General Terms and Conditions for Non-Research Grant and Cooperative Agreements

CDC General Terms and Conditions for Non-research Awards, Revised: 07/30/2024

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General Terms and Conditions for Non-Research

Grants and Cooperative Agreements

Incorporation: The Department of Health and Human Services (HHS) grant recipients must

comply with all terms and conditions outlined in the Notice of Funding Opportunity (NOFO), their

Notice of Award (NOA), grants policy contained in applicable HHS Grants Policy Statements, 45

CFR Part 75, requirements imposed by program statutes and regulations, Executive Orders, and

HHS grant administration regulations, as applicable; as well as any requirements or limitations in

any applicable appropriations acts. The term grant is used throughout these general terms and

conditions of award and includes cooperative agreements.

Note: In the event that any requirement in the NOA, the NOFO, the HHS Grants Policy Statement,

45 CFR Part 75, or applicable statutes/appropriations acts conflict, then statutes and regulations

take precedence.

FEDERAL REGULATIONS AND POLICIES

2 CFR 200 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements for

Federal Awards. Referenced where indicated.

https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200?toc=1

45 CFR Part 75 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements

for HHS Awards.

https://www.ecfr.gov/cgi-bin/text- idx?node=pt45.1.75&rgn=div5

HHS Grants Policy and Regulations

https://www.hhs.gov/grants/grants/grants-policies-regulations/index.html

HHS Grants Policy Statement

https://www.hhs.gov/sites/default/files/grants/grants/policies-regulations/hhsgps107.pdf

Federal Funding Accountability and Transparency Act (FFATA)

https://www.fsrs.gov/ Refer to the section below on Reporting Requirements for more details.

Trafficking In Persons: Consistent with 2 CFR 175, awards are subject to the requirements of

the Trafficking Victims Protection Act of 2000, as amended (22 U.S.C. Part 7104(g)).

https://www.ecfr.gov/current/title-2/subtitle-A/chapter-I/part-175

CDC Additional Requirements (AR) may apply. The NOFO will detail which specific ARs apply

to resulting awards. Links to full texts can be found at:

https://www.cdc.gov/grants/additional-requirements/index.html.

CDC General Terms and Conditions for Non-research Awards, Revised: 07/30/2024

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FUNDING RESTRICTIONS AND LIMITATIONS

Cost Limitations as stated in Appropriations Acts. Recipients must follow applicable fiscal

year appropriations law in effect at the time of award. See AR-32 Appropriations Act, General

Requirements: https://www.cdc.gov/grants/additional-requirements/ar-32.html.

Though Recipients are required to comply with all applicable appropriations restrictions,

please find below specific ones of note. CDC notes that the cited section for each below

provision may change annually.

A. Cap on Salaries (Division H, Title II, General Provisions, Sec. 202): None of the funds

appropriated in this title shall be used to pay the salary of an individual, through a grant or

other extramural mechanism, at a rate in excess of Executive Level II.

Note: The salary rate limitation does not restrict the salary that an organization may pay an

individual working under an HHS contract or order; it merely limits the portion of that salary that

may be paid with federal funds. The HHS Grants Policy Statement further explains that direct

salary is exclusive of fringe benefits and indirect costs. The salary rate limitation does not apply

to consultant payments or to contracts for routine goods and services, but it does apply to

subrecipients (including consortium participants).

B. Gun Control Prohibition (Div. H, Title II, Sec. 210): None of the funds made available in this title

may be used, in whole or in part, to advocate or promote gun control.

C. Lobbying Restrictions (Div. H, Title V, Sec. 503):

• 503(a): No part of any appropriation contained in this Act or transferred pursuant to section

4002 of Public Law 111-148 shall be used, other than for normal and recognized executive-

legislative relationships, for publicity or propaganda purposes, for the preparation, distribution,

or use of any kit, pamphlet, booklet, publication, electronic communication, radio, television, or

video presentation designed to support or defeat the enactment of legislation before the

Congress or any State or local legislature or legislative body, except in presentation to the

Congress or any State or local legislature itself, or designed to support or defeat any proposed

or pending regulation, administrative action, or order issued by the executive branch of any

State or local government itself.

• 503(b): No part of any appropriation contained in this Act or transferred pursuant to section

4002 of Public Law 111-148 shall be used to pay the salary or expenses of any grant or

contract recipient, or agent acting for such recipient, related to any activity designed to

influence the enactment of legislation, appropriations, regulation, administrative action, or

Executive order proposed or pending before the Congress or any State government, State

legislature or local legislature or legislative body, other than for normal and recognized

executive-legislative relationships or participation by an agency or officer of a State, local or

tribal government in policymaking and administrative processes within the executive branch of

that government.

• 503(c): The prohibitions in subsections (a) and (b) shall include any activity to advocate or

promote any proposed, pending or future federal, state or local tax increase, or any

proposed, pending, or future requirement or restriction on any legal consumer product,

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including its sale of marketing, including but not limited to the advocacy or promotion of gun

control.

For additional information, see Additional Requirement 12 at

https://www.cdc.gov/grants/additional-requirements/ar-12.html.

D. Needle Exchange (Div. H, Title V, Sec. 520): Notwithstanding any other provision of this Act,

no funds appropriated in this Act shall be used to carry out any program of distributing sterile

needles or syringes for the hypodermic injection of any illegal drug.

E. Blocking access to pornography (Div. H, Title V, Sec. 521): (a) None of the funds made

available in this Act may be used to maintain or establish a computer network unless such

network blocks the viewing, downloading, and exchanging of pornography; (b) Nothing in

subsection (a) shall limit the use of funds necessary for any federal, state, tribal, or local law

enforcement agency or any other entity carrying out criminal investigations, prosecution, or

adjudication activities.

Prohibition on certain telecommunications and video surveillance services or equipment (2 CFR

200.216): For all new, non-competing continuation, renewal or supplemental awards issued on or after

August 13, 2020, recipients and subrecipients are prohibited from obligating or expending grant funds

(to include direct and indirect expenditures as well as cost share and program funds) to:

1. Procure or obtain,

2. Extend or renew a contract to procure or obtain; or

3. Enter into contract (or extend or renew contract) to procure or obtain equipment, services, or

systems that use covered telecommunications equipment or services as a substantial or

essential component of any system, or as critical technology as part of any system. As

described in 2 CFR 200.216, covered telecommunications equipment is telecommunications

equipment produced by Huawei Technologies Company or ZTE Corporation (or any

subsidiary or affiliate of such entities).

i. For the purpose of public safety, security of government facilities, physical security

surveillance of critical infrastructure, and other national security purposes, video

surveillance and telecommunications equipment produced by Hytera

Communications Corporation, Hangzhou Hikvision Digital Technology Company, or

Dahua Technology Company (or any subsidiary or affiliate of such entities).

ii. Telecommunications or video surveillance services provided by such entities or

using such equipment.

iii. Telecommunications or video surveillance equipment or services produced or

provided by an entity that the Secretary of Defense, in consultation with the Director

of the National Intelligence or the Director of the Federal Bureau of Investigation,

reasonably believes to be an entity owned or controlled by, or otherwise, connected

to the government of a covered foreign country.

President’s Emergency Plan for AIDS Relief (PEPFAR) funding is exempt from the prohibition under 2

CFR 200.216 until September 30, 2028. During the exemption period, PEPFAR recipients are expected

to work toward implementation of 2 CFR 200.216. The exemption may only be applied when there is no

available alternative eligible source for these services.

Cancel Year: 31 U.S.C. Part 1552(a) Procedure for Appropriation Accounts Available for Definite

Periods states the following: On September 30

of the 5

fiscal year after the period of availability

for obligation of a fixed appropriation account ends, the account shall be closed and any remaining

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balances (whether obligated or unobligated) in the account shall be canceled and thereafter shall

not be available for obligation or expenditure for any purpose.

REPORTING REQUIREMENTS

Annual Federal Financial Report (FFR, SF-425): The Annual Federal Financial Report (FFR)

SF-425 is required and must be submitted no later than 90 days after the end of the budget

period in the Payment Management System.

Additional guidance on submission of Federal Financial Reports can be found at

https://www.cdc.gov/grants/documents/change-in-federal-reporting-fy-2021-recipients.pdf.

If more frequent reporting is required, the Notice of Award terms and conditions will explicitly state

the reporting requirement.

Annual Performance Progress and Monitoring Reporting: The Annual Performance Progress

and Monitoring Report (PPMR) is due no later than 120 days prior to the end of the budget period

and serves as the continuation application for the follow-on budget period. Submission instructions,

due date, and format will be included in the guidance from the assigned GMO/GMS via

www.grantsolutions.gov.

Any change to the existing information collection noted in the award terms and conditions will be

subject to review and approval by the Office of Management and Budget (OMB) under the

Paperwork Reduction Act.

Data Collection and Sharing Under Award: Consistent with strategies and activities expected and

anticipated under this award, Recipient, either directly or indirectly, may be expected to collect or

generate data for public health purposes. For purposes of this award, data for public health purposes

may be administrative data or data commonly accepted in the scientific community as a basis for public

health findings, conclusions, and implementation, but does not include preliminary analyses, drafts of

scientific papers, plans for future research communications with colleagues, or physical objects, such

as laboratory notebooks or laboratory specimens unless otherwise specified in the award.

45 C.F.R. 75.322(d) states that the federal government has the right to: 1) obtain, reproduce, publish,

or otherwise use the data produced under a federal award; and 2) authorize others to receive,

reproduce, publish, or otherwise use such data for federal purposes. In furtherance of various United

States Government-wide initiatives and policies, the federal government seeks to make federally

funded publications and data underlying them more readily available, and to make public health data

more readily accessible within the federal government and to the public.

Consistent with grant regulations, CDC may legally obtain a copy of any data collected or generated

under this award. Where CDC has determined that data collected or generated under this award must

be shared with CDC, such direction will be further addressed in your Notice of Funding Opportunity,

your Notice of Grant Award, or other specific grant guidance. Acceptance of funds under this award is

an acknowledgement of this regulatory provision and its application to this award.

Data Management Plan: CDC requires recipients for projects that involve the collection or

generation of data with federal funds to develop, submit, and comply with a Data Management

Plan (DMP) for each collection or generation of public health data undertaken as part of the

CDC General Terms and Conditions for Non-research Awards, Revised: 07/30/2024

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award. The DMP should take into consideration sharing data with CDC including: 1) the specific

data that will be shared under the award, 2) the process and timing planned for such sharing,

3) and any legal limitations that the Recipient asserts would hinder CDC access to, or use of,

the data collected or generated under the award. In addition, the DMP should address broader

access to and archiving/long-term preservation of collected or generated data. Additional

information on the Data Management and Access requirements can be found at

https://www.cdc.gov/grants/additional-requirements/ar-25.html.

Audit Requirement Domestic Organizations (including US-based organizations implementing

projects with foreign components): An organization that expends $750,000 or more in a fiscal year

in federal awards shall have a single or program-specific audit conducted for that year in

accordance with the provisions of 45 CFR Part 75. The audit period is an organization’s fiscal year.

The audit must be completed along with a data collection form (SF-SAC), and the reporting

package shall be submitted within the earlier of 30 days after receipt of the auditor’s report(s), or

nine (9) months after the end of the audit period. The audit report must be sent to:

Federal Audit Clearing House Internet Data Entry System Electronic Submission:

https://harvester.census.gov/facides/(S(0vkw1zaelyzjibnahocga5i0))/account/login.aspx

AND

Office of Financial Resources, Office of Risk Management and Internal Controls, Audit

Resolution Team (ART), OR[email protected].

Audit Requirement Foreign Organizations: A foreign organization that expends $300,000 or

more in a fiscal year on its federal awards must have a single or program-specific audit conducted

for that year. The audit period is an organization’s fiscal year. The auditor shall be a U.S.-based

Certified Public Accountant firm, the foreign government's Supreme Audit Institution or equivalent,

or an audit firm endorsed by the U.S. Agency for International Development's Office of Inspector

General. The audit must be completed in English and in US dollars and submitted within the earlier

of 30 days after receipt of the auditor’s report(s), or nine (9) months after the end of the audit

period. The audit report must be sent to the Office of Financial Resources, Office of Risk

Management and Internal Controls, Audit Resolution Team (ART) at

ORMIC[email protected]. After receipt of the audit report, CDC will resolve findings by

issuing Final Management Determination Letters.

Domestic and Foreign organizations: Audit requirements for Subrecipients to whom 45 CFR 75

Subpart F applies: The recipient must ensure that the subrecipients receiving CDC funds also meet

these requirements. The recipient must also ensure to take appropriate corrective action within six

months after receipt of the subrecipient audit report in instances of non-compliance with applicable

federal law and regulations (45 CFR 75 Subpart F and HHS Grants Policy Statement). The

recipient may consider whether subrecipient audits necessitate adjustment of the recipient's own

accounting records. If a subrecipient is not required to have a program-specific audit, the recipient

is still required to perform adequate monitoring of subrecipient activities. The recipient shall require

each subrecipient to permit the independent auditor access to the subrecipient's records and

financial statements. The recipient must include this requirement in all subrecipient contracts.

CDC General Terms and Conditions for Non-research Awards, Revised: 07/30/2024

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Federal Funding Accountability and Transparency Act (FFATA)

In accordance with 2 CFR Chapter 1, Part 170 Reporting Sub-Award and Executive Compensation

Information, Prime Recipients awarded a federal grant are required to file a FFATA sub-award report

by the end of the month following the month in which the prime recipient awards any sub-grant equal to

or greater than $30,000. Refer to 2 CFR Chapter 1, Part 170 Reporting Sub-Award and Executive

Compensation Information at eCFR :: 2 CFR Part 170 -- Reporting Subaward and Executive

Compensation Information and https://www.fsrs.gov/ for reporting requirements and guidance.

Unique Entity Identifier (UEI)

The UEI is the official identifier for doing business with the U.S. Government as of April 4, 2022. The

UEI is generated and assigned by the System for Award Management at SAM.gov. In accordance with

2 CFR part 25, Appendix A, a recipient must maintain current information in SAM.gov, through at least

annual review, until it submits the final required financial report or receives the final payment,

whichever is later.

Required Disclosures for Responsibility and Qualification (R/Q) (SAM.gov): Consistent with

45 CFR 75.113, applicants and recipients must disclose in a timely manner, in writing to the CDC,

with a copy to the HHS Office of Inspector General (OIG), all information related to violations of

federal criminal law involving fraud, bribery, or gratuity violations potentially affecting the federal

award. Subrecipients must disclose, in a timely manner in writing to the prime recipient (pass

through entity) and the HHS OIG, all information related to violations of federal criminal law

involving fraud, bribery, or gratuity violations potentially affecting the federal award. Disclosures

must be sent in writing to the assigned GMS/GMO identified in the NOA, and to the HHS OIG by

email at gr[email protected] or by mail to the following address:

U.S. Department of Health and Human Services

Office of the Inspector General

ATTN: Mandatory Grant Disclosures, Intake Coordinator

330 Independence Avenue, SW

Cohen Building, Room 5527

Washington, DC 20201

Recipients must include this mandatory disclosure requirement in all subawards and contracts

under this award.

Failure to make required disclosures can result in any of the remedies described in 45 CFR

75.371. Remedies for noncompliance include suspension or debarment (See 2 CFR parts 180 and

376, and 31 U.S.C. 3321).

CDC is required to report any termination of a federal award prior to the end of the period of

performance due to material failure to comply with the terms and conditions of this award in the

OMB-designated Responsibilities and Qualifications (R/Q) accessible through SAM (45 CFR

75.372(b)). CDC must also notify the recipient if the federal award is terminated for failure to

comply with the federal statutes, regulations, or terms and conditions of the federal award (45

CFR 75.373(b)).

CDC General Terms and Conditions for Non-research Awards, Revised: 07/30/2024

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1. General Reporting Requirement

If the total value of currently active grants, cooperative agreements, and procurement contracts

from all federal awarding agencies exceeds $10,000,000 for any period of time during the period

of performance of this federal award, the recipient must maintain the currency of information

reported to the System for Award Management (SAM) and made available in the designated

integrity and performance system (currently the Responsibility/Qualification (R/Q) through

SAM.gov) about civil, criminal, or administrative proceedings described in section 2 of this

award term and condition. This is a statutory requirement under section 872 of Public Law 110-

417, as amended (41 U.S.C. 2313). As required by section 3010 of Public Law 111-212, all

information posted in the designated integrity and performance system on or after April 15,

2011, except past performance reviews required for federal procurement contracts, will be

publicly available.

2. Proceedings About Which You Must Report

Submit the information required about each proceeding that:

a. Is in connection with the award or performance of a grant, cooperative agreement,

or procurement contract from the federal government;

b. Reached its final disposition during the most recent five-year period; and

c. If one of the following:

(1) A criminal proceeding that resulted in a conviction, as defined in paragraph 5 of

this award term and condition;

(2) A civil proceeding that resulted in a finding of fault and liability and payment of a

monetary fine, penalty, reimbursement, restitution, or damages of $5,000 or

more;

(3) An administrative proceeding, as defined in paragraph 5 of this award term and

condition, that resulted in a finding of fault and liability and your payment of

either a monetary fine or penalty of $5,000 or more or reimbursement,

restitution, or damages in excess of $100,000; or

(4) Any other criminal, civil, or administrative proceeding if:

(i) It could have led to an outcome described in paragraph 2.c.(1), (2), or

(3) of this award term and condition;

(ii) It had a different disposition arrived at by consent or compromise with an

acknowledgement of fault on your part; and

(iii) The requirement in this award term and condition to disclose information

about the proceeding does not conflict with applicable laws and

regulations.

3. Reporting Procedures

Enter in the SAM Entity Management area the information that SAM requires about each

proceeding described in section 2 of this award term and condition. You do not need to submit

the information a second time under assistance awards that you received if you already provided

the information through SAM because you were required to do so under federal procurement

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contracts that you were awarded.

4. Reporting Fr

equency

During any period of time when you are subject to this requirement in section 1 of this award

term and condition, you must report proceedings information through SAM for the most recent

five year period, either to report new information about any proceeding(s) that you have not

reported previously or affirm that there is no new information to report. Recipients that have

federal contract, grant, and cooperative agreement awards with a cumulative total value greater

than $10,000,000 must disclose semiannually any information about the criminal, civil, and

administrative proceedings.

5. De

finitions

For purposes of this award term and condition:

a. Administrative proceeding means a non-judicial process that is adjudicatory in nature in order

to make a determination of fault or liability (e.g., Securities and Exchange Commission

Administrative proceedings, Civilian Board of Contract Appeals proceedings, and Armed

Services Board of Contract Appeals proceedings). This includes proceedings at the federal

and state level but only in connection with performance of a federal contract or grant. It does

not include audits, site visits, corrective plans, or inspection of deliverables.

b. Conviction, for purposes of this award term and condition, means a judgment or conviction

of a criminal offense by any court of competent jurisdiction, whether entered upon a verdict

or a plea, and includes a conviction entered upon a plea of nolo contendere.

c. Total value of currently active grants, cooperative agreements, and procurement

contracts includes—

(1) Only the federal share of the funding under any federal award with a recipient cost

share or match;

(2) The value of all expected funding increments under a federal award and options,

even if not yet exercised.

GENERAL REQUIREMENTS

You will administer your project in compliance with federal civil rights laws that prohibit discrimination

on the basis of race, color, national origin, disability, and age, and comply with applicable conscience

protections. You will comply with applicable laws that prohibit discrimination on the basis of sex, which

includes discrimination on the basis of gender identity, sexual orientation, and pregnancy. Compliance

with these laws requires taking reasonable steps to provide meaningful access to persons with limited

English proficiency and providing programs that are accessible to and usable by persons with

disabilities. The HHS Office for Civil Rights provides guidance on complying with civil rights laws

enforced by HHS. See information for providers of health care and social services at www.hhs.gov/civil-

rights/for-providers/provider-obligations/index.html and the HHS Non-Discrimination Notice at

www.hhs.gov/civil-rights/for-individuals/nondiscrimination/index.html. As a condition of the award, all

HHS recipients are required to submit a signed HHS-690 form regarding nondiscrimination compliance.

• For

guidance on meeting your legal obligation to take reasonable steps to ensure meaningful

access to your programs or activities to limited English proficient individuals, see a fact sheet at

www.hhs.gov/civil-rights/for-individuals/special-topics/limited-english-proficiency/fact-sheet-

guidance/index.html and www.lep.gov.

CDC General Terms and Conditions for Non-research Awards, Revised: 07/30/2024

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• For information on your specific legal obligations for serving qualified individuals with

disabilities, including providing program access, reasonable modifications, and providing

effective communication, see https://www.hhs.gov/civil-rights/for-

individuals/disability/index.html.

• HHS funded health and education programs must be administered in an environment free of

sexual harassment, see https://www.hhs.gov/civil-rights/for-individuals/sex-discrimination/title-

ix-education-amendments/index.html.

• For information on administering your project in compliance with applicable federal religious

nondiscrimination laws and applicable federal conscience protection and associated anti-

discrimination laws, see http://www.hhs.gov/conscience/conscience-protections/index.html and

www.hhs.gov/conscience/religious-freedom/index.html.

Termination (45 CFR Part 75.372) applies to this award and states, in part, the following:

(a) This award may be terminated in whole or in part:

(1) By the HHS awarding agency or pass-through entity, if a non-Federal entity fails to comply with

the terms and conditions of a Federal award;

(2) By the HHS awarding agency or pass-through entity for cause;

(3) By the HHS awarding agency or pass-through entity with the consent of the non-Federal entity,

in which case the two parties must agree upon the termination conditions, including the effective

date and, in the case of partial termination, the portion to be terminated;

(4) By the non-Federal entity upon sending to the HHS awarding agency or pass-through entity

written notification setting forth the reasons for such termination, the effective date, and, in the

case of partial termination, the portion to be terminated. However, if the Federal awarding agency

or pass-through entity determines in the case of partial termination that the reduced or modified

portion of the Federal award or subaward will not accomplish the purposes for which the Federal

award was made, the HHS awarding agency or pass-through entity may terminate the Federal

award in its entirety.

ravel Cost: In accordance with HHS Grants Policy Statement, travel costs are allowable when

the travel will provide a direct benefit to the project or program. To prevent disallowance of cost,

the recipient is responsible for ensuring travel costs are clearly stated in their budget narrative

and are applied in accordance with their organization's established travel policies and procedures.

The recipient’s established travel policies and procedures must also meet the requirements of 45

CFR Part 75.474.

Food and Meals: Costs associated with food or meals are allowable when consistent with

applicable federal regulations and HHS policies. See

https://www.hhs.gov/grants/contracts/contract-policies-regulations/spending-on-food/index.html.

In addition, costs must be clearly stated in the budget narrative and be consistent with

organization approved policies. Recipients must make a determination of reasonableness and

organization approved policies must meet the requirements of 45 CFR Part 75.432.

Prior Approval: All requests which require prior approval, must bear the signature (or electronic

authorization) of the authorized organization representative. The recipient should submit these

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requests no later than 120 days prior to the budget period’s end date to ensure ample time

remains to process and carry-out the request. Additionally, any requests involving funding issues

must include an itemized budget and a narrative justification of the request.

The following types of requests are examples of actions that require prior approval, unless an

expanded authority, or conversely a high-risk condition, is explicitly indicated in the NOA.

• Use of unobligated funds from prior budget period (Carryover)

• Lift funding restriction

• Significant redirection of funds (i.e., cumulative changes of 25% of total award)

• Change in scope

• Implement a new activity or enter into a sub-award that is not specified in the approved

budget

• Apply for supplemental funds

• Extensions to period of performance

Templates for prior approval requests can be found at:

https://www.cdc.gov/grants/already-have-grant/PriorApprovalRequests.html.

Additional information on the electronic grants administration system CDC non-research awards

utilize, GrantSolutions, can be found at: https://www.cdc.gov/grants/grantsolutions/index.html.

Recipient Contractual/Consultant Cost Agreements: In accordance with §2 CFR 200.325, all

supporting documentation related to the elements outlined in the Budget Preparation Guidelines

must be maintained by the recipient and available upon request. Recipients may submit supporting

documentation via GrantSolutions Grants Management Services (GSGMS) Grant Notes to the

assigned Grants Management Specialist

Key Personnel: In accordance with 45 CFR Part 75.308, CDC recipients must obtain prior approval

from CDC for (1) change in the project director/principal investigator, authorized organizational

representative, business official, financial director, or other key persons specified in the NOFO,

application or award document; and (2) the disengagement from the project for more than three

months, or a 25 percent reduction in time devoted to the project, by the approved project director or

principal investigator.

Inventions: Acceptance of grant funds obligates recipients to comply with the standard patent

rights clause in 37 CFR Part 401.14.

Acknowledgment of Federal Funding: When issuing statements, press releases, publications,

requests for proposal, bid solicitations and other documents --such as tool-kits, resource guides,

websites, and presentations (hereafter “statements”)--describing the projects or programs funded in

whole or in part with U.S. Department of Health and Human Services (HHS) federal funds, the

recipient must clearly state:

1. the percentage and dollar amount of the total costs of the program or project funded

with federal money; and,

2. the percentage and dollar amount of the total costs of the project or program funded

by non-governmental sources.

CDC General Terms and Conditions for Non-research Awards, Revised: 07/30/2024

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When issuing statements resulting from activities supported by HHS financial assistance, the

recipient entity must include an acknowledgement of federal assistance using one of the following

or a similar statement.

If the HHS Grant or Cooperative Agreement is NOT funded with other non-governmental sources:

This [project/publication/program/website, etc.] [is/was] supported by the Centers for

Disease Control and Prevention of the U.S. Department of Health and Human Services

(HHS) as part of a financial assistance award totaling $XX with 100 percent funded by

CDC/HHS. The contents are those of the author(s) and do not necessarily represent the

official views of, nor an endorsement, by CDC/HHS, or the U.S. Government.

If the HHS Grant or Cooperative Agreement IS partially funded with other non-governmental

sources:

This [project/publication/program/website, etc.] [is/was] supported by the Centers for

Disease Control and Prevention of the U.S. Department of Health and Human Services

(HHS) as part of a financial assistance award totaling $XX with XX percentage funded by

CDC/HHS and $XX amount and XX percentage funded by non- government source(s). The

contents are those of the author(s) and do not necessarily represent the official views of,

nor an endorsement, by CDC/HHS, or the U.S. Government.

The federal award total must reflect total costs (direct and indirect) for all authorized funds

(including supplements and carryover) for the total competitive segment up to the time of the

public statement.

Any amendments by the recipient to the acknowledgement statement must be coordinated with

the HHS Awarding Agency.

If the recipient plans to issue a press release concerning the outcome of activities supported by

HHS financial assistance, it should notify the HHS Awarding Agency in advance to allow for

coordination.

the results and accomplishments of public health activities funded by CDC. Pursuant to applicable

grant regulations and CDC’s Public Access Policy, Recipient agrees to submit into the National

Institutes of Health (NIH) Manuscript Submission (NIHMS) system an electronic version of the final,

peer-reviewed manuscript of any such work developed under this award upon acceptance for

publication, to be made publicly available without any embargo or delay after publication. Also, at

the time of submission, Recipient and/or the Recipient’s submitting author must also post the

manuscript through PubMed Central (PMC) without any embargo or delay after publication. The

recipient must obtain prior approval from the CDC for any exception to this provision.

The author's final, peer-reviewed manuscript is defined as the final version accepted for journal

publication and includes all modifications from the publishing peer review process, and all graphics

and supplemental material associated with the article. Recipient and its submitting authors working

under this award are responsible for ensuring that any publishing or copyright agreements

concerning submitted article reserve adequate right to fully comply with this provision and the

license reserved by CDC. The manuscript will be hosted in both PMC and the CDC Stacks

institutional repository system. In progress reports for this award, recipient must identify publications

CDC General Terms and Conditions for Non-research Awards, Revised: 07/30/2024

Page 12

subject to the CDC Public Access Policy by using the applicable NIHMS identification number for up

to three (3) months after the publication date and the PubMed Central identification number

(PMCID) thereafter.

Disclaimer for Conference/Meeting/Seminar Materials: If a conference/meeting/seminar is

funded by a grant, cooperative agreement, sub-grant and/or a contract, the recipient must include

the following statement on conference materials, including promotional materials, agenda, and

internet sites:

Funding for this conference was made possible (in part) by the Centers for Disease

Control and Prevention. The views expressed in written conference materials or

publications and by speakers and moderators do not necessarily reflect the official

policies of the Department of Health and Human Services, nor does the mention of trade

names, commercial practices, or organizations imply endorsement by the U.S.

Government.

Logo Use for Conference and Other Materials: Neither the Department of Health and Human

Services (HHS) nor the CDC logo may be displayed if such display would cause confusion as to the

funding source or give false appearance of Government endorsement. Use of the HHS name or

logo is governed by U.S.C. Part 1320b-10, which prohibits misuse of the HHS name and emblem in

written communication. As a general matter, a non-federal entity is not authorized to use the HHS

name or logo. Moreover, the HHS Office of the Inspector General has authority to impose civil

monetary penalties for violations (42 CFR Part 1003). The appropriate use of the HHS logo is

subject to review and approval of the HHS Assistant Secretary for Public Affairs (ASPA), and if

granted would be governed by a logo license agreement setting forth the terms and conditions of

use.

Additionally, the CDC logo cannot be used by the recipient without the express, written consent of

CDC, generally in the form of a logo license agreement setting forth the terms and conditions of

use. The Program Official/Project Officer identified in the NOA can assist with facilitating such a

request. It is the responsibility of the recipient to request consent for use of the logo in sufficient

detail to ensure a complete depiction and disclosure of all uses of the Government logos. In all

cases for utilization of Government logos, the recipient must ensure written consent is received.

Equipment and Products: To the greatest extent practical, all equipment and products purchased

with CDC funds should be American-made. CDC defines equipment as tangible non- expendable

personal property (including exempt property) charged directly to an award having a useful life of

more than one year AND an acquisition cost of $5,000 or more per unit. However, consistent with

recipient policy, a lower threshold may be established. Please provide the information to the

Grants Management Officer to establish a lower equipment threshold to reflect your organization's

policy.

The recipient may use its own property management standards and procedures, provided it

observes provisions in applicable grant regulations found at 45 CFR Part 75.

Federal Information Security Management Act (FISMA): All information systems, electronic or

hard copy, that contain federal data must be protected from unauthorized access. This standard

CDC General Terms and Conditions for Non-research Awards, Revised: 07/30/2024

Page 13

also applies to information associated with CDC grants. Congress and the OMB have instituted

laws, policies and directives that govern the creation and implementation of federal information

security practices that pertain specifically to grants and contracts. The current regulations are

pursuant to the Federal Information Security Management Act (FISMA), Title III of the E-

Government Act of 2002, PL 107-347.

FISMA applies to CDC recipients only when recipients collect, store, process, transmit or use

information on behalf of HHS or any of its component organizations. In all other cases, FISMA is

not applicable to recipients of grants, including cooperative agreements. Under FISMA, the

recipient retains the original data and intellectual property, and is responsible for the security of

these data, subject to all applicable laws protecting security, privacy, and research. If/When

information collected by a recipient is provided to HHS, responsibility for the protection of the HHS

copy of the information is transferred to HHS and it becomes the agency’s responsibility to protect

that information and any derivative copies as required by FISMA. For the full text of the

requirements under Federal Information Security Management Act (FISMA), Title III of the E-

Government Act of 2002 Pub. L. No. 107-347, please review the following website:

https://www.govinfo.gov/content/pkg/PLAW-107publ347/pdf/PLAW-107publ347.pdf.

Whistleblower Protections: As a recipient of this award you must comply with the National Defense

Authorization Act (NDAA) for Fiscal Year (FY) 2013 (Pub. L. 112-239, 41 U.S.C. § 4712)

“Enhancement of contractor protection from reprisal for disclosure of certain information,” and 48 CFR

part 3 subpart 3.9, “Whistleblower Protections for Contractor Employees.” For more information see:

https://oig.hhs.gov/fraud/whistleblower/.

PAYMENT INFORMATION

Fraud Waste or Abuse: The HHS Office of the Inspector General (OIG) maintains a toll-free

number (1-800-HHS-TIPS [1-800-447-8477]) for receiving information concerning fraud, waste, or

abuse under grants and cooperative agreements. Information also may be submitted online at

https://tips.oig.hhs.gov/ or by mail to U.S. Department of Health and Human Services, Office of the

Inspector General, Attn: OIG HOTLINE OPERATIONS, P.O. Box 23489 Washington DC 20026.

Such reports are treated as sensitive material and submitters may decline to give their names if

they choose to remain anonymous. For additional information, see: https://oig.hhs.gov/fraud/report-

fraud/.

Automatic Drawdown (Direct/Advance Payments): Payments under CDC awards will be made

available through the Department of Health and Human Services (HHS) Payment Management

System (PMS), under automatic drawdown, unless specified otherwise in the NOA. Recipients must

comply with requirements imposed by the PMS on-line system. Questions concerning award

payments or audit inquiries should be directed to the payment management services office.

PMS Website: https://pms.psc.gov/ PMS

Phone Support: +1(877)614-5533

PMS Email Support: [email protected]

Payment Management System Subaccount: Funds awarded in support of approved activities

will be obligated in an established subaccount in the PMS. Funds must be used in support of

approved activities in the NOFO and the approved application. All award funds must be tracked

CDC General Terms and Conditions for Non-research Awards, Revised: 07/30/2024

Page 14

and reported separately.

Exchange Rate: All requests for funds contained in the budget, shall be stated in U.S. dollars.

Once an award is made, CDC will generally not compensate foreign recipients for currency

exchange fluctuations through the issuance of supplemental awards.

Acceptance of the Terms of an Award: By drawing or otherwise obtaining funds from PMS, the

recipient acknowledges acceptance of the terms and conditions of the award and is obligated to

perform in accordance with the requirements of the award. If the recipient cannot accept the terms,

the recipient should notify the Grants Management Officer within thirty (30) days of receipt of the

NOA.

Certification Statement: By drawing down funds, the recipient certifies that proper financial

management controls and accounting systems, to include personnel policies and procedures,

have been established to adequately administer federal awards and funds drawn down.

Recipients must comply with all terms and conditions in the NOFO, outlined in their NOA,

grant policy terms and conditions contained in applicable HHS Grant Policy Statements, and

requirements imposed by program statutes and regulations and HHS grants administration

regulations, as applicable; as well as any regulations or limitations in any applicable

appropriations acts.

CLOSEOUT REQUIREMENTS

In accordance with 2 CFR 200.344, recipients must submit all closeout reports identified in this

section within 120 days of the period of performance end date. The reporting timeframe is the full

period of performance. If the recipient does not submit all reports in accordance with this section

and the terms and conditions of the Federal Award, CDC may proceed to close out with the

information available within one year of the period of performance end date unless otherwise

directed by authorizing statutes. Failure to submit timely and accurate final reports may affect future

funding to the organization or awards under the direction of the same Project Director/Principal

Investigator (PD/PI). If recipients do not submit all closeout reports identified in this section within

one year of the period of performance end date, then CDC must report recipients’ material failure to

comply with the terms and conditions of the award with the OMB-designated integrity and

performance system (currently Responsibility/Qualification section of SAM.gov). CDC may also

pursue other enforcement actions per 45 CFR 75.371.

Final Performance Progress and Evaluation Report (PPER): This report should include the

information specified in the NOFO and is submitted upon solicitation from the GMS/GMO via

www.grantsolutions.gov. At a minimum, the report will include the following:

• Statement of progress made toward the achievement of originally stated aims;

• Description of results (positive or negative) considered significant; and

• List of publications resulting from the project, with plans, if any, for further publication.

All manuscripts published as a result of the work supported in part or whole by the grant must be

submitted with the performance progress reports.

Final Federal Financial Report (FFR, SF-425): The FFR should only include those funds

CDC General Terms and Conditions for Non-research Awards, Revised: 07/30/2024

Page 15

authorized and expended during the timeframe covered by the report. The Final FFR, SF-425 is

required and must be submitted no later than 120 days after the period of performance end date

through recipient online accounts in the Payment Management System. The final FFR will

consolidate data reporting responsibilities to one entry point within PMS which will assist with the

reconciliation of expenditures and disbursements to support the timely close-out of grants.

The final FFR must indicate the exact balance of unobligated funds and may not reflect any

unliquidated obligations. Remaining unobligated funds will be de-obligated and returned

to the U.S. Treasury.

Every recipient should already have a PMS account to allow access to complete the SF-425.

Additional guidance on submission of Federal Financial Reports can be found at

https://www.cdc.gov/grants/documents/change-in-federal-reporting-fy-2021-recipients.pdf.

Equipment and Supplies - Tangible Personal Property Report (SF-428): A completed Tangible

Personal Property Report SF-428 and Final Report SF-428B addendum must be submitted, along

with any Supplemental Sheet SF-428S detailing all major equipment acquired or furnished under

this project with a unit acquisition cost of $5,000 or more. Electronic versions of the forms can be

downloaded by visiting: https://www.grants.gov/forms/forms-repository/post-award-reporting-forms.

If no equipment was acquired under an award, a negative report is required. The recipient must

identify each item of equipment that it wishes to retain for continued use in accordance with 45

CFR Part 75. The awarding agency may exercise its rights to require the transfer of equipment

purchased under the assistance award. CDC will notify the recipient if transfer to title will be

required and provide disposition instruction on all major equipment.

Equipment with a unit acquisition cost of less than $5,000 that is no longer to be used in projects or

programs currently or previously sponsored by the federal government may be retained, sold, or

otherwise disposed of, with no further obligation to the federal government.

CDC STAFF RESPONSIBILITIES

Roles and Responsibilities: Grants Management Specialists/Officers (GMO/GMS) and

Program Officials (PO) work together to award and manage CDC grants and cooperative

agreements. From the pre-planning stage to closeout of an award, grants management and

program staff have specific roles and responsibilities for each phase of the grant cycle. Award

specific terms and conditions will include contact information for the PO/GMO/GMS.

Program Official: The PO is the federal official responsible for monitoring the programmatic,

scientific, and/or technical aspects of grants and cooperative agreements including:

• The development of programs and NOFOs to meet the CDC’s mission;

• Providing technical assistance to applicants in developing their applications, e.g.,

explanation of programmatic requirements, regulations, evaluation criteria, and guidance

to applicants on possible linkages with other resources;

• Providing technical assistance to recipients in the performance of their project; and

• Post-award monitoring of recipient performance such as review of progress reports,

review of prior approval requests, conducting site visits, and other activities

complementary to those of the GMO/GMS.

CDC General Terms and Conditions for Non-research Awards, Revised: 07/30/2024

Page 16

For Cooperative Agreements, substantial involvement is required from CDC. The PO is the federal

official responsible for the collaboration or participation in carrying out the effort under the award.

Substantial involvement will be detailed in the NOFO and award specific terms and conditions and

may include, but is not limited to:

• Review and approval of one stage of work before work can begin on a subsequent stage;

• Review and approval of substantive programmatic provisions of proposed subawards

or contracts (beyond existing federal review of procurement or sole source policies);

• Involvement in the selection of key relevant personnel;

• CDC and recipient collaboration or joint participation; and

• Implementing highly prescriptive requirements prior to award limiting recipient discretion

with respect to scope of services, organizational structure, staffing, mode of operation,

and other management processes.

Grants Management Officer: The GMO is the only official authorized to obligate federal funds

and is responsible for signing the NOA, including revisions to the NOA that change the terms and

conditions. The GMO serves as the counterpart to the business officer of the recipient

organization. The GMO is the federal official responsible for the business and other non-

programmatic aspects of grant awards including:

• Determining the appropriate award instrument, i.e., grant or cooperative agreement;

• Determining if an application meets the requirements of the NOFO;

• Ensuring objective reviews are conducted in an above-the-board manner and according to

guidelines set forth in grants policy;

• Ensuring recipient compliance with applicable laws, regulations, and policies;

• Negotiating awards, including budgets;

• Responding to recipient inquiries regarding the business and administrative aspects of an

award;

• Providing recipients with guidance on the closeout process and administering the closeout

of grants;

• Receiving and processing reports and prior approval requests such as changes in funding,

budget redirection, or changes to the terms and conditions of an award; and

• Maintaining the official grant file and program book.

Grants Management Specialist: The GMS is the federal staff member responsible for the day-

to-day management of grants and cooperative agreements. The GMS is the primary contact of

recipients for business and administrative matters pertinent to grant awards. Many of the

functions described in the GMO section are performed by the GMS, on behalf of the GMO.