Public and Nonprofit Institution Grant Funds for Institutions Certification and Agreement
Summary
The Department of Education's Certification and Agreement for Institutional Portion grants under section 314(a)(1) of the Coronavirus Response and Relief Supplemental Appropriations Act, 2021 (CFDA 84.425F) covers public and nonprofit institutions' use of funds for their own costs. A recipient must also have entered the Student Aid Portion agreement, may use the money for such costs as lost revenue, technology and payroll or for student grants, and may not use it for recruitment, marketing, endowments, athletics capital outlays or senior executive pay and benefits. The Secretary urges the maximum possible go to student aid. Institutions that paid the endowment excise tax must notify the Department within 30 days and may not draw down more than 50% of their allocation without a waiver. The form carries OMB Number 1840-0842, expiring 12/31/2023.
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Cite this document
“Public and Nonprofit Institution Grant Funds for Institutions Certification and Agreement.”
Original at www.ed.gov. Archived at Pandemic Darlings, https://pandemicdarlings.com/source-documents/department-of-education-blue-www-ed-gov-e4f3ae2206/
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BLUE C&A Public and Nonprofit Institution Grant Funds for Institutions – Page 1
Coronavirus Response and Relief Supplemental Appropriations Act, 2021
Certification and Agreement (CFDA 84.425F) ((a)(1) Institutional Portion)
PUBLIC AND NONPROFIT INSTITUTION GRANT FUNDS FOR INSTITUTIONS
The terms, conditions, and requirements governing your institution’s (Recipient’s) use of these
grant funds awarded pursuant to section 314(a)(1) of the Coronavirus Response and Relief
Supplemental Appropriations Act, 2021 (CRRSAA) (Pub. L. 116-260) (award or grant) by the
U.S. Department of Education (Department) are governed by section 314 of the CRRSAA and
the following terms and conditions of this Certification and Agreement (C&A):
Use of Grant Funds:
1. As a condition for receiving grant funds for Recipient’s Institutional Costs in this
Certification and Agreement, Recipient, an institution of higher education as defined in
section 101 or 102(c) of the Higher Education Act of 1965, as amended (HEA), 20 USC
§ 1001 or 1002(c), must have also entered into the Public and Nonprofit Institution Grant
Funds for Students Certification and Agreement under the CRRSAA (CFDA 84.425E).
2. Under section 314(c) of the CRRSAA, Recipient may use these grant funds for
Recipient’s Institutional Costs to defray expenses associated with coronavirus (including
lost revenue, reimbursement for expenses already incurred, technology costs associated
with a transition to distance education, faculty and staff trainings, and payroll); carry out
student support activities authorized by the Higher Education Act of 1965, as amended
(HEA) that address needs related to coronavirus; and make additional financial grants to
students, which may be used for any component of the student’s cost of attendance or for
emergency costs that arise due to coronavirus, such as tuition, food, housing, health care
(including mental health care), or child care.
3. Recipient acknowledges that no grant funds may be used to fund contractors for the
provision of pre-enrollment recruitment activities; marketing or recruitment;
endowments; capital outlays associated with facilities related to athletics, sectarian
instruction, or religious worship; senior administrator or executive salaries, benefits,
bonuses, contracts, incentives; stock buybacks, shareholder dividends, capital
distributions, and stock options; or any other cash or other benefit for a senior
administrator or executive.
4. Recipient may, but is not required to, use funds designated for Recipient’s Institutional
Costs to provide additional financial aid grants to students. If Recipient chooses to use
these grant funds designated for Recipient’s Institutional Costs to provide additional
financial aid grants to students, then those funds are subject to the requirements in the
Public and Nonprofit Institution Grant Funds for Students Certification and Agreement.
5. The Secretary urges Recipient to devote the maximum amount of funds possible to
financial aid grants to students, including some or all of the funds allocated for
BLUE C&A Public and Nonprofit Institution Grant Funds for Institutions – Page 2
Recipient’s Institutional Costs. The Secretary urges Recipient to take strong measures to
ensure that financial aid grants to students are made to the maximum extent possible.
6. Recipient must notify the Department within 30 days of making a determination that it is
required to remit payment to the Internal Revenue Service for the excise tax paid on
investment income of private colleges and universities under section 4968 of the Internal
Revenue Code of 1986 for tax year 2019 via the Required Notification of Endowment
Excise Tax Paid form, pursuant to section 314(d)(6) of the CRRSAA. Recipient
acknowledges that if it was required to remit payment to the Internal Revenue Service for
this excise tax paid, and if it is not an institution that has been designated as an eligible
work college under HEA section 448, 20 USC § 1087-58:
a. Recipient must not draw down more than 50% of its total allocation received
under CRRSAA section 314(a)(1) (combined Student Aid Portion and
Institutional Portion grants under CFDAs 84.425E and 84.425F), unless a waiver
of this condition has requested by Recipient and until approved by the Secretary
under CRRSAA section 314(d)(6)(B).
b. Recipient must use its remaining available funds only for financial aid grants to
students consistent with CRRSAA section 314(c)(3), or for sanitation, personal
protective equipment, or other expenses associated with the general health and
safety of the campus environment related to the qualifying emergency, unless a
waiver of this condition has been requested by Recipient and until approved by
the Secretary under CRRSAA section 314(d)(6)(B), and subject to other
applicable requirements in section 314.
Grant Administration:
7. Recipient acknowledges that consistent with 2 CFR § 200.305, it must minimize the time
between drawing down funds from G5 and paying incurred obligations (liquidation).
Recipient further acknowledges that if it draws down funds and does not pay the incurred
obligations (liquidates) within 3 calendar days it may be subject to heightened scrutiny by
the Department, Recipient’s auditors, and/or the Department’s Office of the Inspector
General (OIG). Recipient further acknowledges that returning funds pursuant to mistakes
in drawing down excessive grant funds in advance of need may also be subject to
heightened scrutiny by the Department, Recipient’s auditors, and/or the Department’s
OIG. Finally, Recipient acknowledges that it must maintain drawn down grant funds in
an interest-bearing account, and any interest earned on all Federal grant funds above $500
(all Federal grants together) during an institution’s fiscal year must be returned (remitted)
to the Federal government via a process described here:
https://www2.ed.gov/documents/funding-101/g5-returning-interest.pdf.
8. Recipient may charge indirect costs to funds made available under this award consistent
with its negotiated indirect cost rate agreement. If Recipient does not have a current
negotiated indirect cost rate with its cognizant agency for indirect costs, it may
appropriately charge the de minimis rate of ten percent of Modified Total Direct Costs
BLUE C&A Public and Nonprofit Institution Grant Funds for Institutions – Page 3
(MTDC). Recipient may also charge reasonable direct administrative costs to funds made
available under this award.
9. Recipient acknowledges that any obligation under this grant (pre-award costs pursuant to
2 CFR § 200.458) must have been incurred on or after December 27, 2020, the date of the
enactment of the CRRSAA.
10. Recipient must promptly and to the greatest extent practicable expend all grant funds
from this award within the one-year period of performance (2 CFR § 200.77) specified in
Box 6 of this Grant Award Notification (GAN).
11. Recipient must, to the greatest extent practicable, continue to pay its employees and
contractors during the period of any disruptions or closures related to coronavirus
pursuant to section 315 of the CRRSAA.
Reporting and Accountability:
12. Recipient must promptly and timely report to the Department on the use of funds no later
than 6 months after the date of this award in a manner to be specified by the Secretary
pursuant to section 314(e) of the CRRSAA. Recipient must also promptly and timely
provide a detailed accounting of the use of funds provided by this award in such manner
and with such subsequent frequency as the Secretary may require. Recipient will comply
with any other applicable reporting requirements including those in Section 15011(b)(2)
of Division B of the CARES Act. Recipient acknowledges the Department may require
additional or more frequent reporting to be specified by the Secretary.
13. Recipient must comply with all requirements of the Single Audit Act Amendments of
1996, 31 USC § 7501, et seq. (Single Audit Act) and all applicable auditing standards.
Considering that the HEERF grant program is a new program not previously audited or
subjected to Department oversight, and the inherent risk that comes with a new program,
the Department strongly suggests that the HEERF grant program be audited as a major
program in the first fiscal year(s) that the institution received a HEERF grant.
14. Recipient acknowledges it is under a continuing affirmative duty to inform the
Department if Recipient is to close or terminate operations as an institution or merge with
another institution. In such cases, Recipient must promptly notify in writing the assigned
education program officer contact in Box 3. Additionally, Recipient must promptly notify
the assigned education program officer if the Recipient’s Authorized Representative
changes.
15. Recipient must cooperate with any examination of records with respect to the advanced
funds by making records and authorized individuals available when requested, whether
by (i) the Department and/or its OIG; or (ii) any other Federal agency, commission, or
department in the lawful exercise of its jurisdiction and authority. Recipient must retain
all financial records, supporting documents, statistical records, and all other non-Federal
BLUE C&A Public and Nonprofit Institution Grant Funds for Institutions – Page 4
entity records pertinent to a Federal award for a period of three years from the date of
submission of the final expenditure report pursuant to 2 CFR § 200.334.
16. Recipient acknowledges that failure to comply with this Certification and Agreement, its
terms and conditions, and/or all relevant provisions and requirements of the CRRSAA or
any other applicable law may result in Recipient’s liability under the False Claims Act,
31 USC § 3729, et seq.; OMB Guidelines to Agencies on Governmentwide Debarment
and Suspension (Nonprocurement) in 2 CFR part 180, as adopted and amended as
regulations of the Department in 2 CFR part 3485; 18 USC § 1001, as appropriate; and
all of the laws and regulations referenced in the “Applicable Law” section of this
Certification and Agreement, below.
Applicable Law:
17. Recipient must comply with all applicable assurances in OMB Standard Forms (SF) SF-
424B and SF-424D (Assurances for Non-Construction and Assurances for Construction
Programs), including the assurances relating to the legal authority to apply for assistance;
access to records; conflict of interest; nondiscrimination; Hatch Act provisions; labor
standards; Single Audit Act; and the general agreement to comply with all applicable
Federal laws, executive orders, and regulations.
18. Recipient certifies that with respect to the certification regarding lobbying in Department
Form 80-0013, no Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member
of Congress in connection with the making or supplementing of Federal grants under this
program; Recipient must complete and submit Standard Form-LLL, “Disclosure Form to
Report Lobbying,” when required (34 CFR part 82, Appendix B).
19. Recipient must comply with the provisions of all applicable acts, regulations and
assurances; the following provisions of Education Department General Administrative
Regulations (EDGAR) 34 CFR parts 75, 77, 81, 82, 84, 86, 97, 98, and 99; the OMB
Guidelines to Agencies on Governmentwide Debarment and Suspension
(Nonprocurement) in 2 CFR part 180, as adopted and amended as regulations of the
Department in 2 CFR part 3485; and the Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards in 2 CFR part 200, as adopted
and amended as regulations of the Department in 2 CFR part 3474.
BLUE C&A Public and Nonprofit Institution Grant Funds for Institutions – Page 5
Institution Name: _________________________________________
Authorized Representative (typed name): ______________________________________
Authorized Representative Title: _________________________________________
DUNS Number: _________________________________________
OPE ID: _________________________________________
Date: _________________________________________
Paperwork Burden Statement
According to the Paperwork Reduction Act of 1995, no persons are required to respond to a
collection of information unless such collection displays a valid OMB control number. The valid
OMB control number for this information collection is 1840-0842. Public reporting burden for
this collection of information is estimated to average 5 hours per response, including time for
reviewing instructions, searching existing data sources, gathering, and maintaining the data
needed, and completing and reviewing the collection of information. The obligation to respond
to this collection is required to obtain or retain benefit (Section 314(a)(1) of the Coronavirus
Response and Relief Supplemental Appropriations Act, 2021 (Pub. L. 116-260)). If you have any
comments concerning the accuracy of the time estimate, suggestions for improving this
individual collection, or if you have comments or concerns regarding the status of your
individual form, application or survey, please contact Karen Epps, 400 Maryland Avenue, SW.
Washington, D.C. 20202 directly.
OMB Number: 1840-0842
Expiration Date: 12/31/2023
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