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HomeMy WebLinkAboutContracts & Agreements_58-2020Subaward Number 2-312-0217229-65857L SubreclDlent. Status. RTI. Redlands Police Department 30 Cajon Street Redlands, CA 92373 USA Contractual Designee. RTI International 3040 Cornwallis Road Research Triangle Park, NC 27709 RTI Technical Monitor/Project Manager Travis Taniguchi Phone 919-248-8501 E-mail taniguchi@rti org RTI Subaward Administrator Rachel Tobler Phone: 9095576583 E-mail: rtolber@redlandspolice org Subrecipient Size and Socio -Economic John Hall Phone 919-316-3956 E-mail. johnhall@rti.org If a Small Business**, check ALL that apply ❑ Small Business Concern (SB) 0 Small Disadvantaged Business [Including Asian Pacific-, Subcontinent Asian-, Hispanic American owned SBs or active If not a Small Business, check one *North American Industry Classification System **Small Business definitions and size standards (www.sam.00v and www sba.govlsize) Under and enter appropriate NAICS ❑ Woman -Owned Black-, 0 Veteran -Owned Native-, ❑ Service -Disabled 8(a)] 0 Large (NAICS) online search www.census.govleoslwwwlnaics Number IZI Non SB 0 HUBZone (Historically Underutilized Business SB Zone) certified SB Veteran Owned SB 0 Alaska Native Corporation and Indian Tribe -Profit 0 Foreign/Other (including Gov't) 0 HBCU/MI*** are available in the Federal Acquisition Regulation 52.219 -Band 13 CFR Part 121, HUBZone SB must be certified by SBA 15 U S.C. 645(d) any person who misrepresents its size status shall (1) be punished by a fine, imprisonment, or both, (2) be ineligible for participation in programs conducted under the authority of the Small Business Act (HBCU) or Minority Institutions (MI) subject to administrative remedies, and (3) be ***Historically Black Colleges and University Subaward Title. OVCBurglary Victim Prime Award: Dept of Justice OVC Cooperative Agreement 2019-V3-GX-K.141 Subaward Type: CostRei<mbursement Subaward Amount: $29,947 Subaward Funded Amount: $29,947 Period of Performance: 02/29/20 to 07/31/22 Purchase Order Number: 65857L CFDA Number (if applicable): 16582 The Subrecipient shall perform, within the period and at the funded amount specified above, the work set forth in the attached Statement of Work. Any additional terms and conditions applicable to this Subaward are included herein In accepting this Subaward, the Subrecipient certifies that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from participation in this type of transaction by any Federal department or agency Any change in the debarred or suspended status of the Subrecipient during the life of this Subaward must be reported immediately to RTI The Subrecipient agrees to incorporate the Debarment and Suspension certification into any lower -tier subaward or Subcontract that they may enter into as a part of this Subaward Subaward Approved By Subrecipient Signature Paul. W Foster, Mayor City of Redlands f ] J ( 6 1zb Name Signature Date I RTI Subaward Administrator John Hall Name Signature Attachments: 1) Subaward Terms and Conditions 2) Special Contract Requirements 3) Statement of Work/Budget 4) Subaward Special Award Provisions Date 5) Invoice Summary Template 6) Sample Subagreement Release and Assignment Page 1 of 46 Subaward 2-312-0217229 658571_ Attachment 1: Subaward Terms and Conditions ARTICLE 1. Federal Award Identification Federal Award Identification in accordance with 2 CFR §200.331(a)(1); Subrecipient Name Redlands Police Department _ Subrecipients DUNS # TBD Federal Award Identification Number (FAIN) 2019-V3-GX-K141 Federal Award Date 10/1/2019 Federal Award Total Amount $789,542 00 Federal Award Project Description OVC Burglary Victim Federal Awarding Agency Dept of Justice OVC CFDA Number and Name 16.582 R&D Yes a No 0 Subaward Indirect Cost Rate See Article 4 Indirect Rate Indemnity ARTICLE 2. Tone of Subaward/Funding (Cost Reimbursement) A This is a Cost Reimbursement Subaward in the amount $29,947, for the satisfactory completion of the work requirements found in Attachment 2. Statement of Work/Budget The estimated cost is $29,947 B. Upon completion and RTI acceptance of the work specified herein, the Subrecipient will submit invoice(s) in accordance with the payment provisions established in this subaward In addition to any other available remedies, if, in the opinion of RTI, Subrecipient fails to perform in accordance with the terms of this Subaward, the RTI Subaward Administrator may refuse or limit approval of any invoices for payment, and may cause payments to Subrecipient to be reduced or withheld until such time as RTI determines that Subrecipient has met the performance terms as established by the Subaward C. The Subaward is funded in the amount of $29,947 Accordingly, the Limitation of Funds/Costs clause set forth in this subaward shall apply to the management of this funding allocation RTI shall bear no legal liability or financial obligation beyond the funded amount stipulated in this paragraph ARTICLE 3 Submission and Payment of Invoices A Cost Reimbursement Subawards Subrecipient shall submit invoices monthly for reasonable, allowable, and allocable costs incurred in the performance of work under a Subaward B RTI shall make any payments due under this agreement within thirty (30) calendar days after its receipt of a proper invoice from Supplier provided Supplier complied with requirements of the Subaward and such invoice from Subrecipient complies with all requirements, which may be amended from time to time after this Agreement's execution, delineated at the following link http.//www.rti.org/nage.cfm/Suoplier Invoice/Payment Instructions C Allowable Costs for Subawards funded via Federal Cooperative Agreements/Grants. RTI determines the allowability of costs in accordance with the cost principles applicable to the type of Subrecipient incurring the costs as follows (1) For-profit organizations Allowability of costs incurred by for-profit organizations and those non-profit organizations listed in Appendix VIII to 2 CFR 200 is determined in accordance with the for-profit costs principles in 48 CFR part 31 in the Federal Acquisition Regulation (2) Other types of organizations Allowability of costs incurred by other types of organizations that may be Subrecipients under a prime award to a for-profit organization is determined in accordance with 2 CFR 200 Subpart E — Cost Principles. (3) Fee and profit. The Subrecipient may not earn or keep any profit resulting from a Subaward, unless explicitly authorized by the terms and conditions of this Subaward The Subrecipient may pay a fee or profit to a contractor providing goods or services under a contract. D Subrecipient shall submit an invoice summary page as incorporated herein with each invoice submission Subrecipient may use its own invoice summary format if such is substantially similar to the template provided in this Subaward In addition, Subrecipient shall include the following certification on all invoices "By signing this report, I certify to the best of my knowledge and belief that the report is true, complete, and accurate, and the expenditures, disbursements and cash receipts are for the purposes and objectives set forth in the terms and conditions of the subaward/contract I am aware that any false, fictitious, or fraudulent information, or the omission of any material fact, may subject Page 2 of 46 Subaward 2-312-0217229-65857L me to criminal, civil or administrative penalties for fraud, false statements, false claims or otherwise (US Code Title 18, Section 1001 and Title 31, Sections 3729-3730 and 3801-3812) " E Subrecipient's final invoice for the Subaward and release and assignment shall be submitted to RTI within sixty (60) calendar days following completion of the period of performance of the Subagreement In the event that quick closeout is requested by RTI, Subrecipient shall comply with FAR Part 42 708 to complete the Subaward closeout Payment of the final invoice will be withheld pending: • Completion, submission, and acceptance by RTI of all work performed under the Subaward's Statement of Work • Completion of Subaward Release and Assignment Form, including patent/invention report, and property report, and • Clear, visible, and proper marking of "final invoice" on the actual final invoice ARTICLE 4 Indirect Rate Indemnity most Reimbursement) A Subrecipient shall provide the RTI Subcontract Administrator with a copy of Subrecipient's Negotiated Indirect Cost Rate Agreement with the Government for the purpose of verifying compliance with Subrecipient's Negotiated Indirect Cost Rate Agreement with the Government In the event Subrecipient will not provide indirect rate information to RTI due to proprietary restrictions, Subrecipient hereby agrees to certify to the following "The indirect costs billed under this Subaward do not exceed the indirect rates as determined in Subrecipient's Negotiated Indirect Cost Rate Agreement with the Government for the fiscal year in which the direct costs were incurred" ARTICLE 5. Subaward Period of Performance The period of performance for this Subaward shall begin on February 29, 2020 and continue to July 31, 2022 in accordance with the Attachment 1 Subaward Terms and Conditions and Attachment 2. Statement of Work/Budget. ARTICLE 6. Designation of Contractual Representatives A John Hall is hereby designated as the RTI Subaward Administrator and is the only one with the authority to direct changes under this Subaward All notices shall be in writing and addressed as follows: For RTI For Subrecipient John Hall RTI International Global Supply Chain P 0 Box 12194 Research Triangle Park, NC 27709 2194 Phone 919-316-3956 Email johnhall@rti org Rachel Tobler Redlands Police Department 30 Cajon Street Redlands, CA 92373 USA Phone. 9095576583 Email, rtolber@redlandspolice org B. The RTI Principal Investigator/Project Manager assigned to this Subaward is Travis Taniguchi C Invoices are to be submitted to RTI's Accounts Payable Department via electronic mail at the following address Accountinq@rti oro ARTICLE 7. Designation of Subrecipient s Key Personnel A Rachel Tobler is considered essential to the work being performed under this Subaward By mutual agreement, the list of key personnel may be amended from time to time during the course of this Subaward to either add or delete key personnel as appropriate B. During the first ninety (90) calendar clays of performance, Subrecipient shall make no substitutions of key personnel unless the substitution is necessitated by illness, death, or termination of employment Subrecipient shall notify the RTI Subaward Administrator within ten (10) calendar days after the occurrence of any of these events and provide the information required by Paragraph C below After the initial ninety (90) calendar day penod, Subrecipient shall submit the information required by Paragraph C to the RTI Subaward Administrator at least ten (10) calendar days prior to making any permanent substitutions C Prior to diverting the above-named personnel to other programs, Subrecipient shall submit a justification (including the reason for the requested substitution and resumes of the proposed replacement key personnel) in sufficient detail to permit evaluation of the impact of the requested substitution on the program Proposed substitutes should have comparable qualifications to those of the persons being replaced The RTI Subaward Administrator will notify Subrecipient of RTI's decision about the substitutions within twenty (20) calendar days after receipt of all required information. Page 3 of 46 Subaward 2 312-0217229-65857L ARTICLE 8. Financial Management A By execution of this Subaward, Subrecipient certifies that it has and will maintain a financial management system that meets the requirements of 2 CFR §200 302. Subrecipient shall notify RTI should compliance with this requirement change during the Subaward period. B. The financial management system of Subrecipient must provide for the following (1) Identification, in its accounts, of all Federal awards received and expended and the Federal programs under which they were received Federal program and Federal award identification must include, as applicable, the CFDA title and number, Federal award identification number and year, name of the Federal agency, and name of the pass-through entity, if any (2) Accurate, current, and complete disclosure of the financial results of each Federal award or program in accordance with the reporting requirements set forth in 55200 327 Financial reporting and 200 328 Monitoring and reporting program performance If a Federal awarding agency requires reporting on an accrual basis from a recipient that maintains its records on other than an accrual basis, the recipient must not be required to establish an accrual accounting system. This recipient may develop accrual data for its reports on the basis of an analysis of the documentation on hand. Similarly, a pass-through entity must not require a subrecipient to establish an accrual accounting system and must allow the subrecipient to develop accrual data for its reports on the basis of an analysis of the documentation on hand. (3) Records that identify adequately the source and application of funds for federally -funded activities These records must contain information pertaining to Federal awards, authorizations, obligations, unobligated balances, assets, expenditures, income and interest and be supported by source documentation (4) Effective control over, and accountability for, all funds, property, and other assets The non -Federal entity must adequately safeguard all assets and assure that they are used solely for authorized purposes See 5200 303 Internal controls (5) Comparison of expenditures with budget amounts for each Federal award (6) Written procedures to implement the requirements of 5200 305 Payment (7) Written procedures for determining the allowability of costs in accordance with Subpart E—Cost Principles of this part and the terms and conditions of the Federal award ARTICLE 9 Internal Control$ A By execution of this Subaward, Subrecipient certifies that it has and will maintain a system of internal controls that meets the requirements of 2 CFR 5200 303 Subrecipient shall notify RTI should compliance with this requirement change during the Subaward period B The Subrecipient must (1) Establish and maintain effective internal control over the Subaward that provides reasonable assurance that the Subrecipient is managing the Subaward in compliance with Federal statutes, regulations, and the terms and conditions of the Subaward These internal controls should be in compliance with guidance in "Standards for Internal Control in the Federal Government" issued by the Comptroller General of the United States or the "Internal Control Integrated Framework", issued by the Committee of Sponsoring Organizations of the Treadway Commission (COSO) (2) Comply with Federal statutes, regulations, and the terms and conditions of the Subaward (3) Evaluate and monitor the Subrecipient's compliance with statutes, regulations and the terms and conditions of the Subaward. (4) Take prompt action when instances of noncompliance are identified including noncompliance identified in audit findings. (5) Take reasonable measures to safeguard protected personally identifiable information and other information the Federal Client or RTI designates as sensitive or the Subrecipient considers sensitive consistent with applicable Federal, state, local, and tribal laws regarding privacy and obligations of confidentiality ARTICLE 10 Annual Audit A Subrecipient shall submit annual verification to the RTI Subcontract Administrator or designee that Subrecipient has been audited as required by 2 CFR Subpart F—Audit Requirements when Subrecipient's total Federal awards and subawards expended during the respective fiscal year equaled or exceeded the threshold set forth in 5200 501 Audit requirements B The Subrecipient shall notify the RTI Subcontract Administrator if the Subrecipient's audit report disclosed (a) Material weaknesses or significant deficiencies related to internal controls over financial reporting, and/or, (b) Material weaknesses or significant deficiencies related to compliance with 2 CFR Subpart F requirements, and/or, (c) Findings and/or non -material, reportable conditions, and provide a copy of its financial statements, the audit report, and its response / corrective action plan ARTICLE 11. Trafficking in Persons a Provisions applicable to a Subrecipient that is a private entity. 1 You as the Subrecipient, your employees, lower tier subrecipients under this Subaward, and lower -tier subrecipients' employees may not— Engage in severe forms of trafficking in persons during the period of time that the Subaward is in effect, u Procure a commercial sex act during the period of time that the Subaward is in effect, or iii Use forced labor in the performance of the Subaward or lower -tier subawards under the Subaward Page 4 of 46 Subaward 2-312 0217229 65857L 2 We as the Subawarding agency may unilaterally terminate this Subaward, without penalty, if you or a lower tier subrecipient that is a private entity — i Is determined to have violated a prohibition in paragraph a 1 of this Subaward term, or u Has an employee who is determined by the RTI Subaward Administrator authorized to terminate the Subaward to have violated a prohibition in paragraph a 1 of this Subaward term through conduct that is either— A Associated with performance under this Subaward, or B Imputed to you or the lower tier subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR part 180, "OMB Guidelines to Agencies on Government -wide Debarment and Suspension (Nonprocurement)," as implemented by the prime award's awarding agency b. Provision applicable to a Subrecipient other than a private entity We as the Subawarding agency may unilaterally terminate this Subaward, without penalty, if a lower -tier subrecipient that is a private entity - 1. Is determined to have violated an applicable prohibition in paragraph a 1 of this Subaward term, or 2 Has an employee who is determined by the RTI Subaward Administrator authorized to terminate the Subaward to have violated an applicable prohibition in paragraph a 1 of this award term through conduct that is either— i Associated with performance under this Subaward, or 11 Imputed to the lower -tier subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR part 180, "OMB Guidelines to Agencies on Government -wide Debarment and Suspension (Nonprocurement)," as implemented by the prime award's awarding agency. c Provisions applicable to any Subrecipient 1 You must inform us immediately of any information you receive from any source alleging a violation of a prohibition in paragraph a 1 of this term 2 Our right to terminate unilaterally that is described in paragraph a 2 or b of this section 1 Implements section 106(g) of the Trafficking Victims Protection Act of 2000 (NPA), as amended (22 U 5 C 7104(g)), and 11. Is in addition to all other remedies for noncompliance that are available to us under this Subaward 3. You must include the requirements of paragraph a 1 of this term in any lower -tier subaward you make to a private entity d. Definitions. For purposes of this term 1. "Employee" means either i An individual employed by you or a lower -tier subrecipient who is engaged in the performance of the project or program under this Subaward, or ii Another person engaged in the performance of the project or program under this Subaward and not compensated by you including, but not limited to, a volunteer or individual whose services are contributed by a third party as an in-kind contribution toward cost sharing or matching requirements 2 "Forced labor" means labor obtained by any of the following methods the recruitment, harboring, transportation, provision, or obtaining of a person for labor or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage, or slavery 3 "Private entity" i Means any entity other than a State, local government, Indian tribe, or foreign public entity, as those terms are defined in 2 CFR 175 25 it Includes A A nonprofit organization, including any nonprofit institution of higher education, hospital, or tribal organization other than one included in the definition of Indian tribe at 2 CFR 175 25(b) B A for-profit organization 4 "Severe forms of trafficking in persons," "commercial sex act," and "coercion" have the meanings given at section 103 of the TVPA, as amended (22 U 5 C 7102) ARTICLE 12. Additional Invoice Instructions In addition to the invoice instructions set forth above, Subrecipient shall submit an invoice summary page as incorporated herein with each invoice submission Subrecipient may use its own invoice summary format if such is substantially similar to the template provided in this Subaward ARTICLE 13. Anti-Ktckback Subrecipient warrants that neither it nor any of its employees, agents, or representatives have offered or given, or will offer or give, any gratuities to RTI's employees, associates, agents or representatives for the purpose of securing this Subaward or securing favorable treatment under this Subaward. The Anti -Kickback Act of 1986 is hereby incorporated into this Subaward as a condition of acceptance If you have reasonable grounds to believe that a violation may have occurred, you should report this suspected violation to Research Triangle Institute's Ethics Hotline at 1-877-212-7220 or by sending an e mail to Ethics o@ rti.org Subrecipient may report a suspected violation anonymously Page 5 of 46 Subaward 2-312-0217229-65857L Attachment 2' Special Contract Requirements Definitions In this Subaward, the following words and expressions shall have the meanings hereby assigned to them, except where the context otherwise requires "Agreement" means the Terms and Conditions Articles set forth herein, the Statement of Work, Subaward, the Federal Acquisition Regulation (FAR) and Agency Supplemental Clauses (as applicable), Code of Federal Regulations (CFR), the Supplier's Technical and Cost Proposal, the Representations and Certifications, and such further documents executed by both Parties and expressly incorporated in this Agreement "Client" means RTI's customer who is responsible for funding the Subaward. "Direct Labor" means Supplier personnel performing work under this Subaward "Federal" as used under this Subaward refers to United States of America central government "Fringe Benefit Expense Rate" means the direct payroll -related expenses including employer -paid Benefits, Social Security and Medicare (FICA), State Unemployment (SUTA), Federal Unemployment (FUTA), Workers Compensation, and Vacation and Holiday Pay This rate, as defined, shall satisfy the allowability and allocability requirements of Federal Acquisition Regulation (FAR) Part 31, Contract Cost Principles, or 2 CFR 200 Subpart E - Cost Principles, as applicable The Fringe Expense Rate will be the percentage amount applied to actual Direct Labor expenses incurred under the Subaward "General and Administrative (G&A) Expense" means the Supplier's costs of doing business that are not directly associated with the costs of performing this Agreement or the Supplier's other contracts These expenses, as defined, must satisfy the allowability and allocability requirements of Federal Acquisition Regulation (FAR) Part 31, Contract Cost Principles, or 2 CFR 200 Subpart E - Cost Principles, as applicable Similar to the Fringe Benefit Rate, the G&A Expense Rate will be the percentage amount charged in accordance with the Supplier's established method for allocating G&A "Lower tier subcontractor/subrecipient" means any person or firm lower -tier subcontractor/subrecipient for a part of the Work or any person or firm to whom a part of the Work has been subcontracted or subawarded and the legal successors in title to such person or firm, but not any assignee of such person or firm "Other Direct Costs (ODCs)" mean those expenses that are directly incurred for the benefit of performing the Work under a specific Subagreement(s) For Subawards and Contracts under Assistance Awards funded with Federal funds, these expenses must satisfy the allowability and allocability requirements of 2 CFR 200 Subpart E - Cost Principles Generally, these costs consist of approved travel (hotel, meals, air and rail transportation expenses, car rental), pre approved equipment, classified ads, and reasonable phone expenses directly charged to the project "Parties" as used under this Agreement mean "RTI" and "Supplier." "Pay Rate" means those actual direct labor expenses that are incurred for the benefit of performing the Work under a specific Subagreement(s) For Subawards and Contracts under Assistance Awards funded with Federal funds, these expenses must satisfy the allowability and allocability requirements of 2 CFR 200 Subpart E - Cost Principles The Supplier's actual Pay Rate(s) solely consists of direct labor (gross hourly wage(s)) expenses that are completely unburdened with profit or any application of G&A, overhead or indirect rate expenses "Payment" means the remuneration that RTI has agreed to pay Supplier upon the execution, satisfactory completion, and acceptance of RTI's Work set forth the Subagreement(s) issued under this Agreement "Provisional billing rate(s)" means the Supplier's temporary indirect rate ceiling(s) used for the purpose of allowing interim reimbursement of incurred indirect fringe and general and administrative costs The provisional billing rate(s) remain(s) in effect until a final billing rate is negotiated and settled by the parties for the period in accordance with FAR Part 42 700 and the FAR Allowable Cost and Payment clause or 2 CFR 200 Subpart E - Cost Principles, as applicable The provisional billing rate(s) will be subject to retroactive redetermination and audit by RTI or RTI's Client in order to preclude substantial overpayments to Supplier. Unless terms of the Agreement stipulate otherwise, the Supplier's provisional billing rates represent RTI's maximum liability for the reimbursement of indirect expenses "RTI" means the Research Triangle Institute or RTI International. "RTI Project Manager" means the designated RTI person who has been provided the technical authority to manage the Work on behalf of RTI The RTI Project Manager does not have authority to sign and bind RTI to contractual agreements Page 6 of 46 Subaward 2-312 0217229-65857L "RTI Subaward Administrator" means the designated RTI person(s) who has contractual authority over the Work being performed pursuant to the Subaward The RTI Subagreement Administrator is the only person authorized by RTI to make changes or amendments to the issued Subagreement "Site or Location" means the place(s) provided by Supplier where the Work is to be executed and any other places as may be specifically designated in the Subagreement as forming part of the Site or Location "Statement of Work/Technical Specifications" means the services defined and set forth in an individual Subagreement issued hereunder (hereinafter referred to as the "Work"), that the Supplier is responsible for delivering to RTI. "Subagreement" means the document that the RTI Subagreement Administrator will use in accordance with the terms of this Agreement to authorize and reasonably request the Supplier to commence Work under and subject to the terms of this Agreement The term "subagreement" includes subcontracts, subawards, contracts, and/or purchase orders issued under this Agreement Subagreement(s) issued under this Agreement fully incorporate by reference the Terms and Conditions of the Agreement which are set forth herein The term "Subcontract" will be applicable when RTI's prime agreement is a contract and "Subaward" may be applicable when RTI's prime agreement is a cooperative agreement or a grant in with the Supplier is a Subgrantee or Subrecipient The term "Contract" will be applicable when RTI's prime agreement is a Federally funded cooperative agreement or grant in which the Supplier is contractor, as defined by 2 CFR 200, who is a provider of services to RTI The term "Purchase Order" may be applicable when a contractual document is issued by RTI for the purchase of goods and/or non-technical services "Subagreement Type" refers to the billing structure and includes Firm Fixed Price, Fixed Unit Rate, Time and Materials, Labor Hour, or Cost Reimbursement, and any category or hybrid thereof A hybrid subagreement means a subagreement that is a combination of two or more subagreement types. "Supplier" means the person or firm whose Cost and Technical Proposal has been accepted by RTI and the legal successors in title to such person, but not (except with the written consent of RTI) any assignee of such person or firm The term "Subcontractor," "Subrecipient" or "Contractor" may be used in place of Supplier where contextually appropriate and/or necessary SCR 1. Institutional Review Board Institutional Review Board approval must be obtained before any contact with human subjects All research involving human subjects, or data from or about human subjects, must be conducted in accordance with applicable federal regulations (45 CFR 46 and 21 CFR 50 and 56) and the protocol approved by the IRB Research activities include contacting Human Subjects, conducting the survey and the collecting and storing of any Human Subject data resulting from this survey Upon notice of IRB approval, RTI will provide notice to the Subrecipient to commence work Once this notice is provided to Subrecipient, the Subrecipient may commence with the research activities. SCR 2. Privity of Subaward No privity between Subrecipient and RTI's client is established by this Subaward All communications regarding this Subaward must be directed to RTI and not to RTI's Client SCR 3. Independent Contractor The relationship of Subrecipient to RTI is that of an independent contractor, and nothing in this Subaward shall be construed as creating any other relationship. Contractor shall comply with all laws and assume all risks incident to its status as an independent contractor This includes, but is not limited to, responsibility for all applicable federal and state income taxes, associated payroll and business taxes, licenses and fees, and such insurance as is necessary for Subrecipient's protection in connection with work performed under this Agreement Neither Subrecipient nor anyone employed by it shall be, represent, act, purport to act, or be deemed to be an agent, representative, employee, or servant of RTI SCR 4. Statement of Work/Budget Subrecipient shall furnish the necessary personnel, materials, services, equipment and facilities, and all other items necessary to accomplish all tasks specified in Subrecipient's Statement of Work/Budget, which is hereby incorporated and made a part of this Subaward SCR 5 Limitation of Funds/Costs (Applicable to Incrementally Funded) The parties agree that performance of the Subaward will not cost RTI or RTI's Client more than the cost specified in the Subaward Supplier agrees to perform the work set forth within the cost ceiling and the funding amount allocated to the Subaward In the event the Subaward is not fully funded at the time of award, RTI, at its sole discretion, will incorporate additional funding to support the work requirements as funding is made available to RTI by RTI's Client. This additional funding will be incorporated into the Subaward by written modification Funding allocations shall not exceed the cost ceiling established in the Subaward No costs will be incurred under except those costs specifically proposed by the Supplier to RTI RTI is not obligated to reimburse the Supplier for costs incurred in excess Page 7 of 46 Subaward 2 312 0217229-65857L of the total funding amount allotted by RTI to the Subaward, and the Supplier is not obligated to continue performance or otherwise incur costs in excess of the amount of funding allotted to the Subaward SCR 6. Period of Performance and Delays Subrecipient shall strictly adhere to the period of performance set forth in the Appendix A, Special Subaward Requirements Any changes to the period of performance shall only be authorized by RTI through the issuance of a written and fully executed Subaward modification In the event of any anticipated or actual delay in performance, Subrecipient shall (i) promptly notify RTI in writing (within 5 business days) of the reasons for the delay and the actions being taken to overcome or minimize the delay, (ii) provide RTI with a written recovery schedule, and (iii) if requested by RTI, expedite performance or delivery to avoid or minimize delay to the maximum extent possible, unless Subrecipient is excused from prompt performance as provided in the "Excusable Delays" article of this Subaward SCR 7. Consultants/Lower-Tier Subcontracts A PRIOR WRITTEN approval of the RTI Subaward Administrator is required for obtaining services of consultants and lower -tier subrecipients. Costs for consultants and lower -tier subcontracts who have not received PRIOR WRITTEN approval in accordance with this Article will not be reimbursed Inclusion in the Subrecipient's budget or proposal does not constitute request or approval of consultants or lower -tier Subrecipients B When requesting the use of consultants or a lower tier Subrecipient, the Subrecipient shall furnish information concerning the need for such services, the reasonableness of the fees or costs, a copy of the proposed consulting agreement/subcontract, and any additional information required to make a determination of acceptability. Cost -plus -a -percentage -of cost subcontracts or purchase orders are prohibited Once approved, Subrecipient should make every effort to provide prompt payment to any lower -tier consultants, subcontractors or any subrecipients for materials or labor. SCR 8, Assignment, Delegation, and Subawardinq Subrecipient shall not assign or novate any of its rights or interests in this Subaward without prior written consent of the RTI Subaward Administrator Subrecipient shall not delegate any of its duties or obligations under this Subaward Subrecipient may not assign its right to monies due or to become due No assignment, delegation or subcontracting by Subrecipient, with or without the RTI Subaward Administrator's written consent, shall relieve Subrecipient of any of its obligations under this Subaward or prejudice any of RTI's rights against Subrecipient whether arising before or after the date of any assignment This Article does not limit Subrecipient's ability to purchase standard commercial supplies or raw materials. RTI shall be entitled to assign this Subaward to any of its subsidiaries or other affiliates (including by operation of law, judicial process or otherwise) or any successor to RTI's business or operations without prior notice to or consent from Subrecipient RTI shall further be entitled to assign this Subaward to its Prime Sponsor of the agreement under which this Subaward is issued without prior notice to or consent from Subrecipient. Any other assignment by RTI shall require Subrecipient consent SCR 9. Technical Direction A The RTI Principal Investigator/Project Manager identified in Appendix A, Special Subaward Requirements, does not have the authority to direct the Subrecipient to make changes in scope, period(s) of performance, place(s) of performance, cost, funding, or any other express Provisions of this Subaward All matters affecting the terms of this Subaward and the administration thereof shall be referred to the RTI Subaward Administrator The RTI Subaward Administrator is the only person with the authority to direct changes under this Subaward Any changes to the provisions of this Subaward must be made by written modification in accordance with the Changes and Modifications Provision of this Subaward. B When, in the opinion of Subrecipient, technical direction calls for effort outside the scope of the Statement of Work, Subrecipient shall notify the RTI Subaward Administrator and the RTI Principal Investigator/Project Manager of the technical direction in writing in accordance with the Changes and Modifications Article of this Subaward SCR 1O.Inspection and Acceptance A Acceptance of the work set forth in this Subaward will be made by the RTI Principal Investigator/Project Manager as identified in Appendix A Special Subaward Requirements or his/her authorized designee RTI and any Client including without limitation the federal government of the United States have the right to inspect and evaluate the work performed or being performed under this Agreement, and the premises where the work is being performed, at all reasonable times and in a manner that will not unduly delay the work B If RTI performs any inspection or test on the premises of the Subrecipient or a lower -tier Subrecipient, the Subrecipient shall furnish, and shall require lower -tier Subrecipients to furnish, without additional charge, all reasonable facilities and assistance for the safe and convenient performance of these duties Upon RTI's request, Subrecipient shall provide RTI the records of inspection/test for any products and/or services furnished hereunder at any time during performance and any applicable warranty period Page 8 of 46 Subaward 2-312-0217229 65857L SCR 11.Changes and Modifications A The RTI Subaward Administrator may direct changes within the general scope of the Subcontract in any of the following (I) technical requirements and descriptions, specifications, statement of work, drawings or designs, , (H) place of delivery, inspection or acceptance; ; (iii) amount of RTI -furnished property, and, if the Subaward includes services, (iv) description of services to be performed, , and (v) place of performance Subrecipient shall comply immediately with such direction. B If any change under this Article causes an increase or decrease in the Subrecipient's cost of, or the time required for, the performance of any part of this Subaward, the parties shall negotiate an equitable adjustment in the price or schedule, or both, and the RTI Subaward Administrator shall modify the Subaward in writing accordingly. C Subrecipient must assert its right to an adjustment under this Article to the RTI Subaward Administrator in writing within 30 (thirty) calendar days from the date of Subrecipient's receipt of the written change order from the RTI Subaward Administrator In support of the claim for adjustment, Subrecipient shall provide a written statement describing the general nature of the requested adjustment, as well as a fully supported proposal with the total dollar amount of the requested adjustment RTI may, at its sole discretion, consider any claim regardless of when asserted RTI, or mutually agreeable third -party, may examine Subrecipient's pertinent books and records to verify the amount of Subrecipient's claim Failure of the parties to agree upon any adjustment shall not excuse Subrecipient from performing previously agreed upon work D Notwithstanding the foregoing provisions of this article, the Subaward ceiling and funded amount shall not be increased or deemed to be increased except by specific written modification of this Subaward indicating the new Subaward ceiling and authorized funded amount Until such modification is made, Subrecipient shall not continue performance or incur costs beyond the period of performance or the authonzed funded amount as set forth in the Special Subaward Requirement (SCR) Appendix of this Subaward SCR 12 Indirect Rate and Audit Indemnity (Applicable to Cost Type Subaareements funded in whole or in part via Federal funds) Supplier shall provide the Subaward Administrator with a copy of Supplier's Negotiated Indirect Cost Rate Agreement with the Government for the purpose of verifying compliance with Supplier's Negotiated Indirect Cost Rate Agreement with the Government In the event Supplier will not provide indirect rate information to RTI due to proprietary restrictions, Supplier hereby agrees to certify to the following "The indirect costs billed under this Subagreement do not exceed the indirect rates as determined in Supplier's Negotiated Indirect Cost Rate Agreement with the Government for the fiscal year in which the direct costs were incurred. " If Supplier does not have a Negotiated Indirect Cost Rate Agreement with the Government, Supplier shall invoice for indirect costs that do not exceed the indirect rates established in the Subcontract Supplier shall maintain and provide upon request appropriate audit - level documentation to support claimed indirect rates In the event that a Government audit of Supplier financial records results in a determination that Supplier has failed to adhere to the requirements of this Article, 2 CFR 200 Subpart E and 48 CFR 31, and such audit results in the reduction of the price of the Subaward, Supplier hereby agrees to indemnify, defend and hold harmless RTI from and against any and all demands, claims, liabilities, fines, penalties, losses, damages, costs and expenses of whatsoever nature, including attorneys' fees, which may be asserted by the Government auditor The Supplier shall promptly, within 30 days from date of the Government audit findings, reimburse RTI for any overpayments, including any interest and penalties, previously made by RTI to Supplier as a result of Supplier's failure to comply with the cost al[ocability, allowability and reasonableness standards set forth in 48 CFR 31 or 2 CFR 200 Subpart E, as applicable SCR 13 Travel For Subawards under nonfederal agreements, costs incurred for lodging, meals and incidental expenses shall be as agreed upon between the parties. For Subawards under Federal agreements, and to the extent travel is not restricted by the Subaward, costs incurred for lodging, meals and incidental expenses shall be considered to be reasonable, allowable, and allocable only to the extent that they do not exceed, on a daily basis, the maximum per diem rates in effect on the day of travel as set forth in the current version of the Federal Travel Regulations (FTR) SCR 14 Taxes All taxes applicable to the proceeds received by Subrecipient shall be the liability of Subrecipient, and RTI shall not withhold nor pay any amounts for federal, state or municipal income tax, social security, unemployment or workman's compensation unless required by law. RTI shall withhold and remit any amount, regardless of its description as a tax or otherwise, in countries where local laws require that such amounts be withheld and timely remitted by RTI In accordance with law, RTI shall annually file with the Internal Revenue Service, or any other tax agency, whether domestic or not, any applicable tax forms reflecting the gross annual payments made by RTI to Subrecipient Gross annual payments shall be the total compensation for labor and reimbursement of expenses, therefore, it is the Subrecipient's responsibility to retain copies of expenses incurred during the performance of services under this Subaward for tax reporting purposes It is the Subreciptent's responsibility to determine if a value added tax (VAT) is applicable to services provided to Page 9 of 46 Subaward 2 312 0217229 65857L RTI, and to timely remit the VAT charged to RTI per the invoicing instructions included in Article 10 The invoice tendered to RTI for payment shall comply with the applicable local country's VAT regulations SCR 15. Record Retention and Access Subrecipient shall maintain books, records, documents, program and individual service records and other evidence of its compliance with laws and regulations as well as accounting and billing procedures with respect to this Agreement and the Scope of Work set forth herein. These records shall be subject at all reasonable times to monitonng, inspection, review or audit by authorized employees or agents of RTI, or by the United States government, as applicable. Subrecipient shall retain all such records concerning this Subaward for a period of five (5) years after the completion of the Subaward If any litigation, claim or audit is started before the expiration date of this three- year period, the records shall be retained until all litigation, claims or audit findings involving the records have been resolved SCR 16.Confidential Information A During the term of this Subaward, Subrecipient and its employees may receive or have access to data and information that is confidential and proprietary to RTI or its Client. All such data and information ("Confidential Information") made available to, disclosed to, or otherwise made known to Subrecipient as a result of services under this Subaward shall be considered confidential and shall be considered the sole property of RTI and/or RTI's Client Confidential Information may be used by Subrecipient or its employees only for purposes of performing the obligations hereunder, and such persons shall be advised of the obligations set forth in this Agreement and shall agree to be obligated in like manner Subrecipient shall not reveal, publish or otherwise disclose Confidential Information to any third party without the prior written consent of the disclosing party and shall use at least the same degree of care in safeguarding the Confidential Information as the party uses in safeguarding its own confidential information but in no event less than a reasonable standard of care B Confidential and/or proprietary information includes trade secrets, the structure, sequence and organization of the Products, marketing plans, blueprints, techniques, processes, procedures and formulae, price lists, specifications, prints, and Product plans Intellectual Property may include, without limitation, information relating to research and development, formulations, inventions, discoveries, improvements, methods, and processes, techniques, methodologies, know-how, algorithms, compositions, works, concepts, designs, ideas, prototypes, models, samples, writings, notes, patent applications, and trade secrets Business practices may include, without limitation, information relating to business plans, financial information, products, services, manufacturing processes and methods, costs, sources of supply, strategic marketing plans, customer lists, sales profits, pricing methods, personnel, and business relationships ("Confidential Information") The foregoing obligations shall not apply to Confidential Information which • is or becomes generally available to the public other than as a result of a disclosure by Subrecipient, • becomes available to Subrecipient on a non -confidential basis from a third party source which is not prohibited from disclosing such information by a legal, contractual or fiduciary agreement to a third party; • Subrecipient develops independently without use of the disclosing party's Confidential Information, as demonstrated by written records and evidence; • was in Subrecipient's possession or known to it prior to its receipt from the disclosing party, or • is required by law to be disclosed, provided Subrecipient notifies the disclosing party promptly and gives the disclosing party an opportunity to seek an appropriate protective order C These obligations of confidentiality and non -disclosure shall remain in effect for a period of five (5) years after the termination of this Subaward and indefinitely for any Trade Secrets Subrecipient shall return or destroy all copies of any Confidential Information it has received from RTI within thirty (30) business days after the effective date of the termination At the request of RTI, an authorized officer of the Subrecipient will certify in writing that it has complied with its obligations hereunder SCR 17 Conflicts of Interest Subrecipient warrants that, to the best of the Subrecipient's knowledge and belief, there are no relevant facts or circumstances which could give rise to a conflict of interest or that the Subrecipient has disclosed all such relevant information Subrecipient agrees that if an actual or potential conflict of interest is discovered after execution of this Subaward, the Subrecipient will make a full disclosure in writing to the RTI Subaward Administrator This disclosure shall include a description of activities that the Subrecipient has taken or proposes to take, after consultation with the RTI Subaward Administrator, to avoid, mitigate, or neutralize the actual or potential conflict SCR 18. Patents and Inventions Subject to Federal or state laws and regulations, to the extent applicable, all ideas, inventions (whether or not patentable), and improvements whatsoever, conceived, discovered, or developed by Supplier, Supplier's employees or Supplier's subcontractors or subrecipients, specifically and exclusively related to performance of this Subaward, shall be and remain the sole and exclusive property of RTI Supplier agrees to promptly disclose to RTI all such ideas, inventions, and improvements, and, on demand and at RTI's expense, assist and require and bind Supplier's employees to assist, in preparation, execution, and delivery of any disclosures, patent applications or other papers required by RTI to obtain and enforce patents in the United States and foreign countries, and to execute and deliver to Page 10 of 46 Subaward 2 312 0217229 65857L RTI any reasonably stated assignment or other document which RTI deems necessary to perfect RTI's right, title and interest in and to said ideas, inventions, and improvements SCR 19.Riaht to Publish/Release of Information A Subrecipient agrees that it will not publish, have published or otherwise disseminate any information of whatever nature resulting from the work being performed under this Agreement except as may be approved by the Subaward Administrator; provided, however, that Subrecipient may for internal use only and without the approval of RTI disseminate such information within its own organization on a "need -to know" basis B. Subrecipient and RTI mutually agree not to use the other party's name or make reference to the other party or any of its employees in publications, news releases, advertising, speeches, technical papers, photographs, sales promotions, or publicity purposes of any form related to this work or data developed hereunder, unless such materials have received prior written approval of the other party Approvals shall not be unreasonably withheld Unless specifically restricted in the Subaward, use of either party's name may be made in internal documents, annual reports, and data bases which are not available to the public and which identify the existence of the research project by title, principal investigator, sponsor, period of funding, amount of award and abstract of the project C Subrecipient shall not use or duplicate any proprietary information Including trade secrets belonging to or supplied by RTI, except as authorized by RTI in the performance of services or work under this Agreement D Any program, document, data or information supplied by Subrecrpient to Client through RTI may be used, copied or disclosed by Client as necessary in the normal course of its business, subject to any copyright of Subrecipient in such materials and any notices or legends appearing thereon, provided (1) Subrecipient is entitled to place such notices or legends and (2) no other provisions of this Subaward (including, if applicable, any FAR Clauses set forth in, or incorporated into, this agreement) prohibit or limit the effectiveness of such copyright or notice or legend SCR 20. Infringement Representation Subrecipient represents (a) that in preparing or presenting any deliverables under this Subaward, Subrecipient will not knowingly infringe any intellectual property rights held by others, (b) that all deliverables developed by Subrecipient personnel under this Subaward will be original works, and that Subrecipient will not incorporate any material not developed by Subrecipient personnel in preparing or presenting such works without clearly indicating such third party materials, and (c) that Subrecipient will notify RTI of any third party rights of which Subrecipient is aware that are necessary for RTI and RTI's Client(s) to use any such deliverables in accordance with the Subaward. SCR 21.Indemnification A Subrecipient shall defend, indemnify, and hold harmless RTI from any loss, damage, liability, claims, demands, suits, or judgments ("Claims' including any reasonable attorney's fees, and costs, as a result of any damage or injury to RTI or its employees, directors, officers, or agents, or properties, or for any injury to third persons (including, but not limited to Claims by Subrecipient's employees, directors, officers or agents) or their property which is directly or indirectly caused by the negligence, willful misconduct, breach of this Subaward, or violation of statutory duties of Subrecipient, or its employees, officers, directors, or agents, arising out of or in connection with the performance of this Subaward unless such Claim is solely caused by, or resulting from, a material breach of this Agreement by RTI B RTI shall promptly notify Subrecipient of any claim which is covered by this provision Subrecipient shall, in a diligent and timely manner, (i) brief RTI on all material information pertaining to a Claim and Subrecipient's efforts to defend against the Claim, and (ii) respond to reasonable inquiries by RTI regarding such Claim or defense Any cooperation which an Indemnitee provides Subrecipient at Subrecipient's request with regard to defending against a Claim shall be at the sole expense of Subrecipient RTI may, in its sole discretion, participate in any defense or settlement of a Claim and/or appoint adequate counsel, at Subrecipient's sole expense, to defend an Indemnitee against a Claim Subrecipient shall not enter into any settlement, consent or other like resolution of a Claim without RTI's written approval, which RTI shall not unreasonably withhold The issuance of such approval shall not waive or otherwise limit the indemnity rights of an Indemnitee under this Article SCR 22 Governing Law This Subaward shall be governed by and construed in accordance with the laws of the State of North Carolina, excluding its principles of choice of laws, except as to any provisions hereof which are governed by the laws of the United States of America, as to which provisions such laws of the United States shall govern If this Subaward involves the sale of good, then this Subaward excludes the application of the 1980 United Nations Convention on Subawards for the International Sale of Goods SCR 23,Compliance with Laws Subreciprent, in the performance of this Subaward, shall comply with all applicable local, state, and federal laws, orders, rules, regulations, and ordinances of the United States and all countries where Subrecipient will be performing the Subaward Page 11 of 46 Subaward 2-312 0217229 65857L SCR 24 Excusable Delays Neither Party hereto shall be in default because of any failure to perform under the terms of this Subaward if the failure arises from any incident or circumstance beyond the affected Party's control A United States (U S ) government shutdown and any interruption in the U S government's operations shall constitute an incident or circumstance beyond the affected Party's control if the Party affected informs the other Party immediately in accordance with the requirements of Paragraph (B) below If any such case occurs, the Party affected shall inform the other Party immediately indicating the presumable duration and extent of such contingency Moreover, the Party affected shall promptly use all reasonable efforts to settle such contingencies so that the performance of its obligations under this Subaward can be resumed as soon as possible. SCR 25.Stop Work Order A RTI may at any time, by written notice to Subrecipient, require Subrecipient to stop all or any part of the work called for by this Subaward Upon receipt of the notice, Subrecipient shall immediately cease all work in accordance with the written notice and shall take all reasonable steps to minimize the incurrence of costs allocable to the work covered by the written notice during the period of work stoppage. B Once the Stop Work order is no longer necessary, RTI shall either terminate in accordance with the Termination/Cancellation Article of this Subaward or cancel the stop work order by written notice to Subrecipient Subrecipient shall resume work upon cancellation or expiration of any stop work order. In the event Subrecipient is given notice to continue performing work on the Subaward, an equitable adjustment in accordance with the principles of the Changes and Modifications Article of this Subaward shall be made to the Subaward price, the delivery schedule, or both, if applicable, provided that the claim for equitable adjustment is made as soon as possible but no later than twenty five (25) calendar days after date of notice to continue C. If the Subaward includes Human Subjects research, the Subrecipient will take all necessary steps to bring the study to a medically safe termination RTI understands that it is important that the welfare of human subjects is protected and that subjects are not put at risk As soon as practicable but not more than seven (7) days after receipt of the Stop Work Order, Subrecipient shall present the facts and circumstances to RTI regarding requirements for medically safe termination of the study The final decision on either stopping, continuing, or winding down the study will be made jointly by RTI and the Subrecipient Expenses resulting from ensuring medically safe termination shall be subject to equitable adjustment in accordance with the principles of the Changes and Modifications Article of this Subaward SCR 26. Disputes A Any dispute arising under this Subaward shall be settled by mutual agreement of the parties or pursuant to paragraph (b) below B If the parties cannot resolve the dispute amongst themselves within a reasonable time, the parties may, by mutual agreement, settle such dispute by arbitration in accordance with the Rules of the American Arbitration Association in the City of Raleigh, North Carolina, and judgment upon the award rendered by the arbitrators may be entered in any court having jurisdiction C Pending completion of the Subaward or final resolution of a dispute which releases Subrecipient from performance hereunder, the Subrecipient shall, at all times, proceed diligently with the performance of the Subaward. SCR 27 Litigation and Labor Disputes A Subrecipient shall provide written notice to RTI of any litigation that relates to the services directly or indirectly financed under this Subaward or that has the potential to impair the ability of the Subrecipient to fulfill the terms and conditions of this Subaward, including but not limited to financial, legal or any other situation which may prevent the Subrecipient from meeting its obligations on the Subaward B. Whenever Subrecipient has knowledge that any actual or potential labor dispute is delaying or threatens to delay the timely performance of this Subaward, Subrecipient shall immediately (within 5 calendar days) give notice thereof, including all relevant information, to RTI SCR 28.Termination/Cancelllation Termination for Default A. RTI may terminate this Subaward or any part thereof in the event of any default by Subrecipient, breach of contract or insolvency, or if Subrecipient fails to comply with any of the terms and conditions of the Subaward In the event of termination for default, RTI shall not be liable to Subrecipient for any amount, and Subrecipient shall be liable to RTI for any and all damages sustained by reason of the default which gave rise to the termination RTI shall have right thereafter to take possession of all materials, equipment and the like, the costs of which have been reimbursed by RTI to Subrecipient RTI shall be relieved of all further obligations hereunder In the event that RTI incurs any additional costs as a result of the default by Subrecipient, RTI shall have the right to hold Subrecipient accountable for any such additional costs or damages incurred by RTI Termination for Bankruptcy B If either party shall be adjudged bankrupt, or become insolvent or file for voluntary bankruptcy or be subjected to involuntary bankruptcy proceedings, or enter receivership proceedings, or make an assignment for the benefit of creditors, then the other party, Page 12 of 46 Subaward 2-312-0217229 65857L without prejudice to any of the other rights or remedies expressly provided by law, may cancel this Subaward, or any part hereof, by written notice to the bankrupt party and shall have the right there to retain possession of all materials, equipment and the like, the cost of which has not been reimbursed by the bankrupt party to the other party In such cases of termination, the other party shall be relieved of all further obligations hereunder. Termination for Convenience C. RTI reserves the right, upon written notice, in its own best interest or at the direction of any client or ultimate government customer, and without liability may, upon written notice to Subrecipient, terminate this Subaward, in whole or in part, at any time, whether or not Subrecipient is in default of any of its obligations hereunder Upon such cancellation, Subrecipient agrees to waive any claim for damages, including loss of anticipated profits on account hereof However, RTI agrees that Subrecipient shall be paid an amount which when added to all installments previously paid will equal the sum of all costs properly incurred up to the date of cancellation, and any reasonable cost incurred as a result of such cancellation as agreed to between RTI and Subrecipient Subrecipient shall not be paid for any work performed or costs incurred which reasonably could have been avoided In no event shall such payments be greater than the original Subaward price or authorized funding, whichever is less All earned profit shall bear the same relationship to such incurred costs as the profit increment of the purchase price bears to the cost increment of such purchase price D Subrecipient shall provide RTI and Client, within thirty (30) days from the effective date of RTI's termination for convenience, any supporting information necessary to document the reasonableness of Subrecipientr's claim for costs incurred RTI and Client reserve the right to verify the amounts of any cost and profit increments claimed by Subreceipient, through an audit of Subrecipients records. SCR 29.Insurance A Upon execution of this Agreement, Subrecipient certifies that it maintains and also that it shall require any lower -tier contractor or subrecipient to maintain throughout this Agreement the following insurance at, or in excess of, the limits detailed below • Worker's compensation and employer's liability insurance as required by the state or province where the work is performed. • Comprehensive automobile and vehicle liability insurance covering claims for injuries to members of the public and/or damages to property of others arising from use of motor vehicles, including on-site and off-site operations, and owned, non -owned, or hired vehicles, with $1.000.000 combined single limits • Commercial general liability insurance covering claims for injuries to members of the public or damage to property of others arising out of any negligent act or omission of the Supplier or of any of its employees, agents, or lower tier subcontractors or subrecipients, with $1,000,000 combined single limits B. The required levels of insurance coverage for work performed outside of the United States by non -U.S. vendors shall be based on the customary insurance practices in the country of the vendor and the country where the work is being performed, as directed by the RTI Subagreement Administrator, and as provided by the World Bank These requirements currently can be found at the following link http.//www.worldbank.orci/en/about!corporate-procurement/vendors/insurance-requirement. This link is not maintained by RTI and as such may not remain active In no event shall the failure of the link relieve the Subcontractor/Subrecipient from its obligation to maintain insurance at levels directed by the RTI Subagreement Administrator. C Subrecipient's insurance policy shall name as an additional insured. "RTI International and its subsidiaries, affiliates, officers, directors, and employees" D Subrecipient shall provide to RTI, upon Subaward execution and upon each renewal or replacement thereof a certificate of insurance depicting the insurance requirements set forth in this Article Subrecipient shall send the insurance certificate or renewal certificate(s) via mail or electronic mail (preferred) If the mail is used, please send certificates to the following address RTI International Global Supply Chain 3040 Cornwallis Road Research Triangle Park, NC 27709 Attention John Hall Email johnhall@rti org SCR 30 Standards of Ethics and Business Conduct A RTI has established high ethical standards for its employees, Subrecipients and vendors RTI considers adherence to the RTI Code of Conduct as well as strict observance of all U S and non U 5 laws and regulations to be both a legal requirement and an ethical obligation for its employees All RTI Subrecipients are required to maintain a Code of Business Ethics and Conduct in compliance with FAR 52 203-13 B If Subrecipient has a good faith reason to believe that any violation of its Code of Business Ethics and Conduct has been committed by an employee(s) of either RTI or Subrecipient or anyone affiliated with Subrecipient, Subrecipient shall report such violation to RTI by calling the RTI's Ethics Helpline toll-free at 1-877-212-7220 or sending an e-mail to Ethics@rti org Page 13 of 46 Subaward 2-312-0217229 65857L SCR 31 Executive Order on Terrorism Financing Subrecipient is reminded that U S Executive Orders and U S law prohibits transactions with, and the provisions of resources and support to, individuals and organizations associated with terrorism It is the legal responsibility of Subrecipient to ensure compliance with these Executive Orders and laws This provision must be included in all subcontracts issued under this Subaward. SCR 32,International Trade Compliance (Exports and Imports) a Each Party agrees to comply with applicable federal, state or local laws, orders, regulations and/or ordinances, including without limitation, those of their respective countries of incorporation or principal place of business, as applicable under these Terms, including without limitation, International Trade Compliance (ITC) Laws. "ITC Laws" mean the import, customs, export control, sanctions and U 5 anti- boycott laws, regulations, and orders applicable at the time of the import, export, re-export, transfer, disclosure, or provision of Technical Data, goods or Services including, without limitation, the (i) Export Administration Regulations ("EAR") administered by the Bureau of Industry and Security, U.S. Department of Commerce, 15 Code of Federal Regulations (C F R) Parts 730-774, (ii) International Traffic in Arms Regulations (the "ITAR") administered by the Directorate of Defense Trade Controls, U 5 Department of State, 22 C F R Parts 120-130, (iii) Foreign Assets Control Regulations and associated Executive Orders administered by the Office of Foreign Assets Control, U S Department of the Treasury, 31 C F R Parts 500-598, (iv) Internal Revenue Code, 26 U 5 C § 999, enforced by the U 5 Department of Treasury, (v) International Emergency Economic Powers Act ("IEEPA"), 50 U S C , § 1701 et Seq , (vi) Customs regulations administered by U S Customs and Border Protection, 19 United States Code (U S C ) and Title 19 C F R , and (vii) applicable import, customs and export laws and regulations of other countries, except to the extent they are inconsistent with the U S laws b Export Licensing Responsibility If this Agreement requires either Party to obtain government -approved export authorization to facilitate activities and obligations set forth under this Agreement, the Parties shall mutually exercise reasonable efforts to support the preparation and management of the authorization in full compliance with applicable government regulations The Parties shall without delay respond to requests for supporting documentation, including clarifying questionnaires or any other requested information necessary to secure government authorization Each Party, as applicable, shall be individually responsible for obtaining required documentation or other information from any third party required by such Party to perform its obligations under this Agreement. Failure to obtain any required documentation or information from a third party shall result in the third party's exclusion from the government authorization The Parties shall exchange copies of all government export authorizations related to the Technical Data, or Services, and all provisions or conditions or information relating to the authorization, including but not limited to, any restriction on sublicensing, retransfer, resale or re-export, any requirement for non -disclosure agreements, and any limitation on individuals having access to Technical Data, or Services Each Party, as applicable, shall be individually responsible for compliance with all government export authorizations, including without limitation ensuring that all export -related paperwork and documentation (e.g., Destination Control Statements, Electronic Export Information filed via Automated Export System) are properly completed and timely filed. c Export and Import Classification Where known, or where either Party is the design authority for the Technical Data or Services that are subject to this Agreement, such Party shall provide the other Party with (i) the applicable Harmonized Tariff Schedule Number, (ii) either (a) the United States Munitions List ("USML") category of such Technical Data or Services that are controlled by the ITAR, or (b) the Export Control Classification Number ("ECCN") of such Technical Data or Services that are controlled by the EAR, including the ECCN of components comprising the Technical Data and/or Services if such classification differs from the ECCN of the Technical Data and/or Services, and (iii) any analogous classification under any other applicable law Upon request, either Party shall provide the other Party annually with its DDTC registration expiration date d. Marking of Technical Information Sensitive, export -controlled technical information shall be marked as "Export -controlled, [ECCN or ITAR category ref.] applicable" in accordance with the above paragraph classification and/or marked according to applicable U.S. government agency policy guidelines governing Controlled Unclassified Information "CUI" e Client shall immediately notify the RTI Contractual Contact if Client, or any lower -tier subcontractor is, or becomes, listed in any Denied or Restricted Parties list or if Client's export privileges are otherwise denied, suspended or revoked in whole or in part by any U.S. Government entity or agency The Client shall also notify RTI of any pending administrative enforcement action concerning Client, or any lower -tier subcontractor, that may result in inclusion on any restricted list f Client shall be responsible for all losses, costs, claims, causes of action, damages, liabilities and expenses, including attorney's fees, all expenses of litigation and/or settlement, and court costs, arising from any act or omission of Client, its officers, employees, agents, or subcontractors at any tier, in the performance of any of its obligations under this Section g The Supplier shall include the substance of this clause in all lower -tier subcontracts and subawards SCR 33.Foreign Corrupt Practices Act Subrecipient represents and warrants that it shall comply fully with the anti -bribery provisions of the U S Foreign Corrupt Practices Act, as amended ("FCPA"), as well as the a) UN Convention against Corruption (UNICAC), b) OECD Convention on the Bribery of Foreign Public Officials (OECD Convention), and c) any other applicable local anti corruption laws, rules, and regulations if any part of this Subaward will be performed outside of the United States of America Specifically, Subrecipient understands and agrees that it shall be unlawful for the Subrecipient and/or any officer, director, employee or agent of the Subrecipient to make any kind of offer, payment, promise to pay, or authorization of the payment of any money, or offer, gift, promise to give, or authorization of the giving of anything of value to Page 14 of 46 Subaward 2 312 0217229 65857L (a) any foreign official (or foreign political party) for purposes of either influencing any act or decision of such foreign official in his official capacity, or inducing such foreign official to do or omit to do any act in violation of the lawful duty of such official, or securing any improper advantage, or inducing such foreign official to use his influence with a foreign government, or instrumentality thereof, to affect or influence any act or decision of such government or instrumentality in order to assist such person in obtaining or retaining business for or with, or directing business to any person, or (b) any person, while knowing that all or a portion of such money or thing of value will be offered, given, or promised, directly or indirectly, to any foreign official (or foreign political party), or to any candidate for foreign political office, for any of the prohibited purposes described above. For purposes of this Agreement "foreign official" means any appointed, elected, or honorary official or employee of a) a foreign government (or if this Subaward is to be performed outside the United States than of the Host Country) or political party, or b) of a public international organization, or any person acting in an official capacity for or on behalf of any such government or department, agency, or instrumentality, or for or on behalf of any such public international organization (e g , the UN, DFID, or WHO, or the World Bank) For purposes of this Article, the "government" includes any agency, department, embassy, or other governmental entity, and any company or other entity owned or controlled by the government SCR 34 Validity and Waiver The invalidity in whole or in part of any provision of this Agreement shall not affect the validity of other provisions A waiver of a breach of any provision of this Agreement shall not constitute a waiver of any subsequent breach of that provision or a breach of any other provision of this Agreement The failure of RTI to enforce at any time or from time to time any provision of this Agreement shall not be construed as a waiver thereof SCR 35.Combatinq Trafficking in Persons RTI, as well as the United States Government, has adopted a zero tolerance policy prohibiting trafficking in persons, including any trafficking -related activities Additional information regarding trafficking in persons may be found at the website for the U 5 Department of State's Office to Monitor and Combat Trafficking in Persons at http /Iwww state qov/j/tip/ SCR 36. Electronic Contracting The parties agree that if this Subaward is transmitted electronically neither party shall contest the validity of this Subaward, or any Acknowledgement thereof, on the basis that this Subaward or Acknowledgement contains an electronic signature SCR 37 Debarment and Suspension In accepting this Subaward, the Subrecipient certifies that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from participation in this type of transaction by any Federal department or agency Any change in the debarred or suspended status of the Subrecipient during the life of this Subaward must be reported immediately to RTI The Subrecipient agrees to incorporate the Debarment and Suspension certification into any lower -tier Subaward that they may enter into as a part of this Subaward SCR 38 Survivability A If this Subaward expires, is completed, or is terminated, Subrecipient shall not be relieved of those obligations contained in the following Articles • Independent Contractor • Governing Law • Indemnification • Infringement Representation • Confidential Information • Right to Publish/Release of Information • Insurance • Export Controls • Electronic Contracting • HIPAA Business Associate Agreement B Those U 5 Government Code of Federal Regulations (CFR) and Agency Supplementary Regulation(s) that by their nature should survive SCR 39 Order of Precedence In the event of any inconsistency between or among the provisions, articles, attachments, or requirements which constitute this Subaward, the following order of precedence shall apply Page 15 of 46 Subaward 2 312-0217229-65857L 1 all Special Subaward Requirements (SCRs) as set forth in Appendix A, including any attachments referenced or incorporated by those SCRs 2 incorporated CFR and Agency Supplementary clauses, Appendix C 3 the General Provisions contained in these Standard Subaward Terms, Appendix B 4. the Statement of Work, Appendix D; and 5. all other attachments incorporated herein by reference SCR 40 Sustainabrhty Subrecipient shall operate in a manner that complies with United States (U S ), national, and local environmental laws, regulations and standards including, but not limited to, laws related to energy conservation, greenhouse gas emissions, air emissions, waste management, recycling, water discharge, toxic substances, and hazardous waste disposal Subrecipient agrees to flow down this requirement in any lower -tier Subaward that it may enter into under this Subaward SCR 41 Language Requirements The official text of this Subaward is the English language text, whether or not counterparts hereof are written, executed, or translated into any other language All notices, communications, and submittals between the parties pursuant to the implementation of this Subaward shall be in the English language, unless otherwise directed in writing by RTI In the event that this Subaward is translated into another language, the English version shall prevail SCR 42 HIPAA Business Associate Training Addendum In the event Subrecipient has been designated as a Business Associate, as defined by 45 CFR 160 103, via operation of another provision contained in this Subaward, Subrecipient certifies that it has completed, or will complete, a training course as described in 45 CFR 164 530(b) for all employees associated with the work issued under this Subaward and prior to such employees engaging in any work which involves Protected Health Information ("PHI"), as defined in 45 CFR 160 103 SCR 43 Entire Agreement Both parties acknowledge that they have read this Subaward, understand it, and agree to be bound by its terms and further agree that it is the entire agreement between the parties hereto which supersedes all pnor agreements, written or oral, relating to the subject matter hereof No modification or waiver of any provision shall be binding unless in writing signed by an Authorized Representative of the Party against whom such modification or waiver is sought to be enforced Page 16 of 46 Subaward 2 312 0217229 65857L Attachment 3• Statement of Work/Budclet Field -Generated Solutions to Improve Services for Victims Statement of Work The RPD will support RTI as a subcontract to the Office for Victims of Crime's Field Generated Solutions to Improve Services for Victims project (OVC Award Number 2019-V3 GX-K141) RPD staff will be responsible for conducting the tasks outlined below Period of Performance. 02-29-2020 to 07-31-2022 Task One. Project Management 1. Kickoff meeting (year 1) • RPD will participate in a virtual kickoff meeting with RTI. 2 Internal updated (years 1-3) • RPD will participate in project team meetings, as needed The purpose of these meetings is to have representation from partner organizations so that project activities can be discussed, updates can be given, and any issues impacting all partners can be resolved 3 Budget management (years 1-3) • RPD will regularly monitor project budgets and submit monthly project -level invoices showing current charges, cumulative charges, and a brief narrative description summarizing the work performed • Deliverable -- Monthly invoices 4 Data sharing agreement (years 1-3) • RPD will enter into a data use agreement (DUA) with RTI to facilitate the transfer of project data necessary to carry out the intervention 5 End -of -project meeting (year 3) • RPD will participate in a virtual end -of -project meeting with RTI. Task Two Intervention Development and Training 1 Intervention development (year 1) • RPD staff will provide RTI input regarding the unique local needs of the agency and the operational feasibility of the proposed Enhanced Victim Services Model (EVSM) 2 Intervention training and experimental requirements (year 1) • RPD will identify and commit staff members to receive EVSM training to become proficient with the model and ensure fidelity to the proposed experiment. Task Three Case Management Implementation, Use, and Administrative Data Sharing 1 Case management implementation (year 1) • RPD staff will facilitate the technical implementation of RTI's case management system by allowing access to the agency's record management system and network. 2 Data entry into case management system (years 1-3) • After training, RPD victim advocates will document their activity in the victim services case management system 3. Administrative data sharing (years 1-3) • During the project period of performance RPD will share the information from the following systems with RTI to facilitate the project and evaluation Record management system administrative data related to the time, date, location, nature of burglary offense, victim/suspect information, investigative documentation, and case outcomes II. Victim services case management system administrative data related to victim service documentation Task Four• Conduct Enhanced Victim Service Model Outreach 1 EVSM Outreach (years 1-3) • RPD victim advocates will implement the EVSM for victims of burglary as directed by the case management system RTI will provide assistance and technical support to RPD as needed throughout the period of performance Page 17 of 46 Subaward 2 312 0217229 65857L Budget (2/29/20 — 9/30/20)(10/1/20 — 9/30/21)(10/1/21 -7/31/22 Budget Category Year 1 Year 2 Year 3 Personnel $ 3,000.00 $ 21,000 00 $ 3,450 00 Fringe $ 273.00 $ 1,91100 $ 313 95 Travel $ - $ - $ - 'Equipment $ - $ - $ - ;Supplies $ - $ - $ - ;Construction $ - $ - $ - 'Subawards $ - $ - $ - Procurment Contracts $ - $ - $ - Other $ - $ - $ - ;Total Direct Costs $ 3,273.00 $ 22,911.00 $ 3,763.95 'Indirect Costs $ - $ - $ - Total Costs by Year $ 3,273.00 $ 22,911 00 $ 3,763.95 Total Project Costs $ 29,947 95 Page 18 of 46 Subaward 2-312-0217229 65857L Year 1 (2/29/2020 — 9/30/2020) Personnel Name Positron Rate Type Quantity Total cost TBD Agency Service Provider S 30.00 Hourly 100 5 3,000.00 Fringe- Total 5 273.00 Narrative 1 Fringe for the agency service providers will include FICA/Medicare and unemployment insurance Narrative I5upplhes Hourly salary costs for service providers is estimated at 530/hour Service providers will be responsible fur carrying out the enhanced services model for victims of burglary Fringe Description Base Rate Total cost FICA/Medicare 5 3,000.00 7.65% 5 22950 Unemployment insurance $ 3.00000 1459E $ 4350 Fringe- Total 5 273.00 Narrative 1 Fringe for the agency service providers will include FICA/Medicare and unemployment insurance Travel [wine Position Base Rate Total cost N/A N/A N/A N/A WA Narrative tti Equipment N/A Narrative Equipment Description Quantity Cost/unit T0.. cos,: N/A NIA N/A NjA Supplies 5ilppiles Description Quantity Cost/un,t Total cost N/A N/A N/A N/A N/A Narrative Construction I5upplhes Description Total cost IN/A N/A NiA IfiEarrative implommiummegamscak IAwardee Description Total cost INA Narrative N/A N/A Proctmnent Contracts Recipient Description Total COST N/A tt A N;',", Narrative Other Other NIA Description Total cost N/A N/A Narrative Indirect Costs Indirect Base Rate Total cost N/A N/A IN/A Narrative Page 19 of 46 Subaward 2-312 0217229 65857L Year 2 (]0/01/2020 — 7/30/2021 Personnel Name Position Rate Type Quantity TataI cost T 00 Agency Service Provider 5 30.00 Hourly 700 521,000.00 1.45% $ 30450 Fringe- Total Narrative 5 1,911.00 Narrative See description under year 1. See description under year 1. Travel Name Positron Description Baae Rate Total cost F1CA/Nledicare S21,000.00 7.65% $ 1,60630 Unemployment Insurance S21,000.00 1.45% $ 30450 Fringe- Total Narrative 5 1,911.00 Narrative 1 See description under year 1. Travel Name Positron Base Rate Total cost N/A N/A Ni A. N/A N/A Narrative Equent Equipment DestrrptronQuantity Quantity Cost/unit Total cost NIA N/A N/A N/A N/A Narrative Supplies ,Supplies Description Quantity Cost/unit Total cost NIA N/A N/A N1A N/A 'Narrative Construction Supplies Description Total cost N/A N/A N/A Narrative Subawards Awardee Description Total cost N/A NiA N/A Narrative Procurment Contracts Recipient Description Total cost N/A N/A N/A Narrative Other Other Description Total cost NIA N/4 N/A Narrative indirect Costs indirect Base Rate Total cost N/A NIA N/A Narrative Page 20 of 46 Subaward 2 312-0217229 65857L Year 3 (10/01/2021— 7/31/2022) Personnel Name Position Rate Type quantity Total cost 1130 Agency Service Provider 5 30.00 Hourly 115 $ 5,450.00 7,55% $ 263.93 Unemployment Insurance Narrative 5 3,450.00 Narrative 1 45% See description under year Iii Travel Fringe Position Description Rte Base Rate N/A Total cost FICA/Medicare N/A 5 3,450-00 7,55% $ 263.93 Unemployment Insurance Narrative 5 3,450.00 1 45% 5 50.03 Fringe -Total S 31395 Narrative 1 See description cinder year 1 Travel Name Position base Rte Total calm- o rN/A N/A N/A N/A N/A N/A Narrative Equipment Equipment Description Quantity Cost/unit Total cost N/A N/A NIA NIA N/A Narrative Supplies Supplies Description Quantity Cost/unit Teta' cost N/A N/A N/A N/A N/A Narrative Con5tu tion Supplies Description Toni cost N/A NIA N/A Narrative Suhawards Awardee N/A Description Total cost NiA N/A Narrative Procurment Contracts Recipient N/A Description Total cost NIA N/A Narrative Other Other N/A Description Total cost N/A N/A Narrative Indirect Costs indirect Base Rate Total cost NIA N!A NrA Narra4 ve Page 21 of 46 Subaward 2 312 0217229-65857L Attachment 4: Subaward Special Award Provisions The following Code of Federal Regulations (CFR) clauses are incorporated herein by reference with the same force and effect as if they were given in full text, and are applicable to this Subaward The full text of the CFR clauses may be found at https.//www.opo,aovlfdsys/browse/collectionCfr.action?collectionCode=CFR Subrecipient agrees to flow down all applicable CFR clauses to lower -tier Subrecipients A Unless one of the exceptions provided in (B) below shall apply the term "Award", "Cooperative Agreement" or "Grant" shall mean "Subaward", the term "Awardee" or "Recipient" shall mean "Subrecipient"; the term "Government" or "Covered Entity" shall mean "RTI", and the term "Contracting Officer" or "Grants Management Specialist" shall mean the "RTI Subaward Administrator or other authorized individual " B The following instances are exceptions to the general rules as provided in (A) above 1 Where it is clear, by the context of the provision itself or the conditions under which it is being applied, that the reference is intended to refer to the Government, its officers or agents, or the prime Awardee/Recipient specifically, 2. Where access to proprietary financial information or other proprietary data is required, or 3. Where interpretation in accordance with the rules stated above would place RTI in a position of violating the equivalent or related provisions of the Prime Cooperative Agreement whereas construction of the terms without modification would not C References in any provision incorporated by reference herein to the "Disputes" clause shall be construed as references to the "Disputes" provision contained elsewhere in this Subaward No provision herein shall be taken to imply any direct access on the part of the Subrectpient to the Disputes process as defined in the terms of the Prime Cooperative Agreement D The following CFR provisions are incorporated herein 1) Equal Employment Opportunity, 41 CFR, Part 60 2) Rights to Inventions Made Under a Contract or Agreement, 37 CFR, Part 401 3) Clean Air Act (42 U S C 7401 et seq.) and the Federal Water Pollution Control Act as amended (33 U S C 1251 et seq) 4) Byrd Anti -Lobbying Amendment (31 U.S.C. 1352) 45 CFR Part 93 5) Debarment and Suspension (E.O. 12549 and 12689) 2 CFR Part 180 6) By acceptance of this Subaward, Subrecipient agrees to comply with the applicable Federal requirements for grants and cooperative agreements and to the prudent management of all expenditures and actions affecting this Subaward. In addition to the terms and conditions presented in this Subaward, Subrecipient's performance under this Subaward shall follow and comply with the requirements of 2 CFR 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, standards and 34 USC 20103(c)(I)(A) and 2 CFR 200. E Other Client Regulations and Policies that Apply Prime Contract Flowdowns• Requirements of the award, remedies for non-compliance or for materially false statements The conditions of this award are material requirements of the award Compliance with any assurances or certifications submitted by or on behalf of the recipient that relate to conduct during the period of performance also is a material requirement of this award By sign E ng and accepting this award on behalf of the recipient, the authorized recipient official accepts all material requirements of the award, and specifically adopts all such assurances or certifications as if personally executed by the authorized recipient official Failure to comply with any one or more of these award requirements -- whether a condition set out in full below A condition incorporated by reference below or an assurance or certification related to conduct during the award period - - may result in the Office of ]ustice Programs ("OJP") taking appropriate action with respect to the recipient and the award Among other things, the OJP may withhold award funds, disallow costs, or suspend or terminate the award The U 5 Department of Justice ("DO]") including OJP, also may take other legal action as appropriate Any materially false, fictitious or fraudulent statement to the federal government related to this award (or concealment or omission of a material fact) may be the subject of criminal prosecution (including under 18 U 5 C 100 I and/or 1621, and/or 34 USC IO 27 1-10 273), and also may lead to imposition of ci ii penalties and administrative remedies for false claims or otherwise (including under 31 U.S C 3729-3730 and 3801 -3812) Should any provision of a requirement of this award be held to be invalid or unenforceable by its terms, that provision shall first be applied with a limited construction so as to give it the maximum effect permitted by law Should it be held, instead, that the provision is utterly invalid or -unenforceable, such provision shall be deemed severable from this award. Page 22 of 46 Subaward 2 312-0217229-65857L Applicability of Pan 200 Uniform Requirements The Uniform Administrative Requirements, Cost Principles, and Audit Requirements in 2 C F R Pan 200, as adopted and supplemented by DOJ in 2 C F R Part 2800 (together, the "Pan 200 Uniform Requirements") apply to this FY 2019 award from O]P The Part 200 Uniform Requirements were first adopted by DO3 on December 26, 20 T 4. If this FY 2019 award supplements funds previously awarded by O3P under the same award number (e.g., funds awarded during or before December 20 14), the Pan 200 Uniform Requirements apply with respect to all funds under that award number (regardless of the award date, and regardless of whether derived from the initial award or a supplemental award) that arc obligated on or after the acceptance date of this FY 2019 award. For more information and resources on the Part 200 Uniform Requirements as they relate to 0313 awards and subawards ("subgrants"), sec the OJP website al https .//ojp.gov/funding/Parl200UniformRequirements htm Record retention and access Records pertinent to the award that the recipient (and any subrecipient ("subgrantee") at any tier) must retain -- typically for a period of 3 years from the date of submission of the final expenditure report (SF 425), unless a different retention period applies -- and to which the recipient (and any subrecipient ("subgrantee") at any tier) must provide access, include performance measurement infomlation, in addition to the financial records, supporting documents, statistical records. and other penitent records indicated at 2 C F R 200,333 In the event that an award -related question arises from documents or other materials prepared or distributed by O]P that may appear to conflict with, or differ in some way from, the provisions of the Pan 200 Uniform Requirements, the recipient is to contact OJP promptly for clarification Compliance with D03 Grants Financial Guide References to the DO] Grants Financial Guide are to the DOJ Grants Financial Guide as posted on the O3P website (currently, the "DO] Grants Financial Guide" available at https://ojp.gov/fnancialguide/DDJ /index htm), including any updated version that may be posted during the period of performance. The recipient agrees to comply with the DOJ Grants Financial Guide Reclassification of various statutory provisions to a new Title 34 of the United States Code On September I, 2017, various statutory provisions previously codified elsewhere in the U S Code were editorially reclassified (that is moved and renumbered) to a new Title 34, entitled "Crime Control and Law Enforcement " The reclassification encompassed a number of statutory provisions pertinent to OJP awards (that is, OJP grants and cooperative agreements), including many provisions previously codified in Title 42 of the U.S. Code. Effective as of September 1, 2017 any reference in this award document to a statutory provision that has been reclassified to the new Title 34 of the U S Code is to be read as a reference to that statutory provision as reclassified to Title 34 This rule of construction specifically includes references set out in award conditions, references set out in material incorporated by reference through award conditions, and references set out in other award requirements Requirement to report potentially duplicative funding If the recipient currently has other active awards of federal funds or if the recipient receives any other award of federal funds during the period of performance for this award, the recipient promptly must determine whether funds from any of those other federal awards have been, are being, or are to be used (in whole or in part) for one or more of the identical cost items for which fund are provided under this award If so, the recipient must promptly notify the DO] awarding agency (OJP or OVW as appropriate) in writing of the potential duplication, and, if so requested by the DO] awarding agency must seek a budget modification or change -of -project -scope grant adjustment notice GAN) to eliminate any inappropriate duplication of funding Requirements related to System for Award Management and Universal Identifier Requirements The recipient must comply with applicable requirements regarding the System for Award Management (SAM), currently accessible at https /www sam gov/ This includes applicable requirements regarding registration with SAM, as well as maintaining the currency of information in SAM The recipient also must comply with applicable restrictions on subawards ("subgrants") to first-tier subrecipients (First-tier "subgrantees"), including restrictions on subawards to entities that do not acquire and provide (to the recipient) the unique entity identifier required for SAM registration The details of the recipient's obligations related to SAM and to unique entity identifiers arc posted on the OJP website al. https.//ojp.gov/funding/Explore/SAM htm (Award condition System for Award Management (SAM) and Universal Identifier Requirements), and arc incorporated by reference here Page 23 of 46 Subaward 2-312 0217229-65857L This condition does not apply to an award to an individual who received the award as a natural person (i e , unrelated to any business or non-profit organization that he or she may own or operate in his or her name) Employment eligibility verification for hiring under the award I The recipient (and any subrecipient at any tier) must -- A Ensure that as part of the hiring process for any position within the United States that is or will be funded (in whole or in part) with award funds, the recipient (or any subrecipient) properly verifies the employment eligibility of the individual who is being hired, consistent with the provisions of 8 U S C 1 324a(a)(I) and (2) B Notify all persons associated, with the recipient (or any subrecipient) who arc or will be involved in activities under this award of both -- (1) this award requirement for verification of employment eligibility, and (2) the associated provisions in 8 U 5 C 1 324a(a)(1) and (2) that, generally speaking, make it unlawful, in the United States, to hire (or recruit for employment) certain aliens C Provide training (to the extent necessary) to those persons required by this condition to be not ified of the award requirement for employment eligibility verification and of111e associated provisions of8 U S C 132 4a(a)(I) and (2) D. As part of the recordkeeping for the award (including pursuant to the Part 200 Uniform Requirements), maintain records of all employment eligibility verifications pertinent to compliance with this award condition in accordance with Form 1 9 record retention requirements, as well as record of all pertinent notifications and trainings 2 Monitoring The recipients monitoring responsibilities include monitoring of subrecipient compliance with this condition 3 Allowable costs To the extent that such costs are not reimbursed under any other federal program, award funds may be obligated for the reasonable necessary and allocable costs (if any) of actions designed to ensure compliance with this condition 4 Rules of construction A Staff involved in the hiring process For purposes of this condition, persons "who are or will be involved in activities under this award" specifically includes (without limitation) any and all recipient (or any subrecipient) officials or other staff who are or will be involved in the hiring process with respect to a position that is or will be funded (in whole or in part) with award funds. B Employment eligibility confirmation with E -Verify For purposes of satisfying the requirement of this condition regarding verification of employment eligibility, the recipient (or any subrecipient) may choose to participate in, and use E -Verify (www e -verify gov), provided an appropriate person authorized to act on behalf of the recipient (or subrecipient) uses E -Verify (and follows the proper E Verify procedures, including in the event of a 'Tentative Nonconfirmation" or a "Final Nonconfirmation") to confirm employment eligibility for each hiring for a position in the United States that is or will be funded (in whole or in part) with award funds C "United States" specifically includes the District of Columbia, Puerto Rico, Guam, the Virgin Islands of the United States, and the Commonwealth of the Northern Mariana Islands D Nothing in this condition shall be understood to authorize or require any recipient, any subrecipient at any tier, or any person or other entity, to violate any federal law, including any applicable civil rights or nondiscrimination law E Nothing in this condition, including in paragraph 4 5 , shall be understood to relieve any recipient, any subrecipient at any tier, or any person or other cmi ty, of any obligation otherwise imposed by law, including 8 U 5 C 1324a(a)( I) and (2) Questions about E -Verify should be directed to DI -IS For more information about E Verify vi sit the E Verify website (https .//www.e verify gov/) or email E -Verify at E-Yerify@dhs gov E -Verify employer agents can email E -Verify at E- VerifyEmployerAgent@dhs.gov. Questions about the meaning or scope of this condition should be directed to O]P, before award acceptance Requirement to report actual or )Imminent breach of personally identifiable information (P11) The recipient (and any "subrecipient" at any tier) must have written procedures in place to respond in the event of an actual or imminent "breach" (OMB M-17-12) if it (or a subrecipient) -- (I) creates, collects, uses, processes, stores, Page 24 of 46 Subaward 2 312 0217229-65857L maintains, disseminates, discloses, or disposes of "personally identifiable information (PII)" (2 CFR 200 79) within the scope of an OJP grant -funded program or activity, or (2) uses or operates a "Federal information system" (OMB Circular A-130) The recipient's breach procedures must include a requirement to report actual or imminent breach of PII to an O]P Program Manager no later than 24 hours after an occurrence of an actual breach, or the detection of an imminent breach All subawards ("subgrants") must have specific federal authorization The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements for authorization of any subaward This condition applies to agreements that -- for purposes of federal grants administrative requirements -- OJP considers a "subaward" (and therefore does not consider a procurement "contract") The details of the requirement for authorization of any subaward arc posted on the O]P web site at https //ojp gov/funding/Explo re/SubawardAuthonzarion htm (Award condition All subawards ("subgrants") must have specific federal authorization), and are incorporated by reference here Specific post -award approval required to use a noncompetitive approach in any procurement contract that would exceed $250,000 The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements to obtain specific advance approval to use a noncompetitive approach in any procurement contract that would exceed the Simplified Acquisition Threshold (currently, $250,000) This condition applies to agreements that -- for purposes of federal grants administrative requirements -- OJP considers a procurement "contract" (and therefore does not consider a subaward) The details of the requirement for advance approval to use a noncompetitive approach in a procurement contract under an OJP award are posted on the OJP web site at https./loip.00v/funding/Explore/NoncompetitiveProcurement.htm (Award condition Specific post - award approval required to use a noncompetitive approach in a procurement contract (if contract would exceed $250,000)), and are incorporated by reference here Unreasonable restrictions on competition under the award, association wtth federal government SCOPE This condition applies with respect to any procurement of property or services that is funded (in whole or in part) by this award, whether by the recipient or by any subrecipient at any tier, and regardless of the dollar amount Of the purchase or acquisition, the method of procurement, or the nature of any legal instrument used The provisions of this condition must be among those included in any subaward (at any tier) I No discrimination, in procurement transactions, against associates of the federal government Consistent with the (DOJ) Part 200 Uniform Requirements -- including as set out at 2 C F R 200 300 (requiring awards to be "manage[d] and administer[ed] in a manner o as to ensure that Federal funding is expended and associated programs are implemented in full accordance with U 5 statutory and public policy requirements") and 200 3 I 9(a) (generally requiring "(a )II procurement transactions [to) be conducted in a manner providing full and open competition" and forbidding practices "restrictive of competition ," such as "(placing unreasonable requirements on firms in order for them to qualify to do business" and taking "[a]ny arbitrary action in the procurement process") — no recipient (or subrecipient at any tier) may (in any procurement transaction) discriminate against any per on or entity on the basis of such person or entity's status as an "associate of the federal government" (or on the basis of such person or entity's status as a parent, affiliate, or subsidiary of such an associate) except as expressly set out in 2 C F R 200 3 19(a) or as specifically authorized by USDO] 2 Monitoring The recipient's monitoring responsibilities include monitoring of subrecipient compliance with this condition 3. Allowable costs To the extent that such costs are not reimbursed under any other federal program, award funds may be obligated for the reasonable, necessary, and allocable costs (if any) of actions designed to ensure compliance with this condition 4 Rules of construction A The term "associate of the federal government" means any person or entity engaged or employed (in the past or at present) by or on behalf of the federal government-- a an employee, contractor or subcontractor (at any tier) grant recipient or -subrecipient (at any tier), agent, or otherwise- in undertaking any work, project, or activity for or on behalf of (or in providing goods or services to or on behalf of) the federal government, and includes any applicant for such employment or engagement, and any person or entity committed by legal instrument to undertake any such work, project. or activity (or to provide such goods or services) in future B Nothing in this condition shall be understood to authorize or require any recipient any subrecipient at any tier, or any person or other entity, to violate any federal law, including any applicable civil rights or nondiscrimination law Page 25 of 46 Subaward 2-312-0217229-65857L Requirements pertaining to prohibited conduct related to trafficking in persons (including reporting requirements and O]P authority to terminate award) The recipient and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements (including requirements 10 report allegations) pertaining to prohibited conduct related to trafficking of person, whether on the part of recipients, subrecipients ("subgrantees"), or individuals defined (for purposes of this condition) as "employees" of the recipient or of any subrecipient The details of the recipient's obligations related to prohibited conduct related to trafficking in persons are posted on the 03P web site at hnps //ojp gov/funding/Explorc/ProhibitedConduct-Trafficking htrn (Award condition Prohibited conduct by recipients and subrecipients related to trafficking in persons (including reporting requirements and OJP authority to terminate award)) and are incorporated by reference here Determination of suitability 10 interact with participating minors SCOPE This condition applies to this award if it is indicated- in the application for the award (ns approved by D0]) (or in the application for any subaward, at any Lier) the 003 funding announcement (solicitation), or an associated federal statute -- that a purpose of some or all of the activities to be carried out under the award (whether by the recipient, or a subrecipient at any tier) is to benefit a set of individuals under 18 years of age. The recipient, and any subrecipient at any tier, must make determinations of suitability before certain individuals may interact with participating minors. This requirement applies regardless of an individual's employment status The details of this requirement are posted on the 03P web site at https.l/ojp.aov/funding/Explorc/Interact-Minors.htm (Award condition Determination of suitability required, in advance, for certain individuals who may interact with participating minor) and are incorporated by reference here Compliance with applicable rules regarding approval, planning, and reporting of conferences meetings, trainings, and other events The recipient, and any subrecipient ("subgrantee") at any tier must comply with all applicable laws, regulations policies, and official DO] guidance (including specific cost limits, prior approval and reporting requirements, where applicable) governing the use of federal funds for expenses related to conferences (as that term is defined by 00]), including the provision of food and/or beverage at such conferences, and costs of attendance at such conferences Information on the pertinent DOJ definition of conferences and the rules applicable to this award appears in the 00] Grants Financial Guide (currently as section 3 10 of "Postaward Requirements" in the "DO] Grants Financial Guide") OJP Training Guiding Principles Any training or training materials that the recipient - or any subrecipient ("subgrantee") at any tier -- develops or delivers with OJP award funds must adhere to the O]P Training Guiding Principles for Grantees and Subgrantees, available at https //oil) oov/funding/Imolcment/TrainingPri nciplesForGrantees-Subgrantees.htm Potential imposition of additional requirements The recipient agrees to comply with any additional requirements that may be imposed by the 003 awarding agency (OJP or OVW, as appropriate) during the period of performance for this award, if the recipient is designated as "highrisk" for purposes of the DOJ high-risk grantee list Compliance with DO] regulations pertaining to civil rights and nondiscrimination - 28 C.F.R. Part 42 The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements of28 C.F R. Part 42, specifically including any applicable requirements in Subpart E of28 C F R. Pan 42 that relate to an equal employment opportunity program Compliance with DO] regulations pertaining to civil rights and nondiscrimination - 28 C F R. Part 54 The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements of28 C F R Part 54, which relates to nondiscrimination on the basis of sex in certain "education programs." Compliance with DO) regulations pertaining to civil rights and nondiscrimination — 28 C.F.R. Part 38 The recipient and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements of 28 C.F.R Part 38 (as may be applicable from time to time), specifically including any applicable requirements regarding written notice to program beneficiaries and prospective program beneficiaries Page 26 of 46 Subaward 2-312-0217229 65857L Currently, among other things, 28 C F R Pan 38 includes rules that prohibit specific forms of discrimination on the basis of religion, a religious belief, a refusal to hold a religious belief, or refusal to attend or participate in a religious practice Part 38, currently, also sets out rules and requirements that pertain to recipient and subrecipient ("subgrantee") organizations that engage in or conduct explicitly religious activities as well as rules and requirements that pertain to recipients and subrecipients that are faith -based or religious organizations The text of28 C F.R. Part 38 is available via the Electronic Code of Federal Regulations (currently accessible at https.//www ecfr gov/cgi-bin/ECFR?page=browse), by browsing to Title 28 -Judicial Administration, Chapter I, Pan 38, under e -CFR "current" data Restrictions on "lobbying" In general as a matter of federal law, federal funds awarded by OJP may not be used by the recipient, or any subrecipient ("subgrantee") at any tier, either directly or indirectly, Lo support or oppose the enactment, repeal, modification or adoption of any law, regulation or policy, at any level of government See 18 U S 1913 (There may be exceptions if an applicable federal statute specifically authorizes certain activities that otherwise would be barred by law Another federal law generally prohibits federal funds awarded by OJP from being used by the recipient, or any subrecipient al any tier, to pay any person to influence (or attempt to influence) a federal agency, a Member of Congress, or Congress (or an official or employee of any of them) with respect to the awarding of a federal grant or cooperative agreement, subgrant, contract, subcontract, or loan, or with respect to actions such as renewing, extending, or modifying any such award See 31 U S C 1352 Certain exceptions to this law apply including an exception that applies to Indian tribes and tribal organizations Should any question arise as to whether a particular use of federal funds by a recipient (or subrecipient) would or might fall within the scope of these prohibitions, the recipient is to contact OJP for guidance, and may not proceed without the express prior written approval of O]P Compliance with general appropriations -law restrictions on the use of federal funds (FY 2019) The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable restrictions on the use of federal funds set out in federal appropriations statutes Pertinent restrictions, including from various "general provisions" in the Consolidated Appropriations Act, 2019, are set out at https //op gov/funding/Explore/FY19ApproprialionsRestrictions htm, and arc incorporated by reference here. Should a question arise as to whether a particular use of federal funds by a recipient (or a subrecipient) would or might fall within the scope of an appropriations -law restriction, the recipient is to contact OJP for guidance, and may not proceed without the express prior written approval of OJP Reporting potential fraud, waste, and abuse, and similar misconduct The recipient and any subrecipients ("subgrantees") must promptly refer to the DO] Office of the Inspector General (OIG) any credible evidence that a principal, employee, agent, subrecipient, contractor, subcontractor, or other person has in connection with funds under this award -- (1) submitted a claim that violates the False Claims Act, or (2) committed a criminal or civil violation of laws pertaining to fraud, conflict of interest, bribery, gratuity, or similar misconduct Potential fraud waste. abuse, or misconduct involving or relating to funds under this award should be reported to the OIG by --(1) online submission accessible via the OtG webpage at https //oig justice gov/hotline/contact-grants htm (select "Submit Report Online"), (2) mail directed to Office of the Inspector General, U 5 Department of Justice, Investigations Division, 1425 New York Avenue, N W Suite 7100, Washington, DC 20530, and/or (3) by facsimile directed to the DOJ OIG Fraud Detection Office (Attn Grantee Reporting) al (202) 616-9881 (fax) Additional information is available from the DO] OIG website at https //oigjustice qov/hotline Restrictions and certifications regarding non -disclosure agreements and related matters No recipient or subrecipient ("subgrantee") under this award, or entity that receives a procurement contract or subcontract with any funds under this award, may require any employee or contractor 10 sign an internal confidentiality agreement or statement that prohibits or otherwise restricts, or purports to prohibit or restrict, the reporting (in accordance with law) of waste, fraud, or abuse to an investigative or law enforcement representative of a federal department or agency authorized to receive such information The foregoing is not intended, and shall not be understood by the agency making this award, to contravene requirements applicable to Standard Form 312 (which relates to classified information), Form 4414 (which relates to sensitive compartmented information), or any other form issued by a federal department or agency governing the nondisclosure of classified information Page 27 of 46 Subaward 2-312-0217229-65857L I In accepting this award, the recipient -- a represents that it neither requires nor ha required internal confidentiality agreements or statements from employees or contractors that currently prohibit or otherwise currently restrict (or purport to prohibit or restrict) employees or contractors from reporting waste, fraud, or abuse as described above; and b. certifies that, if it learns or is notified that it is or has been requiring its employees or contractors 10 execute agreements or statements that prohibit or otherwise restrict (or purport to prohibit or restrict), reporting of waste, fraud, or abuse as described above, it will immediately stop any further obligations of award funds, will provide prompt written notification to the federal agency making this award and will resume (or permit resumption of) such obligations only if expressly authorized to do so by that agency 2 If the recipient docs or is authorized under this award to make subawards ("subgrants"), procurement contracts or both -- a it represents that -- (1) it has determined that no other entity that, the recipient's application proposes may or will receive award funds (whether through a subaward ("subgrant"), procurement contract, or subcontract under a procurement contract) either requires or has required internal confidentiality agreements or statements from employees or contractors that currently prohibit or otherwise currently restrict (or purport to prohibit or restrict) employees or contractors from reporting waste, fraud, or abuse as described above, and (2) it has made appropriate inquiry, or otherwise has an adequate factual basis, lo support this representation, and b. it certifies that, if it learns or is notified that any subrecipient contractor or subcontractor entity that receives funds under this award is or has been requiring its employees or contractors to execute agreements or statements that prohibit or otherwise restrict (or purport to prohibit or restrict), reporting of waste, fraud , or abuse as described above it will immediately stop any further obligations of award funds to or by that entity, will provide prompt written notification to the federal agency making this award, and will resume (or permit resumption of) such obligations only if expressly authorized to do so by that agency Compliance with 41 U.S.C. 4712 (including prohibitions on reprisal, notice 10 employees) The recipient (and any subrecipient at any tier) must comply with and is subject to, all applicable provisions of 41 U.S.C. 47 12, including all applicable provisions that prohibit, under specified circumstances, discrimination against an employee as reprisal for the employee's disclosure of information related to gross mismanagement of a federal grant, a gross waste of federal funds, an abuse of authority relating to a federal grant, a substantial and specific danger to public health or safety or a violation of law, rule, or regulation related to a federal grant The recipient also must inform its employees, in writing (and in the predominant native language of the workforce), of employee rights and remedies under 41 U S C 471 2 Should a question arise as to the applicability of the provisions of 41 U S C 4 7 12 to this award, the recipient is to contact the DOJ awarding agency (OJP or OVW as appropriate) for guidance Encouragement of policies to ban text messaging, while driving Pursuant to Executive Order 13513, "Federal Leadership on Reducing Text Messaging While Driving," 74 Fed Reg 51225 (October 1, 2009) DO] encourages recipients and subrecipients ("subgrantees") to adopt and enforce policies banning employees from text messaging while driving any vehicle during the course of performing work funded by this award, and lo establish workplace safely policies and conduct education, awareness, and other outreach to decrease crashes caused by distracted drivers The grantee agrees to comply with the requirements set forth in the current edition of the OVC Publishing Guidelines Handbook at http //www ojp.usdoj.gov/ovc/publications/infores/pubguidelines/welcome html The grantee agrees that OVC retains the right to make a final determination whether to publish or produce any grant funded product as an OVC- sponsored product Only after OVC decides against official publication, can the grantee independently release a publication or product for sale or dissemination, at its own expense However, if the grantee releases this info mlation it may not include use of the OVC logo, or other indicia that it is an official OVC publication Grantees producing (1) all videos or (2) any products for grantee's independent release must follow the OVC Publishing Guidelines for placement of logos, inclusion of funding/disclaimer statement, and, if relevant, product barcodes Check with your grant monitor for tip sheet, "The Essentials " for detailed instructions Confidentiality of data The recipient (and any subrecipient at any tier) must comply with all confidentiality requirements of34 U S C 10231 Page 28 of 46 Subaward 2-312-0217229 65857L and 28 C F R Part 22 that arc applicable to collection, use, and revelation of data or information The recipient further agrees, as a condition of award approval, to submit a Privacy Certificate that is in accord with requirements of 28 C F R Part 22 and, in particular, 28 C.F. R. 22,23. Recipient understands and agrees that neither it nor any subrecipient may engage in activities constituting organizational conflicts of interest, such as awarding contracts (10 be paid in whole or in part with grant funds) to Department of Justice -funded training and technical assistance (TT A) providers that guided project specifications as part of the provision of training and technical assistance to the recipient (or any subrecipient) of this award The Procurement Standards in 2 C F R Part 200 (the Part 200 Uniform Requirements) and the DOJ Grants Financial Guide describe actions that would or may give rise to organizational conflicts or other potential conflict of interest concerns under the award Prior approval from the grant manager is required for any work with a Department of Justice -funded TT A provider Justification of consultant rate Approval of this award does not indicate approval of any consultant rate in excess of $650 per day A detailed justification must be submitted to and approved by the OJP program office prior to obligation or expenditure of such funds Copyright; Data rights The recipient acknowledges that OJP reserves a royalty -free, non-exclusive, and irrevocable license to reproduce, publish, or otherwise use, and authorize others to use (in whole or in part including in connection with derivative works), for Federal purposes (1) any work subject to copyright developed under an award or subaward (at any tier), and (2) any rights of copyright to which a recipient or subrecipient (at any tier) purchases ownership with Federal support The recipient acknowledges that OJP has the right to (1) obtain, reproduce, publish, or otherwise use the data first produced under any such award or subaward, and (2) authorize others to receive, reproduce, publish, or otherwise use such data for Federal purposes "Data" includes data as defined in Federal Acquisition Regulation (FAR) provision 52 227- 14 (Rights in Data - General) It is the responsibility of the recipient (and of each subrecipient (at any tier), if applicable) to ensure that the provisions of this condition are included in any subaward (at any tier) under this award The recipient has the responsibility to obtain from subrecipients, contractors, and subcontractors (if any) all rights and data necessary to fulfill the recipient's obligations to the Government under this award. If a proposed subrecipient, contractor, or subcontractor refuses to accept terms affording the Government such rights, the recipient shall promptly bring such refusal to the attention of the OJP program manager for the award and not proceed with the agreement in question without further authorization from the OJP program office FFATA reporting: Subawards and executive compensation The recipient must comply with applicable requirements to report first tier subawards ("subgrants") of $25 000 or more and, in certain circumstances, to report the names and total compensation of the five most highly compensated executives of the recipient and first-tier subrecipients (first-tier "subgrantees") of award funds The details of recipient obligations, which derive from the Federal Funding Accountability and Transparency Act of 2006 (FFA TA), arc posted on the OJP web site at hups //ojp gov/funding/Explore/FFA TA htm (Award condition Reporting Subawards and Executive Compensation) and arc incorporated by reference here This condition, including its reporting requirement does not apply to- (1) an award of less than $25,000, or (2) an award made to an individual who received the award as a natural person (i e , unrelated 10 any business or non profit organization that he or she may own or operate in his or her name) The Victims of Crime Act (VOCA) of 1984 states that VOCA funds are available during the federal fiscal year in which the award was actually made, plus the following three fiscal years Al the end of this period, VOCA funds will be deobligated OJP has no discretion to pernlit extensions beyond the statutory period (E g , VOCA funds awarded in FY 2019, arc available until the end of FY 2022) Recipient integrity and performance matters. Requirement to report information on certain civil, criminal and administrative proceedings to SAM and FAPIIS The recipient must comply with any and all applicable requirements regarding reporting of information on civil, criminal, and administrative proceedings connected with (or connected to the performance of) either this OJP award or any other grant cooperative agreement. or procurement contract from the federal government Under certain circumstances, recipients of OJP awards are required to report information about such proceedings, through the federal System for Award Management (known as "SAM"), to the designated federal integrity and performance system (currently, "FAPIJS") The details of recipient obligations regarding the required reporting (and updating) of information on certain civil, criminal, and administrative proceedings 10 the federal designated integrity and performance system (currently "FAPHS") within SAM are posted on the OJP web site at https //ojp gov/ funding/F APIIS htm (Award condition. Page 29 of 46 Subaward 2-312-0217229 65857L Recipient Integrity and Performance Mailers, including Recipient Reporting to FAPIIS), and arc incorporated by reference here Recipient integrity and performance matters. Requirement to report information on certain civil, criminal And administrative proceedings to SAM and FAPIIS The recipient must comply with any and all applicable requirements regarding reporting of information on civil, criminal, and administrative proceedings connected with (or connected to the performance of) either this OJP award or any other grant cooperative agreement or procurement contract from the federal government Under certain circumstances, recipients of OJP awards are required to report information about such proceedings, through the federal System for Award Management (known as "SAM"), to the designated federal integrity and performance system (currently, "FAPIJS") The details of recipient obligations regarding the required reporting (and updating) of information on certain civil, criminal, and administrative proceedings I.0 the federal designated integrity and performance system (currently. "FAPHS") within SAM are posted on the OJP web site at https //ojp gov/ funding/F APIIS htm (Award condition Recipient Integrity and Performance Mailers, including Recipient Reporting to F APIIS), and arc incorporated by reference here Protection of human research subjects The recipient (and any subrecipient at any tier) must comply with the requirements of 28 C F R Part 46 and all OJP policies and procedures regarding the protection of human research subjects, including obtainment of Institutional Review Board approval if appropriate and subject informed consent Page 30 of 46 Subaward 2-312-0217229 65857L Attachment 3: Statement of Work/Budget Field -Generated Solutions to Improve Services for Victims Statement of Work The RPD will support RTI as a subcontract to the Office for Victims of Crime's Field -Generated Solutions to Improve Services for Victims project (OVC Award Number 2019-V3-GX-K141). RPD staff will be responsible for conducting the tasks outlined below Period of Performance. 02-29-2020 to 08-31-2022 Task One: Project Management 6 Kickoff meeting (year 1) • RPD will participate in a virtual kickoff meeting with RTI 7 Internal updated (years 1-3) • RPD will participate in project team meetings, as needed. The purpose of these meetings is to have representation from partner organizations so that project activities can be discussed, updates can be given, and any issues impacting all partners can be resolved 8. Budget management (years 1-3) • RPD will regularly monitor project budgets and submit monthly project -level invoices showing current charges, cumulative charges, and a brief narrative description summarizing the work performed • Deliverable — Monthly invoices 9. Data sharing agreement (years 1-3) • RPD will enter into a data use agreement (DUA) with RTI to facilitate the transfer of project data necessary to carry out the intervention 10 End -of -project meeting (year 3) • RPD will participate in a virtual end -of -project meeting with RTI Task Two: Intervention Development and Training 3 Intervention development (year 1) • RPD staff will provide RTI input regarding the unique local needs of the agency and the operational feasibility of the proposed Enhanced Victim Services Model (EVSM) 4 Intervention training and experimental requirements (year 1) • RPD will identify and commit staff members to receive EVSM training to become proficient with the model and ensure fidelity to the proposed experiment Task Three. Case Management Implementation, Use, and Administrative Data Sharing 4 Case management implementation (year 1) • RPD staff will facilitate the technical implementation of RTI's case management system by allowing access to the agency's record management system and network 5 Data entry into case management system (years 1-3) • After training, RPD victim advocates will document their activity in the victim services case management system 6 Administrative data sharing (years 1-3) • During the project period of performance RPD will share the information from the following systems with RTI to facilitate the project and evaluation i Record management system. administrative data related to the time, date, location, nature of burglary offense, victim/suspect information, investigative documentation, and case outcomes ii Victim services case management system administrative data related to victim service documentation Task Four: Conduct Enhanced Victim Service Model Outreach 2 EVSM Outreach (years 1-3) • RPD victim advocates will implement the EVSM for victims of burglary as directed by the case management system RTI will provide assistance and technical support to RPD as needed throughout the period of performance Page 31 of 46 Subaward 2-312-0217229-65857L Budget (2/29/20 — 9/30/20) (10/1/20 — 9/30/21) (10/1/21 7/31/22) Budget Category Year 1 Year 2 Year 3 Personnel $ 3,000.00 $ 21,000 00 $ 3,450 00 Fringe $ 273 00 $ 1,911 00 $ 313 95 Travel $ - $ $ - Equipment $ - $ - $ - Supplies $ - $ - $ - Construction $ - $ - $ - Subawards $ - $ - $ - Procurment Contracts $ - $ - $ - Other $ - $ - $ - Total Direct Costs $ 3,273.00 $ 22,911.00 $ 3,763.95 Indirect Costs $ - $ - $ - Total Costs by Year $ 3,273.00 $ 22,911.00 $ 3,763.95 Total Project Costs $ 29,947 95 Page 32 of 46 Subaward 2-312-0217229-65857L Year 1 (2/29/2020 — 9/30/2020) Personnel Name Position Rate Type Quantity Total cost 760 Agency Service Provider 5 30.00 Hourly 100 5 3,000.00 145% 5 4350 !Fringe Total Narrative 273.00 Hourly salary casts for service providers is estimated at S30/hour Service providers will be 'responsible for carrying out the enhanced services model for victims of burglary Fringe Position Description Base Rate Total cost FICA/Medicare 5 3,00060 7 65% 5 229.50 !unemployment Insurance S 3,000.00 145% 5 4350 !Fringe Total 5 273.00 !Narrative 1 Total cost Fringe for the agency service providers will include FICA/Medicare and !unemployment insurance Nr4 Travel Name Position Base Rate Total cost N/A N/A N/A NIA N/A NIA Narrative Narrative Equipment Equipment Description Quant.ty Cost/unit Total cost NIA N/A NIA. NIA NIA Narrative Supplies 'Supplies Description Quantity Cost/unit Total cost .N/A N/A N/A NIA N/A Narrative Canstrucion :Supplies Description Total cost N/A Nr4 N/A 'Narrative Subawards ,Awardee Description Totai cost N/A N/A N/A Narrative Procurment Contracts Recipient Description Total cost 'N/A N/A N/A Narrative Other Other Description Total cost N/A N/A N/A Narrative Indirect Costs indirect Base NIA Rate Total cost NIA N/A Narrative Page 33 of 46 Subaward 2-312 0217229-65857L Year 2 (10/1/2020 — 9/30/2021) Personnel Name Position Rate Type Quantity Totat cost TBD Agency Service Provider 5 30.06 Hourly 700 521,000.00 7.65% 5 1,605-50 Unemployment Insurance Narrative 521.000.00 *wrathy y 5 304.50 See description under year L Travel Fringe Position Description Rate Base Rate NIA Total cost FICA/Medicare N1A 521,000.00 7.65% 5 1,605-50 Unemployment Insurance Narrative 521.000.00 1.45% 5 304.50 ;Fringe- Total Total cost NIA N/A N/A 5 1,911.00 Narrative 1 Narrative See description under year 1 Travel Name Position Base Rate Total cast NIA NIA N/A N/A N1A Narrative Equipment Equipment Description Quantity Cast/unit Tata! rust NIA NiA N/A N/A NjA Narrative Supplies Supplies DesuiptianQuantity Tats. C... Cost/unit Total cast N/A NIA N/A NIA N/A Narrative _ Construction Supplies Description Total cost NIA N/A N/A Narrative SUba,,Y3rds Awardee Uescr6p7,.on Tats. C... N/A N/A N =. Narrative Procurment Contracts Recipient 1N/A Narrative Description Total cost N/A N/A Other Other N/A Description Total cost NIA N/A Narrative Indirect Costs Indirect Base N/A Rate Total cost N/A N/A Narrative Page 34 of 46 Subaward 2-312-0217229-658571 Year 3 (10/1/2021 -7/31/2022) Personnel Name Position Rate Type Duanuty. Total cost TBD Agency Service Provider 5 30-00 Hourly 115 S 3,45100 765% 5 26393 Unemployment Insurance Narrative 5 3,45D00 Narrative 145% See description under year 1_ -f •'T ". . Fringe Position Description Rate Base Rate N/A Total cost FICA/Medicare N/A 5 3,450.00 765% 5 26393 Unemployment Insurance Narrative 5 3,45D00 145% 5 50.03 Fringe Total Tota1 cost N/A NJA N/A 5 313.95 Narrative Narrative See description under year 1. -f •'T ". . • Name Position Rase Rate Total cost .N/A N/A N/A N/A N/A Narrative Equipment Equipment Description Quantity Cost/unit Total cos- NIA N/A N/A N/A N.JA Narrative Supplies Supplies Description Quantity Cost/unit Total cast NIA N/A N/A N/A N/A Narrative Consnuaion Supplies Description Tota1 cost N/A NJA N/A Narrative Subawards Awardee N/A Desai pti on Total cost Ni N/A Narrative Procurment Contracts Recipient Description Tata lcost N/A N/A NJA Narrative Other Other Description Total cost N,'A N/A N/A Narrative Indirect Costs Indirect Base N/A Rate Total cost N/A N/A Narrative Page 35 of 46 Subaward 2-312-0217229 65857L Attachment 4• Subaward Special Award Provisions The following Code of Federal Regulations (CFR) clauses are incorporated herein by reference with the same force and effect as if they were given in full text, and are applicable to this Subaward. The full text of the CFR clauses may be found at httr s //www qr o gov/fdsys/browse/collectionCfr action?collectionCode=CFR. Subrecipient agrees to flow down all applicable CFR clauses to lower -tier Subrecipients. A Unless ane of the exceptions provided in (B) below shall apply the term "Award", "Cooperative Agreement" or "Grant" shall mean "Subaward"; the term "Awardee" or "Recipient" shall mean "Subrecipient", the term "Government" or "Covered Entity" shall mean "RTI"; and the term "Contracting Officer" or "Grants Management Specialist" shall mean the "RTI Subaward Administrator or other authorized individual " B The following instances are exceptions to the general rules as provided in (A) above 1 Where it is clear, by the context of the provision itself or the conditions under which it is being applied, that the reference is intended to refer to the Government, its officers or agents, or the prime Awardee/Recipient specifically, 2 Where access to proprietary financial information or other proprietary data is required, or 3 Where interpretation in accordance with the rules stated above would place RTI in a position of violating the equivalent or related provisions of the Prime Cooperative Agreement whereas construction of the terms without modification would not C. References in any provision incorporated by reference herein to the "Disputes" clause shall be construed as references to the "Disputes" provision contained elsewhere in this Subaward No provision herein shall be taken to imply any direct access on the part of the Subrecipient to the Disputes process as defined in the terms of the Prime Cooperative Agreement D. The following CFR provisions are incorporated herein 1) Equal Employment Opportunity, 41 CFR, Part 60 2) Rights to Inventions Made Under a Contract or Agreement, 37 CFR, Part 401 3) Clean Air Act (42 U 5 C 7401 et seq ) and the Federal Water Pollution Control Act as amended (33 U.S.C. 1251 et seq) 4) Byrd Anti -Lobbying Amendment (31 U S C 1352) 45 CFR Part 93 5) Debarment and Suspension (E.O 12549 and 12689) 2 CFR Part 180 6) By acceptance of this Subaward, Subrecipient agrees to comply with the applicable Federal requirements for grants and cooperative agreements and to the prudent management of all expenditures and actions affecting this Subaward In addition to the terms and conditions presented in this Subaward, Subrecipient's performance under this Subaward shall follow and comply with the requirements of 2 CFR 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, standards and 34 USC 20103(c)(I)(A) and 2 CFR 200 E Other Client Regulations and Policies that Apply Prime Contract Flowdowns• Requirements of the award, remedies for non-compliance or for materially false statements The conditions of this award are material requirements of the award Compliance with any assurances or certifications submitted by or on behalf of the recipient that relate to conduct during the period of performance also is a material requirement of this award By sign i rig and accepting this award on behalf of the recipient, the authorized recipient official accepts all material requirements of the award, and specifically adopts all such assurances or certifications as if personally executed by the authorized recipient official Failure to comply with any one or more of these award requirements -- whether a condition set out in full below A condition incorporate d by reference below or an assurance or certification related to conduct during the award period - may result in the Office of Justice Programs ("OP ") taking appropriate action with respect to the recipient and the award Among other things, the O]P may withhold award funds, disallow costs, or suspend or terminate the award The U S Department of Justice ("DO]") including OJP, also may take other legal action as appropriate Any materially false, fictitious or fraudulent statement to the federal government related to this award (or concealment or omission of a material fact) may be the subject of criminal prosecution (including under 18 USC 100 I and/or 1621, and/or 34 U.S.0 I 0 271 10 273), and also may lead to imposition of ci ii penalties and administrative remedies for false claims or otherwise (including under 31 U.S C. 3729-3730 and 3801 -3812) . Should any provision of a requirement of this award be held to be invalid or unenforceable by its terms, that provision shall first be applied with a limited construction so as to give it the maximum effect permitted by law Should it be held, i ns to ad, that the provision is utterly invalid or -unenforceable, such provision shall be deemed severable from this award Page 36 of 46 Subaward 2-312-0217229 65857L Applicability of Pan 200 Uniform Requirements The Uniform Administrative Requirements, Cost Principles, and Audit Requirements in 2 C F R Pan 200, as adopted and supplemented by DO] in 2 C F R Part 2800 (together, the "Pan 200 Uniform Requirements") apply to this FY 2019 award from O]P The Part 200 Uniform Requirements were first adopted by DO] on December 26, 20 I 4 If this FY 2019 award supplements funds previously awarded by 03P under the same award number (e g , funds awarded during or before December 20 14), the Pan 200 Uniform Requirements apply with respect to all funds under that award number (regardless of the award date, and regardless of whether derived from the initial award or a supplemental award) that arc obligated on or after the acceptance date of this FY 2019 award For more information and resources on the Part 200 Uniform Requirements as they relate to OJP awards and subawards ("subgrants"), sec the OJP website al https //ojp gov/funding/Parl200UniformRequirements htm Record retention and access Records pertinent to the award that the recipient (and any subrecipient ("subgrantee") at any tier) must retain -- typically for a period of 3 years from the date of submission of the final expenditure report (SF 425), unless a different retention period applies - and to which the recipient (and any subrecipient ("subgrantee") at any tier) must provide access, include performance measurement infomlation, in addition to the financial records, supporting documents, statistical records. and other penitent records indicated at 2 C F R 200,333 In the event that an award -related question arises from documents or other materials prepared or distributed by 03P that may appear to conflict with, or differ in some way from, the provisions of the Pan 200 Uniform Requirements, the recipient is to contact OJP promptly for clarification. Compliance with DOJ Grants Financial Guide References to the DOJ Grants Financial Guide are to the DO] Grants Financial Guide as posted on the O]P website (currently, the "DO] Grants Financial Guide" available at https //ojp gov/financialguide/DOJ /index htm), including any updated version that may be posted during the period of performance The recipient agrees to comply with the DOJ Grants Financial Guide Reclassification of various statutory provisions to a new Title 34 of the United States Code On September I, 2017, various statutory provisions previously codified elsewhere in the U S. Code were editorially reclassified (that is moved and renumbered) to a new Title 34, entitled "Crime Control and Law Enforcement " The reclassification encompassed a number of statutory provisions pertinent to OJP awards (that is, OJP grants and cooperative agreements), including many provisions previously codified in Title 42 of the U S Code Effective as of September 1, 2017. any reference in this award document to a statutory provision that has been reclassified to the new Title 34 of the U S. Code is to be read as a reference to that statutory provision as reclassified to Title 34 This rule of construction specifically includes references set out in award conditions, references set out in material incorporated by reference through award conditions, and references set out in other award requirements Requirement to report potentially duplicative funding If the recipient currently has other active awards of federal funds or if the recipient receives any other award of federal funds during the period of performance for this award, the recipient promptly must determine whether funds from any of those other federal awards have been, are being, or are to be used (in whole or in part) for one or more of the identical cost items for which fund are provided under this award If so, the recipient must promptly notify the DO] awarding agency (OJP or OVW as appropriate) in writing of the potential duplication, and, if so requested by the DOJ awarding agency must seek a budget -modification or change -of -project -scope grant adjustment notice GAN) to eliminate any inappropriate duplication of funding Requirements related to System for Award Management and Universal Identifier Requirements The recipient must comply with applicable requirements regarding the System for Award Management (SAM), currently accessible at https /www sam gov/ This includes applicable requirements regarding registration with SAM, as well as maintaining the currency of information in SAM The recipient also must comply with applicable restrictions on subawards ("subgrants") to first-tier subrecipients (First-tier "subgrantees"), including restrictions on subawards to entities that do not acquire and provide (to the recipient) the unique entity identifier required for SAM registration The details of the recipient's obligations related to SAM and to unique entity identifiers arc posted on the OJP website al https //ojp gov/funding/Explore/SAM htm (Award condition System for Award Management (SAM) and Universal Identifier Requirements), and arc incorporated by reference here This condition does not apply to an award to an individual who received the award as a natural person (i e , unrelated to any business or non-profit organization that he or she may own or operate in his or her name) Page 37 of 46 Subaward 2-312 0217229-65857L Employment eligibility verification for hiring under the award I The recipient (and any subrecipient at any tier) must -- A Ensure that as part of the hiring process for any position within the United States that is or will be funded (in whole or in part) with award funds, the recipient (or any subrecipient) properly verifies the employment eligibility of the individual who is being hired, consistent with the provisions of 8 U S C I 324a(a)(1) and (2) B. Notify all persons associated, with the recipient (or any subrecipient) who arc or will be involved in activities under this award of both -- (1) this award requirement for verification of employment eligibility, and (2) the associated provisions in 8 U S C 1324a(a)(I) and (2) that, generally speaking, make it unlawful, in the United States, to hire (or recruit for employment) certain aliens C Provide training (to the extent necessary) to those persons required by this condition to be not ified of the award requirement for employment eligibility verification and ofllle associated provisions of8 U S C 132 4a(a)(I) and (2) D As part of the recordkeeping for the award (including pursuant to the Part 200 Uniform Requirements), maintain records of all employment eligibility verifications pertinent to compliance with this award condition in accordance with Form 1-9 record retention requirements, as well as record of all pertinent notifications and trainings 2. Monitoring The recipient's monitoring responsibilities include monitoring of subrecipient compliance with this condition 3 Allowable costs To the extent that such costs are not reimbursed under any other federal program, award funds may be obligated for the reasonable necessary and allocable costs (if any) of actions designed to ensure compliance with this condition 4 Rules of construction A Staff involved in the hiring process For purposes of this condition, persons "who are or will be involved in activities under this award" specifically includes (without limitation) any and all recipient (or any subrecipient) officials or other staff who are or will be involved in the hiring process with respect to a position that is or will be funded (in whole or in part) with award funds. 13 Employment eligibility confirmation with E -Verify For purposes of satisfying the requirement of this condition regarding verification of employment eligibility, the recipient (or any subrecipient) may choose to participate in, and use E -Verify (www e -verify gov), provided an appropriate person authorized to act on behalf of the recipient (or subrecipient) uses E -Verify (and follows the proper E -Verify procedures, including in the event of a 'Tentative Nonconfirmatton" or a "Final Nonconfirmation") to confirm employment eligibility for each hiring for a position in the United States that is or will be funded (in whole or in part) with award funds C "United States" specifically includes the District of Columbia, Puerto Rico, Guam, the Virgin Islands of the United States, and the Commonwealth of the Northern Mariana Islands D Nothing in this condition shall be understood to authorize or require any recipient, any subrecipient at any tier, or any person or other entity, to violate any federal law, including any applicable civil rights or nondiscrimination law E Nothing in this condition, including in paragraph 4 B , shall be understood to relieve any recipient, any subrecipient at any tier, or any person or other cmi ty, of any obligation otherwise imposed by law, including 8 U 5 C. 1324a(a)( I) and (2) Questions about E -Verify should be directed to DI -IS For more information about E -Verify vi sit the E -Verify website (https //www e -verify gov/) or email E -Verify at E-Yerify@dhs.gov. E -Verify employer agents can email E Verify at E- VerifyEmployerAgent@dhs gov Questions about the meaning or scope of this condition should be directed to OF, before award acceptance Requirement to report actual or imminent breach of personally identifiable information (PII) The recipient (and any "subrecipient" at any tier) must have written procedures in place to respond in the event of an actual or imminent "breach" (OMB M-17-12) if it (or a subrecipient) -- (I) creates, collects, uses, processes, stores, maintains, disseminates, discloses, or disposes of "personally identifiable information (PII)" (2 CFR 200 79) within the scope of an OP grant -funded program or activity, or (2) uses or operates a "Federal information system" (OMB Page 38 of 46 Subaward 2 312-0217229-65857L Circular A-130) The recipient's breach procedures must include a requirement to report actual or imminent breach of PII to an OJP Program Manager no later than 24 hours after an occurrence of an actual breach, or the detection of an imminent breach All subawards ("subgrants") must have specific federal authorization The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements for authorization of any subaward This condition applies to agreements that -- for purposes of federal grants administrative requirements -- OJP considers a "subaward" (and therefore does not consider a procurement "contract"). The details of the requirement for authorization of any subaward arc posted on the OJP web site at https://ojp gov/funding/Explo re/SubawardAuthorizarion htm (Award condition All subawards ("subgrants") must have specific federal authorization), and are incorporated by reference here Specific post -award approval required to use a noncompetitive approach in any procurement contract that would exceed $250,000 The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements to obtain specific advance approval to use a noncompetitive approach in any procurement contract that would exceed the Simplified Acquisition Threshold (currently, $250,000) This condition applies to agreements that -- for purposes of federal grants administrative requirements -- OJP considers a procurement "contract" (and therefore does not consider a subaward) The details of the requirement for advance approval to use a noncompetitive approach in a procurement contract under an OJP award are posted on the OJP web site at https://ojp.gov/Funding/Explore/NoncompetitiveProcurement.htm (Award condition Specific post - award approval required to use a noncompetitive approach in a procurement contract (if contract would exceed $250,000)), and are incorporated by reference here. Unreasonable restrictions on competition under the award, association with federal government SCOPE This condition applies with respect to any procurement of property or services that is funded (in whole or in part) by this award, whether by the recipient or by any subrecipient at any tier, and regardless of the dollar amount Of the purchase or acquisition, the method of procurement, or the nature of any legal instrument used The provisions of this condition must be among those included in any subaward (at any tier) I No discrimination, in procurement transactions, against associates of the federal government Consistent with the (DOJ) Part 200 Uniform Requirements -- including as set out at 2 C F R 200 300 (requiring awards to be "manage[d] and administer[ed] in a manner o as to ensure that Federal funding is expended and associated programs are implemented in full accordance with U S statutory and public policy requirements") and 200 3 I 9(a) (generally requiring "(a )II procurement transactions [to) be conducted in a manner providing full and open competition" and forbidding practices "restrictive of competition ," such as "(placing unreasonable requirements on firms in order for them to qualify to do business" and taking "[a]ny arbitrary action in the procurement process") — no recipient (or subrecipient at any tier) may (in any procurement transaction) discriminate against any per on or entity on the basis of such person or entity's status as an "associate of the federal government" (or on the basis of such person or entity's status as a parent, affiliate, or subsidiary of such an associate) except as expressly set out in 2 C F R 200 3 1 9(a) or as specifically authorized by USDOJ 2 Monitoring The recipients monitoring responsibilities include monitoring of subrecipient compliance with this condition. 3 Allowable costs To the extent that such costs are not reimbursed under any other federal program, award funds may be obligated for the reasonable, necessary, and allocable costs (if any) of actions designed to ensure compliance with this condition 4. Rules of construction A. The term "associate of the federal government" means any person or entity engaged or employed (in the past or at present) by or on behalf of the federal government-- a an employee, contractor or subcontractor (at any tier) grant recipient or -subrecipient (at any tier), agent, or otherwise- in undertaking any work, project, or activity for or on behalf of (or in providing goods or services to or on behalf of) the federal government, and includes any applicant for such employment or engagement, and any person or entity committed by legal instrument to undertake any such work, project or activity (or to provide such goods or services) in future. B Nothing in this condition shall be understood to authorize or require any recipient any subrecipient at any tier, or any person or other entity, to violate any federal law, including any applicable civil rights or nondiscrimination law. Requirements pertaining to prohibited conduct related to trafficking in persons (including reporting requirements and CUP authority to terminate award) Page 39 of 46 Subaward 2 312 0217229 65857L The recipient and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements (including requirements 10 report allegations) pertaining to prohibited conduct related to trafficking of person, whether on the part of recipients, subrecipients ("subgrantees"), or individuals defined (for purposes of this condition) as "employees" of the recipient or of any subrecipient The details of the recipient's obligations related to prohibited conduct related to trafficking in persons are posted on the O]P web site at hnps //ojp gov/funding/Explorc/ProhibitedConduct-Trafficking.htrn (Award condition Prohibited conduct by recipients and subrecipients related to trafficking in persons (including reporting requirements and OJP authority to terminate award)) and are incorporated by reference here Determination of suitability 10 interact with participating minors SCOPE This condition applies to this award if it is indicated- in the application for the award (ns approved by DOJ) (or in the application for any subaward, at any Lier) the DOJ funding announcement (solicitation), or an associated federal statute -- that a purpose of some or all of the activities to be carried out under the award (whether by the recipient, or a subrecipient at any tier) is to benefit a set of individuals under 18 years of age The recipient, and any subrecipient at any tier, must make determinations of suitability before certain individuals may interact with participating minors This requirement applies regardless of an individual's employment status. The details of this requirement are posted on the OJP web site at httos.11oip.govlfundinq/Explorcflnteract-Minors.htm (Award condition Determination of suitability required, in advance, for certain individuals who may interact with participating minor) and are incorporated by reference here Compliance with applicable rules regarding approval, planning, and reporting of conferences meetings, trainings, and other events The recipient, and any subrecipient ("subgrantee") at any tier must comply with all applicable laws, regulations policies, and official DOJ guidance (including specific cost limits, prior approval and reporting requirements, where applicable) governing the use of federal funds for expenses related to conferences (as that term is defined by DOJ), including the provision of food and/or beverage at such conferences, and costs of attendance at such conferences Information on the pertinent DO] definition of conferences and the rules applicable to this award appears in the DO] Grants Financial Guide (currently as section 3 10 of "Postaward Requirements" in the "DOJ Grants Financial Guide") OJP Training Guiding Principles Any training or training materials that the recipient -- or any subrecipient ("subgrantee") at any tier -- develops or delivers with OJP award funds must adhere to the 0]P Training Guiding Principles for Grantees and Subgrantees, available at https.//oip.ciovlfunding/Implcment/TrainingPn.nciplesForGrantees-Suborantees htm Potential imposition of additional requirements The recipient agrees to comply with any additional requirements that may be imposed by the DOJ awarding agency (OJP or OVW, as appropriate) during the period of performance for this award, if the recipient is designated as "highrisk" for purposes of the DOJ high-risk grantee list Compliance with DO] regulations pertaining to civil rights and nondiscrimination - 28 C.F.R. Part 42 The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements of28 C F R Part 42, specifically including any applicable requirements in Subpart E of28 C F R Pan 42 that relate to an equal employment opportunity program Compliance with DO) regulations pertaining to civil rights and nondiscrimination - 28 C.F.R. Part 54 The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements of28 C F R Part 54, which relates to nondiscrimination on the basis of sex in certain "education programs " Compliance with DO] regulations pertaining to civil rights and nondiscrimination — 28 C F R Part 38 The recipient and any subrecipient ("subgrantee") at any tier, must comply with all applicable requirements of 28 C F R Part 38 (as may be applicable from time to time), specifically including any applicable requirements regarding written notice to program beneficiaries and prospective program beneficiaries Currently, among other things, 28 C.F R Pan 38 includes rules that prohibit specific forms of discrimination on the basis of religion, a religious belief, a refusal to hold a religious belief, or refusal to attend or participate in a religious Page 40 of 46 Subaward 2 312 0217229-65857L practice. Part 38, currently, also sets out rules and requirements that pertain to recipient and subrecipient ("subgrantee") organizations that engage in or conduct explicitly religious activities as well as rules and requirements that pertain to recipients and subrecipients that are faith -based or religious organizations. The text of28 C F R Part 38 is available via the Electronic Code of Federal Regulations (currently accessible at https //www ecfr gov/cgi-bin/ECFR?page=browse), by browsing to Title 28 -Judicial Administration, Chapter I, Pan 38, under e -CFR "current" data Restrictions on "lobbying" In general as a matter of federal law, federal funds awarded by OJP may not be used by the recipient, or any subrecipient ("subgrantee") at any tier, either directly or indirectly, Eo support or oppose the enactment, repeal, modification or adoption of any law, regulation or policy, at any level of government See 18 U S 1913 (There may be exceptions if an applicable federal statute specifically authorizes certain activities that otherwise would be barred by law. Another federal law generally prohibits federal funds awarded by OJP from being used by the recipient, or any subrecipient al any tier, to pay any person to influence (or attempt to influence) a federal agency, a Member of Congress, or Congress (or an official or employee of any of them) with respect to the awarding of a federal grant or cooperative agreement, subgrant, contract, subcontract, or loan, or with respect to actions such as renewing, extending, or modifying any such award See 31 U S C 1352 Certain exceptions to this law apply including an exception that applies to Indian tribes and tribal organizations Should any question arise as to whether a particular use of federal funds by a recipient (or subrecipient) would or might fall within the scope of these prohibitions, the recipient is to contact OJP for guidance, and may not proceed without the express prior written approval of OJP Compliance with general appropriations -law restrictions on the use of federal funds (FY 2019) The recipient, and any subrecipient ("subgrantee") at any tier, must comply with all applicable restrictions on the use of federal funds set out in federal appropriations statutes. Pertinent restrictions, including from various "general provisions" in the Consolidated Appropriations Act, 2019, are set out at https://ojp.gov/funding/Explore/FY19ApproprialionsRestrictions htm, and arc incorporated by reference here Should a question arise as to whether a particular use of federal funds by a recipient (or a subrecipient) would or might fall within the scope of an appropriations -law restriction, the recipient is to contact OJP for guidance, and may not proceed without the express prior written approval of OJP Reporting potential fraud, waste, and abuse, and similar misconduct The recipient and any subrecipients ("subgrantees") must promptly refer to the DO3 Office of the Inspector General (OIG) any credible evidence that a principal, employee, agent, subrecipient, contractor, subcontractor, or other person has. in connection with funds under this award -- (1) submitted a claim that violates the False Claims Act, or (2) committed a criminal or civil violation of laws pertaining to fraud, conflict of interest, bribery, gratuity, or similar misconduct Potential fraud waste abuse, or misconduct involving or relating to funds under this award should be reported to the OIG by --(1) online submission accessible via the OtG webpage at https //oig justice gov/hotline/contact-grants htm (select "Submit Report Online"), (2) mail directed to Office of the Inspector General, U S. Department of Justice, Investigations Division, 1425 New York Avenue, N W Suite 7100, Washington, DC 20530; and/or (3) by facsimile directed to the DOJ OIG Fraud Detection Office (Attu Grantee Reporting) al (202) 616-9881 (fax) Additional information is available from the DOJ OIG website at https.//oig.Justice.gov/hotline Restrictions and certifications regarding non -disclosure agreements and related matters No recipient or subrecipient ("subgrantee") under this award, or entity that receives a procurement contract or subcontract with any funds under this award, may require any employee or contractor 10 sign an internal confidentiality agreement or statement that prohibits or otherwise restricts, or purports to prohibit or restrict, the reporting (in accordance with law) of waste, fraud, or abuse to an investigative or law enforcement representative of a federal department or agency authorized to receive such information The foregoing 15 not intended, and shall not be understood by the agency making this award, to contravene requirements applicable to Standard Form 312 (which relates to classified information), Form 4414 (which relates to sensitive compartmented information), or any other form issued by a federal department or agency governing the nondisclosure of classified information I In accepting this award, the recipient -- Page 41 of 46 Subaward 2-312-0217229 65857L a represents that it neither requires nor ha required internal confidentiality agreements or statements from employees or contractors that currently prohibit or otherwise currently restrict (or purport to prohibit or restrict) employees or contractors from reporting waste, fraud, or abuse as described above, and b certifies that, if it learns or is notified that it is or has been requiring its employees or contractors 10 execute agreements or statements that prohibit or otherwise restrict (or purport to prohibit or restrict), reporting of waste, fraud, or abuse as described above, it will immediately stop any further obligations of award funds, will provide prompt written notification to the federal agency making this award and will resume (or permit resumption of) such obligations only if expressly authorized to do so by that agency 2 If the recipient docs or is authorized under this award to make subawards ("subgrants"), procurement contracts. or both - a it represents that -- (1) it has determined that no other entity that the recipient's application proposes may or will receive award funds (whether through a subaward ("subgrant"), procurement contract, or subcontract under a procurement contract) either requires or has required internal confidentiality agreements or statements from employees or contractors that currently prohibit or otherwise currently restrict (or purport to prohibit or restrict) employees or contractors from reporting waste, fraud, or abuse as described above, and (2) it has made appropriate inquiry, or otherwise has an adequate factual basis, to support this representation, and b. it certifies that, if it learns or is notified that any subrecipient contractor or subcontractor entity that receives funds under thrs award is or has been requiring its employees or contractors to execute agreements or statements that prohibit or otherwise restrict (or purport to prohibit or restrict), reporting of waste, fraud , or abuse as described above it will immediately stop any further obligations of award funds to or by that entity, will provide prompt written notification to the federal agency making this award, and will resume (or permit resumption of) such obligations only if expressly authorized to do so by that agency Compliance with 41 U.S.C. 4712 (including prohibitions on reprisal, notice 10 employees) The recipient (and any subrecipient at any tier) must comply with and is sub)ect to, all applicable provisions of 41 U S C 47 12, including all applicable provisions that prohibit, under specified circumstances, discrimination against an employee as reprisal for the employee's disclosure of information related to gross mismanagement of a federal grant, a gross waste of federal funds, an abuse of authority relating to a federal grant, a substantial and specific danger to public health or safety or a violation of law, rule, or regulation related to a federal grant The recipient also must inform its employees, in writing (and in the predominant native language of the workforce), of employee rights and remedies under 41 U 5 C 471 2 Should a question arise as to the applicability of the provisions of 41 U 5 C 4 7 12 to this award, the recipient, is to contact the DO) awarding agency (OJP or OVW as appropriate) for guidance Encouragement of policies to ban text messaging, while driving Pursuant to Executive Order 13513, "Federal Leadership on Reducing Text Messaging While Driving," 74 Fed. Reg 51225 (October 1, 2009) DOJ encourages recipients and subrecipients ("subgrantees") to adopt and enforce policies banning employees from text messaging while driving any vehicle during the course of performing work funded by this award, and lo establish workplace safely policies and conduct education, awareness, and other outreach to decrease crashes caused by distracted drivers The grantee agrees to comply with the requirements set forth in the current edition of the OVC Publishing Guidelines Handbook at http //www ojp usdoj gov/ovc/publications/infores/pubguidelines/welcome html The grantee agrees that OVC retains the right to make a final determination whether to publish or produce any grant funded product as an OVC- sponsored product Only after OVC decides against official publication, can the grantee independently release a publication or product for sale or dissemination, at its own expense However, if the grantee releases this info mlation it may not include use of the OVC logo, or other indicia that it is an official OVC publication Grantees producing (1) all videos or (2) any products for grantee's independent release must follow the OVC Publishing Guidelines for placement of logos, inclusion of funding/disclaimer statement, and, if relevant, product barcodes Check with your grant monitor for tip sheet, The Essentials for detailed instructions Confidentiality of data The recipient (and any subrecipient at any tier) must comply with all confidentiality requirements of34 U 5 C 10231 and 28 C F R. Part 22 that arc applicable to collection, use, and revelation of data or information The recipient further agrees, as a condition of award approval, to submit a Privacy Certificate that is in accord with requirements of 28 C F R Part 22 and, in particular, 28 C.F. R 22.23 Recipient understands and agrees that neither it nor any subrecipient may engage in activities constituting Page 42 of 46 Subaward 2-312-0217229 658571. organizational conflicts of interest, such as awarding contracts (10 be pard in whole or in part with grant funds) to Department of Justice -funded training and technical assistance (TT A) providers that guided project specifications as part of the provision of training and technical assistance to the recipient (or any subrecipient) of this award. The Procurement Standards in 2 C F R Part 200 (the Part 200 Uniform Requirements) and the DO] Grants Financial Guide describe actions that would or may give rise to organizational conflicts or other potential conflict of interest concerns under the award Prior approval from the grant manager is required for any work with a Department of Justice -funded TT A provider Justification of consultant rate Approval of this award does not indicate approval of any consultant rate in excess of $650 per day A detailed justification must be submitted to and approved by the OJP program office prior to obligation or expenditure of such funds Copyright; Data rights The recipient acknowledges that OJP reserves a royalty -free, non-exclusive, and irrevocable license to reproduce, publish, or otherwise use, and authorize others to use (in whole or in part including in connection with derivative works), for Federal purposes' (1) any work subject to copyright developed under an award or subaward (at any tier), and (2) any rights of copyright to which a recipient or subrecipient (at any tier) purchases ownership with Federal support. The recipient acknowledges that OJP has the right to (1) obtain, reproduce, publish, or otherwise use the data first produced under any such award or subaward, and (2) authorize others to receive, reproduce, publish, or otherwise use such data for Federal purposes "Data" includes data as defined in Federal Acquisition Regulation (FAR) provision 52 227- 14 (Rights in Data - General) It is the responsibility of the recipient (and of each subrecipient (at any tier), if applicable) to ensure that the provisions of this condition are included in any subaward (at any tier) under this award The recipient has the responsibility to obtain from subrecipients, contractors, and subcontractors (if any) all rights and data necessary to fulfill the recipient's obligations to the Government under this award If a proposed subrecipient, contractor, or subcontractor refuses to accept terms affording the Government such rights, the recipient shall promptly bring such refusal to the attention of the OJP program manager for the award and not proceed with the agreement in question without further authorization from the OJP program office FFATA reporting Subawards and executive compensation The recipient must comply with applicable requirements to report first-tier subawards ("subgrants") of $25 000 or more and, in certain circumstances, to report the names and total compensation of the five most highly compensated executives of the recipient and first-tier subrecipients (first-tier "subgrantees") of award funds The details of recipient obligations, which derive from the Federal Funding Accountability and Transparency Act of 2006 (FFA TA), arc posted on the OJP web site at hups //ojp gov/funding/Explore/FFA TA.htm (Award condition Reporting Subawards and Executive Compensation) and arc incorporated by reference here This condition, including its reporting requirement does not apply to-- (1) an award of less than $25,000, or (2) an award made to an individual who received the award as a natural person (r e , unrelated 10 any business or non-profit organization that he or she may own or operate in his or her name) Recipient integrity and performance matters. Requirement to report information on certain civil, criminal and administrative proceedings to SAM and FAPIIS The recipient must comply with any and all applicable requirements regarding reporting of information on civil, criminal, and administrative proceedings connected with (or connected to the performance of) either this DIP award or any other grant cooperative agreement or procurement contract from the federal government Under certain circumstances, recipients of OJP awards are required to report information about such proceedings, through the federal System for Award Management (known as 'SAM'), to the designated federal integrity and performance system (currently, "FAPIJS") The details of recipient obligations regarding the required reporting (and updating) of information on certain civil, criminal, and administrative proceedings 10 the federal designated integrity and performance system (currently "FAPI-IS") within SAM are posted on the OJP web site at https //ojp gov/ funding/F APIIS htm (Award condition Recipient Integrity and Performance Mailers, including Recipient Reporting to FAPIIS), and arc incorporated by reference here. Protection of human research subjects The recipient (and any subrecipient at any tier) must comply with the requirements of 28 C F R Part 46 and all O]P policies and procedures regarding the protection of human research subjects, including obtainment of Institutional Review Board approval if appropriate and subject informed consent Page 43 of 46 Subaward 2 312 0217229 65857L Attachment 5. Invoice Summary Template INVOICE SUMMARY Redlands Police Department Redlands Police Department 30 Cajon Street Redlands, CA 92373 USA Phone 9095576583 Date Prepared. Billing Period. Invoice #• Vendor#• TBD RTI International ATTN Accounts Payable P 0 Box 12106 Research Triangle Park, NC 27709 Phone 919-541-5877 E-mail. accounting©rti,orq Subcontract #• Purchase Order #: Release # Prime Contract # Contract Amount. Funded Amount. 2-312-0217229-65857L 65857L 1 2019-V3-GX-K141 $29,947 00 $29,947 00 Page 44 of 46 Subaward 2-312-0217229 65857L Field Generated Solutions to Improve Services for Victims 0217229.000.001 Description Current Hours Current Amount General Expense 0 Subtotal 0 0.00 Page 44 of 46 Subaward 2-312-0217229 65857L Attachment 6 Sample Subagreement Release and Assignment A Release Pursuant to the terms of Subagreement No and in consideration of the sum of which has been or is to be paid to «Company_Name» or its assignees, the Supplier, upon payment of the said sum by Research Triangle Institute (RTI), does remise, release, and discharge RTI and the United States Government from all liabilities, obligations, claims and demands whatsoever under or arising from the said Subagreement except • Specific claims, in stated amounts or in estimated amounts when the exact amounts are not known, as follows • Claims, together with reasonable expenses incidental thereto, based upon the liabilities of the Supplier to third parties arising out of the performance of this Subagreement, which are not known to the Supplier on the date of the execution of this release, and of which the Supplier gives notice in writing to RTI within three (3) years following the release date or notice of final payment date, whichever is earlier • Claims for reimbursement of costs (other than expenses of the Supplier by reason of its indemnification of the Government against patent liability), including reasonable expenses incidental thereto, incurred by the Supplier under the clauses of this Subagreement relating to patents B Assignment The Supplier does hereby • Assign, transfer, and release to the UNITED STATES OF AMERICA (hereinbefore called the United States Government), all right, title and interest to all refunds, rebates, credits and other amounts (including any interest thereon), arising out of the performance of the said Subagreement, together with all rights of action accrued or which may hereafter accrue under the said Subagreement • Agree to take whatever action may be necessary to effect prompt execution of any refunds, rebates, credits or other amounts (including any interest thereon) due or which may become due, and promptly to forward to the contracting officer of the applicable prime contract a check (made payable to the Treasurer of the United States) for any proceeds so collected The reasonable profits of any such action to effect collection shall constitute allowable costs when approved by the government contracting officer as stated in the prime contract and may be applied to reduce any amounts otherwise payable to the government under the terms thereof • Agree to cooperate fully with the government as to any claim or suit in connection with refunds, rebates, credits or other amounts due (including any interest thereon), to execute any protest, pleading, application, power of attorney or other papers in connection therewith, and to permit the government to represent it at any hearing, trial, or other proceeding arising out of such claim or suit C Certification The Supplier does hereby 1 Certify that ( )there was no property purchased under this Subagreement ( ) property was purchased under this Subagreement and a final property report is attached 2. Certify that ( )there were no potentially patentable inventions under this Subagreement ( )there were potentially patentable inventions under this Subagreement and a final invention disclosure report is attached 3 Certify that all deliverables specified in said Subagreement ( ) were previously submitted ( ) are attached 4 Certify that the number of Labor Hours provided totaled Page 45 of 46 Subaward 2-312-0217229 65857L (Completion of this item is required only if Subagreernent is Level of Effort or Time and Materials) D. Ouick Closeout (Applicable to Cost Reimbursement and Cost Plus Fixed Fee Subcontracts) Determination and acceptance of final indirect costs under the quick closeout procedure shall be final for this Subcontract only and nc adjustment shall be made to other subcontracts for over- or under -recoveries of costs allocated or allocable to this Subcontract Indirect cosi rates used in the quick closeout of this Subcontract shall not be considered a binding precedent when establishing the final indirect cost rates for other subcontracts IN WITNESS WHEREOF, this Supplier's Release and Assignment has been executed by an authorized official CITY OF REDLANDS ATTEST onaldson, City Clerk NOTE In the case of a corporation, the following certification must be completed CERTIFICATION P u1 W Foster, Mayor I, certify that I am of the corporation named (Official Title) as Supplier in the foregoing Release and Assignment; that , who signed said Release and Assignment on behalf of the Supplier, was then of (Official Title) said corporation, that said Release and Assignment was duly signed for and on behalf of said corporation by authority of its governing body and is within the scope of its corporate powers (CORPORATE SEAL) (Signature) Page 46 of 46 Subaward 2-312-0217229-65857L