HomeMy WebLinkAboutMINUTES - 04012003 - C53 Centra
TO: BOARD OF SUPERVISORS Costa
FROM: DENNIS M. BARRY, AICP /� County
COMMUNITY DEVELOPMENT DIRECTOR +6r+
55
DATE: April 1, 2003
SUBJECT: Authorization to Execute MOU to Distribute Coastal Impact Assistance Program
Award Funds
SPECIFIC REQUEST(S) OR RECOMMENDATION(S) & BACKGROUND AND JUSTIFICATION
RECOMMENDATIONS:
AUTHORIZE the Community Development Director or his designee to execute a Memorandum
of Understanding with the Muir Heritage Land Trust to cooperate in the expenditure of the
$253,256 that has been awarded to the County from the federal Coastal impact Assistance
Program. The Memorandum of Understanding will become effective after April 1, 2003 on the
date last signed by both parties and will terminate upon completion of grant expenditures and
satisfaction of all grant requirements, unless sooner terminated by mutual written agreement.
FISCAL IMPACT
The National Oceanic and Atmospheric Administration has awarded $253,256 to the County
from the Coastal Impact Assistance Program, a federal program which returns revenues from
off-shore oil leases to specific states and coastal counties for coastal conservation, restoration,
and access/education. County staff time to help administer the grant will be reimbursed with
grant proceeds.
BACKGROUND/REASONS FOR RECOMMENDATIONS
On September 11, 2001, the Board of Supervisors approved the submission of a proposed
Coastal Impact Assistance Program(CTAP)spending plan to California Resources Agency and
the National Oceanic and Atmospheric Administration(NOAH). On May 7, 2002, the Board of
Supervisors authorized execration of grant award documents and directed the Community
Development Department to submit to the Board a draft Agreement with the Muir Heritage Land
Trust regarding expenditure of these funds.
CONTINUE[ ON ATTACHMENT: X YES SIGNATURE
&--RECOMMENDATION OF COUNTY ADMIN1 TRATOR RECOMMENDATION OF BOARD COMMOEF
—8�APPROVE OTHER
SIGNATURES :
a-'4',
ACTION OF BO ON }, fes,,; �? APPROVED AS RECOMMENDED X.OTHER
VOTE OF SUPERVISORS
I HEREBY CERTIFY THAT THIS IS A TRUE
.-UNANIMOUS (ABSENT , AND CORRECT COPY OF AN ACTION TAKEN
AYES: NOES: AND ENTERED ON THE MINUTES OF THE
ABSENT: ABSTAIN: BOARD OF SUPERVISORS ON THE DATE
SHOWN.
Contact: John Kopchik (025) 335-1227 ATTESTED
cc: Community Development Department (CDD) JOHN'WEETEN, CLERK OF
County Administrator THE BOARD OF SUPERVISORS
County Counsel AND COUNTY ADMINISTRATOR
Public Works Department (attn: Mitch Avalon)
BY , ` `- , DEPUTY
\\fs-cd\users$\jkopchik\personal\John main\ciapboauthorization_to_sign.doc
Report on MOU with Muir Heritage Land Trust
April 1, 2003
Page 2 of 2
The approved spending plan proposed that the County would work with the Muir Heritage Land
Trust to expend the$253,256 that had been allocated to the County on a series of projects to
protect',and enhance coastal resources in the County. NOAA approved that spending pian on
March 22, 2002. To implement the approved spending plan in cooperation with the Muir
Heritage Land Trust,the County must execute an MOU with the Trust establishing the terms of
the cooperation and passing on to the Trust the grant conditions agreed to by the County in
executing the grant award contract. The attached MOU was developed in concert with the
Trust and County Counsel.
The September 11th 2001 Board Order and the May 7th Board Order are attached. The
proposed MOU between the Muir Heritage Land Trust and Contra Costa County is also
attached.
Contra
TO: BOARD OF SUPERVISORS COSta.
FROM: DENNIS M. BARKY, AICP County
COMMUNITY DEVELOPMENT DIRECTOR
DATE: MAY 7, 2002
SUBJECT: Authorization to Complete Documents Needed to Receive Coastal Impact
Assistance Pro ram Award Funds
SPECIFIC REQUEST(S) OR RECOMMENDATION(S) & BACKGROUND AND JUSTIFICATION
RECOMMENDATIONS:
AUTHORIZE the Community Development Director or his designee to execute the Award
Document and prepare and submit other documents required to receive the $253,256 that has
been awarded to the County from the federal Coastal Impact Assistance Program. DIRECT the
Community Development Director to develop and submit to the Board a draft Agreement with
the Muir Heritage Land Trust regarding expenditure of these funds.
FISCAL IMPACT.
The National Oceanic and Atmospheric Administration has awarded $253,256 to the
County from the Coastal Impact Assistance Program, a federal program which returns
revenues from off-shore oil leases to specific states and coastal counties for coastal
conservation, restoration, and access/education.
BACKGROUND/REASONS FOR RECOMMENDATIONS
On September 11, 2001, the Board of Supervisors approved the submission of a proposed
Coastal Impact Assistance Program(CTAP)spending plan to California Resources Agency and
the National Oceanic and Atmospheric Administration (NOAA). That spending plan proposed
that the County would work with the Muir Heritage Land Trust to expend the$253,256 that had
been allocated to the County on a series of projects to protect and enhance coastal resources
in the County(September 1 I Board Carder is attached). NOAA approved that spending plan on
March 22, 2002. To receive the funds, the County must sign and return the attached Award
Document and related forms.
CONTINUED ON ATTACHMENT: Y S SIGNATURE
4''RECOMMENDATION QF COUNTY ADMINISTRATOR RECOMMENDATION OF BOARD
COMMITTEE
i,---APPROVE OTHER
SIGNATURES
ACTION OF BOA ON LMCLq. APPROVED AS RECOMMENDED BOTHER
VOTE OF SUPERVISORS
I HEREBY CERTIFY THAT THIS IS A TRUE
-4,UNANI'MOUS (ABSENT L � UL` ) AND CORRECT COPY OF AN ACTION TAKEN
AYES: _'NOES: AND ENTERED ON THE MINUTES OF THE
ABSENT:` ABSTAIN: BOARD OF SU'P'ERVISORS ON THE DATE
SHOWN.
Contact: John Kopchik (925) 335-1227 ATTESTED it f
cc: CommunityDevelopment Department (CDD) JOHN SW' "TEN, CLERK OF
County Administrator THE BOARD OF SUPERVISORS
County Counsel AND COUNTY ADMINISTRATOR
Public Works Department (attn: Mitch Avalon)
BYE4
�`�' , DEPUTY
\\fs-cd\users$Njkopchik\Personai\John main\ciapboauthorization—to_sign.doc
Contra
Costa
TO: BOARD OF SUPERVISORS county
FROM: TRANSPORTATION, WATER & INFRASTRUCTURE COMMITTEE
Supervisor.Donna Gerber, Chair
Supervisor John Gioia, Member
DATE: September 11, 2001
SUBJECT: Coastal Impact Assistance Pro ram Spending Plan
SPECIFIC REQUEST(S) OR RECOMMENDATION(S) & BACKGROUND AND JUSTIFICATION
RECOMMENDATIONS:
APPROVE spending plan for revenues to be allocated to the County from the federal Coastal
Impact Assistance Program, as recommended by the Transportation,Water,and Infrastructure
Committee.
FISCAL IMPACT
The spending plan is a proposal to the California Resources Agency and ultimately to the
National Oceanic and Atmospheric Administration for spending $253,256 allocated to the
County from the Coastal Impact Assistance program, a federal program which returns
revenues from off-shore oil leases to specific states and coastal counties for coastal
conservation, restoration, and access/education.
BACKGROUND/REASONS FOR RECOMMENDATIONS
On April 3, 2001,the Board of Supervisors authorized the Community Development Director to
submit a draft spending plan for revenues to be allocated to the County from the Coastal
Impact Assistance Program("CIAP"). The Board also referred the matter to the Transportation,
Water, and Infrastructure Committee("TWIG"). The TWIG received reports from staff on April 9
on May 14 on the draft spending plan and efforts by staff and Congressman Miller to increase
the County's CTAP allocation(please see attached staff reports). On August 6, 2001 the'1 WIC
voted to recommend that the Board approve the attached CTAP spending plan. The spending
CONTINUED ON ATTACHMENT: x YES SIGNATURE
RECOMMEN5A'15; OF COUNTY A' DMINISTRATOR RECOMMENDATION OF BOARD
COMMITTEE
APPROVE (3 H R
SIGNATURE (S): Supervisor DqdhGerber(Chair) S rvlsor John Clola
ACTION OF BOARD ON September 11, 2061 APPROVED AS REdOM'MENDED — OTHER
VOTE OF SUPERVISORS
I HEREBY CERTIFY THAT THIS IS A TRUE
UNANIMOUS {ABSENT _stone } AND CORRECT COPY OF AN ACTION TAKEN
AYES:_ NOES: AND ENTERED ON THE MINUTES OF THE
ABSENT: ABSTAIN: BOARD OF SUPERVISORS ON.THE DATE
- SHOWN.
Contact: John Kopchik (925) 335-1227 ATTESTED September 11, 2001
cc: Community Development Department (CDD) JOHN SWEETEN, CLERK OF
County Administrator THE BOARD OF SUPERVISORS
Public Works Department AND COUNTY ADMINISTRATOR
BY , DEPUTY
WAPersonallJohn mawdapbospendingplan.doc
Report On Coastal impact Assistance Program Spending Plan
September 11,'2001
Page 2 of 2
plan recommended by the TWIC is identical to the draft plan submitted to the Resources
Agency by staff, except that the title for the first component., the "Land Acquisition,
Enhancement, and Stewardship Plan for the Contra Costa County Shoreline" was revised to
make clear that segment of shoreline to be addressed in the plan was the segment from Point
Isabel to the Delta, as described in the explanatory text below the title.
Attachments:
• Recommended CTAP Spending Plan, "California Resources Agency Coastal Impact
Assistance Program Project Proposal Form"
• August 6, 2001 report to the TWIC
• April 9, 2001 report to the TWIC
WAPersonalUohn maiMclapbospendingplan.doc
MEMORANDUM OF UNDERSTANDING(MOU)
Between
Muir Heritage Land Trust(MHLT)
and
Contra Costa County(CCC)
WHEREAS:
1. The United States National Oceanic and Atmospheric Administration
(NOAA) operates Coastal Impact Assistance Program(CIAP)with
revenues from offshore oil leases.
2. The CIAP provides funding for the "comprehensive and coordinated
management,conservation and enhancement of California's ocean and
coastal resources".
3. CCC submitted an expenditure plan("Expenditure Plan") for CIAP
funds in the form of a CIAP Project Proposal Form, a copy of which
is attached hereto as Exhibit A and incorporated herein, and,based
upon such proposal, received a commitment of CIAP funds in the
amount of$253,256 for environmental projects related to the county
shoreline and coastal watersheds.
4. The CCC General Plan states that open space acquisition shall be
planned and funded in concert with other infrastructure objectives,
and, in addition, it calls for CCC to cooperate with and support other
public agencies in acquisition of privately owned lands to protect
habitat.
5. The MHLT is working in Contra Costa County to preserve open space
to protect wildlife habitat, natural scenery and riparian corridors as
well as provide educational opportunities for the community.
6. On May 7, 2002, the CCC Board of Supervisors directed staff to
develop and submit to the Board of Supervisors a draft agreement
with MHLT regarding the expenditure of CIAP funds.
7. The Expenditure Plan outlined and agreed upon by CCC and MHLT
includes land acquisition, stewardship, planning, and other actions to
protect and enhance Contra Costa County's northern shoreline.
8. CCC has entered into an agreement(the"Award Agreement,"
consisting of the Coastal Impact Assistance Program Award
Notification letter, Award Number; NA170Z2060, signed by NOAA
on March 22, 2002 and by CCC on August 12, 2002, and associated
documents)with NOAA for the receipt and expenditure of committed
CIAP funds. This Award Agreement defines the terms and conditions
by which the County must spend the CIAP. A copy of the Award
Agreement is attached hereto as Exhibit B and incorporated herein.
9. The purpose of this MOU is to identify the terms and conditions by
which MHLT will manage the expenditure of the CIAP funds
awarded to CCC.
NOW THEREFORE the parties hereto agree to the following:
Expenditure of CIAP funds: MHLT shall, under the oversight of CCC
and as further set forth below,manage the expenditure of the$253,256 of
CIAP funds that are to be granted to CCC.
Compliance with requirements imposed on CCC by NOAA: The
MHLT will comply with the provisions and obligations outlined in the
Award Agreement. Provisions of the Award Agreement incorporated by
reference include,but are not limited to: Department of Commerce
Financial Assistance Standard Terms and Conditions; NOAA Special
Award Conditions, OMB Circular A-87, Cost Principles for State, Local,
and Indian Tribal Government; 15 CFR Part 24, Uniform Administrative
Requirements for Grants and Cooperative Agreements to State, and Local
Governments, and OMB Circular A-133, Audits of States, Local
Government and Non-Profit Organizations(relevant documents are
included in Attachment A to this MOU). These provisions and obligations
include, but are not limited to, preparation of an annual progress report and
Financial Status Report( F-269) due 90 days after the anniversary date of
the award, for the life of the award period.
Use of CIAP Funds: MHLT will spend the CIAP funds in accordance
with the CIAP Expenditure Plan and budget approved by the Board of
Supervisors on September 11,2001. Key aspects of the Expenditure Plan
and budget are reiterated below.
Costs incurred by MHLT to administer and implement the Expenditure
Plan, and costs incurred by CCC to oversee expenditures, will be paid with
the CIAP funds provided that total administrative costs paid with CIAP
funds shall not exceed$23,256 and that CCC's share of these costs shall
not exceed $4000. MHLT and CCC will each maintain an accounting of
their respective administrative costs.
Task Estimated Percentage
Cost of CTAP
Funds
1)Land Acquisition,Enhancement,and Stewardship Plan $30,000 11.8%
for the Contra Costa County Shoreline,Point Isabel to the
Delta
2)Point San Pablo Peninsula acquisition,Bay Trail,and $30,000 11.8%
restoration/clean-up
3)Point Ozol base conversion/Bay Trail segment $30,000 11.8%
4)Lower Walnut Creek Channel Restoration Project and $30,000 11.8%
Iron Horse Trail Extension
5)Planning and public outreach work for the exploratory $30,000 11.8%
effort to form the Carquinez Strait National Historic Area
6)Implementation of key recommendations of $80,000 31.5%
Acquisition/Restoration/Stewardship Plan described in item 41
above
7)Administrative costs $23,256 9%
TOTAL $253,256
Transfer of CPAP Funds From NOAA to CCC and From CCC to
MHLT: CCC shall establish a trust account for receipt of CIAP Funds.
Interest shall accrue on funds deposited in this trust account and such
interest shall remain in the trust account. Within 15 days of the execution
of this MOU, CCC shall request of NOAA payment of$253,256,the full
amount of CIAP funds committed to CCC. The parties recognize that
NOAA may not provide any or all requested funds until receiving
documentation that the tasks described in the Expenditure Plan have
actually been performed.
If NOAH does provide funds prior to completion of tasks described in the
Expenditure Plan, CCC shall deposit these funds in the trust account.
MHLT shall request transfer of funds from CCC to MHLT for expenses
anticipated to be incurred within 90 days of the date of the request. A
detailed description of how funds will be spent and how the proposed
expenditures comply with the Expenditure Plan will accompany the
transfer request. Upon finding the description of the proposed
expenditures to be consistent with the Expenditure Plan; CCC shall
transfer requested funds to MHLT.
If NOAA does not provide funds prior to completion of tasks described in
the Expenditure Plan, MHLT shall submit to CCC a detailed description of
work performed and costs incurred on tasks described in the Expenditure
Plan. Upon finding the description of work performed to be consistent
with the Expenditure Plan, CCC shall request payment from NOAA to
fund costs incurred. Should NOAA request additional documentation,
CCC shall notify MHLT of this request and MHLT shall provide the
additional documentation. MHLT shall not request reimbursement more
often than once every 30 days or more often than is allowed by NOAA.
CCC may recover administration costs directly from the trust account, as
further described above.
Accounting, Reporting, and Auditing: MHLT shall maintain detailed
records and shall perform necessary accounting tasks to document
precisely how all CIAP funds are spent. Once per year, according to the
reporting schedule required by NOAA, MHLT shall provide CCC with a
detailed report on how CIAP funds have been spent and on work
performed to implement the Expenditure Plan. MHLT shall allow CCC to
audit MHLT's records at any time.
Consultation: To facilitate efficient and effective management and
oversight of implementation of the Expenditure Plan, representatives of
CCC and MHLT shall consult as needed to discuss upcoming work to be
funded with the CIAP funds.
Indemnification:
Contra Costa County will have no responsibility or liability for any actions
taken to implement the Expenditure Pian, including,but not limited to, site
acquisition, enhancement, stewardship,restoration, and clean-up.
The MHLT shall maintain comprehensive general liability insurance in
form and limits acceptable to CCC naming CCC as an additional insured
party. MHLT shall provide evidence of such insurance to CCC upon
CCC's request.
As material consideration for this agreement, MHLT shall indemnify,
save, protect, defend and hold harmless CCC, its officers, representatives,
agents and volunteers, from and against any and all liability, loss, damage,
expense and costs (including without limitation, costs and fees of
litigation)of every nature arising out of or in connection with the
expenditure of the CIAP funds and/or the implementation of the
Expenditure Plan and all matters referred to in this Memorandum e
UnderstandingMOU, except such loss or damage which was caused by the
sole negligence or willful misconduct of CCC. MHLT also agrees to
defend, save, protect,indemnify and hold CCC harmless from and against
all liabilities, claims, actions, foreseeable and unforeseeable consequential
damages, costs and expenses (including sums paid in settlement of claims
and all consultant, expert and legal fees and expenses of CCC's counsel)
or loss directly or indirectly arising out of or related to the presence of any
hazardous substance in or around any part of the premises or in the soil,
groundwater or soil vapor on or under properties acquired in whole or in
part with CIAP funds, including those incurred in connection with any
investigation of site conditions or any clean-up, remedial, removal or
restoration work, or any resulting damages or injuries to the person or
property of any third parties or to any natural resources.
This MOU will become effective on the date last signed below and shall remain in full
force and effect until completion of all tasks set forth in the Expenditure Plan and
satisfaction of all requirements of NOAA as set forth in the Award Agreement,unless
sooner terminated by mutual written agreement of all parties hereto. Notwithstanding the
foregoing, MHLT's obligation to defend, indemnify and hold CCC harmless from
liability shall survive the termination of this MOU. Any of the parties hereto may
propose amendments or modifications to this agreement and they shall be incorporated
upon ratification in writing by all the parties.
SIGNATURES
Muir Heritage Land Trust
BY
Chair,Muir Heritage Land Trust Date
Board of'Directors
BY
Executive Director,Muir Heritage Land Trust Date
Contra Costa.County
BY
Community Development Director Date
E X H I B IT A
CALIFORNIA RESOURCES AGENCY
COASTAL IMPACT ASSISTANCE PROGRAM
PROJECT PROPOSAL FORM
County:�Contra_Costa Count_
Department: Community Development Department
Prepared by:—John Kopchik
Phone number: 925-335-12.27
Address:_ 65.1 Pine Street, North Wind, 4`h Floor
Martinez, CA 94553
E-mail: jkopc@cd.co.contra-costa.ca.us
Title of proposed project:. Carquinez Strait Heritage Corridor Land Acquisition Enhancement
and Stewardshi Project
Project location: shoreline of Contra Costa County, from Point Isabel at the Alameda County
line to Big Break near OakleX
Total cost: $253.256
Each proposal must include a summary of the project and a description of the project's
consistency with the mission and one or more of the goals listed below.
MISSION
To ensure comprehensive and coordinated management, conservation and enhancement of
California's ocean and coastal resources for their intrinsic value and for the benefit of current
and future generations.
GOALS: l=our goals have been established by the State of California to achieve this mission.
Goal 1: Stewardship. To assess, conserve, and manage California's ocean and coastal
resources and the ecosystem that supports those resources.
Goal 2: Economic Sustainability. To encourage environmentally sound, sustainable, and
economically beneficial ocean and coastal resource development activities.
Goal 3: Research, Education and Technology. To advance research, educational programs,
and technology developments to meet future needs and uses of coastal and ocean resources.
Goal 4: Jurisdiction and Ownership. To maximize California's interests in coastal
watersheds,State Tidelands,the Territorial Sea,and the Exclusive Economic Zone.
Fuge 1 of 5
Project Summar
Overview: Funds received by Contra Costa County from the Coastal Impact Assistance Program
will be used to fund the Carquinez Strait Heritage Corridor Land Acquisition, Enhancement, and
Stewardship Project. This Project includes several components, including a study of land
acquisition,enhancement, and stewardship needs in the area, strategic seed money for three
important acquisition and restoration projects, support for the exploratory effort to form a
Carquinez Strait National Heritage Area, and a reserve implementation fund to address or begin
to address the most pressing recommendations of the acquisition/enhancement/stewardship plan.
Contra Costa County would partner with the Muir Heritage Land Trust and the East Bay
Regional Park District to perform this project.
Project Components:
1) Land Acquisition, Enhancement, and Stewardship Plan for the Contra Costa Count
Shoreline-Point Isabel to the Delta ($30K) This Plan would identify opportunities for
protecting and enhancing natural resources along the coast and coastal watersheds of
Contra Costa County, from the Point Isabel area in the west to the Sacramento-San
Joaquin Delta in the east. It would also provide the baseline information necessary to
define and prioritize specific implementation projects, be they land or habitat acquisition,
habitat restoration, or long-term stewardship. By providing an overview of acquisition,
enhancement, and restoration needs and opportunities, the Plan would provide a critical
foundation for future fund-raising.
Tasks to be performed in generating the Plan may include the following:
• Inventory of existing protected lands in the area, including stewardship operations
and funding sources, and proposed restoration projects.
• Analysis of acquisition needs and opportunities. This analysis would consider
trail connection needs and other public access needs as well as natural resource
protection needs. The analysis would also consider costs and could include
appraisals.
• Analysis of, and recommendations on, specific habitat restoration projects.
• Analysis of stewardship needs and constraints. Recommendations on improving
stewardship oversight and funding.
• Documentation of results and recommendations in a concise planning document.
Areas or conceptual projects which may be considered and synthesized the in Plan
include the following:
• Point San Pablo acquisitions, Bay Trail development, and restoration.
• Rodeo marina rehabilitation and/or restoration.
• Conversion/restoration of the Point Ozol military facilities to a public park and
Bay Trail alignment.
• Protection of scenery, biotic resources, and watershed functions in the Briones
Hills Agricultural Preservation Area on the south side of the Carquinez Straits.
• Praxis property acquisition at the mouth of the Walnut Creek Channel.
• Lower Walnut Creek Channel restoration project and Iron Horse Trail extension
to the Bay Trail.
• Point Edith clean-up, signage, and public access.
• Concord Naval Weapons Station wetlands restoration.
Page 2 of 5
• PG&E wetlands in the Bay Point area.
• Creation of the Delta Science Center at Big Break.
Some of these areas are proposed for separate funding in the additional Project
components below. We propose including such areas in the Plan in a limited manner to
assure completeness and coordination of effort.
2) Point San Pablo Peninsula acquisition,BU Trail and restoration clean-u ($30K). The
Point San Pablo Peninsula,just north of the Richmond-San Rafael Bridge,presents a very
promising opportunity for future park development. With 5 miles of shoreline, scenic
ridgelines, beautiful views of the Bay, and a rich human history evidenced in the
structures of the Paint Molate Naval Fuel Depot(which is in the process of closing), the
Paint San Pablo Peninsula could be a major park attraction very near a highly populated
and,in places,economically disadvantaged area. Feasibility work is needed to determine
land acquisition opportunities, to design Bay Trail construction, and to determine what
clean-up and restoration work will be necessary. CLAP funds would be used as seed
money for this effort, either for the feasibility study phase or for the implementation
phase.
3) Point Ozol base conversion/Bay Trail segment($30K). The former Point Ozol military
installation lies in the heart of the scenic southern shore of the Carquinez Straits. The
East Bay Regional Park District and the military have discussed for many years the
possibility of converting the facility into a park. A key step toward achieving this
outcome is the clean-up of the various remnants of the former military facility. Funding
from the CTAP would be used toward clean-up and development of a Bay Trail segment
through the property.
4) Lower Walnut Creek Channel Restoration Pro'ect and Iran Horse Trail Extension
(130K)� The lower Walnut Creek Channel is an engineered, earthen trapezoidal channel
constructed by the U.S. Army Corps of Engineers and operated by the Contra Costa
County Flood Control and Water Conservation District. It drains to Suisun Bay just east
of the Benicia Bridge. Significant silt deposition has reduced the capacity of the channel
to well below design specifications. Traditionally, the Flood Control District would have
dredged the channel to restore capacity. Such dredging would have destroyed aquatic
habitat and harmed water quality. As an alternative, the Flood Control District has
proposed setting back the earthen levees where possible north of Highway 242, recreating
a flood plain and a meandering low flow channel, restoring native riparian vegetation,
and providing for fish passage around the lowest drop structure near Highway 242. The
East Bay Regional Park District plans to extend the Iron Horse Trail (which currently
runs from the San Ramon area all the way to Concord)north along the edge of the
Walnut Creek channel to the Bay and a connection with the Bay Trail. CIAP funds
would be used for planning and feasibility work necessary to implement these creek and
trail improvements.
5) Planning,and public outreach work for the exploratory effort to form the Carquinez-Strait
National Historic Area(,$30K). Following the successful completion of the Carquinez
Strait Resource Plan, an exploratory effort was launched to consider the benefits and
feasibility of designating the larger Carquinez Strait region as a National Heritage Area.
Such designation signifies federal recognition of the scenic resources of the area and the
key role the Straits have played in the political, economic, and social history of our state
and nation. The practical impact of receiving the National Heritage Area designation is
Page 3 of 5
to coordinate interpretive efforts on human and natural history to tell a unified story and
to attract future funds to a variety of land acquisition and restoration projects. CLAP
funds would be used to perform the planning and public outreach work required to
continue exploration of this concept.
6) Implementation of key recommendations of Acquisition/Restoration/Stewardship Plan
described in item 1) above($80K). CIAP funds dedicated to this purpose would be used
to fund specific land acquisition, restoration, and stewardship actions within the
Carquinez Strait Heritage Corridor. Funds may be used for direct costs of
implementation, such as actual land costs and the costs associated with the performance
of restoration work, as well as specific preparatory work, including appraisals and design
work.
ProjectOversight and Management: The Carquinez Strait Heritage Corridor Land
Acquisition, Enhancement, and Stewardship Project would be jointly managed by the Muir
Heritage Land Trust (MHLT), the East Bay Regional Park District (EBRPD) and the Contra
Costa County Community Development Department (CDD). Each organization would delegate
one or more staff persons to serve on a Steering Committee to guide implementation of the
Project. Staff from these agencies would also manage any consultant contracts, oversee the
expenditure of funds, and perform other work. We anticipate that the MHLT would act as the
fiscal agent of the County in distributing CIAP funds. Such an arrangement would likely be
formalized through a Memorandum of Understanding.
Administrative costs: Costs incurred by MHLT, EBRPD, and CDD to implement the Project
will be covered with funds from the CIAP. MHLT, EBRPD, and CDD will maintain an
accounting of their administrative costs and be reimbursed accordingly. Administrative costs
reimbursed with CIAP funds shall not exceed $23,256(roughly 10% of the overall project cost)
Goals:"Consistenev with Mission and
This proposal is consistent with the Mission and Goals of the CIAP for the following reasons:
• The Mission statement calls for the "...comprehensive and coordinated management,
conservation and enhancement of California's ocean and coastal resources..." Our
Project includes a comprehensive plan tom address land acquisition, stewardship, and
enhancement along our northern shoreline to do just that. Likewise, each of the other 5
components of our Project directly contribute to the conservation and enhancement of
coastal resources.
+ Our project is consistent with each of the four CIAP goals.
o Stewardship----Our plan component specifically addresses the need for coastal
stewardship. Likewise, the three acquisition/restoration components of our
proposal relate to improving resource values in neglected areas of our coast.
a Economic sustainabilit) --The Carquinez Straits Heritage Area component would
seek recognition of the long-standing role our coastline and the ship channel
through the Carquinez Strait has played in the development of Contra Costa
County and the state. Such recognition and the work required to receive it would
help to promote continued sustainable economic use of our coast.
Page 4 of 5
o Research, education, and technology—The Carquinez Heritage Area component
would focus and coordinate interpretive efforts on our shoreline. Each of the
acquisition/restoration components would include an interpretive component.
o Jurisdiction and ownership----Three of our Project components facilitate future
acquisitions of coastal lands and wetlands for conservation purposes. While the
acquisition agents have yet to be identified for these, the EBRPD or some other
agency created by the State to acquire and protect land would likely be involved.
Page 6 of 5
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EXHIBIT Bf« ,
UNITED STATES DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
'Iu..scp'' OFFICE OF FINANCE ANO ADMINISTF�4TIO 1.
t� -
.Coastal Impact Assistance Program
Award Notification
RECIPIENT: NOAA Award No. NAI 70Z2060
Contra Costa Crity Coram Dev Accounting Code:
Agency 2ND300013A5BAF06/4113
651 Pine St, 4th FI North Wing Award Amount : '$253,256
Martinez , CA 94553 Award Period : 03/01/2002 - 02/26/2005
State CIAP dated : December 18, 2001
CFDA : 11.419
Access Code : 99045
This is a Coastal Impact Assistance award. It represents an obligation of the Federal
Government to provide financial assistance pursuant to 43 U.S.C. 1356a.
The Secretary of Commerce has reviewed and approved the State's Coastal Impact
Assistance Plan (CIAP),which is incorporated by reference into this award. Amounts
received by Producing Coastal States and coastal political subdivisions may be used
only for the purposes specified in the Producing Coastal State's Coastal Impact
Assistance Plan.
Payment under this award will be sent by electronic funds transfer after receipt of the
attached Vendor Profile form which can also be accessed at the following website
http://www.rdc.noaa.gov/—acod/eftform.htm. The Vendor Profile Form must be
completed and returned to the NOAA Finance Division before any transfer of funds can
be made. This farm can be faxed to that office at 301-427-3242 or 301-427-2035.
In addition, we require the following enclosed documents to be completed and returned,
if you have not already done so with this countersigned award document. Please
complete the SF424B - Assurances or the SF44D - Construction Assurances, and the
CD511, Certifications Regarding Debarment, Suspension and Other Responsibility
Matters; Drug Free Workplace Requirement and Lobbying. These documents as well
as two copies of the Award Document (Grants and Finance Copy) must be returned to
the NOAA Grants Management Division within 30 days.
By signing this award notification letter, you agree to comply with the following provisions
which are incorporated by reference: Department of Commerce Financial Assistance
Standard Terms and Conditions; NOAA Special Award Conditions; OMB Circular A-87,
Cost Principles for State, Local, and Indian Tribal Government; 15 CFI; Part 24, Uniform
Administrative Requirements for Grants and Cooperative Agreements to State, and
Local Governments, and OMB Circular A-133, Audits of States, Local Government,
and non-Profit Organizations. X4%4
Printed on Recycled Paper N Of
RECIPIENT COPY RETAIN
An annual progress report and Financial Status Report (SF-269)will be due 90 days
after the anniversary date of your award, for the life of the award period (see attachments).
Failure to submit any report may result in the suspension of the payments under this award.
Please be advised that you must keep this award document on file in accordance with 15
CFR Part 24.42. If the Government determines at any time that your application includes
a false statement, the Government has the right to pursue any remedies allowed by law to
recover the disbursed Federal.Funds. The making of false statements may be subject
to criminal penalties, including fine and/or imprisonment, under 18 U.S.C. 1001 and
42 U.S.C. 3220.
If you have any questions, please contact the NOAA Program manager for the technical
issues or the NOAH Grants Management Specialist for administrative issues.
NOAA Program Manager: Joshua Lott
301-713-3155
Josh.Lott�7a NOAA.GOV
NOAA Grants Management Specialist:
Alan Conway/Christine Brawn
301-713-0922
1325 fast-West Highway, 9th Floor
Silver Spring, MD 20910
To the best of my knowledge and belief, all data in the CLAP are true and correct.The document hes
been duly authorized by the government body of the applicant and the applicant will comply with the
attached assurances if the assistance is awarded.
Recipient Date Rimas T. Liogys rl Date
NOAA Grants Officer
Enclosed
NOAA Special Award Conditions
DoC Standard Terms and Conditions
Vendor Profile Form
Assurances
CD511
SF269
RE01PIENT COPY RETAIN
NCAA
SPECIAL AWARD CONDITION
1. Award payment shall be made through the NOAA Financial Assistance
Disbursement System (FADS). In accordance with 31 CFR 205 (Treasury Circular
1075 "1977"), the Recipient shall: (1) maintain procedures for fund control to
ensure that drawndowns are made only when actually needed for its immediate
disbursement.needs, (2) comply with timely reporting of cash disbursements and
balances as required. If the Recipient does not adhere to these provisions, NOAA
may revoke the unobligated portion of the federal award funds. Instructions for
use of the FADS are attached.
FADS is an automated system that allow Recipients to request funds using a
touch-tone telephone. FADS will record Recipients' requests and process them
automatically, subject to review by NOAA officials. Once approved, funds will be
directly deposited in the Recipient organization's bank account.
See award letter for the access code.
2. NOAA has issued a Programmatic Environmental Assessment (EA) detailing
the environmental impacts of NOAA's approval of the state Coastal Impact
Assistance Program (CTAP) plans in 66 FR 57038. This EA is incorporated
by reference. No funding, other than up-front planning and administrative costs,
may be expended on any specific project identified in the EA as needing "further
review" or consult under the Endangered Species Act, Magnuson-Stevens Act,
or National Historic Preservation Act, until NOAA has completed the review of
the specific project and informed the recipient in writing or electronic
communication that the project may proceed.
3. This award supports the work described in the State's CTAP plan as referenced
in the award notification letter and pursuant to guidance promulgated in 66 FR
51396 (10109/01), and 66 FR 17151 (3/29/01). All of these are incorporated by
reference.
4. An annual Progress Deport must be submitted to the Program manager within
90 days of the anniversary date of each grant year throughout the duration of
the award. This report will be used to keep the program up to date on the recipient's
progress. The report should address the following:
(1) the status of each project, including accomplishments to date, estimated time
for completion, and expiration for any anticipated delays.
(2) any approved amendments and/or extensions to the CTAP plans; and
(3) for completion projects, submittal of relevant work products (e.g. report data
sets, links to on-line photographs, etc.).
If some or all the funds have been deposited in a trust fund, the trust fund must report
annually on the uses of those funds. The Annual Progress Report submitted after the
award has expired will be considered the final report and is due 90 days after the
expiration date.
r t Uktk�h nrtp-//www.rac.noaa.gov/aacod/ctttoml.t
This form is printable. When completed,please fax this form to 301-427-3242 or 301-427-2025.
X
VENDOR.PROFILE FORM
The purpose of this form is to provide mandatory award and payment information for NOAA.This
information is required as set forth in FAR 52.232-33,Mandatory Information for Electronic Funds transfer Payment, the Debt
Collection Improvement Act of 1596, and the Taxpayer Relief Act of 1997.NUAA will use the information only for the
purposes stated in the references cited above and will restrict access to the data to authorized personnel who will use it only for
the specified purposes.Until this information is received,our payment office will not make any payments. You,the vendor,are
required to inform us of any banking changes that occur to ensure prompt payment of your invoices, Your payments may be
delayed if the information you provide is not accurate.
Please select one: X New Vendor Change (complete bold areas, along w/changes)
Name: Legal Name Contra Costa County Community Development Department
Acronym or shortened name CCCCDD (8 characters long or less)
What type of Vendor are you (select one):
{{r i�Small Dtsadvanta ed Business C 1lndyvydual C1 they Small Business
'!State/Local Government-Hospital"
!Other State/Local Crovernrryent �ijL
11 large Busyness
'! ,l
l_ e .._..._.u.._......._... _ a
i(3 O Nen Profit Agency [IPoreign Contractor or Corporation {jt s Non-Profit Organization11
� f
Domestic Contractor Performing
�1 x�tJutside U5 tf Tribal Go
Contractoror Mi
Private UniversityF'j�Non-Hospital ����Federal Government
r
'+State/Local Gov't -Education
Minority Owned and Operated Business Yes____No X
Woman Owned and Operated Business Yes—No X
What is your Individual/Business/Organization's mailing address and point of contact:
Name John Kopchik
Address line 1 651 Pine Street
Address line 2 North Wing, 4th Floor
City Martinez State . CA ZIP 94553
Country_ ISA _Phone (925) 335-1227 Fax (925) 335-1299
Internet E-mail address ikopcCdcd.co.contra-costa.ca.us
If payment remit address is different that/ the mailing address,please provide it below:
1 of 3 12/18/2001 9:06 A_
EFT FORM http://www.rdc.noaLgov/--acodleftform.h4
Name
Address line 1
Address line 2
City State
Zip Country_
Phone Tax
Taxpayer Identification Number(TIN) ` 94-6000509
Izmraa-wu:��x,;: Wmuwsrx: esas�r. — xw -::.,r_.�a.'w.n�a�z �,+- ::�=,wyr..;e:�rcerm,wzm:':axrta,rm?c.r. w. =,s+va.:.a�F.^ti•;e..a;:..ec;+ms.aaees¢sc.=:��aan..,�/
� 1
jSSN (individual/sole prnprietorshi ) -
i
DEIN (Corporation/partnership/sole
1proprietorship w/ 1 or more employees)
iParent Company Name and TIN Number � � �.... 4- ?�
��Division or Subunit.Name and TIN Nu�nb�r TM�`I
-�DUTrrS # (commercial vendor only} �j
* The taxpayer identification number is required by law. If you fail to provide us with this information,
your payments may be subject to income tax witlinolding.
Type of Entity/Account applicable to the TIN (See Form W-9 Request for Taxpayer Identification Number
Certification,Specific Instructions Section). Select One:
� ijAss— oc., Club,Religious, flAccount w/Dept of
;. Charitable;educational, or other 'Joint Account(Two/more ?
I JAgriculture in the name of a ji b
tax exempt org. (State/Local 4 Persons) s
;L !1Govt., School,etc.) public entity '
Revocable Savings TrustIEJKustodian Acct-minor j valid Trt stlEstate _E
Partnershi ; Sole Proprietorship Federal Government 1}
'11Broker or Registered
(Nominee ; Corporati
on
I
Do you require payment in foreign currency? Yes—No X Currency type?
Please indicate the type of products you provide to NOA.h.
Services Only X Goods Only Goods/Services
The Debt Collection Improvement Act of 1.996 mandates.the use of Electrcnic Funds Transfer(EFT) for
f; 12/18/2001 9:06A
EFT FORM nttp:awww.rac.nuaa.guvf--acoaetttomt.ny
all Federal payments to recipients who become eligible to receive such payments 90 days after enactment,
which is July 26, 1996. Federal agencies must grant waivers for this mandate to recipients who certify in
writing that they do not have an account with a financial institution. Please select one of the following
payment methods:
X EFT (Automated Clearing House Payments (ACH))
Check. (must submit wavier in writing to the Finance Office, along with this form)
If EFT was checked,please provide the following financial information for EFT payments.
(The ACH Coordinator at your financial institution can supply you with this information)
Financial Institution Name Wells Fargo Bank
Address 902 Main Street
City Martinez State CA Zip 94553
ACH Coordinator Name Alita Marshall Phone (510) 464-1733
Nine Digit Routing/Transit Number(ABA#) 121000248
Type of Account: (select one):
j-X �hecking Account Number t
i ';Savings Account Number
I certify that the information which I have provided on this form is correct.
Name(type or print) Dennis U. Barry
Title. Dir �nory Development Phone# (925) 335-1276
Signature Date: 8-12-02
3 of 3 12/18/2001 9:06 A
OMB Approval No.0346-0040
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 Act of 1973, as amended (29 U.S.C. §794), which
and the institutional, managerial and financial capability prohibits discrimination on the basis of handicaps; (d)
(including funds sufficient to pay the non-Federal share the Age Discrimination Act of 1975, as amended (42
of project cost) to ensure proper planning, management U.S.C. §§6101-6107), which prohibits discrimination
and completion of the project described in this on the basis of age; (e) the Drug Abuse Office and
application. Treatment Act of 1972 (P.L. 92-255), as amended,
relating to nondiscrimination on the basis of drug
2. Will give the awarding agency, the Comptroller General abuse; (f) the Comprehensive Alcohol Abuse and
of the United States and, if appropriate, the State, Alcoholism Prevention, Treatment and Rehabilitation
through any authorized representative, access to and Act of 1970 (P.L. 91-616), as amended, relating to
the right to examine all records, books, papers, or nondiscrimination on the basis of alcohol abuse or
documents related to the award; and will establish a alcoholism; (g) §§523 and 527 of the Public Health
proper accounting system in accordance with generally Service Act of 1912 (42 U.S.C. §§290 dd-3 and 290 ee-
aceepted accounting standards or agency directives. 3), as amended, relating to confidentiality of alcohol
and drug abuse patient records; (h) Title VIII of the
3. Will establish safeguards to prohibit employees from Civil Rights Act of 1968 (42 U.S.C. §§3601 at seq.), as
using their positions for a purpose that constitutes or amended, relating to nondiscrimination in the sale,
presents the appearance of personal or organizational rental or financing of housing; (i) any other
conflict of interest, or personal gain. nondiscrimination provisions in the specific statute(s)
under which application for Federal assistance is being
4. Will initiate and complete the work within the applicable made; and, 0) the requirements of any other
time frame after receipt of approval of the awarding nondiscrimination statute(s) which may apply to the
agency. application.
5. Will comply with the intergovernmental Personnel Act of 7• Will comply, or has already complied, with the
1970 ,(42 U.S.C._§§4728-4763) relating to prescribed requirements of Titles 11 and III of the Uniform
standards for merit systems'for programs funded under Relocation Assistance and Real Property Acquisition
one of the 19 statutes For regulations specified in Policies Act of 1970 (P.L. 91-646) which provide for
Appendix A of OPM's Standards for a Merit System of fair and equitable treatment of persons displaced or
Personnel Administration(5 C.F.R.900, Subpart F), whose property is acquired as a result of Federal or
-federally-assisted programs. These requirements apply
6. Will comply with all Federal statutes relating to to all interests in real property acquired for project
nondiscrimination. These include but are not limited to: purposes regardless of Federal participation in
(a)Title V1.of the Civil Rights Act of 1964 (P.L. 88-352) purchases.
which prohibits discrimination on the basis of race, color
or national origin; (b) Title IX of the Education 8. Will comply, as applicable, with provisions of 'the
Amendments of 1972, as amended (20 U.S.C. §§1681- Hatch Act (5 U.S.C. §§1501-1508 and 7324-7328)
1683,and 1685-1686),which prohibits discrimination on which limit the political activities of employees whose
the basis of sex; (c)Section 504 of the Rehabilitation principal employment activities are funded in whole or
in part with Federal funds.
Previous Edition Usable Standard Form 424B(Rev.7.97)
Authorized for Local Reproduction Prescribed by OMS Circular A-902
9. Will comply, as applicable, with the provisions of the Davis- 12. Will comply with the Wild and Scenic Rivers Act of
Bacon Act(40 U.S.C. §§276a to 276a-7),the Copeland Act 1968 (16 U.S.C. §§1271 et seq.) related to protecting
(40 U.S.C. §276c and 18 U.S.C. §874), and the Contract components or potential components of the national
Work Hours and Safety Standards Act (40 U.S.C. §§327- wild and scenic rivers system.
333), regarding labor standards for federally-assisted
construction subagreements. 13. Will assist the awarding agency in assuring compliance
with Section 106 of the National Historic Preservation
10. Will comply, if applicable, with flood insurance purchase Act of 1966, as amended (16 U.S.C. §470), EO 11583
requirements of Section 102(a) of the Flood Disaster (identification and protection of historic properties), and
Protection Act of 1973 (P.L. 93-234) which requires the Archaeological and Historic Preservation Act of
recipients in a special flood.hazard area to participate in the 1974(16 U.S.C.§§469a-1 et seq.).
program and to purchase flood insurance if the total cost of
insurable construction and acquisition is$10,000 or more. 14. Will comply with P.L. 93-348 regarding the protection of
human subjects involved in research,development, and
11. Will comply with environmental standards which may be related activities supported by this award of assistance,
prescribed pursuant to the following: (a) institution of
environmental quality control measures under the National 15. Will comply with the Laboratory Animal Welfare Act of
Environmental Policy Act, of 1969 (P.L. 91-190) and 1966 (P.L. 89-544, as amended, 7 U.S.C. §§2131 at
Executive Order (EO) 11514; (b) notification of violating seq.) pertaining to the care, handling, and treatment of
faci##ties pursuant to EO 11738; (c) protection of wetlands warm blooded animas held for research, teaching, or
pursuant to EO 11990; (d) evaluation of flood hazards in other activities supported by this award of assistance.
floodplains in accordance with EO 11988; (e) assurance of
project consistency with the approved State management 16. Will comply with the Lead-Based Paint Poisoning
program developed under the Coastal Zone Management Prevention Act (42 U.S.C. §§4901 et seq.) which
Act of 1972 (16 U.S.C. §§1451 et seq.); (f) conformity of prohibits the use of lead-based paint in construction or
Federal actions to State (Clean Air) implementation Plans rehabilitation of residence structures.
under Section 176(c) of the Clean Air Act of 1955, as
amended (42 U.S.C. §§7401 et seq.); (g) protection of 17. Will cause to be performed the required financial and
underground sources of drinking water under the Safe compliance audits in accordance with the Single Audit
Drinking Water Act of 1974, as amended (P.L. 93-523); Act Amendments of 1996 and OMB Circular No.A-133,
and, (h) protection of endangered species under. the- "Audits of States, Local Governments, and Non-Profit
Endangered Species Act of 1973, as amended (P.L. 93- Organizations."
205).
18. Will comply with all applicable requirements of all other
Federal laws,executive orders,regulations,and policies
governing this program.
SIGNATURE OF AUTHORIZED CERTIFYING OFFICIAL TITLE
A -&,!� Community Development Director
APPLICANT ORGANIZATION DATE SUBMITTED
Contra Costa County Community Development Department 8-12--02
Standard Form 4248(Rev.7-97)Back
FORM CD-511 UNITED STATES DEPARTMENT OF COMMERCE
CERTIFICATIONS REGARDING DEBARMENT, SUSPENSION AND
OTHER RESPONSIBILITY MATTERS; DRUG-FREE WORKPLACE REQUIREMENTS
AND LOBBYING
Applicants should refer to the regulations cited below to determine the certification to which they are required to attest..Applicants
should also review the instructions for certification included in the regulations before completing this form. Signature on this form
provides for compliance with certification requirements under 15 CFR Part 26, "Govemmentwide Debarment and Suspension
(Nonprocurement)"and"Governmentwide Requirements for Drug-Free Workplace" and 15 CFR fart 28, "New Restrictions on
Lobbying." The certifications shall be treated as a material representation of fact upon which reliance will be placed when the
Department of Commerce determines to award the covered transaction,grant or cooperative agreement.
1.DEBARMENT,SUSPENSION AND OTHER workplace and specifying the actions that will be taken
RESPONSIBiL€TY MATTERS against employees for violation of such prohibition;
As requested by Executive Carder 12549, Debarment and (b) Establishing an ongoing drug-free awareness program
Suspension, and implemented at 15 CFR Part 26, for to inform employees about--
prospective:participants in primary covered transactions,as
defined at 15 CFR Part 26,Sections 26.105 and 26.110- (1)The dangers of drug abuse in the workplace;
(1) The prospective primary participant certifies to the best (2) The grantee's policy of maintaining a drug-free
of its knowledge and belief,that it and its principals: workplace;
(a) Are not presently debarred, suspended, proposed for (3) Any available drug counseling, rehabilitation, and em-
debarment, declared ineligible, or voluntarily excluded from pioyee assistance programs;and
covered transactions by any Federal department or agency;
(4)The penalties that may be imposed upon employees for
(b) Have not within a three-year period preceding this drug abuse violations occurring in the workplace;
proposal been convicted of or had a civil judgment
rendered against them for commission of fraud or a criminal (c) Making it a requirement that each employee to be en-
offense in connection with obtaining, attempting to obtain,or gaged in the performance of the grant be given a copy of
performing a public(Federal, State or local)transaction or the statement required by paragraph(a);
contract under a public transaction; violation of Federal or
State antitrust statutes or commission of embezzlement. _ (d) Notifying the employee in the statement required by
theft forgery, bribery,falsification or destruction of records, paragraph (a)that as a condition of employment under the
making false statements,or receiving stolen property: grant,the employee will--
(c) Are not presently indicted for or otherwise criminally or (1)Abide by the terms of the statement; and
civilly charged by a governmental entity (Federal, State or
local) with commission of any of the offenses enumerated (2) Notify the employer in writing of his or her conviction for
in paragraph(1)(b)of this certification;and a violation of a criminal drug statute occurring in the
workplace no later than five calendar days after such
(d) Have not within a three-year period preceding this ap- conviction;
plication/proposal had one or more public transactions
(Federal,State,or local)terminated for cause or default. (e) Notifying the agency in writing,within ten calendar days
after receiving notice under subparagraph (d)(2) from an
(2) Where the prospective primary participant is unable to employee or otherwise receiving actual notice of such
certify to any of the statements in this certification, such conviction. Employers of convicted employees must
prospective participant shall attach an explanation to this provide notice,including position title,to the Director,Office
proposal, of Federal Assistance, Office of Federal Assistance and
Management Support,HCHS Room 8054,U3.Department
of Commerce,Washington, DC 20230.Notice shall include
2. DRUG-FREE WORKPLACE REQUIREMENTS the identification numbers(s)of each affected grant;
Alternate I. Grantees Other Than Individuals
(f) Taking one of the following actions,within 30 calendar
As required by the Drug-Free Workplace Act of 1988, and days of receiving notice under subparagraph (d) (2),with
implemented at 15 CFR Part 26, Subpart F,for grantees, as respect to any employee who is so convicted-
defined at 15 CFI;part 26,Sections 26.605 and 26.610-
(i) Taking appropriate personnel action against such an
A.The grantee certifies that it will or will continue to provide employee, up to and including termination, consistent with
a drug-free workplace by: the requirements of the Rehabilitation Act of 1973, as
amended;or
(a) Publishing a statement notifying employees that the un-
lawful manufacture, distribution,dispensing, possession,or (2)Requiring such employee to participate satisfactorily in a
use of a controlled substance is prohibited in the grantee's drug abuse assistance or rehabilitation program approved
for such purposes by a Federal, State, or local health,law
enforcement,or other appropriate agency;
uscoMM-Dc?ai-;r7�s
(g) Making a good faith effort to continue to maintain a employee of Congress, or an employee of a Member of
drug-free workplace through implementation of paragraphs Congress in connection with the awarding of any Federal
(a),(b),(c),(d), (e),and (f}, contract, the making of any Federal grant,the making of
any Federal loan, the entering into of any cooperative
B. The grantee shall insert in the space provided below the agreement,. and the extension, continuation, renewal,
site(s)for the performance of work done in connection with amendment, or modification of any Federal contract,grant
the specific grant: loan,or cooperative agreement.
Place of Performance: (Street address, city, county,state, (2)If any funds other than Federal appropriated funds have
ZIP code): been paid or will be paid to any person for influencing or
651 Fine Street attempting to influence an officer or employee of any
agency,a Member of Congress, an officer or employee of
Martinez, CA 94553 Congress, or an employee of a member of Congress in
connection with this Federal contract, grant, loan, or
Contra Costa County cooperative agreement,the undersigned shall complete and
submit Standard Form-LLL, "Disclosure Form to Report
Check Cil if there are workplaces on file that are not iden- Lobbying,"in accordance with its instructions.
tified here.
(3)The undersigned shall require that the language of this
Alternate 11. Grantees Who Are individuals certification be included in the award documents for all
subawards at all tiers (including subcontracts, subgrants,
As required by the Drug-Free Workplace Act of 1988,and and contracts under grants, loans and cooperative agree-
implemented at 15 CFA 26, Subpart F, for grantees, as meats) and that all subrecipients shall certify and disclose
defined at 15 CFR Part 26,Sections 26.605 and 25.610- accordingly.
(A)The grantee certifies that,as a condition of the grant,he This certification is a material representation of fact upon
or she will not engage in the unlawful manufacture,distribu- which reliance was placed when this transaction was made
tion, dispensing, possession, or use of a controlled or entered into. Submission of this certification is a
substance in conducting any activity within the grant; prerequisite for making or entering into this transaction
imposed by section 1352, title 31, U.S. Code. Any person
(B) If convicted of a criminal drug offense resulting from a who fails to file the required certification shall be subject to a
violation occurring during the conduct of any grant activity, civil penalty of not less than $10,000 and not more than
he or she will report the conviction, in writing, within 10 $100,000 for each such failure.
calendar days of the conviction,to the Director, Office of
Federal Assistance, Office of Federal Assistance and Statement for Loan Guarantees and Loan Insurance
Management Support,HCHB Room 6054,U.S.Department
of Commerce, Washington, DC 20230. When notice is The undersigned states,to the best of his or her knowledge
made to such a central point, it shall include the and belief,that:
identification number(s)of each affected grant.
If any funds have been paid or will be paid to any person for
3. LOBBYING influencing or attempting to influence an officer or employee
of any agency, a Member of Congress, an officer or em-
As required b Saction 1352,`title 31 of the U.S.Code, and ployee of Congress, or an employee of a Member of
q y Congress in connection with this commitment providing for
Implemented at 15 CFR Part 28,for persons entering Into a the United States to insure or guarantee a loan, the
grant,cooperative agreement or contract over$100,000,or undersigned shall complete and submit Standard Form
loan or loan guarantee over$154,000,as defined at 15 CFR -LLL,"Disclosure Form to Report Lobbying,"in accordance
Part 28,Sections 28.105 and 28.110,the applicant certifies with its instructions.
that to the best of his or her knowledge and belief,that:
(1)No Federal appropriated funds have been paid or will be Submission of this statement is a prerequisite for making or
paid,by or on behalf of the undersigned,to any person for entering into this transaction imposed by section 1352,title
31, U.S. Code. Any person who fails to file the required
influencing or attempting to influence an officer or employee statement shall be subject to a civil penalty of not less than
of an agency, a Member of Congress, an officer or $10,000 and not more than$100,000 for each such faiiure.
As the duly authorized representative of the applicant, I hereby certify that the applicant will comply with
the above applicable certificaition(s).
NAME OF APPLICANT AWARD NUMBER AND/OR PROJECT NAME
q
PRINTED NAME AND TITLE OF AUTHORIZED REPRESENTATIVE
Dennis M. Barry, AMP, Community Development Director
SIGNATURE DATE
5-12-02
ATTACHMENT B
NOAA ADMINISTRATIVE STANDARD AWARD CONDITIONS
A. The Recipient shall submit all refund checks to the Department of Commerce (DoC)
accounting office identified below. All checks must contain the name of the DoC funding
agency, award number, and no more than a two-word description to identify reason for
refund. For example - Interest Earned, Program Income, Credit, Excessive Drawdown,
etc.
U.S. Department of Commerce/NOAA
Finance Division, OFA232
20020 Century Boulevard
Caller Service #7025
Germantown, MD 20874
301-427-2084
B. Program income earned during the award period shall be retained by the Recipient and
shall be added to funds committed to the award and used for the purposes and under the
conditions applicable to the use of the award funds.
C. If applicable, the Recipient must request prior approval from NOAA to purchase
equipment costing in excess of $5,000 per unit and having a useful life of more than one
year. This condition applies to equipment not specifically identified and justified in the
Recipient's proposal and approved budget.
D. If applicable, cost sharing is to be calculated on the basis of the total financial award to
the Recipient. The Government does not recognize funds made in overmatch
subsequent to making an award.
E. Notwithstanding Department of Commerce Financial Assistance Standard Terms and
Conditions, Section L.02d., when a recipient uses foreign flagged air carrier(s) for travel,
the recipient must submit the certification required by the regulations implementing the
Fly America Act (41 CFR Part 301-10) to the Grants Officer in the same frequency as the
Financial Status Report (SF-269). This certification may be in any format and may even
be the internal travel form used by the recipient which highlights and justifies the use of a
foreign flagged air carrier (see 41 CFR 301-10.142).
The certification must include:
(a) Traveler's name;
(b) Dates traveled;
(c) The origin and the destination of the travel;
(d) A detailed itinerary of the travel, name of the air carrier, and flight number
for each leg of the trip; and
(e) A statement explaining why one of the exceptions in § 301-10.135, §
301-10.936, or § 301-10.137 was met, or a copy of your agency's written
approval that foreign air carrier service was deemed a matter of necessity
in accordance with § 301-10.138.
DEPARTMENT OF COMMERCE
FINANCIAL ASSISTANCE
STANDARD TERMS ANIS► CONDITIONS
-` OF co
Vr
40 i
SIT O� �
October 2001
�
DEPARTMENT OF COMMERCE
FINANCIAL ASSISTANCE STANDARD TERMS AND CONDITIONS
Page
PREFACE . ^ ' ' ' . ' . ' . . . ' ' ' ^ ` . - . ' . ' . , . ' . . ' , . . . ~ ^ ' . ^ . , . ' ^ ` . , ' . ^ . . ' - . , , . . . . . ' . . - l
A. FINANCIAL REQUIREMENTS . . ' ' ' . . ' , . . . . ' . . ' . . . . . ~ ' . . . . ' . . . ' . . ' . . . . . ' 1
,01 Financial Reports . . . ' . . . . . . . . . . . . . , , . ^ . ^ . , . . . . . . . . . . . . . , . . . . , . . . . . . |
^02 Award Payments . . . . . ' ' . ' ' ' ` ' ' ^ ^ ^ ' ^ ^ ' ' ` ^ ` ' ' ' ` ^ ` ^ ~ ' ^ ~ ' ` ^ ^ ^ ^ ` ' ` ' ' ` ' ' 1
.03 Federal and Non-Federal Sharing . . . . . . . , . . ^ . . . ~ . . . . . . . . , . . . . . . . . . . . . . 2
,04 Budget Changes and Transfer VfFunds Among Categories - . , ^ . . . ' . . - , ' , . . . 2
.05 Indirect Costs . . . . ' . , . . . . . - . . . . . . ^ , . . ^ ^ ^ ^ ^ , . , , . . .. . . , , , . . ' ^ ^ . . . ^ . ' ' . 3
.06 Incurring Costs or Obligating Federal Funds Beyond
the Expiration Date - . . , . . , , . . . . . , . . . , . . . ^ , , , , . ~ . , . . . . . . , , . . . . , . . . . .. 4
.07 Tax Refunds . . .. . . . . . . . . . ` ' , . . . . . ~ . ^ . . . . ^ . , , ^ . . ^ ^ . ^ , ^ , . . , ^ . . . . . , . 4
B. PROGRAMMATIC REQUIREMENTS ~ ^ ^ ' . . ~ ^ ' . ' . . ' ^ ' ` .- . . ' . ^ ' . ' ' . . ' ' ^ ^ ' . 5
/]l . ' ' ' ' ' ' ' ' ' ' ' ^ ' ' ' ' ' ' ^ ' ' ' ' ^ ' ' ' ' ` ' ^ ^ ' ' ' ' 5
.02 Unsatisfactory Performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
.03 , _ . ^ , , , ^ , , , . ^ , ^ , , _ , � . _ �� ^ , � , ^ ' ^ ^ _ , , , _ _ . ^ , . . _ _ 5
_ -
.04 Other Federal Awards with Similar Programmatic Activities . . . . . ' - , ^ . ^ ' . ^ . ` 5
,05 Non-Compliance with Award Provisions . . . , . ^ ' ' , . , . . . , . , . , . . ., . , . ' . . . . 6
^ .06 Prohibition Against Assignment by Recipient ' ' , . . ' . . . - . . . . ^ . ' ^ . . . ' . ' . . , . h
.07 Disclaimer Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b
C. NON-DISCRIMINATION REQUIREMENTS . . . . ' . . . . ' ' ' . ' , ^ ' . ' - ' ' ' ' ' ' ' ' ' ' 6
/01 Statutory Provisions . . . . ' . . . . . . - . , , . ' ' . . . . ' . ' ' ' . ^ . . ` ^ ' ^ . . . . ' ^ . , ' ' , . . 6
<02 Other Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . , . 7
�
D. , , ' ^ , , _ . ^ _ ^ . . _ ^ . . , . ^ ^ , . , , ` , ~ , , , _ , ^ ^ , ^ , , , ` , , . ' . . . . . . . , - . . . . . . . . 7
.01 and Project Audits . . . . . . . . . . . . . . . . . . 8
.02 Audit Resolution Process . . . . . . . . . . . . . ' . . . . . . . ~ . . . . ^ . . . ^ , ' ^ - . . . ^ . ' ^ . . 8
E. DEBTS . _ ^ ^ , ^ ' , ^ ' . , . ` _ . ' , . . . , _ . . . _ . _ . , ` , , ` _ ' _ , . , ' ' . . ^ . _ , , ^ . ^ ' ' . ' . . . ' ' . y
.01 Payment QfDebts Owed the Federal Government . . . . . . . . . . . . . . . . . . . . . . . . . 9
.02 Late Payment Charges . . , . ' . . , . . ^ , . , ' ' . , ' . ' ^ , , , . . . . ' , . ' , ' ^ , ' . . . . ^ . AD
'
�
F. NAME CHECK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
.01 Results of Mame Check . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
.02 Action(s) Taken as a Result of Name Check Review . . . . . . . . . . . . < . . . . . . . . 11
G. GOVERNMENTWIDE DEBARMENT AND SUSPENSION
(NONPROCUREMENT) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . i 1
H. DRUG-FREE WORKPLACE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
I. LOBBYING RESTR.ICTIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
.01 Statutory Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
.02 Disclosure of Lobbying Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
J. CODES OF CONDUCT AND SUBAWARD,CONTRACT,
AND SUBCONTRACT PROVISIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
.01 Code of Conduct for Recipients . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
.02 Applicability of Award provisions to Subrecipients . . . . . . . . . . . . . . . . . . . . . . 12
.03 Competition and Codes of Conduct for Subawards . . . . . . . . . . . . . . . . . . . . . . . 12
.04 Applicability of Provisions to Subawards, Contracts,
and Subcontracts . . . . . . . . . _ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
.05 Minority and Women-Owned Business Enterprise . . . . . . . . . . . . . . . . . . . . . . . 14
.06 Subaward and/or Contract to a Federal Agency. . . . . . . . . . . . . . . . . . . . . . . . . . 14
K. PROPERTY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
.01 Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
.02 Real property . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
L. MISCELLANEOUS REQUIREMENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
.01 Criminal and Prohibited Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
.02 Foreign Travel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
.03 American-Made Equipment and Products . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
.04 Intellectual Property Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
.05 Increasing Seat Belt Use in the United States . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
.06 Research Involving Human Subjects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
.07 Federal Employee Expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
.08 Preservation of Open Competition and Government Neutrality Towards
Government Contractors' Labor Relations on Federal and Federally Funded
Construction Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
.09 Minority Serving Institutions Initiative . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
i.i
PREFACE
The recipient and any subrecipients must,in addition to the assurances made as part of the
application,comply and rewire each of its contractors and subcontractors employed in the
completion of the project to comply with all applicable statutes,regulations,executive orders
(EOs), (,office of Management and Budget(OMB)circulars,terms and conditions, and approved
applications.
This award is subject to the laws and regulations of the United States. Any inconsistency or
conflict in terms and conditions specified in the award will be resolved according to the
following order of precedence.public laws,regulations, applicable notices published in the
FederJ Register, EOs, OMB circulars,Department of Commerce(DoC)Financial Assistance
Standard Terms and Conditions,agency standard award conditions (if any), and special award
conditions. Special award conditions may take precedence over DoC standard terms and
conditions, on a case-by-case basis, when allowed by the DoC standard term and condition.
Some of the DoC terms and conditions herein contain,by reference or substance,a summary of
the pertinent statutes, or regulations published in the Federal Resister or Code of Federal
Regulations(CFR.), EOs, OM13 circulars or the assurances(Forms SF-424B,424D). To the extent
that it is a summary, such provision is not in derogation of,or an amendment to,any such statute,
regulation,EO,or OMB circular.
A. FINANCIAL REQUIREMENTS
.01 Financial Reports
a. The recipient shall submit a"Financial Status Report" (SF-269)on a semi-annual
basis for the periods ending March 31 and September 30,or any portion thereof,
unless otherwise specified in a special award condition. Reports are due no later
than 30 days fallowing the end of each reporting period. A final SF-269 shall be
submitted within 90 days after the expiration date of the award.
b. Unless otherwise authorized by a special award condition, all financial reports
shall be submitted-in triplicate(one original and two copies)to the Grants
Officer.
.02 Award Payments
a. The advance method of payment shall be authorized unless otherwise specified in
a special award condition. The Grants Officer determines the appropriate method
of payment. Payments will be made through electronic funds transfers directly to
the recipient's bank account and in accordance with the requirements of the Debt
Collection Improvement Act of 1996. The DoC Award Number must be
included on all payment-related correspondence,information,and forms.
2 10/01
b. When the "Request for Advance or Reimbursement" (SF-270) is used to request
payment, the recipient shall submit the request no more frequently than monthly,
and advances shall be approved for periods to cover only expenses anticipated
over the next 30 days. When the SF-270 is used,the recipient must complete the
SF-3881, "ACH Vendor Miscellaneous Payment Enrollment Form," and return it
to the Grants Officer.
c. Advances shall be limited to the minimum amounts necessary to meet immediate
disbursement needs. Advanced funds not disbursed in a timely manner must be
promptly returned to DoC. If a recipient demonstrates an unwillingness or
inability to establish procedures which will minimize the time elapsing between
the transfer of funds and disbursement or if the recipient otherwise fails to
continue to qualify for the advance method of payment, the Grants Officer may
change the method of payment to reimbursement only.
.03 Federal and Non-Federal Sharing
a. Awards which include Federal and non-Federal sharing incorporate an estimated
budget consisting of shared allowable costs. If actual allowable costs are less
than the total approved estimated budget, the Federal and non-Federal cost share
ratio shall be calculated as a percentage of Federal and non-Federal approved
amounts. If actual allowable costs are greater than the total approved estimated
budget, the Federal share shall not exceed the total Federal dollar amount as
reflected in the Financial Assistance Award(CIS-450)and Amendment(s)to
Financial Assistance Award (CD-451).
b. The non-Federal share, whether in cash or in-kind, is expected to be paid out at
the same general rate as the Federal share. Exceptions to this requirement may be
granted by the Grants Officer based on sufficient documentation demonstrating
previously determined plans for or later commitment of cash or in-kind
contributions. In any case, the recipient must meet its cost share commitment
over the life of the award.
.04 Budget Changes and Transfer of Funds Among Categories
a. Requests for budget changes to the approved estimated budget in accordance with
the provision noted below must be submitted to the Grants Officer who shall
make the final determination on such requests and notify the recipient in writing.
b. Transfers of funds by the recipient among direct cost categories are permitted for
awards in which the Federal share of the project is$100,000 or less. For awards in
which the Federal share of the project exceeds$100,000, transfers of funds must be
approved in writing by the Grants Officer when the cumulative amount of such
transfers exceed 10 percent of the current total Federal and non-Federal funds
authorized by the Grants Officer. The 10 percent threshold applies to the total
Federal and non-Federal funds authorized by the Grants Officer at the time of the
2 10/01
transfer request. This is the accumulated amount of Federal funding obligated to
date by the Chants Officer along with any non-Federal share. The same criteria
applies to the cumulative amount of transfer of funds among projects, functions,
joint ventures, consortia, activities, and annual costs when budgeted separately
within an award. Transfers will not be permitted if such transfers would cause any
Federal appropriation, or part thereof, to be used for purposes other than those
intended. This transfer authority does not authorize the recipient to create new
budget categories within an approved budget unless the Grants Officer has provided
prior approval.
c. The recipient is not authorized at any time to transfer amounts budgeted for direct
costs to the indirect costs line item or vice versa, without written prior approval
of the Grants Officer.
.05 Indirect Casts
a. Indirect costs will not be allowable charges against the award unless specifically
included as a line item in the approved budget incorporated into the award. (The
term "indirect cost"has been replaced with the term"facilities and administrative
costs"under OMB Circular A-21, "Cost Principles for Educational Institutions.")
b. Excess indirect costs may not be used to offset unallowable direct costs.
c. If the recipient has not previously established an indirect cost rate with a Federal
agency, the negotiation and approval of a rate is subject to the procedures in the
applicable cost principles and the following subparagraphs:
I. The OIG is authorized to review cost allocation procedures and negotiate
indirect cost rates on behalf of DoC for those organizations for which DoC is
cognizant or has oversight. The OIG either will negotiate a fixed rate for the
recipient or,in some instances,will limit its review to evaluating the
procedures described in the recipient's cost allocation methodology plan. The
recipient shall submit to the OIG within 90 days of the award start date,
documentation(indirect cost proposal, cost allocation plan, etc.) necessary for
the OIG to perform its review. The recipient shall provide the-Grants Officer
with a copy of the transmittal letter to the OIG.
2. When an oversight or cognizant Federal agency other than DoC has
responsibility for establishing an indirect cost rate,the recipient shall submit
to that oversight or cognizant Federal agency within 90 days of the award
start date the documentation(indirect cost proposal, cost allocation plan, etc.)
necessary to establish such rates. The recipient shall provide the Chants
Officer with a copy of the transmittal letter to the cognizant Federal agency.
3 10/ 2
3. If the recipient fails to submit the required documentation to the OIG or ether
oversight or cognizant Federal agency within 90 days of the award start date,
the Grants Officer may amend the award to preclude the recovery of any
indirect costs under the award. If the DoC OIG,oversight, or cognizant
Federal agency determines there is a finding of good and sufficient cause to
excuse the recipient's delay in submitting the documentation, an extension of
the 90-day due date may be approved by the grants Officer.
4. Regardless of any approved indirect cost rate applicable to the award,the
maximum dollar amount of allocable indirect costs for which DoC will
reimburse the recipient shall be the lesser of:
(a) The line item amount for the Federal share of indirect costs contained in
the approved budget of the award; or
(b) The Federal share of the total allocable indirect costs of the award based
on the indirect cost rate approved by a cognizant or oversight Federal
agency and current at the time the cost was incurred,provided the rate is
approved on or before the award end date.
.06 Incurring Costs or Obligating Federal Funds Beyond the Expiration Date
a. The recipient shall not incur costs or obligate funds for any purpose pertaining to
the operation of the project,program, or activities beyond the expiration date
stipulated in the award. The only costs which are authorized for a period of up to
90 days following the award expiration date are those strictly associated with
closeout activities. Closeout activities are normally limited to the preparation of
final progress,financial, and required project audit reports unless otherwise
approved in writing by the Grants Officer.
b. Unless otherwise authorized in 15 CFR § 14.25(e)(4) or a special award
condition, any extension of the award period can only be authorized by the grants
Officer in writing. Verbal or written assurances of funding from other than the
Grants Officer shall not constitute authority to obligate funds for programmatic
activities beyond the expiration date.
c. The DoC has no obligation to provide any additional prospective funding. Any
amendment of the award to increase fiunding and to extend the period of
performance is at the sole discretion of DoC.
.07 "Tax Refunds
Refunds of FICAIFUTA taxes received by the recipient during or after the award
period must be refunded or credited to DoC where the benefits were financed with
Federal funds under the award. The recipient agrees to contact the Grants Officer
immediately upon receipt of these refunds. The recipient further agrees to refund
4 10/01
portions ofF1CA/FUTA taxes determined to belong to the Federal Government,
including refunds received after the award end date.
B. PROGRAMMATIC REQUIREMENTS
.01 Performance (Technical)Reports
a. The recipient shall submit performance(technical)reports in triplicate(one
original and two copies)to the Federal Program Officer in the same frequency as
the Financial Status Report(SF-269)unless otherwise authorized by the Grants
Officer.
b. Unless otherwise specified in the award provisions, performance(technical)
reports shall contain brief information as prescribed in the applicable uniform
administrative requirements incorporated into the award.
.02 Unsatisfactory Performance
Failure to perform the work in accordance with the terms of the award and maintain at
least a satisfactory performance rating or equivalent evaluation may result in
designation of the recipient as high risk and assignment of special award conditions
or other further action as specified in the standard term and condition entitled "Non-
Compliance With Award Provisions."
.03 Programmatic Changes
a. The recipient shall not make any progranunatic changes to the award without
prior written approval by the Grants Officer.
b. Any requests by the recipient for programmatic changes must be submitted to the
Grants Officer who shall make the final determination and notify the recipient in
writing.
.04 tither Federal Awards with Similar Programmatic Activities
The recipient shall immediately provide written notification to the Federal Progrn
Officer and the Grants Officer in the event that,subsequent to receipt of the DoC
award, other financial assistance is received to support or fund any portion of the
scope of work incorporated into the DoC award. DoC will not pay for costs that are
funded by other sources.
10/oz
.45 Non-Compliance With Award Provisions
Failure to comply with any or all of the provisions of the award may have a negative
impact on future funding by DoC and may be considered grounds for any or all of the
following actions: establishment of an account receivable,withholding payments
under any DoC awards to the recipient,changing the method of payment from
advance to reimbursement only, or the imposition of other special award conditions,
suspension of any DoC active awards, and termination of any DoC active awards.
.06 Prohibition Against Assignment by the Recipient
Notwithstanding any other provision of the award, the recipient shall not transfer,
pledge,mortgage,or otherwise assign the award,or any interest therein, or any claire
arising thereunder,to any party or parties,banks,trust companies, or other financing
or financial institutions.
.07 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 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.
C. NON-DISCRIMINATION REQUIREMENT'S
No person in the United States shall, on the ground of race,color,national origin,handicap,
age,religion,or sex, be excluded from participation in,be denied the benefits of, or be
subject to discrimination under any program or activity receiving Federal financial
assistance. The recipient agrees to comply with the non-discrimination requirements below:
.01 Statutory Provisions
a. 'Title VI of the Civil Rights Act of 1364 (42 USC §§ 2000d et se . and DoC
implementing regulations published at 15 CFR Part 8 which prohibit
discrimination on the grounds of race, color, or national origin under programs or
activities receiving Federal financial assistance;
b. Title IX of the Education.Amendments of 1372(20 USC §§ 1681 et seq.)
prohibiting discrimination on the basis of sex under Federally assisted education
programs or activities;
6 10/01
c. Section 5034 of the Rehabilitation Act of 1973, as amended(29 USC § 794) and
DoC implementing regulations published at 15 CFR.Fart 8b prohibiting
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 USO; §§ 6101 et se .) and
DoC implementing regulations published at 15 CFR Part 20 prohibiting
discrimination on the basis of age in programs or activities receiving Federal
financial assistance,
e. The Americans with Disabilities Act of 1990 (42 USC §§ 12101 et se .)
prohibiting discrimination on the basis of disability under programs, activities,
and services provided or made available by state and local governments or
instrumentalities or agencies thereto, as well as public or private entities that
provide public transportation;
f. Any other applicable non-discrimination law(s).
.02 Other Provisions
Parts II and III of EO 11246 (30 FR 12319, 1965)as amended by EO 11375 (32 FR
14303, 1967) and 12086(43 FR 46501, 1978)require Federally assisted construction
contracts to include the nondiscrimination provisions of§§ 202 and 203 of that EC
and Department of Labor regulations implementing EO 11246 (41 CFR § 60-1.4(b),
1991).
D. AUDIT
Under the Inspector General Act of 1978,as amended., 5 USC App. 3,§ 1 et seer., an audit of
the award may be conducted at any time. The Inspector General of the DoC,or any of his
or her duly authorized representatives, shall have access to any pertinent books, documents,
papers and records of the recipient, whether written, printed,recorded,produced or
reproduced by any electronic,mechanical,magnetic or other process or medium,in order to
mare audits,inspections, excerpts,transcripts or other examinations as authorized by law.
When the OIG requires a program audit on a DoC award,the OIG will usually make the
arrangements to audit the award,whether the audit is performed by OIG personnel, an
independent accountant under contract with DoC,or any other Federal, state or local audit
entity.
7 xoJo1
.01 Organization-Wide,Program-Specific, and Project Audits
a. Organization-wide or program-specific audits shall be performed in accordance
with the Single Audit Act Amendments of 1996, as implemented by OMB
Circular A-133, "Audits of States,Local Goverrunents, and Non-Profit
Organizations." Recipients that are subject to the provisions of OMB Circular
A-133 and that expend $300,000 or more in a year in Federal awards shall have
an audit conducted for that year in accordance with the requirements contained in
OMB Circular A-13.3.
b. pursuant to IS CFR § 14.26 (c) and(d),DoC requires for-profit recipients of
awards that exceed$100,000 in Federal funding to have a program-specific audit
performed. If DoC does not have a program-specific audit guide available for the
program, the auditor should follow Generally Accepted Government Auditing
Standards and the requirements for a program-specific audit as described in OMB
Circular A-133 § .235. A copy of the program-specific audit shall be submitted
to the OIG at the following address with a copy of the transmittal letter to the
Grants Officer:
Office of Inspector.General
U.S.Department of Commerce
Atlanta Regional Office of Audits
401 West Peachtree Street,N.W., Suite 2742
Atlanta., GA 30308
c. Recipients expending Federal awards over$300,000 a year and having audits
conducted in accordance with OMB Circular A-133 shall submit a copy of
organization-wide or program-specific audits to the Bureau of the Census,which
has been designated.by OMB as a central clearinghouse. The address is.
Federal Audit Clearinghouse
Bureau of the Census
1201 B. 10th Street
Jeffersonville, IN 47132
.02 Audit Resolution Process
a. An audit of the award may result in the disallowance of costs incurred by the
recipient and the establishment of a debt(account receivable) due DoC. For this
reason,the recipient should tape seriously its responsibility to respond to all audit
findings and recommendations with adequate explanations and supporting
evidence whenever audit results are disputed.
8 10/01
e
b. In accordance with the Federal Register notice dated January 27, 1989(54 FR
4053), a recipient whose award is audited has the following opportunities to
dispute the proposed disallowance of costs and the establishment of a debt:
1. Unless the Inspector General determines otherwise, the recipient has 30 days
from the date of the transmittal of the.draft audit report to submit written
comments and documentary evidence.
2. The recipient has 30 days from the date of the transmittal of the final audit
report to submit written comments and documentary evidence. There will be
no extension of this deadline.
3. The DoC shall review the documentary evidence submitted by the recipient
and shall notify the recipient of the results in an Audit Resolution
Determination Letter. The recipient has 30 days from the date of receipt of
the Audit Resolution Determination Letter to submit a written appeal. There
will be no extension of this deadline. The appeal is the last opportunity for
the recipient to submit written comments and documentary evidence that
dispute the validity of the audit resolution determination. In addition, an
appeal does not preclude the recipient's obligation to pay a debt that may be
established, nor does the appeal preclude the accrual of interest on a debt.
4. The DoC shall review the recipient's appeal and notify the recipient of the
results in an Appeal Determination Letter. Amer the opportunity to appeal
has expired or after the appeal determination has been rendered, DoC will not
accept any further documentary evidence from the recipient. No other
administrative appeals are available in DoC.
5. An appeal of the Audit Resolution Determination does not prevent the
establishment of the audit-related debt nor does it prevent the accrual of
interest on the debt. If the Audit Resolution Determination is overruled or
modified on appeal, appropriate corrective action will be taken retroactively.
An appeal will stay the offset of funds owed by the auditee against funds due
to the auditee.
E. DEBTS
.01 Payment of Debts Owed the Federal Government
Any debts determined to be owed the Federal Government shall be paid promptly by
the recipient. In accordance with 15 CFR § 21.4, a debt will be considered delinquent
if it is not paid within 15 days of the due date, or if there is no due date, within 30
days of the billing date. Failure to pay a debt by the due date, or if there is no due
date, within 30 days of the billing date, shall result in the imposition of late payment
charges as noted below. In addition, failure to pay the debt or establish a repayment
agreement by the due date, or if there is no due date,within 30 days of the billing
9 10/0i
date, will also result in the referral of the debt for collection action and may result in
DoC taking further action as specified in the standard term and condition entitled
"Non-Compliance With Award Provisions." Funds for payment of a debt must not
come from. other Federally sponsored programs. Verification that other Federal funds
have not been used will be made, e.g., during on-site visits and audits.
.02 Late Payment Charges
a. An interest charge shall be assessed on the delinquent debt as established by the
Debt Collection Act(31 U.S.C. 3701 et sea.), as amended. The minimum annual
interest rate to be assessed is the Department of the Treasury's Current Value of
Funds Rate. This rate is published in the Federal Register by the Department of
the Treasury. The assessed rate shall remain fixed for the duration of the
indebtedness.
b. A penalty charge shall be assessed on any portion of a debt that is delinquent for
more than 90 days, although the charge will accrue and be assessed from the date
the debt became delinquent.
c. An administrative charge shall be assessed to cover processing and handling the
amount due. ..
d. State and local governments are not subject to penalty and administrative charges. _
F. NAME CHECK
A name check review shall be performed by the OIG on key individuals associated with
non-profit and for-profit organizations,unless an exemption has been authorized by the
Inspector General, such as the exemption authorized for Economic Development Districts
designated by the Economic Development Administration.
.01 Results of Name Check
DoC reserves the right to take any of the actions described in section F.02 if any of
the following occurs as a result of the name check review:
a. A key individual fails to submit the required Form CD-346,",Applicant for
Funding Assistance;"
b. A key individual made an incorrect statement or omitted a material fact on the
Foran CD-346; or
c. The name check reveals significant adverse findings that reflect on the business
integrity or responsibility of the recipient and/or key individual.
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r
.02 Action(s) Taken as a Result of Name Check Review
If any situation noted in F.01 occurs, DoC, at its discretion,may take one or more of
the following actions:
a. Consider suspension/temaination of the award,
b. Require the removal of any key individual from association with the management
of and/or implementation of the award; and/or
c. Make appropriate,provisions or revisions with respect to the method of payment
and/or financial reporting requirements.
G. GOVERN1VlENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT)
The recipient shall comply with the provisions of EO 12549, "Debarment and Suspension"
and DoC"s implementing regulations published at IS CFR Part 26, Subparts A through E,
"Governmentwide Debarment and Suspension(Nonprocurement),"which generally prohibit
entities that have been debarred,suspended, or voluntarily excluded from participating in
Federal nonprocurement transactions either through primary or lower tier covered
transactions.
H. DRUG-FREE WORKPLACE _
The recipient shall comply with the provisions of Public Law 100-690,Title V, Subtitle D,
"Drug-Free Workplace Act of 1988," and DoC implementing regulations published at 15
CFR Part 26, Subpart F, "Governmentwide Requirements for Drug-Free Workplace
(Grants)," which require that the recipient take steps to provide a drug-free workplace.
I. LOBBYING RESTRICTIONS
.01 Statutory Provisions
The recipient shall comply with the provisions of Section 319 of Public Law 101-121,
which added Section 1352 to Chapter 13 of Title 31 of the United States Code, and ,
DoC implementing regulations published at 15 CFR Part 28, "New Restrictions on
Lobbying." These provisions generally prohibit the use of Federal funds for lobbying
the Executive or Legislative Branches of the Federal government in connection with
the award, and require the disclosure of the use of non-Federal funds for lobbying.
.02 Disclosure of Lobbying Activities
The recipient receiving in excess of$100,000 in Federal funding shall submit a
completed Farm SF-LLL, "Disclosure of Lobbying Activities,"regarding the use of
non-Federal funds for lobbying. The Form SF-LLL shall be submitted within 30 days
following the end of the calendar quarter in which there occurs any event that requires
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disclosure or that materially affects the accuracy of the information contained in any
disclosure form previously filed, The recipient must submit the Forms SF-LLL,
including those received from subrecipients, contractors, and subcontractors,to the
Grants Officer.
J. CODES OF CONDUCT AND SUBAWARD, CONTRACT,AND SUBCONTRACT
PROVISIONS
.01 Code of Conduct for Recipients
Pursuant to the certification in SFe42413,paragraph 3,the recipient must maintain
written standards of conduct to establish safeguards to prohibit employees from using
their positions for a purpose that constitutes or presents the appearance of personal or
organizational conflict of interest, or personal gain in the administration of this award.
.02 Applicability of Award Provisions to Subrecipients
The recipient shall require all subrecipients,including lower tier subrecipients,under
the award to comply with the provisions of the award including applicable cost
principles, administrative, and audit requirements.
.03 Competition and Codes of Conduct for Subawards
a. All subawards will be made in a manner to provide,to the maximum extent
practicable,open and free competition. The recipient must be alert to
organizational conflicts of interest as well as other practices among subrecipients
that may restrict or eliminate competition. In order to ensure objective
subrecipient performance and eliminate unfair competitive advantage,
subrecipients that develop or draft work requirements, statements of work, or
requests for proposals shall be excluded from competing for such subawards.
b. The recipient shall maintain written standards of conduct governing the
performance of its employees engaged in the award and administration of
subawards. No employee, officer, or agent shall participate in the selection,
award,or administration of a 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 thi's section, has a
financial interest or other interest in the organization selected or to be selected for
a subaward. The officers, employees, and agents of the recipient shall neither
solicit nor accept anything of monetary value from subrecipients. However,the
recipient may set standards for situations in which the financial interest is not
substantial or the gift is an unsolicited item of nominal value. The standards of
conduct shall provide for disciplinary actions to be applied for violations of such
standards by officers, employees, or agents of the recipient.
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c. A financial interest may include employment,stock ownership, a creditor or
debtor relationship,or prospective employment with the organization selected or
to be selected for a subaward. An appearance of impairment of objectivity could
result from an organizational conflict where,because of other activities or
relationships with other persons or entities, a person is unable or potentially
unable to render impartial assistance or advice. It could also result from non-
financial gain to the individual, such as benefit to reputation or prestige in a
professional field.
.04 Applicability of Provisions to Subawards,Contracts,and Subcontracts
a. The recipient shall include the following notice in each request for applications or
bids:
Applicants/bidders for a lower tier covered transaction (except for goods and
services under the$100,000 simplified acquisition threshold and where the
lower tier recipient will have no critical influence on or substantive control
over the award) are subject to 15 CFR.Part 26, Subparts A through E,
"Governmentwide Debarment and Suspension(Nonprocurement). In
addition,applicants/bidders for a lower tier covered transaction for a
subaward,contract, or subcontract greater than$100,000 of Federal funds at
any tier are subject to 15 CFR Part 28, "New Restrictions on Lobbying:"
_ Applicants/bidders should familiarize themselves with these provisions,
including the certification requirements. Therefore,applications for a lower
tier covered transaction must include a Form CD-512, "Certifications
Regarding Debarment, Suspension,Ineligibility and Voluntary Exclusion--
Lower Tier Covered Transactions and Lobbying," completed without
modification.
b. The recipient shall include a statement in all lower tier covered transactions
(subawards, contracts, and subcontracts),that the award is subject to EO 12549,
"Debarment and Suspension" and DoC implementing regulations published at
15 CFR.Part 26, Subparts A through E, "Governmentwide Debarment and
Suspension(Nonprocurement)."
c. The recipient shall include a statement in all lower tier covered transactions
(subawards, contracts, and subcontracts) exceeding$100,000 in Federal funds,
that the subaward, contract, or subcontract is subject to Section 319 of Public
Law 101-121, which added Section 1352, regarding lobbying restrictions, to
Chapter 13 of Title 31 of the United States Code as implemented at 15 CFR.Part
28, "New Restrictions on Lobbying." The recipient shall further require the
subrecipient, contractor, or subcontractor to submit a completed "Disclosure of
Lobbying Activities" (Form SF-LLL)regarding the use of non-Federal funds for
lobbying. The Form SF-LLL shall be submitted within 15 days following the end
of the calendar quarter in which there occurs any event that requires disclosure or
that materially affects the accuracy of the information contained in any disclosure
13 a.o/o1
form previously filed. The Form SF-LLL shall be submitted from tier to tier until
received by the recipient. The recipient must submit all disclosure forms
received, including those that report lobbying activity on its own behalf, to the
Grants Officer within 30 days following the end of the calendar quarter.
.05 Minority Owned Business Enterprise
DoC encourages recipients to utilize minority and women-owned firms and
enterprises in contracts under financial assistance awards. The Minority Business
Development Agency will assist recipients in matching qualified minority owned
enterprises with contract opportunities. For further information contact:
U.S. Department of Commerce
Minority Business Development Agency
Herbert C. Hoover Building
14th Street and Constitution Avenue,N.W.
Washington, D.C. 20230
.06 Subaward and/or Contract to a Federal Agency
a. The recipient, subrecipient, contractor, and/or subcontractor shall not sub-grant or
sub-contract any part of the approved project to any agency or employee of DoC
and/or other Federal department, agency or instrumentality, without the prior
written approval of the Grants Officer.
b. Requests for approval of such action must be submitted to the Federal Program
Officer who shall review and make a recommendation to the Grants Officer. The
Grants Officer shall make the final determination and will notify the recipient in
writing of the final determination.
K. PROPERTY
.01 Standards
The recipient shall comply with the property management standards as stipulated in
the applicable uniform administrative requirements.
.02 Real Property
The recipient shall record liens or other appropriate notices of record to indicate that
real property has been acquired or improved with Federal funds and that disposition
conditions apply to the property.
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L. 'MISCELLANEOUS REQUIREMENTS
.01 Criminal and Prohibited Activities.
a. The Program Fraud Civil remedies Act(31 U.S.C. §§ 3801-3812),provides for
the imposition of civil penalties against persons who make false, fictitious, or
fraudulent claims to the Federal government for money(including money
representing grants, loans or other benefits).
b. False statements(18 U.S.C. §§ 287 and 1001), provides that whoever makes or
presents any false, fictitious, or fraudulent statements,representations, or claims
against the United States shall be subject to imprisonment of not more than five
years and shall be subject to a fine in the amount provided by 18 U.S.C. § 287.
c. False Claims Act(31 U.S.C. 3729 et sea.), provides that suits under this act can
be brought by the government, or a person on behalf of the government, for false
claims under Federal assistance programs.
d. Copeland "Anti-Kickback".Act (18 U.S.C. § 874 and 40 U.S.C. § 276c),
prohibits a person or organization engaged in a Federally supported project from
enticing an employee working on the project from giving up a part of his
compensation under an employment contract.
.02 Foreign Travel
a. The recipient shall comply with the provisions of the Fly America Act(49 USC §
40118). The implementing regulations of the Fly America Act are found at 41
CFR. §§ 301-10.131 through 301-10.143.
b. The Fly America Act requires that Federal travelers and others performing U.S.
Government-financed foreign air travel must use U.S. flag air carriers, to the
extent that service.by such carriers is available. Foreign air carriers may be used
only in specific instances, such as when a U.S. flag air carrier is unavailable, or
use of U.S. flag air carrier service will not accomplish the agency's mission.
e. Use of foreign air carriers may also be used only if bilateral agreements permit
such travel pursuant to 49 USC § 40118(b). UoC is not aware of any bilateral
agreements which meet these requirements. Therefore, it is the responsibility of
the recipient to provide the Grants Officer with a copy of the applicable bilateral
agreement if use of a foreign carrier under a bilateral agreement is anticipated.
d. If a foreign air carrier is anticipated to be used for any part of foreign travel, the
recipient must receive prior approval from the Grants Officer. When requesting
such approval,the recipient must provide a justification in accordance with
guidance provided by 41 CFR § 301-10.142, which requires the recipient to
provide the Grants Officer with the following: name; dates of travel; origin and
�s lold1
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 the Grants Officer
with a copy of the agreement. The Grants Officer shall make the final
determination and notify the recipient in writing. Failure to adhere to the
previsions of the Fly America Act will result in the recipient not being
reimbursed for any transportation assts for which the recipient improperly used a
foreign air carrier.
.03 American-Made Equipment and Products.
Recipients are hereby notified that they are encouraged, to the greatest extent
practicable, to purchase American-made equipment and products with funding
provided under this award.
.04 Intellectual Property Rights
a. Inventions.
The rights to any invention made by a recipient under a DoC financial assistance
award are determined by the Bayh-Dole Act, Pub. L. 96-517, as amended,and
codified in 35 U.S.C. § 200 et sea, except as otherwise required by law. The
specific rights and responsibilities are described in more detail in 37 CFR Part
401 and in particular, in the standard patent rights clause in 37 CFR § 401.14.
1. Ownership.
(a) Recipient. The recipient has the right to own any invention it makes
(conceived or first reduced to practice)or made by its employees. The
recipient may not assign its rights to a third party without the permission
of DoC unless it is to a patent management organization(i.e., a
university's Research Foundation.) The recipient's ownership rights are
subject to the Government's nonexclusive paid-up license.
(b) Department. If the recipient elects not to own or does not elect rights or
file a patent application within the time limits set forth in the standard
patent rights clause, DoC may request an assignment of all rights,which
is normally subject to a limited royalty free nonexclusive license for the
recipient. DoC owns any invention made solely by its employees but
may license the recipient in accordance with the procedures in 37 CFR
Part 404.
(c) Inventor/Employee. If neither the recipient nor the Department is
interested in owning an invention by a recipient employee, the recipient,
with the written concurrence of DoC Patent Counsel,may allow the
16 10/05
inventor/employee to own the invention subject to certain restrictions as
described in 37 CFR § 401.9.
(d) Joint inventions. Inventions made jointly by a recipient and a DoC
employee will be owned jointly by the recipient and DoC. However,
DoC may transfer its rights to the recipient as authorized by 3S U.S.C, §
202(e) and 37 CFR § 40 1.10 if the recipient is willing to patent and
license the invention in exchange for a share of"net"royalties based on
the number of inventors (e.g., 50-50 if there is one recipient and DoC
employee). The agreement will be prepared by.DoC Patent Counsel and
may include other provisions, such as a royalty free license to the
Government and certain other entities.
2. Responsibilities.
The recipient has responsibilities and duties set forth in the standard patent
rights clause,which are not described below. The recipient is expected to
comply with all the requirements of the standard patent rights clause and 37
CFR Part 401.
(a) Reporting. Within two months of when the recipient reports the
invention, the recipient will send the invention disclosure to DoC Patent
Counsel (HCHB Room 4613, Washington, DC 20230, telephone. 202-
482-8097) and the appropriate DoC program office.
(b) Electing. Within two years of reporting the invention to DoC, the
recipient will notify DoC Patent Counsel of its decision whether or not it
wishes to own the invention.
(c) Filing. Within one year of notifying DoC that it wishes to own the
invention,the recipient will file a patent application(either a provisional
or non-provisional) and promptly send a copy of the application to DoC
Patent Counsel. Any foreign or international application must usually be
filed within 10 months of the first filed application in the United States.
The recipient will ensure that any U.S. application contains the required
statement of Government support. The recipient will also promptly send
the required confirmatory Government license to DoC Patent Counsel
who shall record that license in the Patent and Trademark Office. If the
recipient decides to discontinue the prosecution of any patent application
or not pay a maintenance fee or defend a reexamination,it shall notify
DoC Patent Counsel of that fact in sufficient time(but not less than 30
days)for the Government to respond to any outstanding requirement or
letter from a patent office. However,if the recipient is filing a
continuing application, it needs only to notify DoC Patent Counsel of
this and provide a copy of the continuing application with the
appropriate confirmatory license. Upon issuance of any application,the
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recipient will promptly provide a copy of the patent to DoC Patent
Counsel.
(d) The recipient should send any request for an extension of time to DoC
Patent Counsel in advance of the expiration of the time period.
b. Patent Notification Procedures.
Pursuant to EO 12889,DoC is required to notify the owner of any valid patent
covering technology whenever the DoC or its financial.assistance recipients,
without making a patent search, knows(or has demonstrable reasonable grounds
to know)that technology covered by a valid United States patent has been or will
be used without a license from the owner. To ensure proper notification,if the
recipient uses or has used patented technology under this award without a license
or permission from the owner, the recipient must notify the DoC Patent Counsel
at the following address, with a copy to the Grants Officer:
Department of Commerce
Office of Chief Counsel for Technology, Patent Counsel
14th Street and.Constitution Avenue,N.W. Room H-4613
Washington, D.C. 20230
c. Data,Databases, and Software.
The rights to any work produced or purchased under a DoC Federal financial
assistance award are determined by 15 CFR § 24.34 and 15 CFR § 14.36 . Such
works may include data, databases or software. The recipient owns any work
produced or purchased under a DoC Federal financial assistance award subject to
DoC's right to obtain,reproduce,publish or otherwise use the work or authorize
others to receive,reproduce,publish or otherwise use the data for Government
purposes.
d. Copyright.
The recipient may copyright any work produced under a DoC Federal financial
assistance award subject to DoC's royalty-free nonexclusive and irrevocable right
to reproduce,publish or otherwise use the work or authorize others to do so for
Government purposes. Warks jointly authored by DoC and recipient employees
may be copyrighted but only the part authored by the recipient is protected
because,under 17 U.S.C. § 105,works produced by Government employees are
not copyrightable in the United States. if the contributions of the authors cannot
be separated, the copyright status of the joint work is questionable.. On occasion,
DoC may ask the recipient to transfer to DoC its copyright in a particular work
when DoC is undertaking the primary dissemination of the work. Ownership of
copyright by the Government through assignment is permitted by 17 U.S.C. §
105.
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.05 Increasing Seat Belt Use in the United States.
Pursuant to EO 13043,recipients should encourage employees and contractors to
enforce on-the-job seat belt policies and programs when operating company-owned,
rented or personally-owned vehicles,
.06 Research Involving Human Subjects.
a. All proposed research involving human subjects must be conducted in accordance
with.15 CFR Part 271."Protection of Human Subjects." No research involving
human subjects is permitted under any DoC financial assistance award unless
expressly authorized by the Grants Officer.
b. No research involving human subjects is permitted under this award unless
expressly authorized by Special Award Condition, or otherwise in writing by the
Grants Officer.
c. Federal policy defines a human subject as a living individual about whom an
investigator conducting research obtains(1)data through intervention or
interaction with the individual, or(2)identifiable private information. Research
means a systematic investigation, including research development, testing and
evaluation, designed to develop or contribute to generalizable knowledge.
d. DoC regulations, 15 CFR Part 27, require that recipients maintain appropriate
policies and procedures for the protection of human subjects. In the event it
becomes evident that human subjects may be involved in this project, the
recipient shall submit appropriate documentation to the Federal Program Officer
for approval by the appropriate DoC officials. This documentation may include:
I. Documentation establishing approval of the project by an institutional review
board (IRB) approved for Federal-wide use under Department of Health and
Human Services guidelines, see 15 CFR§ 27.103;
2. Documentation to support an exemption for the project under 15 CFR§
27.101(b);
3. Documentation to support deferral for an exemption or IRB review under Is
CFR § 27.118;
4. Documentation of IRB approval of any modification to a prior approved
protocol or to an informed consent form.
e. No work involving human subjects may be undertaken, conducted, or costs
incurred and/or charged for human subjects research,until the appropriate
19 10/01
documentation is approved in writing by the Grants Officer. Notwithstanding
this prohibition,work may be initiated or costs incurred and/or charged to the
project for protocol or instrument development related to human subjects
research.
.07 Federal Employee Expenses.
Federal agencies are generally barred from accepting funds from a recipient to pay
transportation, travel, or other expenses for any Federal employee unless specifically
approved in the terms of the award. Use of award funds(Federal or non-Federal)or
the recipient's provision of in-kind goods.or services, for the purposes of
transportation, travel, or any other expenses for any Federal employee may raise
appropriation augmentation issues. In addition, DoC policy prohibits the acceptance
of gifts,including travel payments for Federal employees,from recipients or
applicants regardless of the source.
.08 Preservation of Open Competition and Government Neutrality Towards
Government Contractors' Labor Relations on Federal and Federally Funded
Construction Projects.
Pursuant to EO 13202, "Preservation of Open Competition and Government
.Neutrality Towards Government Contractors' Labor Relations on Federal and
Federally Funded Construction Projects,"unless the project is exempted under
section 5(c)of the order,bid specifications,project agreements, or other controlling
documents for construction contracts awarded by recipients of grants or cooperative
agreements, or those of any construction manager acting on their behalf, shall not:
a) include any requirement or prohibition on bidders, offerors, contractors, or
subcontractors about entering into or adhering to agreements with one or more labor
organizations on the same or related construction project(s); or b) otherwise
discriminate against bidders, offerors, contractors, or subcontractors for becoming or
refusing to become or remain signatories or otherwise to adhere to agreements with
one or more labor organizations, on the same or other related construction project(s).
.09 Minority Serving Institutions (MSIs)Initiative.
Pursuant to EOs 12876, 12900, and 13021,DoC is strongly committed to broadening
the participation of MSIs in its financial assistance programs. DoC'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. DoC encourages all applicants and recipients to include
meaningful participation of MSIs. Institutions eligible to be considered MSIs are
listed on the Department of Education website.
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