COMDTPUB 16755.3B STATE GUIDE 03012022.pdf

COMDTPUB 16755.3B

01 March 2022

COMMANDANT PUBLICATION 16755.3B

Subj: STATE RECREATIONAL BOATING SAFETY GRANT PROGRAMS

1. PURPOSE. This Publication provides a reference to the laws, regulations, and guidelines that govern the acceptance of State Recreational Boating Safety (RBS) programs and the administration of grant funding that is available to eligible States (as defined in Chapter 1). It will assist the States in applying for and administering funds provided under the National

Recreational Boating Safety (RBS) State Grant Program.

2. ACTION. All States will comply with the provisions of this Publication. All Coast Guard personnel will use this Publication as a reference when providing guidance to State RBS

Programs. Internet release is authorized.

3. DIRECTIVES AFFECTED. The State Recreational Boating Safety Programs "State Guide,"

COMDTPUB Pl6755.3A, is hereby cancelled.

4. OBJECTIVE. The goal of the program is to encourage the States to assume the primary role in carrying out boating safety activities within their jurisdictions. This Publication provides key elements and requirements for program approval, and it describes monitoring and enforcement actions that may be taken by the Coast Guard.

5. DISCUSSION.

a. The major functions of the National RBS Program are to encourage greater State participation and uniformity in boating safety efforts and particularly to permit the States to assume the greater share of boating education, assistance, and enforcement activities.

b. The Secretary of Homeland Security has delegated the authority to administer the State

RBS programs and funds to the USCG. Commandant (CG-BSX-2) is responsible for administration of the State RBS Grant Program. Within Headquarters, the day-to-day program administration is managed by the Program Management and Operations Branch

(CG-BSX-21) and the financial administration is managed by the Grants Management

Branch (CG-BSX-22) of the Boating Safety Division (CG-BSX-2) of the Office of

Auxiliary and Boating Safety (CG-BSX). State applications for grant funding and the associated financial reports are submitted to Commandant (CG-BSX-21 and CG-BSX-

Commandant United States Coast Guard

2703 Martin Luther King Jr. Ave Washington, DC 20593-7501 Staff Symbol: CG-BSX-2 Phone: (202) 372-1064

22) for review to ensure accuracy and to determine program compliance and certification of eligibility.

c. The States have the greater share of RBS education and on-water enforcement activities.

The primary role of the Coast Guard in relation to boating safety education and enforcement is coordination, training, liaison, monitoring program effectiveness, and public information.

d. This Publication contains guidance that promulgate procedures and policies to accomplish the purpose of this Publication.

6. DISCLAIMER. This guidance is not a substitute for applicable legal requirements, nor is it itself a rule. It is not intended to, nor does it, impose legally binding requirements on any party. It represents the Coast Guard's current thinking on this topic and may assist industry, mariners, the general public, and the Coast Guard, as well as other federal and state regulators, in applying statutory and regulatory requirements. You can use an alternative approach for complying with these requirements if the approach satisfies the requirements of the applicable statutes and regulations. If you want to discuss an alternative approach (you are not required to do so), you may contact the Coast Guard’s Boating Safety Division who is responsible for implementing this guidance.

7. PROCEDURES. Each State will:

a. Comply with the procedures and policies contained herein.

b. Ensure that all personnel assigned to duties affecting the administration of any element of the State RBS Grant Program are familiar with the contents of this Publication.

c. Advise Commandant (CG-BSX-2) of additional elements that should be included in future changes to this Publication.

8. RECORDS MANAGEMENT CONSIDERATIONS. This Publication has been thoroughly reviewed during the directives clearance process, and it has been determined there are records scheduling requirements, in accordance with Federal Records Act, 44 U.S.C. 3101 et seq., National Archives and Records Administration (NARA) requirements, and the

Information and Life Cycle Management Manual, COMDTINST M5212.12 (series).

9. ENVIRONMENTAL ASPECT AND IMPACT CONSIDERATIONS.

a. The development of this Publication and the general policies contained within it have been thoroughly reviewed by the originating office in conjunction with the Office of

Environmental Management, Commandant (CG-47). This Publication is categorically excluded under current requirements of the National Environmental Policy Act.

b. The Office of Environmental Management (CG-47) reviewed the development of this

Instruction, and the general policies contained within it, and determined that this policy falls under the Department of Homeland Security (DHS) categorical exclusion A3. No further environmental analysis is necessary in accordance with the U.S. Coast Guard

Environmental Planning Policy, COMDTINST 5090.1 (series).

c. This Publication will not have any of the following: significant cumulative impacts on the human environment; substantial controversy or substantial change to existing environmental conditions; or inconsistencies with any Federal, State, or local laws or administrative determinations relating to the environment. All future specific actions resulting from the general policy in this Publication must be individually evaluated for compliance with the National Environmental Policy Act (NEPA) and Environmental

Effects Abroad of Major Federal Actions, Executive Order 12114, Department of

Homeland Security (DHS) NEPA policy, Coast Guard Environmental Planning policy, and compliance with all other applicable environmental mandates.

10. FORMS/REPORTS. All forms described herein are available electronically from https://www.grants.gov/web/grants/forms.html or www.uscgboating.org.

11. REQUEST FOR CHANGES. Recommendations for changes or improvements to this

Instruction are welcome and may be submitted to COMDT (CG-BSX) at

RBSInfo@uscg.mil.

J. W. MAUGER//s//

Rear Admiral, U.S. Coast Guard

Assistant Commandant for Prevention Policy https://www.grants.gov/web/grants/forms.html http://www.uscgboating.org/ i

Table of Contents DEFINITIONS ................................................................................................................................ v

USCG Headquarters & District Addresses .................................................................................. viii

USCG Headquarters ................................................................................................................. viii

USCG Districts ......................................................................................................................... viii

CHAPTER 1 – INTRODUCTION

1.1 Purpose

1.2 Applicability and Scope

1.3 Eligible Participants

a. Eligible State

b. National Nonprofit Public Service Organization

1.4 Agency Administration

1.5 Changes

CHAPTER 2 – STATE RBS PROGRAMS

2.1 Purpose

2.2 Applicability and Scope

2.3 Program Approval Requirements

a. Vessel numbering system approved by the Secretary

b. A cooperative RBS agreement with the USCG

c. Sufficient patrol and other activity

d. An adequate State boating safety education program

e. A system, approved by the Secretary, for reporting marine casualties

2.4 Program Duration

CHAPTER 3 – FEDERAL ASSISTANCE AND STATE ALLOCATIONS

3.1 Purpose

3.2 Applicability and Scope

3.3 Availability

3.4 Eligibility

3.5 Distribution of Federal Financial Assistance

3.6 Computation of State Allocations

3.7 Availability of Allocations

3.8 Limitation on Amounts Distributed

CHAPTER 4 – FINANCIAL ADMINISTRATION

4.1 Purpose

ii

4.2 Applicability and Scope

4.3 Availability of Federal Funds

4.4 State Program

4.5 Application for Federal Financial Assistance

4.6 Intergovernmental Review

4.7 Review and Approval of Applications

4.8 Financial Agreement

4.9 Amendment to Financial Agreement and/or Approved Application Documents

4.10 Responsibility

4.11 Financial Management Systems

4.12 Standards for Financial Management Systems

4.13 Budget Information

4.14 Budget Revision

4.15 Audit Requirements

4.16 Allowable Costs

4.17 Equipment

4.18 Personnel Compensation

b. Alternative Method for Time Distribution

4.19 Program Income

4.20 Payments

CHAPTER 5 – PROCUREMENT

5.1 Purpose

5.2 Applicability and Scope

5.3 Procurement Procedures

5.4 Contract Provisions

c. Equal Employment Opportunity

d. Contract Work Hours and Safety Standards Act

e. Rights to Inventions Made Under a Contract or Agreement

f. Clean Air Act

h. Debarment and Suspension

i. Byrd Anti-Lobbying Amendment

5.5 Responsibilities

CHAPTER 6 – REPORTING AND RECORDS RETENTION

6.1 Purpose

iii

6.2 Applicability and Scope

6.3 Responsibility

6.4 Financial Reports

a. Federal Financial Report

b. RBS Grant Form Tool

c. Request for Reimbursement

6.5 Performance Report

6.6 Certification of Numbered Vessels

6.7 Boating Accident Report

6.8 Audit Reports

a. Frequency

b. Scope of Audit

6.9 Retention and access requirements for records

CHAPTER 7 – PROGRAM FACILITIES

7.1 Purpose (General)

7.2 Applicability and Scope

7.3 Eligible Purposes

7.4 Documentation

a. Need

b. Objective

c. Location

d. Approach

e. Estimated Cost

7.5 Allowable Costs

7.6 Maintenance

7.7 Real Property

CHAPTER 8 – PUBLIC ACCESS SITES

8.1 Purpose (General)

8.2 Applicability and Scope

8.3 Eligible Purposes

8.4 Documentation

a. Need

b. Objective

c. Location iv

d. Approach

e. Estimated Cost

8.5 Allowable Costs

8.6 Maintenance

8.7 Real Property

8.8 Special Provision

CHAPTER 9 – ENFORCEMENT ACTIONS

9.1 Purpose

9.2 Applicability and Scope

9.3 Requirements

9.4 Background

9.5 Policy

9.6 Programmatic Enforcement Actions

9.7 Financial Enforcement Actions

9.8 Appeal Procedures

Appendix I: Criteria to Determine State RBS Program Eligibility

A: Officers and Equipment

B: Enforcement Activity

C: Officer Training

D: Boating Safety Education

E: Administration

Appendix II: Reporting Requirements & Due Dates

Federal Financial Reporting Requirements

Programmatic Performance Reporting Requirements v

DEFINITIONS

Advance A payment of Federal funds to a State, upon its request or through the use of predetermined payment schedules, before expenditures are made by the State. A State must justify the need for an advance.

Allocation The amount of funds that are reserved for a State from federal funds available during a fiscal year for the purposes of 46 U.S.C., Chapter

131.

Available Federal

Funds

Federal funds available for allocation may include:

1) Funds appropriated for allocation during a given fiscal year;

2) Funds previously allocated to a State that were withdrawn because they were unobligated at the end of a three-year period; and,

3) Funds carried forward that were not allocated by the

Commandant at the end of the previous fiscal year.

Code of Federal

Regulations (C.F.R.)

A codification of the general and permanent rules published in the

Federal Register by the executive departments and agencies of the federal government.

Cooperative

Agreement

An agreement between a State and the USCG (District office) that defines the relationship between the parties in carrying out RBS programs. May also be called Memorandum of Understanding or

Statement of Understanding.

Department of

Homeland Security

A cabinet-level department in the federal government. The USCG is a service in this Department (DHS) except when it is operating as a service in the Department of the Navy.

Designated State

Agency

The lead authority or agency designated by the Governor of a State to carry out the State’s RBS program. This term is used in this publication to represent both lead authority and lead agency for readability.

Eligible State A State with a RBS program that has been approved by the USCG as meeting the requirements of 46 U.S.C. §13103 and all applicable regulations.

Federal Fiscal Year

(FY)

The 12-month period beginning on 1 October and ending on the following 30 September.

Financial Assistance A grant of federal funds to a State in support of its RBS program.

vi

Grant Management

Branch

Grants Management Branch (CG-BSX-22).

Grant Management

Specialist

Individual within the USCG Office of Auxiliary and Boating Safety's

Grants Management Branch (CG-BSX-22) who is assigned responsibility for the financial administration of federal financial assistance for State RBS programs.

Grants Officer Chief, Grants Management Branch (CG-BSX-22).

Insular Areas The insular areas are American Samoa, the Commonwealth of the

Northern Mariana Islands, Commonwealth of Puerto Rico, Guam, and the U.S. Virgin Islands.

Matching Share That portion of total program costs required to be committed by the

State to qualify for federal financial assistance.

Obligation The amount of orders placed, contracts and sub-grants awarded, goods and services received, and similar transactions during a given period that will require payment by the grantee during the same or a future period.

OMB The Office of Management and Budget.

Outlays The sum of actual cash expenditures made and indirect costs incurred by a State in support of its RBS program.

Program Branch

Chief

Chief, Program Management and Operations Branch (CG-BSX-21).

Program Director Director of Inspections and Compliance (CG-5PC).

Program Manager Chief, Boating Safety Division (CG-BSX-2).

Program Office Chief Chief, Office of Auxiliary and Boating Safety (CG-BSX).

Recreational Boating

Safety (RBS)

Program

Coordinated activities aimed at promoting RBS.

Reimbursement Payment by Electronic Funds Transfer of the federal share of a State’s expenditures for its boating safety program.

Secretary The Secretary of the Department of Homeland Security.

Single Audit An audit conducted by an independent auditor for the State.

vii

State A state of the United States, American Samoa, the Commonwealth of the Northern Mariana Islands, the Commonwealth of Puerto Rico, the

District of Columbia, Guam, and the U.S. Virgin Islands.

State Program

Coordinator

Individual within the USCG Office of Auxiliary and Boating Safety's

Program Management and Operations Branch (CG- BSX-21) who is assigned responsibility for the programmatic administration of federal financial assistance for State RBS programs.

U.S. Coast Guard

(USCG)

A military service and a branch of the armed forces of the United

States. The USCG is a service in the Department of Homeland

Security except when operating as a service in the Navy.

United States Code

(U.S.C.)

The code of the laws of the United States of America.

Unliquidated

Obligations

The amount of obligations incurred by a State that has not been paid.

Unobligated Balance The portion of funds authorized by the federal agency that has not been obligated by the state and is determined by deducting the cumulative obligations from the cumulative funds authorized.

viii

USCG Headquarters & District Addresses

USCG Headquarters

Grants Officer Chief, Grants Management Branch (CG-BSX-22)

Office of Auxiliary and Boating Safety

U.S. Coast Guard Headquarters

2703 Martin Luther King Ave, SE

Program Branch Chief Chief, Program Management and Operations Branch (CG-BSX-21)

U.S. Coast Guard Headquarters

Program Manager Chief, Boating Safety Division (CG-BSX-2)

U.S. Coast Guard Headquarters

Program Office Chief Chief, Office of Auxiliary and Boating Safety (CG-BSX)

U.S. Coast Guard Headquarters

Program Director Director of Inspections and Compliance (CG-5PC)

U.S. Coast Guard Headquarters

USCG Districts

First District Commander, First Coast Guard District (dpa)

408 Atlantic Avenue

Boston, MA 02110-3350

Fifth District Commander, Fifth Coast Guard District (dpw)

Room 416

431 Crawford St.

Portsmouth, VA 23704-5004 ix

Seventh District Commander, Seventh Coast Guard District (dpa)

Federal Building

909 SE First Avenue

Miami, FL 33131-3050

Eighth District Commander, Eighth Coast Guard District (dp-rbs)

500 Poydras Street

Room 1341

New Orleans, LA 70130-3396

Ninth District Commander, Ninth Coast Guard District (dpa)

1240 East Ninth Street

Cleveland, OH 44199-2060

Eleventh District Commander, Eleventh Coast Guard District (dpi)

Coast Guard Island, Bldg. 50-8

Alameda, CA 94501-5100

Thirteenth District Commander, Thirteenth Coast Guard District (dpi)

Jackson Federal Building

915 Second Avenue

Seattle, WA 98174-1067

Fourteenth District Commander, Fourteenth Coast Guard District (dpi)

300 Ala Moana Blvd, Room 9-212

Honolulu, HI 96850-4982

Seventeenth District Commander, Seventeenth Coast Guard District (dpi-rbs)

P.O. Box 25517

Juneau, AK 99802-5517

CHAPTER 1 – INTRODUCTION

1.1 Purpose. This Publication provides guidance related to the federal laws, rules implementing those laws, standards and procedures applicable to acceptance of a State

Recreational Boating Safety (RBS) Program and receipt of funds administered by the U.S.

Coast Guard (USCG). Guidance applicable to State RBS program approval also is provided. Every effort has been made to ensure that information contained in this

Publication is thorough and up-to-date. The material is intended as amplification for interpretation of the laws and regulations governing federal funds for State RBS programs;

however, it is not intended to supersede any federal requirement and States should not rely solely on its contents.

1.2 Applicability and Scope. The guidance contained in this Publication is applicable to the

State RBS program authorized by the following chapters of Title 46, United States Code

(U.S.C.):

a. Recreational Vessels (46 U.S.C., Chapter 43);

b. Reporting Marine Casualties (46 U.S.C., Chapter 61);

c. Numbering Undocumented Vessels (46 U.S.C., Chapter 123); and,

d. Recreational Boating Safety (46 U.S.C., Chapter 131).

1.3 Eligible Participants. States (as defined in 2 C.F.R. § 200.1 and in this Publication) may apply to the USCG for approval of the boating safety program enacted by the State. States with approved programs are eligible to apply for RBS funds.

a. Eligible State – A state that has a USCG-approved RBS program as outlined in

Section 2.3 of this Publication.

b. National Nonprofit Public Service Organization – Each year a Federal Financial

Assistance Application Package is prepared and made available to all prospective grantees that provides guidance on the eligibility requirements and includes the latest application procedures for national nonprofit public service organizations.

1.4 Agency Administration. The Secretary of Homeland Security has delegated the authority to administer these State RBS programs and funds to the USCG. Within the USCG, the

Program Director is the Director of Inspections and Compliance. USCG District

Commanders (see addresses found in the previous section) have been delegated the authority to enter into Cooperative Agreements with States and local jurisdictions on RBS-related matters. The role of the District is “supportive” not “directive” with respect to the

States. The Districts’ role is to facilitate the States’ ability to be effective, especially in coordinating the use of USCG assets. The approval of applications for RBS funds and the authority to enter into financial agreements is reserved for the Grants Officer. Questions concerning State RBS programs may be directed to the appropriate USCG Headquarters or

District Office. Questions concerning the federal financial assistance program should be directed to the Grants Officer.

1.5 Changes. This Publication will be updated per USCG policy or as updates to regulations, policy, or practice necessitate. The USCG will address the need for a review with the

States at least every three years.

CHAPTER 2 – STATE RBS PROGRAMS

2.1 Purpose. This Chapter provides guidance on the general requirements, standards, and procedures for State RBS programs.

2.2 Applicability and Scope. This Chapter is applicable, in general, to the requirements to receive USCG approval of State RBS programs. Each of the authorizing statutes (listed in

Chapter 1) and the implementing regulations provide the minimum requirements. The material in this Chapter is a summary of the requirements of laws and regulations applicable to State RBS programs and is not intended to supersede any existing laws and regulations.

2.3 Program Approval Requirements. Requirements for USCG approval of a State RBS program are set forth in 46 U.S.C. § 13103. USCG will approve a State RBS program and the State will be eligible to receive RBS funds if the program includes:

a. Vessel numbering system approved by the Secretary. This system will:

1) Provide for facilities, personnel and systems needed to administer the approved

State vessel numbering system in accordance with the provisions of 46 U.S.C., Chapter 123 and the implementing regulations in 33 C.F.R. Parts 173 and 174.

2) Assure that a State will compile and submit the annual “Certification of

Numbered Vessels” statement to the USCG not later than 31 January of each year (for guidance on the maintenance and filing of reports see Section 6.6 of this

Publication).

3) When considering revisions to an approved State numbering system [46 U.S.C. §

12302(f)], States must submit to the appropriate State Program Coordinator one copy of the revised State law, implementing regulations, applicable forms, and policy statements, if any, that pertain to the numbering system revisions.

b. A cooperative RBS agreement with the USCG. A RBS Cooperative Agreement between the USCG and a State sets forth the respective responsibilities for RBS functions/activities and for such other arrangements as may be agreed upon. In addition, agreements between States relating to comity and uniformity of laws and regulations and permitting maximum use of boating safety resources are encouraged.

An agreement between neighboring States may be made part of the USCG/State RBS

Cooperative Agreement. The Cooperative Agreement will address provisions contained in FEDERAL/STATE RELATIONS – RECREATIONAL BOATING

SAFETY, COMDTINST 16750.8 (series), and will be executed by the cognizant

USCG District Commander.

NOTE: State aids to navigation agreements are governed by 33 C.F.R. § 66.05-20 and are separate from this cooperative agreement. Any aids to navigation agreements, if needed, will incorporate the provisions described in the Code of Federal

Regulations and the Aids to Navigation Administration Manual Administration, COMDTINST M16500.7 (series).

c. Sufficient patrol and other activity to ensure adequate enforcement of applicable

State boating safety laws and regulations. The State’s RBS program will:

1) Provide acceptable facilities, vessels, vehicles, and personal equipment necessary to conduct law enforcement operations.

2) Maintain enough qualified marine patrol officers to conduct law enforcement operations.

3) Ensure the enforcement of State boating safety laws and regulations.

4) Promote public awareness and acceptance of RBS laws and regulations.

5) Be assessed using the Program Measurement Tool for Adequate and Sufficient

Programs (PMTASP, Appendix I: Criteria to Determine State RBS Program

Eligibility). The scoring is as follows:

i) Officers & Equipment:

Score a minimum of 80 for Items P1 and P2 combined.

ii) Enforcement Activity:

Maintain a minimum score of 60 out of 80 for Item P3.

Maintain a minimum score of 12 out of 15 for Item P4.

iii) Officer Training:

Score a minimum of 50 for Items P5 and P6 combined.

d. An adequate State boating safety education program. This program will:

1) Meet the requirements in 46 U.S.C. §13103(c)(4) for an adequate State boating safety education program, that includes the dissemination of information concerning the hazards of operating a vessel when under the influence of alcohol or drugs.

2) Meet or exceed the National Boating Education Standards (knowledge based).

3) Ensure courses are available throughout the State and throughout the year either in classrooms, online, or through correspondence courses.

4) Include at least one public RBS course that meets or exceeds the National

Boating Education Standards.

5) Coordinate with the USCG's outreach and education coordinator and District

RBS Specialist whenever possible in developing public RBS outreach and education programs in order to foster uniformity and reciprocity.

6) Continue to maintain and supervise the State RBS education program when using volunteer instructors.

7) Not count the value of volunteer services (to include hours of teaching, preparation, or transportation to venue) toward the State's matching shares of program costs.

8) Be assessed using the PMTASP, RBS Education section as follows:

i) Score a minimum of 100 for Items P7 through P11 combined.

e. A system, approved by the Secretary, for reporting marine casualties. This system will:

1) Provide a uniform State system for reporting marine causalities in accordance with 46 U.S.C. § 6102 and 33 C.F.R. Parts 173 and 174.

2) Provide for the State’s active enforcement of failure to report a reportable boating accident.

3) Provide for the compilation and submission to the USCG of reports, information, and statistics on casualties reported to the State as required by 33 C.F.R. Part

174. Reports will include information on casualties in which the use of alcohol or drugs contributed to the casualty.

NOTE: An electronic copy of each State’s accident and investigative report data that meets the reporting requirements found in 33 C.F.R. § 173.57 and 174.103, including any alcohol/drug test results, will be delivered via the current reporting system to the Boating Safety Division's Program Management and Operations

Branch (CG-BSX-21) at USCG Headquarters within thirty (30) days of receipt of the initial casualty or accident report.

2.4 Program Duration. Requirements for USCG approval of a State RBS program remain in effect until such time as the State program is changed to where it is no longer consistent with the above provisions and the State is so notified by the USCG. The USCG/State RBS

Cooperative Agreement (required under Section 2.3b of this Chapter) can be cancelled by either the USCG or the State with at least thirty (30) days’ notice to the other party.

Approval of a State’s RBS program is automatically rescinded upon cancellation of the

Cooperative Agreement.

CHAPTER 3 – FEDERAL ASSISTANCE AND STATE

ALLOCATIONS

3.1 Purpose. This Chapter provides guidance on the availability, eligibility, and allocation of

Federal financial assistance provided to States to administer State RBS programs.

3.2 Applicability and Scope. The guidance provided in this Chapter is applicable to federal financial assistance administered by the USCG for State RBS programs. The material is intended as amplification for further interpretation of the provisions of laws and regulations on the availability, eligibility, and allocation of federal funds, and is not intended to supersede any federal requirement.

3.3 Availability. Federal financial assistance for State RBS programs from the Boat Safety

Account of the Sport Fish Restoration and Boating Trust Fund is authorized by 46 U.S.C. §

13107(a).

3.4 Eligibility. States with approved RBS programs may receive federal financial assistance from the Sport Fish Restoration and Boating Trust Fund established by 26 U.S.C. § 9504, if the State demonstrates to the USCG's satisfaction that:

a. The program submitted by a State to the USCG is consistent with Chapters 61, 123, and 131 of Title 46 U.S.C. and the federal regulations implementing those statutes.

b. Amounts received will be used to further develop and carry out a State RBS program containing the minimum requirements of 46 U.S.C. § 13103(c).

c. Sufficient State matching amounts are available from general State revenue, undocumented vessel numbering and operator license fees, State marine fuel taxes, or from a fund constituted from the proceeds of those taxes and established to finance a

State RBS program. The matching amount must be monetary.

d. The program submitted by the State designates a State lead agency or authority to carry out or coordinate carrying out the State RBS program, including the requirement that the Designated State Agency submit required reports that are necessary and reasonable to carry out the program and that are in the form prescribed by the Secretary.

3.5 Distribution of Federal Financial Assistance. Federal funds appropriated for State RBS programs will be distributed as follows:

a. An amount equal to 17.315 percent of the Dingell-Johnson Sport Fish Restoration Act

(16 U.S.C. § 777c) will be made available to the Secretary of the department in which the USCG is operating for coordination of a national RBS program and administration of State RBS programs under 46 U.S.C. § 13107.

b. Not more than five (5) percent of the amount available for allocation and distribution in a FY may be allocated for national boating safety activities of national nonprofit public service organizations [46 U.S.C. § 13104(c)].

c. The balance will be allocated and distributed for State RBS programs.

3.6 Computation of State Allocations. 46 U.S.C. § 13108 requires the USCG to determine, during the second quarter of a FY and on the basis of computations made under 46 U.S.C.

§ 13106 and submitted by the States for the preceding FY, the percentage of the amounts available to which each eligible State is entitled for the next FY. In accordance with 46

U.S.C. § 13104(a), State allocations will be determined as follows:

a. One-third allocated equally each FY among eligible States.

b. One-third allocated among eligible States that maintain a State vessel numbering system approved under 46 U.S.C. § 12302 and a marine casualty reporting system approved under 46 U.S.C. § 6102. The amount allocated each FY to each eligible

State will be in the same ratio as the number of vessels numbered in that State in comparison to the number of vessels numbered in all eligible States.

c. One-third allocated so that the amount allocated to each eligible State will be in the same ratio as the total State expenditures for the RBS program during the prior FY bears to the amounts expended by all eligible States for RBS programs during that

FY.

3.7 Availability of Allocations. Under 46 U.S.C. § 13105 amounts allocated to a State are available for obligation by that State for a period of three (3) years after the date of allocation. The date of allocation is the date the States are formally notified in writing by the USCG of the amount of allocation. Federal funds unobligated by a State at the end of the three (3) years will be withdrawn and. redistributed to the other States via the calculation for the following FY. States will be notified of the potential loss of funds.

NOTE: Notification of the Final Allocation Chart is normally provided at the beginning of the second quarter of the FY, generally in January or February.

3.8 Limitation on Amounts Distributed. 46 U.S.C. § 13104(b) limits the amount of federal funds that a State can receive in a FY to not more than one-half of the total cost incurred by that State in developing, carrying out, and financing that State’s RBS program in that FY.

NOTE: In compliance with 46 U.S.C. § 13104(b) and 48 U.S.C. § 1469a(d), the USCG will enforce the statutory requirement governing the State RBS program that local matching funds be provided by the insular areas for allocation amounts as determined by the Grants Officer.

CHAPTER 4 – FINANCIAL ADMINISTRATION

4.1 Purpose. The purpose of this Chapter is to provide guidance on the general requirements, standards, and procedures for the administration of RBS funds.

4.2 Applicability and Scope. Administrative requirements and standards for federal financial assistance, namely the Uniform Administrative Requirements, Cost Principles, and Audit

Requirements for Federal Awards, are published in the Code of Federal Regulations under

2 C.F.R. Part 200. The material contained in this Chapter is intended as amplification for interpreting the requirements of applicable laws and regulations and to provide established

USCG procedures. However, the contents of the Chapter are not intended to supersede any

Federal requirement.

4.3 Availability of Federal Funds. The following general provisions are applicable to RBS program funding.

a. A State’s allocation of federal financial assistance remains available for obligation by that State for RBS program functions/activities for three years following the date of the final allocation notice issued by the USCG.

b. A State may apply for all or part of its federal allocation, but not more than the amount of the State’s matching funds for that FY.

1) If a State applies for less than the amount allocated to that State for the FY, the balance of the allocation remains available for the remainder of the three years

(see Section 3.7).

2) A State may apply for its remaining allocation if sufficient State matching amounts become available during the FY. If not, the balance may be carried forward and added to the allocation for the subsequent FY, subject to the matching share provision. The State may not apply for federal funds in excess of the total amount available to that State.

3) If the State agency’s authority to expend federal funds is subject to appropriation by the State Legislature, the State may not request more than the amount authorized by the State Legislature.

c. Federal funding for a State RBS program is provided for the twelve (12) month period of performance from October 1 to September 30 of the following year.

d. When the USCG enters into a Financial Agreement with a State, the entire RBS program is approved (including provisional approvals). The State is committed to provide its share from general State revenue unless the Financial Agreement is subsequently amended (see Sections 4.8 and 4.9). Failure to meet this commitment may result in the disallowance of all or part of the requested federal share.

https://www.ecfr.gov/current/title-2/subtitle-A/chapter-II/part-200

4.4 State Program. An approved State RBS program must contain the program elements

(functions/activities) listed in Section 2.3 of this Publication. Federal financial assistance is provided to supplement the State matching amounts provided for the RBS program and is intended for use in accomplishing the program purposes as provided by the authorizing laws. Unless changed by subsequent State law, a State RBS program approved by the

USCG under 46 U.S.C. § 13103 continues in effect, whether or not the program is supported by federal financial assistance.

4.5 Application for Federal Financial Assistance. Eligible States are required to submit a

State RBS application on an annual basis, even if sufficient carryover funds are available, in order for proposed activities to be programmatically approved. The Grants Management

Branch (CG-BSX-22) generally publishes the State RBS Notice of Funding Opportunity

(NOFO) by 1 July with an application deadline of 30 September. The NOFO is published on www.grants.gov and includes specific instructions on how to apply, as well as any required forms and/or documents needed for submission. States are encouraged to review the NOFO carefully, as its requirements become a part of the approved application package.

a. The information contained in the application package is the basis upon which the

Grants Management Specialist determines if the proposal meets eligibility requirements and the standards for approval. Once approved, the application package becomes a contractual agreement between the USCG and the State. The application package and applicable instructions are available at www.grants.gov.

b. The application must be submitted by the Designated State Agency tasked with carrying out the State RBS program.

c. The program narrative should include a list of all ongoing and planned RBS activities that are anticipated by the State during the period of performance, regardless of the source of funding for these activities. The narrative should clearly address each function or activity to be funded, why it is important and necessary, and how it contributes to the goals and objectives of the State RBS program. States should also identify any projects or activities that were not completed in the previous grant cycle that will be accomplished in the next. It is important to make this distinction, otherwise it may appear as a duplication of previous efforts or funding requests.

d. The Grants Management Specialist may delay or deny approval of an application if the program narrative does not provide sufficient detail on the goals and objectives of the State RBS program.

NOTE: For specific guidance and requirements on what to include in your program narrative, States should carefully review the “Content and Form of Application

Submission” section of the NOFO. This section provides a framework to draft the program narrative and also includes information about application forms and components.

http://www.grants.gov/ http://www.grants.gov/

e. States may write a strategic plan that describes the program and clearly identifies goals and objectives. States may submit this as part of the narrative; however, it cannot be in lieu of addressing the requirements published in the NOFO.

4.6 Intergovernmental Review. If a State has selected the RBS program for review under

Executive Order 12372, the State review process must be followed. Any comments must accompany the application. If the program was not selected for review or no comments were made, this should be indicated in item sixteen (16) of the Application for Federal

Assistance (SF-424).

4.7 Review and Approval of Applications. Applications will be reviewed by the USCG State

Program Coordinator and Grants Management Specialist.

a. If the review identifies omissions or raises questions, the applicant will be contacted to obtain additional information to resolve the issues.

b. When determined to be fully satisfactory, the application will be approved and the

Financial Agreement will be submitted to the State by the Grants Officer once funding is finalized for the FY.

4.8 Financial Agreement. The Financial Agreement is used to contract with and distribute to the State RBS funds for carrying out the annually approved RBS activities, as described in the State’s application.

a. The Financial Agreement identifies the total amount of newly allocated funds for that

FY. Previously approved carryover funds will not be captured in the Financial

Agreement, however, they will be identified in the Grant Approval Letter. The Grant

Approval Letter specifies the total amount of funding approved for the FY and itemizes the specific dollar amounts from each FY allocation, as applicable.

b. The Financial Agreement may also include other conditions, either explicitly or by reference.

c. Upon execution by the Grants Officer, the Financial Agreement is a contractual obligation of the federal government for payment of a proportionate share of the allowable costs of the State RBS program. A State requesting project funds indicates acceptance of the award and its associated terms and conditions per DHS and USCG.

Signature by an authorized official of the State commits the State to provide the non-federal share to carry out the work described in the application.

4.9 Amendment to Financial Agreement and/or Approved Application Documents. An amendment to the Financial Agreement must be submitted to the State Program

Coordinator and Grant Management Specialist for approval prior to the close of the original Financial Agreement period of performance. If the amendment involves changes in any of the documents supporting the Financial Agreement, attach a copy of the applicable revised document(s). An amendment must be submitted for approval in any of the following circumstances:

a. The addition or deletion of any program function/activity.

b. Increasing or decreasing the total Federal funding obligated by the Financial

Agreement.

c. A qualifying budget revision as described in Section 4.14.

4.10 Responsibility. It is the responsibility of the State to implement adequate procedures for the proper management of State RBS Funds. The State will provide the USCG with periodic financial reports as stated in Chapter 6.4 and Appendix II: Reporting

Requirements & Due Dates of this Publication.

4.11 Financial Management Systems. States will follow their own laws and procedures to expend and account for federal funds, including subgrants to other entities. However, States, as well as their subgrantees and cost-type contractors, must have sufficient control and accounting procedures to permit preparation of required reports and to establish that federal funds have not been used for unauthorized purposes.

4.12 Standards for Financial Management Systems. Federal standards for financial management systems are outlined in 2 C.F.R. § 200.302(b). Financial management systems established by the States to administer the State RBS program must meet the following conditions. Other aspects may be added at the discretion of the Designated State

Agency.

a. The system must provide accurate, current, and complete disclosure of the financial status of the State RBS program.

b. The records must adequately identify the source and application of funds, i.e., where the funds came from (Federal, State) and for what the funds were disbursed

(Personnel, Fringe Benefits, Equipment, etc.). The records must also contain the following information for each function/activity: authorizations, financial obligations, unobligated balances, assets, expenditures, income, and interest. Records are to be supported by source documentation.

c. The financial management system will provide for effective control over and accountability for all funds, property, and other assets.

d. The system must provide comparison of budgeted amounts and actual expenditures by function/activity and fiscal period.

e. There must be written procedures for the State to request payment based on a reimbursement basis.

f. The system must include procedures for determining allowable costs and, where applicable, the allocation of costs between RBS and other programs.

4.13 Budget Information. The financial elements of the State RBS program are defined in the

Budget Information (SF-424A) of the approved application.

a. Budget elements are defined as follows:

1) By function or activity: Administration, Law Enforcement, Education, Navigational Aids, Boat Registration/Titling, and Public Access.

2) By object class: Personnel, Fringe Benefits, Travel, etc.

3) By Federal fiscal quarter.

b. The State must monitor expenditures by each budget classification, compare actual expenditures to the anticipated rate of expenditure, compare expenditures to performance, assure that expenditures by category are within established budgets, and, under the conditions outlined in Section 4.14, formally request approval of budget revisions from the USCG.

4.14 Budget Revision. Budget revision refers to the shifting of funds, both federal and non-federal, from one function/activity within the approved budget to another. The need for a budget revision should be considered whenever the financial status or program performance review indicates that there has been a significant deviation from the cost or performance measure estimates made at the time of application. A budget revision may also be required after the release of the Final Allocation Chart. States may resubmit their budget for approval in order to claim the full amount of their annual allotment.

a. States must request prior approval from the USCG when a revision is necessary for any of the following:

1) There is a change in scope or objective of the program.

2) The revisions involve the addition of items requiring approval in accordance with the provisions of 2 C.F.R. § 200.407.

3) The transfer of funds among direct cost categories or programs, functions, and activities in which the federal share exceeds the Simplified Acquisition

Threshold and the cumulative amount of such transfers exceeds or is expected to exceed 10 percent (10%) of the total approved budget.

4) A transfer of funding from a non-construction activity to a construction activity or vice versa.

b. States do not need prior approval from the USCG to make the following changes to their budget:

1) The use of allowable State funds in furtherance of State RBS program objectives over and above the minimum share included in the approved budget.

2) The transfer of amounts budgeted for direct costs to absorb authorized increases in indirect costs.

4.15 Audit Requirements. Federal standards covering audit procedures are contained in 2

C.F.R. Part 200, Subpart F – Audit Requirements.

a. Audits will be conducted by the State or an independent auditor in accordance with generally accepted government auditing standards for financial and compliance audits.

b. The provisions of 2 C.F.R. Part 200, Subpart F– Audit Requirements do not limit the authority of the USCG to audit State programs. However, if independent audits conducted by the States meet the requirements of 2 C.F.R. Part 200, Subpart F– Audit

Requirements, the USCG will rely on them and any additional audit work will build upon the work already done.

c. Specific guidance for audit compliance requirements and suggested audit procedures for this program are provided in Chapter 6.8 of this Publication.

4.16 Allowable Costs. Costs incurred in carrying out the State RBS program are divided into two major types – direct and indirect – and are governed by the principles set forth in 2

C.F.R. Part 200, Subpart E – Cost Principles.

a. Direct costs are those that can be clearly identified as being incurred in performance of State RBS activities. Typical direct costs are:

1) Compensation of employees for their time and efforts devoted specifically for

State RBS activities.

2) Cost of materials and equipment acquired specifically for State RBS activities.

3) Other items of expense incurred specifically to carry out State RBS activities.

4) Services furnished specifically for State RBS activities by other agencies.

b. Indirect costs are those incurred for a common or joint purpose benefiting more than one cost objective and not readily assignable to the cost objectives specifically benefited without effort disproportionate to the results achieved.

1) Indirect costs are allowable only if an approved cost allocation plan is in effect to distribute indirect costs to the several direct functions benefited. If a State agency already has a cost allocation plan that has been audited and approved by its cognizant federal agency, supporting documentation should be included with the application for State RBS funds that is sent to the USCG. If such a plan has not been developed, the State agency should assemble adequate supporting documentation and contact the federal agency responsible for the approval and audit of its indirect cost rates and cost allocation plans.

2) Guidelines for determining items that may be included in indirect costs and methods of allocation are available in 2 C.F.R. Part 200, Appendix VII.

c. Specific examples of costs that are allowable under the provisions of this federal financial assistance program are:

1) Costs of administering and enforcing the State RBS program.

2) Costs of facilities, equipment, and supplies for RBS education and law enforcement.

3) Personnel costs for employees who work in the State RBS programs (see Section

4.18 of this Chapter).

4) Costs of State RBS training, including salaries of instructors, costs of operating training facilities, costs of training equipment and supplies, and costs of travel and per diem related to such training.

5) Costs for public State RBS education, e.g., the cost of safety-related exhibits at boat shows or educational programs developed for the general public, various segments of the boating community, and the public school system.

6) Costs related to administering and operating State vessel numbering and titling systems, including investigations of stolen boats.

7) Costs of establishing local watercraft controls required for the safety of boaters.

8) Costs of establishing and enhancing existing waterway markers and other appropriate aids to navigation to the extent they benefit the State RBS program.

Neither State funds nor Federal financial assistance can be used to maintain markers and other navigational aids for which the USCG is responsible.

9) Costs for emergency assistance to recreational boaters.

10) Costs related to safety inspections of recreational boats.

11) Costs of inspecting boat liveries and livery boats.

12) Costs of issuing permits for and patrolling races or regattas where such permits and patrols are required to ensure the safety of participants and spectators.

13) Costs of attending RBS meetings and conferences, both in-State and out-of-State, when such meetings and conferences are clearly beneficial to the State RBS program.

14) Costs of State RBS research projects.

15) State payments to political subdivisions for allowable costs in support of the

State RBS program.

16) Costs for the investigation of accidents involving recreational boats, including costs for body or vessel recovery, that are directly related to a recreational boating accident or the investigation thereof.

17) Costs for acquisition, construction, and repair and maintenance of public access sites identified in the State application approved by the USCG.

i) Costs for public access sites other than for the State RBS program are not allowable.

ii) Maintenance is defined as all commonly accepted practices necessary to keep the public access site(s) operating in a state of good repair and to protect it from deterioration resulting from normal wear and tear. Activities that allow the facility to function include routine recurring maintenance, such as minor repairs, and non-routine cyclical maintenance, which is major maintenance or renovation activities conducted at intervals normally greater than one (1) year. General upkeep (e.g., mowing lawns, daily cleaning, etc.) is not an allowable cost of the State RBS program budget.

4.17 Equipment. A State will use, manage, and dispose of equipment acquired with funds from the State RBS program in accordance with State laws and procedures.

4.18 Personnel Compensation. Many States have personnel whose duties are not limited to the

State RBS program. For example, State RBS duties may be…