Appendix A to Part 1136 - Terms and Conditions for OAR Article I, “Submitting and Maintaining Recipient Information”
2:1.2.8.6.17.7.64.3.49 : Appendix A
Appendix A to Part 1136 - Terms and Conditions for OAR Article I,
“Submitting and Maintaining Recipient Information”
Unless a DoD Component reserves Section B, as specified in §
1136.105, a DoD Component's general terms and conditions must use
the following wording for OAR Article I.
OAR Article I. Submitting and Maintaining Recipient Information.
(DECEMBER 2014)
Section A. System for Award Management.
1. Unless you are exempted from this requirement in accordance
with OMB guidance in 2 CFR 25.110, you must maintain the currency
of information about yourself in the system the Federal Government
specifies as the repository for information about its business
partners (currently the System for Award Management (SAM)).
2. You must maintain the information in that system until you
submit the final financial report required under this award or
receive the final payment, whichever is later.
3. You must review and update the information at least annually
after your initial registration in the system (unless you are
subject to the requirements in Section B) and more frequently if
required by changes in your information.
Section B. Reporting of Performance and Integrity
Information.
1. General reporting requirement. If the total value of
your currently active grants, cooperative agreements, and
procurement contracts from all Federal agencies exceeds $10,000,000
for any period of time during the period of performance of this
award, then during that period of time you must maintain in SAM the
currency of information required by paragraph B.2 of this section.
Note that:
a. This reporting is required under section 872 of Public Law
110-417, as amended (41 U.S.C. 2313).
b. As required by section 3010 of Public Law 111-212, all
performance and integrity information posted in the designated
information system on or after April 15, 2011, except past
performance reviews required for Federal procurement contracts,
will be publicly available.
c. Recipient information is submitted to the OMB-designated
integrity and performance system through the SAM, as described in
paragraph B.3 of this section. The currently designated integrity
and performance information system is the Federal Awardee
Performance and Integrity Information System (FAPIIS).
2. Proceedings about which you must report. Submit the
information that the designated information system requires about
each proceeding that:
a. Is in connection with the award or performance of a grant,
cooperative agreement, or procurement contract from the Federal
Government;
b. Reached its final disposition during the most recent 5-year
period; and
c. Is one of the following:
i. A criminal proceeding that resulted in a conviction, as
defined in paragraph B.5. of this section;
ii. A civil proceeding that resulted in a finding of fault and
liability and payment of a monetary fine, penalty, reimbursement,
restitution, or damages of $5,000 or more;
iii. An administrative proceeding, as defined in paragraph B.5.
of this section, that resulted in a finding of fault and liability
and your payment of either monetary fine or penalty of $5,000 or
more or a reimbursement, restitution, or damages in excess of
$100,000; or
iv. Any other criminal, civil, or administrative proceeding
if:
(A) It could have led to an outcome described in paragraph
B.2.c.i, ii, or iii of this section;
(B) It had a different disposition arrived at by consent or
compromise with an acknowledgment of fault on your part; and
(C) The requirement in this section to disclose information
about the proceeding does not conflict with applicable laws and
regulations.
3. Reporting procedures. Submit the information required
in paragraph B.2 of this section to the Entity Management
functional area of the SAM.
a. Current procedures are to submit the information as part of
the maintenance of your information in the SAM that Section A of
this article requires.
b. You do not need to submit the information again under this
award if you already reported current information to the SAM under
another Federal grant, cooperative agreement, or procurement
contract.
4. Reporting frequency. During any period of time when
you are subject to the requirement in paragraph B.1 of this
section, you must report to SAM at least semiannually following
your initial report of any information required in paragraph B.2 of
this section, either to provide new information not reported
previously or affirm that there is no new information to
report.
5. Definitions. For purposes of this section:
a. Administrative proceeding means a non-judicial process
that is adjudicatory in nature in order to make a determination of
fault or liability (e.g., Securities and Exchange Commission
Administrative proceedings, Civilian Board of Contract Appeals
proceedings, and Armed Services Board of Contract Appeals
proceedings). This includes proceedings at the Federal and State
level but only in connection with performance of a Federal
contract, grant, or cooperative agreement. It does not include
audits, site visits, corrective plans, or inspection of
deliverables.
b. Conviction means a judgment or conviction of a
criminal offense by any court of competent jurisdiction, whether
entered upon a verdict or a plea, and includes a conviction entered
upon a plea of nolo contendere.
c. Total value of currently active grants, cooperative
agreements, and procurement contracts includes:
i. Only the Federal share of the funding under any Federal
agency award with a recipient cost share or match; and
ii. The value of all expected funding increments and options,
even if not yet exercised, under each Federal agency award.
Section C. Disclosure of evidence of integrity-related
issues.
1. Disclosure requirement. At any time during the period
of performance of this award, if you have evidence that a covered
person committed a covered action (see paragraphs C.2 and C.3 of
this section) that may affect this award, you must disclose the
evidence in writing to the Office of the Inspector General, DoD,
with a copy to the grants officer identified in the award cover
pages.
2. Covered person. As the term is used in this section,
“covered person” means a principal, employee, or agent of either
you or a subrecipient under this award, where:
a. “Principal” means:
i. An officer, director, owner, partner, principal investigator,
or other person with management or supervisory responsibilities
that relate to this award; or
ii. A consultant or other person, whether or not employed by you
or a subrecipient or paid with funds under this award, who:
(A) Is in a position to handle funds under this award;
(B) Is in a position to influence or control the use of those
funds; or
(C) Occupies a technical or professional position capable of
substantially influencing the development or outcome of an activity
required to perform the project or program under this award.
b. “Agent” means any individual who acts on behalf of, or who is
authorized to commit you or the subrecipient, whether or not
employed by you or the subrecipient.
3. Covered action. As the term is used in this section,
“covered action” means a violation of Federal criminal law in Title
18 of the United States Code involving fraud, bribery, or a
gratuity violation.
4. Safeguarding of the information.
a. To the extent permitted by law and regulation, we will:
i. Safeguard and treat information you disclose to us as
confidential if you mark the information as “confidential” or
“proprietary.”
ii. Not release the information to the public in response to a
Freedom of Information Act (5 U.S.C. 552) request without notifying
you in advance.
b. We may transfer documents you provide to us to any other
department or agency within the Executive Branch of the Federal
Government if the information relates to matters within that
organization's jurisdiction.