9.3 Mandatory Disclosures Policy

Related Policy from the Code of Federal Relations: 2 CFR 200.113: https://www.ecfr.gov/cgi-bin/text-idx?node=se2.1.200_1113&rgn=div8

Related Minnesota State policy: 1C.2 Fraudulent or Other Dishonest Acts http://minnstate.edu/board/policy/1c02.html

Related Minnesota State procedure: 1C.0.1 Employee Code of Conduct http://minnstate.edu/board/procedure/1c0p1.html

Purpose: As a recipient of Federal awards, Normandale is required to follow Federally mandated disclosure requirements. The purpose of this policy is to outline these requirements and describe the processes Normandale will use to both monitor those issues that require disclosure to the Federal agency or pass-through entity from which Normandale received an award and to communicate required disclosures to the Federal agency or pass-through entity.

Part 1: Definitions

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.
Award is any funding agreement or contract, oral or written, with a third-party including grants, fellowships, co-operative agreements, contracts and other such instruments.
Conviction 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.
Fraudulent or other dishonest acts is defined in Minnesota State policy 1C.2, Part 3, Subpart A.
Gratuity violation is accepting gratuities, favors, or anything of monetary value, other than unsolicited items of nominal value, from contractors or parties to sub-contracts involved in a Federal award. Gifts of nominal value are defined in Minnesota State procedure 1C.0.1.

Part 2: Responsibilities

Normandale will disclose, in a timely manner, in writing to the Federal agency or pass-through entity any of the following that potentially affect a Federal award:

Notice of suspension or debarment pertaining to Normandale or any employee, contractor, subcontractor, or agent working on or otherwise associated with the Federal award;
All violations of Federal criminal law involving fraud, bribery, or gratuity violations;
A criminal proceeding that resulted in a conviction, as defined below;
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;
An administrative proceeding, as defined below, that resulted in a finding of fault and liability and payment of either a monetary fine or penalty of $5,000 or more or reimbursement, restitution, or damages in excess of $100,000; or
Any other criminal, civil, or administrative proceeding if:
1. It could have led to one of the outcomes described above;
2. It had a different disposition arrived at by consent or compromise with an acknowledgment of fault on the part of Normandale; and
3. The requirement in this award term and condition to disclose information about the proceeding does not conflict with applicable laws and regulations.
Suspected or reported violations of the Davis-Bacon Act by contractors (applies only to construction contracts).
Suspected or reported violations of the Copeland “Anti-Kickback” Act by contractors (applies only to construction contracts).
Violation of the Clean Air Act and Federal Water Pollution Control Act by contractors.

Failure to make required disclosures can result in any of the remedies described in §200.338 Remedies for noncompliance, including suspension or debarment.

Any Normandale employee, including faculty (full-time, adjunct and part-time faculty), administrative staff, and student employees are responsible for reporting suspected fraud or other dishonest acts in a timely manner. Reporting should follow the process outlined in Minnesota State policy 1C.2.

At the time of such reporting, the individual receiving the report shall notify the Office of Grants and Sponsored Projects of the act that may potentially impact a Federal award.

Responsibility for conducting a fraud inquiry or fraud investigation will follow the process outlined in Minnesota State policy 1C.2.

If a fraud investigation substantiates that a violation has occurred, the Office of Grants & Sponsored Projects will be notified. The Director of Grants and Sponsored Projects will file required notification to the Federal System for Award Management as soon as possible upon receipt of reportable information. The Director of Grants & Sponsored Projects will, in consultation with the Normandale president and Minnesota State counsel, provide written notification to the Federal awarding agency or pass-through entity as soon as possible upon receipt of the reportable information.

Part 3: Employee Disciplinary Actions

Employees found to be in violation of this policy will be subject to the disciplinary actions outlined in Minnesota State policy 1C.2.

Part 4: Whistleblower Protection

Employees who report suspected fraud or other dishonest acts that potentially impact a Federal award shall be protected from retaliation as outlined in Minnesota State policy 1C.2.

Policy History:

Date of Adoption: 11.1.17

Department Owner: Grants

Date and Subject of Revisions:

4/2/19 Added related State Policies and Procedures, updated Purpose and Responsibilities

Next Review Date: 4/2/2023