. f. Participating in, or endorsing, events or activities that are likely to include advocacy for or against political parties, political platforms, political candidates, proposed legislation, or elected officials. g. Engaging in religious instruction; conducting worship services; providing instruction as part of a Program that includes mandatory religious instruction or worship; constructing or operating facilities devoted to religious instruction or worship; maintaining facilities primarily or inherently devoted to religious instruction or worship; or engaging in any form of religious proselytization. h. Providing a direct benefit to: I. a for-profit entity; H. a labor union; iii. a partisan political organization; or iv. an organization engaged in the religious activities described in the preceding sub -clause, unless Grant funds are not used to support the religious activities. v. a nonprofit entity that fails to comply with the restrictions contained in section 501(c) (3) of Title 26, except that nothing in this section shall be construed. to prevent members or Participants from engaging in advocacy activities undertaken at their own initiative. i. Voter registration drives by AmeriCorps members. In addition to being an unacceptable, service activity, Corporation funds may not be used to conduct a voter registration drive. j. Other activities as the Corporation determines will be prohibited, upon notice to the Grantee. Individuals may exercise their rights as private citizens and may participate in the above activities on their initiative, on non-AmeriCorps time, and using non - Corporation funds. The AmeriCorps logo should not be worn while doing so. 6. FUND RAISING. a. Members. A member's service activities may not include organized fund raising, including financial campaigns, endowment drives, solicitation of gifts and bequests, and similar activities designed for the sole purpose of raising capital or obtaining contributions for the organization. Final - April 30. 1999 8 Service activities that raise funds or in-kind contributions while generating, involving and/or encouraging community support may be considered appropriate and allowable, such as serve-a-thons, to the extent they are in direct and immediate support of an acceptable direct service and provided that they are not the Program's primary activity or involve significant amounts of an individual member's time. Prohibited activities for members include preparing grant proposals, performing other fund raising activities to help the Grantee achieve its matching requirements or to support an organization's general operating expenses, and providing fund raising assistance to other community- based organizations that do not provide immediate and direct support to a Grantee's approved direct service activity. b. Staff. An AmeriCorps staff member's time and related expenses may not be charged to the Corporation or Grantee share of the Grant while engaged in organized fund raising, including financial campaigns, endowment drives, the general solicitation of gifts and bequests, door-to- door solicitations, direct mail, or similar activities for which the sole purpose is raising capital or obtaining contributions for the organization. Expenses incurred to raise funds may be paid out of the funds raised. Development officers and fund-raising staff are not allowable expenses. Staff time and effort spent on raising the match requirements should be incidental to the overall management of the Program, and should be focused primarily on developing and disseminating information to potential funders on the AmeriCorps Program and its achievements. Staff can make presentations and educate funders on objectives, goals and accomplishments. Efforts to involve the community in support of the AmeriCorps program, such as obtaining medical contributions or assistance at a health fair, donations of building supplies for an AmeriCorps construction project; and coordinating community participation in and support of a serve-a-thon and service activities are also allowable. 7. ELIGIBILITY, RECRUITMENT, AND SELECTION. a. Eligibility to enroll. The Grantee may select as AmeriCorps members only those individuals who are eligible to enroll in AmeriCorps. In order to be eligible, an individual must comply with sections ii- iv of the definition of a member (Definitions, letter k). The Grantee is responsible for obtaining and maintaining documentation certifying the eligibility of members. An eligible member is an individual: i. who is a U.S. citizen, U.S. national or lawful permanent resident alien of the United States: H. who is at least 17 years of age at the commencement of service unless the member is out of school and enrolled Final - April 30. 1999 9 (a) in a full-time, year-round youth corps Program or full- time summer Program as defined in the Act (42 U.S.C. . §12572 (a) (2)), in which case he or she must be between the ages of 16 and 25, inclusive, or (b) in a Program for economically disadvantaged youth as defined in the Act (42 U.S.C. §12572 (a)(9)), in which case he or she must be between the ages of 16 and 24, inclusive; iii. has a high school diploma or an equivalency certificate [or agrees to obtain a high school diploma or its equivalent before using an education award] and who has not dropped out of elementary or secondary school in order to enroll as an AmeriCorps member (unless enrolled in an institution of higher education on an ability to benefit basis and is considered eligible for funds under section .484 of the Higher Education Act of 1965, 20 U.S.C. §1091), or who has been determined through an independent assessment conducted by the Program to be incapable of obtaining a high school diploma or its equivalent (provided that the Corporation has waived the education attainment requirement for the individual). b. Recruitment. i. Community recruitment. The Grantee must seek to recruit Program members from the community in which the project is conducted, as well as members of diverse races, ethnicities. gender - ages, ages, socioeconomic backgrounds, educational levels, and mental and physical capabilities, unless and to the extent that the approved Program design requires emphasizing the recruitment of staff and members who share a specific characteristic or background. In no case may a Grantee violate the non- discrimination and non-displacement rules governing member selection. ii. National recruitment. To supplement local recruitment efforts. the Grantee is encouraged to request referrals of eligible individuals through the Corporation's national recruitment database and the various State Commissions' recruitment systems. The Corporation's overall goal is to have 25% of AmeriCorps members nation-wide recruited from the national pool. Grantees may be asked to consider qualified individuals on the referral list. but will not be required to select anyone. Prospective AmeriCorps members may access the national recruitment database through the Corporation's toll-free number.1-800-94-ACORP/1-800-942-2677 (voice), or 1-800-833-3722 (TDD). iii. Policy on Enrolling ACMs Late in the 1999-2000 Program Year. Due to the likelihood of amendments to the National and Community Service Act, State Commissions and Parent Organizations are strongly discouraged from allowing their programs and sites to bring on new AmeriCorps members late in Final - April 30, 1999 10 1999-2000 if members will be unable to complete at least a part-time term of service by December 2000. ` c. Selection. The Grantee is responsible for establishing. the minimum qualifications for membership in the Program, selecting members that meet those qualifications, and assigning members projects that are appropriate to their skill levels. The Grantee must select members in a fair, non-partisan, non-political and non-discriminatory manner, without regard to the member's need for reasonable accommodation or child care, without displacing paid employees, and in accordance with its approved application. The Grantee is encouraged to select members who possess a commitment to the goals of AmeriCorps. d. Reasonable accommodation. Programs and activities must be accessible to persons with disabilities, and the Grantee must provide reasonable accommodation to the known mental or physical disabilities of otherwise qualified members, service recipients, applicants, and program staff. All selections and project assignments must be made without regard to the need to provide reasonable accommodation. By far, the vast majority of accommodations are inexpensive. For those limited cases where reasonable accommodations are more costly, there is a limited amount of money available through State Commissions to provide accommodations for service members. By statute, only Subtitle C competitive State and National Direct AmeriCorps Programs may use these funds. The President's Committee on Employment of People with Disabilities operates a toll-free, confidential, free resource for employers on reasonable accommodation requirements and options for accommodating employees at (800) 126-7234 (voice/TDD), e-mail at TAN@jan.icdi.wvu.edu, or website at www.�cepd.ggv. Accommodations that impose an undue financial or administrative burden on the operation the program or fundamentally alter its nature are not reasonable accommodations, and the.Grantee. must document and prove any undue burden. Similarly, persons who pose a direct threat to the health or safety to themselves or others, where the threat cannot be eliminated by reasonable accommodation, are not qualified individuals with disabilities, and the Grantee must document and prove the direct threat. e: Level of participation. The Grantee must seek to enroll the number of full-time and part-time members agreed upon in its approved application. A Program should make every effort to begin "classes" or terms of service in January, June or September, with September serving as the primary class or beginning of the Program year. Programs have the option of filling the vacated slots at any time; however, the Corporation specifically discourages rolling admissions. Should a Program not be renewed, members who were scheduled to continue in their terms of service either may be placed in other Programs where feasible, or can receive a pro - Final - April 30. 1999 11 rated education award if the member has completed at least 15% of the service hour requirement. f. Member Classification. AmeriCorps members are not employees of the Program or of the federal government. The definition of "participant" in the National and Community Service Act of 1990 as amended applies to AmeriCorps members. As such, "a participant (member) shall not be considered to be an employee of the Program in which the participant (member) is enrolled." Moreover, members are not allowed to perform an employee's duties or otherwise displace employees. For the limited purposes of the Family and Medical Leave Act of 1993, the member may be considered an eligible employee of the project sponsor. The Family and Medical Leave Act's requirements as they apply to AmeriCorps Programs are contained in 45 C.F.R. Part 2540.220(b). Generally, this Act will apply only to second term members. g. Parental consent. Before enrolling in a Program, individuals under eighteen years of age must provide written consent from a parent or legal guardian. h. Criminal record checks. Programs with members or employees who have substantial direct contact with children (as defined by state law) or who perform service in the homes of children or individuals considered vulnerable by the program, shall, to the extent permitted by state and local law, conduct criminal record checks on these members or employees as part of the screening process. This documentation should be maintained within member or employee files. i. Criminal charges. ACMs who are officially charged with a violent felony, or with the sale or distribution of a controlled substance during a term of service will have their service suspended without a living allowance and without receiving credit for hours missed. They may resume AmeriCorps service if they are found not guilty or if the charge is dismissed. If ACMs who have been cleared of such charges are unable to complete their terms of service within one year, they may accept a pro- rated education award as long as they have completed at least 15 percent (255 hours full-time/ 135 hours part-time) of their service. ACMs may elect to continue with their service beyond the first year assuming the program is renewed and the grantee has the necessary resources to absorb any additional costs. Again, the term of service may be completed at another site, if both sites approve. ACMs who are convicted of a criminal charge as described above must be terminated for cause from the program, and they are not eligible for any portion of an educational award. 8. TRAINING, SUPERVISION AND SUPPORT. Final -April 30. 1999 12 a. Planning for the term of service. The Grantee must develop member position descriptions that provide for direct and meaningful service activities and performance criteria that are appropriate to the skill level -of - members. Member activities may not include clerical work, research, or fund raising activities unless such activities are incidental to the member's direct service activities. The Grantee must ensure that each member has sufficient opportunity to complete the required number of hours to qualify for a post -service education award. In planning for the member's term of service, the Grantee must account for holidays and other time off, and must provide'each member with sufficient opportunity to make up missed hours. b. Member contracts. The Grantee must require that members sign contracts that, at a minimum, stipulate the following: I. the minimum number of service hours and other requirements (as developed by the Program) necessary to successfully complete the term of service and to be eligible for the education award; ii. acceptable conduct; iii. prohibited activities; iv. requirements under the Drug -Free Workplace Act (41 U.S.C. §701 et seq.); v. suspension and termination rules; vi. the specific circumstances under which a member may be released for cause; vii. the position description; viii. grievance procedures; and ix. other requirements as established by"the Program. c. Training. Consistent with the approved budget. the Grantee must provide members with the training, skills, knowledge and supervision necessary to perform the tasks required in their assigned project positions, including specific training in a particular field and background information on the community served. The Grantee must conduct an orientation for members and comply with any pre -service orientation or training required by the Corporation. This orientation should be designed to enhance member security and sensitivity to the community. Orientation should cover member rights and responsibilities, including the Program's code of conduct, prohibited activities, requirements under the Drug -Free Workplace Act (41 U.S.C. §701 et seq.), suspension and termination from service, grievance procedures, sexual harassment, other non-discrimination issues, and other topics as necessary. d. Service -learning. The Grantee agrees to use service experiences to help members achieve the skills and education needed for productive, active citizenship, including the provision. if appropriate, of structured opportunities for members to reflect on their service experiences. Final - April 30, 1999 13 e. Limit on education and training activities. No more than 20% of the aggregate of all AmeriCorps member service hours in a Program may be spent in education, training or other non -direct activities. f. Supervision. The Grantee must provide members with adequate supervision by qualified supervisors in accordance with the approved application. The Grantee must establish and enforce a code of conduct for members. g. Performance reviews. The Grantee must conduct at least a mid-term and end -of -term written evaluation of each member's performance, focusing on such factors as: i. whether the member has completed the required number of hours; ii. whether the member has satisfactorily completed assignments; and iii. whether the member has met other performance criteria that were clearly communicated at the beginning of the term of service. h. Support services. The Grantee must provide specific support services to members who are school dropouts by assisting them in earning the equivalent of a high school diploma, and to members who are completing a term of service and are making the transition to other education and career opportunities. i. Registration to vote. The Grantee should encourage all eligible members to register and vote. However, the Grantee is prohibited from requiring members to register or to vote, and from attempting to influence how members vote. Members who are unable to vote before or after service hours should be allowed to do so during their service time without incurring any penalties. The site director should determine the length of absence. j. Jury Duty. The Grantee must allow AmeriCorps members to serve on a jury without being penalized for doing so. During the time AmeriCorps members serve as jurors, they should continue to receive credit for their normal service hours, a living allowance, health care coverage and, if applicable, child care coverage regardless of any reimbursements for incidental expenses received from the court. k. Member injury. The Grantee must report any serious injuries` to the appropriate Corporation Program Officer immediately. 1. Armed Forces Reserves. Generally, the Reserves of the U.S. Army, U.S. Navy, U.S. Air Force, U.S. Marine Corps, U.S. Coast Guard, the Army National Guard and the Air National Guard require reservists to serve one weekend a month plus 12 to 15 days a year (hereafter referred to as the two-week active duty service). Final - April 30. 1999 14 To the extent possible, grantees should seek to minimize the disruption in members' AmeriCorps service as a result of discharging responsibilities related to their reservist duties. If members have a choice of when to fulfill their annual two-week active duty requirement, they should do so when it will not disrupt their AmeriCorps service. In instances where the dates of active duty are inflexible and conflict with AmeriCorps service, members should be granted a leave of absence for the two-week period of active duty service in the Reserves. Members may not receive time -off for additional Reserves -related service beyond the two-week active duty service. No AmeriCorps service credit is earned for the once -a -month weekend service in the Reserves. Grantees should credit members for AmeriCorps service hours during their two weeks of active duty service in the Reserves if it occurs during their AmeriCorps service. The member would receive credit for the number of hours he or she would have served during that period had there been no interruption. For example full-time member is signed up to serve 30 hours of AmeriCorps service one week and 40 hours of AmeriCorps service on the following week, she or he would receive 70 hours of AmeriCorps service credit for the two weeks of active duty service regardless of the actual number of hours served in the Reserves. Reservists in the U.S. Armed Forces receive compensation for their mandatory two -weeks of active duty service. The compensation regulations governing the Army and Air National Guard may vary by state. Grantees should continue to pay the living allowance and provide health care and child care coverage for the two-week period of active duty. 9. TERMS OF SERVICE. a. Program requirements. Each Program must, at the start of the term of service, establish the guidelines and definitions for the successful completion of the Program year, ensuring that these Program requirements meet the Corporation's service hour requirements as defined below: i. Full-time members. Members must serve at least 1700 hours during a period of not less than nine months and not more than one year. ii. Part-time members. Part-time members who are not enrolled in an institution of higher education must serve at least 900 hours during a period of not more than two years. iii. Reduced part-time members. Reduced part-time members may serve at least 300 hours in a summer program or at least 450 hours over a time not to exceed one year. Final -April 30, 1999 15 iv. Abbreviated service programs. Under special circumstances, grantees may, with the Corporation's prior approval, implements shortened program for a concentrated period such as summer. These shorter programs require members to serve full-time or close to full-time for the stipulated period. In no case will the Corporation support a shortened program under which members would serve just a few hours a week over an extended period of time without a concentrated full-time period of service. b. Service in a second term. Programs are under no obligation to enroll members for a second term of service. To be eligible for a second term, members must receive a satisfactory performance review for the first term of service. In any event, members may receive in-service and post -service benefits funded by the Corporation for only the first two terms of service. c. Notice to the Corporation's National Service Trust. The Grantee must notify the Corporation's National Service Trust immediately in writing upon a member's enrollment in, completion of, lengthy or indefinite suspension from, or release from a term of service. Lengthy or indefinite suspension of service is defined as any extended period during which the member is not serving service hours or receiving AmeriCorps benefits because it is unclear when the member might return to the Program. The Grantee also must notify the Trust when a member's status is approved and changed (i.e. from full-time to part-time or vice versa). Failure to report such changes within 30 days may result in sanctions to the Grantee up to, and including suspension or termination. Forms for this filing will be provided to the Grantee. Any questions regarding the Trust may be directed to {202) 606-5000 ext. 347. d. Notice to Child Care and Health Care providers. The Grantee must notify the Corporation's designated agents immediately in writing when a member's status changes such that it would affect eligibility for child care or health care. Examples of changes in status are converting a full-time member to part-time member, the termination of or release from service, and suspensions for cause or which are lengthy or indefinite. Program directors should contact AmeriCorps®Care at 1-800-5704543 on child care related changes, and if using the Corporation's Allianz health care policy, should contact SRC at 1-800-788-6557. e. Changing member status. Circumstances may arise within a program that necessitate converting full-time members to part-time or vice versa. The following distinguishes between converting unfilled AmeriCorps member positions and converting currently enrolled members from their enrolled status. Note that once a member is given a partial education award, the remaining portion of that education award is not available for use. i. Unfilled positions. State Commissions and Parent Organizations are hereby delegated authority to approve or authorize the conversion of unfilled full-time member positions to part-time within the following Final -April 30, 1999 16 parameters. The number of unfilled positions that may be converted may not exceed 15% of the Parent Organization's or specific State Commission Program's awarded full-time equivalent positions or 10 full-time equivalent positions, whichever is less. For example, if a Parent Organization or specific State Commission Program was awarded 40 full-time equivalent positions, no more than 6 (the lesser of 6 and 10) full-time equivalent positions may be converted for the program. If a Parent Organization or specific State Commission Program was awarded 100 full-time equivalent positions, no more than 10 (the lesser of 15 and 10) full-time equivalent positions may be converted. When positions are converted, the number of full-time equivalents must remain the same within each program to maintain the equivalent estimated cost per member. In other words, if you want to replace 1 full-time unfilled member position, you must establish 2 part-time 900 hour positions. Conversely, unfilled part-time positions may be converted to full-time positions within the aforementioned constraints pertaining to number and percentage limitations, number of full-time equivalents, education awards provided, and available funds. ii. Enrolled members. (a) Full time. State Commissions and Parent Organizations may authorize or approve occasional changes of currently enrolled full- time members to part-time members within the first three months of the member's service and within the constraints defined above in section e.i. Impact on program quality should be factored into approval of requests. The Corporation will not cover health care or child care costs for part-time members, therefore appropriate adjustments must be made. It is not allowable to transfer currently enrolled full-time members to a part-time status simply to provide a part-time education award. A Change of Status form must be completed and forwarded to the Corporation within 30 days. (b) Part-time. Converting part-time members to full-time is discouraged because it is very difficult to facilitate, unless done very early in the member's term of service. State Commissions and Parent Organizations may authorize or approve such changes so long as they are within the first three months of the member's service, and the current budget can accommodate such changes. Programs must keep in mind that a member's minimum 1700 hours must be completed within 12 months of the member's original start date. A Change of Status form must be completed and forwarded to the Corporation within 30 days. State Commissions and Parent Organizations must forward all changes and appropriate forms to the Corporation after approval. Any requests for changes that fall outside of the parameters set forth above. including those involving reduced part-time members, must come to Fina! -April 30. /999 17 the Corporation for written approval with concurrence from the State Commission or Parent Organization. - 10. RELEASE FROM PARTICIPATION. On April 9, 1999, the Corporation published in the Federal Register proposed changes to the regulations governing release from participation, including the criteria for determining compelling personal circumstances. After reviewing public comments on the proposed changes, the Corporation will issue final rules and will distribute a revised Clause 10 at that time. 11. MINOR DISCIPLINARY ACTIONS. The Grantee may temporarily suspend or impose a fine on a member for minor disciplinary reasons, such as chronic tardiness, as outlined in the conditions of the member contract. a. Temporary Suspension of Service. The period of suspension does not count toward a member's required service hours. Further, members who are suspended for minor disciplinary reasons may not receive a living. allowance for the suspension period. b. Fines. If determined to be necessary for improvements in member performance or attendance, the Grantee may impose.a reasonable fine on members for minor disciplinary problems consistent with the member contract. The fines may not be calculated on an hourly basis. For example, a member who is an hour late may not be fined an hour's worth of living allowance. Instead, the Grantee shall establish a written policy on fines, which is not linked to an hourly rate. The Grantee may not deduct fines from the member's living allowance. 12. LIVING ALLOWANCES, OTHER IN-SERVICE BENEFITS AND TAXES. The living allowance match must come from non-federal sources, unless an exception for lack of available financial resources at the local level under 42 U.S.C. §12594 (g) is specifically approved in Section VII. Special Conditions of the Award document. Programs that want to provide a living allowance in excess of $8,730 must provide a Grantee match for all funds over $7,420. Programs may not provide a living allowance benefit above $17,376 unless it meets the conditions of a professional corps as provided under 42 U.S.C. §12594 (c). Programs in existence prior to September 21, 1993 may offer a lower living allowance than the minimum; Corporation funds will support only 85% of the actual amount a. Living allowances. Unless otherwise agreed upon, a Grantee must provide a living allowance to full-time members in accord with the following: L Full time requirements. The established range for a full time living allowance is between $8,730 and $17,376. The $8,730 is based Final -April 30, 1999 18 on the total average annual amount provided to VISTA volunte@rs.._ The Corporation will only fund up to 85% of the minimum living allowance ($8,730), which is a maximum of $7,420 per full-time member. A minimum of 15% must be matched by non-federal sources. A Program that wants to provide a living allowance in excess of $8,730 must provide a Grantee match for all funds over $7,420. If the program is permitted to provide a living allowance that is less than $8,730, the Corporation will only fund 85% of the actual amount. ii. Part time requirements. Programs are not required to pay part- time members living allowances. If a Program chooses to pay part- time members, it should prorate the full-time living allowance based on the part-time member's service. The Corporation will. fund up to 85% of the pro -rated living allowance. iii. Other Requirements. Programs may not provide a living allowance benefit above $17,376 for full-time members unless permitted under 42 U.S.C. §12594(c), or pro -rated based on number of hours for part-time. Programs in existence prior to September 21, 1993 may offer a lower living allowance than the minimum ($8,730 for full-time members, or pro -rated for part-time): however, Corporation funds will only support 85% of the.actual amount. b. Living Allowance Distribution. The living allowance is designed to help members meet the necessary living expenses incurred while participating in the AmeriCorps Program. Programs must not pay a living allowance on an hourly basis. It is not a wage and should not fluctuate based on the number of hours members serve in a given time period. Programs should pay the living allowance in increments, such as weekly or bi-weekly. Programs may use their organization's payroll system to process members' living allowances. However, if a payroll system cannot be altered and must show 40 hours in order to distribute a living allowances then members' service hours should be documented separately to keep track of their progress towards the Program's total required AmeriCorps service hours. c. Waiving the living allowance. A member may waive all or part of the payment of a living allowance if he or she believes his or her public assistance may be lost because of the living allowance, with the following caveats: i. Even if a member waives his or her right to receive the living allowance, it is possible—depending on the specific public assistance program rules—that the' amount of the living allowance that the member is eligible to receive will be deemed available: ii. Members may revoke the waiver at any time during the course of the program: iii. If a member revokes the waiver, he or she may begin receiving the living allowance only from the date on which the waiver was revoked: the member may not receive any portion of the living allowance that accrued during the waiver period. Final - April 30, 1999 19 d. Taxes and Insurance. I. FICA. Unless the Grantee obtains a ruling from the Internal Revenue Service that specifically exempts its AmeriCorps members from FICA requirements, the Grantee must pay FICA for any member receiving a living allowance. The Grantee also must withhold 7.65% from the member's living allowance. ii. Income Taxes. The Grantee must withhold personal income taxes from member living allowances, requiring each member to complete a.W-4 form at the beginning of the term of service and providing a W-2 form at the close of the tax year. iii. Unemployment insurance. The U.S. Department of Labor ruled on April 20, 1995 that federal unemployment compensation law does not require coverage for members because no employer- employee relationship exists. The Grantee cannot charge the cost of unemployment insurance taxes to the Grant unless mandated by state law. Programs are responsible for determining the requirements of state law via their State Commission, legal counsel or the applicable state agency. AmeriCorps*National and AmeriCorps*Tribes and Territories Grantees must coordinate with their State Commissions to determine a consistent state treatment of unemployment insurance requirements. State Commissions must coordinate the determination of the state's legal requirements to pay unemployment insurance for members with the Corporation's General Counsel. The Grantee must receive written approval from a Corporation Grants -Officer before charging such expenses to the Grant, even if they are contained in the approved budget. iv. Worker's compensation. Worker's Compensation is an allowable cost to the Grant. The Grantee is responsible for determining whether state law requires the provision of worker's compensation for members. If a Program is not required by state law to provide worker's compensation, the Program must obtain Occupational Accidental Death and Dismemberment coverage for members to cover in-service injury or incidents. v. Liability Insurance. The Grantee must have adequate liability coverage for the organization, employees and members, including coverage of members engaged in on- and off-site project activities. e. Health care coverage. The Grantee must provide a health care policy to those full-time members not otherwise covered by a health care policy at the time of enrollment into the AmeriCorps program, or to those members who lose coverage during their term of service as a result of participating in the Program or through no deliberate act of their own. The Corporation will not cover health care costs for family members or for part-time members. I. Minimum benefits. The health care policy must meet the following minimum benefits: Final -April 30, 1999 20 • physician services for illness or injury; • hospital room and board: • emergency room; • x-ray and laboratory: • prescription drugs: • limited mental/nervous disorders: • limited substance abuse coverage; • an annual deductible of no more than $250 per member; • no more than $1,000 total annual out-of-pocket per member; • a 20% co -pay or a comparable fixed fee with the exception of a 50% co -pay for mental and substance abuse care; and • a maximum benefit of $50,000. ii. Corporation health care policy. Programs without existing health care coverage or with coverage that does not meet the minimum requirements may select the AmeriCorps alternative health care policy. Information and brochures relative to this coverage will be provided by the Corporation's administering agent, Strategic Resource Company (SRC). Programs that have not received information, or that have additional questions, may contact SRC at 1-800-788-6557. It is the Program Director's responsibility to enroll members into the policy at the beginning of the service term and to notify SRC of any changes in the group enrollment during the program year. iii. Use of an existing health care policy. If a Grantee is going to use a health care policy that charges more than $150 per month per member to the Corporation, a copy of the policy along with a summary of its coverage and costs must be sent to the Corporation's Grants Office. Grantees with a National Association of Service Conservation Corps (NASCC) policy at the time of their initial application for the AmeriCorps Grant only need to notify the Grants Office. iv. Part-time members. Although no portion of health insurance expenses for part-time members may be paid from Corporation funds, Programs may choose to provide health care to part-time members from other sources. v. Part-time members serving in a full-time capacity. Part-time members who are serving in a full-time capacity for a sustained period of time (such as a full-time summer project) may be eligible for health care benefits supported with Corporation funds, although that coverage must be approved in the Grant or via prior written approval from the Corporation. f. Child care. The Grantee must ensure that child care is made available to those full-time members who need such assistance in order to participate. Members are not eligible to receive child care from AmeriCorps while they are receiving other child care subsidies. Final - April 30, /999 21 L Member eligibility. A member is considered to need child care in order to participate in the Program if: (a) he or she is the parent or legal guardian (or acting in loco parentis) for a child under the age of 13 who resides with the member; (b) he or she has a family income that does not exceed the state's income eligibility guidelines for a family of the same size. At a maximum, family income can be no more than 75% of the state's median income; and (c) at the time of acceptance into the Program, he or she is not receiving child care from another available source. ii. Qualified providers. To be eligible for payment with AmeriCorps funds, a child care provider must qualify under the Child Care and Development Block Grant Act of 1990 (42 U.S.C. § 9858c(4)(A)). Each state has its own criteria. Payments will not be made to ineligible providers. iii. Administration of child care payments. In general, the Corporation will provide for child care payments, which will be administered through the National Association of Child Care Resource and Referral Agencies (NACCRRA), hereafter referred to as AmeriCorps®CARE. Grantees that choose to provide child care as a match source (as approved in their budget) may use AmeriCorps®CARE for technical assistance. Grantee's can contact AmeriCorps®CARE at 1-800-570-4543 with questions regarding child care. iv. Program Director's responsibilities. In addition to determining a member's eligibility at the start of their term of service, Program directors are required to notify AmeriCorps®CARE immediately in writing when: (a) a member is no longer eligible for child care benefits due to a change in the member's eligibility status (e.g., family income exceeds the limit, the child turns 13, a full-time member becomes a part-time member, or a member leaves the Program); (b) new or existing members become eligible for child care benefits; (c) a member wishes to change child care providers or a child care provider will no longer provide child care services: or (d) a member is absent from the Program for excessive periods of time (five or more days in a month). Costs incurred due to the Grantee's failure to keep AmeriCorps®CARE immediately informed of changes in a member's status may be charged to the Grantee's organization. v. Part-time members. Although no portion of child care expenses for part-time members may be paid from Corporation funds, Programs may choose to provide child care to part-time members from other sources. vi. Part-time members serving in a full-time capacity. Part-time members who are serving in a full-time capacity for a sustained Final - A pHl 30, 1999 22 period of time (such as a full-time summer project) may be eligible for child care benefits supported with Corporation funds, although that coverage must be approved in the Grant or via prior written approval from the Corporation. vii. Payments. Payments or reimbursement for child care benefits will be made for eligible members to qualified providers from the date child care need was established after service began. No payments and reimbursements will be made in the event the AmeriCorps member was ineligible, or if the provider was not qualified under the state guidelines. g. Family and Medical Leave. AmeriCorps members who have served for at least 12 months and 1250 hours can take family and medical leave in accordance with the Family and Medical Leave Act of 1993 (FMLA), provided the sponsoring institution, if non-federal, employs staff of more than 50 people. (See the Corporation's Regulations at 45 C.F.R. Part 2540.220) Under FMLA, members may take up to 12 weeks of unpaid leave during a 12 month period for the following reasons: . i. the birth of a child; ii. the placement of a child with an AmeriCorps member through adoption or foster care; Hi. serious illness of an AmeriCorps member's spouse, child or parent; or iv. serious illness preventing the AmeriCorps member from performing his or her essential service duties. According to Corporation regulations, a serious health condition is an illness requiring in-patient care or continuing treatment by a health care provider. In the Grantee's discretion, temporary leave may also be authorized for the reasons allowed under FMLA to AmeriCorps members who do not otherwise meet the eligibility requirements for FMLA leave as described above. If temporary leave is appropriate, grantees have the flexibility to determine the duration of the absence for up to 12 weeks. The length of the leave must be based on two considerations: (1) the circumstances of the situation; and (2) the impact of the absence on the member's service experience, and the overall program. If the disruption would seriously compromise the member's service experience or the quality of the program as a whole, then the grantee may offer the member the option of rejoining the program in the next class or completely withdrawing from the program. The grantee also may allow a member to take intermittent leave or reduce his or her service hours for any of the reasons mentioned above. Grantees may continue to provide health care coverage to members on family and medical leave. If at the end of the leave, a member decides not to rejoin the program, FMLA allows grantees to recover their health premium payments, unless the reason for not returning is the Final - A;wd 30, 1999 23 continuation of the serious health condition or other circumstances beyond the member's control. However, given the small amounts involved (in most cases less than $300 per AmeriCorps member), Granfees may elect not to adopt this recovery policy. Family and medical leave does not count toward the requisite service hours and members may not receive a living allowance during this period. h. Federal Work Study. Upon Corporation approval, Work Study students may be enrolled as AmeriCorps members. AmeriCorps member benefits are reserved to those individuals who enroll in an AmeriCorps position in a program that has been approved by the Corporation. Except as required by Federal Work Study regulations, AmeriCorps members may not be paid on an hourly basis. Federal Work Study funds are treated as any other federal funds and do not affect Grantee matching requirements. Programs that use Federal Work Study funds to support members still have to raise at least 15 percent of member support costs through non-federal sources. 13. POST -SERVICE EDUCATION AWARDS. In order for a member to receive a post -service education award from the National Service Trust, the Grantee must certify to the National Service Trust that the member is eligible to receive the educational benefit. The Grantee must notify the National Service Trust on a form provided by the Corporation when it enrolls a member for a term of service, when the member completes the term, and whenever there is a change in the member's status during the term (e.g., release for compelling circumstances or suspension). A member may receive a post -service education award only for the first two terms of service. One full- time and one -part time term of service count as two terms. If a member is released for reasons other than misconduct prior to completing 15% of a term of service, that term does not count as one of the two terms for which an education award may be provided. No Corporation or other federal funds may be used to provide member support costs for a third or subsequent term of service in an AmeriCorps State or National Program. In order to receive a full education award, a member must perform the minimum hours of service as required by the Corporation and successfully complete the program requirements as defined by the program. For example, if successful completion of a full-time program requires 1.800 service hours, members in that particular program are not eligible for an education award simply upon completion of 1,700 hours. If a member is released from a Program for compelling personal circumstances, the member is eligible for a pro -rated education award based on the number of hours served, if it is at least 15% of the total required hours. Questions regarding authorized uses of the education award should be directed to the Trust at (202) 606-5000 ext. 347. Final - Apil 30,19" 24 14. MATCHING REQUIREMENTS. a. Matching obligation. The Grantee must provide and account for the matching funds as agreed upon in the approved application and budget. All programs are required to raise some funds from the private sector, i.e. non-governmental funds. The Corporation's statute requires, at a minimum, the following aggregate matches: I. Member Support Costs: 15% including Living Allowance, FICA, Unemployment Insurance, Worker's Compensation and Health Care ii. Program Operating Costs: 33% including Other Member Costs, Staff, Operating Costs, Internal Evaluation and Administration For further requirements, refer to OMB Circular A-102 and its implementation regulation (45 C.F.R. Part 2543) or A-110 (45 C.F.R. Part 2541), as applicable. b. Cash match for Member Support Costs. The Grantee's matching contributions for Member Support Costs (excluding health care) must be in non-federal cash, unless otherwise authorized in accordance with AmeriCorps Special Provision 12, Living Allowance. Tribal funds acquired through P.L. 93-638 are considered non-federal and may be used to match Member Support Costs. Unless otherwise agreed upon by the Corporation, programs must meet the grantee share of Member Support Costs, as indicated in the approved budget. during each reporting quarter. c. Cash or in-kind match for Program Operating Costs. Contributions, including cash and third party in-kind, will be accepted as part of the Grantee's matching share for Program Operating Costs (defined as those other than the Member Support Costs) when such contributions meet all of the following criteria: I. They are verifiable from Grantee records: ii. They are not included as contributions for any other federally - assisted Program; iii . They are necessary and reasonable for the proper and efficient accomplishment of Program objectives; and iv. They are allowable under applicable cost principles. d. Exception for volunteer community service. Because the purpose of this Grant is to enable and stimulate volunteer community service, the Grantee may not include the value of direct community service performed by volunteers. However, the Grantee may include the value of volunteer services contributed to the organization for organizational functions such as accounting, audit, training of staff and AmeriCorps Programs. Final - April 30, 1999 25 e. Administrative costs. Administrative costs cannot exceed 5% of total Corporation funds actually expended. Administrative costs which exceed the Corporation's maximum administrative cost limit of 5% but which otherwise would have been allocable to the Grant, are allowable as the matching share under the Administrative costs budget line item. See General Provisions, Clause 24, Administrative Costs. f. Valuation. The value of Grantee contributions of services and property will be determined in accordance with applicable cost principles set forth in OMB Circulars A-21, A-87 and A-122, and the approved budget. 15. MEMBER RECORDS AND CONFIDENTIALITY. a. Record-keeping. The Grantee must maintain verifiable records which document each member's eligibility'to serve based upon citizenship or lawful permanent residency, birthdate, level of educational attainment, date of high school diploma or equivalent certificate (if attained), participation start date and end date, hours of service per week, location of service activities and project assignment. The records must be sufficient to establish that the individual was eligible to participate in the Program and that the member successfully completed the Program requirements with a minimum of 1700 hours of participation as a full-time member or 900'hours of participation as a part-time member. The signed member contract should also be maintained in Grantee files. b. No high school diploma. If a member does not have a high school diploma or its equivalent at the time of enrollment, the Grantee must maintain a record of the member's elementary or high school drop-out date, the member's written agreement to obtain a high school diploma or its equivalent before using the education award,. and, if applicable, verification of the member's enrollment at an institution of higher education on an ability to benefit basis and eligibility for funds under § 484 of the Higher Education Act. If the member has been determined to be incapable of obtaining a high school diploma or its equivalent; the Grantee must retain a copy of the supporting independent evaluation. c. Confidential member information. The Grantee must maintain the confidentiality of information regarding individual members. The Grantee must obtain the prior written consent of all members before using their names, photographs and other identifying information for publicity. promotional or other purposes. Parental or legal guardian consent must be obtained for members under 18 years of age. Grantees may include an informed consent form as part of the member contract materials which are signed at the time the member enrolls. Grantees may release aggregate and other non -identifying information, and are required to release member information to the Corporation and its designated contractors. The Grantee must permit a member who submits Final- .lpril30, 1999 26 a written request for access to review records which pertain to the member and were created pursuant to this Grant. 16. BUDGET AND PROGRAMMATIC CHANGES. a. Programmatic changes. The State Commission or Parent Organization must obtain the prior written approval of the Corporation before. making the following changes in the approved Program: i. Changes in the scope, objectives or goals of the Program, whether or not they involve budgetary changes; ii. Substantial changes in the level of participant supervision; ill. Entering into sub -Grants or contracting out any AmeriCorps Program activities funded by the Grant and not specifically identified in the approved application and grant. b. Changes in the budget. The Grantee must obtain the prior written approval of the Corporation before deviating from the approved budget in any of the following ways: i. Budgetary transfers to absorb administrative costs above the amount specified in the approved budget, if below the 5% maximum limit. ii. Reallocation of funds from the "Member Support Cost" category to other categories of the approved budget. However, the Grantee may reallocate funds within the line items in this category, except for increases in health care cost,per member, which must be approved. The specific line items covered by this subclause are: (a) Living allowance, (b) FICA, worker's compensation, and unemployment insurance and . _ (c) Health care (or alternative health care).. ill. Within the "Other Member Costs" category, the Grantee may not decrease funds budgeted for training and education without prior Corporation approval. iv. Specific. Costs requiring prior approval before incurrence under OMB Circulars A-21, A-87 or A-122. For certain cost items, the cost circulars require approval of the awarding agency for the cost to be allowable. Examples of these costs are overtime pay, rearrangement and alteration costs, and preaward costs. v. Purchases of equipment over $1,000 (One thousand) using Grant funds, unless specified in the approved application and budget. c. Approvals of Programmatic and Budget Changes. The Corporation's Grants Officers are the only officials who have the authority to alter or change the provisions or requirements of the Grant. The Grants Officers will execute written amendments or changes to the Grant, and Grantees should not assume approvals have been granted unless documentation from the Grants Office has been received. Fina( -April 30, 1999 27 17. REPORTING REQUIREMENTS. a. Financial Status and Progress Reports. State Commissions and Parent Organizations are required to submit semi-annual Financial Status Reports and semi-annual Progress Reports to the Corporation. State Commissions and Parent Organizations must submit these reports by the dates to be determined and include 3 copies along with the original. L Financial Status Reports (FSR 269a). AmeriCorps*State programs and most AmeriCorps*National sites that receive subgrants must submit at least two Financial Status Reports (SF 269a) to their respective State Commission or Parent Organization. In general, if a site has a Corporation -approved budget then submission of an FSR for that site/sub-Grantee is required. State Commissions and Parent Organizations will set their own submission deadlines for their respective programs and sites. State Commissions/Parent Organizations are required to forward Financial Status Reports (FSR 269a) from programs and budgeted sites to the Corporation's Grants Office 30 days after the close of each calendar quarter. These reports should be forwarded to the Grants Office. ii. Progress Reports. Guidance on required topics and formats will be provided by the Corporation prior to the scheduled reporting dates. These reports should be forwarded to the Program Office. The Corporation will issue submission dates for the FSRs and Progress Reports when they are determined. Due to the reduced reporting requirements, the dates will coincide with the submission dates of applications to the Corporation. iii. Annual/Final Reports. State Commission programs and Parent Organizations completing the final year of their grant must submit, in lieu of the last quarterly progress report, a final progress report that is cumulative over the entire grant period. This progress report is due 90 days after the close of the grant. Guidance on required topics and formats will be sent during the coming fiscal year. iv. Final Financial Status Reports. State Commissions and Parent Organizations completing the final year of their grant must submit, in lieu of the last quarterly FSR, a final FSR that is cumulative over the entire grant period. This FSR is due 90 days after the close of the grant. b. AmeriCorps Member -Related Forms. The following documents are required from the Grantee: L Enrollment Forms. State Commissions and Parent Organizations must submit Member Enrollment Forms to the Corporation no later than 30 days after a member is enrolled. Final - April 30, 1999 28 ii. Change of Status Forms. State Commissions and Parent Organizations must submit Member Change of Status Forms to the Corporation no later than 30 days after a member's status is changed. By forwarding Member Change of Status Forms to the Corporation, State Commissions and Parent Organizations signal their approval of the change. iii. Exit/End-of-Term-of-Service Forms. Programs must submit Member Exit/End-of-Term-of-Service Forms to the Corporation no later than 15 days after a member exits.the program or finishes his/her term of service. c. Accomplishment Surveys. The Annual Accomplishments Report is a survey used to compile all AmeriCorps achievements during the program year. During the course of the year, a contractor will contact programs regarding details and the administration of the survey. For fall start-ups, these are due October 31, 2000; for January start-ups, they are due January 31, 2001. d. Benefit Provider Documentation. Programs are responsible for contacting applicable benefit providers immediately and directly (AmeriCorps(&Care, Allianz, and others) when a change of status affects the.eligibility of a member or when a member leaves the program early. 18. RENEWAL OF GRANT. Unless otherwise specified, the Grant is made for the period specified in the Grant to cover one Program year. The Corporation will provide further guidance on any renewal processes in the coming fiscal year. Final -April 30, 1999 29 C. GENERAL PROVISIONS 19. TERMS OF ACCEPTANCE. The Grant Provisions are binding on the Grantee. By accepting this Grant, the Grantee agrees to comply with the Grant and applicable federal statutes, regulations and guidelines. The Grantee agrees to operate the funded Program in accordance with the approved Grant application and budget, supporting documents, and other representations made in support of the approved Grant application. The Grantee agrees to include in all subgrants the applicable terms and conditions contained in this award. 20. LEGISLATIVE AND REGULATORY AUTHORITY. This Grant is authorized by and subject to the National and Community Service Act of 1990 as amended, codified as 42 U.S.C. §12501 et seq., and 45 C.F.R. Part 2510 et seq. 21. OTHER APPLICABLE STATUTORY AND ADMINISTRATIVE PROVISIONS. The following applicable federal cost principles, administrative requirements and audit requirements are incorporated by reference: a. States, Indian tribes, .U.S. Territories, and local governments. The following circulars and their implementing regulations apply to states, Indian tribes, U.S. territories, and local governments: i. Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments -- 45 C.F.R. Part 2541. ii. OMB Circular A-87, Cost Principles for State and Local Governments. iii. OMB Circular A-133, Audits of States. Local Governments and Non -Profit Organizations. b. Nonprofit organizations. The following circulars and their implementing regulations apply to nonprofit organizations: i. Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals and Other Nonprofit Organizations -- 45 C.F.R. Part 2543. ii. OMB Circular A-122, Cost Principles for Nonprofit Organizations. iii. OMB Circular A-133, Audits of States, Local Governments and Non -Profit Organizations. c. Educational institutions. The following circulars and their implementing regulations apply to educational institutions: Final - April 30. 1999 30 i. Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education. Hospitals and Other Nonprofit Organizations -- 45 C.F.R. Part 2543. ii. OMB Circular A-21. Cost Principles for Educational Institutions. iii. OMB Circular A-133, Audits of States. Local Governments and Non -Profit Organizations. d. Other applicable statutes and regulations. The Grantee must comply with all other applicable statutes, executive orders, regulations and policies governing the Program, including but not limited to those cited in these Grant Provisions, the Grant Assurances and Certifications, and those cited in 45 C.F.R. Parts 2541 and 2543. 22. RESPONSIBILITIES UNDER GRANT ADMINISTRATION. a. Accountability of Grantee. The Grantee has full fiscal and programmatic responsibility for managing all aspects of grant and grant - supported activities, subject to the oversight of the Corporation. The Grantee is accountable to the Corporation for its operation of the AmeriCorps Program and the use of Corporation grant funds. It must expend grant funds in a judicious and reasonable manner. Although Grantees are encouraged to seek the advice and opinion of the Corporation on special problems that may arise, such advice does not diminish the Grantee's responsibility for making sound judgments and does not mean that the responsibility for operating decisions has shifted to the Corporation. b. Notice to Corporation. The. Grantee will notify the appropriate Corporation's Program or Grants Officer immediately. -of any developments or delays that have a significant impact on funded activities, any significant problems relating to the administrative or financial aspects of the Grant, or any suspected misconduct or malfeasance related to the Grant or Grantee. The Grantee will inform the Corporation official about the corrective action taken or contemplated by the Grantee and any assistance needed to resolve the situation. c. Notice to the Corporation's Office of Inspector General. The Grantee must notify the Office of Inspector General immediately of losses of federal funds or goods/services supported with federal funds, or when information discovered by someone at a program indicates that there has been waste, fraud or abuse, or any violation of criminal law, at the program or at a sub -recipient. 23. FINANCIAL MANAGEMENT PROVISIONS. a. General. The Grantee must maintain financial management systems that include standard accounting practices, sufficient internal controls, a clear audit trail and written cost allocation procedures as necessary. Financial management systems must be capable of distinguishing Final -April 30. 1999 31 expenditures attributable. to this Grant from expenditures not attributable to this Grant. This system must be able to identify costs by programmatic year and by budget line item, and to differentiate between direct and indirect costs or administrative costs. For further details about the Grantee's financial management responsibilities, refer to OMB Circulars A-102 (for State and Local Governments) and A-110 (for Institutions of Higher Education and Non -Profit Organizations). b. Source documentation. The Grantee must maintain adequate supporting documents for its expenditures (federal and non-federal) and in-kind contributions made under this Grant. Costs must be shown in books or records [e.g., a disbursement ledger or journal], and must be supported by a source document, such as a receipt, travel voucher, invoice, bill, in-kind voucher, or similar document. c. Time and attendance records. L Staff. (a) Except as provided in (b) and (c) below, salaries and wages charged directly to this Grant or charged to matching funds must be supported by signed time and attendance records for each individual employee regardless of position, and by documented payrolls approved by a responsible official of the Grantee. Except as provided in (b) and (c) below, salaries and wages chargeable between this Grant and other programs or functions of the Grantee organization must be supported by signed time and attendance records for each individual regardless of position appropriately distributing the individual's time to the different programs or functions. (b) Educational institutions are not required to support charges for salaries and wages with signed time and attendance records for professorial and professional staff if they are in compliance with the criteria in Section 8.b of OMB Circular A-21 for acceptable methods of documenting the distribution of charges for personal services. (c) State, Local and Indian Tribal governmental units are not required to support charges for salaries and wages with signed time and attendance records if they are in compliance with the standards of Section l I of OMB Circular A-87 for the support and documentation of salaries and wages. ii. AmeriCorps members. The Grantee must keep time and attendance records on all AmeriCorps members in order to document their eligibility for in-service and post -service benefits. Time and attendance records must be signed both by the member and by an individual with oversight responsibilities for the member. d. Audits. Recipients of federal grant awards are required to have audits performed in accordance with the Single Audit Act. as amended. Recently revised OMB Circular A-133, Audits of States, Local Final -April 30, 1999 32 Governments and Non -Profit Organizations, provides guidance on new audit requirements pursuant to Public Law 104-156 (The Single Audit Act Amendments of 1996, enacted July 5, 1996). The 1996 Amendment established a $300,000 -threshold of annual federal expenditures for these audits for fiscal year ending June 30, 1997 or later. A recipient of a Federal grant award (pass-through entity) is required in accordance with paragraph 400(d) of OMB Circular A-133 to do the following with regard to its subrecipients: (1) identify the Federal award and funding source; (2) advise subrecipients of all requirements imposed on them: (3) monitor subrecipient activities and compliance; (4) ensure subrecipients have A-133 audits when required; (5) issue decisions and ensure follow-up on audit findings in a timely way; (6) where necessary, adjust its own records and financial statements based on audits; and (7) require subrecipients to permit access by the pass-through entity and auditors to. records and financial statements as necessary for the pass- through entity to comply with A-133. e. Consultant services. Payments to individuals for consultant services under this Grant will not exceed $443.00 per day (exclusive of any indirect expenses, travel, supplies and so on). 24. ADMINISTRATIVE COSTS. a. Definitions. "Administrative costs" means general or centralized expenses of overall administration of an organization that receives Corporation funds and does not include particular Program or project costs. For organizations that have an established indirect cost rate for federal awards, administrative costs mean those costs that are included in the organization's indirect cost rate. Such costs are generally identified with the organization's overall operation and are further described in Office of Management and Budget Circulars A-21, A-87 and A-122. For organizations that do not have an established indirect cost rate for federal awards, administrative costs include: i. costs for financial, accounting, auditing, contracting or general legal services except in unusual cases where they are specifically approved in writing by the Corporation as program costs; ii. costs for internal evaluation, including overall organizational management improvement costs (except for independent and internal evaluations of the Program or project that evaluations are specifically related to creative methods of quality improvement); and iii. costs for general liability insurance that protects the organization(s) responsible for operating a Program or project, other than insurance costs solely attributable to the Program or project. Final - A;wd 30, 1999 33 Administrative costs may also include that portion of salaries and benefits of the Program's director and -other administrative staff not attributable to the time spent in support of a specific Program or project. The principles that pertain to the allocation and documentation of personnel costs are stated in the OMB circulars that are incorporated in Corporation regulations [45 CFR Part 2541.220(b)]. Administrative costs generally do not include the following allowable expenses directly related to a Program or project (including their operations and objectives) , such as: L allowable direct charges for members, including living allowances, insurance payments made on behalf of members, training and travel; ii. costs for staff (including salary, benefits, training and travel) who recruit, train, place or supervise members or who develop materials used in such activities, , if the purpose is for a specific Program or project objective; iii. costs for independent evaluations and any internal evaluations of the Program or project that are related specifically to creative methods of quality improvement; iv. costs, excluding those already covered in an organization's indirect cost rate, attributable to staff that work in a direct Program or project support, operational, or oversight capacity, including, but not limited to: support staff whose functions directly support Program or project activities; staff who coordinate and facilitate single or multi -site Program and project activities: and staff who review, disseminate and implement Corporation guidance and policies directly relating to a Program or project; v. space, facility and communication costs that primarily support Program or project operations, excluding those costs that are already covered by an organization's indirect cost rate; and A. other allowable costs, excluding those costs that are already covered by an organization's indirect cost rate, specifically approved by the Corporation as directly attributable to a Program or project. b. Limitation by statute. Administrative costs cannot exceed 5% of total Corporation funds actually expended under this award. c. Fixed 5%. If approved on a case-by-case basis by the Corporation, the grantee may charge, for administrative costs, a fixed 5% of the total of the Corporation funds expended. In order to charge this fixed 5%, the grantee match for administrative costs may not exceed 10% of all direct cost expenditures. These rates may be used without supporting documentation and are in lieu of an indirect cost rate. d. Indirect Cost Rates. i. If grantees have an approved indirect cost rate, such rate will constitute documentation of the grantee's administrative costs Final - April 30. 1999 34 including the 5% maximum payable by the Corporation and the grantee match of administrative costs. ii. If a grantee wants to claim more than 10% match in administrative costs it must have or obtain an approved indirect cost rate. Where appropriate, the Corporation will establish an indirect cost rate that may be used for this and other federal awards. e. Consistency of treatment. To be allowable under an award, costs must be consistent with policies and procedures that apply uniformly to both federally financed and other activities of the organization. Furthermore, the costs must be accorded consistent treatment in.both . federally financed and other activities as well as between activities supported by different sources of federal funds. 25. EQUIPMENT AND SUPPLIES COSTS. a. Definition of equipment. For the purposes of this clause, "equipment" is defined as tangible non -expendable personal property having a useful life of more than one year and an acquisition cost of $5,000 (five thousand) or more per unit (including accessories, attachments and modifications). b. Definition of supplies. For the purpose of this clause, "supplies" means all personal property excluding equipment. c. Allowable purchases. Equipment and supplies are allowable as- a direct cost under the Grant provided that the purchase of equipment or supplies with a unit acquisition cost of 51,000 or more has written prior approval by the Corporation or was specifically included in the approved budget, d. Prior approval for equipment or supplies purchases. In requesting prior approval from the Corporation, the Grantee will assure that each purchase of equipment or supplies: I. Is necessary, reasonable, and cost-effective in meeting the Grant objectives; ii. Does not duplicate other equipment or supplies that are reasonably available and accessible to the Grantee; and ill. Is purchased in accordance with the Grantee's standard practices. e. Title to equipment. Unless otherwise specified, title to equipment acquired by the Grantee with Grant funds vests in the Grantee, subject to the conditions specified in this clause and applicable OMB circulars. The Corporation reserves the right to transfer title to the federal government or to a third party named by the Corporation upon completion of the Find - Ap W 30. 1999 35 26. PROJECT INCOME. a. General. Income earned as a direct result of the Program's activities during the award period will be retained by the Grantee and used to finance the non -Corporation share of the Program. b. Fees for service. When using assistance under this Grant, the Grantee may not enter into a contract for or accept fees for service performed by members when: I. the service benefits a for-profit entity-, ii. the service falls within the other prohibited Program activities set forth in Clause 5 of these Grant Provisions: or iii. the service violates the non-displacement Provisions of the Act, set forth in Clause 33 of these Grant Provisions. 27. PAYMENTS UNDER THE GRANT. a. Advance payments. The Grantee may receive advance payments of Grant funds, provided the Grantee meets the financial management standards specified in OMB Circular A-102 and its implementing regulations (45 C.F.R. Part 254 1) or A-110 and its implementing regulations (45 C.F.R Part 2543), as applicable. b. Immediate cash flow needs. The amount of advance payments requested by the Grantee must be based on actual and immediate cash needs in order to minimize federal cash on hand in accordance with policies established by the U.S. Department of the Treasury in 31 C.F.R. Part 205. c. Discontinuing advance payments. If a Grantee does not establish procedures to minimize the time elapsing between the receipt of the cash advance and its disbursement, the Corporation may, after providing due notice to the Grantee, discontinue the advance payment method and allow payments in advance only by individual request and approval or by reimbursement. d. Interest-bearing accounts. The Grantee must deposit advance funds received from the Corporation in federally -insured, interest-bearing accounts. The exceptions to this requirement follow. I. Institutions of higher education and other non-profit organizations. If a Grantee is covered by'OMB Circular A-110, it must maintain advance funds in interest-bearing accounts unless: (a) it receives less than $120,000 in federal funds per year: (b) the best reasonably available account would not be expected to earn interest in excess of $250 per year on federal cash balances: or (c) the required minimum balance is so high that it would not be feasible within expected federal and non-federal cash resources. Final -April 30. 1999 37 Earned interest must be remitted annually to HHS -PMS Rockville,._ MD "20852. Grantees may keep up to $250 of interest per year to offset administrative expenses. ii. State and local governments. All Grantees and sub -Grantees covered by OMB Circular A-102, with the exception of State Governments and Indian Tribes, must remit earned interest quarterly to the Corporation. Grantees may keep up to $100 of the earned interest per year to offset administrative expenses. 28. RETENTION OF RECORDS. The Grantee must retain and make available all financial records, supporting documentation, statistical records, evaluation data, member information and personnel records for 3 years from the date of the final submission of the final Financial Status Report (SF269A). If an audit is started prior to the expiration of the 3 -year period, the records must be retained until the audit findings involving the records have been resolved and final action taken. 29. SITE VISITS. The Corporation reserves the right to make site visits to review and evaluate Grantee records, accomplishments, organizational procedures and financial control systems; to conduct interviews; and to provide technical assistance as necessary. To the extent feasible, these will be coordinated with, and in most cases organized by, State Commissions for AmeriCorps*State programs, parent organizations for AmeriCorps*National project sites, and Program Officers for AmeriCorps*Tribes and Territories Programs. Site visits will be made in the least disruptive manner possible. 30. LIABILITY AND SAFETY ISSUES.. a. Liability coverage. The Grantee must have adequate liability coverage for the organization, employees and members, including coverage of members engaged in on- and off-site project activities. b. Member safety. The Grantee must institute safeguards as necessary and appropriate to ensure the safety of members. Members may not participate in projects that pose undue safety risks. Public safety Programs and other Programs posing a significant risk to members must adhere to applicable Provisions of the safety protocol issued by the Corporation and found in the Program Directors' Manual. 31. DRUG-FREE WORKPLACE. a. Notice to employees and members. In accordance with the Drug -Free Workplace Act, 41 U.S.C. §701 et seq., implementing regulations, 45 Fina! - April 30. 1999 38 C.F.R. Part 2542, and the Grantee's certification, the Grantee must publish a statement notifying employees and members that: L the unlawful manufacture, distribution, dispensation, possession. - or use of a controlled substance is prohibited in the Grantee's workplace and Program; ii. conviction of any criminal drug statute must be reported immediately to the Grantee; iii. that the employee's employment or member's participation is conditioned upon compliance with the notice requirements; and iv. certain actions will be taken against employees and members for violations of such prohibitions. b. Criminal drug convictions. The Grantee's employees and members must notify the Grantee in writing of any criminal drug convictions for a violation occurring in the workplace or during the performance of project activities no later than 5 days after such conviction. The Grantee must notify the Corporation within 10 days of receiving notice of such conviction. The Grantee must take appropriate action against such employee or member up to and including termination or member release for cause consistent with the Corporation's rules on termination and suspension of service, or require the employee or member to satisfactorily participate in an approved drug abuse assistance or rehabilitation Program. c. Drug -Free awareness Program. The Grantee must establish a drug-free awareness Program to inform employees and members about the dangers of drug abuse in the workplace, the Grantee's policy of maintaining a Drug -Free workplace, any available drug counseling, rehabilitation, and employee assistance and member support services, and the penalties that may be imposed for drug abuse violations. d. Grantee non-compliance. The Grantee is subject to suspension, termination or debarment proceedings for failure to comply with the Drug -Free Workplace Act. e. Non-discrimination and confidentiality laws. In implementing the Drug -Free Workplace Act, the Grantee must adhere to federal laws and its Grant assurances related to alcohol and substance abuse non- discrimination and confidentiality. 32. NON-DISCRIMINATION. a. Assurances. The Grantee assures that its program or activity, including those of its subgrantees, will be conducted, and facilities operated, in compliance with the applicable statutes set forth below, as well as with their implementing regulations. The Grantee assures that it will obtain an assurance of such compliance prior to extending Federal financial assistance to subgrantees. The U.S. Government shall have the right to seek judicial enforcement of these assurances. Fina! - April 30,19" 39 b. Discrimination prohibited. A person, including members, service - recipients, or Program staff, may not, on the grounds of race, color, national origin, sex, age, political affiliation, disability (for otherwise qualified individuals with disabilities), or religion (as it relates to staff, applies only to Program staff paid with Corporation funds but excludes staff paid with Corporation funds who were employed by the Grantee on the date the Corporation grant was awarded), be excluded from participation in, denied the benefits of, or be otherwise subjected to discrimination, directly or through contractual or other arrangements, under any program or activity receiving federal financial assistance, and includes but is not limited to: L denying an opportunity to participate in, benefit from, or provide a service, financial aid, or other benefit; ii. providing an opportunity which is different or provided differently; Iii. denying an opportunity to participate as a member of a planning or advisory body integral to the program; iv. segregating or subjecting a person to separate treatment; Y. providing an aid, benefit, or service to a qualified disabled person that is less effective in affording opportunity to obtain the same result, vi. gain the same benefit, or reach the same level of achievement-, denying a qualified disabled person the opportunity to participate in integrated programs or activities, even though permissibly separate or different programs or activities exist; vii.restricting a person's enjoyment of an advantage or privilege enjoyed by others; viii.providing different or separate aid, benefits, or. services to disabled persons unless necessary in order to provide them as effectively as provided to others; ix. treating a person differently in determining admission, enrollment, quota, eligibility, membership or other requirements; x. using criteria or administrative methods, including failing to provide needed auxiliary aids for disabled persons, which have the effect of subjecting persons to discrimination, or defeating or substantially impairing achievement of the objectives of the program for a person; xi. selecting a site or location of facilities with the purpose or effect of excluding individuals from, denying them the benefits of, or subjecting them to discrimination under the program; Ad. denying a qualified disabled person a benefit, aid, or participation because facilities whose groundbreaking occurred after May 30, 1979 are inaccessible to or unusable by disabled persons or because programs or activities in facilities predating May 30, 1979, when viewed in their entirety, are inaccessible to or unusable by disabled persons; and xiii.failing to provide reasonable accommodation to otherwise qualified .individuals with disabilities. c. Public Notice of Nondiscrimination. The Grantee must notify members, service recipients, applicants, Program staff, and the public, including those with impaired vision or hearing, that they operate their 40 Fbwl - April 30, 1999 program or activity subject to the nondiscrimination requirements of the ._ applicable statutes, summarize the requirements, note the availability of compliance information from the Grantee and the Corporation, and briefly explain procedures for filing discrimination complaints with the Corporation. Sample language is: It is against the law for organizations that receive federal financial assistance from the Corporation for National Service to discriminate on the basis of race, color, national origin. disability, sex, age, political affiliation. or, in most programs, religion. It is also unlawful to retaliate against any person or organization who files a complaint about such discrimination. In addition to filing a complaint with local and state agencies that are responsible for resolving discrimination complaints, you may bring a complaint to the attention of the Corporation for National Service. If you believe that you or others have been discriminated against, or if you want more information, contact: (name, address, phone number - both voice and TDD, and preferably toll free - FAX number and e-mail address of the Grantee) or Equal Opportunity Office Corporation for National Service 1201 New York Avenue, NW Washington, D.C. 20525 (202) 606-5000, ext. 312 (voice); (202) 565-2799 (TDD) (202) 565-2816 (FAX); eo(a,cns.gov (e-mail) The Grantee. must include information on civil rights requirements, complaint procedures and the rights of beneficiaries in member contracts, handbooks, manuals, pamphlets, and posted in prominent locations, as appropriate. They must also notify the public in recruitment material and application forms that they operate their program or activity subject to the nondiscrimination requirements. Sample language, in bold print, is "This program is available to all, without regard to race, color, national origin, disability, age, sex, political affiliation, or, in most instances, religion." Where a significant portion of the population eligible to be served needs services or information in a language other than English, the Grantee shall take reasonable steps to provide written material of the type ordinarily available to the public in appropriate languages. d. Records and Compliance Information. The Grantee must keep records and make available to the Corporation timely, complete, and accurate compliance information to allow the Corporation to determine if the Grantee is complying with the civil rights statutes and implementing regulations. Where a Grantee extends federal financial assistance to subgrantees, the subgrantees must make available compliance information to the Grantee so it can carry out its civil rights obligations. Final - April 30. 1999 1 41 The Corporation will provide specific guidance regarding records and compliance information. At a minimum, the Grantee should have available racial, ethnic, sex, and disability data regarding members/ applicants. service recipients/applicants and Program staff/ applicants. This data should be sufficient to measure the distribution of benefits to the eligible population and evaluate the services provided to the different segments of the population being served. Data on members and Program staff should be gathered, on a voluntary basis, directly from the individuals. Data on service recipients may be gathered, estimated, or based on census or other statistics. Racial and ethnic data should be gathered for the following categories: Hispanic/Latino/Spanish culture or origin or non- Hispanic/Latino/Spanish culture or origin (one or the other) and one or more of the following: American Indian or Alaska Native Asian Black or African American Native Hawaiian or Other Pacific Islander :• White e. Obligation to Cooperate. The Grantee must cooperate with the Corporation so that the Corporation can ensure compliance with the civil rights statutes and implementing regulations. The Grantee shall permit access by the Corporation during normal business hours to its books, records; accounts, staff, members, facilities, and other sources of information as may be needed- to determine compliance. f. Discrimination Complaints, Investigations and Compliance Reviews. The Corporation may review the practices of the Grantee to determine civil rights compliance. Any person who believes discrimination has occurred may.file a discrimination complaint with the Corporation's Equal Opportunity Office. The Grantee may not intimidate, threaten, coerce, or discriminate against an individual to interfere with a right or privilege secured by the civil rights acts or because the person made a complaint, testified, assisted or participated in any manner in an investigation, proceeding, or hearing. The Corporation will keep the identity of complainants and witnesses confidential except as necessary to conduct an investigation, hearing, or judicial proceeding. The Corporation will investigate whenever a compliance review, report, complaint, or other information indicates a possible failure to comply with the statutes and their implementing regulations. If an investigation indicates a failure to comply, the Corporation will so inform the Grantee and any applicable subgrantees and will attempt to resolve the matter by voluntary means. If the matter cannot be resolved by voluntary means, the Corporation will initiate formal enforcement action. 42 Final- April 30, 1999 Discrimination complaints may be raised through the Grantee's grievance procedure. Use of the Grantee's grievance procedure may not be a required precursor to filing a federal discrimination complaint with the Corporation. Use of the Grantee's grievance procedure does not preclude filing a federal discrimination complaint. The Grantee's grievance procedure should advise members that use of the grievance procedure does not stop the running of Corporation time frames for filing a discrimination complaint with the Corporation. In all cases where discrimination allegations have been raised with the Grantee, the Grantee must submit a written report to the Corporation's Equal Opportunity Office, which has a review authority over the investigation and disposition of all discrimination complaints: g. Self-evaluation requirements. The Grantee must comply with the self-evaluation requirements under section 504 of the Rehabilitation Act regarding accessibility for individuals with disabilities. They must comply with the self-evaluation requirements of the Age Discrimination Act of 1975. They must also comply with the self-evaluation requirements under title IX of the Education Amendments of 1972 regarding discrimination based on sex. Guidance regarding the self-evaluation requirements may be obtained from the Corporation's Equal Opportunity Office, 1201 New York Avenue, NW, Washington, D.C. 20525, (202) 606- 5000, ext. 312 (voice); (202) 4565-2799 (TDD); (202) 565-2816 (FAX); or eo0a,cns.gov (e-mail). h. Applicable statutes. In accordance with its assurances, the Grantee must comply with all federal statutes relating to non-discrimination to the extent applicable, including, but not limited to titles VI and VIII of the Civil Rights Act of 1964 (42 U.S.C. §§2000d and 3601 et seq.), section 504 of the "Rehabilitation Act of 1973 as amended (29 U.S.C. §794), title IX of the Education Amendments of 1972 (20 U.S.C. §1681 et seq.)the Age Discrimination Act of 1975 as amended(42 U.S.C. §6101 et seq.) , the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255) as amended, the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616), as amended, the Public Health Service Act of 1912 as amended (42 U.S.C. §§290dd-3 and 290ee-3). and the requirements of any other non-discrimination provision in the National and Community Service Act of 1990, (42 U.S.C. § 12635) or any other applicable non-discrimination provision. 33. SUPPLEMENTATION, NON -DUPLICATION AND NON- DISPLACEMENT. a. Supplementation. Grant funds may not be used to replace state or local public funds that had been used to support Programs or projects of the type eligible to receive Corporation Grant funds. For any given Program, this condition will be satisfied if the aggregate non-federal Final - April 30. 19" 43 public expenditure for that Program or project in the fiscal year that support is to be. provided is not less than the previous fiscal year. b. Non -duplication. Grant funds may not be used to duplicate services that are available in the locality of a Program or project. The Grantee may not conduct activities that are the same or substantially equivalent to activities provided by a state or local government agency in which the Grantee entity resides. c. Non-displacement. L Prohibition on displacing an employee or a position. The Grantee may not displace an employee or position, including partial displacement such as reduction in hours, wages or employment benefits, as a result of the use by such employer of a member in a Program or project. ii. Prohibition on selecting an employee for participation. The Grantee may not select a member who is employed by the Grantee or who was employed by the Grantee in the previous six months, unless the Corporation waives this requirement upon a sufficient demonstration of non-displacement. iii. Prohibition on promotional infringement. The Grantee may not create. a community service opportunity that will infringe in any manner on the promotional opportunity of an employed individual. iv. Prohibition on displacing employee services, duties or activities. A member in a Program or project may not perform any services or duties, or engage in activities that would otherwise be performed by an employee, as part of the assigned duties of such employee. v. Prohibition on supplanting, hiring or infringing on recall rights. A member in a Program or project may not perform any services or duties, or engage in activities, that: (a) Will supplant the hiring of employed workers; or (b) Are services, duties or activities with respect to which an individual has recall rights pursuant to a collective bargaining agreement or applicable personnel procedures. vi. Other prohibitions. A member in a Program or project may not perform services or duties that have been performed by or were assigned to any: (a) Presently employed worker, (b) Employee who recently resigned or was discharged; (c) Employee who is subject to a reduction in force or who has recall rights pursuant to a collective bargaining agreement or applicable personnel procedures; (d) Employee who is on leave (terminal, temporary, vacation, emergency or sick); or (e) Employee who is on strike or is being locked out. 34. GRIEVANCE PROCEDURE. Final - April 30. 1999 44 a. Setting up a grievance procedure. In accordance with 42 U.S.C. ' §12636 and implementing regulations at 45 C.F.R. §2540.230, the Grantee must establish and implement a process for filing and adjudicating grievances from members. labor organizations and other interested parties. A grievance process may include dispute resolution programs such as mediation, facilitation, assisted negotiation and neutral evaluation. A grievance process must provide an opportunity for a grievance hearing and binding arbitration. If the grievance alleges fraud or criminal activity, it must be brought to the attention of the Inspector General of the Corporation immediately. Discrimination complaints may also be raised through the grievance procedure. b. In the event that a sub -Grantee of a direct Grantee of the Corporation is no longer in existence, the direct Grantee will assume the responsibility of fulfilling the sub -Grant's obligation to process all grievances in accordance with 45 C.F.R §2540.230. c. Alternative dispute resolution. L Informal resolution. The aggrieved party may seek resolution of a grievance through alternative means of dispute resolution (ADR) such as mediation or facilitation. ADR proceedings must be initiated within 45 calendar days of the date of the alleged occurrence. At the initial session of the ADR proceedings, the party must be advised in writing of the right to file a grievance and right to arbitration. If the matter is resolved, and a written agreement is reached, the party will agree to forego filing a grievance in the matter under consideration ii. Neutral facilitation. If ADR is instituted, the process must be aided by a neutral party who, with respect to an issue in controversy, functions specifically to aid the parties in resolving the matter through a mutually achieved and acceptable written .agreement. The neutral party may not compel a resolution. Proceedings before the neutral party must be informal, and the rules of evidence will not apply. With the exception of a written and agreed-upon ADR, the proceeding must be confidential. Any decision by the neutral party is advisory and is not binding unless both parties agree. If the grievance is not resolved within 30 calendar days of initiation, the neutral party again must inform the aggrieved party of his or her right to file a formal grievance. d. Formal grievance proceeding. i. Time limits. Except for a grievance that alleges fraud or criminal activity, a grievance must be made no later than one year after the date of the alleged occurrence. If a hearing is held on a grievance, it must be conducted no later than 30 calendar days after the filing of such grievance. A decision on any such filed grievance must be made no later than 60 days after filing. Final -April 10. 1999 45 ii. Effect of informal process. In the event an aggrieved party files a grievance after participating in an informal dispute resolution_ process, the neutral party may not participate in the formal grievance proceeding. In addition, no communication or proceeding of the informal dispute resolution process may be referred to or introduced into evidence at a grievance or arbitration proceeding. e. Arbitration. L Selection of arbitrator. If there is an adverse decision against the party who filed the grievance, or no decision has been reached after 60 calendar days after the filing of a grievance, the aggrieved party may submit the grievance to binding arbitration before a qualified arbitrator who is jointly selected and who is independent of the interested parties. If the parties cannot agree on an arbitrator. within 15 calendar days after receiving a request from one of the parties, the Corporation will appoint an arbitrator from a list of qualified arbitrators. ii. Time limits. An arbitration proceeding must be held no later than 45 days after'the request for arbitration, or if the arbitrator is appointed by the Corporation, the proceeding must occur no later than 30 calendar days after the arbitrator's appointment. A decision must be made by the arbitrator no later than 30 calendar days after the date the arbitration proceeding begins. iii. Cost. In accordance with 42 U.S.C. §12636(0(4)(D), the cost of the arbitration proceeding must be divided evenly between the parties to the arbitration unless the party requesting a grievance proceeding prevails. If the grievant prevails, the Grantee must pay the total cost of the proceeding and reasonable attorney's fees of the prevailing party incurred in connection with the ADR proceeding: iv. Effect of noncompliance with arbitration. Pursuant to 42 U.S.C. §12636(0(7), a suit to enforce an arbitration award may be brought in any federal district court having jurisdiction over the parties without regard to the amount in controversy or citizenship. f. Suspension of placement. If a grievance is filed regarding a proposed placement of a member in a Program or project, such a placement must not be made unless the placement is consistent with the resolution of the grievance. g. Remedies. Remedies for a grievance filed under a procedure established by the Grantee may include: L Prohibition of a placement of a member; and ii. In grievance cases where there is a violation of non -duplication or non-displacement requirements and the employer of the displaced employee is the Grantee: (a) Reinstatement of the employee to the position he or she held prior to the displacement; (b) Payment of lost wages and benefits; 46 Final - April 30. 1999 (c) Re-establishment of other relevant terms, conditions and privileges of employment; and - (d) Any other equitable relief that is necessary to correct any violation of the non -duplication or non-displacement requirements or to make the displaced employee whole. 35. OWNERSHIP AND SHARING OF GRANT PRODUCTS. a. Ownership. Unless otherwise specified, the Grantee owns and may copyright any work that is subject to copyright, including software designs, training manuals. curricula, videotapes and other products produced under the Grant. However, the Grantee may not sell any work which includes an AmeriCorps logo without prior Corporation written approval. b. Corporation use. The Corporation retains royalty -free, non-exclusive, and irrevocable licenses to obtain, use, reproduce, publish or disseminate products, including data, produced under the Grant and to authorize others to do so. The Corporation may distribute such products through a designated clearinghouse. c. Sharing Grant products. To the extent practical, the Grantee agrees to make products produced under the Grant available at the cost of reproduction to others in the field. 36. PUBLICATIONS. a. Acknowledgment of support. Publications created by members may include an AmeriCorps logo if they are consistent with the purposes of the Grant. The Grantee is responsible for assuring that the following acknowledgment and disclaimer appears in any external report or publication of material based upon work supported by this Grant. "This material is based upon work supported by the Corporation for National Service under AmeriCorps Grant No. . Opinions or points of view expressed in this document are those of the authors and do not necessarily reflect the official position of the Corporation or the AmeriCorps Program." b. Materials provided to Corporation. The Grantee is responsible for assuring that two copies of any such material are sent to the Corporation's Office of Public Affairs and Program Office. 37. EVALUATION. a. Internal evaluations. The Grantee must track progress toward achievement of their Program objectives. The Grantee also must monitor the quality of service activities, the satisfaction of both service recipients and members, and management effectiveness. Internal evaluation and Final - April 30. 1999 47 monitoring should be a continuous process, allowing for frequent feedback and the quick correction of weaknesses. b. Independent evaluations. The Grantee may obtain an independent r evaluation if provided for in the approved budget. c. External evaluation and data collection. The Grantee must cooperate with the Corporation and its evaluators in all monitoring and evaluation efforts. As part of this effort, the Grantee must collect and submit certain member data, including the total number of members in the Program, and the number of members by race, ethnicity, gender, age. economic background. educational level, disability classification and geographic region. The Corporation will provide forms for collecting member data. 38. SUSPENSION OR TERMINATION OF GRANT. a. Suspension of the Grant. In emergency situations, the Corporation may suspend a Grant for not more than 30 calendar days. Examples of such situations may include, but are not limited to: L Serious risk to persons or property: fl. Violations of federal, state or local criminal statutes: and iii. Material violation(s) of the Grant or contract that are sufficiently serious that they outweigh the general policy in favor of advance notice and opportunity to show cause. b. Termination of the Grant. Pursuant to 45 C.F.R. §2540.400, the Corporation may terminate payments under the grant, revoke the designated member positions, or recover Grant funds for failure to comply with applicable provisions of this Grant. However, the Corporation will provide the Grantee reasonable notice and opportunity for a full and fair hearing, subject to the following conditions: L Notice. The Corporation -will notify the Grantee by letter or telegram that it intends to terminate payments, revoke positions or recover Grant funds, either in whole or in part, unless the Grantee shows good cause why such assistance should not be terminated, revoked or recovered. In this notice, the grounds and the effective date for the proposed termination or revocation will be described. The Grantee will be given at least 7 calendar days to submit written material in opposition to the proposed action. ii. Right to a hearing. The Grantee may request a hearing on a proposed termination, revocation or recovery. Upon 5 days notice to the Grantee, the Corporation may authorize the conduct of a hearing or other meetings at a location convenient to the Grantee to consider the proposed action. A transcript or recording must be made of a hearing. c. The Grantee may suspend or terminate assistance to a sub -Grantee, provided that such action affords the sub -Grantee, at a minimum, the Final - April 30. 1999 48 notice and hearing rights set forth in the Provisions applicable to the Corporation in this section (38). 39. ORDER OF PRECEDENCE. Should there be any inconsistency among the Cooperative Agreement Award, the AmeriCorps Special Provisions, the General Provisions, Grants Policy Guidances, and the approved Grant Application, the order of precedence that will prevail is the (1) Cooperative Agreement Award, (2) the AmeriCorps Special Provisions, (3) the General Provisions, and (4) the approved Grant Application. Final - April 30, 19" 49 Exhibit °D" Washington Service Corps Special Conditions A. Cash Match Payment Information: The conditions of this contract require the sponsor agency to contribute $500 per full-time national service member and $250 per part-time national service member that was awarded to the sponsor agency. Cash match is not assessed for reduced part-time members. Payment is due by December 31, 2000. Match will not be adjusted or refunded for vacancies that occur after December 31, 2000. Checks must be payable to the Employment Security Department and sent to the following address: Employment Security Department Washington Service Corps P.O. Box 9046 Olympia, Washington 98507-9046 B. Member Service Gear: Members of the WSC are required to wear service gear. whenever they are engaged in national service sponsored activities or official business. As community leaders and role models, members are responsible for being well- groomed and maintaining a positive public image of the WSC and AmeriCorps. Supervisors will ensure that members are issued service gear and dress appropriately for each day's tasks, as determined by the project director. Refer to the Member Contract for additional guidelines related to member service gear. C. Submission of National Service Forms: To ensure the WSC is in compliance with Corporation for National Service regulations related to use of the web -based reporting system, the following due dates have been established. I. Enrollment: The National Service Enrollment Form must be submitted to the WSC within three (3) work days after a member is enrolled in your project. II. End of Term of Service: The End of Term of Service Form must be submitted within five (5) work days after an AmeriCorps member exits from your project. III. Change of Status: All formal requests to change an AmeriCorps member's status (i.e., full-time to part-time, transfer to or from another AmeriCorps program) must include a Change of Status Form and a written request from the project director with a full explanation for this request. All requests will be reviewed by the WSC and forwarded to the Washington State Commission for National and Community Service for approval D. Out of State Travel Authorization: All out of state travel for project staff or AmeriCorps members must be approved by the WSC prior to any travel -related expenses being incurred. Documentation must contain the purpose of the trip and how it relates to the employee's position or member's service assignment, a description of the expected benefits, and an estimation of all travel -related costs. Note: it is not usual for members to be sent out of state for training purposes as most resources can be obtained in state. E. National Service Network Involvement: Project directors are required to attend training and technical assistance meetings held on average of twice per program year. In the event the project director is unable to attend, a request to be excused from the meeting must be sent to your Local Area Coordinator as soon as possible. Exhibit "D" Your agency must seek prior approval of the WSC if another agency representative will attend. AmeriCorps members shall not represent their project director at these meetings. All project directors will actively help to implement the Unified State Plan withi.o the geographic area that they ,serve. This should involve collaboration with neighboring AmeriCorps or other streams of national service on issues such as recruitment, training, and member identity events. F. Member Participation in National Service Events: It is an expectation that AmeriCorps members will participate in the planning and coordination of statewide national service events such as Make a Difference Day, Martin .Luther King, Jr. Day of Service, and National Volunteer Week. The project supervisor should support and encourage member involvement in the Washington Leader Corps or InterCorps Council. G. ROLES Reporting: Each site is required to utilize the Reporting On -Line Evaluation System (known as ROLES) to track progress toward achieving the goals of its direct service, community strengthening and member development objectives, and to complete semi-annual progress reports. I. Evaluation Plan: Each site must enter its evaluation plan into the ROLES system no later than October 31, 2000. Copies of all evaluation tools and instruments must be provided to Washington Service Corps before the evaluation plan will be approved. 11. Progress Report: Each site is required to complete its semi-annual progress report using the ROLES system. Report due dates are: April 6, 2001, and October 5, 2001. Early submission of progress reports is strongly encouraged. H. Coffee and Light Refreshments: The project director may approve serving coffee and light refreshments in the conduct of official business at certain AmeriCorps sponsored meetings. This authority is not intended for use with the normal daily business of employees or officials, but rather for special situations or occasions where the purpose of the meeting is to conduct AmeriCorps business, provide formal training sessions that . benefit the program, or recognize program or member accomplishments. Coffee and/or light refreshments must be an integral part of the meeting; the sponsor agency must obtain a receipt for the actual costs *of the coffee and/or light refreshments, and approval for serving coffee and/or light refreshments must be approved by the designee of the sponsor agency prior to the event. For more information, refer to OMB Circular A-133 Compliance Supplement. The project director must document the request and approval for expenditures for coffee and/or light refreshments using a memorandum or agency form specifically used for this purpose. The documentation should provide support for the authorization, including the purpose of the meeting or expenditure and names of the persons attending the meeting. GENERAL TERMS AND CONDITIONS - INDEX ITEM PAGES Part I - Definitions 2 Part II - General Conditions 3 A. Access to Records and Facilities 3 B. Advance Payment Prohibited 3 C. Assignability 3 D. Assurances 3 E. Attorney Fees and Costs 4 F. Audits 4 G. Changes and Modifications 4 H. Commencement of Contract Work 5 I. Conflict of Interest 5 J. - Contractor Registration 5 K. Covenant Against Contingent Fees 6 L. Disallowed Costs 6 M. Disputes 6 N. Duplication of Billed Costs 6 O. Indemnification and Bonding 7-8 P. Independent Capacity of Contractor 8 Q. Industrial Insurance Coverage 8 R. Jurisdiction 8 S. Licensing and Accreditation 8 T. Lobbying Activities 8 U. Maintenance of Effort 9 V. Nondiscrimination 9 W. Patent Rights 10 X. Payment Parameters 10 Y. Pell Grants 10 Z. Price Warrant 10 AA. Record Retention 10 BB. Rights in Data 11 CC. Safeguarding of Client Information 11 DD. Small, Minority, and Women -Owned Business Enterprises I I EE. Subcontracting 11-12 FF. Suspension, Termination and Remedies 12-13 GG. Termination Procedure 13-14 HH. Taxes 14 II. Treatment of Assets 1445 JJ. Use ofName Prohibited 15 KK. Waiver 15 Equal Opportunity is the Law 16 Revised May 2000 GENERAL TERMS AND CONDITIONS PART I - DEFINITIONS As used throughout this Contract, the following terms shall have the meanings set forth below. A. "CLIENT" shall mean any agency, firm, organization, individual or other entity applying for or receiving services under this Contract. B. "CONTRACTOR" shall mean that agency, firm, organization, individual or other entity performing services under this Contract. It shall include any SUBCONTRACTOR retained by the prime contractor as permitted under the terns of this Contract. C. "AGENCY" shall mean the Employment Security Department of the state of Washington, any division, section, office, unit or other entity of that Agency or any of the officers or other officials lawfully representing the Agency. D. "MINORITY BUSINESS ENTERPRISE," "MINORITY-OWNED BUSINESS ENTERPRISE," or "MBE" shall mean a business organized for profit, performing a commercially useful function, which is legitimately owned and controlled by one or more minority individuals or minority business enterprises certified by the Office of Minority and Women's Business Enterprises. The minority owners must be United States citizens or lawful permanent residents. E. "SUBCONTRACTOR" shall mean one, not in the employment of the Contractor, who is performing all or part of those services under this Contract under Contract from the CONTRACTOR. The terms "SUBCONTRACTOR" and "SUBCONTRACTORS" mean SUBCONTRACT(s) in any tier. F. "WOMEN'S BUSINESS ENTERPRISE," "WOMEN -OWNED BUSINESS ENTERPRISE," or "WBE" shall mean a business organized for profit, performing a commercially useful function, which.is legitimately owned and controlled by one or more women or women's business enterprises certified by the Office of Minority and Women's Business Enterprises. The women owners must be United States citizens or lawful permanent residents. PART H - GENERAL CONDITIONS A. ACCESS TO RECORDS AND FACILITIES 1.. The Office of the State Auditor, federal auditors, and any persons duly authorized by the Agency shall have full access to and the right to examine and copy any or all books, records, documents and other material regardless of form or type which are pertinent to the performance of this Contract, or reflect all direct and indirect costs of any nature expended in the performance of this Contract. Access shall be at all reasonable times during the record retention period. 2. The Office of the State Auditor, federal auditors, and any persons duly authorized by the Agency shall have the right of access at all reasonable times in order to examine and inspect any site where any phase of the program is being conducted, Revised May 2000 controlled or advanced in any way. Such sites may include the home office, any branch office, or other locations of the Contractor if such sites or the activities performed thereon have any relationship to the program covered by this contract. B. ADVANCE PAYMENTS PROHIBITED No payment in advance or in anticipation of services or supplies to be provided by this Contract shall be made by the Agency. In cost reimbursement contracts, the Contractor shall be entitled only to reimbursement for expenses incurred during the contract period for work accomplished as provided. elsewhere in this Contract. In fixed unit price contracts, the Contractor shall be entitled only to payment for work accomplished during the contract period and in accordance with the terms of this Contract. C. ASSIGNABILITY Neither the Agency nor the Contractor shall assign this Contract nor any claims arising therefrom, either in whole or in part without the prior approval of the other party. Said approval shall not be unreasonably withheld. D. ASSURANCES The Agency and the Contractor agree that all activity pursuant to this Contract will be in accordance with all applicable current or future federal, state or local laws, rules and regulations. If this Contract is funded by the Workforce Investment Act (WIA), the Contractor shall conduct the program in accordance with the existing or hereafter amended WIA, the U.S. Department of Labor's regulations relating to WIA, and the Washington State WIA Provisions. E. ATTORNEY FEES AND COSTS If any litigation is brought to enforce this Contract or any litigation arises out of any contract tern, clause or provision, each party shall be responsible for its own expenses, costs and attorney fees. F. AUDITS The Office of the State Auditor, federal auditors and any persons duly authorized by the Agency may examine and audit at all reasonable times, the Contractor and. its books and records, and documents regardless of form or type, which reflect all costs associated with contract performance. The Contractor will maintain its records and accounts in such a way as to facilitate the audit and examination and assure that Subcontractors also maintain records that are auditable. G. CHANGES AND MODIFICATIONS 1. The Agency or Contractor may, from time to time, request changes in the services to be performed, or in the project undertaken. Such changes, including any increase or decrease in the amount of payment or reimbursement, which are mutually agreed Revised May 2000 upon by and between the Agency and the Contractor shall be incorporated in written modifications to this Contract. 2. The Contractor may make changes to the budget, without a formal modification to the contract and without securing the prior approval of the Agency, under the following conditions: a. The revisions must not result in the need for additional funding. b. Such changes must not alter the scope of the contract's work statement and must not be prohibited by, applicable federal or state statutes or regulations. C. No transfers are allowed from the training category or direct payments to trainees to other expense categories without a formal contract modification. d. The Contractor may vary actual expenditures within the major cost categories of the budget without securing the prior approval of the Agency when such variances do not exceed ten percent of the total costs originally budgeted in that category. Such variances may be between line items only and may not alter the total amount of money originally budgeted in the major cost category. The Contractor will send written notices of such changes to the Agency. 3. Alteration of the terms of this Contract shall be valid only when in writing and signed by the authorized representatives of the parties. H. COMMENCEMENT OF CONTRACT WORK Unless specifically exempted, the state of Washington Office of Financial Management . (OFM) requires that all sole source personal service contracts and amendments thereto and competitively bid personal service contracts for management consulting, organizational development, marketing, communications, employee training and employee recruiting be approved by OFM to become binding. The personal service contract and amendments thereto must be filed with OFM at least ten (10) working days prior to the effective date. No work may be performed nor any payment be rendered or obligation for future payment be incurred prior to the completion of the ten (10) working day period and approval of OFM. I. CONFLICT OF INTEREST Every reasonable course of action will be taken by the Contractor in order to maintain the integrity of this expenditure of public funds and to avoid any favoritism or questionable or improper conduct. This Contract will be administered in an impartial manner, free from personal, financial, or political gain. The Contractor, its executive staff and employees, in administering this Contract will avoid situations that give rise to a suggestion that any decision was influenced by prejudice, bias, special interest, or personal gain. Gratuities in the form of entertainment, gifts or otherwise offered by the Contractor, or an agent or representative of the Contractor, to any officer or employee of the Agency, with a view toward securing this Contract or securing favorable treatment with respect to the Revised May 2000 awarding or amending or the making of any determination will render this Contract voidable at the option of the Agency and may justify further action under RCW 42..52. J. CONTRACTOR REGISTRATION The Contractor agrees to complete registration with the Department of Revenue, Department of Labor and Industries New Account Division and Employment Security Tax Administration by having filed a master business application prior to the execution of this Contract and to pay any taxes, fees, or deposits required by the state as a condition of providing services under this Contract. Contractor will provide the Agency with its Washington Unified Business Identifier (UBI) number/or its Washington Department of Revenue tax account number, and, if applicable, its Labor and Industries account number and its Unemployment Insurance tax number, if registration with these agencies occurred prior to January 2, 1987. Required information will be provided prior to the Contractor commencing services under this Contract. K. COVENANT AGAINST CONTINGENT FEES The Contractor wan -ants that no person or selling agency has been employed or retained to solicit or secure this Contract upon an agreement or understanding for a commission, percentage, brokerage or contingent fee, excepting bona fide employees or bona fide established commercial or selling agency maintained by the Contractor for the purpose of securing business. The Agency shall have the right, in the event of breach of this clause by the Contractor, to annul this Contract without liability or, in its discretion, to deduct from the contract price or consideration or otherwise recover the full amount of such commission, percentage, brokerage or contingent fee. In no event shall the Agency be liable for any brokerage or contingent fee. L. DISALLOWED COSTS The Contractor is responsible for any audit exceptions or disallowed costs incurred by its own organization or that of its Subcontractors. M. DISPUTES Except as otherwise provided in this Contract, when a dispute arises between the parties and it cannot be resolved by direct negotiation, either party may request a dispute hearing with the Agency, Director of Agency, or his or her designee. 1) The request for a dispute hearing must: • be in writing, • state the disputed issues, • state the relative positions of the parties, • state the Contractoes name, address, and contract number, and • be mailed to the agent and the other party's (respondent's) Contract Manager within three working days after the parties agree that they cannot resolve the dispute. Revised May 2000 2) The respondent shall send a written answer to the requestor's statement to both the agent and the requestor within five working days. 3) The agent shall review the written statements and reply in writing to both parties within_ ten working days. The agent may extend this period if necessary by notifying the parties. 4) The decision shall not be admissible in any succeeding judicial or quasi-judicial proceeding. 5) The parties agree that this dispute process shall precede any action in a judicial or quasi- judicial tribunal. Nothing in this Contract shall be construed to limit the parties' choice of a mutually acceptable ADR method in addition to the dispute resolution procedure outlined above. N. DUPLICATION OF BILLED COSTS The Contractor shall not bill the Agency for costs if the Contractor is being paid by another funding source for those same costs. WIA costs are defined as any (1) administration, (2) direct training or (3) training related or supportive service charges. O. INDEMNIFICATION AND BONDING 1. To the fullest extend permitted by law, Contractor shall indemnify, defend and hold harmless State, agencies of State and all officials, agents and employees of State, from and against all claims for injuries or deatharising of or resulting from the performance of the Contract. Contractor's obligation to indemnify, defend, and hold harmless includes any claim by Contractor's agents, employees, representatives, or any subcontractor or its employees. Contractor expressly agrees to indemnify, defend, and hold harmless the State for any claim arising out of or incident to Contractor's or any subcontractor's performance or failure to perform the Contract. Contractor shall be required to indemnify, defend, and hold harmless the State only to the extent claim is caused in whole or in part by negligent acts or omissions of Contractor. Contractor waives its immunity under Title 51 RCW to the extent it is required to indemnify, defend and hold harmless State and its agencies, officials, agents, or employees. The Contractor shall provide insurance coverage in adequate quantity to protect against legal liability arising out of contract activity. Additionally, the Contractor is responsible for ensuring that any Subcontractors provide insurance coverage for the activities arising out of subcontracts. If the Contractor uses motor vehicles in conducting activities under this Contract, liability insurance covering bodily injury and property damage shall be provided either through a self-insurance program or through a commercial insurance policy. Such insurance shall provide a minimum coverage of $500,000 per person and $500,000 per accident for bodily injury, and $500,000 per accident for. property Revised May 2000 damage or $500,000 each occurrence bodily injury and property damage combined single limit. 2. In the event the Contractor has been designated an agent for receiving or disbursing funds from the Agency, or where the Contractor has been furnished property in which the Agency has title in order to perform the responsibilities under the Contract, the Contractor shall ensure that: a. Every officer, director or employee who is authorized to act on behalf of the Contractor or any Subcontractors for the purpose of receiving or depositing funds into program accounts or issuing financial documents, checks or other instruments of payment for program costs is bonded to provide protection against loss. 1) Fiduciary bonding secured pursuant to this Contract must have coverage of $100,000 or the highest planned advance or reimbursement for the program year. 2) The Agency will require proof of fiduciary bonding and insurance coverage. The Contractor will provide copies of bonding and insurance instruments or certifications of same from the bonding/ insurance issuing agency. The copies or certifications will show the bonding or insurance coverage, who is covered, and the amounts. If self-insured, the Contractor warrants that it will maintain coverage sufficient to cover any liability specified above that may arise from the performance of this Contract, and that the Contractor's Risk Officer or appropriate individual will provide to the Agency evidence of such insurance. 4. The Contractor will provide the Agency with a copy of the applicable insurance facesheet(s) or certification of self-insurance reflecting these coverage's. Insurance coverages) must be effective no later than the effective date of the Contract and for the tern of the Contract. P. INDEPENDENT CAPACITY OF CONTRACTOR The parties declare that the Contractor, and any agents and employees of the Contractor, in the performance of this Contract, are acting as independent contractors and not in any manner as officers or employees or agents of the Agency or the state of Washington. Q. INDUSTRIAL INSURANCE COVERAGE The Contractor shall comply with the provisions of Title 51 RCW, Industrial Insurance. If the Contractor fails to provide industrial insurance coverage or fails to pay premiums or penalties on behalf of its employees as may be required by law, Agency may collect from the Contractor the full amount payable to the Industrial Insurance accident fund. The Agency may: • Deduct the amount owed by the Contractor to the accident fund from the amount payable to the Contractor by Agency under this Contract, and Revised May 2000 Transmit the deducted amount to the Department of Labor and Industries (L&I), Division of Insurance Services. This provision does not waive any of L&i's rights to collect from the Contractor. R. JURISDICTION This Contract shall be construed and interpreted in accordance with the laws of the state of Washington and the venue of any action brought hereunder shall be in the Superior Court for Thurston County. S. LICENSING AND ACCREDITATION The Contractor agrees to comply with all applicable federal, state, county or local standards for licensing certification and operation of facilities and programs and accreditation and licensing of individuals and any other standards or criteria established by the Agency to assure quality of services. T. LOBBYING ACTIVITIES If this Contract is valued at $100,000 or more, the Contractor shall provide certification of compliance with 29 CFR 93 regulations which restrict lobbying. The Contractor shall also provide required disclosure information if the Contractor participates in lobbying activities during the contract period. U. MAINTENANCE OF EFFORT The Contractor shall ensure the following: That funds for training programs do not impair existing contracts for services, or result in the substitution of Federal funds for other funds in connection with work to be performed, including services normally provided by temporary, part-time or seasonal workers, or through subcontracting such services; and That funds for training programs result in an increase in employment and training opportunities over those which would otherwise be available. V. NONDISCRU IINATION No individual shall be excluded from participation in, denied the benefits of, subjected to discrimination under, or denied employment in the administration of or in connection with any program provided by this Contract because of race, color, creed, marital status, religion, sex, sexual orientation, national origin, Vietnam era or disabled veteran's status, age, the presence of any sensory, mental or physical disability, or political affiliation or belief. The Contractor will comply fully with the nondiscrimination and equal opportunity provisions of the WorkForce Investment Act of 1982, as amended (WIA), including the Nontraditional Employment for Women Act of 1991; title VI of the Civil Rights Act of 1964, as amended; section 504 of the Rehabilitation Act of 1973, as amended; the Age Discrimination Act of 1975, as amended; title DX of the Education Amendments of 1972, as amended; the Americans with Disabilities Act of 1990; and with all applicable requirements Revised May 2000 imposed by or pursuant to regulations implementing those laws, including but not limited to 29 CFR part 34. The United States has the right to seek judicial enforcement of this assurance. The Contractor shall promptly notify the Equal Opportunity(EO) Office of the Employment Security Department of any administrative enforcement actions or lawsuits filed against it alleging discrimination on the ground of race, color, religion, sex, national origin, age, disability, political affiliation or belief, and for beneficiaries only, citizenship or participation in a federal assistance funded program. The Equal Opportunity Office will notify the Director, Directorate of Civil Rights (DCR), Office of the Assistant Secretary for Administration and Management, U.S. Department of Labor. The Contractor shall post the attached "Equal Opportunity is the Law" notice prominently in reasonable numbers and places; shall disseminate the notice in internal memoranda and other written communications; shall include the notice in handbooks or manuals; make the notice available to each WIA participant and it should be made a part of the WIA participant's file. In the event that one of the parties hereto refuses to comply with the above provision, the Suspension and Termination clause (Section FF, pages 12, 13 and 14) may be utilized. W. PATENT RIGHTS The Agency retains the entire right, title and interest to each invention developed during the performance of Contract services. The Contractor may retain a nonexclusive royalty free license in each subject invention to which the Agency retains title. The license is transferable only with the approval of the Agency. The Agency shall receive prompt, written notice of each notice or claim of patent infringement received by the Contractor with respect to patents developed during its performance of Contract services. X. PAYMENT PARAMETERS It is understood and agreed by and between the Agency and the Contractor that the Contractor's payment is conditioned upon satisfactory performance and acceptance by the Agency. Y. PELL GRANTS If this Contract is WIA funded and involves participant training at institutions that are certified to participate in student financial aid, as appropriate the Contractor shall incorporate the use of Pell Grants to offset the costs of training, such as tuition, books, supplies, transportation, child care, miscellaneous expenses, and/or special costs for disabled participants. (Department of Labor Information Notice 25-89, dated April 9, 1990.) Z. PRICE WARRANT The Contractor warrants that the cost charged for services under the terms of this Contract are not in excess of those charged any other client for the same services performed by the same individuals. AA. RECORD RETENTION Revised May 2000 Contractor shall retain all books, records, documents and other material which reflect all direct and indirect costs of any nature expended in the performance of this Contract, including participant data for a period of three years after final payment under this Contract if WIA funded, or six years from termination of the Contract if non-WIA funded. Records shall be retained beyond the above referenced retention periods if litigation or audit is begun prior to the end of the period referenced above, or if a claim is instituted prior to the end of the period referenced above involving the Contract covered by the records. In these instances, the records will be retained until the litigation, claim or audit has been finally resolved. Records regarding discrimination complaints under WIA and actions taken thereunder shall be maintained for a period of not less than three years from the date of resolution of the complaint. BB. RIGHTS IN DATA Unless otherwise provided, data which originates from this Contract shall be "works for hire" as defined by the U.S. Copyright Act of 1976 and shall be owned by the Agency. Data shall include, but not be limited to, reports, documents, pamphlets, advertisements, books, magazines, surveys, studies, computer programs, films, tapes, and/or sound reproductions. Ownership includes the right to copyright, patent, register and the ability to transfer these rights. Data which is delivered under this Contract, but which does not originate therefrom, shall be transferred to the Agency with a nonexclusive royalty -free, irrevocable license to publish, translate, reproduce, deliver, perform, dispose of, and to authorize others to do so; provided, that such license shall be limited to the extent which the Contractor has a right to grant such a license. The Contractor shall exert all reasonable effort to advise the Agency, at the time of delivery of data furnished under this Contract, of all known or potential invasions of privacy contained therein and of any portion of such document which was not produced in the performance of this Contract. The Agency shall receive prompt written notice of each notice or claim of copyright infringement received by the Contractor with respect to any data delivered under this Contract. The Agency shall have the right to modify or remove any restrictive markings placed upon the data by the Contractor. CC. SAFEGUARDING OF CLIENT INFORMATION The use or disclosure by any party of any information concerning a program recipient or client for any purpose not directly connected with the administration of the Agency's or the Contractor's responsibilities with respect to contracted services provided under this Contract is prohibited except by written consent of the recipient or client, his/her attorney or his/her legally authorized representative. DD. SMALL MINORITY AND WOMEN -OWNED BUSINESS ENTERPRISES The Contractor shall provide to qualified small, minority and women -owned business enterprises the maximum practicable opportunity to participate in the performance of this Contract. EE. SUBCONTRACTING Revised May 2000 The Contractor shall not subcontract work or services contemplated under this Contract and/or use an outside consultant except as provided for in the statement of work without obtaining the prior written approval of the Agency for the authority to enter into _ subcontracts. Said approval shall not be unreasonably withheld. Contractor acknowledges that such approval for any subcontract does not relieve the Contractor of its obligations to perform hereunder. The Agency retains the authority to review and approve or disapprove all subcontracts. At the Agency's request, the Contractor will forward copies of subcontracts and fiscal, programmatic and other material pertaining to any and all subcontracts. For any proposed subcontractor the Contractor shall: Be responsible for Subcontractor compliance with these General Terms and Conditions and the subcontract terns and conditions; and Ensure that the Subcontractor follows the Agency's reporting formats and procedures as specified by the Agency. FF. SUSPENSION. TERMINATION AND REMEDIES In the event the Contractor fails to comply with the conditions of this Contract, the Agency at its discretion may either suspend or terminate the Contract as follows: 1. Suspension In the event the Agency determines that a breach of contract has occurred in the Contractor's compliance with the conditions of this Contract, and the situation is deemed by the Agency to merit corrective action, the following sequential suspension procedure will be implemented: a. The Agency will notify the Contractor in writing by registered mail to the Contractor's last known address with a return receipt to the Agency of a perceived compliance breach describing the Agency's concerns. b. The Contractor will respond to the Agency's concerns by letter describing proposed corrective actions and proposing completion dates for bringing the Contract into compliance. Such response will be sent by registered mail and delivered to the Agency within ten (10) calendar days of the date of receipt of the Agency's letter. C. The Agency will notify the Contractor in writing by registered mail to the Contractor's last known address with a return receipt to the Agency as to the Agency's final disposition of the Agency's concerns. d. Upon receipt of notice of final disposition by the Contractor, the Agency reserves the right to suspend all, or part of, the Contract, and to withhold further payments, or to prohibit the Contractor from incurring additional obligations of funds during investigation of the alleged compliance breach and pending corrective action, if necessary, by the Contractor or a decision by the Agency to terminate in accordance with paragraph FF(2) below. Revised May 2000 e. The Agency reserves the right to immediately undertake actions under SusMnsion I.d. above, when it has reason to believe that fraud, abuse, malfeasance, misfeasance or nonfeasance has occurred on the part of the Contractor underthis Contract. 2. Termination or Suspension for Cause In the event the Agency determines the Contractor has failed to comply with the conditions of this Contract in a timely manner, the Agency has the right to suspend or terminate this Contract. Before suspending or terminating, the Contract, the Agency shall notify the Contractor in writing of the need to take corrective action. If corrective action is not taken within 30 days, the Contract may be terminated or suspended. In the event of termination or suspension, the Contractor shall be liable for damages as authorized by law including, but not limited to, any cost difference between the original Contract and the replacement or cover Contract and all administrative costs directly related to the replacement Contract, e.g., cost of the competitive bidding, mailing, advertising, and staff time. The Agency reserves the right to suspend all or part of the Contract, withhold further payments, or prohibit the Contractor from incurring additional obligations of funds during investigation of the alleged compliance breach and pending corrective action by the Contractor or a decision by the Agency to terminate the Contract. A termination shall be deemed to be a "Termination for Convenience" if it is determined that the Contractor. (1) was not in default; or (2) failure to perform was outside of his or her control, fault or negligence. The rights and remedies of the Agency provided in this Contract are not exclusive and are addition to any other rights and remedies provided by law. 3. Termination for Funding¢ Reasons The Agency may unilaterally terminate this Contract in the event that funding from federal, state or other sources becomes no longer available to the Agency or is not allocated for the purpose of meeting the Agency's obligation hereunder. In the event funding is limited in any way, the Contract is subject to re -negotiation under any new funding limitations and conditions. Such action is effective upon receipt of written notification by the Contractor. 4. Termination for Convenience Either party may without cause, at any time during the term of this Contract, terminate the Contract by giving a thirty (30) calendar day written notice of its intention to terminate. If the party giving the termination notice does not withdraw the notice in writing, this Contract shall terminate upon expiration of the thirty (30) calendar day period. GG. TERMINATION PROCEDURE Upon termination of this Contract, the Agency, in addition to any other rights provided in this Contract, may require the Contractor to deliver to the Agency any property specifically produced or acquired for the performance of such part of this Contract as has been Revised May 2000 terminated. The provisions of the "TREATMENT OF ASSETS" clause shall apply in such property transfer. The Agency shall pay to the Contractor the agreed upon price, if separately stated, for - - completed work and services accepted by the Agency and the amount agreed upon by the Contractor and the Agency for (1) completed work and service(s) for which no separate price is stated; (2) partially completed work and services; and (3) other property or services which are accepted by the Agency; and (4) the protection and preservation of property, unless the termination is for default, in which case the Agent shall determine the extent of liability of the Agency. Failure to agree with such determination shall be a dispute within the meaning of the "Disputes" clause of this Contract. The Agency may withhold from any amounts due to the Contractor such sum as the Agent determines to be necessary to protect the Agency against potential loss or liability. The rights and remedies of the Agency provided in this section shall not be exclusive and are in addition to any other rights and remedies provided by law or under this Contract. After receipt of a notice of termination and except as otherwise directed by the Agent, the Contractor shall: 1. Stop work under the Contract on the date, and to the extent specified, in the notice; 2. Place no further orders or subcontracts for materials, services, or facilities except as may be necessary for completion of such portion of work under the Contract as is not terminated; Assign to the Agency, in the manner, at the times, and to the extent directed by the Agent, all of the rights, title, and interest of the Contractor under the orders and subcontracts so terminated, in which case the Agency has the right, at its discretion, to settle or pay any or all claims arising out of the termination of such orders and subcontracts. 4. Settle all outstanding liabilities and all claims arising out of such termination of orders and subcontracts, with the approval or ratification of the Agent to the extent the Agent may require, which approval or ratification shall be final for all purposes of this clause; 5. Transfer title to the Agency and deliver in the manner, at the times, and to the extent directed by the Agent any property which, if the Contract had been completed, would have been required to be furnished to the Agency-, 6. Complete performance of such part of the work as shall not have been terminated by the Agency-, and 7. Take such action as may be necessary, or as the Agent may direct, for the protection and preservation of the property related to this Contract which is in the possession of the Contractor and in which the Agency has or may acquire an interest. HH. TAXES Revised May 2000 It It is mutually agreed and understood that all payments accrued on account of payroll taxes, unemployment contributions, any other taxes, insurance or other expenses for the Contractor staff be the sole liability of the Contractor. II. TREATMENT OF ASSETS 1. Title to all property furnished by the Agency shall remain in the Agency. Title to all property purchased by the Contractor the cost of which the Contractor has been reimbursed as a direct item of cost under this Contract, shall pass to and vest in the Agency upon delivery of such property by the vendor. Unless the Agency specifically agrees to grant title in this Contract for asset(s) purchased, in that case only shall title pass to the Contractor. 2. Any property of the Agency furnished to the Contractor shall, .unless otherwise provided herein, or approved by the Program Manager in writing, be used only for the performance of this Contract. 3. Property will be returned to the Agency in like condition to that in which it was furnished to the Contractor, normal wear and tear excepted. The Contractor shall :.be responsible for any loss or damage to property of the Agency in the possession ofz the Contractor which results from the negligence of the Contractor or which results from the failure on the part of the Contractor to maintain said property in accordance with sound management practices. 4. If any Agency property is damaged or destroyed, the Contractor shall notify the Agency and shall take all reasonable steps to protect that property from further damage. 5. The Contractor shall surrender to the Agency all property of the Agency upon completion, termination or cancellation of this Contract. 6. All reference to the Contractor under this clause shall include any employees, agents or Subcontractors. JJ. USE OF NAME PROHIBITED The Contractor shall not in any way contract on behalf of or in the name of the Agency. Nor shall the Contractor release any informational pamphlets, notices, press releases, research reports, or similar public notices concerning this project without obtaining the prior written approval of the Agency. KK. WAIVER A failure by the Agency to exercise its rights shall not constitute a waiver of any rights under this Contract unless stated to be such in writing signed by an authorized representative of the Agency and attached to the original Contract. Revised May 2000 EQUAL OPPORTUNITY IS THE LAW This recipient is prohibited from discriminating on the grounds of race, color, religion, sex, national origin, age, disability, political affiliation or belief, and for beneficiaries only, citizenship or participation in programs funded under the Workforce Investment Act (WIA), in admission or access to, opportunity or treatment in, or employment in the administration of or in connection with, any WIA-funded program or activity. If you think that you have been subjected to discrimination under a WIA-funded program or activity, you may file a complaint within 180 days from the date of the alleged violation with the recipient's Equal Opportunity Officer (or, the person designated for this purpose), or you may file a complaint directly with the Director, Directorate of Civil Rights (DCR), U.S. Department of Labor, 200 Constitution Avenue NW, Room N-4123, Washington, D.C. 20210. If you elect to file your complaint with the recipient, you must wait until the recipient issues a decision or until 60 days have passed, whichever is sooner, before filing with DCR (see address above). If the recipient has not provided you with a written decision within 60 days of the filing of the complaint, you need not wait for a decision to be issued, but may file a complaint with DCR within 30 days of the expiration of the 60 -day period. If you are dissatisfied with the recipient's resolution of your complaint, you may file a complaint with DCR. Such complaint must be filed within 30 days of the date you received notice of the recipient's proposed resolution. Revised May 2000