Appendix XII to Part 200 - Award Term and Condition for Recipient Integrity and Performance Matters
2:1.1.2.2.1.6.48.23.17 : Appendix XII
Appendix XII to Part 200 - Award Term and Condition for Recipient
Integrity and Performance Matters A. Reporting of Matters Related
to Recipient Integrity and Performance 1. General Reporting
Requirement
If the total value of your currently active grants, cooperative
agreements, and procurement contracts from all Federal awarding
agencies exceeds $10,000,000 for any period of time during the
period of performance of this Federal award, then you as the
recipient during that period of time must maintain the currency of
information reported to the System for Award Management (SAM) that
is made available in the designated integrity and performance
system (currently the Federal Awardee Performance and Integrity
Information System (FAPIIS)) about civil, criminal, or
administrative proceedings described in paragraph 2 of this award
term and condition. This is a statutory requirement under section
872 of Public Law 110-417, as amended (41 U.S.C. 2313). As required
by section 3010 of Public Law 111-212, all information posted in
the designated integrity and performance system on or after April
15, 2011, except past performance reviews required for Federal
procurement contracts, will be publicly available.
2. Proceedings About Which You Must Report
Submit the information required 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
five-year period; and
c. Is one of the following:
(1) A criminal proceeding that resulted in a conviction, as
defined in paragraph 5 of this award term and condition;
(2) 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;
(3) An administrative proceeding, as defined in paragraph 5. of
this award term and condition, that resulted in a finding of fault
and liability and your payment of either a monetary fine or penalty
of $5,000 or more or reimbursement, restitution, or damages in
excess of $100,000; or
(4) Any other criminal, civil, or administrative proceeding
if:
(i) It could have led to an outcome described in paragraph
2.c.(1), (2), or (3) of this award term and condition;
(ii) It had a different disposition arrived at by consent or
compromise with an acknowledgment of fault on your part; and
(iii) The requirement in this award term and condition to
disclose information about the proceeding does not conflict with
applicable laws and regulations.
3. Reporting Procedures
Enter in the SAM Entity Management area the information that SAM
requires about each proceeding described in paragraph 2 of this
award term and condition. You do not need to submit the information
a second time under assistance awards that you received if you
already provided the information through SAM because you were
required to do so under Federal procurement contracts that you were
awarded.
4. Reporting Frequency
During any period of time when you are subject to the
requirement in paragraph 1 of this award term and condition, you
must report proceedings information through SAM for the most recent
five year period, either to report new information about any
proceeding(s) that you have not reported previously or affirm that
there is no new information to report. Recipients that have Federal
contract, grant, and cooperative agreement awards with a cumulative
total value greater than $10,000,000 must disclose semiannually any
information about the criminal, civil, and administrative
proceedings.
5. Definitions
For purposes of this award term and condition:
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
or grant. It does not include audits, site visits, corrective
plans, or inspection of deliverables.
b. Conviction, for purposes of this award term and condition,
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 -
(1) Only the Federal share of the funding under any Federal
award with a recipient cost share or match; and
(2) The value of all expected funding increments under a Federal
award and options, even if not yet exercised.
B. [Reserved]
[80 FR 43310, July 22, 2015, as amended at 85 FR 49582, Aug. 13,
2020]