Project application and checklist

Coastal and Estuarine Land Conservation Program
Final Program Guidelines – June 6, 2003
Table of Contents
1.

General Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1
Authority and Purpose for the Program
1.2.
Purpose of the Guidelines
1.3
Definition of Terms

2.

Eligibility Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
2.1
Who May Participate in the CELCP
2.2
Who May Submit a Project Application to the Competitive Process
2.3
Qualifying Projects
2.4
Who May Receive Funds and Hold Title to Land
2.5
Uses of CELCP Funds
2.6
Ownership, Use and Long-Term Stewardship
2.7
Cost-sharing Requirements

3.

State Coastal and Estuarine Land Conservation Plans . . . . . . . . . . . . . . 9
3.1
Development of CELC Plans
3.2
Approval of Plans
3.3
Update of Plans

4.

Application, Review and Ranking Process . . . . . . . . . . . . . . . . . . . . . 10
4.1
State Nomination and Selection Process
4.2
Information Required in Project Applications to NOAA
4.3
National Ranking and Selection Process
4.4
Grant Application to NOAA - Selected Projects

5.

Acceptance and Use of Funds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
5.1
Allowable Costs
5.2
Expenditure of Funds
5.3
Conditions on Uses of Funds
5.4
Information the State Must Retain on File

6.

Applicability of Other Federal Requirements . . . . . . . . . . . . . . . . . . . 17
6.1
National Flood Insurance Program
6.2
Coastal Barrier Resources Act
6.3
Endangered Species Act
6.4
National Environmental Policy Act
6.5
Magnuson-Stevens Fishery Conservation and Management Act
6.6
National Historic Preservation Act
6.7
Americans with Disabilities Act
6.8
Uniform Relocation Assistance and Real Property Acquisitions Policies
6.9
Environmental Justice
6.10 Commerce Pre-Award Notification Requirements

7.

Classification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

Appendix A. CZMA Policies Relating to the CELCP
Appendix B. Project Application Checklist
Appendix C. Sample Title

Coastal and Estuarine Land Conservation Program
Final Program Guidelines – June 6, 2003

1.

General Information
1.1

Authority and Purpose for the Program

The Department of Commerce, Justice, and State Appropriations Act of 2002
(Public Law 107-77), directed the Secretary of Commerce to establish a Coastal and
Estuarine Land Conservation Program “for the purpose of protecting important coastal
and estuarine areas that have significant conservation, recreation, ecological, historical, or
aesthetic values, or that are threatened by conversion from their natural or recreational
state to other uses,” giving priority to lands which can be effectively managed and
protected and that have significant ecological value. The law further directed the
Secretary to issue guidelines for this program delineating the criteria for grant awards and
to distribute funds in consultation with the States' Coastal Zone Managers' or Governors'
designated representatives based on demonstrated need and ability to successfully
leverage funds. Grants funded under this program shall require a 100 percent match from
other sources. The authority for this program is codified at 16 U.S.C. 1456d.
The National Oceanic and Atmospheric Administration will work with the coastal
states and territories through formal relationships established through its role in
implementing the Coastal Zone Management Act of 1972, as amended (16 USC 1451 et
seq.) (CZMA), to carry out this program. The CZMA highlights the importance of
coastal and estuarine areas and contains policies related to the ecological, conservation,
recreational, and aesthetic values of coastal areas.
1.2.

Purpose of the Guidelines

These guidelines establish the eligibility, procedural, and programmatic
requirements for participation in the Coastal and Estuarine Land Conservation Program
(CELCP), authorized by the FY 2002 Appropriations Act. As required by the Act, these
guidelines delineate the criteria for all financial assistance awards under the CELCP.
These guidelines outline a three-stage process for competitive funding under the program:
development of a state coastal and estuarine land conservation plan; a process for
identifying and ranking qualified projects within the state and nominating them to a
national competitive selection process annually; and a process for conducting peer review
and selection of projects at the national level. State participation in this program is
voluntary. Coastal states that choose to participate in the CELCP, including eligible
project applicants, shall use the guidelines when developing state conservation plans,
proposing or soliciting land acquisition projects, applying for funds, and carrying out
selected projects under this program.

NOAA National Ocean Service, Office of Ocean and Coastal Resource Management
National Oceanic and Atmospheric Administration

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Final Program Guidelines – June 6, 2003

1.3

Definition of Terms

Appropriations Act or Act. The Departments of Commerce, Justice, and State, the
Judiciary, and Related Agencies Appropriations Act, 2002 (P.L. 107-77).
CELCP. The Coastal and Estuarine Land Conservation Program established by these
guidelines pursuant to the Act.
Coastal and Estuarine Areas. Those areas within a coastal state that are: part of the
state’s coastal zone, as designated in the state’s federally approved coastal management
program under the CZMA or within the state’s coastal watershed boundary as described
in NOAA’s Coastal Zone Boundary Review (October 1992). The coastal watershed
boundary is defined: for estuarine drainage areas by the inland boundary of those 8-digit
USGS hydrologic cataloguing units that contain the head of tide, and; for the Great Lakes
region or those portions of watersheds along the marine coast that drain directly to marine
waters by those cataloguing units that are located adjacent to the coast.
Coastal and Estuarine Land Conservation Plan or CELC Plan. A plan, to be developed
by each coastal state in order to participate in the program, that provides an assessment of
priority land conservation needs and clear guidance for nominating and selecting land
conservation projects within the state.
Coastal State(s). As defined in section 304(4) of the Coastal Zone Management Act (16
USC section 1453(4)), “coastal state(s)” means a state of the United States in, or
bordering on, the Atlantic, Pacific, or Arctic Ocean, the Gulf of Mexico, Long Island
Sound, or one or more of the Great Lakes. The term also includes Puerto Rico, the Virgin
Islands, Guam, the Commonwealth of the Northern Mariana Islands, and American
Samoa.
CZMA. The Coastal Zone Management Act of 1972, as amended (16 USC 1451 et seq.).
Land Acquisition. Acquisition of real property, or interests therein, by fee title, lease,
easement, or any other method consistent with applicable State law or regulation.
NERR or Reserve. A National Estuarine Research Reserve designated pursuant to
Section 315 of the CZMA.
NOAA. The National Oceanic and Atmospheric Administration, within the Department
of Commerce.
OCRM. The Office of Ocean and Coastal Resource Management, within the NOAA
National Ocean Service.
Project Areas. Discrete areas to be identified within a CELC Plan that describe the
state’s priority areas for conservation based on national and state criteria, representing the
values to be protected through the program and areas threatened by conversion. Project
areas may consist, for example, of: geographic areas or habitat types identified by a state
coastal management plan as areas of concern; significant areas within other coastal,

NOAA National Ocean Service, Office of Ocean and Coastal Resource Management
National Oceanic and Atmospheric Administration

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Coastal and Estuarine Land Conservation Program
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estuarine, or watershed management plan(s) that may be priority areas for conservation;
or areas that provide linkages or corridors among conservation areas within a
geographical area.
Secretary. The Secretary of Commerce.
State lead agency. The agency or entity responsible for coordinating the establishment
and implementation of the CELCP at the state level. The lead agency will be presumed to
be the lead agency designated for implementing the state’s coastal management program,
as approved pursuant to the CZMA, unless otherwise designated by the Governor. If a
state’s coastal management program does not wish to assume the lead role, the Governor
may designate as the lead agency another state agency with authority to plan, acquire or
manage land for conservation purposes.
2.

Eligibility Requirements
2.1

Who May Participate in the CELCP

Coastal states with approved coastal zone management plans or National
Estuarine Research Reserves are eligible to participate in the CELCP. State participation
is voluntary, and states may choose to participate by developing a Coastal and Estuarine
Conservation Plan for approval by NOAA. The state lead agency will be responsible for
coordinating the establishment and implementation of the CELCP at the state level.
2.2

Who May Submit a Project Application to the Competitive Process

Eligible coastal states that have submitted, and received approval of, a Coastal and
Estuarine Land Conservation Plan, may submit proposals to NOAA for federal funding
under this program, provided that appropriated funds are available for competitive
awards. The state lead agency may solicit, and include in their application, project
proposals from additional state agencies, or local governments as defined at 15 CFR 24.3,
or entities eligible for assistance under section 306A(e) of the CZMA (16 USC 1455a(e)),
provided that each has the authority to acquire and manage land for conservation
purposes.
The state lead agency will be responsible for: soliciting projects that are consistent
with priorities outlined in the state’s plan, reviewing them for completeness, prioritizing
them according to state criteria, and nominating projects to the national selection process.
States are encouraged to submit proposals from multiple agencies as a consolidated
package to NOAA. The state will also be responsible for ensuring that allocated funds
are used for the purposes of and in a manner consistent with this program.

NOAA National Ocean Service, Office of Ocean and Coastal Resource Management
National Oceanic and Atmospheric Administration

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Coastal and Estuarine Land Conservation Program
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2.3

Qualifying Projects

To be eligible for funding under the CELCP, a project must:
•
•
•
•
2.4

be located in a coastal or estuarine area included within a state’s approved coastal and
estuarine land conservation (CELC) plan and meet the national criteria described in
section 3.1.b.;
match federal CELCP funds with non-federal funds at a ratio of 1:1;
be held in public ownership (fee simple or conservation easements) and provide
conservation in perpetuity; and
provide for access to the general public or other public benefit, as appropriate and
consistent with resource protection.
Who May Receive Funds and Hold Title to Land

NOAA may make financial assistance awards to eligible coastal states, including
the state’s lead agency for implementing the CELCP, the state’s coastal management
program or its National Estuarine Research Reserve(s). The recipient may in turn allocate
grants or make sub-awards to other state agencies, local governments as defined at 15
CFR 24.3, or entities eligible for assistance under section 306A(e) of the CZMA (16 USC
1455a(e)) to carry out approved projects. NOAA may, at its discretion and in
consultation with the applicable coastal state, make grants directly to any of these eligible
entities in order to expedite completion of an approved project. The recipient, or other
appropriate public agency designated by the recipient, will hold title to the land, or
interests in land, in perpetuity. NOAA will not make grants under the CELCP to nongovernmental organizations unless otherwise directed by Congress.
2.5

Uses of CELCP Funds

The purpose of funding under the CELCP is to protect important coastal and
estuarine areas with significant values or that are threatened by conversion, and that can
be effectively managed. NOAA has outlined the following uses of CELCP funding that
are consistent with these purposes, as well as some that are not considered to be
consistent.
a. Eligible uses. CELCP funds may be used for the following purposes:
1. State Planning:
• Development of CELC plans to carry out this program. Each eligible state’s lead
agency may receive up to a total of $50,000 for this purpose, which must be matched
with non-federal funds at a ratio of 1:1 through cash and/or in-kind contributions.
2. Program Administration:
• Administration of the program, including such direct or indirect costs as salaries and
benefits of staff directly involved in program planning, implementation, project
review, etc., that shall not exceed 5 percent of the amount appropriated to the
Secretary each year. If a state proposes indirect costs as part of an application, the
total dollar amount of the proposed indirect costs must not exceed the indirect cost
rate negotiated and approved by a cognizant Federal agency.
NOAA National Ocean Service, Office of Ocean and Coastal Resource Management
National Oceanic and Atmospheric Administration

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Coastal and Estuarine Land Conservation Program
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3. Acquisition Projects:
• Acquisition of properties or interests in properties from willing sellers, provided that
the terms and conditions will ensure that the property will be administered for
conservation in perpetuity, including direct expenses relating to the acquisition of
lands and interests in lands acquired under the authority of the CELCP; and
•

Certain initial costs for land stewardship, not to exceed 5 percent of the award and not
to exceed 3 years or the duration of award period, to allow for signage, public safety,
or other stewardship purposes.

b. Ineligible uses. The federal share of CELCP funds may not be used for the following
purposes:
•
•
•
•
•
•
•

Funding long-term operations, maintenance, and management of the land;
Construction of buildings, boat launching facilities, docks or piers, shoreline
armoring, or other facilities;
Research;
Acquisition of lands, or interests in lands, that completely restrict access to specific
persons (e.g. non-residents of a community);
Acquisition of lands, or interests in lands, to comply with mandatory or compensatory
mitigation for recent or pending habitat losses resulting from the actions of agencies,
organizations, companies or individuals;
The sole or primary purpose of enforcing fish, wildlife, or other regulations, except
when necessary for the accomplishment of approved project purposes; and
Acquisition of land for active recreation, such as sports facilities, water parks,
playgrounds, or similar uses.

Some of these purposes are allowable under the non-federal matching share. Refer to
section 2.7(b), Source of Matching Funds, for additional information.
2.6

Ownership, Use and Long-term Stewardship

a. The title of property or interests in property will be held in perpetuity by the grant
recipient or other appropriate public agency designated by the recipient. As a
condition of any grant award, NOAA will require that the recipient, or the designated
public agency, register and furnish to NOAA a lien, covenant, or other appropriate
notice of record to advise that the property has been acquired or improved in whole or
in part with federal financial assistance funds (pursuant to 15 CFR 24.31) and
assurances that the land will be held for conservation in perpetuity. The terms and
conditions specified in conservation easements must also be consistent with the
purposes of the CELCP.
b. In general, lands acquired with CELCP funds will allow access to the general public.
However, access may be limited or controlled in an equitable manner for resource
protection, public safety, or for other reasonable cause. User fees should not be
charged to access lands acquired through this program. However, if user fees are
charged, they should comply with any applicable state standards for user fees. In such

NOAA National Ocean Service, Office of Ocean and Coastal Resource Management
National Oceanic and Atmospheric Administration

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Coastal and Estuarine Land Conservation Program
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cases, all income or other revenues derived from the fees shall be used for the
maintenance or management of the property.
c. The property shall be managed in a manner that is consistent with the purposes for
which it was entered into the program and shall not convert to other uses. As a
condition of the grant award, a strategy for long-term stewardship must be developed
for each project that identifies the entity(ies) responsible for ongoing stewardship,
including financial or staff support, and monitoring of conservation easements or
ongoing activities to ensure that they are consistent with long-term conservation.
Activities that may be considered to be consistent with conservation purposes include:
resource protection; restoration and enhancement, such as vegetative erosion control
or restoration of natural water flow to the area; recreational activities, such as: hiking,
hunting, and fishing; access for swimming, canoeing, kayaking; and research and
educational activities. Construction of facilities on a minor scale, such as restrooms
or boardwalks, to facilitate these activities and/or for the purpose of minimizing harm
to coastal resources due to public access and recreation may be allowed depending on
the proposed use of the property and the site environment.
Activities that are considered to be inconsistent include: active agricultural or
aquaculture production; shoreline armoring or other hard erosion control structures;
construction or expansion of roads, buildings or facilities except as noted above, or
such facilities for active recreation as sports facilities, water parks, playgrounds, or
similar uses.
d. Non-governmental organizations, corporations, or individuals may participate in the
acquisition and long-term stewardship of lands through this program, except as
provided under sections 2.2 and 2.4 of these guidelines.
e. Leasing or renting of the property or interest in property acquired through the CELCP
to a third party is prohibited unless specifically authorized by NOAA. The recipient
agrees that any authorized arrangement for leasing or renting property involved in the
project must be: consistent with the authorized general and special purpose of the
award; for adequate consideration; and consistent with applicable Department of
Commerce requirements concerning, but not limited to, nondiscrimination and
environmental compliance. All income or other revenues derived from an approved
lease or rent arrangement shall be used to maintain or manage the property.
f. Pre-existing uses on the property must be identified as part of the project application.
NOAA will review such uses for potential impacts and to determine whether they are
consistent with the purposes of the CELCP. Applicants may wish to consider
protecting land that contains pre-existing uses through a conservation easement, rather
than through fee simple acquisition. If a project is approved with pre-existing uses,
such uses may not be expanded or converted to other uses without prior approval of
NOAA.
g. If the property or interest in the land acquired with CELCP funds is sold, exchanged,
divested, or converted to other uses that are inconsistent with the purposes for which
it was acquired without prior approval of NOAA, the recipient must return to NOAA
NOAA National Ocean Service, Office of Ocean and Coastal Resource Management
National Oceanic and Atmospheric Administration

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Coastal and Estuarine Land Conservation Program
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the full amount of the federal share of funds for re-distribution in the CELCP grant
process. In some cases, at the recipient’s request, NOAA may approve the
disposition of the property and issue instructions to sell the property. In such cases,
the correct value to be returned will be calculated by applying the federal share of
participation in the cost of the original purchase to the proceeds of the sale after
deduction of any actual and reasonable selling expenses.
2.7. Cost-sharing requirements
a. Matching requirement. Federal funds awarded under this program shall be matched
with funds from non-federal sources on a 1:1 basis. The coastal state is responsible for
ensuring that the full amount of the matching requirement is provided, particularly when
the non-federal share includes contributions from other agencies, groups or individuals.
Notwithstanding any other provision herein, and in accordance with 48 U.S.C. 1469a(d),
the Program shall waive the requirement for local matching funds for any project under
$200,000 (including in-kind contribution) to the governments of Insular Areas, defined as
the jurisdictions of the U.S. Virgin Islands, Guam, American Samoa, and the
Commonwealth of the Northern Mariana Islands.
b. Source of matching funds. The non-federal share of funding may be derived from
state, local, non-governmental or private sources in the form of cash or the value of nonmonetary or in-kind contributions, such as the value of donated lands or interests therein,
or services such as on-site remediation, restoration, enhancement, or donated labor and
supplies, provided that the in-kind contributions are necessary and reasonable to
accomplish the objectives of the project. Such in-kind contributions must be identified in
the project application, completed within the financial assistance award period, and
documented as part of the completed project. Any land used as match must be located
within the vicinity of the property being acquired, in the same project area identified in
the state’s plan, or be substantially related in terms of conservation values or objectives,
and must meet the eligibility criteria, ownership and stewardship conditions described in
sections 2.3 through 2.6. The value of land used as match must be documented with the
grant application, and must reflect nationally recognized appraisal standards, including, to
the extent appropriate, the Uniform Appraisal Standards for Federal Land Acquisition
(http://www.usdoj.gov/enrd/land-ack/).
No funds or in-kind contributions from federal or non-federal sources, including
the value of donated lands or services, that have been previously used to satisfy the
matching requirements of this program or that have been or will be counted or used to
satisfy another federal grant, can be counted toward the non-federal matching share.
Unless otherwise provided by law, the value of property or interests in property that were
acquired with federal funding may not be used as non-federal match.
See 15 CFR 24.24 Matching or Cost-Sharing (Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Local Governments)
for determining the value of in-kind contributions.
c. Banked match. States may apply the value of land or in-kind services accrued up to 3
years prior to submission of the grant application toward the non-federal share of funding.
Such “banked match” is subject to the same terms described under section 2.7.b. above.
NOAA National Ocean Service, Office of Ocean and Coastal Resource Management
National Oceanic and Atmospheric Administration

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Coastal and Estuarine Land Conservation Program
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3.

State Coastal and Estuarine Land Conservation Plans
3.1

Development of CELC Plans

In order to qualify to receive funds under this program, a coastal state must
develop and submit to NOAA for approval, a Coastal and Estuarine Land Conservation
Plan that provides an assessment of priority conservation needs and clear guidance for
nominating and selecting land conservation projects within the state. State plans will be
developed and submitted by the state lead agency, in conjunction with: the state’s coastal
management program (if different from the lead agency); any NERRs in that state; any
other state or federal agencies involved in coastal land acquisition, conservation, or
management in the state; and other interested parties.
Plans are intended to be fairly simple and concise, and may make use of work that
has already been done in the state or region, such as regional, state or local watershed
protection, restoration or land conservation plans. A state may incorporate existing plans,
or portions thereof, by reference into a CELC plan. States are encouraged to consider
conservation needs on a multi-state or regional scale, and to work with neighboring states
where appropriate for the conservation of coastal and estuarine resources within the
region. State plans must be developed through a public process, which would include a
public scoping process and comment period. If a state CELC plan incorporates existing
plans, or elements thereof, that were developed and vetted through a public review
process, the state may choose to seek comment on whether those plans or elements should
be incorporated into the CELC plan, rather than seeking comment on the substance of
those plans or elements.
a. State CELC plans must include the following information:
•
•
•
•
•
•

•

A map or description of the geographic extent of coastal and estuarine areas within
the state, as defined for the purposes of the CELCP;
A description of the types of lands or values to be protected through the program and
the need for conservation through acquisition;
Identification of “project areas” that represent the state’s priority areas for
conservation, including areas threatened by conversion, based on state and national
criteria (listed below) for the program;
A description of existing plans, or elements thereof, that are incorporated into this
plan;
A list of state or local agencies, or types of agencies, that are eligible to hold title to
property acquired through the CELCP;
A description of the state’s process for reviewing and prioritizing qualified proposals
for nomination to the national selection process. The vetting process should, at a
minimum, involve representatives from the state’s coastal zone management program,
NERR(s), and any other agencies or entities that the state considers appropriate; and
A description of public involvement and interagency coordination that occurred
during the development of the plan.

NOAA National Ocean Service, Office of Ocean and Coastal Resource Management
National Oceanic and Atmospheric Administration

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b. State plans must address the following national criteria for projects and project areas
as they relate to the purpose of the CELCP:
•
•
•

•

Protects important coastal and estuarine areas that have significant conservation,
recreation, ecological, historical, or aesthetic values, or that are threatened by
conversion from their natural or recreational state to other uses;
Gives priority to lands which can be effectively managed and protected and that have
significant ecological value;
Directly advances the goals, objectives, or implementation of the state’s coastal
management plan or program, NERR management plans approved under the CZMA,
national objectives of the CZMA, or a regional or state watershed protection plan
involving coastal states with approved coastal management plans; and
Is consistent with the state’s approved coastal management program.

3.2
Approval of plans. The Assistant Administrator for Ocean Services and Coastal
Zone Management or his/her designee, shall be the approving official for plans submitted
to NOAA under this program. Upon approval of its plan, a state will be eligible to
receive competitive funding under the CELCP.
3.3
Update of plans. States must update their CELC plans at least once every 5 years
to reflect changes that have taken place within the state or region and submit the updated
plans to OCRM.
4.

Application, Review and Ranking Process
4.1

State Nomination and Selection Process

a. Solicitation of Projects.
Based on notification from NOAA of the availability of funding to implement this
program in any given year, states with approved CELC plans may notify and solicit
project applications from qualified entities. States may, at their discretion, focus their
annual project solicitation toward specific priorities or areas identified in their approved
CELC plan.
Based on the requirements of the state’s solicitation for project applications,
eligible applicants should submit proposals to the state’s lead agency. A project proposal
that includes several separate and distinct phases may be submitted in phases, but any
succeeding phases must compete against other proposals in the year submitted.
b. State review and prioritization
i. Proposal acceptance. The state lead agency determines whether a proposal should be
accepted for consideration on the basis that it is complete and eligible under the criteria
identified in section 2. If the application is incomplete, the lead agency may provide an
opportunity for applicants to submit any information that is missing.

NOAA National Ocean Service, Office of Ocean and Coastal Resource Management
National Oceanic and Atmospheric Administration

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Coastal and Estuarine Land Conservation Program
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ii. Proposal review and ranking. The state lead agency reviews and prioritizes project
applications through the process described in its CELC plan. Projects should be ranked
according to the degree to which it meets the state’s CELC plan. A list of prioritized
projects is then submitted to NOAA for consideration at the national level.
4.2. Information Required in Project Applications to NOAA
Applications submitted to NOAA for the national competitive process must contain the
following:
a. A completed and signed Project Application Checklist (Appendix B). The checklist
addresses some of the information requested in items b. through f., below. NOAA may
modify this checklist as needed to effectively implement the project application and
selection process;
b. Project Description. A statement that describes:
•

•
•
•

•
•

The nature of the project, including acreage and types of habitats or land values to be
protected, the legal rights to be acquired (i.e., fee title or easement), how the funds
(federal and non-federal) will be used, and conversion threats to the property, as well
as a description of these same characteristics for any property that will be used as
match;
How the proposed project meets the state and national criteria and its expected
benefits in terms of coastal and estuarine land conservation;
Any pre-existing uses of the property, the nature of those uses, and whether those uses
will continue after acquisition;
Discrete benchmarks for completing the project within a specified time period. These
benchmarks should indicate whether the project is “ready to go,” has any deadlines
associated with it, and whether the project is likely to be completed within the award
period.
The types of activities that would be allowed to take place on the land and a strategy
for long-term stewardship, including support for long-term operations, such as
maintenance or enforcement against illegal uses; and
Whether this project has been submitted in application for other sources of federal
funding, and if so, which federal program(s) and year(s).

c. Project Location. Two maps, as follows:
•
•

A map of the state or coastal county showing the general location of the project;
A map of the project site, which shows the location and extent of the proposed
acquisition, and its relationship to significant natural features (slope, wetlands, dunes,
floodplains, access points, etc.), as well as adjacent land uses.

d. Project Budget and Justification of Proposed Costs/Appraisal.
The project budget must include a breakdown of the following costs, as applicable, by
category -- salary, fringe benefits, travel, equipment, supplies, contractual, construction,
other. (Note: Use of Standard Form 424A is suggested as it provides a model template
for this information, and will be required in the grant application package for all projects
NOAA National Ocean Service, Office of Ocean and Coastal Resource Management
National Oceanic and Atmospheric Administration

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that are selected for funding.) The total budget must reflect the 1:1 match required by
statute. For information on what may be counted as the non-federal matching share, refer
to section 2.7. Applicants wishing approval of pre-award costs should include such a
request in their application to NOAA and identify the costs, the time period in which they
occurred, and a justification for their need as associated with the project. For information
regarding pre-award costs, refer to section 5.1.b.
The negotiated price of the property, or interest in property, should be based on the
fair market value determined by an independent appraisal conducted by a state-approved
appraiser. Before funds can be disbursed to the grant recipient for purchase of a property,
or interest in property, using CELCP funds, the applicant must obtain and submit the
appraisal to NOAA (refer to section 4.4.b.) Independent appraisals must reflect
nationally recognized appraisal standards, including, to the extent appropriate, the
Uniform Appraisal Standards for Federal Land Acquisition,
(http://www.usdoj.gov/enrd/land-ack/).
If an appraisal has been completed at the time of application and the applicant wishes
to pursue the acquisition at a price above the appraised value, the applicant will need to
demonstrate reasonable effort to negotiate at the appraised value and submit written
justification for the higher price based on reasonableness, prudence, public interest,
additional or updated appraisals, estimated condemnation/trial costs, and/or valuation.
If an appraisal is not available at the time the project application is submitted, the
applicant may submit a good-faith estimate of the cost for the project based on market
value or agreement with the willing seller. However, if the project is selected for
funding, the amount of the grant cannot exceed the estimated cost in the project
application. An appraisal will be required at the time the applicant submits a formal grant
application to NOAA (refer to section 5.4). If the appraised value is higher than the
estimated cost, the applicant will be required to make up the difference, and if that is not
possible, the project may have to be withdrawn or terminated.
e. Certification of compliance with federal laws, regulations and policies. As part of the
project application checklist (attached as Appendix B), the applicant must answer
questions that will enable NOAA to determine whether a project may have an adverse
impact and whether additional information may be required to satisfy the requirements of
applicable federal laws, regulations, or policies. If an Environmental Assessment or
Environmental Impact Statement has been prepared for the project, attach a copy with the
application. States will be responsible for ensuring that any project applications
submitted to NOAA are consistent with the state’s approved coastal management
program and any applicable NERR Management Plans. Refer to section 6.0, which
describes the applicability of requirements under federal laws, regulations and policies.
f. Documentation of Willingness or Intent to Sell. The applicant must submit
documentation that the current owner is a willing participant in a process of negotiation
for possible sale of property, or interests in property, for conservation purposes and that
the landowner has been advised of the applicability of Public Law 91-646, Uniform
Relocation Assistance and Real Property Acquisitions Policies Act of 1970 (refer to
section 6.8). This documentation may be in the form of a letter of willingness or intent,

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National Oceanic and Atmospheric Administration

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option letter, contract, or other similar form. If not submitted with the project application,
it will be required with the grant application to NOAA.
4.3

National Ranking and Selection Process

NOAA will conduct a peer review process to prioritize and select among all projects
nominated by states through their competitive process as follows:
a. Peer review and ranking process. A national peer review panel that consists of at least
six members will review each project nominated by a state. Membership of the panel will
be made up of at least one representative from each of the following: NOAA, another
federal land conservation program, the state coastal resource management community,
estuarine reserve community, and two from the non-governmental sector (i.e., industry,
conservation community). Each member will rank projects according to the degree to
which they meet national criteria and submit individual rankings to NOAA. No member
may have a vested interest or stand to benefit from any of the proposed projects.
Membership of the panel may be reconstituted annually, and NOAA may identify
alternates in the event that substitutions are needed.
b. Ranking criteria. Projects will be reviewed and prioritized according to the degree to
which they meet the national criteria described in section 3.1b. NOAA will establish
weighting factors for these criteria, in consultation with the coastal states, and will
provide these ranking criteria to the states with its notification of availability of funding.
Within these criteria, NOAA may also consider the availability of support for long-term
management and stewardship, and success in leveraging other sources of funding. All
ranking factors will be described in the annual notification.
c. Selection of approved projects. The Assistant Administrator for Ocean Services and
Coastal Zone Management or his/her designee will serve as the selecting official for
projects, based on the national rankings as well as availability of funds. In selecting
projects, NOAA may consider geographic distribution of projects, as well as other factors
deemed necessary to select among similarly-ranked projects, as described in the annual
notification. The selecting official may maintain and select from a contingency list, in the
event that any approved projects fall through or are completed below the planned cost.
4.4

Grant Application to NOAA – Selected Projects

NOAA will notify each state of projects that have been selected through the
competitive process. For each of these projects, the state must submit the following
materials, which, when combined with the original project application, will complete the
application for federal financial assistance. States are encouraged to consolidate multiple
projects into one application, with each project as a separate task, particularly for projects
that will be awarded to local governments. NOAA may, at its discretion and in
consultation with the relevant coastal state, agree with the state to accept an application
from, and make a grant directly to, an agency other than the lead agency in order to
expedite the completion of an approved project that will be implemented by that other
agency.

NOAA National Ocean Service, Office of Ocean and Coastal Resource Management
National Oceanic and Atmospheric Administration

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Grant application materials. The following materials must be submitted to NOAA, in
order to complete the application for federal financial assistance:
a. Standard forms for federal financial assistance. These forms can be found at the
NOAA Grants Management Web site (http://www.rdc.noaa.gov/~grants/) along with
detailed application instructions.
-

Application for Federal Assistance (Standard Form 424);
Budget Information (Standard Form 424A);
Statement of Assurances (Standard Form 424B);
Certifications Regarding Debarment, Suspension, Drug-Free Workplace and
Lobbying (CD-511)

b. Appraisal. If an appraisal was not previously submitted as part of the project
application described in section 4.2, it must be submitted with the grant application.
Refer to section 4.2 for guidelines regarding the appraisal.
c. Title Opinion for the land(s) that will be purchased. The opinion should identify the
current owner from which the land will be purchased, and whether there are any
easements or other encumbrances on the land to be acquired. If there are easements or
encumbrances, the applicant’s attorney should specify the nature of these and certify that
they would not interfere with the purposes for which the land is being acquired. A
sample title opinion can be found at Appendix C.

5.

Acceptance and Use of Funds
5.1 Allowable costs
a. Cost principles. Allowable grant costs are limited to costs necessary and reasonable to
achieve the approved objectives of the grant and be consistent with general cost principles
for grants awarded by federal agencies, as contained in the Office of Management and
Budget (OMB) Circular A-87 “Cost Principals for State, Local, and Indian Tribal
Governments,” which will be incorporated into the grant award. A copy of OMB
Circular A-87 can be found at http://www.whitehouse.gov/omb/grants/.
b. Pre-award costs. If an applicant incurs costs before the effective date of the grant, they
do so at their own risk. Pre-award costs cannot be reimbursed except as approved by
NOAA, although they may be counted as match. When approved, pre-award costs may
include such costs as those necessary for conducting: environmental assessments,
including risk assessments; feasibility surveys; appraisals; title searches or opinions; or
preparation of documents needed to satisfy federal legal requirements, such as the
National Environmental Policy Act. In some cases, with prior approval from NOAA, the
cost of the land acquisition (fee simple or easement) may be reimbursed as a pre-award
cost if the acquisition occurred between the date the project was recommended for
funding through the competitive selection process (“selected”) and the date that the grant
award was approved by NOAA.

NOAA National Ocean Service, Office of Ocean and Coastal Resource Management
National Oceanic and Atmospheric Administration

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5.2 Expenditure of funds
a. Availability of funds. Once a grant agreement has been signed, a recipient may draw
funds, as needed, toward completion of the project, in accordance with 15 CFR 24.21
Payment.
b. Timetable for expenditure of funds. The standard financial assistance award period is
18 months, and may be extended an additional 18 months if circumstances warrant, but
may not exceed 3 years. Awards may also be closed out early if the project is completed
in less time.
c. Unexpended funds. Any funds not expended within the grant period shall be deobligated and revert to NOAA for redistribution through the CELCP process, including
projects that fall through.
d. Projects that exceed planned costs. All requests for additional federal funding for
approved CELC projects must be submitted to the review process along with new grants.
e. Funds from the CELCP may be supplemented with funding from other federal or nonfederal sources, subject to any conditions that may apply to the expenditure of funds from
such sources.
f. Amending a proposal. Any amendments to a proposal or request to reallocate funding
within a grant proposal must be approved by NOAA. In general, if negotiations on a
selected project fall through, the applicant cannot substitute an alternate site.
g. Performance reports. The state lead agency, and/or any other agency that received a
financial assistance award directly from NOAA, is responsible for submitting to NOAA
semi-annual reports documenting progress toward completion of each project, and a final
report documenting completion of the projects and all terms and conditions of the award.

5.3 Conditions on use of funds
All CELCP financial assistance awards will contain the following special award
conditions and/or other applicable requirements for the Department of Commerce
described in the Federal Register, October 1, 2001 (66 FR 49917), as amended
October 30, 2002 (67 FR 66109):
•

In the event there are title discrepancies or encumbrances that NOAA deems interfere
with the purpose for which these funds were granted, or if NOAA determines that the
property is no longer used for the purpose for which it was acquired, the recipient
shall reimburse NOAA or its successor agencies for the federal funds received for the
project, subject to “use” and “disposition” instructions from NOAA or its successor
agencies.

•

Federal funds for this project will not be transferred to the recipient for the acquisition
of land or interest(s) in land until the recipient has submitted the following to NOAA

NOAA National Ocean Service, Office of Ocean and Coastal Resource Management
National Oceanic and Atmospheric Administration

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for review and approval: a completed and signed project checklist; appraisals of land
made by a qualified independent appraiser and performed in accordance with federal
or state appraisal standards; evidence of title insurance or an opinion of title and a
copy of the real estate contract for each parcel; and a map indicating the tract
boundaries for the property or portion of property being acquired.
•

Deeds for real property acquired with federal funds provided through this award shall
contain substantially the following provision:
“This property has been acquired with funds from a federal financial assistance
award. Title of the property conveyed by this deed shall vest in the [recipient of the
award or other appropriate public agency designated by the recipient] subject to the
condition that the property shall be managed for conservation purposes, consistent
with the purposes for which it was entered into the CELCP, and shall not convert to
other uses. In the event that the property is sold, exchanged, or converts to other uses,
NOAA shall consult with the recipient before deciding to exercise any of the rights
regarding disposition of the property and reimbursement of the Federal Government.”

•

Upon completion of all real estate closings, the recipient shall submit to
NOAA/OCRM copies of the closing documents.

•

The recipient shall cause to be erected and maintained at the site of any project, a
permanent sign or plaque, satisfactory to NOAA, that identifies the project and
indicates that the project has been funded under the Coastal and Estuarine Land
Conservation Program by NOAA, in conjunction with the coastal state and/or
National Estuarine Research Reserve or other partner.

5.4

Information the Recipient Must Retain on File

A grant recipient is expected to retain the following information for at least 3 years after a
grant has been closed by NOAA at the end of the award period:
•
•
•
•
•
•

6.

A copy of the grant application, including project proposal, submitted to NOAA;
Site location maps;
Title opinion or certification;
Appraisal;
State Historic Preservation Officer’s clearance; and
Copies of any notices or determinations that pertain to compliance or consistency
with federal requirements.

Applicability of Other Federal Requirements
The approval of plans under this program and award of financial assistance are
federal activities subject to authorities such as the National Environmental Policy Act,
Endangered Species Act, and the federal consistency provisions of the CZMA. Before
awarding funds, NOAA is responsible for ensuring that projects comply with these and
other relevant authorities. A checklist, provided as part of the project application, will be

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National Oceanic and Atmospheric Administration

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used to determine whether additional information may be required to satisfy these
requirements for any project.
6.1
National Flood Insurance Program (NFIP). The NFIP prohibits the use of funds
for acquisition or construction of buildings in special flood hazard areas in communities
that are not participating in the Flood Insurance Program, as identified in the NFIP’s
Community Status Book. Construction of buildings is not an eligible use of CELCP
funds. A community is not precluded from proposing projects within the floodplain for
conservation purposes.
6.2
Coastal Barriers Resource Act (CoBRA). In order to receive federal funds, all
proposed projects located on undeveloped coastal barriers designated in the CoBRA
system must be consistent with the purposes of minimizing: the loss of human life;
wasteful federal expenditures; and damage to fish, wildlife, and other natural resources.
For projects in these areas, the Office of Coastal and Resource Management (OCRM)
must consult with the regional office of the U.S. Fish and Wildlife Service (USFWS) and
allow 30 days for them to determine whether the project is consistent with CoBRA.
Because OCRM defers to their opinion in these cases, some projects or grant awards may
be conditioned pending the results of the consultation process. Early coordination by the
applicant with the USFWS is advisable.
6.3
Endangered Species Act. An applicant shall indicate whether it believes that a
proposed project may affect threatened or endangered species or critical habitat as defined
by the Endangered Species Act (ESA), and shall state the basis for its conclusion. If a
proposed project may have minor and temporary effects, OCRM will informally consult
with the relevant federal agency – either the USFWS or NOAA’s National Marine
Fisheries Service (NMFS). If a proposed project may significantly affect threatened or
endangered species or critical habitat, OCRM will consult with the applicant regarding
further steps that may need to be taken. If the applicant still wants to proceed, OCRM
will enter into formal consultation with the USFWS or NMFS, pursuant to section 7 of
the ESA. OCRM will not approve a proposed project that the USFWS or NMFS has
determined will adversely and significantly affect threatened or endangered species or
critical habitat.
6.4
National Environmental Policy Act (NEPA). These guidelines are administrative
and financial in nature, and therefore are considered a categorical exclusion under NEPA.
Subsequent actions concerning the approval of CELC plans, or acquisition, restoration, or
enhancement of properties may require further analysis on a programmatic or case-bycase basis to determine compliance with NEPA. As part of the application for each
project, applicants must complete an environmental compliance checklist that will be
used to determine whether additional information or an Environmental Assessment or
Environmental Impact Statement is needed.
6.5
Magnuson-Stevens Fishery Conservation and Management Act. The MagnusonStevens Act requires that federal agencies consult with NMFS regarding any action
authorized, funded, or undertaken that may adversely affect essential fish habitat (EFH)
for federally managed fish. Consultation is generally initiated when a federal agency
notifies NMFS of an action that may adversely affect EFH, and provides NMFS with an
assessment of the action. In response, NMFS provides Conservation Recommendations
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National Oceanic and Atmospheric Administration

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to avoid, minimize, mitigate, or otherwise offset adverse effects on EFH. Federal
agencies must provide a detailed response in writing to NMFS that includes proposed
measures for avoiding, mitigating, or offsetting the impact of the proposed activity on
EFH. If the federal agency chooses not to adopt NMFS' EFH Conservation
Recommendations, it must provide an explanation. EFH consultation and coordination
should be consolidated, where appropriate, with interagency consultation, coordination,
and environmental review procedures required by other statutes. Consultation procedures
are outlined at 50 CFR 600.920.
6.6
National Historic Preservation Act. Under the provisions of Section 106 of the
National Historic Preservation Act of 1966, the Secretary of the Interior has compiled a
national register of sites and buildings of significant importance to America’s history.
Before submitting an application, the applicant must determine whether land
acquisitions or other grant-supported activities will affect a property listed on the national
register. If so, the applicant must obtain clearance from the appropriate State Historic
Preservation Office before submitting the application.
6.7
Americans with Disabilities Act (ADA). As a general rule, no qualified
individual with a disability shall be subject to discrimination or be excluded from
participation or benefits of the services, programs, or activities of a public entity. The
ADA does not address issues of handicapped accessibility for outdoor recreation projects
and public access projects that are needed to reduce harm to natural resources. Each
project shall be handicapped accessible to the extent that conditions allow. Any
construction associated with projects that provide for recreation, using funds other than
CELCP, shall be handicapped accessible unless the construction of a handicapped
accessible structure would damage coastal resources. Requirements for handicapped
accessibility for the ADA are based on 42 U.S.C. §§ 12101 et. seq., and the U.S.
Architectural and Transportation Barriers Compliance Board.
6.8
Uniform Relocation Assistance and Real Property Acquisitions Policies Act of
1970. This Act, Public Law 91-646, as amended, (42 U.S.C. 4601 et. seq.) requires
certain assurances for projects conducted by a state agency or its agent that involve the
acquisition and/or modernization of real property or cause the displacement of persons,
businesses, or farm operations. Because CELCP only supports acquisition of property or
interests in property from willing sellers, it is not anticipated that this program will result
in any displacements. In cases of displacement, P.L. 91-646 requires that applicants
ensure that fair and reasonable relocation payments and advisory services will be
provided to any displaced persons and that safe, decent, and sanitary replacement
dwellings will be available to such persons within a reasonable period of time prior to
displacement. The state agency must be guided by the real property acquisition policies
of the Act, and the property owners must be paid or reimbursed for necessary expenses as
specified in the Act. The Act provides for an exemption to the appraisal, review and
certification rules for “voluntary transactions” that meet the conditions specified at 49
C.F.R. §24.101(a)(1), including written notification to the owner that the agency will not
acquire the property in the event negotiations fail to result in an amicable agreement.
Department of Commerce regulations implementing the Act can be found at 15 CFR Part
11.

NOAA National Ocean Service, Office of Ocean and Coastal Resource Management
National Oceanic and Atmospheric Administration

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6.9
Environmental Justice. Consistent with the President’s Executive Order on
Environmental Justice (Feb. 11, 1994) and the Department of Commerce’s
Environmental Justice Strategy, applicants shall ensure that their CELCP projects will not
have disproportionately high and adverse human health or environmental effects on
minority or low income populations.
6.10 Commerce Pre-Award Notification Requirements for Grants and Cooperative
Agreements. The Department of Commerce has published in the Federal Register,
October 1, 2001 (66 FR 49917), as amended October 30, 2002 (67 FR66109), a set of
requirements that are applicable to all federal financial assistance awards issued by the
Department. These will be addressed as Special Award Conditions on financial assistance
awards.
7.

Classification
7.1

Administrative Procedure Act/Regulatory Flexibility Act.

Prior notice and an opportunity for public comment are not required by the
Administrative Procedure Act for rules concerning public property, loans, grants,
benefits, and contracts (5 USC 553 (a) (2)). Because notice and opportunity for comment
are not required pursuant to 5 USC 553 or any other law, the analytical requirements of
the Regulatory Flexibility Act (5 USC 601 et seq.) are inapplicable. Therefore, a
regulatory flexibility analysis is not required and has not been prepared.
Opinion

7.2

Executive Order 12866.

These draft guidelines do not constitute a “significant regulatory action” as
defined by Executive Order 12866 because: (1) they will not have an annual effect on
the economy of $100 million or more , or adversely affect in a material way the
economy, a sector of the economy, productivity, competition, jobs, the environment,
public health or safety, or State, local or tribal governments or communities; (2) they
will not create a serious inconsistency or otherwise interfere with an action taken or
planned by another agency; (3) they will not materially alter the budgetary impact of
entitlements, grants, user fees, or loan programs or the rights and obligations of
recipients thereof; and (4) they will not raise novel legal or policy issues arising out of
legal mandates, the President’s priorities, or the principles set forth in the Executive
Order.
7.3 Paperwork Reduction Act.
This document contains collection-of-information requirements subject to the
Paperwork Reduction Act (PRA), and which have been approved by OMB. The use of
Standard Forms 424, 424A, 424B, and SF-LLL have been approved by OMB under the
respective control numbers 0348-0043, 0348-0044, 0348-0040, and 0348-0046. The
information to be collected under these guidelines through conservation plans, the

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project application, checklist, and grant application materials has been approved by
OMB under control number 0648-0459.
Notwithstanding any other provision of law, no person is required to respond to,
nor shall any person be subject to a penalty for failure to comply with a collection of
information subject to the Paperwork Reduction Act unless that collection displays a
currently valid OMB Control Number.

NOAA National Ocean Service, Office of Ocean and Coastal Resource Management
National Oceanic and Atmospheric Administration

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APPENDIX A
Policies of the Coastal Zone Management Act
Relating to Coastal and Estuarine Land Conservation.

Related to ecological and conservation values, the CZMA declares it national policy to:
•
•
•

Protect fish and wildlife and their habitat in the coastal zone;
Protect estuaries to provide opportunities for long-term research, education,
interpretation, and stewardship;
Manage development to maintain and improve coastal water quality to protect and
enhance natural resources and existing uses of those waters;

Related to recreational, historical, and aesthetic values, the CZMA declares it national
policy to:
•
•
•
•

Maintain and enhance environmentally sound public access to the coasts for recreation
purposes;
Protect barrier islands within the coastal zone to provide protection against storm surge,
wave damage and flooding, and maintain sand supplies and protect important
recreational areas;
Give priority consideration for coast dependent uses, including recreation; and
Assist in the sensitive preservation and restoration of historic, cultural, and esthetic
coastal features.

NOAA National Ocean Service, Office of Ocean and Coastal Resource Management
National Oceanic and Atmospheric Administration

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APPENDIX B –

OMB Control # 0648-0459

Project Application Checklist
(Note: NOAA may modify this checklist as needed, and consistent with the Paperwork Reduction Act,
to effectively implement the project application and selection process.)
The project applicant must complete and sign this Project Checklist and submit it to the National
Oceanic and Atmospheric Administration, along with the other required application materials, in
order to receive approval of a project.
Applicant and Project Information
1. State:

Award Number: [provided by NOAA]

2. Project Title:
3. Project Location (Approximate): (City, County, Major Intersections)
4. Project Applicant (Must be a public entity at the state or local level):
5. Total Cost: $

CELCP Federal share (requested amount):
State/Local Match Contributions:
Other Federal $ :
Other Non-Federal $ :

$
$
$
$

I ATTEST TO THE FOLLOWING: (1) THE STATEMENTS MADE AND OTHER INFORMATION
PROVIDED IN THIS CHECKLIST ARE, TO THE BEST OF MY KNOWLEDGE, TRUE AND ACCURATE;
(2) THE RECIPIENT HAS ON FILE THE DOCUMENTS IDENTIFIED IN THIS CHECKLIST; AND (3) I
UNDERSTAND THE CONSEQUENCES OF NON-COMPLIANCE WITH THE SPECIAL AWARD
CONDITIONS THAT WILL BE PLACED ON THIS GRANT.
____________________________________________________________________________
Signature of Applicant
Date
Name of Signatory (please print or type):
_________________________________________
Title:
__________________________________________________________________
Address:
__________________________________________________________________
Phone Number:

NOAA National Ocean Service, Office of Ocean and Coastal Resource Management
National Oceanic and Atmospheric Administration

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