Agenda 04/24/2018 Item #16A 304/24/2018
EXECUTIVE SUMMARY
Recommendation to accept a Grant Award from the US Department of Treasury under the
RESTORE Direct Component (Pot 1) for the preliminary development, design and permitting of the
Collier County Comprehensive Watershed Improvement Plan in the amount of $1,532,077.76 and
authorize necessary budget amendment (Project No 33554).
OBJECTIVE: To receive approval from the Board of County Commissioners to accept a RESTORE Act
Direct Component grant award by the US Department of Treasury (Treasur y) to fund the preliminary
development, design and permitting of the Collier County Comprehensive Watershed Improvement Plan.
CONSIDERATIONS: On November 29, 2017, the Treasury approved the Collier County Multiyear
Implement Plan (MYIP) that was approved through Resolution 2017-183 by the Board of County
Commissioners on October 10, 2017 (Item 16A) and submitted to Treasury on October 25, 2017. The
approval of the MYIP allowed Collier County to submit a grant application to request the funds that are
currently available in the RESTORE Act Direct Component fund to implement the MYIP. Treasury
opened a grant application cycle in July 2017 and Collier County received notification of a grant award
on 1/29/2018.
FISCAL IMPACT: A budget amendment is necessary to appropriate revenue funds in the amount of
$1,532,077.76, within Growth Management Grants Fund (711), Project 33554. The funding source for
grant reimbursement is the Department of Treasury, RESTORE Act Direct Component trust fund in the
amount of $1,532,077.76.
There are no carrying cost or life cycle operations and maintenance costs for preliminary planning and
conceptual design. The RESTORE Act does not require local match.
LEGAL CONSIDERATIONS: This item is approved as to form and legality and requires majority vote
for approval. - CMG
RECOMMENDATION: To approve the acceptance of the RESTORE Act Direct Component grant
award by the US Department of Treasury in the amount of $1,532,077.76, and authorize the necessary
budget amendment.
Prepared By: J. Gary McAlpin, P.E., Coastal Zone Management, Capital Project Planning, Impact Fees
and Program Management Division
ATTACHMENT(S)
1. [LINKED]Notice_of_Award (PDF)
2. Restore Update 2-2-18 (PDF)
3. Application-Collier (PDF)
16.A.3
Packet Pg. 417
04/24/2018
COLLIER COUNTY
Board of County Commissioners
Item Number: 16.A.3
Doc ID: 5032
Item Summary: Recommendation to accept a Grant Award from the US Department of Treasury
under the RESTORE Direct Component (Pot 1) for the preliminary development, design and permitting
of the Collier County Comprehensive Watershed Improvement Plan in the amount of $1,532,077.76 and
authorize necessary budget amendment (Project No 33554).
Meeting Date: 04/24/2018
Prepared by:
Title: Accountant – Capital Project Planning, Impact Fees, and Program Management
Name: Gail Hambright
03/11/2018 4:37 PM
Submitted by:
Title: Division Director - IF, CPP & PM – Capital Project Planning, Impact Fees, and Program
Management
Name: Amy Patterson
03/11/2018 4:37 PM
Approved By:
Review:
Zoning Gary McAlpin Additional Reviewer Completed 03/12/2018 9:04 AM
Procurement Services Opal Vann Level 1 Purchasing Gatekeeper Completed 03/12/2018 9:23 AM
Growth Management Department Judy Puig Level 1 Reviewer Completed 03/12/2018 2:52 PM
Growth Management Operations Support Jeanne Marcella Additional Reviewer Skipped 03/13/2018 7:59 AM
Procurement Services Ted Coyman Additional Reviewer Completed 03/13/2018 8:54 AM
Capital Project Planning, Impact Fees, and Program Management Tara Castillo Additional Reviewer Completed 03/13/2018 10:58 AM
Growth Management Department Gene Shue Additional Reviewer Completed 03/13/2018 10:58 AM
Capital Project Planning, Impact Fees, and Program Management Amy Patterson Additional Reviewer Completed 03/28/2018 2:10 PM
Grants Edmond Kushi Level 2 Grants Review Completed 03/28/2018 3:56 PM
Growth Management Department Thaddeus Cohen Department Head Review Completed 03/29/2018 5:46 PM
County Attorney's Office Colleen Greene Level 2 Attorney Review Completed 03/30/2018 11:46 AM
Growth Management Department James French Deputy Department Head Review Skipped 03/30/2018 6:02 PM
County Attorney's Office Jeffrey A. Klatzkow Level 3 County Attorney's Office Review Completed 04/02/2018 8:37 AM
Office of Management and Budget Valerie Fleming Level 3 OMB Gatekeeper Review Completed 04/05/2018 4:48 PM
Office of Management and Budget Susan Usher Additional Reviewer Completed 04/14/2018 3:10 PM
16.A.3
Packet Pg. 418
04/24/2018
Grants Therese Stanley Additional Reviewer Completed 04/16/2018 11:19 AM
County Manager's Office Nick Casalanguida Level 4 County Manager Review Completed 04/16/2018 11:35 AM
Board of County Commissioners MaryJo Brock Meeting Pending 04/24/2018 9:00 AM
16.A.3
Packet Pg. 419
(Subject to the availability of funds and satisfactory progress of the project):
a. DEDUCTION
b. ADDITIONAL COSTS
c. MATCHING
d. OTHER RESEARCH (Add / Deduct Option)
e. OTHER (See REMARKS)
c. This award notice including terms and conditions, if any, noted below under REMARKS.
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 shall
prevail. Acceptance of the grant terms and conditions is acknowledged by the grantee when funds are drawn or otherwise
obtained from the grant payment system.
REMARKS (Other Terms and Conditions Attached - Yes No)
d. AMOUNT OF FINANCIAL ASSISTANCE THIS ACTION
c. Less Cumulative Prior Award(s) This Budget Period
a. d.
b. e.
c. f.
13. Total Federal Funds Awarded to Date for Project Period
14. RECOMMENDED FUTURE SUPPORT
Salaries and Wages ………………
Fringe Benefits ………………
Equipment
Supplies
Travel
Construction
TOTAL DIRECT COSTS
INDIRECT COSTS
TOTAL APPROVED BUDGET
Federal Share
Non-Federal Share
a.
b.
c.
d.
e.
f.
g.
h.
i.
j.
k.
l.
b.
21. a.
17. OBJ CLASS
b.
FY-ACCOUNT NO.
18a. VENDOR CODE
DOCUMENT NO.
18b. EIN
ADMINISTRATIVE CODE
19. DUNS
AMT ACTION FIN ASST
20. CONG. DIST.
APPROPRIATION
22. a.
23. a.
b.c.
c.
c.
d.
d.
d.
e.
e.
e.
Contractual …………………….………
Other …………………………….
…………………………….
…………………………….
…………………………….
…………………………….
Total Personnel Costs .…...….……
m.
n.
m)
YEAR TOTAL DIRECT COSTS YEAR TOTAL DIRECT COSTS
ALL AMOUNTS ARE SHOWN IN USD
II Total project costs including grant funds and all other financial participation b. Less Unobligated Balance From Prior Budget Periods
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 11
ALTERNATIVES:
15. PROGRAM INCOME SHALL BE USED IN ACCORD WITH ONE OF THE FOLLOWING
ON THE ABOVE TITLED PROJECT AND IS SUBJECT TO THE TERMS AND CONDITIONS INCORPORATED EITHER DIRECTLY
OR BY REFERENCE IN THE FOLLOWING:
16. THIS AWARD IS BASED ON AN APPLICATION SUBMITTED TO, AND AS APPROVED BY, THE FEDERAL AWARDING AGENCY
a. The grant program legislation.
b. The grant program regulations.
10b. FEDERAL PROJECT OFFICER10a. GRANTEE AUTHORIZING OFFICIAL
NOTICE OF AWARD
except that any additions or restrictions previously imposed remain
in effect unless specifically rescinded
Formerly
AUTHORIZATION (Legislation/Regulations)
4. GRANT NO.5.ACTION TYPE
6. PROJECT PERIOD
7. BUDGET PERIOD
9a. GRANTEE NAME AND ADDRESS 9b. GRANTEE PROJECT DIRECTOR
MM/DD/YYYY
MM/DD/YYYY MM/DD/YYYY
MM/DD/YYYY MM/DD/YYYY
1. DATE ISSUED CFDA NO.3. ASSISTANCE TYPE
1a. SUPERSEDES AWARD NOTICE dated
8. TITLE OF PROJECT (OR PROGRAM)
From Through
From Through
2.
Mr. J.Gary McAlpin
2800 North Horseshoe Drive
Naples, FL 34104
Phone: 239-252-5342
01/30/2021
1,532,077.76
Direct
Comprehensive Watershed Improvement Plan Project Development and Permitting
1 RDCGR060041-01-00
0.00
1,532,077.76
II
1,532,077.76
$1,532,077.76RDCRDC
1,532,077.76
Office of Gulf Coast Restoration
596000558
02/01/2018
New
02/01/2018
3
4
55
66
0.00
2
0.00
b
0.00
Mr. Nick Casalanguida
3299 Tamiami Trail East
Building F, 3rd Floor
Naples, FL 34112-4901
Phone: 239-252-6064
1299353
21.015
19
0.00
076997790
See next page
0.00
AUTHORIZING OFFICIAL:
01/31/2021
0.00
0.00
0.00
RDCGR060041
01/29/2018
1,532,077.76
1,532,077.76
Resources and Ecosystems Sustainability, Tourist Opportunities, and
Revived Economies of the Gulf Coast States
1500 Pennsylvania Ave., N.W.
Washington, DC 20220-0001
Ms. Marsha D Humphries
1500 Pennsylvania Avenue, NW
Washington, DC 20220
Phone: 2026222681
77
0.00
0.00
410001
Office of the Fiscal Assistant Secretary
U.S. DEPARTMENT OF THE TREASURY
Formula Grant
1,532,077.76
Collier County
3299 Tamiami Trl E Ste 700
Naples, FL 34112-5749
0.00
REMARKS:
This award is approved by Kristine Conrath, 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.
2 of
01/29/2018
1 RDCGR060041-01-00
2
PAGE DATE ISSUED
GRANT NO.
NOTICE OF AWARD (Continuation Sheet)
3
Federal Financial Report Cycle
Reporting Period Start Date Reporting Period End Date Reporting Type Reporting Period Due Date
02/01/2018 03/31/2018 Semi-Annual 04/30/2018
04/01/2018 09/30/2018 Annual 12/29/2018
10/01/2018 03/31/2019 Semi-Annual 04/30/2019
04/01/2019 09/30/2019 Annual 12/29/2019
10/01/2019 03/31/2020 Semi-Annual 04/30/2020
04/01/2020 09/30/2020 Annual 12/29/2020
10/01/2020 01/31/2021 Final 05/01/2021
RESTORE Act - FUNDING AUTHORIZATION
1.Funding Authorization Table
Amount of
Financial
Assistance
Amount of
Funding
Restriction
Amount of
Funding Added to
the Award
Amount
Authorized for
ASAP Account
Notes
$1,532,077.76 $0.00 $1,532,077.76 $1,532,077.76 Initial
Authorization
Special Award Conditions
1.The following Special Award Conditions apply to this award:
Special Condition 1: Prior to the execution of all contracts for this project, Collier County must
submit to Treasury documentation, satisfactory to Treasury, including a copy of the RFP (or similar),
bid review documentation, signed conflict of interest forms, and draft contract for OGCR review for
each contract procured under this award.
Special Condition 2: Collier County agrees to receive award funds on a reimbursement payment
method. Collier County will remain on the reimbursement payment method until it submits to
Treasury evidence, satisfactory to Treasury, that it maintains policies and procedures meeting the
requirements of 2 CFR § 200.305 including, but not limited to, providing reasonable assurance that
drawdowns of federal cash are only for immediate cash needs.
Special Condition 3: Within 90 days of the project period start date of this award, Collier County
must submit to Treasury evidence, satisfactory to Treasury, that Collier County maintains written
policies and procedures for reconciling the SF-425 to supporting financial data, performing
management review of the SF-425 report prior to submittal to the Federal awarding agency, and
submitting performance reports at the required interval, including interim reporting, as applicable.
3 of
01/29/2018
1 RDCGR060041-01-00
3
PAGE DATE ISSUED
GRANT NO.
NOTICE OF AWARD (Continuation Sheet)
3
1.
2.
RESTORE Act Terms and Conditions
Scope of Work
AWARD ATTACHMENTS
Collier County 1 RDCGR060041-01-00
RESTORE ACT
FINANCIAL ASSISTANCE STANDARD TERMS
AND CONDITIONS AND PROGRAM-SPECIFIC
TERMS AND CONDITIONS
U.S. Department of the Treasury
August 2017
TABLE OF CONTENTS
RESTORE ACT FINANCIAL ASSISTANCE STANDARD TERMS AND CONDITIONS AND PROGRAM-
SPECIFIC TERMS AND CONDITIONS ....................................................................................................... 1
A PROGRAM-SPECIFIC TERMS AND CONDITIONS - AWARDS UNDER THE DIRECT
COMPONENT .................................................................................................................................. 2
B PROGRAM-SPECIFIC TERMS AND CONDITIONS - AWARDS UNDER THE CENTERS OF
EXCELLENCE RESEARCH GRANTS PROGRAM ........................................................................ 3
STANDARD TERMS AND CONDITIONS - AWARDS UNDER THE DIRECT COMPONENT AND
AWARDS UNDER THE CENTERS OF EXCELLENCE RESEARCH GRANTS PROGRAM
C FINANCIAL REQUIREMENTS ........................................................................................................ 4
D RECIPIENT REPORTING AND AUDIT REQUIREMENTS ............................................................. 7
E FINANCIAL MANAGEMENT SYSTEM AND INTERNAL CONTROL REQUIREMENTS ............... 9
F RECORDS RETENTION REQUIREMENTS ................................................................................. 10
G THE FEDERAL GOVERNMENT’S RIGHT TO INSPECT, AUDIT, AND INVESTIGATE .............. 11
H AWARD DISBURSEMENT ............................................................................................................ 12
I EFFECT OF A GOVERNMENT SHUTDOWN ON DISBURSEMENTS AND THE AVAILABILITY
OF TREASURY PERSONNEL ...................................................................................................... 13
J NOTIFICATIONS AND PRIOR APPROVALS ............................................................................... 13
K PROPERTY ................................................................................................................................... 14
L AMENDMENTS AND CLOSEOUT ................................................................................................ 15
M REMEDIES FOR NONCOMPLIANCE ........................................................................................... 16
N DEBTS ........................................................................................................................................... 17
O NON-DISCRIMINATION REQUIREMENTS .................................................................................. 18
P REQUIREMENT TO CHECK DEBARMENT AND SUSPENSION STATUS OF SUBRECIPIENTS,
CONTRACTORS, SUBCONTRACTORS AND VENDORS .......................................................... 20
Q DRUG FREE WORKPLACE .......................................................................................................... 20
R LOBBYING RESTRICTIONS ......................................................................................................... 20
S PROCUREMENT ........................................................................................................................... 22
T RESEARCH INVOLVING HUMAN SUBJECTS ............................................................................ 23
U ENVIRONMENTAL REQUIREMENTS .......................................................................................... 23
V MISCELLANEOUS REQUIREMENTS AND PROVISIONS .......................................................... 24
SUPPLEMENTAL STANDARD TERMS AND CONDITIONS - AWARDS UNDER THE DIRECT
COMPONENT FOR ACQUISTION AND IMPROVEMENTS TO REAL PROPERTY
W ACQUISITION AND IMPROVEMENTS TO REAL PROPERTY ................................................... 34
August 2017 Page 1
RESTORE ACT FINANCIAL ASSISTANCE STANDARD TERMS AND
CONDITIONS AND PROGRAM-SPECIFIC TERMS AND CONDITIONS
PREFACE
The grant agreement is comprised of the following documents:
1. A Notice of Award from the Department of the Treasury (“Treasury”);
2. The RESTORE Act Financial Assistance Standard Terms and Conditions (“Standard Terms and
Conditions”);
3. The RESTORE Act Financial Assistance Program-Specific Terms and Conditions (“Program-
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,
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
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
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
Law No. 112-141 (July 6, 2012)), Treasury’s RESTORE Act regulations (79 Fed. Reg. 48039
(Aug. 15, 2014) and 79 Fed. Reg. 61236 (Oct. 10, 2014), codified at 31 C.F.R. Part 34)), and/or 2 C.F.R.
Part 200.
August 2017 Page 2
A PROGRAM-SPECIFIC TERMS AND CONDITIONS - AWARDS UNDER THE DIRECT
COMPONENT
In addition to all the Standard Terms and Conditions described in Sections C through V of this
document, all Treasury RESTORE Act awards made under the Direct Component include the
following Program-Specific Terms and Conditions in this Section A:
1. Administrative Costs
a. Administrative costs are defined at 31 C.F.R. § 34.2.
b. Under no circumstances may the recipient use more than three percent of the
Award funds received for administrative costs. Administrative costs do not
include indirect costs that are identified specifically with, or readily assignable to
facilities, as defined in 2 C.F.R. § 200.414. Costs borne by subrecipients do not
count toward the three percent cap.
c. Up to 100 percent of program income may be used to pay for allowable
administrative costs, subject to the three percent cap.
2. Oil Spill Liability Trust Fund
The recipient must not seek any compensation for the approved program or project from
the Oil Spill Liability Trust Fund. If the recipient is authorized to make subawards, the
recipient must not use Direct Component funds to make subawards to fund activities for
which any claim for compensation was filed and paid out by the Oil Spill Liability Trust
Fund after July 6, 2012.
3. Remedies for Noncompliance
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
for activities, projects, or programs other than Direct Component activities,
projects, or programs, until the recipient has either (1) deposited an amount
equal to the amount expended for the ineligible activities in the Trust Fund, or (2)
Treasury has authorized the recipient to expend an equal amount from the
recipient’s own funds for an activity that meets the requirements of the
RESTORE Act.
b. If Treasury determines the recipient has materially violated the terms of this
Award, Treasury will make no additional funds available to the recipient from any
part of the Trust Fund until the recipient corrects the violation.
August 2017 Page 3
B PROGRAM-SPECIFIC TERMS AND CONDITIONS - AWARDS UNDER THE CENTERS OF
EXCELLENCE RESEARCH GRANTS PROGRAM
In addition to all the Standard Terms and Conditions described in Sections C through V of this
document, all Treasury RESTORE Act awards under the Centers of Excellence Research Grants
Program include the following Program-Specific Terms and Conditions in this Section B:
1. Allowable Costs
In addition to the prohibitions contained in 2 C.F.R. Part 200, Subpart E (Cost Principles),
the following costs are unallowable unless approved in writing by Treasury:
a. Construction, including the alteration, repair, or rehabilitation of existing
structures. Facilities costs are allowable as indirect costs in a federally approved
negotiated indirect cost rate.
b. Acquisition of land or interests in land.
2. Notifications
a. If the selection of a Center or Centers of Excellence occurs after the start date of
this Award, the recipient must promptly inform Treasury of the following:
i. Name of the Center of Excellence and the entity selected to administer it,
including the names of member organizations if the entity is a
consortium;
ii. The DUNS Number of the entity;
iii. Location of the entity;
iv. Discipline or disciplines assigned to the Center of Excellence;
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.
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
In addition to the reporting requirements in Section D, the recipient must submit an annual
report to the Gulf Coast Ecosystem Restoration Council (“Council”), in a form prescribed
by the Council that includes information on subrecipients, subaward amounts, disciplines
addressed, and any other information required by the Council. When the subrecipient is a
consortium, the annual report must also identify the consortium members. The recipient
must provide a copy of this report to Treasury when it submits the report to the Council.
August 2017 Page 4
STANDARD TERMS AND CONDITIONS
AWARDS UNDER THE DIRECT COMPONENT AND THE CENTERS OF EXCELLENCE RESEARCH
GRANTS PROGRAM
C FINANCIAL REQUIREMENTS
1. Applicable Regulations
This Award is subject to the following federal regulations and requirements. This list is not
exclusive:
a. Uniform Administrative Requirements, Cost Principles, and Audit Requirements
for Federal Awards, 2 C.F.R. Part 200, Subparts A through F, and any Treasury
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.
g. Award Term related to Trafficking in Persons, 2 C.F.R. Part 175.
2. Scope of Work
The recipient must only use funds obligated and disbursed under this Award for the
purpose of carrying out activities described in the attached approved scope of work. The
recipient must not incur or pay any expenses under this Award for activities not related to
the attached approved scope of work unless Treasury first approves an Award
amendment explicitly modifying the approved scope of work to include those activities.
3. Period of Performance; Pre-award Costs
The recipient must use funds obligated and disbursed under this Award only during the
period of performance specified in the Notice of Award, which is the time period during
which the recipient may incur new obligations and costs to carry out the work authorized
under this Award. The only exception is for costs incurred prior to the effective date of
this Award, which are allowable only if:
a. Treasury specifically authorized these costs in writing on or after the issuance
date of this Award;
b. Incurring these costs was necessary for the efficient and timely performance of
the scope of work; and
c. These costs would have been allowable if incurred after the date of the award.
4. Indirect Costs
a. The recipient may only charge indirect costs to this Award if these costs are
allowable under 2 C.F.R. Part 200, subpart E (Cost Principles).
August 2017 Page 5
b. Indirect costs charged must be consistent with an accepted de minimis rate or
the indirect cost rate agreement negotiated between the recipient and its
cognizant agency (defined as the federal agency that is responsible for
reviewing, negotiating, and approving cost allocation plans or indirect cost
proposals, see 2 C.F.R. § 200.19) and must be included in the recipient’s budget.
c. Unallowable direct costs are not recoverable as indirect costs.
d. The maximum dollar amount of allocable indirect costs charged to this Award
shall be the lesser of:
i. The line item amount for the indirect costs contained in the approved
budget, including all budget revisions approved in writing by the
Treasury; or,
ii. The total indirect costs allocable to this Award based on the indirect cost
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.
5. Cost Sharing and Budget Limitations
a. The recipient is not required to contribute any matching funds.
b. The recipient shall not request or receive additional funding beyond what was
included in the approved application for the attached approved scope of work
from any federal or non-federal source without first notifying Treasury.
6. Program Income
Any program income (defined at 2 C.F.R. § 200.80) generated by the recipient or the
subrecipient during the period of performance of the award or subrecipient agreement,
as applicable, must be included in the approved budget and be used for the purposes
and under the conditions of these Standard Terms and Conditions and any Special
Award Conditions, i.e. solely to accomplish the approved scope of work.
7. Incurring Costs or Obligating Federal Funds Beyond the Expiration Date
The recipient must not incur costs or obligate funds under this Award for any purpose
pertaining to the operation of the activity, project, or program beyond the end of the
period of performance. The only costs which are authorized for a period up to 90 days
following the end of the period of performance are those strictly associated with close-out
activities. Close-out activities are normally limited to the preparation of final progress,
financial, and required audit reports unless otherwise approved in writing by Treasury.
Under extraordinary circumstances, and at Treasury’s sole discretion, Treasury may
approve the recipient’s request for an extension of the 90-day closeout period.
8. Tax Refunds
Refunds of taxes paid under the Federal Insurance Contributions Act (FICA) and the
Federal Unemployment Tax Act (FUTA) that are received by the recipient during or after the
period of performance must be refunded or credited to Treasury if these taxes were paid out
of RESTORE Act funds in accordance with 2 C.F.R. Part 200, subpart E (Cost Principles).
The recipient agrees to contact Treasury immediately upon receipt of these refunds.
August 2017 Page 6
9. Subawards
a. If the recipient is permitted to make subawards under this award, the recipient
must execute a legally binding written agreement with the subrecipient. This
agreement must incorporate all the terms and conditions of this Award, including
any Special Award Conditions, and must include the information at 2 C.F.R. §
200.331. The recipient must perform all responsibilities required of a pass-
through entity, as specified in 2 C.F.R. Part 200.
b. The recipient must evaluate and document each subrecipient’s risk of
noncompliance with federal statutes, federal regulations, and the terms and
conditions of the subaward for purposes of determining the appropriate
subrecipient monitoring strategy, as described in 2 C.F.R. § 200.331(b).
c. The recipient must monitor the subrecipient’s use of federal funds through
reporting, site visits, regular contact, or other means to provide reasonable
assurance that the subrecipient is administering the subaward in compliance with
the RESTORE Act, Treasury’s RESTORE Act regulations, these Standard Terms
and Conditions, Program-Specific Terms and Conditions, and any Special Award
Conditions, and to ensure that performance goals are achieved.
d. The recipient must provide training and technical assistance to the subrecipient
as necessary.
e. The recipient must, if necessary, take appropriate enforcement actions against
non-compliant subrecipients.
f. If lower tier subawards are authorized by Treasury, the recipient must ensure that
a subrecipient who makes a subaward applies the terms and conditions of this
Award, including any Special Award Conditions, to all lower tier subawards, and
that a subrecipient who makes a subaward carries out all the responsibilities of a
pass-through entity described at 2 C.F.R. Part 200.
g. The recipient must maintain written standards of conduct governing the
performance of its employees involved in executing this Award and
administration of subawards.
i. No employee, officer, or agent shall participate in the selection, award, or
administration of a subaward supported by federal funds if a real or
apparent conflict of interest would be involved. Such a conflict would
arise when the employee, officer, or agent, any member of his or her
immediate family, his or her partner, or an organization in which he/she
serves as an officer or which employs or is about to employ any of the
parties mentioned in this section, has a financial interest or other interest
in the organization selected or to be selected for a subaward.
ii. The officers, employees, and agents of the recipient shall neither solicit
nor accept anything of monetary value from subrecipients.
iii. A recipient may set standards for situations in which the financial interest
is not substantial or the gift is an unsolicited item of nominal value. A
financial interest may include employment, stock ownership, a creditor or
debtor relationship, or prospective employment with the organization
selected or to be selected for a subaward.
iv. The standards of conduct must provide for disciplinary actions to be
applied for violations of such standards by officers, employees, or agents
of the recipient.
August 2017 Page 7
D RECIPIENT REPORTING AND AUDIT REQUIREMENTS
1. Financial Reports
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
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
budget category the use of all funds received.
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.
2. Performance Reports
a. The recipient must submit an SF-PPR (“Performance Progress Report”), a
“RESTORE Act Status of Performance Report,” (standard format provided by
Treasury, OMB Approval No. 1505-0250) and an updated “RESTORE Act
Milestones Report,” (standard format provided by Treasury, OMB Approval No.
1505-0250) on a semi-annual basis for the periods ending March 31 and
September 30 (or June 30 and December 31, if instructed by Treasury), or any
portion thereof, unless otherwise specified in a Special Award Condition. Reports
are due no later than 30 days following the end of each reporting period, except
the final report, which is due 90 days following the end of the period of
performance.
b. The recipient must submit all performance reports in (a) above, via
http://www.GrantSolutions.gov, unless otherwise specified in writing by Treasury,
and the recipient must complete these reports according to the following
instructions:
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;
2) Summarize any key accomplishments, including milestones
completed for the reporting period;
3) List any contracts awarded during the reporting period, along
with the name of the contractor and its principal, the DUNS
number of the contractor, the value of the contract, the date of
award, a brief description of the services to be provided, and
whether or not local preference was used in the selection of the
contractor; and
4) If the recipient is authorized to make subawards, list any
subawards executed during the reporting period, along with the
name of the entity and its principal, the DUNS number of the
entity, the value of the agreement, the date of award, and a brief
August 2017 Page 8
description of the scope of work.
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
2) Summarize any challenges that have impeded the recipient’s
ability to accomplish the approved scope of work on schedule
and on budget.
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:
Describe any activities to disseminate or publicize results of the activity,
project, or program, including data and its repository and citations for
publications resulting from this Award.
e) In Section B-5:
1) Describe all efforts taken to monitor contractor and/or
subrecipient performance, including site visits, during the
reporting period.
2) For subawards, indicate whether the subrecipient submitted
an audit to the recipient, and if so, whether the recipient
issued a management decision on any findings; and
3) Describe any other activities or relevant information not already
provided.
f) In Section B-6:
Summarize the activities planned for the next reporting period.
ii. “RESTORE Act Status of Performance Report”: Instructions are
provided on the report form.
iii. “RESTORE Act Milestones Report”: Instructions are provided on the
report form.
3. Interim Reporting on Significant Developments per 2 C.F. R. § 200.328(d)
a. Events may occur between the scheduled performance reporting dates that have
significant impact upon the activity, project, or program. In such cases, the
recipient must inform Treasury as soon as the following types of conditions
become known:
i. Problems, delays, or adverse conditions which will materially impair the
ability to meet the objective of this Award. This disclosure must include a
statement of the action taken, or contemplated, and any assistance
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.
August 2017 Page 9
b. The recipient must:
i. Promptly provide to Treasury and the Treasury Inspector General a copy
of all state or local inspector general reports, audit reports other than
those prepared under the Single Audit Act, and reports of any other
oversight body, if such report pertains to an award under any RESTORE
Act component, including the Comprehensive Plan Component and Spill
Impact Component.
ii. Immediately notify Treasury and the Treasury Inspector General of any
indication of fraud, waste, abuse, or potentially criminal activity pertaining
to grant funds.
iii. Promptly notify Treasury upon the selection of a contractor or
subrecipient performing work under this Award, and include the name
and DUNS number for the subrecipient or contractor, and the total
amount of the contract or subaward.
4. Audit Requirements
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. Operational Self-Assessment
The recipient must submit a revised Operational Self-Assessment form no later than June
30th of each calendar year for the duration of this Award. Only one Operational Self-
Assessment must be submitted per recipient per year. In completing the form, the
recipient must note controls or activities that have changed from its previous submission.
The recipient must submit the Operational Self-Assessment electronically to
restoreact@treasury.gov, unless otherwise specified in writing by Treasury. The form
may be downloaded at https://www.treasury.gov/services/restore-
act/Pages/Direct%20Component/DirectComponent.aspx.
E FINANCIAL MANAGEMENT SYSTEM AND INTERNAL CONTROL REQUIREMENTS
1. Recipients that are states must expend and account for Award funds in accordance with
the applicable state laws and procedures for expending and accounting for the state’s
own funds. All other recipients must expend and account for Award funds in
accordance with federal laws and procedures. In addition, all recipients’ financial
management systems must be sufficient to:
a. Permit the preparation of accurate, current, and complete SF-425, SF-PPR,
RESTORE Act Milestones Report, and RESTORE Act Status of Performance
Reports, as well as reporting on subawards, if applicable, and any additional
reports required by any Special Award Conditions;
b. Permit the tracing of funds to a level of expenditures adequate to establish that
such funds have been used in accordance with all applicable federal, state, and
local requirements, including the RESTORE Act, Treasury RESTORE Act
regulations, these Standard Terms and Conditions, Program-Specific Terms and
Conditions, and any Special Award Conditions.
c. Allow for the comparison of actual expenditures with the amount budgeted for
each Award made to the recipient by Treasury under the RESTORE Act.
August 2017 Page 10
d. Identify and track all RESTORE Act awards received and expended by the
assigned grant number, which is the Universal Award ID (as provided by
Treasury), the year the Award was made, the awarding agency (Treasury), and
the program’s CFDA title and CFDA number (21.015).
e. Record the source and application of funds for all activities funded by this Award,
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
purposes.
2. The recipient must establish written procedures to implement the requirements set forth
in section H below (Award Disbursement), as well as written procedures to determine the
allowability of costs in accordance with 2 C.F.R. Part 200, subpart E (Cost Principles) and
the terms and conditions of this Award.
3. The recipient must establish and maintain effective internal controls over this Award in a
manner that provides reasonable assurance that the recipient is managing this Award in
compliance with the RESTORE Act, Treasury’s RESTORE Act regulations, these
Standard Terms and Conditions, Program-Specific Terms and Conditions, and any
Special Award Conditions. These internal controls should be in compliance with guidance
in “Standards for Internal Control in the Federal Government” issued by the Comptroller
General of the United States or the “Internal Control Integrated Framework”, issued by
the Committee of Sponsoring Organizations of the Treadway Commission (COSO). The
recipient must evaluate and monitor its compliance, and the compliance of any
subrecipients, with the RESTORE Act, Treasury’s RESTORE Act regulations, these
Standard Terms and Conditions, Program-Specific Terms and Conditions, and any
Special Award Conditions, and promptly remedy any identified instances of
noncompliance. When and if an instance of noncompliance cannot be remedied by the
recipient, the recipient must promptly report the instance of noncompliance to Treasury
and the Treasury Inspector General, followed by submitting a proposed mitigation plan to
Treasury.
4. The recipient must take reasonable measures to safeguard protected personally
identifiable information (PII) consistent with applicable federal, state, and local laws
regarding privacy and obligations of confidentiality.
F RECORDS RETENTION REQUIREMENTS
1. The recipient must retain all records pertinent to this Award for a period of three years,
beginning on a date as described in 2 C.F.R. § 200.333. While electronic storage of
records (backed up as appropriate) is preferable, the recipient has the option to store
records in hardcopy (paper) format. For the purposes of this section, the term “records”
includes but is not limited to:
a. Copies of all contracts and all documents related to a contract, including the
Request for Proposal (RFP), all proposals/bids received, all meeting minutes or
other documentation of the evaluation and selection of contractors, any disclosed
conflicts of interest regarding a contract, all signed conflict of interest forms, all
conflict of interest and other procurement rules governing a particular contract,
and any bid protests;
August 2017 Page 11
b. Copies of all subawards, including the funding opportunity announcement or
equivalent, all applications received, all 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);
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;
e. All supporting documentation for the performance outcome and other information
reported on the recipient’s SF-425s, SF-PPRs, RESTORE Act Milestones
Reports, and RESTORE Act Status of Performance Reports; and
f. Any reports, publications, and data sets from any research conducted under this
Award.
2. If any litigation, claim, investigation, or audit relating to this Award or an activity funded
with Award funds is started before the expiration of the three year period, the records
must be retained until all litigation, claims, investigations, or audit findings involving the
records have been resolved and final action taken.
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
agreement with the subrecipient a requirement that the subrecipient retain all records in
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
also includes timely and reasonable access to the recipient’s personnel for the
purpose of interview and discussion related to such documents. This right of
access shall continue as long as records are required to be retained.
b. If the recipient is authorized to make subawards, the recipient must include in its
legal agreement or contract with the subrecipient a requirement that the
subrecipient make available to Treasury, the Treasury Office of Inspector
General, and the Government Accountability Office any documents, papers or
other records, including electronic records, of the subrecipient, that are pertinent
to this Award, in order to make audits, investigations, examinations, excerpts,
transcripts, and copies of such documents. This right also includes timely and
reasonable access to the subrecipient’s personnel for the purpose of interview
and discussion related to such documents. This right of access shall continue as
long as records are required to be retained (see Section F above).
c. 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
August 2017 Page 12
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
Award, in order to make audits, investigations, examinations, excerpts,
transcripts, and copies of such documents. This right also includes timely and
reasonable access to the contractor’s personnel for the purpose of interview and
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
unannounced onsite and offsite physical visits of recipients and their subrecipients and
contractors corresponding to the duration of their records retention obligation for this
Award.
H AWARD DISBURSEMENT
1. Unless otherwise specified in a Special Award Condition, Treasury will make advance
payments under this Award. However, if one of the following occurs, Treasury will
require Award funds to be disbursed on a reimbursement basis either with or without
pre-approval of drawdown requests: (1) Treasury determines that the recipient does
not meet the financial management system standards (see Section E) included in
these Standard Terms and Conditions, (2) Treasury determines that the recipient has
not established procedures that will minimize the time elapsing between the transfer of
funds and disbursement, or (3) Treasury determines that the recipient is in
noncompliance with the RESTORE Act, Treasury’s RESTORE Act regulations, other
pertinent federal statutes, these Standard Terms and Conditions, Program-Specific
Terms and Conditions, and/or any Special Award Conditions, and determines that the
appropriate remedy is to require payment on a reimbursement basis.
2. If reimbursement is used, Treasury may require pre-approval of drawdown requests. If
Treasury requires pre-approval of drawdown requests, Treasury will provide the
recipient with instructions on what billing to submit. Treasury will make payment
within 30 calendar days after receipt of the billing, unless Treasury determines the
request to be improper, in which case payment will not be made.
3. To the extent available, the recipient must disburse funds available from program
income, rebates, refunds, contract settlements, audit recoveries, and interest earned
on such funds before requesting additional cash payments of Award funds.
4. Treasury will use the Department of Treasury’s Automated Standard Application for
Payment (ASAP) system to disburse payments of Award funds. In order to receive
payments, the recipient must first enroll in ASAP.gov. Treasury creates and funds
account(s) for recipients in ASAP.gov, and recipients access their account(s) online to
request funds. All Award funds will be disbursed electronically using the Automated
Clearing House (ACH) for next day or future day payments only. Awards paid through
ASAP.gov may contain controls or withdrawal limits set by Treasury.
5. Requirements applicable to recipients that are states: Payment methods of state
agencies or instrumentalities must be consistent with Treasury-State agreements under
the Cash Management Improvement Act, 31 C.F.R. Part 205 “Rules and Procedures for
Efficient Federal-State Funds Transfers,” and Treasury Financial Manual (TFM) 4A-2000
Overall Disbursing Rules for All Federal Agencies.
6. Requirements applicable to recipients that are not states: The recipient must minimize
August 2017 Page 13
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.
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
for the Award funds. Consistent with the national goal of expanding opportunities for
women-owned and minority-owned business enterprises, the recipient is encouraged to
ensure fair consideration of women-owned and minority-owned banks (a bank which is
owned at least 50 percent by women or minority group members).
8. The recipient must maintain advances of federal funds in interest bearing accounts,
unless one of the following conditions applies:
a. The recipient receives less than $120,000 in federal awards per year;
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
c. The depository would require an average or minimum balance so high that it
would not be feasible within the expected federal and non-federal cash
resources.
9. On an annual basis, the recipient must remit interest earned on federal advance
payments deposited in interest-bearing accounts to the Department of Health and Human
Services, Payment Management System, Rockville, MD 20852. Interest amounts up to
$500 per year may be retained by the recipient and used for administrative costs.
I EFFECT OF A GOVERNMENT SHUTDOWN ON DISBURSEMENTS AND THE AVAILABILITY
OF TREASURY PERSONNEL
In the event of a federal government shutdown, Treasury will issue guidance to the recipient
concerning the expected effects on this Award.
J NOTIFICATIONS AND PRIOR APPROVALS
1. Notifications
In addition to other notifications required under these Standard Terms and Conditions,
the recipient must promptly notify Treasury in writing whenever any of the following is
anticipated or occurs:
a. A vacancy or change to key personnel listed in the application.
b. Any termination of a subaward prior to the expiration of the agreement with the
subrecipient.
c. Except for changes described in (2) below, the recipient may revise the budget
without prior approval. If the recipient alters the budget, the recipient must
August 2017 Page 14
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.
2. Prior Approvals
a. The recipient must obtain prior written approval from Treasury whenever any of
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,
or program;
iv. The transfer of funds among direct cost categories or programs,
functions, and activities if this Award exceeds the Simplified
Acquisition Threshold (defined at 2 C.F.R. § 200.88) and the
cumulative amount of such transfers exceeds or is expected to
exceed 10 percent of the total budget as last approved by Treasury;
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
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.
K PROPERTY
1. General Requirements
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.
2. Supplies and Equipment
a. Requirements that are applicable to recipients that are states:
i. Equipment: The recipient must use, manage, and dispose of equipment
acquired under this Award in accordance with state laws and
August 2017 Page 15
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
needed for any other federal award, the recipient must report the value
and the retention or sale of such supplies by submitting to Treasury a
completed SF-428 Tangible Personal Property Report and SF-428-B
Final Report Form no later than 60 days after the end of the Period of
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
residual supplies is greater than $5,000 per unit. The recipient must
seek disposition instructions before disposing of the property by
submitting a completed SF-428 Tangible Personal Property Report
and SF-428-C Disposition Request/Report. Not later than 60 days
after the end of the period of performance, the recipient must submit
to Treasury a completed SF-428 Tangible Personal Property Report
and SF-428-B 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
any other federal award.
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.
c. Amendments must be requested in writing, and must include an explanation for
the reason this Award should be amended.
2. Closeout
a. Treasury will close out this Award when it determines that all applicable
administrative actions and all required work of this Award have been completed.
Within 90 calendar days after the end of the period of performance, 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, unless the recipient requests, and Treasury approves, an
extension.
b. The recipient must liquidate all obligations incurred under this Award not later
than 90 calendar days after the end of the period of performance, unless the
recipient requests, and Treasury approves, an extension.
c. The recipient must promptly refund any balances of unobligated cash that
August 2017 Page 16
Treasury paid.
d. Within 90 days after receipt of reports in paragraph (a) of this section, Treasury
will make upward or downward adjustments to the allowable costs, and then
make prompt payment to the recipient for allowable, unreimbursed costs.
f. The closeout of this Award does not affect any of the following:
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
cost rate adjustments;
iii. The recipient’s obligations regarding audits, property management and
disposition (if applicable), and records retention.
M REMEDIES FOR NONCOMPLIANCE
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-
Specific Terms and Conditions, or any Special Award Conditions, Treasury may take any
of the following actions (in addition to the remedies in Section A.3, above, applicable to
Direct Component awards):
a. Impose additional Special Award Conditions such as:
i. Allowing payment only on a reimbursement basis, with pre-approval of
drawdown requests,
ii. Requiring additional reporting or more frequent submission of the SF-
425, SF-PPR, or RESTORE Act Status of Performance Report,
iii. Requiring additional activity, project, or program monitoring,
iv. Requiring the recipient or one or more of its subrecipients to obtain
technical or management assistance, and/or
v. Establishing additional actions that require prior approval;
b. Temporarily withhold payments pending correction of the noncompliance;
c. Disallow from funding from this Award all or part of the cost of the activity or
action not in compliance;
d. Wholly or partly suspend or terminate this Award;
e. Withhold additional Awards; and/or
f. Initiate suspension or debarment proceedings as authorized under 2 C.F.R. Part
180.
Treasury will notify the recipient in writing of Treasury’s proposed determination that an
instance of noncompliance has occurred, provide details regarding the instance of
noncompliance, and indicate the remedy that Treasury proposes to pursue. The recipient
will have 30 calendar days to respond and provide information and documentation
contesting Treasury’s proposed determination or suggesting an alternative remedy.
Treasury will consider any and all information provided by the recipient and issue a final
determination in writing, which will state Treasury’s final findings regarding
noncompliance and the remedy to be imposed.
2. In extraordinary circumstances, Treasury may require that any of the remedies above
take effect immediately upon notice in writing to the recipient. In such cases, the recipient
may contest Treasury’s determination or suggest an alternative remedy in writing to
August 2017 Page 17
Treasury, and Treasury will issue a final determination.
3. Instead of, or in addition to, the remedies listed above, Treasury may refer the
noncompliance to the Treasury Office of Inspector General for investigation or audit.
Treasury will refer all allegations of fraud, waste, or abuse to the Treasury Inspector
General.
4. Treasury may terminate this Award in accordance with 2 C.F.R. § 200.339. Requests for
termination by the recipient must also be in accordance with 2 C.F.R. § 200.339. Such
requests must be in writing and must include the reasons for such termination, the
effective date, and in the case of partial termination, the portion to be terminated. If
Treasury determines that the remaining portion of this Award will not accomplish the
purpose of this Award, Treasury may terminate this Award in its entirety.
5. If this Award is terminated, Treasury will update or notify any relevant government-wide
systems or entities of any indications of poor performance as required by 41 U.S.C. §
417b and 31 U.S.C. § 3321 and implementing guidance at 2 C.F.R. Part 180.
6. Costs that result from obligations incurred by the recipient during a suspension or after
termination are not allowable unless Treasury expressly authorizes them in the notice of
suspension or termination or subsequently. However, costs during suspension or after
termination are allowable if: (1) the costs result from obligations which were properly
incurred by the recipient before the effective date of suspension or termination, and are
not in anticipation of it; and (2) the costs would be allowable if the Award was not
suspended or expired normally at the end of the period of performance in which the
termination takes effect.
N DEBTS
1. Payment of Debts Owed the Federal Government
a. Any funds paid to the recipient in excess of the amount to which the recipient is
finally determined to be authorized to retain under the terms of this Award
constitute a debt to the federal government.
b. Any debts determined to be owed the federal government must be paid promptly
by the recipient. A debt is delinquent if it has not been paid by the date specified
in Treasury’s initial written demand for payment, unless other satisfactory
arrangements have been made. Interest, penalties, and administrative charges
(see paragraphs c, d, and e below) shall be charged on delinquent debts in
accordance with 31 U.S.C. § 3717 and 31 C.F.R. § 901.9. Treasury will refer any
debt that is more than 180 days delinquent to Treasury’s Bureau of the Fiscal
Service for debt collection services.
c. The minimum annual interest rate to be assessed on any debts is the Department
of the Treasury’s Current Value of Funds Rate (CVFR). The CVFR is available
online at https://www.fiscal.treasury.gov/fsreports/rpt/cvfr/cvfr_home.htm . The
assessed rate shall remain fixed for the duration of the indebtedness, based on
the beginning date in Treasury’s written demand for payment.
d. Penalties on any debts shall accrue at a rate of not more than 6 percent per year
or such other higher rate as authorized by law.
e. Administrative charges, that is, the costs of processing and handling a delinquent
debt, shall be determined by Treasury.
f. Funds for payment of a debt must not come from other federally sponsored
programs. Verification that other federal funds have not been used will be made,
e.g., during on-site visits and audits.
August 2017 Page 18
2. Effect of Judgment Lien on Eligibility for Federal Grants, Loans, or Programs
Pursuant to 28 U.S.C. § 3201(e), unless waived in writing by Treasury, a debtor who has
a judgment lien against the debtor’s property for a debt to the United States shall not be
eligible to receive any grant or loan that is made, insured, guaranteed, or financed
directly or indirectly by the United States or to receive funds directly from the federal
government in any program, except funds to which the debtor is entitled as beneficiary,
until the judgment is paid in full or otherwise satisfied.
O NON-DISCRIMINATION REQUIREMENTS
No person in the United States shall, on the ground of race, color, national origin, handicap, age,
religion, or sex, be excluded from participation in, be denied the benefits of, or be subject to
discrimination under any program or activity receiving federal financial assistance. The recipient
is required to comply with all non-discrimination requirements summarized in this section, and to
ensure that all subawards and contracts contain these nondiscrimination requirements.
1. Statutory Provisions
a. Title VI of the Civil Rights Act of 1964 (42 U.S.C. §§ 2000d et seq.) prohibits
discrimination on the grounds of race, color, or national origin under programs or
activities receiving federal financial assistance;
b. Title IX of the Education Amendments of 1972 (20 U.S.C. §§ 1681 et seq.)
prohibits discrimination on the basis of sex under federally assisted education
programs or activities;
c. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794)
prohibits discrimination on the basis of handicap under any program or activity
receiving or benefitting from federal assistance;
d. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101 et seq.),
prohibits discrimination on the basis of age in programs or activities receiving
federal financial assistance;
e. The Americans with Disabilities Act of 1990, as amended (42 U.S.C. §§ 12101 et
seq.) (“ADA”), including the ADA Amendments Act of 2008 (Public Law 110-325,
(“ADAAA”), prohibits discrimination on the basis of disability under programs,
activities, and services provided or made available by state and local
governments or instrumentalities or agencies thereto, as well as public or private
entities that provide public transportation;
f. Any other applicable non-discrimination law(s).
2. Regulatory Provisions
a. Treasury Title VI regulations, 31 C.F.R. Part 22, implement Title VI of the Civil
Rights Act of 1964, as amended (42 U.S.C. §§ 2000d, et seq.) which prohibits
discrimination on the grounds of race, color, or national origin under programs or
activities receiving federal financial assistance;
b. Treasury Title IX regulations, 31 Part 28, implement Title IX of the Education
Amendments of 1972 (20 U.S.C. §§ 1681 et seq.) which prohibits discrimination
on the basis of sex under federally assisted education programs or activities.
August 2017 Page 19
3. Other Provisions
a. Parts II and III of EO 11246 (30 Fed. Reg. 12319, 1965), “Equal Employment
Opportunity,” as amended by EO 11375 (32 Fed. Reg. 14303, 1967) and 12086
(43 Fed. Reg. 46501, 1978), require federally assisted construction contracts to
include the nondiscrimination provisions of §§ 202 and 203 of EO 11246 and
Department of Labor regulations implementing EO 11246 (41 C.F.R. § 60-1.4(b),
1991).
b. EO 13166 (August 11, 2000), “Improving Access to Services for Persons With
Limited English Proficiency,” requires federal agencies to examine the services
provided, identify any need for services to those with limited English proficiency
(LEP), and develop and implement a system to provide those services so LEP
persons can have meaningful access to them.
4. Title VII Exemption for Religious Organizations
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
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
carrying on by such corporation, association, educational institution, or society of its
activities.
5. Protections for Whistleblowers
In accordance with 41 U.S.C. § 4712, neither the recipient nor any of its subrecipients,
contractors (vendors), or subcontractors may discharge, demote, or otherwise
discriminate against an employee as a reprisal for disclosing information to a person or
entity listed below that the employee reasonably believes is evidence of gross
mismanagement of a federal contract or grant, a gross waste of federal funds, an abuse
of authority relating to a federal contract or grant, a substantial and specific danger to
public health or safety, or a violation of law, rule, or regulation related to a federal
contract (including the competition for or negotiation of a contract) or grant:
a. A Member of Congress or a representative of a committee of Congress;
b. An Inspector General;
c. The Government Accountability Office;
d. A Treasury employee responsible for contract or grant oversight or management;
e. An authorized official of the Department of Justice or other law enforcement
agency;
f. A court or grand jury; and/or
g. A management official or other employee of the recipient, subrecipient, vendor,
contractor (vendor), or subcontractor who has the responsibility to investigate,
discover, or address misconduct.
August 2017 Page 20
P REQUIREMENT TO CHECK DEBARMENT AND SUSPENSION STATUS OF
SUBRECIPIENTS, CONTRACTORS, SUBCONTRACTORS AND VENDORS
1. Recipients that are authorized to enter into subawards or contracts to accomplish all or a
portion of the approved scope of work must verify that a proposed subrecipient or
contractor (if the contract is expected to equal or exceed $25,000) or its principals, does
not appear on the federal government’s Excluded Parties List prior to executing an
agreement or contract with that entity. Recipients may not enter into a subaward or
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
the scope of work, if applicable, do not appear on the federal government’s Excluded
Parties List. Subrecipients and contractors may not enter into a contract or subcontract
with an entity, or that entity’s principals, if that entity or its principals appear on the
Excluded Parties List.
3. The recipient must include a term or condition in all lower tier covered transactions
(subawards, contracts, and subcontracts described in 31 C.F.R. Part 19, subpart B) that
the award is subject to 31 C.F.R. Part 19.
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,
as codified at 41 U.S.C. § 8102), and Treasury implementing regulations at 31 C.F.R. Part 20,
which require that the recipient take steps to provide a drug-free workplace.
R LOBBYING RESTRICTIONS
1. Lobbying Restrictions
a. Solely for the purposes of Section R of these Standard Terms and Conditions,
“recipient” is used as defined at 31 C.F.R. § 21.105(0). Solely for the purposes of
Section R of these Standard Terms and Conditions, “award recipient” refers to the
recipient of this RESTORE Act award from Treasury.
b. All recipients must comply with the provisions of 31 U.S.C. § 1352, as amended,
and with regulations at 31 C.F.R. Part 21. No appropriated funds may be expended
by the recipient of a Federal grant to pay any person for influencing or attempting to
influence an officer or employee of any agency, a Member of Congress, an officer
or employee of Congress, or an employee of a Member of Congress in connection
with the making of any Federal grant or the extension, continuation, renewal,
amendment, or modification of any Federal grant.
2. Certification
a. Each person who requests or receives from Treasury a RESTORE Act grant shall
file with Treasury a certification, set forth in Appendix A of 31 C.F.R. Part 21, that
the person has not made, and will not make, any payment prohibited under 31
U.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
August 2017 Page 21
this award, shall file with the tier above them a certification, set forth in appendix A
of 31 C.F.R. Part 21, that the subrecipient as not made, and will not make, any
payment prohibited by 31 C.F.R. § 21.100(a). Pursuant to 31 C.F.R. 21.100(d), the
certification shall be filed to the next tier above.
d. Any contractor or subcontractor, at any tier, who receives a contract or subcontract
exceeding $100,000 under this award, shall file with the tier above them a
certifications, set forth in Appendix A of 31 C.F.R. Part 21, that the contractor or
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.
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
representation shall be borne solely by the tier filing that representation and shall
not be shared with any tier to which the erroneous representation if forwarded.
Submitting an erroneous certification or disclosure constitutes a failure to file the
required certification. If a person fails to file a required certification, the United
States may pursue all available remedies, including those authorized by 31 U.S.C.
§ 1352.
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
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.
b. Every recipient of a subaward under this RESTORE Act grant f rom Treasury, if
this grant exceeds $100,000, shall file with the tier above it the disclosure form
SF-LLL, set forth in Appendix B of 31 C.F.R. Part 21, if that recipient has paid
or will pay any funds, other than Federal appropriated funds, to any person for
influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with this Federal grant. Each tier who receives the
completed and signed SF-LLL disclosure form shall forward it to the tier above
it, and the award recipient of this RESTORE Act grant f rom Treasury will
forward it to Treasury.
c. Every recipient of a contract or subcontract under this RESTORE Act grant
from Treasury, if this grant exceeds $100,000, shall file with the tier above it the
disclosure form SF-LLL, set forth in Appendix B of 31 C.F.R. Part 21, if that
recipient has paid or will pay any funds, other than Federal appropriated funds,
to any person for influencing or attempting to influence an officer or employee
of any agency, a Member of Congress, an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with this Federal grant. Each tier who
receives the completed and signed SF-LLL disclosure form shall forward it to
the tier above it, and the award recipient of this RESTORE Act grant from
Treasury will forward it to Treasury.
d. Every SF-LLL disclosure form filed shall be treated as a material representation
of fact upon which all receiving tiers shall rely. All liability arising from an
August 2017 Page 22
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,
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
reported include:
i. A cumulative increase of $25,000 or more in the amount paid or
expected to be paid for influencing or attempting to influence a covered
Federal action;
ii. A change in the persons(s) influencing or attempting to influence;
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
from subrecipients, contractors and subcontractors, to Treasury within 30
calendar days following the end of the calendar quarter in which the re occurs
any event that requires disclosure or that materially affects the accuracy of the
information contained in any disclosure form previously filed.
g. The award recipient must include a statement in all subaward, contracts and
subcontracts exceeding $100,000 in federal funds, that the subaward, contract,
or subcontract is subject to 31 U.S.C. § 1352,
h. The award recipient must require subrecipients, contractors and subcontractors
to submit form SF-LLL to the award recipient with 15 calendar days following
the end of the calendar quarter in which there occurs any event that requires
disclosure or that materially affects the accuracy of the information contained in
any disclosure from previously filed.
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
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
quantity acquired by the preceding fiscal year exceeded $10,000; procuring solid waste
management services in a manner that maximizes energy and resource recovery; and
establishing an affirmative procurement program for procurement of recovered materials
identified in the EPA guidelines.
2. When the recipient makes a subaward to a subrecipient that is authorized to enter into
contracts for the purpose of completing the subaward scope of work, the recipient must
require the subrecipient to comply with the requirements contained in this section.
3. Requirements applicable to recipients that are states: When executing procurement
August 2017 Page 23
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.
4. Requirements applicable to recipients that are not states: The recipient must follow all
procurement requirements set forth in 2 C.F.R. §§ 200.318, 200.319, 200.320, 200.321,
200.323, and 200.324. In addition, all contracts executed by the recipient to accomplish
the approved scope of work must contain any clauses required by federal statutes and
EOs and their implementing regulations, including all of the provisions listed in Appendix
II to 2 C.F.R. Part 200—Contract Provisions for Non-Federal Entity Contracts under
Federal Awards.
5. 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
other federal department, agency, or instrumentality without the prior written approval of
Treasury. Treasury will forward all requests to Treasury’s Office of General Counsel for
review before making a decision. Treasury will notify the recipient in writing of the final
determination.
T RESEARCH INVOLVING HUMAN SUBJECTS
1. No research involving human subjects is permitted under this Award unless expressly
authorized by a special award condition, or otherwise in writing by Treasury.
2. Federal policy defines a human subject as a living individual about whom an investigator
conducting research obtains (1) data through intervention or interaction with the
individual, or (2) identifiable private information. Research means a systematic
investigation, including research development, testing and evaluation, designed to
develop or contribute to generalizable knowledge.
3. The recipient must maintain appropriate policies and procedures for the protection of
human subjects. In the event it becomes evident that human subjects may be involved in
this project, the recipient must submit appropriate documentation to Treasury for approval
by the appropriate Treasury officials. This documentation may include:
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
d. Documentation of IRB approval of any modification to a prior approved protocol
or to an informed consent form.
4. No work involving human subjects may be undertaken, conducted, or costs incurred and/or
charged for human subjects research, until the appropriate documentation is approved in
writing by Treasury.
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
August 2017 Page 24
orders listed below in any agreement or contract with a subrecipient, and require the subrecipient
to comply with all of these and to notify the recipient if the subrecipient becomes aware of any
impact on the environment that was not noted in the recipient’s approved application package:
1. National Historic Preservation Act, as amended (54 U.S.C. § 300101 et seq.) and
Archeological and Historic Preservation Act, as amended (54 U.S.C. § 312501 et
seq.)
2. The National Environmental Policy Act of 1969, as amended (42 U.S.C. § 4321 et seq.)
3. Clean Air Act, as amended (42 U.S.C. § 7401 et seq.), Clean Water Act, as amended
(33 U.S.C. § 1251 et seq.), and EO 11738
4. The Flood Disaster Protection Act of 1973, as amended (42 U.S.C. § 4002 et seq.)
5. The Endangered Species Act of 1973, as amended, (16 U.S.C. § 1531 et seq.)
6. The Coastal Zone Management Act, as amended, (16 U.S.C. § 1451 et seq.)
7. The Coastal Barriers Resources Act, as amended, (16 U.S.C. § 3501 et seq.)
8. The Wild and Scenic Rivers Act, as amended, (16 U.S.C. § 1271 et seq.)
9. The Safe Drinking Water Act of 1974, as amended, (42 U.S.C. § 300f-j)
10. The Resource Conservation and Recovery Act of 1976, as amended, (42 U.S.C. §
6901 et seq.)
11. The Comprehensive Environmental Response, Compensation, and Liability Act
(Superfund) (42 U.S.C. § 9601 et seq.) and the Community Environmental Response
Facilitation Act (42 U.S.C. § 9601 note)
12. Magnuson-Stevens Fishery Conservation and Management Act, as amended (16 U.S.C.
§1801)
13. Marine Mammal Protection Act, as amended (16 U.S.C § 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
16. Bald and Golden Eagle Protection Act, as amended (16 U.S.C. § 668-668d)
17. Marine Protection, Research and Sanctuaries Act (33 U.S.C. §§ 1401-1445 and 16 U.S.C.
§§ 1431—1445)
18. National Marine Sanctuaries Act, as amended (16 U.S.C. § 1431 et seq.)
19. Rivers and Harbors Act of 1899 (33 U.S.C § 407)
20. Environmental Justice in Minority Populations and Low Income Populations, EO 12898,
as amended
21. Floodplain Management, EO 11988, as amended by EO 13690 and, Protection of
Wetlands, EO 11990, May 24,1977, as amended by EO 12608
22. Farmland Protection Policy Act, as amended (7 U.S.C. § 4201 et. seq.)
23. Coral Reef Protection, EO 13089Invasive Species, EO 13112
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
comply. This list is not exclusive:
August 2017 Page 25
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.
2. Disclaimer Provisions
a. The United States expressly disclaims any and all responsibility or liability to the
recipient or third persons for the actions of the recipient or third persons resulting
in death, bodily injury, property damages, or any other losses resulting in any
way from the performance of this Award or any other losses resulting in any way
from the performance of this Award or any subaward, contract, or subcontract
under this Award.
b. The acceptance of this Award by the recipient does not in any way constitute an
agency relationship between the United States and the recipient.
3. Prohibited and Criminal Activities
a. The Program Fraud Civil Remedies Act of 1986 (31 U.S.C. §§ 3801-3812),
provides for the imposition of civil penalties against persons who make false,
fictitious, or fraudulent claims to the federal government for money (including
money representing grants, loans or other benefits).
b. False Statements, as amended (18 U.S.C. § 1001) provides that whoever makes
or presents any materially false, fictitious, or fraudulent statements to the United
States shall be subject to imprisonment of not more than five years.
c. False, Fictitious, or Fraudulent Claims, as amended (18 U.S.C. § 287) provides
that whoever makes or presents a false, fictitious, or fraudulent claim against or
to the United States shall be subject to imprisonment of not more than five
years and shall be subject to a fine in the amount provided in 18 U.S.C. § 287.
d. False Claims Act, as amended (31 U.S.C. 18 U.S.C. § 3729 et seq.), provides that
suits under this act can be brought by the federal government, or a person on
behalf of the federal government, for false claims under federal assistance
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
from enticing an employee working on the project from giving up a part of his
compensation under an employment contract. The Copeland “Anti-Kickback” Act
also applies to contractors and subcontractors pursuant to 40 U.S.C. § 3145.
4. Political Activities
The recipient must comply, as applicable, with provisions of the Hatch Act, as amended
(5 U.S.C. §§ 1501-1508 and §§ 7321-7326) which limit the political activities of
employees whose principal employment activities are funded in whole or in part with
federal funds.
5. American-Made Equipment and Products
The recipient is hereby notified that it is encouraged, to the greatest extent practicable, to
purchase American-made equipment and products with funding provided under this
August 2017 Page 26
Award.
6. Increasing Seat Belt Use in the United States
Pursuant to EO 13043, the recipient should encourage its employees and contractors to
enforce on-the-job seat belt policies and programs when operating company-owned,
rented or personally owned vehicles.
7. Minority Serving Institutions (MSIs) Initiative
Pursuant to EOs 13555 and13270, as amended, Treasury is strongly committed to
broadening the participation of MSIs in its financial assistance programs. Treasury’s
goals include achieving full participation of MSIs in order to advance the development of
human potential, strengthen the nation’s capacity to provide high-quality education, and
increase opportunities for MSIs to participate in and benefit from federal financial
assistance programs. Treasury encourages recipients to include meaningful participation
of MSIs. Institutions eligible to be considered MSIs are listed on the Department of
Education website at http://www2.ed.gov/about/offices/list/ocr/edlite-minorityinst.html.
8. Research Misconduct
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
results. Research misconduct does not include honest errors or differences of opinion.
Recipients that conduct research funded by Treasury must foster an atmosphere
conducive to the responsible conduct of sponsored research by safeguarding against and
resolving allegations of research misconduct. Recipients also have the primary
responsibility to prevent, detect, and investigate allegations of research misconduct and,
for this purpose, may rely on their internal policies and procedures, as appropriate, to do
so. Award funds expended on an activity that is determined to be invalid or unreliable
because of research misconduct may result in appropriate enforcement action under the
Award, up to and including Award termination and possible suspension or debarment.
Treasury requires that any allegation that contains sufficient information to proceed with
an inquiry be submitted to Treasury, which will also notify the Treasury Office of Inspector
General of such allegation. Once the recipient has investigated the allegation, it will
submit its findings to Treasury. Treasury may accept the recipient’s findings or proceed
with its own investigation; Treasury shall inform the recipient of the Treasury’s final
determination.
9. Care and Use of Live Vertebrate Animals
Recipients must comply with the Laboratory Animal Welfare Act of 1966 (Public Law 89-
544), as amended, (7 U.S.C. § 2131 et seq.) (animal acquisition, transport, care,
handling, and use in projects), and implementing regulations, 9 C.F.R. Parts 1, 2, and 3;
the Endangered Species Act, as amended, (16 U.S.C. § 1531 et seq.); Marine Mammal
Protection Act, as amended, (16 U.S.C. § 1361 et seq.) (taking possession, transport,
purchase, sale, export or import of wildlife and plants); the Nonindigenous Aquatic
Nuisance Prevention and Control Act, as amended, (16 U.S.C. § 4701 et seq.) (ensure
preventive measures are taken or that probable harm of using species is minimal if there
is an escape or release); and all other applicable statutes pertaining to the care, handling,
and treatment of warm blooded animals held for research, teaching, or other activities
supported by federal financial assistance.
August 2017 Page 27
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, without penalty to the federal government, if the
recipient or subrecipient engages in certain activities related to trafficking in persons.
a. Provisions applicable to a recipient that is a private entity.
1. You as the recipient, your employees, subrecipients under this Award, and
subrecipients' employees may not—
i. Engage in severe forms of trafficking in persons during the period of
time that this Award is in effect;
ii. Procure a commercial sex act during the period of time that this
Award is in effect; or
iii. Use forced labor in the performance of this Award or subawards
under this Award.
2. We as the federal awarding agency may unilaterally terminate this Award,
without penalty, if you or a subrecipient that is a private entity —
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
paragraph a.1 of this Section V.10 through conduct that is either—
A. Associated with performance under this Award; or
B. Imputed to you or the subrecipient using the standards and
due process for imputing the conduct of an individual to an
organization that are provided in 2 C.F.R. Part 180, “OMB
Guidelines to Agencies on Governmentwide Debarment and
Suspension (Nonprocurement),” as implemented by our
agency at 31 C.F.R. Part 19.
b. Provision applicable to a recipient other than a private entity. We as the federal
awarding agency may unilaterally terminate this Award, without penalty, if a
subrecipient that is a private entity—
1. Is determined to have violated an applicable prohibition in paragraph a.1 of
this Section V.10; or
2. Has an employee who is determined by the agency official authorized to
terminate this Award to have violated an applicable prohibition in paragraph
a.1 of this Section V.10 through conduct that is either—
i. Associated with performance under this Award; or
ii. Imputed to the subrecipient using the standards and due process for
imputing the conduct of an individual to an organization that are
provided in 2 C.F.R. Part 180, “OMB Guidelines to Agencies on
Governmentwide Debarment and Suspension (Nonprocurement),” as
implemented by our agency at 31 C.F.R. Part 19.
c. Provisions applicable to any recipient.
1. You must inform us immediately of any information you receive from any
source alleging a violation of a prohibition in paragraph a.1 of this Section
V.10.
August 2017 Page 28
2. Our right to terminate unilaterally that is described in paragraph a.2 or b of
this Section V.10:
i. Implements section 106(g) of the Trafficking Victims Protection Act of
2000 (TVPA), as amended (22 U.S.C. § 7104(g)), and
ii. Is in addition to all other remedies for noncompliance that are available
to us under this Award.
3. You must include the requirements of paragraph a.1 of this Section V.10 in
any subaward you make to a private entity.
d. Definitions. For purposes of this award term:
1. “Employee” means either:
i. An individual employed by you or a subrecipient who is engaged in the
performance of the project or program under this Award; or
ii. Another person engaged in the performance of the project or program
under this Award and not compensated by you including, but not limited
to, a volunteer or individual whose services are contributed by a third
party as an in-kind contribution toward cost sharing or matching
requirements.
2. “Forced labor” means labor obtained by any of the following methods: the
recruitment, harboring, transportation, provision, or obtaining of a person for
labor or services, through the use of force, fraud, or coercion for the purpose
of subjection to involuntary servitude, peonage, debt bondage, or slavery.
3. “Private entity”:
i. Means any entity other than a state, local government, Indian tribe, or
foreign public entity, as those terms are defined in 2 C.F.R. § 175.25.
ii. Includes:
A. A nonprofit organization, including any nonprofit institution of
higher education, hospital, or tribal organization other than one
included in the definition of Indian tribe at 2 C.F.R. § 175.25(b).
B. A for-profit organization
4. “Severe forms of trafficking in persons,” “commercial sex act,” and “coercion”
have the meanings given at § 103 of the TVPA, as amended (22 U.S.C. §
7102).
11. The Federal Funding Accountability and Transparency Act of 2006, as amended,
(Pub. L. No. 109-282, 31 U.S.C. § 6101 note)
a. The award term at Appendix A of 2 C.F.R. Part 170 is hereby incorporated by
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
reporting tool federal prime awardees (i.e., prime contractors and prime grants
recipients) use to capture and report subaward and executive compensation data
regarding their first-tier subawards to meet the FFATA reporting requirements.
Prime grant awardees will report against sub-grants awarded. The subaward
information entered in FSRS will then be displayed at
August 2017 Page 29
http://www.USASpending.gov.
c. Recipients of RESTORE Act funding are subject to FFATA subaward reporting
requirements as outlined in the OMB guidance on FFATA issued August 27,
2010. The recipient is required to file a FFATA subaward report by the end of the
month following the month in which the recipient makes any subaward greater
than or equal to $25,000. This includes any action that brings the cumulative
total award to $25,000 or more. This report must be filed electronically at
http://www.fsrs.gov.
d. The recipient must report total compensation for each of its five most highly
compensated executives for the preceding completed fiscal year, by the end of
the month following the month in which this Award is made, and annually
thereafter if—
i. The total federal funding authorized to date under this Award is $25,000
or more; and
ii. In the preceding fiscal year, the recipient received—
1) 80 percent or more of annual gross revenues from federal
procurement contracts (and subcontracts) and federal financial
assistance subject to FFATA, as defined at 2 C.F.R. § 170.320 (and
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
iii. The public does not have access to information about the compensation
of the executives through periodic reports filed under § 13(a) or 15(d) of
the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or §
6104 of the Internal Revenue Code of 1986. (To determine if the public
has access to the compensation information, see the U.S. Security and
Exchange Commission total compensation filings at
http://www.sec.gov/answers/execomp.htm.)
e. The recipient must report on the total compensation of its subrecipients’ five most
highly compensated executives, as required by FFATA, and must include
provisions in every executed contract or agreement with affected subrecipients
requiring the subrecipient to provide all information necessary for the recipient to
report on subrecipient executive compensation. The recipient must report on
subrecipient executive compensation by the end of the month following the month
during which the recipient makes the subaward.
f. The recipient must keep its information current in SAM (System for Award
Management, which is the successor to the Central Contractor Registry, (CCR))
at least until submission of the final SF-425 or receipt of the final Award payment,
whichever is later. This requires that the recipient review and update the
information at least annually after the initial registration, and more frequently if
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
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/portal/public/SAM/).
g. If the recipient is authorized to make subawards under this Award, the recipient
must notify potential subrecipients that the recipient may not make a subaward to
any entity unless that entity has provided its Data Universal Numbering System
(DUNS) number to the recipient. A DUNS number is the nine-digit number
August 2017 Page 30
established and assigned by Dun and Bradstreet, Inc. to uniquely identify
business entities.
12. Recipient Integrity and Performance Matters (80 FR 43301, July 22, 2015) Reporting
of Matters Related to Recipient Integrity and Performance
a. General Reporting Requirement
If the total value of the recipient’s currently active grants, cooperative agreements,
and procurement contracts from all Federal awarding agencies exceeds
$10,000,000 for any period of time during the period of performance of this
Federal award, then the recipient during that period of time must maintain the
accuracy of information reported to the System for Award Management (SAM) that
is made available in the designated integrity and performance system (currently
the Federal Awardee Performance and Integrity Information System (FAPIIS))
about civil, criminal, or administrative proceedings described in paragraph b. of
this award term and condition. This is a statutory requirement under § 872 of
Public Law 110-417, as amended (41 U.S.C. § 2313). As required by § 3010 of
Public Law 111-212, all information posted in the designated integrity and
performance system on or after April 15, 2011, except past performance reviews
required for Federal procurement contracts, will be publicly available.
b. Proceedings About Which The Recipient Must Report
The recipient must submit the information required about each proceeding that:
i. Is in connection with the award or performance of a grant, cooperative
agreement, or procurement contract from the Federal Government;
ii. Reached its final disposition during the most recent five year period; and
iii. Is one of the following:
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
award term and condition, that resulted in a finding of fault and
liability and your payment of either a monetary fine or penalty of
$5,000 or more or reimbursement, restitution, or damages in
excess of $100,000; or
4) Any other criminal, civil, or administrative proceeding if:
a) It could have led to an outcome described in paragraph b.iii.
1), 2), or 3) of this award term and condition;
b) It had a different disposition arrived at by consent or
compromise with an acknowledgment of fault on your
part; and
c) The requirement in this award term and condition to disclose
information about the proceeding does not conflict with
applicable laws and regulations.
c. Reporting Procedures
Enter in the SAM Entity Management area the information that SAM requires
about each proceeding described in paragraph b of this award term and condition.
August 2017 Page 31
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.
d. Reporting Frequency
During any period of time when the recipient is subject to the requirement in
paragraph1 of this award term and condition, the recipient must report proceedings
information through SAM for the most recent five year period, either to report new
information about any proceeding(s) that they have not reported previously or
affirm that there is new information to report. Recipients that have Federal
contract, grant, and cooperative agreement awards with a cumulative total value
greater than $10,000,000 must disclose semiannually any information about the
criminal, civil, and administrative proceedings.
e. Definitions
For purposes of this award term and condition:
i. Administrative proceeding means a non-judicial process that is
adjudicatory in nature in order to make a determination of fault or liability
(e.g., Securities and Exchange Commission Administrative proceedings,
Civilian Board of Contract Appeals proceedings, and Armed Services
Board of Contract Appeals proceedings). This includes proceedings at the
Federal and State level but only in connection with performance of a
Federal contract or grant. It does not include audits, site visits, corrective
plans, or inspection of deliverables.
ii. Conviction, for purposes of this award term and condition, means a
judgment or conviction of a criminal offense by any court of
competent jurisdiction, whether entered upon a verdict or a plea, and
includes a conviction entered upon a plea of nolo contendere.
iii. Total value of currently active grants, cooperative agreements, and
procurement contracts includes—
1) Only the Federal share of the funding under any Federal award with a
recipient cost share or match; and
2) The value of all expected funding increments under a Federal award
and options, even if not yet exercised.
13. Publications and Signage
Any publications (except scientific articles or papers appearing in scientific, technical, or
professional journals) or signage produced with funds from this Award, or informing the
public about the activities funded in whole or in part by this Award, must clearly display
the following language: “This project was paid for [in part] with federal funding from the
Department of the Treasury under the Resources and Ecosystems Sustainability, Tourist
Opportunities, and Revived Economies of the Gulf Coast States Act of 2012 (RESTORE
Act).” Publications (except scientific articles or papers appearing in scientific, technical,
or professional journals) produced with funds from this Award must display the following
additional language: “The statements, findings, conclusions, and recommendations are
those of the author(s) and do not necessarily reflect the views of the Department of the
Treasury.”
August 2017 Page 32
14. Homeland Security Presidential Directive 12
If the performance of this Award requires the recipient’s personnel to have routine access
to Treasury-controlled facilities and/or Treasury-controlled information systems (for
purpose of this term “routine access” is defined as more than 180 days), such personnel
must undergo the personal identity verification credential process. In the case of foreign
nationals, Treasury will conduct a check with U.S. Citizenship and Immigration Services’
(USCIS) Verification Division, a component of the Department of Homeland Security
(DHS), to ensure the individual is in a lawful immigration status and that he or she is
eligible for employment within the United States. Any items or services delivered under
this Award must comply with Treasury personal identity verification procedures that
implement Homeland Security Presidential Directive 12, “Policy for a Common
Identification Standard for Federal Employees and Contractors”, FIPS PUB 201, as
amended, and OMB Memorandum M-05-24, as amended. The recipient must ensure that
its subrecipients and contractors (at all tiers) performing work under this Award comply
with the requirements contained in this Section V.14. Treasury may delay final payment
under this Award if the subrecipient or contractor fails to comply with the requirements
listed in the section below. The recipient must insert the following term in all subawards
and contracts when the subrecipient or contractor is required to have routine physical
access to a Treasury-controlled facility or routine access to a Treasury-controlled
information system:
a. The subrecipient or contractor must comply with Treasury personal identity
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
information system.
b. The subrecipient or contractor must account for all forms of government-provided
identification issued to the subrecipient or contractor employees in connection
with performance under this subaward or contract. The subrecipient or contractor
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;
ii. Upon completion of the subrecipient or contractor employee’s
employment; or
iii. Upon subaward or contract completion or termination.
15. Foreign Travel
a. The recipient may not use funds from this Award for travel outside of the United
States unless Treasury provides prior written approval.
b. The recipient must comply with the provisions of the Fly America 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.
c. The Fly America Act requires that federal travelers and others performing U.S.
Government-financed air travel must use U.S. flag air carriers, to the extent that
service by such carriers is available. Foreign air carriers may be used only in
specific instances, such as when a U.S. flag air carrier is unavailable, or use of
U.S. flag air carrier service will not accomplish the agency’s mission.
August 2017 Page 33
d. One exception to the requirement to fly U.S. flag carriers is transportation
provided under a bilateral or multilateral air transport agreement, to which the
United States Government and the government of a foreign country are parties,
and which the Department of Transportation has determined meets the
requirements of the Fly America Act pursuant to 49 U.S.C. § 40118(b). The
United States Government has entered into bilateral/multilateral “Open Skies
Agreements” (U.S. Government Procured Transportation) that allow federal
funded transportation services for travel and cargo movements to use foreign air
carriers under certain circumstances. There are multiple “Open Skies
Agreements” currently in effect. For more information about the current bilateral
and multilateral agreements, visit the GSA website
http://www.gsa.gov/portal/content/103191. Information on the Open Skies
agreements (U.S. Government Procured Transportation) and other specific
country agreements may be accessed via the Department of State’s website
http://www.state.gov/e/eeb/tra/.
e. If a foreign air carrier is anticipated to be used for any portion of travel funded
under this Award, the recipient must receive prior approval from the Treasury.
When requesting such approval, the recipient must provide a justification in
accordance with guidance provided by 41 C.F.R. § 301–10.142, which requires
the recipient to provide Treasury with the following: name; dates of travel; origin
and destination of travel; detailed itinerary of travel; name of the air carrier and
flight number for each leg of the trip; and a statement explaining why the
recipient meets one of the exceptions to the regulations. If the use of a foreign air
carrier is pursuant to a bilateral agreement, the recipient must provide Treasury
with a copy of the agreement or a citation to the official agreement available on
the GSA website. Treasury shall make the final determination and notify the
recipient in writing. Failure to adhere to the provisions of the Fly America Act will
result in the recipient not being reimbursed for any transportation costs for which
the recipient improperly used a foreign air carrier.
16. Export Control
a. This clause applies to the extent that this Award involves access to export-
controlled items.
b. In performing this financial assistance Award, the recipient may gain access to
items subject to export control (export-controlled items) under the Export
Administration Regulations (EAR) issued by the Department of Commerce
(DOC). The recipient is responsible for compliance with all applicable laws and
regulations regarding export-controlled items, including the EAR’s deemed
exports and re-exports provisions. The recipient shall establish and maintain
effective export compliance procedures throughout performance of the Award. At
a minimum, these export compliance procedures must include adequate controls
of physical, verbal, visual, and electronic access to export-controlled items,
including by foreign nationals.
c. Definitions:
i. Export-controlled items. Items (commodities, software, or technology),
that are subject to the EAR (15 C.F.R. §§ 730–774), implemented by
the DOC’s Bureau of Industry and Security. These are generally known
as “dual-use” items, items with a military and commercial application.
ii. Deemed Export/Re-export. The EAR defines a deemed export as a
release of export-controlled items (specifically, technology or source
code) to a foreign national in the U.S. Such release is “deemed” to be an
export to the home country of the foreign national. 15 C.F.R. §
August 2017 Page 34
734.2(b)(2)(ii). A release may take the form of visual inspection, oral
exchange of information, or the application abroad of knowledge or
technical experience acquired in the United States. If such a release
occurs abroad, it is considered a deemed re-export to the foreign
national’s home country. Licenses from DOC may be required for
deemed exports or re-exports.
d. The recipient shall control access to all export-controlled items that it possesses
or that comes into its possession in performance of this Award, to ensure that
access to, or release of, such items are restricted, or licensed, as required by
applicable federal statutes, EOs, and/or regulations, including the EAR.
e. To the extent the recipient wishes to provide foreign nationals with access to
export-controlled items, the recipient shall be responsible for obtaining any
necessary licenses, including licenses required under the EAR for deemed
exports or deemed re-exports.
f. Nothing in the terms of this Award is intended to change, supersede, or waive the
requirements of applicable federal statutes, EOs, and/or regulations.
g. Compliance with this Section V.15 will not satisfy any legal obligations the
recipient may have regarding items that may be subject to export controls
administered by other agencies such as the Department of State, which has
jurisdiction over exports of munitions items subject to the International Traffic in
Arms Regulations (ITAR) (22 C.F.R. §§ 120–130), including releases of such
items to foreign nationals.
h. The recipient shall include this clause, including this paragraph (i), in all lower tier
transactions (subawards, contracts, and subcontracts) under this Award that may
involve access to export-controlled items.
SUPPLEMENTAL STANDARD TERMS AND CONDITIONS - AWARDS UNDER THE DIRECT
COMPONENT FOR ACQUISITION AND IMPROVEMENTS TO REAL PROPERTY
W ACQUISITION AND IMPROVEMENTS TO REAL PROPERTY
1. Compliance with State, Local and Federal Requirements
The project must comply with all applicable federal laws and regulations, and with all
requirements for state, and local laws and ordinances to the extent that such requirements
do not conflict with federal laws. The recipient is also responsible for supervising the
design, bidding, construction, and operation of construction projects in compliance with all
award requirements. The recipient must comply with, and must require all contractors
and subcontractors, to comply with all federal, state, and local laws and regulations. The
recipient must ensure compliance with special award conditions which may contain
conditions that must be satisfied prior to advertisement of bids, start of construction, or
other critical event.
2. Title
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.
August 2017 Page 35
3. Permitting Requirements
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 Property
“Federal interest” refers to real property that is acquired or improved, in whole or in part,
with RESTORE Act Direct Component funds, which must be held in trust by the
Recipient for the benefit of the project for the Estimated Useful Life of the project, during
which period Treasury retains an undivided equitable reversionary interest in the real
property (i.e., the “federal interest”).
5. Estimated Useful Life
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
anticipates obtaining the benefits of the project pursuant to project purposes authorized by
the RESTORE Act. For this award the recipient has proposed an Estimated Useful Life
from the date of construction completion. Treasury’s issuance of the grant agreement
represents its concurrence with the recipient’s proposed Estimated Useful Life.
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.
If Treasury determines that the recipient has failed or fails to meet its obligations under
the terms and conditions of this award, Treasury may exercise its rights or remedies with
respect to its federal interest in the project. However, Treasury’s forbearance in
exercising any right or remedy in connection with the federal interest does not constitute
a waiver thereof.
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
construction after the construction contractor has been selected and at least 30 days
prior to construction. For project costs to be eligible for Treasury reimbursement,
Treasury must determine that the award of all contracts with associated costs are in
compliance with the scope of the project and all terms and conditions of this award, and
all necessary permits have been obtained, and the federal interest is secure. No
construction funds may be drawn from ASAP without Treasury’s written permission. If
the recipient commences construction prior to Treasury’s determination, the recipient
proceeds at its own risk.
Treasury will only review contract amendments or change orders which change the
scope of a contract.
7. Use of Real Property
Encumbering real property on which there is a federal interest without prior Treasury
approval is an unauthorized use of the property and of project trust funds under this
August 2017 Page 36
award. See 2 C.F.R. § 200.316. Real property or interest in real property may not be
used for purposes other than the authorized purpose of the award without the express,
prior written approval of Treasury, for as long as the federal government retains an
interest in the property. The property must not be sold, conveyed, transferred, assigned,
mortgaged, or in any other manner encumbered except as expressly authorized in
writing by Treasury. The recipient must maintain facilities constructed or renovated with
grant funds in a manner consistent with the purposes for which the funds were provided
for the duration of the Estimated Useful Life.
In the event that the real property or interest in real property is no longer needed for the
originally authorized purpose, the recipient must obtain disposition instructions from
Treasury consistent with 2 C.F.R. § 200.311.
8. Recording the Federal Interest in the Real Property
To document the federal interest, the recipient agrees to prepare and properly record a
“Covenant of Purpose, Use and Ownership” (Covenant), or, where a subrecipient is the
title owner, to ensure that the subrecipient prepares and properly records a “Covenant of
Purpose, Use and Ownership” (Covenant) on the property acquired or improved with
federal assistance funds. See 2 C.F.R. § 200.316. This Covenant does not establish a
traditional mortgage lien in that it does not establish a traditional creditor relationship
requiring the periodic repayment of principal and interest, or the ability of Treasury to
foreclose on the real property at any time. Rather, pursuant to the Covenant, the
recipient and/or the subrecipient, as applicable, acknowledges that it holds title to the real
property in trust for the public purposes of the financial assistance award and agrees,
among other commitments, that it will repay the federal interest if it disposes of or
alienates an interest in the real property, or uses it in a manner inconsistent with the
public purposes of the award, during the Estimated Useful Life of the property.
a. The Covenant must be satisfactory in form and substance to Treasury, must
include the name and current address of the recipient and subrecipient (if applicable),
the grant award number, amount and date of award and subrecipient agreement (if
applicable), date of the purchase of property (if applicable), and the Estimated Useful
Life of the project. It must also include statements that the real property will only
be used for purposes consistent with the RESTORE Act; that it will not be
mortgaged or used as collateral, sold or otherwise transferred to another party,
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.
b. The recipient agrees to provide to Treasury an attorney’s title opinion as to the title
owner of the property, and to properly record, in accordance with applicable law,
the Covenant in the real property records in the jurisdiction in which the real
property is located in order to provide public record notice to interested parties
that there are certain restrictions on the use and disposition of the real property
during its Estimated Useful Life, and that Treasury retains an undivided equitable
reversionary interest in the real property to the extent of its participation in the
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.
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.
August 2017 Page 37
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
extinguished and the federal government has no further interest in the real
property.
9. Administration, Operation and Maintenance
The recipient agrees to administer, operate, and maintain the project for its Estimated
Useful Life in the same manner in which it operates and maintains similar facilities and
equipment owned by it, and in accordance with state and local standards, laws and
regulations. The recipient must not be in breach of its obligations under this award except
to the extent the failure to fulfill any obligation is due to an Uncontrollable Force.
“Uncontrollable Force” means an event beyond the reasonable control of, and without the
fault or negligence of, the party claiming the Uncontrollable Force that prevents the
recipient from honoring its contractual obligations under this Agreement and which, by
exercise of the recipient’s reasonable care, diligence and foresight, such recipient was
unable to avoid. Uncontrollable Forces include, but are not limited to:
a. Strikes or work stoppage;
b. Floods, earthquakes, or other natural disasters; terrorist acts; and
c. Final orders or injunctions issued by a court or regulatory body having competent
subject matter jurisdiction which the recipient, claiming the Uncontrollable Force,
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.
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 of a
federal award and thereafter every five years until the end of the Estimated Useful Life or
time of disposition, whichever is less. All reports must be for the period ending
December 31, or any portion thereof, beginning with the year of the award, and are due
no later than 30 days following the end of the reporting period.
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
state, county or parish, in compliance with 2 C.F.R. § 200.310.
12. Bonding
a. 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
August 2017 Page 38
determines that the federal interest in the project is adequately protected, the
recipient or pass-through entity need not comply with the following three
bonding requirements. For all other recipients and pass-through entities, the
minimum requirements for construction or facility improvement contracts or
subcontracts exceeding the simplified acquisition threshold are as follows: A bid
guarantee from each bidder equivalent to five percent of the bid price. The “bid
guarantee” must consist of a firm commitment such as a bid bond, certified
check, or other negotiable instrument accompanying a bid as assurance that the
bidder will, upon acceptance of the bid, execute such contractual instruments as
may be required within the time specified.
b. A performance bond on the part of the contractor for 100 percent of the contract
price. A “performance bond” is one executed in connection with a contract to
secure fulfillment of all the contractor's obligations under such contract.
c. A payment bond on the part of the contractor for 100 percent of the contract
price. A “payment bond” is one executed in connection with a contract to assure
payment as required by law of all persons supplying labor and material in the
execution of the work provided for in the contract.
13. Floodplain Requirements
In accordance with 44 C.F.R. Part 9, prior to Treasury’s authorization to commence
construction in a designated 100-year floodplain, the recipient must provide evidence
satisfactory to Treasury of a Floodplain Notice, that the 30-day period established for
receipt of comments from the public in response to public notice published regarding
the potential for adverse project impact on the values and functions of a designated 100-
year floodplain has expired and that identified concerns (if any) have been addressed
to Treasury’s satisfaction. This notice may be satisfied through a federal/state
environmental assessment process used as the vehicle for public notice, involvement,
and explanation per 44 C.F.R. § 9.8(2).
In addition, prior to Treasury’s authorization to commence construction of structures
and/or buildings within a designated 100-year floodplain, the recipient must provide
evidence satisfactory to Treasury of the following:
a. Floodplain Protection: That the project engineer/architect has certified that the
project facility will be adequately protected from damage by floods in this area of
apparent potential flood hazard. The evidence must include adequate
justification for the Base Flood Elevation designation for the financial assistance
award site.
b. Floodplain Insurance: That the community is participating in the National Flood
Insurance Program, and that as required, the recipient will purchase flood
insurance.
14. Goals for Women and Minorities in Construction
Department of Labor regulations set forth in 41 C.F.R. § 60-4 establish goals and
timetables for participation of minorities and women in the construction industry. These
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.
August 2017 Page 39
a. The goal for participation of women in each trade area must be as follows:
From April 1, 1981, until further notice: 6.9 percent;
b. All changes to this goal, as published in the Federal Register in accordance with
the Office of Federal Contract Compliance Programs regulations at 41 C.F.R. §
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
Employment Opportunity Construction Contract Specifications” (or cause them
to be included, if appropriate) in all federally assisted contracts and
subcontracts. The goals and timetables for minority and female participation
may not be less than those published pursuant to 41 C.F.R. § 60-6.
15. Contracting with small and minority businesses, women’s business
enterprise, and labor surplus area firms
The recipient 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 steps must include:
a. Placing qualified small and minority businesses and women’s business
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;
d. Establishing delivery schedules, where the requirement permits, which
encourage participation by small and minority businesses, and women’s
business enterprises;
e. Using the services and assistance, as appropriate, of such organizations as the
Small Business Administration and the Minority Business Development Agency
of the Department of Commerce; and,
f. Requiring the prime contractor, if subcontracts are to be let, to take the
affirmative steps listed in (a) — (e) of this paragraph.
16. 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.C § 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,
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
August 2017 Page 40
be required to pay wages to laborers and mechanics at a rate not less than the
prevailing wages specified in a wage determination made by the Secretary of Labor. In
addition contracts must be required to pay wages not less than once a week.
The non-Federal entity must place a copy of the current prevailing wage determination
issued by the Department of Labor in each solicitation. The decision to award a contract
or subcontract must be conditioned upon the acceptance of the wage determination. The
non-Federal entity must report all suspected or reported violations to Treasury. The
contracts must also include a provision for compliance with the Copeland “Anti-Kickback”
Act (40 U.S.C. § 3145), as supplemented by Department of Labor regulations (29 C.F.R.
Part 3, “Contracts and Subcontractors on Public Building or Public Work Financed in
Whole or in Part by Loans or Grants from the United States”). The Act provides that each
contractor or subrecipient must be prohibited from inducing, by any means, any person
employed in the construction, completion, or repair of public work, to give up any part of
the compensation or which he or she is otherwise entitled. The non-federal entity must
report all suspected or reported violations to Treasury.
17. Equal Opportunity Clause
Pursuant to 41 C.F.R. § 60-1.4(b), Federally assisted construction contracts, for
construction which is not exempt from the requirements of the equal opportunity clause,
41 C.F.R. Part 60-1—Obligations of Contractors and Subcontractors, [t]he [recipient]
hereby agrees that it will incorporate or cause to be incorporated into any contract for
construction work, or modification thereof, as defined in the regulations of the Secretary
of Labor at 41 C.F.R. Chapter 60, which is paid for in whole or in part with funds obtained
from the federal government or borrowed on the credit of the federal government
pursuant to a grant, contract, loan, insurance, or guarantee, or undertaken pursuant to
any federal program involving such grant, contract, loan, insurance, or guarantee, the
following equal opportunity clause:
41 C.F.R. § 60-1.4 Equal opportunity clause.
During the performance of this contract, the contractor agrees as follows:
(1) The contractor will not discriminate against any employee or applicant for
employment because of race, color, religion, sex, sexual orientation, gender identity,
or national origin. The contractor will take affirmative action to ensure that applicants
are employed, and that employees are treated during employment without regard to
their race, color, religion, sex, sexual orientation, gender identity, or national origin.
Such action shall include, but not be limited to the following:
Employment, upgrading, demotion, or transfer; recruitment or recruitment advertising;
layoff or termination; rates of pay or other forms of compensation; and selection for
training, including apprenticeship. The contractor agrees to post in conspicuous
places, available to employees and applicants for employment, notices to be provided
setting forth the provisions of this nondiscrimination clause.
(2) The contractor will, in all solicitations or advertisements for employees placed by or
on behalf of the contractor, state that all qualified applicants will receive consideration
for employment without regard to race, color, religion, sex, sexual orientation, gender
identity, or national origin.
(3) The contractor will not discharge or in any other manner discriminate against any
employee or applicant for employment because such employee or applicant has
inquired about, discussed, or disclosed the compensation of the employee or applicant
or another employee or applicant. This provision shall not apply to instances in which
August 2017 Page 41
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
action, including an investigation conducted by the employer, or is consistent with the
contractor's legal duty to furnish information.
(4) The contractor will send to each labor union or representative of workers with
which he has a collective bargaining agreement or other contract or understanding, a
notice to be provided advising the said labor union or workers' representatives of the
contractor's commitments under this section, and shall post copies of the notice in
conspicuous places available to employees and applicants for employment.
(5) The contractor will comply with all provisions of Executive Order 11246 of
September 24, 1965, and of the rules, regulations, and relevant orders of the
Secretary of Labor.
(6) The contractor will furnish all information and reports required by Executive Order
11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary
of Labor, or pursuant thereto, and will permit access to his books, records, and
accounts by the administering agency and the Secretary of Labor for purposes of
investigation to ascertain compliance with such rules, regulations, and orders.
(7) In the event of the contractor's noncompliance with the nondiscrimination clauses
of this contract or with any of the said rules, regulations, or orders, this contract may
be canceled, terminated, or suspended in whole or in part and the contractor may be
declared ineligible for further Government contracts or federally assisted construction
contracts in accordance with procedures authorized in Executive Order 11246 of
September 24, 1965, and such other sanctions may be imposed and remedies
invoked as provided in Executive Order 11246 of September 24, 1965, or by rule,
regulation, or order of the Secretary of Labor, or as otherwise provided by law.
(8) The contractor will include the portion of the sentence immediately preceding
paragraph (1) and the provisions of paragraphs (1) through (8) in every subcontract or
purchase order unless exempted by rules, regulations, or orders of the Secretary of
Labor issued pursuant to section 204 of Executive Order 11246 of September 24,
1965, so that such provisions will be binding upon each subcontractor or vendor. The
contractor will take such action with respect to any subcontract or purchase order as
the administering agency may direct as a means of enforcing such provisions,
including sanctions for noncompliance:
Provided, however, that in the event a contractor becomes involved in, or is
threatened with, litigation with a subcontractor or vendor as a result of such direction
by the administering agency, the contractor may request the United States to enter
into such litigation to protect the interests of the United States.
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
any agency, instrumentality or subdivision of such government which does not
participate in work on or under the contract.
August 2017 Page 42
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
for the supervision of such compliance, and that it will otherwise assist the
administering agency in the discharge of the agency's primary responsibility for
securing compliance.
The applicant further agrees that it will refrain from entering into any contract
or contract modification subject to Executive Order 11246 of September 24, 1965, with
a contractor debarred from, or who has not demonstrated eligibility for, Government
contracts and federally assisted construction contracts pursuant to the Executive
Order and will carry out such sanctions and penalties for violation of the equal
opportunity clause as may be imposed upon contractors and subcontractors by the
administering agency or the Secretary of Labor pursuant to Part II, 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,
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.
18. Revised ADA Standards for Accessible Design for Construction Awards
The U.S. Department of Justice has issued revised regulations implementing Title II of
the ADA (28 C.F.R. Part 35) and Title III of the ADA (28 C.F.R. Part 36). The revised
regulations adopted new enforceable accessibility standards called the “2010 ADA
Standards for Accessible Design” (2010 Standards). The 2010 Standards are an
acceptable alternative to the Uniform Federal Accessibility Standards (UFAS). Treasury
deems compliance with the 2010 Standards to be an acceptable means of complying
with the Section 504 accessibility requirements for new construction and alteration
projects. All new construction and alteration projects must comply with the 2010
Standards.
Page 1
RESTORE Act Direct Component Application Narrative
Department of the Treasury
OMB Number
1505-0250
The Direct Component Funding Opportunity Announcements describe in detail the content and information required for your narrative. Please
refer to the relevant Funding Opportunity Announcement when completing this form.
GENERAL INFORMATION:
Applicant Name: Collier County Board of County Commissioners
Point of Contact (POC) for this Application:
POC Name: *Gary McAlpin
POC Title: *Manager, Coastal Zone Management
POC Email: *GaryMcAlpin@colliergov.net
POC Phone: *(239) 252-5342
Descriptive Title of Applicant's Project: (refer to SF 424) *Comprehensive Watershed Improvement Project
Activity Title from Multiyear Plan Matrix, Column #6 *Collier County/Rookery Bay National Estuarine Research Comprehensive
Watershed Improvement Plan Project Development and Permitting Phase 1
Funding Opportunity Announcement #:GR-RDC-17-006
A. STATUTORY QUESTIONS
1. Qualifying eligible activity: Please select the primary eligible
activity in the first column, and select all other eligible
activities that apply in the second column.
Select Primary
Activity Qualifying Eligible Activity {Select All Others That Apply}
Activity 1
1. Restoration and protection of the natural resources, ecosystems, fisheries,
marine and wildlife habitats, beaches and coastal wetlands of the Gulf Coast
Region
Activity 2
2. Mitigation of damage to fish, wildlife and natural resources
Activity 3
3. Implementation of a federally approved marine, coastal, or
comprehensive conservation management plan, including fisheries
monitoring
Activity 4
4. Workforce development and job creation
Activity 5
5. Improvements to or on State parks located in coastal areas affected by the
Deepwater Horizon oil spill
Activity 6
6. Infrastructure projects benefitting the economy or ecological resources,
including port infrastructure
Activity 7
7. Coastal flood protection and related infrastructure
Activity 8
8. Planning assistance
Activity 9
9. Promotion of tourism in the Gulf Coast Region, including recreational
fishing
Activity 10
10. Promotion of the consumption of seafood harvested from the Gulf Coast
Region
2. Was this proposed activity included in any claim for compensation
paid out by the Oil Spill Liability Trust Fund after July 6, 2012? Yes No
If "Yes," this activity is not eligible for a Direct Component grant.
3. Location
(a) Please provide the actual location for the activity as
street address, nearest intersection, or note boundaries
on a submitted map. If there is more than one location
for the activity, attach a list of the additional locations,
city/town, county/parish, state, and zip code.
Location: Collier County
City/Town:
County/Parish:
Collier County
State: FLORIDA
Zip code: 34112
The Collier County/Rookery Bay National Estuarine Research Reserve
Comprehensive Multi-Year Implementation Plan project meets the
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(b) Describe how the proposed activity will be carried out in the Gulf
Coast Region as defined in 31 CFR 34.2. Attach a map to support your
response.
RESTORE Act criteria of planning assistance as defined in 31 CFR
34.201(j) of the RESTORE Act. The project development and permitting
funding is planning for the eligible activity of Restoration and protection of
the natural resources, ecosystems, fisheries, marine and wildlife habitats,
beaches and coastal wetlands of the Gulf Coast region per 31 CFR
34.201(a). Collier County improvement projects will be carried out in the
Gulf Coast region including any adjacent land, water and watersheds
within 25 miles of those coastal zone areas identified in 33 U.S.C.
subsection 1321(a)(1)(33)(B) and further by Treasury regulation 31 CFR
34.201. Improving the health of the CountyÂs watershed areas will restore
near shore and eventually offshore water quality. Improved water quality
(both freshwater and saltwater) provides protection to the entire marine
ecosystem, including seagrass beds and the benthic and pelagic species and
habitat they depend on.
B. DISCUSSION OF SPECIFIC ACTIVITY
IF APPLICABLE, PLEASE FOLLOW SPECIFIC DIRECTIONS FOR NON-FEDERAL SHARE OF ANOTHER FEDERALLY FUNDED
ACTIVITY and ACTIVITIES APPROVED PRIOR TO JULY 6, 2012 IN THE DIRECT COMPONENT APPLICATION GUIDANCE.
1. Proposed Scope of Work
(a) Directions: Provide a detailed scope of work that fully describes the project or program for which funding is requested, including:
- Need, purpose, and objectives;
Need: Approximately 70% of Collier CountyÂs 2,300 sq. miles has been altered since the 1950's in order to accommodate coastal development. In addition
to shoreline modifications, extensive canal construction for urban and agricultural drainage has changed the timing and quantity of freshwater inflows to
coastal waters. These changes have dramatically affected water quality and quantity of many County estuaries. Prior to intense development, rainfall either
infiltrated into the surficial aquifer or flowed through extensive wetlands into the coastal waters of the County. The project development and permitting of
this project will be the first step in rehydrating and restoring at least a portion of the historical flows within the region helping to reestablish historical
wetland hydroperiods to some degree. Purpose: The purpose is to develop the conceptual design of the Collier County Comprehensive Watershed
Improvements Plan (CCCWIP) to a level that will allow the County to apply for the appropriate federal and state permit(s) and provide adequate site
analysis to develop a preliminary design that is demonstrated to be constructible, permitable and does not create adverse impacts to the surrounding
properties or environmental and water resources. Objective: Project development to the 30% design level to plan and permit the CCCWIP. This project is
the preliminary step in the development of the planning and design of the CCCWIP. As a discovery phase, timelines and deliverables may change to reflect
regulatory requirements that are revealed during data collection and agency discussions.
- How the project/program meets the identified primary activity designated in A1;
The project meets the RESTORE Act criteria of planning assistance as defined in 31 CFR 34.201(j) of the RESTORE Act. The project development and
permitting funding is planning for the eligible activity of Restoration and protection of the natural resources, ecosystems, fisheries, marine and wildlife
habitats, beaches and coastal wetlands of the Gulf Coast region per 31 CFR 34.201(a).
- Specific tasks, milestones and related timeframes (also captured in Milestones Report); and
Scope of Work: The County and it's contractor (to be determined through competitive process) would meet with various agencies to determine what, if any,
additional data is necessary for project permitting. This project is the preliminary step in the development of the planning and design of the CCCWIP. As a
discovery phase, timelines and deliverables may change to reflect regulatory requirements that are revealed during data collection and agency discussions.
Below is a detailed listing the tasks/deliverables anticipated at this time to be accomplished within the scope of work. 1. Preliminary data compilation -
Compilation of relevant available data (including GIS data) to coordinate with regulatory agencies in identifying potential environmental issues and
permitting requirements. TIMEFRAME: 90 days DELIVERABLE: Status Report 2. Agency coordination - Coordination and meetings with state and
federal regulatory agencies for necessary monitoring and permitting requirements for species, habitats and wetlands. TIMEFRAME: Ongoing
DELIVERABLES: Quarterly Status Reports 3. Coordination with Regulatory Agencies regarding model comparisons - This effort would involve
maintaining close coordination between the CountyÂs modeling team and the Big Cypress Basin (BCB) and others as related to the use of the USACEÂs
Gridded Surface/Subsurface Hydrologic Analysis (GSSHA; aka ÂGeishaÂ) model. TIMEFRAME: 15 months DELIVERABLES: Quarterly Status
Reports 4. Evaluate Project Effects on Groundwater Elevation - This effort would focus on refining estimates of changes in groundwater elevations in the
following locations; Northern flow way, I-75 Canal and South Belle Meade spreader, Picayune Strand Forest and Picayune Strand Restoration Project, Six
L's agricultural area and urban areas along Henderson Creek and south of US 41. TIMEFRAME: 15 months DELIVERABLES: Quarterly Status Reports
5. Preliminary data collection to evaluate changes in habitat, actual rates of infiltration and evapotranspiration and changes in water quality associated with
project implementation. TIMEFRAME: Ongoing DELIVERABLES: Quarterly Status Reports 6. Coordinated efforts of other entities - Coordination
between the County, the City of Naples and Rookery Bay National Estuarine Research Reserve (RBNERR) TIMEFRAME: Ongoing DELIVERABLES:
Quarterly Status Reports FINAL DELIVERABLE: FINAL REPORT
- Description of all funding sources included on the SF-424
Only RESTORE Direct Pot 1 funds are included on the SF-424
Projects designed to protect or restore natural resources must be based on best available science. Include a description of the methods to be used
to achieve the protection or restoration objective(s). (Also complete Question B.6.)
This project involves the planning and project development to the 30% design level to plan and permit the CCCWIP.
(b) If the proposed project is part of a larger project outside the scope of this application, describe the larger project and the proposed project's
relationship to it.
The proposed project is the planning involved in the development and conceptual design in order to permit the improvements outlined in the Collier
County Comprehensive Watershed Improvement Plan(CCCWIP). It is anticipated that future Direct Component applications will request funding for
construction phases of the CCCWIP as determined during the planning and design.
2. Budget Justification (See OMB Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards)
Directions: Explain in detail how the proposed budget supports the proposed scope of work. The budget justification should relate each budget
category listed in the SF-424A and SF-424C to the specific tasks discussed in the response to B1. Provide specific justification for ALL budget
categories that apply, including an explanation of the necessity, allowability, reasonableness, and allocability of proposed costs. Please refer to the
relevant Funding Opportunity Announcement for descriptions of the budget categories.
Budget Category: Contractual Collier County will select a qualified consultant through a competitive bid process.
3. The Applicant's Selection and Oversight of Contractors, if applicable
Directions: Indicate if the applicant plans to contract out any work described under the Budget Justification (see B2) including construction. If so,
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the applicant must describe the following:
(a) For State applicants:
- Nature of the work to be contracted out and the expected number of contracts to be awarded;
Not applicable
- State procurement method(s) that will be used for the procurement of the contractor(s); and
Not applicable
- Applicant's plan for monitoring contractor performance and compliance.
Not applicable
If a contractor already has been selected, also include the following:
- Name of each contractor;
- DUNS number of each contractor;
- Date the applicant executed each contract; and
- Amount of each contract award.
Not applicable
(b) For non-State applicants:
- Nature of the work to be contracted out and the expected number of contracts to be awarded;
The nature of work to be contracted out includes the following: 1. Preliminary data compilation  Development of background information, including a
detailed project description, site location and anticipated environmental issues  Compilation of relevant available data (including GIS data) to coordinate
with regulatory agencies in identifying potential environmental issues and permitting requirements 2. Agency coordination  Coordination and meetings
with state and federal regulatory agencies for necessary monitoring and permitting requirements for species, habitats and wetlands  Participation in
design plans to identify potential environmental permitting issues and action alternatives 3. Coordination with Regulatory Agencies regarding model
comparisons  It is anticipated that the nearby restoration efforts for Picayune Strand have the potential to complicate the permitting associated with the
CountyÂs project. While the South Florida Water Management District (SFWMD) Big Cypress Basin (BCB) has been fully aware of the CountyÂs project
on a staff level, projects being completed by state and federal agencies need to be coordinated, at a technical and staff level, with the CountyÂs project.
This effort would involve maintaining close coordination between the CountyÂs modeling team and the BCB and others as related to the use of the
USACEÂs Gridded Surface/Subsurface Hydrologic Analysis (GSSHA; aka ÂGeishaÂ) model. 4. Evaluate Project Effects on Groundwater Elevation 5.
Preliminary data collection to evaluate changes in habitat, actual rates of infiltration and evapotranspiration and changes in water quality associated with
project implementation  Site selection of 60 locations, to be distributed as 30 random locations within the area likely to be impacted by project
implementations, as well as 30 sites likely outside the influence of the project. Â At each of the 60 locations, bi-annual and quantitative sampling of the
vegetation Species richness Species diversity Percent native vs. non-native  At each of the 60 locations, quarterly recording of water levels and/or
groundwater levels  Via use of piezometers and/or staff gages  At each of the 60 locations, quarterly collection of water quality data (for surface water
samples) for the following parameters o Water temperature o pH o Dissolved oxygen o Specific conductance o Total nitrogen o Total phosphorous The
number sampling events is currently estimated at 600 per year, however, this number may increase or decrease based on findings from preliminary data
collection and meetings with regulatory agencies. 6. Coordinated efforts of other entities  Coordination between the County, the City of Naples and
Rookery Bay National Estuarine Research Reserve (RBNERR) Expected number of contracts: 1
- Procurement method(s) allowable under 2 CFR 200.320 that will be used for the procurement of the contractor(s);
Collier County is using a competitive Request for Proposal process that is publicly solicited and a firm fixed price contract (lump sum or unit price) is
awarded to the responsible bidder whose bid, conforming with all the material terms and conditions of the invitation for bids, is the lowest in price.
- Justification under 2 CFR 200.320(f) for sole source procurement, if applicable; and
Not Applicable
- Applicant's plan for monitoring contractor performance and compliance.
The Coastal Zone Management office, in conjunction with the Office of Management and Budget, will monitor contractor performance and compliance
through progress reports from the selected contractor, review of milestones completed and approval of invoices in compliance with allowable costs.
If a contractor already has been selected, also include the following:
- Name of each contractor;
- DUNS number of each contractor;
- Date the applicant executed each contract;
- Amount of each contract award;
Not Applicable
- Procurement method allowable under 2 CFR 200.320 that was used for the procurement of each contract;
- Description of the procurement process, as implemented; and
- Justification under 2 CFR 200.320(f) for sole source procurement, if applicable.
Not applicable
4. The Applicant's Selection and Oversight of Subrecipients and Inclusion of Special Provisions relating to Subawards, if Applicable
Directions: Indicate whether the applicant plans to issue subawards for activities proposed in this application. If so, the applicant must provide
ALL of the following:
- Description of how the applicant selected or plans to select subrecipient(s);
Not Applicable. Collier County does not plan to select subrecipients
- Description of the applicant's subrecipient monitoring and management plan that implements the requirements for pass-through entities at 2
CFR 200.331; and
Not Applicable
- The means by which the applicant will assess each subrecipient's level of risk and monitor each subrecipient's progress, including any required
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reports.
Not Applicable
If a subrecipient already has been selected, also include the following:
- Name of each subrecipient;
- DUNS number of each subrecipient:
- Date the applicant selected each subrecipient; and
- Amount of funds to be provided to each subrecipient.
Not Applicable
5. Public Input for this Proposed Activity
Directions: Describe how the applicant considered the meaningful public input from individuals, businesses, Indian tribes, and nonprofit
organizations relating to this proposed project, including input received during the preparation of the Multiyear Plan.
Collier County conducted a highly participatory process to review and gain approval and support for the multi-year implementation plan detailing this
project. This included multiple presentations to the Collier County Board of County Commissioners, the Comprehensive Watershed Improvement Program
Technical Advisory Ad Hoc Committee and to the City of Naples City Council. A legal advertisement for the Collier County Multi-Year Implementation
Plan was published twice in the Naples Daily News (a newspaper of local circulation) on Thursday, June 15, 2017 and then again on July 20, 2017 in both
English and Spanish requesting public comments during a 45 day comment period from Thursday, June 15, 2017 to August 31, 2017 and again from July
20, 2017 to September 4, 2017, respectively. The re-advertising on July 20, 2017 was a compliance issue from the U.S. TreasuryÂs review of the
CountyÂs Multi-Year Implementation Plan (MYIP). A revised MYIP was re-posted to the CountyÂs website in order to comply with the legal
advertisement regulations. In addition, Collier County Communication Support Division distributed a Notice of Public Meeting that was sent to the
community at large and all the local media. The notice was also posted on the CountyÂs website at www. Colliergov.net and on the media board in the
Communication Support Division. No comments were received during the 45 day period. Collier County Coastal Management Section hosted two (2)
public meetings to discuss the plan on Thursday, June 22, 2017 and August 17, 2017 at 2800 North Horseshoe Drive, Suites 609/610 (Growth Management
Office) at 5:30 p.m. and 5:00p.m. , respectively. No interested citizens and/or representatives from local agencies were in attendance at either meeting.
Letters of Support were received from the following and included in the approved MYIP. Audubon of the Western Everglades/Audubon Florida South
Florida Water Management District - Big Cypress Basin City of Naples Conservancy of Southwest Florida Florida Fish and Wildlife Conservation
Commission Fish and Wildlife Service Florida Wildlife Federation Florida Forestry Service Collier County Watershed Technical Advisory Committee
Collier County Board of County Commissioners Rookery Bay National Estuarine Research Reserve
6. Best Available Science, if applicable
Directions: If the answer to the following question is "yes" complete this section. Is the proposed activity designed to
protect or restore natural resources? Yes No
The RESTORE Act requires activities designed to protect or restore natural resources to be based on the "best available science," which is
defined in the Act as science that (a) maximizes the quality, objectivity, and integrity of information, including statistical information; (b) uses
peer-reviewed and publicly available data; and (c) clearly documents risks and uncertainties in the scientific basis for such projects.
The applicant must make a determination that a project designed to protect or restore natural resources is based on the best available science. In
order to support this determination, the applicant must clearly state the protection or restoration objective(s) of the project, describe the methods
that will be used to achieve the objective(s), and explain how these methods are based on best available science. The response must be sufficiently
detailed for Treasury to evaluate the reasonableness of the applicant's determination that the project is based on best available science. In
addressing the three-pronged test in the definition of "best available science," the applicant must cite, when available, peer-reviewed, objective,
methodologically sound literature sources that support the conclusion that the proposed scope of work is an effective way to achieve the stated
objectives.
For each literature source cited, the applicant must provide sufficient citations, including:
- Title;
- Journal in which the literature source appeared, if applicable;
- Publication date;
- Author(s); and
- Web address if downloaded or available online.
The applicant must provide written answers to all of the following :
(Submission of source materials will not satisfy the requirements for answering this question.)
- A summary of the peer-reviewed information that justifies the proposed objectives, including methods used for the proposed activity. If
peer-reviewed literature sources are unavailable, the Applicant must explicitly State this and provide A brief explanation of what alternative
scientific information sources were used. If the Applicant relied on publicly available data, the Applicant must cite the source of the data, the date
of collection, and the size of the data set. Whenever possible, the Applicant should use publicly available data from sources such as State agencies
and federal agencies, for example the U.S. Census Bureau, U.S. Fish and Wildlife Service, Environmental Protection Agency, National Oceanic
and Atmospheric Administration. the Applicant must provide A link to each publicly available data source used.
- A summary of how the applicant's methods reasonably support and are adaptable to Gulf Coast Region if the information supporting the
proposed activity does not directly pertain to the Gulf Coast Region.
- A summary of an evaluation of uncertainties and risks in achieving the project's best available science objectives over the longer term; e.g., is
there an uncertainty or risk that in 5-10 years the project/program will be obsolete or not function as planned given projections of sea level rise or
other environmental change such as in freshwater inflows to estuaries?
- A summary of the literature sources' conclusions and any uncertainties or risks in the scientific basis that would apply to the proposed activity,
including any uncertainties or risks that were identified by the public or by a Gulf Coast Ecosystem Restoration Council member.
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7. Key Personnel
Directions: Key personnel should include the applicant's Authorizing Official who is authorized to sign the grant application and award, the
Project Director who is responsible for the project, and the Financial Officer who is responsible for maintaining the accounting and financial
records of the grant. The Direct Component Standard Terms and Conditions require the applicant to notify Treasury if there are any changes in
key personnel.
Collier County's Authorizing Official is Nick Casalanguida, Deputy County Manager. Mr. Casalanguida was the former head of the Growth Management
Department which houses the Coastal Zone Management Division responsible for the implementation of this project. Mr. Gary McAlpin, P.E, Manager,
Coastal Zone Management, is the Program/Project Director. Mr. McAlpin joined Collier County in 2005 and is responsible for beach maintenance and
renourishment; inlet and estuary management; and estuarial water quality. Mr. McAlpin oversees federal and state funding used for beach nourishment,
physical and biological monitoring. Allison Kearns, Financial Officer, is in charge of maintaining the accounting and financial records of the grant.
8. Consistency with the Applicant's Multiyear Plan
Directions: Describe whether the proposed scope of work differs from the corresponding project/program identified in the applicant's Multiyear
Plan accepted by Treasury. If no differences exits, make an affirmative statement as to their consistency.
The proposed project is consistent with the Collier County's Multiyear Implementation Plan (MYIP). The Scope of Work contained in this narrative was
also identified in the MYIP accepted by Treasury
9. Possible Material Risks to Implement and Maintain the Proposed Activity
Directions: List the possible material risks, e.g., operational, legal, regulatory, budgetary, or ecological risks, with a brief discussion of mitigation strategies that
the applicant may need to address in order to implement and/or maintain the proposed activity. If the applicant determines that there are no material risks to
implement and maintain the proposed activity, then put 'None' in the Risk column below.
Risk Mitigation Strategy
None
10. Permits, Land Acquisition, Construction, and Relocation Assistance
Directions: Answer the following items concerning permits, construction, land acquisition, and relocation assistance, if applicable.
(a) Permits
Does the proposed activity require any federal, tribal, state, or local permits? For potential federal permits needed,
see: ()https://www.permits.performance.gov/tools/federal-environmental-review-and-authorization-inventory Yes No
If yes, list the specific federal, tribal, state, or local permits required for this project and the status of the permits:
(b) Land Acquisition and Construction Activities
Will land be improved? Yes No
If yes, answer questions i-vi
Will land or interest in land be acquired? Yes No
If yes, answer questions i-vii
i. What are the legal rights that will be acquired?
Please explain 'Other'
ii. If an easement, what is the life of the easement?
iii. Will the applicant hold title to the land? Yes No
iv. What is the total acreage of the proposed property interest to be acquired (easement or fee title)?
v. Has the applicant obtained a recent certified appraisal of the property? If yes, attach a copy of the appraisal. Yes No
vi. Has the applicant obtained a recent title opinion or certificate? If yes, attach a copy of the title opinion or
certificate. Yes No
vii. Attach a signed statement from the seller(s) that he/she is a willing seller and has not been coerced into selling or conveying the property
interest.
viii. Attach the legal description of the property and the tax parcel number.
(c) Relocation Assistance
Will the proposed project cause the displacement of any persons, businesses, or farm operations? Yes No
If yes, as required by Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, explain: the
number of displaced persons, including businesses and farm operations; what fair and reasonable relocation payments and advisory services will
be provided to any displaced persons; and what provisions will be made to ensure that safe, decent, and sanitary replacement dwellings will be
available to such persons within a reasonable period of time prior to displacement.
According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid
OMB control number. The valid OMB control number for this information collection is 1505-0250. Comments concerning the time required to
complete this information collection, including the time to review instructions, search existing data resources, gathering and maintaining the data
needed, and completing and reviewing the collection of information, should be directed to the Department of the Treasury, Office of Gulf Coast
Restoration, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Page 5 of 5
J. GARY MCALPIN
2/5/18
RESTORE UPDATE
1
OBJECTIVE: Obtain a recommendation for approval for the Treasury Direct Component Pot 1
Grant of $1,532,077.76 and approval of consultant ranking recommendations for professional
services for continuing definition and permitting of the 2016 Collier County Restore
Comprehensive Watershed Improvement Project. This project will reduce freshwater flows to
Naples Bay, rehydrate approximately 10,000 acres of the Picayune Strand State Forest, restore
historic freshwater flows to Rookery Bay and improve water quality throughout the entire
watershed.
Background
Collier County’s Comprehensive Watershed Improvement Plan (CWIP) utilized ten (10) major
studies and reports developed by various local, state and regulatory agencies over the past 15
years to reduce freshwater flows into Naples Bay, restore fresh water flows into Rookery Bay,
improve water quality and re-hydrate approximately 10,000 acres of the Picayune Strand State
Forest/South Belle Meade area by linking hydrologic and ecological restoration projects that will
function on a regional basis. This project will allow the County to manage its natural resources
in a more holistic, comprehensive manner. Additionally, this project will complement the
bordering Federal CERT-Picayune Strand Restoration Project currently being executed by the US
Army Corp of Engineers and South Florida Water Management District.
Through previous studies and the most recent CWIP, the overwhelming consensus is Naples Bay
has been adversely impacted by an abundance of freshwater from the Golden Gate Canal and
Rookery Bay is adversely impacted by too little freshwater inflow. This project will begin to
rebalance the two systems while rehydrating a significant portion (10,000 acres) of the Picayune
Strand State Forest by reestablishing historical flow through the forest. This project would
improve water quality and habitat restoration through a series of project improvements through
the North/South Belle Meade areas, the Six L’s agricultural area and Rookery Bay.
To accomplish this plan, ten (10) viable projects have been developed into a comprehensive
conceptual plan through 15% design definition. Staff’s objective in developing this plan was to
identify and address major issues that could stop this project; Create a project that regulators
can permit; Develop a plan that can be accomplished in 10 years; and lastly develop a project
that can be funded entirely with Restore funds (reimbursement after the fact). The expected
cost is approximately $32.0 million. This Plan is also being co-sponsored by Rookery Bay National
Estuarine Research Reserve. Rookery Bay’s support will provide more leverage for FDEP to
include this project in their next application package to the Restore Council for Pot 2 funding.
Rookery Bay has been involved from the very beginning of project development, is represented
on the Technical Advisory Committee for Collier County Watershed Management Plans and is
partially based on the modeling that Rookery Bay has recently completed.
In addition, Collier County has worked diligently to gain the support and partnership with the
Audubon of the Western Everglades/ Audubon Florida; Big Cypress Basin/SFWMD; the City of
Naples; the Conservancy of Southwest Florida; Florida Fish and Wildlife Conservation
16.A.3.b
Packet Pg. 420 Attachment: Restore Update 2-2-18 (5032 : Restore Grant Approval)
J. GARY MCALPIN
2/5/18
RESTORE UPDATE
2
Commission; Fish and Wildlife Service; Florida Wildlife Federation; Collier County Watershed
Technical Advisory Committee and Florida Forestry Service.
Project Development, Permitting and “Soft Costs”
A Multi-Year-Improvement-Plan was developed and approved by Treasury on 11/29/2016 and
Collier County BCC on 12/7/2017. Additionally, a subsequent grant application to access Restore
Direct Component Pot1 Funds was approved by Treasury on 1/29/2018 for $1,532,077.76. These
funds will allow Collier County to continue to work with the regulatory agencies and project
stakeholders through additional project definition, project design and permitting. The purpose
or intent of this next phase of project development is to develop a design that will allow the
County to obtain the appropriate federal and state permit(s) by conducting adequate site
analysis, project definition and design to be constructible, permittable and does not create
adverse impacts to the surrounding properties or water resources. Also included in this request
will grant management services necessary to leverage and support the County’s desire to obtain
funding from other Restore funding sources.
It is expected that the total “Soft Cost” activities for this project development ($943K), permitting
($943K), design/engineering ($1,886K), Mitigation ($943K) and monitoring/telemetry ($1,000K)
will be approximately $5,715,000. This phase of the work will begin this activity and include the
following components:
• Permitting Needs Assessment
o Preliminary Data Compilation
o Agency Coordination
o Coordination with Regulatory agencies regarding model comparisons
o Project effects on groundwater elevations
o Preliminary Data Collection to evaluate changes in habitat, Infiltration, water
quality, evaportranspiration, monitoring wells installations and data analysis.
• Permitting
o Depending on the results of the Permitting Needs Assessment and data
collection activities, it is anticipated that sufficient funding may remain to
perform permitting and design activities required by certain Regulatory Agencies
for well-defined activities. This type of project development flexibility will be
required during the execution of this project.
• Grant Management Activities
o Collier County has pledged all of Pot 1 ($6M) and all of Pot 3 ($12.5M) to the
execution of this project. The total cost of this project is estimated to be
approximately $32M leaving a funding shortfall of approximately $14M. Grant
management services are anticipated to work with staff to identify, educate and
secure additional funding sources from federal and state decision makers within
the Restore umbrella to complete the funding of this project.
16.A.3.b
Packet Pg. 421 Attachment: Restore Update 2-2-18 (5032 : Restore Grant Approval)
J. GARY MCALPIN
2/5/18
RESTORE UPDATE
3
Responses to RFP 18-7245 for Professional Services for the Collier County Comprehensive
Watershed Improvement Plan we received in January 2018. Consultant responses will be
reviewed and ranking recommendations presented to the Board of County Commissioners in
February with Award anticipated in early March 2018.
It is also anticipated that all the “Soft Cost” activities of this project will be executed with Collier
County funds and reimbursed with Treasury Direct Component Pot 1 funds. Treasury has
estimated that Collier County will receive approximately $6.0M in Direct Component Pot 1
funds over the 15-year life of this project. Treasury has also indicated that the County can be
reimbursed for preapproved activities. This will be sufficient to fund all “Soft Cost” activities
and be reimbursed in full over the balance of the 15 years as Treasury funds become available.
Several separate Treasury grants will be required to accomplish this. The scope of work and
reimbursement dates will require pre-approved by Treasury.
The balance of funds available in Direct Component funding after this Grant is awarded is
approximately $4.5M. We don’t believe it is a good idea to mix the funding of “Soft Costs”
activities from both Pots 1 and 3. Since we anticipate approximately $6M from Pot 1, this
source of funding is expected to pay for our entire “Soft Cost” development on this project.
Phasing and Project Construction
The Spill Component Pot 3 portion of this Restore project that is managed by the Gulf
Consortium made up of the 23 coastal counties in Florida is broken down as follows:
• Collier County has initiated one large project that is made up of 5 major components:
o Project Area A – North Belle Meade Pump Station and Flowway
o Project Area B – Interstate 75 Canal Improvements
o Project Area C – South Belle Meade Pump Station, Flowway and Spreader
o Project Area D – Sabal Palm Road Culvert Crossings
o Project Area E – Six L’s /US 41 Flowway and Conveyance Improvements
• In addition to the 5 major project components, this project also includes two minor
projects; North Belle Meade Preliminary Engineering and the Six L’s Master Plan.
• The estimate for this portion of this work is approximately $25.5M making the overall
project cost $32M. This is a conceptual figure that will be further developed as the
design and permitting is developed. Collier County’s estimated portion of funds
available from Pot 3 Spill Component funds is $12.5M.
• The Gulf Consortium will reimburse Collier County for preapproved projects listed in the
State Expenditure Plan. However, any work performed before the State Expenditure
Plan is approved by the Governor and the Restore Council will not be approved for
reimbursement. The state expenditure plan is expected to be approved in April of 2018.
16.A.3.b
Packet Pg. 422 Attachment: Restore Update 2-2-18 (5032 : Restore Grant Approval)
J. GARY MCALPIN
2/5/18
RESTORE UPDATE
4
• The Gulf Consortium will allocate funds up Collier County’s $12.5M total in four (4) year
increments as funding becomes available as per the State Expenditure Plan (SEP).
Collier County is scheduled to receive $53,333 in 2018; $58,667 in 2019; $2,513,867 in
2020 and $2, 513,867 in 2021 for a total of $5,139,734 in the first of three (3) periods
that are four (4) years each.
• Collier County is working with FDEP to receive Pot 2 Restore Council funding. Recently
Collier County sent a Resolution to FDEP requesting that our project be submitted with
FDEP’s next round of project submittal for Council funding. FDEP anticipates the next
Restore Council funding will occur in 2019 or 2020. FDEP is extremely interested in when
we expect our permits to be issued. FDEP will not recommend funding to the Restore
Council until all construction permits have been issued by the Regulatory Agencies.
• Grant Management services have been included in RFP 18 -7245 for Professional Services
for the Collier County Comprehensive Watershed Improvement Plan that is being
presented for concurrence of professional consultant ranking. This activity is absolutely
required to leverage and support the County’s desire to obtain funding from other
Restore funding sources including the Restore Council Pot 2.
• For our First Phase of this project, we anticipate using the $1.5M in current funds
available in Pot 1 to complete most of the project development and permitting. We
expect this to take approximately two (2) years. This would be funded by a Treasury
Grant as identified in the MYIP and since funding is available, costs would be reimbursed
when the work and conditions of the grant are complete. Collier County has initiated an
RFP for Project Development and Permitting and will recommend one (1) consultant to
perform this work.
• The Second Phase of this project would be to finish the project development and
permitting along with the Engineering/Design, Monitoring and Mitigation identification.
This would cost approximately $4.5M and use up the balance of Pot 1 Treasury Funding.
The work would take 2 years to complete but not start until the end of year one and be
complete by the end of year 3. Two sources of funding would exist for this work:
o A second grant for this work would be executed with Treasury through Pot 1.
Collier County would initially fund this work but be reimbursed as funding
becomes available through Treasury over the balance of the 15 year Restore
funding cycle.
• The Third Phase of this project is anticipated to be all the construction work required to
flow water through the Picayune State Park. The critical point here is we need to verify
the Evaporation/Transpiration through pre-project and post-project monitoring working
16.A.3.b
Packet Pg. 423 Attachment: Restore Update 2-2-18 (5032 : Restore Grant Approval)
J. GARY MCALPIN
2/5/18
RESTORE UPDATE
5
with Forestry. This would include the North Belle Meade Pump Station and Flowway;
Interstate 75 Canal Improvements; South Belle Meade Pump Station, Flowway and
Spreader; Sabal Palm Road Culvert Crossings. We expect that this portion of the
project would utilize all of the Restore Consortium funding of $12.5M. We also
anticipate that the construction of this phase would take three years to complete
beginning in year 3 and ending at the beginning of year 6. Construction would be
followed by two years of condition monitoring starting at the beginning of year 5 and
ending at the beginning of year 7.
• The Fourth Phase of this project is the Six L’s/US41 Master Plan. Most of this activity
will be completed during the Second Phase of the project but will require adjusted
based on project monitoring and the development of the Six L’s Master Plan. This
should take a year to complete between years 3 and 4.
• The Fifth Phase of this project is the construction of the Six L’s /US 41 Flowway and
Conveyance Improvements. Construction will take 3 years to complete and be finished
by the beginning of year 7. Collier County’s expectation is that this portion of the
project will be funded by the Restore Council using Pot 2 funds appropriated over
several years. This phase is anticipated to cost $14M. Collier County will work to
leverage all additional funding sources for project grants. How we accomplish this
would be addressed in our discussions.
16.A.3.b
Packet Pg. 424 Attachment: Restore Update 2-2-18 (5032 : Restore Grant Approval)
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Table Of Contents
Applicant:Collier County Board of County Commissioners
Application Number: RDC2018000091
Project Title:Comprehensive Watershed Improvement Plan Project Development and
Permitting
Status:Submitted
Grant Announcement
RESTORE Act Direct Component - Non-Construction Activities
Online Forms
SF-424 Application for Federal Assistance Version 2
SF-424A Budget Information - Non-Construction
SF-424B Assurances - Non-Construction
SF-LLL Disclosure of Lobbying Activities
Restore Act Direct Component Applicant Certifications
Restore Act Direct Component Application Narrative
Restore Act Environmental Checklist
Restore Act Milestones Report
Restore Act Status of Performance Report
Additional Information to be Submitted
Environmental Checklist Documentation
(Upload #1): Email from Clearinghouse
Authorized Official Designation Letter Upload
(Upload #2): Authorization Letter
Indirect Cost Rate Agreement Upload
Location Map Upload
(Upload #3): Location Map
Additional Information Upload
Note: Upload document(s) printed in order after online forms.
Page 1 of 34
16.A.3.c
Packet Pg. 425 Attachment: Application-Collier (5032 : Restore Grant Approval)
DISCLOSURE OF LOBBYING ACTIVITIES
Complete this form to disclose lobbying activities pursuant to 31 U.S.C.1352
(See reverse for public burden disclosure.)
Approved by OMB
0348-0046
1. Type of Federal Action:
b a. contract
b. grant
c. cooperative agreement
d. loan
e. loan guarantee
f. loan insurance
2. Status of Federal Action:
b a. bid/offer/application
b. initial award
c. post-award
3. Report Type:
a a. initial filing
b. material change
4. Name and Address of Reporting Entity:
Prime Subawardee
Tier , if known:
Collier County Board of County Commissioners
3299 Tamiami Trail East
Naples, FL 34112
Congressional District, if known:
5. If Reporting Entity in No. 4 is a Subawardee, Enter Name
and Address of Prime:
6. Federal Department/Agency:
Department of Treasury
7. Federal Program Name/Description:
Restore Act
CFDA Number, if applicable:21.015
8. Federal Action Number, if known:9. Award Amount, if known:
$
10. a. Name and Address of Lobbying Registrant
(if individual, last name, first name, MI):
Wood, Amanda
1275 K St NW Ste 850
Washington, DC 20005-4077
b. Individuals Performing Services (including address if
different from No. 10a)
(if individual, last name, first name, MI):
Wood, Amanda
11.Information requested through this form is authorized by title 31 U.S.C. section 1352. This disclosure of
lobbying activities is a material representation of fact upon which reliance was placed by the tier above when
the transaction was made or entered into. This disclosure is required pursuant to 31 U.S.C. 1352. This
information will be reported to the Congress semi-annually and will be available for public inspection. Any
person who fails to file the required disclosure shall be subject to a civil penalty of not less than $10,000 and
not more than $100,000 for each such failure.
Signature:Mr. Nick Casalanguida
Print Name:Casalanguida, Nick
Title:Deputy County Manager
Telephone No:239-252-8383 Date:12/11/2017
Page 2 of 34
16.A.3.c
Packet Pg. 426 Attachment: Application-Collier (5032 : Restore Grant Approval)
BUDGET INFORMATION - Non-Construction ProgramsSECTION A - BUDGET SUMMARYGrant Program FunctionCatalog of Federal Domestic AssistanceEstimated Unobligated FundsNew or Revised Budgetor ActivityNumberFederalNon-FederalFederalNon-FederalTotal(a)(b)(c)(d)(e)(f)(g)1.$$$$$2.3.4.5. Totals$$$$$SECTION B - BUDGET CATEGORIESGRANT PROGRAM, FUNCTION OR ACTIVITYTotal(1)(2)(3)(4)(5)a. Personnel$$$$$b. Fringe Benefitsc. Traveld. Equipmente. Suppliesf. Contractualg. Constructionh. Otheri. Total Direct Charges (sum of 6a-6h)j. Indirect Chargesk. TOTALS (sum of 6i and 6j)$$$$$7. Program Income$$$$$Authorized for Local Reproduction Standard Form 424A (Rev. 7-97)Previous Edition Usable Prescribed by OMB Circular A-1026. Object Class CategoriesOMB Approval No. 4040-0006Expiration Date: 06/30/2014 $1,532,077.76$1,532,077.76$1,532,077.76$1,532,077.76$1,532,077.76$1,532,077.76$1,532,077.76$1,532,077.76$1,532,077.7621.015$1,532,077.76Restore Act Direct ComponentRestore Act Direct Component$1,532,077.76Restore Act Direct ComponentRestore Act Direct Component$1,532,077.76Restore Act Direct ComponentRestore Act Direct ComponentRestore Act Direct ComponentRestore Act Direct ComponentPage 3 of 3416.A.3.cPacket Pg. 427Attachment: Application-Collier (5032 : Restore Grant Approval)
SECTION C - NON-FEDERAL RESOURCES(a) Grant Program(b) Applicant(c) State(d) Other Sources(e) TOTALS9.10.11.12. TOTAL (sum of lines 8-11)$$$$SECTION D - FORECASTED CASH NEEDSTotal for 1st Year1st Quarter2nd Quarter3rd Quarter4th Quarter13. Federal$$$$$14. Non-Federal15. TOTAL (sum of lines 13 and 14)$$$$$SECTION E - BUDGET ESTIMATES OF FEDERAL FUNDS NEEDED FOR BALANCE OF THE PROJECT(a) Grant ProgramFUTURE FUNDING PERIODS (Years)(b) First(c) Second(d) Third(e) Fourth16.$$$$17.18.19.20. TOTAL (sum of lines 16-19)$$$$SECTION F - OTHER BUDGET INFORMATION21. Direct Charges:22. Indirect Charges:23. Remarks:Authorized for Local ReproductionStandard Form 424A (Rev. 7-97) Page 28Restore Act Direct ComponentRestore Act Direct Component$383,019.44$383,019.44$383,019.44$383,019.44$383,019.44$1,532,077.76$1,532,077.76$383,019.44$383,019.44$1,532,077.76$1,532,077.76Restore Act Direct ComponentRestore Act Direct Component$383,019.44$383,019.44$383,019.44Restore Act Direct ComponentRestore Act Direct ComponentRestore Act Direct ComponentRestore Act Direct ComponentPage 4 of 3416.A.3.cPacket Pg. 428Attachment: Application-Collier (5032 : Restore Grant Approval)
OMB Approval No.: 4040-0007
Expiration Date: 06/30/2014
ASSURANCES - NON-CONSTRUCTION PROGRAMS
Public reporting burden for this collection of information is estimated to average 15 minutes per response, including time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of
information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for
reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0040), Washington, DC 20503.
PLEASE DO NOT RETURN YOUR COMPLETED FORM TO THE OFFICE OF MANAGEMENT AND BUDGET. SEND
IT TO THE ADDRESS PROVIDED BY THE SPONSORING AGENCY.
NOTE:Certain of these assurances may not be applicable to your project or program. If you have questions, please contact the
awarding agency. Further, certain Federal awarding agencies may require applicants to certify to additional assurances. If such
is the case, you will be notified.
As the duly authorized representative of the applicant, I certify that the applicant:
1.Has the legal authority to apply for Federal assistance and
the institutional, managerial and financial capability
(including funds sufficient to pay the non-Federal share of
project cost) to ensure proper planning, management and
completion of the project described in this application.
2.Will give the awarding agency, the Comptroller General of
the United States and, if appropriate, the State, through
any authorized representative, access to and the right to
examine all records, books, papers, or documents related
to the award; and will establish a proper accounting
system in accordance with generally accepted accounting
standards or agency directives.
3.Will establish safeguards to prohibit employees from
using their positions for a purpose that constitutes or
presents the appearance of personal or organizational
conflict of interest, or personal gain.
4.Will initiate and complete the work within the applicable
time frame after receipt of approval of the awarding
agency.
5.Will comply with the Intergovernmental Personnel Act of
1970 (42 U.S.C. §§4728-4763) relating to prescribed
standards for merit systems for programs funded under
one of the 19 statutes or regulations specified in Appendix
A of OPM's Standards for a Merit System of Personnel
Administration (5 C.F.R. 900, Subpart F).
6.Will comply with all Federal statutes relating to
nondiscrimination. These include but are not limited to: (a)
Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which
prohibits discrimination on the basis of race, color or
national origin; (b) Title IX of the Education Amendments
of 1972, as amended (20 U.S.C.§§1681- 1683, and 1685-
1686), which prohibits discrimination on the basis of sex;
(c) Section 504 of the Rehabilitation
Act of 1973, as amended (29 U.S.C. §794), which
prohibits discrimination on the basis of handicaps; (d)
the Age Discrimination Act of 1975, as amended (42 U.
S.C. §§6101-6107), which prohibits discrimination on the
basis of age; (e) the Drug Abuse Office and Treatment
Act of 1972 (P.L. 92-255), as amended, relating to
nondiscrimination on the basis of drug abuse; (f) the
Comprehensive Alcohol Abuse and Alcoholism
Prevention, Treatment and Rehabilitation Act of 1970
(P.L. 91-616), as amended, relating to nondiscrimination
on the basis of alcohol abuse or alcoholism; (g) §§523
and 527 of the Public Health Service Act of 1912 (42
U.S.C. §§290 dd-3 and 290 ee- 3), as amended, relating
to confidentiality of alcohol and drug abuse patient
records; (h) Title VIII of the Civil Rights Act of 1968 (42
U.S.C. §§3601 et seq.), as amended, relating to
nondiscrimination in the sale, rental or financing of
housing; (i) any other nondiscrimination provisions in the
specific statute(s) under which application for Federal
assistance is being made; and, (j) the requirements of
any other nondiscrimination statute(s) which may apply
to the application.
7.Will comply, or has already complied, with the
requirements of Titles II and III of the Uniform
Relocation Assistance and Real Property Acquisition
Policies Act of 1970 (P.L. 91-646) which provide for fair
and equitable treatment of persons displaced or whose
property is acquired as a result of Federal or federally-
assisted programs. These requirements apply to all
interests in real property acquired for project purposes
regardless of Federal participation in purchases.
8.Will comply, as applicable, with provisions of the Hatch
Act (5 U.S.C. §§1501-1508 and 7324-7328) which limit
the political activities of employees whose principal
employment activities are funded in whole or in part
with Federal funds.
Previous Edition Usable
Authorized for Local Reproduction
Standard Form 424B (Rev. 7-97)
Prescribed by OMB Circular A-102
Page 5 of 34
16.A.3.c
Packet Pg. 429 Attachment: Application-Collier (5032 : Restore Grant Approval)
9.Will comply, as applicable, with the provisions of the Davis-
Bacon Act (40 U.S.C. §§276a to 276a-7), the Copeland Act
(40 U.S.C. §276c and 18 U.S.C. §874), and the Contract Work
Hours and Safety Standards Act (40 U.S.C. §§327- 333),
regarding labor standards for federally-assisted construction
subagreements.
10.Will comply, if applicable, with flood insurance purchase
requirements of Section 102(a) of the Flood Disaster
Protection Act of 1973 (P.L. 93-234) which requires recipients
in a special flood hazard area to participate in the program and
to purchase flood insurance if the total cost of insurable
construction and acquisition is $10,000 or more.
11.Will comply with environmental standards which may be
prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive
Order (EO) 11514; (b) notification of violating facilities
pursuant to EO 11738; (c) protection of wetlands pursuant to
EO 11990; (d) evaluation of flood hazards in floodplains in
accordance with EO 11988; (e) assurance of project
consistency with the approved State management program
developed under the Coastal Zone Management Act of 1972
(16 U.S.C. §§1451 et seq.); (f) conformity of Federal actions
to State (Clean Air) Implementation Plans under Section
176(c) of the Clean Air Act of 1955, as amended (42 U.S.C.
§§7401 et seq.); (g) protection of underground sources of
drinking water under the Safe Drinking Water Act of 1974, as
amended (P.L. 93-523); and, (h) protection of endangered
species under the Endangered Species Act of 1973, as
amended (P.L. 93- 205).
12.Will comply with the Wild and Scenic Rivers Act of 1968 (16
U.S.C. §§1271 et seq.) related to protecting components or
potential components of the national wild and scenic rivers
system.
13.Will assist the awarding agency in assuring compliance with
Section 106 of the National Historic Preservation Act of
1966, as amended (16 U.S.C. §470), EO 11593
(identification and protection of historic properties), and the
Archaeological and Historic Preservation Act of 1974 (16
U.S.C. §§469a-1 et seq.).
14.Will comply with P.L. 93-348 regarding the protection of
human subjects involved in research, development, and
related activities supported by this award of assistance.
15.Will comply with the Laboratory Animal Welfare Act of 1966
(P.L. 89-544, as amended, 7 U.S.C. §§2131 et seq.)
pertaining to the care, handling, and treatment of warm
blooded animals held for research, teaching, or other
activities supported by this award of assistance.
16.Will comply with the Lead-Based Paint Poisoning
Prevention Act (42 U.S.C. §§4801 et seq.) which prohibits
the use of lead-based paint in construction or rehabilitation
of residence structures.
17.Will cause to be performed the required financial and
compliance audits in accordance with the Single Audit Act
Amendments of 1996 and OMB Circular No. A-133, "Audits
of States, Local Governments, and Non-Profit
Organizations."
18.Will comply with all applicable requirements of all other
Federal laws, executive orders, regulations, and policies
governing this program.
19.Will comply with the requirements of Section 106(g) of the
Trafficking Victims Protection Act (TVPA) of 2000, as
amended (22 U.S.C. 7104) which prohibits grant award
recipients or a sub-recipient from (1) Engaging in severe
forms of trafficking in persons during the period of time that
the award is in effect (2) Procuring a commercial sex act
during the period of time that the award is in effect or (3)
Using forced labor in the performance of the award or
subawards under the award.
* SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL
Nick Casalanguida
* TITLE
Deputy County Manager
* APPLICATION ORGANIZATION
Collier County Board of County Commissioners
* DATE SUBMITTED
12/11/2017
Standard Form 424B (Rev. 7-97) Back
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OMB Number: 4040-0004
●
❍
❍
StringStringStringString
AL: Alabama
AFG: AFGHANISTAN
08/13/1967
●
❍
❍
A: Increase Award
Application for Federal Assistance SF-424
* 1. Type of Submission:
* 3. Date Received:
08/13/1967
5a. Federal Entity Identifier:
State Use Only:
6. Date Received by State:
8. APPLICANT INFORMATION:
* a. Legal Name:
* b. Employer/Taxpayer Identification Number (EIN/TIN):
d. Address:
* Street1:
* City:
* State:
* Country:
* Zip / Postal Code:
e. Organizational Unit:
Department Name:
f. Name and contact information of person to be contacted on matters involving this application:
Prefix:
Middle Name:
* Last Name:
Suffix:
Title:
Organizational Affiliation:
* Telephone Number:
* Email:
Street2:
County:
Province:
Preapplication
Application
Changed/Corrected Application
* 2. Type of Application:
4. Applicant Identifier:
New
Continuation
Revision
7. State Application Identifier:
* First Name:
* If Revision, select appropriate letter(s):
* Other (Specify)
* 5b. Federal Award Identifier:
* c. Organizational DUNS:
Division Name:
Fax Number:
Version 02
Tracking Number: Funding Opportunity Number: Received Date: Time Zone: GMT-5
Expiration Date: 03/31/2012
34112-5749
Gary
Naples
GaryMcAlpin@colliergov.net
3299 Tamiami Trl E Ste 700
Growth Management
12/11/2017
Collier County Coastal Zone Management
McAlpin
Coastal Zone Management
12/11/201712/11/201712/11/201712/11/2017
239-252-5342
Florida
Manager
59-6000558 076997790076997790
UNITED STATES
Collier County Board of County CommissionersCollier County Board of County Commissioners
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Packet Pg. 431 Attachment: Application-Collier (5032 : Restore Grant Approval)
OMB Number: 4040-0004
A: State Government
A: State Government
A: State Government
Application for Federal Assistance SF-424
9. Type of Applicant 1: Select Applicant Type:
Type of Applicant 2: Select Applicant Type:
Type of Applicant 3: Select Applicant Type:
* Other (specify):
* 10. Name of Federal Agency:
11. Catalog of Federal Domestic Assistance Number:
CFDA Title:
* 12. Funding Opportunity Number:
* Title:
13. Competition Identification Number:
Title:
14. Areas Affected by Project (Cities, Counties, States, etc.):
* 15. Descriptive Title of Applicant's Project:
Attach supporting documents as specified in agency instructions.
Version 02
Tracking Number: Funding Opportunity Number: Received Date: Time Zone: GMT-5
Expiration Date: 03/31/2012 Expiration Date: 03/31/2012
GR-RDC-17-006-059221
GR-RDC-17-006
County Government
Resources and Ecosystems Sustainability, Tourist Opportunities, and Revived Economies of the Gulf Coast States
21.015
-Restore Act
RESTORE Act Direct Component - Non-Construction Activities
RESTORE Act Direct Component - Non-Construction Activities
Comprehensive Watershed Improvement Plan Project Development and Permitting
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OMB Number: 4040-0004
●
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08/13/1967
❍
0.00
0.00
0.00
0.00
0.00
0.00
0.00
08/13/1967
08/13/1967
Application for Federal Assistance SF-424
16. Congressional Districts Of:
* a. Applicant
Attach an additional list of Program/Project Congressional Districts if needed.
17. Proposed Project:
* a. Start Date:
18. Estimated Funding ($):
* a. Federal
* b. Applicant
* c. State
* d. Local
* e. Other
* f. Program Income
* g. TOTAL
* 19. Is Application Subject to Review By State Under Executive Order 12372 Process?
* 20. Is the Applicant Delinquent On Any Federal Debt? (If "Yes", provide explanation.)
21. *By signing this application, I certify (1) to the statements contained in the list of certifications** and (2) that the statements
herein are true, complete and accurate to the best of my knowledge. I also provide the required assurances** and agree to com
ply with any resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may
subject me to criminal, civil, or administrative penalties. (U.S. Code, Title 218, Section 1001)
** The list of certifications and assurances, or an internet site where you may obtain this list, is contained in the announcement or agency
specific instructions.
Authorized Representative:
Prefix:
Middle Name:
* Last Name:
Suffix:
* Title:
* Telephone Number:
* Email:
* Signature of Authorized Representative:
a. This application was made available to the State under the Executive Order 12372 Process for review on
b. Program is subject to E.O. 12372 but has not been selected by the State for review.
c. Program is not covered by E.O. 12372.
Yes
** I AGREE
No
* First Name:
* b. Program/Project:
Fax Number:
* Date Signed:
* b. End Date:
08/13/1967
.
Version 02
Authorized for Local Reproduction Standard Form 424 (Revised 10/2005)
Prescribed by OMB Circular A-102
Tracking Number: Funding Opportunity Number: Received Date: Time Zone: GMT-5
Expiration Date: 03/31/2012
Nick
NickCasalanguida@colliergov.net
1532077.76
0
Deputy County Manager
1532077.76
Casalanguida
19
0
19
12/11/2017Mr. Nick Casalanguida
01/30/2021
239-252-8383
02/01/2018
0
0
0
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OMB Number: 4040-0004
Application for Federal Assistance SF-424 Version 02
The following field should contain an explanation if the Applicant organization is delinquent on any Federal Debt. Maximum number of
characters that can be entered is 4,000. Try and avoid extra spaces and carriage returns to maximize the availability of space.
* Applicant Federal Debt Delinquency Explanation
Expiration Date: 03/31/2012
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Page 1
RESTORE Act Direct Component Application Narrative
Department of the Treasury
OMB Number
1505-0250
The Direct Component Funding Opportunity Announcements describe in detail the content and information required for your narrative. Please
refer to the relevant Funding Opportunity Announcement when completing this form.
GENERAL INFORMATION:
Applicant Name: Collier County Board of County Commissioners
Point of Contact (POC) for this Application:
POC Name: *Gary McAlpin
POC Title: *Manager, Coastal Zone Management
POC Email: *GaryMcAlpin@colliergov.net
POC Phone: *(239) 252-5342
Descriptive Title of Applicant's Project: (refer to SF 424) *Comprehensive Watershed Improvement Project
Activity Title from Multiyear Plan Matrix, Column #6 *Collier County/Rookery Bay National Estuarine Research Comprehensive
Watershed Improvement Plan Project Development and Permitting Phase 1
Funding Opportunity Announcement #:GR-RDC-17-006
A. STATUTORY QUESTIONS
1. Qualifying eligible activity: Please select the primary eligible
activity in the first column, and select all other eligible
activities that apply in the second column.
Select Primary
Activity Qualifying Eligible Activity {Select All Others That Apply}
Activity 1
1. Restoration and protection of the natural resources, ecosystems, fisheries,
marine and wildlife habitats, beaches and coastal wetlands of the Gulf Coast
Region
Activity 2 2. Mitigation of damage to fish, wildlife and natural resources
Activity 3
3. Implementation of a federally approved marine, coastal, or
comprehensive conservation management plan, including fisheries
monitoring
Activity 4 4. Workforce development and job creation
Activity 5
5. Improvements to or on State parks located in coastal areas affected by the
Deepwater Horizon oil spill
Activity 6
6. Infrastructure projects benefitting the economy or ecological resources,
including port infrastructure
Activity 7 7. Coastal flood protection and related infrastructure
Activity 8 8. Planning assistance
Activity 9
9. Promotion of tourism in the Gulf Coast Region, including recreational
fishing
Activity 10
10. Promotion of the consumption of seafood harvested from the Gulf Coast
Region
2. Was this proposed activity included in any claim for compensation
paid out by the Oil Spill Liability Trust Fund after July 6, 2012? Yes No
If "Yes," this activity is not eligible for a Direct Component grant.
3. Location
(a) Please provide the actual location for the activity as
street address, nearest intersection, or note boundaries
on a submitted map. If there is more than one location
for the activity, attach a list of the additional locations,
city/town, county/parish, state, and zip code.
Location: Collier County
City/Town:
County/Parish:Collier County
State: FLORIDA
Zip code: 34112
The Collier County/Rookery Bay National Estuarine Research Reserve
Comprehensive Multi-Year Implementation Plan project meets the
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(b) Describe how the proposed activity will be carried out in the Gulf
Coast Region as defined in 31 CFR 34.2. Attach a map to support your
response.
RESTORE Act criteria of planning assistance as defined in 31 CFR
34.201(j) of the RESTORE Act. The project development and permitting
funding is planning for the eligible activity of Restoration and protection of
the natural resources, ecosystems, fisheries, marine and wildlife habitats,
beaches and coastal wetlands of the Gulf Coast region per 31 CFR
34.201(a). Collier County improvement projects will be carried out in the
Gulf Coast region including any adjacent land, water and watersheds
within 25 miles of those coastal zone areas identified in 33 U.S.C.
subsection 1321(a)(1)(33)(B) and further by Treasury regulation 31 CFR
34.201. Improving the health of the CountyÂs watershed areas will restore
near shore and eventually offshore water quality. Improved water quality
(both freshwater and saltwater) provides protection to the entire marine
ecosystem, including seagrass beds and the benthic and pelagic species and
habitat they depend on.
B. DISCUSSION OF SPECIFIC ACTIVITY
IF APPLICABLE, PLEASE FOLLOW SPECIFIC DIRECTIONS FOR NON-FEDERAL SHARE OF ANOTHER FEDERALLY FUNDED
ACTIVITY and ACTIVITIES APPROVED PRIOR TO JULY 6, 2012 IN THE DIRECT COMPONENT APPLICATION GUIDANCE.
1. Proposed Scope of Work
(a) Directions: Provide a detailed scope of work that fully describes the project or program for which funding is requested, including:
- Need, purpose, and objectives;
Need: Approximately 70% of Collier County's 2,300 sq. miles has been altered since the 1950's in order to accommodate coastal development. In addition
to shoreline modifications, extensive canal construction for urban and agricultural drainage has changed the timing and quantity of freshwater inflows to
coastal waters. These changes have dramatically affected water quality and quantity of many County estuaries. Prior to intense development, rainfall either
infiltrated into the surficial aquifer or flowed through extensive wetlands into the coastal waters of the County. The project development and permitting of
this project will be the first step in rehydrating and restoring at least a portion of the historical flows within the region helping to reestablish historical
wetland hydroperiods to some degree. Purpose: The purpose is to develop the conceptual design of the Collier County Comprehensive Watershed
Improvements Plan (CCCWIP) to a level that will allow the County to apply for the appropriate federal and state permit(s) and provide adequate site
analysis to develop a preliminary design that is demonstrated to be constructible, permitable and does not create adverse impacts to the surrounding
properties or environmental and water resources. Objective: Project development to the 30% design level to plan and permit the CCCWIP. This project is
the preliminary step in the development of the planning and design of the CCCWIP. As a discovery phase, timelines and deliverables may change to reflect
regulatory requirements that are revealed during data collection and agency discussions.
- How the project/program meets the identified primary activity designated in A1;
The project meets the RESTORE Act criteria of planning assistance as defined in 31 CFR 34.201(j) of the RESTORE Act. The project development and
permitting funding is planning for the eligible activity of Restoration and protection of the natural resources, ecosystems, fisheries, marine and wildlife
habitats, beaches and coastal wetlands of the Gulf Coast region per 31 CFR 34.201(a).
- Specific tasks, milestones and related timeframes (also captured in Milestones Report); and
Scope of Work: The County and it's contractor (to be determined through competitive process) would meet with various agencies to determine what, if any,
additional data is necessary for project permitting. This project is the preliminary step in the development of the planning and design of the CCCWIP. As a
discovery phase, timelines and deliverables may change to reflect regulatory requirements that are revealed during data collection and agency discussions.
Below is a detailed listing the tasks/deliverables anticipated at this time to be accomplished within the scope of work. 1. Preliminary data compilation -
Compilation of relevant available data (including GIS data) to coordinate with regulatory agencies in identifying potential environmental issues and
permitting requirements. TIMEFRAME: 90 days DELIVERABLE: Status Report 2. Agency coordination - Coordination and meetings with state and
federal regulatory agencies for necessary monitoring and permitting requirements for species, habitats and wetlands. TIMEFRAME: Ongoing
DELIVERABLES: Quarterly Status Reports 3. Coordination with Regulatory Agencies regarding model comparisons - This effort would involve
maintaining close coordination between the County's modeling team and the Big Cypress Basin (BCB) and others as related to the use of the USACE's
Gridded Surface/Subsurface Hydrologic Analysis (GSSHA; aka 'Geisha') model. TIMEFRAME: 15 months DELIVERABLES: Quarterly Status Reports 4.
Evaluate Project Effects on Groundwater Elevation - This effort would focus on refining estimates of changes in groundwater elevations in the following
locations; Northern flow way, I-75 Canal and South Belle Meade spreader, Picayune Strand Forest and Picayune Strand Restoration Project, Six L's
agricultural area and urban areas along Henderson Creek and south of US 41. TIMEFRAME: 15 months DELIVERABLES: Quarterly Status Reports
5. Preliminary data collection to evaluate changes in habitat, actual rates of infiltration and evapotranspiration and changes in water quality associated with
project implementation. TIMEFRAME: Ongoing DELIVERABLES: Quarterly Status Reports 6. Coordinated efforts of other entities - Coordination
between the County, the City of Naples and Rookery Bay National Estuarine Research Reserve (RBNERR) TIMEFRAME: Ongoing DELIVERABLES:
Quarterly Status Reports FINAL DELIVERABLE: FINAL REPORT
- Description of all funding sources included on the SF-424
Only RESTORE Direct Pot 1 funds are included on the SF-424
Projects designed to protect or restore natural resources must be based on best available science. Include a description of the methods to be used
to achieve the protection or restoration objective(s). (Also complete Question B.6.)
This project involves the planning and project development to the 30% design level to plan and permit the CCCWIP.
(b) If the proposed project is part of a larger project outside the scope of this application, describe the larger project and the proposed project's
relationship to it.
The proposed project is the planning involved in the development and conceptual design in order to permit the improvements outlined in the Collier
County Comprehensive Watershed Improvement Plan(CCCWIP). It is anticipated that future Direct Component applications will request funding for
construction phases of the CCCWIP as determined during the planning and design.
2. Budget Justification (See OMB Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards)
Directions: Explain in detail how the proposed budget supports the proposed scope of work. The budget justification should relate each budget
category listed in the SF-424A and SF-424C to the specific tasks discussed in the response to B1. Provide specific justification for ALL budget
categories that apply, including an explanation of the necessity, allowability, reasonableness, and allocability of proposed costs. Please refer to the
relevant Funding Opportunity Announcement for descriptions of the budget categories.
Budget Category: Contractual Collier County will select a qualified consultant through a competitive bid process.
3. The Applicant's Selection and Oversight of Contractors, if applicable
Directions: Indicate if the applicant plans to contract out any work described under the Budget Justification (see B2) including construction. If so,
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the applicant must describe the following:
(a) For State applicants:
- Nature of the work to be contracted out and the expected number of contracts to be awarded;
Not applicable
- State procurement method(s) that will be used for the procurement of the contractor(s); and
Not applicable
- Applicant's plan for monitoring contractor performance and compliance.
Not applicable
If a contractor already has been selected, also include the following:
- Name of each contractor;
- DUNS number of each contractor;
- Date the applicant executed each contract; and
- Amount of each contract award.
Not applicable
(b) For non-State applicants:
- Nature of the work to be contracted out and the expected number of contracts to be awarded;
The nature of work to be contracted out includes the following: 1. Preliminary data compilation - Development of background information, including a
detailed project description, site location and anticipated environmental issues - Compilation of relevant available data (including GIS data) to coordinate
with regulatory agencies in identifying potential environmental issues and permitting requirements 2. Agency coordination - Coordination and meetings
with state and federal regulatory agencies for necessary monitoring and permitting requirements for species, habitats and wetlands - Participation in design
plans to identify potential environmental permitting issues and action alternatives 3. Coordination with Regulatory Agencies regarding model comparisons
- It is anticipated that the nearby restoration efforts for Picayune Strand have the potential to complicate the permitting associated with the County's project.
While the South Florida Water Management District (SFWMD) Big Cypress Basin (BCB) has been fully aware of the County's project on a staff level,
projects being completed by state and federal agencies need to be coordinated, at a technical and staff level, with the County's project. This effort would
involve maintaining close coordination between the County's modeling team and the BCB and others as related to the use of the USACE's Gridded Surface/
Subsurface Hydrologic Analysis (GSSHA; aka 'Geisha') model. 4. Evaluate Project Effects on Groundwater Elevation 5. Preliminary data collection to
evaluate changes in habitat, actual rates of infiltration and evapotranspiration and changes in water quality associated with project implementation  Site
selection of 60 locations, to be distributed as 30 random locations within the area likely to be impacted by project implementations, as well as 30 sites
likely outside the influence of the project. At each of the 60 locations, bi-annual and quantitative sampling of the vegetation Species richness Species
diversity Percent native vs. non-native. At each of the 60 locations, quarterly recording of water levels and/or groundwater levels -Via use of piezometers
and/or staff gages. At each of the 60 locations, quarterly collection of water quality data (for surface water samples) for the following parameters: Water
temperature, pH, Dissolved oxygen, Specific conductance, Total nitrogen, and Total phosphorous. The number sampling events is currently estimated at
600 per year, however, this number may increase or decrease based on findings from preliminary data collection and meetings with regulatory agencies. 6.
Coordinated efforts of other entities - Coordination between the County, the City of Naples and Rookery Bay National Estuarine Research Reserve
(RBNERR) Expected number of contracts: 1
- Procurement method(s) allowable under 2 CFR 200.320 that will be used for the procurement of the contractor(s);
Collier County is using a competitive Request for Proposal process that is publicly solicited and a firm fixed price contract (lump sum or unit price) is
awarded to the responsible bidder whose bid, conforming with all the material terms and conditions of the invitation for bids, is the lowest in price.
- Justification under 2 CFR 200.320(f) for sole source procurement, if applicable; and
Not Applicable
- Applicant's plan for monitoring contractor performance and compliance.
The Coastal Zone Management office, in conjunction with the Office of Management and Budget, will monitor contractor performance and compliance
through progress reports from the selected contractor, review of milestones completed and approval of invoices in compliance with allowable costs.
If a contractor already has been selected, also include the following:
- Name of each contractor;
- DUNS number of each contractor;
- Date the applicant executed each contract;
- Amount of each contract award;
Not Applicable
- Procurement method allowable under 2 CFR 200.320 that was used for the procurement of each contract;
- Description of the procurement process, as implemented; and
- Justification under 2 CFR 200.320(f) for sole source procurement, if applicable.
Not applicable
4. The Applicant's Selection and Oversight of Subrecipients and Inclusion of Special Provisions relating to Subawards, if Applicable
Directions: Indicate whether the applicant plans to issue subawards for activities proposed in this application. If so, the applicant must provide
ALL of the following:
- Description of how the applicant selected or plans to select subrecipient(s);
Not Applicable. Collier County does not plan to select subrecipients
- Description of the applicant's subrecipient monitoring and management plan that implements the requirements for pass-through entities at 2
CFR 200.331; and
Not Applicable
- The means by which the applicant will assess each subrecipient's level of risk and monitor each subrecipient's progress, including any required
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reports.
Not Applicable
If a subrecipient already has been selected, also include the following:
- Name of each subrecipient;
- DUNS number of each subrecipient:
- Date the applicant selected each subrecipient; and
- Amount of funds to be provided to each subrecipient.
Not Applicable
5. Public Input for this Proposed Activity
Directions: Describe how the applicant considered the meaningful public input from individuals, businesses, Indian tribes, and nonprofit
organizations relating to this proposed project, including input received during the preparation of the Multiyear Plan.
Collier County conducted a highly participatory process to review and gain approval and support for the multi-year implementation plan detailing this
project. This included multiple presentations to the Collier County Board of County Commissioners, the Comprehensive Watershed Improvement Program
Technical Advisory Ad Hoc Committee and to the City of Naples City Council. A legal advertisement for the Collier County Multi-Year Implementation
Plan was published twice in the Naples Daily News (a newspaper of local circulation) on Thursday, June 15, 2017 and then again on July 20, 2017 in both
English and Spanish requesting public comments during a 45 day comment period from Thursday, June 15, 2017 to August 31, 2017 and again from July
20, 2017 to September 4, 2017, respectively. The re-advertising on July 20, 2017 was a compliance issue from the U.S. Treasury's review of the County's
Multi-Year Implementation Plan (MYIP). A revised MYIP was re-posted to the County's website in order to comply with the legal advertisement
regulations. In addition, Collier County Communication Support Division distributed a Notice of Public Meeting that was sent to the community at large
and all the local media. The notice was also posted on the County's website at www. Colliergov.net and on the media board in the Communication Support
Division. No comments were received during the 45 day period. Collier County Coastal Management Section hosted two (2) public meetings to discuss the
plan on Thursday, June 22, 2017 and August 17, 2017 at 2800 North Horseshoe Drive, Suites 609/610 (Growth Management Office) at 5:30 p.m. and
5:00p.m. , respectively. No interested citizens and/or representatives from local agencies were in attendance at either meeting. Letters of Support were
received from the following and included in the approved MYIP. Audubon of the Western Everglades/Audubon Florida South
Florida Water Management District - Big Cypress Basin City of Naples Conservancy of Southwest Florida Florida Fish and Wildlife Conservation
Commission Fish and Wildlife Service Florida Wildlife Federation Florida Forestry Service Collier County Watershed Technical Advisory Committee
Collier County Board of County Commissioners Rookery Bay National Estuarine Research Reserve
6. Best Available Science, if applicable
Directions: If the answer to the following question is "yes" complete this section. Is the proposed activity designed to
protect or restore natural resources? Yes No
The RESTORE Act requires activities designed to protect or restore natural resources to be based on the "best available science," which is
defined in the Act as science that (a) maximizes the quality, objectivity, and integrity of information, including statistical information; (b) uses
peer-reviewed and publicly available data; and (c) clearly documents risks and uncertainties in the scientific basis for such projects.
The applicant must make a determination that a project designed to protect or restore natural resources is based on the best available science. In
order to support this determination, the applicant must clearly state the protection or restoration objective(s) of the project, describe the methods
that will be used to achieve the objective(s), and explain how these methods are based on best available science. The response must be sufficiently
detailed for Treasury to evaluate the reasonableness of the applicant's determination that the project is based on best available science. In
addressing the three-pronged test in the definition of "best available science," the applicant must cite, when available, peer-reviewed, objective,
methodologically sound literature sources that support the conclusion that the proposed scope of work is an effective way to achieve the stated
objectives.
For each literature source cited, the applicant must provide sufficient citations, including:
- Title;
- Journal in which the literature source appeared, if applicable;
- Publication date;
- Author(s); and
- Web address if downloaded or available online.
The applicant must provide written answers to all of the following :
(Submission of source materials will not satisfy the requirements for answering this question.)
- A summary of the peer-reviewed information that justifies the proposed objectives, including methods used for the proposed activity. If
peer-reviewed literature sources are unavailable, the Applicant must explicitly State this and provide A brief explanation of what alternative
scientific information sources were used. If the Applicant relied on publicly available data, the Applicant must cite the source of the data, the date
of collection, and the size of the data set. Whenever possible, the Applicant should use publicly available data from sources such as State agencies
and federal agencies, for example the U.S. Census Bureau, U.S. Fish and Wildlife Service, Environmental Protection Agency, National Oceanic
and Atmospheric Administration. the Applicant must provide A link to each publicly available data source used.
- A summary of how the applicant's methods reasonably support and are adaptable to Gulf Coast Region if the information supporting the
proposed activity does not directly pertain to the Gulf Coast Region.
- A summary of an evaluation of uncertainties and risks in achieving the project's best available science objectives over the longer term; e.g., is
there an uncertainty or risk that in 5-10 years the project/program will be obsolete or not function as planned given projections of sea level rise or
other environmental change such as in freshwater inflows to estuaries?
- A summary of the literature sources' conclusions and any uncertainties or risks in the scientific basis that would apply to the proposed activity,
including any uncertainties or risks that were identified by the public or by a Gulf Coast Ecosystem Restoration Council member.
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7. Key Personnel
Directions: Key personnel should include the applicant's Authorizing Official who is authorized to sign the grant application and award, the
Project Director who is responsible for the project, and the Financial Officer who is responsible for maintaining the accounting and financial
records of the grant. The Direct Component Standard Terms and Conditions require the applicant to notify Treasury if there are any changes in
key personnel.
Collier County's Authorizing Official is Nick Casalanguida, Deputy County Manager. Mr. Casalanguida was the former head of the Growth Management
Department which houses the Coastal Zone Management Division responsible for the implementation of this project. Mr. Gary McAlpin, P.E, Manager,
Coastal Zone Management, is the Program/Project Director. Mr. McAlpin joined Collier County in 2005 and is responsible for beach maintenance and
renourishment; inlet and estuary management; and estuarial water quality. Mr. McAlpin oversees federal and state funding used for beach nourishment,
physical and biological monitoring. Allison Kearns, Financial Officer, is in charge of maintaining the accounting and financial records of the grant.
8. Consistency with the Applicant's Multiyear Plan
Directions: Describe whether the proposed scope of work differs from the corresponding project/program identified in the applicant's Multiyear
Plan accepted by Treasury. If no differences exits, make an affirmative statement as to their consistency.
The proposed project is consistent with the Collier County's Multiyear Implementation Plan (MYIP). The Scope of Work contained in this narrative was
also identified in the MYIP accepted by Treasury
9. Possible Material Risks to Implement and Maintain the Proposed Activity
Directions: List the possible material risks, e.g., operational, legal, regulatory, budgetary, or ecological risks, with a brief discussion of mitigation strategies that
the applicant may need to address in order to implement and/or maintain the proposed activity. If the applicant determines that there are no material risks to
implement and maintain the proposed activity, then put 'None' in the Risk column below.
Risk Mitigation Strategy
None
10. Permits, Land Acquisition, Construction, and Relocation Assistance
Directions: Answer the following items concerning permits, construction, land acquisition, and relocation assistance, if applicable.
(a) Permits
Does the proposed activity require any federal, tribal, state, or local permits? For potential federal permits needed,
see: ()https://www.permits.performance.gov/tools/federal-environmental-review-and-authorization-inventory Yes No
If yes, list the specific federal, tribal, state, or local permits required for this project and the status of the permits:
(b) Land Acquisition and Construction Activities
Will land be improved? Yes No
If yes, answer questions i-vi
Will land or interest in land be acquired? Yes No
If yes, answer questions i-vii
i. What are the legal rights that will be acquired?
Please explain 'Other'
ii. If an easement, what is the life of the easement?
iii. Will the applicant hold title to the land? Yes No
iv. What is the total acreage of the proposed property interest to be acquired (easement or fee title)?
v. Has the applicant obtained a recent certified appraisal of the property? If yes, attach a copy of the appraisal. Yes No
vi. Has the applicant obtained a recent title opinion or certificate? If yes, attach a copy of the title opinion or
certificate. Yes No
vii. Attach a signed statement from the seller(s) that he/she is a willing seller and has not been coerced into selling or conveying the property
interest.
viii. Attach the legal description of the property and the tax parcel number.
(c) Relocation Assistance
Will the proposed project cause the displacement of any persons, businesses, or farm operations? Yes No
If yes, as required by Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, explain: the
number of displaced persons, including businesses and farm operations; what fair and reasonable relocation payments and advisory services will
be provided to any displaced persons; and what provisions will be made to ensure that safe, decent, and sanitary replacement dwellings will be
available to such persons within a reasonable period of time prior to displacement.
According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid
OMB control number. The valid OMB control number for this information collection is 1505-0250. Comments concerning the time required to
complete this information collection, including the time to review instructions, search existing data resources, gathering and maintaining the data
needed, and completing and reviewing the collection of information, should be directed to the Department of the Treasury, Office of Gulf Coast
Restoration, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
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Packet Pg. 439 Attachment: Application-Collier (5032 : Restore Grant Approval)
Page 1
RESTORE Act Milestones Report
Department of the Treasury
OMB Number
1505-0250
Applicant/Grantee:Collier County Board of County Commissioners
Title: *Collier County Comprehensive Watershed Improvement Project
Reporting Period Ending *Initial Report Year *2017
INSTRUCTIONS FOR COMPLETING FORM
Please complete Columns B-E in the initial report submitted as part of an application package. After a grant is awarded, complete Columns F-G for each
milestone as applicable and submit as part of the performance reports described in the Standard Terms and Conditions. Columns E and G will calculate
automatically, and will show an error message unless the values in each column total 100%. These milestones should reflect what is in the applicant's scope of
work as described in the applicable RESTORE Act Direct Component or Centers of Excellence Application Narrative.
TO COMPLETE
A-
Milestone
Number
B-
Milestone Description
C-
Estimated
Completion
Timeframe of
Milestone (Format:
award + # of months)
D-
Is milestone
contingent upon
completion of
another milestone
(Y/N)?
If yes, which
milestone is it
contigent upon (#
from Column A)?
E-
What
percentage of
the Scope of
Work is
estimated to
be completed
with this
milestone?
F-
Actual Completion Date of
Milestone (Format: Month-Year)
G-
Estimated
percentage
of budget
for the
awarded
Scope of
Work
spent on
milestone
Month Year
1#Review Bids for Planning Consultant 3 N 10.00%10.00%
2#Award contract to consultant 5 1 10.00%10.00%
3#30% level of design completed 18 Y (1,2)80.00%80.00%
TOTAL 100.00%100.00%
According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid
OMB control number. The valid OMB control number for this information collection is 1505-0250. Comments concerning the time required to
complete this information collection, including the time to review instructions, search existing data resources, gathering and maintaining the data
needed, and completing and reviewing the collection of information, should be directed to the Department of the Treasury, Office of Gulf Coast
Restoration, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Page 16 of 34
16.A.3.c
Packet Pg. 440 Attachment: Application-Collier (5032 : Restore Grant Approval)
Page 1
RESTORE Act Direct Component Applicant Certifications
Department of the Treasury
OMB Number
1505-0250
Directions: These certifications are required by federal law and Department of the Treasury (Treasury) regulations to be submitted with each
application to Treasury for financial assistance under the RESTORE Act Direct Component. The certifications must be signed by an authorized
senior official of the Applicant who can legally bind the entity and has oversight for the administration and use of the Direct Component funds.
A. RESTORE Act Certification
1. Pursuant to the RESTORE Act, I certify that for any award agreement resulting from this application:
(a) Each activity funded under this agreement has been primarily designed to plan for or undertake activities to restore and protect one or more of the
following: the natural resources, ecosystems, fisheries, marine and wildlife habitats, beaches, coastal wetlands, or economy of the Gulf Coast region.
(b) Each activity funded under this agreement is designed to carry out one or more of the eligible activities for the Direct Component.
(c) Each activity funded under this agreement was selected after consideration of all meaningful input from the public, including broad-based
participation from individuals, businesses, Indian tribes, and nonprofit organizations, as described in the grant application. The certification in this
paragraph (1)(c) does not apply to planning assistance funds to prepare and amend the Multiyear Implementation Plan.
(d) Each activity funded under this agreement that protects or restores natural resources is based on the best available science, as that term is defined
in 31 C.F.R. Part 34.
(e) The Applicant has procedures in place for procuring property and services under this award that are consistent with the procurement standards
applying to Federal grants. The Applicant will not request funds under this award for any contract unless this certification remains true and accurate.
(f) Pursuant to 2 C.F.R. § 200.303, the Applicant will establish and maintain effective internal control over all award agreements resulting from this
application, and provide reasonable assurance that the Applicant will manage the award in compliance with Federal statutes, regulations, and the
terms and conditions of the award. The Applicant knows of no material deficiencies in its internal controls. .
(g) A conflict of interest policy consistent with 2 C.F.R. § 200.318(c) is in effect and covering each activity funded under this Agreement. .
(h) The Applicant will comply with Title VI of the Civil Rights Act of 1964, the Rehabilitation Act of 1973, and all other applicable federal laws and
regulations concerning anti-discrimination.
2. I make each of these certifications based on my personal knowledge and belief after reasonable and diligent inquiry, and I affirm that the Applicant
maintains written documentation sufficient to support each certification made above, and that the Applicant's compliance with each of these certifications
is a condition of the Applicant's initial and continuing receipt and use of the funds provided under this Agreement.
B. Certification Regarding Debarment, Suspension, and Other Responsibility Matters -- Primary Covered Transactions: Instructions for
Certification
1. By signing and submitting this Application, the prospective primary participant (the Applicant) is providing the certification set out below.
2. The inability of an Applicant to provide the certification required below will not necessarily result in the denial of participation in this covered
transaction. The prospective Applicant shall submit an explanation of why it cannot provide the certification set out below. The certification or
explanation will be considered in connection with Treasury's approval of the proposed application. However, failure of the Applicant to furnish a
certification or an explanation shall disqualify such person/entity from participation in this transaction.
3. This certification is a material representation of fact upon which reliance is placed when Treasury determines to enter into this transaction. If it
is later determined that the Applicant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal
government, Treasury may terminate this transaction for cause or default.
4. The Applicant shall provide immediate written notice to Treasury if at any time the Applicant learns that its certification was erroneous when
submitted or has become erroneous by reason of changed circumstances.
5. The terms "covered transactions," "debarred," "suspended," "ineligible," "lower tier covered transaction," "participant," "person,"
"primary covered transaction," "principal," "proposal", and "voluntarily excluded," as used in this clause (certification), have the meanings set
out in the Definitions and Coverage sections of the rules implementing Executive Order 12549. You may contact Treasury for assistance in
obtaining a copy of those regulations (31 C.F.R. Part 19).
6. The Applicant agrees by submitting this Application that, should the proposed covered transaction be entered into, it shall not knowingly enter
into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation
in this covered transaction, unless authorized by Treasury.
7. The Applicant further agrees by submitting this Application that it will not award any contract or subaward to any entity on the
government-wide Excluded Parties List System (see 31 C.F.R. Part 19, Appendix).
8. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not
debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A
participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required
to, check the Nonprocurement List.
9. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the
certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed
by a prudent person in the ordinary course of business dealings.
10. Except for transactions authorized under paragraph 6 of these instructions, if a participant in a covered transaction knowingly enters into a
lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction,
in addition to other remedies available to the Federal government, Treasury may terminate this transaction for cause or default.
C. Certification Regarding Debarment, Suspension, and Other Responsibility Matters -- Primary Covered Transactions
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1. The prospective primary participant (the Applicant) certifies to the best of its knowledge and belief, that it and its principals:
(a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any
Federal department or agency;
(b) Have not within a three-year period preceding this Application been convicted of or had a civil judgment rendered against them for commission of
fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract
under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or
destruction of records, making false statements, or receiving stolen property;
(c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any
of the offenses enumerated in paragraph (1)(b) of this certification; and
(d) Have not within a three-year period preceding this Application had one or more public transactions (Federal, State or local) terminated for cause or
default.
2. Where the Applicant is unable to certify to any of the statements in this certification, such Applicant shall attach an explanation to this proposal.
D. Certification Regarding Drug-Free Workplace Requirements
1. The Applicant certifies that it will provide a drug-free workplace by:
(a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is
prohibited in the Applicant's workplace and specifying the actions that will be taken against the employee for violations of such prohibition;
(b) Establishing a drug-free awareness program to inform employees about:
(i) The dangers of drug abuse in the workplace;
(ii) The Applicant's policy of maintaining a drug-free workplace;
(iii) Any available drug counseling, rehabilitation, and employee assistance program; and
(iv) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace.
(c) Making it a requirement that each employee to be engaged in the performance of the award be given a copy of the statement required by paragraph
(a);
(d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment in such grant, the employee will:
(i) Abide by the terms of the statement; and
(ii) Notify the employer of any criminal drug use statute conviction for a violation occurring in the workplace no later than five calendar days
after such conviction;
(e) Notifying the granting agency in writing, within ten calendar days after receiving notice of a conviction under paragraph (d)(ii) from an employee
or otherwise receiving actual notice of such conviction;
(f) Taking one of the following actions, within 30 days of receiving notice under paragraph (d)(ii), with respect to any employee who is so convicted:
(i) Taking appropriate personnel action against such an employee, up to and including termination, consistent with the requirements of the
Rehabilitation Act of 1973, as amended; or
(ii) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a
Federal, State, or local health, law enforcement, or other appropriate agency; and
(g) Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs (a) through (f).
E. Certification Regarding Lobbying
1. The Applicant certifies, to the best of its knowledge and belief, that:
(a) No Federal appropriated funds have been paid or will be paid, by or on behalf of the Applicant, to any person for influencing or attempting to
influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress
in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any
cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative
agreement.
(b) If any funds other than Federal appropriated funds have been paid or will be paid 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 Congress, or an employee of a Member of Congress in
connection with this Application, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in
accordance with its instructions.
(c) The Applicant shall require that the language of this certification be included in the award documents for all subawards at all tiers (including
subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all sub-recipients shall certify and disclose
accordingly.
2. This certification is a material representation of fact upon which reliance is placed when this transaction is made or entered into. Submission of this
certification is a prerequisite for making or entering into this transaction imposed by title 31 U.S. Code section 1352. Any person who fails to file the
required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
Certification
Signature of Authorized Certifying Official
Name Date
12/11/2017
Title *
Deputy County Manager
Oganization
Collier County Board of County Commissioners
According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information
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Packet Pg. 442 Attachment: Application-Collier (5032 : Restore Grant Approval)
Page 3
unless it displays a valid OMB control number. The valid OMB control number for this information collection is
1505-0250. Comments concerning the time required to complete this information collection, including the time to review
instructions, search existing data resources, gathering and maintaining the data needed, and completing and reviewing
the collection of information, should be directed to the Department of the Treasury, Office of Gulf Coast Restoration,
1500 Pennsylvania Ave., NW, Washington, DC 20220.
Page 19 of 34
16.A.3.c
Packet Pg. 443 Attachment: Application-Collier (5032 : Restore Grant Approval)
Page 1
RESTORE Act Status of Performance Report
Department of the Treasury
OMB Number
1505-0250
Instructions for Completing Form
The purpose of this form is to report the status of progress toward reaching priority goals of the eligible Direct Component (DC) activity/Centers of Excellence
(COE) discipline (i.e., measuring success, rather than listing milestones or tasks). Please focus on a discrete number of priority goals (1-3) and the corresponding
performance measures (1-5). Complete boxes shaded in blue.
Goal(s): Anticipated result(s). State the priority goal(s) to be achieved with the grant award. Priority goal(s) should clearly identify with the eligible DC
activity/COE discipline.
Eligible Activity/Discipline #: For a DC grant, select the DC number from the drop-down list that corresponds to the DC Eligible Activity associated with that
measure. For a (COE) grant, select the COE number from the drop down list that corresponds to the COE Eligible Discipline associated with that measure. The
DC numbers and COE numbers, along with the corresponding Eligible Activities and Disciplines, are listed directly below.
Direct Component (DC) Eligible Activities
DC - 1 Restoration and protection of the natural resources, ecosystems, fisheries, marine and wildlife habitats, beaches, and coastal wetlands of the Gulf Coast
region.
DC - 2 Mitigation of damage to fish, wildlife, and natural resources.
DC - 3 Implementation of a federally approved marine, coastal, or comprehensive conservation management plan, including fisheries monitoring.
DC - 4 Workforce development and job creation.
DC - 5 Improvements to or on State parks located in coastal areas affected by the Deepwater Horizon oil spill.
DC - 6 Infrastructure projects benefitting the economy or ecological resources, including port infrastructure.
DC - 7 Coastal flood protection and related infrastructure.
DC - 8 Planning assistance.
DC - 9 Promotion of tourism in the Gulf Coast Region, including recreational fishing
DC - 10 Promotion of consumption of seafood hravested from the Gulf Coast Region
Centers of Excellence (COE) Eligible Disciplines
COE - 1 Coastal and deltaic sustainability, restoration and protection, including solutions and technology that allow citizens to live in a safe and sustainable
manner in a coastal delta in the Gulf Coast Region.
COE - 2 Coastal fisheries and wildlife ecosystem research and monitoring in the Gulf Coast Region.
COE - 3 Offshore energy development, including research and technology to improve the sustainable and safe development of energy resources in the Gulf of
Mexico.
COE - 4 Sustainable and resilient growth, economic and commercial development in the Gulf Coast Region.
COE - 5 Comprehensive observation, monitoring, and mapping of the Gulf of Mexico.
Measure #: Starting with 1, number each performance measure.
Measure: An indicator of success toward reaching a goal. This should reflect "how the applicant will evaluate success" from the narrative of an accepted
multiyear plan.
Baseline: The starting point of the measure. It is the status quo without the grant award.
Target: The anticipated result of the measure. It is the anticipated new status with the grant award.
Date: It is the anticipated date for reaching the target.
Progress toward target (reporting period/cumulative): Leave blank on the initial report. For subsequent reports, record progress made during the reporting
period and the progress made from the start date of the grant award through the current reporting period.
Status/Next Steps: Briefly describe specific progress and/or challenges related to the measure.
Applicant/Grantee:Collier County Board of County Commissioners
Title: *Collier County Comprehensive Watershed Improvement Project
Reporting Period Ending *Initial Report Year *2017
Goal(s): *30% design
A-
Eligible
Activity/
Discipline
#
B-
Measure
#
C-
Measure
D-
Baseline
E-
Target
F-
Target Date
G-
Progress
toward
target
(reporting
period)
H-
Progress toward
target
(cumulative)
I-
Status/Next Steps
Month Year
DC-8 1 Number of planning
deliverables completed 0 5 Jan 2021 0 0
According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid
OMB control number. The valid OMB control number for this information collection is 1505-0250. Comments concerning the time required to
complete this information collection, including the time to review instructions, search existing data resources, gathering and maintaining the data
needed, and completing and reviewing the collection of information, should be directed to the Department of the Treasury, Office of Gulf Coast
Restoration, 1500 Pennsylvania Ave., NW, Washington, DC 20220.
Page 20 of 34
16.A.3.c
Packet Pg. 444 Attachment: Application-Collier (5032 : Restore Grant Approval)
Page 1
RESTORE Act Environmental Checklist
Department of the Treasury
OMB Number
1505-0250
Directions: The following questions will aid the applicant in identifying the environmental laws that may apply to the eligible activity and the
environmental documents that may be required from listed agencies and submitted with the grant application. Follow up to the questions should
be listed in the table located on the last page of the checklist. Treasury will use the submittals to record the Applicant's assertion that it has
complied with applicable environmental laws.
Collier County ComprehensivePROPOSED PROJECT NAME:
Watershed Improvement Project
Collier County Board of County CommissionersAPPLICANT NAME:
FEDERAL LAWS
1.1 NATIONAL ENVIRONMENTAL POLICY ACT (NEPA)
The NEPA of 1969 (42 U.S.C. 4321 et seq.) provides a national policy that encourages "productive and enjoyable harmony between man and his
environment; to promote efforts which will prevent or eliminate damage to the environment and biosphere and stimulate the health and welfare
of man . . ." The NEPA requires that all federal agencies use a systematic, interdisciplinary approach for protection of the human environment;
this approach will ensure the integrated use of the natural and social sciences in any planning and decision-making that may have an impact upon
the environment. The NEPA also requires the preparation of a detailed Environmental Impact Statement (EIS) on any major federal action that
may have a significant impact on the environment. An Environmental Review may be required based on the answers to the following questions:
1)Will the proposed activity be under the permitting authority of any federal agency? * No
2)Will the proposed activity receive federal assistance (other than RESTORE Act funding)? * No
3)Will the proposed activity be subject to any federal regulatory decision or approval? * No
If the answer to any of these questions is "yes," contact the relevant federal agency or agencies for further guidance on environmental
compliance. Additional information concerning NEPA can be found at: https://ceq.doe.gov
4)Has any environmental review (e.g., NEPA documentation or state or tribal equivalent) been prepared for this
proposed eligible activity? *
No
If yes, please attach a copy of the documentation to this checklist.
1.2. COASTAL ZONE MANAGEMENT ACT (CZMA)
A federal consistency determination or certification pursuant to Section 307 of the Coastal Zone Management Act may be required from the state
coastal zone management program, based on the answers to the following questions:
1)Will the proposed activity occur in or near the state designated coastal zone
*https://coast.noaa.gov/czm/media/StateCZBoundaries.pdf
Yes
2)Is the activity likely to have reasonably foreseeable effects on any land or water use or natural resource of the
designated coastal zone? *
No
If the answer to either of these questions is "yes," contact the State Coastal Zone Management Program
for further guidance on federal consistency requirements in your state. Further guidance onhttps://coast.noaa.gov/czm/about/?redirect=301ocm
federal consistency can be found at: https://coast.noaa.gov/czm/consistency
1.3 ENDANGERED SPECIES ACT (ESA)
A consultation pursuant to Section 7 of the Endangered Species Act and/or a permit and conservation plan pursuant to Section 10 may be
required based on the answers to the following questions:
1)Will the proposed activity occur in proximity to threatened or endangered species or critical habitat as defined by
the ESA and under the jurisdiction of the National Marine Fisheries Service (NMFS), Species and Critical Habitat
Found in the Southeast Region :: Southeast Regional Office () or the U.S. Fish and Wildlifehttp://sero.nmfs.noaa.gov
Service (USFWS), IPaC: Home () *https://ecos.fws.gov/ipac/
No
2)Will the proposed activity potentially affect threatened or endangered species or critical habitat as defined by the
ESA and under the jurisdiction of NMFS or USFWS? See (
http://sero.nmfs.noaa.gov/protected_resources/section_7/effects_guidance/endangered_species_act_section_7_
) for further information. *effects_determination_web_guidance_final.pdf
No
If the answer to either of these questions is "yes," or you are unsure, contact the appropriate ecological services field office of the USFWS, (
and/or the Office of Protected Resources Program of the NMFS, (), tohttps://www.fws.gov/offices/http://www.nmfs.noaa.gov/pr/index.htm
determine if consultation is required. Most consultations are conducted informally with the federal agency or a designated non-federal
representative. Non-federal representatives may be involved in the informal consultation process and may request and receive species lists,
prepare the biological assessment, and provide information for the formal consultation. However, the action agency is required to formally
designate the non-federal representative in writing. Moreover, the ultimate responsibility for Section 7 obligations remains with the federal action
agency. Further guidance concerning Section 7 consultations can be found in the Endangered Species Act Consultation Handbook at Centralized
Library, Final Section 7 Consultation Handbook: U.S. Fish and Wildlife Service (). Further guidancehttps://www.fws.gov/policy/m0002.html
concerning Section 10 permits and conservation plans for activities involving threatened or endangered marine and anadromous species can be
found at (). For terrestrial or freshwater species or land-based sea turtle activities,http://www.nmfs.noaa.gov/pr/permits/ESA_permits.html
further guidance concerning section 10 permits and habitat conservation plans can be found at (
)https://www.fws.gov/endangered/esa-library/index.html
1.4 MIGRATORY BIRD TREATY ACT AND BALD AND GOLDEN EAGLE PROTECTION ACT
The Migratory Bird Treaty Act makes it illegal for anyone to take, possess, import, export, transport, sell, purchase, barter, or offer for sale,
purchase, or barter, any migratory bird, or the parts, nests, or eggs of such a bird except under the terms of a valid permit issued pursuant to
Federal regulations. The migratory bird species protected by the Act are listed in 50 C.F.R. 10.13. The Bald and Golden Eagle Protection Act
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prohibits anyone, without a permit issued by the Secretary of the Interior, from "taking" bald eagles [or any golden eagle], including their parts,
nests, or eggs. The Act defines "take" as "pursue, shoot, shoot at, poison, wound, kill, capture, trap, collect, molest or disturb." A permit may be
required based on the answers to the following questions:
1)Will the proposed activity affect any migratory bird species protected by the Migratory Bird Treaty Act? * No
2)Will the proposed activity affect any bald or golden eagles protected by the Bald and Golden Eagle Protection Act?
*
No
If the answer to either question is "yes" or you are unsure, contact the appropriate ecological services field office of the USFWS, (
) More information can be found at (https://www.fws.gov/birds/policies-and-regulations/permits/regional-permit-contacts.php
) and (https://www.fws.gov/birds/policies-and-regulations/laws-legislations/migratory-bird-treaty-act.php
)https://www.fws.gov/birds/policies-and-regulations/laws-legislations/bald-and-golden-eagleprotection-act.php
1.5 MAGNUSON - STEVENS FISHERY CONSERVATION AND MANAGEMENT ACT (FCMA)
Consultation with the NMFS may be required if Essential Fish Habitat (EFH) is present and based on the answers to the following questions:
1)Will the proposed activity occur in proximity to Essential Fish Habitat as identified by the Protected Resources
Program? ( and *http://www.fisherycouncils.org/http://www.nmfs.noaa.gov/sfa/management/councils/
No
2)Will the proposed activity potentially adversely affect EFH? * No
If the answer to either of these questions is "yes" or you are unsure, contact the Office of Protected Resources Program of the NMFS, (
), or Regional Fishery Management Council, (), to determine ifhttp://www.nmfs.noaa.gov/pr/index.htm http://www.fisherycouncils.org/
consultation is required. Further guidance concerning EFH can be found at, () Information abouthttp://www.habitat.noaa.gov/index.html
consultations can be found in the Essential Fish Habitat Consultation Guidance at (
).http://www.habitat.noaa.gov/pdf/efhconsultationguidancev1_1.pdf
1.6 MARINE MAMMAL PROTECTION ACT (MMPA)
A permit may be required if an activity will result in the "take" of a marine mammal. Taking is defined as "to harass, hunt, capture, or kill, or
attempt to harass, hunt, capture, or kill any marine mammal." Permits for most marine mammals are issued by NMFS. Manatees, polar bears,
sea otters, walruses, and dugongs, however, are under the jurisdiction of the USFWS.
1)Will the proposed activity occur in proximity to any known marine mammals? (
) or () *http://www.nmfs.noaa.gov/pr/species/mammals/https://ecos.fws.gov/ipac/
No
2)Will the proposed activity potentially adversely affect EFH? * No
If the answer to either of these questions is "yes" or you are unsure, contact the NMFS Office of Protected Resources Program (
) or the appropriate USFWS ecological services office () to determine if a permit ishttp://www.nmfs.noaa.gov/pr/https://www.fws.gov/offices/
required. Further guidance concerning marine mammal permits can be found at ()http://www.nmfs.noaa.gov/pr/permits/mmpa_permits.html
1.7 MARINE PROTECTION, RESEARCH, AND SANCTUARIES ACT (MPRSA)
Titles I and II of the Marine Protection, Research, and Sanctuaries Act (MPRSA), also referred to as the Ocean Dumping Act, generally prohibits
(1) transportation of material from the United States for the purpose of ocean dumping; (2) transportation of material from anywhere for the
purpose of ocean dumping by U.S. agencies or U.S.-flagged vessels; (3) dumping of material transported from outside the United States into the
U.S. territorial sea. A permit may be required based on the answers to the following questions:
1)Does the proposed activity involve an activity covered by the MPRSA? * No
If the answer to this question is "yes," contact the Environmental Protection Agency's (EPA) Office of Wetlands, Oceans, and Watersheds/Oceans
and Coastal Protection Division for further guidance () or (https://www.epa.gov/aboutepa/about-office-water
). Further guidance about permits under the MPRSA can be found at (https://www.epa.gov/aboutepa/about-office-water#wetlands
)https://www.epa.gov/laws-regulations/summary-marine-protection-research-and-sanctuaries-act
1.8 NATIONAL MARINE SANCTUARIES ACT
Each National Marine Sanctuary has its own unique set of regulations. There are some regulatory prohibitions that are typical for many
sanctuaries: 1) discharging material or other matter into the sanctuary; 2) disturbance of, construction on or alteration of the seabed; 3)
disturbance of cultural resources; and 4) exploring for, developing or producing oil, gas or minerals (with a grandfather clause for preexisting
operations). A permit may be required from the National Oceanic and Atmospheric Administration (NOAA) based on the answers to the
following questions:
1)Is the proposed activity located in a National Marine Sanctuary ( *http://sanctuaries.noaa.gov/about/regions.html)? No
If the answer to this question is "yes" contact the nearest Regional Office of NOAA's National Marine Sanctuaries Program for further guidance
()http://sanctuaries.noaa.gov/about/southeast.html
1.9 CLEAN WATER ACT (CWA)
A separate type of permit is required to dispose of dredge or fill material in the Nation's waters, including wetlands. Authorized by Section 404 of
the Act, this permit program is administered by the U.S. Army Corps of Engineers (USACE), subject to and using environmental guidance from
the EPA. Some types of activities are exempt from permit requirements, including certain farming, ranching, and forestry practices that do not
alter the use or character of the land; some construction and maintenance; and activities already regulated by States under other provisions of the
Act. A permit may be required from the USACE based on the answers to the following questions:
1)Will the proposed activity result in any disposal of dredge or fill material to the nation's waters or wetlands? * No
If the answer to this question is "yes," contact the Regulatory Program of the nearest District Office of the USACE for further guidance on
Section 404 permits at ()http://w3.saj.usace.army.mil/permits/HQAvatar/
A Water Quality Certification (Section 401) is required for activities that may result in a discharge into navigable waters, including wetlands,
watercourses, and natural or man-made ponds. A National Pollution Discharge Elimination System (NPDES) permit may also be required for
such discharges.
1)Will the proposed activity result in any discharge to navigable waters? * No
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If the answer to this question is "yes," contact your state water quality agency for additional guidance. Further guidance concerning Section 401
or NPDES requirements can be found at () and ()http://www.epa.gov/owow/wetlands/waterquality https://www.epa.gov/npdes
1.10 CLEAN AIR ACT (CAA)
Special conditions may be required on projects that could affect air quality, based on the answers to the following questions:
1)Will the proposed activity result in any direct or indirect emissions within a non-attainment area? (
) *https://www.epa.gov/green-book/ozone-designation-and-classification-information
No
If the answer to this question is "yes," contact the nearest state air quality agency at () for further guidance onhttp://www.4cleanair.org/
determining conformity with the state implementation plan.
1.11 NATIONAL HISTORIC PRESERVATION ACT (NHPA) AND THE ARCHAEOLOGICAL AND HISTORIC PRESERVATION ACT
(AHPA)
Special conditions may be required on projects that could affect historic resources, based on the answers to the following questions:
1)Will the proposed activity occur near property listed or eligible for listing in the National Register of Historic Places
(), or near property otherwise protected by section 106 of the National Historic Preservationhttp://www.nps.gov/nr
Act () or a similar State Preservation Act? *http://www.achp.gov/work106.html
No
If the answer to this question is "yes," or you are unsure, contact your state historic preservation office () for furtherhttp://www.ncshpo.org/
guidance concerning compliance requirements.
1.12 COASTAL BARRIER RESOURCE ACT (CBRA)
Federal funding may be prohibited for projects that occur on certain designated coastal barriers, based on the answer to the following questions:
1)Is the proposed activity located on an undeveloped coastal barrier designated by the Coastal Barriers Resources
Act? ( *https://www.fws.gov/ecological-services/habitat-conservation/coastal.html
No
If the answer to this question is "yes," contact the appropriate USFWS ecological services office for further guidance at (
)https://www.fws.gov/ecological-services/habitat-conservation/cbra/PDF/field_offices_contact.pdf
1.13 RIVERS AND HARBORS ACT
A permit may be required from the USACE based on the answers to the following questions:
1)Will the proposed activity involve any work (including structures) that will occur in, over or under navigable waters
of the United States? *
No
If the answer to this question is "yes," contact the Regulatory Program of the nearest District Office of the USACE (
) for further guidance on Section 10 permits. The USACE can authorize activities by ahttp://w3.saj.usace.army.mil/permits/HQAvatar/index.htm
standard individual permit, letter-of-permission, nationwide permit, or regional permit. The USACE will make the determination on what type of
permit is needed.
1.14 RESOURCE CONSERVATION AND RECOVERY ACT (RCRA)
A RCRA permit may be required from the EPA or designated state agency based on the answers to the following question:
1)Will the proposed activity include the long-term storage, treatment, or disposal of hazardous materials or petroleum
products? *
No
If the answer to this question is "yes," contact the nearest RCRA Regional Office of the EPA or state authorized agency for further guidance on
RCRA compliance at ()https://www.epa.gov/compliance/resource-conservation-and-recovery-act-rcra-compliance-monitoring
1.15 COMPREHENSIVE ENVIRONMENTAL RESPONSE, COMPENSATION, AND LIABILITY ACT (CERCLA)
Special provisions and requirements may apply based on the answer to the following question:
1)Will the proposed activity involve a Superfund site? () *https://www.epa.gov/superfund No
If the answer to this question is "yes," contact the nearest Regional Office of the EPA for further guidance on CERCLA requirements at (
)https://www.epa.gov/aboutepa/visiting-regional-office
1.16 WILD AND SCENIC RIVERS ACT
The Wild and Scenic Rivers Act prohibits federal support for actions such as the construction of dams or other instream activities that would
harm the free-flowing condition, water quality, or outstanding resource values of a designated Wild and Scenic River. There are designated rivers
in the Gulf Coast States and the Act may apply based on the answer to the following questions:
1)Is the proposed activity located on a designated Wild and Scenic River ( *http://www.rivers.gov/index.php)? No
If the answer to this question is "yes," contact the appropriate USFWS ecological services office for further guidance at (
)https://www.fws.gov/where/
1.17 SAFE DRINKING WATER ACT
A permit may be required if the proposed activity will involve underground injection which may impact drinking water sources and based on the
answer to the following question:
1)Will the proposed activity involve underground injection which may impact drinking water sources? * No
If the answer to the question is "yes," contact the nearest state drinking water or underground injection control program at (
). For further guidance, see (https://www.epa.gov/uic
)https://www.epa.gov/uic/underground-injection-control-regulations-and-safe-drinking-water-act-provisions
1.18 FARMLAND PROTECTION POLICY ACT (FPPA)
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Projects are subject to FPPA requirements if they may irreversibly convert farmland (directly or indirectly) to nonagricultural use and are
completed by a Federal agency or with assistance from a Federal agency. The project may be subject to the FPPA based on the answers to the
following questions:
1)Will the proposed activity irreversibly convert farmland (directly or indirectly) to nonagricultural use? * No
If the answer to the question is "yes," contact your local office of the Natural Resources Conservation Service (NRCS) or USDA Service Center
for further guidance at () and (http://www.nrcs.usda.gov/wps/portal/nrcs/main/national/contact/local/
)http://www.nrcs.usda.gov/wps/portal/nrcs/main/national/landuse/fppa/
EXECUTIVE ORDERS
Executive Orders are directives from the President of the United States to federal agencies and officials.
2.1 E.O. 11988 AND E.O. 13690 - FLOODPLAIN MANAGEMENT
Executive Order 11988, as amended by Executive Order 13690 requires that an eight-step process be followed for projects that may have
potential impacts to or within floodplains.
1)Is the proposed activity located in a designated floodway or "V-zone" on a National Flood Insurance Program map:
( *http://msc.fema.gov/portal)?
No
If the answer to this question is "yes," contact the nearest Regional Office of the Federal Emergency Management Agency for further guidance at
()http://www.fema.gov/national-flood-insurance-program-bureau-statistical-agent-regional-support-offices
2.2 E.O. 11990 and E.O. 12608-WETLAND PROTECTION
This Executive Order requires agencies to avoid providing assistance for new construction located in wetlands unless there is no practicable
alternative to such construction, and that the proposed action includes all practicable measures to minimize harm to wetlands, which may result
from such use. The Executive Order defines wetlands: ¿(c) The term "wetlands" means those areas that are inundated by surface or ground
water with a frequency sufficient to support and under normal circumstances does or would support a prevalence of vegetative or aquatic life that
requires saturated or seasonally saturated soil conditions for growth and reproduction. Wetlands generally include swamps, marshes, bogs, and
similar areas such as sloughs, potholes, wet meadows, river overflows, mud flats, and natural ponds." (
) For further guidance, contact the appropriate ecological services field office of the USFWS (https://www.fws.gov/wetlands/Data/Mapper.html
)https://www.fws.gov/wetlands/NWI/RWC.html
1)Is any portion of the project proposing a new construction activity in wetlands? * No
If the answer to this question is "yes," provide documentation in the grant application demonstrating that: (1) there is no practicable alternative,
and (2) the proposed activity includes all practicable measures to minimize harm to wetlands.
2.3 E.O. 12898 - ENVIRONMENTAL JUSTICE
This Executive Order requires that "each federal agency shall make achieving environmental justice part of its mission by identifying and
addressing, as appropriate, disproportionately high and adverse human health or environmental effects of its programs, policies, and activities on
minority populations and low-income populations."
1)Will the proposed activity have disproportionately high and adverse human health or environmental effects on
minority or low-income populations? *
No
If the answer to this question is "yes," see the Council on Environmental Quality website for further guidance on Environmental Justice:
https://ceq.doe.gov/nepa_information/justice.html
2.4 E.O. 13089 - Coral Reef Protection
This Executive Order requires that any actions that are authorized or funded by federal agencies not degrade the condition of coral reef
ecosystems. Some of the Gulf Coast States contain coral reef ecosystems and include National Marine Sanctuaries ()http://sanctuaries.noaa.gov
1)Will the proposed activity involve a coral reef ecosystem or National Marine Sanctuary? * No
If the answer to this question is "yes," contact the National Oceanic and Atmospheric Administration Coral Reef Conservation Program for
further guidance at (). Further guidance regarding Executive Order 13089 can be found at (http://coralreef.noaa.gov/
)https://ceq.doe.gov/nepa/regs/eos/eo13089.html
2.5 E.O. 13112 - INVASIVE SPECIES
This Executive Order requires agencies to prevent the introduction of invasive species and provide for their control.
1)Will the proposed activity have the potential to introduce or cause the spread of an invasive species? * No
If the answer to this question is "yes," provide documentation demonstrating that the benefits of the activity clearly outweigh the potential harm
caused by invasive species, and that all feasible and prudent measures to minimize risk of harm will be taken in conjunction with the actions. For
further guidance on invasive species, see () or ()/http://www.invasivespeciesinfo.gov/index.shtml https://www.fws.gov/invasives
2.6 E.O. 13186 - RESPONSIBILITIES OF FEDERAL AGENCIES TO PROTECT MIGRATORY BIRDS
This Executive Order requires the incorporation and promotion of migratory bird conservation considerations into all agency activities. The Gulf
Coast States contain North American migration flyways.
1)Is the proposed activity likely to occur during a time of the year when migrating birds are in the vicinity? * No
If the answer to this question is "yes," contact the appropriate USFWS ecological services office for further guidance at (
). Further guidance regarding Executive Order 13186 can be found at () and (https://www.fws.gov/where/https://www.fws.gov/birds/index.php
)https://www.fws.gov/birds/policies-and-regulations/executive-orders.php
2.7 E.O. 13653 - PREPARING THE UNITED STATES FOR THE IMPACTS OF CLIMATE CHANGE
This Executive Order requires federal agencies to identify and support smarter, more climate-resilient investments by States, local communities,
and tribes, including by providing incentives through agency guidance and grants.
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1) Will the proposed activity incorporate elements that promote climate-resilience (e.g., to rising sea levels)? * No
If yes, include a brief description of the climate-resilient elements in the grant application proposed activity description. Executive Order 13563
can be found at () For further guidance, see (https://www.gpo.gov/fdsys/pkg/FR-2015-03-25/pdf/2015-07016.pdf
)https://www.whitehouse.gov/administration/eop/ceq/sustainability
Tracking Report Status
Report the status of your contact with required agencies/tribes on the table below which coincides with the environmental laws outlined in the
checklist. Provide the date of contact, name of agency/tribe contacted, location, and any necessary permit, certification, or other determination or
mitigation proposed by the agency/tribe. If none, state so.
Status of Contact Table
Federal law as listed in checklist Date of contact Name of agency/tribe contacted Location
Permit,
certification,
determination
or mitigation
required
Coastal Zone Management Act 12/06/2017
Chris Stahl, Coordinator Florida State
Clearinghouse Florida Department of
Environmental Protection
Tallahassee Florida
No further
action
required - see
documentation
Certification
Signature of Authorized Certifying Official
Name Date
12/11/2017
Title *
Deputy County Manager
Organization
Collier County Board of County Commissioners
According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information
unless it displays a valid OMB control number. The valid OMB control number for this information collection is
1505-0250. Comments concerning the time required to complete this information collection, including the time to review
instructions, search existing data resources, gathering and maintaining the data needed, and completing and reviewing
the collection of information, should be directed to the Department of the Treasury, Office of Gulf Coast Restoration,
1500 Pennsylvania Ave., NW, Washington, DC 20220.
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Applicant:Collier County Board of County Commissioners
Application Number:RDC2018000091
Project Title:Comprehensive Watershed Improvement Plan Project Development and
Permitting
Status:Submitted
Document Title:Email from Clearinghouse
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CollierMindy
From:Stahl, Chris [Chris.Stahl@dep.state.fl.us]
Sent:Wednesday, December 06, 2017 2:35 PM
To:CollierMindy
Subject:RE: RESTORE Clearinghouse question
While it is covered by EO 12372, the Florida State Clearinghouse does not select the project for review. You may
proceed with your project.
Please send future electronic requests directly to the State Clearinghouse email address,
State.Clearinghouse@dep.state.fl.us.
Good Luck.
Chris Stahl
Chris Stahl, Coordinator
Florida State Clearinghouse
Florida Department of Environmental Protection
2600 Blair Stone Road, M.S. 47
Tallahassee, FL 32399-2400
ph. (850) 717-9076
State.Clearinghouse@dep.state.fl.us
From: CollierMindy [mailto:MindyCollier@colliergov.net]
Sent: Wednesday, December 6, 2017 2:23 PM
To: Stahl, Chris <Chris.Stahl@dep.state.fl.us>
Subject: RESTORE Clearinghouse question
Importance: High
Hi Chris,
I’m in Collier County now and have a dilemma/question. Collier County is submitting a project application to the
RESTORE Direct Component pot (DUE 12/11) for PLANNING and treasury is telling me I need to get Clearinghouse
review. The project is the development and conceptual design (to 30% level of design) of the Collier County Watershed
Improvement Plan. The goal is to use the conceptual design to assist in the design and permitting of the plan – which
will obviously be coming through your office. What do I need to send you for the review since this is really in the
planning stage? ALSO, what is your current phone number. I believe I have an old one (850)245-2169
Thanks!!
Respectfully,
Mindy Lee Collier
Operations Analyst
Coastal Zone Management
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2
Under Florida Law, e-mail addresses are public records. If you do not want your e-mail address released in response to a
public records request, do not send electronic mail to this entity. Instead, contact this office by telephone or in writing.
Right-click here to download
pictures. To help protect your
privacy, Outlook prevented
automatic download of this
picture from the Internet.
Dep Customer Survey
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Upload #2
Applicant:Collier County Board of County Commissioners
Application Number:RDC2018000091
Project Title:Comprehensive Watershed Improvement Plan Project Development and
Permitting
Status:Submitted
Document Title:Authorization Letter
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Upload #3
Applicant:Collier County Board of County Commissioners
Application Number:RDC2018000091
Project Title:Comprehensive Watershed Improvement Plan Project Development and
Permitting
Status:Submitted
Document Title:Location Map
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Collier County
Comprehensive Watershed
Improvement Plan Projects
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