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Standard Assurances and Certifications
ASSURANCES AND CERTIFICATIONS
The grantor will not award a grant where the grantee has failed to accept the ASSURANCES AND CERTIFICATIONS
contained in this section. In performing its responsibilities under this agreement the grantee hereby certifies and assures
that it will fully comply with the following:
1) Assurances Non-Construction Programs (SF 424 B)
2) Debarment and Suspension Certification (29 CFR Part 98)
3) Certification Regarding Lobbying (29 CFR Part 93)
4) Drug Free Workplace Certification (29 CFR Part 98)
5) Nondiscrimination and Equal Opportunity Assurance (29 CFR Part 38)
6) Uniform Administrative Requirements, Cost Principles, and Audit Requirement for Federal Awards (2 CFR Part 200)
By signing the agreement the grantee is providing the above assurances and certifications as detailed below:
1) ASSURANCES NON-CONSTRUCTION PROGRAMS
NOTE: Certain assurances may not be applicable to your project or program. If you have questions, please contact
the grantor agency.
As the duly authorized representative of the applicant, I certify that the applicant:
A) Has the legal authority to apply for federal assistance and the institutional managerial and financial capability
(including funds sufficient to pay the non-federal share of project costs) to ensure proper planning,
management and completion of the project described in this application.
B) Will give the awarding agency, the Comptroller General of the United States, and if appropriate, the state,
through any authorized representative, access to and the right to examine all records, books, papers or
documents related to the award; and will establish a proper accounting system in accordance with generally
accepted accounting principles or agency directives.
C) Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes or
presents the appearance of personal or organizational conflict of interest, or personal gain.
D) Will initiate and complete the work within the applicable time frame after receipt of approval of the awarding
agency.
E) Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. 4728-4763) relating to prescribed
standards for merit systems for programs funded under one of the 19 statutes or regulations specified in
Appendix A of Office of Personnel Management's Standards for a Merit System of Personnel Administration
(5 CFR 900, Subpart F).
F) Will comply with all federal statutes relating to nondiscrimination. These include, but are not limited to: (a)
Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d et seq. (P.L. 88-352) which prohibits discrimination
on the basis of race, color or national origin; (b) Title IX of the Education Amendments of 1972, as amended
(20 U.S.C. 1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex; (c) section 504 of
the Rehabilitation Act of 1973, as amended (29 U.S.C. 794), which prohibits discrimination on the basis of
handicaps; (d) the Age Discrimination Act of 1975, as amended (42 U.S.C. 6101- 6107), which prohibits
discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972, 21 U.S.C. 1101 et
seq. (P.L. 92-255) as amended, relating to nondiscrimination on the basis of drug abuse; (f) the
Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970, 21
U.S.C. 801 et seq. (P.L. 91-616) as amended, relating to nondiscrimination on the basis of alcohol abuse or
alcoholism; (g) sections 523 and 527 of the Public Health Service Act (42 U.S.C. 290 dd-2), as amended,
relating to confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of
1968 (42 U.S.C. 3601 et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of
housing; (i) the Genetic Information Nondiscrimination Act of 2008 which prohibits discrimination on the basis
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of genetic information; (j) any other nondiscrimination provisions in the specific statute(s) under which
application for federal assistance is being made; and (k) the requirements of any other nondiscrimination
statute(s) which may apply to the application.
G) Will comply, or has already complied, with the requirements of Titles II and III of the Uniform Relocation
Assistance and Real Property Acquisition Policies Act of 1970, 42 U.S.C. 4601 et seq. (P.L. 91-646) which
provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of
federal or federally assisted programs. These requirements apply to all interests in real property acquired for
project purposes regardless of federal participation in purchases.
H) Will comply with the provisions of the Hatch Act (5 U.S.C. 1501-1508 and 7324-7328) which limit the political
activities of employees whose principal employment activities are funded in whole or in part with federal
funds.
I) Will comply, as applicable, with the provisions of the Davis-Bacon Act (40 U.S.C. 276a to 276a-7), the
Copeland Act (40 U.S.C. 276c and 18 U.S.C. 874) and the Contract Work Hours and Safety Standards Act
(40.U.S.C. 327-333), regarding labor standards for federally assisted construction subagreements.
J) Will comply, if applicable, with Flood Insurance Purchase Requirements of section 102(a) of the Flood
Disaster Protection Act of 1973, 42 U.S.C. 4001 et seq. (P.L. 93-234) which requires recipients in a special
flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable
construction and acquisition is $10,000 or more.
K) Will comply with environmental standards which may be prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National Environmental Policy Act of 1969, 42 U.S.C. 4321
et seq. (P. L. 91-190) and Executive Order (EO) 11514; (b) notification of violating facilities pursuant to EO
11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood hazards in flood plains in
accordance with EO 11988; (e) assurance of project consistency with the approved state management
program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. 1451 et. seq.); (f) conformity
of federal actions to state (Clear Air) implementation plans under section 176(c) of the Clear Air Act of 1955,
as amended (42 U.S.C. 7401 et seq.); (g) protection of underground sources of drinking water under the Safe
Drinking Water Act of 1974 as amended, 42 U.S.C. 300f et seq. (P.L. 93-523); and (h) protection of
endangered species under the Endangered Species Act of 1973, as amended, 16 U.S.C. 1531 et seq. (P.L.
93-205).
L) Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. 1271 et seq.) related to protecting
components or potential components of the national wild and scenic rivers system.
M) Will assist the awarding agency in assuring compliance with section 106 of the National Historic Preservation
Act of 1966, as amended (16 U.S.C. 470), EO 11593 (identification and protection of historic properties) and
the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. 469a-1 et seq.).
N) Will comply with P.L. 93-348 regarding the protection of human subjects involved in research, development
and related activities supported by this award of assistance.
O) Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544), as amended, (7 U.S.C. 2131 et
seq.) pertaining to the care, handling and treatment of warm blooded animals held for research, teaching or
other activities supported by this award of assistance.
P) Will comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4801 et seq.) which prohibits the
use of lead-based paint in construction or rehabilitation of residence structures.
Q) Will cause to be performed the required financial and compliance audits in accordance with the Uniform
Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (78 FR 78589).
R) Will comply with all applicable requirements of all other federal laws, executive orders, regulations and
policies governing this program.
S) Will comply with the Federal Funding Accountability and Transparency Act requiring recipients and
subrecipients of federal financial assistance to obtain a Data Universal Numbering System (DUNS) number
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and will report the DUNS number to the grantor as a condition of receiving a federal grant or award.
Furthermore the grantee must be registered in the federal System for Award Management (SAM) and
continue to maintain an active SAM registration with current information at all times during which the term of
this grant or award is in effect. Furthermore no contract, award, subgrant will be made by the grantee to
another party if said party is listed in the Excluded Parties List System in the federal SAM.
2) CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY MATTERS
As required by EO 12549, Debarment and Suspension, and implemented at 34 CFR Part 85, for prospective
participants in primary covered transactions, as defined at 34 CFR Part 85, sections 85.105 and 85.110.
The prospective primary participant certifies to the best of its knowledge and belief that it and its principals:
A) Are not presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded
from covered transactions by any federal department or agency or the state of New Jersey.
B) Have not within a three year period preceding this proposal been convicted or had a civil judgment rendered
against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain
or performing a public (federal, state or local) transaction or contract under a public transaction; violation of
federal or state antitrust statutes or commission of embezzlement theft, forgery, bribery, falsification or
destruction of records, making false statements or receiving stolen property.
C) Are not presently indicted or otherwise criminally or civilly charged by a government entity (federal, state or
local) with commission of any of the offenses enumerated in paragraph B of this certification; and have not
within a three year period preceding this application/proposal had one or more public transactions (federal,
state or local) terminated for cause or default.
D) Where the prospective primary participant is unable to certify to any of the statements in this certification,
such prospective participant shall attach an explanation to this proposal (or plan).
E) Are not listed in the Excluded Parties List System in the federal SAM.
3) CERTIFICATION REGARDING LOBBYING
As required by 31 U.S.C. 1352 and implemented at 34 CFR Part 82, for the persons entering into a grant or
cooperative agreement over $100,000, as defined at 34 CFR Part 82, sections 82.105 and 82.110 that applicant
certifies that:
The undersigned (i.e., grantee signatory) certifies, to the best of his or her knowledge and belief that:
A) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any
person for influencing or attempting to influence an officer or employee of Congress, or an employee of a
member of Congress in connection with the awarding of any federal contract, the making of any federal
grant, the making of any federal loan, the entering into of any cooperative agreement and the extension,
continuation, renewal, amendment or modification of any federal contract, grant loan or cooperative
agreement.
B) If any funds other than federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any agency, a member of Congress, an
officer or employee of Congress or an employee of a member of Congress in connection with this federal
contract, grant, loan or cooperative agreement, the undersigned shall complete and submit Standard Form -
LLL, Disclosure Form to Report Lobbying, in accordance with its instructions.
C) The undersigned shall require that the language of this certification be included in the award documents for
all subawards at all tiers (including subcontracts, subgrants and contracts under grants, loans and
cooperative agreements) and that all subrecipients shall certify and disclose accordingly. This certification is
a material representation of fact upon which reliance was placed when this transaction was made or entered
into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by
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31 U.S.C 1352. Any person who fails to file the required certification shall be subject to a civil penalty of not
less than $10,000 and not more than $100,000 for each such failure.
4) CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS
As required by the Drug-Free Workplace Act of 1988, and implemented at 34 CFR Part 85, Subpart F, for grantees
as defined at 34 CFR Part 85, sections 85.605 and 85.610.
The grantee certifies that it will or will continue to provide a drug-free workplace by:
A) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing,
possession or use of a controlled substance is prohibited in the grantee's workplace and specifying the
actions that will be taken against employees for violation of such prohibition.
B) Establishing an ongoing drug-free awareness program to inform employees about:
1) The dangers of drug abuse in the workplace;
2) The grantee's policy of maintaining a drug-free workplace;
3) Any available drug counseling, rehabilitation and employee assistance programs; and
4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace.
C) Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of
the statement required by paragraph A.
D) Notifying the employee in the statement required by paragraph A that as a condition of employment under the
grant, the employee will:
1) Abide by the terms of the statement; and
2) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in
the workplace no later than five calendar days after such conviction.
E) Notifying the agency in writing, within 10 calendar days after receiving notice under subparagraph (D)(2)
from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees
must provide notice, including position title, to every grant officer or other designee on whose grant activity
the convicted employee was working, unless the federal agency has designated a central point for the
receipt of such notices. Notice shall include the identification number(s) of each affected grant.
F) Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph (D)(2),
with respect to any employee who is so convicted:
1) Taking appropriate personnel action against such an employee, up to and including termination,
consistent with the requirements of the Rehabilitation Act of 1973, as amended; or
2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program
approved for such purposes by a federal, state or local health, law enforcement or other appropriate
agency.
G) Making a good faith effort to continue to maintain a drug-free workplace through implementation of
paragraphs A, B, C, D, E and F.
5) NONDISCRIMINATION AND EQUAL OPPORTUNITY ASSURANCE
As a condition to the award of financial assistance from LWD, the grant applicant assures that it will comply fully with
the nondiscrimination and equal opportunity provisions of the following laws:
A) Title VI of the Civil Rights Act of 1964, as amended, which prohibits discrimination on the basis of race, color
and national origin.
B) Section 504 of the Rehabilitation Act of 1973, as amended, which prohibits discrimination against qualified
individuals with disabilities.
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C) The Age Discrimination Act of 1975, as amended, which prohibits discrimination on the basis of age.
D) Title IX of the Education Amendments of 1972, as amended, which prohibits discrimination on the basis of
sex in educational programs.
E) The Americans with Disabilities Act (P.L. 101-336) which prohibits discrimination based on disabilities in the
areas of employment, public services, transportation, public accommodations and telecommunications. It
requires all affected entities to provide reasonable accommodation to persons with disabilities.
F) Section 188 of the Workforce Innovation and Opportunity Act of 2014 (WIOA), which prohibits discrimination
against all individuals in the United States on the basis of race, color, religion, sex, national origin, age,
disability, political affiliation or belief, and against beneficiaries on the basis of either citizenship/status as a
lawfully admitted immigrant authorized to work in the United States or participation in any WIOA Title I-
financially assisted program or activity.
G) The grant applicant also assures that it will comply with 29 CFR Part 38 and all other regulations
implementing the laws listed above. The grant applicant understands that the United States has the right to
seek judicial enforcement of this assurance.
6) UNIFORM ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES AND AUDIT REQUIREMENTS FOR
FEDERAL AWARDS (2 CFR PART 200)
As a condition to the award of Federal financial assistance, the recipient or subrecipient assures that it will fully abide
by all regulations of 2 CFR Chapter I, Chapter II, Part 200
The grantee may insert in the space provided below the site(s) for the performance of work done in connection with
the specific grant.
Place of Performance (Street address, city, county, state, ZIP code)
_____________________________________________________________
_____________________________________________________________
_____________________________________________________________
_____________________________________________________________
_____________________________________________________________
_____________________________________________________________
Check ( ) if there are workplaces on file that are not identified.
As the duly authorized representative of the applicant, I hereby certify that the applicant will comply with the above certifications.
Printed Name and Title
Signature
Date
General Provisions
DEFINITIONS
For the purpose of this document, the following definitions apply:
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Grantor is defined as the New Jersey Department of Labor and Workforce Development, which is also referred to
as LWD.
Grantee is defined as any entity in direct receipt of funds by written instrument from LWD.
Subgrantee is defined as any entity in receipt of funds from a grantee.
Agreement refers to the contract with LWD, the General Provisions, and where applicable, the Standard
Assurances and Certifications.
1) COMPLIANCE WITH EXISTING LAWS
A) The grantee agrees to comply with all federal, state and municipal laws, rules and regulations generally applicable
to the activities in which the grantee is engaged in performance of this agreement.
B) These laws, rules and regulations include, but are not limited to the following:
1) Federal Office of Management and Budget (OMB) documents: http://www.whitehouse.gov/omb/circulars.
2) New Jersey Department of the Treasury, Office of Management and Budget documents:
(a) Circular Letter 15-08-OMB, Single Audit Policy for Recipients of Federal Grants, State Grants and State
Aid: http://www.state.nj.us/infobank/circular/cir1508_omb.pdf.
(b) State Grant Compliance Supplement: http://www.state.nj.us/treasury/omb/publications/grant/index.shtml.
3) State Affirmative Action Legal Citations: The grantee agrees to comply with and to require subgrantees to
comply with N.J.A.C. 17:27, applicable provisions of N.J.S.A. 10:5 et al., P.L. 1975, c. 127 and all
implementing regulations.
Customized Training - Where funding is provided in whole or in part from the Workforce Development Partnership
(WDP) fund, the grantee assures and agrees that it will fully comply with the requirements of the New Jersey
Employment and Workforce Development Act (P.L. 1992 c. 43) and state regulations and directives governing this
program. These requirements include the following assurances:
1) The grantee assures that it will fully comply with all federal and state laws regarding child labor, wages,
workplace and classroom safety, health standards and other laws.
2) The grantee agrees that if it relocates outside New Jersey or outsources employee positions within three
years following the end date of the customized training contract, the grantee will promptly notify LWD and
refund all money to LWD, including payments made to any subgrantee on its behalf.
3) The grantee agrees to retain only service providers located in the state of New Jersey to provide the
customized training services funded under this agreement.
Failure to comply with the laws, rules and regulations shall be grounds for termination of this agreement.
2) NONDISCRIMINATION AND EQUAL OPPORTUNITY
The grantee agrees to comply with the nondiscrimination and equal opportunity provisions of the following laws:
1) Section 188 of the Workforce Innovation and Opportunity Act (WIOA), which prohibits discrimination against
all individuals in the United States on the basis of race, color, religion, sex, national origin, age, disability,
political affiliation or belief and against beneficiaries on the basis of either citizenship/status as a lawfully
admitted immigrant authorized to work in the United States or participation in any WIOA financially-assisted
program or activity.
2) Title VI of the Civil Rights Act of 1964, as amended, which prohibits discrimination on the basis of race, color
and national origin.
3) Section 504 of the Rehabilitation Act of 1973, as amended, which prohibits discrimination against qualified
individuals with disabilities.
4) The Age Discrimination Act of 1975, as amended, which prohibits discrimination on the basis of age.
5) Title IX of the Education Amendments of 1972, as amended which prohibits discrimination on the basis of sex
in educational programs.
6) The Americans with Disabilities Act (P.L. 101-336) which prohibits discrimination based on disabilities in the
areas of employment, public services, transportation, public accommodations and telecommunications. It
requires all affected entities to provide reasonable accommodation to persons with disabilities.
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7) The Genetic Information Nondiscrimination Act of 2008 which prohibits discrimination on the basis of genetic
information.
8) Any other nondiscrimination provisions in the specific statute(s) under which application for federal assistance
is being made and the requirements of any other nondiscrimination statute(s) which may apply to the
application.
The grantee also assures that it will comply with 29 CFR Part 38 and all other regulations implementing the laws listed
above.
3) SPECIAL GRANT CONDITIONS FOR HIGH RISK GRANTEES
A) A grantee may be considered high risk if LWD determines that a grantee:
1) Has a history of unsatisfactory performance;
2) Is not financially stable;
3) Has a financial management system which does not meet the standards set forth in section 4;
4) Has not conformed to terms and conditions of previous awards; and
5) Is otherwise not responsible.
B) When LWD determines that an award will be made; special conditions and/or restrictions shall correspond to the
high risk condition and shall be included in the award. Special conditions and/or restrictions may include:
1) Payment on a reimbursement basis;
2) Withholding authority to proceed to the next phase until receipt or evidence of acceptable performance within
a given funding period;
3) Requiring additional, more detailed financial reports;
4) Additional project monitoring;
5) Requiring the grantee to obtain technical or management assistance; and
6) Establishing additional prior approvals.
C) If LWD decides to impose such special conditions and/or restrictions, an LWD official will notify the grantee as
soon as possible, in writing, of:
1) The nature of the special conditions and/or restrictions;
2) The reason(s) for imposing the special conditions and/or restrictions;
3) The corrective actions that must be taken before the special conditions and/or restrictions will be removed by
LWD and the time allowed for completing the corrective actions; and
4) The method of requesting reconsideration of the special conditions and/or restrictions imposed.
4) FINANCIAL MANAGEMENT SYSTEM
A) The grantee shall be responsible for maintaining an adequate financial management system and will immediately
notify LWD when the grantee cannot comply with the requirements established in this section of the grant.
B) The grantee’s financial management system shall provide for:
1) Financial Reporting:
Accurate, current and complete disclosure of the financial results of each grant in conformity with generally
accepted principles of accounting and reporting in a format that is in accordance with the financial reporting
requirements of the grant;
2) Accounting Records:
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Records that adequately identify the source and application of funds for LWD-supported activities. These
records must contain information pertaining to grant awards and authorizations, obligations, unobligated
balances, assets, liabilities, outlays or expenditures and income;
3) Internal Control:
Effective internal and accounting controls over all funds, property and other assets. The grantee shall
adequately safeguard all such assets and assure that they are used solely for authorized purposes;
4) Budget Control:
Comparison of actual expenditures or outlays with budgeted amounts for each grant. Also, the relationship of
the financial information with performance or productivity data, including the development of unit cost
information required by LWD;
5) Allowable Costs:
Procedures for determining reasonableness, allowability and allocability of costs generally consistent with the
provisions of federal and state requirements;
6) Source Documentation:
Accounting records that are supported by source documentation; and
7) Cash Management:
Procedures to minimize the time elapsing between the advance of funds from LWD and the disbursement by
the grantee, whenever funds are advanced by LWD.
C) LWD may require the submission of a Statement of Adequacy of the Accounting System, as provided in Chapter
II-2 of the One-Stop Comprehensive Financial Management Technical Assistance Guide, available at
http://www.doleta.gov/grants/pdf/FinalTAG_August_02.pdf.
D) LWD may review the adequacy of the financial management system of any applicant as part of a pre-award
review or at any time subsequent to the award. If LWD determines that the grantee’s accounting system does not
meet the standards described in paragraph B above, additional information to monitor the grant may be required
by LWD upon written notice to the grantee, until such time as the system meets with LWD approval.
5) ALLOWABLE COSTS
Funds expended in this project shall be those as stated in the agreement for the purposes and functions outlined,
unless changed by an approved modification. The grantee shall be entitled only to reimbursement for actual expenses
incurred or obligated during the agreement period or during an approved extension agreed upon by the grantee and
LWD, and only in the amount specified in the agreement. All obligations shall be liquidated by the period provided in
the agreement and per federal and state requirements.
Grantees who are government, educational or nonprofit organizations must comply with federal cost principles as
established in the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards.
These regulations establish government-wide cost principles, including a requirement that salaries and wages
charged to this agreement be supported by appropriate personnel activity reports and meet the requirements of 2
CFR 200.430(i) Standards for Documentation of Personal Expenses.
The grantee is responsible for the proper withholding and payment of employment-related taxes for any individual
hired or otherwise employed by the grantee who meets the definition of employee in accordance with N.J.S.A. 43:21-
19(i)(6).
Should any funds under this agreement be used for the purpose of satisfying any grantee or subgrantee pooled costs
(i.e., general and administrative or indirect), it is the sole responsibility of the grantee to provide documentation
substantiating such cost. It is incumbent upon the grantee to provide sufficient documentation regarding such
requests including documentation of its development and components and approval by the appropriate cognizant
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agency. LWD reserves the right to cap and deny any requests associated with pooled costs (i.e., general and
administrative or indirect). Funding of the budgeted amount of the pooled costs in this agreement does not imply
approval by LWD of the amount or method of calculation.
6) MATCHING AND COST SHARING
The grantee shall be required to account to the satisfaction of LWD for matching and cost sharing requirements in
accordance with the agreement and federal and state requirements.
7) PROGRAM INCOME
Program income shall be defined as gross income earned by the grantee from grant-supported activities. Such
earnings include, but will not be limited to, income from service fees, sale of commodities, usage or rental fees and
royalties on patents and copyrights.
A) If a grantee receives interest earned of $250 or more in a fiscal year on advances of grant funds, see Chapter II-
7-3 of the One-Stop Comprehensive Financial Management Technical Assistance Guide.
B) Unless otherwise provided or specified, the grantee shall have no obligation to LWD with respect to royalties
received as a result of copyrights or patents produced under the grant.
C) All other program income earned during the grant period shall be retained by the grantee and used in accordance
with Chapter II-7 of the One-Stop Comprehensive Financial Management Technical Assistance Guide.
8) PRICE WARRANTY
The grantee warrants that the prices agreed upon are not less favorable than those currently extended to any other
customer for the same or similar articles in similar quantities. The grantee extends the same terms and conditions as
extended to its most favored customers and final price includes all common reductions for discounts, rebates or other
incentives. All goods procured under this agreement shall be name brand, first quality, new parts, unless otherwise
specified.
9) PAYMENT METHOD
A) Payments to the grantee or on behalf of the grantee shall be issued only after the agreement has been executed.
The grantee will provide sufficient documentation that action has been taken to carry out the terms and conditions
of the agreement. Upon receipt of the requisite financial and narrative reports and other forms required by LWD
and upon appropriate certification by the director of finance and accounting of LWD, LWD will pay the grantee per
the agreement’s payment schedule.
B) A Payment Voucher (Form PV 6/93) form will be submitted in a form satisfactory to LWD, with supporting
documentation that the contracted services are operational and will continue to be for the period specified in the
agreement. At its discretion, LWD may request additional reports.
10) REPORTING REQUIREMENTS
The grantee agrees to provide all reports specified in the agreement within the established timeframe and to the
satisfaction of LWD. Financial reports are to be reported on the accrual basis of accounting.
11) STATE MONITORING, EVALUATION AND AUDIT
The following sections A to E pertain to all governmental, non-profit organizations and for-profit organizations:
A) The grantee agrees to cooperate with any monitoring, evaluation and/or audit conducted by LWD or their
designees and authorized agents.
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B) The grantee will maintain its records and accounts in such a way as to facilitate the preparation of financial
statements in accordance with generally accepted accounting principles and the audits thereof and ensure that
subgrantees also maintain records which are auditable. The grantee is responsible for any disallowed costs
resulting from any audit exceptions incurred by its own organization or that of its subgrantees.
C) LWD reserves the right to build upon the audit received. Interim audits may be conducted at the discretion of
LWD.
D) The grantee agrees to provide full access to their books and records and to submit to any audit or review of
financial and compliance requirements of LWD.
E) The grantee agrees to include in the engagement letter or agreement with any independent audit firm language
that LWD is granted access to any and all workpapers that support or address any and all findings that are in
regards to LWD funds.
The following sections F to M pertain to all governmental and non-profit organizations:
F) All grantees that expend $750,000 or more in federal financial assistance or state financial assistance within
their fiscal year must have annual single audits or program-specific audits performed in accordance with
Subpart F – Audit Requirements of the Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards and state policy.
G) All grantees that expend less than $750,000 in federal or state financial assistance within their fiscal year, but
expend $100,000 or more in state and/or federal financial assistance within their fiscal year, must have either a
financial statement audit performed in accordance with Government Auditing Standards (Yellow Book) or a
program-specific audit performed in accordance with Subpart F – Audit Requirements of the Uniform
Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards and state policy.
H) Program-specific audits in accordance with Subpart F – Audit Requirements of the Uniform Administrative
Requirements, Cost Principles, and Audit Requirements for Federal Awards can be elected when a grantee
expends federal or state awards under only one federal or state program and the federal or state program’s
statutes, regulations, or terms and conditions of the grant award do not require a financial statement audit of the
recipient.
I) All grantees that expend less than $100,000 in federal or state financial assistance within their fiscal year, but
expend $50,000 or more in federal or state financial assistance within their fiscal year must have a special
report applying agreed upon procedures including, but not limited to, reviewing and testing the cost and
expenses incurred for which reimbursement was requested to determine their propriety under the contract and
review of the training records which substantiate training was completed in accordance with the contracts. The
procedures to be followed will be provided by the department’s Office of Internal Audit.
J) Although Subpart F – Audit Requirements allows specific provisions for biennial audits; state policy continues to
require all audits to be performed on an annual basis.
K) In addition to federal-required reports and opinions, grantee single audits must contain similar reports and
opinions for state funds.
L) Grantee single audit reports must include a supplementary schedule of the entity’s state grant and state
financial assistance programs. This schedule must show for each program:
State Grantor Organization;
Program Title/Name;
State Grant Award Number or Account Number;
Grant Award Period;
Fiscal Year Grant Expenditures;
Total Grant Expenditures to Date.
The following section M pertains to for-profit organizations:
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M) All grantees that expend $50,000 or more in federal or state financial assistance within their fiscal year must
have either:
A grant specific audit in accordance with Government Auditing standards (Yellow Book), or;
A financial audit report conducted under generally accepted auditing standards which includes a separate
report on compliance with contractual provisions, or;
A special report applying agreed upon procedures including, but not limited to, reviewing and testing the
cost and expenses incurred for which reimbursement was requested to determine their propriety under
the contract and review of the training records which substantiate training was completed in accordance
with the contracts. The procedures to be followed will be provided by the Department’s Office of Internal
Audit.
12) RECORDS
The grantee agrees to collect, maintain and, upon request, report equal opportunity information, including sex, age,
disability, ethnicity, and race, for all individuals who apply for benefits or services financially assisted by the program.
Such records must include, but are not limited to, records on applicants, registrants, eligible applicants and
registrants, participants, ex-participants, employees and applicants for employment. The grantee agrees to record the
race, ethnicity, sex, age and where known, disability status of every applicant, registrant, eligible applicant and
registrant, participant, ex-participant, applicant for employment and employee. The grantee further agrees to comply
with the requirements of 2 C.F.R 200.79 and 2 C.F.R 200.82 which governs the use of personally identifiable
information (PII). Such information must be stored in a manner that ensures confidentiality and must be used only for
the purposes of recordkeeping and reporting; determining eligibility, where appropriate; determining the extent to
which the grantee is operating the program or activity in a nondiscriminatory manner; or other use authorized by law.
Where designation of individuals by race or ethnicity is required, the guidelines of the Office of Management and
Budget must be used.
Retention – The grantee agrees to maintain all records pertinent to all grants, contracts and agreements, including
financial, statistical, property and participant records and supporting documentation for a period of seven years from
the date of the final expenditure report. The aforementioned records will be retained beyond the seven years if any
litigation or audit is begun or if a claim is instituted involving the grant or agreement covered by the records. In these
instances, the records will be retained until the litigation, audit or claim has been finally resolved. The grantee agrees
to insure that subgrantees retain records in accordance with these requirements. In the event of the termination of the
relationship between grantee and subgrantees, the grantee shall be responsible for the maintenance and retention of
the records of any subgrantees unable to retain them.
Access – LWD may investigate any matter it deems necessary to determine compliance with state policy and/or
procedures. The investigations authorized by this provision may include examining records (including making certified
copies thereof), questioning employees and entering any premises or onto any site in which any part of a program of
the grantee is conducted or in which any of the records of the grantee are kept.
13) PROCUREMENT STANDARDS
Procurement of supplies, equipment and other services with funds provided by this agreement shall be accomplished
in a manner generally consistent with federal and state requirements.
Adherence to the standards contained in the applicable federal and state laws and regulations does not relieve the
grantee of the contractual responsibilities arising under its procurements. The grantee is the responsible authority,
without recourse to LWD, regarding the settlement and satisfaction of all contractual and administrative issues arising
out of procurement entered in support of a grant.
14) PROPERTY
The grantee is responsible and accountable for all equipment and property purchased with funds under this
agreement, including purchases made by any subgrantee receiving payments on behalf of the grantee. A current
inventory of such property and equipment, with a value of $1,000 or more, shall be maintained by the grantee.
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Procedures for property records are outlined in the state of New Jersey Treasury Circular 11-19,
http://www.state.nj.us/infobank/circular/cir1119b.pdf, and the grantee shall follow those procedures. The grantee
agrees to provide the same security and safekeeping measures for property paid for under this agreement as the
grantee provides for the same or similar property owned by the grantee. The grantee agrees to impose similar
conditions upon any subgrantee engaged to provide services under this agreement.
All documents, patents, copyrights, data, studies, surveys, drawings, maps, models, photographs, films, duplicating
plates, reports, plans and other materials prepared by the grantee in connection with the project are the property of
LWD. Such material will be delivered to LWD upon request.
If the project is funded under WDP, all documents, patents, copyrights, data, studies, surveys, drawings, maps,
models, photographs, films, duplicating plates, reports, plans and other materials prepared by the grantee in
connection with the grant are the property of said grantee. However, LWD retains the authority to review such material
for the limited purpose of determining the extent and quality of performance under the grant. Such materials shall be
reviewed by LWD upon notice given to the grantee and shall promptly be made available to LWD for inspection. LWD
agrees to take all reasonable steps necessary to safeguard the grantee’s proprietary interest in these materials.
In addition, if the aforementioned items are developed pursuant to a grant or contract funded in whole or in part by
federal funds, the federal agency which provided the funds reserves a paid-up, nonexclusive and irrevocable license
to reproduce, publish or otherwise use, and to authorize others to use for federal purposes: i) the copyright in all
products developed under the grant, including a subgrant or contract under the grant or subgrant, and ii) and rights of
copyright to which the grantee, subgrantee or a contractor purchases ownership under an award (including but not
limited to curricula, training models, technical assistance products, and any related materials). Such uses include, but
are not limited to, the right to modify and distribute such products worldwide by any means, electronically or
otherwise. If applicable, the following needs to be on all products developed in whole or in part with grant funds in
accordance with the WIOA Annual Financial Agreement:
This workforce product was funded by a grant awarded by the U.S. Department of Labor’s Employment and Training
Administration. This product was created by the grantee and does not necessarily reflect the official position of the
U.S. Department of Labor. The Department of Labor makes no guarantees, warranties, or assurances of any kind,
express or implied, with respect to such information, including any information on linked sites and including, but not
limited to, accuracy of the information or its completeness, timeliness, usefulness, adequacy, continued availability, or
ownership. This product is copyrighted by the institution that created it. Internal use by an organization and/or
personal use by an individual for non-commercial purposes are permissible. All other uses require the prior
authorization of the copyright owner.
15) TRAVEL AND CONFERENCES
Conferences or seminars conducted by the grantee shall be held at the grantee’s facilities or at public facilities
whenever possible. The rate of reimbursement for mileage allowed for employees of the grantee or
subgrantee(s) traveling by personal automobile on official business shall be the rate set by the grantee’s policies
that are in effect at the time of travel and may not exceed the Internal Revenue Service’s standard mileage rate in
effect at the time of the travel. If the grantee has an executed collective bargaining agreement, the mileage rate
shall not exceed the current Internal Revenue Service’s standard mileage rate. The current standard mileage rate
can be found at the following website: http://www.irs.gov/Tax- Professionals/Standard-Mileage-Rates.
Reimbursements for meals, lodging and travel shall be in accordance with the grantee or subgrantee(s) written
travel reimbursement policies not to exceed Federal per diem rates in effect at the time of the travel. The
current per diem rates can be found at the following website: http://www.gsa.gov/portal/category/100120 .
16) SUBCONTRACTING
The grantee will perform all terms and conditions of this agreement unless a provision allowing the subcontracting of
work is contained in the agreement. All terms and conditions applicable to the grantee apply to any subcontractors or
third parties hired by the grantee. None of the work or services covered by this agreement shall be contracted or
subcontracted without the prior written approval of LWD. Any work or services contracted or subcontracted out
hereunder shall be specified in detail by written contract or subcontract. The grantee agrees to impose similar
conditions upon any subgrantee to ensure their compliance with all the terms and conditions of this agreement. LWD
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*retains the authority to review and approve or disapprove all contracts or subcontracts executed to provide the
services for which the funds are being provided. At LWD’s request, the grantee will promptly forward copies of any
contracts or subcontracts and fiscal, programmatic and other material pertaining to said subgrantee.
17) MODIFICATIONS
Modification to the agreement will be made in accordance with procedures prescribed by LWD effective at the time of
submission of the modification.
A) The grantee agrees to submit a written modification for approval prior to changing any budget line item contained
in this agreement.
B) LWD and grantee agree to make any changes to this agreement only through a written modification.
C) All modifications to this agreement will be appended to and become part of this agreement.
18) DISPUTES
The grantee agrees to attempt to resolve disputes arising from this agreement by administrative process and
negotiations in lieu of litigation. The grantee assures performance of this agreement while any dispute is pending.
Any dispute which is not settled by informal means shall be decided by LWD, who shall reduce the decision to writing
and mail or otherwise furnish a copy thereof to the grantee. The grantee shall be afforded an opportunity to be heard
and to offer evidence in support of its position. Pending final decision of a dispute hereunder, the grantee shall
proceed diligently with the performance under the agreement.
The dispute resolution mechanism described in this section is not exclusive. LWD and grantee preserve all rights in
law and equity to pursue any claims that may arise.
This agreement shall be governed by and construed and enforced in accordance with the laws of the state of New
Jersey.
19) SEVERABILITY
If any one or more provisions of the agreement are finally adjudicated to be unlawful or unenforceable by a court of
competent jurisdiction, then this agreement shall be construed as if such unlawful provisions had not been contained
herein.
20) TERMINATION
A) Termination for Convenience – LWD or grantee may request a termination for any reason. LWD or grantee shall
give 90 days’ advance notice, in writing, to the other parties to this agreement of the effective date of such
termination. The grantee shall be entitled to receive just and equitable compensation for any services
satisfactorily performed hereunder through the date of termination.
B) Termination for Cause – LWD may terminate this agreement when it has determined that the grantee has failed to
provide the services specified, or has failed to comply with any of the provisions contained in this agreement or
approved application, or otherwise breached the terms of this agreement. If the grantee fails to perform in whole
or in part under this agreement, or fails to make sufficient progress so as to endanger performance, or otherwise
breaches the terms of this agreement, LWD will notify the other parties to this agreement of such unsatisfactory
performance or breach in writing. The grantee has 10 working days in which to respond with a plan agreeable to
LWD for correction of the deficiencies. If the grantee does not respond within the appointed time with corrective
plans satisfactory to LWD, LWD will serve a termination notice on the grantee which will become effective within
10 days after receipt. In the event of such termination, LWD shall only be liable for payment for services rendered
prior to the effective date of the termination, provided such services are performed in accordance with the
provisions of this agreement.
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C) Termination or Reduction of Funds
1) The grantee agrees that major changes to this agreement, both in terms of program content and funding
levels, may be required prior to its implementation or during the term of its operations due to new or revised
legislation or regulations. The grantee agrees that any such changes deemed necessary by the commissioner
of LWD shall be immediately incorporated into this agreement.
2) Unearned payments under this agreement may be suspended or terminated upon refusal to accept or satisfy
any additional conditions that may be imposed by LWD at any time.
21) CONTRACT CLOSEOUT
A) The following definitions shall apply for the purpose of this section:
1) Contract Closeout – The closeout of an agreement is the process by which LWD determines that all
applicable administrative actions and all required work of the agreement have been completed by the grantee.
2) Date of Completion – The date by which all activities under the agreement are completed, or the expiration
date in the grant award document, or any supplement or amendment thereto.
B) The grantee shall submit a closeout package per the terms of the agreement, unless otherwise extended by LWD,
after completion of the agreement period or termination of the agreement. Closeout forms will be supplied by
LWD.
C) The grantee will, together with the submission of the closeout package, refund to LWD any unexpended funds or
unobligated (unencumbered) cash advances except such sums as have been otherwise authorized, in writing, by
LWD to be retained.
D) Within the limits of the agreement amount, LWD may make a settlement for any upward or downward
adjustments of costs after the final reports are received.
E) The grantee is responsible for those costs found to be disallowed, including those of any subgrantee paid from
funds under this agreement, and LWD retains the right to recover any appropriated amount after fully considering
the recommendations on disallowed costs resulting from the final audit, even if a final audit has not been
performed prior to the closeout of the agreement.
F) The grantee shall account for any property received from LWD or acquired with funds under this grant, including
any property received or acquired by a subgrantee under this grant.
22) PERFORMANCE
The grantee assures performance will be in accordance with, and within the period of, this agreement and will
immediately report any conditions that may adversely affect performance to LWD as soon as they become known.
Any fraud or suspected fraud involving granted funds must be reported to LWD within 48 hours of its discovery.
23) CONFLICTS OF INTEREST
The grantee shall avoid organizational conflicts of interest or the appearance of conflicts of interest in the conduct of
procurement activities. Any gratuities offered by the grantee, its agent or representative to any officer, director or
employee of LWD with a view toward securing this agreement or securing favorable treatment with respect to the
awarding, amending or the making of any determination will render the agreement voidable at the option of LWD, and
may justify further action under applicable state and/or federal laws.
24) BONDING AND INSURANCE
The grantee shall ensure that every officer, director or employee who is authorized to act on behalf of the grantee for
the purpose of receiving funds into program accounts or issuing financial documents, checks or other instruments of
payment is bonded to provide protection against loss.
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25) AVAILABILITY OF FUNDS
The grantee shall recognize and agree that both the initial provision of funding and the continuation of such funding
under the agreement is expressly dependent upon the availability to LWD of funds appropriated by the state
Legislature from state and/or federal revenue or such other funding sources as may be applicable. A failure of LWD to
make any payment under this agreement or to observe and perform any condition on its part to be performed under
the agreement as a result of the failure of the Legislature to appropriate shall not in any manner constitute a breach of
the agreement by LWD or an event of default under the agreement and LWD shall not be held liable for any breach of
the agreement because of the absence of available funding appropriations. In addition, future funding shall not be
anticipated from LWD beyond the duration of the award period set forth in the agreement and in no event shall the
agreement be construed as a commitment by LWD to expend funds beyond the termination date set in the
agreement.
26) LIABILITY
This agreement is subject to all of the provisions of the New Jersey Tort Claims Act, N.J.S.A. 59:1-1 et seq., the New
Jersey Contractual Liability Act, N.J.S.A. 59:13-1 et seq. and the availability of appropriations.
The state of New Jersey does not carry any public liability insurance, but the liability of the state of tort claims against
its employees is covered under the terms and provisions of the New Jersey Tort Claims Act. The act also creates a
special self-insurance fund and provides for payment of claims against the state of New Jersey or against its
employees for tort claims arising out of the performance of their duties for which the state is obligated to indemnify.
The grantee shall be solely responsible for and shall keep, save and hold the state of New Jersey harmless from all
claims, loss, liability, expense or damage resulting from all mental or physical injuries or disabilities, including death to
its employees or recipients of the grantee’s services or to any other persons or from any damage to any property
sustained in connection with the delivery of the grantee’s services that results from any acts or omissions, including
negligence or malpractice of any of its officers, directors, employees, agents, servants or independent contractors or
from the grantee’s failure to provide for the safety and protection of its employees, whether or not due to negligence,
fault or default of the grantee. The grantee’s responsibility shall also include all legal fees and costs that may arise
from these actions. The grantee’s liability under this agreement shall continue after the termination of this agreement
with respect to any liability, loss, expense or damage resulting from acts occurring prior to termination.
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Grant Specific Provisions
As the duly authorized representative of the applicant, I hereby certify that the applicant will comply with the above
general provisions.
Printed Name and Title
Signature
Date
