THE

D

EPARTMENT OF THE TREASURY

1789

RESTORE Act

Direct Component Guidance and Application 

to Receive Federal Financial Assistance

August 2014
Contents 

Introduction...........................................................................................................................................................................1

1.0 Getting Started

1.1 Direct Component Eligible Applicants........................................................................................................................1

1.2 Eligible Activities ........................................................................................................................................................2

1.3 Access To Grantsolutions.gov....................................................................................................................................2

1.4 Technical Assistance..................................................................................................................................................2

1.5 Multiyear Plan And Treasury Response ....................................................................................................................3

1.6 Operational Self-Assessment ....................................................................................................................................4

2.0 General Direct Component Application Instruction

2.1 Funding Opportunity Announcements .......................................................................................................................4

2.2 How To Obtain An Application....................................................................................................................................4

2.3 Application Requirements..........................................................................................................................................5

2.4 Receipt Of Applications .............................................................................................................................................6

2.5 Data Universal Numbering System (Duns) And System For Award Management (Sam) 

 Requirements ................................................................................................................................................................6

2.6 Administrative Costs ..................................................................................................................................................7

3.0 Activity-Specific Application Instructions

3.1 Non-Construction Activities........................................................................................................................................7

3.2 Construction Activities ...............................................................................................................................................9

3.3 Real Property Activities............................................................................................................................................12

3.4 Non-Federal Share Of Another Federally Funded Activity 

 (Non-Construction And Real Property)........................................................................................................................15

3.5 Non-Federal Share Of Another Federally Funded Activity (Construction)...............................................................17

4.0 Multiyear Plan Forms And Instructions

4.1 Multiyear Plan Matrix And Instructions ....................................................................................................................20

4.2 Narrative For Multiyear Plan....................................................................................................................................23

5.0 Direct Component Application Forms And Instructions

5.1 Direct Component Financial Assistance Application................................................................................................25

6.0 Direct Component Activity Reports

6.1 Direct Component Activity Milestones Report .........................................................................................................37 

6.2 Restore Act Status Of Performance Report.............................................................................................................38

7.0 Direct Component Applicant Certifications ..............................................................................................................39

8.0 Direct Component Periodic Reporting Documentation

8.1 SF-425 – Federal Financial Report .........................................................................................................................41

8.2 SF-PPR – Performance Progress Report................................................................................................................41

8.3 Attachment To SF-PPR: Status Of Performance Report .........................................................................................41

8.4 Activity Milestones Report .......................................................................................................................................41

8.5 Sf-424A Or Sf-424C Update ....................................................................................................................................41

8.6 Subaward Data Under Federal Funding Accountability And Transparency Act.......................................................41

8.7 SF-LLL – Disclosure Of Lobbying Activities.............................................................................................................41

8.8 SF-428 – Tangible Personal Property Report..........................................................................................................41

8.9 SF-429 – Real Property Status Report....................................................................................................................41

Appendix A - Summary Reference For Direct Component Applications ......................................................................42
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 1

INTRODUCTION

The	
  Resources	
  and	
  Ecosystems	
  Sustainability,	
  Tourist	
  Opportunities,	
  and	
  Revived	
  Economies	
  

of	
   the	
   Gulf	
   Coast	
   States	
   Act	
   of	
   2012	
   (RESTORE	
   Act)	
   established	
   a	
   new	
   Trust	
   Fund	
   in	
   the	
  

Treasury	
   of	
   the	
   United	
   States,	
   known	
   as	
   the	
   Gulf	
   Coast	
   Restoration	
   Trust	
   Fund.	
  	
   Eighty	
  

percent	
   of	
   the	
   civil	
   penalties	
   paid	
   after	
   July	
   6,	
   2012,	
   under	
   the	
   Federal	
   Water	
   Pollution	
  

Control	
  Act	
  in	
  connection	
  with	
  the	
  Deepwater	
  Horizon	
  oil	
  spill	
  will	
  be	
  deposited	
  into	
  the	
  Trust	
  

Fund	
  and	
  invested.	
  	
  Trust	
  Fund	
  amounts	
  will	
  be	
  available	
   for	
  eligible	
  activities1	
  described	
  in	
  

the	
  RESTORE	
  Act.	
  	
  

This	
  guidance	
  solely	
  applies	
  to	
  the	
  Treasury-­‐administered	
  Direct	
  Component,	
  which	
  makes	
  35	
  

percent	
   of	
   amounts	
   deposited	
   into	
   the	
   Trust	
   Fund	
   available	
   to	
   four	
   Gulf	
   Coast	
   states,	
   23	
  

Florida	
   counties,	
   and	
   20	
   Louisiana	
   parishes.	
   The	
   Direct	
   Component	
   is	
   governed	
   by	
   the	
  

regulations	
  at	
  31	
  C.F.R.	
  Part	
  342

,	
  as	
  well	
  as	
  guidance	
  issued	
  by	
  the	
  Office	
  of	
  Management	
  and	
  

Budget	
   entitled,	
   “Uniform	
   Administrative	
   Requirements,	
   Cost	
   Principles,	
   and	
   Audit	
  

Requirements	
  for	
  Federal	
  Awards”	
  at	
  78	
  Fed.	
  Reg.	
  78,590	
  (December	
  26,	
  2013).	
  	
  	
  In	
  addition	
  

to	
   the	
   guidance,	
   Treasury	
   includes	
   the	
   OMB	
   Standard	
   Forms	
   and	
   Direct	
   Component	
   Grant	
  

Application	
  and	
  Reporting	
  Attachments	
  to	
  OMB	
  Standard	
  Form	
  SF-­‐424	
  to	
  assist	
  applicants	
  in	
  

developing	
  their	
  grant	
  applications	
  and	
  reporting	
  during	
  the	
  duration	
  of	
  the	
  grant.	
  	
  Treasury	
  

may	
   revise	
  or	
  update	
   the	
  guidance	
  in	
   the	
   future	
  and	
  will	
  notify	
  all	
  eligible	
  applicants	
  of	
  any	
  

changes.	
  

1.0 GETTING	
  STARTED

Before	
   starting	
   the	
  application	
   process,	
  an	
  applicant	
   should	
  check	
   to	
  make	
   sure	
  it	
  is	
   one	
  of	
  

the	
   eligible	
   applicants	
   and	
   is	
   proposing	
   an	
   eligible	
   activity	
   as	
   listed	
   below.	
   	
   An	
   applicant	
  

should	
   make	
   sure	
   it	
   is	
   enrolled	
   in	
   the	
   GrantSolutions.gov	
   online	
   grant	
   system.	
   	
   Finally,	
   as	
  

required	
   by	
   the	
   RESTORE	
   Act,	
   each	
   eligible	
   applicant	
   must	
   prepare	
   a	
   Multiyear	
  

Implementation	
  Plan	
   (multiyear	
  plan)	
   before	
   submitting	
  an	
  application	
   (unless	
  it	
  is	
  applying	
  

for	
   planning	
  assistance	
   funds	
   to	
   develop	
   the	
  multiyear	
   plan).	
  	
  Applicants	
  must	
   complete	
  an	
  

operational	
  self-­‐assessment	
  before	
  receiving	
  an	
  award,	
  as	
  described	
  in	
  Section	
  1.6	
  below.

1.1	
   DIRECT	
   COMPONENT	
   ELIGIBLE	
   APPLICANTS:	
   	
   As	
   provided	
   in	
   the	
   RESTORE	
   Act,	
   the	
  

following	
   entities	
   may	
   apply	
   for	
   Direct	
   Component	
   grants:	
   	
   the	
   States	
   of	
   Texas,	
   Louisiana,	
  

Mississippi,	
   and	
   Alabama;	
   the	
   Coastal	
   Zone	
   parishes	
   of	
   Ascension,	
   Assumption,	
   Calcasieu,	
  

Cameron,	
   Iberia,	
   Jefferson,	
   Lafourche,	
   Livingston,	
   Orleans,	
   Plaquemines,	
   St.	
   Bernard,	
   St.	
  

Charles,	
   St.	
   James,	
   St.	
   John	
   the	
   Baptist,	
   St.	
   Martin,	
   St.	
   Mary,	
   St.	
   Tammany,	
   Terrebonne,	
  

Tangipahoa,	
  and	
  Vermilion	
  in	
  the	
  State	
  of	
  Louisiana;	
  and	
  disproportionately	
  affected	
  counties	
  

of	
   Bay,	
   Escambia,	
   Franklin,	
   Gulf,	
   Okaloosa,	
   Santa	
   Rosa,	
   Wakulla,	
   and	
   Walton,	
   and	
   non-­‐

disproportionately	
   impacted	
   counties	
   of	
   Charlotte,	
   Citrus,	
   Collier,	
   Dixie,	
   Hernando,	
  

 

1 Activity	
  means	
  an	
  activity,	
  project,	
  or	
  program,	
  including	
  research	
  and	
  monitoring,	
  eligible	
  for	
  funding	
  under	
  

the	
  Act.

2

	
  	
  	
  In	
  the	
  event	
  of	
  a	
  conflict	
  between	
  these	
  guidelines	
  and	
  the	
  Treasury	
  regulation,	
  the	
  regulations	
  control.
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 2

Hillsborough,	
  Jefferson,	
  Lee,	
  Levy,	
  Manatee,	
  Monroe,	
  Pasco,	
  Pinellas,	
  Sarasota,	
  and	
  Taylor,	
  all	
  

in	
  the	
  State	
  of	
  Florida.3	
  	
  

1.2	
  	
  ELIGIBLE	
  ACTIVITIES:	
  	
  As	
  provided	
  in	
  the	
  RESTORE	
  Act,	
  activities,	
  programs,	
  and	
  projects	
  

that	
  are	
  eligible	
  for	
  being	
  funded	
  with	
  grants	
  under	
  the	
  Direct	
  Component	
  (eligible	
  activities)	
  

include:	
   	
   restoration	
   and	
   protection	
   of	
   the	
   natural	
   resources,	
   ecosystems,	
   fisheries,	
  marine	
  

and	
   wildlife	
   habitats,	
   beaches	
   and	
   coastal	
   wetlands	
   of	
   the	
  Gulf	
   Coast	
   Region;	
  mitigation	
   of	
  

damage	
   to	
   fish,	
   wildlife	
   and	
   natural	
   resources;	
   implementation	
   of	
   a	
   federally	
   approved	
  

marine,	
   coastal,	
   or	
   comprehensive	
   conservation	
   management	
   plan,	
   including	
   fisheries	
  

monitoring;	
   workforce	
   development	
   and	
   job	
   creation;	
   improvements	
   to	
   or	
   on	
   State	
   parks	
  

located	
   in	
   coastal	
   areas	
   affected	
   by	
   the	
  Deepwater	
   Horizon	
   oil	
   spill;	
   infrastructure	
   projects	
  

benefitting	
   the	
  economy	
  or	
  ecological	
   resources,	
  including	
  port	
  infrastructure;	
  coastal	
   flood	
  

protection	
  and	
   related	
  infrastructure;	
  planning	
  assistance;	
  promotion	
  of	
   tourism	
  in	
   the	
  Gulf	
  

Coast	
   Region,	
   including	
   recreational	
   fishing;	
   and	
   promotion	
   of	
   the	
   consumption	
   of	
   seafood	
  

harvested	
   from	
   the	
   Gulf	
   Coast	
   Region.	
   	
   Administrative	
   costs	
   are	
   eligible	
   for	
   funding	
   in	
  

conjunction	
  with	
   one	
   of	
   the	
  Direct	
   Component	
  eligible	
  activities	
   listed.	
   	
   See	
   Section	
   2.6	
   for	
  

information	
  on	
  administrative	
  costs.	
  

1.3	
  ACCESS	
  TO	
  GRANTSOLUTIONS.GOV:	
  Treasury	
  will	
  receive	
  grant	
  applications	
  from	
  eligible	
  

applicants	
   and	
  manage	
   its	
   application	
   review,	
   award,	
   reporting,	
   amendment,	
   and	
   close	
   out	
  

processes	
   through	
   Department	
   of	
   Health	
   and	
   Human	
   Services	
   (HHS’s)	
   GrantSolutions.gov	
  

shared-­‐service	
   provider	
   system.	
   	
  Eligible	
  applicants	
  must	
   submit	
   completed	
  applications	
   for	
  

proposed	
   activities	
   electronically	
   via	
   GrantSolutions.gov.	
   	
   In	
   order	
   to	
   do	
   so,	
   the	
   applicant	
  

must	
   first	
  have	
  a	
   user	
  account.	
  	
  Treasury	
  will	
  work	
  with	
  HHS	
  and	
   contact	
  each	
  applicant	
   to	
  

request	
  information	
  to	
  establish	
  each	
  user	
  account.	
  	
  

1.4	
  TECHNICAL	
  ASSISTANCE:	
  	
  Treasury	
  will	
  offer	
  programmatic	
  training	
  and	
  technical	
  support	
  

materials	
   that	
   will	
   assist	
   the	
   applicant	
   in	
   preparing	
   a	
  multiyear	
   plan	
   and	
   grant	
   applications	
  

(through	
  GrantSolutions.gov).	
  	
  Treasury	
  encourages	
  applicants	
  to	
  engage	
  in	
  early	
  consultation	
  

with	
  Treasury	
  to	
  avoid	
  issues	
  of	
  incomplete	
  applications	
  and	
  to	
  streamline	
  the	
  formal	
  review	
  

process.	
  In	
  addition,	
   the	
  applicant	
  may	
   submit	
  written	
   questions	
   relating	
   to	
   developing	
   the	
  

multiyear	
   plan,	
   engaging	
   in	
   the	
   application	
   process,	
   or	
   interpreting	
   the	
   Direct	
   Component	
  

forms	
   to	
   restoreact@treasury.gov.	
   	
   Treasury	
   will	
   add	
   questions	
   that	
   are	
   common	
   to	
   more	
  

than	
   one	
   applicant	
   to	
   the	
   frequently	
   asked	
   questions	
   resources	
   available	
   to	
   all	
   applicants.	
  	
  

Furthermore,	
  Treasury	
  encourages	
  applicants	
   to	
  obtain	
  grants	
  management	
   training	
   for	
   the	
  

staff	
   who	
   will	
   be	
   working	
   with	
   Treasury	
   during	
   grants	
   submission,	
   review,	
   and	
   post-­‐award	
  

processes,	
  including	
  reporting.	
  	
  	
  

 

3 Eligible	
   applicants	
   are	
   the	
   Alabama	
   Gulf	
   Coast	
   Recovery	
   Council,	
   or	
   its	
   administrative	
   agent;	
   the	
   Board	
   of	
  

County	
  Commissioners of	
  each	
  of	
  the	
  named	
  Florida	
  counties;	
  the	
  Coastal	
  Protection	
  and	
  Restoration	
  Authority	
  

Board	
   of	
   Louisiana;	
   the	
   Chief	
   Executive	
   Officer	
   of	
   each	
   of	
   the	
   named	
   Louisiana	
   parishes;	
   the	
   Mississippi	
  

Department	
  of	
  Environmental	
  Quality;	
  and	
  the	
  Texas	
  Office	
  of	
  the	
  Governor,	
  or	
  the	
  Governor’s	
  appointee.	
  
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 3

1.5	
  	
  MULTIYEAR	
  	
  PLAN	
  AND	
  TREASURY	
  RESPONSE:	
  	
  	
  

Multiyear	
   Plan	
   Submission.	
   	
   As	
   a	
   prerequisite	
   under	
   the	
   RESTORE	
   Act	
   for	
   requesting	
   and	
  

receiving	
   Direct	
   Component	
   funding	
   for	
   eligible	
   activities,	
   each	
   applicant	
   must	
   submit	
   a	
  

multiyear	
   plan	
   to	
   cover	
   a	
   period	
   of	
   time	
   during	
   which	
   projects	
   could	
   be	
   undertaken	
   with	
  

funds	
  available	
  from	
  the	
  Trust	
  Fund.4	
  	
  The	
  one	
  exception	
  to	
  this	
  requirement	
  is	
  if	
  an	
  applicant	
  

is	
  submitting	
  an	
  application	
   for	
  planning	
  assistance	
   funding	
   to	
  develop	
  a	
  multiyear	
  plan.	
  An	
  

applicant	
  must	
  use	
  the	
  form	
  shown	
  at	
  Section	
  4.0	
  for	
  its	
  multiyear	
  plans.	
  Multiyear	
  plans	
  are	
  

submitted	
  to	
  Treasury	
  separate	
  from	
  the	
  GrantSolutions.gov	
  system.	
  The	
  multiyear	
  plan	
  must	
  

include	
   the	
  Multiyear	
  Implementation	
  Matrix,	
  a	
  map	
  showing	
   the	
  locations	
  where	
   the	
  work	
  

will	
   be	
   performed,	
   and	
   the	
   narrative	
   description.	
   	
   An	
   applicant	
   must	
   provide	
   detail	
   on	
  

planned	
  activities	
  in	
   the	
  multiyear	
  plan,	
  including	
   the	
  information	
   required	
  in	
   the	
  multiyear	
  

plan	
  matrix	
  and	
  narrative	
  in	
  Section	
  4.0.	
  	
  The	
  multiyear	
  plan	
  must	
  be	
  available	
  for	
  45	
  days	
  for	
  

public	
  review	
  and	
  comment,	
  in	
  a	
  manner	
  calculated	
  to	
  obtain	
  broad-­‐based	
  participation	
  from	
  

individuals,	
   businesses,	
   Indian	
   tribes,	
   and	
   non-­‐profit	
   organizations.	
   	
   If	
   the	
   applicant	
   has	
  

developed	
  a	
  more	
  detailed	
  multiyear	
  plan	
  document	
  in	
  addition	
  to	
  the	
  forms	
  in	
  Section	
  4.0,	
  

the	
   document	
   should	
   be	
   included	
   as	
   an	
   attachment	
   to	
   the	
   multiyear	
   plan	
   submission	
   to	
  

Treasury.	
   	
   After	
   completing	
   its	
   multiyear	
   plan,	
   the	
   applicant	
   must	
   submit	
   the	
   complete	
  

information	
   package	
   to	
   the	
   Department	
   of	
   Treasury’s	
   RESTORE	
   Act	
   mailbox,	
  

(restoreact@treasury.gov).	
  	
  	
  

Planning	
  Assistance	
  to	
  Develop	
  Multiyear	
  Plan

Applicants	
  may	
  apply	
  for	
  planning	
  assistance	
  funds	
  to	
  support	
  the	
  development	
  of	
  a	
  multiyear	
  

plan.	
   	
   A request	
   for	
   this	
   type	
   of	
   planning	
   assistance	
   grant	
   would	
   be	
   submitted	
   as	
   a	
   Direct	
  

Component	
   application	
   in	
   GrantSolutions.gov as	
   described	
   in	
   Sections	
   2.0	
   and	
   3.0	
   (Direct	
  

Component	
  Financial	
  Assistance	
  Application—Non-­‐Construction	
  Activities).	
  	
  The	
  applicant	
  will	
  

not	
  need	
  to	
  address	
  questions	
  4	
  and	
  8	
  in	
  the	
  application	
  form	
  (see	
  Section	
  5.1)	
  that	
  relate	
  to	
  

a	
  multiyear	
  plan.	
  	
  An	
  application	
   for	
  multiyear	
  plan	
  planning	
  assistance	
  is	
  the	
  one	
  exception	
  

to	
   the	
   requirement	
   that	
   an	
   applicant	
   have	
   a	
   multiyear	
   plan	
   before	
   applying	
   for	
   Direct	
  

Component	
  funds.	
  	
  	
  

Treasury	
  Review.	
  	
  Treasury	
  will	
   review	
   the	
  applicant’s	
  multiyear	
  plan	
   for	
  completeness	
  and	
  

conformity	
   with	
   Treasury	
   regulations.	
   	
   Treasury	
   may	
   request	
   additional	
   information.	
   	
   After	
  

reviewing	
   the	
   plan,	
  Treasury	
  will	
   notify	
   the	
  applicant	
  in	
  writing	
   that	
  it	
  may	
   begin	
   to	
   submit	
  

grant	
  applications	
  to	
  fund	
  activities	
  consistent	
  with	
  the	
  multiyear	
  plan.	
  The	
  applicant	
  should	
  

make	
  the	
  multiyear	
  plan	
  publicly	
  available	
  (e.g.,	
  post	
  online	
  after	
  Treasury’s	
  review).	
  	
  Treasury	
  

will	
  accept	
  applications	
  only	
  after	
  the	
  applicant	
  receives	
  Treasury’s	
  letter.	
  	
  	
  

 

4 The	
  initial	
  multiyear	
  plan	
  should	
  include	
  eligible	
  activities	
  that	
  could	
  be	
  undertaken	
  with	
  funds	
  currently	
  

deposited	
  in	
  the	
  Trust	
  Fund	
  and	
  not-­‐yet-­‐deposited	
  funds	
  that	
  represent	
  known	
  future	
  allocations	
  from	
  the	
  Trust	
  

Fund.	
  	
  The reference	
  to	
  the	
  “not-­‐yet-­‐deposited	
  funds	
  that	
  represent	
  known	
  future	
  allocations	
  from	
  the	
  Trust	
  

Fund”	
  in	
  these	
  instructions	
  means	
  payments	
  into	
  the	
  Trust	
  Fund	
  expected	
  in	
  2015	
  from	
  Transocean	
  Offshore	
  

Deepwater	
  Drilling,	
  Inc.	
  and	
  Transocean	
  Deepwater,	
  Inc.	
  	
  Applicants	
  may	
  not	
  consider	
  other,	
  future	
  deposits	
  into	
  

the	
  Trust	
  Fund	
  in	
  their	
  multiyear	
  plans	
  unless	
  the	
  deposits	
  are	
  required	
  by	
  a	
  final	
  judgment	
  or	
  binding	
  

agreement.	
  	
  	
  	
  
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 4

Updating	
   or	
   Revising	
   Multiyear	
   Plans.	
   	
   An	
   applicant’s	
   multiyear	
   plan	
   can	
   be	
   phased	
   and	
  

incremental	
  and	
  may	
  be	
  modified	
  after	
  Treasury	
  accepts	
  the	
  initial	
  multiyear	
  plan.	
  	
  Phases	
  or	
  

increments	
  could	
  be	
  based	
  on	
  factors	
  such	
  as	
  a	
  limited	
  duration	
  for	
  the	
  multiyear	
  plan	
  (e.g.,	
  a	
  

first	
  phase	
  may	
  cover	
  only	
  two	
  to	
  three	
  years)	
  or	
  a	
  limited	
  number	
  of	
  eligible	
  activities	
  (e.g.,	
  a	
  

first	
   increment	
   may	
   include	
   only	
   “mitigation	
   of	
   damage	
   to	
   fish,	
   wildlife,	
   and	
   natural	
  

resources”).	
   	
   The	
   applicant	
   may	
   propose	
   additional	
   activities	
   or	
   modify	
   the	
   multiyear	
   plan	
  

significantly,	
   including	
   adding	
   eligible	
   activities	
   to	
   be	
   undertaken	
   with	
   additional	
   funds	
  

deposited	
  in	
  the	
  Trust	
  Fund.	
  	
  Whenever	
  there	
  is	
  a	
  material	
  change	
  in	
  the	
  multiyear	
  plan,	
  the	
  

applicant	
  must	
  follow	
  the	
  requirements	
  for	
  public	
  engagement	
  that	
  apply	
  to	
  initial	
  multiyear	
  

plans.	
  	
  Revised	
  multiyear	
  plans	
  must	
  include	
  a	
  revised	
  matrix,	
  updated	
  narrative,	
  and	
  revised	
  

map	
   that	
   will	
   address	
   the	
   entire	
   multiyear	
   plan	
   content	
   including	
   the	
   revisions.	
   	
   After	
  

Treasury	
   notifies	
   the	
   applicant	
   in	
   writing	
   that	
   Treasury	
   has	
   accepted	
   the	
   revised	
   multiyear	
  

plan,	
  the	
  applicant	
  may	
  submit	
  grant	
  applications	
  for	
  the	
  new	
  proposed	
  activities.	
  	
  

1.6	
  OPERATIONAL	
  SELF-­‐ASSESSMENT:	
  	
  Prior	
  to	
  receiving	
  Direct	
  Component	
  funding	
  for	
  

eligible	
  activities,	
  each	
  applicant	
  must	
  complete	
  an	
  Operational	
  Self-­‐Assessment	
  concerning	
  

its	
  internal	
  and	
  financial	
  controls,	
  which	
  Treasury	
  will	
  utilize	
  in	
  its	
  compliance	
  process.	
  	
  The	
  

applicant	
  must	
  submit	
  the	
  Operational	
  Self-­‐Assessment	
  to	
  the	
  Department	
  of	
  Treasury’s	
  

RESTORE	
  Act	
  mailbox,	
  restoreact@treasury.gov.	
  	
  The	
  Operational	
  Self-­‐Assessment	
  can	
  be	
  

obtained	
  at	
  http://www.treasury.gov/services/restore-­‐act/Pages/default.aspx.	
  

2.0 GENERAL	
  DIRECT	
  COMPONENT	
  APPLICATION	
  INSTRUCTIONS	
  	
  

2.1	
   FUNDING	
   OPPORTUNITY	
   ANNOUNCEMENTS:	
   GRANTS.GOV	
   AND	
   DEPARTMENT	
   OF	
  

TREASURY	
  WEBSITE:	
   	
  Treasury	
  will	
  post	
  funding	
   opportunity	
   announcements	
   for	
   the	
  Direct	
  

Component	
  on	
  Grants.gov	
  (http://www.grants.gov).	
  The	
  funding	
  opportunity	
  announcements	
  

will	
  provide	
  a	
  description	
  of	
   the	
   funding	
  opportunity	
   (one	
  of	
   the	
   five	
  opportunities	
  listed	
  in	
  

Section	
   2.2),	
   eligible	
   applicants,	
   and	
   contacts	
   for	
  more	
   information.	
   	
   Treasury	
   will	
   post	
   the	
  

same	
   information,	
   including	
   this	
   guidance	
   and	
   application	
   materials,	
   on	
   its	
   RESTORE	
   Act	
  

website,	
  http://www.treasury.gov/services/restore-­‐act/Pages/default.aspx.	
  	
  	
  

2.2	
   HOW	
   TO	
   OBTAIN	
   AN	
   APPLICATION:	
   	
   	
   Grants.gov	
   will	
   not	
   be	
   used	
   for	
   the	
   application	
  

submission	
   process.	
   	
   Treasury	
   will	
   be	
   using	
   GrantSolutions.gov	
   to	
   manage	
   the	
   application	
  

submission	
   process,	
   and	
   any	
   eligible	
   applicants	
   applying	
   for	
   the	
   funding	
   opportunity	
  

announcements	
  listed	
  below	
  will	
  need	
  to	
  prepare	
  and	
  submit	
  their	
  applications	
  using	
  

GrantSolutions.gov.	
  Only	
   eligible	
   applicants	
  may	
   apply	
   for	
   any	
   of	
   the	
   funding	
   opportunities	
  

described	
   below	
   after	
   obtaining	
   their	
   GrantSolutions.gov	
   username	
   and	
   password.	
   	
   Eligible	
  

applicants	
  must	
  submit	
  applications	
  via	
  GrantSolutions.gov.	
  The	
  applicant	
  should	
  be	
  sure	
   to	
  

access	
   and	
   complete	
   the	
   specific	
   application	
   package	
   within	
   GrantSolutions.gov	
   that	
  

corresponds	
   to	
   the	
   activity’s	
   category	
   since	
   there	
   are	
   specific	
   instructions,	
   forms,	
   and	
  

required	
   attachments	
   for	
   each	
   of	
   the	
   five	
   funding	
   categories.	
   	
   Applications	
   for	
   funding	
   for	
  

activities	
  approved	
  prior	
  to	
  July	
  6,	
  2012	
  will	
  use	
  the	
  relevant	
  application	
  for	
  non-­‐construction,	
  

construction,	
   or	
   real	
   property	
   activities	
   depending	
   on	
   the	
   type	
   of	
   activity	
   to	
   be	
   funded.	
  
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 5

Activities	
   approved	
   prior	
   to	
   July	
   6,	
   2012	
   are	
   “previously	
   approved	
   projects	
   and	
   programs”	
  

that	
   conform	
   to	
   the	
   RESTORE	
   Act	
   and	
   regulations	
   at	
   33	
   U.S.C	
   §1321(t)(1)(J)	
   and	
   31	
   C.F.R.	
  

§34.303(d).	
  	
  If	
  the	
  applicant	
  is	
  unsure	
  of	
  which	
  application	
  package	
  to	
  use,	
  the	
  applicant	
  may	
  

contact	
   restoreact@treasury.gov	
   for	
   further	
  assistance.	
  	
  	
  The	
  available	
  application	
  packages	
  

are	
  as	
  follows:	
  

1. Direct	
   Component	
   Financial	
   Assistance	
   Application	
   —	
   Non-­‐Construction	
   Activities	
  

(including	
  funding	
  for	
  activities	
  approved	
  prior	
  to	
  July	
  6,	
  2012)	
  

2. Direct	
   Component	
   Financial	
   Assistance	
   Application	
  —	
   Construction	
   Project	
   Activities	
  

(including	
  funding	
  for	
  activities	
  approved	
  prior	
  to	
  July	
  6,	
  2012)	
  

3. Direct	
   Component	
   Financial	
   Assistance	
   Application	
   —	
   Real	
   Property	
   Activities	
  

(including	
  funding	
  for	
  activities	
  approved	
  prior	
  to	
  July	
  6,	
  2012)	
  

4. Direct	
   Component	
   Financial	
   Assistance	
   Application	
   —	
   Requesting	
   Funds	
   to	
   Serve	
   as	
  

Non-­‐Federal	
   Share	
   for	
   Other	
   Federally	
   Funded	
   Activities	
   (Non-­‐Construction	
   or	
   Real	
  

Property	
  Activities)	
  

5. Direct	
   Component	
   Financial	
   Assistance	
   Application	
   —	
   Requesting	
   Funds	
   to	
   Serve	
   as	
  

Non-­‐Federal	
  Share	
  for	
  Other	
  Federally	
  Funded	
  Activities	
  (Construction	
  Activities)	
  

Applicants	
   must	
   complete	
   and	
   submit	
   one	
   application	
   package	
   for	
   each	
   proposed	
   activity.	
  	
  

Only	
  with	
  Treasury’s	
  prior	
  permission	
  may	
  the	
  applicant	
  submit	
  a	
  single	
  application	
  package	
  

containing	
  two	
  or	
  more	
  similar	
  or	
  related	
  activities	
  that	
  constitute	
  a	
  package	
  of	
  activities	
  or	
  a	
  

program.	
   	
   If	
   the	
   applicant	
   believes	
   that	
   combining	
   several	
   such	
   activities	
   into	
   a	
   single	
  

application	
   package	
   is	
   appropriate,	
   the	
   applicant	
   should	
   contact	
   Treasury	
   by	
   email	
   at	
  

restoreact@treasury.gov	
  for	
  further	
  guidance.	
  

2.3	
  APPLICATION	
  REQUIREMENTS:	
  

• Applications	
  can	
  be	
  accepted	
  only	
  through	
  GrantSolutions.gov.	
  	
  Treasury	
  will	
  not	
  accept	
  

applications	
  sent	
  by	
  email,	
  paper	
  mail,	
  courier,	
  or	
  delivery	
  service,	
  unless	
  the	
  applicant	
  

obtains	
  prior	
  approval	
  from	
  Treasury.	
  

• Any	
  files	
  uploaded	
  or	
  attached	
  to	
  the	
  GrantSolutions.gov	
  application	
  must	
  be	
  PDF	
  file	
  

format	
  and	
  must	
  contain	
  a	
  valid	
  file	
  format	
  extension	
  in	
  the	
  filename,	
  unless	
  otherwise	
  

specified	
  in	
  this	
  guidance.	
  	
  

o Please	
  note	
  that	
  any	
  form	
  templates	
  provided	
  by	
  Treasury	
  must	
  be	
  completed	
  and	
  

uploaded	
  in	
  the	
  native	
  format	
  provided	
  by	
  Treasury.	
  	
  

• Even	
  though	
  GrantSolutions.gov	
  allows	
  applicants	
  to	
  attach	
  other	
  file	
  formats	
  as	
  part	
  of	
  

their	
  application,	
  Treasury	
  restricts	
  this	
  practice	
  and	
  only	
  accepts	
  PDF	
  file	
  format	
  or	
  JPEG	
  

for	
  scanned	
  copies	
  of	
  signed	
  certifications	
  as	
  noted	
  below,	
  unless	
  otherwise	
  specified	
  in	
  

this	
  guidance.	
  	
  

• Any	
  file	
  submitted	
  as	
  part	
  of	
  the	
  GrantSolutions.gov	
  application	
  that	
  is	
  not	
  in	
  a	
  PDF	
  file	
  

format	
  or	
  in	
  another	
  format	
  otherwise	
  specified	
  in	
  this	
  guidance,	
  or	
  contains	
  password	
  

protection,	
  will	
  not	
  be	
  accepted	
  for	
  processing	
  and	
  will	
  be	
  excluded	
  from	
  the	
  application	
  

during	
  the	
  review	
  process.	
  In	
  addition,	
  the	
  use	
  of	
  compressed	
  file	
  formats	
  such	
  as	
  ZIP,	
  RAR	
  

or	
  Adobe	
  Portfolio	
  will	
  not	
  be	
  accepted.	
  	
  
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 6

• The	
  application	
  must	
  be	
  submitted	
  in	
  a	
  file	
  format	
  that	
  can	
  be	
  copied	
  easily	
  and	
  read	
  by	
  

reviewers.	
  Scanned	
  copies	
  of	
  signed	
  certifications	
  must	
  be	
  readable	
  and	
  submitted	
  

through	
  GrantSolutions.gov	
  in	
  a	
  PDF	
  or	
  JPEG	
  file	
  format.	
  	
  Pages	
  cannot	
  be	
  reduced	
  

resulting	
  in	
  multiple	
  pages	
  on	
  a	
  single	
  sheet.	
  	
  

• All	
  documents	
  that	
  do	
  not	
  conform	
  to	
  the	
  above	
  will	
  be	
  excluded	
  from	
  the	
  application	
  

during	
  the	
  review	
  process.	
  

2.4	
  RECEIPT	
  OF	
  APPLICATIONS:	
  	
  After	
  the funding	
  opportunity	
  announcements	
  are	
  published	
  

on	
   http://www.grants.gov,	
   only	
   eligible	
   applicants	
   will	
   have	
   access	
   to	
   prepare	
   and	
   submit	
  

applications	
  via	
  GrantSolutions.gov.	
  Treasury	
  will	
  review	
  applications	
  on	
  a	
  continuing	
  basis	
  as	
  

received.	
  	
  If	
  Treasury	
  later	
  decides	
   to	
  accept	
  applications	
  on	
  a	
  schedule,	
  Treasury	
  will notify	
  

all	
  eligible	
  applicants	
  directly	
  about	
  any	
  application	
  due	
  dates	
  that	
  may	
  be	
  implemented,	
  and	
  

post	
  the	
  announcement	
  on	
  Treasury’s	
  website.	
  	
  

As	
  the	
  applicant	
  begins	
  to	
  prepare	
  its	
  grant	
  applications,	
  Treasury	
  will	
  assist	
  in	
  responding	
  to	
  

questions	
  about	
  the	
  process,	
  application	
  completeness,	
  and	
  satisfaction	
  of	
  criteria	
  under	
  the	
  

Act	
   and	
   the	
   regulation.	
   	
   Upon	
   receipt	
   of	
   an	
   application,	
   Treasury	
   will	
   review	
   and	
   consider	
  

Direct	
   Component	
   applications	
   described	
   in	
   the	
   multiyear	
   plan,	
   and	
   may	
   contact	
   the	
  

applicant	
  to	
  request	
  more	
  information.	
  	
  	
  

2.5	
   DATA	
   UNIVERSAL	
   NUMBERING	
   SYSTEM	
   (DUNS)	
   AND SYSTEM	
   FOR	
   AWARD	
  

MANAGEMENT	
  (SAM)	
  REQUIREMENTS	
  	
  

All	
   applicants	
   must	
   have	
   a	
   Dun	
   and	
   Bradstreet	
   (D&B)	
   Data	
   Universal	
   Numbering	
   System	
  

(DUNS)	
  number	
  (see	
  2	
  C.F.R.	
  §25.200).	
  The	
  DUNS	
  number	
  is	
  a	
  nine-­‐digit	
  identification	
  number	
  

that	
   uniquely	
   identifies	
   business	
   entities.	
   To	
   obtain	
   a	
   DUNS	
   number,	
   access	
   the	
   following	
  

website:	
  http://www.dunandbradstreet.com/,	
  or	
  call	
  1-­‐866-­‐705-­‐5711.	
  This	
  number	
  should	
  be	
  

entered	
   in	
   the	
   block	
   with	
   the	
   applicant's	
   name	
   and	
   address	
   on	
   the	
   cover	
   page	
   of	
   the	
  

application	
   (Item	
   8c	
   on	
   the	
   Form	
   SF-­‐424,	
   “Application	
   for	
   Federal	
   Assistance”).	
   Applicants	
  

should	
  obtain	
  this	
  DUNS	
  number	
  immediately,	
  prior	
  to	
  registering	
  with	
  Sam.gov	
  (described	
  in	
  

the	
  next	
  paragraph),	
  to	
  ensure	
  all	
  registration	
  steps	
  are	
  completed	
  in	
  time.	
  

Organizations	
  and	
  entities	
  that	
  wish	
  to	
  apply	
  for	
  federal	
  grants	
  are	
  required	
  to	
  be	
  registered	
  

with	
  the	
  System	
  for	
  Award	
  Management	
  (SAM)	
  (see	
  2	
  C.F.R.	
  §25.200).	
  	
  Applicants	
  can	
  register	
  

with	
  the	
  SAM	
  online	
  at:	
  https://www.sam.gov.	
  	
  Organizations	
  are	
  required	
  to	
  maintain	
  an	
  

active	
  registration	
  and	
  must	
  renew	
  their	
  registration	
  annually.	
  	
  Failure	
  to	
  renew	
  a	
  SAM	
  

registration	
  prior	
  to	
  submission	
  of	
  an	
  application	
  or	
  issuance	
  of	
  a	
  grant	
  will	
  prevent	
  an	
  

applicant	
  from	
  successfully	
  receiving	
  an	
  award.	
  	
  

All	
  applicants	
  must	
  provide	
  their	
  DUNS	
  and	
  EIN/TIN	
  numbers	
  in	
  order	
  to	
  register	
  in	
  Sam.gov.	
  	
  

Registering	
  an	
  account	
  with	
  the	
  SAM	
  is	
  a	
  separate	
  process	
  from	
  submitting	
  an	
  application.	
  	
  

Applicants	
  are	
  encouraged	
  to	
  register	
  early.	
  	
  Registration	
  should	
  be	
  completed	
  in	
  sufficient	
  

time	
  to	
  ensure	
  that	
  it	
  does	
  not	
  impair	
  an	
  applicant’s	
  ability	
  to	
  apply	
  for	
  and	
  receive	
  an	
  award.	
  	
  

Applicants	
  must	
  successfully	
  register	
  with	
  the	
  SAM	
  prior	
  to	
  submitting	
  an	
  application	
  or	
  

registering	
  in	
  the	
  Federal	
  Funding	
  Accountability	
  and	
  Transparency	
  Act	
  Subaward	
  Reporting	
  
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 7

System	
  (FSRS)	
  as	
  a	
  prime	
  recipient	
  user.	
  	
  Prime	
  recipients	
  must	
  maintain	
  a	
  current	
  registration	
  

with	
  the	
  SAM,	
  and	
  if	
  making	
  subawards,	
  then	
  subawards	
  may	
  only	
  be	
  made	
  to	
  entities	
  that	
  

have	
  DUNS	
  numbers.	
  	
  

Organizations	
  that	
  must	
  report	
  executive	
  compensation	
  as	
  part	
  of	
  the	
  registration	
  profile	
  at	
  	
  

Sam.gov	
  must	
  do	
  so	
  by	
  the	
  end	
  of	
  the	
  month	
  following	
  the	
  month	
  in	
  which	
  the	
  award	
  is	
  

made,	
  and	
  annually	
  thereafter	
  (based	
  on	
  the	
  reporting	
  requirements	
  of	
  the	
  Federal	
  Funding	
  

Accountability	
  and	
  Transparency	
  Act	
  (FFATA)	
  of	
  2006	
  (Pub.	
  L.	
  109-­‐282),	
  as	
  amended	
  by	
  

section	
  6202	
  of	
  Public	
  Law	
  110-­‐252	
  and	
  implemented	
  by	
  2	
  C.F.R.	
  Part	
  170).	
  	
  

2.6	
  	
  ADMINISTRATIVE	
  COSTS:	
  	
  Not	
  more	
   than	
   three	
  percent	
  of	
   the	
  award	
  amount	
  	
  may	
  be	
  

used	
   for	
  administrative	
  costs.	
  	
  If	
   the	
   recipient	
  has	
   received	
  less	
   than	
   the	
   full	
  amount	
  of	
   the	
  

award	
  when	
  the	
  grant	
  is	
  closed-­‐out,	
  the	
  three	
  percent	
  limit	
  will	
  be	
  applied	
  against	
  amounts	
  

actually	
  received.	
  	
  Administrative	
  costs	
  are	
  indirect	
  costs	
  for	
  administration	
  that	
  may	
  include	
  

costs	
   for	
   general	
   management	
   functions,	
   general	
   ledger	
   accounting,	
   budgeting,	
   human	
  

resource	
   services,	
  general	
   procurement	
   services,	
  and	
  general	
   legal	
   services.	
   	
  Administrative	
  

costs	
  do	
  not	
  include	
  indirect	
  costs	
  that	
  are	
  identified	
  specifically	
  with,	
  or	
  readily	
  assignable	
  to,	
  

(a)	
   facilities,	
   (b)	
  eligible	
  projects,	
  programs,	
  or	
  planning	
  activities,	
  or	
   (c)	
  activities	
   relating	
   to	
  

grant	
   applications,	
   awards,	
   audit	
   requirements,	
   or	
   post-­‐award	
   management,	
   including	
  

payments	
  and	
  collections.	
  	
  An	
  applicant’s	
  negotiated	
  indirect	
  cost	
  rate	
  may	
  be	
  used	
  if	
  it	
  does	
  

not	
   exceed	
   three	
   percent	
   of	
   the	
   award	
   amount.	
   	
   An	
   applicant	
  must	
   submit	
   the	
   negotiated	
  

indirect	
  cost	
  rate	
  agreement	
  as	
  part	
  of	
  the	
  application.	
  

3.0 ACTIVITY-­‐SPECIFIC	
  APPLICATION	
  INSTRUCTIONS	
  

3.1	
  NON-­‐CONSTRUCTION	
  ACTIVITIES	
  	
  These	
  instructions	
  pertain	
  to	
  applications	
  for	
  any	
  non-­‐

construction	
  projects	
  under	
  the	
  Direct	
  Component.	
  	
  	
  If	
  the	
  application	
  is	
  for	
  an	
  activity	
  

approved	
  prior	
  to	
  July	
  6,	
  2012,	
  please	
  address	
  the	
  special	
  instructions.	
  

Required	
  Forms:	
  	
  The	
  applicant	
  must	
  submit	
  an	
  application	
  containing	
  the	
  items	
  listed	
  below.	
  	
  

Treasury	
  will	
  not	
  consider	
  application	
  packages	
  until	
  the	
  applicant	
  submits	
  all	
  required	
  forms,	
  

narratives,	
  certifications,	
  and	
  attachments	
  listed	
   below.	
  	
  For	
  non-­‐construction	
  activities,	
   the	
  

applicant	
  must	
  complete	
  and	
  submit	
  the	
  following	
  standard	
  forms	
  and	
  documentation.	
  	
  If	
  an	
  

item	
  specifies	
  the	
  use	
  of	
  a	
  template,	
  then	
  the	
  applicant	
  is	
  required	
  to	
  download	
  the	
  template	
  

from	
  within	
  the	
  GrantSolutions.gov	
  application	
  kit,	
  complete	
  the	
  template,	
  and	
  re-­‐upload	
  the	
  

completed	
  template,	
  in	
  its	
  native	
  file	
  format,	
  as	
  part	
  of	
  the	
  application	
  submission.	
  

1. Form	
  SF-­‐424	
  (Application	
  for	
  Federal	
  Assistance).	
  

• Special	
   instructions	
   for	
   activities	
   approved	
   prior	
   to	
   July	
   6,	
   2012:	
   The	
   amounts	
  

shown	
  should	
  only	
  reflect	
  the	
  amount	
  needed	
  to	
  complete	
  the	
  activity.	
  	
  

2. Form	
  SF-­‐424A	
  (Budget	
  Information	
  –	
  Non-­‐Construction	
  Programs).

• Special	
   instructions	
   for	
   activities	
   approved	
   prior	
   to	
   July	
   6,	
   2012:	
   	
  If	
   information	
  

requested	
  in	
  this	
  form	
  is	
  included	
  in	
  the	
  other	
  approving	
  agency’s	
  application,	
  the	
  

applicant	
  may	
  include	
  cross-­‐references,	
  with	
  the	
  budget	
  clearly	
  showing	
  the	
  non-­‐
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 8

Federal	
  (or	
  Direct	
  Component)	
  share,	
  and	
  a	
  copy	
  of	
  the	
  application.	
  

3. Form	
  SF-­‐424	
  B	
  (Assurance	
  for	
  Non-­‐Construction	
  Projects).	
  

4. Direct	
   Component	
   Financial	
   Assistance	
   Application	
   that	
   addresses	
   specific	
  

requirements	
   under	
   the	
  Act	
  and	
   the	
   regulation,	
   including	
   the	
  Treasury	
   RESTORE	
  Act	
  

Environmental	
  Checklist	
  (completion	
  of	
  template	
  required).	
  

• Special	
  instructions	
  for	
  activities	
  approved	
  prior	
  to	
  July	
  6,	
  2012:

a. The	
  project	
  description	
  must	
  clarify	
  when	
  the	
  activity	
  was	
  approved,	
  the	
  name	
  

of	
   the	
   approving	
   agency,	
   the	
   current	
   status	
   of	
   the	
   project,	
   the	
   original	
  

approved	
  budget	
  for	
  the	
  project,	
  the	
  amount	
  of	
  funds	
  that	
  have	
  already	
  been	
  

expended	
   on	
   the	
   project,	
   and	
   the	
   expected	
   funds	
   required	
   for	
   project	
  

completion.	
  	
  If	
  any	
  cost	
  overruns	
  have	
  occurred	
  or	
  are	
  expected	
  to	
  occur,	
  the	
  

applicant	
  must	
  provide	
  an	
  explanation.	
  

b. For	
   the	
   questions	
   regarding	
   procurement,	
   public	
   input,	
   and	
   “best	
   available	
  

science,”	
  the	
  applicant	
  must	
  clearly	
  describe	
  the	
  approach	
  that	
  was	
  taken	
  and	
  

how	
   this	
  approach	
  is	
   “substantively	
   the	
   same”	
  as	
   the	
   statutory	
   requirements	
  

[see	
  33	
  U.S.C.	
  §1321(t)(1)(E)].	
  

c. If	
   the	
   information	
   requested	
   in	
   this	
   form	
   is	
   included	
   in	
   the	
   other	
   approving	
  

agency’s	
  application,	
   the	
  applicant	
  may	
  include	
  cross-­‐references	
  between	
   the	
  

particular	
  question	
  and	
  response,	
  and	
  include	
  a	
  copy	
  of	
  the	
  application.	
  

5. A	
   letter	
   from	
   the	
   applicant’s	
   highest	
   official5	
   designating	
   a	
   senior	
   authorized	
   official	
  

who	
  can	
  legally	
  bind	
  the	
  entity	
  to	
  execute	
  the	
  Direct	
  Component	
  Funding	
  Certification	
  

by	
  Authorized	
  Senior	
  Official	
   (completion	
  of	
   template	
   required).	
  	
  If	
  a	
  different	
  official	
  

executes	
   the	
   Certification,	
   the	
   applicant’s	
   highest	
   official	
   will	
   need	
   to	
   submit	
   a	
   new	
  

letter	
  of	
  designation	
   that	
  indicates	
   the	
   senior	
  authorized	
  official	
  can	
  legally	
  bind	
   the	
  

entity	
  to	
  execute	
  the	
  Certification.	
  	
  

• Special	
  instructions	
   for	
  activities	
  approved	
  prior	
   to	
   July	
   6,	
   2012:	
  If	
   the	
  applicant	
  

does	
   not	
   believe	
   its	
   authorized	
   official	
   can	
   sign	
   the	
   Direct	
   Component	
   Funding	
  

Certification	
   by	
   Authorized	
   Senior	
   Official,	
   the	
   applicant	
   should	
   contact	
   Treasury	
  

for	
  further	
  instructions.	
  

6. Direct	
  Component	
  Applicant	
  Certifications	
  in	
  Section	
  7.0	
  of	
   this	
  guidance	
  (completion	
  

of	
  template	
  required),	
  signed	
  by	
  the	
  person	
  designated	
  above.	
  	
  

7. Direct	
   Component	
   Activity	
   Milestones	
   Report	
   (completion	
   of	
   template	
   required).	
  	
  

Milestones	
   are	
   discrete	
   actions	
   that,	
   taken	
   together,	
   comprise	
   an	
   eligible	
   activity.	
  	
  

Milestones	
  demonstrate	
  progress	
  in	
  completing	
  the	
  planned	
  activity.	
  	
  

• Special	
   instructions	
   for	
   activities	
   approved	
   prior	
   to	
   July	
   6,	
   2012:	
   	
   If	
   the	
  

 

5 The	
   highest	
   official	
   for	
   the	
   State	
   of	
   Alabama	
   shall	
   be	
   the	
   Chairperson of the	
   Alabama	
   Gulf	
   Coast	
   Recovery	
  

Council;	
   for	
   Mississippi,	
   the	
   Executive Director of	
   the	
   Mississippi	
   Department	
   of	
   Environmental	
   Quality;	
   for	
  

Louisiana,	
  the	
  Executive Director of	
  the	
  Coastal	
  Protection	
  and	
  Restoration	
  Authority	
  of	
  Louisiana;	
  and	
  for	
  Texas,	
  

the	
  Governor.	
  	
  For	
  the	
  political	
  subdivisions	
  in	
  Louisiana	
  (parishes)	
  and	
  Florida	
  (counties),	
  the	
  authorized	
  official	
  

shall	
  be	
  the	
  appropriate	
  chief	
  executive of	
  the	
  subdivision.	
  	
  
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 9

information	
   requested	
   in	
   this	
   form	
   is	
   included	
   in	
   the	
   other	
   approving	
   agency’s	
  

application,	
   the	
   applicant	
   may	
   include	
   cross-­‐references	
   between	
   the	
   particular	
  

question	
  and	
  response	
  and	
  include	
  a	
  copy	
  of	
  the	
  application.	
  

8. RESTORE	
   Act	
   Status	
   of	
   Performance	
   Report	
   (completion	
   of	
   template	
   required).	
  	
  

Performance	
  measures	
  should	
  be	
  outcome-­‐oriented	
  in	
  nature	
  to	
  the	
  extent	
  possible	
  and	
  

demonstrate	
   progress	
   toward	
   reaching	
   the	
   stated	
  objective(s)	
   for	
   the	
   proposed	
  activity.	
  	
  

Each	
  measure	
  should	
  include	
  a	
  target date	
  for	
  completion.	
  	
  The	
  applicant	
  will	
  report	
  to	
  

Treasury	
   its	
   progress	
   on	
   these	
   measures	
   throughout	
   the	
   life	
   of	
   the	
   grant	
   using	
   the	
  

same	
   report	
  as	
  an	
  attachment	
   to	
   the	
   SF-­‐PPR.	
   	
  Treasury	
  encourages	
   the	
  applicant	
   to	
  

develop	
   additional	
   measures	
   that	
   will	
   extend	
   past	
   the	
   grant	
   period	
   to	
   demonstrate	
  

project	
  outcomes,	
  when	
  applicable.	
  

• Special	
  instructions	
  for	
  activities	
  approved	
  prior	
  to	
  July	
  6,	
  2012:	
  	
  The	
  performance	
  

measures	
   should	
   show	
   actual	
   performance	
   outcomes	
   already	
   achieved,	
   if	
  

applicable.	
  	
  

9. Special	
  instructions	
  for	
  activities	
  approved	
  prior	
  to	
  July	
  6,	
  2012	
  only:

a. Documentation	
   showing	
   that	
   the	
  activity	
  was	
  approved	
   prior	
   to	
   July	
   6,	
   2012,	
  

such	
   as	
   a	
   grant	
   approval	
   letter	
   or	
   meeting	
   minutes	
   from	
   the	
   governmental	
  

entity	
  	
  with	
  authority	
  to	
  approve	
  the	
  project.	
  	
  

b. Documentation	
   of	
   the	
   original	
   budget	
   and	
   scope	
   of	
   work	
   (e.g.,	
   an	
   approved	
  

grant	
  application).	
  

c. A	
  copy	
  of	
  the	
  most	
  recent	
  performance	
  report	
  for	
  the	
  project,	
  if	
  applicable.	
  

Jurisdiction-­‐Specific	
  Required	
  documents.	
  	
  	
  

In	
  addition,	
  Alabama	
  must	
   submit	
  a	
   certification,	
   signed	
   by	
   the	
  authorized	
   official,	
   that	
   the	
  

funding	
   request	
  was	
  approved	
  by	
  majority	
  vote	
  in	
  accordance	
  with	
  33	
  U.S.C.	
  §1321(t)(1)(F),	
  

and	
  that	
  Alabama	
  is	
  in	
  compliance	
  with	
  33	
  U.S.C.	
  §1321(t)(1)(F)(i)(IV).	
  

In	
  addition,	
  each	
  Louisiana	
  parish	
  applying	
  for	
  assistance	
  must	
  submit	
  in	
  its	
  first	
  application,	
  a	
  

copy	
  of	
  a	
  signed	
  certification	
  that	
  complies	
  with	
  31	
  CFR	
  §	
  34.302(e),	
  pertaining	
  to	
  its	
  

comprehensive	
  land	
  use	
  plan.	
  	
  If	
  the	
  parish	
  modifies	
  its	
  comprehensive	
  land	
  use	
  plan,	
  the	
  

parish	
  must	
  submit	
  an	
  updated	
  certification,	
  consistent	
  with	
  guidance	
  from	
  the	
  Office	
  of	
  the	
  

Governor	
  of	
  Louisiana.	
  	
  

3.2	
   	
   CONSTRUCTION	
   ACTIVITIES	
   	
   These	
   instructions	
   pertain	
   to	
   any	
   construction	
   projects	
  

under	
   the	
  Direct	
  Component.	
  If	
   the	
  application	
  is	
   for	
  an	
  activity	
   that	
  was	
  approved	
  prior	
   to	
  

July	
  6,	
  2012,	
  please	
  address	
  the	
  special	
  instructions.

	
   	
  

Required	
  Forms.	
  	
  The	
  applicant	
  must	
  submit	
  an	
  application	
  containing	
  the	
  items	
  listed	
  below.	
  	
  

Treasury	
  will	
  not	
  consider	
  application	
  packages	
  until	
  the	
  applicant	
  submits	
  all	
  required	
  forms,	
  

narratives,	
   certifications,	
   or	
   attachments	
   listed	
   below.	
   	
   For	
   construction	
   activities,	
   the	
  

applicant	
  must	
  complete	
  and	
  submit	
  the	
  following	
  standard	
  forms	
  and	
  documentation.	
  If	
  an	
  

item	
  specifies	
  the	
  use	
  of	
  a	
  template,	
  then	
  the	
  applicant	
  is	
  required	
  to	
  download	
  the	
  template	
  
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 10

from	
   within	
   the	
   GrantSolutions.gov	
   application	
   kit,	
   complete	
   the	
   template,	
   and	
   upload	
   the	
  

completed	
  template,	
  in	
  its	
  native	
  file	
  format,	
  as	
  part	
  of	
  the	
  application	
  submission.	
  	
  

1. Form	
  SF-­‐424	
  (Application	
  for	
  Federal	
  Assistance).	
  

• Special	
   instructions	
   for	
   activities	
   approved	
   prior	
   to	
   July	
   6,	
   2012:	
   The	
   amounts	
  

shown	
  should	
  only	
  reflect	
  the	
  amount	
  needed	
  to	
  complete	
  the	
  activity.	
  

2. Form	
  SF-­‐424C (Budget	
  Information	
  for	
  Construction	
  Programs).	
  

• Special	
   instructions	
   for	
   activities	
   approved	
   prior	
   to	
   July	
   6,	
   2012:	
   	
  If	
   information	
  

requested	
  in	
  this	
  form	
  is	
  included	
  in	
  the	
  other	
  approving	
  agency’s	
  application,	
  the	
  

applicant	
  may	
  include	
  cross-­‐references,	
  with	
  the	
  budget	
  clearly	
  showing	
  the	
  non-­‐

Federal	
  (or	
  Direct	
  Component)	
  share,	
  and	
  include	
  a	
  copy	
  of	
  the	
  application.	
  

3. Form	
  SF-­‐424	
  D	
  (Assurance	
  for	
  Construction	
  Projects).

4. Direct	
   Component	
   Financial	
   Assistance	
   Application	
   that	
   addresses	
   specific	
  

requirements	
   under	
   the	
  Act	
  and	
   the	
   regulation,	
  including	
   the	
  Treasury	
   RESTORE	
  Act	
  

Environmental	
  Checklist	
  (completion	
  of	
  template	
  required).	
  

• Special	
  instructions	
  for	
  activities	
  approved	
  prior	
  to	
  July	
  6,	
  2012:

a. The	
  project	
  description	
  must	
  clarify	
  when	
  the	
  activity	
  was	
  approved,	
  the	
  name	
  

of	
   the	
   approving	
   agency,	
   the	
   current	
   status	
   of	
   the	
   project,	
   the	
   original	
  

approved	
  budget	
  for	
  the	
  project,	
  the	
  amount	
  of	
  funds	
  that	
  have	
  already	
  been	
  

expended	
   on	
   the	
   project,	
   and	
   the	
   expected	
   funds	
   required	
   for	
   project	
  

completion.	
  	
  If	
  any	
  cost	
  overruns	
  have	
  occurred	
  or	
  are	
  expected	
  to	
  occur,	
  the	
  

applicant	
  must	
  provide	
  an	
  explanation.	
  

b. For	
   the	
   questions	
   regarding	
   procurement,	
   public	
   input,	
   and	
   “best	
   available	
  

science,”	
  the	
  applicant	
  must	
  clearly	
  describe	
  the	
  approach	
  that	
  was	
  taken	
  and	
  

how	
   this	
  approach	
  is	
   “substantively	
   the	
   same”	
  as	
   the	
   statutory	
   requirements	
  

[see	
  33	
  U.S.C.	
  §1321(t)(1)(E)].	
  

c. If	
   information	
   requested	
   in	
   this	
   form	
   is	
   included	
   in	
   the	
   other	
   approving	
  

agency’s	
  application,	
   the	
  applicant	
  may	
  include	
  cross-­‐references	
  between	
   the	
  

particular	
  question	
  and	
  response,	
  and	
  include	
  a	
  copy	
  of	
  the	
  application.	
  

5. A	
  letter	
   from	
   the	
  applicant’s	
  highest	
  official6	
  designating	
  a	
   senior	
  authorized	
  official,	
  

who	
  can	
  legally	
  bind	
  the	
  entity	
  to	
  execute	
  the	
  Direct	
  Component	
  Funding	
  Certification	
  

by	
  Authorized	
  Senior	
  Official	
   (completion	
  of	
   template	
   required).	
  	
  If	
  a	
  different	
  official	
  

executes	
   the	
   Certification,	
   the	
   applicant’s	
   highest	
   official	
   will	
   need	
   to	
   submit	
   a	
   new	
  

letter	
  of	
  designation	
   that	
  indicates	
   the	
   senior	
  authorized	
  official	
  can	
  legally	
  bind	
   the	
  

entity	
  to	
  execute	
  the	
  Certification.	
  	
  

 

6 The	
  highest	
  official	
  for	
  the	
  State	
  of	
  Alabama	
  shall	
  be	
  the	
  Chief	
  Executive	
  of	
  the	
  Alabama	
  Gulf	
  Coast	
  Recovery	
  

Council;	
   for	
   Mississippi,	
   the	
   Chief	
   Executive	
   of	
   the	
   Mississippi	
   Department	
   of	
   Environmental	
   Quality;	
   for	
  

Louisiana,	
   the	
  Chief	
  Executive	
  of	
   the	
  Coastal	
  Protection	
  and	
  Restoration	
  Authority	
  of	
  Louisiana;	
  and	
   for	
  Texas,	
  

the	
  Governor.	
  	
  For	
  the	
  political	
  subdivisions	
  in	
  Louisiana	
  (parishes)	
  and	
  Florida	
  (counties),	
  the	
  authorized	
  official	
  

shall	
  be	
  the	
  appropriate	
  chief	
  executive of	
  the	
  subdivision.	
  	
  
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 11

• Special	
  instructions	
   for	
  activities	
  approved	
  prior	
   to	
   July	
   6,	
   2012:	
  If	
   the	
  applicant	
  

does	
   not	
   believe	
   its	
   authorized	
   official	
   can	
   sign	
   the	
   Direct	
   Component	
   Funding	
  

Certification	
   by	
   Authorized	
   Senior	
   Official,	
   the	
   applicant	
   should	
   contact	
   Treasury	
  

for	
  further	
  instructions.	
  	
  

6. Direct	
  Component	
  Applicant	
  Certifications	
  in	
  Section	
  7.0	
  of	
   this	
  guidance	
  (completion	
  

of	
  template	
  required),	
  signed	
  by	
  the	
  person	
  designated	
  above.	
  	
  

7. Direct	
   Component	
   Activity	
   Milestones	
   Report	
   (completion	
   of	
   template	
   required).	
  	
  

Milestones	
   are	
   discrete	
   actions	
   that,	
   taken	
   together,	
   comprise	
   an	
   eligible	
   activity.	
  	
  

Milestones	
  demonstrate	
  progress	
  in	
  completing	
  the	
  planned	
  activity.	
  	
  

• Special	
   instructions	
   for	
   activities	
   approved	
   prior	
   to	
   July	
   6,	
   2012:	
   	
   If	
   the	
  

information	
   requested	
   in	
   this	
   form	
   is	
   included	
   in	
   the	
   other	
   approving	
   agency’s	
  

application,	
   the	
   applicant	
   may	
   include	
   cross-­‐references	
   between	
   the	
   particular	
  

question	
  and	
  response	
  and	
  include	
  a	
  copy	
  of	
  the	
  application.	
  

8. RESTORE	
   Act	
   Status	
   of	
   Performance	
   Report	
   (completion	
   of	
   template	
   required).	
  	
  

Performance	
  measures	
   should	
  be	
  outcome-­‐oriented	
  in	
  nature	
   to	
   the	
  extent	
  possible	
  

and	
   demonstrate	
   progress	
   toward	
   reaching	
   the	
   stated	
   objective(s)	
   for	
   the	
   proposed	
  

activity.	
  	
  Each	
  measure	
  should	
  include	
  a	
  target	
  date	
  for	
  completion.	
  	
  The	
  applicant	
  will	
  

report	
   to	
   Treasury	
   its	
   progress	
   on	
   these	
   measures	
   throughout	
   the	
   life	
   of	
   the	
   grant	
  

using	
   the	
   same	
   report	
   as	
   an	
   attachment	
   to	
   the	
   SF-­‐PPR.	
   	
   Treasury	
   encourages	
   the	
  

applicant	
   to	
   develop	
   additional	
   measures	
   that	
   will	
   extend	
   past	
   the	
   grant	
   period	
   to	
  

demonstrate	
  project	
  outcomes,	
  when	
  applicable.	
  

• Special	
  instructions	
  for	
  activities	
  approved	
  prior	
  to	
  July	
  6,	
  2012:	
  	
  The	
  performance	
  

measures	
   should	
   show	
   actual	
   performance	
   outcomes	
   already	
   achieved,	
   if	
  

applicable.	
  	
  

9. A map	
   of	
   the	
   area	
   in	
   which	
   the	
   construction	
   project	
   will	
   be	
   located,	
   with	
   the	
  

boundaries	
  of	
   the	
  project	
  site	
  clearly	
  delineated.	
  	
  Only	
   the	
   following	
   file	
   formats	
  will	
  

be	
  accepted	
  for	
  maps:	
  	
  PDF,	
  GIF,	
  JPEG,	
  or	
  PNG.	
  	
  USGS	
  maps	
  are	
  available	
  in	
  PDF	
  format	
  

at	
  [http://www.usgs.gov/pubprod/maps.html].	
  

10. If	
  applicable,	
  a	
  Federal	
  Emergency	
  Management	
  Agency	
  (FEMA)	
  floodplain	
  map	
  of	
  the	
  

area	
  in	
  which	
  the	
  construction	
  project	
  will	
  be	
  located	
  with	
  the	
  boundaries	
  of	
  the	
  site	
  

clearly	
   delineated.	
   	
  Only	
   the	
   following	
   file	
   formats	
   will	
   be	
   accepted	
   for	
  maps:	
   	
   PDF,	
  

GIF,	
   JPEG,	
   or	
   PNG.	
   	
   FEMA	
   floodplain	
   maps,	
   in	
   PDF	
   or	
   PNG	
   format,	
   are	
   available	
   at:	
  	
  

FEMA	
   Map	
   Service	
   Center,	
   “How	
   to	
   Find	
   Your	
   Map”

https://msc.fema.gov/webapp/wcs/stores/servlet/info?storeId=10001&catalogId=100

01&langId=-­‐

1&content=firmHelp_1&title=How%20to%20Find%20Your%20Flood%20Map	
  

11. Documentation	
   relating	
   to	
   title,	
   including	
   recorded	
   easements,	
   and	
   other	
   legal	
  

matters	
   arising	
   out	
   of	
   the	
   real	
   property	
   acquisition	
   or	
   conveyance	
   or	
   construction,	
  

such	
   as	
   permit	
   or	
   bonding	
   requirements	
   and	
   disclosure	
   of	
   outstanding	
   liens	
   and	
  

recorded	
  easements	
  or	
  if	
  the	
  project	
  involves	
  construction	
  over	
  or	
  through	
  any	
  rights-­‐

of-­‐way	
  not	
  owned	
  by	
  the	
  applicant	
  (e.g.,	
  railroad	
  rights-­‐of-­‐way),	
  an	
  approval	
  or	
  permit	
  

from	
  the	
  relevant	
  authority(ies).	
  
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 12

12. A	
  title	
  opinion	
  showing	
  ownership	
  of	
  the	
  property	
  and	
  any	
  deed	
  restrictions.	
  

13. Special	
  instructions	
  for	
  activities	
  approved	
  prior	
  to	
  July	
  6,	
  2012	
  only:

a. Documentation	
   showing	
   that	
   the	
  activity	
  was	
  approved	
   prior	
   to	
   July	
   6,	
   2012,	
  

such	
   as	
   a	
   grant	
   approval	
   letter	
   or	
   meeting	
   minutes	
   from	
   the	
   governmental	
  

entity	
  	
  with	
  authority	
  to	
  approve	
  the	
  project.	
  	
  

b. Documentation	
   of	
   the	
   original	
   budget	
   and	
   scope	
   of	
   work	
   (e.g.,	
   an	
   approved	
  

grant	
  application).	
  

c. A	
  copy	
  of	
  the	
  most	
  recent	
  performance	
  report	
  for	
  the	
  project,	
  if	
  applicable.	
  

Jurisdiction-­‐Specific	
  Required	
  Documents.

In	
  addition,	
  Alabama	
  must	
   submit	
  a	
   certification,	
   signed	
   by	
   the	
  authorized	
   official,	
   that	
   the	
  

funding	
   request	
  was	
  approved	
  by	
  majority	
  vote	
  in	
  accordance	
  with	
  33	
  U.S.C.	
  §1321(t)(1)(F),	
  

and	
  that	
  Alabama	
  is	
  in	
  compliance	
  with	
  33	
  U.S.C.	
  §1321(t)(1)(F)(i)(IV).	
  

In	
  addition,	
  each	
  Louisiana	
  parish applying	
  for	
  assistance	
  must	
  submit	
  in	
  its	
  first	
  application	
  a	
  

copy	
  of	
  a	
  signed	
  certification	
  that	
  complies	
  with	
  31	
  CFR	
  §34.302(e),	
  pertaining	
  to	
  its	
  

comprehensive	
  land	
  use	
  plan.	
  	
  If	
  the	
  parish	
  modifies	
  its	
  comprehensive	
  land	
  use	
  plan,	
  the	
  

parish	
  must	
  submit	
  an	
  updated	
  certification,	
  consistent	
  with	
  guidance	
  from	
  the	
  Office	
  of	
  the	
  

Governor	
  of	
  Louisiana.	
  	
  

3.3	
   REAL	
   PROPERTY	
   ACTIVITIES	
   These	
   instructions	
   pertain	
   to	
   any	
   activities	
   solely	
   for	
   land	
  

acquisition	
   and	
   other	
   real	
   estate	
   conveyances	
   of	
   title under	
   the	
   Direct	
   Component.	
   	
   If	
   the	
  

application	
   is	
   for	
   an	
   activity	
   that	
   was	
   approved	
   prior	
   to	
   July	
   6,	
   2012,	
   please	
   address	
   the	
  

special	
  instructions.

Required	
  Forms.	
  	
  The	
  applicant	
  must	
  submit	
  an	
  application	
  containing	
  the	
  items	
  listed	
  below.	
  	
  

Treasury	
  will	
  not	
  consider	
  application	
  packages	
  until	
  the	
  applicant	
  submits	
  all	
  required	
  forms,	
  

narratives,	
   certifications,	
   or	
   attachments	
   listed	
   below.	
   	
   For	
   real	
   property	
   activities,	
   the	
  

applicant	
  must	
  complete	
  and	
  submit	
  the	
  following	
  standard	
  forms	
  and	
  documentation.	
  If	
  an	
  

item	
  specifies	
  the	
  use	
  of	
  a	
  template,	
  then	
  the	
  applicant	
  is	
  required	
  to	
  download	
  the	
  template	
  

from	
   within	
   the	
   GrantSolutions.gov	
   application	
   kit,	
   complete	
   the	
   template,	
   and	
   upload	
   the	
  

competed	
  template,	
  in	
  its	
  native	
  file	
  format,	
  as	
  part	
  of	
  the	
  application	
  submission.	
  

1. Form	
  SF-­‐424	
  (Application	
  for	
  Federal	
  Assistance).	
  

• Special	
   instructions	
   for	
   activities	
   approved	
   prior	
   to	
   July	
   6,	
   2012:	
   The	
   amounts	
  

shown	
  should	
  only	
  reflect	
  the	
  amount	
  needed	
  to	
  complete	
  the	
  activity.	
  

2. Direct	
   Component	
   Financial	
   Assistance	
   Application	
   that	
   addresses	
   specific	
  

requirements	
   under	
   the	
  Act	
  and	
   the	
   regulation,	
  including	
   the	
  Treasury	
   RESTORE	
  Act	
  

Environmental	
  Checklist	
  (completion	
  of	
  template	
  required).	
  

• Special	
  instructions	
  for	
  activities	
  approved	
  prior	
  to	
  July	
  6,	
  2012:

a. The	
  project	
  description	
  must	
  clarify	
  when	
  the	
  activity	
  was	
  approved,	
  the	
  name	
  

of	
   the	
   approving	
   agency,	
   the	
   current	
   status	
   of	
   the	
   project,	
   the	
   original	
  

approved	
  budget	
  for	
  the	
  project,	
  the	
  amount	
  of	
  funds	
  that	
  have	
  already	
  been	
  
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 13

expended	
   on	
   the	
   project,	
   and	
   the	
   expected	
   funds	
   required	
   for	
   project	
  

completion.	
  	
  If	
  any	
  cost	
  overruns	
  have	
  occurred	
  or	
  are	
  expected	
  to	
  occur,	
  the	
  

applicant	
  must	
  provide	
  an	
  explanation.	
  

b. For	
   the	
   questions	
   regarding	
   procurement,	
   public	
   input,	
   and	
   “best	
   available	
  

science,”	
  the	
  applicant	
  must	
  clearly	
  describe	
  the	
  approach	
  that	
  was	
  taken	
  and	
  

how	
   this	
  approach	
  is	
   “substantively	
   the	
   same”	
  as	
   the	
   statutory	
   requirements	
  

[see	
  33	
  U.S.C.	
  §1321(t)(1)(E)].	
  

c. If	
   information	
   requested	
   in	
   this	
   form	
   is	
   included	
   in	
   the	
   other	
   approving	
  

agency’s	
  application,	
   the	
  applicant	
  may	
  include	
  cross-­‐references	
  between	
   the	
  

particular	
  question	
  and	
  response.	
  

3. Form	
  SF-­‐424A	
  (Budget	
  Information	
  –	
  Non-­‐Construction	
  Programs).

• Special	
   instructions	
   for	
   activities	
   approved	
   prior	
   to	
   July	
   6,	
   2012:	
   	
  If	
   information	
  

requested	
  in	
  this	
  form	
  is	
  included	
  in	
  the	
  other	
  approving	
  agency’s	
  application,	
  the	
  

applicant	
   may	
   include	
   cross-­‐references	
   between	
   the	
   particular	
   question	
   and	
  

response,	
  with	
  the	
  budget	
  clearly	
  showing	
  the	
  non-­‐Federal	
  (or	
  Direct	
  Component)	
  

share.	
  

4. Form	
  SF-­‐424	
  B	
  (Assurance	
  for	
  Non-­‐Construction	
  Projects).	
  

5. A	
  letter	
   from	
   the	
  applicant’s	
  highest	
  official7	
  designating	
  a	
   senior	
  authorized	
  official,	
  

who	
  can	
  legally	
  bind	
  the	
  entity	
  to	
  execute	
  the	
  Direct	
  Component	
  Funding	
  Certification	
  

by	
  Authorized	
  Senior	
  Official	
   (completion	
  of	
   template	
   required).	
  	
  If	
  a	
  different	
  official	
  

executes	
   the	
   Certification,	
   the	
   applicant’s	
   highest	
   official	
   will	
   need	
   to	
   submit	
   a	
   new	
  

letter	
  of	
  designation	
   that	
  indicates	
   the	
   senior	
  authorized	
  official	
  can	
  legally	
  bind	
   the	
  

entity	
  to	
  execute	
  the	
  Certification.

• Special	
  instructions	
   for	
  activities	
  approved	
  prior	
   to	
   July	
   6,	
   2012:	
  If	
   the	
  applicant	
  

does	
   not	
   believe	
   its	
   authorized	
   official	
   can	
   sign	
   the	
   Direct	
   Component	
   Funding	
  

Certification	
   by	
   Authorized	
   Senior	
   Official,	
   the	
   applicant	
   should	
   contact	
   Treasury	
  

for	
  further	
  instructions.	
  	
  

6. Direct	
  Component	
  Applicant	
  Certifications	
  in	
  Section	
  7.0	
  of	
   this	
  guidance	
  (completion	
  

of	
  template	
  required),	
  signed	
  by	
  the	
  person	
  designated	
  above.	
  	
  	
  

7. Direct	
   Component	
   Activity	
   Milestones	
   Report	
   (completion	
   of	
   template	
   required).	
  	
  

Milestones	
   are	
   discrete	
   actions	
   that,	
   taken	
   together,	
   comprise	
   an	
   eligible	
   activity.	
  	
  

Milestones	
  demonstrate	
  progress	
  in	
  completing	
  the	
  planned	
  activity.	
  

• Special	
   instructions	
   for	
   activities	
   approved	
   prior	
   to	
   July	
   6,	
   2012:	
   	
  If	
   information	
  

requested	
  in	
  this	
  form	
  is	
  included	
  in	
  the	
  other	
  approving	
  agency’s	
  application,	
  the	
  

applicant	
   may	
   include	
   cross-­‐references	
   between	
   the	
   particular	
   question	
   and	
  

 

7 The	
  highest	
  official	
  for	
  the	
  State	
  of	
  Alabama	
  shall	
  be	
  the	
  Chief	
  Executive	
  of	
  the	
  Alabama	
  Gulf	
  Coast	
  Recovery	
  

Council;	
   for	
   Mississippi,	
   the	
   Chief	
   Executive	
   of	
   the	
   Mississippi	
   Department	
   of	
   Environmental	
   Quality;	
   for	
  

Louisiana,	
   the	
  Chief	
  Executive	
  of	
   the	
  Coastal	
  Protection	
  and	
  Restoration	
  Authority	
  of	
  Louisiana;	
  and	
   for	
  Texas,	
  

the	
  Governor.	
  	
  For	
  the	
  political	
  subdivisions	
  in	
  Louisiana	
  (parishes)	
  and	
  Florida	
  (counties),	
  the	
  authorized	
  official	
  

shall	
  be	
  the	
  appropriate	
  chief	
  executive of	
  the	
  subdivision.	
  	
  
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 14

response	
  and	
  include	
  a	
  copy	
  of	
  the	
  application.	
  

8. RESTORE	
   Act	
   Status	
   of	
   Performance	
   Report	
   (completion	
   of	
   template	
   required).	
  	
  

Performance	
  measures	
  should	
  be	
  outcome-­‐oriented	
  in	
  nature	
   to	
   the	
  extent	
  possible	
  

and	
   demonstrate	
   progress	
   toward	
   reaching	
   the	
   stated	
   objective(s)	
   for	
   the	
   proposed	
  

activity.	
  	
  Each	
  measure	
  should	
  include	
  a	
  target	
  date	
  for	
  completion.	
  	
  The	
  applicant	
  will	
  

report	
   to	
   Treasury	
   its	
   progress	
   on	
   these	
   measures	
   throughout	
   the	
   life	
   of	
   the	
   grant	
  

using	
   the	
   same	
   report	
   as	
   an	
   attachment	
   to	
   the	
   SF-­‐PPR.	
   	
   Treasury	
   encourages	
   the	
  

applicant	
   to	
   develop	
   additional	
   measures	
   that	
   will	
   extend	
   past	
   the	
   grant	
   period	
   to	
  

demonstrate	
  project	
  outcomes,	
  when	
  applicable.	
  

• Special	
  instructions	
  for	
  activities	
  approved	
  prior	
  to	
  July	
  6,	
  2012:	
  	
  The	
  performance	
  

measures	
   should	
   show	
   actual	
   performance	
   outcomes	
   already	
   achieved,	
   if	
  

applicable.	
  	
  

9. A map	
   of	
   the	
   area	
   in	
   which	
   the	
   real	
   property	
   acquisition	
   will	
   be	
   located,	
   with	
   the	
  

boundaries	
  of	
   the	
  project	
  site	
  clearly	
  delineated.	
  	
  Only	
   the	
   following	
   file	
   formats	
  will	
  

be	
  accepted	
  for	
  maps:	
  PDF,	
  GIF	
  JPEG,	
  or	
  PNG.	
  USGS	
  maps	
  are	
  available	
  in	
  PDF	
  format	
  

at	
  [http://www.usgs.gov/pubprod/maps.html].	
  

10. If	
  applicable,	
  a	
  Federal	
  Emergency	
  Management	
  Agency	
  (FEMA)	
  floodplain	
  map	
  of	
  the	
  

area	
  in	
  which	
  the	
  real	
  property	
  acquisition	
  will	
  be	
  located	
  with	
  the	
  boundaries	
  of	
  the	
  

site	
  clearly	
  delineated.	
  	
  Only	
  the	
  following	
  file	
  formats	
  will	
  be	
  accepted	
  for	
  maps:	
  PDF,	
  

GIF	
   JPEG,	
   or	
   PNG.	
   FEMA	
   floodplain	
   maps,	
   in	
   PDF	
   or	
   PNG	
   format,	
   are	
   available	
   at:	
  	
  

FEMA	
   Map	
   Service	
   Center,	
   “How	
   to	
   Find	
   Your	
   Map”	
  

https://msc.fema.gov/webapp/wcs/stores/servlet/info?storeId=10001&catalogId=100

01&langId=-­‐

1&content=firmHelp_1&title=How%20to%20Find%20Your%20Flood%20Map.	
  

11. Documentation	
   relating	
   to	
   title,	
   including	
   recorded	
   easements,	
   and	
   other	
   legal	
  

matters	
  arising	
  out	
  of	
  the	
  acquisition	
  or	
  conveyance,	
  such	
  as	
  disclosure	
  of	
  outstanding	
  

liens	
  and	
  recorded	
  easements.	
  

12. A	
   title	
   opinion,	
   copy	
   of	
   a	
   recent	
   appraisal	
   completed	
   by	
   a	
   certified	
   appraiser	
   and	
   a	
  

statement	
  from	
  the	
  seller	
  that	
  he/she	
  is	
  a	
  willing	
  seller.	
  	
  

• Special	
  instructions	
  for	
  activities	
  approved	
  prior	
  to	
  July	
  6,	
  2012	
  only:

a. Documentation	
   showing	
   that	
   the	
  activity	
  was	
  approved	
   prior	
   to	
   July	
   6,	
   2012,	
  

such	
   as	
   a	
   grant	
   approval	
   letter	
   or	
   meeting	
   minutes	
   from	
   the	
   governmental	
  

entity	
  	
  with	
  authority	
  to	
  approve	
  the	
  project.	
  	
  

b. Documentation	
   of	
   the	
   original	
   budget	
   and	
   scope	
   of	
   work	
   (e.g.,	
   an	
   approved	
  

grant	
  application).	
  

c. A	
  copy	
  of	
  the	
  most	
  recent	
  performance	
  report	
  for	
  the	
  project,	
  if	
  applicable.	
  

Jurisdiction-­‐Specific	
  Required	
  Documents.	
  	
  

In	
  addition,	
  Alabama	
  must	
   submit	
  a	
   certification,	
   signed	
   by	
   the	
  authorized	
   official,	
   that	
   the	
  

funding	
   request	
  was	
  approved	
  by	
  majority	
  vote	
  in	
  accordance	
  with	
  33	
  U.S.C.	
  §1321(t)(1)(F),	
  

and	
  that	
  Alabama	
  is	
  in	
  compliance	
  with	
  33	
  U.S.C.	
  §1321(t)(1)(F)(i)(IV).	
  
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 15

In	
  addition,	
  each	
  Louisiana	
  parish	
  applying	
  for	
  assistance	
  must	
  submit	
  in	
  its	
  first	
  application,	
  a	
  

copy	
  of	
  a	
  signed	
  certification	
  that	
  complies	
  with	
  31	
  CFR	
  §34.302(e),	
  pertaining	
  to	
  its	
  

comprehensive	
  land	
  use	
  plan.	
  	
  If	
  the	
  parish	
  modifies	
  its	
  comprehensive	
  land	
  use	
  plan,	
  the	
  

parish	
  must	
  submit	
  an	
  updated	
  certification,	
  consistent	
  with	
  guidance	
  from	
  the	
  Office	
  of	
  the	
  

Governor	
  of	
  Louisiana.

3.4	
   	
   NON-­‐FEDERAL	
   SHARE	
   OF	
   ANOTHER	
   FEDERALLY	
   FUNDED	
   ACTIVITY	
   (NON-­‐

CONSTRUCTION	
  OR	
   REAL	
   PROPERTY	
   ACTIVITIES)	
   These	
   instructions	
   pertain	
   to	
   applications	
  

for	
   Direct	
   Component	
   funds	
   intended	
   to	
   cover	
   the	
   non-­‐Federal	
   share	
   of	
   another	
   federally	
  

funded	
  non-­‐construction	
  or	
  real	
  property	
  acquisition	
  activity.	
  	
  	
  	
  

Required	
  Forms. The	
  applicant	
  must	
  submit	
  an	
  application	
  containing	
  the	
  items	
  listed	
  below.	
  	
  

Treasury	
  will	
  not	
  consider	
  application	
  packages	
  until	
  the	
  applicant	
  submits	
  all	
  required	
  forms,	
  

narratives,	
  certifications,	
  or	
  attachments	
  listed	
  below.	
  For	
  non-­‐construction	
  or	
  real	
  property	
  

activities	
   involving	
   a	
   non-­‐federal	
   share	
   of	
   another	
   federally	
   funded	
   activity,	
   the	
   applicant	
  

must	
   complete	
   and	
   submit	
   the	
   following	
   standard	
   forms	
   and	
   documentation.	
   If	
   an	
   item	
  

specifies	
  the	
  use	
  of	
  a	
  template,	
  then	
  the	
  applicant	
  is	
  required	
  to	
  download	
  the	
  template	
  from	
  

within	
   the	
   GrantSolutions.gov	
   application	
   kit,	
   complete	
   the	
   template,	
   and	
   re-­‐upload	
   the	
  

competed	
  template,	
  in	
  its	
  native	
  file	
  format,	
  as	
  part	
  of	
  the	
  application	
  submission.	
  

1. Form	
  SF-­‐424	
  (Application	
  for	
  Federal	
  Assistance).	
  

2. Direct	
   Component	
   Financial	
   Assistance	
   Application	
   that	
   addresses	
   specific	
  

requirements	
   under	
   the	
  Act	
  and	
   the	
   regulation,	
  including	
   the	
  Treasury	
   RESTORE	
  Act	
  

Environmental	
  Checklist	
  (completion	
  of	
  template	
  required).	
  

• Special	
  instructions:	
  	
  If	
  information	
  requested	
  in	
  this	
  form	
  is	
  included	
  in	
  the	
  other	
  

Federal	
  agency’s	
  application,	
  the	
  applicant	
  may	
  include	
  cross-­‐references	
  between	
  

the	
   particular	
   question	
  and	
   response,	
  and	
   by	
   providing	
  a	
   copy	
   of	
   the	
  application	
  

and	
  budget.	
  

3. SF-­‐424A,	
  Budget	
  Information	
  for	
  Non-­‐Construction	
  Programs	
  

a. For	
   Non-­‐Construction,	
   the	
   Direct	
   Component	
   “match”	
   funds	
   should	
   be	
  

included	
  in	
  Section	
  A	
  column	
  (e)	
  ”Federal”	
  of	
  the	
  SF-­‐424A,	
  as	
  well	
  as	
  Section	
  B,	
  

column	
  1	
  for	
  items	
  (6)	
  and	
  (7).	
  	
  	
  

b. Special	
   instructions:	
   	
   If	
   information	
   requested	
   in	
   this	
   form	
   is	
   included	
   in	
   the	
  

other	
  Federal	
  agency’s	
  application,	
  the	
  applicant	
  may	
  include	
  cross-­‐references	
  

between	
   the	
   particular	
   question	
   and	
   response,	
   with	
   the	
   budget	
   clearly	
  

showing	
  the	
  non-­‐Federal	
  (or	
  Direct	
  Component)	
  share.	
  

4. Form	
  SF-­‐424	
  B	
  (Assurance	
  for	
  Non-­‐Construction	
  Projects).	
  

5. A	
  letter	
   from	
   the	
  applicant’s	
  highest	
  official8

	
  designating	
  a	
   senior	
  authorized	
  official,	
  

who	
  can	
  legally	
  bind	
  the	
  entity	
  to	
  execute	
  the	
  Direct	
  Component	
  Funding	
  Certification	
  

 

8 The	
  highest	
  official	
  for	
  the	
  State	
  of	
  Alabama	
  shall	
  be	
  the	
  Chief	
  Executive	
  of	
  the	
  Alabama	
  Gulf	
  Coast	
  Recovery	
  

Council;	
   for	
   Mississippi,	
   the	
   Chief	
   Executive	
   of	
   the	
   Mississippi	
   Department	
   of	
   Environmental	
   Quality;	
   for	
  

Louisiana,	
   the	
  Chief	
  Executive	
  of the	
  Coastal	
  Protection	
  and	
  Restoration	
  Authority	
  of	
  Louisiana;	
  and	
   for	
  Texas,	
  
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 16

by	
  Authorized	
  Senior	
  Official	
   (completion	
  of	
   template	
   required).	
  	
  If	
  a	
  different	
  official	
  

executes	
   the	
   Certification,	
   the	
   applicant’s	
   highest	
   official	
   will	
   need	
   to	
   submit	
   a	
   new	
  

letter	
  of	
  designation	
   that	
  indicates	
   the	
   senior	
  authorized	
  official	
  can	
  legally	
  bind	
   the	
  

entity	
  to	
  execute	
  the	
  Certification.	
  	
  

6. Direct	
  Component	
  Applicant	
  Certifications	
  in	
  Section	
  7.0	
  of	
   this	
  guidance	
  (completion	
  

of	
  template	
  required),	
  signed	
  by	
  the	
  applicant’s	
  senior	
  authorized	
  official	
  (must	
  be	
  the	
  

same	
  individual	
  as	
  listed	
  in	
  the	
  letter	
  of	
  designation).	
  	
  	
  

7. Direct	
   Component	
   Activity	
   Milestones	
   Report	
   (completion	
   of	
   template	
   required).	
  	
  

Milestones	
   are	
   discrete	
   actions	
   that,	
   taken	
   together,	
   comprise	
   an	
   eligible	
   activity.	
  	
  

Milestones	
  demonstrate	
  progress	
  in	
  completing	
  the	
  planned	
  activity.	
  

• Special	
  instructions:	
  	
  If	
  information	
  requested	
  in	
  this	
  form	
  is	
  included	
  in	
  the	
  other	
  

Federal	
  agency’s	
  application,	
  the	
  applicant	
  may	
  include	
  cross-­‐references	
  between	
  

the	
  particular	
  question	
  and	
  response.	
  

8. If	
  the	
  other	
  Federal	
  agency	
  already	
  has	
  approved	
  the	
  activity,	
  the	
  applicant	
  needs	
  to	
  

include	
   a	
   copy	
   of	
   the	
   approval	
   letter	
   and	
   grant	
   agreement	
   as	
   part	
   of	
   this	
   Direct	
  

Component	
  application.	
  	
  

9. If	
  the	
  other	
  Federal	
  agency	
  has	
  not	
  approved	
  the	
  Direct	
  Component	
  activity,	
  a	
  copy	
  of	
  

the	
   applicant’s	
   application	
   package	
   to	
   that	
   agency,	
   to	
   include	
   the	
   project	
  

description/scope	
  of	
  work	
  and	
  performance	
  metrics.	
  	
  	
  

• Special	
  instructions:	
  If	
  the	
  other	
  Federal	
  application	
  did	
  not	
  require	
  the	
  applicant	
  

to	
   list	
   specific	
   performance	
   metrics,	
   the	
   applicant	
   must	
   list	
   the	
   performance	
  

measures	
  on	
   the	
  RESTORE	
  Act	
  Activity	
  Status	
  of	
  Performance	
  Report	
   (completion	
  

of	
   template	
   required).	
   	
   Performance	
   measures	
   should	
   be	
   outcome-­‐oriented	
   in	
  

nature	
   to	
   the	
   extent	
   possible	
   and	
   demonstrate	
   progress	
   toward	
   reaching	
   the	
  

stated	
   objective(s)	
   for	
   the	
   proposed	
   activity;	
   each	
   measure	
   should	
   include	
   a	
  

specific	
   target	
  and	
  date	
   for	
  completion.	
  	
  The	
  applicant	
  will	
   report	
   to	
  Treasury	
  its	
  

progress	
  on	
  these	
  measures	
  throughout	
  the	
  life	
  of	
  the	
  grant	
  using	
  the	
  same	
  report	
  

as	
   an	
   attachment	
   to	
   the	
   SF-­‐PPR.	
   	
   Treasury	
   encourages	
   the	
   applicant	
   to	
   develop	
  

additional	
  measures	
  that	
  will	
  extend	
  past	
  the	
  grant	
  period	
  to	
  demonstrate	
  project	
  

outcomes,	
  when	
  applicable.	
  

10. If	
   the	
   other	
   Federal	
   agency	
   has	
   not	
   approved	
   the	
   activity,	
   the	
   applicant	
   needs	
   to	
  

include	
   a	
   narrative	
   describing	
   the	
   activity’s	
   status	
   and	
   the	
   approximate	
   timeline	
   for	
  

the	
  Federal	
  agency	
  to	
  approve	
  or	
  decline	
  the	
  activity.	
  	
  Treasury	
  will	
  not	
  award	
   funds	
  

for	
   match	
   until	
   the	
   other	
   Federal	
   agency	
   has	
   approved	
   the	
   activity	
   and	
   Treasury	
  

receives	
  the	
  executed	
  documentation.	
  

FOR	
  REAL	
  PROPERTY	
  NON-­‐FEDERAL	
  SHARE	
  APPLICATION	
  INCLUDE	
  THE	
  FOLLOWING:	
  

11. A map	
   of	
   the	
   area	
   in	
   which	
   the	
   real	
   property	
   acquisition	
   will	
   be	
   located,	
   with	
   the	
  

 

the	
  Governor.	
  	
  For	
  the	
  political	
  subdivisions	
  in	
  Louisiana	
  (parishes)	
  and	
  Florida	
  (counties),	
  the	
  authorized	
  official	
  

shall	
  be	
  the	
  appropriate	
  chief	
  executive of	
  the	
  subdivision.	
  	
  
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 17

boundaries	
  of	
   the	
  project	
  site	
  clearly	
  delineated.	
  	
  Only	
   the	
   following	
   file	
   formats	
  will	
  

be	
  accepted	
  for	
  maps:	
  PDF,	
  GIF	
  JPEG,	
  or	
  PNG.	
  USGS	
  maps	
  are	
  available	
  in	
  PDF	
  format	
  

at	
  [http://www.usgs.gov/pubprod/maps.html].	
  

12. If	
  applicable,	
  a	
  Federal	
  Emergency	
  Management	
  Agency	
  (FEMA)	
  floodplain	
  map	
  of	
  the	
  

area	
  in	
  which	
  the	
  real	
  property	
  acquisition	
  will	
  be	
  located	
  with	
  the	
  boundaries	
  of	
  the	
  

site	
  clearly	
  delineated.	
  	
  Only	
  the	
  following	
  file	
  formats	
  will	
  be	
  accepted	
  for	
  maps:	
  PDF,	
  

GIF	
   JPEG,	
   or	
   PNG.	
   FEMA	
   floodplain	
   maps,	
   in	
   PDF	
   or	
   PNG	
   format,	
   area	
   available	
   at:	
  	
  	
  

FEMA	
   Map	
   Service	
   Center,	
   “How	
   to	
   Find	
   Your	
   Map”	
  

https://msc.fema.gov/webapp/wcs/stores/servlet/info?storeId=10001&catalogId=100

01&langId=-­‐

1&content=firmHelp_1&title=How%20to%20Find%20Your%20Flood%20Map.	
  

13. Documentation	
   relating	
   to	
   title,	
   including	
   recorded	
   easements,	
   and	
   other	
   legal	
  

matters	
  arising	
  out	
  of	
  the	
  acquisition	
  or	
  conveyance,	
  such	
  as	
  disclosure	
  of	
  outstanding	
  

liens	
  and	
  recorded	
  easements.	
  

14. Title	
   opinion,	
   copy	
   of	
   a	
   recent	
   appraisal	
   completed	
   by	
   a	
   certified	
   appraiser,	
   and	
   a	
  

statement	
  from	
  the	
  seller	
  that	
  he/she	
  is	
  a	
  willing	
  seller.	
  

Jurisdiction-­‐Specific	
  Required	
  Documents.

In	
  addition,	
  Alabama	
  must	
   submit	
  a	
   certification,	
   signed	
   by	
   the	
  authorized	
   official,	
   that	
   the	
  

funding	
   request	
  was	
  approved	
  by	
  majority	
  vote	
  in	
  accordance	
  with	
  33	
  U.S.C.	
  §1321(t)(1)(F),	
  

and	
  that	
  Alabama	
  is	
  in	
  compliance	
  with	
  33	
  U.S.C.	
  §1321(t)(1)(F)(i)(IV).	
  

In	
  addition,	
  each	
  Louisiana	
  parish	
  applying	
  for	
  assistance	
  must	
  submit	
  in	
  its	
  first	
  application,	
  a	
  

copy	
  of	
  a	
  signed	
  certification	
  that	
  complies	
  with	
  31	
  CFR	
  §34.302(e),	
  pertaining	
  to	
  its	
  

comprehensive	
  land	
  use	
  plan.	
  	
  If	
  the	
  parish	
  modifies	
  its	
  comprehensive	
  land	
  use	
  plan,	
  the	
  

parish	
  must	
  submit	
  an	
  updated	
  certification,	
  consistent	
  with	
  guidance	
  from	
  the	
  Office	
  of	
  the	
  

Governor	
  of	
  Louisiana.	
  	
  

3.5	
   	
   NON-­‐FEDERAL	
   SHARE	
   OF	
   ANOTHER	
   FEDERALLY	
   FUNDED	
   ACTIVITY	
   (CONSTRUCTION	
  

ACTIVITIES)	
  These	
  instructions	
  pertain	
   to	
  applications	
   for	
  Direct	
  Component	
   funds	
  intended	
  

to	
  cover	
   the	
  non-­‐Federal	
   share	
  of	
  another	
   federally	
   funded	
  activity.	
  	
  	
  Other	
   than	
   the	
   forms	
  

cited	
   immediately	
   below,	
   the	
   applicant	
   does	
   not	
   need	
   to	
   submit	
   any	
   of	
   the	
   additional	
  

materials	
  that	
  may	
  be	
  required	
  for	
  construction	
  projects.	
  	
  	
  

Required	
  Forms. The	
  applicant	
  must	
  submit	
  an	
  application	
  containing	
  the	
  items	
  listed	
  below.	
  	
  

Treasury	
  will	
  not	
  consider	
  application	
  packages	
  until	
  the	
  applicant	
  submits	
  all	
  required	
  forms,	
  

narratives,	
  certifications,	
  or	
  attachments	
  listed	
  below.	
  For	
  construction	
  activities	
  involving	
  a	
  

non-­‐federal	
   share	
   of	
   another	
   federally	
   funded	
   activity,	
   the	
   applicant	
   must	
   complete	
   and	
  

submit	
   the	
   following	
   standard	
   forms	
   and	
   documentation.	
   If	
   an	
   item	
   specifies	
   the	
   use	
   of	
   a	
  

template,	
   then	
   the	
   applicant	
   is	
   required	
   to	
   download	
   the	
   template	
   from	
   within	
   the	
  

GrantSolutions.gov	
   application	
   kit,	
   complete	
   the	
   template,	
   and	
   re-­‐upload	
   the	
   competed	
  

template,	
  in	
  its	
  native	
  file	
  format,	
  as	
  part	
  of	
  the	
  application	
  submission.	
  

1. Form	
  SF-­‐424	
  (Application	
  for	
  Federal	
  Assistance).	
  

2. Direct	
   Component	
   Financial	
   Assistance	
   Application	
   that	
   addresses	
   specific	
  
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 18

requirements	
  under	
  the	
  Act	
  and	
  the	
  regulation,	
  including	
  the	
  Treasury	
  RESTORE	
  Act	
  

Environmental	
  Checklist	
  (completion	
  of	
  template	
  required).	
  

• Special	
  instructions:	
  	
  If	
  information	
  requested	
  in	
  this	
  form	
  is	
  included	
  in	
  the	
  other	
  

Federal	
  agency’s	
  application,	
  the	
  applicant	
  may	
  include	
  cross-­‐references	
  between	
  

the	
   particular	
   question	
  and	
   response,	
  and	
   by	
   providing	
  a	
   copy	
   of	
   the	
  application	
  

and	
  budget.	
  

3. SF-­‐424C	
  Budget	
  Information	
  for	
  Construction	
  Programs,	
  as	
  applicable.	
  	
  

a. For	
   Construction,	
   the	
   total	
   budget	
   should	
   be	
   included	
   in	
   column	
  a	
   of	
   the	
  

SF-­‐424C,	
   Other	
   Federal	
   funds	
   should	
   be	
   shown	
   in	
   column	
   b,	
   and	
   Direct	
  

Component	
  “match”	
  funds	
  should	
  be	
  shown	
  in	
  column	
  c	
  of	
  the	
  SF-­‐424C.	
  

b. Special	
  instructions:	
  	
  If	
  information	
  requested	
  in	
  this	
  form	
  is	
  included	
  in	
  the	
  

other	
   Federal	
   agency’s	
   application,	
   the	
   applicant	
   may	
   include	
   cross-­‐

references	
  between	
  the	
  particular	
  question	
  and	
  response,	
  with	
  the	
  budget	
  

clearly	
  showing	
  the	
  non-­‐Federal	
  (or	
  Direct	
  Component)	
  share.	
  

4. Form	
  SF-­‐424	
  D	
  (Assurance	
  for	
  Construction	
  Projects).

5. A	
  letter	
  from	
  the	
  applicant’s	
  highest	
  official9	
  designating	
  a	
  senior	
  authorized	
  official,	
  

who	
  can	
  legally	
  bind	
  the	
  entity	
  to	
  execute	
  the	
  Direct	
  Component	
  Funding	
  Certification	
  

by	
  Authorized	
  Senior	
  Official	
  (completion	
  of	
  template	
  required).	
  	
  If	
  a	
  different	
  official	
  

executes	
   the	
  Certification,	
   the	
  applicant’s	
  highest	
  official	
  will	
  need	
   to	
   submit	
  a	
  new	
  

letter	
  of	
  designation	
  that	
  indicates	
  the	
  senior	
  authorized	
  official	
  can	
  legally	
  bind	
  the	
  

entity	
  to	
  execute	
  the	
  Certification.	
  	
  

6. Direct	
  Component	
  Applicant	
  Certifications	
  in	
  Section	
  7.0	
  of	
  this	
  guidance	
  (completion	
  

of	
   template	
   required),	
   signed	
   by	
   the	
   applicant’s	
   senior	
   authorized	
   official	
   (must	
   be	
  

the	
  same	
  individual	
  as	
  listed	
  in	
  the	
  letter	
  of	
  designation).	
  	
  	
  

7. Direct	
   Component	
   Activity	
   Milestones	
   Report	
   (completion	
   of	
   template	
   required).	
  	
  

Milestones	
   are	
   discrete	
   actions	
   that,	
   taken	
   together,	
   comprise	
   an	
   eligible	
   activity.	
  	
  

Milestones	
  demonstrate	
  progress	
  in	
  completing	
  the	
  planned	
  activity.	
  

• Special	
  instructions:	
  	
  If	
  information	
  requested	
  in	
  this	
  form	
  is	
  included	
  in	
  the	
  other	
  

Federal	
  agency’s	
  application,	
  the	
  applicant	
  may	
  include	
  cross-­‐references	
  between	
  

the	
  particular	
  question	
  and	
  response.	
  

8. If	
  the	
  other	
  Federal	
  agency	
  already	
  has	
  approved	
  the	
  activity,	
  the	
  applicant	
  needs	
  to	
  

include	
   a	
   copy	
   of	
   the	
   approval	
   letter	
   and	
   grant	
   agreement	
   as	
   part	
   of	
   this	
   Direct	
  

Component	
  application.	
  	
  

 

9 The	
  highest	
  official	
  for	
  the	
  State	
  of	
  Alabama	
  shall	
  be	
  the	
  Chief	
  Executive	
  of	
  the	
  Alabama	
  Gulf	
  Coast	
  Recovery	
  

Council;	
   for	
   Mississippi,	
   the	
   Chief	
   Executive	
   of	
   the	
   Mississippi	
   Department	
   of	
   Environmental	
   Quality;	
   for	
  

Louisiana,	
   the	
  Chief	
  Executive	
  of	
   the	
  Coastal	
  Protection	
  and	
  Restoration	
  Authority	
  of	
  Louisiana;	
  and	
   for	
  Texas,	
  

the	
  Governor.	
  	
  For	
  the	
  political	
  subdivisions	
  in	
  Louisiana	
  (parishes)	
  and	
  Florida	
  (counties),	
  the	
  authorized	
  official	
  

shall	
  be	
  the	
  appropriate	
  chief	
  executive of	
  the	
  subdivision.	
  	
  
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 19

9. If	
  the	
  other	
  Federal	
  agency	
  has	
  not	
  approved	
  the	
  Direct	
  Component	
  activity,	
  a	
  copy	
  

of	
   the	
   applicant’s	
   application	
   package	
   to	
   that	
   agency,	
   to	
   include	
   the	
   project	
  

description/scope	
  of	
  work	
  and	
  performance	
  metrics.	
  	
  	
  

• Special	
  instructions:	
  If	
  the	
  other	
  Federal	
  application	
  did	
  not	
  require	
  the	
  applicant	
  

to	
   list	
   specific	
   performance	
   metrics,	
   the	
   applicant	
   must	
   list	
   the	
   performance	
  

measures	
  on	
   the	
  RESTORE	
  Act	
  Activity	
  Status	
  of	
  Performance	
  Report	
   (completion	
  

of	
   template	
   required).	
   	
   Performance	
   measures	
   should	
   be	
   outcome-­‐oriented	
   in	
  

nature	
   to	
   the	
   extent	
   possible	
   and	
   demonstrate	
   progress	
   toward	
   reaching	
   the	
  

stated	
   objective(s)	
   for	
   the	
   proposed	
   activity;	
   each	
   measure	
   should	
   include	
   a	
  

specific	
   target	
  and	
  date	
   for	
  completion.	
  	
  The	
  applicant	
  will	
   report	
   to	
  Treasury	
  its	
  

progress	
  on	
  these	
  measures	
  throughout	
  the	
  life	
  of	
  the	
  grant	
  using	
  the	
  same	
  report	
  

as	
   an	
   attachment	
   to	
   the	
   SF-­‐PPR.	
   	
   Treasury	
   encourages	
   the	
   applicant	
   to	
   develop	
  

additional	
  measures	
  that	
  will	
  extend	
  past	
  the	
  grant	
  period	
  to	
  demonstrate	
  project	
  

outcomes,	
  when	
  applicable.	
  

10. If	
   the	
   other	
   Federal	
   agency	
   has	
   not	
   approved	
   the	
   activity,	
   the	
   applicant	
   needs	
   to	
  

include	
  a	
  narrative	
  describing	
   the	
  activity’s	
   status	
  and	
   the	
  approximate	
   timeline	
   for	
  

the	
  Federal	
  agency	
  to	
  approve	
  or	
  decline	
  the	
  activity.	
  	
  Treasury	
  will	
  not	
  award	
  funds	
  

for	
   match	
   until	
   the	
   other	
   Federal	
   agency	
   has	
   approved	
   the	
   activity	
   and	
   Treasury	
  

receives	
  the	
  executed	
  documentation.	
  

11. A map	
   of	
   the	
   area	
   in	
   which	
   the	
   real	
   property	
   acquisition	
   will	
   be	
   located,	
   with	
   the	
  

boundaries	
  of	
  the	
  project	
  site	
  clearly	
  delineated.	
  	
  Only	
  the	
  following	
  file	
  formats	
  will	
  

be	
  accepted	
  for	
  maps:	
  PDF,	
  GIF	
  JPEG,	
  or	
  PNG.	
  USGS	
  maps	
  are	
  available	
  in	
  PDF	
  format	
  

at	
  [http://www.usgs.gov/pubprod/maps.html].	
  

12. If	
   applicable,	
   a	
   Federal	
   Emergency	
   Management	
   Agency	
   (FEMA)	
   floodplain	
   map	
   of	
  

the	
  area	
  in	
  which	
  the	
  real	
  property	
  acquisition	
  will	
  be	
  located	
  with	
  the	
  boundaries	
  of	
  

the	
  site	
  clearly	
  delineated.	
  	
  Only	
  the	
  following	
  file	
  formats	
  will	
  be	
  accepted	
  for	
  maps:	
  

PDF,	
  GIF	
  JPEG,	
  or	
  PNG.	
  FEMA	
  floodplain	
  maps,	
  in	
  PDF	
  or	
  PNG	
  format,	
  area	
  available	
  

at:	
  	
  	
  	
  

FEMA	
   Map	
   Service	
   Center,	
   “How	
   to	
   Find	
   Your	
   Map”	
  

https://msc.fema.gov/webapp/wcs/stores/servlet/info?storeId=10001&catalogId=10

001&langId=-­‐

1&content=firmHelp_1&title=How%20to%20Find%20Your%20Flood%20Map

13. Title	
  opinion	
  showing	
  ownership	
  of	
  the	
  property	
  and	
  any	
  deed	
  restrictions.	
  

Jurisdiction-­‐Specific	
  Required	
  Documents.

In	
  addition,	
  Alabama	
  must	
   submit	
  a	
   certification,	
   signed	
   by	
   the	
  authorized	
   official,	
   that	
   the	
  

funding	
   request	
  was	
  approved	
  by	
  majority	
  vote	
  in	
  accordance	
  with	
  33	
  U.S.C.	
  §1321(t)(1)(F),	
  

and	
  that	
  Alabama	
  is	
  in	
  compliance	
  with	
  33	
  U.S.C.	
  §1321(t)(1)(F)(i)(IV).	
  

In	
  addition,	
  each	
  Louisiana	
  parish	
  applying	
  for	
  assistance	
  must	
  submit	
  in	
  its	
  first	
  application,	
  a	
  

copy	
  of	
  a	
  signed	
  certification	
  that	
  complies	
  with	
  31	
  CFR	
  §34.302(e),	
  pertaining	
  to	
  its	
  

comprehensive	
  land	
  use	
  plan.	
  	
  If	
  the	
  parish	
  modifies	
  its	
  comprehensive	
  land	
  use	
  plan,	
  the	
  

parish	
  must	
  submit	
  an	
  updated	
  certification,	
  consistent	
  with	
  guidance	
  from	
  the	
  Office	
  of	
  the	
  

Governor	
  of	
  Louisiana.	
  	
  
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 20

4.0 Multiyear Plan Forms And Instructions

4.1 MULTIYEAR PLAN MATRIX (Submitted prior to Direct Component applications)

Multiyear Implementation Plan of Proposed Activities Matrix (with examples and accompanying instructions)
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 21

Instructions for Completing the Multiyear Plan Matrix

1.

Cumulative Direct Component Allocation Available For Distribution to Applicant Total amount of 

funds that Treasury allocated to the applicant under the Direct Component portion of the RESTORE 

Act Trust Fund.

2

Total Direct Component Allocations Plus Known Funds Not Yet Deposited in Trust Fund All Trust 

Fund current allocation(s) and not-yet-deposited funds that represent known future allocations 

from the Trust Fund that the applicant plans to apply to the activities it proposes in its multiyear 

plan. 

3.

Primary Direct Component Eligible Activity List the primary qualifying Direct Component eligible 

activity from the RESTORE Act: a) Restoration and protection of the natural resources, ecosystems, 

fisheries, marine and wildlife habitats, beaches, and coastal wetlands of the Gulf Coast Region; 

b) Mitigation of damage to fish, wildlife, and natural resources; c) Implementation of a federally 

approved marine, coastal, or comprehensive conservation management plan, including fisheries 

monitoring; d) Workforce development and job creation; e) Improvements to or on State parks 

located in coastal areas affected by the Deepwater Horizon oil spill; f) Infrastructure projects 

benefitting the economy or ecological resources, including port infrastructure; g) Coastal flood 

protection and related infrastructure; h) Planning assistance; i) Promotion of tourism in the Gulf 

Coast Region, including recreational fishing; and j) Promotion of the consumption of seafood 

harvested from the Gulf Coast Region. The applicant will list any other applicable proposed eligible 

activities in the Direct Component Federal Financial Assistance Application (A1). (Static Field)

4. Activity Title is the name provided by the applicant for the activity/project/program (Static Field)

5. Location - Municipality(ies) lists the municipality(ies) where the project site for an activity in a 

multiyear plan is located. (Static Field) 

6. Total Funding Resources for Proposed Activity Budget lists total funds the applicant will use for the 

proposed activity.

6a.

Direct Component Contribution may include both the portion of the allocation issued by Treasury 

and the not-yet-deposited funds that represent known future allocations from the Trust Fund’s 

Direct Component portion that the applicant plans to use for a proposed activity.

6b.

Other RESTORE Act Contribution includes the total amount of other RESTORE Act funding that the 

applicant will rely on to complete the proposed activity. For example, the Spill Impact Component 

(or other RESTORE Act Component) may include both the portion of the current allocation(s) and 

the not-yet-deposited funds that represent known future allocations from the Trust Fund that the 

applicant plans to use for a proposed activity. The applicant will list specific RESTORE Act source of 

funds in the Direct Component Federal Financial Assistance Application. 

6c.

Other Third Party Contribution includes in-kind, for profit and nonprofit, state, or local funding 

that the applicant will rely upon to complete the proposed activity. The applicant will list specific 

sources of funds in the Direct Component Federal Financial Assistance Application. 

6d.

Total Budget is the total amount from all funding sources including: the Direct Component funds 

allocated by Treasury and the not-yet-deposited funds that represent known future allocations 

from the Trust Fund’s Direct Component; other current RESTORE Act allocation(s) and not-yetdeposited funds that represent known future allocations from the Trust Fund; and other third 

party funds that the applicant plans to use for a proposed activity.

7. Proposed Start Date is provided by the applicant. 

8. Actual Start Date is provided by the applicant when the plan is revised, if the project has started. 

(Static Field)

9. Proposed End Date is provided by the applicant. 
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 22

10. Actual End Date is provided by the applicant when the plan is revised and the project has ended. 

(Static Field)

11.

Proposed High Level Milestones are provided by the applicant. The applicant will describe in 

greater detail the milestones in the Direct Component Federal Financial Assistance Application 

when it seeks funding for a proposed activity; the applicant will periodically report the status of 

the milestones on the Direct Component Activity Milestones Report.

12. Estimated Total Funding for Project Budgets

12a.

Total Funding of Direct Component Contributions include both the portion of the allocation issued 

by Treasury and the not-yet-deposited funds that represent known future allocations from the 

Trust Fund’s Direct Component portion that the applicant plans to use for its proposed activity, 

which cannot exceed the combined total of allocated and known to-be-allocated funds, for all 

proposed activities listed on the Matrix.

12b.

Total Funding of All Other RESTORE Act Contributions for all proposed activities listed on the Matrix 

that may include the other current allocation(s) and not-yet-deposited funds that represent known 

future allocations from the Trust Fund.

12c. Total Funding of all Other Third Party Contributions for all proposed activities listed on the Matrix.

12d.

Total Funding for all Proposed Activities’ Budgets listed on the Matrix that may include Direct 

Component; other current allocations and not-yet-deposited funds that represent know future 

allocations from the Trust Fund; and other third party funds.
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 23

4.2	
  Narrative	
  for	
  Multiyear	
  Plan	
  –	
  If	
  the	
  applicant	
  has	
  a	
  more	
  detailed	
  multiyear	
  plan	
  

document,	
  it	
  must	
  be	
  included	
  as	
  an	
  attachment.	
  

A. GENERAL	
  INFORMATION

Eligible	
  Applicant	
  Name:	
  

Name	
  and	
  Contact	
  Information	
  of	
  the	
  Person	
  to	
  be	
  

contacted	
  (POC)	
  on	
  matters	
  concerning	
  this	
  Multiyear	
  

Implementation	
  Plan (multiyear	
  plan):	
  

POC	
  Name:

POC	
  Title:

POC	
  Email:

POC	
  Phone:

B.	
  PROVIDE	
  BRIEF NARRATIVE THAT DEMONSTRATES:

1. The	
  need,	
  purpose,	
  and	
  objectives	
  for	
  each	
  activity,	
  including	
  a	
  detailed	
  description	
  of	
  each	
  activity.

2. How	
  the	
  applicant	
  made	
  the	
  multiyear	
  plan	
  available	
  for	
  45	
  days	
  for	
  public	
  review	
  and	
  comment,	
  in	
  a	
  manner	
  calculated	
  to	
  

obtain	
  broad-­‐based participation	
  from	
  individuals,	
  businesses,	
  Indian	
  tribes,	
  and	
  non-­‐profit	
  organizations,	
  such	
  as through	
  

public	
  meetings,	
  presentations	
  in	
  languages	
  other than	
  English,	
  and	
  postings	
  on	
  the	
  Internet.	
  The	
  applicant	
  will	
  need	
  to	
  

submit	
  documentation	
  (e.g.,	
  a	
  copy	
  of	
  public	
  notices)	
  to	
  demonstrate	
  that	
  it	
  made	
  its multiyear	
  plan	
  available	
  to	
  the	
  public	
  

for	
  at	
  least	
  45	
  days.	
  In	
  addition,	
  describe	
  how	
  each	
  activity	
  in	
  the	
  plan	
  was	
  adopted	
  after	
  consideration	
  of	
  all meaningful	
  

input	
  from	
  the	
  public.

3. How	
  each	
  activity	
  included	
  in	
  the	
  applicant’s	
   multiyear	
  plan	
  matrix	
  is	
  eligible	
  for	
  funding	
  and	
  meets	
  all	
  requirements	
  under	
  

the	
  RESTORE	
  Act.	
  

4. How	
  the	
  applicant	
  will	
  evaluate	
  success	
  of	
  the	
  activities	
  included	
  in	
  the multiyear	
  plan	
  matrix.
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 24

5. How	
  the	
  activities	
  included	
  in	
  the multiyear	
  plan matrix were	
  prioritized and	
  the	
  criteria	
  used	
  to	
  establish	
  the	
  priorities.	
  

6. The	
  relationship,	
  if	
  any,	
  between	
  the	
  activities	
  the	
  applicant	
  included	
  in	
  the multiyear	
  plan	
  matrix	
  and	
  other	
  activities	
  

funded	
  under	
  the	
  RESTORE	
  Act.

4. How	
  the	
  applicant	
  will	
  evaluate	
  success	
  of	
  the	
  activities	
  included	
  in	
  the multiyear	
  plan	
  matrix.
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 25

5.0	
  DIRECT	
  COMPONENT	
  APPLICATION	
  FORMS	
  AND	
  INSTRUCTIONS

5.1	
  DIRECT	
  COMPONENT	
  FINANCIAL	
  ASSISTANCE	
  APPLICATION (Attachment	
  to	
  SF-­‐424)

Directions:	
  Complete	
  one	
  of	
  these	
  forms	
  for	
  EACH proposed	
  activity	
  for	
  which	
  the	
  applicant	
  is	
  requesting	
  Direct	
  Component	
  

funds.

GENERAL	
  INFORMATION:

Applicant	
  Name:	
  

Name	
  and	
  Contact	
  Information	
  of	
  the	
  Person	
  to	
  

be	
  contacted	
  on	
  matters	
  concerning	
  this	
  

application	
  (POC):

POC	
  Name:

POC	
  Title:

POC	
  Email:

POC	
  Phone:

Proposed	
  Activity	
  Name (from	
  multiyear	
  plan):	
  

A.	
  	
  STATUTORY	
  QUESTIONS

1.	
  	
  Qualifying	
  eligible	
  activity:

Please	
  check	
  the	
  primary	
  eligible	
  activity	
  in	
  the	
  

first	
  column	
  and	
  then	
  all	
  other eligible	
  activities	
  

that	
  apply	
  in	
  the	
  second	
  column	
  by	
  placing	
  an	
  

‘X”	
  in	
  the	
  column	
  in	
  the	
  row	
  corresponding	
  to	
  

the	
  qualifying	
  eligible	
  activity.	
  	
  

*This	
  information	
  will	
  assist	
  Treasury	
  when	
  it	
  

prepares	
  reports	
  that	
  describe	
  how	
  grantees	
  

use	
  Direct	
  Component	
  funds to	
  address	
  their

eligible	
  activities.	
  

Select

Primary	
  

Activity	
  	
  

Select	
  All	
  Others	
  

That	
  Apply

Qualifying	
  Eligible	
  Activity

� �

Restoration	
  and	
  protection	
  of	
  the	
  natural	
  

resources,	
  ecosystems,	
  fisheries,	
  marine	
  

and	
  wildlife	
  habitats,	
  beaches	
  and	
  coastal	
  

wetlands	
  of	
  the	
  Gulf	
  Coast	
  Region

� � Mitigation	
  of	
  damage	
  to	
  fish,	
  wildlife	
  and	
  

natural	
  resources

� �

Implementation	
  of	
  a	
  federally	
  approved	
  

marine,	
  coastal,	
  or	
  comprehensive	
  

conservation	
  management	
  plan,	
  

including	
  fisheries	
  monitoring

� � Workforce	
  development	
  and	
  job	
  creation

� �

Improvements	
  to	
  or	
  on	
  State	
  parks	
  

located	
  in	
  coastal	
  areas	
  affected	
  by the	
  

Deepwater	
  Horizon	
  oil	
  spill

� �

Infrastructure	
  projects	
  benefitting	
  the	
  

economy	
  or	
  ecological	
  resources,	
  

including	
  port	
  infrastructure

� � Coastal	
  flood	
  protection	
  and	
  related	
  

infrastructure

� � Planning	
  assistance

� � Promotion	
  of	
  tourism	
  in	
  the	
  Gulf	
  Coast	
  

Region,	
  including	
  recreational	
  fishing

� �

Promotion	
  of	
  the	
  consumption	
  of	
  

seafood	
  harvested	
  from	
  the	
  Gulf	
  Coast	
  

Region

2.	
  	
  Was	
  this	
  proposed	
  activity	
  included	
  in	
  any	
  claim	
  for	
  

compensation	
  paid	
  out	
  by	
  the	
  Oil	
  Spill	
  Liability	
  Trust	
  Fund	
  after	
  

July	
  6,	
  2012?	
  	
  

If	
  “Yes,”	
  this	
  activity	
  is	
  not	
  eligible	
  for	
  a	
  Direct	
  Component	
  

grant.	
  	
  

	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  

Yes	
  	
  � 	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
   No	
  � 	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  

3.	
  	
  Location

(a) Please	
  provide	
  the	
  actual	
  address	
  for	
  

Street	
  address:

Municipality(ies):	
  

5.0	
  DIRECT	
  COMPONENT	
  APPLICATION	
  FORMS	
  AND	
  INSTRUCTIONS

5.1	
  DIRECT	
  COMPONENT	
  FINANCIAL	
  ASSISTANCE	
  APPLICATION (Attachment	
  to	
  SF-­‐424)

Directions:	
  Complete	
  one	
  of	
  these	
  forms	
  for	
  EACH proposed	
  activity	
  for	
  which	
  the	
  applicant	
  is	
  requesting	
  Direct	
  Component	
  

funds.

GENERAL	
  INFORMATION:

Applicant	
  Name:	
  

Name	
  and	
  Contact	
  Information	
  of	
  the	
  Person	
  to	
  

be	
  contacted	
  on	
  matters	
  concerning	
  this	
  

application	
  (POC):

POC	
  Name:

POC	
  Title:

POC	
  Email:

POC	
  Phone:

Proposed	
  Activity	
  Name (from	
  multiyear	
  plan):	
  

A.	
  	
  STATUTORY	
  QUESTIONS

1.	
  	
  Qualifying	
  eligible	
  activity:

Please	
  check	
  the	
  primary	
  eligible	
  activity	
  in	
  the	
  

first	
  column	
  and	
  then	
  all	
  other eligible	
  activities	
  

that	
  apply	
  in	
  the	
  second	
  column	
  by	
  placing	
  an	
  

‘X”	
  in	
  the	
  column	
  in	
  the	
  row	
  corresponding	
  to	
  

the	
  qualifying	
  eligible	
  activity.	
  	
  

*This	
  information	
  will	
  assist	
  Treasury	
  when	
  it	
  

prepares	
  reports	
  that	
  describe	
  how	
  grantees	
  

use	
  Direct	
  Component	
  funds to	
  address	
  their

eligible	
  activities.	
  

Select

Primary	
  

Activity	
  	
  

Select	
  All	
  Others	
  

That	
  Apply

Qualifying	
  Eligible	
  Activity

� �

Restoration	
  and	
  protection	
  of	
  the	
  natural	
  

resources,	
  ecosystems,	
  fisheries,	
  marine	
  

and	
  wildlife	
  habitats,	
  beaches	
  and	
  coastal	
  

wetlands	
  of	
  the	
  Gulf	
  Coast	
  Region

� � Mitigation	
  of	
  damage	
  to	
  fish,	
  wildlife	
  and	
  

natural	
  resources

� �

Implementation	
  of	
  a	
  federally	
  approved	
  

marine,	
  coastal,	
  or	
  comprehensive	
  

conservation	
  management	
  plan,	
  

including	
  fisheries	
  monitoring

� � Workforce	
  development	
  and	
  job	
  creation

� �

Improvements	
  to	
  or	
  on	
  State	
  parks	
  

located	
  in	
  coastal	
  areas	
  affected	
  by the	
  

Deepwater	
  Horizon	
  oil	
  spill

� �

Infrastructure	
  projects	
  benefitting	
  the	
  

economy	
  or	
  ecological	
  resources,	
  

including	
  port	
  infrastructure

� � Coastal	
  flood	
  protection	
  and	
  related	
  

infrastructure

� � Planning	
  assistance

� � Promotion	
  of	
  tourism	
  in	
  the	
  Gulf	
  Coast	
  

Region,	
  including	
  recreational	
  fishing

� �

Promotion	
  of	
  the	
  consumption	
  of	
  

seafood	
  harvested	
  from	
  the	
  Gulf	
  Coast	
  

Region

2.	
  	
  Was	
  this	
  proposed	
  activity	
  included	
  in	
  any	
  claim	
  for	
  

compensation	
  paid	
  out	
  by	
  the	
  Oil	
  Spill	
  Liability	
  Trust	
  Fund	
  after	
  

July	
  6,	
  2012?	
  	
  

If	
  “Yes,”	
  this	
  activity	
  is	
  not	
  eligible	
  for	
  a	
  Direct	
  Component	
  

grant.	
  	
  

	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  

Yes	
  	
  � 	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
   No	
  � 	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  

3.	
  	
  Location

(a) Please	
  provide	
  the	
  actual	
  address	
  for	
  

Street	
  address:

Municipality(ies):	
  

Fillable forms will be available at http://www.grantsolutions.gov.
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 26

(b) Applicants	
  must	
  demonstrate	
  that	
  the	
  proposed	
  activity	
  will	
  be	
  carried	
  out	
  in	
  the	
  Gulf	
  Coast	
  Region.	
  	
  An	
  

activity	
  is carried	
  out	
  in	
  the	
  Gulf	
  Coast	
  Region	
  when,	
  in	
  the	
  reasonable	
  judgment	
  of	
  the	
  entity	
  applying	
  to	
  

Treasury	
  for	
  a	
  grant,	
  each	
  severable	
  part	
  of	
  the	
  activity	
  is	
  primarily	
  designed	
  to	
  restore	
  or	
  protect	
  that	
  

geographic	
  area.	
  	
  [Directions:	
  	
  Please	
  describe	
  how	
  the	
  proposed	
  activity	
  will	
  be	
  carried	
  out	
  in	
  the	
  Gulf	
  Coast	
  

Region.	
  	
  Please	
  limit	
  the response	
  to	
  no	
  more	
  than	
  two	
  pages.	
  	
  In	
  addition,	
  applicant	
  must	
  attach	
  a	
  map that	
  

includes	
  the	
  location	
  that the	
  activity	
  is	
  primarily	
  designed	
  to	
  restore	
  or	
  protect.]	
  	
  

the	
  activity	
  (street	
  address,	
  

municipality(ies),	
  county/parish,	
  

state,	
  zip	
  code).	
  	
  (If	
  there	
  is	
  no	
  street	
  

number,	
  provide	
  the	
  nearest	
  

intersection or	
  note	
  boundaries	
  on	
  

provided	
  map.)	
  If	
  there	
  is	
  more	
  than	
  

one	
  location for	
  the	
  activity,	
  attach	
  a	
  

list	
  of	
  the	
  additional	
  locations	
  (street	
  

address,	
  municipality(ies),	
  

county/parish,	
  state,	
  zip	
  code).	
  

County/parish:

State:

Zip	
  code:

B. DISCUSSION	
  OF	
  SPECIFIC	
  ACTIVITY	
  	
  

[PLEASE	
  FOLLOW	
  SPECIFIC	
  DIRECTIONS	
  FOR	
  	
  ACTIVITIES	
  APPROVED	
  PRIOR	
  TO	
  JULY	
  6,	
  2012	
  (Sections	
  3.1,	
  3.2 and	
  3.3	
  of	
  

the	
  Guidance) and	
  NON-­‐FEDERAL	
  SHARE	
  OF	
  ANOTHER	
  FEDERALLY	
  FUNDED	
  ACTIVITY	
  (Section	
  3.4	
  of	
  the	
  Guidance)]	
  

1.	
  	
  Proposed	
  Activity	
  Description	
  	
  

[Directions:	
  	
  Describe	
  the	
  scope	
  of	
  work	
  for	
  the	
  proposed	
  activity.	
  	
  Please	
  limit	
  the	
  response	
  to	
  no	
  more	
  than	
  5	
  pages.	
  	
  If the	
  

applicant	
  is proposing	
  a	
  program,	
  rather	
  than	
  a	
  project	
  or	
  activity, the applicant	
  must	
  provide	
  specific tasks regarding	
  the	
  

program’s	
  activities	
  and	
  operations.	
  The	
  applicant must	
  specify	
  whether	
  all program	
  activities	
  will	
  be	
  carried	
  out	
  by	
  the	
  program	
  

personnel	
  described in	
  B3.	
  	
  If	
  not,	
  the	
  applicant	
  must	
  specify	
  whether	
  the	
  program	
  will	
  require	
  contracts	
  or	
  subawards	
  to	
  

accomplish	
  the	
  proposed	
  scope	
  of	
  work.	
  	
  If	
  using	
  contracts,	
  the	
  applicant	
  must	
  provide	
  details	
  in	
  B5.	
  	
  If	
  subawards, the	
  applicant	
  

must	
  provide	
  details	
  in	
  B6.	
  	
  The	
  applicant	
  should contact RESTOREAct@treasury.gov for	
  further	
  guidance	
  prior	
  to	
  combining	
  

several	
  small	
  projects	
  or	
  activities	
  into	
  a	
  single	
  program.	
  	
  	
  Treasury	
  will	
  require	
  programmatic reporting	
  on	
  all	
  subawards,	
  and	
  

will	
  require	
  the	
  applicant	
  to	
  apply	
  the	
  relevant	
  provisions	
  of	
  the	
  Direct	
  Component	
  Grant	
  Agreement	
  to	
  every	
  subrecipient.]

2.	
  	
  Budget	
  Justification	
  [OMB	
  Uniform	
  Administrative	
  Requirements,	
  Cost	
  Principles,	
  and	
  Audit	
  Requirements	
  for	
  Federal	
  

Awards”	
  at	
  78	
  Fed.	
  Reg.	
  78,590	
  (December	
  26,	
  2013)-­‐	
  Subpart	
  E,	
  Cost	
  Principles]

[Directions:	
  Explain	
  how	
  the	
  overall	
  budget	
  supports	
  the	
  proposed	
  scope	
  of	
  work.	
  Provide	
  specific	
  justification	
  for	
  all	
  that	
  apply:

	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  

3.	
  	
  Location

(a) Please	
  provide	
  the	
  actual	
  address	
  for	
  

Street	
  address:

Municipality(ies):	
  
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 27

• personnel	
  and	
  fringe	
  (see	
  B3	
  Key	
  Personnel);

• travel	
  including	
  the	
  number	
  of	
  trips	
  and	
  estimated	
  cost	
  per	
  trip;	
  

• all	
  equipment	
  greater	
  than	
  $5,000;	
  

• supplies	
  including	
  a	
  list	
  of	
  major	
  types	
  of	
  supplies;	
  

• contractual	
  costs;	
  

• construction	
  costs;	
  and	
  

• administrative	
  costs	
  not	
  to	
  exceed	
  3% of	
  the	
  total	
  award	
  amount (attach	
  a	
  copy	
  of	
  the	
  negotiated	
  indirect	
  cost	
  

agreement,	
  if	
  applicable).	
  

If	
  other	
  federal	
  or	
  non-­‐federal	
  funds	
  will	
  be	
  used	
  to	
  complete	
  the	
  activity,	
  provide	
  an	
  explanation	
  and	
  total	
  funds	
  by	
  type:	
  

• other	
  RESTORE	
  Act	
  funds;	
  	
  

• other	
  federal	
  funds;	
  	
  

• other	
  state	
  or	
  local	
  funds;	
  	
  

• other	
  private	
  funds.]

3.	
  Key	
  personnel

[Directions:	
  	
  Identify	
  key	
  applicant	
  staff	
  who	
  will	
  undertake	
  and	
  complete	
  the	
  activities.	
  	
  Specify	
  the	
  position	
  titles,	
  duties,	
  and	
  

responsibilities	
  of	
  each	
  key	
  individual.]	
  

4.	
  Consistency	
  with	
  the	
  Applicant’s	
  Multiyear	
  Implementation	
  Plan	
  	
  

[Directions:	
  	
  Discuss	
  how	
  the	
  proposed	
  activity	
  is	
  consistent	
  with	
  the	
  applicant’s	
  multiyear	
  plan	
  on	
  file	
  with	
  Treasury,	
  including	
  the	
  

specific	
  objectives	
  and	
  outcomes	
  applicant	
  will	
  use	
  to	
  evaluate	
  the	
  activity.	
  	
  The specific	
  objectives	
  will	
  be	
  included	
  in	
  the

periodically	
  submitted Status	
  of	
  Performance	
  Report.]	
  

2.	
  	
  Budget	
  Justification	
  [OMB	
  Uniform	
  Administrative	
  Requirements,	
  Cost	
  Principles,	
  and	
  Audit	
  Requirements	
  for	
  Federal	
  

Awards”	
  at	
  78	
  Fed.	
  Reg.	
  78,590	
  (December	
  26,	
  2013)-­‐	
  Subpart	
  E,	
  Cost	
  Principles]

[Directions:	
  Explain	
  how	
  the	
  overall	
  budget	
  supports	
  the	
  proposed	
  scope	
  of	
  work.	
  Provide	
  specific	
  justification	
  for	
  all	
  that	
  apply:
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 28

5.	
  Possible	
  Material	
  Risks	
  to	
  Implement	
  and	
  Maintain the	
  Proposed	
  	
  Activity	
  	
  

[Directions:	
  	
  Please	
  list	
  the	
  possible	
  material risks,	
  e.g., operational,	
  legal,	
  regulatory,	
  budgetary	
  or	
  ecological	
  risks,	
  with	
  a	
  brief

discussion	
  of mitigation	
  strategies	
  that	
  the	
  applicant	
  may	
  need	
  to	
  address in	
  order	
  to implement	
  and/or maintain	
  the	
  proposed	
  

activity.	
  	
  (If	
  the	
  applicant	
  addresses	
  ecological	
  risks	
  in	
  the	
  response	
  to	
  question	
  #8,	
  there	
  is	
  no	
  need	
  to	
  repeat	
  them	
  in	
  this	
  

question.)

Risk Mitigation	
  Strategy

6.	
  	
  The	
  Applicant’s	
  Selection	
  and	
  Oversight	
  of	
  Contractors,	
  if	
  applicable	
  	
  
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 29

[Directions:	
  	
  Indicate	
  if	
  the	
  applicant	
  plans	
  to	
  contract	
  out	
  any	
  work	
  proposed	
  in	
  this	
  application.	
  	
  If	
  so,	
  describe	
  the	
  applicant’s	
  

contracting	
  strategy,	
  schedule,	
  and	
  plan	
  to	
  effectively	
  monitor	
  and	
  manage	
  contractor	
  performance,	
  by	
  addressing	
  ALL	
  of	
  the	
  

following:

• The	
  nature	
  of	
  the	
  work	
  to	
  be	
  contracted	
  out,	
  and	
  the expected	
   number	
  of	
  contracts	
  to	
  be	
  awarded;

• The	
  applicant’s	
  written	
  procurement	
  procedures,	
  the	
  extent	
  to	
  which these	
  comply	
  with	
  procurement	
  standards	
  in	
  

OMB’s	
  Uniform	
  Guidance	
  (2	
  C.F.R.	
  §	
  200.317	
  -­‐	
  §	
  200.326);	
  	
  

• The	
  applicant’s	
  written	
  conflicts	
  of	
  interest/standards	
  of	
  conduct policy;	
  

• The	
  applicant’s	
  non-­‐discrimination	
  policy;	
  

• The	
  expected	
  timeline	
  for	
  issuing	
  a request	
  for	
  proposals	
  (RFP)	
  	
  and	
  making	
  contract	
  awards;	
  	
  

• The	
  applicant’s	
  plan	
  for	
  monitoring	
  contractor	
  performance	
  and	
  compliance	
  with	
  applicable	
  contract	
  provisions;	
  and

• If	
  a	
  contractor	
  already	
  has been	
  selected,	
  provide	
  the	
  name	
  and	
  DUNS	
  number	
  of	
  the contractor.]

7.	
  The	
  Applicant’s	
  Selection	
  and	
  Oversight	
  of	
  Subrecipients	
  and	
  Inclusion	
  of	
  Special	
  Provisions	
  relating	
  to	
  Subawards,	
  if	
  applicable.	
  	
  

[Directions:	
  	
  Indicate	
  if	
  the	
  applicant	
  plans	
  to	
  issue	
  subawards	
  for	
  activities proposed	
  in	
  this	
  application.	
  	
  If	
  so,	
  the applicant	
  must	
  

provide ALL	
  of	
  the	
  following:	
  

• A	
  narrative	
  of	
  how it selected	
  or	
  plans to	
  select	
  any	
  subrecipient,	
  if	
  applicable;	
  	
  

• The	
  means	
  by	
  which	
  the	
  applicant	
  will	
  assess	
  each	
  subrecipient’s	
  level	
  of	
  risk	
  	
  and monitor	
  each	
  subrecipient’s	
  progress,	
  

including	
  any	
  required	
  reports;	
  and

• If	
  a	
  subrecipient	
  already	
  has	
  been	
  selected,	
  provide	
  the	
  name	
  and	
  DUNS	
  number	
  of	
  the	
  subrecipient.	
  

Treasury	
  will	
  require	
  programmatic	
  reporting	
  on	
  all	
  subawards,	
  and	
  will	
  require	
  the	
  applicant	
  to	
  apply	
  the	
  relevant	
  provisions	
  of	
  

the	
  Direct	
  Component	
  Grant	
  Agreement	
  to	
  every	
  subrecipient.]	
  	
  

8.	
  	
  	
  Public	
  Input for	
  this	
  Proposed	
  Activity	
  

6.	
  	
  The	
  Applicant’s	
  Selection	
  and	
  Oversight	
  of	
  Contractors,	
  if	
  applicable	
  	
  
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 30

[Directions:	
  	
  This	
  question	
  provides	
  an	
  opportunity	
  for	
  the	
  applicant	
  to	
  elaborate	
  on	
  its	
  brief	
  discussion	
  of	
  public	
  input	
  regarding	
  

this	
  activity	
  in	
  the	
  multiyear	
  plan	
  narrative.	
  	
  Please	
  include	
  additional	
  information	
  regarding	
  public	
  input	
  specific	
  to	
  this activity	
  if

applicable.]	
  

9.	
  	
  	
  Best	
  Available	
  Science	
  	
  	
  

[Directions:	
  	
  Only answer	
  this	
  question	
  if the	
  proposed	
  activity	
  is	
  designed	
  to	
  protect	
  or	
  restore	
  natural	
  resources (may	
  apply	
  to	
  

any	
  of	
  the	
  eligible	
  activities	
  in	
  Sec	
  34.201	
  of	
  the	
  regulations	
  if	
  the	
  activity	
  will protect	
  or	
  restore	
  natural	
  resources).	
  	
  If	
  the	
  activity	
  is

not	
  designed	
  to	
  protect	
  or	
  restore	
  natural	
  resources,	
  simply	
  indicate	
  “Not	
  Applicable.”	
   Please	
  limit	
  the answer	
  to	
  no	
  more	
  than	
  5	
  

pages.

The	
  RESTORE	
  Act	
  requires	
  activities	
  designed	
  to	
  protect	
  or	
  restore	
  natural	
  resources	
  to	
  be	
  based	
  on	
  the	
  ”best	
  available	
  science,”	
  

which	
  is	
  defined	
  in	
  the	
  Act	
  as	
  science	
  that	
  ”(a)	
  maximizes	
  the	
  quality,	
  objectivity,	
  and	
  integrity	
  of	
  information,	
  including	
  statistical	
  

information;	
  (b)	
  uses	
  peer-­‐reviewed	
  and	
  publicly	
  available	
  data;	
  and	
  (c)	
  clearly	
  documents	
  risks	
  and	
  uncertainties	
  in	
  the	
  scientific	
  

basis	
  for	
  such	
  projects.”	
  

The	
  applicant	
  proposing	
  an	
  activity	
  designed	
  to	
  protect	
  or	
  restore	
  natural	
  resources	
  must	
  explain its determination	
  that	
  the	
  project	
  

is	
  based	
  on	
  the	
  ”best	
  available	
  science.”	
  	
  In	
  addressing	
  the	
  three-­‐pronged	
  test	
  for	
  best	
  available	
  science,	
  the	
  applicant	
  must	
  cite	
  

peer-­‐reviewed,	
  objective, methodologically	
  sound	
  literature	
  sources	
  that	
  support	
  the	
  conclusion	
  that	
  the	
  proposed	
  scope	
  of	
  work	
  

is	
  an	
  effective	
  way	
  to	
  achieve	
  the	
  stated	
  objectives,	
  when	
  available.	
  

For	
  each	
  literature	
  source	
  cited,	
  the	
  applicant	
  must	
  	
  provide	
  sufficient	
  citations	
  including:

•	
   The	
  title

•	
   The	
  journal	
  in	
  which	
  the	
  literature	
  source	
  appeared,	
  if	
  applicable

•	
   The	
  publication	
  date

•	
   The	
  author(s)

The	
  applicant	
  must	
  provide:

•	
   A	
  summary	
  of	
  the	
  peer-­‐reviewed	
  information	
  that	
  justifies	
  the	
  proposed	
  objectives,	
  including	
  methods	
  used	
  for	
  the	
  

proposed	
  activity.	
  	
  If	
  peer-­‐reviewed	
  literature	
  sources	
  are	
  unavailable,	
  the	
  applicant	
  must	
  explicitly	
  state	
  this	
  and	
  provide	
  

a	
  brief	
  explanation	
  of the alternative	
  scientific	
  information	
  sources	
  that	
  were	
  used.	
  	
  If	
  the	
  applicant	
  relied	
  on	
  publicly	
  

available	
  data,	
  the	
  applicant	
  must	
  cite	
  the	
  source	
  of	
  the	
  data,	
  the	
  date	
  of	
  collection,	
  and	
  the	
  size	
  of	
  the	
  data	
  set.	
  	
  

Whenever	
  possible, the	
  applicant	
  should	
  use publicly	
  available	
  data,	
  such	
  as	
  data	
  from	
  the	
  U.S.	
  Census	
  Bureau,	
  U.S.	
  Fish	
  

and	
  Wildlife	
  Service,	
  Environmental	
  Protection	
  Agency,	
  National	
  Oceanic	
  and	
  Atmospheric	
  Administration,	
  and	
  other	
  

federal	
  agencies.	
  	
  The	
  applicant	
  must	
  provide	
  a	
  link	
  to	
  the	
  publicly	
  available	
  data	
  source	
  used.

•	
   A	
  summary	
  of	
  the	
  literature	
  sources’	
  conclusions	
  and	
  any	
  uncertainties	
  or	
  risks	
  in	
  the	
  scientific	
  basis	
  that	
  would	
  apply	
  to	
  

the	
  proposed	
  activity,	
  including	
  any	
  that	
  were	
  identified	
  by	
  the	
  public	
  or	
  by	
  a	
  Gulf	
  Coast	
  Ecosystem Restoration	
  Council	
  

member.	
  	
  

•	
   A	
  summary	
  of	
  how,	
  if	
  the	
  information	
  supporting	
  the	
  proposed	
  activity	
  does	
  not	
  directly	
  pertain	
  to	
  the	
  Gulf	
  Coast	
  

Region, the	
  applicant’s	
  methods	
  reasonably	
  support	
  and	
  are	
  adaptable	
  to	
  that	
  geographic	
  area.

•	
   A	
  summary	
  of	
  an	
  evaluation	
  of	
  uncertainties	
  and	
  risks	
  in	
  achieving	
  the	
  project’s	
  best	
  available	
  science	
  objectives	
  over	
  the	
  

longer	
  term;	
  e.g.,	
  is	
  there	
  an	
  uncertainty	
  or	
  risk	
  that	
  in	
  5-­‐10	
  years	
  the	
  project/program	
  will	
  be	
  obsolete	
  or	
  not	
  function	
  as	
  

planned	
  given	
  projections	
  of	
  sea	
  level	
  rise or	
  other	
  environmental	
  change	
  such	
  as	
  in	
  freshwater	
  inflows	
  to	
  estuaries?	
  

8.	
  	
  	
  Public	
  Input for	
  this	
  Proposed	
  Activity	
  
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 31

10. Title	
  Issues,	
  Land	
  Acquisition,	
  and	
  Permits

[Directions:	
  Answer	
  the	
  following	
  items	
  concerning	
  land	
  acquisition,	
  construction,	
  and	
  	
  permits.]

a. Permits

Does	
  the	
  proposed	
  activity	
  require	
  any	
  federal,	
  state,	
  or	
  local	
  permits?	
  

Yes	
  ☐	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  No	
  ☐

If	
  yes,	
  list	
  local,	
  state,	
  tribal,	
  or	
  federal	
  permits	
  required	
  for	
  this	
  project	
  and	
  the status	
  of	
  the	
  permits:

[If	
  the	
  permits	
  have	
  not	
  been	
  obtained,	
  and	
  the	
  applicant	
  is	
  seeking	
  the	
  permits,	
  work	
  requiring	
  permit	
  may	
  not	
  begin	
  or	
  land	
  

may	
  not	
  be	
  purchased	
  until	
  the	
  permits	
  have	
  been	
  issued	
  and	
  received	
  by	
  the	
  applicant.]

b. Land	
  acquisition	
  activities	
  

Will	
  land	
  or	
  interest	
  in	
  land	
  be	
  acquired?	
  	
  	
  Yes	
  	
  	
  	
  	
  ☐	
  	
  	
  	
  	
  	
  	
  	
  No	
  	
  	
  	
  	
  ☐	
  	
  If	
  yes,	
  answer	
  questions	
  i-­‐vii:

i.	
  	
  What	
  are	
  the	
  legal	
  rights	
  that	
  will	
  be	
  acquired?

	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  Fee	
  title	
  	
  	
  	
  ☐	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  Easement	
  	
  	
  	
  	
  	
  	
  	
  ☐	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  Other	
  (please	
  explain)	
  	
  	
  	
  	
  	
  ☐

ii.	
  If	
  an	
  easement,	
  what is	
  the	
  life	
  of	
  the	
  easement?

iii.	
  What	
  entity	
  will	
  hold	
  title	
  to	
  the	
  land?

iv.	
  What	
  is	
  the	
  total	
  acreage	
  of	
  the	
  proposed	
  property	
  to	
  be	
  acquired	
  (easement	
  or	
  fee	
  title)?

v.	
  Has	
  the	
  applicant	
  obtained	
  a	
  recent,	
  independent	
  appraisal	
  of	
  the	
  property?	
  	
  	
  Yes	
  ☐	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  No	
  ☐

	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  If	
  yes,	
  attach	
  a	
  copy	
  of	
  the	
  appraisal.

vi.	
  Has	
  the	
  applicant	
  obtained	
  a	
  title	
  opinion	
  or	
  certificate?	
  	
  	
  	
  	
  Yes	
  ☐	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  No	
  ☐

	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  If	
  yes,	
  attach	
  a	
  copy	
  of	
  the	
  title	
  opinion	
  or	
  certificate.

vii.	
  Attach	
  a	
  signed	
  statement	
  from	
  the	
  seller(s) that	
  he/she	
  is	
  a	
  willing	
  seller	
  and	
  has	
  not	
  been	
  coerced	
  into	
  selling	
  or	
  conveying	
  

the	
  property	
  interest.	
  

c. Relocation	
  Assistance	
  

Will	
  the	
  proposed	
  project	
  cause	
  the	
  displacement	
  of	
  any	
  persons,	
  businesses,	
  or	
  farm	
  operations?	
  	
  	
  Yes	
  ☐	
  	
  	
  	
  	
  	
  	
  	
  	
  	
  No	
  ☐

If	
  yes,	
  explain:	
  the	
  number	
  of	
  displaced	
  persons,	
  including	
  businesses	
  and	
  farm	
  operations;	
  what	
  fair	
  and	
  reasonable	
  relocation	
  

payments	
  and	
  advisory	
  services	
  will	
  be	
  provided	
  to	
  any	
  displaced	
  persons;	
  and	
  what	
  provisions	
  will	
  be	
  made	
  to	
  ensure	
  that	
  safe,	
  

decent,	
  and	
  sanitary	
  replacement	
  dwellings	
  will	
  be	
  available	
  to	
  such	
  persons	
  within	
  a	
  reasonable	
  period	
  of	
  time	
  prior	
  to	
  

displacement.

Treasury	
  RESTORE	
  Act	
  Environmental	
  Checklist

Directions:	
  	
  The	
  following	
  questions	
  will	
  aid	
  the	
  applicant	
  in	
  identifying	
  the	
  environmental	
  laws	
  that	
  may	
  apply	
  to	
  the	
  eligible	
  

activity	
  and	
  the	
  environmental	
  documents	
  that	
  may	
  be	
  submitted	
  with	
  the	
  grant	
  application.	
  	
  Treasury	
  will	
  use	
  the	
  submittals	
  to

record	
  the	
  Applicant’s	
  assertion	
  that	
  it	
  has	
  complied	
  with	
  applicable	
  environmental	
  laws.	
  	
  

FEDERAL	
  LAWS
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 32

1.1	
  NATIONAL	
  ENVIRONMENTAL	
  POLICY	
  ACT	
  (NEPA)

The	
  NEPA	
  of	
  1969	
  (42	
  U.S.C.	
  4321	
  et	
  seq.)	
  provides	
  a	
  national	
  policy	
  that	
  encourages	
  “productive	
  and enjoyable	
  harmony	
  between	
  

man	
  and	
  his	
  environment;	
  to	
  promote	
  efforts	
  which	
  will	
  prevent	
  or	
  eliminate	
  damage	
  to	
  the	
  environment	
  and	
  biosphere	
  and	
  

stimulate	
  the	
  health	
  and	
  welfare	
  of	
  man	
  .	
  .	
  .”	
  	
  The	
  NEPA	
  requires	
  that	
  all	
  federal	
  agencies	
  use	
  a	
  systematic, interdisciplinary	
  

approach	
  for	
  protection	
  of	
  the	
  human	
  environment;	
  this	
  approach	
  will	
  ensure	
  the	
  integrated	
  use	
  of	
  the	
  natural	
  and	
  social	
  sciences	
  

in	
  any	
  planning	
  and	
  decision-­‐making	
  that	
  may	
  have	
  an	
  impact	
  upon	
  the	
  environment.	
  	
  The	
  NEPA	
  also	
  requires	
  the	
  preparation	
  of	
  a	
  

detailed	
  Environmental	
  Impact	
  Statement	
  (EIS)	
  on	
  any	
  major	
  federal	
  action	
  that	
  may	
  have	
  a	
  significant	
  impact	
  on	
  the	
  environment.

1) Will	
  the	
  proposed	
  activity	
  be	
  under	
  the	
  permitting	
  authority	
  of	
  any	
  federal	
  agency?

Yes	
  	
   No	
  	
  

2) Will the	
  proposed	
  activity	
  receive	
  federal	
  assistance	
  (other	
  than	
  RESTORE	
  Act	
  funding)?

Yes	
  	
  	
   No	
  	
  

3) Will	
  the	
  proposed	
  activity	
  be	
  subject	
  to	
  any	
  federal	
  regulatory	
  decision	
  or	
  approval?

Yes	
   	
  No	
  	
  

If	
  the	
  answer	
  to	
  any	
  of	
  these	
  questions	
  is	
  “yes,”	
  contact	
  the	
  relevant	
  federal	
  agency	
  or	
  agencies	
  for	
  further	
  guidance	
  on	
  

environmental	
  compliance.	
  	
  Additional	
  information	
  concerning	
  NEPA	
  can	
  be	
  found	
  at:	
  	
  http://ceq.hss.doe.gov/nepa/nepanet.htm.

1.2.	
  COASTAL	
  ZONE	
  MANAGEMENT	
  ACT	
  (CZMA)

[Direct	
  Component	
  or	
  Centers	
  of	
  Excellence]	
  grant	
  applications	
  may	
  be	
  subject	
  to	
  the	
  review	
  provisions	
  of	
  Section	
  307	
  of	
  the	
  

Coastal	
  Zone	
  Management	
  Act	
  (CZMA)	
  and	
  implementing	
  regulations	
  at	
  15	
  C.F.R.	
  Part	
  930.	
  	
  Questions	
  as	
  to	
  the	
  applicability	
  of	
  the	
  

CZMA	
  consistency	
  provisions	
  should	
  be	
  directed	
  to	
  the	
  Office	
  of	
  Ocean	
  and	
  Coastal	
  Resource	
  Management/Coastal	
  Services	
  Center	
  

within	
  the	
  National	
  Oceanic	
  and	
  Atmospheric	
  Administration.	
  	
  A	
  federal	
  consistency	
  determination	
  or	
  certification	
  may	
  be	
  required	
  

from	
  the	
  state	
  coastal	
  zone	
  management	
  program,	
  based	
  on	
  the	
  following	
  questions:

1) Will	
  the	
  proposed	
  activity	
  occur	
  in	
  or	
  near	
  the	
  state	
  designated	
  coastal	
  zone	
  

(http://coastalmanagement.noaa.gov/mystate/docs/StateCZBoundaries.pdf)?

Yes	
  	
   No	
  	
  

2) Is	
  the	
  activity	
  likely	
  to	
  have	
  reasonably	
  foreseeable	
  effects	
  on	
  any	
  land	
  or	
  water	
  use	
  or	
  natural	
  resource	
  of	
  the	
  

designated	
  coastal	
  zone?

Yes	
  	
   No	
  	
  

If	
  the	
  answer	
  to	
  either	
  of	
  these	
  questions	
  is	
  “yes,”	
  contact	
  the	
  State	
  Coastal	
  Zone	
  Management	
  Program	
  

((http://coastalmanagement.noaa.gov/programs/czm.html)	
  for	
  further	
  guidance	
  on	
  federal	
  consistency	
  requirements	
  in	
  your	
  

state.	
  	
  Additional	
  information	
  on	
  federal	
  consistency	
  can	
  be	
  found	
  at:	
  	
  

http://coastalmanagement.noaa.gov/consistency/welcome.html

1.3	
  ENDANGERED	
  SPECIES	
  ACT	
  (ESA)

Section 7	
  consultations	
  may	
  be	
  required	
  if	
  a	
  threatened	
  or	
  endangered	
  species	
  or	
  critical	
  habitat	
  is	
  present.

1) Will	
  the	
  proposed	
  activity	
  occur	
  in	
  proximity	
  to	
  threatened	
  or	
  endangered	
  species	
  or	
  critical	
  habitat	
  as	
  defined	
  by	
  the	
  

ESA	
  and	
  under	
  the	
  jurisdiction	
  of	
  the	
  National	
  Marine	
  Fisheries	
  Service	
  (NMFS)	
  (http://www.nmfs.noaa.gov/pr/laws/esa/)	
  or	
  the	
  

U.S.	
  Fish	
  and	
  Wildlife	
  Service	
  (USFWS)	
  (http://endangered.fws.gov/)?

Yes	
  	
   No	
  	
  

2) Will	
  the	
  proposed	
  activity	
  potentially	
  affect	
  threatened	
  or	
  endangered	
  species	
  or	
  critical	
  habitat	
  as	
  defined	
  by	
  the	
  ESA	
  

and	
  under	
  the	
  jurisdiction	
  of	
  National	
  Marine	
  Fisheries	
  Service	
  (NMFS)or	
  U.S.	
  Fish	
  and	
  Wildlife	
  Service	
  (USFWS)?

Yes	
  	
   No	
  	
  

If	
  the	
  answer	
  to	
  either	
  of	
  these	
  questions	
  is	
  “yes,”	
  contact	
  the	
  regional	
  office	
  of	
  USFWS	
  (http://www.fws.gov/offices/)	
  and/or	
  

NMFS	
  (http://www.nmfs.noaa.gov/)	
  to	
  determine	
  if	
  consultation	
  is	
  required.	
  	
  Most	
  consultations	
  are	
  conducted	
  informally	
  with	
  

the	
  federal	
  agency	
  or	
  a	
  designated	
  non-­‐federal	
  representative.	
  	
  Non-­‐federal	
  representatives	
  may	
  be	
  involved	
  in	
  the	
  informal	
  

consultation	
  process	
  and	
  may	
  request	
  and	
  receive	
  species	
  lists,	
  prepare	
  the	
  biological	
  assessment,	
  and	
  provide	
  information	
  for	
  the	
  

formal	
  consultation.	
  	
  However,	
  the	
  USFWS	
  requires	
  the	
  action	
  agency	
  to	
  designate	
  formally	
  the	
  non-­‐federal	
  representative	
  in	
  

writing.	
  	
  Moreover,	
  the	
  ultimate	
  responsibility	
  for	
  Section	
  7	
  obligations	
  remains	
  with	
  the	
  action	
  agency.	
  	
  Additional	
  information	
  

concerning	
  Section	
  7	
  consultations	
  can	
  be	
  found	
  in	
  the	
  Endangered	
  Species	
  Act	
  Consultation	
  Handbook	
  at:	
  

http://www.fws.gov/policy/m0002.html
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 33

1.4	
  MAGNUSON	
  –	
  STEVENS	
  FISHERY	
  CONSERVATION	
  AND	
  MANAGEMENT	
  ACT	
  (FCMA)

Consultation	
  with	
  the	
  NMFS	
  may	
  be	
  required	
  if	
  Essential	
  Fish	
  Habitat	
  (EFH)	
  is	
  present.	
  	
  The	
  trigger	
  for	
  EFH	
  consultation	
  is	
  a federal	
  

agency’s	
  determination	
  that	
  an	
  action	
  or	
  proposed	
  action,	
  funded,	
  authorized,	
  or	
  undertaken	
  by	
  that	
  agency	
  may	
  adversely	
  affect

EFH.

1) Will	
  the	
  proposed	
  activity	
  occur	
  in	
  proximity	
  to	
  EFH	
  as	
  identified	
  by	
  the	
  nearest	
  Regional	
  Fishery	
  Management	
  Council	
  

(http://www.fisherycouncils.org/	
  and	
  	
  

http://www.nmfs.noaa.gov/sfa/management/councils/)

Yes	
  	
   No	
  	
  

2) Will	
  the	
  proposed	
  activity	
  potentially	
  adversely	
  affect	
  EFH?

Yes	
  	
   No	
  	
  

If	
  the	
  answer	
  to	
  either	
  of	
  these	
  questions	
  is	
  “yes,”	
  contact	
  the	
  nearest	
  regional	
  office	
  of	
  the	
  NMFS	
  (http://www.nmfs.noaa.gov/)	
  or	
  

Regional	
  Fishery	
  Management	
  Council	
  (http://www.fisherycouncils.org/)	
  to	
  determine	
  if	
  consultation	
  is	
  required.	
  	
  Additional	
  

information	
  concerning	
  EFH	
  can	
  be	
  found	
  at:	
  http://www.habitat.noaa.gov/index.html.	
  Information	
  about	
  consultations	
  can	
  be	
  

found	
  in	
  the	
  Essential	
  Fish	
  Habitat	
  Consultation	
  Guidance	
  at:	
  http://www.habitat.noaa.gov/pdf/efhconsultationguidancev1_1.pdf.

1.5	
  MARINE	
  MAMMAL	
  PROTECTION	
  ACT	
  (MMPA)

A	
  permit	
  may	
  be	
  required	
  if	
  an	
  activity	
  will	
  result	
  in	
  the	
  “take”	
  of	
  a	
  marine	
  mammal.	
  	
  Taking	
  is	
  defined	
  as	
  “to	
  harass,	
  hunt, capture,	
  

or	
  kill,	
  or	
  attempt	
  to	
  harass,	
  hunt,	
  capture,	
  or	
  kill	
  any	
  marine	
  mammal.”	
  	
  Permits	
  for	
  most	
  marine	
  mammals	
  are	
  issued	
  by	
  NMFS.	
  	
  

Manatees,	
  polar	
  bears,	
  sea	
  otters,	
  walruses,	
  and	
  dugongs,	
  however,	
  are	
  under	
  the	
  jurisdiction	
  of	
  the	
  USFWS.

1) Will	
  the	
  proposed	
  activity	
  occur	
  in	
  proximity	
  to	
  any	
  known	
  marine	
  mammals	
  

(http://www.nmfs.noaa.gov/pr/species/mammals)?

Yes	
  	
   No	
  	
  

2) Will	
  the	
  proposed	
  activity	
  likely	
  result	
  in	
  the	
  take	
  of	
  a	
  marine	
  mammal?

Yes	
  	
   No	
  	
  

If	
  the	
  answer	
  to	
  either	
  of	
  these	
  questions	
  is	
  “yes,”	
  contact	
  the	
  nearest	
  regional	
  office	
  of	
  NMFS	
  (http://www.nmfs.noaa.gov/)	
  to	
  

determine	
  if	
  a	
  permit	
  is	
  required.	
  	
  Additional	
  information	
  concerning	
  marine	
  mammal	
  permits	
  can	
  be	
  found	
  at:

http://www.nmfs.noaa.gov/pr/permits/mmpa_permits.htm	
  and

http://www.nmfs.noaa.gov/pr/permits/guide.htm.

1.6	
  CLEAN	
  WATER	
  ACT	
  (CWA)

A	
  separate	
  type	
  of	
  permit	
  is	
  required	
  to	
  dispose	
  of	
  dredge	
  or	
  fill	
  material	
  in	
  the	
  Nation’s	
  waters,	
  including	
  wetlands.	
  	
  Authorized	
  by	
  

Section	
  404	
  of	
  the	
  Act,	
  this	
  permit	
  program	
  is	
  administered	
  by	
  the	
  U.S.	
  Army	
  Corps	
  of	
  Engineers	
  (USACE),	
  subject	
  to	
  and	
  using	
  

environmental	
  guidance	
  from	
  the	
  Environmental	
  Protection	
  Agency	
  (EPA).	
  Some	
  types	
  of	
  activities	
  are	
  exempt	
  from	
  permit	
  

requirements,	
  including	
  certain	
  farming,	
  ranching,	
  and	
  forestry	
  practices	
  that	
  do	
  not	
  alter	
  the	
  use	
  or	
  character	
  of	
  the	
  land;	
  some	
  

construction	
  and	
  maintenance;	
  and	
  activities	
  already	
  regulated	
  by	
  States	
  under	
  other	
  provisions	
  of	
  the	
  Act.	
  	
  

A	
  permit	
  may	
  be	
  required	
  from	
  the	
  USACE	
  for	
  the	
  disposal	
  of	
  dredge	
  or	
  fill	
  material	
  in	
  the	
  nation’s	
  waters,	
  including	
  wetlands.

1) Will	
  the	
  proposed	
  activity	
  result	
  in	
  any	
  disposal	
  of	
  dredge	
  or	
  fill	
  material	
  to	
  the	
  nation’s	
  waters	
  or	
  wetlands?

Yes	
  	
   No	
  	
  

If	
  the	
  answer	
  to	
  this	
  question	
  is	
  “yes,”	
  contact	
  the	
  Regulatory	
  Program	
  of	
  the	
  nearest	
  District	
  Office	
  of	
  the	
  USACE	
  

(http://www.usace.army.mil/Locations.aspx)for	
  further	
  guidance	
  on	
  Section	
  404	
  permits.

A	
  Water	
  Quality	
  Certification	
  (Section	
  401)	
  is	
  required	
  for	
  activities	
  that	
  may	
  result	
  in	
  a	
  discharge	
  into	
  navigable	
  waters,	
  including	
  

wetlands,	
  watercourses,	
  and	
  natural	
  or	
  man-­‐made ponds.	
  	
  A	
  National	
  Pollution	
  Discharge	
  Elimination	
  System	
  (NPDES)	
  permit	
  may	
  

also	
  be	
  required	
  for	
  such	
  discharges.	
  1)	
  	
  Will	
  the	
  proposed	
  activity	
  result	
  in	
  any	
  discharge	
  to	
  navigable	
  waters?

Yes	
  	
   No	
  	
  

If	
  the	
  answer	
  to	
  this	
  question	
  is	
  “yes,”	
  contact	
  your state	
  water	
  quality	
  agency	
  for	
  additional	
  guidance.	
  	
  Additional	
  information	
  

concerning	
  Section	
  401	
  or	
  NPDES	
  requirements	
  can	
  be	
  found	
  at:	
  	
  http://www.epa.gov/owow/wetlands/waterquality	
  and	
  

(http://cfpub.epa.gov/npdes/).
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 34

1.7	
  CLEAN	
  AIR	
  ACT	
  (CAA)

Special	
  conditions	
  may	
  be	
  required	
  on	
  projects	
  that	
  could	
  affect	
  air	
  quality.

1) Will	
  the	
  proposed	
  activity	
  result	
  in	
  any	
  direct	
  or	
  indirect	
  emissions	
  within	
  a	
  non-­‐attainment	
  area	
  

(http://www.epa.gov/oar/oaqps/greenbk/index.html)?

Yes	
  	
   No	
  	
  

If	
  the	
  answer	
  to	
  this	
  question	
  is	
  “yes,”	
  contact	
  the	
  nearest	
  state	
  air	
  quality	
  agency	
  (http://www.4cleanair.org)	
  for	
  further	
  guidance	
  

on	
  determining	
  conformity	
  with	
  the	
  state	
  implementation	
  plan.

1.8	
  NATIONAL	
  HISTORIC	
  PRESERVATION	
  ACT	
  (NHPA)

Special	
  conditions	
  may	
  be	
  required	
  on	
  projects	
  that	
  could	
  affect	
  historic	
  resources.

1) Will	
  the	
  proposed	
  activity	
  occur	
  near	
  property	
  listed	
  or	
  eligible	
  for	
  listing	
  in	
  the	
  National	
  Register	
  of	
  Historic	
  Places	
  

(http://www.cr.nps.gov/nr),	
  or	
  near	
  property	
  otherwise	
  protected	
  by	
  section	
  106	
  of	
  the	
  National	
  Historic	
  Preservation	
  Act	
  

(http://www.nps.gov/history/local-­‐law/nhpa1966.htm)	
  or	
  a	
  similar	
  State	
  Preservation	
  Act?

Yes	
  	
   No	
  	
  

If	
  the	
  answer	
  to	
  this	
  question	
  is	
  “yes,”	
  contact	
  the	
  U.S.	
  Advisory	
  Council	
  on	
  Historic	
  Preservation	
  (http://www.achp.gov),	
  or	
  your	
  

state	
  historic	
  preservation	
  office	
  (http://www.ncshpo.org/)	
  for	
  further	
  guidance	
  concerning	
  compliance	
  requirements.

1.9	
  COASTAL	
  BARRIER	
  RESOURCE	
  ACT	
  (CBRA)

Federal	
  funding	
  may	
  be	
  prohibited	
  for	
  projects	
  that	
  occur	
  on	
  certain	
  designated	
  coastal	
  barriers.

1) Is	
  the	
  proposed	
  activity	
  located	
  on	
  an	
  undeveloped	
  coastal	
  barrier	
  designated	
  by	
  the	
  Coastal	
  Barriers	
  Resources	
  Act	
  

(http://www.fws.gov/cbra/)?

Yes	
  	
   No	
  	
  

If	
  the	
  answer	
  to	
  this	
  question	
  is	
  “yes,”	
  contact	
  the	
  nearest	
  Regional	
  Office	
  of	
  USFWS	
  (http://www.fws.gov/where)	
  for	
  further	
  

guidance.

1.10	
  RIVERS	
  AND	
  HARBORS	
  ACT

A	
  permit	
  may	
  be	
  required	
  from	
  the	
  USACE	
  if	
  the	
  proposed	
  activity	
  involves	
  any	
  work	
  in,	
  over,	
  or	
  under	
  navigable	
  waters	
  of	
  the

United	
  States.

1) Will	
  the	
  proposed	
  activity	
  involve	
  any	
  work	
  (including	
  structures)	
  that	
  will	
  occur	
  in,	
  over	
  or	
  under	
  navigable	
  waters	
  of	
  the	
  

United	
  States?

Yes	
  	
   No	
  	
  

If	
  the	
  answer	
  to	
  this	
  question	
  is	
  “yes,”	
  contact	
  the	
  Regulatory	
  Program	
  of	
  the	
  nearest	
  District	
  Office	
  of	
  the	
  USACE	
  

(http://www.usace.army.mil/Locations.aspx)	
  for	
  further	
  guidance	
  on	
  Section	
  10	
  permits.	
  	
  The	
  USACE	
  can	
  authorize	
  activities	
  by	
  a	
  

standard	
  individual	
  permit,	
  letter-­‐of-­‐permission,	
  nationwide	
  permit,	
  or	
  regional	
  permit.	
  	
  The	
  USACE	
  will	
  make	
  the	
  determination	
  

on	
  what	
  type of	
  permit	
  is	
  needed.

1.11	
  RESOURCE	
  CONSERVATION	
  AND	
  RECOVERY	
  ACT	
  (RCRA)

A	
  RCRA	
  permit	
  may	
  be	
  required	
  from	
  the	
  EPA	
  or	
  designated	
  state	
  agency	
  for	
  the	
  long-­‐term	
  storage,	
  treatment,	
  or	
  disposal	
  of	
  

hazardous	
  materials	
  or	
  petroleum	
  products.

1) Will	
  the	
  proposed	
  activity	
  include	
  the	
  long-­‐term	
  storage	
  of	
  hazardous	
  materials	
  or	
  petroleum	
  products?

Yes	
  	
   No	
  	
  

If	
  the	
  answer	
  to	
  this	
  question	
  is	
  “yes,”	
  contact	
  the	
  nearest	
  RCRA	
  Regional	
  Office	
  of	
  the	
  EPA	
  or	
  state	
  authorized	
  agency	
  	
  

(http://www.epa.gov/epawaste/inforesources/online/index.htm)	
  for	
  further	
  guidance	
  on	
  RCRA	
  compliance.	
  	
  

1.12	
  COMPREHENSIVE	
  ENVIRONMENTAL	
  RESPONSE,	
  COMPENSATION,	
  AND	
  LIABILITY	
  ACT	
  (CERCLA)

Special	
  provisions	
  and	
  requirements	
  may	
  apply	
  if	
  the	
  proposed	
  activity	
  involves	
  a	
  Superfund	
  site	
  

(http://www.epa.gov/superfund/sites/index.htm).

1) Will	
  the	
  proposed	
  activity	
  involve	
  a	
  known	
  Superfund	
  site?
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 35

Yes	
  	
   No	
  	
  

If	
  the	
  answer	
  to	
  this	
  question	
  is	
  “yes,”	
  contact	
  the	
  nearest	
  Regional	
  Office	
  of	
  the	
  EPA	
  (http://www2.epa.gov/aboutepa#pane-­‐4)	
  for	
  

further	
  guidance	
  on	
  CERCLA	
  requirements.

1.13	
  WILD	
  AND	
  SCENIC	
  RIVERS	
  ACT

The	
  Wild	
  and	
  Scenic	
  Rivers	
  Act	
  prohibits	
  federal	
  support	
  for	
  actions	
  such	
  as	
  the	
  construction	
  of	
  dams	
  or	
  other	
  instream	
  activities	
  

that	
  would	
  harm	
  the	
  free-­‐flowing	
  condition,	
  water	
  quality,	
  or	
  outstanding	
  resource	
  values	
  of	
  a	
  designated	
  Wild	
  and	
  Scenic	
  River.	
  	
  

There	
  are	
  designated	
  rivers	
  in	
  the	
  Gulf	
  Coast	
  States.

1) Is	
  the	
  proposed	
  activity	
  located	
  on	
  a	
  designated	
  Wild	
  and	
  Scenic	
  River	
  (http://www.rivers.gov/index.php)?

Yes	
  	
  	
   No	
  	
  

If	
  the	
  answer	
  to	
  this	
  question	
  is	
  “yes”	
  contact	
  contact	
  the	
  nearest	
  Regional	
  Office	
  of	
  the	
  USFWS	
  (http://www.fws.gov/where)	
  for	
  

further	
  guidance.

1.14	
  	
  SAFE	
  DRINKING	
  WATER	
  ACT

A	
  permit	
  may	
  be	
  required	
  if	
  the	
  proposed	
  activity	
  will	
  involve	
  underground	
  injection	
  which	
  may	
  impact	
  drinking	
  water	
  

sources.

1) Will	
  the	
  proposed	
  activity	
  involve	
  underground	
  injection	
  which	
  may	
  impact	
  drinking	
  water	
  sources?

Yes	
  	
  	
   No	
  	
  

If	
  the	
  answer	
  to	
  the	
  question	
  is	
  “yes,”	
  contact	
  the	
  nearest	
  state	
  drinking	
  water	
  or	
  underground	
  injection	
  control	
  program.	
  	
  For	
  

more	
  information	
  see:	
  http://water.epa.gov/lawsregs/guidance/sdwa/.	
  

EXECUTIVE	
  ORDERS

Executive	
  Orders	
  are	
  directives	
  from	
  the	
  President	
  of	
  the	
  United	
  States	
  to	
  federal	
  agencies	
  and	
  officials.

2.1	
  E.O.	
  11988	
  –	
  FLOODPLAIN	
  MANAGEMENT

This	
  Executive	
  Order	
  requires	
  that	
  an	
  eight-­‐step	
  process	
  be	
  followed	
  for	
  projects	
  that	
  may	
  have	
  potential	
  impacts	
  to	
  or	
  within	
  

floodplains.

1) Is	
  the	
  proposed	
  activity	
  located	
  in	
  a	
  designated	
  floodway	
  or	
  “V-­‐zone”	
  on	
  a	
  National	
  Flood	
  Insurance	
  Program	
  map:

(http://msc.fema.gov/webapp/wcs/stores/servlet/FemaWelcomeView?storeId=10001&catalogId=10001&langId=-­‐1)?

Yes	
  	
  	
  	
  	
  	
  	
  	
   No	
  	
  

If	
  the	
  answer	
  to	
  this	
  question	
  is	
  “yes,”	
  contact	
  the	
  nearest	
  Regional	
  Office	
  of	
  the	
  Federal	
  Emergency	
  Management	
  Agency	
  

(http://www.fema.gov/regional-­‐operations)	
  for	
  further	
  guidance.

2.2	
  E.O.	
  11990	
  –	
  WETLAND	
  PROTECTION	
  

This	
  Executive	
  Order	
  requires	
  agencies	
  to	
  minimize	
  the	
  destruction,	
  loss,	
  or	
  degradation	
  of	
  wetlands,	
  and	
  to	
  preserve	
  and	
  enhance	
  

the	
  natural	
  beneficial	
  values	
  of	
  wetlands.

1) Is	
  any	
  portion	
  of	
  the	
  proposed	
  activity	
  in	
  wetlands?

Yes	
  	
  	
  	
  	
  	
  	
  	
   No	
  	
  

If	
  the	
  answer	
  to	
  this	
  question	
  is	
  “yes,”	
  provide	
  documentation	
  in	
  the	
  grant	
  application	
  demonstrating	
  that:	
  	
  (1)	
  there	
  is	
  no	
  

practicable	
  alternative,	
  and	
  (2)	
  the	
  proposed	
  activity	
  includes	
  all	
  practicable	
  measures	
  to	
  minimize	
  harm	
  to	
  wetlands.

2.3	
  E.O.	
  12898	
  –	
  ENVIRONMENTAL	
  JUSTICE	
  

This	
  Executive	
  Order	
  requires	
  that	
  "each	
  federal	
  agency	
  shall	
  make	
  achieving	
  environmental	
  justice	
  part	
  of	
  its	
  mission	
  by	
  

identifying	
  and	
  addressing,	
  as	
  appropriate,	
  disproportionately	
  high	
  and	
  adverse	
  human	
  health	
  or	
  environmental	
  effects	
  of	
  its	
  

programs,	
  policies,	
  and	
  activities	
  on	
  minority	
  populations	
  and	
  low-­‐income	
  populations."

1) Will	
  the	
  proposed	
  activity	
  have	
  disproportionately	
  high	
  and	
  adverse	
  human	
  health	
  or	
  environmental	
  effects	
  on	
  minority	
  
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 36

or	
  low-­‐income	
  populations?	
  

Yes	
  	
  	
  	
  	
  	
  	
  	
   No	
  	
  

If	
  the	
  answer	
  to	
  this	
  question	
  is	
  “yes,”	
  see	
  the	
  Council	
  on	
  Environmental	
  Quality	
  website	
  for	
  further	
  guidance	
  on	
  Environmental	
  

Justice:	
  http://ceq.hss.doe.gov/nepa_information/justice.html.	
  	
  

2.4	
  E.O.	
  13089	
  –	
  CORAL	
  REEF	
  PROTECTION

This	
  Executive	
  Order	
  requires	
  that	
  any	
  actions	
  that	
  are	
  authorized	
  or	
  funded	
  by	
  federal	
  agencies	
  not	
  degrade	
  the	
  condition	
  of coral	
  

reef	
  ecosystems.	
  	
  The	
  some	
  of	
  the	
  Gulf	
  Coast	
  States	
  contain	
  coral	
  reef	
  ecosystems	
  and	
  include	
  National	
  Marine	
  Sanctuaries	
  

(http://sanctuaries.noaa.gov).

1) Will	
  the	
  proposed	
  activity	
  involve	
  a	
  coral	
  reef	
  ecosystem	
  or	
  National	
  Marine	
  Sanctuary?

Yes	
  	
  	
  	
  	
  	
  	
  	
   No	
  	
  

If	
  the	
  answer	
  to	
  this	
  question	
  is	
  “yes,”	
  contact	
  the	
  National	
  Oceanic	
  and	
  Atmospheric	
  Administration	
  Coral	
  Reef	
  Conservation	
  

Program	
  (http://www.coralreef.noaa.gov)	
  for	
  further	
  guidance.	
  	
  Additional	
  information	
  regarding	
  Executive	
  Order	
  13089	
  can	
  be	
  

found	
  at:	
  	
  http://ceq.hss.doe.gov/nepa/regs/eos/eo13089.html.

2.5	
  E.O.	
  13112	
  –	
  INVASIVE	
  SPECIES

This	
  Executive	
  Order	
  requires	
  agencies	
  to	
  prevent	
  the	
  introduction	
  of	
  invasive	
  species	
  and	
  provide	
  for	
  their	
  control.

1) Will	
  the	
  proposed	
  activity	
  have	
  the	
  potential	
  to	
  introduce	
  or	
  cause	
  the	
  spread	
  of	
  an	
  invasive	
  species?	
  	
  For	
  more	
  

information	
  on	
  invasive	
  species,	
  see	
  http://www.invasivespeciesinfo.gov/index.shtml.	
  

Yes	
  	
   No	
  	
  

If	
  the	
  answer	
  to	
  this	
  question	
  is	
  “yes,”	
  provide	
  documentation	
  demonstrating	
  that	
  the	
  benefits	
  of	
  the	
  activity	
  clearly	
  outweigh	
  the	
  

potential	
  harm	
  caused	
  by	
  invasive	
  species,	
  and	
  that	
  all	
  feasible	
  and	
  prudent	
  measures	
  to	
  minimize	
  risk	
  of	
  harm	
  will	
  be	
  taken	
  in	
  

conjunction	
  with	
  the	
  actions.

2.6	
  	
  	
  E.O. 13186	
  –	
  RESPONSIBILITIES	
  OF	
  FEDERAL	
  AGENCIES	
  TO	
  PROTECT	
  MIGRATORY	
  BIRDS

This	
  Executive	
  Order	
  requires	
  the	
  incorporation	
  and	
  promotion	
  of	
  migratory	
  bird	
  conservation	
  considerations	
  into	
  all	
  agency	
  

activities.	
  	
  The	
  Gulf	
  Coast	
  States	
  contain	
  North	
  American	
  migration	
  flyways.

1) Is	
  the	
  proposed	
  activity	
  likely	
  to	
  occur	
  during	
  a	
  time	
  of	
  the	
  year	
  when	
  migrating	
  birds	
  are	
  in	
  the	
  vicinity?

Yes	
  	
   No	
  	
  

If	
  the	
  answer	
  to	
  this	
  question	
  is	
  “yes,”	
  contact	
  the	
  nearest	
  Regional	
  Office	
  of	
  the	
  U.S.	
  Fish	
  and	
  Wildlife	
  Service

(http://www.fws.gov/where)	
  for	
  further	
  guidance.	
  	
  Additional	
  information	
  regarding	
  Executive	
  Order	
  13186	
  can	
  be	
  found	
  at:	
  

http://www.fws.gov/migratorybirds.

2.7	
  	
  E.O.	
  13653	
  –	
  PREPARING	
  THE	
  UNITED	
  STATES	
  FOR	
  THE	
  IMPACTS	
  OF	
  CLIMATE	
  CHANGE

This	
  Executive	
  Order	
  requires	
  federal	
  agencies	
  to	
  identify	
  and	
  support	
  smarter,	
  more	
  climate-­‐resilient	
  investments	
  by	
  States,	
  local	
  

communities,	
  and	
  tribes,	
  including	
  by	
  providing	
  incentives	
  through	
  agency	
  guidance	
  and	
  grants.

1) Will	
  the	
  proposed	
  activity	
  incorporate	
  elements	
  that	
  promote	
  climate-­‐resilience	
  (e.g.,	
  to	
  rising	
  sea	
  levels)?

Yes	
  	
  	
  No	
  	
  

If	
  yes,	
  include	
  a	
  brief	
  description	
  of	
  the	
  climate-­‐resilient	
  elements	
  in	
  the	
  grant	
  application	
  -­‐	
  proposed	
  activity	
  description.

Additional	
  information	
  regarding	
  Executive	
  Order	
  13563	
  can	
  be	
  found	
  at:	
  	
  https://sftool.gov/learn/annotation/427/executive-­‐

order-­‐13653-­‐preparing-­‐united-­‐states-­‐impacts-­‐climate-­‐change.
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 37

6.1	
   Direct	
  Component	
  Activity	
  Milestones	
  Report	
  

-­‐A-­‐

Milestone	
  

Number

-­‐B-­‐

Milestone	
  

Description

-­‐C-­‐	
  

Estimated	
  

Completion	
  

Date	
  

-­‐D-­‐	
  

If	
  milestone	
  is	
  contingent	
  

upon	
  completion	
  of	
  

another	
  milestone,	
  

please	
  specify.

-­‐E-­‐	
  

What	
  

percentage	
  of	
  

the	
  Eligible	
  

Activity	
  is	
  

estimated	
  to	
  

be	
  completed	
  

with	
  this	
  

milestone?	
  

-­‐F-­‐

Cumulative	
  

percent	
  

completion

-­‐G-­‐	
  

Actual	
  

Completion	
  

Date	
  

-­‐H-­‐

Estimated	
  

percentage	
  of	
  

Award	
  spent	
  on	
  

milestone

-­‐I-­‐

Cumulative	
  

percent	
  

spent

1 0% 0% 0% 0%

2 0% 0% 0% 0%

3 0% 0% 0% 0%

4 0% 0% 0% 0%

5 0% 0% 0% 0%

6 0% 0% 0% 0%

7 0% 0% 0% 0%

8 0% 0% 0% 0%

9 0% 0% 0% 0%

10 0% 0% 0% 0%

TOTAL ERROR! ERROR!

RESTORE	
  Act	
  Direct	
  Component	
  Milestones	
  Report	
  —	
  Department	
  of	
  the	
  Treasury OMB	
  Approval	
  No.	
  1505-­‐0250

According	
  to	
  the	
  Paperwork	
  Reduction	
  Act	
  of	
  1995,	
  no	
  persons	
  are	
  required	
  to	
  respond	
  to	
  a	
  collection	
  of	
  information	
  unless	
  it	
  displays	
  a	
  valid	
  OMB	
  control	
  number.	
  The	
  valid	
  OMB	
  control	
  number	
  for	
  this	
  information	
  collection	
  is	
  

1505-­‐0250.	
  	
  Comments	
  concerning	
  the	
  time	
  required	
  to	
  complete	
  this	
  information	
  collection,	
  including	
  the	
  time	
  to	
  review	
  instructions,	
  search	
  existing	
  data	
  resources,	
  gathering	
  and	
  maintaining	
  the	
  data	
  needed,	
  and	
  completing	
  and	
  

reviewing	
  the	
  collection	
  of	
  information,	
  should	
  be	
  directed	
  to	
  the	
  Department	
  of	
  the	
  Treasury,	
  RESTORE	
  Act	
  Program,	
  1500	
  Pennsylvania	
  Ave.,	
  NW,	
  Washington,	
  DC	
  20220.

Applicant/Grantee:

Grant	
  Title:	
  

Please	
  complete	
  Columns	
  B-­‐E	
  and	
  submit	
  with	
  the	
  application.	
  	
  If	
  project	
  was	
  approved	
  before	
  July	
  6,	
  2012,	
  please	
  show	
  milestones	
  that	
  have	
  already	
  been	
  met,	
  with	
  the	
  actual	
  date	
  of	
  completion.	
  	
  Columns	
  G-­‐H	
  are	
  to	
  be	
  

completed	
  after	
  the	
  eligible	
  activity	
  is	
  initiated.	
  	
  

Column	
  B	
  (Milestone	
  Description):	
  Separate	
  the	
  eligible	
  activity	
  into	
  key	
  discrete	
  actions	
  that	
  need	
  to	
  be	
  completed	
  (e.g.,	
  'issue	
  RFP,'	
  'start	
  Phase	
  1	
  of	
  construction,'	
  'approve	
  seafood	
  safety	
  advertisement').	
  

Columns	
  C	
  and	
  G	
  (Estimated	
  and	
  Actual	
  Completion	
  Dates):	
  Use	
  'award	
  +	
  X	
  months'	
  (e.g.,	
  'award	
  +	
  6	
  months').	
  	
  	
  

Column	
  D	
  (Contingent	
  on	
  Another	
  Milestone):	
  Note	
  whether	
  the	
  milestone	
  is	
  contingent	
  on	
  one	
  or	
  more	
  other	
  milestones	
  (e.g.,	
  'milestones	
  #1	
  and	
  #2	
  must	
  be	
  completed	
  first').	
  

Column	
  E	
  (Percentage	
  of	
  Eligible	
  Activity	
  Completed):	
  Estimate	
  what	
  percentage	
  of	
  the	
  whole	
  eligible	
  activity	
  the	
  milestone	
  comprises	
  (e.g.,	
  5%).	
  	
  Milestones	
  should	
  total	
  100%	
  of	
  eligible	
  activity.	
  	
  

Column	
  H	
  (Estimated	
  Funds	
  Spent):	
  Estimate	
  the	
  percentage	
  of	
  the	
  total	
  budget	
  spent	
  on	
  completing	
  a	
  given	
  milestone	
  (e.g.,	
  15%).	
  	
  Funds	
  spent	
  on	
  milestones	
  should	
  total	
  100%	
  of	
  the	
  eligible	
  activity	
  budget.	
  

Columns	
  F	
  and	
  I	
  (Cumulative	
  Percent):	
  These	
  columns	
  will	
  calculate	
  automatically,	
  and	
  will	
  show	
  an	
  error	
  message	
  unless	
  the	
  total	
  respective	
  values	
  in	
  corresponding	
  Columns	
  E	
  and	
  H	
  are	
  100%.	
  

6.0 DIRECT COMPONENT ACTIVITY REPORTS

The following two forms must be submitted with the application, and must include target milestones and performance measures that will be 

tracked throughout the grant period. The applicant must use these forms during the grant period to report to Treasury on progress toward the 

milestones and peformance targets (see Section 8.0).
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 38

6.2	
  RESTORE	
  Act	
  Status	
  of	
  Performance	
  Report	
  -­‐	
  Fill	
  out	
  the	
  top	
  section	
  of	
  form	
  and	
  “Measure,”	
  “Baseline,”	
  and	
  “Target”	
  and	
  

include	
  with	
  the	
  application.
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 39

7.0	
  	
  	
  DIRECT	
  COMPONENT	
  APPLICANT	
  CERTIFICATIONS

7.0 DIRECT COMPONENT APPLICANT CERTIFICATIONS
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 40
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 41

8.0	
  DIRECT	
  COMPONENT	
  PERIODIC	
  REPORTING	
  DOCUMENTATION	
  

After	
  receiving	
  an	
  award,	
  all	
  recipients	
  will	
  have	
  access	
  to	
  their	
  grant	
  portfolio	
  in	
  

GrantSolutions.gov,	
  where	
  they	
  will	
  be	
  able	
  to	
  manage	
  their	
  grant	
  activities	
  and	
  reporting	
  

requirements	
  throughout	
  the	
  performance	
  period	
  of	
  each	
  grant.	
  	
  This	
  will	
  include	
  the	
  ability	
  to	
  

submit	
  electronically	
  Post	
  Award	
  Amendment	
  requests,	
  as	
  well	
  as	
  the	
  required	
  Federal	
  

Financial	
  Reports	
  (SF-­‐425)	
  and	
  Performance	
  Progress	
  Reports	
  (SF-­‐PPR)	
  and	
  all	
  associated	
  

reporting	
  templates.	
  	
  All	
  recipients	
  will	
  be	
  required	
  to	
  file	
  the	
  following	
  reports	
  periodically,	
  as	
  

set	
  forth	
  in	
  the	
  Direct	
  Component	
  Standard	
  Terms	
  and	
  Conditions	
  in	
  the	
  recipient’s	
  grant	
  

agreement	
  executed	
  by	
  the	
  recipient	
  and	
  Treasury	
  (click	
  on	
  the	
  links	
  to	
  view	
  blank	
  forms).	
  

8.1	
   SF-­‐425	
  –	
  Federal	
  Financial	
  Report

8.2	
   SF-­‐PPR	
  –	
  Performance	
  Progress	
  Report

8.3	
   Attachment	
  to	
  SF-­‐PPR:	
  	
  RESTORE	
  Act Status	
  of	
  Performance	
  Report,	
  based	
  upon	
  the	
  

original	
  application	
  (see	
  Section	
  6.0).	
  

8.4	
   Direct	
  Component	
  Activity	
  Milestones	
  Report,	
  based	
  upon	
  the	
  original	
  application (see	
  

Section	
  6.0)	
  

8.5	
   If	
  applicable,	
  SF-­‐424A	
  or	
  SF-­‐424C,	
  based	
  upon	
  the	
  original	
  application.	
  	
  The	
  Standard	
  

Terms	
  and	
  Conditions	
  in	
  the	
  recipient’s	
  grant	
  agreement	
  will	
  describe	
  the	
  instances	
  

when	
  a	
  recipient	
  must	
  submit	
  an	
  update.	
  	
  	
  

8.6	
   The	
  Recipient	
  must	
  report	
  subaward	
  data	
  under	
  the	
  Federal	
  Funding	
  Accountability	
  and	
  

Transparency	
  Act	
  (FFATA).	
  See	
  http://www.fsrs.gov	
  for	
  details	
  on	
  how	
  and	
  when	
  to	
  file.	
  

In	
  addition,	
  the	
  following	
  forms	
  may	
  be	
  required,	
  depending	
  on	
  the	
  nature	
  of	
  the	
  award	
  or	
  

activities	
  undertaken	
  by	
  the	
  recipient.	
  	
  The	
  grant	
  agreement	
  will	
  specify	
  which	
  forms	
  are	
  

required:	
  

8.7	
   SF-­‐LLL	
  –	
  Disclosure	
  of	
  Lobbying	
  Activities.	
  See	
  31	
  C.F.R.	
  Part	
  21	
  for	
  information	
  on	
  who	
  

must	
  file.	
  

8.8	
   SF-­‐428	
  –	
  Tangible	
  Personal	
  Property	
  Report

8.9	
   SF-­‐429	
  –	
  Real	
  Property	
  Status	
  Report
RESTORE Act Direct Component Guidance and Application to Receive Federal Financial Assistance Page 42

APPENDIX	
  A	
  -­‐	
  SUMMARY	
  REFERENCE	
  FOR	
  DIRECT	
  COMPONENT	
  APPLICATIONS	
  	
  

1. Planning	
  assistance	
  for	
  development	
  of	
  multiyear	
  plan	
  (submit	
  items	
  3	
  –	
  12	
  and	
  19	
  or	
  

20	
  if	
  applicable)	
  

2. Multiyear	
   plan	
   (must	
   be	
   on	
   file	
  with	
  Treasury	
  unless	
   the	
  application	
  is	
   for	
   planning	
  

assistance	
  to	
  develop	
  a	
  multiyear	
  plan)	
  

3. Operational	
  Self-­‐Assessment	
  (must	
  be	
  on	
  file	
  with	
  Treasury	
  prior	
  to	
  award	
  of	
  funds)	
  

4. Form	
  SF-­‐424 Application	
  for	
  Federal	
  Assistance

5. Form	
   SF-­‐424A	
   Budget	
   Information	
   –	
   Non-­‐Construction	
   Programs	
   OR	
   Form	
   SF-­‐424C	
  

Budget	
  Information	
  for	
  Construction	
  Programs	
  

6. Form	
   SF-­‐424B	
   Assurances	
   Non-­‐Construction	
   Projects	
   OR	
   Form	
   SF-­‐424D	
   Assurances	
  

Construction	
  Projects	
  

7. A	
   letter	
   from	
   the	
   applicant’s	
   highest	
   official	
   designating	
   a	
   senior	
   authorized	
   official	
  

who	
  can	
  legally	
  bind	
  the	
  entity	
  to	
  execute	
  the	
  Direct	
  Component	
  Funding	
  Certification	
  

by	
  Authorized	
  Senior	
  Official

8. Required	
  Direct	
  Component	
  Applicant	
  Certifications

9. Direct	
   Component	
   Financial	
   Assistance	
   Application	
   including	
   relevant	
   maps	
   and	
   the	
  

Treasury	
  RESTORE	
  Act	
  Environmental	
  Checklist	
  

10. Negotiated	
  Indirect	
  Cost	
  Rate	
  Agreement	
  

11. Direct	
  Component	
  Activity	
  Milestones	
  Report

12. RESTORE	
  Act	
  Status	
  of	
  Performance	
  Report

13. Construction	
  projects	
  and	
  real	
  property	
  activities	
  only:	
  A map	
  of	
  the	
  area	
  in	
  which	
  

the	
  construction	
  project	
  will	
  be	
  located,	
  with	
  the	
  boundaries	
  of	
  the	
  project	
  site	
  clearly	
  

delineated	
  

14. Construction	
  and	
  real	
  estate	
  acquisition	
  projects	
  only:	
  A	
  Federal	
  Emergency	
  

Management	
  Agency	
  floodplain	
  map	
  of	
  the	
  area	
  in	
  which	
  the	
  construction	
  project	
  will	
  

be	
  located	
  with	
  the	
  boundaries	
  of	
  the	
  site	
  clearly	
  delineated	
  	
  	
  

15. Construction	
  projects	
  and	
  real	
  property	
  activities	
  only:	
  Documentation	
  relating	
  to	
  

title,	
  including	
  recorded	
  easements,	
  and	
  other	
  legal	
  matters	
  arising	
  out	
  of	
  the	
  

acquisition	
  or	
  conveyance,	
  such	
  as	
  disclosure	
  of	
  outstanding	
  liens	
  and	
  recorded	
  

easements	
  

16. Real	
  property	
  activities	
  only:	
  A	
  copy	
  of	
  a	
  recent	
  appraisal	
  completed	
  by	
  a	
  certified	
  

appraiser	
  and	
  a	
  statement	
  from	
  the	
  seller	
  that	
  he/she	
  is	
  a	
  willing	
  seller	
  	
  

17. Non-­‐federal	
  match	
  only:	
  A	
  copy	
  of	
  the	
  approval	
  letter	
  and	
  grant	
  agreement,	
  or	
  a	
  copy	
  

of	
  the	
  applicant’s	
  application	
  package	
  and	
  a	
  narrative	
  describing	
  the	
  activity’s	
  status	
  

and	
  the	
  approximate	
  timeline	
  for	
  the	
  Federal	
  agency	
  to	
  approve	
  or	
  decline	
  the	
  activity	
  

18. Activities	
  approved	
  prior	
  to	
  July	
  6,	
  2012	
  only:	
  Documentation	
  showing	
  that	
  the	
  

activity	
  was	
  approved	
  prior	
  to	
  July	
  6,	
  2012	
  and	
  other	
  documentation	
  specified	
  in	
  

section	
  3.0	
  

19. Alabama	
   only:	
   A	
   certification,	
   signed	
   by	
   the	
   authorized	
   official,	
   that	
   the	
   funding	
  

request	
   was	
   approved	
   by	
  majority	
   vote	
   in	
   accordance	
   with	
   33	
   U.S.C.	
   §1321(t)(1)(F),	
  

and	
  that	
  Alabama	
  is	
  in	
  compliance	
  with	
  33	
  U.S.C.	
  §1321(t)(1)(F)(i)(IV).	
  

20. Louisiana	
  parishes	
  only:	
  	
  a	
  copy	
  of	
  a	
  signed	
  certification	
  that	
  complies	
  with	
  31	
  CFR	
  

§34.302(e),	
  pertaining	
  to	
  its	
  comprehensive	
  land	
  use	
  plan