HomeMy WebLinkAbout09. 14-71
FEBRUARY 25, 2014 14-71 RESOLUTION
(CARRIED__6-0_____LOST_______LAID OVER_______WITHDRAWN_______)
PURPOSE: APPROVE INTERGOVERNMENTAL AGREEMENT WITH
EAST CENTRAL WISCONSIN REGIONAL PLANNING
COMMISSION FOR DEPARTMENT OF DEFENSE OFFICE
OF ECONOMIC ADJUSTMENT GRANT FUNDS FOR REGIONAL
AVIATION/AEROSPACE BUSINESS CLUSTER
INITIATED BY: COMMUNITY DEVELOPMENT
WHEREAS, East Central Wisconsin Regional Planning Commission (ECWRPC)
received a grant from the Department of Defense Office of Economic Adjustment (DoD-
OEA) to explore ways to the region respond to layoffs and better diversify the regional
economy; and
WHEREAS, the Scope of Work for said grant included a subaward to the City of
Oshkosh to prepare an Aviation/Aerospace Business Cluster Study in cooperation with
other regional partners; and
WHEREAS, the City of Oshkosh has a pre-existing contract with Chamco to provide
services in connection with an Aviation/Aerospace Business Cluster Study which includes
providing the in kind staff match required of the DoD-OEA grant and Chamco’s contract
with the City and its scope of work was included as part of the DoD-OEA grant approval;
and
WHEREAS, an Intergovernmental Agreement between ECWRPC and the City must
be approved for the City to receive DoD-OEA grant funds from East Central to cover the
cost of the Business Cluster Study.
NOW, THEREFORE, BE IT RESOLVED by the Common Council of the City of
Oshkosh that the proper City officials are hereby authorized to enter into and take those
steps necessary to implement an appropriate agreement with East Central Wisconsin
Regional Planning Commission, similar in terms to the attached, for this purpose.
OJHKOJH
ON THE WATER
TO: Honorable Mayor and Members of the Common Council
FROM: Allen Davis,
Community Development Director
DATE: February 20, 2014
RE: Approve Intergovernmental Agreement with East Central Wisconsin Regional
Planning Commission for Department of Defense Office of Economic
Adjustment Grant Funds for Regional Aviation/Aerospace Business Cluster
Development & Planning Assistance Activities
BACKGROUND
The Department of Defense (DoD) Office of Economic Adjustment (OEA) identified the
Oshkosh region as a region affected by a reduction in DoD purchasing. That reduction then
resulted in layoffs at Oshkosh Corporation in 2013. DoD's staff at OEA contacted East
Central Wisconsin Regional Planning Commission (ECWRPC) to explore ways to assist the
region respond to the layoffs and better diversify the regional economy. ECWRPC then
contacted the many regional Economic Development partners, including the City of Oshkosh,
and convened a meeting with DoD and ECWRPC to develop projects that could address
these economic issues expected to be caused by the decreases in defense spending in the
region.
ECWRPC and its Economic Development partners developed a list of possible projects for
grant funding through DoD — OEA. The DoD OEA office selected 6 projects that they thought
best addressed the reduction of DoD-related employment. The attached diagram represents
all the projects and Economic Development partners included in the DoD grant.
One of the projects Chamco proposed was the next step in the development of an
Aerospace/Aviation cluster identified in the recently completed Targeted Industry Study.
While Chamco had proposed the project, Chamco cannot receive the funds directly since
Chamco is not a governmental entity. City staff then volunteered to step in as the grant
award recipient and continue working with Chamco and the other Economic Development
partners on a project that would directly benefit the City by helping develop and fill the newly
created Aviation Business Park. The attached Intergovernmental Agreement would serve as
the mechanism for the City to receive the grant funds for the Aviation project.
ANALYSIS
The DoD and ECWRPC have a grant agreement (with ECWRPC as the grant awardee) that
works as a master agreement for 6 projects that will be undertaken as part of the DoD grant.
The Aviation Study is one of those projects. ECWRPC has drafted the attached
Intergovernmental Agreement so that it can serve as a pass-through of the Aviation Study
grant funds to the City. This agreement also passes to the City the responsibility for
performing the elements of Aviation Study. For this part of the DoD grant, the City would be
identified as a sub-award recipient. The City will have to follow all DoD and City regulations
on the administration of the grant. The-City and Chamco are providing matching funds for the
Aviation Study in the form of in-kind contributions of staff time from City and Chamco. No
City funds are required for the DoD's requirement for matching grant funds.
If the City approves the Intergovernmental Agreement, the City will issue a Request for
Proposals (RFP) for a consultant to provide the planning and market research in order to
identify the aviation market niche and contact the businesses that are most likely to have an
interest in filling that market niche in Oshkosh. The consultant will bill the City for their
services over the next 16 months. The City will then draw DoD grant funds to pay the
consultant for the work they had completed. The local matching funds will be used for grant
administration, organizing and attending progress meetings, and performing local outreach
and coordination in concert with the consultant's work.
RECOMMENDATION
Approval of Intergovernmental Agreement with East Central Wisconsin Regional Planning
Commission for Department of Defense Office of Economic Adjustment Grant Funds for
Regional Aviation/Aerospace Business Cluster Development & Planning Assistance Activities
FISCAL IMPACT
No direct fiscal impact, matching grant funds will be provided in staff time.
Approved,
City Manager
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elEast Central Wisconsin
Regional Planning Commission
OECWRPC
Ca'met•^Tenor mae•Cutagarr.F•Sha.varo.Yaupaca•l4'aust:a'a•Winr�ebage •3°
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OSHKOSH RECOVERY 4
Intergovernmental Agreement
Funding Awarded by the Office of Economic Adjustment
For Oshkosh Region (DIA)
Federal Identifier: HQ00051410004
DUNS: 048029839
This Intergovernmental Agreement, dated this _ Day of , 2013, is by and
between East Central Wisconsin Regional Planning Commission, a government entity and
designated Economic Development District, and the City of Oshkosh, WI a body of local
government.
WHEREAS, the East Central Wisconsin Regional Planning Commission (ECWRPC) has
entered into a grant agreement with the Department of Defense Office of Economic
Adjustment (DoD-OEA);
WHEREAS, the ECWRPC and the City of Oshkosh, have begun a formalized regional
effort to respond to the defense layoffs announced by the Oshkosh Corporation (OC);
WHEREAS, the City of Oshkosh is subject to Title 32 of CFR Part 33 for the uniform
administrative requirements and Title 2 of CFR Part 225 for the cost principles;
WHEREAS, the ECWRPC is required, prior to distributing any OEA program Fund to the
City of Oshkosh for any eligible activity funded by the ECWRPC, to execute a written
Intergovernmental Agreement with the City of Oshkosh;
WHEREAS, the City of Oshkosh will use a competitive procurement action in compliance
with the requirements of 32 CFR 33.36 to contract with a professional services firm to
prepare an Aviation/Aerospace Business Cluster Study in cooperation with other regional
partners;
WHEREAS, the City of Oshkosh has a pre-existing contract with Chamco to provide
services in connection with the Aviation/Aerospace Business Cluster Study which includes
providing the in kind staff match for the grant and this contract with its scope of work was
included as part of the grant approval process;
WHEREAS, the Intergovernmental Agreement must be in effect during any period in which
the City of Oshkosh has control over OEA program funds, including any program income;
and
WHEREAS, the City of Oshkosh is legally obligated to undertake all necessary actions, as
determined by ECWRPC, and as authorized by Federal, State and Local laws, to carry out
the requirements of the OEA grant and other applicable laws as set forth below.
NOW, THEREFORE, in consideration of the foregoing, and subject to any conditions
contained herein, the ECWRPC and the City of Oshkosh agree as follows:
East Central builds relationships and cooperative, visionary growth strategies that keep our region beautiful, healthy, and prosperous.
400 Ahnaip Street, Suite 100 • Menasha, Wisconsin 54952 • PHONE 920.751.4770 • FAX 920.751 .4771 • www.ecwrpc.o�g
Scope of Work
PROJECT: Regional Aviation/Aerospace Business Cluster Development & Planning
Assistance
Summary: The City of Oshkosh, Winnebago County, Fond du Lac County, Outagamie
County, Waupaca County and City of Waupaca will form a management working group
for the procurement by the City of Oshkosh of a consultant to conduct a Regional
Aviation /Aerospace Business Cluster Development Plan involving airport facilities and
communities in these areas which have the shared strategic goal of developing a
business cluster focused on aviation / aerospace related business with Oshkosh as the
lead community.
The effort aligns closely with recommendations from several recent economic
development studies on ways for the region to take advantage of its advanced
manufacturing base as well as the density of local aerospace research and development
firms. Specifically, the 2012 regional Comprehensive Economic Development Strategy
(CEDS) ranked the development of an aerospace business park as a key future
economic development project for the region. This priority ranking factored heavily into
the announcement of a pending $2 million grant from the Economic Development
Administration to support this project in the form of site construction funding and
construction funding for a building (to be operated by UW-Oshkosh) that will house a
business accelerator facility.
Partners also include UW-Oshkosh's Aerolnnovate, Wisconsin Manufacturing Extension
Partnership (WMEP), the Wisconsin Economic Development Corporation (WEDC) and
the WI Aerospace Consortium.
Activities:
a) To research innovative sector development initiatives and develop solutions for
the region, identify existing and future sector trends, capacity and workforce
development needs via industry engagement and design niche projects; and
b) Building on information developed under the Defense Industry Supply Chain
Initiative (DISC), identify supplier companies impacted by reduced production at
the Oshkosh Corporation that could benefit from these new markets and develop
strategy to meet the aviation /aerospace market needs identified.
Tasks: The City of Oshkosh (in coordination with the Oshkosh Region Program
Steering Committee) will be responsible for the following tasks:
1. Identification of a project advisory group to manage the project
2. Hire consultant to create an "Airport Strategic Positioning Initiative" to improve and
accelerate economic development at airports and develop strategy to create an
airpark and aerospace-related industrial park as well as develop an
aviation/aerospace cluster in the region
The contracted entity will be responsible for undertaking the following tasks as part of
the services contracted:
3. Review strengths and weaknesses of the airports and communities
4. Benchmark six similar airports in North America
5. Organize focus groups and interviews to help identify local and regional strategic
activities, regional clusters and major economic assets in the aviation and aerospace
cluster
6. Identify and define targeted clusters matching the assets and growth potential of the
airports/region
7. Create a steering committee of manufacturers and strategic partners to guide the
development of the park/cluster
8. Identify aviation/aerospace cluster workforce needs and gaps and develop strategy
to meet those needs/fill gaps
9. Identify industry and supply chain needs and gaps and develop strategy to meet
those needs/fill gaps
10. Define, quantify, estimate and evaluate the targeted cluster and develop a business
and implementation plan
Deliverable(s):
1. A plan detailing steps to develop an aviation/aerospace park and cluster as well as
steps to implement
2. Provide opportunity for increased sales for impacted suppliers due to diversification
and new markets and growth opportunities for the region
Budget Justification
GRANT PERIOD: Start: 1 October, 2013 End: 31 January, 2015
ORGANIZATION
Personnel (Federal: $13,892/ Non-federal: $30,595)
Eric W. Fowle, AICP - Executive Director(100 hrs. / $4,331.90):
The Executive Director has been employed by the East Central Wisconsin Regional
Planning Commission (ECWRPC) since 1997 and leads a staff of 21 for the agency.
Responsibilities include but are not limited to: coordination of all activities of the
Commission including budgetary and financial matters; work program development and
implementation; supervision of staff and consultants; liaison with the local, state and
federal agencies, including the Department of Defense; development of local, county
and regional plans.
Specific to this proposal, the Executive Director will be responsible for the following
throughout the 16 months:
• ECWRPC staff project coordination (.42 hrs/week-26.5 hrs total)
• Attendance/participation in any 'partner' meetings/conference calls/webinars (.31
hrs/week—20 hrs total)
• Provide updates to Commissioners through Economic Development Standing
Committee, Steering Committee and Full Commission meetings (1.5 hrs/quarter-
7.5 hrs total)
• Promotion of proposal events, programs and activities to county boards,
agencies and organizations throughout the East Central Region (.47 hours/week
—30 hours total)
• Provide updates to ECWRPC staff individually and at full staff meetings (.25
hr/week- 16 hours total)
Katherine Ahlquist - Economic Development Planner (563 hrs. /$11,118.12):
The Economic Development Planner is a full-time employee of ECWRPC who oversees,
on behalf of the Commission, numerous economic development projects, including the
maintenance and implementation of an updated Comprehensive Economic Development
Strategy (CEDS) as required by the Economic Development Administration (EDA). She
is also responsible for preparation and submittal of applications and grant reporting
documents as required for EDA Planning Grant administration and provides technical
assistance to communities, organizations, and other regional, county and local economic
development entities in order to foster economic development projects.
Specific to this proposal, the Economic Development Planner will be responsible for the
following throughout the 16 months:
• Coordination of meetings and conference calls with project partners throughout
the grant period (1 hr/week— 75 hours total)
• Ongoing project management to ensure completion of deliverables on time (1.5
hr/week— 110 hours total)
• Proposal implementation tracking to ensure timely results (.5 hours/week — 38
hours total)
l�l
• Administration of grant to project partners with procurement actions, subawards,
or intergovernmental agreements (2.5 hrs/week— 185 hrs total)
• Check ins and coordination with DoD OEA on progress (.3 hours/week - 20 hours
total)
• Preparation and submittal of grant reporting documents to DoD OEA (.3
hrs/quarter- 25 hours total)
• Coordination with ECWRPC staff(1 hr/week—75 hours total)
• Outreach through ECWRPC Newsletters, press releases and social media
outlets for project promotion and public participation purposes (.5 hrs/week - 35
hours total)
Adam Pfefferle, GIS Specialist II (60 hrs. /$1,335.54):
The GIS Specialist II is a full-time employee of ECWPRC who provides direct GIS
mapping and economic data support to the Executive Director, Economic Development
Planner and Commission staff. He assists the Executive director and Economic
Development Planner with demographic and economic data creation and prepares GIS
mapping for Commission programs, with a specific emphasis on the Economic
Development program.
Specific to this proposal, the GIS Specialist II will be responsible for the following
throughout the 16 months:
• GIS mapping support through GIS based economic analysis software (2.25
hrs/month - 18 hrs total)
• Demographic data research and analysis using a GIS based economic analysis
software (5.25 hrs/month -42 hrs total)
Tim Badtke, IT Coordinator(4 hrs. /$107.43):
The IT Coordinator is a full-time employee of ECWRPC who provides direct IT support to
Commission staff, including the Executive Director, Economic Development Planner and
GIS Specialist II. He assists staff through technical support functions and is responsible
for maintaining the ECWRPC website.
Specific to this proposal, the IT Coordinator will be responsible for the following
throughout the 16 months:
• Posting meeting notices on ECWRPC website (1 hr total)
• Maintaining and updating project information on ECWRPC website (2 hrs total)
• Software install and configuration (1 hr total)
Allen Davis, Community Development Director(280 hrs. / $15,470.00):
The Community Development Director is a full-time employee of the City of Oshkosh
who is responsible for economic development activities for the City of Oshkosh. His
responsibilities include industrial park development, business park development,
downtown redevelopment projects, Tax Increment Financing District Plans, and all
phases of the construction process (building plan review, permitting, inspections and
Occupancy Permits). In addition, the Community Development Director represents the
City on economic development partnerships including ECWRPC-CEDS, CHAMCO
Board of Directors and The Oshkosh Chamber of Commerce Economic Development
Advisory Council. He has also volunteered to co-chair the Aviation Business Cluster
implementation committee in conjunction with Winnebago County, UW-Oshkosh Aero
Innovate, CHAMCO, Chamber, and many private aviation-business representatives.
Specific to this proposal, the City of Oshkosh Community Development Director will be
responsible for the following throughout the 16 months:
• Management of the procurement of the contractual activities funded through the
subaward from the ECWRPC to the City of Oshkosh (40 hrs total)
• Preparation of information to be provided to the ECWRPC in compliance with
grant performance reporting requirements (40 hrs total)
• Management of the performance of the contracts (200 hrs total)
o Coordination, preparation and meeting attendance with Marketing team
o Facilitating partnerships between regional airports and communities.
o Information gathering and preparation associated with contract activities.
Elizabeth Hartman, Chamco (208 hrs. /$12,124.00):
The Chamco CEO is a full-time chief executive of Chamco, a public/private not for profit
economic development organization serving the greater Oshkosh area. The CEO
oversees the implementation of Chamco's comprehensive industrial development
program designed to help expand the economic base of the Oshkosh area by fostering
entrepreneurship, business retention, expansion and recruitment with a particular
emphasis on industrial park development and management and the development of a
business accelerator program and support facility.
Specific to this proposal, the Chamco CEO will be responsible for the following
throughout the 12 months:
• Preparation of information to be provided to the ECWRPC in compliance with
grant performance reporting requirements (40 hrs total)
• Coordinate, plan, and attend Accelerator and Growth Management Academy
Program, Resource and Facility working group meetings (108 hours total)
• Provide staff support to the working groups (60 hours total)
Fringe Benefits (Federal: $18,770/ Non-federal: $3,761)
For ECWRPC staff, the fringe rate includes all staff above at a 0.8156 rate (x individual
hourly rate) per approved Cost-Allocation Plan.
For the City of Oshkosh Community Development Director, the fringe rate is at a 0.6530
rate.
For the Chamco CEO, the fringe rate is at a 0.1911 rate.
Contractual (Federal: $790,984 / Non-federal: $84,077)
For all contractual activities, please refer to the detailed budget breakdown that is part of
this overall Budget Justification (and is distinct from the Project Budget).
PLANNING
1. Regional Strategy Charrette & Due Diligence (Federal: $49,500 / Non-federal:
$5,500)
Procurement: ECWRPC Procurement Action
Basis for Cost Estimate: Please refer to the attached budget spreadsheet for estimated
component activities to occur as part of this contractual element. The cost estimate for
this activity is based on previous procurement actions by this entity of similar scope or
activity.
ECWRPC will use an RFP process to contract with a consultant to lead the Regional
Strategy Analysis & Collaboration Study to Develop Advanced Manufacturing
Ecosystem.
2. Partner Education &Training Seminar (Federal: $11,700 / Non-federal: $1,300)
Procurement: ECWRPC Procurement Action
Basis for Cost Estimate: Please refer to the attached budget spreadsheet for estimated
component activities to occur as part of this contractual element. The cost estimate for
this activity is based on previous procurement actions by this entity of similar scope or
activity.
ECWRPC will seek out and contract with one or more national level speakers, as well as
locate a facility and accommodations for the partner education and training event.
3. Aerospace Business Cluster Study (Federal: $211,000/ Non-federal: $0)
Procurement: Subaward to the City of Oshkosh
Basis for Cost Estimate: Please refer to the attached budget spreadsheet for estimated
component activities to occur as part of this contractual element. The cost estimate for
this activity is based on previous procurement actions by this entity of similar scope or
activity.
The ECWRPC will provide a subaward to the City of Oshkosh to prepare an
Aviation/Aerospace Business Cluster Study in cooperation with other regional partners.
The City of Oshkosh will use a competitive procurement action to contract with a
professional services firm in order to undertake the project.
4. Northeast Wisconsin Business Accelerator & Growth Management Program
(Federal: $131,900/ Non-federal: $5,100)
Procurement: Subaward to the University of Wisconsin Oshkosh (UW-Oshkosh)
Basis for Cost Estimate: Please refer to the attached budget spreadsheet for estimated
component activities to occur as part of this contractual element. The cost estimate for
this activity is based on previous procurement actions by this entity of similar scope or
activity.
The ECWRPC will provide a subaward to the City of Oshkosh in order to create the
Northeast WI Business Accelerator Program. The UW-Oshkosh will use a competitive
procurement action to contract with a professional services firm in order to undertake the
project.
Professional services procured for this activity will oversee development of the
accelerator program (Accelerator) and the Growth Management Academy (Academy).
For a twelve month project period, this entity will be responsible for identifying best
practices in similar programs; identifying and recruiting partners and resources to assist
with development of both the Accelerator and Academy program; forming an advisory
board; coordinating development of a strategic and operational plan; and procuring
necessary resources to deliver the Accelerator and Academy programming. It is
anticipated that staff from this professional services entity would co-locate at UW-
Oshkosh or with the City of Oshkosh, where office space ($5,100 ($425/mo x 12
months) based on market rates for office space in the Oshkosh market), will be provided
as part of the non-federal match.
MANUFACTURER OUTREACH & ASSISTANCE
5. Defense Industry Supply Chain Initiative (Federal: $157,384 / Non-federal:
$17,487)
Procurement: ECWRPC Procurement Action
Basis for Cost Estimate: Please refer to the attached budget spreadsheet for estimated
component activities to occur as part of this contractual element. The cost estimate for
this activity is based on previous procurement actions by this entity of similar scope or
activity.
The ECWRPC will undertake a procurement action to contract with a firm in order to
undertake this effort. The contracted entity will work closely with WMEP and an advisory
group on the Defense Industry Supply Chain (DISC) initiative, which will help map the
supply chain assets and build industry market diversity for defense suppliers within the
Northeast Wisconsin Region.
6. Direct Assistance for Impacted Oshkosh Corporation Suppliers (Federal:
$229,500/ Non-federal: $25,500)
Procurement: ECWRPC Procurement Action
Basis for Cost Estimate: Please refer to the attached budget spreadsheet for estimated
component activities to occur as part of this contractual element. The cost estimate for
this activity is based on previous procurement actions by this entity of similar scope or
activity.
The ECWRPC will undertake a procurement action to contract with a firm in order to
undertake this effort to provide services to expand the capabilities of the existing
impacted OC defense supply chain by assisting companies in becoming more efficient,
effective and competitive. The contracted entity will build on the supply chain mapping
efforts and in coordination with other manufacturer assistance efforts.
Indirect Costs (Federal: $4,508/ Non-federal: $1,155)
The approved calendar year (CY) 2012 ECWRPC indirect cost rate is 0.6530 (x
ECWRPC direct salaries) per the attached Cost-Allocation Plan.
No indirect costs are requested for the City of Oshkosh Community Development
Director.
Grant Agreement
for
Oshkosh Region (DIA)
FAIN: HQ00051410004
This Agreement is between the East Central Wisconsin Regional Planning Commission,
the Grantee, and Department of Defense, the Grantor, acting through the Office of Economic
Adjustment(OEA). The Grantee will undertake community economic adjustment activities as
described in the Application for Federal Assistance, dated December 6, 2013, at the estimated
cost of$937,316. The$937,316 consists of$837,316 from the Grantor and$99,980 from non-
Grantor sources.
1. Compliance by the Grantee
A. Overall Compliance: The Grantee's actions under this Grant shall comply
with all applicable Federal, State, interstate, and local laws and regulations. The Grantee shall
comply with the following: Part 32 of title 32, Code of Federal Regulations (CFR),
"Administrative Requirements for Grants and Agreements With Institutions of Higher Education,
Hospitals, and Other Non-Profit Organizations," Part 230 of title 2, CFR, "Cost Principles for
Non-Profit Organizations," and Part 28 of title 32, CFR, "New Restrictions on Lobbying."
B. Debarment and Suspension: The Grantee agrees to comply with
Parts 180, "OMB Guidelines to Agencies on Governmentwide Debarment and Suspension
(Nonprocurement)," and 1125, "Department of Defense Nonprocurement Debarment and
Suspension,"of title 2, CFR. The Grantee also agrees to communicate the requirement to
comply with Parts 180 and 1125 to entities and persons at the next lower tier with whom the
recipient enters into transactions that are "covered transactions"under Parts 180 and 1125.
C. Drug-Free Workplace: The Grantee agrees to comply with Subpart B,
"Requirements for Recipients Other Than Individuals," of Part 26 of title 32, CFR,
"Govemmentwide Requirements for Drug-Free Workplace (Financial Assistance)."
D. Hatch Act: The Grantee is advised that its employees may be subject to the
Hatch Act(5 U.S.C. § 1501-1508). If doubt exists in particular cases, the Grantee should seek
legal counsel.
E. Universal Identifier Requirements and Central Contractor Registration. The
Grantee agrees to comply with the requirements of Part 25 of title 2, CFR, "Universal Identifier
and Central Contractor Registration." The System for Award Management(SAM)has replaced
the CCR system. The full text of this award term(as revised to reflect the SAM) is provided in
Attachment B to this Agreement.
F. Grant Terms and Conditions: The Grantee shall comply with the terms of this
Agreement. The decision of the Grantor in interpreting the Terms and Conditions of this
Agreement shall be final.
CR1327-14-01 Page 1 of 15
G. The Grantee shall ensure that every consultant and every contractor it employs
under the Grant complies with the terms of this Agreement as though the consultant or contractor
were a party to this Agreement.
2. Terms and Conditions
A. The Grant period is from October 1, 2013, through January 31, 2015. Eligible
costs incurred between October 1, 2013, and the date of this Agreement are allowable and
reimbursable.
B. Pre-award costs totaling$451.50, for legal opinions on applicant eligibility, are
authorized.
C. The Grantee assures that $99,980 or 10.7 percent of the total project costs shall
be contributed by non-Grantor sources.
D. The Grantee agrees to comply with the requirements regarding support of
salaries and wages in Part 230 of title 2, CFR, "Cost Principles for Non-Profit Organizations,"
Appendix B., "Selected Items of Cost," Item 8, "Compensation for Personal Services."
E. Any Grant funds actually advanced and not needed for grant purposes shall be
returned immediately to the Grantor.
F. OEA may suspend or terminate this Agreement in whole, or in part, if the
Grantee materially fails to comply with conditions of this Agreement. Suspension or termination
may occur if the Grantee materially fails to comply with any term of this Agreement. The
Grantee shall not incur new obligations for the terminated portions after receiving notice of the
termination, and shall cancel as many outstanding obligations as possible. Additional
enforcement remedies for non-compliance and termination provisions, in Part 32 of title 32,
CFR, apply to this award.
G. The Grantee is the responsible authority,without recourse to the Grantor,
regarding the settlement and satisfaction of all contractual and administrative issues arising out
of procurements entered into in support of the Grant.
H. Activities Prohibited
(1) Duplication of Work: The purpose and scope of work for which this
Agreement is made shall not duplicate programs for which moneys have been received, are
committed, or are applied for from other sources,public or private. Upon request of the Grantor,
the Grantee shall submit full information about related programs that will be initiated within the
Grant period.
(2) Other Funding Sources: Grantor's funds budgeted or granted for this
program shall not be used to replace any financial support previously provided or assured from
any other source.
CR1327-14-01 Page 2 of 15
(3) Funds for Attorney/Consultant Fees: The Grantee hereby agrees that no
funds made available from this Grant shall be used, directly or indirectly, for paying attorneys'
or consultants' fees in connection with securing grants or other services provided by the Grantor,
for example,preparing the application for this assistance. However, attorneys' and consultants'
fees incurred for meeting this Agreement's requirements may be eligible project costs and may
be paid out of funds made available from this Agreement provided such costs are otherwise
eligible.
(4) The Grantee is prohibited from using funds provided from this Grant or
personnel employed in the administration of this program for political activities, sectarian or
religious activities, lobbying,political patronage, or nepotism activities.
I. Personnel Approvals
The Grantor reserves the right to approve or disapprove the selection of
professional-level employees hired under this grant. If requested by the Grantor,resumes, in
sufficient detail to reveal the experience, education, and other general and special qualifications
for the position,must be submitted to the Grantor for its consent prior to employment of a
candidate. Changes in key positions, where specified in the Application and/or this agreement,
will require prior written approval from the Grantor.
J. Use of Consultants/Contractors
(1) Procurement of consultant or contractor services shall be in accordance
with all standards and procedures set forth in Part 32 of title 32, CFR. The following teens,
which are drawn from the Department of Defense Grant and Agreement Regulations, Parts 21
through 37 of title 32, CFR, are intended merely to highlight some of these standards and are,
therefore,not inclusive.
(2) All procurement transactions, regardless of whether negotiated or
advertised and without regard to dollar value, shall be conducted in a manner that provides
maximum open and free competition.
(3) Formal advertising, with adequate purchase description, sealed bids, and
public openings, shall not be required for small purchase procurements under$100,000 in the
aggregate unless otherwise required by State or local law or regulation. If small purchase
procedures are used,price or rate quotations shall be obtained.
(4) The Grantee shall maintain a code or standards of conduct which shall
govern the performance of its officers, employees, or agents in contracting with and expending
Federal Grant funds. Grantee's officers, employees, or agents shall neither solicit nor accept
gratuities, favors, or anything of monetary value from a contractor or potential contractors. To
the extent permissible by State or local law, rules, or regulations, such standards shall provide for
penalties, sanctions, or other disciplinary actions to be applied for violations of such standards by
either the Grantee's officers, employees, or agents, or by contractors.
CR1327-14-01 Page 3 of 15
K. Separate Bank/Fund Accounts
(1) The Grantee is not required to establish a separate bank account but may
do so. The Grantee,however, must maintain accounting records to adequately identify the
source and application of Grant funds. Other considerations, such as FDIC coverage, shall be in
accordance with the provisions of Part 32 of title 32, CFR.
(2) Interest earned on Grant funds shall be reported to the Grantor and used to
reduce the Federal share of this Grant. Grantees shall promptly,but no less often than quarterly,
remit to the Grantor any interest earned on advances the Grantor provided. The Grantee may
retain interest on any Grant funds not to exceed$100 per year for administrative expenses.
L. Grant Payments
(1) A Standard Form(SF) 270, "Request for Advance or Reimbursement,"
shall be submitted when requesting funds.
(2) All financial information on the SF 270 shall be shown as: Column(a)--
Salaries and Benefits; Column(b)--Operating Expenses; Column(c)--Contracts.
(3) Grant payments will be made by electronic funds transfer.
(4) Grant funds for contractual services will be disbursed on a reimbursement
basis only. Advances of up to 90 days may be requested for operational support. When Grant
payments are cash advances, the amount requested will be limited to that actually required.
(5) Grantee's payments to contractors/consultants shall be contingent upon
the Grantee's acceptance of deliverables.
(6) Requests for Federal funds (SF 270's) for payment of consultant/
contractor deliverables should be submitted to the Grantor after Grantee's acceptance of the
deliverables.
M. Reimbursement for Travel
Reimbursement for travel(transportation, food, and lodging) in the
performance of Grant activities shall be consistent with those normally allowed in like
circumstances in the non-Federally sponsored activities of the Grantee. Grantees may follow
their own established rate but any travel allowance policies in excess of Federal limits must
receive prior approval from the Grantor.
N. Office Equipment
All requests to purchase equipment(including software) with an estimated
acquisition cost of more than$5,000 shall be submitted to the Grantor for prior approval.
CR1327-14-01 Page 4 of 15
0. Expenses and Purchases Excluded
(1) Grant funds may not be used for marketing or entertainment expenses.
(2) Grant funds may not be used for capital assets, such as the purchase of
vehicles, improvements and renovation of space, and repair and maintenance of privately owned
vehicles.
P. Grantee Contributions
Contributions to this project by non-Grantor sources are expected to be paid
out at the same general rate as Grant funds.
Q. Grantee Reporting
(1) The Grantee shall provide interim performance reports and a final
performance report. The performance reports will contain information on the following:
(a) A comparison of actual accomplishments to the objectives
established for the period.
(b) The reasons for slippage if established objectives were not met.
(c) Additional pertinent information when appropriate.
(d) An accounting,by the budget line items approved for this project, of
expenses incurred during the reporting period, including the amount of Grant funds on hand at
the beginning and end, and non-Grantor share of contributions over the term.
(e) The final performance report must contain a summary of activities
for the entire Grant period. All required deliverables should be submitted with the final
performance report.
(2) The final SF 425, "Federal Financial Report," shall be submitted to the
Grantor within 90 days after the end date of the Grant. Any Grant funds actually advanced and
not needed for Grant purposes shall be returned immediately to the Grantor.
(3) The"Schedule of Reports"in Attachment A provides reporting periods
and dates due.
R. Reporting Subaward and Executive Compensation Information
The Grantee agrees to comply with the requirements of Part 170 of title 2,
CFR, "Reporting Subaward and Executive Compensation Information." The full text of this
award term is provided in Attachment C to this Agreement.
CR1327-14-01 Page 5 of 15
S. Contractor Deliverables
(1) A disclaimer statement will appear on the title page of any study prepared
under this Grant. It will read:
"This study was prepared under contract with the East Central Wisconsin
Regional Planning Commission,with financial support from the Office of
Economic Adjustment, Department of Defense. The content reflects the
views of the East Central Wisconsin Regional Planning Commission and does
not necessarily reflect the views of the Office of Economic Adjustment."
(2) The contractor identification will appear on the title page of the study
funded by this grant.
(3) Any final study shall be submitted electronically. The document will be
dated the month and year that it is submitted to the Grantor.
T. Audits
(1) The Grantee agrees to comply with OMB Circular A-133, "Audits of
States, Local Governments, and Non-Profit Organizations,"and the Single Audit Act, 31 U.S.C.
§ 7502(h).
(2) This award is not for Research and Development, and is made under Code
of Federal Domestic Assistance (CFDA)title: Community Economic Adjustment Planning
Assistance for Reductions in Defense Industry Employment, CFDA Number 12.611.
(3) The Grantee shall ensure audits are properly performed, and furnish the
required data collection foinis and audit reporting packages to the Federal Audit Clearinghouse
(FAC). The Grantee shall upload audit reports into the FAC through the Internet Data Entry
System (IDES) at https://harvester.census.gov/fac/collect/ddeindex.html#.
(4) The Grantee shall provide any audit with findings related to this award,
with copies of the reporting package (including corrective action plans), management letters
issued by an auditor, and audit working papers, to the Grantor.
(5) The Grantor will seek to issue a management decision to the Grantee
within 6 months of receipt of an audit report with findings, and the Grantee shall take timely and
corrective action to comply with the management decision.
(6) The Department of Defense reserves the right to conduct an independent
follow-up audit.
CR1327-14-01 Page 6 of 15
3. Special Conditions
A. The purpose and scope of this award is to undertake economic adjustment
activities in the Oshkosh, Wisconsin, Region. Changes in the specific activities described in the
application and the terms and conditions of this award are allowable only if approved by the
Grantor.
B. Submission to Grantor of signed agreements between the Grantee and the City
of Oshkosh and the University of Wisconsin, Oshkosh is required prior to the disbursement of
funds for subaward activities.
C. The indirect cost rate of 65.30 percent of direct salaries certified by Robert A.
Hermes on April 26, 2013, on behalf of the Grantee, expires on December 31, 2013. Grant funds
for indirect costs incurred after December 31, 2013,will not be disbursed until a Fiscal Year
2014 indirect cost rate is established pursuant to Part 225 of title 2, CFR, "Cost Principles for
State, Local, and Indian Tribal Governments."
D. Funds provided under this award may not be used to directly identify or assist a
business, including a business expansion, in the relocation of a plant, facility, or operation from
one Labor Market Area (LMA)to another if the relocation is likely to result in the loss of jobs in
the LMA from which the relocation occurs.
THE TERMS OF THIS GRANT ARE AGREED TO BY:
Patrick O'Brien 12/18/2013 3:21:20 PM
Patrick J. O'Brien DATE
Director
Office of Economic Adjustment
Eric Fowle- 12/26/2013 9:13:36 AM 12/26/2013 9:13:36 AM
Eric Fowle DATE
Executive Director
East Central Wisconsin Regional
Planning Commission
CR1327-14-01 Page 7 of 15
Attachment A
Schedule of Reports
For
Oshkosh Region(DIA)
FAIN: HQ00051410004
October 1, 2013 through January 31, 2015
Interim Performance Reports Due Date
10/01/2013 through 12/31/2013 01/31/2014
01/01/2014 through 03/31/2014 04/30/2014
04/01/2014 through 06/30/2014 07/31/2014
07/01/2014 through 09/30/2014 10/31/2014
10/01/2014 through 01/31/2015 04/30/2015
Final Performance Report
10/01/2013 through 01/31/2015 04/30/2015
Final Federal Financial Report(SF 425)
10/01/2013 through 01/31/2015 04/30/2015
Deliverables 04/30/2015
Page 8 of 15
Attachment B
System for Award Management(SAM) (previously identified as the Central Contractor
Registration) and Universal Identifier Requirements
A. Requirement for registration in the System for Award Management(SAM
Unless you are exempted from this requirement under 2 CFR § 25.110, you as the recipient must
maintain the currency of your information in SAM until you submit the final financial report
required under this award or receive the final payment,whichever is later. This requires that you
review and update the information at least annually after the initial registration, and more
frequently if required by changes in your information or another award term.
B. Requirement for Data Universal Numbering System (DUNS)Numbers
If you are authorized to make subawards under this award, you:
1. Must notify potential subrecipients that no entity(see definition in
paragraph C of this award term)may receive a subaward from you unless the entity has provided
its DUNS number to you.
2. May not make a subaward to an entity unless the entity has provided its
DUNS number to you.
C. Definitions
For purposes of this award term:
1. System for Award Management (SAM),previously identified as the Central
Contractor Registration (CCR), means the Federal repository into which an entity must provide
information required for the conduct of business as a recipient. Additional information about
registration procedures may be found at the SAM Internet site (currently at http://www.sam.gov).
2. Data Universal Numbering System (DUNS) number means the nine-digit number
established and assigned by Dun and Bradstreet, Inc. (D&B)to uniquely identify business
entities. A DUNS number may be obtained from D&B by telephone (currently 866-705-5711)
or the Internet(currently at http://fedgov.dnb.com/webform).
3. Entity, as it is used in this award term, means all of the following, as defined at
Subpart C of Part 25 of title 2, CFR:
a. A Governmental organization, which is a State, local government, or Indian
Tribe;
b. A foreign public entity;
Page 9 of 15
c. A domestic or foreign nonprofit organization;
d. A domestic or foreign for-profit organization; and
e. A Federal agency,but only as a subrecipient under an award or subaward to a
non-Federal entity.
4. Subaward:
a. This term means a legal instrument to provide support for the performance of
any portion of the substantive project or program for which you received this award and that you
as the recipient award to an eligible subrecipient.
b. The term does not include your procurement of property and services needed
to carry out the project or program(for further explanation,see Sec._.210 of the attachment to
OMB Circular A-133, "Audits of States, Local Governments, and Non-Profit Organizations").
c. A subaward may be provided through any legal agreement, including an
agreement that you consider a contract.
5. Subrecipient means an entity that:
a. Receives a subaward from you under this award; and
b. Is accountable to you for the use of the Federal funds provided by the
subaward.
Page 10 of 15
Attachment C
Reporting Subawards and Executive Compensation
A. Reporting of first-tier subawards.
1. Applicability.
Unless you are exempt as provided in paragraph D. of this award term,you must
report each action that obligates $25,000 or more in Federal funds that does not include
Recovery funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment
Act of 2009, Pub. L. 111-5) for a subaward to an entity(see definitions in paragraph e. of this
award term).
2. Where and when to report.
i. You must report each obligating action described in paragraph A.1 of this award
term to http://www.fsrs.gov.
ii. For subaward information, report no later than the end of the month following
the month in which the obligation was made. (For example, if the obligation was made on
November 7, 2010,the obligation must be reported by no later than December 31, 2010.)
3. What to report.
You must report the information about each obligating action that the submission
instructions posted at http://www.fsrs.gov.
B. Reporting Total Compensation of Recipient Executives.
1. Applicability and what to report.
You must report total compensation for each of your five most highly
compensated executives for the preceding completed fiscal year, if-
i. the total Federal funding authorized to date under this award is $25,000 or more;
ii. in the preceding fiscal year, you received—
(a) 80 percent or more of your annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as
defined at 2 CFR § 170.320 (and subawards); and
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(b) $25,000,000 or more in annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as
defined at 2 CFR § 170.320 (and subawards); and
iii. The public does not have access to information about the compensation of the
executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange
Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986.
(To determine if the public has access to the compensation information, see the U.S. Securities
and Exchange Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm.)
2. Where and when to report.
You must report executive total compensation described in paragraph B.1 of this
award term:
i. As part of your registration profile at http://www.sam.gov.
ii. By the end of the month following the month in which this award is made, and
annually thereafter.
C. Reporting of Total Compensation of Subrecipient Executives.
1. Applicability and what to report.
Unless you are exempt as provided in paragraph D of this award term, for each
first-tier subrecipient under this award, you shall report the names and total compensation of
each of the subrecipient's five most highly compensated executives for the subrecipient's
preceding completed fiscal year, if-
i. in the subrecipient's preceding fiscal year, the subrecipient received—
(a) 80 percent or more of its annual gross revenues from Federal procurement
contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as
defined at 2 CFR § 170.320 (and subawards); and
(b) $25,000,000 or more in annual gross revenues from Federal procurement
contracts (and subcontracts), and Federal financial assistance subject to the Transparency Act
(and subawards); and
Page 12 of 15
ii. The public does not have access to information about the compensation of the
executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange
Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986.
(To determine if the public has access to the compensation information, see the U.S. Securities
and Exchange Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm.
2. Where and when to report.
You must report subrecipient executive total compensation described in
paragraph C.1 of this award term:
i. To the recipient.
ii. By the end of the month following the month during which you make the
subaward. For example, if a subaward is obligated on any date during the month of October of a
given year(i.e., between October 1 and 31), you must report any required compensation
information of the subrecipient by November 30 of that year.
D. Exemptions
If, in the previous tax year, you had gross income, from all sources,under$300,000,
you are exempt from the requirements to report:
i. Subawards, and
ii. The total compensation of the five most highly compensated executives of any
subrecipient.
E. Definitions.
For purposes of this award term:
1. Entity means all of the following, as defined in Part 25 of title 2, CFR:
i. A Governmental organization, which is a State, local government, or Indian
tribe;
ii. A foreign public entity;
iii. A domestic or foreign nonprofit organization;
iv. A domestic or foreign for-profit organization;
Page 13 of 15
v. A Federal agency,but only as a subrecipient under an award or subaward to a
non-Federal entity.
2. Executive means officers, managing partners, or any other employees in
management positions.
3. Subaward:
i. This term means a legal instrument to provide support for the performance of
any portion of the substantive project or program for which you received this award and that you
as the recipient award to an eligible subrecipient.
ii. The term does not include your procurement of property and services needed
to carry out the project or program(for further explanation, see Sec._.210 of the attachment to
OMB Circular A-133, "Audits of States, Local Governments, and Non-Profit Organizations").
iii. A subaward may be provided through any legal agreement, including an
agreement that you or a subrecipient considers a contract.
4. Subrecipient means an entity that:
i. Receives a subaward from you(the recipient)under this award; and
ii. Is accountable to you for the use of the Federal funds provided by the
subaward.
5. Total compensation means the cash and noncash dollar value earned by the
executive during the recipient's or subrecipient's preceding fiscal year and includes the following
(for more information see 17 CFR § 229.402(c)(2)):
i. Salary and bonus.
ii. Awards of stock, stock options, and stock appreciation rights.
Use the dollar amount recognized for financial statement reporting purposes with
respect to the fiscal year in accordance with the Statement of Financial Accounting Standards
No. 123 (Revised 2004) (FAS 123R), Shared Based Payments.
iii. Earnings for services under non-equity incentive plans.
This does not include group life, health,hospitalization or medical reimbursement
plans that do not discriminate in favor of executives, and are available generally to all salaried
employees.
Page 14 of 15
iv. Change in pension value.
This is the change in present value of defined benefit and actuarial pension plans.
v. Above-market earnings on deferred compensation which is not tax-qualified.
vi. Other compensation, if the aggregate value of all such other compensation
(e.g. severance, teHniination payments, value of life insurance paid on behalf of the employee,
perquisites or property) for the executive exceeds $10,000.
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