ÿWPC 0‘˜ê0mÕëkh× ¿Áß=ï¦CË‚pÈ?AL˜¸ñ»&lx¸_X®Ü£Á6ýL²áËþ5G®`ŽdãFÝý—úÁÉÆœAbŒ*¤Í1C> Œð{C:÷'†¼Þo[ýŠI!èªÏ)`Š¿rð>De'VóTž³0Ø{ÿÂà €d}+Ýãò†ßÇðùà•Ñê8s³*.%Žâ „ y‘ÖøT±Æ¦+Kf‚¶_ö˜1¥h!°Î<ü:‘‚×®Kn±#i~(ÚIˆ<ñìÓK18ņ'^8—¥oênÅx(Ü“ÙâßÎ×(Ê¥¡¢éŸ©â®§ƒ ,ü@|¾pŽ ¶tjÒú‰mýú`ãÿ(HDYO0ˆ»MÚûcdfºÓNÀÈŠðÌÔÛò§ ´¯Ï€(tñyÿCa4“I«–½ °?«kè!#@§ô ¢UµñÚÞ_XÑ@kLg7g]e÷¶9º©ômØñ|à¢)SuEf…€m!D›Ò5Å´M–U >š 0GØU9* 0"I 0<d 0<  0Ü 0ó 1Y s { 0~‹ #! UN* %xN~^ €w@Œ4Ìà mâ 1uù 0cnnbÑU:Ùô\  `&Times New Roman6~…ÿÿ4Heading 1Ñ  ÑÓ  ÓÔ€&&&ÔÔ?€%ä2¼A`Arial?Ôò òÔ  ÔÔ  ÔÑ  ÑÓ  ÓÔ€XXXÔÔS€ô\  `&Times New RomanSÔó ó%ä2¼A`Arial6hoÿÿ4Heading 7Ô€&&&ÔÔ?€%ä2¼A`Arial?Ôò òÔ  ÔÔ  ÔÔ€XXXÔÔS€ô\  `&Times New RomanSÔó ó<ÿÿ:Default Para<ÿÿ:Footnote Ref6fzÿÿ4Body TextÓ  ÓÔ€XXXÔÔ?€%ä2¼A`Arial?Ôò òÓ  ÓÔ€XXXÔÔS€ô\  `&Times New RomanSÔó ó<dxÿÿ:Body Text InÓ ¨ý ÓÔ€&&&ÔÔ?€%ä2¼A`Arial?ÔÓ  ÓÔ€XXXÔÔS€ô\  `&Times New RomanSÔ'    0 .  ¦ADMINISTRATIVE REGULATIONS FOR RECIPIENTS OF GRANTS AND COOPERATIVE AGREEMENTS$ÿÿ35=AEIMQU1(1)1111111 #|x (VîJ$¡¡Ñ  ÑÓ  ÓÔ€XBXXXÔÔ€X½ôXXXBÔ˜HP LJ 8000 PCL 6ÈÈÈÈÈÈÈÈ0(ÖÃ9 Z‹6Times New Roman RegularX}p–,c HUUËE P P P E PÀz/,G+“³Corel ÿU‹ÿÀÀÀ3#37=CIQYag­­1.a.i.(1)(a)(i)1)a)(;3£$´´Ô2#ÔÚ  Ú0Ú  Ú.Ô3  Ôà0  à- ù-"Arial RegularÝ ƒîJ!ÝÑ  ÑÓ  ÓÔ€XÖ XXXÔÔ€XÖ XXXÖ ÔÝ  ÝÔ_ÔÝ‚ÿÿÿÝÓ  ÓÔ€XÖ XXXÖ ÔÔ€X(XXXÖ Ôò òÝ  ÝÑ€ÑÑ8€È–%%dÔdÈ8ÑÑ  ÑÝ‚ÿÿÿÝÝ  ÝÑ  ÑÔ€¼aÇ»XX(ÔÔ_ÔADMINISTRATIVE€REGULATIONS€FOR€RECIPIENTS€OF€GRANTS€ANDÐ ° ÐCOOPERATIVE€AGREEMENTSÔ€&È–%»¼aÇÔ݃ÿÿ=ÝŒÐ Ä ÐŒÓ  ÓÔ€X(X%&È–ÔÔ€XÖ XXX(Ôó óÝ  ÝÔ€&ªª%XXÖ ÔÔ€&È–%%&ªªÔò òÌÝ‚ÿÿÿÝÑ  ÑÓ  ÓÔ€&È–%%&È–ÔÔ€&È–%%&È–ÔòŒòÔ  ÔÝ  ÝÝ‚ÿÿÿàÝÝ  ÝóŒóPre„Award,€Reporting,€Payment,€Monitoring,€Modification,݃ÿÿàaÝÔ IԌР´ ÐŒÑ  ÑÓ  ÓÔ€&È–%%&È–ÔÔ€&È–%%&È–Ôó óÝ  Ýà@»»ìàò òEnforcement,€and€Terminationó óˆÐ à ÐÌÓ-°,X°„,–Xÿÿ°œX-ÓÌò òA.€€INTRODUCTIONó óÐ  d ÐÌWith€the€conversion€to€the€Automated€Standard€Application€for€Payment€(ASAP)€system,Ïrecipients€will€be€able€to€automatically€request€payments€without€prior€review€and€approval€ofÏthe€Grant€and€Cooperative€Agreement€Officer€(GCAO)€or€Grant€and€Cooperative€AgreementÏOfficerððs€Representative€(GCAOR).€€Without€the€built€in€check€and€balance€of€oversight€beforeÏpayment,€risks€may€increase;€and€therefore,€it€is€increasingly€important€to€understand€andÏproperly€apply€the€regulations€governing€award€and€administration€of€financial€assistanceÏagreements.ÌÌThe€following€information€summarizes€some€of€the€regulations€that€will€take€on€increasedÏsignificance€as€Reclamation€converts€to€ASAP;€however,€GCAOs€and€GCAORs€areÏencouraged€to€refer€to€the€specific€regulatory€references€listed€below€for€more€detailedÏinformation.Ìò òÌB.€€REGULATIONSÌó óÌThe€primary€regulations€governing€administration€of€grants€and€cooperative€agreements€for€theÏDepartment€of€Interior€are€found€at:ÌÌññÓ XÓñññ ñà Ü àñ ñ(1)€€43€CFR€12ð"ðAdministrative€and€Audit€Requirements€and€Cost€Principles€for€AssistanceÏPrograms.€€ÌÌñ ñà Ü àñ ñSubpart€C€(Common€Rule),€Sections€12.41€through€12.92,€includes€the€€administrativeÏrequirements€applicable€to€State,€local,€and€Indian€Tribal€governments.€€ÌÌñ ñà Ü àñ ñSubpartF€(OMB€Circular€A„110),€Sections€12.901€through€12.973,€includes€theÏadministrative€requirements€for€institutions€of€higher€education,€hospitals,€non„profitÏorganizations,€and€all€other€types€of€recipients.€€ÌÌThese€regulations€are€included€as€Attachment€A€to€this€document.€€ÌññÓ XÓññÌñ ñÓ XÓñ ññ ñà Ü àñ ñ(2)€€OMB€Circular€A„102ð"ðGrants€and€Cooperative€Agreements€with€State€and€LocalÏGovernments,€contains€additional€administrative€regulations€for€Federal€agencies€and€isÏincorporated€by€reference€in€43€CFR€12.€€These€regulations€are€included€as€Attachment€B€toÏthis€document.Ìñ ñÓ XÓñ ñÌThese€regulations€establish€uniform€rules€for€the€award€and€administration€of€financialÏassistance€agreements€(grants€and€cooperative€agreements).€€In€accordance€withÏ43CFR12.5,€only€OMB€can€grant€exceptions€from€these€requirements.€€These€regulations,€asÏwell€as€regulations€governing€applicable€cost€principles€and€audit€requirements,€areÏincorporated€by€reference€in€the€General€Provisions€included€in€all€financial€assistanceÏagreements€awarded€by€the€Bureau€of€Reclamation.ññÐ ô-D)1 Ðññ‡ÌThese€regulations€serve€two€primary€purposes.€€First,€these€regulations€are€intended€to€assistÏFederal€agencies€in€the€proper€and€consistent€administration€of€agreements€and€to€insure€thatÏFederal€agencies€undertake€their€responsibility€for€stewardship€of€Federal€funds€awardedÏthrough€these€agreements.€€Second,€by€acceptance€of€the€award€of€a€financial€assistanceÏagreement,€the€recipient€agrees€to€comply€with€the€above€regulations€and€has€responsibility€forÏconducting€the€project€in€accordance€with€the€terms€and€conditions€of€the€award.€€If€a€recipientÏfails€to€comply€with€the€legal€requirements€of€the€award,€it€subjects€itself€to€possible€suspensionÏor€termination€of€the€agreement,€and€jeopardizes€its€ability€to€obtain€future€financial€assistanceÏagreements.ÌÌA€detailed€list€of€all€regulations€and€guidance€applicable€to€the€award€and€administration€ofÏfinancial€assistance€agreements€may€be€found€in€the€Reclamation€Financial€AssistanceÏHandbook,€Section€IV.ÌÌThe€following€sections€summarize€some€of€the€administrative€regulations€which€will€take€onÏincreased€significance€with€conversion€to€ASAP.ÌÌÌÝ‚ÿÿÿÝÔ€&È–%%&È–ÔÔ€&È–%%&È–Ôò òÔ  ÔÝ  ÝÝ‚ÿÿÿ(ÝÝ  ÝC.€€PREAWARD€REGULATIONS€AND€ADMINISTRATION€Ýƒÿÿ(‘ÝÔ yԌРl¼ ЌԀ&È–%%&È–ÔÔ€&È–%%&È–Ôó óÝ  Ýò òà Ü àó óÌFor€a€recipient€to€be€eligible€for€award€of€a€financial€assistance€agreement,€the€GCAO€must€beÏable€to€determine€that€the€recipient€has€adequate€financial€and€business€management€systems,Ïis€responsible,€and€not€otherwise€ineligible€for€award.€€This€determination€is€based€on€a€reviewÏof€the€following€areas.Ìò òÌÝ‚ÿÿÿÝÔ€&È–%%&È–ÔÔ€&È–%%&È–ÔòŒòÔ  ÔÝ  ÝÝ‚ÿÿÿ³ÝÝ  Ýà Ü àC.1€€Financial€Management€Systems݃ÿÿ³ÝÔ ÔŒÐ H˜ ЌԀ&È–%%&È–ÔÔ€&È–%%&È–ÔóŒóÝ  Ýó óÔB  Ôò òÔ  ÔPROCEDURES€AND€PROCEDURAL€CHANGESŽÔ ÔÔC  Ôó óÌà0 Ü àThe€recipient€must€be€able€to€demonstrate€that€it€has€financial€management€systems€whichÏcomply€with€either€43CFR€12.60€or€43€CFR€12.921,€as€applicable.€€Financial€managementÏsystems€are€considered€to€include€financial€reporting€activities,€accounting€records,€internalÏcontrol€procedures,€budget€controls,€compliance€with€OMB€cost€principles€for€determiningÏallowable€costs,€adequate€source€documentation,€and€cash€management€procedures€toÏassure€compliance€with€applicable€payment€regulations.Ð Ü(#Ü(# ÐÌà0 Ü àVerification€of€the€adequacy€of€these€systems€can€be€accomplished€through€on„siteÏsurveys,€recipient€self„certification,€or€a€combination€of€these€procedures,€as€the€GCAOÏdetermines€appropriate€for€the€particular€agreement€and€recipient.€€This€determination€mustÏtake€into€consideration€the€amount€of€the€award,€past€performance€of€the€recipient,€andÏwhether€the€recipient€has€previously€been€determined€to€be€in€compliance€within€the€pastÏtwo€years.Ð Ü(#Ü(# ÐÌÝ‚ÿÿÿÝÔ€&È–%%&È–ÔÔ€&È–%%&È–Ôò òÔ  ÔÝ  ÝÝ‚ÿÿÿLÝÝ  Ýà Ü àC.2€€Business€Management€Systems݃ÿÿLµÝÔ ÔŒÐ 'à"* ЌԀ&È–%%&È–ÔÔ€&È–%%&È–Ôó óÝ  ÝÌà0 Ü àIn€addition€to€the€requirement€for€adequate€financial€management€systems,€the€recipientÏmust€have€business€management€systems€and€capabilities€that€will€assure€compliance€withÏâ âthe€regulations€contained€in€the€agreement.€€These€include€adequate€travel,€audit,Ð è*8&. Ðprocurement,€and€property€management€regulations€that€comply€with€requirements€of€43ÏCFR€12;€and€personnel€policies€and€directives€to€insure€compliance€with€Federal€statutes.€Ð Ü(#Ü(# Ðâ âÌÝ‚ÿÿÿÝÔ€&È–%%&È–ÔÔ€&È–%%&È–Ôò òÔ  ÔÝ  ÝÝ‚ÿÿÿŠÝÝ  ÝÔ& X Ôà Ü àC.3€€Other€Areas€of€Responsibility݃ÿÿŠóÝÔ ÛԌР,| ЌԀ&È–%%&È–ÔÔ€&È–%%&È–Ôó óÝ  ÝÌà0 Ü àAdditionally,€to€be€considered€eligible€for€award€of€an€agreement,€a€recipient€must€haveÏadequate€financial€resources€commensurate€with€the€project€requirements,€a€satisfactoryÔ'X,ÔÏhistory€of€past€performance,€acceptable€prior€audit€reports,€and€not€be€included€on€theÏcurrent€List€of€Parties€Excluded€From€Federal€Procurement€and€Nonprocurement€Programs.Ð Ü(#Ü(# ÐÌÝ‚ÿÿÿÝÔ€&È–%%&È–ÔÔ€&È–%%&È–Ôò òÔ  ÔÝ  ÝÝ‚ÿÿÿn!ÝÝ  Ýà Ü àC.4€€High€Risk€Recipients݃ÿÿn!×!ÝÔ ¿!ԌР P  ЌԀ&È–%%&È–ÔÔ€&È–%%&È–Ôó óÝ  ÝÌà0 Ü àDuring€the€review€of€recipient€responsibility,€information€may€be€discovered€that€wouldÏidentify€the€recipient€as€being€a€ð ðhigh€riskðð€in€accordance€with€43€CFR€12.52€orÏ43CFR12.914,€as€applicable.€€Recipients€may€be€considered€ð ðhigh€riskðð€if€they€(1)€have€aÏhistory€of€poor€performance,€(2)€are€not€financially€stable,€(3)€do€not€have€financial€andÏmanagement€systems€that€meet€the€standards€in€43€CFR€12.60€or€43€CFR€12.921,€asÏapplicable,€(4)€have€not€complied€with€the€terms€and€conditions€of€previous€awards,€(5)€lackÏrelevant€experience,€(6)€have€had€large€cost€disallowances€on€previous€awards,€or€(7)€areÏnot€otherwise€determined€responsible.€€These€verifications€and€determinations€becomeÏextremely€important€with€the€change€to€offering€payment€through€the€ASAP€system.€€If€aÏrecipient€is€considered€ð ðhigh€risk,ðð€it€may€be€necessary€to€place€restrictions€on€its€use€of€theÏASAP€system€to€request€payment.Ð Ü(#Ü(# ÐÌà0 Ü àIf€it€is€determined€that€an€award€will€be€made€to€a€ð ðhigh€riskðð€recipient,€special€awardÏrestrictions€and€conditions,€corresponding€to€the€risk€condition,€shall€be€included€in€theÏaward.€€These€conditions€and/or€restrictions€may€include€(1)€payment€on€a€reimbursementÏbasis,€(2)€withholding€approval€to€proceed€to€the€next€phase€of€a€project,€(3)€requiringÏadditional,€more€detailed€financial€reports,€(4)€conducting€additional€project€monitoring,€(5)Ïrequiring€the€recipient€to€obtain€technical€or€management€assistance,€and€(6)€establishingÏadditional€prior€approvals.Ð Ü(#Ü(# ÐÌà0 Ü àThese€restrictions€and/or€conditions€must€be€communicated€to€the€recipient€in€writing€andÏshall€state€(1)€the€nature€of€the€condition/restriction,€(2)€the€reason(s)€for€imposing€them,€(3)Ïthe€corrective€actions€to€be€taken€before€the€condition/restriction€will€be€removed,€(4)€theÏtime€allowed€for€completing€the€corrective€action,€and€(5)€the€method€for€requestingÏreconsideration€of€the€conditions/restrictions.€€The€corrective€condition/restrictions€shall€beÏpromptly€removed€when€the€conditions€that€caused€them€to€be€imposed€have€beenÏcorrected.Ð Ü(#Ü(# ÐÌÌÝ‚ÿÿÿÝÔ€&È–%%&È–ÔÔ€&È–%%&È–Ôò òÔ  ÔÝ  ÝÝ‚ÿÿÿ+ÝÝ  ÝD.€€POST„AWARD€REGULATIONS€AND€ADMINISTRATION݃ÿÿ+‡+ÝÔ o+ԌР´&") ЌԀ&È–%%&È–ÔÔ€&È–%%&È–Ôó óÝ  ÝÌAfter€award€of€a€financial€assistance€agreement,€both€the€GCAO€and€GCAOR€have€continuingÏFederal€stewardship€responsibilities€to€insure€that€the€recipient€is€completing€the€agreement€inÏaccordance€with€the€terms€and€conditions€of€the€award.€€Primary€responsibilities€include€theÏfollowing€areas.ÌÐ ´+'/ ÐÔ& X ÔÝ‚ÿÿÿÝÔ€&È–%%&È–ÔÔ€&È–%%&È–Ôò òÔ  ÔÝ  Ýà Ü àÝ‚ÿÿÿ¨-ÝÝ  ÝD.1€€Reporting€Requirements݃ÿÿ¨-.ÝÔ ù-ԌР° ЌԀ&È–%%&È–ÔÔ€&È–%%&È–Ôó óÝ  ÝÌà0 Ü àDuring€development€of€the€agreement,€the€GCAO€and€GCAOR€should€consult€to€insure€thatÏreporting€requirements€are€included€in€the€agreement€document€which€will€provide€forÔ'X°œ-ÔÏperformance€and€financial€reporting€and€monitoring€commensurate€with€the€complexity€ofÏthe€agreement,€degree€of€project€risk,€and€prior€experience€with€the€recipient.€€If€a€recipientÏfails€to€submit€reports€in€a€timely€manner,€actions€shall€be€taken€to€enforce€compliance€withÏthe€terms€and€conditions€of€the€agreement.€€Recipients€are€required€to€submit€the€followingÏtypes€of€reports.Ð Ü(#Ü(# ÐÌÝ‚ÿÿÿÝÔ€&È–%%&È–ÔÔ€&È–%%&È–Ôò òÔ  ÔÝ  Ýà Ü àà  àÝ‚ÿÿÿG1ÝÝ  ÝD.1.a.€€Program€Performance€Reports݃ÿÿG1È1ÝÔ ˜1ԌР P  ЌԀ&È–%%&È–ÔÔ€&È–%%&È–Ôó óÝ  ÝÌà0 Ü àà0Ü(#Ü(#àIn€accordance€with€43€CFR€12.80(b)€and€43€CFR€12.951(b),€recipients€are€required€toÏsubmit€performance€reports€at€least€annually,€but€no€more€frequently€than€on€a€quarterlyÏbasis.€€Interim€performance€reports€provide€information€on€the€progress€achieved€on€theÏagreement€and€help€to€identify€programmatic€and€administrative€problems€requiringÏresolution.€€Ð (#(# ÐÌà0 Ü àà0Ü(#Ü(#àQuarterly€reports€are€to€be€limited€to€brief€information€on€(1)€a€comparison€of€actualÏaccomplishments€to€the€objectives€established€for€the€reporting€period,€(2)€reasons€forÏslippage€if€objectives€were€not€met,€and€(3)€when€appropriate,€pertinent€information€onÏcost€overruns€or€high€unit€costs.Ð (#(# ÐÌà0 Ü àà0Ü(#Ü(#àAnnual€reports€are€due€no€later€than€90€days€following€the€end€of€the€agreement€year,Ïand€quarterly€or€semi„annul€reports€are€due€no€later€than€30€days€after€the€end€of€theÏreporting€period.€€The€final€performance€report€shall€be€due€no€later€than€90€days€afterÏexpiration€or€termination€of€the€agreement.Ð (#(# ÐÌà0 Ü àà0Ü(#Ü(#àFor€States,€local,€and€Indian€tribal€governments,€43€CFR€12.80(c)€specifically€suggestsÏreliance€on€on„site€technical€inspections€and€certified€percentage„of„completion€data€toÏmonitor€the€progress€of€construction€agreements.€€Additionally,€more€formal€constructionÏperformance€reports€are€to€be€required€only€when€considered€necessary€and€neverÏmore€frequently€than€quarterly.€€Ð (#(# ÐÌà0 Ü àà0Ü(#Ü(#àFor€institutions€of€higher€education,€non„profit€organizations,€and€other€recipients€notÏincluded€under€43€CFR€12,€Subpart€C,€it€is€stated€that€site€visits€may€be€made€asÏnecessary€in€accordance€with€43€CFR€12.951(g).Ð (#(# ÐÌÝ‚ÿÿÿÝÔ€&È–%%&È–ÔÔ€&È–%%&È–Ôò òÔ  ÔÝ  ÝÝ‚ÿÿÿ¿9ÝÝ  Ýà Ü àà  àD.1.b.€€Significant€Developments݃ÿÿ¿9(:ÝÔ :ԌР8$ˆ& ЌԀ&È–%%&È–ÔÔ€&È–%%&È–Ôó óÝ  ÝÌà0 Ü àà0Ü(#Ü(#àIn€accordance€with€43€CFR€12.80(d)€or€43€CFR€12.951(f),€as€applicable,€during€theÏperformance€period€recipients€must€immediately€notify€Reclamation€if€any€of€theÏfollowing€conditions€become€known,€(1)€problems,€delays,€or€adverse€conditions€whichÏwill€materially€impair€their€ability€to€meet€objectives€of€the€award,€or€(2)€favorableÏdevelopments€which€enable€the€recipient€to€meet€time€schedules€and€objectives€soonerÏthan€or€at€less€cost€than€projected€or€to€produce€more€beneficial€results€than€originallyÏplanned.€€This€notification€is€to€include€information€on€the€actions€taken€or€contemplatedÏto€resolve€the€condition€and€any€assistance€needed€to€resolve€the€problem.д+'/(#(# ЇÔ& , ÔÝ‚ÿÿÿÝÔ€&È–%%&È–ÔÔ€&È–%%&È–Ôò òÔ  ÔÝ  Ýà Ü àà  àÝ‚ÿÿÿù=ÝÝ  ÝD.1.c.€€Financial€Reporting݃ÿÿù=z>ÝÔ J>ԌР° ЌԀ&È–%%&È–ÔÔ€&È–%%&È–Ôó óÝ  ÝÌà0 Ü àà0Ü(#Ü(#àIn€accordance€with€43€CFR€12.81€or€43€CFR€12.952,€as€applicable,€recipients€areÏrequired€to€submit€several€types€of€financial€reports.€€The€primary€reports€are€as€follows,ÏÔ',°í=Ôhowever,€GCAOs€and€GCAORs€should€review€the€applicable€regulations€for€moreÏdetailed€information€on€these€and€other€reports.Ð (#(# ÐÌà0 Ü àà0Ü(#Ü(#àà04(#(#à(1)€€SF„269€or€SF„269A€ð!ð€Financial€Status€Report.€€This€report€is€for€non„¼construction€agreements€and€is€not€to€be€required€more€frequently€than€once€perÏquarter,€but€at€least€annually.€€The€requirement€for€submission€of€this€report€may€beÏwaived€when€the€SF„270€or€SF„272€are€required€and€provide€adequate€information.€ÏA€final€SF„269€or€SF„269a€is€required€at€completion€of€the€agreement.€€The€SF„269Ïmust€be€used€by€the€recipient€when€the€agreement€has€program€income.Ð 4(#4(# ÐÌà0 Ü àà0Ü(#Ü(#àà04(#(#à(2)€€SF„272€ð!ð€Report€of€Federal€Cash€Transactions.€€This€report€must€be€submittedÏat€least€quarterly€by€recipients€who€draw€down€cash€advances€either€by€TreasuryÏcheck€or€by€electronic€funds€transfer.€€When€recipients€receive€$1,000,000€or€moreÏannually€in€cash€advances,€the€report€may€be€required€on€a€monthly€basis.Ð 4(#4(# ÐÌà0 Ü àà0Ü(#Ü(#àà04(#(#à(3)€€SF„270€ð!ð€Request€for€Advance€or€Reimbursement.€€This€report€may€not€beÏrequired€more€frequently€than€on€a€quarterly€basis.€€This€report€will€not€be€requiredÏfor€recipients€who€utilize€the€ASAP€payment€system.Ð 4(#4(# ÐÌà0 Ü àà0Ü(#Ü(#àà04(#(#à(4)€SF„271€ð!ð€Outlay€Report€and€Request€for€Reimbursement€for€ConstructionÏPrograms.€€This€report€may€not€be€required€more€frequently€than€on€a€quarterlyÏbasis,€but€must€be€received€at€least€annually.€€This€report€is€used€for€grants€thatÏsupport€construction€activities€paid€by€reimbursement€method,€letter€of€credit,Ïelectronic€funds€transfer,€or€Treasury€check€advance,€except€where€the€advance€isÏbased€on€periodic€requests€from€the€recipient,€in€which€case€the€SF„270€is€used.Ð 4(#4(# ÐÌà0 Ü àà0Ü(#Ü(#àReclamation€may€waive€certain€requirements€for€the€above€reports€in€accordance€withÏ43€CFR€12.81(a)(6)€or€43€CFR€12.952(a)(1)(I),€as€applicable.Ð (#(# ÐÌÝ‚ÿÿÿÝÔ€&È–%%&È–ÔÔ€&È–%%&È–Ôò òÔ  ÔÝ  ÝÝ‚ÿÿÿHÝÝ  Ýà Ü àà  àD.1.d.€€Other€Reports݃ÿÿHêHÝÔ ÒHԌР \! ЌԀ&È–%%&È–ÔÔ€&È–%%&È–Ôó óÝ  ÝÌà0 Ü àà0Ü(#Ü(#àDepending€on€the€agreement,€other€reports€such€as€an€inventory€of€federally„ownedÏequipment,€invention€disclosure€reports,€and€other€reports€required€by€legislation€mayÏbe€required€on€an€annual€basis€or€at€the€end€of€the€agreement.Ð (#(# ÐÌà Ü àò òD.2.€€Paymentó óÐ  %\ ' ÐÌà0 Ü àBy€accepting€the€award€of€a€financial€assistance€agreement,€the€recipient€organizationÏassumes€the€legal€responsibility€to€utilize€Federal€funding€in€accordance€with€the€terms€andÏconditions€of€the€agreement.€€The€terms€and€conditions€include€the€regulations€applicable€toÏpayments€made€to€recipients€which€are€found€at€43€CFR€12.61€or€12.922,€as€applicable.Ð Ü(#Ü(# ÐÌà0 Ü àThese€regulations€state€that€recipients€shall€be€paid€in€advance,€provided€they€maintain€orÏdemonstrate€the€willingness€and€ability€to€(1)€maintain€procedures€to€minimize€the€timeÐ ´+'/ Ðelapsing€between€the€transfer€of€the€funds€and€their€disbursement€by€the€recipient,€and€(2)Ïhave€financial€management€systems€that€meet€the€standards€for€fund€control€andÏaccountability€as€established€in€43€CFR€12.60€or€43€CFR€12.921,€as€applicable.Ð Ü(#Ü(# ÐÌà0 Ü àAdvances€shall€be€limited€to€the€minimum€amounts€needed€and€shall€be€timed€to€be€inÏaccordance€with€the€actual,€immediate€cash€required€by€the€recipient€to€carry€out€theÏpurpose€of€the€agreement.€€ò òReclamation€may€not,€under€any€circumstance,€agree€toÐ ¨ ø Ðallow€recipients€to€request€advances€in€excess€of€their€immediate€cash€requirementsÏunless€otherwise€authorized€by€statute.ó óÐ` °Ü(#Ü(# ÐÌà0 Ü àThe€reimbursement€method€of€payment€is€preferred€when€the€recipient€cannot€meet€theÏabove€requirements€for€advance€payment.€€This€method€is€also€preferred€for€payment€onÏagreements€involving€construction€in€accordance€with€43€CFR€12.60(a)€orÏ43CFR12.921(e),€as€applicable.Ð Ü(#Ü(# ÐÌà0 Ü àIn€accordance€with€43€CFR€12.61(g)(1)€„€(3)€or€43€CFR€12.922(h)(1)€„€(2),€as€applicable,Ïunless€otherwise€required€by€statute,€payment€may€not€be€withheld€for€proper€chargesÏincurred€under€the€agreement€unless€the€recipient€has€failed€to€comply€with€the€projectÏobjectives,€terms€and€conditions€of€the€award,€Federal€reporting€requirements,€or€theÏrecipient€is€indebted€to€the€United€States€as€defined€by€OMB€Circular€A„129,€ð ðManagingÏFederal€Credit€Programs.ðð€€Funding€withheld€from€the€recipient€for€failure€to€comply€withÏconditions€of€the€agreement,€but€without€suspension€of€the€agreement,€shall€be€released€toÏthe€recipient€upon€subsequent€compliance.Ð Ü(#Ü(# ÐÌà0 Ü àSee€43€CFR€12.61(e)€or€43€CFR€12.922(f),€as€applicable,€for€conditions€under€whichÏReclamation€may€provide€recipients€with€working€capital€advances.Ð Ü(#Ü(# ÐÌà Ü àò òÔ& X ÔD.3.€€Monitoringó óÐ $t ÐÌà0 Ü àIn€accordance€with€43€CFR€12.80€or€12.951,€as€applicable,€recipients€are€responsible€forÏmanaging€and€monitoring€the€day„to„day€operations€of€their€awards,€including€submission€ofÔ'X$ùTÔÏthe€above„described€reports.€€GCAOs€and€GCAORs€are€responsible€for€working€togetherÏto:€Ð Ü(#Ü(# ÐÌà0 Ü àà0Ü(#Ü(#à(1)€Monitor€recipient€performance€and€progress,€Ð (#(# ÐÌà0 Ü àà0Ü(#Ü(#à(2)€Watch€for€project€changes€that€may€require€administrative€action,€Ð (#(# ÐÌà0 Ü àà0Ü(#Ü(#à(3)€Insure€timely€submission€of€financial€and€performance€reports,€Ð (#(# ÐÌà0 Ü àà0Ü(#Ü(#à(4)€Receive€and€review€audit€reports,€Ð (#(# ÐÌà0 Ü àà0Ü(#Ü(#à(5)€Monitor€compliance€with€the€terms€and€conditions€of€the€award,€Ð (#(# ÐÌà0 Ü àà0Ü(#Ü(#à(6)€Review€restrictions€and€conditions€placed€on€ð ðhigh€riskðð€recipients,€andÐ (#(# ÐÌà0 Ü àà0Ü(#Ü(#à(7)€Identify€potential€deficiencies€that€may€be€corrected€by€providing€technical€assistanceÏto€the€recipient.ññм+ '/(#(# Ðññ‡Ìà0 Ü àIn€order€to€fulfill€their€Federal€stewardship€responsibilities,€GCAOs€and€GCAORs€mustÏcommunicate€regularly€throughout€the€term€of€the€agreement€to€insure€compliance€and€toÏimmediately€address€noted€deficiencies.€€File€documentation€must€be€created€to€recordÏnoted€deficiencies€and€actions€taken€or€recommended€to€correct€these€problems.Ð Ü(#Ü(# ÐÌÔ& X Ôà Ü àò òD.4.€€Modificationsó óÐ ¨ ø ÐÌà0 Ü àDuring€the€term€of€the€agreement,€certain€events€may€occur€that€will€require€a€modificationÏto€the€agreement.€€All€modifications€must€be€in€writing,€using€Reclamation€FormÔ'X¨ b[ÔÏ7-2278(02-02),€and€be€signed€by€the€GCAO.€€Prior€to€awarding€any€modification€to€anÏagreement€that€will€extend€its€term€or€increase€funding,€the€GCAO€must€be€able€toÏdetermine€that€the€recipient€is€substantially€in€compliance€with€the€terms€and€conditions€ofÏthe€agreement.€€Upon€execution€of€the€modification,€the€GCAO€shall€immediately€forwardÏone€copy€to€the€Financial€Accounting€Division€(FAD),€Attention:€D„7734.Ð Ü(#Ü(# ÐÌà0 Ü àà0Ü(#Ü(#àò òD.4.a.€€Unilateral€Modificationsó ó€ÐøH (#(# ÐÌà0 Ü àà0Ü(#Ü(#àUnilateral€modifications€may€be€used€to€deal€with€administrative€matters€such€as:Ð (#(# ÐÌà Ü àà  àà0 4 à(1)€To€change€the€address,€the€GCAO,€or€the€GCAOR;Ð 4(#4(# ÐÌà0 Ü àà0Ü(#Ü(#àà04(#(#à(2)€To€approve€no„cost€time€extensions€which€have€been€requested€by€the€recipientÏand€approved€by€the€GCAOR;Ð 4(#4(# ÐÌà0 Ü àà0Ü(#Ü(#àà04(#(#à(3)€To€add€previously€agreed€upon€funding€during€the€current€year€of€the€agreement;€Ð 4(#4(# ÐÌà0 Ü àà0Ü(#Ü(#àà04(#(#à(4)€To€deobligate€excess€funds€at€the€end€of€the€agreement€after€the€recipient€hasÏsubmitted€its€final€payment€request,€orÐ 4(#4(# ÐÌà0 Ü àà0Ü(#Ü(#àà04(#(#à(5)€To€suspend€or€terminate€the€agreement€in€accordance€with€43€CFR€12.83€orÏ43CFR12.961,€as€applicable.Ð 4(#4(# ÐÌÔ&  Ôà0 Ü àà0Ü(#Ü(#àò òD.4.b.€€Bilateral€Modificationsó óÐ d!(#(# ÐÌà0 Ü àà0Ü(#Ü(#àA€bilateral€modification€shall€be€used€to€document€all€other€changes€to€the€agreementÏsuch€as:Ð (#(# ÐÌÔ' _bÔà0 Ü àà0Ü(#Ü(#àà04(#(#à(1)€Changes€to€the€Principal€Investigator,Ð 4(#4(# ÐÌà0 Ü àà0Ü(#Ü(#àà04(#(#à(2)€Change€of€recipient€institution,Ð 4(#4(# ÐÌà0 Ü àà0Ü(#Ü(#àà04(#(#à(3)€Project€extensions€which€require€additional€funding,€Ð 4(#4(# ÐÌà0 Ü àà0Ü(#Ü(#àà04(#(#à(4)€Certain€budget€or€programmatic€changes€which€require€agency€approval€inÏaccordance€with€43€CFR€12.70€or€43€CFR€12.925,€as€applicable,€orÐ 4(#4(# Ðâ âÐ à*0&. Ðà0 Ü àà0Ü(#Ü(#àà04(#(#à(5)€Agency€notifications€of€funding€reduction.€€OMB€Circular€A„102,€paragraph€1.e.,Ïâ âprohibits€Federal€agencies€from€reducing€funding€in€periods€prior€to€when€the€noticeÏof€funding€reduction€is€given.Ð 4(#4(# Ðà Ü àà  àà 4 àÌññÔ& , Ôññà Ü àò òD.5.€€Enforcementó óÐ P ÐÌà0 Ü àDuring€the€term€of€the€agreement,€GCAOs€and€GCAORs€may€observe€through€theirÏmonitoring€actions€various€situations€which€are€not€in€accordance€with€the€terms€andÏññÔ', gÔññconditions€of€the€agreement.€€These€deficiencies€may€include€failure€to€submit€reports€onÏtime,€failure€to€make€progress€toward€completion€of€the€project€in€accordance€with€the€termsÏand€conditions€of€award,€improper€or€excessive€requests€for€advance€payments,€improperÏor€unauthorized€costs€charged€to€the€agreement,€and€non„compliance€with€FederalÏregulations€on€lobbying,€drug„free€workplace,€and€others€stated€in€the€Assurances,€Ð Ü(#Ü(# ÐÌà0 Ü àIn€the€spirit€of€cooperation€under€which€financial€assistance€agreements€are€awarded,ÏReclamation€should€make€attempts€to€help€the€recipient€resolve€the€deficiency€orÏcompliance€issue€before€it€becomes€necessary€to€take€extreme€measures€to€enforceÏcompliance.€€These€actions€may€involve€providing€assistance€in€the€completion€of€forms,Ïinterpretation€of€regulations,€technical€assistance,€or€referral€to€other€agencies€or€supportÏorganizations€which€could€help€remedy€the€problem.Ð Ü(#Ü(# ÐÌà0 Ü àReclamation€must,€however,€assure€that€its€responsibilities€for€proper€Federal€stewardshipÏare€accomplished€and€take€whatever€actions€are€necessary€to€correct€continuingÏdeficiencies.€€In€accordance€with€43€CFR€12.83€or€43€CFR€12.962,€as€applicable,€if€aÏrecipientò ò€materially€fails€to€complyó ó€with€the€terms€and€conditions€of€an€award,€whetherÐ ˜è Ðstated€in€a€Federal€statue,€regulation,€assurance,€application,€notice€of€award,€or€elsewhere,ÏReclamation€may€take€one€or€more€of€the€following€actions,€as€appropriate€for€the€severityÏand€duration€of€the€non„compliance:à À àà  àà p àà È àà  àà x àà Ð àà @Ð àÐlÜ(#Ü(# ÐÌà0 Ü àà0Ü(#Ü(#à(1)€Temporarily€withhold€cash€payments€pending€correction€of€the€deficiency€by€theÏrecipient€or€subrecipient€or€more€severe€enforcement€action€(recipient€continues€toÏperform€activities€under€agreement);Ð (#(# ÐÌà0 Ü àà0Ü(#Ü(#à(2)€Disallow€(deny€both€use€of€funds€and€matching€credit€for)€all€or€part€of€the€cost€of€theÏactivity€or€action€not€in€compliance,Ð (#(# ÐÌà0 Ü àà0Ü(#Ü(#à(3)€Wholly€or€partly€suspend€or€terminate€the€current€award€for€the€recipientððs€orÏsubrecipientððs€program€(under€suspension,€recipient€must€cease€performance€and€mayÏnot€incur€further€costs),Ð (#(# ÐÌà0 Ü àà0Ü(#Ü(#à(4)€Withhold€further€awards€for€the€program,€orÐ (#(# ÐÌà0 Ü àà0Ü(#Ü(#à(5)€Take€other€remedies€that€may€be€legally€available.Ð (#(# ÐÌà0 Ü àAdditional€types€of€enforcement€actions€include€converting€to€the€reimbursement€method€ofÏpayment,€placing€the€recipientððs€ASAP€account€in€Agency€Review€or€Maximum€Draw€status,Ïññwithholding€additional€awards,€ññrequesting€special€audits,€recommending€suspension€of€further€awards,€and€disallowingÏcertain€costs.Ь+ü&/Ü(#Ü(# Їà0 Ü à€The€following€are€suggested€steps€for€enforcement€actions:Ð Ü(#Ü(# ÐÌà0 Ü àà0Ü(#Ü(#à(1)€Upon€identification€of€a€problem,€the€GCAO€should€promptly€contact€the€recipient€toÏdiscuss€the€problem€and€reach€agreement€on€a€solution.€€This€contact€may€be€made€byÏtelephone€or€a€meeting€with€the€recipient,€however,€the€identified€problem,€correctiveÏaction,€time€allowed€for€compliance€(generally€no€more€than€30€days),€and€methods€toÏrequest€reconsideration€must€be€communicated€to€the€recipient€in€writing.Ð (#(# ÐÌà0 Ü àà0Ü(#Ü(#à(2)€If€the€deficiency€is€not€corrected€within€the€agreed€upon€time€frame,€a€second€letterÏshould€be€sent€stating€any€new€time€frame€for€compliance,€and€what€administrativeÏremedies€will€be€taken€if€the€deficiency€is€not€immediately€resolved.Ð (#(# ÐÌà0 Ü àà0Ü(#Ü(#à(3)€Dependent€upon€the€type€and€extent€of€deficiency,€the€GCAO€may€proceed€toÏsuspend€further€payment,€or€suspend€or€terminate€the€agreement.€€This€informationÏmust€be€communicated€to€the€recipient€in€writing.€€Any€decision€to€suspend€theÏagreement€should€include€a€date€on€which€the€agreement€will€be€terminated€for€cause€ifÏthe€deficiency€has€not€been€corrected.€€Suspension€or€termination€of€the€agreementÏmust€be€made€by€a€modification€to€the€agreement.€€Ð (#(# ÐÌà0 Ü àà0Ü(#Ü(#à(4)€In€some€instances,€it€may€be€necessary€to€recommend€that€the€recipient€be€debarredÏor€suspended€in€accordance€with€the€procedures€at€43€CFR€12,€Subpart€D.Ð (#(# ÐÌà Ü àò òD.6.€€Termination€for€Convenienceó óÐ è8 ÐÌà0 Ü àIn€accordance€with€43€CFR€12.84€or€12.961,€as€applicable,€agreements€may€be€terminatedÏfor€convenience,€in€whole€or€in€part,€only€under€the€following€circumstances:Ð Ü(#Ü(# ÐÌà0 Ü àà0Ü(#Ü(#à(1)€By€Reclamation,€with€the€consent€of€the€recipient€or€subrecipient,€in€which€case€theÏtwo€parties€shall€agree€upon€the€termination€conditions,€including€the€effective€date€andÏin€the€case€of€partial€termination,€the€portion€to€be€terminated,€orÐ (#(# ÐÌà0 Ü àà0Ü(#Ü(#à(2)€By€the€recipient€or€subrecipient€upon€written€notification€to€Reclamation,€setting€forthÏthe€reasons€for€such€termination,€the€effective€date,€and€in€the€case€of€partialÏtermination,€the€portion€to€be€terminated.€€However,€if,€in€the€case€of€a€partialÏtermination,€Reclamation€determines€that€the€remaining€portion€of€the€award€will€notÏÔ& | Ôaccomplish€the€purposes€for€which€the€award€was€made,€Reclamation€may€terminateÏthe€award€in€its€entirety€in€accordance€with€(1)€above€or€43€CFR€12.83€or€Ð (#(# Ðà0 Ü àà0Ü(#Ü(#à43CFR12.961(a)(1).Ô'|´!Ç}ÔÐ (#(# ÐÌà Ü àò òD.7.€€Termination€for€Causeó óÐ %T ' ÐÌà0 Ü àIn€accordance€with€43€CFR€12.83(a)€or€43€CFR€12.961(a)(1),€as€applicable,€when€aÏrecipient€has€materially€failed€to€comply€with€the€terms€and€conditions€of€the€agreement,ÏReclamation€may€terminate€the€agreement€in€whole€or€part.Ð Ü(#Ü(# ÐÌà0 Ü àSuspension€and€termination€actions€should€be€reserved€for€exceptional€situations€andÏgenerally€should€be€taken€only€after€the€recipient€has€been€given€opportunity€to€takeÏcorrective€action€and€resolution€does€not€seem€probable.