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Item O6 0.6 County f � .�� ",�, 1 BOARD OF COUNTY COMMISSIONERS Mayor Craig Cates,District 1 Mayor Pro Tem Holly Merrill Raschein,District 5 The Florida Keys Michelle Lincoln,District 2 James K.Scholl,District 3 David Rice,District 4 County Commission Meeting December 7, 2022 Agenda Item Number: 0.6 Agenda Item Summary #11479 BULK ITEM: Yes DEPARTMENT: Sustainability TIME APPROXIMATE: STAFF CONTACT: Rhonda Haag (305)453-8774 Not Applicable AGENDA ITEM WORDING: Approval to enter into a $49,166.00 Task Order 43 to the contract with WSP USA Environment & Infrastructure, Inc. (formerly Wood) for on-call professional engineering services for the Category B — Canal Infrastructure Engineering Services for C259 construction engineering and environmental site inspections (CEI), funded by RESTORE Grant RDCGR170099-01-00 and Grant Amendment 1. ITEM BACKGROUND: This item is to approve entering into a $49,166.00 Task Order 43 to the contract with WSP USA Environment & Infrastructure Inc. (formerly Wood Environment & Infrastructure Solutions, Inc.) under the on-call professional engineering services for Category B canal infrastructure engineering services contract to authorize construction, engineering and environmental site inspections for canal 259 on Big Pine Key. This task order is funded by RESTORE Grant RDCGR170099-01-00 and Grant Amendment 1. The grant Amendment No. 1 is in process with the U.S. Treasury and will be submitted to the Board of County Commissioners for approval. PREVIOUS RELEVANT BOCC ACTION: 11/20/19: Approval of a grant award for Canal Restoration Project for Monroe County in the amount of$478,308, by the U.S. Department of Treasury, from Monroe County's RESTORE Act Local Pot funding. 08-18-21: Approval to advertise on call professional engineering services for the resilience and canal restoration programs, including Category A - Canal Master Plan Program Planning Services, Category B -Canal Infrastructure Engineering Services for Projects and Category C - Resilience/ Environmental Engineering Services. 02-16-22: Approval to enter into a$0 contract with Wood Environment& Infrastructure Solutions, Inc. for on-call professional engineering services for the canal restoration program for the Category B - Canal Infrastructure Engineering Services. Packet Pg. 1703 0.6 06-15-22: Approval to enter into a$99,796 Task Order 41, to provide CEI services for the canal 25 Key Largo backfill project under the contract with Wood Environment& Infrastructure Solutions, Inc. for on-call professional engineering services for the canal restoration program for the Category B - Canal Infrastructure Engineering Services, funded by Stewardship grant LPA0249. 06-15-22: Approval to enter into a$173,716.00 Task Order 42, to provide CEI services for the canal 28 Key Largo backfill project under the contract with Wood Environment& Infrastructure Solutions, Inc. for on-call professional engineering services for the canal restoration program for the Category B - Canal Infrastructure Engineering Services, funded by Stewardship grant LPA0241. 11-15-22: Approval to enter into a$0 Amendment 41 to the contract with Wood Environment& Infrastructure Solutions, Inc. for on-call professional engineering services for the Category B - Canal Infrastructure Engineering Services for a name change to WSP USA Environment& Infrastructure Inc.; retroactive to September 26, 2022. CONTRACT/AGREEMENT CHANGES: Task Order STAFF RECOMMENDATION: Approval. DOCUMENTATION: Canal 4259 CEI Task Order 43 WSP-Wood- Signed WSP-USA GL-AL COI for Category B on call contract- stamped expires 5-1-23 FINANCIAL IMPACT: Effective Date: Upon issuance of a Notice To Proceed, after execution of RESTORE Grant Amendment No. 1 currently in process. Expiration Date: Until completed Total Dollar Value of Contract: $322,678. Value of Task Order 43: $49,166.00 Total Cost to County: N/A Current Year Portion: $49,166. Budgeted: N/A Source of Funds: U.S. Treasury RESTORE Grant 1 RDCGR170099-01-00 for $478,308 and Amendment No. 1 of the Grant for $388,833 CPI: N/A Indirect Costs: N/A Estimated Ongoing Costs Not Included in above dollar amounts: N/A Revenue Producing: No If yes, amount: Grant: No County Match: No Insurance Required: Yes Additional Details: 12/07/22 001-05008 - SUSTAINABIL,ITY $49,166.00 Packet Pg. 1704 0.6 REVIEWED BY: Rhonda Haag Completed 11/19/2022 8:22 AM Cynthia Hall Completed 11/19/2022 10:17 AM Purchasing Completed 11/19/2022 11:08 AM Budget and Finance Completed 11/21/2022 9:48 AM Brian Bradley Completed 11/21/2022 9:52 AM Lindsey Ballard Completed 11/21/2022 11:57 AM Board of County Commissioners Pending 12/07/2022 9:00 AM Packet Pg. 1705 0.6.a CATEGORYTASK ORDER #3 FOR B ON CALL PROFESSIONAL ENGINEERING I L I I CN MONROE COUNTY AND BETWEEN ENVIRONMENTWSP USA INFRASTRUCTURE, INC. CANALFOR THE #259 BIGI L CULVERT RESTORATION PROJECTINCLUDING CONSTRUCI I I INSPECTION ADMINSTRATION SERVICESIN, MONROE COUNTY, FLORIDA U) In accordance with the Continuing Contract for On Call Professional Engineering Services made and entered on 'the 16ttt day of February 202 and amendment N0.1 0 dated November 16 2022 between Monroe County, hereinafter referred to as the "County" and W P USA Environment & Infrastructure, Inc. hereinafter referred to as "Consultant" where design services are allowed if construction costs do not exceed 4,000,000. All terms and conditions of the referenced Contract for On-Call Professional Engineering Services apply to the Task Order unless the Task Order modifies an article of the Agreement which will be specifically referenced in this Task Order and the modification c, shall be precisely described. WITNESSETH c, WHEREAS, canal 259 located on Granada avenue and Minorca Drive on Dig Pine Key is rated as "fair" in water quality; and 9 a WHEREAS, a culvert installation is a proven restoration technique that was vetted during the demonstration projects and is anticipated to increase the water quality in the canal; and WHEREAS, the construction of the project is 760,000; and 0 0 WHEREAS, the Consultant will complete the construction administration and inspection services for the culvert of Canal #259 Dig Pine Key. WHEREAS, the work will be done in accordance with federal grant guidelines and funding from the RESTORE pot under U.S. Department of Treasury Grant 1 RDCGR170099-01-00; and U) WHEREAS, the Consultant will complete the design, permitting, and procurement M services for the culvert of Canal #259 Dig Pine Key. c, NOW, THEREFORE, in consideration of the mutual promises, covenants, and LO agreements stated herein, and for other good and valuable consideration, the sufficiency ra of which is hereby acknowledged, County and Consultant agree as follows: U Article 1.1 Terms of Agreement. This Task Order is effective December 7, 2022, and shall expire 60 days after the final deliverable to the County is submitted. CEI &CA Services for Canal#2.59 Project December 7, 2022 Page 1 of 4 Packet Pg. 1706 Article 11 Scope of Basic Services, Paragraph 2.1.1 is amended as -follows. 0) LO N TASK 1- CONSTRUCTION INSPECTIONS AND ADMINISTRATION U M U The Consultant will provide construction engineering and environmental site inspections and construction administration services for the Canal #259 Culvert Project. LPS Utilities, Inc. was selected as the construction con-tractor for the Canal #259 Project and provided a 60-day construction schedule for completion. Below are the services to be 0 provided: U) a) Site Inspections. The Consultant will provide up to eight hours of daily site inspections for the 60-day construction schedule Monday -through Friday during 0 0 field construction activities and prepare daily work reports showing the con-tractor's activities, equipment, maintenance of -traffic, and environmental compliance. b) Construction Administration: The Consultant will provide consultation and advice to the County regarding the Contractor's performance of the Contract. The Consultant will liaise with the County, homeowners, and other stakeholders as necessary to administer the construction contract. U W Deliverable: Construction Engineering and Inspection report (Electronic in PDF format) to document the completion of the project in accordance with the plans, specifications, and permits. U Article VII, Paragraph 7.1.1 is amended to include the-following. L? C 0 The Consultant shall be paid monthly for time and expenses based on hourly rates and the following not to exceed amounts (except where noted): Task 1- Construction Inspections and Administration $49,166.00 0 Total (not to exceed) $49,166.00 0 [REMAINDER OF PAGE PURPOSELY LEFT BLANK] 0 -199 U) U 0) LO N U E CEI &CA Services for Canal#259 Project December 7, 2022 Page 2 of 4 1 Packet Pg. 1707 F LO IN WITNESS WHEREOF, each party caused the Task Order to be executed by its duly N authorized representative. L) M L) CONSULTANT. WITNESS. WSP USA ENVIRONMENT & INFRASTRUCTURE, INC. 0 11/18/2022 ...... 11/18/2022 U) Signature Date Signature Date 0 0 Florida Civil Design Team Lead Title 0 CU (SEAL) BOARD OF COUNTY COMMISSIONERS L) 0 ATTES 1 . KEVIN IVIADOK, CLERK OF MONROE COUNTY, FLORIDA a w CU L) By: by: CU 9 Deputy Clerk Mayor/Chairman a 0 Date: 0 0 Approved as to form and legal sufficiency: Monroe County Attorney's Office 11-19-2022 M 0 -ldc U) U 0) LO CN U E CEI &CA Services for Canal#259 Project December 7, 2022 Page 3 of 4 1 Packet Pg. 1708 O.6.a F EXH LO IBITA CN DOG 17 99- 1- u u cn -119 U) m 0 0 CL u m u 0 0 cn U) m u 0) LO cN u u Packet Pg. 1709 0.6.a 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 J 3.ASSISTANCE TYPE Formula Grant 1500 Pennsylvania Ave., N.W. 4.GRANT NO. 1 RDCGR170099-01-00 5. TYPE OF AWARD Washington, DC 20220-0001 U Formerly Other 4a.FAIN RDCGR170099 5a.ACTION TYPE New U a 6. PROJECT PERIOD MM/DD/YYYY MM/DD/YYYY NOTICE OF AWARD t% From 11/01/2019 Through 10/31/2022 AUTHORIZATION (Legislation/Regulations) 7. BUDGET PERIOD MM/DD/YYYY MM/DD/YYYY Resources and Ecosystems Sustainability,Tourist Opportunities,and From 11/01/2019 Through 10/31/2022 Revived Economies of the Gulf Coast States 8.TITLE OF PROJECT(OR PROGRAM) Canal WQ Improvements and Restoration in Unincorporated Monroe County U) 9a.GRANTEE NAME AND ADDRESS 9b.GRANTEE PROJECT DIRECTOR COUNTY OF MONROE Ms.Lisa Tennyson O 1100 Simonton St Rm 2-205 1100 Simonton St,Gato Bldg,2nd Floor O Key West,FL 33040-3110 Key West,FL 33040 Phone:305-292-4444 10a.GRANTEE AUTHORIZING OFFICIAL 10b.FEDERAL PROJECT OFFICER Sylvia Murphy Mr.John Stutts 1100 Simonton St 1500 Pennsylvania Ave.,N.W. Gato Bldg,2nd Floor Washington,DC 20220-0001 �y Key West,FL 33040 Phone:202-622-0239 L) ALL AMOUNTS ARE SHOWN IN USD �9 11.APPROVED BUDGET(Excludes Direct Assistance) 12.AWARD COMPUTATION � I Financial Assistance from the Federal Awarding Agency Only a.Amount of Federal Financial Assistance(from item 11m) 478,30E II Total project costs including grant funds and all other financial participation II b.Less Unobligated Balance From Prior Budget Periods ( ) a. Salaries and Wages .................................... 0.00 c.Less Cumulative Prior Award(s)This Budget Period d.AMOUNT OF FINANCIAL ASSISTANCE THIS ACTION 478,30E b. Fringe Benefits ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,, 0.00 (� 13.Total Federal Funds Awarded to Date for Project Period 478,30E I) a C. Total Personnel Costs ................. 0.00 14.RECOMMENDED FUTURE SUPPORT � d. Equipment .................................. 0.00 (Subject to the availability of funds and satisfactory progress of the project): e. Supplies .................................. 0.00 YEAR TOTAL DIRECT COSTS YEAR TOTAL DIRECT COSTS a. 2 d. 5 f. Travel 0.00 .................................. b. 3 e. 6 �9 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 ALTERNATIVES: i. Contractual 0.00 a. DEDUCTION r.� b. ADDITIONAL COSTS {,/ MATCHING j. TOTAL DIRECT COSTS 10 478,308.50 d. OTHER RESEARCH(Add/Deduct Option) e. OTHER(See REMARKS) CL k. INDIRECT COSTS 0.00 16.THIS AWARD IS BASED ON AN APPLICATION SUBMITTED TO,AND AS APPROVED BY,THE FEDERAL AWARDING AGEI ON THE ABOVE TITLED PROJECT AND IS SUBJECT TO THE TERMS AND CONDITIONS INCORPORATED EITHER DIRECTLY 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 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- R Yes riNo) U) M This award is approved by Gregory J.Till,Authorizing Official.Accepting this award in GrantSolutions.gov constitutes acceptance of this award and the Standard Terms and Conditions and Programmatic Terms and Conditions and Special Award Conditions.Award funds will be available to the awardee in an ASAP.gov account. L) Note:This award does not authorize the use of any construction funds within a Coastal Barrier Resources Act unit. ) LO N AUTHORIZING OFFICIAL: L) E U 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. Packet Pg. 1710 0.6.a PAGE 2 of 3 DATE ISSUED NOTICE OF AWARD (Continuation Sheet) 10/07/2019 GRANT NO. 1 RDCGR170099-01-00 LO cN U Federal Financial Report Cycle 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 .10/01/2020.............................................................................03/3.1/202 .............................................................................S.e. ...An.n.ua.L......................................................................04/30/202. ............................................................................ .......................... ........... 04/01/2021 09/30/2021 Semi-Annual 10/30/2021 CU .10/01/20.2.1.............................................................................03/31/2022.............................................................................S.e. .�..An.n.0 a.L......................................................................04/30/2022............................................................................ 04/01/2022.............................................................................09/30/2022.............................................................................S.e. ...An.n.ua.L.......................................................................10/30/2022.................................................................. .......... 10/01/2022 10/31/2022 Final 01/29/2023 RESTORE Act- SPECIAL AWARD CONDITIONS 1. Special Condition 1: Monroe County agrees to receive award funds on a reimbursement payment method. Treasury's pre-approval of drawdown requests is not required(see Section H of the 0 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 CU U evidence,satisfactory to Treasury,that it maintains policies and procedures meeting the requirements �y of 2 CFR§ 200.305 including,but not limited to,providing reasonable assurance that(1) drawdowns W of federal cash are only for immediate cash needs; and(2)payments to subrecipients are limited to immediate cash needs. CU U Special Condition 2: Individual projects selected under the proposed program are subject to best tCU available science review. Upon their selection,Monroe County must explain their determination that the project is based on best available science by providing to Treasury a response to the best available 0 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. 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. CL LO Special Condition 4: An ASAP Maximum Draw Limit of$1.00 is in place for this award. Monroe County may request removal of the maximum draw limit with its written request to Treasury for permission to commence construction,per Condition 6 of Section W of RESTORE Act Financial Assistance Standard Terms and Conditions and Program-Specific Terms and Conditions,after meeting the requirements of Special Condition 2 and 3. U) CU U 0) LO cN RESTORE Act- FUNDING AUTHORIZATION ........................................................................................................................................................................................................................................................................................................................................................................................................................................... Total Amount of Amount of Amount of Amount Notes Federal Funds Funding Financial Authorized for Awarded to Date Restriction Assistance This 2 Packet Pg. 1711 0.6.a PAGE 3 of 3 DATE ISSUED NOTICE OF AWARD (Continuation Sheet) 10/07/2019 GRANT NO. 1 RDCGR170099-01-00 LO cN U ................................................................................................................................................................... ..................................................................................................... for Project Period Action ASAP Account M Line 13 of Line 12d of this Action NOAlAmendment NOAlAmendment 0 ................................................................................................................................................................................................................................................................................................................................. -119 $487,308.50 $0.00 $487,308.50 $487,308.50 Initial Authorization, U)U) with Special Award Conditions, and an ASAP Maximum Draw 0 0 Limit of$1.00 per SAC 4 0 U U U 0 0 M U) U 0) LO cN U U c� 3 Packet Pg. 1712 O.6.a AWARD ATTACHMENTS Monroe County Board of County Commissioners 1 RDCGR170099-01-00 LO CN 1. Approved Scope of Work U 2. Standard and Program Specific Terms and Conditions- December 2018 U -119 U) CU 0 0 0 CU U 76 a CU U CU U 0 0 U) CU U 0) LO N U 76 a CU U c� Packet Pg. 1713 0.6.a F c14 U U APPROVED SCOPE OF WORK -119 0 0 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. 0 CU U CU U CU U P 0 0 U) CU U 0) LO N U CU U c� Packet Pg. 1714 0.6.a Scope of Work Summary LO Applicant: Monroe County U FU t3 Application No: RDC2018000097 Application Title: Canal WQ Improvements and Restoration in Unincorporated Monroe County -119 U) CU The application requests funds for the planning, design, permitting, construction, implementation, and 0 post-construction monitoring of canal water restoration technologies within unincorporated Monroe CL County, Florida. The canal water restoration project is intended to remedy the high nutrient loading and LO 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. 0 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 c) 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) CU dredge/removal of sediment from canals, (2) placement of clean backfill to eliminate anoxic zones CU within canals, (3) installation of culverts to increase flushing, and (4) installation of air curtains to prevent weed wrack from entering canals. The 107 canals considered to have "Poor Water Quality" Y were ranked based on criteria outlined in the CMMP. Monroe County has completed restoration a projects in eight of the 107 canals identified in the CMMP. Monroe County estimates awarded Direct Component funds will be sufficient to complete one canal restoration project of the remaining 99 canals identified for improvements, dependent upon final construction costs. Additional canals may be LO P selected if funds are available. 0 Monroe County will complete the scope of work and project with the assistance of two or more o contractors. The scope of work includes (1) canal selection, (2) design and permitting, (3) construction, CL LO 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 CU (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 c) $371,167.00)will be issued for the construction of canal improvements. LO CU t3 c� Packet Pg. 1715 0.6.a F c14 U RESTORE ACT FINANCIAL ASSISTANCE STANDARD TERMS AND CONDITIONS AND PROGRAM-SPECIFIC TERMS AND CONDITIONS U.S. Department of the Treasury 0 December 2018 CU CU 0 0 n U) U N U E Packet Pg. 1716 �~�� N�� TABLETABLE �~~�^� ��^� � �� Lo CN RESTORE ACT FINANCIAL ASSISTANCE STANDARD TERMS AND CONDITIONS AND PROGRAM- u SPEgF|�� TER|K8S/�ND ��gND|T|gNS ----------------------------------. 1 cn 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 -119 EXCELLENCE RESEARCH GRANTS PROGRAM ........................................................................ 3 m STANDARD TERMS AND CONDITIONS-AWARDS UNDER THE DIRECT COMPONENT AND AWARDS UNDER THE CENTERS gF EXCELLENCE RESEARCH GRANTS PROGRAM C FINANCIAL REQUIREMENTS........................................................................................................4 �~ O RECIPIENT REPORTING AND AUDIT REQUIREMENTS 7 — --------------------� E FINANCIAL MANAGEMENT SYSTEM AND INTERNAL CONTROL REQUIREMENTS ...............y = F RECORDS RETENTION REQUIREMENTS................................................................................. 10 G THE FEDERAL GOVERNMENT'S RIGHT TO INSPECT, AUDIT,AND INVESTIGATE.............. 11 m H AWARD DISBURSEMENT.............................................................................................................. 12 n� | EFFECT OFA GOVERNMENT SHUTDOWN ON DISBURSEMENTS AND THE AVAILABILITY w C>F TREASURY PERSONNEL...................................................................................................... 13 J NOTIFICATIONS AND PR|C>RAPPRO\A\LG--------------------------. 13 `= KPROPERTY................................................................................................................................... 14 L AMENDMENTS AND CLOSEOUT................................................................................................ 15 0� K4 REMEDIES FOR NONCOMPLIANCE........................................................................................... 18 NDEBTS........................................................................................................................................... 17 � C> NC>N-O|GCR|K4|NATION REQUIREMENTS.................................................................................. 18 ' P REQU|REK4ENTTO CHECK DEBARMENT AND SUSPENSION STATUS OFGUBREC|P|ENTG. CONTRACTORS, SUBCONTRACTORS AND VENDORS..........................................................20 C> DRUG FREE WORKPLACE..........................................................................................................20 mm R LOBBYING RESTRICTIONS.........................................................................................................20 cn SPROCUREMENT...........................................................................................................................22 T RESEARCH INVOLVING HUMAN SUBJECTS............................................................................24 0 U ENV|RONK4ENTALREQU|REK4ENTG------------------------------24 � V MISCELLANEOUS REQUIREMENTS AND PROVISIONS..........................................................25 SUPPLEMENTAL STANDARD TERMS AND CgNDITIONS-AWARDSUNDERTHED|RECT — COMPONENT FOR ACQU|ST|gN AND IMPROVEMENTS Tg REAL PROPERTY �� 0.6.a RESTORE ACT FINANCIAL ASSISTANCE STANDARD TERMS AND LO CONDITIONS AND PROGRAM-SPECIFIC TERMS AND CONDITIONS CN U U PREFACE M The grant agreement is comprised of the following documents: -119 1. A Notice of Award from the Department of the Treasury("Treasury"); 2. The RESTORE Act Financial Assistance Standard Terms and Conditions("Standard Terms and Conditions"); 0 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; 5. The approved scope of work; 6. The approved budget; and, U 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 U regulations, executive orders(EOs), Office of Management and Budget(OMB)circulars,Standard Terms and Conditions, Program-Specific Terms and Conditions, and any Special Award Conditions of this federal financial assistance award ("Award"), as applicable, in addition to the certifications and assurances required at the time of application.This Award is subject to the laws and regulations of the United States. Any inconsistency or conflict in Standard Terms and Conditions, Program-Specific Terms and Conditions, and any Special Award Conditions of this Award will be resolved according to the following order of precedence:federal laws,federal regulations, applicable notices published in the Federal Register, EOs, OMB circulars,Treasury's Standard Terms and Conditions, Program-Specific Terms and Conditions,and 0 any Special Award Conditions. Special Award Conditions may amend or take precedence over Standard Terms and Conditions and Program-Specific Terms and Conditions. Some of these Standard Terms and Conditions contain, by reference or substance, a summary of pertinent federal statutes,federal regulations published in the Federal Register(Fed. Reg.)or Code of Federal Regulations(C.F.R.), EOs,or OMB circulars. In particular,these Standard Terms and Conditions incorporate many of the provisions contained in OMB's Uniform Guidance for Grants and Cooperative Agreements(2 C.F.R. Part 200),which supersedes former OMB Circular A-102 (the former grants management common rule), OMB Circular A-133(single audit requirements), and all former OMB circulars containing the cost principles for grants and cooperative agreements. To the extent that it is a _ summary, such a provision is not in derogation of, or an amendment to, any such statute, regulation, EO, or OMB circular. Unless a definition is provided here, definitions can be found in the RESTORE Act(Public 0) Law No. 112-141 (July 6, 2012)), Treasury's RESTORE Act regulations (79 Fed. Reg. 48039 LO N (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 c� December 2018 Page 1 Packet Pg. 1718 O.6.a A PROGRAM-SPECIFIC TERMS AND CONDITIONS-AWARDS UNDER THE DIRECT COMPONENT LO cN In addition to all the Standard Terms and Conditions described in Sections C through V of this U document, all Treasury RESTORE Act awards made under the Direct Component include the U following Program-Specific Terms and Conditions in this Section A: 1. Administrative Costs -119 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 c 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. 0 2. Oil Spill Liability Trust Fund The recipient must not seek any compensation for the approved program or project from the Oil Spill Liability Trust Fund. If the recipient is authorized to make subawards, the recipient must not use Direct Component funds to make subawards to fund activities for 76 which any claim for compensation was filed and paid out by the Oil Spill Liability Trust Fund after July 6, 2012. Y a 3. Remedies for Noncompliance 0 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 in Section M of these Standard Terms and Conditions, per 31 C.F.R. §34.804, 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 c for activities, projects,or programs until the recipient has either(1)deposited an c amount equal to the amount expended for the ineligible activities in the Trust Fund, or(2)Treasury has authorized the recipient to expend an equal amount from the recipient's own funds for an activity that meets the requirements of the RESTORE Act. b. If Treasury determines the recipient has materially violated the terms of this Award, Treasury will make no additional funds available to the recipient from any ldc part of the Trust Fund until the recipient corrects the violation. U) U 0) LO N U c� December 2018 Page 2 Packet Pg. 1719 O.6.a B PROGRAM-SPECIFIC TERMS AND CONDITIONS-AWARDS UNDER THE CENTERS OF EXCELLENCE RESEARCH GRANTS PROGRAM LO In addition to all the Standard Terms and Conditions described in Sections C through V of this U document, all Treasury RESTORE Act awards under the Centers of Excellence Research Grants U 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), -119 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 0 negotiated indirect cost rate. b. Acquisition of land or interests in land. 2. Notifications 0 0 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: U 0 i. Name of the Center of Excellence and the entity selected to administer it, a including the names of member organizations if the entity is a consortium; ii. The DUNS Number of the entity; iii. Location of the entity; Y a iv. Discipline or disciplines assigned to the Center of Excellence; 0 V. Description of the actual public input process undertaken, including a summary of any comments received and a description of how they were addressed;and 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 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 ldc In addition to the reporting requirements in Section D, the recipient must submit an annual U) 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 U consortium,the annual report must also identify the consortium members. The recipient LO must provide a copy of this report to Treasury when it submits the report to the Council. 76 U c� December 2018 Page 3 Packet Pg. 1720 O.6.a STANDARD TERMS AND CONDITIONS F LO AWARDS UNDER THE DIRECT COMPONENT AND THE CENTERS OF EXCELLENCE RESEARCH CN GRANTS PROGRAM U M C FINANCIAL REQUIREMENTS 1. Applicable Regulations -119 This Award is subject to the following federal regulations and requirements. This list is not CU exclusive: a. Uniform Administrative Requirements, Cost Principles, and Audit Requirements 0 for Federal Awards, 2 C.F.R. Part 200, Subparts A through F, and any Treasury regulations incorporating these requirements. b. Treasury's RESTORE Act regulations, 31 C.F.R. Part 34. c. Governmentwide Debarment and Suspension, 31 C.F.R. Part 19. d. Governmentwide Requirements for Drug-Free Workplace,31 C.F.R. Part 20. e. New Restrictions on Lobbying, 31 C.F.R. Part 21. f. Reporting Subaward and Executive Compensation Information,2 C.F.R. Part 170. 76 g. Award Term related to Trafficking in Persons, 2 C.F.R. Part 175. U 2. Scone of Work U a The recipient must only use funds obligated and disbursed under this Award for the 0 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 p' amendment explicitly modifying the approved scope of work to include those activities. 0 0 3. Period of Performance: Pre-award Costs The recipient must use funds obligated and disbursed under this Award only during the period of performance specified in the Notice of Award,which is the time period during which the recipient may incur new obligations and costs to carry out the work authorized under this Award. The only exception is for costs incurred prior to the effective date of this Award,which are allowable only if: ldc a. Treasury specifically authorized these costs in writing on or after the issuance U) date of this Award; M b. Incurring these costs was necessary for the efficient and timely performance of M the scope of work; and 0, LO c. These costs would have been allowable if incurred after the date of the award. 76 4. Indirect Costs U 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). E c� December 2018 Page 4 Packet Pg. 1721 O.6.a 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 LO cognizant agency(defined as the federal agency that is responsible for U reviewing, negotiating, and approving cost allocation plans or indirect cost proposals, see 2 C.F.R. §200.19)and must be included in the recipient's budget. c. Unallowable direct costs are not recoverable as indirect costs. d. The maximum dollar amount of allocable indirect costs charged to this Award shall be the lesser of: -119 i. The line item amount for the indirect costs contained in the approved budget, including all budget revisions approved in writing by the Treasury;or, 0 ii. The total indirect costs allocable to this Award based on the indirect cost rate approved by a cognizant or oversight federal agency and applicable to the period in which the cost was incurred, provided that the rate is approved on or before the Award end date. 0 5. Cost Sharing and Budget Limitations a. The recipient is not required to contribute any matching funds. t) 0 b. The recipient shall not request or receive additional funding beyond what was a included in the approved application for the attached approved scope of work CU from any federal or non-federal source without first notifying Treasury. CU t3 CU 6. Program Income Y a Any program income (defined at 2 C.F.R. §200.80)generated by the recipient or the 0 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 o' Special Award Conditions, i.e. solely to accomplish the approved scope of work. 0 0 7. Incurring Costs or Obligating Federal Funds Beyond the Expiration Date The recipient must not incur costs or obligate funds under this Award for any purpose pertaining to the operation of the activity, project, or program beyond the end of the period of performance. The only costs which are authorized for a period up to 90 days following the end of the period of performance are those strictly associated with close-out activities. Close-out activities are normally limited to the preparation of final progress, financial, and required audit reports unless otherwise approved in writing by Treasury. Under extraordinary circumstances, and at Treasury's sole discretion, Treasury may approve the recipient's request for an extension of the 90-day closeout period. t3 0) 8. Tax Refunds LO N 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 L) of RESTORE Act funds in accordance with 2 C.F.R. Part 200, subpart E (Cost Principles). The recipient agrees to contact Treasury immediately upon receipt of these refunds. c� December 2018 Page 5 Packet Pg. 1722 O.6.a 9. Subawards a. If the recipient is permitted to make subawards under this award, the recipient N must execute a legally binding written agreement with the subrecipient which includes a budget by federal object class categories or fixed amount (2 CFR U 200.332) if approved by Treasury. This agreement must incorporate all the terms and conditions of this Award, including any Special Award Conditions, and must include the information at 2 C.F.R. §200.331. The recipient must perform all responsibilities required of a pass-through entity, as specified in 2 C.F.R. Part 200. -119 U) 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 0 subrecipient monitoring strategy, as described in 2 C.F.R. §200.331(b). 0 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 and Conditions, Program-Specific Terms and Conditions, and any Special Award Conditions, and to ensure that performance goals are achieved. d. The recipient must provide training and technical assistance to the subrecipient U as necessary. e. The recipient must, if necessary,take appropriate enforcement actions against 76 non-compliantsubrecipients. U 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 U Award, including any Special Award Conditions,to all lower tier subawards through a legally binding written agreement, and that a subrecipient who makes 0 a subaward carries out all the responsibilities of a pass-through entity described at 2 C.F.R. Part 200. 2M g. The recipient must maintain written standards of conduct governing the performance of its employees involved in executing this Award and administration of subawards. 0 0 i. No employee, officer, or agent shall participate in the selection, award,or administration of a subaward supported by federal funds if a real or apparent conflict of interest would be involved. Such a conflict would arise when the employee, officer, or agent, any member of his or her immediate family, his or her partner, or an organization in which he/she serves as an officer or which employs or is about to employ any of the parties mentioned in this section, has a financial interest or other interest in the organization selected or to be selected for a subaward. CU 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 interestLO is not substantial or the gift is an unsolicited item of nominal value. A financial interest may include employment, stock ownership, a creditor or 76 debtor relationship,or prospective employment with the organization CU selected or to be selected for a subaward. U iv. The standards of conduct must provide for disciplinary actions to be applied for violations of such standards by officers, employees,or agents E of the recipient. CU December 2018 Page 6 Packet Pg. 1723 O.6.a F D RECIPIENT REPORTING AND AUDIT REQUIREMENTS LO U 1. Financial Reports U a. The recipient must submit a"Federal Financial Report" (SF-425)on a semi- annual basis for the periods ending March 31 and September 30 (or June 30 and December 31, if instructed by Treasury), or any portion thereof, unless otherwise specified in a special award condition. Reports are due no later than 30 days following the end of each reporting period. Afinal SF-425 must be submitted -119 U) within 90 days after the end of the period of performance. b. In the remarks section of each SF-425 submitted, the recipient must describe by federal budget class category the use of all funds received by the recipient and 0 subrecipient (if applicable). 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. d. The recipient must submit all financial reports via http://www.GrantSolutions.gov, unless otherwise specified by Treasury in writing. CU U 2. Performance Reports 76 a. The recipient must submit an SF-PPR("Performance Progress Report"), a "RESTORE Act Status of Performance Report," (standard format provided by U Treasury, OMB Approval No. 1505-0250)and an updated "RESTORE Act �- Milestones Report," (standard format provided by Treasury, OMB Approval No. U 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 0 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 performance. b. The recipient must submit all performance reports in (a)above, via 0 w http://ww.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); CU 2) Summarize any key accomplishments, including milestones M completed for the reporting period; 0, LO 3) List any contracts awarded during the reporting period, along with the name of the contractor and its principal,the DUNS 76 number of the contractor, the value of the contract, the date of CU award, a brief description of the services to be provided, and U whether or not local preference was used in the selection of the contractor;and E 4) If the recipient or any subrecipient is authorized to make December 2018 Page 7 Packet Pg. 1724 O.6.a subawards, list any subawards executed during the reporting period, along with the name of the entity and its principal, the LO CN DUNS number of the entity, the value of the agreement,the L) date of award, and a brief description of the scope of work. t3 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 undertaken to attenuate these risks or controversies; and -119 U) Cu 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 0 recipient should propose a revised schedule and update its milestone report. c) In Section B-3: Summarize any significant findings or events, including any data compiled, collected,or created, if applicable. d) In Section B-4: Cu t3 Describe any activities to disseminate or publicize results of the activity, project,or program, including data and its repository and citations for W publications resulting from this Award. Cu a e) In Section B-5: Cu t3 1) Describe all efforts taken to monitor contractor and/or Cu subrecipient performance, including site visits,during the reporting period. 2) For subawards, indicate whether the subrecipient(s) submitted an audit to the recipient, and if so,whether the recipient issued a management decision on any findings; and 3) For awards where Davis-Bacon Act provisions are applicable, c indicate whether the recipient and/or subrecipient(s) received p and reviewed certified weekly payroll records and/or whether the recipient or subrecipient(s)conducted labor interviews. 4) Describe any other activities or relevant information not already provided. f) In Section B-6: Summarize the activities planned for the next reporting period. Cu ii. "RESTORE Act Status of Performance Report": Instructions are _ provided on the report form. M iii. "RESTORE Act Milestones Report": Instructions are provided on the LO CN report form. Cu 3. Interim Reporting on Significant Developments per 2 C.F. R. &200.328(d) U 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. 1725 O.6.a become known: i. Problems, delays, or adverse conditions which will materially impair the N ability to meet the objective of this Award.This disclosure must include a statement of the action taken, or contemplated, and any assistance U needed to resolve the situation. ii. Favorable developments,which enable meeting time schedules and objectives sooner or at less cost than anticipated or producing more or different beneficial results than originally planned. -119 U) b. The recipient must: CU i. Promptly provide to Treasury and the Treasury Inspector General a copy 6 of all state or local inspector general reports, audit reports other than a 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. ii. Immediately notify Treasury and the Treasury Inspector General of any a indication of fraud,waste, abuse, or potentially criminal activity pertaining to grant funds. iii. Promptly notify Treasury upon the selection of a contractor or subrecipient performing work under this Award, and include the name and DUNS number for the subrecipient or contractor, and the total 76 amount of the contract or subaward. 4. Audit Reauirements U a 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. 5. Ooerational Self-Assessment a 0 The recipient must submit a revised Operational Self-Assessment form no later than June 30th of each calendar year for the duration of this Award. Only one Operational Self- Assessment must be submitted per recipient per year. In completing the form,the 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. U) E FINANCIAL MANAGEMENT SYSTEM AND INTERNAL CONTROL REQUIREMENTS 1. Recipients that are states must expend and account for Award funds in accordance with L) 0) the applicable state laws and procedures for expending and accounting for the state's LO N own funds. All other recipients must expend and account for Award funds in accordance with federal laws and procedures. In addition, all recipients'financial management systems must be sufficient to: t3 a. Permit the preparation of accurate, current, and complete SF-425, SF-PPR, RESTORE Act Milestones Report, and RESTORE Act Status of Performance Reports, as well as reporting on subawards, if applicable, and any additional reports required by any Special Award Conditions; December 2018 Page 9 Packet Pg. 1726 O.6.a 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 LO local requirements, including the RESTORE Act, Treasury RESTORE Act U regulations,these Standard Terms and Conditions, Program-Specific Terms and Conditions, and any Special Award Conditions. U 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 -119 U) 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, 0 as well as all awards, authorizations,obligations, unobligated balances, assets, expenditures, program income, and interest earned on federal advances, and allow users to tie these records to source documentation such as cancelled checks, paid bills, payroll and attendance records, contract and subaward agreements,etc. f. Ensure effective control over, and accountability for, all federal funds, and all property and assets acquired with federal funds. The recipient must adequately safeguard all assets and ensure that they are used solely for authorized C3 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 t3 the terms and conditions of this Award. t3 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 0 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 in"Standards for Internal Control in the Federal Government" issued by the Comptroller General of the United States or the"Internal Control Integrated Framework", issued by the Committee of Sponsoring Organizations of the Treadway Commission (COSO). The 0 recipient must evaluate and monitor its compliance, and the compliance of any subrecipients,with the RESTORE Act,Treasury's RESTORE Act regulations,these Standard Terms and Conditions, Program-Specific Terms and Conditions, and any Special Award Conditions, and promptly remedy any identified instances of noncompliance.When and if an instance of noncompliance cannot be remedied by the recipient,the recipient must promptly report the instance of noncompliance to Treasury and the Treasury Inspector General,followed by submitting a proposed mitigation plan to Treasury. U) 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. 0, LO N 76 F RECORDS RETENTION REQUIREMENTS 1. The recipient must retain all records pertinent to this Award for a period of three years, L) beginning on a date as described in 2 C.F.R. §200.333. While electronic storage of records(backed up as appropriate) is preferable, the recipient has the option to store E records in hardcopy(paper)format. For the purposes of this section, the term "records" c� includes but is not limited to: December 2018 Page 10 Packet Pg. 1727 O.6.a a. Copies of all contracts and all documents related to a contract, including the Request for Proposal (RFP), all proposals/bids received, all meeting minutes or LO other documentation of the evaluation and selection of contractors, any disclosed U conflicts of interest regarding a contract, all signed conflict of interest forms, all conflict of interest and other procurement rules governing a particular contract, U and any bid protests; b. Copies of all subawards and all documents related to a subaward. For competitively selected subawards, documents may include those relevant to and required by the recipient's or subrecipient's selection process such as the funding opportunity announcement or equivalent, all applications received, all U) meeting minutes or other documentation of the evaluation and selection of CU subrecipients, any disclosed conflicts of interest regarding a subaward, and all signed conflict of interest forms; 0 c. All documentation of site visits, reports, audits, and other monitoring of 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 Administrative Costs charged to this Award; 0 e. All supporting documentation for the performance outcome and other information CU reported on the recipient's SF-425s, SF-PPRs, RESTORE Act Milestones U Reports, and RESTORE Act Status of Performance Reports;and f. Any reports, publications, and data sets from any research conducted under this CU Award. CU 2. If any litigation, claim, investigation,or audit relating to this Award or an activity funded U with Award funds is started before the expiration of the three year period, the records 76 must be retained until all litigation, claims, investigations,or audit findings involving the 9 9 9 9 records have been resolved and final action taken. 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 that the contractor retain all records in compliance with 2 C.F.R. §200.333. 4. If the recipient is authorized to make subawards, the recipient must include in its legal c agreement with the subrecipient a requirement that the subrecipient retain all records in c compliance with 2 C.F.R. §200.333. 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 U also includes timely and reasonable access to the recipient's personnel for the LO purpose of interview and discussion related to such documents. This right of access shall continue as long as records are required to be retained. 76 b. If the recipient is authorized to make subawards, the recipient must include in its U 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. 1728 O.6.a to this Award, in order to make audits, investigations, examinations, excerpts, transcripts, and copies of such documents. This right also includes timely and LO reasonable access to the subrecipient's personnel for the purpose of interview U and discussion related to such documents. This right of access shall continue as long as records are required to be retained (see Section F above). U If the recipient is authorized to enter into contracts to complete the approved + scope of work,the recipient must include in its contract a requirement that the contractor make available to Treasury,the Treasury Office of Inspector General, and the Government Accountability Office any documents, papers or other records, including electronic records, of the contractor that are pertinent to this U) Award, in order to make audits, investigations, examinations, excerpts, CU 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 0 discussion related to such documents. This right of access shall continue as long as records are retained (see Section F above). 2. Access to the Recipient's Sites. The Treasury,the Treasury Office of Inspector General, and Government Accountability Office shall have the right during normal business hours to conduct announced and p 0 unannounced onsite and offsite physical visits of recipients and their subrecipients and contractors corresponding to the duration of their records retention obligation for this cj Award. 76 H AWARD DISBURSEMENT CU t3 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 Y require Award funds to be disbursed on a reimbursement basis either with or without a pre-approval of drawdown requests: (1)Treasury determines that the recipient does 0 not meet the financial management system standards(see Section E) included in these Standard Terms and Conditions, (2) Treasury determines that the recipient has 2M not established procedures that will minimize the time elapsing between the transfer of funds and disbursement, or(3) Treasury determines that the recipient is in noncompliance with the RESTORE Act, Treasury's RESTORE Act regulations,other p pertinent federal statutes,these Standard Terms and Conditions, Program-Specific p 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 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. -ldc U) CU 3. To the extent available,the recipient must disburse funds available from program income, rebates, refunds, contract settlements, audit recoveries, and interest earned on such funds before requesting additional cash payments of Award funds. L) 0) LO 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 CU payments,the recipient must first enroll in ASAP.gov. Treasury creates and funds CU account(s)for recipients in ASAP.gov, and recipients access their account(s)online to t3 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. c� 5. Requirements applicable to recipients that are states: Payment methods of state December 2018 Page 12 Packet Pg. 1729 O.6.a agencies or instrumentalities must be consistent with Treasury-State agreements under the Cash Management Improvement Act, 31 C.F.R. Part 205"Rules and Procedures for LO Efficient Federal-State Funds Transfers,"and Treasury Financial Manual (TFM)4A-2000 U Overall Disbursing Rules for All Federal Agencies. U 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 CU feasible to the actual disbursements by the parish or county for activity, project,or program costs and the proportionate share of any allowable indirect costs. Advances should not be drawn down more than three business days before expenditure. 0 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 Government-insured interest-bearing accounts whenever possible. The recipient is not required to maintain a separate depository account for receiving Award funds. If the recipient maintains a single depository account where advances are commingled with CU funds from other sources, the recipient must maintain on its books a separate subaccount U 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). CU U 8. The recipient must maintain advances of federal funds in interest bearing accounts, CU unless one of the following conditions applies: a. The recipient receives less than$120,000 in federal awards per year; 0 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 0 ro c. The depository would require an average or minimum balance so high that it would not be feasible within the expected federal and non-federal cash resources. 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 CU In the event of a federal government shutdown, Treasury will issue guidance to the recipient concerning the expected effects on this Award. U 0) LO N J NOTIFICATIONS AND PRIOR APPROVALS 1. Notifications U t3 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 E anticipated or occurs: December 2018 Page 13 Packet Pg. 1730 O.6.a a. A vacancy or change to key personnel listed in the application. 0) b. Any termination of a subaward prior to the expiration of the agreement with the CN subrecipient. c. Except for changes described in (2)below, the recipient may revise the budget U 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 constitute Treasury's approval of the revised budget. -119 U) 2. Prior Aoorovals 0 a. The recipient must obtain prior written approval from Treasury whenever any of a the following actions is anticipated: i. A change in the scope or the objective of the activity, project, or program (even if there is no associated budget revision requiring prior written approval); ii. A need to extend the period of performance; iii. A need for additional federal funds to complete the activity, project, CU U or program; as iv. The transfer of funds among direct cost categories or programs, 76 functions, and activities if this Award exceeds the Simplified Acquisition Threshold (defined at 2 C.F.R. §200.88)and the CU U cumulative amount of such transfers exceeds or is expected toCU �- exceed 10 percent of the total budget as last approved by Treasury; V. The subawarding,transferring or contracting out of any work under this Award (this provision does not apply to the acquisition of supplies, material, equipment or general support services), unless described in the application and approved in this Award.; vi. Any transfer between the non-construction and construction activities;and a 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. b. If requesting a no-cost extension to this Award, the request must be made no less than 30 days prior to the end of the period of performance for this Award. Any extension of the period of performance requires prior written approval from Treasury. U) CU K PROPERTY U 1. General Reauirements LO CN 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. c� December 2018 Page 14 Packet Pg. 1731 O.6.a 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 acquired under this Award in accordance with state laws and U procedures. ii. Supplies: If the recipient has a residual inventory of unused supplies exceeding$5,000 in total aggregate value upon termination or completion of the activity, project,or program and the supplies are not -119 needed for any other federal award, the recipient must report the value CU 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 0 Performance. b. Requirements that are applicable to recipients that are not states: i. Equipment and Supplies: During the period of performance, the recipient must seek disposition instructions from Treasury for equipment and/or unused or residual supplies acquired under this Award if the current fair market value of the equipment and/or unused or CU U residual supplies is greater than $5,000 per unit.The recipient must seek disposition instructions before disposing of the property by W submitting a completed SF-428 Tangible Personal Property Report 76 and SF-428-C Disposition Request/Report. Not later than 60 days after the end of the period of performance,the recipient must submit U to Treasury a completed SF-428 Tangible Personal Property Report CU and SF-428-8 Final Report Form if the recipient retains any equipment with a current fair market value greater than $5,000 per unit or a residual inventory of unused supplies exceeding$5,000 in total aggregate value upon termination or completion of the activity, project, or program and the equipment and/or supplies are not needed for as any other federal award. 0 0 L AMENDMENTS AND CLOSEOUT 1. Amendments a. The terms of this Award may be amended with the written approval of the recipient and Treasury. b. Treasury reserves the right to amend the terms of this Award if required by federal law or regulation. U) c. Amendments must be requested in writing, and must include an explanation for CU the reason this Award should be amended. t3 0) 2. Closeout LO a. Treasury will close out this Award when it determines that all applicable CU administrative actions and all required work of this Award have been completed. a CU 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 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. 1732 O.6.a must describe by federal budget class category the final use of all funds received by the recipient and subrecipient(if applicable). LO N U c. The recipient must liquidate all obligations incurred under this Award not later U than 90 calendar days after the end of the period of performance, unless the recipient requests, and Treasury approves, an extension. d. The recipient must promptly refund any balances of unobligated cash that Treasury paid. -119 U) e. Following receipt of reports in paragraph (a)of this section,Treasury will make CU upward or downward adjustments to the allowable costs, and then make prompt payment to the recipient for allowable, unreimbursed costs. 0 0 f. The closeout of this Award does not affect any of the following: 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 of later refunds, corrections,or other transactions including final indirect 0 cost rate adjustments; iii. The recipient's obligations regarding audits, property management and CU U disposition(if applicable), and records retention. 76 M REMEDIES FOR NONCOMPLIANCECU U 1. If Treasury determines that the recipient has failed to comply with the RESTORE Act, CU �- Treasury's RESTORE Act regulations,these Standard Terms and Conditions, Program- U Specific Terms and Conditions, or any Special Award Conditions,Treasury may take any of the following actions(in addition to the remedies in Section A.3, above, applicable to 0 Direct Component awards): a. Impose additional Special Award Conditions such as: i. Allowing payment only on a reimbursement basis, with pre-approval of drawdown requests, ii. Requiring additional reporting or more frequent submission of the SF- 425, SF-PPR, or RESTORE Act Status of Performance Report, iii. Requiring additional activity, project,or program monitoring, iv. Requiring the recipient or one or more of its subrecipients to obtain technical or management assistance, and/or V. Establishing additional actions that require prior approval; b. Temporarily withhold payments pending correction of the noncompliance; CU c. Disallow from funding from this Award all or part of the cost of the activity or action not in compliance; U 0) LO d. Wholly or partly suspend or terminate this Award; e. Withhold additional Awards; and/or 76 CU f. Initiate suspension or debarment proceedings as authorized under 2 C.F.R. Part U 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. 1733 O.6.a will have 30 calendar days to respond and provide information and documentation contesting Treasury's proposed determination or suggesting an alternative remedy. LO Treasury will consider any and all information provided by the recipient and issue a final U determination in writing,which will state Treasury's final findings regarding noncompliance and the remedy to be imposed. U 2. In extraordinary circumstances, Treasury may require that any of the remedies above take effect immediately upon notice in writing to the recipient. In such cases, the recipient may contest Treasury's determination or suggest an alternative remedy in writing to Treasury, and Treasury will issue a final determination. -119 U) 3. Instead of, or in addition to, the remedies listed above, Treasury may refer the CU 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 0 General. 0 4. Treasury may terminate this Award in accordance with 2 C.F.R. §200.339. Requests for termination by the recipient must also be in accordance with 2 C.F.R. §200.339. Such requests must be in writing and must include the reasons for such termination, the effective date, and in the case of partial termination, the portion to be terminated. If Treasury determines that the remaining portion of this Award will not accomplish the 0 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 U 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 U suspension or termination or subsequently. However, costs during suspension or after termination are allowable if: (1)the costs result from obligations which were properly Y incurred by the recipient before the effective date of suspension or termination, and are 0 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. 2M N DEBTS 0 1. Payment of Debts Owed the Federal Government a. Any funds paid to the recipient in excess of the amount to which the recipient is finally determined to be authorized to retain under the terms of this Award constitute a debt to the federal government. b. Any debts determined to be owed the federal government must be paid promptly by the recipient. A debt is delinquent if it has not been paid by the date specified in Treasury's initial written demand for payment, unless other satisfactory arrangements have been made. Interest, penalties, and administrative charges CU (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 U debt that is more than 180 days delinquent to Treasury's Bureau of the FiscalLO Service for debt collection services. c. The minimum annual interest rate to be assessed on any debts is the Department of the Treasury's Current Value of Funds Rate(CVFR).The CVFR is available U online at htt2s://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. E c� d. Penalties on any debts shall accrue at a rate of not more than 6 percent per year December 2018 Page 17 Packet Pg. 1734 O.6.a or such other higher rate as authorized by law. e. Administrative charges,that is, the costs of processing and handling a delinquent N debt, shall be determined by Treasury. f. Funds for payment of a debt must not come from other federally sponsored U programs.Verification that other federal funds have not been used will be made, e.g., during on-site visits and audits. 2. Effect of Judgment Lien on Eligibility for Federal Grants. Loans.or Programs -119 U) 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 0 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, until the judgment is paid in full or otherwise satisfied. 0 O NON-DISCRIMINATION REQUIREMENTS No person in the United States shall, on the ground of race, color, national origin, handicap, age, U 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 76 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. U 1. Statutory Provisions Y a a. Title VI of the Civil Rights Act of 1964 (42 U.S.C. §§2000d et seq.) prohibits 0 discrimination on the grounds of race, color, or national origin under programs or activities receiving federal financial assistance; 2M b. Title IX of the Education Amendments of 1972 (20 U.S.C. §§ 1681 et seq.) prohibits discrimination on the basis of sex underfederally assisted education programs or activities; c 0 c. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. §794) prohibits discrimination on the basis of handicap under any program or activity receiving or benefitting from federal assistance; d. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§6101 et seq.), prohibits discrimination on the basis of age in programs or activities receiving federal financial assistance; e. The Americans with Disabilities Act of 1990, as amended (42 U.S.C. §§ 12101 et -ldc U) seq.)("ADA"), including the ADA Amendments Act of 2008 (Public Law 110-325, CU ("ADAAA"), prohibits discrimination on the basis of disability under programs, activities, and services provided or made available by state and local U governments or instrumentalities or agencies thereto, as well as public or private LO entities that provide public transportation; f. Any other applicable non-discrimination law(s). 76 CU 2. Regulatory Provisions U 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. 1735 O.6.a activities receiving federal financial assistance; b. Treasury Title IX regulations, 31 C.F.R. Part 28, implement Title IX of the N Education Amendments of 1972 (20 U.S.C. §§ 1681 et seq.)which prohibits discrimination on the basis of sex under federally assisted education programs U 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. -119 U) CU 3. Other Provisions a. Parts II and III of EO 11246 (30 Fed. Reg. 12319, 1965), "Equal Employment 0 Opportunity,"as amended by EO 11375 (32 Fed. Reg. 14303, 1967)and 12086 (43 Fed. Reg.46501, 1978), require federally assisted construction contracts to 0 include the nondiscrimination provisions of§§202 and 203 of EO 11246 and Department of Labor regulations implementing EO 11246(41 C.F.R. §60-1.4(b), 1991). b. EO 13166(August 11,2000), "Improving Access to Services for Persons With Limited English Proficiency," requires federal agencies to examine the services provided, identify any need for services to those with limited English proficiency U (LEP), and develop and implement a system to provide those services so LEP persons can have meaningful access to them. U 4. Title VII Exemption for Reliaious Oraanizations CU 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 0 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 exempts from the prohibition against discrimination on the basis of religion, a religious corporation, association, educational institution,or society with respect to the employment of individuals of a particular religion to perform work connected with the a 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 -ldc U) 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 U public health or safety, or a violation of law, rule, or regulation related to a federal LO 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; b. An Inspector General; U c. The Government Accountability Office; d. A Treasury employee responsible for contract or grant oversight or management; c� e. An authorized official of the Department of Justice or other law enforcement December 2018 Page 19 Packet Pg. 1736 O.6.a agency; f. A court or grand jury; and/or N g. A management official or other employee of the recipient, subrecipient,vendor, contractor(vendor), or subcontractor who has the responsibility to investigate, U discover,or address misconduct. P REQUIREMENT TO CHECK DEBARMENT AND SUSPENSION STATUS OF SUBRECIPIENTS,CONTRACTORS,SUBCONTRACTORS AND VENDORS -119 U) 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 0 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 contract with an entity that appears on the Excluded Parties List.The Excluded Parties List is accessible at http://www.sam.gov. 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 U 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 76 with an entity, or that entity's principals, if that entity or its principals appear on the Excluded Parties List. U 3. The recipient must include a term or condition in all lower tier covered transactions (subawards, contracts, and subcontracts described in 31 C.F.R. Part 19, subpart B)that 9 the award is subject to 31 C.F.R. Part 19. 0 Q DRUG FREE WORKPLACE The recipient must comply with the provisions of the Drug-Free Workplace Act of 1988 (Public , Law 100-690,Title V, Sec. 5153, as amended by Public Law 105-85, Div.A, Title VIII, Sec. 809, c 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. R LOBBYING RESTRICTIONS 1. Lobbying Restrictions a. Solely for the purposes of Section R of these Standard Terms and Conditions, " -199 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 CU recipient of this RESTORE Act award from Treasury. U b. All recipients must comply with the provisions of 31 U.S.C. § 1352, as amended, 0, LO 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 or employee of Congress, or an employee of a Member of Congress in connection U 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. 1737 O.6.a 2. Certification a. Each person who requests or receives from Treasury a RESTORE Act grant shall N file with Treasury a certification, set forth in Appendix A of 31 C.F.R. Part 21, that _ the person has not made, and will not make, any payment prohibited under 31 L) U.S.C. § 1352, as amended. b. The certification shall be filed pursuant to 31 C.F.R. §21.100(a) and (b). c. Any subrecipient, at any tier, who receives a subaward exceeding $100,000 under this award, shall file with the tier above them a certification, set forth in appendix A -119 of 31 C.F.R. Part 21, that the subrecipient as not made, and will not make, any CU payment prohibited by 31 C.F.R. §21.100(a). Pursuant to 31 C.F.R. 21.100(d), the certification shall be filed to the next tier above. 0 d. Any contractor or subcontractor, at any tier, who receives a contract or subcontract 0 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 shall be filed to the next tier above. 0 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 CU 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 CU required certification. If a person fails to file a required certification, the United a CU States may pursue all available remedies, including those authorized by 31 U.S.C. C3 § 1352. Y a 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 Appendix B of 31 CF.R. Part 21, if that award recipient is paid or will pay any funds, other than Federal appropriated funds, to any person for influencing or 0 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 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 0, completed and signed SF-LLL disclosure form shall forward it to the tier above LO it, and the award recipient of this RESTORE Act grant from Treasury will forward it to Treasury. c. Every recipient of a contract or subcontract under this RESTORE Act grant L) 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 E 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. 1738 O.6.a 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 LO Member of Congress in connection with this Federal grant. Each tier who U 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 U Treasury will forward it to Treasury. cw, 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 representation is forwarded. Submitting an erroneous certification or disclosure constitutes a failure to file the required certification. If a person fails to file a required disclosure, the United States may pursue all available remedies, 0 including those authorized by 31 US.C. § 1352, 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 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 C3 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; t3 ii. A change in the persons(s) influencing or attempting to influence; cj and/or iii. A change in the Federal official(s)contacted to influence or attempt to influence a covered Federal action, f. The award recipient must submit its form SF-LLLs, as well as those received g' from subrecipients, contractors and subcontractors, to Treasury within 30 calendar days following the end of the calendar quarter in which there occurs any event that requires disclosure or that materially affects the accuracy of the 0 information contained in any disclosure form previously filed. g. The award recipient must include a statement in all subaward, contracts and subcontracts exceeding $100,000 in federal funds, that the subaward, contract, or subcontract is subject to 31 U.S.C. § 1352, h. The award recipient must require subrecipients, contractors and subcontractors to submit form SF-LLL to the award recipient with 15 calendar days following the end of the calendar quarter in which there occurs any event that requires disclosure or that materially affects the accuracy of the information contained in any disclosure from previously filed. t3 0) LO S PROCUREMENT 1. The recipient must comply with Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act. The requirements of Section L) 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. 1739 O.6.a 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 LO establishing an affirmative procurement program for procurement of recovered materials U identified in the EPA guidelines. U 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- contract any part of the approved project to any agency or employee of Treasury and/or -119 U) other federal department, agency, or instrumentality without the prior written approval of CU Treasury. Treasury will notify the recipient in writing of the final determination. 4. Requirements applicable to recipients and subrecipients that are states:When executing 0 procurement actions under this Award,the recipient must follow the same policies and procedures it uses for procurements from its non-federal funds. The recipient must ensure that every purchase order or other contract contains any clauses required by federal statutes and EOs and their implementing regulations, including all of the provisions listed in Appendix II to 2 C.F.R. Part 200—Contract Provisions for Non- Federal Entity Contracts under Federal Awards, as well as any other provisions required by law or regulations. 5. Requirements applicable to recipients and subrecipients that are not states:The U 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 76 by the recipient to accomplish the approved scope of work must contain any clauses required by federal statutes and EOs and their implementing regulations, including all of U the provisions listed in Appendix II to 2 C.F.R. Part 200—Contract Provisions for Non- �- Federal Entity Contracts under Federal Awards. U 6. Contracting with small and minority businesses,women's business enterprise, and labor 0 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 �s steps must include: a. Placing qualified small and minority businesses and women's business 0 enterprises on solicitation lists; 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; U) d. Establishing delivery schedules,where the requirement permits,which encourage participation by small and minority businesses, and women's business enterprises; 0) LO N e. Using the services and assistance, as appropriate, of such organizations as the ra Small Business Administration and the Minority Business Development Agency of the Department of Commerce; and, cj f. Requiring the prime contractor, if subcontracts are to be let,to take the affirmative steps listed in (a)through (e)of this paragraph. c� December 2018 Page 23 Packet Pg. 1740 O.6.a T RESEARCH INVOLVING HUMAN SUBJECTS LO N 1. No research involving human subjects is permitted under this Award unless expressly L) authorized by a special award condition, or otherwise in writing by Treasury. L) 2. Federal policy defines a human subject as a living individual about whom an investigator cn conducting research obtains(1)data through intervention or interaction with the individual,or(2)identifiable private information. Research means a systematic investigation, including research development,testing and evaluation,designed to develop or contribute to generalizable knowledge. -119 U) 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 0 documentation to Treasury for approval by the appropriate Treasury officials.This documentation may include: a. Documentation establishing approval of the project by an institutional review board (IRB)approved for federal-wide use under Department of Health and Human Services guidelines; b. Documentation to support an exemption for the project; c. Documentation to support deferral for an exemption or IRB review; or L) d. Documentation of IRB approval of any modification to a prior approved protocol W or to an informed consent form. 76 a 4. No work involving human subjects may be undertaken, conducted, or costs incurred and/or M charged for human subjects research, until the appropriate documentation is approved in �- writing by Treasury. cj U ENVIRONMENTAL REQUIREMENTS The recipient must comply with all environmental standards, and provide information requested by Treasury relating to compliance with environmental standards, including but not limited to the following federal statutes, regulations, and EOs. If the recipient is permitted to make any subawards, the recipient must include all of the environmental statutes, regulations, and executive 0 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.) -ldc U) 3. Clean Air Act, as amended (42 U.S.C. §7401 et seq.), Clean Water Act, as amended CU (33 U.S.C. § 1251 et seq.), and EO 11738 U 4. The Flood Disaster Protection Act of 1973, as amended (42 U.S.C. §4002 et seq.) ) LO 5. The Endangered Species Act of 1973, as amended, (16 U.S.C. § 1531 et seq.) ra 6. The Coastal Zone Management Act, as amended, (16 U.S.C. § 1451 et seq.) 7. The Coastal Barriers Resources Act, as amended, (16 U.S.C. §3501 et seq.) t) 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) December 2018 Page 24 Packet Pg. 1741 O.6.a 10. The Resource Conservation and Recovery Act of 1976, as amended, (42 U.S.C. § 6901 et seq.) LO N 11. The Comprehensive Environmental Response, Compensation, and Liability Act U (Superfund)(42 U.S.C. §9601 et seq.)and the Community Environmental Response U Facilitation Act(42 U.S.C. §9601 note) M 12. Magnuson-Stevens Fishery Conservation and Management Act, as amended (16 U.S.C. §1801) 13. Marine Mammal Protection Act, as amended (16 U.S.0§31) 14. Migratory Bird Treaty Act, as amended (16 U.S.C. §§703-712) 15. Responsibilities of Federal Agencies to Protect Migratory Birds, EO 13186 0 16. Bald and Golden Eagle Protection Act, as amended (16 U.S.C. §668-668d) c 17. Marine Protection, Research and Sanctuaries Act(33 U.S.C. §§ 1401-1445 and 16 U.S.C. §§1431-1445) 18. National Marine Sanctuaries Act, as amended (16 U.S.C. § 1431 et seq.) 0 19. Rivers and Harbors Act of 1899 (33 U.S.0§407) CU 20. Environmental Justice in Minority Populations and Low Income Populations, EO 12898, U as amended �s 21. Flood Management, EO 11988, as amended by EO 13690, and Protection of Wetland, CU E011990, May 24, 177, as amended by EO 12608 CU 22. Farmland Protection Policy Act, as amended (7 U.S.C. §4201 et. seq.) U CU 23. Coral Reef Protection, EO 13089 t 24. Invasive Species, EP 13112 0, V MISCELLANEOUS REQUIREMENTS AND PROVISIONS 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: c 1. Prohibition Against Assignment by the Recipient Notwithstanding any other provision of this Award,the recipient must not transfer, pledge, mortgage, or otherwise assign this Award, or any interest therein, or any claim arising thereunder,to any party or parties, banks,trust companies, or other financing or financial institutions without the express written approval of Treasury. ldc U) CU 2. Disclaimer Provisions U a. The United States expressly disclaims any and all responsibility or liability to the LO recipient or third persons for the actions of the recipient or third persons resulting in death, bodily injury, property damages, or any other losses resulting in any way from the performance of this Award or any other losses resulting in any way from the performance of this Award or any subaward, contract,or subcontract U under this Award. b. The acceptance of this Award by the recipient does not in anyway constitute an agency relationship between the United States and the recipient. December 2018 Page 25 Packet Pg. 1742 O.6.a F LO 3. Prohibited and Criminal Activities N U 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, L? fictitious, or fraudulent claims to the federal government for money(including money representing grants, loans or other benefits). b. False Statements, as amended (18 U.S.C. § 1001) provides that whoever makes or presents any materially false, fictitious, or fraudulent statements to the United -119 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 a to the United States shall be subject to imprisonment of not more than five a years and shall be subject to a fine in the amount provided in 18 U.S.C. §287. 3 d. False Claims Act, as amended (31 U.S.C. 18 U.S.C. § 3729 et seq.), provides that suits under this act can be brought by the federal government, or a person on behalf of the federal government,for false claims under federal assistance programs 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 L) 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. t3 4. Political Activities t3) The recipient must comply, as applicable,with provisions of the Hatch Act, as amended 0 (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. as 5. American-Made Eauioment and Products a 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, -ldc U) rented or personally owned vehicles. CU 7. Minority Serving Institutions(MSIs)Initiative U 0) LO Pursuant to EOs 13555 and13270, as amended,Treasury is strongly committed to broadening the participation of MSIs in its financial assistance programs.Treasury's CU goals include achieving full participation of MSIs in order to advance the development of CU human potential, strengthen the nation's capacity to provide high-quality education, and U 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 Packet Pg. 1743 O.6.a F LO N U 8. Research Misconduct U Treasury adopts, and applies to Awards for research,the Federal Policy on Research Misconduct(Federal Policy)issued by the EO of the President's Office of Science and Technology Policy on December 6, 2000 (65 Fed. Reg. 76260 (2000)).As provided for in the Federal Policy, research misconduct refers to the fabrication,falsification, or plagiarism in proposing, performing,or reviewing research,or in reporting research 119 U) results. Research misconduct does not include honest errors or differences of opinion. CU Recipients that conduct research funded by Treasury must foster an atmosphere conducive to the responsible conduct of sponsored research by safeguarding against and c resolving allegations of research misconduct. Recipients also have the primary c responsibility to prevent, detect, and investigate allegations of research misconduct and, 3 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 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 CU General of such allegation. Once the recipient has investigated the allegation, it will U submit its findings to Treasury.Treasury may accept the recipient's findings or proceed with its own investigation;Treasury shall inform the recipient of the Treasury's final determination. 9. Care and Use of Live Vertebrate Animals U Recipients must comply with the Laboratory Animal Welfare Act of 1966 (Public Law 89- t? 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; 0 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 Nuisance Prevention and Control Act, as amended, (16 U.S.C. §4701 et seq.)(ensure preventive measures are taken or that probable harm of using species is minimal if there g 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 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. U a. Provisions applicable to a recipient that is a private entity 0, LO 1. You as the recipient, your employees, subrecipients under this Award, and subrecipients'employees may not— i. Engage in severe forms of trafficking in persons during the period of U 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 c� December 2018 Page 27 Packet Pg. 1744 O.6.a iii. Use forced labor in the performance of this Award or subawards under this Award. LO cN 2. We as the federal awarding agency may unilaterally terminate this Award, UI without penalty, if you or a subrecipient that is a private entity— U i. Is determined to have violated a prohibition in paragraph a.1 of this Section V.10;or ii. Has an employee who is determined by the agency official authorized to terminate this Award to have violated a prohibition in -119 paragraph a.1 of this Section V.10 through conduct that is either— U) Cu A. Associated with performance under this Award; or B. Imputed to you or the subrecipient using the standards and 0 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 Governmentwide Debarment and Suspension(Nonprocurement),"as implemented by our agency at 31 C.F.R. Part 19. b. Provision applicable to a recipient other than a private entity.We as the federal awarding agency may unilaterally terminate this Award,without penalty, if a Cu 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 76 2. Has an employee who is determined by the agency official authorized to cCu terminate this Award to have violated an applicable prohibition in paragraph a.1 of this Section V.10 through conduct that is either Cu - U 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 Governmentwide Debarment and Suspension (Nonprocurement),"as implemented by our agency at 31 C.F.R. Part 19. 0 c. Provisions applicable to any recipient. 0 1. You must inform us immediately of any information you receive from any source alleging a violation of a prohibition in paragraph a.1 of this Section V.10. 2. Our right to terminate unilaterally that is described in paragraph a.2 or b of this Section V.10: i. Implements section 106(g)of the Trafficking Victims Protection Act ldc U) 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. L) 0) LO 3. You must include the requirements of paragraph a.1 of this Section V.10 in CN any subaward you make to a private entity. d. Definitions. For purposes of this award term: t3 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. 1745 O.6.a ii. Another person engaged in the performance of the project or program under this Award and not compensated by you including, but not limited LO CN to, a volunteer or individual whose services are contributed by a third U party as an in-kind contribution toward cost sharing or matching requirements. U 2. "Forced labor" means labor obtained by any of the following methods: the recruitment, harboring,transportation, provision,or obtaining of a person for labor or services, through the use of force,fraud, or coercion for the purpose of subjection to involuntary servitude, peonage,debt bondage,or slavery. -119 U) 3. "Private entity": CU 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. 0 ii. Includes: A. A nonprofit organization, including any nonprofit institution of higher education, hospital, or tribal organization other than one included in the definition of Indian tribe at 2 C.F.R. § 175.25(b). B. A for-profit organization CU U 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. § W 7102). 76 U 11. The Federal Funding Accountability and Transparency Act of 2006,as amended. �- (Pub, L. No. 109-282, 31 U.S.C.§6101 note) Y a a. The award term at Appendix A of 2 C.F.R. Part 170 is hereby incorporated by reference. b. The Federal Funding Accountability and Transparency Act of 2006(FFATA) requires information on federal awards to be made available to the public via a single, searchable website.This information is available at www.USASpending.gov.The FFATA Subaward Reporting System (FSRS)is the p reporting tool federal prime awardees(i.e., prime contractors and prime grants p recipients)use to capture and report subaward and executive compensation data regarding their first-tier subawards to meet the FFATA reporting requirements. Prime grant awardees will report against sub-grants awarded.The subaward information entered in FSRS will then be displayed at http://www.USASpending.gov. c. Recipients of RESTORE Act funding are subject to FFATA subaward reporting requirements as outlined in the OMB guidance on FFATA issued August 27, 2010.The recipient is required to file a FFATA subaward report by the end of the CU 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 W total award to$25,000 or more. This report must be filed electronically at 0, LO http//www.fsrsegov. CN U d. The recipient must report total compensation for each of its five most highly compensated executives for the preceding completed fiscal year, by the end of CU the month following the month in which this Award is made, and annually U thereafter if— i. The total federal funding authorized to date under this Award is$25,000 or more; and December 2018 Page 29 Packet Pg. 1746 O.6.a ii. In the preceding fiscal year,the recipient received- 0) 1) 80 percent or more of annual gross revenues from federal N procurement contracts(and subcontracts)and federal financial assistance subject to FFATA, as defined at 2 C.F.R. § 170.320 (and U subawards);and 2) $25,000,000 or more in annual gross revenues from federal procurement contracts(and subcontracts)and federal financial assistance subject to FFATA, as defined at 2 C.F.R. 170.320 (and subawards);and -119 U) M 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§ 0 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.) e. The recipient must report on the total compensation of its subrecipients'five most highly compensated executives, as required by FFATA, and must include provisions in every executed contract or agreement with affected subrecipients requiring the subrecipient to provide all information necessary for the recipient to t3 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 t) 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, Y whichever is later. This requires that the recipient review and update the 0 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 ps as a recipient.Additional information about registration procedures may be found at the System for Award Management Internet site(currently at https://www.sam.gov/paortal/paublic/SAM/). 0 g. If the recipient is authorized to make subawards under this Award,the recipient must notify potential subrecipients that the recipient may not make a subaward to any entity unless that entity has provided its Data Universal Numbering System (DUNS)number to the recipient.A DUNS number is the nine-digit number established and assigned by Dun and Bradstreet, Inc.to uniquely identify business entities. 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 U 0) LO If the total value of the recipient's currently active grants, cooperative agreements, N and procurement contracts from all Federal awarding agencies exceeds $10,000,000 for any period of time during the period of performance of this CU Federal award,then the recipient during that period of time must maintain the U 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)) E about civil, criminal,or administrative proceedings described in paragraph b. of December 2018 Page 30 Packet Pg. 1747 O.6.a this award term and condition.This is a statutory requirement under§ 872 of Public Law 110-417, as amended (41 U.S.C. §2313).As required by§ 3010 of LO CN Public Law 111-212, all information posted in the designated integrity and U performance system on or after April 15,2011, except past performance reviews required for Federal procurement contracts,will be publicly available. U b. Proceedings About Which The Recipient Must Report The recipient must submit the information required about each proceeding that: -119 U) i. Is in connection with the award or performance of a grant, cooperative CU 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: 0 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 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 CU award term and condition,that resulted in a finding of fault and U liability and your payment of either a monetary fine or penalty of $5,000 or more or reimbursement, restitution,or damages in 76 excess of$100,000; or CU 4) Any other criminal,civil, or administrative proceeding if: U CU a) It could have led to an outcome described in paragraph b.iii. t 1),2),or 3)of this award term and condition; b) It had a different disposition arrived at by consent or 0 compromise with an acknowledgment of fault on your part; and c) The requirement in this award term and condition to disclose information about the proceeding does not conflict with applicable laws and regulations. 0 c. Reporting Procedures Enter in the SAM Entity Management area the information that SAM requires about each proceeding described in paragraph b of this award term and condition. The recipient does not need to submit the information a second time under assistance awards that the recipient received if they already provided the information through SAM because they were required to do so under Federal procurement contracts that they were awarded. CU d. Reporting Frequency U During any period of time when the recipient is subject to the requirement in LO CN 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 76 information about any proceeding(s)that they have not reported previously or cCU 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 E criminal,civil,and administrative proceedings. December 2018 Page 31 Packet Pg. 1748 O.6.a e. Definitions LO CN For purposes of this award term and condition: U i. Administrative proceeding means a non judicial process that is U adjudicatory in nature in order to make a determination of fault or liability (e.g., Securities and Exchange Commission Administrative proceedings, Civilian Board of Contract Appeals proceedings, and Armed Services Board of Contract Appeals proceedings).This includes proceedings at the Federal and State level but only in connection with performance of a -119 U) Federal contract or grant. It does not include audits, site visits, corrective plans,or inspection of deliverables. ii. Conviction,for purposes of this award term and condition, means a g judgment or conviction of a criminal offense by any court of c competent jurisdiction,whether entered upon a verdict or a plea,and includes a conviction entered upon a plea of polo contendere. iii. Total value of currently active grants, cooperative agreements, and procurement contracts includes- 0 1) Only the Federal share of the funding under any Federal award with a recipient cost share or match; and CU 2) The value of all expected funding increments under a Federal award U and options, even if not yet exercised. 76 13. Publications and Signage CU U Any publications(except scientific articles or papers appearing in scientific,technical, or CU professional journals)or signage produced with funds from this Award,or informing the t3 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 0 Department of the Treasury under the Resources and Ecosystems Sustainability, Tourist Opportunities, and Revived Economies of the Gulf Coast States Act of 2012 (RESTORE 2M Act)." Publications(except scientific articles or papers appearing in scientific,technical, or professional journals)produced with funds from this Award must display the following additional language: "The statements,findings, conclusions, and recommendations are g those of the author(s)and do not necessarily reflect the views of the Department of the g Treasury." 14. Homeland Security Presidential Directive 12 M 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 -199 must undergo the personal identity verification credential process. In the case of foreignCU 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 L) eligible for employment within the United States.Any items or services delivered under LO 0) N this Award must comply with Treasury personal identity verification procedures that implement Homeland Security Presidential Directive 12, "Policy for a Common Identification Standard for Federal Employees and Contractors", FIPS PUB 201, as CU amended,and OMB Memorandum M-05-24, as amended.The recipient must ensure that its subrecipients and contractors(at all tiers)performing work under this Award comply with the requirements contained in this Section V.14. Treasury may delay final payment under this Award if the subrecipient or contractor fails to comply with the requirements listed in the section below. The recipient must insert the following term in all subawards December 2018 Page 32 Packet Pg. 1749 O.6.a and contracts when the subrecipient or contractor is required to have routine physical access to a Treasury-controlled facility or routine access to a Treasury-controlled LO CN information system: U a. The subrecipient or contractor must comply with Treasury personal identity U verification procedures identified in the subaward or contract that implement Homeland Security Presidential Directive 12 (HSPD-12), Office of Management and Budget(OMB)Guidance M-05-24, as amended, and Federal Information Processing Standards Publication, FIPS PUB 140-2, as amended,for all employees under this subaward or contract who require routine physical access to a federally controlled facility or routine access to a federally controlled Cu information system. b. The subrecipient or contractor must account for all forms of government-provided a identification issued to the subrecipient or contractor employees in connection a with performance under this subaward or contract.The subrecipient or contractor 3- 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; 0 ii. Upon completion of the subrecipient or contractor employee's employment; or cCu iii. Upon subaward or contract completion or termination. 76 15. Foreman Travel Cu t3 a. The recipient and subrecipient may not use funds from this Award for travel Cu outside of the United States unless Treasury provides prior written approval. Y a b. The recipient and subrecipient must comply with the provisions of the Fly America 0 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. 2M c. The Fly America Act requires that federal travelers and others performing U.S. LO 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 specific instances, such as when a U.S.flag air carrier is unavailable, or use of a U.S.flag air carrier service will not accomplish the agency's mission. d. One exception to the requirement to fly U.S.flag carriers is transportation 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 ldc U) Agreements"(U.S. Government Procured Transportation)that allow federal Cu funded transportation services for travel and cargo movements to use foreign air carriers under certain circumstances.There are multiple"Open Skies L) Agreements"currently in effect. For more information about the current bilateral LO and multilateral agreements, visit the GSA website CN http://www.gsa.gov/portal/content/l03191. Information on the Open Skies agreements(U.S. Government Procured Transportation)and other specific a Cu country agreements may be accessed via the Department of State's website t3 http://www.state.gov/e/eeb/ ra/. e. If a foreign air carrier is anticipated to be used for any portion of travel funded under this Award,the recipient must receive prior approval from the Treasury. When requesting such approval,the recipient must provide a justification in December 2018 Page 33 Packet Pg. 1750 O.6.a accordance with guidance provided by 41 C.F.R. §301-10.142,which requires the recipient to provide Treasury with the following: name; dates of travel; origin LO and destination of travel; detailed itinerary of travel; name of the air carrier and U flight number for each leg of the trip; and a statement explaining why the recipient meets one of the exceptions to the regulations. If the use of a foreign air U 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 -119 U) the recipient improperly used a foreign air carrier. 0 16. Exoort Control 0 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 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 U 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, CU U including by foreign nationals. �- c. Definitions: c? i. Export-controlled items. Items(commodities, software,or technology), 0 that are subject to the EAR(15 C.F.R. §§730-774), implemented by the DOC's Bureau of Industry and Security.These are generally known as"dual-use"items, items with a military and commercial application. LO ii. Deemed Export/Re-export. The EAR defines a deemed export as a 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 technical experience acquired in the United States. If such a release occurs abroad, it is considered a deemed re-export to the foreign national's home country. Licenses from DOC may be required for deemed exports or re-exports. U) d. The recipient shall control access to all export-controlled items that it possesses or that comes into its possession in performance of this Award, to ensure that access to,or release of, such items are restricted,or licensed, as required by U applicable federal statutes, EOs, and/or regulations, including the EAR. LO N e. To the extent the recipient wishes to provide foreign nationals with access to ra export-controlled items,the recipient shall be responsible for obtaining any CU necessary licenses, including licenses required under the EAR for deemed U 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. c� December 2018 Page 34 Packet Pg. 1751 O.6.a g. Compliance with this Section V.15 will not satisfy any legal obligations the recipient may have regarding items that may be subject to export controls LO administered by other agencies such as the Department of State,which has U jurisdiction over exports of munitions items subject to the International Traffic in Arms Regulations(ITAR)(22 C.F.R. §§ 120-130), including releases of such U items to foreign nationals. h. The recipient shall include this clause, including this paragraph (i), in all lower tier transactions (subawards, contracts, and subcontracts) under this Award that may involve access to export-controlled items. -119 U) CU SUPPLEMENTAL STANDARD TERMS AND CONDITIONS-AWARDS UNDER THE DIRECT COMPONENT FOR ACQUISITION AND IMPROVEMENTS TO REAL PROPERTY 0 W ACQUISITION AND IMPROVEMENTS TO REAL PROPERTY 1. Comoliance with State.Local and Federal Reauirements The project must comply with all applicable federal laws and regulations, and with all 0 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 cCU design, bidding, construction, and operation of construction projects in compliance with all award requirements. The recipient must comply with, and must require all contractors and subcontractors,to comply with all federal, state, and local laws and regulations. The CU recipient must ensure compliance with special award conditions which may contain CU conditions that must be satisfied prior to advertisement of bids, start of construction,or U other critical event. CU a 2. IiU 0 Prior to receiving Treasury authorization to start construction,the recipient must furnish evidence, satisfactory to Treasury,that the recipient has acquired good and merchantable title free of all mortgages,foreclosable liens,or encumbrances,to all land, rights of way and easements necessary for the completion of the project. 0 0 3. Permitting Reauirements Prior to receiving Treasury authorization to start construction,the recipient must furnish evidence, satisfactory to Treasury, that recipient has received all federal, state and local permits necessary for the completion of the project. 4. Federal Interest in Real Prooertv "Federal interest" refers to real property that is acquired or improved, in whole or in part, CU 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 U 0) property(i.e.,the"federal interest"). LO N 76 5. Estimated Useful Life a CU 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 CU December 2018 Page 35 Packet Pg. 1752 O.6.a anticipates obtaining the benefits of the project pursuant to project purposes authorized by the RESTORE Act. For this award the recipient has proposed an Estimated Useful Life LO from the date of construction completion.Treasury's issuance of the grant agreement U represents its concurrence with the recipient's proposed Estimated Useful Life. U 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. -119 If Treasury determines that the recipient has failed or fails to meet its obligations under CU 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 0 a waiver thereof. 6. Commencement of Construction 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 ps 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, U Treasury must determine that the award of all contracts with associated costs are in compliance with the scope of the project and all terms and conditions of this award, and all necessary permits have been obtained, and the federal interest is secure. No construction funds may be drawn from ASAP without Treasury's written permission. If the recipient commences construction prior to Treasury's determination,the recipient proceeds at its own risk. U Treasury will only review contract amendments or change orders which change the 0 scope of a contract. 2M 7. Use of Real Property Encumbering real property on which there is a federal interest without prior Treasury p approval is an unauthorized use of the property and of project trust funds under this p award. See 2 C.F.R. §200.316. Real property or interest in real property may not be used for purposes other than the authorized purpose of the award without the express, prior written approval of Treasury,for as long as the federal government retains an interest in the property.The property must not be sold, conveyed, transferred, assigned, mortgaged, or in any other manner encumbered except as expressly authorized in writing by Treasury.The recipient must maintain facilities constructed or renovated with grant funds in a manner consistent with the purposes for which the funds were provided for the duration of the Estimated Useful Life. U) 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 U Treasury consistent with 2 C.F.R. §200.311. LO N 8. Recording the Federal Interest in the Real Property CU To document the federal interest, the recipient agrees to prepare and properly record a U "Covenant of Purpose, Use and Ownership" (Covenant), or, where a subrecipient is the title owner, to ensure that the subrecipient prepares and properly records a "Covenant of E 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 Packet Pg. 1753 O.6.a traditional mortgage lien in that it does not establish a traditional creditor relationship requiring the periodic repayment of principal and interest, or the ability of Treasury to LO foreclose on the real property at any time. Rather, pursuant to the Covenant, the U recipient and/or the subrecipient, as applicable, acknowledges that it holds title to the real property in trust for the public purposes of the financial assistance award and agrees, U 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 -119 U) include the name and current address of the recipient and subrecipient(if applicable), CU 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 0 be used for purposes consistent with the RESTORE Act; that it will not be mortgaged or used as collateral, sold or otherwise transferred to another party, without the written permission of Treasury; and that the federal interest cannot be subordinated, diminished, nullified or released through encumbrance of the property, transfer of the property to another party or any other action the recipient/subrecipient takes without the written permission of Treasury. CU b. The recipient agrees to provide to Treasury an attorney's title opinion as to the title U 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 76 that there are certain restrictions on the use and disposition of the real property CU 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 t3 project for which funds have been awarded. c. Treasury requires an opinion of counsel for the recipient to substantiate that the document has been properly recorded. P d. Failure to properly and timely file and maintain documentation of the federal interest may result in appropriate enforcement action, including, but not limited to, disallowance of the cost of the acquisition or improvement by Treasury. 0 e. The Federal Interest must be perfected and recorded/filed in accordance with state and/or local law concurrent with the acquisition of the real property, where an award includes real property acquisition, and for construction of buildings and projects to improve the real property, no later than the date construction and/or improvement work commences. f. When the Estimated Useful Life of the project is ended, the federal interest is CU extinguished and the federal government has no further interest in the real property. U Exclusions from the requirement that the federal interest on real property be recorded will LO be at Treasury's sole discretion. The types of projects for which Treasury may agree to this exclusion are those projects for which federal funds will not be used to fund the a construction of built structures, improvements to state parks, water and sewer lateral line CU projects affecting private properties, and shoreline stabilization projects. U 9. Administration.Operation and Maintenance The recipient agrees to administer,operate, and maintain the project for its Estimated December 2018 Page 37 Packet Pg. 1754 O.6.a Useful Life in the same manner in which it operates and maintains similar facilities and equipment owned by it, and in accordance with state and local standards, laws and LO CN regulations. The recipient must not be in breach of its obligations under this award except U to the extent the failure to fulfill any obligation is due to an Uncontrollable Force. "Uncontrollable Force" means an event beyond the reasonable control of, and without the L? 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: -119 U) a. Strikes or work stoppage; Cu b. Floods, earthquakes,or other natural disasters;terrorist acts;and a 0 c. Final orders or injunctions issued by a court or regulatory body having competent 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 unavailability of funds or financing, nor conditions of national or local economies or markets must be considered an Uncontrollable Force. Cu 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 Cu U 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 cj 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 0 days following the end of the reporting period. 2M 11. Insurance 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. 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 U threshold are as follows: 0) LO cN a. A bid guarantee from each bidder equivalent to five percent of the bid price. The 76 "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. E c� December 2018 Page 38 Packet Pg. 1755 O.6.a b. A performance bond on the part of the contractor for 100 percent of the contract price. A "performance bond" is one executed in connection with a contract to LO secure fulfillment of all the contractor's obligations under such contract. U 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. -119 13. Floodolain Reauirements CU CU 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 0 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 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 environmental assessment process used as the vehicle for public notice, involvement, and explanation per 44 C.F.R. §9.8(2). CU In addition, prior to Treasury's authorization to commence construction of structures U and/or buildings within a designated 100-year floodplain, the recipient must provide evidence satisfactory to Treasury of the following: CU a CU a. Floodplain Protection: That the project engineer/architect has certified that the U project facility will be adequately protected from damage by floods in this area of CU apparent potential flood hazard. The evidence must include adequate t3 justification for the Base Flood Elevation designation for the financial assistance award site. 0 b. Floodplain Insurance: That the community is participating in the National Flood 2M Insurance Program, and that as required, the recipient will purchase flood 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; U 0) LO 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. § 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. 1756 O.6.a Employment Opportunity Construction Contract Specifications" (or cause them to be included, if appropriate)in all federally assisted contracts and LO subcontracts. The goals and timetables for minority and female participation U may not be less than those published pursuant to 41 C.F.R. §60-4.6. U 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 that requires the enforcement of Davis-Bacon Act-related provisions.When required, all prime construction contracts in excess of$2,000 awarded by the non-Federal entity must include a provision for compliance with the Davis-Bacon Act(40 U.S.C. §§3141-3144, 0 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 addition contracts must be required to pay wages not less than once a week. 0 The non-Federal entity must place a copy of the current prevailing wage determination 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. U 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 Y contractor or subrecipient must be prohibited from inducing, by any means, any person 0 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. 16. Eaual O000rtunity Clause Pursuant to 41 C.F.R. §60-1.4(b), Federally assisted construction contracts,for 0 construction which is not exempt from the requirements of the equal opportunity clause, 41 C.F.R. Part 60-1—Obligations of Contractors and Subcontractors, [t]he[recipient] hereby agrees that it will incorporate or cause to be incorporated into any contract for 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 U) following equal opportunity clause: 41 C.F.R.§60-1.4 Equal opportunity clause. U 0) LO During the performance of this contract, the contractor agrees as follows: (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 E 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 Packet Pg. 1757 O.6.a F Employment, upgrading, demotion, or transfer, recruitment or recruitment advertising; LO cN layoff or termination;rates of pay or other forms of compensation;and selection for U training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. (2) The contractor will, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration -119 for employment without regard to race, color, religion, sex, sexual orientation, gender identity, or national origin. (3) The contractor will not discharge or in any other manner discriminate against any 0 employee or applicant for employment because such employee or applicant has inquired about, discussed, or disclosed the compensation of the employee or applicant or another employee or applicant. This provision shall not apply to instances in which an employee who has access to the compensation information of other employees or applicants as a part of such employee's essential job functions discloses the compensation of such other employees or applicants to individuals who do not 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 U action, including an investigation conducted by the employer, or is consistent with the contractor's legal duty to furnish information. W 76 (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 76 contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 0 (5) The contractor will comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 0 (6) The contractor will furnish all information and reports required by Executive Order 0 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 U invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, LO regulation, or order of the Secretary of Labor, or as otherwise provided by law. (8) The contractor will include the portion of the sentence immediately preceding U 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 Packet Pg. 1758 O.6.a 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, LO including sanctions for noncompliance: U 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. -119 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 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 c 0 any agency, instrumentality or subdivision of such government which does not participate in work on or under the contract. The applicant agrees that it will assist and cooperate actively with the administering agency and the Secretary of Labor in obtaining the compliance of contractors and subcontractors with the equal opportunity clause and the rules, 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 U 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 W securing compliance. The applicant further agrees that it will refrain from entering into any contract U 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 0 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 Executive Order. In addition, the applicant agrees that if it fails or refuses to comply 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, 0 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 CU regulations adopted new enforceable accessibility standards called the"2010 ADA Standards for Accessible Design" (2010 Standards).The 2010 Standards are an U acceptable alternative to the Uniform Federal Accessibility Standards(UFAS).TreasuryLO deems compliance with the 2010 Standards to be an acceptable means of complying with the Section 504 accessibility requirements for new construction and alteration CU projects. All new construction and alteration projects must comply with the 2010 CU Standards. U c� December 2018 Page 42 Packet Pg. 1759 0.6.a F c14 U RESTORE ACT U FINANCIAL ASSISTANCE STANDARD TERMS AND CONDITIONS AND PROGRAM-SPECIFIC TERMS AND CONDITIONS U.S. Department of the Treasury 0 December 2018 r. CU CU 0 0 U) pp t) k 0) LO U� E U Packet Pg. 1760 ��"� �� "^�^�^�"� ~, �~vv,n "^�,n "w CN Lo RESTORE ACT FINANCIAL ASSISTANCE STANDARD TERMS AND CONDITIONS AND PROGRAM- u SPEgF|�� TER|K8S/�ND ��gND|T|gNS ----------------------------------. 1 cn 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 -119 EXCELLENCE RESEARCH GRANTS PROGRAM ........................................................................ 3 m STANDARD TERMS AND CONDITIONS-AWARDS UNDER THE DIRECT COMPONENT AND AWARDS UNDER THE CENTERS gF EXCELLENCE RESEARCH GRANTS PROGRAM C FINANCIAL REQUIREMENTS........................................................................................................4 �~ O RECIPIENT REPORTING AND AUDIT REQUIREMENTS 7 — --------------------� E FINANCIAL MANAGEMENT SYSTEM AND INTERNAL CONTROL REQUIREMENTS ...............y = F RECORDS RETENTION REQUIREMENTS................................................................................. 10 G THE FEDERAL GOVERNMENT'S RIGHT TO INSPECT,AUDIT,AND INVESTIGATE.............. 11 m L) H AWARD 0GBURGEK4ENT------------------------------------' 12 n� | EFFECT OFA GOVERNMENT SHUTDOWN ON DISBURSEMENTS AND THE AVAILABILITY w C>F TREASURY PERSONNEL...................................................................................................... 13 J NC>T|F|CAT|C>NGAND PR|C>RAPPRO\A\LG--------------------------. 13 `= KPROPERTY................................................................................................................................... 14 L AMENDMENTS AND CLOSEOUT................................................................................................ 15 0� K4 REMEDIES FOR NONCOMPLIANCE........................................................................................... 18 NDEBTS........................................................................................................................................... 17 � C> NON-DISCRIMINATION REQUIREMENTS.................................................................................. 18 ' P REQU|REK4ENTTO CHECK DEBARMENT AND SUSPENSION GTATUGOFGUBREC|P|ENTG. CONTRACTORS, SUBCONTRACTORS AND VENDORS ..........................................................20 C> ORUGFREEVVORKPLACE-----------------------------------.20 mm R LOBBYING RESTRICTIONS.........................................................................................................20 cn SPROCUREMENT...........................................................................................................................22 T RESEARCH INVOLVING HUMAN SUBJECTS............................................................................24 0 U ENV|RONK4ENTALREQU|REK4ENTG------------------------------24 � V MISCELLANEOUS REQUIREMENTS AND PROVISIONS..........................................................25 SUPPLEMENTAL STANDARD TERMS AND CONDITIONS-AWARDS UNDER THE DIRECT — COMPONENT FOR ACQU|STgN AND IMPROVEMENTS Tg REAL PROPERTY �� 0.6.a RESTORE ACT FINANCIAL ASSISTANCE STANDARD TERMS AND LO CONDITIONS AND PROGRAM-SPECIFIC TERMS AND CONDITIONS CN U U PREFACE M The grant agreement is comprised of the following documents: -119 1. A Notice of Award from the Department of the Treasury("Treasury"); 2. The RESTORE Act Financial Assistance Standard Terms and Conditions("Standard Terms and Conditions"); 0 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; 5. The approved scope of work; 6. The approved budget; and, U 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 U regulations,executive orders(EOs), Office of Management and Budget(OMB)circulars, Standard Terms and Conditions, Program-Specific Terms and Conditions, and any Special Award Conditions of this federal financial assistance award ("Award"), as applicable, in addition to the certifications and assurances required at the time of application.This Award is subject to the laws and regulations of the United States. Any inconsistency or conflict in Standard Terms and Conditions, Program-Specific Terms and Conditions, and any Special Award Conditions of this Award will be resolved according to the following order of precedence:federal laws,federal regulations, applicable notices published in the Federal Register, EOs, OMB circulars, Treasury's Standard Terms and Conditions, Program-Specific Terms and Conditions, and 0 any Special Award Conditions. Special Award Conditions may amend or take precedence over Standard Terms and Conditions and Program-Specific Terms and Conditions. Some of these Standard Terms and Conditions contain, by reference or substance, a summary of pertinent federal statutes,federal regulations published in the Federal Register(Fed. Reg.)or Code of Federal Regulations(C.F.R.), EOs, or OMB circulars. In particular,these Standard Terms and Conditions incorporate many of the provisions contained in OMB's Uniform Guidance for Grants and Cooperative Agreements(2 C.F.R. Part 200),which supersedes former OMB Circular A-102 (the former grants management common rule), OMB Circular A-133(single audit requirements), and all former OMB circulars containing the cost principles for grants and cooperative agreements. To the extent that it is a _ summary, such a provision is not in derogation of, or an amendment to, any such statute, regulation, EO, or OMB circular. Unless a definition is provided here, definitions can be found in the RESTORE Act(Public 0) Law No. 112-141 (July 6, 2012)), Treasury's RESTORE Act regulations (79 Fed. Reg. 48039 LO N (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 c� December 2018 Page 1 Packet Pg. 1762 O.6.a A PROGRAM-SPECIFIC TERMS AND CONDITIONS-AWARDS UNDER THE DIRECT COMPONENT LO cN In addition to all the Standard Terms and Conditions described in Sections C through V of this U document, all Treasury RESTORE Act awards made under the Direct Component include the U following Program-Specific Terms and Conditions in this Section A: 1. Administrative Costs -119 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 c 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. 0 2. Oil Spill Liability Trust Fund The recipient must not seek any compensation for the approved program or project from the Oil Spill Liability Trust Fund. If the recipient is authorized to make subawards, the recipient must not use Direct Component funds to make subawards to fund activities for 76 which any claim for compensation was filed and paid out by the Oil Spill Liability Trust Fund after July 6, 2012. Y a 3. Remedies for Noncompliance 0 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 in Section M of these Standard Terms and Conditions, per 31 C.F.R. § 34.804, 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 c for activities, projects,or programs until the recipient has either(1)deposited an c amount equal to the amount expended for the ineligible activities in the Trust Fund, or(2)Treasury has authorized the recipient to expend an equal amount from the recipient's own funds for an activity that meets the requirements of the RESTORE Act. b. If Treasury determines the recipient has materially violated the terms of this Award, Treasury will make no additional funds available to the recipient from any ldc part of the Trust Fund until the recipient corrects the violation. U) U 0) LO N U c� December 2018 Page 2 Packet Pg. 1763 O.6.a B PROGRAM-SPECIFIC TERMS AND CONDITIONS-AWARDS UNDER THE CENTERS OF EXCELLENCE RESEARCH GRANTS PROGRAM LO In addition to all the Standard Terms and Conditions described in Sections C through V of this U document, all Treasury RESTORE Act awards under the Centers of Excellence Research Grants U 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), -119 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 0 negotiated indirect cost rate. b. Acquisition of land or interests in land. 2. Notifications 0 0 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: U 0 i. Name of the Center of Excellence and the entity selected to administer it, a including the names of member organizations if the entity is a consortium; ii. The DUNS Number of the entity; iii. Location of the entity; Y a iv. Discipline or disciplines assigned to the Center of Excellence; 0 V. Description of the actual public input process undertaken, including a summary of any comments received and a description of how they were addressed;and 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 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 ldc In addition to the reporting requirements in Section D, the recipient must submit an annual U) 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 U consortium,the annual report must also identify the consortium members. The recipient LO must provide a copy of this report to Treasury when it submits the report to the Council. 76 U c� December 2018 Page 3 Packet Pg. 1764 O.6.a STANDARD TERMS AND CONDITIONS F LO AWARDS UNDER THE DIRECT COMPONENT AND THE CENTERS OF EXCELLENCE RESEARCH CN GRANTS PROGRAM U M C FINANCIAL REQUIREMENTS 1. Applicable Regulations -119 This Award is subject to the following federal regulations and requirements. This list is not CU exclusive: a. Uniform Administrative Requirements, Cost Principles, and Audit Requirements 0 for Federal Awards, 2 C.F.R. Part 200, Subparts A through F, and any Treasury regulations incorporating these requirements. b. Treasury's RESTORE Act regulations, 31 C.F.R. Part 34. c. Governmentwide Debarment and Suspension, 31 C.F.R. Part 19. d. Governmentwide Requirements for Drug-Free Workplace, 31 C.F.R. Part 20. e. New Restrictions on Lobbying, 31 C.F.R. Part 21. f. Reporting Subaward and Executive Compensation Information,2 C.F.R. Part 170. 76 g. Award Term related to Trafficking in Persons, 2 C.F.R. Part 175. U 2. Scone of Work U a The recipient must only use funds obligated and disbursed under this Award for the 0 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 p' amendment explicitly modifying the approved scope of work to include those activities. 0 0 3. Period of Performance: Pre-award Costs The recipient must use funds obligated and disbursed under this Award only during the period of performance specified in the Notice of Award,which is the time period during which the recipient may incur new obligations and costs to carry out the work authorized under this Award. The only exception is for costs incurred prior to the effective date of this Award, which are allowable only if: ldc a. Treasury specifically authorized these costs in writing on or after the issuance U) date of this Award; M b. Incurring these costs was necessary for the efficient and timely performance of M the scope of work; and 0, LO c. These costs would have been allowable if incurred after the date of the award. 76 4. Indirect Costs U 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). E c� December 2018 Page 4 Packet Pg. 1765 O.6.a 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 LO cognizant agency(defined as the federal agency that is responsible for U reviewing, negotiating, and approving cost allocation plans or indirect cost proposals, see 2 C.F.R. §200.19)and must be included in the recipient's budget. c. Unallowable direct costs are not recoverable as indirect costs. d. The maximum dollar amount of allocable indirect costs charged to this Award shall be the lesser of: -119 i. The line item amount for the indirect costs contained in the approved budget, including all budget revisions approved in writing by the Treasury;or, 0 ii. The total indirect costs allocable to this Award based on the indirect cost rate approved by a cognizant or oversight federal agency and applicable to the period in which the cost was incurred, provided that the rate is approved on or before the Award end date. 0 5. Cost Sharing and Budget Limitations a. The recipient is not required to contribute any matching funds. t) 0 b. The recipient shall not request or receive additional funding beyond what was a included in the approved application for the attached approved scope of work from any federal or non-federal source without first notifying Treasury. CU t3 CU 6. Program Income Y a Any program income (defined at 2 C.F.R. §200.80)generated by the recipient or the 0 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 o' Special Award Conditions, i.e. solely to accomplish the approved scope of work. 0 0 7. Incurring Costs or Obligating Federal Funds Beyond the Expiration Date The recipient must not incur costs or obligate funds under this Award for any purpose pertaining to the operation of the activity, project,or program beyond the end of the period of performance. The only costs which are authorized for a period up to 90 days following the end of the period of performance are those strictly associated with close-out activities. Close-out activities are normally limited to the preparation of final progress, financial, and required audit reports unless otherwise approved in writing by Treasury. Under extraordinary circumstances, and at Treasury's sole discretion, Treasury may approve the recipient's request for an extension of the 90-day closeout period. t3 0) 8. Tax Refunds LO N 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 L) of RESTORE Act funds in accordance with 2 C.F.R. Part 200, subpart E (Cost Principles). The recipient agrees to contact Treasury immediately upon receipt of these refunds. c� December 2018 Page 5 Packet Pg. 1766 O.6.a 9. Subawards a. If the recipient is permitted to make subawards under this award, the recipient N must execute a legally binding written agreement with the subrecipient which includes a budget by federal object class categories or fixed amount (2 CFR U 200.332) if approved by Treasury.This agreement must incorporate all the terms and conditions of this Award, including any Special Award Conditions, and must include the information at 2 C.F.R. §200.331. The recipient must perform all responsibilities required of a pass-through entity, as specified in 2 C.F.R. Part 200. -119 U) 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 0 subrecipient monitoring strategy, as described in 2 C.F.R. §200.331(b). 0 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 and Conditions, Program-Specific Terms and Conditions, and any Special Award Conditions, and to ensure that performance goals are achieved. d. The recipient must provide training and technical assistance to the subrecipient U as necessary. e. The recipient must, if necessary,take appropriate enforcement actions against 76 non-compliantsubrecipients. U 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 U Award, including any Special Award Conditions, to all lower tier subawards through a legally binding written agreement, and that a subrecipient who makes 0 a subaward carries out all the responsibilities of a pass-through entity described at 2 C.F.R. Part 200. 2M g. The recipient must maintain written standards of conduct governing the performance of its employees involved in executing this Award and administration of subawards. 0 0 i. No employee, officer, or agent shall participate in the selection, award,or administration of a subaward supported by federal funds if a real or apparent conflict of interest would be involved. Such a conflict would arise when the employee,officer, or agent, any member of his or her immediate family, his or her partner, or an organization in which he/she serves as an officer or which employs or is about to employ any of the parties mentioned in this section, has a financial interest or other interest in the organization selected or to be selected for a subaward. CU 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 interestLO is not substantial or the gift is an unsolicited item of nominal value. A financial interest may include employment, stock ownership, a creditor or 76 debtor relationship,or prospective employment with the organization CU selected or to be selected for a subaward. U iv. The standards of conduct must provide for disciplinary actions to be applied for violations of such standards by officers, employees,or agents E of the recipient. CU December 2018 Page 6 Packet Pg. 1767 O.6.a F D RECIPIENT REPORTING AND AUDIT REQUIREMENTS LO U 1. Financial Reports U a. The recipient must submit a"Federal Financial Report'(SF-425)on a semi- annual basis for the periods ending March 31 and September 30 (or June 30 and December 31, if instructed by Treasury),or any portion thereof, unless otherwise specified in a special award condition. Reports are due no later than 30 days following the end of each reporting period.A final SF-425 must be submitted -119 U) within 90 days after the end of the period of performance. b. In the remarks section of each SF-425 submitted, the recipient must describe by federal budget class category the use of all funds received by the recipient and 0 subrecipient (if applicable). 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. d. The recipient must submit all financial reports via http://www.GrantSolutions.gov, unless otherwise specified by Treasury in writing. CU U 2. Performance Reports 76 a. The recipient must submit an SF-PPR("Performance Progress Report"), a "RESTORE Act Status of Performance Report," (standard format provided by U Treasury, OMB Approval No. 1505-0250)and an updated "RESTORE Act �- Milestones Report," (standard format provided by Treasury,OMB Approval No. U 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 0 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 performance. b. The recipient must submit all performance reports in (a)above, via 0 w http://ww.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); CU 2) Summarize any key accomplishments, including milestones M completed for the reporting period; 0, LO 3) List any contracts awarded during the reporting period, along with the name of the contractor and its principal, the DUNS 76 number of the contractor, the value of the contract,the date of CU award, a brief description of the services to be provided, and U whether or not local preference was used in the selection of the contractor;and E 4) If the recipient or any subrecipient is authorized to make December 2018 Page 7 Packet Pg. 1768 O.6.a subawards, list any subawards executed during the reporting period, along with the name of the entity and its principal, the LO CN DUNS number of the entity, the value of the agreement,the L) date of award, and a brief description of the scope of work. t3 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 undertaken to attenuate these risks or controversies; and -119 U) Cu 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 0 recipient should propose a revised schedule and update its milestone report. c) In Section B-3: Summarize any significant findings or events, including any data compiled, collected,or created, if applicable. d) In Section B-4: Cu t3 Describe any activities to disseminate or publicize results of the activity, project,or program, including data and its repository and citations for W publications resulting from this Award. Cu a e) In Section B-5: Cu t3 1) Describe all efforts taken to monitor contractor and/or Cu subrecipient performance, including site visits,during the reporting period. 2) For subawards, indicate whether the subrecipient(s) submitted an audit to the recipient, and if so,whether the recipient issued a management decision on any findings; and 3) For awards where Davis-Bacon Act provisions are applicable, c indicate whether the recipient and/or subrecipient(s) received p and reviewed certified weekly payroll records and/or whether the recipient or subrecipient(s)conducted labor interviews. 4) Describe any other activities or relevant information not already provided. f) In Section B-6: Summarize the activities planned for the next reporting period. Cu ii. "RESTORE Act Status of Performance Report": Instructions are _ provided on the report form. M iii. "RESTORE Act Milestones Report": Instructions are provided on the LO CN report form. Cu 3. Interim Reporting on Significant Developments per 2 C.F. R. &200.328(d) U 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. 1769 O.6.a become known: i. Problems, delays, or adverse conditions which will materially impair the N ability to meet the objective of this Award. This disclosure must include a statement of the action taken,or contemplated, and any assistance U needed to resolve the situation. ii. Favorable developments,which enable meeting time schedules and objectives sooner or at less cost than anticipated or producing more or different beneficial results than originally planned. -119 U) b. The recipient must: CU i. Promptly provide to Treasury and the Treasury Inspector General a copy 6 of all state or local inspector general reports, audit reports other than a 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. ii. Immediately notify Treasury and the Treasury Inspector General of any a indication of fraud,waste, abuse,or potentially criminal activity pertaining to grant funds. iii. Promptly notify Treasury upon the selection of a contractor or subrecipient performing work under this Award, and include the name and DUNS number for the subrecipient or contractor, and the total 76 amount of the contract or subaward. 4. Audit Reauirements U a 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. 5. Ooerational Self-Assessment a 0 The recipient must submit a revised Operational Self-Assessment form no later than June 30th of each calendar year for the duration of this Award. Only one Operational Self- Assessment must be submitted per recipient per year. In completing the form, the 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. U) E FINANCIAL MANAGEMENT SYSTEM AND INTERNAL CONTROL REQUIREMENTS 1. Recipients that are states must expend and account for Award funds in accordance with L) 0) the applicable state laws and procedures for expending and accounting for the state's LO N own funds. All other recipients must expend and account for Award funds in accordance with federal laws and procedures. In addition, all recipients'financial management systems must be sufficient to: t3 a. Permit the preparation of accurate, current, and complete SF-425, SF-PPR, RESTORE Act Milestones Report, and RESTORE Act Status of Performance Reports, as well as reporting on subawards, if applicable, and any additional reports required by any Special Award Conditions; December 2018 Page 9 Packet Pg. 1770 O.6.a 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 LO local requirements, including the RESTORE Act,Treasury RESTORE Act U regulations,these Standard Terms and Conditions, Program-Specific Terms and Conditions, and any Special Award Conditions. U 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 -119 U) 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, 0 as well as all awards, authorizations,obligations, unobligated balances,assets, expenditures, program income, and interest earned on federal advances, and allow users to tie these records to source documentation such as cancelled checks, paid bills, payroll and attendance records, contract and subaward agreements,etc. f. Ensure effective control over, and accountability for, all federal funds, and all property and assets acquired with federal funds.The recipient must adequately safeguard all assets and ensure that they are used solely for authorized C3 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 t3 the terms and conditions of this Award. t3 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 0 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 in"Standards for Internal Control in the Federal Government" issued by the Comptroller General of the United States or the"Internal Control Integrated Framework", issued by the Committee of Sponsoring Organizations of the Treadway Commission (COSO). The 0 recipient must evaluate and monitor its compliance, and the compliance of any subrecipients,with the RESTORE Act,Treasury's RESTORE Act regulations,these Standard Terms and Conditions, Program-Specific Terms and Conditions, and any Special Award Conditions, and promptly remedy any identified instances of noncompliance.When and if an instance of noncompliance cannot be remedied by the recipient,the recipient must promptly report the instance of noncompliance to Treasury and the Treasury Inspector General,followed by submitting a proposed mitigation plan to Treasury. U) 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. 0, LO N 76 F RECORDS RETENTION REQUIREMENTS 1. The recipient must retain all records pertinent to this Award for a period of three years, L) beginning on a date as described in 2 C.F.R. §200.333. While electronic storage of records(backed up as appropriate) is preferable, the recipient has the option to store E records in hardcopy(paper)format. For the purposes of this section,the term"records" c� includes but is not limited to: December 2018 Page 10 Packet Pg. 1771 O.6.a a. Copies of all contracts and all documents related to a contract, including the Request for Proposal (RFP), all proposals/bids received, all meeting minutes or LO other documentation of the evaluation and selection of contractors, any disclosed U conflicts of interest regarding a contract, all signed conflict of interest forms, all conflict of interest and other procurement rules governing a particular contract, U and any bid protests; b. Copies of all subawards and all documents related to a subaward. For competitively selected subawards, documents may include those relevant to and required by the recipient's or subrecipient's selection process such as the funding opportunity announcement or equivalent, all applications received, all U) meeting minutes or other documentation of the evaluation and selection of subrecipients, any disclosed conflicts of interest regarding a subaward, and all signed conflict of interest forms; 0 c. All documentation of site visits, reports, audits, and other monitoring of 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 Administrative Costs charged to this Award; 0 e. All supporting documentation for the performance outcome and other information reported on the recipient's SF-425s, SF-PPRs, RESTORE Act Milestones U 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 U with Award funds is started before the expiration of the three year period, the records 76 must be retained until all litigation, claims, investigations,or audit findings involving the 9 9 9 9 records have been resolved and final action taken. 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 that the contractor retain all records in compliance with 2 C.F.R. §200.333. 4. If the recipient is authorized to make subawards,the recipient must include in its legal c agreement with the subrecipient a requirement that the subrecipient retain all records in c compliance with 2 C.F.R. §200.333. 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 U also includes timely and reasonable access to the recipient's personnel for the LO purpose of interview and discussion related to such documents.This right of access shall continue as long as records are required to be retained. 76 b. If the recipient is authorized to make subawards,the recipient must include in its U 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. 1772 O.6.a to this Award, in order to make audits, investigations, examinations, excerpts, transcripts, and copies of such documents. This right also includes timely and LO reasonable access to the subrecipient's personnel for the purpose of interview U and discussion related to such documents. This right of access shall continue as long as records are required to be retained (see Section F above). U If the recipient is authorized to enter into contracts to complete the approved + scope of work,the recipient must include in its contract a requirement that the contractor make available to Treasury,the Treasury Office of Inspector General, and the Government Accountability Office any documents, papers or other records, including electronic records, of the contractor that are pertinent to this U) Award, in order to make audits, investigations, examinations, excerpts, CU 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 0 discussion related to such documents. This right of access shall continue as long as records are retained (see Section F above). 2. Access to the Recipient's Sites. The Treasury,the Treasury Office of Inspector General, and Government Accountability Office shall have the right during normal business hours to conduct announced and p 0 unannounced onsite and offsite physical visits of recipients and their subrecipients and contractors corresponding to the duration of their records retention obligation for this cj Award. 76 H AWARD DISBURSEMENT CU t3 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 Y require Award funds to be disbursed on a reimbursement basis either with or without a pre-approval of drawdown requests: (1)Treasury determines that the recipient does 0 not meet the financial management system standards (see Section E)included in these Standard Terms and Conditions, (2) Treasury determines that the recipient has 2M not established procedures that will minimize the time elapsing between the transfer of funds and disbursement, or(3) Treasury determines that the recipient is in noncompliance with the RESTORE Act, Treasury's RESTORE Act regulations,other p pertinent federal statutes,these Standard Terms and Conditions, Program-Specific p 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 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. -ldc U) 3. To the extent available, the recipient must disburse funds available from program income, rebates, refunds, contract settlements, audit recoveries, and interest earned on such funds before requesting additional cash payments of Award funds. L) 0) LO 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 CU payments, the recipient must first enroll in ASAP.gov. Treasury creates and funds CU account(s)for recipients in ASAP.gov, and recipients access their account(s)online to t3 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. c� 5. Requirements applicable to recipients that are states: Payment methods of state December 2018 Page 12 Packet Pg. 1773 O.6.a agencies or instrumentalities must be consistent with Treasury-State agreements under the Cash Management Improvement Act, 31 C.F.R. Part 205"Rules and Procedures for LO Efficient Federal-State Funds Transfers,"and Treasury Financial Manual (TFM)4A-2000 U Overall Disbursing Rules for All Federal Agencies. U 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 feasible to the actual disbursements by the parish or county for activity, project,or program costs and the proportionate share of any allowable indirect costs. Advances should not be drawn down more than three business days before expenditure. 0 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 Government-insured interest-bearing accounts whenever possible. The recipient is not required to maintain a separate depository account for receiving Award funds. If the recipient maintains a single depository account where advances are commingled with funds from other sources,the recipient must maintain on its books a separate subaccount U 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). U 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; 0 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 0 ro c. The depository would require an average or minimum balance so high that it would not be feasible within the expected federal and non-federal cash resources. 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. U 0) LO N J NOTIFICATIONS AND PRIOR APPROVALS 1. Notifications U t3 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 E anticipated or occurs: December 2018 Page 13 Packet Pg. 1774 O.6.a a. A vacancy or change to key personnel listed in the application. 0) b. Any termination of a subaward prior to the expiration of the agreement with the CN subrecipient. c. Except for changes described in (2)below,the recipient may revise the budget U 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 constitute Treasury's approval of the revised budget. -119 U) 2. Prior Aoorovals 0 a. The recipient must obtain prior written approval from Treasury whenever any of a the following actions is anticipated: i. A change in the scope or the objective of the activity, project, or program (even if there is no associated budget revision requiring prior written approval); ii. A need to extend the period of performance; iii. A need for additional federal funds to complete the activity, project, U or program; as iv. The transfer of funds among direct cost categories or programs, 76 functions, and activities if this Award exceeds the Simplified Acquisition Threshold (defined at 2 C.F.R. §200.88)and the U cumulative amount of such transfers exceeds or is expected to �- exceed 10 percent of the total budget as last approved by Treasury; V. The subawarding,transferring or contracting out of any work under this Award (this provision does not apply to the acquisition of supplies, material, equipment or general support services), unless described in the application and approved in this Award.; vi. Any transfer between the non-construction and construction activities;and a 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. b. If requesting a no-cost extension to this Award, the request must be made no less than 30 days prior to the end of the period of performance for this Award. Any extension of the period of performance requires prior written approval from Treasury. U) CU K PROPERTY U 1. General Reauirements LO CN 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. c� December 2018 Page 14 Packet Pg. 1775 O.6.a 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 acquired under this Award in accordance with state laws and U procedures. ii. Supplies: If the recipient has a residual inventory of unused supplies exceeding$5,000 in total aggregate value upon termination or completion of the activity, project,or program and the supplies are not -119 needed for any other federal award,the recipient must report the value CU 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 0 Performance. b. Requirements that are applicable to recipients that are not states: i. Equipment and Supplies: During the period of performance,the recipient must seek disposition instructions from Treasury for equipment and/or unused or residual supplies acquired under this Award if the current fair market value of the equipment and/or unused or CU U residual supplies is greater than $5,000 per unit. The recipient must seek disposition instructions before disposing of the property by W 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 U to Treasury a completed SF-428 Tangible Personal Property Report and SF-428-8 Final Report Form if the recipient retains any equipment with a current fair market value greater than $5,000 per unit or a residual inventory of unused supplies exceeding $5,000 in total aggregate value upon termination or completion of the activity, project, or program and the equipment and/or supplies are not needed for as any other federal award. 0 0 L AMENDMENTS AND CLOSEOUT 1. Amendments a. The terms of this Award may be amended with the written approval of the recipient and Treasury. b. Treasury reserves the right to amend the terms of this Award if required by federal law or regulation. U) c. Amendments must be requested in writing, and must include an explanation for the reason this Award should be amended. t3 0) 2. Closeout LO 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. 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 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. 1776 O.6.a must describe by federal budget class category the final use of all funds received by the recipient and subrecipient(if applicable). LO N U c. The recipient must liquidate all obligations incurred under this Award not later U than 90 calendar days after the end of the period of performance, unless the recipient requests, and Treasury approves, an extension. d. The recipient must promptly refund any balances of unobligated cash that Treasury paid. -119 U) e. Following receipt of reports in paragraph (a)of this section, Treasury will make CU upward or downward adjustments to the allowable costs, and then make prompt payment to the recipient for allowable, unreimbursed costs. 0 0 f. The closeout of this Award does not affect any of the following: 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 of later refunds, corrections,or other transactions including final indirect 0 cost rate adjustments; iii. The recipient's obligations regarding audits, property management and CU U disposition(if applicable),and records retention. 76 M REMEDIES FOR NONCOMPLIANCE U 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- U Specific Terms and Conditions, or any Special Award Conditions,Treasury may take any of the following actions(in addition to the remedies in Section A.3, above, applicable to 0 Direct Component awards): a. Impose additional Special Award Conditions such as: i. Allowing payment only on a reimbursement basis, with pre-approval of drawdown requests, ii. Requiring additional reporting or more frequent submission of the SF- 425, SF-PPR, or RESTORE Act Status of Performance Report, iii. Requiring additional activity, project,or program monitoring, iv. Requiring the recipient or one or more of its subrecipients to obtain technical or management assistance,and/or V. Establishing additional actions that require prior approval; b. Temporarily withhold payments pending correction of the noncompliance; c. Disallow from funding from this Award all or part of the cost of the activity or action not in compliance; U 0) LO d. Wholly or partly suspend or terminate this Award; e. Withhold additional Awards; and/or 76 f. Initiate suspension or debarment proceedings as authorized under 2 C.F.R. Part U 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. 1777 O.6.a will have 30 calendar days to respond and provide information and documentation contesting Treasury's proposed determination or suggesting an alternative remedy. LO Treasury will consider any and all information provided by the recipient and issue a final U determination in writing,which will state Treasury's final findings regarding noncompliance and the remedy to be imposed. U 2. In extraordinary circumstances, Treasury may require that any of the remedies above take effect immediately upon notice in writing to the recipient. In such cases, the recipient may contest Treasury's determination or suggest an alternative remedy in writing to Treasury, and Treasury will issue a final determination. -119 U) 3. Instead of, or in addition to, the remedies listed above, Treasury may refer the CU 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 0 General. 0 4. Treasury may terminate this Award in accordance with 2 C.F.R. §200.339. Requests for termination by the recipient must also be in accordance with 2 C.F.R. §200.339. Such requests must be in writing and must include the reasons for such termination, the effective date, and in the case of partial termination, the portion to be terminated. If Treasury determines that the remaining portion of this Award will not accomplish the 0 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 U 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 U suspension or termination or subsequently. However, costs during suspension or after termination are allowable if: (1)the costs result from obligations which were properly Y incurred by the recipient before the effective date of suspension or termination, and are 0 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. 2M N DEBTS 0 1. Payment of Debts Owed the Federal Government a. Any funds paid to the recipient in excess of the amount to which the recipient is finally determined to be authorized to retain under the terms of this Award constitute a debt to the federal government. b. Any debts determined to be owed the federal government must be paid promptly by the recipient. A debt is delinquent if it has not been paid by the date specified in Treasury's initial written demand for payment, unless other satisfactory arrangements have been made. Interest, penalties, and administrative charges CU (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 U debt that is more than 180 days delinquent to Treasury's Bureau of the FiscalLO Service for debt collection services. c. The minimum annual interest rate to be assessed on any debts is the Department of the Treasury's Current Value of Funds Rate (CVFR).The CVFR is available U online at htt2s://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. E c� d. Penalties on any debts shall accrue at a rate of not more than 6 percent per year December 2018 Page 17 Packet Pg. 1778 O.6.a or such other higher rate as authorized by law. e. Administrative charges,that is, the costs of processing and handling a delinquent N debt, shall be determined by Treasury. f. Funds for payment of a debt must not come from other federally sponsored U programs.Verification that other federal funds have not been used will be made, cn e.g., during on-site visits and audits. 2. Effect of Judgment Lien on Eligibility for Federal Grants. Loans.or Programs -119 U) 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 0 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, until the judgment is paid in full or otherwise satisfied. 0 O NON-DISCRIMINATION REQUIREMENTS No person in the United States shall, on the ground of race, color, national origin, handicap, age, U 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 76 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. U 1. Statutory Provisions Y a a. Title VI of the Civil Rights Act of 1964 (42 U.S.C. §§2000d et seq.)prohibits 0 discrimination on the grounds of race, color, or national origin under programs or activities receiving federal financial assistance; 2M b. Title IX of the Education Amendments of 1972 (20 U.S.C. §§ 1681 et seq.) prohibits discrimination on the basis of sex under federally assisted education programs or activities; c 0 c. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. §794) prohibits discrimination on the basis of handicap under any program or activity receiving or benefitting from federal assistance; d. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§6101 et seq.), prohibits discrimination on the basis of age in programs or activities receiving federal financial assistance; e. The Americans with Disabilities Act of 1990, as amended (42 U.S.C. §§ 12101 et -ldc U) seq.)("ADA"), including the ADA Amendments Act of 2008 (Public Law 110-325, CU ("ADAAA"), prohibits discrimination on the basis of disability under programs, activities, and services provided or made available by state and local U governments or instrumentalities or agencies thereto, as well as public or private LO entities that provide public transportation; f. Any other applicable non-discrimination law(s). 76 CU 2. Regulatory Provisions U 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. 1779 O.6.a activities receiving federal financial assistance; b. Treasury Title IX regulations, 31 C.F.R. Part 28, implement Title IX of the N Education Amendments of 1972 (20 U.S.C. §§ 1681 et seq.)which prohibits discrimination on the basis of sex under federally assisted education programs U 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. -119 U) CU 3. Other Provisions a. Parts II and III of EO 11246 (30 Fed. Reg. 12319, 1965), "Equal Employment 0 Opportunity,"as amended by EO 11375(32 Fed. Reg. 14303, 1967)and 12086 (43 Fed. Reg.46501, 1978), require federally assisted construction contracts to 0 include the nondiscrimination provisions of§§202 and 203 of EO 11246 and Department of Labor regulations implementing EO 11246(41 C.F.R. §60-1.4(b), 1991). b. EO 13166(August 11,2000), "Improving Access to Services for Persons With Limited English Proficiency," requires federal agencies to examine the services provided, identify any need for services to those with limited English proficiency U (LEP), and develop and implement a system to provide those services so LEP persons can have meaningful access to them. U 4. Title VII Exemption for Reliaious Oraanizations CU Generally,Title VII 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 0 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 exempts from the prohibition against discrimination on the basis of religion, a religious corporation, association, educational institution,or society with respect to the employment of individuals of a particular religion to perform work connected with the a 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 -ldc U) 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 U public health or safety, or a violation of law, rule, or regulation related to a federal LO 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; b. An Inspector General; U c. The Government Accountability Office; d. A Treasury employee responsible for contract or grant oversight or management; c� e. An authorized official of the Department of Justice or other law enforcement December 2018 Page 19 Packet Pg. 1780 O.6.a agency; f. A court or grand jury; and/or N g. A management official or other employee of the recipient, subrecipient, vendor, contractor(vendor), or subcontractor who has the responsibility to investigate, U discover,or address misconduct. P REQUIREMENT TO CHECK DEBARMENT AND SUSPENSION STATUS OF SUBRECIPIENTS,CONTRACTORS,SUBCONTRACTORS AND VENDORS -119 U) 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 0 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 contract with an entity that appears on the Excluded Parties List.The Excluded Parties List is accessible at http://www.sam.gov. 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 U 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 76 with an entity, or that entity's principals, if that entity or its principals appear on the Excluded Parties List. U 3. The recipient must include a term or condition in all lower tier covered transactions (subawards, contracts, and subcontracts described in 31 C.F.R. Part 19, subpart B)that 9 the award is subject to 31 C.F.R. Part 19. 0 Q DRUG FREE WORKPLACE The recipient must comply with the provisions of the Drug-Free Workplace Act of 1988(Public , Law 100-690, Title V, Sec. 5153, as amended by Public Law 105-85, Div.A,Title VIII, Sec. 809, c 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. R LOBBYING RESTRICTIONS 1. Lobbying Restrictions a. Solely for the purposes of Section R of these Standard Terms and Conditions, " -199 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 CU recipient of this RESTORE Act award from Treasury. U b. All recipients must comply with the provisions of 31 U.S.C. § 1352, as amended, 0, LO 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 or employee of Congress, or an employee of a Member of Congress in connection U 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. 1781 O.6.a 2. Certification a. Each person who requests or receives from Treasury a RESTORE Act grant shall N file with Treasury a certification, set forth in Appendix A of 31 C.F.R. Part 21, that _ the person has not made, and will not make, any payment prohibited under 31 W U.S.C. § 1352, as amended. b. The certification shall be filed pursuant to 31 C.F.R. §21.100(a) and (b). c. Any subrecipient, at any tier, who receives a subaward exceeding $100,000 under this award, shall file with the tier above them a certification, set forth in appendix A -119 of 31 C.F.R. Part 21, that the subrecipient as not made, and will not make, any CU payment prohibited by 31 C.F.R. §21.100(a). Pursuant to 31 C.F.R. 21.100(d), the certification shall be filed to the next tier above. 0 d. Any contractor or subcontractor, at any tier, who receives a contract or subcontract 0 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 shall be filed to the next tier above. 0 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 CU 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 CU required certification. If a person fails to file a required certification, the United a CU States may pursue all available remedies, including those authorized by 31 U.S.C. C3 § 1352. Y a 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 Appendix B of 31 CF.R. Part 21, if that award recipient is paid or will pay any funds, other than Federal appropriated funds, to any person for influencing or 0 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 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 0, completed and signed SF-LLL disclosure form shall forward it to the tier above LO it, and the award recipient of this RESTORE Act grant from Treasury will forward it to Treasury. c. Every recipient of a contract or subcontract under this RESTORE Act grant L) 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 E 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. 1782 O.6.a 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 LO Member of Congress in connection with this Federal grant. Each tier who U 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 U Treasury will forward it to Treasury. cw, 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 representation is forwarded. Submitting an erroneous certification or disclosure constitutes a failure to file the required certification. If a person fails to file a required disclosure, the United States may pursue all available remedies, 0 including those authorized by 31 US.C. § 1352, 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 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 C3 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; t3 ii. A change in the persons(s) influencing or attempting to influence; cj and/or iii. A change in the Federal official(s)contacted to influence or attempt to influence a covered Federal action, f. The award recipient must submit its form SF-LLLs, as well as those received g' from subrecipients, contractors and subcontractors, to Treasury within 30 calendar days following the end of the calendar quarter in which there occurs any event that requires disclosure or that materially affects the accuracy of the 0 information contained in any disclosure form previously filed. g. The award recipient must include a statement in all subaward, contracts and subcontracts exceeding $100,000 in federal funds, that the subaward, contract, or subcontract is subject to 31 U.S.C. § 1352, h. The award recipient must require subrecipients, contractors and subcontractors to submit form SF-LLL to the award recipient with 15 calendar days following the end of the calendar quarter in which there occurs any event that requires disclosure or that materially affects the accuracy of the information contained in CU any disclosure from previously filed. t3 0) LO S PROCUREMENT 1. The recipient must comply with Section 6002 of the Solid Waste Disposal Act, as CU amended by the Resource Conservation and Recovery Act. The requirements of Section L) 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. 1783 O.6.a 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 LO establishing an affirmative procurement program for procurement of recovered materials U identified in the EPA guidelines. U 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- contract any part of the approved project to any agency or employee of Treasury and/or -119 U) other federal department,agency, or instrumentality without the prior written approval of CU Treasury. Treasury will notify the recipient in writing of the final determination. 4. Requirements applicable to recipients and subrecipients that are states:When executing 0 procurement actions under this Award,the recipient must follow the same policies and procedures it uses for procurements from its non-federal funds. The recipient must ensure that every purchase order or other contract contains any clauses required by federal statutes and EOs and their implementing regulations, including all of the provisions listed in Appendix II to 2 C.F.R. Part 200—Contract Provisions for Non- Federal Entity Contracts under Federal Awards, as well as any other provisions required bylaw or regulations. 5. Requirements applicable to recipients and subrecipients that are not states: The U 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 76 by the recipient to accomplish the approved scope of work must contain any clauses required by federal statutes and EOs and their implementing regulations, including all of U the provisions listed in Appendix II to 2 C.F.R. Part 200—Contract Provisions for Non- �- Federal Entity Contracts under Federal Awards. U 6. Contracting with small and minority businesses,women's business enterprise, and labor 0 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 �s steps must include: a. Placing qualified small and minority businesses and women's business 0 enterprises on solicitation lists; 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; U) CU d. Establishing delivery schedules,where the requirement permits,which encourage participation by small and minority businesses, and women's business enterprises; 0) LO N e. Using the services and assistance, as appropriate, of such organizations as the ra Small Business Administration and the Minority Business Development Agency of the Department of Commerce; and, cj f. Requiring the prime contractor, if subcontracts are to be let, to take the affirmative steps listed in (a)through(e)of this paragraph. c� December 2018 Page 23 Packet Pg. 1784 O.6.a T RESEARCH INVOLVING HUMAN SUBJECTS LO N 1. No research involving human subjects is permitted under this Award unless expressly L) authorized by a special award condition,or otherwise in writing by Treasury. L) 2. Federal policy defines a human subject as a living individual about whom an investigator cn conducting research obtains(1)data through intervention or interaction with the individual,or(2)identifiable private information. Research means a systematic investigation, including research development,testing and evaluation,designed to develop or contribute to generalizable knowledge. -119 U) 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 0 documentation to Treasury for approval by the appropriate Treasury officials.This documentation may include: a. Documentation establishing approval of the project by an institutional review board (IRB)approved for federal-wide use under Department of Health and Human Services guidelines; b. Documentation to support an exemption for the project; c. Documentation to support deferral for an exemption or IRB review; or L) d. Documentation of IRB approval of any modification to a prior approved protocol W or to an informed consent form. 76 a 4. No work involving human subjects may be undertaken, conducted,or costs incurred and/or M charged for human subjects research, until the appropriate documentation is approved in �- writing by Treasury. cj U ENVIRONMENTAL REQUIREMENTS The recipient must comply with all environmental standards, and provide information requested by Treasury relating to compliance with environmental standards, including but not limited to the following federal statutes, regulations, and EOs. If the recipient is permitted to make any subawards,the recipient must include all of the environmental statutes, regulations, and executive 0 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.) -ldc U) 3. Clean Air Act, as amended (42 U.S.C. §7401 et seq.), Clean Water Act, as amended CU (33 U.S.C. § 1251 et seq.), and EO 11738 U 4. The Flood Disaster Protection Act of 1973, as amended (42 U.S.C. §4002 et seq.) ) LO 5. The Endangered Species Act of 1973, as amended, (16 U.S.C. § 1531 et seq.) ra 6. The Coastal Zone Management Act, as amended, (16 U.S.C. § 1451 et seq.) 7. The Coastal Barriers Resources Act, as amended, (16 U.S.C. §3501 et seq.) t) 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) December 2018 Page 24 Packet Pg. 1785 O.6.a 10. The Resource Conservation and Recovery Act of 1976, as amended, (42 U.S.C. § 6901 et seq.) LO N 11. The Comprehensive Environmental Response,Compensation, and Liability Act U (Superfund)(42 U.S.C. §9601 et seq.)and the Community Environmental Response U Facilitation Act(42 U.S.C. §9601 note) M 12. Magnuson-Stevens Fishery Conservation and Management Act, as amended (16 U.S.C. §1801) 13. Marine Mammal Protection Act, as amended (16 U.S.0§31) 14. Migratory Bird Treaty Act, as amended (16 U.S.C. §§703-712) 15. Responsibilities of Federal Agencies to Protect Migratory Birds, EO 13186 0 16. Bald and Golden Eagle Protection Act, as amended (16 U.S.C. §668-668d) c 17. Marine Protection, Research and Sanctuaries Act(33 U.S.C. §§ 1401-1445 and 16 U.S.C. §§1431-1445) 18. National Marine Sanctuaries Act, as amended (16 U.S.C. § 1431 et seq.) 0 19. Rivers and Harbors Act of 1899 (33 U.S.0§407) CU 20. Environmental Justice in Minority Populations and Low Income Populations, EO 12898, U as amended �s 21. Flood Management, EO 11988, as amended by EO 13690, and Protection of Wetland, CU E011990, May 24, 177, as amended by EO 12608 CU 22. Farmland Protection Policy Act, as amended (7 U.S.C. §4201 et. seq.) U CU 23. Coral Reef Protection, EO 13089 t 24. Invasive Species, EP 13112 0, V MISCELLANEOUS REQUIREMENTS AND PROVISIONS 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: c 1. Prohibition Against Assignment by the Recipient Notwithstanding any other provision of this Award,the recipient must not transfer, pledge, mortgage, or otherwise assign this Award, or any interest therein, or any claim arising thereunder,to any party or parties, banks, trust companies, or other financing or financial institutions without the express written approval of Treasury. ldc U) CU 2. Disclaimer Provisions U a. The United States expressly disclaims any and all responsibility or liability to the LO recipient or third persons for the actions of the recipient or third persons resulting in death, bodily injury, property damages, or any other losses resulting in any way from the performance of this Award or any other losses resulting in any way from the performance of this Award or any subaward, contract,or subcontract U under this Award. b. The acceptance of this Award by the recipient does not in anyway constitute an agency relationship between the United States and the recipient. December 2018 Page 25 Packet Pg. 1786 O.6.a F LO 3. Prohibited and Criminal Activities N U 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, L? fictitious, or fraudulent claims to the federal government for money(including money representing grants, loans or other benefits). b. False Statements, as amended (18 U.S.C. § 1001) provides that whoever makes or presents any materially false, fictitious, or fraudulent statements to the United -119 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 a to the United States shall be subject to imprisonment of not more than five a years and shall be subject to a fine in the amount provided in 18 U.S.C. §287. 3 d. False Claims Act, as amended (31 U.S.C. 18 U.S.C. § 3729 et seq.), provides that suits under this act can be brought by the federal government, or a person on behalf of the federal government,for false claims under federal assistance programs 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 L) 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. t3 4. Political Activities t3) The recipient must comply, as applicable,with provisions of the Hatch Act, as amended 0 (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. as 5. American-Made Eauioment and Products a 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, -ldc U) rented or personally owned vehicles. CU 7. Minority Serving Institutions(MSIs)Initiative U 0) LO Pursuant to EOs 13555 and13270, as amended,Treasury is strongly committed to broadening the participation of MSIs in its financial assistance programs.Treasury's CU goals include achieving full participation of MSIs in order to advance the development of CU human potential, strengthen the nation's capacity to provide high-quality education, and U 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 Packet Pg. 1787 O.6.a F LO N U 8. Research Misconduct U Treasury adopts, and applies to Awards for research,the Federal Policy on Research Misconduct(Federal Policy) issued by the EO of the President's Office of Science and Technology Policy on December 6, 2000 (65 Fed. Reg. 76260 (2000)).As provided for in the Federal Policy, research misconduct refers to the fabrication,falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research 119 U) results. Research misconduct does not include honest errors or differences of opinion. CU Recipients that conduct research funded by Treasury must foster an atmosphere conducive to the responsible conduct of sponsored research by safeguarding against and c resolving allegations of research misconduct. Recipients also have the primary c responsibility to prevent, detect, and investigate allegations of research misconduct and, 3 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 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 CU General of such allegation. Once the recipient has investigated the allegation, it will U submit its findings to Treasury.Treasury may accept the recipient's findings or proceed with its own investigation;Treasury shall inform the recipient of the Treasury's final determination. 9. Care and Use of Live Vertebrate Animals U Recipients must comply with the Laboratory Animal Welfare Act of 1966(Public Law 89- t? 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; 0 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 Nuisance Prevention and Control Act, as amended, (16 U.S.C. §4701 et seq.)(ensure preventive measures are taken or that probable harm of using species is minimal if there g 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 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. U a. Provisions applicable to a recipient that is a private entity 0, LO 1. You as the recipient, your employees, subrecipients under this Award, and subrecipients'employees may not— i. Engage in severe forms of trafficking in persons during the period of U 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 c� December 2018 Page 27 Packet Pg. 1788 O.6.a iii. Use forced labor in the performance of this Award or subawards under this Award. LO cN 2. We as the federal awarding agency may unilaterally terminate this Award, UI without penalty, if you or a subrecipient that is a private entity— U i. Is determined to have violated a prohibition in paragraph a.1 of this Section V.10;or ii. Has an employee who is determined by the agency official authorized to terminate this Award to have violated a prohibition in -119 paragraph a.1 of this Section V.10 through conduct that is either— U) Cu A. Associated with performance under this Award; or B. Imputed to you or the subrecipient using the standards and 0 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 Governmentwide Debarment and Suspension(Nonprocurement),"as implemented by our agency at 31 C.F.R. Part 19. b. Provision applicable to a recipient other than a private entity.We as the federal awarding agency may unilaterally terminate this Award,without penalty, if a Cu 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 76 2. Has an employee who is determined by the agency official authorized to cCu terminate this Award to have violated an applicable prohibition in paragraph a.1 of this Section V.10 through conduct that is either Cu - U 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 Governmentwide Debarment and Suspension (Nonprocurement),"as implemented by our agency at 31 C.F.R. Part 19. 0 c. Provisions applicable to any recipient. 0 1. You must inform us immediately of any information you receive from any source alleging a violation of a prohibition in paragraph a.1 of this Section V.10. 2. Our right to terminate unilaterally that is described in paragraph a.2 or b of this Section V.10: i. Implements section 106(g)of the Trafficking Victims Protection Act ldc U) of 2000 (TVPA), as amended (22 U.S.C. §7104(g)), and Cu ii. Is in addition to all other remedies for noncompliance that are available to us under this Award. L) 0) LO 3. You must include the requirements of paragraph a.1 of this Section V.10 in CN any subaward you make to a private entity. d. Definitions. For purposes of this award term: t3 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. 1789 O.6.a ii. Another person engaged in the performance of the project or program under this Award and not compensated by you including, but not limited LO CN to, a volunteer or individual whose services are contributed by a third U party as an in-kind contribution toward cost sharing or matching requirements. U 2. "Forced labor" means labor obtained by any of the following methods: the recruitment, harboring,transportation, provision,or obtaining of a person for labor or services, through the use of force,fraud, or coercion for the purpose of subjection to involuntary servitude, peonage,debt bondage,or slavery. -119 U) 3. "Private entity": CU 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. 0 ii. Includes: A. A nonprofit organization, including any nonprofit institution of higher education, hospital, or tribal organization other than one included in the definition of Indian tribe at 2 C.F.R. § 175.25(b). B. Afor-profit organization U 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. § W 7102). 76 U 11. The Federal Funding Accountability and Transparency Act of 2006,as amended. �- (Pub, L. No. 109-282, 31 U.S.C.§6101 note) Y a a. The award term at Appendix A of 2 C.F.R. Part 170 is hereby incorporated by reference. b. The Federal Funding Accountability and Transparency Act of 2006(FFATA) requires information on federal awards to be made available to the public via a single, searchable website.This information is available at www.USASpending.gov.The FFATA Subaward Reporting System (FSRS)is the p reporting tool federal prime awardees(i.e., prime contractors and prime grants p recipients)use to capture and report subaward and executive compensation data regarding their first-tier subawards to meet the FFATA reporting requirements. Prime grant awardees will report against sub-grants awarded.The subaward information entered in FSRS will then be displayed at http://www.USASpending.gov. c. Recipients of RESTORE Act funding are subject to FFATA subaward reporting requirements as outlined in the OMB guidance on FFATA issued August 27, 2010.The recipient is required to file a FFATA subaward report by the end of the CU 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 W total award to$25,000 or more. This report must be filed electronically at 0, LO http//www.fsrsegov. CN U d. The recipient must report total compensation for each of its five most highly compensated executives for the preceding completed fiscal year, by the end of CU the month following the month in which this Award is made, and annually U thereafter if— i. The total federal funding authorized to date under this Award is$25,000 or more; and December 2018 Page 29 Packet Pg. 1790 O.6.a ii. In the preceding fiscal year,the recipient received- 0) 1) 80 percent or more of annual gross revenues from federal N procurement contracts(and subcontracts)and federal financial assistance subject to FFATA, as defined at 2 C.F.R. § 170.320 (and U subawards);and 2) $25,000,000 or more in annual gross revenues from federal procurement contracts(and subcontracts)and federal financial assistance subject to FFATA, as defined at 2 C.F.R. 170.320 (and subawards);and -119 U) M 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§ 0 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.) e. The recipient must report on the total compensation of its subrecipients'five most highly compensated executives, as required by FFATA, and must include provisions in every executed contract or agreement with affected subrecipients requiring the subrecipient to provide all information necessary for the recipient to t3 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 t) 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, Y whichever is later.This requires that the recipient review and update the 0 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 ps as a recipient.Additional information about registration procedures may be found at the System for Award Management Internet site(currently at https://www.sam.gov/paortal/paublic/SAM/). 0 g. If the recipient is authorized to make subawards under this Award, the recipient must notify potential subrecipients that the recipient may not make a subaward to any entity unless that entity has provided its Data Universal Numbering System (DUNS)number to the recipient.A DUNS number is the nine-digit number established and assigned by Dun and Bradstreet, Inc. to uniquely identify business entities. 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 U 0) LO If the total value of the recipient's currently active grants, cooperative agreements, N and procurement contracts from all Federal awarding agencies exceeds $10,000,000 for any period of time during the period of performance of this CU Federal award,then the recipient during that period of time must maintain the U 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)) E about civil, criminal,or administrative proceedings described in paragraph b. of December 2018 Page 30 Packet Pg. 1791 O.6.a this award term and condition. This is a statutory requirement under§ 872 of Public Law 110-417, as amended (41 U.S.C. §2313).As required by§ 3010 of LO CN Public Law 111-212, all information posted in the designated integrity and U performance system on or after April 15,2011, except past performance reviews required for Federal procurement contracts,will be publicly available. U b. Proceedings About Which The Recipient Must Report The recipient must submit the information required about each proceeding that: -119 U) i. Is in connection with the award or performance of a grant, cooperative CU 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: 0 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 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 CU award term and condition, that resulted in a finding of fault and U liability and your payment of either a monetary fine or penalty of $5,000 or more or reimbursement, restitution, or damages in 76 excess of$100,000;or CU 4) Any other criminal,civil, or administrative proceeding if: U CU a) It could have led to an outcome described in paragraph b.iii. t 1),2),or 3)of this award term and condition; b) It had a different disposition arrived at by consent or 0 compromise with an acknowledgment of fault on your part; and c) The requirement in this award term and condition to disclose information about the proceeding does not conflict with applicable laws and regulations. 0 c. Reporting Procedures Enter in the SAM Entity Management area the information that SAM requires about each proceeding described in paragraph b of this award term and condition. The recipient does not need to submit the information a second time under assistance awards that the recipient received if they already provided the information through SAM because they were required to do so under Federal procurement contracts that they were awarded. CU d. Reporting Frequency U During any period of time when the recipient is subject to the requirement in LO CN 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 76 information about any proceeding(s)that they have not reported previously or cCU 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 E criminal,civil, and administrative proceedings. December 2018 Page 31 Packet Pg. 1792 O.6.a e. Definitions LO CN For purposes of this award term and condition: U i. Administrative proceeding means a non judicial process that is U adjudicatory in nature in order to make a determination of fault or liability (e.g., Securities and Exchange Commission Administrative proceedings, Civilian Board of Contract Appeals proceedings,and Armed Services Board of Contract Appeals proceedings).This includes proceedings at the Federal and State level but only in connection with performance of a -119 U) Federal contract or grant. It does not include audits, site visits, corrective plans,or inspection of deliverables. ii. Conviction,for purposes of this award term and condition, means a g judgment or conviction of a criminal offense by any court of c competent jurisdiction,whether entered upon a verdict or a plea, and includes a conviction entered upon a plea of polo contendere. iii. Total value of currently active grants, cooperative agreements, and procurement contracts includes- 0 1) Only the Federal share of the funding under any Federal award with a recipient cost share or match; and CU 2) The value of all expected funding increments under a Federal award U and options, even if not yet exercised. 76 13. Publications and Signage CU U Any publications(except scientific articles or papers appearing in scientific,technical, or CU professional journals)or signage produced with funds from this Award,or informing the t3 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 0 Department of the Treasury under the Resources and Ecosystems Sustainability, Tourist Opportunities, and Revived Economies of the Gulf Coast States Act of 2012 (RESTORE 2M Act)." Publications(except scientific articles or papers appearing in scientific, technical, or professional journals) produced with funds from this Award must display the following additional language: "The statements,findings,conclusions, and recommendations are g those of the author(s)and do not necessarily reflect the views of the Department of the g Treasury." 14. Homeland Security Presidential Directive 12 M 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 foreignCU 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 L) eligible for employment within the United States.Any items or services delivered under LO 0) N this Award must comply with Treasury personal identity verification procedures that implement Homeland Security Presidential Directive 12, "Policy for a Common Identification Standard for Federal Employees and Contractors", FIPS PUB 201, as CU amended,and OMB Memorandum M-05-24, as amended.The recipient must ensure that its subrecipients and contractors (at all tiers)performing work under this Award comply with the requirements contained in this Section V.14.Treasury may delay final payment under this Award if the subrecipient or contractor fails to comply with the requirements listed in the section below. The recipient must insert the following term in all subawards December 2018 Page 32 Packet Pg. 1793 O.6.a and contracts when the subrecipient or contractor is required to have routine physical access to a Treasury-controlled facility or routine access to a Treasury-controlled LO CN information system: U a. The subrecipient or contractor must comply with Treasury personal identity U verification procedures identified in the subaward or contract that implement Homeland Security Presidential Directive 12 (HSPD-12), Office of Management and Budget(OMB)Guidance M-05-24, as amended, and Federal Information Processing Standards Publication, FIPS PUB 140-2, as amended,for all employees under this subaward or contract who require routine physical access to a federally controlled facility or routine access to a federally controlled Cu information system. b. The subrecipient or contractor must account for all forms of government-provided a identification issued to the subrecipient or contractor employees in connection a with performance under this subaward or contract.The subrecipient or contractor 3- 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; 0 ii. Upon completion of the subrecipient or contractor employee's employment; or cCu iii. Upon subaward or contract completion or termination. 76 15. Foreman Travel Cu t3 a. The recipient and subrecipient may not use funds from this Award for travel Cu outside of the United States unless Treasury provides prior written approval. Y a b. The recipient and subrecipient must comply with the provisions of the Fly America 0 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. 2M c. The Fly America Act requires that federal travelers and others performing U.S. LO 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 specific instances, such as when a U.S.flag air carrier is unavailable, or use of a U.S.flag air carrier service will not accomplish the agency's mission. d. One exception to the requirement to fly U.S.flag carriers is transportation 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 ldc U) Agreements"(U.S. Government Procured Transportation)that allow federal Cu funded transportation services for travel and cargo movements to use foreign air carriers under certain circumstances. There are multiple"Open Skies L) Agreements"currently in effect. For more information about the current bilateral LO and multilateral agreements, visit the GSA website CN http://www.gsa.gov/portal/content/l03191. Information on the Open Skies agreements(U.S. Government Procured Transportation)and other specific a Cu country agreements may be accessed via the Department of State's website t3 http://www.state.gov/e/eeb/ ra/. e. If a foreign air carrier is anticipated to be used for any portion of travel funded under this Award,the recipient must receive prior approval from the Treasury. When requesting such approval,the recipient must provide a justification in December 2018 Page 33 Packet Pg. 1794 O.6.a accordance with guidance provided by 41 C.F.R. §301-10.142,which requires the recipient to provide Treasury with the following: name; dates of travel; origin LO and destination of travel; detailed itinerary of travel; name of the air carrier and U flight number for each leg of the trip; and a statement explaining why the recipient meets one of the exceptions to the regulations. If the use of a foreign air U 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 -119 U) the recipient improperly used a foreign air carrier. 0 16. Exoort Control 0 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 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 U 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, U including by foreign nationals. �- c. Definitions: c? i. Export-controlled items. Items(commodities, software,or technology), 0 that are subject to the EAR(15 C.F.R. §§730-774), implemented by the DOC's Bureau of Industry and Security.These are generally known as"dual-use"items, items with a military and commercial application. LO ii. Deemed Export/Re-export. The EAR defines a deemed export as a 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 technical experience acquired in the United States. If such a release occurs abroad, it is considered a deemed re-export to the foreign national's home country. Licenses from DOC may be required for deemed exports or re-exports. U) d. The recipient shall control access to all export-controlled items that it possesses or that comes into its possession in performance of this Award, to ensure that access to, or release of, such items are restricted, or licensed, as required by U applicable federal statutes, EOs, and/or regulations, including the EAR. LO N e. To the extent the recipient wishes to provide foreign nationals with access to ra export-controlled items,the recipient shall be responsible for obtaining any necessary licenses, including licenses required under the EAR for deemed U 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. c� December 2018 Page 34 Packet Pg. 1795 O.6.a g. Compliance with this Section V.15 will not satisfy any legal obligations the recipient may have regarding items that may be subject to export controls LO administered by other agencies such as the Department of State,which has U jurisdiction over exports of munitions items subject to the International Traffic in Arms Regulations(ITAR)(22 C.F.R. §§ 120-130), including releases of such U items to foreign nationals. h. The recipient shall include this clause, including this paragraph (i), in all lower tier transactions (subawards, contracts, and subcontracts) under this Award that may involve access to export-controlled items. -119 U) CU SUPPLEMENTAL STANDARD TERMS AND CONDITIONS-AWARDS UNDER THE DIRECT COMPONENT FOR ACQUISITION AND IMPROVEMENTS TO REAL PROPERTY 0 W ACQUISITION AND IMPROVEMENTS TO REAL PROPERTY 1. Comoliance with State.Local and Federal Reauirements The project must comply with all applicable federal laws and regulations, and with all 0 requirements for state, and local laws and ordinances to the extent that such requirements do not conflict with federal laws. The recipient is also responsible for supervising the design, bidding, construction, and operation of construction projects in compliance with all award requirements. The recipient must comply with, and must require all contractors and subcontractors,to comply with all federal, state, and local laws and regulations. The recipient must ensure compliance with special award conditions which may contain conditions that must be satisfied prior to advertisement of bids, start of construction,or U other critical event. 9 a 2. IiU 0 Prior to receiving Treasury authorization to start construction,the recipient must furnish evidence, satisfactory to Treasury,that the recipient has acquired good and merchantable title free of all mortgages,foreclosable liens,or encumbrances, to all land, rights of way and easements necessary for the completion of the project. 0 0 3. Permitting Reauirements Prior to receiving Treasury authorization to start construction,the recipient must furnish evidence, satisfactory to Treasury, that recipient has received all federal, state and local permits necessary for the completion of the project. 4. Federal Interest in Real Prooertv "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 U property(i.e.,the"federal interest"). LO N 76 5. Estimated Useful Life a CU 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 Packet Pg. 1796 O.6.a anticipates obtaining the benefits of the project pursuant to project purposes authorized by the RESTORE Act. For this award the recipient has proposed an Estimated Useful Life LO from the date of construction completion.Treasury's issuance of the grant agreement U represents its concurrence with the recipient's proposed Estimated Useful Life. U 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. -119 If Treasury determines that the recipient has failed or fails to meet its obligations under CU 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 0 a waiver thereof. 6. Commencement of Construction 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 ps 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, U Treasury must determine that the award of all contracts with associated costs are in compliance with the scope of the project and all terms and conditions of this award, and all necessary permits have been obtained, and the federal interest is secure. No construction funds may be drawn from ASAP without Treasury's written permission. If the recipient commences construction prior to Treasury's determination,the recipient proceeds at its own risk. U Treasury will only review contract amendments or change orders which change the 0 scope of a contract. 2M 7. Use of Real Property Encumbering real property on which there is a federal interest without prior Treasury p approval is an unauthorized use of the property and of project trust funds under this p award. See 2 C.F.R. §200.316. Real property or interest in real property may not be used for purposes other than the authorized purpose of the award without the express, prior written approval of Treasury,for as long as the federal government retains an interest in the property. The property must not be sold, conveyed,transferred, assigned, mortgaged, or in any other manner encumbered except as expressly authorized in writing by Treasury.The recipient must maintain facilities constructed or renovated with grant funds in a manner consistent with the purposes for which the funds were provided for the duration of the Estimated Useful Life. U) 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 U Treasury consistent with 2 C.F.R. §200.311. LO N 8. Recording the Federal Interest in the Real Property CU To document the federal interest, the recipient agrees to prepare and properly record a U "Covenant of Purpose, Use and Ownership" (Covenant), or, where a subrecipient is the title owner, to ensure that the subrecipient prepares and properly records a "Covenant of E 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 Packet Pg. 1797 O.6.a traditional mortgage lien in that it does not establish a traditional creditor relationship requiring the periodic repayment of principal and interest, or the ability of Treasury to LO foreclose on the real property at any time. Rather, pursuant to the Covenant, the U recipient and/or the subrecipient, as applicable, acknowledges that it holds title to the real property in trust for the public purposes of the financial assistance award and agrees, U 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 -119 U) include the name and current address of the recipient and subrecipient(if applicable), CU 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 0 be used for purposes consistent with the RESTORE Act; that it will not be mortgaged or used as collateral, sold or otherwise transferred to another party, without the written permission of Treasury; and that the federal interest cannot be subordinated, diminished, nullified or released through encumbrance of the property, transfer of the property to another party or any other action the recipient/subrecipient takes without the written permission of Treasury. CU b. The recipient agrees to provide to Treasury an attorney's title opinion as to the title U 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 76 that there are certain restrictions on the use and disposition of the real property CU 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 t3 project for which funds have been awarded. c. Treasury requires an opinion of counsel for the recipient to substantiate that the document has been properly recorded. P d. Failure to properly and timely file and maintain documentation of the federal interest may result in appropriate enforcement action, including, but not limited to,disallowance of the cost of the acquisition or improvement by Treasury. 0 e. The Federal Interest must be perfected and recorded/filed in accordance with state and/or local law concurrent with the acquisition of the real property, where an award includes real property acquisition, and for construction of buildings and projects to improve the real property, no later than the date construction and/or improvement work commences. f. When the Estimated Useful Life of the project is ended, the federal interest is CU extinguished and the federal government has no further interest in the real property. U Exclusions from the requirement that the federal interest on real property be recorded will LO be at Treasury's sole discretion. The types of projects for which Treasury may agree to this exclusion are those projects for which federal funds will not be used to fund the a construction of built structures, improvements to state parks, water and sewer lateral line CU projects affecting private properties, and shoreline stabilization projects. U 9. Administration.Operation and Maintenance The recipient agrees to administer,operate, and maintain the project for its Estimated December 2018 Page 37 Packet Pg. 1798 O.6.a Useful Life in the same manner in which it operates and maintains similar facilities and equipment owned by it, and in accordance with state and local standards, laws and LO CN regulations. The recipient must not be in breach of its obligations under this award except U to the extent the failure to fulfill any obligation is due to an Uncontrollable Force. "Uncontrollable Force" means an event beyond the reasonable control of, and without the L? 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: -119 U) a. Strikes or work stoppage; Cu b. Floods, earthquakes,or other natural disasters;terrorist acts; and a 0 c. Final orders or injunctions issued by a court or regulatory body having competent 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 unavailability of funds or financing, nor conditions of national or local economies or markets must be considered an Uncontrollable Force. Cu 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 Cu U 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 cj 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 0 days following the end of the reporting period. 2M 11. Insurance 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. 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 U threshold are as follows: 0) LO cN a. A bid guarantee from each bidder equivalent to five percent of the bid price. The 76 "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. E c� December 2018 Page 38 Packet Pg. 1799 O.6.a b. A performance bond on the part of the contractor for 100 percent of the contract price. A "performance bond" is one executed in connection with a contract to LO secure fulfillment of all the contractor's obligations under such contract. U 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. -119 13. Floodolain Reauirements CU 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 0 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 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 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 U and/or buildings within a designated 100-year floodplain, the recipient must provide evidence satisfactory to Treasury of the following: a. Floodplain Protection: That the project engineer/architect has certified that the project facility will be adequately protected from damage by floods in this area of apparent potential flood hazard. The evidence must include adequate t3 justification for the Base Flood Elevation designation for the financial assistance award site. 0 b. Floodplain Insurance: That the community is participating in the National Flood 2M Insurance Program, and that as required, the recipient will purchase flood 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; U 0) LO 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. § 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. 1800 O.6.a Employment Opportunity Construction Contract Specifications" (or cause them to be included, if appropriate)in all federally assisted contracts and LO subcontracts. The goals and timetables for minority and female participation U may not be less than those published pursuant to 41 C.F.R. §60-4.6. U 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 that requires the enforcement of Davis-Bacon Act-related provisions.When required, all prime construction contracts in excess of$2,000 awarded by the non-Federal entity must include a provision for compliance with the Davis-Bacon Act(40 U.S.C. §§3141-3144, 0 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 addition contracts must be required to pay wages not less than once a week. 0 The non-Federal entity must place a copy of the current prevailing wage determination 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. U 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 Y contractor or subrecipient must be prohibited from inducing, by any means, any person 0 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. 16. Eaual O000rtunity Clause Pursuant to 41 C.F.R. §60-1.4(b), Federally assisted construction contracts,for 0 construction which is not exempt from the requirements of the equal opportunity clause, 41 C.F.R. Part 60-1—Obligations of Contractors and Subcontractors, [t]he[recipient] hereby agrees that it will incorporate or cause to be incorporated into any contract for 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 U) following equal opportunity clause: 41 C.F.R.§60-1.4 Equal opportunity clause. U 0) LO During the performance of this contract, the contractor agrees as follows: (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 E 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 Packet Pg. 1801 O.6.a F Employment, upgrading, demotion, or transfer, recruitment or recruitment advertising; LO cN layoff or termination;rates of pay or other forms of compensation;and selection for U training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. (2) The contractor will, in all solicitations or advertisements for employees placed by or on behalf of the contractor, state that all qualified applicants will receive consideration -119 for employment without regard to race, color, religion, sex, sexual orientation, gender identity, or national origin. (3) The contractor will not discharge or in any other manner discriminate against any 0 employee or applicant for employment because such employee or applicant has inquired about, discussed, or disclosed the compensation of the employee or applicant or another employee or applicant. This provision shall not apply to instances in which an employee who has access to the compensation information of other employees or applicants as a part of such employee's essential job functions discloses the compensation of such other employees or applicants to individuals who do not 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 U action, including an investigation conducted by the employer, or is consistent with the contractor's legal duty to furnish information. W 76 (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 76 contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 0 (5) The contractor will comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 0 (6) The contractor will furnish all information and reports required by Executive Order 0 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 U invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, LO regulation, or order of the Secretary of Labor, or as otherwise provided by law. (8) The contractor will include the portion of the sentence immediately preceding U 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 Packet Pg. 1802 O.6.a 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, LO including sanctions for noncompliance: U 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. -119 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 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 c 0 any agency, instrumentality or subdivision of such government which does not participate in work on or under the contract. The applicant agrees that it will assist and cooperate actively with the administering agency and the Secretary of Labor in obtaining the compliance of contractors and subcontractors with the equal opportunity clause and the rules, 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 U 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 W securing compliance. The applicant further agrees that it will refrain from entering into any contract U 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 0 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 Executive Order. In addition, the applicant agrees that if it fails or refuses to comply 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, 0 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 CU regulations adopted new enforceable accessibility standards called the"2010 ADA Standards for Accessible Design" (2010 Standards).The 2010 Standards are an U acceptable alternative to the Uniform Federal Accessibility Standards(UFAS).TreasuryLO 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. U c� December 2018 Page 42 Packet Pg. 1803 E!2M ACCORD CERTIFICATE OF LIABILITY INSURANCE THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THI: CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIE! BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZE[ REPRESENTATIVE OR PRODUCER,AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must have ADDITIONAL INSURED provisions or be endorsed If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement of O O this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). PRODUCER CONTACT NAME: CL Arthur J. Gallagher Risk Management Services, Inc. PHONE FAXLO 300 Madison Avenue, 28th Floor A/C No Ext: 212-994-7100 A/c,No):212-994-7047 New York NY 10017 ADDRESS: INSURER(S)AFFORDING COVERAGE NAIC# License#:BR-724491 INSURERA:Zurich American Insurance Company 16535 INSURED WSPGLOB-01 INSURER B: Liberty Insurance Corporation 42404 WSP USA Environment& Infrastructure Inc. 1075 Big Shanty Rd. Suite 100 INSURER : f) Kennesaw, GA 30144 INSURERD: INSURER E LU INSURER F: (� COVERAGES CERTIFICATE NUMBER:1072908917 REVISION NUMBER: THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOI L) INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THI: CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERM f) EXCLUSIONS AND CONDITIONS OF SUCH POLICIES.LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. INSR TYPE OF INSURANCE ADDL SUBR POLICY EFF POLICY EXP LIMITS LTR INSD WVD POLICY NUMBER MM/DD MM/DD 0 A X COMMERCIAL GENERAL LIABILITY Y GLO 9835819-09 9/21/2022 5/1/2023 EACH OCCURRENCE $3,500,000 t% DAMAGE TO RENTED N CLAIMS-MADE � OCCUR PREMISES Ea occurrence $100,000 MED EXP(Any one person) $10,000 PERSONAL&ADV INJURY $3,500,000 U) GEN'L AGGREGATE LIMIT APPLIES PER: GENERAL AGGREGATE $7,500,000 nCL X POLICY D jEO- D LOC PRODUCTS-COMP/OP AGG $3,500,000 OTHER: $ B AUTOMOBILE LIABILITY Y AS7-621-094060-032 9/21/2022 5/1/2023 COMBINED SINGLE LIMIT $5,000,000 Ea accident CL )( ANY AUTO BODILY INJURY(Per person) $ OWNED SCHEDULED BODILY INJURY(Per accident) $ AUTOS ONLY AUTOS HIRED NON-OWNED PROPERTY DAMAGE $ AUTOS ONLY AUTOS ONLY Per accident , $ UMBRELLALIAB OCCUR EACH OCCURRENCE $ EXCESS LAB CLAIMS-MADE AGGREGATE $ U DED RETENTION$ $ OT B WORKERS COMPENSATION WA7-62D-094060-012 9/21/2022 5/1/2023 X PER STATUTE ER ERH- B AND EMPLOYERS'LIABILITY Y/N WA7-62D-094060-982 9/21/2022 5/1/2023 B ANYPROPRIETOR/PARTNER/EXECUTIVE ❑ WA7-62D-095609-072 9/21/2022 5/1/2023 E.L.EACH ACCIDENT $2,000,000 0 B OFFICE R/M EMBER EXCLUDED? N N/A (Mandatory in NH) WC7-621-094060-912 9/21/2022 5/1/2023 E.L.DISEASE-EA EMPLOYEE $2,000,000 00 If yes,describe under DESCRIPTION OF OPERATIONS below E.L.DISEASE-POLICY LIMIT $2,000,000 � L39 L) DESCRIPTION OF OPERATIONS/LOCATIONS/VEHICLES (ACORD 101,Additional Remarks Schedule,maybe attached if more space is required) 0 RE: Project Description: Category B On Call Professional Engieneering Services for Canal Restoration, Project Number:600832.County is included as Additional Insured with respect to the General Liability and Automobile Liability policies as required by written agreement, pursuant to and subject to the policy terms,definitions,conditions and exclusions. t) APPROVED BY RISK MANAGEMEI � DATE j 0/2,4/202,2 WAIVER N/A YES CERTIFICATE HOLDER CANCELLATION CL SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORI THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED II a ACCORDANCE WITH THE POLICY PROVISIONS. Monroe County BOCC PO Box 100085-FX AUTHORIZED REPRESENTATIVE Duluth GA 30096 ©1988-2015 ACORD CORPORATION. All rights reserved. ACORD 25(2016103) The ACORD name and logo are registered marks of ACORD Packet Pg. 1804