Item M3 M.3
t, BOARD OF COUNTY COMMISSIONERS
County of Monroe Mayor Heather Carruthers,District 3
IleOI1da Keys Mayor Pro Tem Michelle Coldiron,District 2
�p.° Craig Cates,District I
David Rice,District 4
Sylvia J.Murphy,District 5
County Commission Meeting
January 22, 2020
Agenda Item Number: M.3
Agenda Item Summary #6263
BULK ITEM: Yes DEPARTMENT: Sustainability
TIME APPROXIMATE: STAFF CONTACT: Rhonda Haag (305) 453-8774
N/A
AGENDA ITEM WORDING: Approval to enter into Task Order 47 in the amount of$51,100.70,
under the on-call contract with Wood Environment & Infrastructure Solutions, Inc. for Category B
canal infrastructure engineering services, to complete the design, permitting and procurement
services for a culvert on Canal 259 in Big Pine Key as approved under U.S. Department of Treasury
grant 1RDCGR170099-01-00.
ITEM BACKGROUND: This Task Order 47 is to approve the services of Wood Environment and
Infrastructure Solutions, Inc. for $51,100.70 to complete the design, permitting, and procurement
services for the culvert of Canal 4259 located between Granada Avenue and Minorca Drive on Big
Pine Key. The services will be funded by The U.S. Department of Treasury's RESTORE grant
1RDCGR170099-01-00.
PREVIOUS RELEVANT BOCC ACTION:
08/17/16: Approval to advertise on call professional engineering services for the canal restoration
program, including Category A — Canal Master Plan Program Planning Services, Category B —Canal
Infrastructure Engineering Services for Projects and Category C — Environmental Engineering
Services.
11/22/16: Approval of Amendment No. 13 to the contract for Engineering, Design and Permitting
Services of the Demonstration Projects, with AMEC Foster Wheeler Environment and
Infrastructure, Inc. to provide Construction Engineering, Environmental Inspections And
Construction Administration Services in the amount of$88,612, related to Canal 483 muck removal,
backfilling and air curtain project in Key Largo, Monroe County, Florida.
12/14/16: Approval to negotiate on-call contracts with Amec Foster Wheeler, Inc. and Tetra Tech
Inc, the two highest ranked respondents for Category B - canal infrastructure engineering services.
03/15/17: Approval to enter into a $0 on-call contract with Amec Foster Wheeler, Inc. for Category
B canal infrastructure engineering services.
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03/15/17: Approval to enter into a $21,499 Task Order 1 for CEI and construction administration
services for the 290 air curtain installation, under the on-call contract with Amec Foster Wheeler,
Inc. for Category B canal infrastructure engineering services.
03/15/17: Approval to enter into a $87,762 Task Order 2 for CEI and construction administration
services for the canal 83 muck removal / backfilling/ air curtain installation, under the on-call
contract with Amec Foster Wheeler, Inc. for Category B canal infrastructure engineering services.
05/17/17: Approval to enter into a $99,596.10 Task Order 43 for procurement and permitting
services for the 4 canals for augmented aeration, under the on-call contract with Amec Foster
Wheeler, Inc. for Category B canal infrastructure engineering services, which extends services
authorized under Amendment No. 8 under a previous AMEC contract. Remaining funds are carried
over from Amendment No. 8 and no new funds are required.
07/19/17: Approval to enter into a $60,403.40 Task Order 44 for procurement and permitting
services for the Canal 75 backfilling project in Key Largo, under the on-call contract with Amec
Foster Wheeler, Inc. for Category B canal infrastructure engineering services, which extends
services authorized under Amendment No. 12 under a previous AMEC contract. Remaining funds
are carried over from Amendment No. 12 and no new funds are required.
10/18/17: Approval to enter into a $57,402.00 Task Order 45 for construction, engineering,
inspection and administration services for the Canal 75 backfilling project in Key Largo, under the
on-call contract with Amec Foster Wheeler, Inc. for Category B canal infrastructure engineering
services, funded in full by the $1.5M DEP Stewardship Grant LP44073.
12/13/17: Approval to enter into a $0 Amendment No. 1, under the on-call contract with Amec
Foster Wheeler, Inc. for Category B canal infrastructure engineering services, to add the federal
contract provisions required for reimbursement by FEMA for Hurricane Irma related services.
01/17/18: Approval to terminate Task Order 43 for procurement and permitting services for the 4
canals for augmented aeration, under the on-call contract with Amec Foster Wheeler, Inc. for
Category B canal infrastructure engineering services.
06/20/18: Approval to enter into Amendment No 2, under the on-call contract with Amec Foster
Wheeler Environment and Infrastructure, Inc. for Category B canal infrastructure engineering
services, to formally change their name to Wood Environment & Infrastructure Solutions, Inc.,
retroactive to April 16, 2018.
CONTRACT/AGREEMENT CHANGES:
New Task Order for Canal 259 Design, Permitting and Procurement
STAFF RECOMMENDATION: Approval
DOCUMENTATION:
Task Order 47 Wood Category B Canal 4259 Design
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FINANCIAL IMPACT:
Effective Date: November 20, 2019
Expiration Date: 60 Days after final deliverable is submitted
Dollar Value of Task Order 47: $51,100.70
Total Cost to County: $51,100.70 reimbursable under the $478,308.50 RESTORE grant
1RDCGR170099-01-00 from the US Department of Treasury
Total Dollar Value of Contract: $187,399.60
Budgeted: N/A
Source of Funds: RESTORE Grant 41RDCGR170099-01-00
CPI: No Indirect Costs: N/A
Estimated Ongoing Costs Not Included in above dollar amounts: Minor Periodic Culvert Cleaning
Costs
Revenue Producing: No If yes, amount: N/A
Grant: Funded by Restore Grant County Match: N/A
Insurance Required: Yes Additional Details:
REVIEWED BY:
Rhonda Haag Completed 01/06/2020 1:29 PM
Pedro Mercado Completed 01/06/2020 2:26 PM
Budget and Finance Completed 01/07/2020 5:06 PM
Maria Slavik Completed 01/08/2020 8:44 AM
Kathy Peters Completed 01/08/2020 10:30 AM
Board of County Commissioners Pending 01/22/2020 9:00 AM
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TASK ORDER #7 FOR CATEGORY B ON CALL PROFESSIONAL
AL
ENGINEERING G SERVICES FOR CANAL RESTORATION SERVICES
BETWEEN
M NtiN C E CrO U NTY' A N'd N
WOOD ENVIRONMENT MENT INFRASTRUCTURE CTUR SOLUTIONS,UTIC N S INC.
FOR THE CANAL#259 BIG FINE KEY CJANAL. CULVERT RESTORATION
PROJECT INCLUDING DESIGN, PERMITTING,G, AND PROCUREMENT �
SERVICES INeI, NVION'R E COUNTY, FLORIDA
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In accordance with the Continuing Contract for On Oalil Professional Engineering s
Services made and entered on the 1 th da of March 2017 and Amendment No.1 dated �.
December 131�1, 2017 and Amendment No.2 dated ,June 20, 2018 between Monroe �
County, hereinafter referred to as the "County" and Wood Environment & Infrastructure
Solutions, Inc. hereinafter referred to as "Consultantf' where design services are allowed -19
if construction casts do not exceed ,000,000. U)
All terms and conditions of the referenced Contract for On Call !Professional Engineering �
Services apply to the Task Order, unless the Taste Order modifies an Article of the
Agreement of which wilt be specifically referenced in this Task Order and the
modification shalil be precisely described.
ITNESSETH
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WHEREAS, canal 259 located on Granada Ave and Minorca ter. on Big pine Key is
rated as "fair°' in water quality; and
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WHEREAS, the canat was selected based on water quality summary, ease of
implementation and permitting, and cost of implementations and U)
WHEREAS, a culvert installation is a proven restoration technique that was vetted during LO
the demonstration projects and is anticipated to increase the water quality in the canal;
and
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WHEREAS, the canal management database and other associated ranking criteria for
the selection of the canal restoration project was used in the selection of this canal and
restoration technique, and
WHEREAS,, the work, wwiCt be done in accordance with federal grant guidelines and
funding from the RESTORE pot of $478,308.50 under U.S. Department of Treasury
Grant 1 RICCR179999-91- 0, and
WHEREAS, the Consultant wilt complete the design, permitting, and procurement �
services for the culvert of Canal #259 Big Pine Key.
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NOW, THEREFORE, in consideration of the mutuat promises„ covenant,.; and U)
agreements stated herein„ and for other good and valuable consideration, the sufficiency
of which is hereby acknowledged, County and Consultant agree as follows,:
C sail 4259 Bilg Fine Key
t:'011111 d Restoration C kutven Pro.Wd
January 23,2020
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Article 1.1 Terms of Agreement:
This Task Order is effective January 23, 2020 and shall expire 60 days after the final
deliverable to the County is submitted.
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Article If Scope of Basic Services, Paragraph 2.1.1 isamended as follows:
Task 1: Com�munity Outreach Meetings and Surveys
The Consultant will coordinate and provide a presentation for one public community
meeting. The Consultant will prepare an agenda that discusses the selected canal
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restoration technology for their canal with scope of work and associated potential
impacts during construction. The meeting will be held at a location within the
community.
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Deliverable- Posting Of Community meeting and all materials prepare for the meeting. -19
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Due Date: August 31, 2020
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Task 2: Data Collection/Processing (n
The Consultant will conduct one bathymetric and topographic survey for the affected canal
area and surrounding structures within the project boundary, The bathyrnetric surveys will be
carried out utilizing a survey- grade GPS unit operating in Real Time Kinematic (RTK) mode
mounted atop an adjustable height rod. This apparatus wit) be used in a, boat to traverse the
canal area as best as possible to establish a grid of canal bottom elevations sufficient to
develop a digital elevation model, The topographic data will be acquired using traditional
survey methodologies for the road, existing utilities, private property, and any other
significant structure within the project boundary. Jurisdictional) wetland lines and associated
water elevations will be determined as required for permitting. Topographic and bathymetric
maps will be prepared for design and permitting of the project. The survey and subsequent
work will be relative to the North American Datum of 1983/2007 Adjustment (NA1 83/07)and
the North American Vertical Datum of 1988 (NAVD88) based on nearby National Geodetic
Survey (NOS) and/or Florida Department of Transportation (FOOT) horizontal and vertical LO
geodetic control monuments. Surveying and imapping services associated with this
assignment will conform with the applicable requirements of the Department's Bureau of
Survey and Mapping, and applicable sections of Florida Administrative Rule Chapter 5J-17,
Standards of Practice, pursuant to Chapter 472, Florida Statutes.
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The Consultant shall conduct a determination of the boundaries of jurisdictional waters of the
U.S., including wetlands, on the subject site as required for, permitting. Wetlands will be
defined using the Routine on - trite Determinafion method as described in the 1987 United
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Mates.Army Corps of Engineers (U ACE) Corps of Engineers Wetlands Delineation Manual 0
or the Delineation of the Landward Extent of Wetlands and Surface Waters [Florida 3:
Department of Environmental Protection (FDEP), Chapter 6,2,340, F.A.C], Both protocols use
a series of tests to address three characteristics of wetlands, including the presence/absence
of hydrophytic vegetation, wetland hydrology,, and hydric soils. Prior to the site visit,
Consultant will research and assemble available soil surveys, site topographic maps, and 0
National Wetland inventory maps to preliminarily identify potential waters of the U.S,., U)
wetlands and streams. Consultant will then conduct the field' visit to characterize the
delineated wetlands. Defineation includes on-site determination, marking in the field with a
handheld GPS unit(sub-meter accuracy), and flagging of the aerial extent of each wetland (if E
any). If any wetlands are identified, then a, Uniform Mitigation Assessment Method (UMAM)
form will be compteted. In conjunction with the wetland delineation, a threatened and
endangered species survey as required in an, Environmental Resource Permit (ERP) for the
Cwhif#259 Bi,g Fine KLy
Can,M Rostorodrin Culvcr,11roJect
Jam,a-,iry 23,2020
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proposed action. Consultant scientist permitted by the Florida Keys Nationale Marine
Sanctuary (FKNMS) will conduct an in-water survey of the benthos for the purpose of
identifying the presence any sensitive aquatic resources (i.e. seagras,ses, corals, or
sponges)within the immediate area of the project
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Conduct an engineering site visit to determine the site conditions, such as seawall
conditions, existing utilities,, and construction staging areas within the project boundary. The
visit will include a 12-hour tidal study to provide specific field data for the hydraulic model,
The Consultant Will Utilize geotechnical data from previous projects within the area to
determine bedding and backfilling requirements for the culvert installation,
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Deliverable- Bathlymetric and Topographic Survey, Engineering and Ecological Reports
Due Date: August 31, 2020
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Task 3., Desig U)
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Consultant will! prepare preliminary design plans and technical specifications for the p,oj ect.
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The preliminary design plans will consist of an existing site plain, proposed site plan, U)
proposed grading plans, erosion and sediment control plans, and construction details. As >
part of the preliminary design package, Consultant will prepare a preliminary hydraulic model
using HEC-RAS 4.1. The hydraulic model will be developed using available tide data and
survey information. The hydraulic model will evaluate existing and proposed conditions to
determine the relative increase in tidal exchange that is expected to be achieved by the 0
proposed culvert. Modlfication of the dimensions and invert elevation of the proposed culvert
will be completed to determine:the optimal configuration. us
Consultant will coordinate and hold pre-application permitting meetings with the South
Florida Water Management District (SFWMD), USACE, County, and FKNMS using the
preliminary design, plans. Consultant will prepare meeting minutes and provide to the P
County. U)
Consultant wilil update the plans, specifications, and hydraulic model in response to LO
regulatory agency cornments. Consultant will prepare final design p,lans, technical
specifications, and engineer's construction cost estirhate for project. The final design plans
will include an existing site plan, proposed site plan, proposed grading plans, erosion aind
sediment contiol plans, cut/fill analyWs urid canstruction, details. Consultant will prepare a
Final hydraulic model using HEC-RAS 4.1, It is anticipated that no additional field data
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collection will be required.
Deliverable: 100 percent design plans
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Due Date: August 31, 2020 3:
Task 4,:Permit APRIlicafton Assistance
Consultant will incorporate comments received during the pre-application meetings to
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complete and submit local, state, and federal permit applications as required, using the final 19
design plans. Permit applications wilt be submitted to the following agencies: U)
• SFWMD
• USA
• FKNMSi E
• County
Canal #259 Bit,41 Rine Key
C,arvfl Restcwaflon Culvert [Irojeci
January 23,2020
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Consultant will respond to one Request for Additional Information (RAI) for each permit
application.
Consultant will assist the County in prepa6ng access agreements for private property use,
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Permit application fees for M onroe County and mangrove mitigation credits are not included 0
in the costing of this proposal,,
Deliverable: U'SACE, FDEP, FKNMS, and County permits U
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Due Date., August 31, 2020
Task 5: Support in Procurement of a Construction Contractor 0
Upon completion of the Construction Documents, the Consultant will assist the County, who
will be procuring the construction of the project, with the necessary procurement documents
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and meetings. Consultant will provide the following services to assist the County in the
procurement of a contractor for the construction of the air curtain;
a) Prepare a Request for Proposal Package which wHI include the 100% Construction
documents completed by Consultant
b) Respond to applicable Proposers' Requests for Information (RR's)and assist in,the 0
preparation of answers.
c) Attend a Pre-Proposal Conference and site walk-through and prepare meeting
minutes,
d) Conduct a Responsibility Review of the Proposals.
e) Attend a Pre-Award Conference with the County, to discuss the Proposers us
qualifications and understanding of the Project, if required.
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Deliverable: Request for Proposal document and meeting minutes for the pre-proposal
conference,
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Due Date: August 31, 2020
Article V11, Paragraph 7.1.1 is amended to include thie following: us
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The Consultant shall be paid Fifty,-One thousand and One Hundred dollars and Seventy 0
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cents ($51,100,70) on a lump sum basis for the services described above. us
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Task 1: Community Outreach Meetings and Surveys $ 2,118.00
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'Task 2: Data, Coll l'ection/P rocessi nig $ 16,520.70 0
Task 3: Design $ 18,852.00
Task 4: Permit Application Assistance $ 9,984.00
Task 5: Support in Procurement of a Construction Contractor $ 3,626.00
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Total (lump sum) $ 51,100.70 -19
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Canal 4259 Big Pine Key
Canal Rrstoration C.ulvert Prodect
January'23.,2020
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The work will be done in accordance with federal granit guidelines and funding from the
RESTORE pot of$478,,308,50 under U.S. Department of Treasury Grant I
RDCGR1 700199-01-00, attached as Exhibit"A".
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IN WITNESS WHEREOF, each party caused the Task Order to be executed by its duly
auithorized representative.
CONSULTANT: WITNESS: U)
'WOOD ENVIRONMENT
& INFRASTRUCTURE SOLUTIONS INC,
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Office Manager -19
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(SEAL) BOARD OF COUNTY COMMI�SSIONERS
ATTEST: KEVIN MAD OK, CLERK OF MONROE COUNTY, FLORIDA
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By.- by°
Deputy Clerk I' ay
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Date:
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Canal 9259 Big Pine Key
Can all ReMOrafi0fl CLdVC11.ProJeCt
January 23,2020
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EXHIBIT A
RESTORE Grant
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1.DATE ISSUED MM/DD/YYYY la.SUPERSEDES AWARD NOTICE dated
10/07/2019 except that any additions or restrictions previously imposed U.S. DEPARTMENT OF THE TREASURY
remain in effect unless specifically rescinded
2.CFDA NO. Office of the Fiscal Assistant Secretary
21.015-Resources and Ecosystems Sustainability,Tourist Opportunities,and Revived Economies of Office of Gulf Coast Restoration
the Gulf Coast States
3.ASSISTANCE TYPE Formula Grant 1500 Pennsylvania Ave., N.W.
4.GRANT NO. 1 RDCGR170099-01-00 5. TYPE OF AWARD Washington, DC 20220-0001
Formerly Other _
4a.FAIN RDCGR170099 5a.ACTION TYPE New a�
6. PROJECT PERIOD MM/DD/YYYY MM/DD/YYYY NOTICE OF AWARD
From 11/01/2019 Through 10/31/2022 AUTHORIZATION (Legislation/Regulations)
7. BUDGET PERIOD MM/DD/YYYY MM/DD/YYYY Resources and Ecosystems Sustainability,Tourist Opportunities,and
From 11/01/2019 Through 10/31/2022 Revived Economies of the Gulf Coast States
8.TITLE OF PROJECT(OR PROGRAM)
Canal WQ Improvements and Restoration in Unincorporated Monroe County LO
Cd
9a.GRANTEE NAME AND ADDRESS 9b.GRANTEE PROJECT DIRECTOR
COUNTY OF MONROE Ms.Lisa Tennyson 4)
1100 Simonton St Rm 2-205 1100 Simonton St,Gato Bldg,2nd Floor
Key West,FL 33040-3110 Key West,FL 33040
Phone:305-292-4444 19
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10a.GRANTEE AUTHORIZING OFFICIAL 10b.FEDERAL PROJECT OFFICER
Sylvia Murphy Mr.John Stutts U)
1100 Simonton St 1500 Pennsylvania Ave.,N.W. >
Gato Bldg,2nd Floor Washington,DC 20220-0001
Key West,FL 33040 Phone:202-622-0239
ALL AMOUNTS ARE SHOWN IN USD
11.APPROVED BUDGET(Excludes Direct Assistance) 12.AWARD COMPUTATION -
I Financial Assistance from the Federal Awarding Agency Only a.Amount of Federal Financial Assistance(from item 11m) 478,30E
II Total project costs including grant funds and all other financial participation II b.Less Unobligated Balance From Prior Budget Periods
a. Salaries and WageS .................................... 0.00 c.Less Cumulative Prior Award(s)This Budget Period
d.AMOUNT OF FINANCIAL ASSISTANCE THIS ACTION 478,30E
b. Fringe Benefits .................................... 0.00
13.Total Federal Funds Awarded to Date for Project Period 478,30E �$
C. Total Personnel Costs ................. 0.00 14.RECOMMENDED FUTURE SUPPORT
0.00
d. Equipment ..................................
(Subject to the availability of funds and satisfactory progress of the project):
e. Supplies ..................................
0.00 YEAR TOTAL DIRECT COSTS YEAR TOTAL DIRECT COSTS aU)
a. 2 d. 5
f. Travel .................................. 0.00
b. 3 e. 6 LO
9. Construction .................................. 478,308.50 c. 4 f. 7 Cd
h. Other .................................. 0.00 15.PROGRAM INCOME SHALL BE USED IN ACCORD WITH ONE OF THE FOLLOWING
ALTERNATIVES:
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a. DEDUCTION. Contractual 0.00 [b]
b. ADDITIONAL COSTS pp qq
MATCHING ld
j. TOTAL DIRECT COSTS 10 478,308.50 d. OTHER RESEARCH(Add/Deduct Option)
e. OTHER(See REMARKS)
k. INDIRECT COSTS 0.00
16.THIS AWARD IS BASED ON AN APPLICATION SUBMITTED TO,AND AS APPROVED BY,THE FEDERAL AWARDING AGEI
ON THE ABOVE TITLED PROJECT AND IS SUBJECT TO THE TERMS AND CONDITIONS INCORPORATED EITHER DIRECTLY 0
I. TOTAL APPROVED BUDGET 478,308.50 OR BY REFERENCE IN THE FOLLOWING:
a. The grant program legislation
b. The grant program regulations.
This award notice including terms and conditions,if any,noted below under REMARKS. (�
m. Federal Share 478,308.50 d. Federal administrative requirements,cost principles and audit requirements applicable to this grant.
In the event there are conflicting or otherwise inconsistent policies applicable to the grant,the above order of precedence
n. Non-Federal Share 0.00 prevail.Acceptance of the grant terms and conditions is acknowledged by the grantee when funds are drawn or otherwise
obtained from the grant payment system.
REMARKS (Other Terms and Conditions Attached- Yes No) V.-
This award is approved by Gregory J.Till,Authorizing Official.Accepting this award in GrantSolutions.gov constitutes acceptance of this award and the Standard Terms and Conditions and
Programmatic Terms and Conditions and Special Award Conditions.Award funds will be available to the awardee in an ASAP.gov account.
Note:This award does not authorize the use of any construction funds within a Coastal Barrier Resources Act unit.
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AUTHORIZING OFFICIAL:
17.OBJ CLASS 410006 18a.VENDOR CODE 1248952 18b.EIN 596000749 19.DUNS 073876757 20.CONG.DIST. 26
FY-ACCOUNT NO. DOCUMENT NO. ADMINISTRATIVE CODE AMT ACTION FIN ASST APPROPRIATION
21.a. Direct b. RDCGR170099 C. RDC d. $478,308.50 e.
22.a. b. C. d. e.
23.a. b. C. d.
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PAGE 2 of 3 DATE ISSUED
NOTICE OF AWARD (Continuation Sheet) 10/07/2019
GRANT NO. 1 RDCGR170099-01-00
.........................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
Federal Financial Report Cycle
Reporting n........Pe Period ..............Re.po.rti.n........Per.o.d...E.nd...Date.................Re.po rti.n.......T.........e..............................................................Re.po rti.n........Pe.r.0.d...D.Ue....D.ate..............
p 9 Reporting Reporting Type Reporting
11/01/2019 03/31/2020 Semi-Annual 04/30/2020 y
...................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................
04/01/2020 09/30/2020 Semi-Annual 10/30/2020
........................................................................................................................�.....................................................................................................................................................................................................................................................................................................................
....................................................................
10/01/2020 03/31/2021 Semi-Annual 04/30/2021
.................................................................................................................................................................................................................................................................................................................................................................................................. LO
04/01/2021 09/30/2021 Semi-Annual 10/30/2021
10/01/2021 03/31/2022 Semi-Annual 04/30/2022 „
04/01/2022 09/30/2022 Semi-Annual 10/30/2022
10/01/2022 10/31/2022 Final 01/29/2023
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RESTORE Act- SPECIAL AWARD CONDITIONS
1. Special Condition 1: Monroe County agrees to receive award funds on a reimbursement payment
method. Treasury's pre-approval of drawdown requests is not required(see Section H of the
RESTORE Act Financial Assistance Standard Terms and Conditions included with this award).
Monroe County will remain on the reimbursement payment method until it submits to Treasury
evidence,satisfactory to Treasury,that it maintains policies and procedures meeting the requirements
of 2 CFR§ 200.305 including,but not limited to,providing reasonable assurance that(1) drawdowns -
of federal cash are only for immediate cash needs; and(2)payments to subrecipients are limited to
immediate cash needs.
Special Condition 2: Individual projects selected under the proposed program are subject to best
available science review. Upon their selection,Monroe County must explain their determination that
the project is based on best available science by providing to Treasury a response to the best available
science question on the application (136) and project-level details,including specific project locations, U)
reasons for selecting locations, specific methods proposed to address identified issues at selected
locations, expected outcomes following restoration, and identify uncertainties and risks. LO
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Special Condition 3: Monroe County must submit to Treasury an updated Environmental Checklist
certified by Monroe County prior to or with its written request to Treasury for permission to
commence construction.
Special Condition 4: An ASAP Maximum Draw Limit of$1.00 is in place for this award. Monroe
County may request removal of the maximum draw limit with its written request to Treasury for
permission to commence construction,per Condition 6 of Section W of RESTORE Act Financial
Assistance Standard Terms and Conditions and Program-Specific Terms and Conditions,after
meeting the requirements of Special Condition 2 and 3.
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RESTORE Act- FUNDING AUTHORIZATION
1.
Total..Amount...o f.................Amount...o f......................Amount..o f...................................Amount.................................Notes.................................................................................
Federal Funds Funding Financial Authorized for
Awarded to Date Restriction Assistance This
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PAGE 3 of 3 DATE ISSUED
NOTICE OF AWARD (Continuation Sheet) 10/07/2019
GRANT NO. 1 RDCGR170099-01-00
..........................................................................................................................................................................................................................................................................................................................................................................................................................
for Project Period Action ASAP Account
Line 13 of Line 12d of this Action
NoA/Amendment NoA/Amendment
...................................................................................................................................................................................................................................................................................................................................................................................................................................
$487,308.50 $0.00 $487,308.50 $487,308.50 Initial Authorization, LO
with Special Award
Conditions, and an
ASAP Maximum Draw
Limit of$1.00 per SAC 0
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AWARD ATTACHMENTS
Monroe County Board of County Commissioners 1 RDCGR170099-01-00
1. Approved Scope of Work
2. Standard and Program Specific Terms and Conditions- December 2018
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APPROVED SCOPE OF WORKLO
The Approved Scope of Work includes all information provided with the grant application. The
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attached documents, taken from the grant application, provide a summary of the scope of work
approved with this grant award.
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Scope of Work Summary
Applicant: Monroe County
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Application No: RDC2018000097
Application Title: Canal WQ Improvements and Restoration in Unincorporated Monroe County
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The application requests funds for the planning, design, permitting, construction, implementation, and
post-construction monitoring of canal water restoration technologies within unincorporated Monroe
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County, Florida. The canal water restoration project is intended to remedy the high nutrient loading and U)
low dissolved oxygen impairing the waters by addressing the most significant causes of those conditions:
accumulated organics, deep anoxic zones, seaweed loading, and poor flushing and tidal flow.
The Monroe County Canal Management Master Plan (CMMP) has identified 107 canals in
unincorporated Monroe County as having poor water quality. Each of the 107 canals exhibits one or
more of the above listed contributing factors, and will require the implementation of one or a
combination of restoration technologies. Potential improvements identified in the CMMP include (1)
dredge/removal of sediment from canals, (2) placement of clean backfill to eliminate anoxic zones
within canals, (3) installation of culverts to increase flushing, and (4) installation of air curtains to
prevent weed wrack from entering canals. The 107 canals considered to have "Poor Water Quality" t3
were ranked based on criteria outlined in the CMMP. Monroe County has completed restoration
projects in eight of the 107 canals identified in the CMMP. Monroe County estimates awarded Direct
Component funds will be sufficient to complete one canal restoration project of the remaining 99 canals
identified for improvements, dependent upon final construction costs. Additional canals may be LO
selected if funds are available.
Monroe County will complete the scope of work and project with the assistance of two or more
contractors. The scope of work includes (1) canal selection, (2) design and permitting, (3) construction,
and (4) post-construction monitoring. Monroe County will determine success of this project based upon o
the successful improvement of canal water quality, as measured by the increase in dissolved oxygen
concentration. t3
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The application requests a three-year performance period. Monroe County proposes to complete the o
award's scope of work using two or more contractors that have not yet been selected. One contract
(estimated at$92,791.00) will be issued for design, permitting, construction engineering inspection and
administrative services, including post-construction monitoring and a second contract (estimated at
$371,167.00)will be issued for the construction of canal improvements. 19
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RESTORE ACT
FINANCIAL ASSISTANCE STANDARD TERMS
AND CONDITIONS AND PROGRAM-SPECIFIC
TERMS AND CONDITIONS
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U.S. Department of the Treasury
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December 2018
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TABLE OF CONTENTS
RESTORE ACT FINANCIAL ASSISTANCE STANDARD TERMS AND CONDITIONS AND PROGRAM-
SPECIFIC TERMS AND CONDITIONS ....................................................................................................... 1
A PROGRAM-SPECIFIC TERMS AND CONDITIONS-AWARDS UNDER THE DIRECT 0
COMPONENT..................................................................................................................................2
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B PROGRAM-SPECIFIC TERMS AND CONDITIONS-AWARDS UNDER THE CENTERS OF
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EXCELLENCE RESEARCH GRANTS PROGRAM ........................................................................ 3 C14
STANDARD TERMS AND CONDITIONS-AWARDS UNDER THE DIRECT COMPONENT AND
AWARDS UNDER THE CENTERS OF EXCELLENCE RESEARCH GRANTS PROGRAM
C FINANCIAL REQUIREMENTS........................................................................................................4
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D RECIPIENT REPORTING AND AUDIT REQUIREMENTS.............................................................7 1m
E FINANCIAL MANAGEMENT SYSTEM AND INTERNAL CONTROL REQUIREMENTS ...............9 U)
F RECORDS RETENTION REQUIREMENTS................................................................................. 10
G THE FEDERAL GOVERNMENT'S RIGHT TO INSPECT, AUDIT,AND INVESTIGATE.............. 11
H AWARD DISBURSEMENT.............................................................................................................. 12
I EFFECT OF A GOVERNMENT SHUTDOWN ON DISBURSEMENTS AND THE AVAILABILITY
OF TREASURY PERSONNEL...................................................................................................... 13 u
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J NOTIFICATIONS AND PRIOR APPROVALS............................................................................... 13
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KPROPERTY................................................................................................................................... 14 u
L AMENDMENTS AND CLOSEOUT................................................................................................ 15Lm
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M REMEDIES FOR NONCOMPLIANCE........................................................................................... 16
N DEBTS........................................................................................................................................... 17
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O NON-DISCRIMINATION REQUIREMENTS.................................................................................. 18
P REQUIREMENT TO CHECK DEBARMENT AND SUSPENSION STATUS OF SUBRECIPIENTS, m
CONTRACTORS, SUBCONTRACTORS AND VENDORS..........................................................20
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Q DRUG FREE WORKPLACE..........................................................................................................20
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R LOBBYING RESTRICTIONS.........................................................................................................20
SPROCUREMENT...........................................................................................................................22
T RESEARCH INVOLVING HUMAN SUBJECTS............................................................................24
U ENVIRONMENTAL REQUIREMENTS..........................................................................................24
V MISCELLANEOUS REQUIREMENTS AND PROVISIONS..........................................................25
SUPPLEMENTAL STANDARD TERMS AND CONDITIONS-AWARDS UNDER THE DIRECT 0
COMPONENT FOR ACQUISTION AND IMPROVEMENTS TO REAL PROPERTY -19
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W ACQUISITION AND IMPROVEMENTS TO REAL PROPERTY...................................................35 1m
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RESTORE ACT FINANCIAL ASSISTANCE STANDARD TERMS AND
CONDITIONS AND PROGRAM-SPECIFIC TERMS AND CONDITIONS
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PREFACE
The grant agreement is comprised of the following documents: LO
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1. A Notice of Award from the Department of the Treasury("Treasury");
2. The RESTORE Act Financial Assistance Standard Terms and Conditions("Standard Terms and
Conditions");
3. The RESTORE Act Financial Assistance Program-Specific Terms and Conditions(`Program- 0
Specific Terms and Conditions"); -19
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4. The approved application, including all documents, certifications, and assurances that are part of
the approved application; U)
5. The approved scope of work;
6. The approved budget; and, M
7. Any special terms and conditions applied by Treasury to the award (`Special Award Conditions").
The recipient must comply, and require each of its subrecipients, contractors, and subcontractors t3
employed in the completion of the activity, project, or program to comply with all federal statutes,federal
regulations, executive orders(EOs), Office of Management and Budget(OMB)circulars,Standard Terms
and Conditions, Program-Specific Terms and Conditions, and any Special Award Conditions of this
federal financial assistance award (`Award"), as applicable, in addition to the certifications and
assurances required at the time of application.This Award is subject to the laws and regulations of the
United States.
Any inconsistency or conflict in Standard Terms and Conditions, Program-Specific Terms and Conditions, LO
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and any Special Award Conditions of this Award will be resolved according to the following order of
precedence:federal laws,federal regulations, applicable notices published in the Federal Register, EOs,
OMB circulars,Treasury's Standard Terms and Conditions, Program-Specific Terms and Conditions,and
any Special Award Conditions. Special Award Conditions may amend or take precedence over Standard
Terms and Conditions and Program-Specific Terms and Conditions.
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Some of these Standard Terms and Conditions contain, by reference or substance, a summary of
pertinent federal statutes,federal regulations published in the Federal Register(Fed. Reg.)or Code of
Federal Regulations(C.F.R.), EOs,or OMB circulars. In particular,these Standard Terms and Conditions
incorporate many of the provisions contained in OMB's Uniform Guidance for Grants and Cooperative
Agreements(2 C.F.R. Part 200),which supersedes former OMB Circular A-102 (the former grants
management common rule), OMB Circular A-133(single audit requirements), and all former OMB
circulars containing the cost principles for grants and cooperative agreements. To the extent that it is a
summary,such a provision is not in derogation of, or an amendment to, any such statute, regulation, EO,
or OMB circular. Unless a definition is provided here, definitions can be found in the RESTORE Act(Public 0
Law No. 112-141 (July 6,2012)), Treasury's RESTORE Act regulations (79 Fed. Reg. 48039 -19
(Aug. 15, 2014)and 79 Fed. Reg. 61236(Oct. 10, 2014), codified at 31 C.F.R. Part 34)), and/or 2 C.F.R.
Part 200.
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A PROGRAM-SPECIFIC TERMS AND CONDITIONS-AWARDS UNDER THE DIRECT
COMPONENT
In addition to all the Standard Terms and Conditions described in Sections C through V of this
document, all Treasury RESTORE Act awards made under the Direct Component include the
following Program-Specific Terms and Conditions in this Section A:
1. Administrative Costs
a. Administrative costs are defined at 31 C.F.R. §34.2. LO
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b. Under no circumstances may the recipient use more than three percent of the
Award funds received for administrative costs.Administrative costs do not
include indirect costs that are identified specifically with,or readily assignable to
facilities, as defined in 2 C.F.R. §200.414. Costs borne by subrecipients do not
count toward the three percent cap. U)
c. Up to 100 percent of program income maybe used to pay for allowable
administrative costs, subject to the three percent cap. U)
2. Oil Spill Liability Trust Fund
The recipient must not seek any compensation for the approved program or project from
the Oil Spill Liability Trust Fund. If the recipient is authorized to make subawards, the @
recipient must not use Direct Component funds to make subawards to fund activities for
which any claim for compensation was filed and paid out by the Oil Spill Liability Trust
Fund after July 6, 2012.
3. Remedies for Noncompliance
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a. If Treasury determines that the recipient has expended Direct Component funds
to cover the cost of any ineligible activities, in addition to the remedies available
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in Section M of these Standard Terms and Conditions, per 31 C.F.R. §34.804, N
Treasury will make no additional payments to the recipient from the Gulf Coast
Restoration Trust Fund (Trust Fund), including no payments from the Trust Fund
for activities, projects,or programs until the recipient has either(1)deposited an t3
amount equal to the amount expended for the ineligible activities in the Trust
Fund, or(2)Treasury has authorized the recipient to expend an equal amount
from the recipient's own funds for an activity that meets the requirements of the
RESTORE Act.
b. If Treasury determines the recipient has materially violated the terms of this
Award, Treasury will make no additional funds available to the recipient from any
part of the Trust Fund until the recipient corrects the violation.
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B PROGRAM-SPECIFIC TERMS AND CONDITIONS-AWARDS UNDER THE CENTERS OF
EXCELLENCE RESEARCH GRANTS PROGRAM
In addition to all the Standard Terms and Conditions described in Sections C through V of this
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document, all Treasury RESTORE Act awards under the Centers of Excellence Research Grants
Program include the following Program-Specific Terms and Conditions in this Section B:
1. Allowable Costs
In addition to the prohibitions contained in 2 C.F.R. Part 200, Subpart E (Cost Principles), LO
the following costs are unallowable unless approved in writing by Treasury: t3
a. Construction, including the alteration, repair,or rehabilitation of existing
structures. Facilities costs are allowable as indirect costs in a federally approved
negotiated indirect cost rate.
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b. Acquisition of land or interests in land.
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2. Notifications >
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a. If the selection of a Center or Centers of Excellence occurs after the start date of
this Award,the recipient must promptly inform Treasury of the following:
i. Name of the Center of Excellence and the entity selected to administer it,
including the names of member organizations if the entity is a
consortium;
ii. The DUNS Number of the entity;
iii. Location of the entity;
iv. Discipline or disciplines assigned to the Center of Excellence;
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V. Description of the actual public input process undertaken, including a
summary of any comments received and a description of how they were
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addressed;and N
vi. The estimated budget for the Center, including the total allocation of
funded dollars for the Center.
b. The recipient must immediately notify Treasury if it anticipates selecting a new
entity or consortium to serve as a Center of Excellence,or making other changes
to the initial selection of Center(s)of Excellence described in the scope of work.
3. Performance Reports
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In addition to the reporting requirements in Section D,the recipient must submit an annual
report to the Gulf Coast Ecosystem Restoration Council ("Council'), in a form prescribed
by the Council that includes information on subrecipients,subaward amounts, disciplines
addressed, and any other information required by the Council. When the subrecipient is a
consortium, the annual report must also identify the consortium members. The recipient
must provide a copy of this report to Treasury when it submits the report to the Council. U)
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STANDARD TERMS AND CONDITIONS
AWARDS UNDER THE DIRECT COMPONENT AND THE CENTERS OF EXCELLENCE RESEARCH
GRANTS PROGRAM
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C FINANCIAL REQUIREMENTS
1. Aoolicable Regulations
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This Award is subject to the following federal regulations and requirements. This list is not
exclusive:
a. Uniform Administrative Requirements, Cost Principles, and Audit Requirements
for Federal Awards, 2 C.F.R. Part 200, Subparts A through F, and any Treasury 0
regulations incorporating these requirements. -19
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b. Treasury's RESTORE Act regulations, 31 C.F.R. Part 34.
c. Governmentwide Debarment and Suspension, 31 C.F.R. Part 19. U)
d. Governmentwide Requirements for Drug-Free Workplace,31 C.F.R. Part 20.
e. New Restrictions on Lobbying, 31 C.F.R. Part 21.
f. Reporting Subaward and Executive Compensation Information,2 C.F.R. Part
170. @
g. Award Term related to Trafficking in Persons, 2 C.F.R. Part 175.
2. Scone of Work
The recipient must only use funds obligated and disbursed under this Award for the
purpose of carrying out activities described in the attached approved scope of work.The
recipient must not incur or pay any expenses under this Award for activities not related to
the attached approved scope of work unless Treasury first approves an Award LO
amendment explicitly modifying the approved scope of work to include those activities.
3. Period of Performance: Pre-award Costs
The recipient must use funds obligated and disbursed under this Award only during the
period of performance specified in the Notice of Award,which is the time period during
which the recipient may incur new obligations and costs to carry out the work authorized
under this Award. The only exception is for costs incurred prior to the effective date of
this Award,which are allowable only if:
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a. Treasury specifically authorized these costs in writing on or after the issuance
date of this Award;
b. Incurring these costs was necessary for the efficient and timely performance of
the scope of work; and 19
c. These costs would have been allowable if incurred after the date of the award. U)
4. Indirect Costs
a. The recipient may only charge indirect costs to this Award if these costs are 0
allowable under 2 C.F.R. Part 200,subpart E (Cost Principles).
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b. Indirect costs charged must be consistent with an accepted de minimis rate or
the indirect cost rate agreement negotiated between the recipient and its
cognizant agency(defined as the federal agency that is responsible for
reviewing, negotiating, and approving cost allocation plans or indirect cost
proposals, see 2 C.F.R. §200.19)and must be included in the recipient's budget.
c. Unallowable direct costs are not recoverable as indirect costs.
d. The maximum dollar amount of allocable indirect costs charged to this Award
shall be the lesser of:
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i. The line item amount for the indirect costs contained in the approved
budget, including all budget revisions approved in writing by the
Treasury;or,
ii. The total indirect costs allocable to this Award based on the indirect cost 0
rate approved by a cognizant or oversight federal agency and applicable -19
to the period in which the cost was incurred, provided that the rate is
approved on or before the Award end date.
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5. Cost Sharing and Budget Limitations
a. The recipient is not required to contribute any matching funds.
b. The recipient shall not request or receive additional funding beyond what was
included in the approved application for the attached approved scope of work
from any federal or non-federal source without first notifying Treasury.
6. Program Income �?
Any program income (defined at 2 C.F.R. §200.80)generated by the recipient or the
subrecipient during the period of performance of the award or subrecipient agreement, U)
as applicable, must be included in the approved budget and be used for the purposes of
the Award and under the conditions of these Standard Terms and Conditions and any LO
Special Award Conditions, i.e.solely to accomplish the approved scope of work. `d
7. Incurring Costs or Obligating Federal Funds Beyond the Expiration Date
The recipient must not incur costs or obligate funds under this Award for any purpose
pertaining to the operation of the activity, project, or program beyond the end of the
period of performance. The only costs which are authorized for a period up to 90 days
following the end of the period of performance are those strictly associated with close-out
activities. Close-out activities are normally limited to the preparation of final progress,
financial, and required audit reports unless otherwise approved in writing by Treasury.
Under extraordinary circumstances, and at Treasury's sole discretion, Treasury may
approve the recipient's request for an extension of the 90-day closeout period.
8. Tax Refunds -19
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Refunds of taxes paid under the Federal Insurance Contributions Act(FICA)and the iM
Federal Unemployment Tax Act(FUTA)that are received by the recipient during or after the
period of performance must be refunded or credited to Treasury if these taxes were paid out
of RESTORE Act funds in accordance with 2 C.F.R. Part 200,subpart E (Cost Principles).
The recipient agrees to contact Treasury immediately upon receipt of these refunds.
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9. �Subawards
a. If the recipient is permitted to make subawards under this award, the recipient
must execute a legally binding written agreement with the subrecipient which
includes a budget by federal object class categories or fixed amount (2 CFR U)
200.332) if approved by Treasury. This agreement must incorporate all the
terms and conditions of this Award, including any Special Award Conditions,
and must include the information at 2 C.F.R. §200.331. The recipient must
perform all responsibilities required of a pass-through entity, as specified in 2
C.F.R. Part 200.
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b. The recipient must evaluate and document each subrecipient's risk of
noncompliance with federal statutes,federal regulations, and the terms and
conditions of the subaward for purposes of determining the appropriate
subrecipient monitoring strategy, as described in 2 C.F.R. §200.331(b).
c. The recipient must monitor the subrecipient's use of federal funds through -19
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reporting,site visits, regular contact, or other means to provide reasonable
assurance that the subrecipient is administering the subaward in compliance with
the RESTORE Act,Treasury's RESTORE Act regulations,these Standard Terms
and Conditions, Program-Specific Terms and Conditions, and any Special Award
Conditions, and to ensure that performance goals are achieved.
d. The recipient must provide training and technical assistance to the subrecipient
as necessary.
e. The recipient must, if necessary,take appropriate enforcement actions against
non-comp)iant su brecipients. t 3
f. If lower tier subawards are authorized by Treasury, the recipient must ensure that
a subrecipient who makes a subaward applies the terms and conditions of this t3
Award, including any Special Award Conditions,to all lower tier subawards
through a legally binding written agreement, and that a subrecipient who makes
a subaward carries out all the responsibilities of a pass-through entity described
at 2 C.F.R. Part 200.
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g. The recipient must maintain written standards of conduct governing the
performance of its employees involved in executing this Award and
administration of subawards.
i. No employee, officer, or agent shall participate in the selection, award,or
administration of a subaward 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 selected for a subaward.
ii. The officers, employees, and agents of the recipient shall neither solicit
nor accept anything of monetary value from subrecipients.
iii. A recipient may set standards for situations in which the financial interest
is not substantial or the gift is an unsolicited item of nominal value. A U)
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.
iv. The standards of conduct must provide for disciplinary actions to be
applied for violations of such standards by officers, employees,or agents
of the recipient.
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D RECIPIENT REPORTING AND AUDIT REQUIREMENTS
1. Financial Reports U)
a. The recipient must submit a"Federal Financial Report' (SF-425)on a semi-
annual basis for the periods ending March 31 and September 30 (or June 30 and
December 31, if instructed by Treasury), or any portion thereof, unless otherwise
specified in a special award condition. Reports are due no later than 30 days t3
following the end of each reporting period. A final SF-425 must be submittedLO
within 90 days after the end of the period of performance.
b. In the remarks section of each SF-425 submitted, the recipient must describe by
federal budget class category the use of all funds received by the recipient and
subrecipient (if applicable).
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c. The report must be signed by an authorized certifying official who is the U)
employee authorized by the recipient organization to submit financial data on its
behalf. U)
d. The recipient must submit all financial reports via http://www.GrantSolutions.gov,
unless otherwise specified by Treasury in writing.
2. Performance Reports
a. The recipient must submit an SF-PPR("Performance Progress Report"), a
"RESTORE Act Status of Performance Report," (standard format provided by
Treasury, OMB Approval No. 1505-0250)and an updated "RESTORE Act
Milestones Report," (standard format provided by Treasury, OMB Approval No. t3
1505-0250)on a semi-annual basis for the periods ending March 31 and
September 30 (or June 30 and December 31, if instructed by Treasury), or any
portion thereof, unless otherwise specified in a Special Award Condition. Reports
are due no later than 30 days following the end of each reporting period, except
the final report,which is due 90 days following the end of the period of LO
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performance.
b. The recipient must submit all performance reports in (a)above, via
http://www.GrantSolutions.gov, unless otherwise specified in writing by Treasury,
and the recipient must complete these reports according to the following
instructions:
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i. SF-PPR: In the"performance narrative" attachment(section B of the SF-
PPR),the recipient must provide the following information:
a) In Section B-1:
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1) Summarize activities undertaken during the reporting period by the
recipient and any subrecipients (if applicable);
2) Summarize any key accomplishments, including milestones
completed for the reporting period; 19
3) List any contracts awarded during the reporting period, along U)
with the name of the contractor and its principal,the DUNS
number of the contractor, the value of the contract, the date of
award, a brief description of the services to be provided, and
whether or not local preference was used in the selection of the
contractor;and
4) If the recipient or any subrecipient is authorized to make
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subawards, list any subawards executed during the reporting
period, along with the name of the entity and its principal, the
DUNS number of the entity, the value of the agreement, the
date of award, and a brief description of the scope of work.
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b) In Section B-2:
1) Indicate if any operational, legal, regulatory, budgetary, and/or
ecological risks, and/or any public controversies, have
materialized. If so, indicate what mitigation strategies have been t3
undertaken to attenuate these risks or controversies; and
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2) Summarize any challenges that have impeded the recipient's
ability to accomplish the approved scope of work on schedule
and on budget. If the scope of work is not on schedule, the
recipient should propose a revised schedule and update its
milestone report. 19
c) In Section B-3:
Summarize any significant findings or events, including any data
compiled, collected,or created, if applicable. cis
d) In Section B-4:
Describe any activities to disseminate or publicize results of the activity,
project,or program, including data and its repository and citations for 0
publications resulting from this Award. C
e) In Section B-5:
1) Describe all efforts taken to monitor contractor and/or
subrecipient performance, including site visits,during the
reporting period.
2) For subawards, indicate whether the subrecipient(s)
submitted an audit to the recipient, and if so, whether the
recipient issued a management decision on any findings; LO
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and
3) For awards where Davis-Bacon Act provisions are applicable, C
indicate whether the recipient and/or subrecipient(s) received
and reviewed certified weekly payroll records and/or whether
the recipient or subrecipient(s)conducted labor interviews.
4) Describe any other activities or relevant information not already
provided.
f) In Section B-6:
Summarize the activities planned for the next reporting period.
ii. "RESTORE Act Status of Performance Report": Instructions are
provided on the report form.
iii. "RESTORE Act Milestones Report": Instructions are provided on the
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report form. U)
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3. Interim Reporting on Significant Developments per 2 C.F. R. &200.328(d) 0
a. Events may occur between the scheduled performance reporting dates that have
significant impact upon the activity, project, or program. In such cases, the
recipient must inform Treasury as soon as the following types of conditions
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become known:
i. Problems, delays, or adverse conditions which will materially impair the
ability to meet the objective of this Award.This disclosure must include a
statement of the action taken, or contemplated, and any assistance U)
needed to resolve the situation.
ii. Favorable developments,which enable meeting time schedules and
objectives sooner or at less cost than anticipated or producing more or
different beneficial results than originally planned. t3
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b. The recipient must:
i. Promptly provide to Treasury and the Treasury Inspector General a copy
of all state or local inspector general reports, audit reports other than
those prepared under the Single Audit Act, and reports of any other
oversight body, if such report pertains to an award under any RESTORE U)
Act component, including the Comprehensive Plan Component and Spill
Impact Component.
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ii. Immediately notify Treasury and the Treasury Inspector General of any >
indication of fraud,waste, abuse, or potentially criminal activity pertaining
to grant funds.
iii. Promptly notify Treasury upon the selection of a contractor or
subrecipient performing work under this Award, and include the name @
and DUNS number for the subrecipient or contractor, and the total
amount of the contract or subaward.
4. Audit Reauirements
The recipient is responsible for complying,and ensuring all subrecipients comply, with all °M
audit requirements of the Single Audit Act and 2 C.F.R. Part 200 Subpart F—Audit
Requirements.
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5. Ooerational Self-Assessment
The recipient must submit a revised Operational Self-Assessment form no later than June
30th of each calendar year for the duration of this Award. Only one Operational Self-
Assessment must be submitted per recipient per year. In completing the form,the a
recipient must note controls or activities that have changed from its previous submission.
The recipient must submit the Operational Self-Assessment electronically to
restoreactCa)treasury.aov, unless otherwise specified in writing by Treasury. The form
may be downloaded at._ irecf..Ccm. an n1 Q5.® or.. enters„of Excellence...OSA....
E FINANCIAL MANAGEMENT SYSTEM AND INTERNAL CONTROL REQUIREMENTS
1. Recipients that are states must expend and account for Award funds in accordance with
the applicable state laws and procedures for expending and accounting for the state's -19
own funds. All other recipients must expend and account for Award funds in
accordance with federal laws and procedures. In addition, all recipients'financial
management systems must be sufficient to:
a. Permit the preparation of accurate, current, and complete SF-425, SF-PPR,
RESTORE Act Milestones Report, and RESTORE Act Status of Performance
Reports, as well as reporting on subawards, if applicable, and any additional
reports required by any Special Award Conditions;
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b. Permit the tracing of funds to a level of expenditures adequate to establish that
such funds have been used in accordance with all applicable federal, state, and
local requirements, including the RESTORE Act, Treasury RESTORE Act
regulations,these Standard Terms and Conditions, Program-Specific Terms and
Conditions, and any Special Award Conditions.
c. Allow for the comparison of actual expenditures with the amount budgeted for
each Award made to the recipient by Treasury under the RESTORE Act.
d. Identify and track all RESTORE Act awards received and expended by the t3
assigned grant number,which is the Universal Award ID (as provided byLO
Treasury), the year the Award was made, the awarding agency(Treasury), and
the program's CFDA title and CFDA number(21.015).
e. Record the source and application of funds for all activities funded by this Award,
as well as all awards, authorizations,obligations, unobligated balances, assets,
expenditures, program income, and interest earned on federal advances, and 19
allow users to tie these records to source documentation such as cancelled
checks, paid bills, payroll and attendance records, contract and subaward
agreements,etc.
f. Ensure effective control over, and accountability for, all federal funds, and all
property and assets acquired with federal funds. The recipient must adequately @
safeguard all assets and ensure that they are used solely for authorized
purposes.
2. The recipient must establish written procedures to implement the requirements set forth
in section H below(Award Disbursement), as well as written procedures to determine the t3
allowability of costs in accordance with 2 C.F.R. Part 200, subpart E (Cost Principles)and
the terms and conditions of this Award.
3. The recipient must establish and maintain effective internal controls over this Award in a
manner that provides reasonable assurance that the recipient is managing this Award in
compliance with the RESTORE Act,Treasury's RESTORE Act regulations, these
Standard Terms and Conditions, Program-Specific Terms and Conditions, and any
Special Award Conditions. These internal controls should be in compliance with guidance LO
in"Standards for Internal Control in the Federal Government" issued by the Comptroller
General of the United States or the"Internal Control Integrated Framework", issued by @
the Committee of Sponsoring Organizations of the Treadway Commission (COSO). The
recipient must evaluate and monitor its compliance, and the compliance of any
subrecipients,with the RESTORE Act,Treasury's RESTORE Act regulations,these
Standard Terms and Conditions, Program-Specific Terms and Conditions, and any
Special Award Conditions, and promptly remedy any identified instances of
noncompliance.When and if an instance of noncompliance cannot be remedied by the
recipient,the recipient must promptly report the instance of noncompliance to Treasury
and the Treasury Inspector General,followed by submitting a proposed mitigation plan to
Treasury.
4. The recipient must take reasonable measures to safeguard protected personally
identifiable information (PII)consistent with applicable federal,state, and local laws
regarding privacy and obligations of confidentiality. 19
U)
F RECORDS RETENTION REQUIREMENTS
1. The recipient must retain all records pertinent to this Award for a period of three years,
beginning on a date as described in 2 C.F.R. §200.333. While electronic storage of
records(backed up as appropriate) is preferable, the recipient has the option to store
records in hardcopy(paper)format. For the purposes of this section, the term "records"
includes but is not limited to:
December 2018 Page 10
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M.3.a
a. Copies of all contracts and all documents related to a contract, including the
Request for Proposal (RFP), all proposals/bids received, all meeting minutes or
other documentation of the evaluation and selection of contractors, any disclosed
conflicts of interest regarding a contract, all signed conflict of interest forms, all
conflict of interest and other procurement rules governing a particular contract,
and any bid protests;
b. Copies of all subawards and all documents related to a subaward. For
competitively selected subawards, documents may include those relevant to and
required by the recipient's or subrecipient's selection process such as the
funding opportunity announcement or equivalent, all applications received, all LO
meeting minutes or other documentation of the evaluation and selection of t3
subrecipients, any disclosed conflicts of interest regarding a subaward, and all
signed conflict of interest forms;
c. All documentation of site visits, reports, audits, and other monitoring of
19
contractors(vendors)and subrecipients; U)
M
d. All financial and accounting records, including records of disbursements to
contractors(vendors)and subrecipients, and documentation of the allowability of U)
0
Administrative Costs charged to this Award; >
e. All supporting documentation for the performance outcome and other information
reported on the recipient's SF-425s, SF-PPRs, RESTORE Act Milestones
Reports, and RESTORE Act Status of Performance Reports;and
f. Any reports, publications, and data sets from any research conducted under this
Award.
2. If any litigation, claim, investigation,or audit relating to this Award or an activity funded
with Award funds is started before the expiration of the three year period, the records
must be retained until all litigation, claims, investigations,or audit findings involving the
records have been resolved and final action taken.
U)
3. If the recipient is authorized to enter into contracts to complete the approved scope of
work, the recipient must include in its legal agreement with the contractor a requirement
LO
that the contractor retain all records in compliance with 2 C.F.R. §200.333.
4. If the recipient is authorized to make subawards, the recipient must include in its legal
agreement with the subrecipient a requirement that the subrecipient retain all records in
compliance with 2 C.F.R. §200.333.
0
G THE FEDERAL GOVERNMENT'S RIGHT TO INSPECT,AUDIT,AND INVESTIGATE
1. Access to Records
a. Treasury,the Treasury Office of Inspector General, and the Government
Accountability Office have the right of timely and unrestricted access to any
documents, papers or other records, including electronic records,of the recipient
that are pertinent to this Award, in order to make audits, investigations,
examinations, excerpts,transcripts, and copies of such documents.This right
also includes timely and reasonable access to the recipient's personnel for the
purpose of interview and discussion related to such documents. This right of U)
access shall continue as long as records are required to be retained.
b. If the recipient is authorized to make subawards,the recipient must include in its
legal agreement or contract with the subrecipient a requirement that the
subrecipient make available to Treasury,the Treasury Office of Inspector
General, and the Government Accountability Office any documents, papers or
other records, including electronic records,of the subrecipient, that are pertinent
December 2018 Page 11
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M.3.a
to this Award, in order to make audits, investigations, examinations, excerpts,
transcripts, and copies of such documents. This right also includes timely and
reasonable access to the subrecipient's personnel for the purpose of interview
and discussion related to such documents.This right of access shall continue as
long as records are required to be retained (see Section F above).
If the recipient is authorized to enter into contracts to complete the approved
scope of work, the recipient must include in its contract a requirement that the
contractor make available to Treasury,the Treasury Office of Inspector General,
and the Government Accountability Office any documents, papers or other
records, including electronic records, of the contractor that are pertinent to this LO
Award, in order to make audits, investigations, examinations, excerpts, t3
transcripts, and copies of such documents. This right also includes timely and
reasonable access to the contractor's personnel for the purpose of interview and
discussion related to such documents. This right of access shall continue as long
as records are retained (see Section F above). -19
U)
2. Access to the Recipient's Sites.
U)
The Treasury,the Treasury Office of Inspector General, and Government Accountability
Office shall have the right during normal business hours to conduct announced and
unannounced onsite and offsite physical visits of recipients and their subrecipients and
contractors corresponding to the duration of their records retention obligation for this �?
Award.
H AWARD DISBURSEMENT
1. Unless otherwise specified in a Special Award Condition,Treasury will make advance
payments under this Award. However, if one of the following occurs, Treasury will �?
require Award funds to be disbursed on a reimbursement basis either with or without
pre-approval of drawdown requests: (1)Treasury determines that the recipient does aM
not meet the financial management system standards(see Section E) included in
these Standard Terms and Conditions, (2) Treasury determines that the recipient has
not established procedures that will minimize the time elapsing between the transfer ofLO
funds and disbursement, or(3) Treasury determines that the recipient is in
noncompliance with the RESTORE Act, Treasury's RESTORE Act regulations,other
pertinent federal statutes,these Standard Terms and Conditions, Program-Specific
Terms and Conditions, and/or any Special Award Conditions, and determines that the
appropriate remedy is to require payment on a reimbursement basis.
0
2. If reimbursement is used, Treasury may require pre-approval of drawdown requests. If
Treasury requires pre-approval of drawdown requests, Treasury will provide the
recipient with instructions on what billing to submit. Treasury will make payment
within 30 calendar days after receipt of the billing, unless Treasury determines the
request to be improper, in which case payment will not be made.
3. To the extent available,the recipient must disburse funds available from program
income, rebates, refunds, contract settlements, audit recoveries, and interest earned
on such funds before requesting additional cash payments of Award funds.
4. Treasury will use the Department of Treasury's Automated Standard Application for 19
Payment(ASAP)system to disburse payments of Award funds. In order to receive
payments, the recipient must first enroll in ASAP.gov. Treasury creates and funds
account(s)for recipients in ASAP.gov, and recipients access their account(s)online to
request funds. All Award funds will be disbursed electronically using the Automated
Clearing House (ACH)for next day or future day payments only. Awards paid through
ASAP.gov may contain controls or withdrawal limits set by Treasury.
5. Requirements applicable to recipients that are states: Payment methods of state
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M.3.a
agencies or instrumentalities must be consistent with Treasury-State agreements under
the Cash Management Improvement Act, 31 C.F.R. Part 205"Rules and Procedures for
Efficient Federal-State Funds Transfers,"and Treasury Financial Manual (TFM)4A-2000
Overall Disbursing Rules for All Federal Agencies.
a�
6. Requirements applicable to recipients that are not states: The recipient must minimize
the time between the transfer of funds from Treasury and the use of the funds by the
recipient. Advance payments to the recipient must be limited to the minimum amounts
needed and be timed to be in accordance with the actual, immediate cash requirements
of the recipient in carrying out the purpose of the approved activity, project, or program.
LO
The timing and amount of advance payments must be as close as is administratively
feasible to the actual disbursements by the parish or county for activity, project,or
program costs and the proportionate share of any allowable indirect costs. Advances
should not be drawn down more than three business days before expenditure.
Advanced funds not disbursed in a timely manner must be promptly returned to 0
Treasury.The recipient must make timely payment to contractors(vendors)in -19
19
accordance with the contract provisions.
7. Advances of federal funds must be deposited and maintained in United States U)
Government-insured interest-bearing accounts whenever possible. The recipient is not >
required to maintain a separate depository account for receiving Award funds. If the
recipient maintains a single depository account where advances are commingled with
funds from other sources, the separate subaccount recipient must maintain on its books a se
p� p
for the Award funds. Consistent with the national goal of expanding opportunities for
women-owned and minority-owned business enterprises,the recipient is encouraged to
ensure fair consideration of women-owned and minority-owned banks(a bank which is
owned at least 50 percent by women or minority group members).
8. The recipient must maintain advances of federal funds in interest bearing accounts,
unless one of the following conditions applies: .�
a. The recipient receives less than $120,000 in federal awards per year;
U)
b. The best reasonably available interest bearing account would not be expected to
earn interest in excess of$500 per year on federal cash balances; or
LO
c. The depository would require an average or minimum balance so high that it
would not be feasible within the expected federal and non-federal cash @
resources.
9. On an annual basis, the recipient must remit interest earned on federal advance
payments deposited in interest-bearing accounts to the Department of Health and Human
Services, Payment Management System, Rockville, MD 20852. Interest amounts up to
$500 per year may be retained by the recipient and used for administrative costs.
0
I EFFECT OF A GOVERNMENT SHUTDOWN ON DISBURSEMENTS AND THE AVAILABILITY
OF TREASURY PERSONNEL
In the event of a federal government shutdown, Treasury will issue guidance to the recipient
concerning the expected effects on this Award.
19
U)
J NOTIFICATIONS AND PRIOR APPROVALS
1. Notifications
In addition to other notifications required under these Standard Terms and Conditions,
the recipient must promptly notify Treasury in writing whenever any of the following is
anticipated or occurs:
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M.3.a
a. A vacancy or change to key personnel listed in the application.
b. Any termination of a subaward prior to the expiration of the agreement with the
subrecipient.
c. Except for changes described in (2)below, the recipient may revise the budget
without prior approval. If the recipient alters the budget, the recipient must
provide a revised budget form (SF-424A or SF-424C, as applicable)to Treasury
as an attachment to the SF-PPR, reflecting all budget revisions from the same
period covered by the SF-PPR.Acceptance of such budget information does not t3
constitute Treasury's approval of the revised budget. LO
N
2. Prior Aoorovals
a. The recipient must obtain prior written approval from Treasury whenever any of
the following actions is anticipated: 19
U)
i. A change in the scope or the objective of the activity, project, or
program (even if there is no associated budget revision requiring
prior written approval);
ii. A need to extend the period of performance;
iii. A need for additional federal funds to complete the activity, project,
or program;
iv. The transfer of funds among direct cost categories or programs, C
functions, and activities if this Award exceeds the Simplified
Acquisition Threshold (defined at 2 C.F.R. §200.88)and the
cumulative amount of such transfers exceeds or is expected to
exceed 10 percent of the total budget as last approved by Treasury; t3
V. The subawarding,transferring or contracting out of any work under
this Award (this provision does not apply to the acquisition of
supplies, material, equipment or general support services), unless
described in the application and approved in this Award.;
LO
vi. Any transfer between the non-construction and construction _
activities;and C
vii. The inclusion of costs that require prior approval in accordance with
2 C.F.R. Part 200, Subpart E—Cost Principles, unless described in
the application and approved in this Award. a
b. If requesting a no-cost extension to this Award, the request must be made no
less than 30 days prior to the end of the period of performance for this Award.
Any extension of the period of performance requires prior written approval from
Treasury. a
K PROPERTY
1. General Reauirements 19
a. The recipient must comply with the property standards at 2 C.F.R. §200.310 U)
through§200.316 for real property, equipment, supplies, and intangible
property. The recipient must also comply with the RESTORE Act requirements
concerning the acquisition of land and interests in land at 31 C.F.R. §34.803. 0
b. No real property or interest in real property may be acquired under this Award
unless authorized in the approved scope of work.
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M.3.a
2. Suoolies and Eauioment
a. Requirements that are applicable to recipients that are states:
i. Equipment: The recipient must use, manage, and dispose of equipment
acquired under this Award in accordance with state laws and
procedures.
ii. Supplies: If the recipient has a residual inventory of unused supplies
exceeding$5,000 in total aggregate value upon termination or
completion of the activity, project,or program and the supplies are not
LO
needed for any other federal award,the recipient must report the value
and the retention or sale of such supplies by submitting to Treasury a
completed SF-428 Tangible Personal Property Report and SF-428-8
Final Report Form no later than 60 days after the end of the Period of
Performance.
19
U)
b. Requirements that are applicable to recipients that are not states:
i. Equipment and Supplies: During the period of performance, the
recipient must seek disposition instructions from Treasury for cis
equipment and/or unused or residual supplies acquired under this Award
if the current fair market value of the equipment and/or unused or �?
residual supplies is greater than $5,000 per unit.The recipient must
seek disposition instructions before disposing of the property by 0
submitting a completed SF-428 Tangible Personal Property Report
and SF-428-C Disposition RequestlReport. Not later than 60 days t3
after the end of the period of performance,the recipient must submit
to Treasury a completed SF-428 Tangible Personal Property Report
and SF-428-8 Final Report Form if the recipient retains any .�
equipment with a current fair market value greater than $5,000 per unit
or a residual inventory of unused supplies exceeding$5,000 in total U)
aggregate value upon termination or completion of the activity, project,
or program and the equipment and/or supplies are not needed for
LO
any other federal award. N
L AMENDMENTS AND CLOSEOUT
1. Amendments
0
a. The terms of this Award may be amended with the written approval of the
recipient and Treasury.
b. Treasury reserves the right to amend the terms of this Award if required by
federal law or regulation. a
c. Amendments must be requested in writing, and must include an explanation for �-
the reason this Award should be amended.
2. Closeout 19
U)
a. Treasury will closeout this Award when it determines that all applicable
administrative actions and all required work of this Award have been completed.
b. Within 90 calendar days after the end of the period of performance, unless the E
recipient requests, and Treasury approves, an extension, the recipient must
submit any outstanding SF-PPR and RESTORE Act Status of Performance
reports, as well as the required reporting on subawards, if applicable, plus a final
SF-425 report. In the remarks section of the final SF-425 report, the recipient
December 2018 Page 15
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M.3.a
must describe by federal budget class category the final use of all funds received
by the recipient and subrecipient(if applicable).
c. The recipient must liquidate all obligations incurred under this Award not later
than 90 calendar days after the end of the period of performance, unless the
recipient requests, and Treasury approves, an extension.
d. The recipient must promptly refund any balances of unobligated cash that
Treasury paid.
eO
e. Following receipt of reports in paragraph (a)of this section,Treasury will make
upward or downward adjustments to the allowable costs, and then make
prompt payment to the recipient for allowable, unreimbursed costs.
f. The closeout of this Award does not affect any of the following: 19
i. The right of Treasury to disallow costs and recover funds on the basis of U)
a later audit or other review;
ii. The obligation of the recipient to return any funds due as a result of U)
later refunds, corrections,or other transactions including final indirect >
cost rate adjustments;
iii. The recipient's obligations regarding audits, property management and �?
disposition(if applicable), and records retention.
M REMEDIES FOR NONCOMPLIANCE t3
1. If Treasury determines that the recipient has failed to comply with the RESTORE Act,
Treasury's RESTORE Act regulations,these Standard Terms and Conditions, Program- t3
Specific Terms and Conditions, or any Special Award Conditions,Treasury may take any
of the following actions(in addition to the remedies in Section A.3, above, applicable to
Direct Component awards):
a. Impose additional Special Award Conditions such as:
LO
i. Allowing payment only on a reimbursement basis,with pre-approval of
drawdown requests,
ii. Requiring additional reporting or more frequent submission of the SF-
425, SF-PPR, or RESTORE Act Status of Performance Report,
iii. Requiring additional activity, project,or program monitoring,
iv. Requiring the recipient or one or more of its subrecipients to obtain
technical or management assistance, and/or
V. Establishing additional actions that require prior approval;
b. Temporarily withhold payments pending correction of the noncompliance;
c. Disallow from funding from this Award all or part of the cost of the activity or
action not in compliance;
d. Wholly or partly suspend or terminate this Award; -19
19
e. Withhold additional Awards; and/or
f. Initiate suspension or debarment proceedings as authorized under 2 C.F.R. Part
180.
Treasury will notify the recipient in writing of Treasury's proposed determination that an
instance of noncompliance has occurred, provide details regarding the instance of
noncompliance, and indicate the remedy that Treasury proposes to pursue. The recipient
December 2018 Page 16
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M.3.a
will have 30 calendar days to respond and provide information and documentation
contesting Treasury's proposed determination or suggesting an alternative remedy.
Treasury will consider any and all information provided by the recipient and issue a final
determination in writing,which will state Treasury's final findings regarding
noncompliance and the remedy to be imposed.
2. In extraordinary circumstances, Treasury may require that any of the remedies above
take effect immediately upon notice in writing to the recipient. In such cases, the recipient
may contest Treasury's determination or suggest an alternative remedy in writing to
Treasury, and Treasury will issue a final determination.
eO
3. Instead of, or in addition to, the remedies listed above, Treasury may refer the
noncompliance to the Treasury Office of Inspector General for investigation or audit.
Treasury will refer all allegations of fraud,waste, or abuse to the Treasury Inspector
General.
4. Treasury may terminate this Award in accordance with 2 C.F.R. §200.339. Requests for -19
19
termination by the recipient must also be in accordance with 2 C.F.R. §200.339. Such
requests must be in writing and must include the reasons for such termination, the
effective date, and in the case of partial termination, the portion to be terminated. If
Treasury determines that the remaining portion of this Award will not accomplish the
purpose of this Award,Treasury may terminate this Award in its entirety.
5. If this Award is terminated, Treasury will update or notify any relevant government-wide
systems or entities of any indications of poor performance as required by 41 U.S.C. §
417b and 31 U.S.C. §3321 and implementing guidance at 2 C.F.R. Part 180.
6. Costs that result from obligations incurred by the recipient during a suspension or after
termination are not allowable unless Treasury expressly authorizes them in the notice of
suspension or termination or subsequently. However, costs during suspension or after
termination are allowable if: (1)the costs result from obligations which were properly .�
incurred by the recipient before the effective date of suspension or termination, and are
not in anticipation of it; and (2)the costs would be allowable if the Award was not U)
suspended or expired normally at the end of the period of performance in which the
termination takes effect.
LO
N
N DEBTS
1. Payment of Debts Owed the Federal Government
a. Any funds paid to the recipient in excess of the amount to which the recipient is
finally determined to be authorized to retain under the terms of this Award
constitute a debt to the federal government.
b. Any debts determined to be owed the federal government must be paid promptly
by the recipient. A debt is delinquent if it has not been paid by the date specified
in Treasury's initial written demand for payment, unless other satisfactory
arrangements have been made. Interest, penalties, and administrative charges
(see paragraphs c, d, and e below)shall be charged on delinquent debts in
accordance with 31 U.S.C. §3717 and 31 C.F.R. §901.9. Treasury will refer any
debt that is more than 180 days delinquent to Treasury's Bureau of the Fiscal
Service for debt collection services. U)
c. The minimum annual interest rate to be assessed on any debts is the Department
of the Treasury's Current Value of Funds Rate (CVFR). The CVFR is available
online at httpse//www.fiscal.treasury.gov/fsreports/r t/cvfr/cvfr home.htm.The
assessed rate shall remain fixed for the duration of the indebtedness, based on
the beginning date in Treasury's written demand for payment.
d. Penalties on any debts shall accrue at a rate of not more than 6 percent per year
December 2018 Page 17
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M.3.a
or such other higher rate as authorized by law.
e. Administrative charges, that is, the costs of processing and handling a delinquent
debt, shall be determined by Treasury.
f. 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.
2. Effect of Judgment Lien on Eligibility for Federal Grants. Loans.or ProgramsLO
N
Pursuant to 28 U.S.C. §3201(e), unless waived in writing by Treasury, a debtor who has
a judgment lien against the debtor's property for a debt to the United States shall not be
eligible to receive any grant or loan that is made, insured,guaranteed, or financed
directly or indirectly by the United States or to receive funds directly from the federal
government in any program, except funds to which the debtor is entitled as beneficiary, 19
until the judgment is paid in full or otherwise satisfied.
U)
O 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
is required to comply with all non-discrimination requirements summarized in this section, and to
ensure that all subawards and contracts contain these nondiscrimination requirements.
1. Statutory Provisions �?
a. Title VI of the Civil Rights Act of 1964 (42 U.S.C. §§2000d et seq.) prohibits
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 U.S.C. §§ 1681 et seq.) LO
prohibits 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 U.S.C. §794)
prohibits discrimination on the basis of handicap under any program or activity
receiving or benefitting from federal assistance;
d. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§6101 et seq.),
prohibits discrimination on the basis of age in programs or activities receiving g,
federal financial assistance;
e. The Americans with Disabilities Act of 1990, as amended (42 U.S.C. §§ 12101 et
seq.)("ADA"), including the ADA Amendments Act of 2008 (Public Law 110-325,
("ADAAA"), prohibits 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; -19
19
f. Any other applicable non-discrimination law(s).
2. Regulatory Provisions
a. Treasury Title VI regulations, 31 C.F.R. Part 22, implement Title VI of the Civil
Rights Act of 1964, as amended (42 U.S.C. §§2000d, et seq.)which prohibits
discrimination on the grounds of race, color, or national origin under programs or
December 2018 Page 18
Packet Pg. 1836
M.3.a
activities receiving federal financial assistance;
b. Treasury Title IX regulations, 31 C.F.R. Part 28, implement Title IX of the
Education Amendments of 1972 (20 U.S.C. §§ 1681 et seq.)which prohibits
discrimination on the basis of sex under federally assisted education programs
or activities;
c. Treasury Age Discrimination regulations, 31 C.F.R. Part 23, implement the Age
Discrimination Act of 1975, which prohibits discrimination on the basis of age in
programs and activities receiving federal financial assistance. t3
LO
N
U
3. Other Provisions V.-
a. Parts II and III of EO 11246 (30 Fed. Reg. 12319, 1965), "Equal Employment
Opportunity,"as amended by EO 11375 (32 Fed. Reg. 14303, 1967)and 12086
(43 Fed. Reg.46501, 1978), require federally assisted construction contracts to 19
include the nondiscrimination provisions of§§202 and 203 of EO 11246 and
Department of Labor regulations implementing EO 11246(41 C.F.R. §60-1.4(b),
1991).
b. EO 13166(August 11,2000), "Improving Access to Services for Persons With _
Limited English Proficiency," requires federal agencies to examine the services @
provided, identify any need for services to those with limited English proficiency
(LEP), and develop and implement a system to provide those services so LEP
persons can have meaningful access to them.
4. Title VII Exemption for Reliaious Oraanizations
Generally,Title VI of the Civil Rights Act of 1964, 42 U.S.C. §§2000e et seq., provides
that it shall be an unlawful employment practice for an employer to discharge any
individual or otherwise to discriminate against an individual with respect to compensation,
terms, conditions,or privileges of employment because of such individual's race, color,
religion,sex, or national origin. However, Title VII, 42 U.S.C. §2000e-1(a), expresslyLO
exempts from the prohibition against discrimination on the basis of religion, a religious
corporation, association, educational institution,or society with respect to the
employment of individuals of a particular religion to perform work connected with the
carrying on by such corporation, association, educational institution,or society of its
activities.
0
5. Protections for Whistleblowers
In accordance with 41 U.S.C. §4712, neither the recipient nor any of its subrecipients,
contractors(vendors),or subcontractors may discharge,demote,or otherwise
discriminate against an employee as a reprisal for disclosing information to a person or
entity listed below that the employee reasonably believes is evidence of gross
mismanagement of a federal contract or grant, a gross waste of federal funds, an abuse
of authority relating to a federal contract or grant, a substantial and specific danger to
public health or safety, or a violation of law, rule, or regulation related to a federal
contract(including the competition for or negotiation of a contract)or grant: -19
19
a. A Member of Congress or a representative of a committee of Congress;
b. An Inspector General;
c. The Government Accountability Office;
d. A Treasury employee responsible for contract or grant oversight or management;
e. An authorized official of the Department of Justice or other law enforcement
December 2018 Page 19
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M.3.a
agency;
f. A court or grand jury; and/or
g. A management official or other employee of the recipient, subrecipient,vendor,
contractor(vendor), or subcontractor who has the responsibility to investigate,
discover,or address misconduct.
P REQUIREMENT TO CHECK DEBARMENT AND SUSPENSION STATUS OF �3
SUBRECIPIENTS,CONTRACTORS,SUBCONTRACTORS AND VENDORS LO
N
1. Recipients that are authorized to enter into subawards or contracts to accomplish all or a
portion of the approved scope of work must verify that a proposed subrecipient or
contractor(if the contract is expected to equal or exceed $25,000)or its principals, does
not appear on the federal government's Excluded Parties List prior to executing an
agreement or contract with that entity. Recipients may not enter into a subaward or 19
contract with an entity that appears on the Excluded Parties List.The Excluded Parties
List is accessible at httpe//www.sam.gov.
U)
2. The recipient must ensure that any agreements or contracts with subrecipients or
contractors(vendors)require that they verify that their contractors(for contracts expected ®_
to equal or exceed $25,000), subcontractors(for subcontracts expected to equal or
exceed $25,000), or principals that the subrecipients or contractors engage to accomplish
the scope of work, if applicable, do not appear on the federal government's Excluded
Parties List. Subrecipients and contractors may not enter into a contract or subcontract @
with an entity, or that entity's principals, if that entity or its principals appear on the
Excluded Parties List.
3. The recipient must include a term or condition in all lower tier covered transactions
(subawards, contracts, and subcontracts described in 31 C.F.R. Part 19,subpart B)that
the award is subject to 31 C.F.R. Part 19.
U)
Q DRUG FREE WORKPLACE
LO
The recipient must comply with the provisions of the Drug-Free Workplace Act of 1988 (Public
Law 100-690,Title V, Sec. 5153, as amended by Public Law 105-85, Div.A,Title VIII, Sec. 809,
as codified at 41 U.S.C. §8102), and Treasury implementing regulations at 31 C.F.R. Part 20,
which require that the recipient take steps to provide a drug-free workplace.
0
R LOBBYING RESTRICTIONS
1. Lobbying Restrictions
a. Solely for the purposes of Section R of these Standard Terms and Conditions,
"recipient" is used as defined at 31 C.F.R. §21.105(0). Solely for the purposes of
Section R of these Standard Terms and Conditions, "award recipient" refers to the
recipient of this RESTORE Act award from Treasury.
b. All recipients must comply with the provisions of 31 U.S.C. § 1352, as amended, 0
and with regulations at 31 C.F.R. Part 21. No appropriated funds may be expended -19
19
by the recipient of a Federal grant to pay any person for influencing or attempting to M
influence an officer or employee of any agency, a Member of Congress, an officer
or employee of Congress, or an employee of a Member of Congress in connection
with the making of any Federal grant or the extension, continuation, renewal,
amendment, or modification of any Federal grant.
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2. Certification
a. Each person who requests or receives from Treasury a RESTORE Act grant shall
file with Treasury a certification, set forth in Appendix A of 31 C.F.R. Part 21, that
the person has not made, and will not make, any payment prohibited under 31 U)
U.S.C. § 1352, as amended.
b. The certification shall be filed pursuant to 31 C.F.R. §21.100(a) and (b).
c. Any subrecipient, at any tier, who receives a subaward exceeding $100,000 under
this award, shall file with the tier above them a certification, set forth in appendix A
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of 31 C.F.R. Part 21, that the subrecipient as not made, and will not make, any
payment prohibited by 31 C.F.R. §21.100(a). Pursuant to 31 C.F.R. 21.100(d), the
certification shall be filed to the next tier above.
d. Any contractor or subcontractor, at any tier, who receives a contract or subcontract
exceeding $100,000 under this award, shall file with the tier above them a
certifications, set forth in Appendix A of 31 C.F.R. Part 21, that the contractor or U)
subcontractor has not made, and will not make, any payment prohibited by 31
U.S.C. § 1352, as amended. Pursuant to 31 C.F.R. 21.100(d), the certification U)
shall be filed to the next tier above. >
e. Every certification filed shall be treated as a material representation of fact upon
which all receiving tiers shall rely. All liability arising from an erroneous t3
representation shall be borne solely by the tier filing that representation and shall
not be shared with any tier to which the erroneous representation if forwarded. 0
Submitting an erroneous certification or disclosure constitutes a failure to file the
required certification. If a person fails to file a required certification, the United t3
States may pursue all available remedies, including those authorized by 31 U.S.C.
§ 1352.
3. Disclosure of Lobbying Activities U)
0
a. The award recipient of this RESTORE Act grant from Treasury, if this grant
exceeds $100,000, shall file with Treasury disclosure form SF-LLL, set forth in LO
Appendix B of 31 CF.R. Part 21, if that award recipient is paid or will pay any
funds, other than Federal appropriated funds, to any person for influencing or @
attempting to influence an officer or employee of any agency, a Member of
Congress, an officer or employee of any agency, a Member of Congress, an
officer or employee of Congress, or an employee of a Member of Congress in
connection with this Federal grant. o
b. Every recipient of a subaward under this RESTORE Act grant from Treasury, if
this grant exceeds $100,000, shall file with the tier above it the disclosure form
SF-LLL, set forth in Appendix B of 31 C.F.R. Part 21, if that recipient has paid
or will pay any funds, other than Federal appropriated funds, to any person for o
influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, 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 this Federal grant. Each tier who receives the 0
completed and signed SF-LLL disclosure form shall forward it to the tier above -19
it, and the award recipient of this RESTORE Act grant from Treasury will M
forward it to Treasury.
c. Every recipient of a contract or subcontract under this RESTORE Act grant
from Treasury, if this grant exceeds $100,000, shall file with the tier above it the
disclosure form SF-LLL, set forth in Appendix B of 31 C.F.R. Part 21, if that
recipient has paid or will pay any funds, other than Federal appropriated funds,
to any person for influencing or attempting to influence an officer or employee
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of any agency, a Member of Congress, 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 this Federal grant. Each tier who
receives the completed and signed SF-LLL disclosure form shall forward it to
the tier above it, and the award recipient of this RESTORE Act grant from
Treasury will forward it to Treasury.
d. Every SF-LLL disclosure form filed shall be treated as a material representation
of fact upon which all receiving tiers shall rely. All liability arising from an
erroneous representation shall be borne solely by the tier filing that
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representation and shall not be shared with any tier to which the erroneous
representation is forwarded. Submitting an erroneous certification or disclosure
constitutes a failure to file the required certification. If a person fails to file a
required disclosure, the United States may pursue all available remedies,
including those authorized by 31 US.C. § 1352,
19
e. Pursuant to 31 C.F.R. §21.110(c), every recipient must file a new disclosure U)
form at the end of each calendar quarter in which a payment, or an agreement
to make a payment, is made which would have otherwise required reporting at U)
the time of application. Moreover, if an event occurs during the calendar >
quarter which materially affects the accuracy of information reported on the
disclosure form previously submitted, the submitter must file a new disclosure
form. Events which "materially affect"the accuracy of information already
reported include:
i. A cumulative increase of$25,000 or more in the amount paid or
expected to be paid for influencing or attempting to influence a covered t3
Federal action;
ii. A change in the persons(s) influencing or attempting to influence; t3
and/or
iii. A change in the Federal official(s)contacted to influence or attempt to
influence a covered Federal action,
f. The award recipient must submit its form SF-LLLs, as well as those received LO
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from subrecipients, contractors and subcontractors, to Treasury within 30
calendar 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.
g. The award recipient must include a statement in all subaward, contracts and
subcontracts exceeding $100,000 in federal funds, that the subaward, contract,
or subcontract is subject to 31 U.S.C. § 1352,
h. The award recipient must require subrecipients, contractors and subcontractors
to submit form SF-LLL to the award recipient with 15 calendar 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 from previously filed.
19
S PROCUREMENT U)
1. The recipient must comply with Section 6002 of the Solid Waste Disposal Act, as
amended by the Resource Conservation and Recovery Act.The requirements of Section
6002 include procuring only items designated in guidelines of the Environmental
Protection Agency(EPA)at 40 C.F.R. Part 247 that contain the highest percentage of
recovered materials practicable,consistent with maintaining a satisfactory level of
competition,where the purchase price of the item exceeds$10,000 or the value of the
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quantity acquired by the preceding fiscal year exceeded $10,000; procuring solid waste
management services in a manner that maximizes energy and resource recovery; and
establishing an affirmative procurement program for procurement of recovered materials
identified in the EPA guidelines.
2. When the recipient makes a subaward to a subrecipient that is authorized to enter into
contracts for the purpose of completing the subaward scope of work,the recipient must
require the subrecipient to comply with the requirements contained in this section.
3. The recipient, subrecipient, contractor, and/or subcontractor must not sub-grant or sub- t3
contract any part of the approved project to any agency or employee of Treasury and/orLO
other federal department, agency, or instrumentality without the prior written approval of
Treasury. Treasury will notify the recipient in writing of the final determination. �-
4. Requirements applicable to recipients and subrecipients that are states: When executing
procurement actions under this Award,the recipient must follow the same policies and
procedures it uses for procurements from its non-federal funds. The recipient must 19
ensure that every purchase order or other contract contains any clauses required by
federal statutes and EOs and their implementing regulations, including all of the
provisions listed in Appendix II to 2 C.F.R. Part 200—Contract Provisions for Non-
Federal Entity Contracts under Federal Awards, as well as any other provisions
required bylaw or regulations.
5. Requirements applicable to recipients and subrecipients that are not states:The
recipient must follow all procurement requirements set forth in 2 C.F.R. §§200.318,
200.319, 200.320, 200.321, 200.323, and 200.324. In addition, all contracts executed @
by the recipient to accomplish the approved scope of work must contain any clauses
required by federal statutes and EOs and their implementing regulations, including all of
the provisions listed in Appendix II to 2 C.F.R. Part 200—Contract Provisions for Non-
Federal Entity Contracts under Federal Awards. t 3
6. Contracting with small and minority businesses,women's business enterprise, and labor
surplus area firms, 2 C.F.R. §200.321. Recipients and subrecipients that are not states
must take all necessary affirmative steps to assure that minority businesses,women's
business enterprises, and labor surplus area firms are used when possible. Affirmative
LO
steps must include:
a. Placing qualified small and minority businesses and women's business
enterprises on solicitation lists; t3
b. Assuring that small and minority businesses, and women's business enterprises
are solicited whenever they are potential sources;
c. Dividing total requirements,when economically feasible, into smaller tasks or
quantities to permit maximum participation by small and minority business, and
women's business enterprises;
d. Establishing delivery schedules,where the requirement permits,which
encourage participation by small and minority businesses, and women's
business enterprises; 19
e. Using the services and assistance, as appropriate, of such organizations as the M
Small Business Administration and the Minority Business Development Agency
of the Department of Commerce; and,
f. Requiring the prime contractor, if subcontracts are to be let,to take the
affirmative steps listed in (a)through (e)of this paragraph.
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T RESEARCH INVOLVING HUMAN SUBJECTS
1. No research involving human subjects is permitted under this Award unless expressly
LM
authorized by a special award condition, or otherwise in writing by Treasury. U)
2. 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 t3
develop or contribute to generalizable knowledge. LO
N
3. The recipient and subrecipient,as appropriate, must 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 must submit appropriate
documentation to Treasury for approval by the appropriate Treasury officials.This
documentation may include: 19
M
a. Documentation establishing approval of the project by an institutional review
board (IRB)approved for federal-wide use under Department of Health and U)
Human Services guidelines; >
b. Documentation to support an exemption for the project;
c. Documentation to support deferral for an exemption or IRB review; or
d. Documentation of IRB approval of any modification to a prior approved protocol 0
or to an informed consent form.
4. 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 Treasury. t3
U ENVIRONMENTAL REQUIREMENTS
The recipient must comply with all environmental standards, and provide information requested by
LO
Treasury relating to compliance with environmental standards, including but not limited to the
following federal statutes, regulations, and EOs. If the recipient is permitted to make any @
subawards, the recipient must include all of the environmental statutes, regulations, and executive
orders listed below in any agreement or contract with a subrecipient, and require the subrecipient
to comply with all of these and to notify the recipient if the subrecipient becomes aware of any
impact on the environment that was not noted in the recipient's approved application package:
1. National Historic Preservation Act, as amended (54 U.S.C. §300101 et seq.)and
Archeological and Historic Preservation Act, as amended (54 U.S.C. §312501 et
seq.)
2. The National Environmental Policy Act of 1969, as amended (42 U.S.C. §4321 et seq.)
3. Clean Air Act, as amended (42 U.S.C. §7401 et seq.), Clean Water Act, as amended
(33 U.S.C. § 1251 et seq.), and EO 11738
4. The Flood Disaster Protection Act of 1973, as amended (42 U.S.C. §4002 et seq.) 0
5. The Endangered Species Act of 1973, as amended, (16 U.S.C. § 1531 et seq.) U)
6. The Coastal Zone Management Act, as amended, (16 U.S.C. § 1451 et seq.)
7. The Coastal Barriers Resources Act, as amended, (16 U.S.C. §3501 et seq.)
8. The Wild and Scenic Rivers Act, as amended, (16 U.S.C. § 1271 et seq.)
9. The Safe Drinking Water Act of 1974, as amended, (42 U.S.C. §300f-j)
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10. The Resource Conservation and Recovery Act of 1976, as amended, (42 U.S.C. §
6901 et seq.)
11. The Comprehensive Environmental Response, Compensation, and Liability Act
(Superfund)(42 U.S.C. §9601 et seq.)and the Community Environmental Response U)
Facilitation Act(42 U.S.C. §9601 note)
12. Magnuson-Stevens Fishery Conservation and Management Act, as amended (16 U.S.C.
§1801)
13. Marine Mammal Protection Act, as amended (16 U.S.0§31)
ec
14. Migratory Bird Treaty Act, as amended (16 U.S.C. §§703-712)
15. Responsibilities of Federal Agencies to Protect Migratory Birds, EO 13186
16. Bald and Golden Eagle Protection Act, as amended (16 U.S.C. §668-668d)
17. Marine Protection, Research and Sanctuaries Act(33 U.S.C. §§ 1401-1445 and 16 U.S.C. 19
§§1431-1445)
18. National Marine Sanctuaries Act, as amended (16 U.S.C. § 1431 et seq.)
19. Rivers and Harbors Act of 1899 (33 U.S.0§407)
20. Environmental Justice in Minority Populations and Low Income Populations, EO 12898,
as amended
21. Flood Management, EO 11988, as amended by EO 13690, and Protection of Wetland,
E011990, May 24, 177, as amended by EO 12608
22. Farmland Protection Policy Act, as amended (7 U.S.C. §4201 et. seq.)
23. Coral Reef Protection, EO 13089 �?
24. Invasive Species, EP 13112
U)
V MISCELLANEOUS REQUIREMENTS AND PROVISIONSLO
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The recipient must comply with all miscellaneous requirements and provisions described in this
section and,when applicable, require its subrecipients, contractors, and subcontractors to
comply.This list is not exclusive:
1. Prohibition Against Assignment by the Recipient
Notwithstanding any other provision of this Award,the recipient must not transfer, pledge,
mortgage, or otherwise assign this Award, or any interest therein, or any claim arising
thereunder,to any party or parties, banks,trust companies, or other financing or financial
0
institutions without the express written approval of Treasury.
2. 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 U)
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 subaward, contract,or subcontract
under this Award.
b. The acceptance of this Award by the recipient does not in anyway constitute an
agency relationship between the United States and the recipient.
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3. Prohibited and Criminal Activities
a. The Program Fraud Civil Remedies Act of 1986(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, as amended (18 U.S.C. § 1001)provides that whoever makes
or presents any materially false, fictitious, or fraudulent statements to the United
LO
States shall be subject to imprisonment of not more than five years.
c. False, Fictitious,or Fraudulent Claims, as amended (18 U.S.C. §287)provides
that whoever makes or presents a false,fictitious,or fraudulent claim against or
to 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 in 18 U.S.C. §287. 19
U)
d. False Claims Act, as amended (31 U.S.C. 18 U.S.C. § 3729 et seq.), provides that
suits under this act can be brought by the federal government, or a person on
behalf of the federal government,for false claims under federal assistance
programs cis
e. Copeland "Anti-Kickback"Act, as amended (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.The Copeland "Anti-Kickback" Act @
also applies to contractors and subcontractors pursuant to 40 U.S.C. § 3145.
4. Political Activities
The recipient must comply, as applicable,with provisions of the Hatch Act, as amended
(5 U.S.C. §§ 1501-1508 and §§ 7321-7326)which limit the political activities of U)
employees whose principal employment activities are funded in whole or in part with
federal funds.
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5. American-Made Eauioment and Products
The recipient is hereby notified that it is encouraged, to the greatest extent practicable, to
purchase American-made equipment and products with funding provided under this
Award.
0
6. Increasing Seat Belt Use in the United States
Pursuant to EO 13043, the recipient should encourage its employees and contractors to
enforce on-the-job seat belt policies and programs when operating company-owned,
rented or personally owned vehicles.
7. Minority Serving Institutions(MSIs)Initiative
Pursuant to EOs 13555 and13270, as amended,Treasury is strongly committed to 19
broadening the participation of MSIs in its financial assistance programs.Treasury's
goals include achieving full participation of MSIs in order to advance the development of
human potential,strengthen the nation's capacity to provide high-quality education, and
increase opportunities for MSIs to participate in and benefit from federal financial
assistance programs.Treasury encourages recipients to include meaningful participation
of MSIs. Institutions eligible to be considered MSIs are listed on the Department of
Education website at http://www2.ed.gov/about/offices/list/ocr/edlite-minority[p t.htmlm
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S
8. Research Misconduct U)
Treasury adopts, and applies to Awards for research,the Federal Policy on Research
Misconduct(Federal Policy) issued by the EO of the President's Office of Science and
Technology Policy on December 6, 2000 (65 Fed. Reg. 76260 (2000)).As provided for in
the Federal Policy, research misconduct refers to the fabrication,falsification, or
plagiarism in proposing, performing,or reviewing research,or in reporting research LO
results. Research misconduct does not include honest errors or differences of opinion.
Recipients that conduct research funded by Treasury must foster an atmosphere
conducive to the responsible conduct of sponsored research by safeguarding against and
resolving allegations of research misconduct. Recipients also have the primary
responsibility to prevent,detect, and investigate allegations of research misconduct and, 19
for this purpose, may rely on their internal policies and procedures, as appropriate,to do U)
so.Award funds expended on an activity that is determined to be invalid or unreliable
because of research misconduct may result in appropriate enforcement action under the U)
Award, up to and including Award termination and possible suspension or debarment. >
Treasury requires that any allegation that contains sufficient information to proceed with ®_
an inquiry be submitted to Treasury,which will also notify the Treasury Office of Inspector
General of such allegation. Once the recipient has investigated the allegation, it will
submit its findings to Treasury.Treasury may accept the recipient's findings or proceed
with its own investigation;Treasury shall inform the recipient of the Treasury's final @
determination.
9. Care and Use of Live Vertebrate Animals
Recipients must comply with the Laboratory Animal Welfare Act of 1966 (Public Law 89- t3
544), as amended, (7 U.S.C. §2131 et seq.) (animal acquisition,transport, care,
handling, and use in projects), and implementing regulations, 9 C.F.R. Parts 1, 2, and 3;
the Endangered Species Act, as amended, (16 U.S.C. § 1531 et seq.); Marine Mammal
Protection Act, as amended, (16 U.S.C. § 1361 et seq.)(taking possession, transport,
purchase,sale, export or import of wildlife and plants);the Nonindigenous Aquatic LO
N
Nuisance Prevention and Control Act, as amended, (16 U.S.C. §4701 et seq.) (ensure
preventive measures are taken or that probable harm of using species is minimal if there
is an escape or release); and all other applicable statutes pertaining to the care, handling,
and treatment of warm blooded animals held for research, teaching,or other activities
supported by federal financial assistance.
0
10. The Trafficking Victims Protection Act of 2000. as amended.(22 U.S.C.§7104(g)l.
and the implementing regulations at 2 C.F.R. Part 175
The Trafficking Victims Protection Act of 2000 authorizes termination of financial
assistance provided to a private entity, as defined in 2 C.F.R. §175.25(d),without penalty
to the federal government, if the recipient or subrecipient engages in certain activities
related to trafficking in persons.
a. Provisions applicable to a recipient that is a private entity 19
1. You as the recipient, your employees, subrecipients under this Award, and U)
subrecipients'employees may not—
i. Engage in severe forms of trafficking in persons during the period of
time that this Award is in effect;
ii. Procure a commercial sex act during the period of time that this
Award is in effect;or
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iii. Use forced labor in the performance of this Award or subawards
under this Award.
2. We as the federal awarding agency may unilaterally terminate this Award,
without penalty, if you or a subrecipient that is a private entity— U)
i. Is determined to have violated a prohibition in paragraph a.1 of this
Section V.10;or
ii. Has an employee who is determined by the agency official
authorized to terminate this Award to have violated a prohibition in
LO
paragraph a.1 of this Section V.10 through conduct that is either—
A. Associated with performance under this Award; or �-
B. Imputed to you or the subrecipient using the standards and
due process for imputing the conduct of an individual to an
organization that are provided in 2 C.F.R. Part 180, "OMB 19
Guidelines to Agencies on Governmentwide Debarment and
Suspension(Nonprocurement),"as implemented by our
agency at 31 C.F.R. Part 19.
b. Provision applicable to a recipient other than a private entity.We as the federal _
awarding agency may unilaterally terminate this Award,without penalty, if a
subrecipient that is a private entity—
1. Is determined to have violated an applicable prohibition in paragraph a.1 of
this Section V.10;or
2. Has an employee who is determined by the agency official authorized to
terminate this Award to have violated an applicable prohibition in paragraph
a.1 of this Section V.10 through conduct that is either—
i. Associated with performance under this Award; or
ii. Imputed to the subrecipient using the standards and due process for
imputing the conduct of an individual to an organization that are
provided in 2 C.F.R. Part 180, "OMB Guidelines to Agencies on LO
Governmentwide Debarment and Suspension (Nonprocurement),"as `d
implemented by our agency at 31 C.F.R. Part 19. @
C
c. Provisions applicable to any recipient.
1. You must inform us immediately of any information you receive from any
source alleging a violation of a prohibition in paragraph a.1 of this Section
V.10.
2. Our right to terminate unilaterally that is described in paragraph a.2 or b of
this Section V.10:
0
0
i. Implements section 106(g)of the Trafficking Victims Protection Act
of 2000 (TVPA), as amended (22 U.S.C. §7104(g)), and
ii. Is in addition to all other remedies for noncompliance that are
available to us under this Award.
19
3. You must include the requirements of paragraph a.1 of this Section V.10 in U)
any subaward you make to a private entity.
d. Definitions. For purposes of this award term:
1. "Employee"means either:
i. An individual employed by you or a subrecipient who is engaged in the
performance of the project or program under this Award;or
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M.3.a
ii. Another person engaged in the performance of the project or program
under this Award and not compensated by you including, but not limited
to, a volunteer or individual whose services are contributed by a third
party as an in-kind contribution toward cost sharing or matching
requirements.
2. "Forced labor"means labor obtained by any of the following methods: the
recruitment, harboring,transportation, provision,or obtaining of a person for
labor or services, through the use of force,fraud, or coercion for the purpose
of subjection to involuntary servitude, peonage,debt bondage,or slavery.
eo
3. "Private entity":
i. Means any entity other than a state, local government, Indian tribe,or
foreign public entity, as those terms are defined in 2 C.F.R. § 175.25.
ii. Includes: 19
U)
A. A nonprofit organization, including any nonprofit institution of
higher education, hospital, or tribal organization other than one
included in the definition of Indian tribe at 2 C.F.R. § 175.25(b).
B. A for-profit organization
4. "Severe forms of trafficking in persons,""commercial sex act,"and "coercion"
have the meanings given at§ 103 of the TVPA, as amended (22 U.S.C. § 0
7102). C
11. The Federal Funding Accountability and Transparency Act of 2006,as amended.
(Pub. L. No. 109-282, 31 U.S.C.§6101 note) �3
a. The award term at Appendix A of 2 C.F.R. Part 170 is hereby incorporated by
reference. Us
b. The Federal Funding Accountability and Transparency Act of 2006(FFATA)
requires information on federal awards to be made available to the public via a LO
single,searchable website. This information is available at
www.USASpending.gov.The FFATA Subaward Reporting System (FSRS)is the
reporting tool federal prime awardees(i.e., prime contractors and prime grants
recipients)use to capture and report subaward and executive compensation data
regarding their first-tier subawards to meet the FFATA reporting requirements.
Prime grant awardees will report against sub-grants awarded.The subaward
information entered in FSRS will then be displayed at
http://www.USASpending.gov.
c. Recipients of RESTORE Act funding are subject to FFATA subaward reporting
requirements as outlined in the OMB guidance on FFATA issued August 27,
2010.The recipient is required to file a FFATA subaward report by the end of the
month following the month in which the recipient makes any subaward greater
than or equal to $25,000. This includes any action that brings the cumulative
total award to$25,000 or more. This report must be filed electronically at 0
http://www.fsrs.gov. -19
U)
d. The recipient must report total compensation for each of its five most highly
compensated executives for the preceding completed fiscal year, by the end of
the month following the month in which this Award is made, and annually 0
thereafter if—
i. The total federal funding authorized to date under this Award is$25,000
or more; and
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ii. In the preceding fiscal year,the recipient received-
1) 80 percent or more of annual gross revenues from federal
procurement contracts(and subcontracts)and federal financial
assistance subject to FFATA, as defined at 2 C.F.R. § 170.320 (and U)
subawards);and
2) $25,000,000 or more in annual gross revenues from federal
procurement contracts(and subcontracts)and federal financial
assistance subject to FFATA, as defined at 2 C.F.R. 170.320 (and t3
subawards);andLO
N
iii. The public does not have access to information about the compensation
of the executives through periodic reports filed under§ 13(a)or 15(d)of
the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or§
6104 of the Internal Revenue Code of 1986. (To determine if the public
has access to the compensation information,see the U.S. Security and -19
19
Exchange Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm.)
U)
e. The recipient must report on the total compensation of its subrecipients'five most
highly compensated executives, as required by FFATA, and must include
provisions in every executed contract or agreement with affected subrecipients
requiring the subrecipient to provide all information necessary for the recipient to
report on subrecipient executive compensation.The recipient must report on
subrecipient executive compensation by the end of the month following the month
during which the recipient makes the subaward.
f. The recipient must keep its information current in SAM (System for Award
Management,which is the successor to the Central Contractor Registry, (CCR))
at least until submission of the final SF-425 or receipt of the final Award payment, .�
whichever is later. This requires that the recipient review and update the
information at least annually after the initial registration, and more frequently if U)
required by changes in the recipient's information. SAM is the federal repository
into which an entity must provide information required for the conduct of business
LO
as a recipient.Additional information about registration procedures may be found
at the System for Award Management Internet site(currently at
htt se//www.sam.gov/aortal/public/SAM/).
g. If the recipient is authorized to make subawards under this Award, the recipient
must notify potential subrecipients that the recipient may not make a subaward to
any entity unless that entity has provided its Data Universal Numbering System
(DUNS)number to the recipient.A DUNS number is the nine-digit number
established and assigned by Dun and Bradstreet, Inc.to uniquely identify
business entities.
0
0
12. Recipient Integrity and Performance Matters(80 FR 43301,July 22,20151 Reporting
of Matters Related to Recipient Integrity and Performance
a. General Reporting Requirement
If the total value of the recipient's currently active grants, cooperative agreements, -19
and procurement contracts from all Federal awarding agencies exceeds M
$10,000,000 for any period of time during the period of performance of this
Federal award,then the recipient during that period of time must maintain the
accuracy of information reported to the System for Award Management(SAM)that
is made available in the designated integrity and performance system(currently
the Federal Awardee Performance and Integrity Information System(FAPIIS))
about civil, criminal,or administrative proceedings described in paragraph b. of
December 2018 Page 30
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M.3.a
this award term and condition.This is a statutory requirement under§ 872 of
Public Law 110-417, as amended (41 U.S.C. §2313).As required by§ 3010 of
Public Law 111-212, all information posted in the designated integrity and
performance system on or after April 15,2011, except past performance reviews
required for Federal procurement contracts,will be publicly available.
b. Proceedings About Which The Recipient Must Report
The recipient must submit the information required about each proceeding that: t3
eO
i. Is in connection with the award or performance of a grant, cooperative
agreement,or procurement contract from the Federal Government;
ii. Reached its final disposition during the most recent five year period; and
iii. Is one of the following:
19
1) A criminal proceeding that resulted in a conviction, as defined in U)
paragraph e.of this award term and condition;
2) A civil proceeding that resulted in a finding of fault and liability U)
and payment of a monetary fine, penalty, reimbursement, >
restitution,or damages of$5,000 or more;
3) An administrative proceeding, as defined in paragraph e.of this
award term and condition,that resulted in a finding of fault and
liability and your payment of either a monetary fine or penalty of
$5,000 or more or reimbursement, restitution,or damages in
excess of$100,000; or
4) Any other criminal, civil, or administrative proceeding if:
a) It could have led to an outcome described in paragraph b.iii. �?
1),2),or 3)of this award term and condition;
b) It had a different disposition arrived at by consent or
compromise with an acknowledgment of fault on your
part; and
c) The requirement in this award term and condition to disclose LO
information about the proceeding does not conflict with
applicable laws and regulations.
c. Reporting Procedures
Enter in the SAM Entity Management area the information that SAM requires
about each proceeding described in paragraph b of this award term and condition.
The recipient does not need to submit the information a second time under
assistance awards that the recipient received if they already provided the
information through SAM because they were required to do so under Federal
procurement contracts that theywere awarded.
d. Reporting Frequency
During any period of time when the recipient is subject to the requirement in
19
paragraph1 of this award term and condition, the recipient must report proceedings U)
information through SAM for the most recent five year period, either to report new
information about any proceeding(s)that they have not reported previously or
affirm that there is new information to report. Recipients that have Federal 0
contract,grant, and cooperative agreement awards with a cumulative total value
greater than$10,000,000 must disclose semiannually any information about the
criminal, civil,and administrative proceedings.
December 2018 Page 31
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M.3.a
e. Definitions
For purposes of this award term and condition:
i. Administrative proceeding means a non judicial process that is
adjudicatory in nature in order to make a determination of fault or liability
(e.g., Securities and Exchange Commission Administrative proceedings,
Civilian Board of Contract Appeals proceedings, and Armed Services 2
Board of Contract Appeals proceedings).This includes proceedings at the t3
Federal and State level but only in connection with performance of aLO
Federal contract or grant. It does not include audits,site visits, corrective
plans,or inspection of deliverables.
ii. Conviction,for purposes of this award term and condition, means a
judgment or conviction of a criminal offense by any court of
competent jurisdiction,whether entered upon a verdict or a plea,and
includes a conviction entered upon a plea of polo contendere. U)
iii. Total value of currently active grants, cooperative agreements, and
procurement contracts includes— U)
1) Only the Federal share of the funding under any Federal award with a
recipient cost share or match; and
2) The value of all expected funding increments under a Federal award
and options, even if not yet exercised.
13. Publications and Signaae
Any publications(except scientific articles or papers appearing in scientific,technical, or
professional journals)or signage produced with funds from this Award,or informing the �?
public about the activities funded in whole or in part by this Award, must clearly display
the following language: "This project was paid for[in part]with federal funding from the aM
Department of the Treasury under the Resources and Ecosystems Sustainability, Tourist
Opportunities, and Revived Economies of the Gulf Coast States Act of 2012 (RESTORE
LO
Act)." Publications(except scientific articles or papers appearing in scientific,technical,
or professional journals)produced with funds from this Award must display the following
additional language: "The statements,findings, conclusions, and recommendations are
those of the author(s)and do not necessarily reflect the views of the Department of the
Treasury."
0
14. Homeland Security Presidential Directive 12
If the performance of this Award requires the recipient's personnel to have routine access t3
to Treasury-controlled facilities and/or Treasury-controlled information systems(for
purpose of this term "routine access" is defined as more than 180 days), such personnel
must undergo the personal identity verification credential process. In the case of foreign
nationals,Treasury will conduct a check with U.S. Citizenship and Immigration Services'
(USCIS)Verification Division, a component of the Department of Homeland Security
(DHS), to ensure the individual is in a lawful immigration status and that he or she is
eligible for employment within the United States.Any items or services delivered under 19
this Award must comply with Treasury personal identity verification procedures that M
implement Homeland Security Presidential Directive 12, "Policy for a Common
Identification Standard for Federal Employees and Contractors", FIPS PUB 201, as
amended,and OMB Memorandum M-05-24, as amended.The recipient must ensure that
its subrecipients and contractors (at all tiers)performing work under this Award comply
with the requirements contained in this Section V.14. Treasury may delay final payment
under this Award if the subrecipient or contractor fails to comply with the requirements
listed in the section below. The recipient must insert the following term in all subawards
December 2018 Page 32
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M.3.a
and contracts when the subrecipient or contractor is required to have routine physical
access to a Treasury-controlled facility or routine access to a Treasury-controlled
information system:
a. The subrecipient or contractor must comply with Treasury personal identity U)
verification procedures identified in the subaward or contract that implement
Homeland Security Presidential Directive 12 (HSPD-12), Office of Management
and Budget(OMB)Guidance M-05-24, as amended, and Federal Information
Processing Standards Publication, FIPS PUB 140-2, as amended,for all
employees under this subaward or contract who require routine physical access
LO
to a federally controlled facility or routine access to a federally controlled
information system.
b. The subrecipient or contractor must account for all forms of government-provided
identification issued to the subrecipient or contractor employees in connection
with performance under this subaward or contract.The subrecipient or contractor 19
must return such identification to the issuing agency at the earliest of any of the
following, unless otherwise determined by Treasury:
U)
i. When no longer needed for subaward or contract performance;
ii. Upon completion of the subrecipient or contractor employee's
employment; or
iii. Upon subaward or contract completion or termination.
C
15. Foreman Travel
a. The recipient and subrecipient may not use funds from this Award for travel
outside of the United States unless Treasury provides prior written approval. �?
b. The recipient and subrecipient must comply with the provisions of the Fly America
Act, as amended, (49 U.S.C. §40118). The implementing regulations of the Fly U)
America Act are found at 41 C.F.R. §§301-10.131-301-10.143.
LO
c. The Fly America Act requires that federal travelers and others performing U.S.
Government-financed 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 C
specific instances, such as when a U.S.flag air carrier is unavailable, or use of g,
U.S.flag air carrier service will not accomplish the agency's mission.
d. One exception to the requirement to fly U.S.flag carriers is transportation a
provided under a bilateral or multilateral air transport agreement,to which the
United States Government and the government of a foreign country are parties,
and which the Department of Transportation has determined meets the
requirements of the Fly America Act pursuant to 49 U.S.C. §40118(b). The a
0
United States Government has entered into bilateral/multilateral"Open Skies
Agreements"(U.S. Government Procured Transportation)that allow federal
funded transportation services for travel and cargo movements to use foreign air
carriers under certain circumstances.There are multiple"Open Skies
Agreements"currently in effect. For more information about the current bilateral
and multilateral agreements, visit the GSA website U)
http://www.gsa.gov/portal/content/l03191. Information on the Open Skies iM
agreements(U.S. Government Procured Transportation)and other specific
country agreements may be accessed via the Department of State's website 0
http-://www.state.qov/e/eeb/tra/.
e. If a foreign air carrier is anticipated to be used for any portion of travel funded
under this Award,the recipient must receive prior approval from the Treasury.
When requesting such approval, the recipient must provide a justification in
December 2018 Page 33
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M.3.a
accordance with guidance provided by 41 C.F.R. §301-10.142,which requires
the recipient to provide Treasury with the following: name; dates of travel; origin
and destination of travel; 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 Treasury
with a copy of the agreement or a citation to the official agreement available on
the GSA website.Treasury shall make the final determination and notify the
recipient in writing. Failure to adhere to the provisions of the Fly America Act will t3
result in the recipient not being reimbursed for any transportation costs for whichLO
the recipient improperly used a foreign air carrier.
16. Exoort Control
a. This clause applies to the extent that this Award involves access to export- 19
controlled items.
b. In performing this financial assistance Award,the recipient may gain access to U)
items subject to export control (export-controlled items)under the Export >
Administration Regulations(EAR) issued by the Department of Commerce ®_
(DOC). The recipient is responsible for compliance with all applicable laws and
regulations regarding export-controlled items, including the EAR's deemed
exports and re-exports provisions.The recipient shall establish and maintain
effective export compliance procedures throughout performance of the Award.At
a minimum,these export compliance procedures must include adequate controls
of physical, verbal, visual, and electronic access to export-controlled items,
including by foreign nationals.
c. Definitions:
i. Export-controlled items. Items(commodities,software,or technology),
that are subject to the EAR(15 C.F.R. §§730-774), implemented by
the DOC's Bureau of Industry and Security.These are generally known
as"dual-use"items, items with a military and commercial application. LO
N
ii. Deemed Export/Re-export. The EAR defines a deemed export as a
release of export-controlled items(specifically, technology or source
code)to a foreign national in the U.S. Such release is"deemed"to be an
export to the home country of the foreign national. 15 C.F.R. §
734.2(b)(2)(ii).A release may take the form of visual inspection, oral
exchange of information,or the application abroad of knowledge or
technical experience acquired in the United States. If such a release
occurs abroad, it is considered a deemed re-export to the foreign
national's home country. Licenses from DOC may be required for
deemed exports or re-exports.
d. The recipient shall control access to all export-controlled items that it possesses
or that comes into its possession in performance of this Award, to ensure that
access to,or release of, such items are restricted,or licensed, as required by
applicable federal statutes, EOs, and/or regulations, including the EAR.
19
e. To the extent the recipient wishes to provide foreign nationals with access to
export-controlled items, the recipient shall be responsible for obtaining any
necessary licenses, including licenses required under the EAR for deemed
exports or deemed re-exports.
f. Nothing in the terms of this Award is intended to change, supersede,or waive the
requirements of applicable federal statutes, EOs, and/or regulations.
December 2018 Page 34
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M.3.a
g. Compliance with this Section V.15 will not satisfy any legal obligations the
recipient may have regarding items that may be subject to export controls
administered by other agencies such as the Department of State,which has
jurisdiction over exports of munitions items subject to the International Traffic in
Arms Regulations(ITAR) (22 C.F.R. §§ 120-130), including releases of such
items to foreign nationals.
h. The recipient shall include this clause, including this paragraph (i), in all lower tier
transactions (subawards, contracts, and subcontracts) under this Award that may
involve access to export-controlled items.
ec
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SUPPLEMENTAL STANDARD TERMS AND CONDITIONS-AWARDS UNDER THE DIRECT �-
COMPONENT FOR ACQUISITION AND IMPROVEMENTS TO REAL PROPERTY
19
W ACQUISITION AND IMPROVEMENTS TO REAL PROPERTY
1. Comoliance with State. Local and Federal Reauirements U)
0
The project must comply with all applicable federal laws and regulations, and with all >
requirements for state, and local laws and ordinances to the extent that such requirements
do not conflict with federal laws. The recipient is also responsible for supervising the
design, bidding, construction, and operation of construction projects in compliance with all
award requirements. The recipient must comply with, and must require all contractors
and subcontractors,to comply with all federal, state, and local laws and regulations. The
recipient must ensure compliance with special award conditions which may contain
conditions that must be satisfied prior to advertisement of bids,start of construction,or
other critical event.
2.
IlU
U)
Prior to receiving Treasury authorization to start construction, the recipient must furnish
evidence,satisfactory to Treasury, that the recipient has acquired good and
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merchantable title free of all mortgages,foreclosable liens,or encumbrances,to all land,
rights of way and easements necessary for the completion of the project.
3. Permitting Reauirements
Prior to receiving Treasury authorization to start construction, the recipient must furnish
evidence, satisfactory to Treasury, that recipient has received all federal,state and local a
permits necessary for the completion of the project.
4. Federal Interest in Real Prooerty a
0
"Federal interest" refers to real property that is acquired or improved, in whole or in part,
with RESTORE Act Direct Component funds, which must be held in trust by the
Recipient for the benefit of the project for the Estimated Useful Life of the project, during
which period Treasury retains an undivided equitable reversionary interest in the real
property(i.e.,the"federal interest"). -19
U)
5. Estimated Useful Life
Property that is acquired or improved, in whole or in part,with federal assistance is held in
trust by the recipient for the purpose(s)for which the award was made for the Estimated
Useful Life. Estimated Useful Life means the period of years that constitutes the
expected useful lifespan of a project, as determined by Treasury, during which Treasury
December 2018 Page 35
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M.3.a
anticipates obtaining the benefits of the project pursuant to project purposes authorized by
the RESTORE Act. For this award the recipient has proposed an Estimated Useful Life
from the date of construction completion.Treasury's issuance of the grant agreement
represents its concurrence with the recipient's proposed Estimated Useful Life.
a�
The recipient's obligation to the federal government continues for the Estimated Useful
Life of the project, as determined by Treasury, during which Treasury retains an
undivided equitable reversionary interest(the"federal interest") in the property improved,
in whole or in part,with the Treasury investment. t3
eo
If Treasury determines that the recipient has failed or fails to meet its obligations under
the terms and conditions of this award, Treasury may exercise its rights or remedies with
respect to its federal interest in the project. However, Treasury's forbearance in
exercising any right or remedy in connection with the federal interest does not constitute
a waiver thereof.
19
U)
6. Commencement of Construction
U)
The recipient should not commence construction prior to the date of the Award. The
recipient must make a written request to Treasury for permission to commence
construction after the construction contractor has been selected and at least 30 days
prior to construction. For project costs to be eligible for Treasury reimbursement,
Treasury must determine that the award of all contracts with associated costs are in
compliance with the scope of the project and all terms and conditions of this award, and
all necessary permits have been obtained, and the federal interest is secure. No
construction funds may be drawn from ASAP without Treasury's written permission. If
the recipient commences construction prior to Treasury's determination,the recipient
proceeds at its own risk.
Treasury will only review contract amendments or change orders which change the
scope of a contract.
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7. Use of Real Property
Encumbering real property on which there is a federal interest without prior Treasury @
approval is an unauthorized use of the property and of project trust funds under this
award. See 2 C.F.R. §200.316. Real property or interest in real property may not be
used for purposes other than the authorized purpose of the award without the express,
prior written approval of Treasury,for as long as the federal government retains an
interest in the property.The property must not be sold, conveyed, transferred, assigned,
mortgaged, or in any other manner encumbered except as expressly authorized in
writing by Treasury.The recipient must maintain facilities constructed or renovated with
grant funds in a manner consistent with the purposes for which the funds were provided
for the duration of the Estimated Useful Life.
In the event that the real property or interest in real property is no longer needed for the
originally authorized purpose,the recipient must obtain disposition instructions from
Treasury consistent with 2 C.F.R. §200.311.
19
U)
8. Recording the Federal Interest in the Real Property
To document the federal interest, the recipient agrees to prepare and properly record a
"Covenant of Purpose, Use and Ownership" (Covenant), or, where a subrecipient is the
title owner, to ensure that the subrecipient prepares and properly records a "Covenant of
Purpose, Use and Ownership" (Covenant)on the property acquired or improved with
federal assistance funds. See 2 C.F.R. §200.316. This Covenant does not establish a
December 2018 Page 36
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M.3.a
traditional mortgage lien in that it does not establish a traditional creditor relationship
requiring the periodic repayment of principal and interest, or the ability of Treasury to
foreclose on the real property at any time. Rather, pursuant to the Covenant, the
recipient and/or the subrecipient, as applicable, acknowledges that it holds title to the real
property in trust for the public purposes of the financial assistance award and agrees,
among other commitments, that it will repay the federal interest if it disposes of or
alienates an interest in the real property, or uses it in a manner inconsistent with the
public purposes of the award, during the Estimated Useful Life of the property.
a. The Covenant must be satisfactory in form and substance to Treasury, mustLO
include the name and current address of the recipient and subrecipient(if applicable),
the grant award number, amount and date of award and subrecipient agreement(if
applicable),date of the purchase of property(if applicable),and the Estimated Useful
Life of the project. It must also include statements that the real property will only
be used for purposes consistent with the RESTORE Act; that it will not be
mortgaged or used as collateral, sold or otherwise transferred to another party, U)
without the written permission of Treasury; and that the federal interest cannot be
subordinated, diminished, nullified or released through encumbrance of the U)
property, transfer of the property to another party or any other action the >
recipient/subrecipient takes without the written permission of Treasury.
b. The recipient agrees to provide to Treasury an attorney's title opinion as to the title
owner of the property, and to properly record, in accordance with applicable law,
the Covenant in the real property records in the jurisdiction in which the real
property is located in order to provide public record notice to interested parties
that there are certain restrictions on the use and disposition of the real property
during its Estimated Useful Life, and that Treasury retains an undivided equitable
reversionary interest in the real property to the extent of its participation in the g,
project for which funds have been awarded.
c. Treasury requires an opinion of counsel for the recipient to substantiate that the U)
document has been properly recorded.
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d. Failure to properly and timely file and maintain documentation of the federal
interest may result in appropriate enforcement action, including, but not limited
to, disallowance of the cost of the acquisition or improvement by Treasury.
e. The Federal Interest must be perfected and recorded/filed in accordance
with state and/or local law concurrent with the acquisition of the real
property, where an award includes real property acquisition, and
for construction of buildings and projects to improve the real property, no
later than the date construction and/or improvement work commences.
0
f. When the Estimated Useful Life of the project is ended, the federal interest is
extinguished and the federal government has no further interest in the real
property.
Exclusions from the requirement that the federal interest on real property be recorded will 19
be at Treasury's sole discretion. The types of projects for which Treasury may agree to U)
this exclusion are those projects for which federal funds will not be used to fund the
construction of built structures, improvements to state parks, water and sewer lateral line
projects affecting private properties, and shoreline stabilization projects.
9. Administration.Operation and Maintenance
The recipient agrees to administer, operate, and maintain the project for its Estimated
December 2018 Page 37
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M.3.a
Useful Life in the same manner in which it operates and maintains similar facilities and
equipment owned by it, and in accordance with state and local standards, laws and
regulations. The recipient must not be in breach of its obligations under this award except
to the extent the failure to fulfill any obligation is due to an Uncontrollable Force.
"Uncontrollable Force" means an event beyond the reasonable control of, and without the
fault or negligence of,the party claiming the Uncontrollable Force that prevents the
recipient from honoring its contractual obligations under this Agreement and which, by
exercise of the recipient's reasonable care,diligence and foresight,such recipient was
unable to avoid. Uncontrollable Forces include, but are not limited to: t3
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a. Strikes or work stoppage;
b. Floods, earthquakes,or other natural disasters;terrorist acts;and
c. Final orders or injunctions issued by a court or regulatory body having competent
subject matter jurisdiction which the recipient, claiming the Uncontrollable Force, U)
after diligent efforts,was unable to have stayed,suspended, or set aside pending
review by a court of competent subject matter jurisdiction. Neither the U)
unavailability of funds or financing, nor conditions of national or local economies >
or markets must be considered an Uncontrollable Force.
10. Reporting Requirement
The recipient must complete and submit to Treasury a report on the status of the real
property or interest in real property in which the federal government retains an interest,
using a SF-429 Real Property Status Report form annually for the first three years after
real property acquisition or completion of construction, and thereafter every five years until
the end of the Estimated Useful Life or time of disposition,whichever is less. All reports t3
must be for the period ending December 31,or any portion thereof, beginning with the
year of completion of construction or real property acquisition, and are due no later than 30
days following the end of the reporting period.
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11. Insurance cv
The recipient must, at a minimum, provide the equivalent insurance coverage for real @
C
property improved with federal funds as provided to property owned by the recipient
state, county or parish, in compliance with 2 C.F.R. §200.310.
0
12. Bondina
For construction or facility improvement contracts or subcontracts exceeding the
simplified acquisition threshold, the recipient or pass-through entity may request in
writing that Treasury accept its bonding policy and requirements. If Treasury determines
that the federal interest in the project is adequately protected,the recipient or pass-
through entity need not comply with the following three bonding requirements. For all
other recipients and pass-through entities, the minimum requirements for construction or
facility improvement contracts or subcontracts exceeding the simplified acquisition
threshold are as follows:
19
U)
M
a. A bid guarantee from each bidder equivalent to five percent of the bid price. The
"bid guarantee" must consist of a firm commitment such as a bid bond, certified
check, or other negotiable instrument accompanying a bid as assurance that the 0
bidder will, upon acceptance of the bid, execute such contractual instruments as
may be required within the time specified.
December 2018 Page 38
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M.3.a
b. A performance bond on the part of the contractor for 100 percent of the contract
price. A "performance bond" is one executed in connection with a contract to
secure fulfillment of all the contractor's obligations under such contract.
c. A payment bond on the part of the contractor for 100 percent of the contract price.
A"payment bond" is one executed in connection with a contract to assure payment
as required by law of all persons supplying labor and material in the execution of
the work provided for in the contract.
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13. Floodolain Reauirements
In accordance with 44 C.F.R. Part 9, prior to Treasury's authorization to commence
construction in a designated 100-year floodplain,the recipient must provide evidence
satisfactory to Treasury of a Floodplain Notice, that the 30-day period established for
receipt of comments from the public in response to public notice published regarding -19
the potential for adverse project impact on the values and functions of a designated 100-
year floodplain has expired and that identified concerns(if any)have been addressed
to Treasury's satisfaction. This notice may be satisfied through a federal/state U)
environmental assessment process used as the vehicle for public notice, involvement, >
and explanation per 44 C.F.R. §9.8(2).
In addition, prior to Treasury's authorization to commence construction of structures
and/or buildings within a designated 100-year floodplain, the recipient must provide
evidence satisfactory to Treasury of the following:
a. Floodplain Protection: That the project engineer/architect has certified that the
project facility will be adequately protected from damage by floods in this area of
apparent potential flood hazard. The evidence must include adequate �?
justification for the Base Flood Elevation designation for the financial assistance
award site.
U)
b. Floodplain Insurance: That the community is participating in the National Flood
Insurance Program, and that as required, the recipient will purchase flood LO
insurance.
14. Goals for Women and Minorities in Construction
Department of Labor regulations set forth in 41 C.F.R. §60-4 establish goals and
timetables for participation of minorities and women in the construction industry. These a
regulations apply to all federally assisted construction contracts in excess of$10,000.
The recipient must comply with these regulations and must obtain compliance with 41
C.F.R. §60-4 from contractors and subcontractors employed in the completion of the
project by including such notices, clauses and provisions in the Solicitations for Offers or a
Bids as required by 41 C.F.R. § 60-4.
a. The goal for participation of women in each trade area must be as follows:
From April 1, 1981, until further notice: 6.9 percent;
19
b. All changes to this goal, as published in the Federal Register in accordance with U)
the Office of Federal Contract Compliance Programs regulations at 41 C.F.R. §
60-4.6, or any successor regulations, must hereafter be incorporated by
reference into these Special Award Conditions; and,
c. Goals for minority participation must be as prescribed by Appendix B-80,
Federal Register,Volume 45, No. 194, October 3, 1980, or subsequent
publications. The recipient must include the"Standard Federal Equal
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M.3.a
Employment Opportunity Construction Contract Specifications" (or cause them
to be included, if appropriate)in all federally assisted contracts and
subcontracts. The goals and timetables for minority and female participation
may not be less than those published pursuant to 41 C.F.R. §60-4.6.
15. Davis Bacon Act.as amended (40 U.S.C. &&3141-3148)
Davis-Bacon Act-related provisions are applicable for a construction project if it is for the
construction of a project that can be defined as a"treatment works" in 33 U.S.0§ 1292;
or for a construction project regardless of whether it is a"treatment works" project if it is
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receiving federal assistance from another federal agency operating under an authority
that requires the enforcement of Davis-Bacon Act-related provisions.When required, all
prime construction contracts in excess of$2,000 awarded by the non-Federal entity must
include a provision for compliance with the Davis-Bacon Act(40 U.S.C. §§3141-3144,
and §§3146-3148)as supplemented by Department of Labor regulations (29 C.F.R. 0
Part 5, "Labor Standards Provisions Applicable to Contracts Covering Federally -19
19
Financed and Assisted Construction"). In accordance with the statute, contractors must
be required to pay wages to laborers and mechanics at a rate not less than the
prevailing wages specified in a wage determination made by the Secretary of Labor. In
addition contracts must be required to pay wages not less than once a week.
The non-Federal entity must place a copy of the current prevailing wage determination t3
issued by the Department of Labor in each solicitation. The decision to award a contract
or subcontract must be conditioned upon the acceptance of the wage determination.The
non-Federal entity must report all suspected or reported violations to Treasury.The
contracts must also include a provision for compliance with the Copeland "Anti-Kickback" t3
Act(40 U.S.C. §3145), as supplemented by Department of Labor regulations (29 C.F.R.
Part 3, "Contracts and Subcontractors on Public Building or Public Work Financed in
Whole or in Part by Loans or Grants from the United States").The Act provides that each
contractor or subrecipient must be prohibited from inducing, by any means, any person
employed in the construction, completion, or repair of public work,to give up any part of U)
the compensation or which he or she is otherwise entitled. The non-federal entity must
report all suspected or reported violations to Treasury.
LO
16. Eaual O000rtunity Clause
Pursuant to 41 C.F.R. §60-1.4(b), Federally assisted construction contracts,for
construction which is not exempt from the requirements of the equal opportunity clause,
41 C.F.R. Part 60-1—Obligations of Contractors and Subcontractors, [t]he[recipient]
hereby agrees that it will incorporate or cause to be incorporated into any contract for o
construction work, or modification thereof, as defined in the regulations of the Secretary
of Labor at 41 C.F.R. Chapter 60,which is paid for in whole or in part with funds obtained
from the federal government or borrowed on the credit of the federal government
pursuant to a grant, contract, loan, insurance,or guarantee,or undertaken pursuant to
any federal program involving such grant, contract, loan, insurance,or guarantee, the
following equal opportunity clause:
41 C.F.R.§60-1.4 Equal opportunity clause.
19
During the performance of this contract, the contractor agrees as follows: U)
(1) The contractor will not discriminate against any employee or applicant for
employment because of race, color, religion, sex, sexual orientation, gender identity,
or national origin. The contractor will take affirmative action to ensure that applicants
are employed, and that employees are treated during employment without regard to
their race, color, religion, sex, sexual orientation, gender identity, or national origin.
Such action shall include, but not be limited to the following:
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Employment, upgrading, demotion, or transfer, recruitment or recruitment advertising;
layoff or termination;rates of pay or other forms of compensation;and selection for
training, including apprenticeship. The contractor agrees to post in conspicuous
places, available to employees and applicants for employment, notices to be provided
setting forth the provisions of this nondiscrimination clause.
(2) The contractor will, in all solicitations or advertisements for employees placed by or
on behalf of the contractor, state that all qualified applicants will receive consideration
for employment without regard to race, color, religion, sex, sexual orientation, gender LO
identity, or national origin.
(3) The contractor will not discharge or in any other manner discriminate against any
employee or applicant for employment because such employee or applicant has
inquired about, discussed, or disclosed the compensation of the employee or applicant 19
or another employee or applicant. This provision shall not apply to instances in which
an employee who has access to the compensation information of other employees or
applicants as a part of such employee's essential job functions discloses the
compensation of such other employees or applicants to individuals who do not cis
otherwise have access to such information, unless such disclosure is in response to a
formal complaint or charge, in furtherance of an investigation,proceeding, hearing, or �?
action, including an investigation conducted by the employer, or is consistent with the
contractor's legal duty to furnish information. 0
C
M
(4) The contractor will send to each labor union or representative of workers with U
which he has a collective bargaining agreement or other contract or understanding, a
notice to be provided advising the said labor union or workers'representatives of the
contractor's commitments under this section, and shall post copies of the notice in
conspicuous places available to employees and applicants for employment. LM
U)
0
(5) The contractor will comply with all provisions of Executive Order 11246 of
September 24, 1965, and of the rules, regulations, and relevant orders of the LO
Secretary of Labor.
C
(6) The contractor will furnish all information and reports required by Executive Order
11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary
of Labor, or pursuant thereto, and will permit access to his books, records, and
accounts by the administering agency and the Secretary of Labor for purposes of
investigation to ascertain compliance with such rules, regulations, and orders.
(7) In the event of the contractor's noncompliance with the nondiscrimination clauses
of this contract or with any of the said rules, regulations, or orders, this contract may
be canceled, terminated, or suspended in whole or in part and the contractor may be
declared ineligible for further Government contracts or federally assisted construction
contracts in accordance with procedures authorized in Executive Order 11246 of
September 24, 1965, and such other sanctions may be imposed and remedies
invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, 19
regulation, or order of the Secretary of Labor, or as otherwise provided by law. U)
(8) The contractor will include the portion of the sentence immediately preceding
paragraph (1)and the provisions of paragraphs(1)through (8)in every subcontract or
purchase order unless exempted by rules, regulations, or orders of the Secretary of
Labor issued pursuant to section 204 of Executive Order 11246 of September 24,
1965, so that such provisions will be binding upon each subcontractor or vendor. The
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contractor will take such action with respect to any subcontract or purchase order as
the administering agency may direct as a means of enforcing such provisions,
including sanctions for noncompliance:
Provided, however, that in the event a contractor becomes involved in, or is
threatened with, litigation with a subcontractor or vendor as a result of such direction
by the administering agency, the contractor may request the United States to enter
into such litigation to protect the interests of the United States. 75
The applicant further agrees that it will be bound by the above equal LO
opportunity clause with respect to its own employment practices when it participates in
federally assisted construction work:Provided, That if the applicant so participating is a
State or local government, the above equal opportunity clause is not applicable to
any agency, instrumentality or subdivision of such government which does not 0
participate in work on or under the contract. -19
19
The applicant agrees that it will assist and cooperate actively with the
administering agency and the Secretary of Labor in obtaining the compliance of
contractors and subcontractors with the equal opportunity clause and the rules, cis
regulations, and relevant orders of the Secretary of Labor, that it will furnish the
administering agency and the Secretary of Labor such information as they may require
for the supervision of such compliance, and that it will otherwise assist the
administering agency in the discharge of the agency's primary responsibility for @
securing compliance.
The applicant further agrees that it will refrain from entering into any contract
or contract modification subject to Executive Order 11246 of September 24, 1965, with
a contractor debarred from, or who has not demonstrated eligibility for, Government
contracts and federally assisted construction contracts pursuant to the Executive
Order and will carry out such sanctions and penalties for violation of the equal U)
opportunity clause as may be imposed upon contractors and subcontractors by the
administering agency or the Secretary of Labor pursuant to Part 11, Subpart D of the LO
Executive Order. In addition, the applicant agrees that if it fails or refuses to comply N
with these undertakings, the administering agency may take any or all of the following @
actions:Cancel, terminate, or suspend in whole or in part this grant(contract, loan,
insurance, guarantee);refrain from extending any further assistance to the applicant
under the program with respect to which the failure or refund occurred until satisfactory
assurance of future compliance has been received from such applicant, and refer the
case to the Department of Justice for appropriate legal proceedings.
17. Revised ADA Standards for Accessible Design for Construction Awards
0
The U.S. Department of Justice has issued revised regulations implementing Title II of
the ADA(28 C.F.R. Part 35)and Title III of the ADA(28 C.F.R. Part 36). The revised
regulations adopted new enforceable accessibility standards called the"2010 ADA
Standards for Accessible Design" (2010 Standards).The 2010 Standards are an
acceptable alternative to the Uniform Federal Accessibility Standards(UFAS).Treasury
deems compliance with the 2010 Standards to be an acceptable means of complying U)
with the Section 504 accessibility requirements for new construction and alteration
projects. All new construction and alteration projects must comply with the 2010
Standards.
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