Item O08 o.$
Coty f � ,�� ,' BOARD OF COUNTY COMMISSIONERS
�� Mayor David Rice,District 4
The Florida Keys � Mayor Pro Tem Craig Cates,District 1
y Michelle Coldiron,District 2
James K.Scholl,District 3
Ij Holly Merrill Raschein,District 5
County Commission Meeting
September 21, 2022
Agenda Item Number: 0.8
Agenda Item Summary #11026
BULK ITEM: Yes DEPARTMENT: County Administrator
TIME APPROXIMATE: STAFF CONTACT: Lisa Tennyson (305)292-4444
n/a
AGENDA ITEM WORDING: Approval of amended Grant Agreement with Department of
Treasury for the Restore Act-funded Canal Restoration Project for Monroe County extending the
project completion date from October 31, 2022 to October 31, 2023, increasing the grant award
amount from Treasury, revising language to allow for drawdown of pre-construction costs and
requesting Phase 1 review of documentation necessary for permission to commence construction.
ITEM BACKGROUND:
Monroe County is the recipient of this Restore Act grant award. With the grant award, Monroe is
restoring Canal 4259. This grant was approved in November 2019, and the design, engineering,
permitting and solicitations have been completed. The project has however experienced a number of
unanticipated delays, necessitating an amendment for a time extension. Some of the delay is related
to the Covid-19 pandemic (agency staffing issues slowed the process for review and issuance of
permits).
Other delays were caused by the need to re-issue the solicitation. The responses to both solicitation
efforts yielded bids that were higher than estimated, driven by the inflationary environment. The
higher project construction costs necessitate an increase in the funding award of$388,833; a request
for additional grant funds from Treasury is included in the requested amendment. These additional
grant funds will be drawn from the Treasury's Restore Act funding pot. (No County funds are being
used.)
Additionally, we have requested as part of this amendment to revise language that will enable us to
drawdown reimbursement funds for preconstruction costs, and a request for Treasury to initiate
document review to expedite construction commencement.
Pending approval of amendment request, the restoration project is expected to commence in the next
30-60 days.
The narrative request for amendment is attached.
Packet Pg. 2995
o.$
PREVIOUS RELEVANT BOCC ACTION:
• November 2019: BOCC acceptance of Restore Act Grant Award for Canal 4259 Restoration
Project.
CONTRACT/AGREEMENT CHANGES:
n/a
STAFF RECOMMENDATION: Approval.
DOCUMENTATION:
Amendment App County back up attachment for amendment agenda item
Current Treasury Grant Award for Monroe County Canal Project
FINANCIAL IMPACT:
Effective Date: October 31, 2022
Expiration Date: October 31, 2023
Total Dollar Value of Contract: $867,141.50
Total Cost to County: $0
Current Year Portion:
Budgeted: Yes
Source of Funds: RESTORE Act Local Pot Funds
CPI:
Indirect Costs:
Estimated Ongoing Costs Not Included in above dollar amounts:
Revenue Producing: No If yes, amount:
Grant:
County Match: No
Insurance Required: No
Additional Details:
REVIEWED BY:
Christine Limbert Completed 08/29/2022 12:44 PM
Bob Shillinger Completed 08/29/2022 1:15 PM
Purchasing Completed 08/29/2022 1:25 PM
Budget and Finance Completed 08/29/2022 1:31 PM
Brian Bradley Completed 08/29/2022 4:34 PM
Lindsey Ballard Completed 08/31/2022 12:21 PM
Packet Pg. 2996
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Board of County Commissioners Pending 09/21/2022 9:00 AM
Packet Pg. 2997
OMB Number:
Expiration Date: 12/31/2022
Application for Federal Assistance SF-424 Version 04
1.Type of Submission: '2.Type of Application: If Revision,select appropriate letter(s): t 4
tY
Preapplication New
Increase Award, Increase Duration
*Application OContinuation Other(Specify)
0
OChanged/Corrected Application *Revision
3. Date Received: 4.Applicant Identifier: O
08/15/2022
U)
5a. Federal Entity Identifier: '5b. Federal Award Identifier:
RDCGR170099
State Use Only: U
6.Date Received by State: 7.State Application Identifier:
47
8.APPLICANT INFORMATION: j
•a. Legal Name: Monroe, County of
O
b.Employer/Taxpayer Identification Number(EIN/TIN): 'c. UEI:
59-6000749 QKLSCT2LM7M9
d.Address:
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•streetl: 1100 Simonton St Rm 2-205
Street2:
•city: Key West
County: E
•State: Florida
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Province:
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•Country: UNITED STATES
•Zip/Postal Code: 33040-3110 E
e.Organizational Unit:
Department Name:
Division Name:
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f.Name and contact information of person to be contacted on matters involving this application:
Prefix: MS •First Name: Rhonda
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Middle Name: U
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•Last Name: Haag
Suffix:
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Title: Director Sustainability and Projects
Organizational Affiliation: E
Monroe County Board of County Commissioners
•Telephone Number: 3054538774 Fax Number: E
c5
•Email: Haag-Rhonda@MonroeCounty-FL.Gov
Packet Pg. 2998
OMB Number:
Expiration Date: 12/31/2022
Application for Federal Assistance SF-424 Version 04
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9.Type of Applicant 1:Select Applicant Type: C14
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County Government `N
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Type of Applicant 2:Select Applicant Type:
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County Government
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Type of Applicant 3:Select Applicant Type: O
County Government
.Other(specify): U)
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*10.Name of Federal Agency: U
-Restore Act
11.Catalog of Federal Domestic Assistance Number: ,�
21.015 �
CFDA Title:
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Resources and Ecosystems Sustainability, Tourist Opportunities, and Revived Economies of the Gulf Coast Sta
12.Funding Opportunity Number:
Not Applicable
Title:
Not Applicable
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13.Competition Identification Number:
Not Applicable 0
Title:
Not Applicable
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14.Areas Affected by Project(Cities,Counties,States,etc.):
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15.Descriptive Title of Applicant's Project:
Canal WQ Improvements and Restoration in Unincorporated Monroe County E
E
Attach supporting documents as specified in agency instructions.
E
Packet Pg. 2999
OMB Number:
Expiration Date: 12/31/2022
Application for Federal Assistance SF-424 Version 04
16.Congressional Districts Of: 04
04
a.Applicant 26 'b. Program/Project: 2604
Ls
Attach an additional list of Program/Project Congressional Districts if needed. °
as
L_
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17.Proposed Project:
•a.Start Date: 11/01/2019 •b. End Date: 10/31/2023
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as
18. Estimated Funding($):
•a. Federal 388833
•b.Applicant Q
•c.State Q
•d. Local Q
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•e.Other Q
as
•f.Program Income Q
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•g.TOTAL 388833 as
•19.Is Application Subject to Review By State Under Executive Order 12372 Process? E
(D
Ca.This application was made available to the State under the Executive Order 12372 Process for review on �.
®b. Program is subject to E.O. 12372 but has not been selected by the State for review.
(D
CID
19c.Program is not covered by E.O. 12372.
20.Is the Applicant Delinquent On Any Federal Debt?(If"Yes",provide explanation.)
OYes O No
(D
21.*By signing this application,I certify(1)to the statements contained in the list of certifications—and(2)that the statements E
herein are true,complete and accurate to the best of my knowledge.I also provide the required assurances"and agree to com-
ply with any resulting terms if I accept an award.I am aware that any false,fictitious,or fraudulent statements or claims may 0
subject me to criminal,civil,or administrative penalties.(U.S.Code,Title 218,Section 1001)
AGREE E
"The list of certifications and assurances,or an internet site where you may obtain this list,is contained in the announcement or agency
specific instructions.
CL
Authorized Representative:
�s
Prefix: Mr. •First Name: David
Middle Name:
Last Name: Rice O
Suffix: 0.
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•Title: Mayor
(D
•Telephone Number: 3052896000 Fax Number:
•Email: boccdis4@monroecounty-fl.gov E
•Signature of Authorized Representative: Ms. Lisa Tennyson •Date Signed: 08/15/2022
(D
Authorized for Local Reproduction Standard Form 424(Revised 10/2005) %
Prescribed by OMB Circular A-102 �y
Packet Pg. 3000
OMB Number: 4
Expiration Date: 12 O•$•a
Application for Federal Assistance SF-424 Version 04
Applicant Federal Debt Delinquency Explanation yy
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The following field should contain an explanation if the Applicant organization is delinquent on any Federal Debt. Maximum number of CN
characters that can be entered is 4,000. Try and avoid extra spaces and carriage returns to maximize the availability of space. N
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0.8.a
MONROE COUNTY BOARD OF COUNTY COMMISSIONERS
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MEMO CN
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Date: August 12, 2022 CL
To: Treasury Department,RESTORE Act
Fr: Monroe County, Grant Recipient;Project Director,Lisa Tennyson �+
Re: RESTORE Act Grant: RDCGR170099, Canal WQ Improvements and Restoration in Unincorporated
Monroe County
Request for Amendment for Time Extension,Additional Funds, Revision of SAC#4 Language, and Phase
1 Review of Permission to Proceed to Construction Documentation
47
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AMENDMENT JUSTIFICATION NARRATIVE: 0
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1. EXTENSION OF TIME E
0
Due to unexpected delays, we cannot meet the schedule timeframe and therefore request a 12-month
extension through 10/31/2023.
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Some of the delay is related to the Covid-19 pandemic, in which staffing shortages within the permitting
agencies (ex. USACE) significantly slowed the process for reviewing and processing permits.
Another contributor to the delay is the current inflationary and competitive market, which necessitated
conducting two solicitations. To our first bid solicitation, we received a single response. The proposed
price was significantly higher than our estimate. In an effort to be as diligent as possible about the use of L_
0 funds, we chose to re-issue the solicitation. To our second solicitation,we received two responses,both of
which, again significantly exceeded our estimate. However, after internal discussion, we decided to
proceed with the project and are currently negotiating with the highest-ranking respondent.
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This time extension will enable us to construct the project, complete the scope of work, and deliver the
expected benefits that we have planned for.
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Attached: �
• Standard amendment attachments: Milestone Report and Status of Performance Report(previously
submitted,but resubmitting with package.) 0
U
2. MONETARY INCREASE
As described above the current market is inflationary and highly competitive. We issued two separate
E
solicitations for project construction; the first in September 2021 and the second in May 2022. (The
solicitation documents are attached: RFP, Addenda and Exhibits.) Both solicitation efforts resulted in
E
proposals that were far higher than expected.
In response to the second solicitation,the highest ranked proposal came in at$980,000,which is 264%over
the engineer's construction estimate of$371,107.
1
Packet Pg. 3002
0.8.a
However, subsequent negotiations resulted in a lower final price of $760,000, which is 205% over
engineer's estimate. C1,4
C14
c14
The bid tabulation chart and a table comparing engineer's estimates to the bid amounts are attached.
a�
In order to proceed with the project, we will require a funding increase of$388,833. (This is the amount
reflected on the SF 424 C.) With this monetary increase of$388,833,the new grant amount is$876,141.50,
(this amount is reflected on the SF 424.) 2
CU
L_
Due to the cost escalation, we carefully considered whether to halt the project or to proceed despite the U)
higher costs. We decided,given the benefits of this project,to accept the realities of the current market and 0
proceed with the project,pending approval of a monetary increase.
CU
The scope of work necessary to achieve the expected benefits, the installation of two submerged culvert U
.a
boxes extending 40 linear feet, is essentially an all-or-nothing type of project; there are no modifications
available to enable us to lower its costs. Thus,this project cannot be completed without the additional funds
47
requested.
The additional funds will enable us to continue to implement the project as scoped(following best available
science, environmental compliance reviews, etc.), is the most efficient path forward and will also deliver
0
the expected benefits as the County and impacted communities have planned for and anticipated. 0
Attached: E
• Bid Tabulation Chart CU
• Comparison of engineer's cost estimate v bids' costs
• Solicitation documents (RFP, Exhibits A and B,Addenda 1 and 2 --submitted already,but CU
resubmitted with this package.)
3. SAC#4 LANGUAGE REVISION E
CU
L_
The current language of this grant agreement's SAC#4 currently precludes the ability for Monroe County 0
to draw down reimbursement funds for the pre-construction costs (design, engineering, permitting, etc.)
that we have incurred to date. E
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Per the SAC #4, the maximum draw limit of $1 applies until we commence construction. This was an
CU
oversight on our part, as we expected to be able to draw down funds for pre-construction costs as they were C.
incurred.
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Therefore,Monroe requests an adjustment to the maximum draw limit to $58,029, to enable us draw down
reimbursement of pre-construction costs.
0
Correspondingly, we are revising the budget to differentiate between engineering/design/permitting (pre- U
CL
construction)costs and construction costs. CL
Monroe requests revising its budget to reflect three phases, as such:
a�
E
➢ Phase 1: Design, engineering,permitting: $58,029 (task order attached.)
➢ Phase 2: Construction: $760,000 (reflects new construction cost) and construction engineering
inspection, ongoing engineering services, and administration: $49,112 (to be delivered during <
/post construction.)
E
(The original budget includes $107,308.50 for design, engineering, permitting, construction engineering
c�
inspection services and administration, and $371,167.00 for construction. The new budget will reflect an
increase of$388,933 in construction costs and no change to the amount of the non-construction costs.)
2
Packet Pg. 3003
0.8.a
N
Monroe County is contracted with Wood Environment and Infrastructure Solutions, Inc. ("Wood") a N
Florida-based engineering firm to provide comprehensive engineering consulting services for canal
restoration projects.
0
Contracted services include but are not limited to engineering studies, engineering design services,
preparing specifications and solicitation documents,water quality studies,permitting,assisting with review 2
of contractor bids/proposals, project management services, construction engineering and inspection
services. Monroe's contract for comprehensive engineering services was procured in accordance with State U)
law prior to the grant agreement being executed with Treasury(as described in our initial application.) The
contract, and subsequent contract amendment of firm's name change is attached.
U
Attached:
• Contract with engineering firm
47
• Amendment of name change of engineering firm
• Task Order for pre-construction services in the amount of$58,029.
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0
U)
0
4. REQUEST PHASE 1 REVIEW OF DOCUMENTATION FOR PERMISSION TO PROCEED W
WITH CONSTRUCTION E
In order to move forward as efficiently as possible, we are requesting a Phase 1 review of documentation
for permission to proceed with construction. We have submitted all documentation available at this time,
with the exception of information related to the construction contractor (not officially selected yet) and
details on the executed contact with that contractor.
Further, we have submitted a final environmental compliance review that addresses the observations made
to our previous submission and updated environmental checklist.
E
We have secured the required permits. 0
Attached:
E
• Environmental Compliance Review, with responses to observations
• Environmental Checklist
C,
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CL
CL
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Packet Pg. 3004
0.8.a
RESTORE Act Milestones Report OMB Number
Department of the Treasury 1505-0250
Applicant/Grantee:
Title:* Canal Water Quality Restoration in Unincorporated Monroe County CC14
a
C°4
Reporting Period Ending* Mar 31 Year*2022 14
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INSTRUCTIONS FOR COMPLETING FORM 0)
Please complete Columns B-E in the initial report submitted as part of an application package.After a grant is awarded,complete Columns F-G for each
milestone as applicable and submit as part of the performance reports described in the Standard Terms and Conditions.Columns E and G will calculate
automatically,and will show an error message unless the values in each column total 100%.These milestones should reflect what is in the applicant's scope of
work as described in the applicable RESTORE Act Direct Component or Centers of Excellence Application Narrative. ,0
TO COMPLETE 0
D E- F G-
C- milestone Actual Completion Date of Estimated Q9
C contingent upon What Milestone(Format:Month- percentage
Estimated percentage of _
completion of Year) of budget
A- Completion the Scope of tY$
B- another milestone for the
Milestone Timeframe of Work is
Milestone Description (Y/N)? awarded li$
Number Milestone(Format: estimated to �
award+#of If yes,which be completed Month Year Scope of
milestone is it Work
months) with this Qy
contigent upon(# spent on
from Column A)? milestone? milestone
#1 Canal Selection 1 no 1.00%FAu 2023 1.00%
g BU
#2 Design and Permitting 7 Y,#1 15.00% 10. a)
Dec 2021 00%
0
#3 Procurement of Construction Contract 14 Y,#2 4.00% Nov 2022 0.00%
Q8
#4 2023 Construction Completion 30 Y,#3 60.00% 79.
Apr 00%
Q9
#5 Post Construction Inspection and 35 Y,#4 15.00% 5.00%
Monitoring Oct 2023
#6 Closeout 36 Y,#5 5.00% Oct 2023 5.00%
TOTAL 100.00% 100.001/. &
Q8
According to the Paperwork Reduction Act of 1995,no persons are required to respond to a collection of information unless it displays a valid
OMB control number.The valid OMB control number for this information collection is 1505-0250.Comments concerning the time required to
complete this information collection,including the time to review instructions,search existing data resources,gathering and maintaining the data
needed,and completing and reviewing the collection of information,should be directed to the Department of the Treasury,Office of Gulf Coast
Restoration,1500 Pennsylvania Ave.,NW,Washington,DC 20220. tY$
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0.8.a
RESTORE Act Status of Performance Report OMB Number
Department of the Treasury 1505-0250
Instructions for Completing Form
The purpose of this form is to report the status of progress toward reaching priority goals of the eligible Direct Component(DC)activity/Centers of Excellence
(COE)discipline(i.e.,measuring success,rather than listing milestones or tasks).Please focus on a discrete number of priority goals(1-3)and the corresponding 0�4
performance measures(1-5).Complete boxes shaded in blue. 04
04
Goal(s):Anticipated result(s).State the priority goal(s)to be achieved with the grant award.Priority goals)should clearly identify with the eligible DC activity/
COE discipline. Q9
Eligible Activi,/Disci tine#:For a DC rant,select the DC number from the drop-down down list that corresponds to the DC Eligible Activi, associated with that
ty P� g P- PActivity
measure.For a(COE)grant,select the COE number from the drop down list that corresponds to the COE Eligible Discipline associated with that measure.The
DC numbers and COE numbers,along with the corresponding Eligible Activities and Disciplines,are listed directly below.
Direct Component(DC)Eligible Activities
0
DC-1 Restoration and protection of the natural resources,ecosystems,fisheries,marine and wildlife habitats,beaches,and coastal wetlands of the Gulf Coast U)'
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region. Q8
DC-2 Mitigation of damage to fish,wildlife,and natural resources.
DC-3 Implementation of a federally approved marine,coastal,or comprehensive conservation management plan,including fisheries monitoring.
DC-4 Workforce development and job creation.
DC-5 Improvements to or on State parks located in coastal areas affected by the Deepwater Horizon oil spill.
DC-6 Infrastructure projects benefitting the economy or ecological resources,including port infrastructure.
DC-7 Coastal flood protection and related infrastructure.
DC-8 Planning assistance.
DC-9 Promotion of tourism in the Gulf Coast Region,including recreational fishing C:
DC-10 Promotion of consumption of seafood hravested from the Gulf Coast Region :3
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Centers of Excellence(COE)Eligible Disciplines +^�
45
COE-1 Coastal and deltaic sustainability,restoration and protection,including solutions and technology that allow citizens to live in a safe and sustainable
manner in a coastal delta in the Gulf Coast Region.
COE-2 Coastal fisheries and wildlife ecosystem research and monitoring in the Gulf Coast Region. 0
COE-3 Offshore energy development,including research and technology to improve the sustainable and safe development of energy resources in the Gulf of U)
Mexico.
COE-4 Sustainable and resilient growth,economic and commercial development in the Gulf Coast Region.
COE-5 Comprehensive observation,monitoring,and mapping of the Gulf of Mexico.
Measure#:Starting with 1,number each performance measure.
Measure:An indicator of success toward reaching a goal.This should reflect"how the applicant will evaluate success"from the narrative of an accepted
multiyear plan. C
Q9
Baseline:The starting point of the measure.It is the status quo without the grant award.
Target:The anticipated result of the measure.It is the anticipated new status with the grant award.
Q9
Date:It is the anticipated date for reaching the target. E
Progress toward target(reporting period/cumulative):Leave blank on the initial report.For subsequent reports,record progress made during the reporting Q9
period and the progress made from the start date of the grant award through the current reporting period.
Status/Next Steps:Briefly describe specific progress and/or challenges related to the measure.
0
Applicant/Grantee:
Title:* Monroe County Canal Water Quality Restoration dy
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Reporting Period Ending* Year*2022 "C
Mar 31 U
Goal(s):* Restoration ofwater quality in canal#259
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Eligible B- Target Date IT-
Eligible D- E- Progress toward I- U
Activity/ Measure Measure Baseline Target target Status/Next Steps
Discipline # Month Year
# (cumulative)
Completed
design and 0
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Prepared 45
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amendment.
Next steps:
Page 1 of 2 Page 1 of 2 1 Packet Pg. 3006
0.8.a
select
construction
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execute
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According to the Paperwork Reduction Act of 1995,no persons are required to respond to a collection of information unless it displays a valid
OMB control number.The valid OMB control number for this information collection is 1505-0250.Comments concerning the time required to t!l
complete this information collection,including the time to review instructions,search existing data resources,gathering and maintaining the data 04
needed,and completing and reviewing the collection of information,should be directed to the Department of the Treasury,Office of Gulf Coast 04
Restoration,1500 Pennsylvania Ave.,NW,Washington,DC 20220. try
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OMB Approval
ASSURANCES -CONSTRUCTION PROGRAMS Expiration Dale 0212312022
Public reporting burden for this collection of information is estimated to average 15 minutes per response, including time for reviewir
instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection I ,
information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions fc
reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project(0348-0042), Washington, DC 20503. cN
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PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET.
SEND IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY. CL
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NOTE: Certain of these assurances may not be applicable to your project or program. If you have questions, please contact tl
Awarding Agency. Further, certain Federal assistance awarding agencies may require applicants to certify to addition 0
assurances. If such is the case, you will be notified.
As the duly authorized representative of the applicant, I certify that the applicant:
1. Has the legal authority to apply for Federal assistance, 8. Will comply with the Intergovernmental Personnel Ac
and the institutional, managerial and financial capability of 1970(42 U.S.C. §§4728-4763) relating to prescribe(
(including funds sufficient to pay the non-Federal share standards for merit systems for programs fundei
of project costs) to ensure proper planning, under one of the 19 statutes or regulations specified it
management and completion of the project described in Appendix A of OPM's Standards for a Merit System c
this application. Personnel Administration (5 C.F.R. 900, Subpart F).
2. Will give the awarding agency, the Comptroller General 9. Will comply with the Lead-Based Paint Poisoninc 0
of the United States and, if appropriate, the State, Prevention Act (42 U.S.C. §§4801 et seq.) whicl
through any authorized representative, access to and prohibits the use of lead-based paint in construction o
the right to examine all records, books, papers, or rehabilitation of residence structures. E
documents related to the assistance; and will establish
a proper accounting system in accordance with 10. Will comply with all Federal statutes relating to non ,
generally accepted accounting standards or agency discrimination. These include but are not limited to: (a
directives. Title VI of the Civil Rights Act of 1964 (P.L. 88-352
which prohibits discrimination on the basis of race
3. Will not dispose of, modify the use of, or change the color or national origin; (b) Title IX of the Education
terms of the real property title, or other interest in the Amendments of 1972, as amended (20 U.S.C. §§168 E
site and facilities without permission and instructions 1683, and 1685-1686), which prohibits discriminatior C
from the awarding agency. Will record the Federal on the basis of sex; (c) Section 504 of thi
interest in the title of real property in accordance with Rehabilitation Act of 1973, as amended (29 U.S.0 m-
awarding agency directives and will include a covenant §794), which prohibits discrimination on the basis c 0
in the title of real property aquired in whole or in part handicaps; (d) the Age Discrimination Act of 1975, a:
with Federal assistance funds to assure non- amended (42 U.S.C. §§6101-6107), which prohibit:
discrimination during the useful life of the project. discrimination on the basis of age; (e) the Drug Abusi
Office and Treatment Act of 1972 (P.L. 92-255), a:
4. Will comply with the requirements of the assistance amended, relating to nondiscrimination on the basis c
awarding agency with regard to the drafting, review and drug abuse; (f) the Comprehensive Alcohol Abuse an( CL
approval of construction plans and specifications. Alcoholism Prevention, Treatment and Rehabilitation
Act of 1970 (P.L. 91-616), as amended, relating tc
5. Will provide and maintain competent and adequate nondiscrimination on the basis of alcohol abuse o
engineering supervision at the construction site to alcoholism; (g) §§523 and 527 of the Public Healtl
ensure that the complete work conforms with the Service Act of 1912 (42 U.S.C. §§290 dd-3 and 290 ei 0
approved plans and specifications and will furnish 3), as amended, relating to confidentiality of alcohc U
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progress reports and such other information as may be and drug abuse patient records; (h) Title VIII of thi CL
required by the assistance awarding agency or State. Civil Rights Act of 1968 (42 U.S.C. §§3601 et seq.), a: ,
amended, relating to nondiscrimination in the sale
6. Will initiate and complete the work within the applicable rental or financing of housing; (i) any oche E
time frame after receipt of approval of the awarding nondiscrimination provisions in the specific statutes
agency. under which application for Federal assistance is being E
made; and, 0) the requirements of any oche
7. Will establish safeguards to prohibit employees from nondiscrimination statute(s) which may apply to thi
using their positions for a purpose that constitutes or application.
presents the appearance of personal or organizational
conflict of interest, or personal gain.
Standard Form 424D(Rev.7-97)
Previous Edition Usable Authorized for Local Reproduction Prescribed packet Pg. 3009
0.8.a
11. Will comply, or has already complied, with the National Environmental Policy Act of 1969 (P.L. 91-
requirements of Titles II and III of the Uniform Relocation 190) and Executive Order (EO) 11514; (b) notification
Assistance and Real Property Acquisition Policies Act of of violating facilities pursuant to EO 11738; (c) 0,4
1970 (P.L. 91-646) which provide for fair and equitable protection of wetlands pursuant to EO 11990; (d) cc','
treatment of persons displaced or whose property is evaluation of flood hazards in floodplains in accordance c�
acquired as a result of Federal and federally-assisted with EO 11988; (e) assurance of project consistency
programs. These requirements apply to all interests in real with the approved State management programCL
property acquired for project purposes regardless of developed under the Coastal Zone Management Act of c=
1972 16 U.S.C. 1451 et se f conformity of 2
Federal participation in purchases. ( §§ q•); ( ) Y °
Federal actions to State (Clean Air) Implementation
0
12. Will comply with the provisions of the Hatch Act (5 U.S.C. Plans under Section 176(c) of the Clean Air Act of
§§1501-1508 and 7324-7328) which limit the political 1955, as amended (42 U.S.C. §§7401 et seq.); (g)
activities of employees whose principal employment protection of underground sources of drinking water
activities are funded in whole or in part with Federal funds. under the Safe Drinking Water Act of 1974, as
amended (P.L. 93-523); and, (h) protection of t)
13. Will comply, as applicable, with the provisions of the Davis- endangered species under the Endangered Species Act
Bacon Act (40 U.S.C. §§276a to 276a-7), the Copeland Act of 1973, as amended (P.L. 93-205).
(40 U.S.C. §276c and 18 U.S.C. §874), and the Contract 47
Work Hours and Safety Standards Act (40 U.S.C. §§327- 16. Will comply with the Wild and Scenic Rivers Act of c�
333) regarding labor standards for federally-assisted 1968 (16 U.S.C. §§1271 et seq.) related to protecting
construction subagreements. components or potential components of the national
wild and scenic rivers system. U)
14. Will comply with flood insurance purchase requirements of
Section 102(a) of the Flood Disaster Protection Act of 1973 17. Will assist the awarding agency in assuring compliance
(P.L. 93-234) which requires recipients in a special flood with Section 106 of the National Historic Preservation
hazard area to participate in the program and to purchase Act of 1966, as amended (16 U.S.C. §470), EO 11593
identification and protection of historic properties),flood insurance if the total cost of insurable construction (• p p p ), and
and acquisition is$10,000 or more. the Archaeological and Historic Preservation Act of
1974 (16 U.S.C. §§469a-1 et seq.).
15. Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of 18. Will cause to be performed the required financial and
environmental quality control measures under the compliance audits in accordance with the Single Audit 0
Act Amendments of 1996 and OMB Circular No. A-133,
"Audits of States, Local Governments, and Non-Profit
Organizations."
4-
19. Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations, and policies E
governing this program.
20. Will comply with the requirements of Section 106(g)of
the Trafficking Victims Protection Act(TVPA)of 2000, as
amended (22 U.S.C. 7104)which prohibits grant award
recipients or a sub-recipient from(1)Engaging in severe
forms of trafficking in persons during the period of time
that the award is in effect(2)Procuring a commercial sey 0
act during the period of time the award is in effect or(3 CL
Using forced labor in the performance of the award or CL
subawards under the award.
SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL TITLE
David Rice Mayor E
APPLICANT ORGANIZATION DATE SUBMITTED
E
Monroe,County of 2022-08-15
SF-424D(Rev.7-97)Back
Packet Pg. 3010
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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.
Cn
4.GRANT NO. 1 RDCGR170099-01-00 5. TYPE OF AWARD Washington, DC 20220-0001 N
a
Formerly Other N
4a.FAIN RDCGR170099 5a.ACTION TYPE New ,
6. PROJECT PERIOD MM/DD/YYYY MM/DD/YYYY NOTICE OF AWARD ,
From 11/01/2019 Through 10/31/2022 AUTHORIZATION (Legislation/Regulations) L_
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 0
8.TITLE OF PROJECT(OR PROGRAM) '
Canal WQ Improvements and Restoration in Unincorporated Monroe County
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9a.GRANTEE NAME AND ADDRESS 9b.GRANTEE PROJECT DIRECTOR
COUNTY OF MONROE Ms.Lisa Tennyson
1100 Simonton St Rm 2-205 1100 Simonton St,Gato Bldg,2nd Floor CU
Key West,FL 33040-3110 Key West,FL 33040 CU
Phone:305-292-4444 L)
10a.GRANTEE AUTHORIZING OFFICIAL 10b.FEDERAL PROJECT OFFICER
Sylvia Murphy Mr.John Stutts
47,
1100 Simonton St 1500 Pennsylvania Ave.,N.W.
Gato Bldg,2nd Floor Washington,DC 20220-0001
Key West,FL 33040 Phone:202-622-0239
O
ALL AMOUNTS ARE SHOWN IN USD U)
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 °0'
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
(Subject to the availability of funds and satisfactory progress of the project):
d. Equipment .................................. 0.00 I)
e. Supplies ..................................
0.00 YEAR TOTAL DIRECT COSTS YEAR TOTAL DIRECT COSTS
f. Travel 0.00 b. 3 e. 6 0
9. Construction .................................. 478,308.50 c. 4 f. 7
h. Other .................................. 0.00 15.PROGRAM INCOME SHALL BE USED IN ACCORD WITH ONE OF THE FOLLOWING 0-
ALTERNATIVES: 9=
a. DEDUCTION
i. Contractual 0.00 [b]
b. ADDITIONAL COSTS
MATCHING
j. TOTAL DIRECT COSTS 10 478,308.50 d. OTHER RESEARCH(Add/Deduct Option)
e. OTHER(See REMARKS) O
k. INDIRECT COSTS 0.00 4-
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
I. TOTAL APPROVED BUDGET 478,308.50 OR BY REFERENCE IN THE FOLLOWING: (�
a. The grant program legislation
b. The grant program regulations.
C. 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 M
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- X Yes No)
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 ggy
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. ,
AUTHORIZING OFFICIAL: U
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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
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Federal Financial Report Cycle
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................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................... cs
Reporting Period Start Date Reporting Period End Date Reporting Type Reporting Period Due Date
..............................................................................................................................................................................................................................................................................................................................................................................................................................................................
11/01/2019 03/31/2020 Semi-Annual 04/30/2020
....................................................................................................................................................................................................................................................................
04/01/2020 09/30/2020 Semi Annual 10/30/2020
................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................... 2
10/01/2020 03/31/2021 Semi-Annual 04/30/2021
................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................... CU
04/01/2021 09/30/2021 Semi-Annual 10/30/2021
........................................................................................................................�.....................................................................................................................................................................................................................................................................................................................
....................................................................
10/01/2021 03/31/2022 Semi-Annual 04/30/2022 U)
04/01/2022.............................................................................09/30/2022.............................................................................S.e.m.i._An.n.0 a.L.......................................................................10/30/2022............................................................................
10/01/2022 10/31/2022 Final 01/29/2023
U
RESTORE Act- SPECIAL AWARD CONDITIONS
1. Special Condition 1: Monroe County agrees to receive award funds on a reimbursement payment 47
method. Treasury's pre-approval of drawdown requests is not required(see Section H of the s
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 0
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.
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Special Condition 2: Individual projects selected under the proposed program are subject to best CL
available science review. Upon their selection,Monroe County must explain their determination that
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the project is based on best available science by providing to Treasury a response to the best available U
science question on the application (136) and project-level details,including specific project locations,
reasons for selecting locations, specific methods proposed to address identified issues at selected
locations, expected outcomes following restoration, and identify uncertainties and risks. 0
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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 0
commence construction.
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Special Condition 4: An ASAP Maximum Draw Limit of$1.00 is in place for this award. Monroe
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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
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meeting the requirements of Special Condition 2 and 3.
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RESTORE Act- FUNDING AUTHORIZATION
1.
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Total Amount of Amount of Amount of 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
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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,
with Special Award U)
Conditions, and an
ASAP Maximum Draw
Limit of$1.00 per SAC
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AWARD ATTACHMENTS
Monroe County Board of County Commissioners 1 RDCGR170099-01-00
1. Approved Scope of Work
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2. Standard and Program Specific Terms and Conditions- December 2018 N
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APPROVED SCOPE OF WORK
The Approved Scope of Work includes all information provided with the grant application. The
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 N
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Application No: RDC2018000097
Application Title: Canal WQ Improvements and Restoration in Unincorporated Monroe County CL
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The application requests funds for the planning, design, permitting, construction, implementation, and 76
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
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. 47
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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 o
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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 L_
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prevent weed wrack from entering canals. The 107 canals considered to have "Poor Water Quality" 76
were ranked based on criteria outlined in the CMMP. Monroe County has completed restoration tM
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
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identified for improvements, dependent upon final construction costs. Additional canals may be c,
selected if funds are available.
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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
the successful improvement of canal water quality, as measured by the increase in dissolved oxygen
concentration.
The application requests a three-year performance period. Monroe County proposes to complete the
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.
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RESTORE ACT
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FINANCIAL ASSISTANCE STANDARD TERMS
AND CONDITIONS AND PROGRAM-SPECIFIC
TERMS AND CONDITIONS
U.S. Department of the Treasury47
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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 �
CC>K4PC>NENT-------------------------------------------.2
B PROGRAM-SPECIFIC TERMS AND CONDITIONS-AWARDS UNDER THE CENTERS OF
EXCELLENCE RESEARCH GRANTS PROGRAM ........................................................................ 3
STANDARD TERMS AND CONDITIONS-AWARDS UNDER THE DIRECT COMPONENT�N� 0
AWARDS UNDER THE CENTERS gF EXCELLENCE RESEARCH GRANTS PROGRAM
C FINANCIAL REQUIREMENTS........................................................................................................4 u
O RECIPIENT REPORTING AND AUDIT REQUIREMENTS.............................................................7
E FINANCIAL MANAGEMENT SYSTEM AND INTERNAL CONTROL REQUIREMENTS ...............9
47
F RECORDS RETENTION REQUIREMENTS................................................................................. 10 �
G THE FEDERAL GOVERNMENT'S RIGHT TO INSPECT, AUDIT,AND INVESTIGATE.............. 11
H AWARD DISBURSEMENT.............................................................................................................. 12
| EFFECT OFA GOVERNMENT SHUTDOWN ON DISBURSEMENTS AND THE AVAILABILITY -~
C>F TREASURY PERSONNEL...................................................................................................... 13
J NOTIFICATIONS AND PRIOR APPROVALS............................................................................... 13 �
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KPROPERTY................................................................................................................................... 14
L AMENDMENTS AND CLOSEOUT................................................................................................ 15 L)
K4 REMEDIES FOR NONCOMPLIANCE........................................................................................... 18
N DEBTS----------------------------------------------. 17 =
C> NC>N-O|GCR|K4|NATION REQUIREMENTS.................................................................................. 18
P REQU|REK4ENTTO CHECK DEBARMENT AND SUSPENSION STATUS OFGUBREC|P|ENTG. o
2
CONTRACTORS, SUBCONTRACTORS �0
-------------------� �
{2 DRUG FREE VVORKPLACE-----------------------------------.20 —
R LOBBYING RESTRICTIONS.........................................................................................................20 �
GPROCUREMENT...........................................................................................................................22
T RESEARCH INVOLVING HUMAN SUBJECTS 24 �
-------------------------� C�
U ENVIRONMENTAL REQUIREMENTS..........................................................................................24
V MISCELLANEOUS REQUIREMENTS AND PROVISIONS..........................................................25
SUPPLEMENTAL STANDARD TERMS AND CgNDITIONS-AWARDSUNDERTHED|RECT �-
COMPONENT FOR ACQU|ST|gN AND IMPROVEMENTS Tg REAL PROPERTY
VV ACQUISITION AND IMPROVEMENTS TC> REAL PROPERTY...................................................35 �
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RESTORE ACT FINANCIAL ASSISTANCE STANDARD TERMS AND
CONDITIONS AND PROGRAM-SPECIFIC TERMS AND CONDITIONS
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PREFACE
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The grant agreement is comprised of the following documents:
1. A Notice of Award from the Department of the Treasury("Treasury");
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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-
Specific Terms and Conditions");
4. The approved application, including all documents, certifications, and assurances that are part of
the approved application;
47
5. The approved scope of work; c�
6. The approved budget; and,
0
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
employed in the completion of the activity, project, or program to comply with all federal statutes,federal 0-
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
U
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, U
and any Special Award Conditions of this Award will be resolved according to the following order of 0
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 0
any Special Award Conditions. Special Award Conditions may amend or take precedence over Standard
Terms and Conditions and Program-Specific Terms and Conditions. 4-
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 ,
Law No. 112-141 (July 6, 2012)), Treasury's RESTORE Act regulations (79 Fed. Reg. 48039
(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. U
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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 N
following Program-Specific Terms and Conditions in this Section A:
1. Administrative Costs
c
a. Administrative costs are defined at 31 C.F.R. §34.2.
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.
c. Up to 100 percent of program income maybe used to pay for allowable
administrative costs, subject to the three percent cap. 47
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2. Oil Spill Liability Trust Fund
0
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 U
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 c
in Section M of these Standard Terms and Conditions, per 31 C.F.R. §34.804, U
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 a
0
for activities, projects,or programs until the recipient has either(1)deposited an
amount equal to the amount expended for the ineligible activities in the Trust 0
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
document, all Treasury RESTORE Act awards under the Centers of Excellence Research Grants N
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),
the following costs are unallowable unless approved in writing by Treasury:
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.
U
b. Acquisition of land or interests in land.
47
2. Notifications c�
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: 0
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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; 76
iv. Discipline or disciplines assigned to the Center of Excellence; U
V. Description of the actual public input process undertaken, including a
summary of any comments received and a description of how they were 0
addressed;and U
0
vi. The estimated budget for the Center, including the total allocation of
funded dollars for the Center. 0
b. The recipient must immediately notify Treasury if it anticipates selecting a new 0
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
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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December 2018 Page 3
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O.8.b
STANDARD TERMS AND CONDITIONS
AWARDS UNDER THE DIRECT COMPONENT AND THE CENTERS OF EXCELLENCE RESEARCHCN
cuss
GRANTS PROGRAMCN
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C FINANCIAL REQUIREMENTS
1. Applicable Regulations g
This Award is subject to the following federal regulations and requirements. This list is not
exclusive: U)
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
regulations incorporating these requirements. t3
b. Treasury's RESTORE Act regulations, 31 C.F.R. Part 34.
c. Governmentwide Debarment and Suspension, 31 C.F.R. Part 19. 47
d. Governmentwide Requirements for Drug-Free Workplace,31 C.F.R. Part 20.
e. New Restrictions on Lobbying, 31 C.F.R. Part 21.
0
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.
0
2. Scone of Work 76
The recipient must only use funds obligated and disbursed under this Award for the U
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 U
amendment explicitly modifying the approved scope of work to include those activities. 0
0
0
3. Period of Performance: Pre-award Costs
0
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:
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
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
allowable under 2 C.F.R. Part 200, subpart E (Cost Principles).
December 2018 Page 4
Packet Pg. 3022
O.8.b
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 N
reviewing, negotiating, and approving cost allocation plans or indirect cost N
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 a
shall be the lesser of: g
CU
i. The line item amount for the indirect costs contained in the approved
budget, including all budget revisions approved in writing by the U)
Treasury;or,
ii. The total indirect costs allocable to this Award based on the indirect cost
CU
rate approved by a cognizant or oversight federal agency and applicable t3
to the period in which the cost was incurred, provided that the rate is
approved on or before the Award end date.
47
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5. Cost Sharing and Budget Limitations
a. The recipient is not required to contribute any matching funds. 0
U)
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.
0
6. Program Income
Any program income (defined at 2 C.F.R. §200.80)generated by the recipient or the c)
subrecipient during the period of performance of the award or subrecipient agreement,
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 cj
Special Award Conditions, i.e. solely to accomplish the approved scope of work. 0
0
0
7. Incurring Costs or Obligating Federal Funds Beyond the Expiration Date
0
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
Refunds of taxes paid under the Federal Insurance Contributions Act(FICA)and the
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). E
The recipient agrees to contact Treasury immediately upon receipt of these refunds.
December 2018 Page 5
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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 N
includes a budget by federal object class categories or fixed amount (2 CFR N
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.
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
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 47
and Conditions, Program-Specific Terms and Conditions, and any Special Award U
Conditions, and to ensure that performance goals are achieved.
d. The recipient must provide training and technical assistance to the subrecipient
U)
as necessary.
e. The recipient must, if necessary,take appropriate enforcement actions against ,
non-compliantsubrecipients.
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0
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
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.
g. The recipient must maintain written standards of conduct governing the 0
performance of its employees involved in executing this Award and 0-
administration of subawards. C
0
i. No employee, officer, or agent shall participate in the selection, award,or L_
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
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.
December 2018 Page 6
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O.8.b
D RECIPIENT REPORTING AND AUDIT REQUIREMENTS
N
1. Financial Reports N
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 g
following the end of each reporting period. Afinal SF-425 must be submitted
within 90 days after the end of the period of performance. c
U)
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 76
subrecipient (if applicable).
U
c. The report must be signed by an authorized certifying official who is the
employee authorized by the recipient organization to submit financial data on its
behalf.
47
d. The recipient must submit all financial reports via http://www.GrantSolutions.gov, U
unless otherwise specified by Treasury in writing.
0
U)
2. Performance Reports
a. The recipient must submit an SF-PPR("Performance Progress Report"), a c�
"RESTORE Act Status of Performance Report," (standard format provided by
0
Treasury, OMB Approval No. 1505-0250)and an updated "RESTORE Act
Milestones Report," (standard format provided by Treasury, OMB Approval No. 76
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 U
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 U
performance.
0
b. The recipient must submit all performance reports in (a)above, via 0
http://www.GrantSolutions.gov, unless otherwise specified in writing by Treasury,
and the recipient must complete these reports according to the following
instructions:
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:
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; ,
3) List any contracts awarded during the reporting period, along
with the name of the contractor and its principal,the DUNS
number of the contractor, the value of the contract, the date of U
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
December 2018 Page 7
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O.8.b
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,theCN
date of award, and a brief description of the scope of work. N
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 g
undertaken to attenuate these risks or controversies; and Cu
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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 76
recipient should propose a revised schedule and update its Cu
milestone report. L)
c) In Section B-3:
Summarize any significant findings or events, including any data 47
compiled, collected,or created, if applicable. c�
d) In Section B-4:
0
Describe any activities to disseminate or publicize results of the activity,
project,or program, including data and its repository and citations for
publications resulting from this Award. ,
c�
e) In Section B-5:
0
1) Describe all efforts taken to monitor contractor and/or
76
subrecipient performance, including site visits,during the
reporting period. Cu
t3
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; L)
and
0
3) For awards where Davis-Bacon Act provisions are applicable, 0
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.
Cu
4) Describe any other activities or relevant information not already
provided.
f) In Section B-6: Cu
Summarize the activities planned for the next reporting period.
ii. "RESTORE Act Status of Performance Report": Instructions are
Cu
provided on the report form.
iii. "RESTORE Act Milestones Report": Instructions are provided on the
report form.
t3
4i
3. Interim Reporting on Significant Developments per 2 C.F. R. &200.328(d)
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 °
December 2018 Page 8
Packet Pg. 3026
O.8.b
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 N
needed to resolve the situation. c�
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. g
b. The recipient must: a
0
i. Promptly provide to Treasury and the Treasury Inspector General a copy
of all state or local inspector general reports, audit reports other than 76
those prepared under the Single Audit Act, and reports of any other
oversight body, if such report pertains to an award under any RESTORE
Act component, including the Comprehensive Plan Component and Spill
Impact Component.
47
ii. Immediately notify Treasury and the Treasury Inspector General of any
indication of fraud,waste, abuse, or potentially criminal activity pertaining
to grant funds.
0
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.
0
76
4. Audit Reauirements
The recipient is responsible for complying,and ensuring all subrecipients comply, with all
audit requirements of the Single Audit Act and 2 C.F.R. Part 200 Subpart F—Audit
Requirements. 0
t3
0
0
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- 0
Assessment must be submitted per recipient per year. In completing the form,the
recipient must note controls or activities that have changed from its previous submission.
The recipient must submit the Operational Self-Assessment electronically to
restoreact(a)treasuryegov, unless otherwise specified in writing by Treasury. The form
may be downloaded at Q i r..ect..0 m onent OSA or Centers 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
own funds. All other recipients must expend and account for Award funds in E
accordance with federal laws and procedures. In addition, all recipients'financial t j
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
c�
Reports, as well as reporting on subawards, if applicable, and any additional
reports required by any Special Award Conditions;
December 2018 Page 9
Packet Pg. 3027
O.8.b
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 N
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
assigned grant number,which is the Universal Award ID (as provided by
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, 76
as well as all awards, authorizations,obligations, unobligated balances, assets,
expenditures, program income, and interest earned on federal advances, and L)
allow users to tie these records to source documentation such as cancelled
checks, paid bills, payroll and attendance records, contract and subaward
agreements,etc. 47
f. Ensure effective control over, and accountability for, all federal funds, and all c�
property and assets acquired with federal funds. The recipient must adequately
safeguard all assets and ensure that they are used solely for authorized 0
U)
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
allowability of costs in accordance with 2 C.F.R. Part 200, subpart E (Cost Principles)and
the terms and conditions of this Award.
76
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 t3
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 L)
in"Standards for Internal Control in the Federal Government" issued by the Comptroller 0
General of the United States or the"Internal Control Integrated Framework", issued by
the Committee of Sponsoring Organizations of the Treadway Commission (COSO). The 0
recipient must evaluate and monitor its compliance, and the compliance of any
subrecipients,with the RESTORE Act,Treasury's RESTORE Act regulations,these 4-
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.
F RECORDS RETENTION REQUIREMENTS t i
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 E
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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O.8.b
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 N
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 g
funding opportunity announcement or equivalent, all applications received, all CU
meeting minutes or other documentation of the evaluation and selection of c
subrecipients, any disclosed conflicts of interest regarding a subaward, and all
signed conflict of interest forms;
CU
c. All documentation of site visits, reports, audits, and other monitoring of cCU
contractors(vendors)and subrecipients;
d. All financial and accounting records, including records of disbursements to
contractors(vendors)and subrecipients, and documentation of the allowability of
47
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 0
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
CU
must be retained until all litigation, claims, investigations,or audit findings involving the
CU
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 0
that the contractor retain all records in compliance with 2 C.F.R. §200.333. U
0
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 c
compliance with 2 C.F.R. §200.333.
0
4-
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
access shall continue as long as records are required to be retained.
U
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
Packet Pg. 3029
O.8.b
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 N
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 g
records, including electronic records, of the contractor that are pertinent to this CU
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 contractor's personnel for the purpose of interview and
CU
discussion related to such documents. This right of access shall continue as long
CU
as records are retained (see Section F above). U
2. Access to the Recipient's Sites.
The Treasury,the Treasury Office of Inspector General, and Government Accountability 47
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. U)
H AWARD DISBURSEMENT
0
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 76
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
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 of t3
funds and disbursement, or(3) Treasury determines that the recipient is in 0
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.
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
CU
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 U)
income, rebates, refunds, contract settlements, audit recoveries, and interest earned CU
on such funds before requesting additional cash payments of Award funds.
4. Treasury will use the Department of Treasury's Automated Standard Application for
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 L)
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
December 2018 Page 12
Packet Pg. 3030
O.8.b
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. N
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.
The timing and amount of advance payments must be as close as is administratively L_
feasible to the actual disbursements by the parish or county for activity, project,or U)
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
Treasury.The recipient must make timely payment to contractors(vendors)in
accordance with the contract provisions.
7. Advances of federal funds must be deposited and maintained in United States
47
Government-insured interest-bearing accounts whenever possible. The recipient is not
required to maintain a separate depository account for receiving Award funds. If the c�
recipient maintains a single depository account where advances are commingled with
funds from other sources, the recipient must maintain on its books a separate subaccount 0
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).
0
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 t0
c. The depository would require an average or minimum balance so high that it
0
would not be feasible within the expected federal and non-federal cash
resources. 0
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.
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.
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:
December 2018 Page 13
Packet Pg. 3031
O.8.b
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. CN
CN
c. Except for changes described in (2)below, the recipient may revise the budget `N
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 g
constitute Treasury's approval of the revised budget. CU
a
U)
2. Prior Aoorovals
76
a. The recipient must obtain prior written approval from Treasury whenever any of
CU
the following actions is anticipated: 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); 47
ii. A need to extend the period of performance;
c�
iii. A need for additional federal funds to complete the activity, project, 0
or program; U)
iv. The transfer of funds among direct cost categories or programs,
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; 76
a
CU
V. The subawarding,transferring or contracting out of any work under U
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.; t0
vi. Any transfer between the non-construction and construction 0
activities;and
0
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.
CU
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 CU
Treasury.
U)
K PROPERTY CU
1. General Reauirements ,
a. The recipient must comply with the property standards at 2 C.F.R. §200.310
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.
b. No real property or interest in real property may be acquired under this Award
unless authorized in the approved scope of work. CU
December 2018 Page 14
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O.8.b
2. Suoolies and Eauioment
a. Requirements that are applicable to recipients that are states: ,
N
i. Equipment: The recipient must use, manage, and dispose of equipment N
acquired under this Award in accordance with state laws and
procedures.
a
ii. Supplies: If the recipient has a residual inventory of unused supplies
exceeding$5,000 in total aggregate value upon termination or
a
completion of the activity, project,or program and the supplies are not
CU
needed for any other federal award, the recipient must report the value L-
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. CU
U
b. Requirements that are applicable to recipients that are not states:
i. Equipment and Supplies: During the period of performance, the 47
recipient must seek disposition instructions from Treasury for c�
equipment and/or unused or residual supplies acquired under this Award
if the current fair market value of the equipment and/or unused or 0
residual supplies is greater than $5,000 per unit.The recipient must
seek disposition instructions before disposing of the property by
submitting a completed SF-428 Tangible Personal Property Report ,
and SF-428-C Disposition Request/Report. Not later than 60 days
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 CU
U
or 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 equipment and/or supplies are not needed for t0
any other federal award.
0
0
L AMENDMENTS AND CLOSEOUT
1. Amendments 0
a. The terms of this Award may be amended with the written approval of the CU
recipient and Treasury.
b. Treasury reserves the right to amend the terms of this Award if required by CU
federal law or regulation.
c. Amendments must be requested in writing, and must include an explanation for
the reason this Award should be amended. U)
CU
2. Closeout
a. Treasury will close out this Award when it determines that all applicable
administrative actions and all required work of this Award have been completed. L)
b. Within 90 calendar days after the end of the period of performance, unless the
recipient requests, and Treasury approves, an extension, the recipient must E
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
Packet Pg. 3033
O.8.b
must describe by federal budget class category the final use of all funds received
by the recipient and subrecipient(if applicable).
N
N
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 C
Treasury paid. g
CU
L_
e. Following receipt of reports in paragraph (a)of this section,Treasury will make U)
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: CU
U
i. The right of Treasury to disallow costs and recover funds on the basis of
a later audit or other review;
ii. The obligation of the recipient to return any funds due as a result of47
later refunds, corrections,or other transactions including final indirect
cost rate adjustments;
iii. The recipient's obligations regarding audits, property management and 0
disposition(if applicable), and records retention.
M REMEDIES FOR NONCOMPLIANCE
0
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 CU
-
Specific Terms and Conditions, or any Special Award Conditions,Treasury may take anyCU
of the following actions(in addition to the remedies in Section A.3, above, applicable to U
Direct Component awards):
a. Impose additional Special Award Conditions such as: t0
i. Allowing payment only on a reimbursement basis, with pre-approval of 0
drawdown requests,
0
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,
CU
iv. Requiring the recipient or one or more of its subrecipients to obtain
technical or management assistance, and/or
CU
V. Establishing additional actions that require prior approval;
b. Temporarily withhold payments pending correction of the noncompliance;
U)
c. Disallow from funding from this Award all or part of the cost of the activity or CU
action not in compliance;
d. Wholly or partly suspend or terminate this Award;
e. Withhold additional Awards; and/or
U
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
Packet Pg. 3034
O.8.b
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 N
noncompliance and the remedy to be imposed.
c�
2. In extraordinary circumstances, Treasury may require that any of the remedies above
0,
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.
CU
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.
CU
4. Treasury may terminate this Award in accordance with 2 C.F.R. §200.339. Requests for U
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 47
Treasury determines that the remaining portion of this Award will not accomplish the c�
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
U
not in anticipation of it; and (2)the costs would be allowable if the Award was not
suspended or expired normally at the end of the period of performance in which the
termination takes effect. 0
U
0
0
N DEBTS
1. Payment of Debts Owed the Federal Government
0
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.
c. The minimum annual interest rate to be assessed on any debts is the Department t3
of the Treasury's Current Value of Funds Rate(CVFR).The CVFR is available
online at htt�as://www.fiscal.treasurv.gov/fsreports/rat/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
Packet Pg. 3035
O.8.b
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 N
programs.Verification that other federal funds have not been used will be made,
e.g., during on-site visits and audits.
c
2. Effect of Judgment Lien on Eligibility for Federal Grants. Loans.or Programs
c
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 76
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, U
until the judgment is paid in full or otherwise satisfied.
47
c�
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.
0
1. Statutory Provisions 76
a. Title VI of the Civil Rights Act of 1964 (42 U.S.C. §§2000d et seq.) prohibits U
discrimination on the grounds of race, color, or national origin under programs or
activities receiving federal financial assistance;
0
b. Title IX of the Education Amendments of 1972 (20 U.S.C. §§ 1681 et seq.) U
prohibits discrimination on the basis of sex underfederally assisted education 0
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 0
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 ,
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;
f. Any other applicable non-discrimination law(s).
U
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. 3036
O.8.b
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 N
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. g
CU
a
3. Other Provisions
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 CU
(43 Fed. Reg.46501, 1978), require federally assisted construction contracts to U
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). 47
c�
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.
c�
0
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), expressly a
exempts from the prohibition against discrimination on the basis of religion, a religious
corporation, association, educational institution,or society with respect to the 0-
employment of individuals of a particular religion to perform work connected with the 0
carrying on by such corporation, association, educational institution,or society of its
activities.
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:
a. A Member of Congress or a representative of a committee of Congress;
U
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
Packet Pg. 3037
O.8.b
agency;
f. A court or grand jury; and/or
N
g. A management official or other employee of the recipient, subrecipient,vendor, N
contractor(vendor), or subcontractor who has the responsibility to investigate,
discover,or address misconduct.
c
P REQUIREMENT TO CHECK DEBARMENT AND SUSPENSION STATUS OF g
SUBRECIPIENTS,CONTRACTORS,SUBCONTRACTORS AND VENDORS
c
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 76
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 U
contract with an entity that appears on the Excluded Parties List.The Excluded Parties
List is accessible at http://www.sam.gov. 47
�
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 c
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 c�
Excluded Parties List.
0
3. The recipient must include a term or condition in all lower tier covered transactions
76
(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 t0
The recipient must comply with the provisions of the Drug-Free Workplace Act of 1988 (Public 0
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, c
which require that the recipient take steps to provide a drug-free workplace. L_
4-
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, ,
and with regulations at 31 C.F.R. Part 21. No appropriated funds may be expended
by the recipient of a Federal grant to pay any person for influencing or attempting to
influence an officer or employee of any agency, a Member of Congress, an officer c,
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.
c�
December 2018 Page 20
Packet Pg. 3038
O.8.b
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 N
the person has not made, and will not make, any payment prohibited under 31 N
U.S.C. § 1352, as amended.
b. The certification shall be filed pursuant to 31 C.F.R. §21.100(a) and (b).
CL
c. Any subrecipient, at any tier, who receives a subaward exceeding $100,000 under C
this award, shall file with the tier above them a certification, set forth in appendix A
of 31 C.F.R. Part 21, that the subrecipient as not made, and will not make, any L-
payment prohibited by 31 C.F.R. §21.100(a). Pursuant to 31 C.F.R. 21.100(d), the U)
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-
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
47
shall be filed to the next tier above.
c�
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 0
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.
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
States may pursue all available remedies, including those authorized by 31 U.S.C.
§ 1352.
76
3. Disclosure of Lobbying Activities
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 L)
Appendix B of 31 CF.R. Part 21, if that award recipient is paid or will pay any
0
funds, other than Federal appropriated funds, to any person for influencing or C
attempting to influence an officer or employee of any agency, a Member of o
Congress, an officer or employee of any agency, a Member of Congress, an L-
officer or employee of Congress, or an employee of a Member of Congress in
connection with this Federal grant.
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
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 ,
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. L)
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 E
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
December 2018 Page 21
Packet Pg. 3039
O.8.b
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 N
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
representation and shall not be shared with any tier to which the erroneous L-
representation is forwarded. Submitting an erroneous certification or disclosure U)
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, 76
including those authorized by 31 US.C. § 1352,
t3
e. Pursuant to 31 C.F.R. §21.110(c), every recipient must file a new disclosure
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
47
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 0
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
Federal action;
ii. A change in the persons(s) influencing or attempting to influence; 76
and/or
t3
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 c)
from subrecipients, contractors and subcontractors, to Treasury within 30 0
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 0
information contained in any disclosure form previously filed.
0
4-
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.
S PROCUREMENT
1. The recipient must comply with Section 6002 of the Solid Waste Disposal Act, as C3
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
December 2018 Page 22
Packet Pg. 3040
O.8.b
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. N
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- g
contract any part of the approved project to any agency or employee of Treasury and/or CU
other federal department, agency, or instrumentality without the prior written approval of U)
Treasury. Treasury will notify the recipient in writing of the final determination.
4. Requirements applicable to recipients and subrecipients that are states:When executing 76
procurement actions under this Award,the recipient must follow the same policies and CU
procedures it uses for procurements from its non-federal funds. The recipient must U
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 47
-
Federal Entity Contracts under Federal Awards, as well as any other provisions c�
required by law 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 c�
required by federal statutes and EOs and their implementing regulations, including all of
0
the provisions listed in Appendix II to 2 C.F.R. Part 200—Contract Provisions for Non-
Federal Entity Contracts under Federal Awards.
6. Contracting with small and minority businesses,women's business enterprise, and labor
U
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 t0
steps must include:
0
a. Placing qualified small and minority businesses and women's business
enterprises on solicitation lists;
0
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;
e. Using the services and assistance, as appropriate, of such organizations as the
Small Business Administration and the Minority Business Development Agency L)
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.
December 2018 Page 23
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O.8.b
T RESEARCH INVOLVING HUMAN SUBJECTS
1. No research involving human subjects is permitted under this Award unless expressly N
authorized by a special award condition, or otherwise in writing by Treasury. N
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 g
develop or contribute to generalizable knowledge.
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 76
documentation to Treasury for approval by the appropriate Treasury officials.This
documentation may include: L)
a. Documentation establishing approval of the project by an institutional review
board (IRB)approved for federal-wide use under Department of Health and
47
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
or to an informed consent form. ,
c�
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. 76
t3
U ENVIRONMENTAL REQUIREMENTS
The recipient must comply with all environmental standards, and provide information requested by 0
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 0-
subawards, the recipient must include all of the environmental statutes, regulations, and executive 0
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.) ,
5. The Endangered Species Act of 1973, as amended, (16 U.S.C. § 1531 et seq.)
6. The Coastal Zone Management Act, as amended, (16 U.S.C. § 1451 et seq.) t3
4i
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 C14
(Superfund)(42 U.S.C. §9601 et seq.)and the Community Environmental Response N
Facilitation Act(42 U.S.C. §9601 note)
12. Magnuson-Stevens Fishery Conservation and Management Act, as amended (16 U.S.C. 0
§1801)
g
13. Marine Mammal Protection Act, as amended (16 U.S.0§31)
14. Migratory Bird Treaty Act, as amended (16 U.S.C. §§703-712) c
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)
CU
17. Marine Protection, Research and Sanctuaries Act(33 U.S.C. §§ 1401-1445 and 16 U.S.C. U
§§1431-1445)
18. National Marine Sanctuaries Act, as amended (16 U.S.C. § 1431 et seq.) 47
c�
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 U)
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
CU
24. Invasive Species, EP 13112 U
V MISCELLANEOUS REQUIREMENTS AND PROVISIONS c
U
The recipient must comply with all miscellaneous requirements and provisions described in this
section and,when applicable, require its subrecipients, contractors, and subcontractors to C
comply.This list is not exclusive:
0
1. Prohibition Against Assignment by the Recipient CU
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
institutions without the express written approval of Treasury. ,
U)
CU
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
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 U
from the performance of this Award or any subaward, contract,or subcontract
under this Award.
E
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
N
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 C
or presents any materially false, fictitious, or fraudulent statements to the United
g
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.
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 47
programs c�
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 a
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. c�
0
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
employees whose principal employment activities are funded in whole or in part with
federal funds. t
0
0
5. American-Made Eauioment and Products
0
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.
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.
U)
7. Minority Serving Institutions(MSIs)Initiative
Pursuant to EOs 13555 and13270, as amended,Treasury is strongly committed to
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 U
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-minorityi .html.
December 2018 Page 26
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N
8. Research Misconduct N
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 g
plagiarism in proposing, performing,or reviewing research,or in reporting research
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,
for this purpose, may rely on their internal policies and procedures, as appropriate,to do
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
47
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 g
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. c�
9. Care and Use of Live Vertebrate Animals 0-
0-
Recipients must comply with the Laboratory Animal Welfare Act of 1966 (Public Law 89-
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; U
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 U
Nuisance Prevention and Control Act, as amended, (16 U.S.C. §4701 et seq.)(ensure 0
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, c
and treatment of warm blooded animals held for research, teaching, or other activities L-
supported by federal financial assistance.
10. The Trafficking Victims Protection Act of 2000, as amended.(22 U.S.C.§7104(g)).
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 ,
1. You as the recipient, your employees, subrecipients under this Award, and
subrecipients'employees may not—
U
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
December 2018 Page 27
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O.8.b
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, CN
without penalty, if you or a subrecipient that is a private entity— CN
i. Is determined to have violated a prohibition in paragraph a.1 of this
Section V.10;or
0-
ii. Has an employee who is determined by the agency official C
authorized to terminate this Award to have violated a prohibition in
Cu
paragraph a.1 of this Section V.10 through conduct that is either— L-
0
A. Associated with performance under this Award; or
B. Imputed to you or the subrecipient using the standards and 76
due process for imputing the conduct of an individual to an
organization that are provided in 2 C.F.R. Part 180, "OMB U
Guidelines to Agencies on Governmentwide Debarment and
Suspension(Nonprocurement),"as implemented by our
agency at 31 C.F.R. Part 19. 47
b. Provision applicable to a recipient other than a private entity.We as the federal c�
awarding agency may unilaterally terminate this Award,without penalty, if a
subrecipient that is a private entity—
U)
1. Is determined to have violated an applicable prohibition in paragraph a.1 of
this Section V.10;or
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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 U
Governmentwide Debarment and Suspension (Nonprocurement),"as 0
implemented by our agency at 31 C.F.R. Part 19.
c. Provisions applicable to any recipient.
1. You must inform us immediately of any information you receive from any 0
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:
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.
3. You must include the requirements of paragraph a.1 of this Section V.10 in
any subaward you make to a private entity.
t3
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
December 2018 Page 28
Packet Pg. 3046
O.8.b
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 thirdCN
party as an in-kind contribution toward cost sharing or matching CN
requirements.
2. "Forced labor" means labor obtained by any of the following methods: the .0
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.
3. "Private entity": p
U)
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. 76
ii. Includes: U
t3
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). 47
B. A for-profit organization
0
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. §
7102).
c�
0
11. The Federal Funding Accountability and Transparency Act of 2006,as amended.
(Pub. L. No. 109-282, 31 U.S.C.§6101 note)
a. The award term at Appendix A of 2 C.F.R. Part 170 is hereby incorporated by U
reference.
b. The Federal Funding Accountability and Transparency Act of 2006(FFATA)
0
requires information on federal awards to be made available to the public via a U
single, searchable website.This information is available at 0
www.USASpending.gov.The FFATA Subaward Reporting System (FSRS)is the
reporting tool federal prime awardees(i.e., prime contractors and prime grants p
recipients)use to capture and report subaward and executive compensation data L_
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 ,
http//www.fsrsegov.
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 U
4i
the month following the month in which this Award is made, and annually
thereafter if—
i. The total federal funding authorized to date under this Award is$25,000
or more; and
December 2018 Page 29
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O.8.b
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 N
assistance subject to FFATA, as defined at 2 C.F.R. § 170.320 (and N
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 g
subawards);and
a
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
Exchange Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm.)
47
e. The recipient must report on the total compensation of its subrecipients'five most
highly compensated executives, as required by FFATA, and must include U
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
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 t0
as a recipient.Additional information about registration procedures may be found
at the System for Award Management Internet site(currently at 0-
https://www.sam.gov/portal/public/SAM/). a
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 0
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.
12. Recipient Intearity 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,
and procurement contracts from all Federal awarding agencies exceeds
$10,000,000 for any period of time during the period of performance of this U
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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O.8.b
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 andCN
performance system on or after April 15,2011, except past performance reviews CN
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:
CU
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:
CU
U
1) A criminal proceeding that resulted in a conviction, as defined in
paragraph e.of this award term and condition;
2) A civil proceeding that resulted in a finding of fault and liability
47
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. 76
1),2),or 3)of this award term and condition; CU
b) It had a different disposition arrived at by consent or U
compromise with an acknowledgment of fault on your
part; and
0
c) The requirement in this award term and condition to disclose U
information about the proceeding does not conflict with 0
applicable laws and regulations.
0
c. Reporting Procedures
4-
Enter in the SAM Entity Management area the information that SAM requires
CU
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 CU
information through SAM because they were required to do so under Federal
procurement contracts that they were awarded.
U)
d. Reporting Frequency CU
During any period of time when the recipient is subject to the requirement in
paragraph1 of this award term and condition, the recipient must report proceedings
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
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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O.8.b
e. Definitions
For purposes of this award term and condition:
N
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
Board of Contract Appeals proceedings).This includes proceedings at the g
Federal and State level but only in connection with performance of a
Federal contract or grant. It does not include audits, site visits, corrective g
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
t3
includes a conviction entered upon a plea of polo contendere.
iii. Total value of currently active grants, cooperative agreements, and
procurement contracts includes-
47
c�
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 g
U)
and options, even if not yet exercised.
13. Publications and Signage
0
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 76
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 U
Department of the Treasury under the Resources and Ecosystems Sustainability, Tourist
Opportunities, and Revived Economies of the Gulf Coast States Act of 2012 (RESTORE
Act)." Publications(except scientific articles or papers appearing in scientific,technical, U
or professional journals)produced with funds from this Award must display the following 0
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
4-
14. Homeland Security Presidential Directive 12
If the performance of this Award requires the recipient's personnel to have routine access
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
this Award must comply with Treasury personal identity verification procedures that E
implement Homeland Security Presidential Directive 12, "Policy for a Common t j
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 E
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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O.8.b
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: CN
a. The subrecipient or contractor must comply with Treasury personal identity CN
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
Cu
to a federally controlled facility or routine access to a federally controlled L_
information system. U)
0
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
must return such identification to the issuing agency at the earliest of any of the
following, unless otherwise determined by Treasury:
i. When no longer needed for subaward or contract performance; 47
c�
ii. Upon completion of the subrecipient or contractor employee's
employment; or
0
iii. Upon subaward or contract completion or termination.
c�
15. Foreman Travel
°
0
L_
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. 76
Cu
b. The recipient and subrecipient must comply with the provisions of the Fly America U
Act, as amended, (49 U.S.C. §40118). The implementing regulations of the Fly
America Act are found at 41 C.F.R. §§301-10.131-301-10.143.
0
c. The Fly America Act requires that federal travelers and others performing U.S. L)
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 a
0
specific instances, such as when a U.S.flag air carrier is unavailable, or use of
U.S.flag air carrier service will not accomplish the agency's mission. 0
4-
d. One exception to the requirement to fly U.S.flag carriers is transportation
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
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
http://www.gsa.gov/portal/content/l03191. Information on the Open Skies
agreements(U.S. Government Procured Transportation)and other specific L)
country agreements may be accessed via the Department of State's website
http://www.state.gov/e/eeb/ ra/.
E
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
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O.8.b
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 N
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
result in the recipient not being reimbursed for any transportation costs for which
the recipient improperly used a foreign air carrier.
U)
16. Exoort Control
a. This clause applies to the extent that this Award involves access to export-
controlled items.
b. In performing this financial assistance Award,the recipient may gain access to
47
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:
CU
i. Export-controlled items. Items(commodities, software,or technology), U
that are subject to the EAR(15 C.F.R. §§730-774), implemented by
a
the DOC's Bureau of Industry and Security.These are generally known
as"dual-use"items, items with a military and commercial application. U
0
ii. Deemed Export/Re-export. The EAR defines a deemed export as a 0
release of export-controlled items(specifically, technology or source 0
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 CU
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 CU
deemed exports or re-exports.
d. The recipient shall control access to all export-controlled items that it possesses
U)
or that comes into its possession in performance of this Award, to ensure that CU
access to,or release of, such items are restricted,or licensed, as required by
applicable federal statutes, EOs, and/or regulations, including the EAR.
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 U
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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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 N
Arms Regulations(ITAR)(22 C.F.R. §§ 120-130), including releases of such
items to foreign nationals.
a
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.
a
U)
SUPPLEMENTAL STANDARD TERMS AND CONDITIONS-AWARDS UNDER THE DIRECT
COMPONENT FOR ACQUISITION AND IMPROVEMENTS TO REAL PROPERTY
U
W ACQUISITION AND IMPROVEMENTS TO REAL PROPERTY
1. Comoliance with State.Local and Federal Reauirements
47
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
0
design, bidding, construction, and operation of construction projects in compliance with all U)
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.
76
2. JiU U
Prior to receiving Treasury authorization to start construction,the recipient must furnish
evidence, satisfactory to Treasury,that the recipient has acquired good and 0
merchantable title free of all mortgages,foreclosable liens,or encumbrances,to all land, U
rights of way and easements necessary for the completion of the project.
C
0
3. Permitting Reauirements
0
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
permits necessary for the completion of the project.
4. Federal Interest in Real Prooerty
"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").
5. Estimated Useful Life U
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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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. N
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. g
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.
U
6. Commencement of Construction
47
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, p
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
0
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 C3
scope of a contract.
0
7. Use of Real Property U
0
0
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 0
award. See 2 C.F.R. §200.316. Real property or interest in real property may not be L-
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.
8. Recording the Federal Interest in the Real Property t j
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 E
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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O.8.b
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 N
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, must CU
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 CU
U
mortgaged or used as collateral, sold or otherwise transferred to another party,
without the written permission of Treasury; and that the federal interest cannot be
subordinated, diminished, nullified or released through encumbrance of the
47
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 0
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
CU
project for which funds have been awarded. C
CU
U
c. Treasury requires an opinion of counsel for the recipient to substantiate that the
document has been properly recorded.
0
U
d. Failure to properly and timely file and maintain documentation of the federal 0
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 0
with state and/or local law concurrent with the acquisition of the real
CU
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. CU
CU
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 U)
property. CU
Exclusions from the requirement that the federal interest on real property be recorded will
be at Treasury's sole discretion. The types of projects for which Treasury may agree to E
this exclusion are those projects for which federal funds will not be used to fund the t j
construction of built structures, improvements to state parks, water and sewer lateral line ;
projects affecting private properties, and shoreline stabilization projects.
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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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O.8.b
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 exceptCN
to the extent the failure to fulfill any obligation is due to an Uncontrollable Force. c°N
CN
"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: g
a. Strikes or work stoppage;
U)
b. Floods, earthquakes,or other natural disasters;terrorist acts;and
c. Final orders or injunctions issued by a court or regulatory body having competent
t3
subject matter jurisdiction which the recipient, claiming the Uncontrollable Force,
after diligent efforts,was unable to have stayed, suspended, or set aside pending
review by a court of competent subject matter jurisdiction. Neither the
47
unavailability of funds or financing, nor conditions of national or local economies
or markets must be considered an Uncontrollable Force.
0
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 76
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 t3
days following the end of the reporting period.
0
11. Insurance U
0
0
The recipient must, at a minimum, provide the equivalent insurance coverage for real
property improved with federal funds as provided to property owned by the recipient 0
state, county or parish, in compliance with 2 C.F.R. §200.310.
0
4-
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:
a. A bid guarantee from each bidder equivalent to five percent of the bid price. The
t3
"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
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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O.8.b
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.
N
N
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.
a
13. Floodolain Reauirements
U)
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 t3
the potential for adverse project impact on the values and functions of a designated 100-
yearfloodplain has expired and that identified concerns(if any)have been addressed
to Treasury's satisfaction. This notice may be satisfied through a federal/state
47
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 a
p rY' U)
and/or buildings within a designated 100-year floodplain, the recipient must provide
evidence satisfactory to Treasury of the following:
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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 76
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
0
Insurance Program, and that as required, the recipient will purchase flood U
insurance.
0
0
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
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
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;
b. All changes to this goal, as published in the Federal Register in accordance with
the Office of Federal Contract Compliance Programs regulations at 41 C.F.R. §
U
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
December 2018 Page 39
Packet Pg. 3057
O.8.b
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. N
c�
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
receiving federal assistance from another federal agency operating under an authority L_
that requires the enforcement of Davis-Bacon Act-related provisions.When required, all U)
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.
Part 5, "Labor Standards Provisions Applicable to Contracts Covering Federally
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 47
addition contracts must be required to pay wages not less than once a week. c�
The non-Federal entity must place a copy of the current prevailing wage determination o
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"
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
the compensation or which he or she is otherwise entitled. The non-federal entity must
report all suspected or reported violations to Treasury. o
U
0
16. Eaual O000rtunity Clause
Pursuant to 41 C.F.R. §60-1.4(b), Federally assisted construction contracts,for o
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] 4-
hereby agrees that it will incorporate or cause to be incorporated into any contract for
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. '
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:
December 2018 Page 40
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O.8.b
Employment, upgrading, demotion, or transfer, recruitment or recruitment advertising;
layoff or termination;rates of pay or other forms of compensation;and selection for CN
training, including apprenticeship. The contractor agrees to post in conspicuous CN
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 C
on behalf of the contractor, state that all qualified applicants will receive consideration .2
for employment without regard to race, color, religion, sex, sexual orientation, gender
identity, or national origin. U)
(3) The contractor will not discharge or in any other manner discriminate against any 76
employee or applicant for employment because such employee or applicant has
inquired about, discussed, or disclosed the compensation of the employee or applicant U
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 47
compensation of such other employees or applicants to individuals who do not
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 0
action, including an investigation conducted by the employer, or is consistent with the
contractor's legal duty to furnish information.
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(4) The contractor will send to each labor union or representative of workers with
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.
(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 U
Secretary of Labor. 0
0
(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,
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
December 2018 Page 41
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O.8.b
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: N
N
N
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.
c
The applicant further agrees that it will be bound by the above equal
opportunity clause with respect to its own employment practices when it participates in U)
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 76
any agency, instrumentality or subdivision of such government which does not
participate in work on or under the contract. U
The applicant agrees that it will assist and cooperate actively with the
administering agency and the Secretary of Labor in obtaining the compliance of 47
contractors and subcontractors with the equal opportunity clause and the rules,
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 0
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.
c�
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 t 3
Order and will carry out such sanctions and penalties for violation of the equal
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 c
U
Executive Order. In addition, the applicant agrees that if it fails or refuses to comply 0
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, c
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
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
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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