Each Applicant must agree in writing to comply with the following terms, as defined, as a requirement of the grant.

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Appendix 3 Applicant s Promises, Certifications, and Assurances Made in Support of the Grant Application ( PCA ) (revised 10/27/2014) Each Applicant must agree in writing to comply with the following terms,
Appendix 3 Applicant s Promises, Certifications, and Assurances Made in Support of the Grant Application ( PCA ) (revised 10/27/2014) Each Applicant must agree in writing to comply with the following terms, as defined, as a requirement of the grant. Table of Contents DEFINITIONS BEFORE THE GRANT Applicant s agreement to these terms Communications with DDOE Applicant s organizational capabilities Grant match: Projection and documentation Compliance as a continuing condition of eligibility Communication of a material change Contingent on available funding Federal funds: If bond required Applicant's sworn statement that it is current on all District obligations Federal or District funds: Not suspended or debarred Disclosure of criminal charges or investigations, and other legal proceedings DURING THE GRANT Grant period Payment Tax liability Unethical conduct 5. Big grant purchases, including equipment Dispute resolution Modifications, including extensions and increases Contracts, subcontracts, and/or sub-grants Entry onto a project site Facility requirements Unusual incident reporting Special provisions for certain programs or projects WAP DURING AND AFTER THE GRANT Order of precedence END PERIOD AND AFTER THE GRANT Termination Termination for force majeure or cause Continuity of activities Unspent funds CONTINUING REQUIREMENTS Grant fiscal performance review and remediation plan Accounting and audits Document retention for three years Attribution of funding Rights in data and other information Indemnification Insurance Page 2 of 31 COMPLIANCE WITH LAWS Acknowledgment of applicable District and federal statutes and regulations SIGNATURE OF THE APPLICANT Page 3 of 31 DEFINITIONS District - The District of Columbia. Notice - Unless specifically stated otherwise, notice means a method of communication reasonably calculated to give the intended person or audience, or their representative, information regarding a matter, in light of all of the circumstances, including , posting on a public website, direct mail, publication in electronic or print media, and appearance in an official government publication, like the District of Columbia Register. Grantee Includes a subgrantee of a grant provided to the District. Person - A natural person or a legal entity, including a partnership, firm, association, joint venture, public or private corporation, trust, estate, commission, board, public or private institution, cooperative, the District government and its agencies, and the federal government and its agencies. Writing or written - The term denotes a tangible or electronic record of a communication or representation, including handwriting, typewriting, printing, photostat, fax, photography, word processing computer output, and . A signed writing includes an electronic symbol or process attached to, or logically associated with a writing, and executed or adopted by a person with the intent to sign the writing. BEFORE the Grant 1. Applicant s agreement to these terms This document, the PCA, contains terms that apply to the Application/Applicant and, if awarded, to the Grant/Grantee. This document is incorporated into the Request for Applications (RFA) and each Grant Award notice. Some terms are assurances or promises that certain matters are true and correct or that the applicant, if awarded a grant, will do, or refrain from doing, certain things. Some terms are procedures that must be followed. Some terms state the statutes, rules and regulations applicable to the grant. Other terms describe conditions for the grant. The Applicant signifies its agreement to the terms by signing. The person applying for the Applicant must read the terms of this PCA, state that on behalf of the Applicant, he or she understands them, and agrees to them. Specifically, the person signing is stating on behalf of the Applicant that the Applicant agrees that it: Page 4 of 31 a. Is giving the stated assurances; b. Certifies or promises as stated; c. Has or will follow the terms, as stated; and d. Agrees that the statutes, rules, regulations and industry practices stated apply to it, unless non-applicability is obvious, as when the application is for non-federal funds and the stated statute or rule by its terms applies only to federal funds, and promises to follow them, as applicable. If the Applicant does not or cannot agree to the terms, it should not apply or sign. BEFORE and DURING the Grant 2. Communications with DDOE a. All communications to DDOE must be truthful. For matters for which the Applicant lacks direct personal knowledge, the Applicant must undertake a reasonable inquiry to determine if the Applicant s statements are true and correct. b. The communication shall be directed to DDOE offices, or DDOE staff, as the RFA states. c. Reports and other submissions shall be directed to the Grant Administrator. d. Reports may be electronically filed, as long as required signatures are scanned, or otherwise reliably reproduced. e. The Grantee shall maintain electronic mail ( ) capabilities for communication with DDOE. f. A notice shall be deemed given to DDOE only when delivered, evidenced by written confirmation, unless DDOE otherwise explicitly states an alternative in writing. Page 5 of 31 3. Applicant s organizational capabilities The Applicant promises that it has: a. The financial resources and technical expertise necessary for producing, constructing, equipping and maintaining as proposed for the grant, or the ability to obtain them in advance of performing the proposed matters; b. The ability to comply with the proposed delivery or performance schedule, taking into consideration all other existing and reasonably expected organizational commitments; c. A satisfactory record performing activities similar to those proposed or, if the Grant Award is intended to encourage the development and support of organizations without significant previous experience, the skills and resources necessary to perform as proposed; d. A record of integrity and business ethics, and the intent to perform with integrity and ethically; and e. If applied as a nonprofit organization, continued its tax status as a nonprofit organization. 4. Grant match: Projection and documentation When documentation of a grant match is required: a. In support of an application, the applicant must provide a basic budget that shows unit rates and quantities, as with hours worked, square feet used or miles driven; and b. In support of an award, the grantee must provide the following, unless DDOE revises or waives the requirement in writing: (1) Documentation for salary and items purchased in the same form as required in the PCA s section on payment (Section 13). (2) Documentation of in-kind match, including detail for volunteers. Volunteer hours provided to a Grantee by individuals will be valued at rates consistent with those ordinarily paid for similar work in the Grantee organization. If the Grantee does not have employees performing similar work, the rates will be consistent with those ordinarily paid by other employers for similar work in the same labor market. Donated space, as for a meeting or event, may be valued according to a written statement from a property s owner or manager. Donated vehicle use may Page 6 of 31 be valued as provided for reimbursement of travel. 5. Compliance as a continuing condition of eligibility The Applicant must continue to comply with these terms during the grant period, if awarded a grant. If, as a Grantee, the Applicant fails to comply with the terms and conditions of this award, DDOE may terminate, take other corrective action, or initiate dispute resolution. 6. Communication of a material change The Applicant and the Grantee shall advise DDOE immediately orally and thereafter immediately in writing, if: a. A material condition of the Application or performance of the grant has changed. A material condition includes: the loss of a staff member proposed as a principal; the lack of funds to pay bills incurred for the grant s activities; the expenditure of granted funds for non-granted activities, materials or supplies; or a change in the Applicant s governance; or b. The Grantee s insurance coverage has been reduced, or the Grantee has been notified of a cancellation in whole or in part of the insurance. 7. Contingent on available funding The grant award, and DDOE's providing the funds pursuant to the grant award, are subject to the availability of funding from the sources identified in the RFA for the particular grant opportunity or project. DDOE's ability to provide funds is, and shall remain subject to, the provisions of: a. The Federal Anti-Deficiency Act, 31 U.S.C. 1341, 1342, 1349, 1351; b. The District Anti-Deficiency Act, D.C. Official Code ; and c. These statutes as they may be amended from time to time, regardless of whether a particular obligation has been expressly so conditioned. 8. Federal funds: If bond required a. A bond is not required of the Grantee unless DDOE states the requirement in writing. b. If DDOE does require a bond, the Applicant, before accepting the grant, must secure the bond in an amount not less than the total amount of the funds awarded, against losses of Page 7 of 31 money and other property: (1) caused by fraudulent or dishonest act, and (2) committed by an employee, board member, officer, partner, shareholder, or trainee. 9. Applicant's sworn statement that it is current on all District obligations The Applicant is current on all obligations outstanding to the District, including the District's agencies. This statement's use of current means that this status is true as of the date of the application and that, as a condition of continuing eligibility for the grant which the Applicant has sought, the Applicant, as a grantee, will stay current on such obligations during the period of the grant. 10. Federal or District funds: Not suspended or debarred Applicant states that neither the Applicant nor a member of its governing board is: a. Proposed for debarment or is presently debarred, suspended, or declared ineligible, as required by Executive Order 12549, Debarment and Suspension, and implemented by 2 CFR 180, for prospective participants in primary covered transactions; and b. Proposed for debarment or presently debarred as a result of any actions by the District of Columbia Contract Appeals Board, the Office of Contracting and Procurement, or any other District contract regulating agency. 11. Disclosure of criminal charges or investigations, and other legal proceedings Applicant states that it is true that, within the three (3) years immediately preceding the date of the application, neither the applicant nor any of its officers, partners, principals, members, associates, or key employees, has been subject to any of the following: a. With respect to criminal matters: (1) been indicted or had charges brought against them (if still pending); and/or (2) been convicted of: (a) a crime or offense arising directly or indirectly from the conduct of Page 8 of 31 the applicant's organization, or (b) a crime or offense involving financial misconduct or fraud; or b. With respect to services by the organization, been subject to legal proceedings. If any other response than yes is provided to the preceding statements of this paragraph, the applicant shall fully describe in an accompanying writing such indictment, charge, conviction, or legal proceeding, including their status and disposition, and surrounding circumstances, and provide documentation. For the purpose of this numbered paragraph, member means a decision-maker of an organization, not merely a natural person or entity who pays dues, and associate means a direct supplier of a business service pursuant to the grant. DURING the Grant 1. Grant period a. The period of this grant shall begin on the date on which DDOE notifies the Applicant of the complete execution and DDOE approval of the award of the grant ( begin date ), typically given through a Grant Award Notice. b. On and after the begin date DDOE s terms and other documents, including the terms of the RFA and the documents it incorporates, apply to the Applicant as Grantee. c. The period of the grant shall end on the date stated in the Grant Award, unless DDOE modifies it in writing ( end date ). 2. Payment a. The Grantee will be reimbursed for work performed and expenses incurred. b. DDOE will not be reimbursed for grant-related expenditures made before the begin date. c. The Grantee may submit its invoices for grant-related reimbursement as it finds convenient. Invoices must be sent to the address, or addresses, stated in the Grant Award Notice. Page 9 of 31 d. The Grantee s reimbursement request must include a signed invoice, on organization letterhead, with federal tax i.d., and supporting documentation. The submittal to DDOE must include: (1) For employee labor: For the relevant period, a payroll report, with information drawn from an official book or record, like a payroll register, official time sheet or time card/s, approved by a Grantee representative. (2) For contractor expenditures: Expenditures must be supported by invoices. Contractor invoices must rest on information drawn from an official book or record. (3) For other expenditures: Expenditures must be supported by invoices or receipts. e. The Grantee must keep backup documentation, to show: (1) for Grantee: (a) (b) For labor: the official books and records information showing employee name, title, hours worked that are charged to this grant, and pay rate for the period (typically like a payroll register, official time sheet or time card/s); For non-labor: invoices and receipts that identify or describe the invoiced item, showing quantity, rate or price, and for procured items including contractor and subgrantee invoices, proof of payment. (2) for Grantee s contractor or subgrantee: (a) (b) For labor: the official books and records information showing employee name, title, hours worked that are charged to this grant, and pay rate for the period (typically like a payroll register, official time sheet or time card/s); and For non-labor: invoices and receipts that identify or describe the invoiced item, showing quantity, rate or price, and for procured items, proof of payment. f. In some circumstances DDOE may require documents supporting an accounting entry before releasing payment. Such information may include: (1) General ledger screen shots or excerpts, showing paid bills or expenditures; Page 10 of 31 (2) Copies of canceled checks or bank statements of electronic transfers; (3) Statements from contractor, subcontractor and vendors that their bills have been paid; or (4) Reports of on-site inspections or audits. g. In limited circumstances, and at DDOE's discretion according to its policy, DDOE may provide a portion of grant funds for the Grantee s start-up costs. (1) The Applicant must request such funding in its proposal. (2) As a condition for further grant payments, the Grantee must, within the first quarter of the grant period, submit to DDOE documentation showing evidence of the expenditures using the start-up funds. h. DDOE will withhold the final ten percent (10%) of the grant funds until all activities have been completed, including the Grantee s submission of the final report. i. The sum of all monies paid to the Grantee pursuant to the Grant Award shall not exceed the total amount stated. j. Notwithstanding the above, DDOE may withhold payment if DDOE determines that the Grantee has failed to comply with terms of the Grant Award. 3. Tax liability With respect to payments made payable to the Grantee, the Grantee: a. Is solely responsible for taxes owed, if any, to a taxing authority, whether federal, state or local; b. Agrees to defend, indemnify and hold harmless the District with respect to liability to a taxing authority, whether federal, state or local; and c. Agrees to ensure that each of its subcontractors and sub-grantees agrees to and/or understands that they are also subject to the tax-related requirements of this paragraph. In the contract or subgrant each contractor, subcontractor, or sub-grantee, must agree to defend, indemnify and hold harmless the District with respect to liability to any taxing authority, whether federal, state or local, arising from payments contemplated by the Grant Page 11 of 31 Award. 4. Unethical conduct a. The Applicant and Grantee shall avoid unethical conduct with respect to securing and administering granted funds, with ethical conduct to be measured generally against the provisions of the District Ethics Manual (most recent edition as of the time the grant is awarded), found at under the heading for documents. b. In particular, the Applicant and Grantee shall avoid: (1) Apparent and actual conflicts of interest; (2) Contributing to a violation of the District s restrictions on gifts to District personnel; and (3) Contributing to a violation of the two-year ban on District personnel taking certain actions regarding a particular matter described in the District Ethics Manual. c. No applicant or grantee shall employ or retain a person or selling agency to solicit or secure this grant, a payment under it, or an amendment, upon an agreement or understanding for a commission, percentage, brokerage, or contingent fee. Except, an applicant or grantee may condition its compensation for a bona fide employee on grantrelated job performance and may retain an attorney for compensation permitted by the District's Rules of Professional Conduct. d. With respect to the grant funds, no person who is a grantee, or a grantee's employee, officer, or agent, shall solicit or accept a gratuity, favor, or anything of monetary value from a contractor, subcontractor, vendor, party to a related agreement, or a beneficiary of this grant; except that a grantee may, in writing, allow for situations in which the financial interest is not substantial or the gift is an unsolicited item of nominal value. 5. Big grant purchases, including equipment a. The Grantee shall refrain from purchasing with grant funds equipment or supplies exceeding $5,000 per unit cost ( Big Grant Purchase ) without DDOE s written agreement. b. For each Big Grant Purchase, the Grantee shall give advance written notice to DDOE to allow DDOE to approve or disallow the purchase. Identification of the Big Grant Purchase in a proposal which DDOE approves shall constitute approval of the Big Grant Purchase. Page 12 of 31 c. If not identified in the proposal, this advance notice shall be given four (4) weeks in advance of the commitment to purchase. DDOE may waive this time period for good cause. d. For all Big Grant Purchases the Grantee shall maintain an inventory record ( Big Grant Purchase Inventory ) showing: (1) Purchase price; (2) Grant number; (3) Name of item; (4) Manufacturer's name; (5) Serial number (if applicable); (6) Acquisition history (purchase order, invoice, packing slip); (7) Guarantee or warranty lapse date; (8) Storage location; (9) Unit price; and (10) Additional costs, if any, for transportation, installation, and taxes, each as a separate item. e. The Big Grant Purchase Inventory shall be updated annually, or at the expiration of the grant period, whichever occurs first. f. DDOE may inspect and reclaim all or part of the inventoried equipment within twelve (12) weeks of the expiration of the grant. g. A requirement for warranties shall be governed by the provisions of the contracts section of this PCA. 6. Dispute resolution a. A dispute shall in the first instance be addressed for resolution by the Grantee's chief Page 13 of 31 official and the DDOE Grant Administrator within seven (7) days of their receipt of a notice of the dispute; and b. If the dispute still is not resolved, then the Director of DDOE shall resolve the dispute. The decision of the DDOE Director shall be final and binding upon the parties. 7. Modifications, includi
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