Item K25
BOARD OF COUNTY COMMISSIONERS
AGENDA ITEM SUMMARY
Meeting Date: 15 May 2002
Division:
Growth Management
Bulk Item: Yes -1L- No
Department: Marine Resources
AGENDA ITEM WORDING: Approval of Agreement between the State of Florida Department of
Environmental Protection, Coastal Impact Assistance Program and Monroe County to provide federal
funding for the Implementation and Education/Outreach Programs for the Florida Keys No Discharge
Zone Project.
ITEM BACKGROUND: Through the Coastal Impact Assistance Program (ClAP) administered by
NOAA, $150,000 in Grant funds were made available to Monroe County. The Florida Department of
Environmental Protection administers the program for the State of Florida. As the designated lead
agency for coordinating the ClAP, FDEP prepared a package consisting of proposals from all coastal
counties and involved state agencies for the Governor's consideration and submission to NOAA.
NOAA reviewed the state grant package and a grant has been made to Monroe County. Monroe
County will work with the FDEP, FDCA, and others for the purpose of Implementation and
Education/Outreach Programs for the Florida Keys No Discharge Zone Project.
PREVIOUS RELEVANT BOCC ACTION:
May 2001 - Approval to submit Grant Application and hold Necessary Public Hearings
CONTRACT/AGREEMENT CHANGES:
N/A
ST AFF RECOMMENDATIONS:
Approval
TOTAL COST:
$150.000
BUDGETED: Yes lL No
COST TO COUNTY:
Staff Time
REVENUE PRODUCING: Yes
No-X AMOUNTPERMONTH_ Year
DOCUMENTATION:
Included X
Risk Management -.X
,0
APPROVED BY: County Atty.-1L-
DIVISION DIRECTOR APPROVAL:
Not Required_
AGENDA ITEM # .~Ar-
DISPOSITION:
MONROE COUNTY BOARD OF COUNTY COMMISSIONERS
CONTRACT SUMMARY
Contract with: FDEP Contract #
Effective Date: Immediate
Expiration Date: November 30, 2004
Contract Purpose/Description:
Grant - providing project money for Implementation and Education/Outreach Programs
for the Florida Keys No Discharge Zone
Contract Manager: George Garrett 2507 Marine Resources
(Name) (Ext. ) (Department/Stop #)
for BOCC meeting on 05-15-02 Agenda Deadline: 4-29-02
CONTRACT COSTS
Total Dollar Value of Contract: $ 150,000
Budgeted? YesO No [gJ Account Codes:
Grant: $ 150,000
County Match: $ None
Current Year Portion: $ 150,000
New-
ADDITIONAL COSTS
Estimated Ongoing Costs: $N/A/yr For: N/A
(Not included in dollar value above) (eg. maintenance, utilities, janitorial, salaries, etc.)
CONTRACT REVIEW
O.M.B.lPurchasing
Changes
tD~ Needed
If YesD NoS--::
4-JD- O~ YesD NoQ" ,
, .
~z--YeSONO~
4~1v YesO No. .... ~
Date Out
Division Director
"/~(/dl-
Risk Management
\-O~
County Attorney
Comments:
OMS Fonn Revised 2/27/01 Mep #2
DEP AGREEMENT NO. G0007
STATE OF FLORIDA
COASTAL IMPACT ASSISTANCE PROGRAM GRANT AGREEMENT
PURSUANT TO THE
FEDERAL NATIONAL OCEANIC AND ATMOSPHERIC ADMINISTRATION GRANT AWARD
AND
LINE ITEM 1749A OF THE 2001-2002 GENERAL APPROPRIATIONS ACT
THIS AGREEMENT is entered into between the STATE OF FLORIDA DEPARTMENT OF
ENVIRONMENTAL PROTECTION, whose address is 3900 Commonwealth Boulevard, Tallahassee, Florida 32399
(hereinafter referred to as the "Department" or "DEP") and the MONROE COUNTY BOARD OF COUNTY
COMMISSIONERS, whose address is Department of Marine Resources, 2798 Overseas Highway, Suite 420, Marathon,
Florida 33050 (hereinafter referred to as "Grantee" or "Recipient"), a local government, to provide federal funding for the
Implementation and Education/Outreach Programs for the Florida Keys No Discharge Zone project.
WHEREAS, the Department was instrumental in the development of the Coastal Impact Assistance Plan for the
State of Florida; and,
WHEREAS, the Governor of the State of Florida certified the uses of funds by each of the coastal political
subdivisions as being consistent with the authorized uses of funds specified in the United States Department of Commerce:
Final Guidance for Coastal Impact Assistance Program; and,
WHEREAS, the Florida Department of Environmental Protection was awarded funding by the National Oceanic
and Atmospheric Administration on December 4,2001 by NOAA Grant Agreement No. NA170Z2147; and,
WHEREAS, the Grantee is responsible for complying with the United States Department of Commerce: Final
Guidance for Coastal Impact Assistance Program, dated October 3, 2001 (the document is available at:
http://www.ocrm.nos.noaa.gov/pdf/ciapguidancel00l fnl.pdt); and,
WHEREAS, the Grantee applied for funding for projects to be performed within its jurisdictional area of
responsibility .
NOW, THEREFORE, in consideration of the premises and the mutual benefits to be derived herefrom, the
Department and the Grantee do hereby agree as follows:
1. The Grantee does hereby agree to perform in accordance with the terms and conditions set forth in this
Agreement, Attachment A (Grant Work Plan), and all attachments and exhibits named herein which are attached
hereto and incorporated by reference. For purposes of this Agreement, the terms "Contract" and "Agreement" and
the terms "Grantee", "Recipient" and "Contractor", are used interchangeably.
2. This Agreement shall begin upon execution by both parties and end no later than November 30, 2004, inclusive.
The Grantee shall be eligible for reimbursement for work performed on or after the effective date of the
Department's grant award from NOAA which has been identified as December 1, 2001. This Agreement may be
amended to provide for additional services if additional funding is made available by NOAA and/or the
Legislature.
3.
A.
As consideration for the services rendered by the Grantee under the terms of this Agreement, the
Department shall pay the Grantee on a cost reimbursement basis in an amount not to exceed $150,000
toward the total project cost described in Attachment A. The Grantee shall be reimbursed on a cost
reimbursement basis for all eligible project costs upon receipt and acceptance of a properly completed
Payment Request Summary Form (provided as Attachment B). In addition to the summary form, the
DEP Agreement No. G0007, Page 1 of 7
Grantee must provide from its accounting system, a listing of expenditures charged against this
Agreement. The listing shall include, at a minimum, a description of the goods or services purchased,
date of the transaction, voucher number, amount paid, and vendor name. All requests for reimbursement
of travel expenses shall be based on the travel limits established in Section 112.061, Florida Statutes.
Periodically, the Department may request proof of a transaction (invoice, payroll register, etc.) which
must be provided within thirty (30) calendar days of such a request. The Department also reserves the
right to audit the Grantee's disbursements as it deems necessary. All bills for amounts due under this
Agreement shall be submitted in detail sufficient for a proper pre-audit and post-audit thereof.
B. Allowable costs will be determined in accordance with the cost principles applicable to the organization
incurring the costs. For purposes of this Agreement, the following cost principles are incorporated by
reference.
Organization Type Applicable Cost Principles
State, local or Indian tribal government. OMB Circular A-87
Private non-profit organization other than an (1) OMB Circular A-122
institution of higher education, (2) hospital, or (3)
organization named in OMB eircular A-122 as not
subject to that circular.
Education Institutions OMB Circular A-21
For-profit organization other than a hospital and 48 CRF Part 31, Contract Cost Principles and
an organization named in OMB A-122 as not Procedures, or uniform cost accounting standards
subject to that circular. that comply with cost principles acceptable to the
federal agency.
C. The Grantee may request "pre-award" costs, i.e., costs incurred by the state and/or counties prior to plan
submittal and approval. Pre-award costs would allow states and coastal political subdivisions to use
Coastal Impact Assessment Program (ClAP) funds to pay for eligible costs incurred before the ClAP
plans were approved and funds disbursed. Only pre-award costs incurred after March 1,2001, when the
National Oceanic and Atmospheric Administration (NOAA) released the preliminary draft ClAP
guidance may be recovered by elAP funds. All requests for the payment of pre-award costs must be
received, utilizing the Grant Agreement Amendment Request Form provided as Attachment I, within
sixty (60) days of Agreement execution. The Department shall request approval from NOAA for the
payment of all eligible pre-award costs.
4. The State of Florida's performance and obligation to pay under this Agreement is contingent upon an annual
appropriation by the Legislature. The parties hereto understand that this Agreement is not a commitment of future
appropriations.
5. The Grantee shall submit quarterly invoices in conjunction with quarterly progress reports. The Grantee shall
utilize the Progress Reporting Form, attached hereto and made a part hereof as Attachment C, for submitting its'
quarterly progress report. Quarterly reports shall be submitted to the Department's Grant Manager no later than
twenty (20) days following the completion of the quarterly reporting period. It is hereby understood and agreed
by the parties that the term "quarterly" shall reflect the calendar quarters ending March 31, June 30, September 30
and December 31. The Department's Grant Manager shall have ten (10) working days to review deliverables
submitted by the Grantee.
6. Each party hereto agrees that it shall be solely responsible for the negligent or wrongful acts of its employees and
agents. However, nothing contained herein shall constitute a waiver by either party of its sovereign immunity or
the provisions of Section 768.28, Florida Statutes.
7. The Department may terminate this Agreement at any time in the event of the failure of the Grantee to fulfill any
of its obligations under this Agreement. Prior to termination, the Department shall provide thirty (30) calendar
DEP Agreement No. G0007, Page 2 of 7
days written notice of its intent to terminate and shall provide the Grantee an opportunity to consult with the
Deparbnent regarding the reason( s) for termination.
8. This Agreement may be unilaterally canceled by the Deparbnent for refusal by the Grantee to allow public access
to all documents, papers, letters, or other material made or received by the Grantee in conjunction with this
Agreement, unless the records are exempt from Section 24(a) of Article I of the State Constitution and Section
119.07(1), Florida Statutes.
9. The Grantee shall maintain books, records and documents directly pertinent to performance under this Agreement
in accordance with generally accepted accounting principles consistently applied. The Deparbnent, the State, or
their authorized representatives shall have access to such records for audit purposes during the term of this
Agreement and for five years following Agreement completion. In the event any work is subcontracted, the
Grantee shall similarly require each subcontractor to maintain and allow access to such records for audit purposes.
10.
11.
12.
A.
In addition to the provisions contained in paragraph 9 above, the Grantee shall comply with the
applicable provisions contained in Attachment D. A revised copy of Attachment D, Exhibit-I, must be
provided to the Grantee with each amendment that authorizes a funding increase or decrease. The
revised Exhibit-l shall summarize the funding sources supporting the Agreement for purposes of
assisting the Grantee in complying with the requirements of Attachment D. If the Grantee fails to
receive a revised copy of Attachment D, Exhibit-I, the Grantee shall notify the Department's Grants
Development and Review Manager at 850/922-5942 to request a copy of the updated information.
B. The Grantee shall also adhere to the United States Deparbnent of Commerce (DoC) Financial Assistance
Standard Terms and Conditions (http://www.doc.gov/oebam/STerms.htm). excerpts attached hereto and
made a part hereof as Attachment E.
A.
The Grantee may subcontract work under this Agreement without the prior written consent of the
Department's Grant Manager. The Grantee agrees to be responsible for the fulfillment of all work
elements included in any subcontract and agrees to be responsible for the payment of all monies due
under any subcontract. It is understood and agreed by the Grantee that the Deparbnent shall not be liable
to any subcontractor for any expenses or liabilities incurred under the subcontract and that the Grantee
shall be solely liable to the subcontractor for all expenses and liabilities incurred under the subcontract.
B. The Deparbnent of Environmental Protection supports diversity in its procurement program and requests
that all subcontracting opportunities afforded by this Agreement embrace diversity enthusiastically. The
award of subcontracts should reflect the full diversity of the citizens of the State of Florida. The
Deparbnent will be glad to furnish a list of minority owned businesses for consideration in subcontracting
opportunities.
A.
The Grantee certifies that no Federal appropriated funds have been paid or will be paid, on or after
December 22, 1989, by or on behalf of the Grantee, to any person for influencing or attempting to
influence an officer or employee of an agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress, in connection with the awarding, renewal, amending
or modifying of any Federal contract, grant, or cooperative agreement. If any non-Federal funds are used
for lobbying activities as described above, the Grantee shall submit Attachment F, Standard Form-LLL,
"Disclosure Form to Report Lobbying" (attached hereto and made a part hereof), and shall file quarterly
updates of any material changes. The Grantee shall require the language of this certification to be
included in all subcontracts, and all subcontractors shall certify and disclose accordingly. (15 CFR 28J
B. In accordance with Section 216.347, Florida Statutes, the Grantee is hereby prohibited from using funds
provided by this Agreement for the purpose of lobbying the Legislature, the judicial branch or a state
agency.
DEP Agreement No. G0007, Page 3 of 7
13. The Grantee shall comply with all applicable federal, state and local rules and regulations in providing services to
the Department under this Agreement. The Grantee acknowledges that this requirement includes compliance with
all applicable federal, state and local health and safety rules and regulations. The Grantee further agrees to include
this provision in all subcontracts issued as a result of this Agreement.
14. The Department's Grant Manager (which may also be referred to as the Department's Project Manager) for this
Agreement is identified below.
Dick Smith
Department of Environmental Protection
Division of Water Resource Management
2600 Blair Stone Road, MS 3505
Tallahassee, Florida 32399-2400
Phone: (850) 488-8163, sc 287-8163
Fax: (850) 921-2769, sc 291-2769
Email: richard.smith~dep.state.f1.us
15. The Grantee's Grant Manager (which may also be referred to as the Grantee's Project Manager) for this
Agreement is identified below.
George Garrett
Monroe County Board of County Commissioners
Department of Marine Resources
2798 Overseas Highway, Suite 420
Marathon, Florida 33050
Phone: (305) 289-2507
Fax: (305) 289-2536
Email: garretgeo~hotmai1.com
16. To the extent required by law, the Grantee will be self-insured against, or will secure and maintain during the life
of this Agreement, Workers' Compensation Insurance for all of his employees connected with the work of this
project and, in case any work is subcontracted, the Grantee shall require the subcontractor similarly to provide
Workers' Compensation Insurance for all of the latter's employees unless such employees are covered by the
protection afforded by the Grantee. Such self-insurance program or insurance coverage shall comply fully with
the Florida Workers' Compensation law. In case any class of employees engaged in hazardous work under this
Agreement is not protected under Workers' Compensation statutes, the Grantee shall provide, and cause each
subcontractor to provide, adequate insurance satisfactory to the Department, for the protection of his employees
not otherwise protected.
17. The Grantee, as an independent contractor and not an agent, representative, or employee of the Department, agrees
to carry adequate liability and other appropriate forms of insurance. The Department shall have no liability except
as specifically provided in this Agreement.
18. The Grantee covenants that it presently has no interest and shall not acquire any interest that would conflict in any
manner or degree with the performance of services required.
19. Upon satisfactory completion of this Agreement, the Grantee may retain ownership of the equipment purchased
under this Agreement. However, the Grantee shall complete and sign a Property Reporting Form, provided as
Attachment G, and forward it along with the appropriate invoice to the Department's Grant Manager. The
following terms shall apply:
A. The Grantee shall have use of the equipment for the authorized purposes of the contractual arrangement
as long as the required work is being performed.
DEP Agreement No. G0007, Page 4 of 7
B. The Grantee is responsible for the implementation of adequate maintenance procedures to keep the
equipment in good operating condition.
C. The Grantee is responsible for any loss, damage, or theft of, and any loss, damage or injury caused by the
use of, non-expendable personal property or equipment purchased with state funds and held in his
possession for use in a contractual arrangement with the Department.
20. The Department may at any time, by written order designated to be a change order, make any change in the work
within the general scope of this Agreement (e.g., specifications, time, method or manner of performance,
requirements, etc.). All change orders are subject to the mutual agreement of both parties as evidenced in writing.
Any change order that causes an increase or decrease in the Grantee's cost or time shall require formal amendment
to this Agreement.
21.
A.
No person, on the grounds ofrace, creed, color, national origin, age, sex, or disability, shall be excluded
from participation in; be denied the proceeds or benefits of; or be otherwise subjected to discrimination
in performance of this Agreement.
B. An entity or affiliate who has been placed on the discriminatory vendor list may not submit a bid on a
contract to provide goods or services to a public entity, may not submit a bid on a contract with a public
entity for the construction or repair of a public building or public work, may not submit bids on leases of
real property to a public entity, may not award or perform work as a contractor, supplier, subcontractor,
or consultant under contract with any public entity, and may not transact business with any public entity.
The Florida Department of Management Services is responsible for maintaining the discriminatory
vendor list and intends to post the list on its website. Questions regarding the discriminatory vendor list
may be directed to the Florida Department of Management Services, Office of Supplier Diversity at
850/487-0915. The Grantee is responsible for the monitoring of this requirement.
22.
A.
In accordance with Executive Order 12549, Debarment and Suspension (15 CFR 26), the Grantee shall
agree and certify that neither it, nor its principals, is presently debarred, suspended, proposed for
debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any
Federal department or agency; and, that the Grantee shall not knowingly enter into any lower tier
contract, or other covered transaction, with a person who is similarly debarred or suspended from
participating in this covered transaction, unless authorized in writing by NOAA to the Department.
B. Upon execution of this Agreement by the Grantee, the Grantee shall complete, sign and return a ~ of
the form entitled "Certification Regarding Debarments, Suspension, Ineligibility and Voluntary
Exclusion - Lower Tier Federally Funded Transactions", attached hereto and made a part hereof as
Attachment H.
C. As required by paragraphs A and B above, the Grantee shall include the language of this section, and
Attachment H in all subcontracts or lower tier agreements executed to support the Grantee's work under
this Agreement.
23. The Department of Commerce, National Oceanic and Atmospheric Administration (NOAA), reserves a royalty-
free, nonexclusive, and irrevocable license to reproduce, publish or other wise use, and to authorize others to use,
for federal government purposes:
A. The copyright in any work developed under a grant, subgrant, or contract under a grant or subgrant.
B. Any rights of copyright to which a grantee, subgrantee or a contractor purchases ownership with grant
support.
DEP Agreement No. G0007, Page 5 of 7
24. The Grantee shall utilize the Grant Agreement Amendment Request Form, attached hereto and made a part hereof
as Attachment I, for submitting any requests for this Agreement. The request form must include explicit details
of the requested change must be included.
25. This Agreement represents the entire agreement of the parties. Any alterations, variations, changes, modifications
or waivers of provisions of this Agreement shall only be valid when they have been reduced to writing, duly
signed by each of the parties hereto, and attached to the original of this Agreement, unless otherwise provided
herein.
REMAINDER OF PAGE INTENTIONALLY LEFT BLANK
DEP Agreement No. G0007, Page 6 of 7
IN WITNESS WHEREOF, the parties have caused this Agreement to be duly executed, the day and year last
written below.
MONROE COUNTY BOARD OF
COUNTY COMMISSIONERS
STATE OF FLORIDA DEPARTMENT OF
ENVIRONMENTAL PROTECTION
By:
ehairman or designee*
By:1J~ ~
Secretary or designee
Date:
Date:
4 -(,5- C y
FEID No.: 59-6000749
RJJfv~
Dick Smith, DEP Grant Manager
':::)-tct
~~~ \
'.
DEP eontracts Administrator
Approved as to form and legality:
k~\~ C ~
D P ttomey
*For Agreements with governmental boards/commissions: If someone other than the Chairman signs this Agreement, a
resolution, statement or other document authorizing that person to sign the Agreement on behalf of the governmental
board/commission must accompany the Agreement.
List of attachments/exhibits included as part of this Agreement:
Specify
Type
Attachment
Attachment
Attachment
Attachment
Attachment
Attachment
Attachment
Attachment
Attachment
Letter/
Number
Description (include number of pages)
A
B
C
D
E
F
G
H
-L
Proiect Work Plan (4 Pages)
Payment Request Summary Form (1 Page)
Progress Report Form (2 Pages)
Special Audit Requirements (5 Pages)
Additional Terms and Conditions (17 Pages)
Lobbying Disclosure Form (2 Pages)
Property Reporting Form (1 Page)
Certification Regarding Debarment/Suspension (2 Pages)
ClAP Grant Agreement Amendment Request Form (2 Pages)
DEP Agreement No. G0007, Page 7 of 7
ATTACHMENT A - WORK PLAN
COASTAL IMPACT & ASSISTANCE PROGRAM GRANT WORK PLAN
Attach, if applicable: Site Location Map and Project Site Plan
SUMMARY
On 26 July 2001, the U.S. Environmental Protection Agency placed the establishment of a No
Discharge Zone for the State waters of the Florida Keys National Marine Sanctuary out on
public notice in the Federal Register. The result of this action will be to make discharge of black
water from any vessel or houseboat illegal within the State Waters boundary of the Florida Keys
National Marine Sanctuary (FKNMS). The FKNMS will follow this lead by designating federal
waters within the Sanctuary boundaries.
A number of efforts will be undertaken to adequately implement the No Discharge Zone
regulations, including:
1. The development of a public outreach and education effort
2. The establishment of additional pump-out facilities through grants and other means; and
3. The installation of vessel mooring fields; and
4. An assessment of the need to modify or implement additional regulations to compliment
enforcement of the No Discharge Zone requirements.
This project will focus on the development of a Public Outreach and Education effort, which will
put in place the tools for full implementation of the No Discharge Zone regulations. The
majority of project funds will be utilized for the education and outreach effort. In addition, the
effort will provide funds for completing the technical aspects of developing a mooring field plan,
such as completing various surveys; land, bathymetry, and habitat.
BACKGROUND
The Florida Keys have experienced significant development over the last several decades, due to
their attraction as a tourist destination as well as the increasing local population. This increase in
growth has not only taxed the land-based infrastructure, but has carried over into the marine
environment as well. These impacts are well documented and are easily observed throughout the
nearshore environment with the proliferation of boaters from every user group. One of the
greatest boating impacts the Keys are currently experiencing is the large number of vessels at
anchor, which is dominated by liveaboard boaters. Liveaboard boaters include cruisers
(transients), but, in the popular Keys anchorages, are predominately localliveaboards.
As much as the County, State, and Federal governments have recognized the impacts of
wastewater practices on the Florida Keys to its ground and nearshore waters, they have also
noted the significant impact of live-a-board and cruising boaters on these same waters.
Development of a No Discharge Zone for the waters surrounding the Florida Keys has been an
on-going effort for some four to five years. Its importance has been overshadowed by the
development and implementation of a land-based Sanitary Wastewater Master Plan, but in many
respects is as important and is now coming to the forefront as a major priority.
DEP Agreement No, G0007, Attachment A, Page] of 4
Implementation of the No Discharge Zone will take a number of forms.
1. Significant changes will be required to the current practices of Keys' boaters regarding
wastewater. A Public Education and Outreach program will be necessary to begin
implementation of this vital program. Key West, which has already established a No
Discharge Zone within the boundaries of its 600 foot offshore boundary, will be used as one
of a number of models for the effort. The general capabilities of the Florida Keys National
Marine Sanctuary Education and Outreach staff will also be expanded to temporarily
accommodate this program. In addition, a number of groups, such as the Keys' Chambers of
Commerce, the Tourist Development Council, and the Marine Industry Association may
become part ofthe program.
2. Development of additional pump-out facilities will be required including the acquisition of
pump-out vessels.
3. The creation of mooring fields near current anchorage areas will be required in order to
facilitate voluntary compliance with the No Discharge requirements. The County will begin
the development and implementation of mooring field plans beginning in the fall of 2001.
4. Assess the need to modify existing or implement new regulations or ordinances to fully
implement enforcement measures for the No Discharge Zone.
OBJECTIVES
General Objectives:
1) To ensure that the boating public is made fully aware of the existence of the proposed No
Discharge Zone
2) To provide information about the requirements of the No Discharge Zone as it relates to
wastewater holding facilities, requirements to pump-out, and enforcement of the No
Discharge Zone provisions.
3) To inform the public about the availability of pump-out facilities and their locations.
4) To inform the public about the location of mooring fields where pump-out facilities and
other amenities may be more readily available to boaters.
5) To complete some of the minimum survey requirements for establishing mooring fields.
Specific Objectives outlined in the Monroe County 2010 Comprehensive Plan:
There are no specific requirements for the establishment of a No Discharge Zone. However,
there are numerous goals, objectives, and policies relating to the need to establish standards for
live-a-board vessels, including pump-out requirements.
1'5 50 15 ~c.o 12': 150 11~ l<ilo""ers
~""""-
-........
f_"I(M
".,,,
DEP Agreement No. G0007, Attachment A, Page 2 of 4
PROJECT BUDGET NARRATIVE
Please identify dollar amounts in applicable categories and leave others blank (round to the
nearest dollar). Please describe line items for each applicable budget category and provide
sufficient detail to show relationship between costs and project activities.
Total Project Costs: $ 150,000
Supplies: $50,000 will used to provide educational materials to the general public and
boaters about the existence 'of the Florida Keys No Discharge Zone, its location and all
necessary information to assist the public in easy compliance with the requirements of the
law. These materials will take the form of brochures, maps, kiosks, and various media.
Contractual Services: $100,000 will be used to hire two different types of professionals
services, media education/outreach consultants and engineers and surveyors to provide
necessary information for on-going development of the mooring field plans. Education
and Outreach professionals will be hired to help provide information to various private
commercial entities involved with the boating public. Also, such things as
land/submerged land boundary surveys, bathymetric surveys, and benthic habitat will be
necessary in order to appropriately locate mooring areas.
DEP Agreement No. G0007, Attachment A, Page 3 of 4
ATTACHMENT A - WORK PLAN
COASTAL IMPACT & ASSISTANCE PROGRAM GRANT WORK PLAN
Attach, if applicable: Site Location Map and Project Site Plan
SUMMARY
On 26 July 2001, the U.S. Environmental Protection Agency placed the establishment of a No
Discharge Zone for the State waters of the Florida Keys National Marine Sanctuary out on
public notice in the Federal Register. The result of this action will be to make discharge of black
water from any vessel or houseboat illegal within the State Waters boundary of the Florida Keys
National Marine Sanctuary (FKNMS). The FKNMS will follow this lead by designating federal
waters within the Sanctuary boundaries.
A number of efforts will be undertaken to adequately implement the No Discharge Zone
regulations, including:
1. The development of a public outreach and education effort
2. The establishment of additional pump-out facilities through grants and other means; and
3. The installation of vessel mooring fields; and
4. An assessment of the need to modify or implement additional regulations to compliment
enforcement of the No Discharge Zone requirements.
This project will focus on the development of a Public Outreach and Education effort, which will
put in place the tools for full implementation of the No Discharge Zone regulations. The
majority of project funds will be utilized for the education and outreach effort. In addition, the
effort will provide funds for completing the technical aspects of developing a mooring field plan,
such as completing various surveys; land, bathymetry, and habitat.
BACKGROUND
The Florida Keys have experienced significant development over the last several decades, due to
their attraction as a tourist destination as well as the increasing local population. This increase in
growth has not only taxed the land-based infrastructure, but has carried over into the marine
environment as well. These impacts are well documented and are easily observed throughout the
nearshore environment with the proliferation of boaters from every user group. One of the
greatest boating impacts the Keys are currently experiencing is the large number of vessels at
anchor, which is dominated by liveaboard boaters. Liveaboard boaters include cruisers
(transients), but, in the popular Keys anchorages, are predominately 10calliveaboards.
As much as the County, State, and Federal governments have recognized the impacts of
wastewater practices on the Florida Keys to its ground and nearshore waters, they have also
noted the significant impact of live-a-board and cruising boaters on these same waters.
Development of a No Discharge Zone for the waters surrounding the Florida Keys has been an
on-going effort for some four to five years. Its importance has been overshadowed by the
development and implementation of a land-based Sanitary Wastewater Master Plan, but in many
respects is as important and is now coming to the forefront as a major priority.
DEP Agreement No. G0007, Attachment A, Page 1 of 4
Implementation of the No Discharge Zone will take a number of forms.
1. Significant changes will be required to the current practices of Keys' boaters regarding
wastewater. A Public Education and Outreach program will be necessary to begin
implementation of this vital program. Key West, which has already established a No
Discharge Zone within the boundaries of its 600 foot offshore boundary, will be used as one
of a number of models for the effort. The general capabilities of the Florida Keys National
Marine Sanctuary Education and Outreach staff will also be expanded to temporarily
accommodate this program. In addition, a number of groups, such as the Keys' Chambers of
Commerce, the Tourist Development Council, and the Marine Industry Association may
become part of the program.
2. Development of additional pump-out facilities will be required including the acquisition of
pump-out vessels.
3. The creation of mooring fields near current anchorage areas will be required in order to
facilitate voluntary compliance with the No Discharge requirements. The County will begin
the development and implementation of mooring field plans beginning in the fall of2001.
4. Assess the need to modify existing or implement new regulations or ordinances to fully
implement enforcement measures for the No Discharge Zone.
OBJECTIVES
General Obiectives:
1) To ensure that the boating public is made fully aware of the existence of the proposed No
Discharge Zone
2) To provide information about the requirements of the No Discharge Zone as it relates to
wastewater holding facilities, requirements to pump-out, and enforcement of the No
Discharge Zone provisions.
3) To inform the public about the availability of pump-out facilities and their locations.
4) To inform the public about the location of mooring fields where pump-out facilities and
other amenities may be more readily available to boaters.
5) To complete some of the minimum survey requirements for establishing mooring fields.
Specific Obiectives outlined in the Monroe County 2010 Comprehensive Plan:
There are no specific requirements for the establishment of a No Discharge Zone. However,
there are numerous goals, objectives, and policies relating to the need to establish standards for
live-a-board vessels, including pump-out requirements.
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DEP Agreement No, GOOD?, Attachment A, Page 2 of 4
PROJECT BUDGET NARRATIVE
Please identify dollar amounts in applicable categories and leave others blank (round to the
nearest dollar). Please describe line items for each applicable budget category and provide
sufficient detail to show relationship between costs and project activities.
Total Project Costs: $ 150,000
Supplies: $50,000 will used to provide educational materials to the general public and
boaters about the existence of the Florida Keys No Discharge Zone, its location and all
necessary information to assist the public in easy compliance with the requirements of the
law. These materials will take the form of brochures, maps, kiosks, and various media.
Contractual Services: $100,000 will be used to hire two different types of professionals
services, media education/outreach consultants and engineers and surveyors to provide
necessary information for on-going development of the mooring field plans. Education
and Outreach professionals will be hired to help provide information to various private
commercial entities involved with the boating public. Also, such things as
land/submerged land boundary surveys, bathymetric surveys, and benthic habitat will be
necessary in order to appropriately locate mooring areas.
DEP Agreement No, G0007, Attachment A, Page 3 of 4
DEP Agreement No. G0007
ATTACHMENT A -BUDGET SUMMARY
Budget Category Project MeOOI Total
Salaries $0
Fringe Benefits $0
OPS-Other Personal Services $0
Travel $0
Equipment $0
Technology $0
Supplies $50,000 $50,000
EductionlPublic Information $0
Study $0
Planning $0
DesignlPermitting $0
Data eollection & Review $0
Modeling $0
SamplingfMonitoring $0
Analysis $0
eontractual Services $100,000 $100,000
Construction $0
Land Acquisition $0
Other $0
Indirect Cost $0
Total $150,000 $150,000
The Grantee is not authorized to move funding between budget categories
or projects if the amount of the transfer exceeds 10% of the total cost of
the project. A formal amendment to this Agreement must be executed
prior to the shifting of any funding, that exceeds 10% of total project cost,
between budget categories or projects. Budget transfers to infrastructure
categories are not allowed. For defmitions of infrastructure and non-
infrastructure access the following website:
http://www .ocrm.nos.noaa.gov/pdf/ciapguidance I 00 I fn1.pdf
REMAINDER OF PAGE INTENTIONALLY LEFT BLANK
DEP Agreement No. G0007, Attachment A, Page 4 of 4
ATTACHMENT B
COASTAL IMPACT ASSISTANCE PROGRAM
PAYMENT REQUEST SUMMARY FORM
GRANTEE:
GRANTEE'S GRANT MANAGER:
PAYMENT REQUEST NO.:
PERFORMANCE PERIOD: (Circle)
Quarter ended: 3/31 6/30 9/30 12/31
Year:
PERCENT MATCHING
REQUIRED:
GRANT EXPENDITURES SUMMARY SECTION
DEP AGREEMENT NO.:
DEP PROJECT NO.:
DATE OF REQUEST:
AMOUNT
REQUESTED:$
PROJECT AMOUNT TOTAL TOTAL
CATEGORY OF EXPENDITURE BUDGET PER TffiS CUMULATIVE REMAINING
GRANT REQUEST PAYMENTS IN PROJECT
AGREEMENT
Salaries $ $ $ $
Fringe Benefits $ $ $ $
Travel (if authorized) $ $ $ $
Subcontracting:
Contractual Services $ $ $ $
Non-infrastructure Construction I $ $ $ $
Infrastructure/Construction $ $ $
Equipment Purchases $ $ $ $
Supplies/Other Expenses $ $ $ $
Land $ $ $ $
Other/Pending Allocation $ $ $ $
Indirect Cost $ $ $ $
TOTALS $ $ $ $
[Effective Date of Grant through End-of-Grant Period]
Note J: The terms Infrastructure and non-infrastructure shall meet the definition provided in the U.S Dept. of Commerce Final
Guidance for Coastal Impact Assistance Program
GRANTEE CERTIFICATION
The undersigned certifies that the amount being requested for reimbursement above
were for items that were charged to and utilized only for the above cited grant activities.
Grantee's Grant Manager's Signature Grantee's Fiscal Agent
Print Name Print Name
Telephone Number Telephone Number
DEP Agreement No. G0007, Attachment B, Page 1 of 1
ATTACHMENT C
PROGRESS REPORT FORM
DEP Agreement No.: GOO07
Grantee Name:
Grantee Address:
Grantee's Grant Manager: I Telephone No.: I
Quarterly Reporting Period:
Project Number and Title:
Provide a summary of project accomplishments to date (e.g., percent complete) for each of
the three tasks and for the overall project.
1. Produce NDZ Educational Materials:
2. Conduct NDZ Educational Campaign:
3. Conduct Site-specific Environmental/Technical Evaluations for Mooring Field Plans:
Overall Project Completion:
Provide an update on the estimated time for completion of the project and an explanation
for any anticipated delays.
Provide any additional pertinent information including, when appropriate, analysis and
explanation of cost overruns or high unit costs. Explain how you plan to pay for cost
overruns since there won't be any grant increases.
DEP Agreement No. G0007, Attachment C, Page 1 of2
If appropriate, summarize any approved amendments and/or extensions to the ClAP plans.
List the documentation (reports, analyses, brochures, technical memoranda, etc.) that has
been submitted, either for this reporting period or for past reporting periods, to
demonstrate that each of the following project tasks has been completed. Please indicate
the date that each task was completed.
1. Produce NDZ Educational Materials:
2. Conduct NDZ Educational Campaign:
3. Conduct Site-specific Environmental/Technical Evaluations for Mooring Field Plans:
Provide a project budget update, comparing the project budget to actual costs to date.
Expenditures
Prior to this Expenditures
Budget Total Project Reporting this Reporting Project Funding
Category Budget Period Period Balance
This report is submitted in accordance with the reporting requirements ofDEP Agreement No. G0007
and accurately reflects the activities and costs associated with the subject project.
Signature of Grantee's Grant Manager
Date
DEP Agreement No. G0007, Attachment C, Page 2 of 2
ATTACHMENT D
SPECIAL AUDIT REQUIREMENTS
The administration of resources awarded by the Department of Environmental Protection (which may be referred to
as the "Department", "DEP", "FDEP" or "Grantor", or other name in the contract/agreement) to the recipient
(which may be referred to as the "Contractor", Grantee" or other name in the contract/agreement) may be subject
to audits and/or monitoring by the Department of Environmental Protection, as described in this attachments.
MONITORING
In addition to reviews of audits conducted in accordance with OMB eircular A-B3 and Section 215.97, F.S., as
revised (see "AUDITS" below), monitoring procedures may include, but not be limited to, on-site visits by
Department staff, limited scope audits as defmed by OMB Circular A-B3, as revised, and/or other procedures. By
entering into this Agreement, the recipient agrees to comply and cooperate with any monitoring
procedures/processes deemed appropriate by the Department of Environmental Protection. In the event the
Department of Environmental Protection determines that a limited scope audit of the recipient is appropriate, the
recipient agrees to comply with any additional instructions provided by the Department to the recipient regarding
such audit. The recipient further agrees to comply and cooperate with any inspections, reviews, investigations, or
audits deemed necessary by the Comptroller or Auditor General.
AUDITS
PART I: FEDERALLY FUNDED
This part is applicable if the recipient is a State or local government or a non-profit organization as defmed in OMB
Circular A-B3, as revised.
1. In the event that the recipient expends $300,000 or more in Federal awards in its fiscal year, the recipient
must have a single or program-specific audit conducted in accordance with the provisions of OMB Circular
A-B3, as revised. EXHIBIT 1 to this Agreement indicates Federal funds awarded through the Department
of Environmental Protection by this Agreement. In determining the Federal awards expended in its fiscal
year, the recipient shall consider all sources of Federal awards, including Federal resources received from
the Department of Environmental Protection. The determination of amounts of Federal awards expended
should be in accordance with the guidelines established by OMB Circular A-B3, as revised. An audit of
the recipient conducted by the Auditor General in accordance with the provisions of OMB Circular A-B3,
as revised, will meet the requirements of this part.
2. In connection with the audit requirements addressed in Part I, paragraph 1., the recipient shall fulfill the
requirements relative to auditee responsibilities as provided in Subpart C of OMB Circular A-B3, as
revised.
3. If the recipient expends less than $300,000 in Federal awards in its fiscal year, an audit conducted in
accordance with the provisions of OMB Circular A-B3, as revised, is not required. In the event that the
recipient expends less than $300,000 in Federal awards in its fiscal year and elects to have an audit
conducted in accordance with the provisions of OMB Circular A-B3, as revised, the cost of the audit must
be paid from non-Federal resources (i.e., the cost of such an audit must be paid from recipient resources
obtained from other than Federal entities).
4. The recipient may access information regarding the eatalog of Federal Domestic Assistance (CFDA) via
the internet at http://aspe.os.dhhs.gov/cfda.
REMAINDER OF PAGE INTENTIONALLY LEFT BLANK
DEP Agreement No, GOO07, Attachment D, Page 1 of 5
DEP 55-215 (01/02)
PART II: STATE FUNDED
This part is applicable if the recipient is a nonstate entity as defmed by Section 215.97(2)(l), Florida Statutes.
1. In the event that the recipient expends a total amount of State fmancial assistance equal to or in excess of
$300,000 in any fiscal year of such recipient, the recipient must have a State single or project-specific audit
for such fiscal year in accordance with Section 215.97, Florida Statutes; applicable rules of the Executive
Office of the Governor and the Comptroller; and Chapters 10.550 (local governmental entities) or 10.650
(nonprofit and for-profit organizations), Rules of the Auditor General. EXHIBIT 1 to this Agreement
indicates State fmancial assistance awarded through the Department of Environmental Protection by this
Agreement. In determining the State fmancial assistance expended in its fiscal year, the recipient shall
consider all sources of State fmancial assistance, including State fmancial assistance received from the
Department of Environmental Protection, other state agencies, and other nonstate entities. State fmancial
assistance does not include Federal direct or pass-through awards and resources received by a nonstate
entity for Federal program matching requirements.
2. In connection with the audit requirements addressed in Part II, paragraph 1, the recipient shall ensure that
the audit complies with the requirements of Section 215.97(7), Florida Statutes. This includes submission
of a fmancial reporting package as defmed by Section 215.97(2)(d), Florida Statutes, and ehapters 10.550
(local governmental entities) or 10.650 (nonprofit and for-profit organizations), Rules of the Auditor
General.
3. If the recipient expends less than $300,000 in State fmancial assistance in its fiscal year, an audit conducted
in accordance with the provisions of Section 215.97, Florida Statutes, is not required. In the event that the
recipient expends less than $300,000 in State fmancial assistance in its fiscal year and elects to have an
audit conducted in accordance with the provisions of Section 215.97, Florida Statutes, the cost of the audit
must be paid from the non-State entity's resources (i.e., the cost of such an audit must be paid from the
recipient's resources obtained from other than State entities).
4. For information regarding the Florida Catalog of State Financial Assistance (CFSA), a recipient should
access the Florida Single Audit Act website located at http://sun6.dms.state.fl.us/fsaa/catalog.htm or the
Governor's Office of Policy and Budget website located at http://www.eog.state.fl.us/for assistance. In
addition to the above websites, the following websites may be accessed for information: Legislature's
Website http://www.leg.state.fl.us/, Governor's Website http://www.flgov.coml, Department of Banking
and Finance's Website http://www.dbf.state.fl.us/. and the Auditor General's Website
http://www.state.fl.us/audgen.
PART III: OTHER AUDIT REQUIREMENTS
(NOTE: This part would be used to specifY any additional audit requirements imposed by the State awarding entity
that are solely a matter of that State awarding entity's policy (i.e., the audit is not required by Federal or State laws
and is not in conflict with other Federal or State audit requirements). Pursuant to Section 215.97(7)(m), Florida
Statutes, State agencies may conduct or arrange for audits of State financial assistance that are in addition to audits
conducted in accordance with Section 215.97, Florida Statutes. In such an event, the State awarding agency must
arrange for funding the fUll cost of such additional audits.)
PART IV: REPORT SUBMISSION
1. eopies of reporting packages for audits conducted in accordance with OMB Circular A-133, as revised, and
required by PART I of this Agreement shall be submitted, when required by Section .320 (d), OMB
eircular A-133, as revised, by or on behalf of the recipient directly to each of the following:
A. The Department of Environmental Protection at each of the following addresses:
Dick Smith
Florida Department of Environmental Protection
Division of Water Resource Management
2600 Blair Stone Road, MS 3505
Tallahassee, Florida 32399-2400
DEP Agreement No, 00007, Attachment D, Page 2 of 5
DEP 55-215 (01102)
Audit Director
Florida Department of Environmental Protection
Office of the Inspector General, MS 40
2600 Blair Stone Road
Tallahassee, Florida 32399-2400
B. The Federal Audit Clearinghouse designated in OMB Circular A-B3, as revised (the number of
copies required by Sections .320 (d)(l) and (2), OMB Circular A-B3, as revised, should be
submitted to the Federal Audit Clearinghouse), at the following address:
Federal Audit Clearinghouse
Bureau of the Census
1201 East 10th Street
Jeffersonville, IN 47132
C. Other Federal agencies and pass-through entities in accordance with Sections .320 (e) and (f),
OMB Circular A-B3, as revised.
2. Pursuant to Section .320(f), OMB Circular A-B3, as revised, the recipient shall submit a copy of the
reporting package described in Section .320(c), OMB Circular A-B3, as revised, and any management
letters issued by the auditor, to the Department of Environmental Protection at each of the following
addresses:
Dick Smith
Florida Department of Environmental Protection
Division of Water Resource Management
2600 Blair Stone Road, MS 3505
Tallahassee, Florida 32399-2400
Audit Director
Florida Department of Environmental Protection
Office of the Inspector General, MS 40
2600 Blair Stone Road
Tallahassee, Florida 32399-2400
3. Copies of [mancial reporting packages required by PART II of this Agreement shall be submitted by or on
behalf of the recipient directlv to each of the following:
A. The Department of Environmental Protection at each of the following addresses:
Dick Smith
Florida Department of Environmental Protection
Division of Water Resource Management
2600 Blair Stone Road, MS 3505
Tallahassee, Florida 32399-2400
Audit Director
Florida Department of Environmental Protection
Office of the Inspector General, MS 40
2600 Blair Stone Road
Tallahassee, Florida 32399-2400
B. The Auditor General's Office at the following address:
State of Florida Auditor General
Room 401, elaude Pepper Building
III West Madison Street
Tallahassee, Florida 32399-1450
DEP Agreement No, 00007, Attachment D, Page 3 of 5
DEP 55-215 (01/02)
4. Copies ofreports or management letters required by PART III of this Agreement shall be submitted by or
on behalf of the recipient directly to the Department of Environmental Protection at each of the following
addresses:
Dick Smith
Florida Department of Environmental Protection
Division of Water Resource Management
2600 Blair Stone Road, MS 3505
Tallahassee, Florida 32399-2400
Audit Director
Florida Department of Environmental Protection
Office of the Inspector General, MS 40
2600 Blair Stone Road
Tallahassee, Florida 32399-2400
5. Any reports, management letters, or other information required to be submitted to the Department of
Environmental Protection pursuant to this Agreement shall be submitted timely in accordance with OMB
Circular A-133, Florida Statutes, or Chapters 10.550 (local governmental entities) or 10.650 (nonprofit and
for-profit organizations), Rules of the Auditor General, as applicable.
6. Recipients, when submitting fmancial reporting packages to the Department of Environmental Protection
for audits done in accordance with OMB Circular A-133, or Chapters 10.550 (local governmental entities)
or 10.650 (nonprofit and for-profit organizations), Rules of the Auditor General, should indicate the date
that the reporting package was delivered to the recipient in correspondence accompanying the reporting
package.
PART V: RECORD RETENTION
The recipient shall retain sufficient records demonstrating its compliance with the terms of this Agreement for a
period of 5 years from the date the audit report is issued, and shall allow the Department of Environmental
Protection, or its designee, Comptroller, or Auditor General access to such records upon request. The recipient shall
ensure that audit working papers are made available to the Department of Environmental Protection, or its designee,
Comptroller, or Auditor General upon request for a period of 3 years from the date the audit report is issued, unless
extended in writing by the Department of Environmental Protection.
REMAINDER OF PAGE INTENTIONALLY LEFT BLANK
DEP Agreement No. Goo07, Attachment D, Page 4 of 5
DEP 55-215 (01102)
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ATTACHMENTE
COASTAL IMPACT ASSISTANCE PROGRAM GRANTS
TERMS AND CONDITIONS
All requests by Grantee under this section shall be forwarded to the DEP Grant Manager
identified in this Agreement. The DEP Grant Manager identified in this Agreement will
be responsible for processing requests through the DEP ClAP Grant Liaison identified in
this Agreement, who will process the request through the DEP Grant Development and
Review Manager who will forward it to Finance & Accounting Revenue Management
Director, both identified in this Agreement. The DEP Revenue Management Director will
forward the request to the NOAA Grants Officer, identified below, for consideration.
Approval/disapproval of the request by NOAA shall transmitted in writing to the DEP
Revenue Management Director, who will copy the DEP Grants Development and Review
Manager. Upon receipt of approval/disapproval, the DEP Grants Development and
Review Manager shall notify the DEP ClAP Grant Liaison and the DEP Grant Manager
who shall notify the recipient/grantee in writing of the decision.
Sandra S. Howard, ClAP Grant Liaison Darinda McLaughlin, eontracts Disbursement Director
903 Brookwood Drive Bureau of Finance and Accounting
Tallahassee, Florida 32308 3900 Commonwealth Blvd., MS #75
Phone: (850) 878-1434 Tallahassee, Florida 32399-3000
sandra.s.howard(ci}dep. state.fl. us Phone: (850) 488-1093, sc 278-1093
Fax: (850) 921-9356
darinda.mc1augh lin (a),dep.state. fl. us
Darlene W. Evans, OMC Manager Alan eonway/Christine Brown
Bureau of General Services Grant Management Specialists
Grants Development and Review/Procurement National Oceanic & Atmospheric Administration
3900 Commonwealth Blvd., MS #93 1325 East-West Highway, 9th Floor
Tallahassee, Florida 32399-3000 Silver Spring, Maryland 20910
Phone: (850) 922-5942, sc 292-5942 Phone: (301) 713-0922
Fax: (850) 413-7612 Fax: (301) 713-0947
darlene .evans(ci}dep.state. fl. us A1an.P .eonway(a),NOAA.GOY
ehristine.L.Brown(a),NOAA .GOY
Bonnie Lawhon, Revenue Management Director Joshua Lott, NOAA Program Manager
Bureau of Finance and Accounting National Oceanic & Atmospheric Administration
3900 Commonwealth Blvd., MS #75 1305 East-West Highway
Tallahassee, Florida 32399-3000 Silver Spring, Maryland 20910
Phone: (850) 488-1093, sc 278-1093 Phone: (301) 713-3155
Fax: (850) 921-9344 Fax: (301) 713-4367
bonnie.lawhon(ci}dep.state.fl. us Josh.Lott(a),NOAA.GOY
ClAP Grant Agreement Contact List
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DEP Agreement No. G0007, Attachment E, Page I of 17
Note: The following information was excerpted from the United States Department of
Commerce Financial Assistance Standard Terms and Conditions.
http://www.doc.gov/oebam/STerms.htm
FINANCIAL REQUIREMENTS
Bud2et Chan2es and Transfer of Funds Amon2 Cate20ries
a. Requests for budget changes to the approved estimated budget in accordance with the
provision noted below must be submitted to the NOAA Grants Officer who shall make
the final determination on such requests.
b. Transfers of funds by the recipient among direct cost categories are permitted for
awards in which the Federal share of the project is $100,000 or less. For awards in which
the Federal share of the project exceeds $100,000, transfers of funds must be approved in
writing by the NOAA Grants Officer when the cumulative amount of such transfers
exceed 10 percent of the current total Federal and non-Federal funds authorized by the
NOAA Grants Officer. The 10 percent threshold applies to the total Federal and non-
Federal funds authorized by the NOAA Grants Officer at the time of the transfer request.
This is the accumulated amount of Federal funding obligated to date by the NOAA
Grants Officer along with any non-Federal share. The same criteria applies to the
cumulative amount of transfer of funds among projects, functions, joint ventures,
consortia, activities, and annual costs when budgeted separately within an award.
Transfers will not be permitted if such transfers would cause any Federal appropriation,
or part thereof, to be used for purposes other than those intended. This transfer authority
does not authorize the recipient to create new budget categories within an approved
budget unless the NOAA Grants Officer has provided prior approval.
c. The recipient/grantee is not authorized at any time to transfer amounts budgeted for
direct costs to the indirect costs line item or vice versa, without written prior approval of
the NOAA Grants Officer.
Indirect Costs
a. Indirect costs will not be allowable charges against the award unless specifically
included as a line item in the approved budget incorporated into the award. (The term
"indirect cost" has been replaced with the term "facilities and administrative costs" under
OMB Circular A-21, "Cost Principles for Educational Institutions.")
b. Excess indirect costs may not be used to offset unallowable direct costs.
c. If the recipient has not previously established an indirect cost rate with a Federal
agency, the negotiation and approval of a rate is subject to the procedures in the
applicable cost principles and the following subparagraphs:
1. The Federal Department of Commerce (DoC) OIG is authorized to review cost
DEP Agreement No, G0007, Attachment E, Page 2 of 17
allocation procedures and negotiate indirect cost rates on behalf of DoC for those
organizations for which DoC is cognizant or has oversight. The OIG either will
negotiate a fixed rate for the recipient or, in some instances, will limit its review
to evaluating the procedures described in the recipient's cost allocation
methodology plan. The recipient shall submit to the DoC OIG within 90 days of
the award start date, documentation (indirect cost proposal, cost allocation plan,
etc.) necessary for the DoC OIG to perform its review. The recipient shall provide
the NOAA Grants Officer with a copy of the transmittal letter to the DoC OIG.
2. When an oversight or cognizant Federal agency other than DoC has
responsibility for establishing an indirect cost rate, the recipient shall submit to
that oversight or cognizant Federal agency within 90 days of the award start date
the documentation (indirect cost proposal, cost allocation plan, etc.) necessary to
establish such rates. The recipient shall provide the NOAA Grants Officer with a
copy ofthe transmittal letter to the cognizant Federal agency.
3. If the recipient fails to submit the required documentation to the DoC OIG or
other oversight or cognizant Federal agency within 90 days of the award start
date, the NOAA Grants Officer may amend the award to preclude the recovery of
any indirect costs under the award. If the DoC OIG, oversight, or cognizant
Federal agency determines there is a finding of good and sufficient cause to
excuse the recipient's delay in submitting the documentation, an extension of the
90-day due date may be approved by the NOAA Grants Officer.
4. Regardless of any approved indirect cost rate applicable to the award, the
maximum dollar amount of allocable indirect costs for which DoC will reimburse
the recipient shall be the lesser of:
(a) The line item amount for the Federal share of indirect costs contained
in the approved budget of the award; or
(b) The Federal share of the total allocable indirect costs of the award
based on the indirect cost rate approved by a cognizant or oversight
Federal agency and current at the time the cost was incurred, provided the
rate is approved on or before the award end date.
Tax Refunds
Refunds of FICAlFUT A taxes received by the recipient during or after the award period
must be refunded or credited to DoC where the benefits were financed with Federal funds
under the award. The recipient agrees to contact the NOAA Grants Officer immediately
upon receipt of these refunds. The recipient further agrees to refund portions of
FICAlFUT A taxes determined to belong to the Federal Government, including refunds
received after the award end date.
DEP Agreement No, G0007, Attachment E, Page 3 of 17
PROGRAMMATIC REQUIREMENTS
Pro2rammatic Chan2es
a. The recipient shall not make any programmatic changes to the award without prior
written approval by the NOAA Grants Officer.
b. Any requests by the recipient for programmatic changes must be submitted to the
NOAA Grants Officer who shall make the final determination and notify the recipient in
writing.
Other Federal Awards with Similar Pro2rammatic Activities
The recipient shall immediately provide written notification to the Federal Program
Officer and the NOAA Grants Officer in the event that, subsequent to receipt of the DoC
award, other financial assistance is received to support or fund any portion of the scope of
work incorporated into the DoC award. DoC will not pay for costs that are funded by
other sources.
Non-Compliance With Award Provisions
Failure to comply with any or all of the provisions of the award may have a negative
impact on future funding by DoC and may be considered grounds for any or all of the
following actions: establishment of an account receivable, withholding payments under
any DoC awards to the recipient, changing the method of payment, or the imposition of
other special award conditions, suspension of any DoC active awards, and termination of
any DoC active awards.
Prohibition A2ainst Assi2nment by the Recipient
Notwithstanding any other provision of the award, the recipient shall not transfer, pledge,
mortgage, or otherwise assign the award, or any interest therein, or any claim arising
thereunder, to any party or parties, banks, trust companies, or other financing or financial
institutions.
Disclaimer Provisions
a. The United States expressly disclaims any and all responsibility or liability to the
recipient or third persons for the actions of the recipient or third persons resulting in
death, bodily injury, property damages, or any other losses resulting in any way from the
performance of this award or any other losses resulting in any way from the performance
of this award or any sub award or subcontract under this award.
b. The acceptance of this award by the recipient does not in any way constitute an
agency relationship between the United States and the recipient.
DEP Agreement No. G0007, Attachment E, Page 4 of 17
NON-DISCRIMINATION REQUIREMENTS
No person in the United States shall, on the ground of race, color, national origin,
handicap, age, religion, or sex, be excluded from participation in, be denied the benefits
of, or be subject to discrimination under any program or activity receiving Federal
financial assistance. The recipient agrees to comply with the non-discrimination
requirements below:
Statutory Provisions
a. Title VI of the Civil Rights Act of 1964 (42 USC ~~ 2000d et seq.) and DoC
implementing regulations published at 15 CFR Part 8 which prohibit discrimination on
the grounds of race, color, or national origin under programs or activities receiving
Federal financial assistance;
b. Title IX of the Education Amendments of 1972 (20 USC ~~ 1681 et seq.) prohibiting
discrimination on the basis of sex under Federally assisted education programs or
activities;
c. Section 504 of the Rehabilitation Act of 1973, as amended (29 USC ~ 794) and DoC
implementing regulations published at 15 CFR Part 8b prohibiting discrimination on the
basis of handicap under any program or activity receiving or benefiting from Federal
assistance;
d. The Age Discrimination Act of 1975, as amended (42 USC ~~ 6101 et seq.) and DoC
implementing regulations published at 15 CFR Part 20 prohibiting discrimination on the
basis of age in programs or activities receiving Federal financial assistance;
e. The Americans with Disabilities Act of 1990 (42 USC ~~ 12101 et seq.) prohibiting
discrimination on the basis of disability under programs, activities, and services provided
or made available by state and local governments or instrumentalities or agencies thereto,
as well as public or private entities that provide public transportation;
f. Any other applicable non-discrimination law(s).
Other Provisions
Parts II and III of E01l246 (30 FR 12319, 1965) as amended by EO 11375 (32 FR
14303, 1967) and 12086 (43 FR 46501, 1978) require Federally assisted construction
contracts to include the nondiscrimination provisions of ~~ 202 and 203 of that EO and
Department of Labor regulations implementing EO 11246 (41 CFR ~ 60-1.4(b), 1991).
AUDITS
Under the Inspector General Act of 1978, as amended, 5 USC App. 3,~ 1 et seq., an audit
of the award may be conducted at any time. The Inspector General of the DoC, or any of
DEP Agreement No. G0007, Attachment E, Page 5 of ) 7
his or her duly authorized representatives, shall have access to any pertinent books,
documents, papers and records of the recipient, whether written, printed, recorded,
produced or reproduced by any electronic, mechanical, magnetic or other process or
medium, in order to make audits, inspections, excerpts, transcripts or other examinations
as authorized by law. When the OIG requires a program audit on a DoC award, the OIG
will usually make the arrangements to audit the award, whether the audit is performed by
OIG personnel, an independent accountant under contract with DoC, or any other
Federal, state or local audit entity.
Orfanization-Wide, Profram-Specific, and Project Audits
a. Organization-wide or program-specific audits shall be performed in accordance with
the Single Audit Act Amendments of 1996, as implemented by OMB Circular A-133,
"Audits of States, Local Governments, and Non-Profit Organizations." Recipients that are
subject to the provisions of OMB Circular A-133 and that expend $300,000 or more in a
year in Federal awards shall have an audit conducted for that year in accordance with the
requirements contained in OMB Circular A-133.
b. Pursuant to 15 CFR 9 14.26 (c) and (d), DoC requires for-profit recipients of awards
that exceed $100,000 in Federal funding to have a program-specific audit performed. If
DoC does not have a program-specific audit guide available for the program, the auditor
should follow Generally Accepted Government Auditing Standards and the requirements
for a program-specific audit as described in OMB Circular A-133 ~ .235. A copy of the
program-specific audit shall be submitted to the OIG at the following address with a copy
of the transmittal letter to the NOAA Grants Officer:
Office oflnspector General
U.S. Department of Commerce
Atlanta Regional Office of Audits
401 West Peachtree Street, N.W., Suite 2742
Atlanta, GA 30308
c. Recipients expending Federal awards over $300,000 a year and having audits
conducted in accordance with OMB Circular A-133 shall submit a copy of organization-
wide or program-specific audits to the Bureau of the Census, which has been designated
by OMB as a central clearinghouse. The address is:
Federal Audit Clearinghouse
Bureau of the Census
1201 E. 10th Street
Jeffersonville, IN 47132
Audit Resolution Process
a. An audit of the award may result in the disallowance of costs incurred by the recipient
and the establishment of a debt (account receivable) due DoC. For this reason, the
DEP Agreement No. G0007, Attachment E, Page 6 of 17
recipient should take seriously its responsibility to respond to all audit findings and
recommendations with adequate explanations and supporting evidence whenever audit
results are disputed.
b. In accordance with the Federal Register notice dated January 27, 1989 (54 FR 4053), a
recipient whose award is audited has the following opportunities to dispute the proposed
disallowance of costs and the establishment of a debt:
1. Unless the Inspector General determines otherwise, the recipient has 30 days
from the date of the transmittal of the draft audit report to submit written
comments and documentary evidence.
2. The recipient has 30 days from the date of the transmittal of the final audit
report to submit written comments and documentary evidence. There will be no
extension of this deadline.
3. The DoC shall review the documentary evidence submitted by the recipient and
shall notify the recipient of the results in an Audit Resolution Determination
Letter. The recipient has 30 days from the date of receipt of the Audit Resolution
Determination Letter to submit a written appeal. There will be no extension of this
deadline. The appeal is the last opportunity for the recipient to submit written
comments and documentary evidence that dispute the validity of the audit
resolution determination. In addition, an appeal does not preclude the recipient's
obligation to pay a debt that may be established, nor does the appeal preclude the
accrual of interest on a debt.
4. The DoC shall review the recipient's appeal and notify the recipient of the
results in an Appeal Determination Letter. After the opportunity to appeal has
expired or after the appeal determination has been rendered, DoC will not accept
any further documentary evidence from the recipient. No other administrative
appeals are available in DoC.
5. An appeal of the Audit Resolution Determination does not prevent the
establishment of the audit-related debt nor does it prevent the accrual of interest
on the debt. If the Audit Resolution Determination is overruled or modified on
appeal, appropriate corrective action will be taken retroactively. An appeal will
stay the offset of funds owed by the auditee against funds due to the auditee.
DEBTS
Payment of Debts Owed the Federal Government
Any debts determined to be owed the Federal Government shall be paid promptly by the
recipient. In accordance with 15 CFR ~ 21.4, a debt will be considered delinquent if it is
not paid within 15 days of the due date, or if there is no due date, within 30 days of the
billing date. Failure to pay a debt by the due date, or if there is no due date, within 30
DEP Agreement No, G0007, Attachment E, Page 7 of 17
days of the billing date, shall result in the imposition of late payment charges as noted
below. In addition, failure to pay the debt or establish a repayment agreement by the due
date, or if there is no due date, within 30 days of the billing date, will also result in the
referral of the debt for collection action and may result in DoC taking further action as
specified in the standard term and condition entitled "Non-Compliance With Award
Provisions." Funds for payment of a debt must not come from other Federally sponsored
programs. Verification that other Federal funds have not been used will be made, e.g.,
during on-site visits and audits.
Late Payment Charees
a. An interest charge shall be assessed on the delinquent debt as established by the Debt
Collection Act (31 D.S.C. 3701 et seq.), as amended. The minimum annual interest rate
to be assessed is the Department of the Treasury's Current Value of Funds Rate. This rate
is published in the Federal Register by the Department of the Treasury. The assessed rate
shall remain fixed for the duration of the indebtedness.
b. A penalty charge shall be assessed on any portion of a debt that is delinquent for more
than 90 days, although the charge will accrue and be assessed from the date the debt
became delinquent.
c. An administrative charge shall be assessed to cover processing and handling the
amount due.
d. State and local governments are not subject to penalty and administrative charges.
GOVERNMENTWIDE DEBARMENT AND SUSPENSION
(NONPROCUREMENT)
The recipient shall comply with the proVISIons of EO 12549, "Debarment and
Suspension" and DoC's implementing regulations published at 15 CFR Part 26, Subparts
A through E, "Government wide Debarment and Suspension (Nonprocurement)," which
generally prohibit entities that have been debarred, suspended, or voluntarily excluded
from participating in Federal nonprocurement transactions either through primary or
lower tier covered transactions.
LOBBYING RESTRICTIONS
Statutory Provisions
The recipient shall comply with the provisions of Section 319 of Public Law 101-121,
which added Section 1352 to Chapter 13 of Title 31 of the United States Code, and DoC
implementing regulations published at 15 CFR Part 28, "New Restrictions on Lobbying."
These provisions generally prohibit the use of Federal funds for lobbying the Executive
or Legislative Branches of the Federal government in connection with the award, and
require the disclosure of the use of non-Federal funds for lobbying.
DEP Agreement No. G0007, Attachment E, Page 8 of 17
Disclosure of Lobbyin2 Activities
The recipient receiving in excess of $100,000 in Federal funding shall submit a
completed Form SF-LLL, "Disclosure of Lobbying Activities," regarding the use of non-
Federal funds for lobbying. The Form SF-LLL shall be submitted within 30 days
following the end of the calendar quarter in which there occurs any event that requires
disclosure or that materially affects the accuracy of the information contained in any
disclosure form previously filed. The recipient must submit the Forms SF-LLL, including
those received from subrecipients, contractors, and subcontractors, to the NOAA Grants
Officer.
CODES OF CONDUCT AND SUBAWARD, CONTRACT, AND SUBCONTRACT
PROVISIONS
Code of Conduct for Recipients
Pursuant to the certification in SF-424B, paragraph 3, the recipient must maintain written
standards of conduct to establish safeguards to prohibit employees from using their
positions for a purpose that constitutes or presents the appearance of personal or
organizational conflict of interest, or personal gain in the administration of this award.
Applicability of Award Provisions to Sub recipients
The recipient shall require all subrecipients, including lower tier subrecipients, under the
award to comply with the provisions of the award including applicable cost principles,
administrative, and audit requirements.
Competition and Codes of Conduct for Subawards
a. All sub awards will be made in a manner to provide, to the maximum extent
practicable, open and free competition. The recipient must be alert to organizational
conflicts of interest as well as other practices among subrecipients that may restrict or
eliminate competition. In order to ensure objective subrecipient performance and
eliminate unfair competitive advantage, subrecipients that develop or draft work
requirements, statements of work, or requests for proposals shall be excluded from
competing for such subawards.
b. The recipient shall maintain written standards of conduct governing the performance of
its employees engaged in the award and administration of subawards. No employee,
officer, or agent shall participate in the selection, award, or administration of a sub award
supported by Federal funds if a real or apparent conflict of interest would be involved.
Such a conflict would arise when the employee, officer, or agent, any member of his or
her immediate family, his or her partner, or an organization in which he/she serves as an
officer or which employs or is about to employ any of the parties mentioned in this
section, has a financial interest or other interest in the organization selected or to be
DEP Agreement No. G0007, Attachment E, Page 9 of 17
selected for a subaward. The officers, employees, and agents of the recipient shall neither
solicit nor accept anything of monetary value from subrecipients. However, the recipient
may set standards for situations in which the financial interest is not substantial or the gift
is an unsolicited item of nominal value. The standards of conduct shall provide for
disciplinary actions to be applied for violations of such standards by officers, employees,
or agents of the recipient.
c. A financial interest may include employment, stock ownership, a creditor or debtor
relationship, or prospective employment with the organization selected or to be selected
for a subaward. An appearance of impairment of objectivity could result from an
organizational conflict where, because of other activities or relationships with other
persons or entities, a person is unable or potentially unable to render impartial assistance
or advice. It could also result from non-financial gain to the individual, such as benefit to
reputation or prestige in a professional field.
Applicability of Provisions to Subawards, Contracts, and Subcontracts
a. The recipient shall include the following notice in each request for applications or bids:
Applicants/bidders for a lower tier covered transaction (except for goods and services
under the $100,000 simplified acquisition threshold and where the lower tier recipient
will have no critical influence on or substantive control over the award) are subject to 15
CFR Part 26, Subparts A through E, "Government wide Debarment and Suspension
(Nonprocurement). In addition, applicants/bidders for a lower tier covered transaction for
a subaward, contract, or subcontract greater than $100,000 of Federal funds at any tier are
subject to 15 CFR Part 28, "New Restrictions on Lobbying." Applicants/bidders should
familiarize themselves with these provisions, including the certification requirements.
Therefore, applications for a lower tier covered transaction must include a Form CD-512,
"Certifications Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-
-Lower Tier Covered Transactions and Lobbying," completed without modification.
b. The recipient shall include a statement in all lower tier covered transactions
(subawards, contracts, and subcontracts), that the award is subject to EO 12549,
"Debarment and Suspension" and DoC implementing regulations published at
15 CFR Part 26, Subparts A through E, "Government wide Debarment and Suspension
(Nonprocurement). "
c. The recipient shall include a statement in all lower tier covered transactions
(subawards, contracts, and subcontracts) exceeding $100,000 in Federal funds, that the
subaward, contract, or subcontract is subject to Section 319 of Public Law 101-121,
which added Section 1352, regarding lobbying restrictions, to Chapter 13 of Title 31 of
the United States Code as implemented at 15 CFR Part 28, "New Restrictions on
Lobbying." The recipient shall further require the subrecipient, contractor, or
subcontractor to submit a completed "Disclosure of Lobbying Activities" (Form SF-LLL)
regarding the use of non-Federal funds for lobbying. The Form SF-LLL shall be
submitted within 15 days following the end of the calendar quarter in which there occurs
any event that requires disclosure or that materially affects the accuracy of the
DEP Agreement No, G0007, Attachment E, Page 10 of 17
information contained in any disclosure form previously filed. The Form SF-LLL shall be
submitted from tier to tier until received by the recipient. The recipient must submit all
disclosure forms received, including those that report lobbying activity on its own behalf,
to the NOAA Grants Officer within 30 days following the end of the calendar quarter.
Minority Owned Business Enterprise
DoC encourages recipients to utilize minority and women-owned firms and enterprises in
contracts under financial assistance awards. The Minority Business Development Agency
will assist recipients in matching qualified minority owned enterprises with contract
opportunities. For further information contact:
U.S. Department of Commerce
Minority Business Development Agency
Herbert C. Hoover Building
14th Street and Constitution Avenue, N.W.
Washington, D.C. 20230
Phone: (202) 482-3007
http://www.mbda.gov
Subaward and/or Contract to a Federal A2;ency
a. The recipient, subrecipient, contractor, and/or subcontractor shall not sub-grant or sub-
contract any part of the approved project to any agency or employee of DoC and/or other
Federal department, agency or instrumentality, without the prior written approval of the
NOAA Grants Officer.
b. Requests for approval of such action must be submitted to the Federal Program Officer
who shall review and make a recommendation to the NOAA Grants Officer. The NOAA
Grants Officer shall make the final determination and will notify the recipient in writing
of the final determination.
PROPERTY
Standards
The recipient shall comply with the property management standards as stipulated in the
applicable uniform administrative requirements.
Real Property
The recipient shall record liens or other appropriate notices of record to indicate that real
property has been acquired or improved with Federal funds and that disposition
conditions apply to the property.
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DEP Agreement No. G0007, Attachment E, Page 11 of 17
MISCELLANEOUS REQUIREMENTS
Criminal and Prohibited Activities
a. The Program Fraud Civil Remedies Act (31 U.S.c. ~~ 3801-3812), provides for the
imposition of civil penalties against persons who make false, fictitious, or fraudulent
claims to the Federal government for money (including money representing grants, loans
or other benefits).
b. False statements (18 U.S.c. ~~ 287 and 1001), provides that whoever makes or
presents any false, fictitious, or fraudulent statements, representations, or claims against
the United States shall be subject to imprisonment of not more than five years and shall
be subject to a fine in the amount provided by 18 U.S.c. ~ 287.
c. False Claims Act (31 U.S.C. 3729 et seq.), provides that suits under this act can be
brought by the government, or a person on behalf of the government, for false claims
under Federal assistance programs.
d. Copeland "Anti-Kickback" Act (18 U.S.C. ~ 874 and 40 U.S.C. ~ 276c), prohibits a
person or organization engaged in a Federally supported project from enticing an
employee working on the project from giving up a part of his compensation under an
employment contract.
Forei2n Travel
a. The recipient shall comply with the provisions of the Fly America Act (49 USC ~
40118). The implementing regulations of the Fly America Act are found at 41 CFR ~~
301-10.131 through 301-10.143.
b. The Fly America Act requires that Federal travelers and others performing U.S.
Government-financed foreign air travel must use U.S. flag air carriers, to the extent that
service by such carriers is available. Foreign air carriers may be used only in specific
instances, such as when a U.S. flag air carrier is unavailable, or use of U.S. flag air carrier
service will not accomplish the agency's mission.
c. Use of foreign air carriers may also be used only if bilateral agreements permit such
travel pursuant to 49 USC ~ 40 118(b). DoC is not aware of any bilateral agreements that
meet these requirements. Therefore, it is the responsibility of the recipient to provide the
NOAA Grants Officer with a copy of the applicable bilateral agreement if use of a
foreign carrier under a bilateral agreement is anticipated.
d. If a foreign air carrier is anticipated to be used for any part of foreign travel, the
recipient must receive prior approval from the NOAA Grants Officer. When requesting
such approval, the recipient must provide a justification in accordance with guidance
provided by 41 CFR 9 301-10.142, which requires the recipient to provide the NOAA
Grants Officer with the following: name; dates of travel; origin and destination of travel;
DEP Agreement No. G0007, Attachment E, Page 12 of 17
detailed itinerary of travel, name of the air carrier and flight number for each leg of the
trip; and a statement explaining why the recipient meets one of the exceptions to the
regulations. If the use of a foreign air carrier is pursuant to a bilateral agreement, the
recipient must provide the NOAA Grants Officer with a copy of the agreement. The
NOAA Grants Officer shall make the final determination and notify the recipient in
writing. Failure to adhere to the provisions of the Fly America Act will result in the
recipient not being reimbursed for any transportation costs for which the recipient
improperly used a foreign air carrier.
American-Made Equipment and Products
Recipients are hereby notified that they are encouraged, to the greatest extent practicable,
to purchase American-made equipment and products with funding provided under this
award.
Intellectual Property Ri2hts
a. Inventions.
The rights to any invention made by a recipient under a DoC financial assistance award
are determined by the Bayh-Dole Act, Pub. L. 96-517, as amended, and codified in 35
D.S.C. S 200 et seq, except as otherwise required by law. The specific rights and
responsibilities are described in more detail in 37 CFR Part 401 and in particular, in the
standard patent rights clause in 37 CFR S 401.14.
1. Ownership.
(a) Recipient. The recipient has the right to own any invention it makes (conceived or
first reduced to practice) or made by its employees. The recipient may not assign its
rights to a third party without the permission of DoC unless it is to a patent management
organization (i.e., a university's Research Foundation.) The recipient's ownership rights
are subject to the Government's nonexclusive paid-up license.
(b) Department. If the recipient elects not to own or does not elect rights or file a patent
application within the time limits set forth in the standard patent rights clause, DoC may
request an assignment of all rights, which is normally subject to a limited royalty free
nonexclusive license for the recipient. DoC owns any invention made solely by its
employees but may license the recipient in accordance with the procedures in 37 CFR
Part 404.
(c) Inventor/Employee. If neither the recipient nor the Department is interested in owning
an invention by a recipient employee, the recipient, with the written concurrence of DoC
Patent Counsel, may allow the inventor/employee to own the invention subject to certain
restrictions as described in 37 CFR S 401.9.
(d) Joint inventions. Inventions made jointly by a recipient and a DoC employee will be
owned jointly by the recipient and DoC. However, DoC may transfer its rights to the
DEP Agreement No. G0007, Attachment E, Page] 3 of ] 7
recipient as authorized by 35 U.S.C. ~ 202(e) and 37 CFR ~ 401.10 if the recipient is
willing to patent and license the invention in exchange for a share of "net" royalties based
on the number of inventors (e.g., 50-50 if there is one recipient and DoC employee). The
agreement will be prepared by DoC Patent Counsel and may include other provisions,
such as a royalty free license to the Government and certain other entities.
2. Responsibilities.
The recipient has responsibilities and duties set forth in the standard patent rights clause,
that are not described below. The recipient is expected to comply with all the
requirements of the standard patent rights clause and 37 CFR Part 401.
(a) Reporting. Within two months of when the recipient reports the invention, the
recipient will send the invention disclosure to DoC Patent Counsel (HCHB Room 4613,
Washington, DC 20230, telephone: 202-482-8097) and the appropriate DoC program
office.
(b) Electing. Within two years of reporting the invention to DoC, the recipient will notify
DoC Patent Counsel of its decision whether or not it wishes to own the invention.
(c) Filing. Within one year of notifying DoC that it wishes to own the invention, the
recipient will file a patent application (either a provisional or non-provisional) and
promptly send a copy of the application to DoC Patent Counsel. Any foreign or
international application must usually be filed within 10 months of the first filed
application in the United States. The recipient will ensure that any U.S. application
contains the required statement of Government support. The recipient will also promptly
send the required confirmatory Government license to DoC Patent Counsel who shall
record that license in the Patent and Trademark Office. If the recipient decides to
discontinue the prosecution of any patent application or not pay a maintenance fee or
defend a reexamination, it shall notify DoC Patent Counsel of that fact in sufficient time
(but not less than 30 days) for the Government to respond to any outstanding requirement
or letter from a patent office. However, if the recipient is filing a continuing application,
it needs only to notify DoC Patent Counsel of this and provide a copy of the continuing
application with the appropriate confirmatory license. Upon issuance of any application,
the recipient will promptly provide a copy of the patent to DoC Patent Counsel.
(d) The recipient should send any request for an extension of time to DoC Patent Counsel
in advance ofthe expiration ofthe time period.
b. Patent Notification Procedures.
Pursuant to EO 12889, DoC is required to notify the owner of any valid patent covering
technology whenever the DoC or its financial assistance recipients, without making a
patent search, knows (or has demonstrable reasonable grounds to know) that technology
covered by a valid United States patent has been or will be used without a license from
the owner. To ensure proper notification, ifthe recipient uses or has used patented
DEP Agreement No. G0007, Attachment E, Page 14 of 17
technology under this award without a license or permission from the owner, the recipient
must notify the DoC Patent Counsel at the following address, with a copy to the NOAA
Grants Officer:
Department of Commerce
Office of Chief Counsel for Technology, Patent Counsel
14th Street and Constitution Avenue, N.W. Room H-4613
Washington, D.C. 20230
c. Data, Databases, and Software.
The rights to any work produced or purchased under a DoC Federal financial assistance
award are determined by 15 CFR ~ 24.34 and 15 CFR ~ 14.36. Such works may include
data, databases or software. The recipient owns any work produced or purchased under a
DoC Federal financial assistance award subject to DoC's right to obtain, reproduce,
publish or otherwise use the work or authorize others to receive, reproduce, publish or
otherwise use the data for Government purposes.
d.Copyright.
The recipient may copyright any work produced under a DoC Federal financial assistance
award subject to DoC's royalty-free nonexclusive and irrevocable right to reproduce,
publish or otherwise use the work or authorize others to do so for Government purposes.
Works jointly authored by DoC and recipient employees may be copyrighted but only the
part authored by the recipient is protected because, under 17 U.S.C. ~ 105, works
produced by Government employees are not copyrightable in the United States. If the
contributions of the authors cannot be separated, the copyright status of the joint work is
questionable. On occasion, DoC may ask the recipient to transfer to DoC its copyright in
a particular work when DoC is undertaking the primary dissemination of the work.
Ownership of copyright by the Government through assignment is permitted by 17
U.S.c. ~ 105.
Increasing Seat Belt Use in the United States
Pursuant to EO 13043, recipients should encourage employees and contractors to enforce
on-the-job seat belt policies and programs when operating company-owned, rented or
personally-owned vehicles.
Research Involving Human Subjects
a. All proposed research involving human subjects must be conducted in accordance with
15 CFR Part 27, "Protection of Human Subjects." No research involving human subjects
is permitted under any DoC financial assistance award unless expressly authorized by the
NOAA Grants Officer.
DEP Agreement No. G0007, Attachment E, Page 15 of 17
b. No research involving human subjects is permitted under this award unless expressly
authorized by Special Award Condition, or otherwise in writing by the NOAA Grants
Officer.
c. Federal policy defines a human subject as a living individual about whom an
investigator conducting research obtains (1) data through intervention or interaction with
the individual, or (2) identifiable private information. Research means a systematic
investigation, including research development, testing and evaluation, designed to
develop or contribute to generalizable knowledge.
d. DoC regulations, 15 CFR Part 27, require that recipients maintain appropriate policies
and procedures for the protection of human subjects. In the event it becomes evident that
human subjects may be involved in this project, the recipient shall submit appropriate
documentation to the Federal Program Officer for approval by the appropriate DoC
officials. This documentation may include:
1. Documentation establishing approval of the project by an institutional review
board (IRB) approved for Federal-wide use under Department of Health and
Human Services guidelines, see 15 CFR 9 27.103;
2. Documentation to support an exemption for the project under 15 CFR 9
27.101(b);
3. Documentation to support deferral for an exemption or IRB review under 15
CFR 9 27.118;
4. Documentation of IRB approval of any modification to a pnor approved
protocol or to an informed consent form.
e. No work involving human subjects may be undertaken, conducted, or costs incurred
and/or charged for human subjects research, until the appropriate documentation is
approved in writing by the NOAA Grants Officer. Notwithstanding this prohibition, work
may be initiated or costs incurred and/or charged to the project for protocol or instrument
development related to human subjects research.
Federal Employee Expenses
Federal agencies are generally barred from accepting funds from a reCIpIent to pay
transportation, travel, or other expenses for any Federal employee unless specifically
approved in the terms of the award. Use of award funds (Federal or non-Federal) or the
recipient's provision of in-kind goods or services, for the purposes of transportation,
travel, or any other expenses for any Federal employee may raise appropriation
augmentation issues. In addition, DoC policy prohibits the acceptance of gifts, including
travel payments for Federal employees, from recipients or applicants regardless of the
source.
DEP Agreement No. G0007, Attachment E, Page 16 of 17
Preservation of Open Competition and Government Neutrality Towards
Government Contractors' Labor Relations on Federal and Federally Funded
Construction Projects
Pursuant to EO 13202, "Preservation of Open Competition and Government Neutrality
Towards Government Contractors' Labor Relations on Federal and Federally Funded
Construction Projects," unless the project is exempted under section 5(c) of the order, bid
specifications, project agreements, or other controlling documents for construction
contracts awarded by recipients of grants or cooperative agreements, or those of any
construction manager acting on their behalf, shall not: a) include any requirement or
prohibition on bidders, offerors, contractors, or subcontractors about entering into or
adhering to agreements with one or more labor organizations on the same or related
construction project(s); or b) otherwise discriminate against bidders, offerors, contractors,
or subcontractors for becoming or refusing to become or remain signatories or otherwise
to adhere to agreements with one or more labor organizations, on the same or other
related construction project(s).
Minority Servin2 Institutions (MSIs) Initiative
Pursuant to EOs 12876, 12900, and 13021, DoC is strongly committed to broadening the
participation of MSls in its financial assistance programs. DoC's goals include achieving
full participation of MSls in order to advance the development of human potential,
strengthen the Nation's capacity to provide high-quality education, and increase
opportunities for MSls to participate in and benefit from Federal financial assistance
programs. DoC encourages all applicants and recipients to include meaningful
participation of MSls. Institutions eligible to be considered MSls are listed on the
Department of Education website.
REMAINDER OF PAGE INTENTIONALLY LEFT BLANK
DEP Agreement No, G0007, Attachment E, Page 17 of 17
A TT ACHMENT F
Approved by OMB
0348-0046
DISCLOSURE OF LOBBYING ACTIVITIES
Complete this fonn to disclose lobbying activities pursuant to 31 U.S,c. 1352
(See reverse for public burden disclosure.)
1. Type of Federal Action: 2. Status of Federal Action: 3. Report Type:
D a, contract D a, bidlofTer/application D a, initial filing
b, grant b, initial award b, material change
c. cooperative agreement c, post-award
d. loan For Material Change Only:
e, loan guarantee
f. loan insurance year quarter
date of last report
4. Name and Address of Reporting Entity: 5. If Reporting Entity in No.4 is Subawardee, Enter Name
o Prime 0 and Address of Prime:
Subawardee
Tier . if known:
Congressional District, if known: Congressional District, if known:
6. Federal Department/Agency: 7. Federal Program NamelDescription:
CFDA Number, if applicable:
8. Federal Action Number, ifknown: 9. Award Amount, ifknown:
S
10. a. Name and Address of Lobbying Entity b. Individuals Performing Services (including address if
(if individual, last name. first name. MI): different from No. lOa)
(last name, first name, MI):
fattach Continuation SheetfsJ SF-LLLA ifnecessa"")
11. Information requested through this form is authorized by title 31 U.S.c. Signature:
section 1352. This disclosure of lobbying activities is a material Print Name:
representation of fact upon which reliance was placed by the tier above
when this tnnsaction was made or entered into. This disclosure is
required punuant to 31 U.S.c. 1352. This information will be reported to Title:
Congress semi-annually and will be available for public inspection. Any
penon who fails to file the required disclosure shall be subject to a civil Telephone No.: Date:
penalty of not less than $10,000 and not more than $100,000 for each such
failu reo
Federal Use Only: Authorized for Local Reproduction
Standard F onn - LLL (Rev 7 - 97)
DEP 55-221 (01101)
DEP Agreement No. G0007, Attachment F, Page 1 of 2
INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at
the initiation or receipt of a covered Federal action, or a material change to a previous filing, pursuant to title 31
U.S.C. section 1352. The filing of a form is required for each payment or agreement to make payment to any
lobbying entity 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 a
covered Federal action. Complete all items that apply for both the initial filing and material change report. Refer
to the implementing guidance published by the Office of Management and Budget for additional information.
1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to
influence the outcome of a covered Federal action.
2. Identify the status of the covered Federal action.
3. Identify the appropriate classification of this report. If this is a followup report caused by a material
change to the information previously reported, enter the year and quarter in which the change occurred.
Enter the date of the last previously submitted report by the reporting entity for this covered Federal
action.
4. Enter the full name, address, city, state and zip code of the reporting entity. Include Congressional
District, if known. Check the appropriate classification of the reporting entity that designates if it is or
expects to be, a prime or subaward recipient. Identify the tier of the subawardee, e.g., the first
subawardee of the prime is the Ist tier. Subawards include but are not limited to subcontracts,
subgrants and contract awards under grants.
5. If the organization filing the report in item 4 checks "Subawardee", then enter the full name, address,
city, state and zip code of the prime Federal recipient. Include Congressional District, if known.
6. Enter the name of the Federal agency making the award or loan commitment. Include at least one
organizational level below agency name, if known. For example, Department of Transportation, United
States Coast Guard.
7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter
the full Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements,
loans, and loan commitments.
8. Enter the most appropriate Federal identifying number available for the Federal action identified in
item 1 (e.g., Request for Proposal (RFP) number; Invitation for Bid (IFB) number; grant announcement
number; the contract, grant, or loan award number; the application/proposal control number assigned
by the Federal agency). Include prefixes, e.g., "RFP-DE-90-001."
9. For a covered Federal action where there has been an award or loan commitment by the Federal agency,
enter the Federal amount of the award/loan commitment for the prime entity identified in item 4 or 5.
10. (a) Enter the full name, address, city, state and zip code of the lobbying entity engaged by the reporting
entity identified in item 4 to influence the covered Federal action.
(b) Enter the full names of the individual(s) performing services, and include full address if different
from 10 (a). Enter Last Name, First Name, and Middle Initial (MI).
11. The certifying official shall sign and date the form, print his/her name, title and telephone number.
According to the Paperwork Reduction Act, as amended, no persons are required to respond to a collection of information unless it
displays a valid OMB Control Number. The valid OMB control number for this information collection is OMB No. 0348-0046. Public
reporting burden for this collection of information is estimated to average 30 minutes 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. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions
for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0046), Washington, D.C. 20503.
DEP 55-221 (01/01)
DEP Agreement No. G0007, Attachment F, Page 2 of 2
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ATTACHMENT H
CERTIFICATION REGARDING DEBARMENTS, SUSPENSION, INELIGIBILITY AND
VOLUNTARY EXCLUSION-LOWER TIER FEDERALLY FUNDED TRANSACTIONS
DEP AGREEMENT NO: G0007
I. The undersigned hereby certifies that neither it nor its principals is presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency.
2, The undersigned also certifies that it and its principals:
(a) Have not within a three-year period preceding this certification been convicted of or had a civil judgment rendered
against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or
performing a public (Federal, State or local) transaction or contract under a public transaction; violation of Federal or
State anti-trust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records,
making false statements, or receiving stolen property.
(b) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or
local) with commission of any of the offenses enumerated in paragraph 2.(a) of this Certification; and
(c) Have not within a three-year period preceding this certification had one or more public transactions (Federal, State or
local) terminated for cause or default.
3. Where the undersigned is unable to certify to any of the statements in this certification, an explanation shall be attached to this
certification.
Dated this
day of
,20_.
By
Authorized Signature/Contractor
Typed Nameffit1e
Contractor's Firm Name
Street Address
Building, Suite Number
City/State/Zip Code
Area Codeffelephone Number
DEP 55-220 (01101)
DEP Agreement No. G0007, Attachment H, Page 1 of 2
INSTRUCTIONS FOR CERTIFICATION REGARDING DEBARMENT,
SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION-
LOWER TIER FEDERALLY FUNDED TRANSACTIONS
I. By signing and submitting this form, the certifying party is providing the certification set out below.
2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was
entered into. If it is later determined that the certifying party knowingly rendered an erroneous certification, in addition to other
remedies available to the Federal Government, the Department of Environmental Protection (DEP) or agencies with which this
transaction originated may pursue available remedies, in~luding suspension and/or debarment.
3. The certifying party shall provide immediate written notice to the person to which this contract is submitted if at any time the
certifying party learns that its certification was erroneous when submitted or has become erroneous by reason of changed
circumstances.
4. The terms covered transaction, debarred, suspended, ineligible, lower tier covered transaction, participant, person, primary
covered transaction, principal, proposal, and voluntarily excluded, as used in this clause, have the meanings set out in the
Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this
contract is submitted for assistance in obtaining a copy of those regulations.
5. The certifying party agrees by submitting this contract that, should the proposed covered transaction be entered into, it shall not
knowingly enter into any lower tier contract, or other covered transaction with a person who is proposed for debarment under 48
CFR 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered
transaction, unless authorized by the DEP or agency with which this transaction originated.
6. The certifying party further agrees by executing this contract that it will include this clause titled "Certification Regarding
Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction," without modification, in all
contracts or lower tier covered transactions and in all solicitations for lower tier covered transactions.
7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction
that it is not is proposed for debarment under 48 CFR 9, subpart 9.4, debarred, suspended, ineligible, or voluntarily excluded
from the covered transaction, unless it knows that the certification is erroneous, A participant may decide the method and
frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the
Nonprocurement List (Telephone No. (202) 501-4740 or (202) 501-4873.)
8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good
faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that
which is normally possessed by a prudent person in the ordinary course of business dealings.
9, Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction knowingly
enters into a lower tier covered transaction with a person who is proposed for debarment under 48 CFR 9, subpart 9.4,
suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies
available to the Federal Government, the DEP or agency with which this transaction originated may pursue available remedies,
including suspension and/or debarment.
DEP 55-220 (01101)
DEP Agreement No. G0007, Attachment H, Page 2 of 2
ATTACHMENT I
FLORIDA DEPARTMENT OF ENVIRONMENTAL PROTECTION
Coastal Impact Assistance Program
Grant Agreement Amendment Request Form
DEP Agreement No.: G0007 DEP Grant Project No.:
NOAA Award No.: NA170Z2147 ORIG. AWARD PERIOD: 12/01101 - 11/30/04 CFDA No.: 11.419
TO: ClAP Grant Liaison, MS #18, sandra.s.howard@dep.state.fl.us
(Mail original signed request to Sandra Howard - Include Amendment and all Attachments. Sandra Howard will sign and
forward to Grants Development and Review.)
FROM:
, DEP Grant Manager (Phone No.
)(MS#
)
DATE:
PROJECT TITLE:
AMENDMENT REQUEST AND SUPPORTING JUSTIFICATION (additional pages may be provided):
Request for amendments may be submitted only for one of the allowable modifications listed below. Provide detailed
information on page 2.
Check all that apply:
D NO COST Grant Period Extension
D
D
D
D
D
D
transfer of funds among direct cost categories
transfer between direct and indirect cost categories
modification to an indirect cost amount approved in the approved budget or scope of work
purchase of equipment exceeding $5,000
programmatic modifications
pre-award reimbursement
REQUESTOR:
Grantee's Grant Manager
Date
APPROVED:
Department Grant Manager
Date
APPROVED:
Department Coastal Impact Assistance Program Grant Liaison Date
APPROVED:
Department Director of Revenue Management
Date
APPROVED:
Grant Manager, National Oceanic & Atmospheric Association Date
(After approval return to Bonnie Lawhon, DEP Revenue Management Director, Department of Environmental Protection, 3900 Commonwealth Blvd., MS
#75, Tallahassee, Florida 32399-3000).
DEP Agreement No. G0007, Attachment I, Page 1 of2
SPECIFIC GRANTEE RESPONSIBILITIES: (Exactly what you want and expect; attach detailed budget
and explicit scope of work for modifications requested.)
DELIVERABLES: (describe any modifications requested which impact reports, analyses, results,
construction; specify frequency of reports or when analyses are to be performed and when results are
expected, etc.)
Request for No Cost Extension of Grant Period (In Months):
Cost Estimate by State Fiscal Year: SFY
SFY
Amount $
Amount $
SFY
SFY
Amount ~
Amount ~
Additional Comments:
DEP Agreement No. G0007, Attachment I, Page 2 of 2