RD 3570-3 - Community Facilities Grant Application

Form RD 3570-3

UNITED STATES DEPARTMENT OF AGRICULTURE
RURAL DEVELOPMENT

(Rev. 07-20)

FORM APPROVED
OMB No. 0575-0173

Exp. Date: MM/DD/YY

COMMUNITY FACILITIES GRANT AGREEMENT

Grantee and Agency
This Grant Agreement (Agreement) dated
, is a contract for receipt of grant
funds under the Community Facility Grant program (7 C.F.R. part 3570, subpart B). These requirements do
not supersede the applicable requirements for receipt of Federal funds stated in 2 C.F.R. Part 200,
“UNIFORM ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES, AND AUDIT REQUIREMENTS FOR
FEDERAL AWARDS”, which are incorporated by reference into this Agreement. Further, 7 C.F.R. part
3570, subpart B, and all relevant regulatory requirements apply to applicants and are also incorporated by
reference into this Agreement.
This Agreement for the Project and Amount described below (the “Project Description”) and for the
Community Facilities grant, CFDA Number 10.766, is between the Grantee, a public body, nonprofit
corporation or Indian tribe (you), and the United States of America acting through the Rural Housing
Service (RHS or Agency).

I.

GENERAL AWARD INFORMATION

1. Grantee Name & Address

2. DUNS No.

3. SAM No.

4. Case No.
5. Federal Award Identification Number (FAIN)

6. Award Date

7. Performance Start Date

8. Performance End Date

9. Amount of Federal Funds Obligated for this
Action,
and Total Amount of Federal Funds Obligated

10. Amount of Matching/Other Funds (if applicable)

11. Total Project Cost (Budget Approved
Amount)

12. Award as Percentage of Total Project Cost

13. Grantee Contact (Name, Title, Contact Info)

15. Description of Real Property covered by the
grant

%
14. Agency Contact (Name, Title, Contact Info)

16. Description of Equipment covered by the grant

A federal agency may not conduct or sponsor, and a person is not required to respond to, nor shall a person be subject to a penalty for failure to comply with a collection of
information subject to the requirements of the Paperwork Reduction Act unless that collection of information displays a currently valid OMB Control Number. The OMB
Control Number for this information collection is 0575-0173. Public reporting for this collection of information is estimated to be approximately 1hour per response, including
the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, completing and reviewing the collection of information. All
responses to this collection of information are voluntary. However, in order to obtain or retain a benefit, the information in this form is required by 7 CFR 3570-B, Community
Facilities Grant Program. Rural Development has no plans to publish information collected under the provisions of this program. Send comments regarding this burden
estimate or any other aspect of this collection of information, including suggestions for reducing this burden to: Information Collection Clearance Officer, Rural Development
Innovation Center, Regulations Management Division at [email protected]

1

Form RD 3570-3

The Agency has agreed to give the Grantee the Grant Funds, subject to the terms and conditions established
by the Agency. Provided, however, that any Grant Funds actually advanced and not needed for grant
purposes shall be returned immediately to the Agency. The Agency may terminate the grant in whole, or in
part, at any time before the date of completion, whenever it is determined that the Grantee has failed to
comply with the conditions of this Agreement or the applicable regulation.
II.

RESPONSIBILITIES
A. Grantee. The Grantee shall cause said project to be completed within the total sums
available to it, including Grant Funds, in accordance with any architectural or
engineering reports, and any necessary modifications, prepared by Grantee and
approved by the Agency as required by 7 C.F.R. part 3570. The Grantee will remain
in compliance with all applicable laws, regulations, Executive Orders, and other
generally applicable requirements for the duration of the Agreement including 7
C.F.R. part 3570, subpart B and 2 C.F.R. parts 200, 400, 415, 416, 417, 418, 421,
and 422. The most commonly-referenced provisions are identified below.
1. Financial and Program Management. You must follow the financial and
performance management requirements in 2 C.F.R. § 200.300-.309.
a. Financial Management. You must maintain a financial management system
in compliance with 2 C.F.R. § 200.302.
b. Internal Controls. You must maintain internal controls in compliance with 2
C.F.R. § 200.303.
c. Payments. You must comply with the payment requirements described in 2
C.F.R. § 200.305. Payment must be requested by using the SF-270, “Request
for Advance or Reimbursement” or SF-271, “Request for Reimbursement for
Construction Programs” (as applicable). Receipts, hourly wage rate,
personnel payroll records, or other documentation must be provided upon
request from RHS if the request is for an advance; otherwise, the
documentation must be provided at the time of the request. Requests for
payment must be sent to the Agency contact listed in Section I.14.
d. Revisions of the Work Plan and Budget. You must complete all elements
of the Work Plan in Attachment A in accordance with that Attachment and
must use project funds only for the purposes and activities specified in
Attachment A - Approved Work Plan and Budget. You must further complete
the outcomes shown for each Work Plan items within the time and scope
constraints shown in Attachment A. You must report any changes and request
prior approvals in accordance with 2 C.F.R. § 200.308.
e. Period of Performance. You may only incur costs chargeable to the award
in accordance with 2 C.F.R. § 200.309.
f. Bonding. You must maintain your fidelity bond coverage in the amount of
$
for the Period of Performance of the award. (See 2 C.F.R.§ 200.304)
2

Form RD 3570-3

g. Program Income. You must comply with the requirements of 2 C.F.R.
§ 200.307. Additionally, if program income is earned during the period of
performance, you may use it in accordance with 2 C.F.R. § 200.307(e)(2),
provided that you inform us in writing of your intent prior to the award date.
However, if you earn program income in excess of what can be used under 2
C.F.R. § 200.307(e)(2) or if you earn unanticipated program income, you must
comply with 2 C.F.R. § 200.307(e)(1). Costs incidental to the generation of
program income may be deducted from gross income to determine program
income, provided these costs have not been charged to the award.
2. Procurement and Property Standards. You must follow the procurement
standards requirements in 2 C.F.R. § 200.310-.326.
3. Performance and Financial Monitoring and Reporting. You must follow the
requirements in 2 C.F.R. Part 170, including Appendix A, and 2 C.F.R. § 200.327.329, and submit reports as outlined below. Unless otherwise directed in the
addendum to this Agreement, the reports are due as indicated below.
a. Form SF-425, “Financial Status Report.” Reports are due 30 calendar days
after the reporting period ends. A final report is due within 90 days after the
Performance End Date specified in Section I.8. of this Agreement or at the
completion of your project, whichever date is sooner. Your reporting periods
are below (mark one):
Semi-Annually: January 1 – June 30 and July 1 – December 31
Semi-Annually: April 1 – September 30 and October 1 – March 31
Quarterly: January 1 – March 31, April 1 – June 30, July 1 –
September 30, October 1 – December 31
b. Performance Reports. SF-PPR, “Performance Progress Report” is due 30
calendar days after the reporting period ends. A final report is due within 90
days after the Performance End Date specified in Section I.8. of this
Agreement or at the completion of your project, whichever date is sooner.
Your reporting periods are below (mark one):
Semi-Annually: January 1 – June 30 and July 1 – December 31
Semi-Annually: April 1 – September 30 and October 1 – March 31
Quarterly: January 1 – March 31, April 1 – June 30, July 1 –
September 30, October 1 – December 31
The performance narrative on the Performance Project Report shall include,
but is not limited to, the following:
i.

Describe the activities that the funds reflected in the financial
status report were used for;

3

Form RD 3570-3

ii.

A comparison of actual accomplishments to the objectives
established for that period;

iii.

Reasons why established objectives were not met, if applicable;

iv.

Problems, delays, or adverse conditions which will affect
attainment of overall project objectives, prevent meeting time
schedules or objectives, or preclude the attainment of project
work elements during established time periods. This disclosure
shall be accompanied by a statement of the action taken or
planned to resolve the situation;

v.

Objectives and timetables established for the next reporting
period;

The final report (due 90 calendar days after the period of performance end
date) will also address the following:
i.

What have been the most challenging or unexpected aspects of
this program?

ii.

What advice, best practices, and actions would you recommend
to other organizations planning a similar program that would
increase the success of their program? Please include strengths
and limitations of the program. If you had the opportunity, what
would you have done differently?

4. Operations. The Grantee will manage, operate and maintain the facility, including
this project if less than the whole of said facility, continuously in an efficient and
economical manner in accordance with 7 C.F.R. § 3570.61(e).
5. Funding. The Grantee will not use grant funds to replace any financial support
previously provided or assured from any other source. The Grantee agrees that the
Grantee’s level of expenditure for the Project shall be maintained and not reduced
as a result of Grant Funds in accordance with 7 C.F.R. § 3570.66.
6.

Default. Upon any default under its representations or agreements contained in
this instrument, 2 C.F.R. Part 200, or 7 C.F.R. Part 3570, Grantee, at the option
and demand of the Agency, will immediately repay to the Agency the Grant Funds
with any legally permitted interest from the date of the default. Default by the
Grantee will constitute termination of the grant thereby causing cancellation of
Federal assistance under the grant. The provisions of this Agreement may be
enforced by the Agency, at its option and without regard to prior waivers of
previous defaults by Grantee, by judicial proceedings to require specific
performance of the terms of this Agreement or by such other proceedings in law or
equity, in either Federal or State courts, as may be deemed necessary by the
Agency to assure compliance with the provisions of this Agreement and the laws
and regulations under which this grant is made.
4

Form RD 3570-3

7. Real Property. Use the real property including land, improvements, structures,
and appurtenances thereto, for authorized purposes of the grant as long as needed
and in accordance with 2 C.F.R. § 200.311; 2 C.F.R. § 200.312; 7 C.F.R.
§15.4(a)(2) and 7 C.F.R. § 3570.92. In accordance with Title VI of the Civil
Rights Act of 1964, deeds for real property must comply with the requirements
for the Reverter and Habendum clauses.
a. Title to real property shall vest in the Grantee subject to the condition that the
Grantee shall use the real property for the authorized purpose of the original
grant as long as needed.
b. The Grantee shall obtain the Agency's approval to use the real property in other
projects when the Grantee determines that the property is no longer needed for
the original grant purposes. Use in other projects shall be limited to those under
other Federal grant programs or programs that have purposes consistent with
those authorized for support by the Agency.
c. When the real property is no longer needed, as provided in paragraphs (a) and
(b) above, the Grantee shall request disposition instructions from the Agency.
The Agency will observe the following rules in the disposition instructions:
i.

The Grantee may be permitted to retain title after it compensates the
Federal government in an amount computed by applying the Federal
percentage of participation in the cost of the original Project to the
fair market value of the property;

ii.

The Grantee may be directed to sell the property under guidelines
provided by the Agency and pay the Federal government an amount
computed by applying the Federal percentage of participation in the
cost of the original Project to the proceeds from sale (after deducting
actual and reasonable selling and fix-up expenses, if any, from the
sales proceeds). When the Grantee is authorized or required to sell
the property, proper sales procedures shall be established that
provide for competition to the extent practical and result in the
highest possible return;

iii.

The Grantee may be directed to transfer title to the property to the
Federal government provided that in such cases the Grantee shall be
entitled to compensation computed by applying the Grantee's
percentage of participation in the cost of the program or Project to
the current fair market value of the property;

Equipment. Abide by the following conditions pertaining to equipment which is
furnished by the Agency or acquired wholly or in part with Grant Funds.
Equipment is defined at 2 C.F.R. § 200.33 and is tangible, non-expendable
personal property having a useful life of more than one year and an acquisition
cost of $5,000 or more per unit.

5

Form RD 3570-3

d. Use of equipment. The Grantee shall use the equipment in the Project for

which it was acquired as long as needed. When no longer needed for the original
project, the Grantee shall use the equipment in connection with its other
federally sponsored activities, if any, in the following order of priority:
i.

Activities sponsored by the Agency.

ii.

Activities sponsored by other Federal agencies.

b. Use of equipment. During the time that equipment is held for use on the project
for which it was acquired, the Grantee shall make it available for use on other
projects if such other use will not interfere with the work on the project for
which the property was originally acquired. First preference for such other use
shall be given to the Agency sponsored projects. Second preference will be
given to other federally sponsored projects.
c. Disposition of equipment. When the Grantee no longer needs the property as
provided in paragraph 1 (a) and (b) above, the equipment may be sold or used
for other activities in accordance with 2 C.F.R. § 200.313 and 7 C.F.R.
§15.4(a)(3) :
i.

Equipment with a current fair market value of less than $5,000. The
Grantee may use the property for other activities without
reimbursement to the Federal government or sell the property and
retain the proceeds.

ii.

Equipment with a current fair market value of $5,000 or more. The
Grantee may retain the property for other uses provided that
compensation is made to the Agency. The amount of compensation
shall be computed by applying the percentage of Federal
participation in the cost of the original Project to the current fair
market value of the property. If the Grantee has no need for the
equipment and the equipment has further use value, the Grantee shall
request disposition instructions from the Agency.

iii.

The Agency shall determine whether the equipment can be used to
meet RHS or its successor agency's requirements. If no such
requirements exist, the availability of the property shall be reported,
in accordance with the guidelines of the Federal Property
Management Regulations (FPMR), to the General Services
Administration by the Agency to determine whether a requirement
for the equipment exists in other Federal agencies. They shall issue
instructions to the Grantee no later than 120 days after the Grantee's
request and the following procedures shall govern:

6

Form RD 3570-3

•

If so instructed or if disposition instructions are not issued
within 120 calendar days after the Grantee's request, the
Grantee shall sell the equipment and reimburse the Agency an
amount computed by applying to the sales proceeds the
percentage of Federal participation in the cost of the original
project or program. However, the Grantee shall be permitted to
deduct and retain from the Federal share 10 percent of the
proceeds or $500, whichever is less, for the Grantee's selling
and handling expenses.

•

If the Grantee is instructed to ship the property elsewhere, the
Grantee shall be reimbursed by the benefiting Federal agency
with an amount which is computed by applying the percentage
of the Grantee participation in the cost of the original grant
Project or program to the current fair market value of the
equipment plus any reasonable shipping or interim storage
costs incurred.

•

If the Grantee is instructed to otherwise dispose of the
equipment, the Grantee shall be reimbursed by the Agency for
such costs incurred in its disposition.

d. The Grantee's property management standards for equipment shall be in accordance
with 2 CFR § 200.313 and shall include:
i.

Property records which accurately provide for: a description of the
equipment; manufacturer's serial number or other identification number;
acquisition date and cost; source of the equipment; percentage (at the
end of budget year) of Federal participation in the cost of the Project for
which the equipment was acquired; location, use, and condition of the
equipment and the date the information was reported; and ultimate
disposition data including sales price, or the method used to determine
current fair market value if the Grantee reimburses the Agency for its
share.

ii.

A physical inventory of equipment shall be taken, and the results reconciled
with the equipment records at least once every two years to verify the
existence, current utilization, and continued need for the equipment.

iii.

A control system shall be in effect to ensure adequate safeguards to prevent
loss, damage, or theft of the equipment. Any loss, damage, or theft of
equipment shall be investigated and fully documented.

iv.

Adequate maintenance procedures shall be implemented to keep the
equipment in good condition.

v.

Proper sales procedures shall be established for unneeded equipment which
would provide for competition to the extent practicable and result in the
highest possible return;
7

Form RD 3570-3

9. Earned Interest. Grantee agree to account for and to return to Agency interest earned on
grant funds pending their disbursement for program purposes when the Grantee is a unit of
local government. States and agencies or an instrumentality of a State shall not be held
accountable for interest earned on Grant Funds pending their disbursement.
10. Record Retention and Access. You must retain records related to this work
performed under this Agreement and allow access to them in accordance with
2 C.F.R. § 200.333-.337.
11. Closeout. You must comply with the closeout requirements in 2 C.F.R. §
200.343.
12. Post-Closeout Adjustments and Continuing Responsibilities. You must
continue to comply with the requirements in 2 C.F.R. § 200.344 even after the
Period of Performance for this Agreement has ended.
13. Cost Principles. You must comply with the provisions in 2 C.F.R. Part 200,
Subpart E.
14. Audits. You must comply with the provisions in 2 C.F.R. Part 200, Subpart F.
15. Civil Rights Compliance. Unless otherwise provided in the addendum, you
must comply with Executive Order 12898, Executive Order 13166- Limited
English Proficient, the Americans with Disabilities Act of 1990, Title VI of the
Civil Rights Act of 1964, and Section 504 of the Rehabilitation Act of 1973 as
applicable. You must make the public facility or services available to all persons
in the Grantee’s service area without discrimination as to race, color, religion,
sex, national origin, age, marital status or physical or mental disability at
reasonable rates, including assessments, taxes, or fees. You may make
modifications as long as they are reasonable and nondiscriminatory. Your
compliance shall include collection and maintenance of data on race, sex, and
national origin of your membership, ownership, and employees. This data must
be available to us for Civil Rights Compliance Reviews. You must submit to a
post-award compliance review conducted after the final disbursement of grant
funds has occurred.
16. Execute Agreements. The Grantee will execute any agreements required by
the Agency which the Grantee is legally authorized to execute. If any such
agreement has been executed by the Grantee as a result of a loan being made
to the Grantee by the Agency contemporaneously with the making of this grant,
that agreement applies equally to the grant and another identical agreement
need not be executed in connection with this grant.

8

Form RD 3570-3

17. Universal Identifier and Central Contractor Registration. The Grantee
must have a Dun & Bradstreet Universal Numbering System (DUNS) number
in order to apply for, receive, and report on a Federal award. Additionally, the
Grantee must comply with the additional requirements set forth in Attachment
C regarding the DUNS Requirements and the Central Contractor Registry
(CCR) Requirements found at 2 CFR Part 25, including Appendix A. For the
purposes of this Agreement, “you” in Attachment B shall mean “Grantee” as
defined hereunder;
18. Federal Funding Accountability and Transparency Act. The Grantee is
responsible for complying with all requirements of the Federal award. For all
Federal awards, this includes the provisions of the Federal Funding
Accountability and Transparency Act (FFATA), which includes requirements
on executive compensation, and also requirements implementing the Act for
the Grantee at 2 CFR Part 25 Financial Assistance Use of Universal Identifier
and Central Contractor Registration and 2 CFR Part 170 Reporting Subaward
and Executive Compensation Information. See also statutory requirements for
whistleblower protections at 10 U.S.C. 2409, 41 U.S.C. 4712, 10 U.S.C. 2324,
41 U.S.C. 4304 and 4310. See also 2 C.F.R. § 200.11-200.113.
19. Not encumber, transfer or dispose of the property or any part thereof, furnished
by the Agency or acquired wholly or in part with Agency funds without the
written consent of the Agency except as provided in paragraph 8 (c).
20. Not duplicate other Project purposes for which monies have been received, are
committed, or are applied to from other sources (public or private).
B. Rural Housing Service (RHS). RHS has agreed to give the Grantee the grant
funds, subject to the terms and conditions established by RHS. Provided, however,
that any grant funds actually advance and not needed for grant purposes shall be
returned immediately to RHS. RHS may terminate the grant in whole, or in part,
at any time before the date of completion, whenever it is determined that the
Grantee has failed to comply with the conditions of this Agreement or the
applicable regulation. RHS shall remain in compliance with all applicable laws,
regulations, Executive Orders, and other generally applicable requirements for the
duration of the Agreement. The most commonly-referenced provisions are
identified below.
1. Payments. We will advance or reimburse funds up to the Award Amount
identified in Section I.9 upon the Grantee’s proper request according to Section
II.A.1.c.
2. Monitoring and Enforcement. We will monitor the project to ensure that you
are in compliance with the terms of the award. If we find that you are not in

9

Form RD 3570-3

compliance, we will enforce the terms of this Agreement using the provisions of
2 C.F.R. § 200.338-.342.
a. Will assist Grantee, within available appropriations, with such technical
assistance as Agency deems appropriate in planning the Project and
coordinating the plan with local official comprehensive plans for essential
community facilities and with any State or area plans for the area in which
the project is located.
b. At its sole discretion and at any time may give any consent, deferment,
subordination, release, satisfaction, or termination of any or all of Grantee's
grant obligations, with or without valuable consideration, upon such terms
and conditions as Agency may determine to be (1) advisable to further the
purpose of the grant or to protect Agency's financial interest therein and (2)
consistent with both the statutory purposes of the grant and the limitations of
the statutory authority under which it is made.
3. Termination of This Agreement. This Agreement may be terminated for cause
in the event of default on the part of the Grantee or for convenience of the Agency
and Grantee prior to the date of completion of the grant purpose. Termination for
convenience will occur when both the Grantee and Agency agree that the
continuation of the Project will not produce beneficial results commensurate with
the further expenditure of funds. In all cases termination and notification will be
in accordance with 2 C.F.R. § 200.339 and 200.340.
C. Both Parties. The Grantee and RHS agree to the following:
1. Invalid Clauses. The invalidity of any one or more phrases, clauses, sentences,
paragraphs, or provisions of this Agreement shall not affect the remaining
portions of the Agreement.
2. Conflict between this Agreement and Other Applicable Regulations or
Laws. If there is a conflict between this Agreement and the applicable Program
Regulation, the applicable Program Regulation shall prevail. If there is a
conflict between this Agreement and another law or regulation, RHS shall seek
a legal opinion to determine which provision applies.
3. Dates. When the date fixed for the performance of an act under this Agreement
is on a weekend or Federal holiday, then the performance by the close of
business on the next Federal work day shall have the same force and effect as if
made performed or exercised on the specified date.

10

Form RD 3570-3

The signatories below certify that they have authority to enter into this Agreement.
Approved by an Authorized Representative of the Grantee:
Name (Please Print)
Title (Please Print)
Signature

Date

Approved by the United States of America, Rural Housing Service by:
Name (Please Print)
Title (Please Print)
Signature

Date

11

Form RD 3570-3

Attachment A
Approved Work Plan and Budget
(The work plan must have time, scope, and outcome entries for each task.)

12

Form RD 3570-3

ATTACHMENT B
I.

Reporting Subawards and Executive Compensation.
A. Reporting of first-tier subawards.
1. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you
must report each action that obligates $25,000 or more in Federal funds that does not
include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and
Reinvestment Act of 2009, Pub. L. 111–5) for a subaward to an entity (see definitions in
paragraph e. of this award term).
2. Where and when to report.
a. You must report each obligating action described in paragraph a.1. of this award term
to http://www.fsrs.gov.
b. For subaward information, report no later than the end of the month following the
month in which the obligation was made. (For example, if the obligation was made on
November 7, 2010, the obligation must be reported by no later than December 31,
2010.)
3. What to report. You must report the information about each obligating action that the
submission instructions posted at http://www.fsrs.gov specify.
B. Reporting Total Compensation of Recipient Executives.
1. Applicability and what to report. You must report total compensation for each of your five
most highly compensated executives for the preceding completed fiscal year, if:
a. the total Federal funding authorized to date under this award is $25,000 or more;
b. in the preceding fiscal year, you received
i. 80 percent or more of your annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the
Transparency Act, as defined at 2 CFR 170.320 (and subawards); and
ii.
$25,000,000 or more in annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the
Transparency Act, as defined at 2 CFR 170.320 (and subawards);
c. The public does not have access to information about the compensation of the
executives through periodic reports filed under section 13(a) or 15(d) of the Securities
Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal
Revenue Code of 1986. (To determine if the public has access to the compensation
information, see the U.S. Security and Exchange Commission total compensation
filings at http://www.sec.gov/answers/execomp.html)
2. Where and when to report. You must report executive total compensation described in
paragraph b.1. of this award term:
a. As part of your registration profile at http://www.ccr.gov.
b. By the end of the month following the month in which this award is made, and annually
thereafter.

13

Form RD 3570-3

C. Reporting of Total Compensation of Subrecipient Executives.
1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of this
award term, for each first-tier subrecipient under this award, you shall report the names and
total compensation of each of the subrecipient's five most highly compensated executives
for the subrecipient's preceding completed fiscal year, if
a. in the subrecipient's preceding fiscal year, the subrecipient received—
i.
80 percent or more of its annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the
Transparency Act, as defined at 2 C.F.R. § 170.320 (and subawards); and
ii. $25,000,000 or more in annual gross revenues from Federal procurement
contracts (and subcontracts), and Federal financial assistance subject to the
Transparency Act (and subawards); and
b. The public does not have access to information about the compensation of the
executives through periodic reports filed under section 13(a) or 15(d) of the Securities
Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal
Revenue Code of 1986. (To determine if the public has access to the compensation
information, see the U.S. Security and Exchange Commission total compensation
filings at http://www.sec.gov/answers/execomp.htm.)
2. Where and when to report. You must report subrecipient executive total compensation
described in paragraph c.1. of this award term:
a. To the recipient.
b. By the end of the month following the month during which you make the subaward.
For example, if a subaward is obligated on any date during the month of October of a
given year ( i.e., between October 1 and 31), you must report any required
compensation information of the subrecipient by November 30 of that year.
D. Exemptions. If, in the previous tax year, you had gross income, from all sources, under
$300,000, you are exempt from the requirements to report:
1. Subawards, and
2. The total compensation of the five most highly compensated executives of any
subrecipient.
E. Definitions. For purposes of this award term:
1. Entity means all of the following, as defined in 2 CFR part 25:
a. A Governmental organization, which is a State, local government, or Indian tribe;
b. A foreign public entity;
c. A domestic or foreign nonprofit organization;
d. A domestic or foreign for-profit organization;
e. A Federal agency, but only as a subrecipient under an award or subaward to a
f. non-Federal entity.
2. Executive means officers, managing partners, or any other employees in management
positions.
3. Subaward:
a. This term means a legal instrument to provide support for the performance of any
portion of the substantive project or program for which you received this award and
that you as the recipient award to an eligible subrecipient.
b. The term does not include your procurement of property and services needed to carry
out the project or program.

14

Form RD 3570-3

c. A subaward may be provided through any legal agreement, including an agreement that
you or a subrecipient considers a contract.
4. Subrecipient means an entity that:
a. Receives a subaward from you (the recipient) under this award; and
b. Is accountable to you for the use of the Federal funds provided by the subaward.
5. Total compensation means the cash and noncash dollar value earned by the executive
during the recipient's or subrecipient's preceding fiscal year and includes the following (for
more information see 17 C.F.R. § 229.402(c)(2)):
a. Salary and bonus.
b. Awards of stock, stock options, and stock appreciation rights. Use the dollar amount
recognized for financial statement reporting purposes with respect to the fiscal year in
accordance with the Statement of Financial Accounting Standards No. 123 (Revised
2004) (FAS 123R), Shared Based Payments.
c. Earnings for services under non-equity incentive plans. This does not include group
life, health, hospitalization or medical reimbursement plans that do not discriminate in
favor of executives, and are available generally to all salaried employees.
d. Change in pension value. This is the change in present value of defined benefit and
actuarial pension plans.
e. Above-market earnings on deferred compensation which is not tax-qualified.
f. Other compensation, if the aggregate value of all such other compensation (e.g.
severance, termination payments, value of life insurance paid on behalf of the
employee, perquisites or property) for the executive exceeds $10,000.

15

Form RD 3570-3

ATTACHMENT C
I. System for Award Management and Universal Identifier Requirements
A. Requirement for Registration with the General Services Administration's System for Award
Management. Unless you are exempted from this requirement under 2 CFR 25.110, you as the
recipient must maintain the currency of your information in the CCR until you submit the final
financial report required under this award or receive the final payment, whichever is later. This
requires that you review and update the information at least annually after the initial
registration, and more frequently if required by changes in your information or another award
term.
B. Requirement for Data Universal Numbering System (DUNS) Numbers.
The Grantee must have a Dun & Bradstreet Universal Numbering System (DUNS) number in
order to apply for, receive, and report on a Federal award.
C. Definitions. For purposes of this award term:
1. System for Award Management (SAM) means the Federal repository into which an entity
must provide information required for the conduct of business as a recipient. Additional
information about registration procedures may be found at the SAM Internet site (currently
at http://www.sam.gov).
2. Data Universal Numbering System (DUNS) number means the nine-digit number
established and assigned by Dun and Bradstreet, Inc. (D & B) to uniquely identify business
entities. A DUNS number may be obtained from D & B by telephone (currently 866-7055711) or the Internet (currently at http://fedgov.dnb.com/webform).
3. Entity, as it is used in this award term, means all of the following, as defined at 2 CFR part
25, subpart C:
a. A Governmental organization, which is a State, local government, or Indian Tribe;
b. A foreign public entity;
c. A domestic or foreign nonprofit organization;
d. A domestic or foreign for-profit organization; and
e. A Federal agency, but only as a subrecipient under an award or subaward to a nonFederal entity.
4. Subaward:
a. This term means a legal instrument to provide support for the performance of any
portion of the substantive project or program for which you received this award and
that you as the recipient award to an eligible subrecipient.
b. The term does not include your procurement of property and services needed to carry
out the project or program.
c. A subaward may be provided through any legal agreement, including an agreement that
you consider a contract.

16