HomeMy WebLinkAboutResolution - 2016-R0233 - FEMA Grant - 07/28/2016Resolution No. 2016-RO233
Item No. 6. 1.1
July 28, 2016
RESOLUTION
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK:
THAT the City Manager of the City of Lubbock is hereby authorized and directed
to accept grant funding on behalf of the City of Lubbock from the Federal Emergency
Management Administration (FEMA) and the Texas Division of Emergency Management
(TDEM) for reimbursement of costs associated with the blizzard of 2015, as authorized
by the Stafford Act and Presidential Disaster Declaration No. 4255 DR -TX, as such grant
funding shall become available.
Passed by the City Council this 28th day of July _ _ _ , 2016.
ATTEST:
Re ec t
Garza, City Secretary
ARROVED AS TO CONTENT:
W. Loomis, City Manager
APPROVED AS TO FORM:
John CVGr,�de1AAi nt City,
DANIEL M. POP MAYOR
DRTX-BIjzzardGrants. 2016 doc
Resolution No. 2016-RO233
TEXAS DEPARTMENT OF PUBLIC SAFETY
5805 N. LAMAR BLVD. - BOX 4087 - AUSTIN, TEXAS 78773.0220
5121424.2000
www.dps.texas.gov
COYYDiSION
A. CYNTHIA LEON. CHAIR
MANNY FLORES
FAITH JOHNSON
STEVEN MACH
RANDY WATSON
STEVEN C. MOCRAW
DIRECTOR
DAVID G. BAKER
ROBERT J BODISCH SR
DEPUTY DIRECTORS
James Loomis
LUBBOCK
1625 13th Street
Lubbock, TX 79401
DUNS Number: 058213893
TINS Number: 75-69000590
FIPS Number: 303-U6X5K-00
June 13, 2016
RE: PA -4255 Texas Severe Storms, Tornadoes, Straight-line Winds, and Flooding
Catalog of Federal Domestic Assistance (CFDA) number 97.036
FEMA Project Number 00002
Project Title: LUK004G - Christmas Tree -Replacement
Period of Performance: 02/09/2016 to 08/09/2017
A Public Assistance subgrant has been awarded by Texas Division of Emergency
Management (TDEM).
Project 00002
Version 1
Total Subgrant
Federal Cost
Federal Cost
Local Cost
Local Cost Share
Amendment
Date
Amount
Share
Share Amount
Share
Amount
percentage
percentage
0
6/10/2016
$ 54,564.44
75%
$ 40,923.33
25%
$ 13,641.11
This award is not for Research or Development as defined in 2 CFR 200.87.
No indirect costs are available with this award. Direct Administrative Costs are
allowable as outlined in the project scope.
A copy of the approved scope of work is attached. Terms and conditions of this award
are also attached.
Signing and returning this award letter indicates Subrecipient's acceptance of the
scope of the subaward, the ability to pay the state match and all grant terms and
conditions outlined in the attached documents.
Acceptance of the subaward must be returned to TDEM before payment on the
subaward can be processed.
It is important that the Subrecipient read, understand and comply with the scope and all
terms and conditions. It is also vital that this information be disseminated to
Subrecipient's staff and contractors that are involved in work related to administrative
support or administration of the subgrant.
If changes are needed to the scope of the subaward, period of performance or costs
associated to the subaward, the Subrecipient should immediately contact TDEM. No
change will be considered made to the subaward until the Subrecipient is notified in
writing by TDEM.
Please sign below to acknowledged acceptance of this subaward and agreement to
abide by all terms and conditions.
ZQW4.,011- 4::� /Z' 14
Desi ated Subrecipient Agent Date
Should you wish to appeal any determination related to this subaward you must do so
within 60 days of receipt of the notice of the action. You will need to provide your
appeal with any documentation supporting your position to your assigned TDEM
project officer within the allotted time.
If you have any questions please contact Roman Castillo at (512) 499-1425 or email at
Roman.Castillo@CohnReznick.com.
ATTACHMENTS: Scope of Work
Terms and Conditions
Federal Emergency Management Agency E -Grants
Page I of 3
PA -06 -TX -4255 -PW -00002(0) f
WORK COMPLETE AS OF,
Applicant Name:
Application Title:
LUBBOCK
LUK004G - Christmas Tree -Replacement
Period of Performance Start:
Period of Performance End:
02-09-2016
08-09-2017
Bundle Reference # (Amendment #) jDate Awarded
PA -06 -TX -4255 -PW -00002(79) 106-10-2016
Subgrant Application - FEMA Form 90-91
Note: The Effective Cost Share for this application is 75%
FEDERAL EMERGENCY MANAGEMENT AGENCY
PROJECT WORKSHEET
DISASTER PROJECT NO. PA ID NO. DATE
FEMA 14255 - l DR TX LUK004G U6X5K-00 303- 03-07-2016
CATEGORY
G
APPLICANT: LUBBOCK
WORK COMPLETE AS OF,
103-07-2016: 0 %
Site 1 of 1
DAMAGED FACILITY
COUNTY Lubbock
Artifical Christmas Tree and Star -Mackenzie Park
LOCATION-
LATITUDE
LONGITUDE.
33.58699
-101.8295
PA -06 -TX -4255 -PW -00002(0):
The fifty (50) foot artificial Christmas Tree and star are erected in Mackenzie Park whose official
address Is 423 East Broadway; Lubbock. TX 79401-3405.
Specifically the artificial Christmas Tree and Star is annually erected at GPS Coordinates
33.58699,-101.8295
Current Version
DAMAGE DESCRIPTION AND DIMENSIONS:
PA -06 -TX -4255 -PW -00002(0):
The City of Lubbock has a fifty (50) foot artificial Christmas tree wllh star which they annually set up for the Christmas Holidays.
The tree is normally erected In Mackenzie Park at latitude 33.58699 longitude -101.8295. In December of 20' 5 It had been erected as
usual and it sustained significant damage when the severe winter storm of December 26-27. 2015 struck the City,
A disaster (4255 DR -TX) was declared for the period from December 26. 2015 -January 21, 2016 due to severe winter storms, tornadoes,
straight-line winds and flooding.
Pictures of the significantly damaged artificial Christmas tree are attached.
Current Version
SCOPE OF WORK-
ORKPA-06-TX-4255-PW-00002(0)
PA-06-TX-4255-PW-00002(0)
The Scope of Work for this project solely involves the purchase of a replacement artificial Christmas tree and star to replace in kind the
Christmas tree and star that was significantly damaged during the severe winter storm of December 26-27 2015.
The Sub -grantee has a vendor proposal in the amount of $54,564.44 to replace the artificial Christmas tree and star.
The sub -grantee is not claiming labor to take downiremove the damaged Christmas tree. They would normally have to take the Christmas
tree down at the end of the Holiday Season and store it for the followLng year
Standard Language -After the Scope of Work
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Federal Emergency Management Agency E -Grants
Page 2 of 3
—DIRECT AMINISTRATIVE COSTS: The Subgrantee chooses not to claim costs to manage and administer this project as part of the
Public Assistance program's grant award. Declining such costs does not exempt the Subgrantee from maintaining records adequately and
documenting the source and application of funds as required in 2 CFR 200.413.
— HAZARD MITIGATION PROPOSAL: Hazard Mitigation under section 406 has been considered for this project and due to the type of
work or project, effective mitigation is not feasible within the requirements of 44 CFR 206.226(c).
— PROCUREMENT: The Applicant was advised by FEMA PAC and/or Project Specialist that in the seeking of proposals and letting of
contracts for eligible work, the Applicant must comply with its Local, Stale and/or Federal procurement laws, regulations, and procedures
as required by 2 CFR 317-326.
— RECORD RETENTION: As described in 2 CFR 200.33 Subgrantee must maintain all work-related records for a period of three (3)
years from Subgrantee closure (final payment), all records relative this project worksheet are subject to examination and audit by the
Slate, FEMA and the Comptroller General of the United States and must,reffect work related to disaster specific costs.
— PERMITS: Federal Funding is contingent upon acquiring all necessary Federal, State and Local permits. Noncompliance with this
requirement may jeopardize the receipt of federal funds. The applicant is responsible for obtaining all required permits prior to the
commencement of work.
— ENVIRONMENTAL AND HISTORIC PRESERVATION: Applicant must comply with all applicable environmental and historic
preservation laws. Federal funding is contingent upon acquiring all necessary Federal, State and Local permits. Noncompliance with this
requirement may jeopardize the receipt of federal funds.
— CHANGES TO SCOPE OF WORK DESCRIBED IN THIS PW/SA (SUBGRANT APPLICATION): The applicant
shall comply with all applicable codes and standards in the completion of eligible work to repair or replace damaged public facilities. Any
change to the approved scope of work on a Project Worksheet (PW/SA) must be reported and approved before work begins. Failure to
report changes may jeopardize Federal and State funding. In the case of a change in scope of work, the applicant shall notify the Texas
Division of Emergency Management program representative prior to starting work.
—Donated Resources: Volunteer Labor Hours when provided by the applicant and determined to be eligible by FEMA to offset the 25%
local match (non -Federal share) cannot exceed the maximum credit allowed for donated resources for a project. The amount of donated
resources credit that can be applied to a project is capped at the non -Federal share of emergency work so that the Federal share will not
exceed the Applicant's actual out-of-pocket costs per Disaster Assistance Policy 9525.2, Donated Resources.
— INSURANCE REVIEW: The applicant is aware that all projects are subject to an Insurance review as stated in 44 C.F.R. Sections
206.252 and 206.253.1f applicable, an insurance determination will be made either as anticipated proceeds or actual proceeds in
accordance with the applicant's insurance policy which may affect the total amount of the project. Approval of this project may result in an
obtain/maintain insurance requirement. The Subgrantee must comply with insurance reviewer terms and conditions upon receipt of sub -
grant from the Stale.
— COST BASIS FOR LABOR, EQUIPMENT AND MATERIALS: Costs used to formulate this project were based on: [select all that apply
and include data dates]
Unit Costs provided by Applicant (Vendor-Amett Marketing-SanAntonio, TX -dated 01/09/2016)
— AUDIT STATEMENT: All documentation related to this project worksheet is subject to audit and must reflect disaster— related work and
project — specific cost. The applicant has been advised of responsibility to maintain supporting documentation (records). The type of
records to be maintained is specified in FEMA policy 2 CFR Subpart F, Audit Requirements. Records must be maintained for three 3
years from the date the last project was completed or from the date final payment was received, whichever is later.
— 75% FEDERAL FUNDING: In accordance with 44 CFR 206.47(a) and current disaster declaration determinations, this project
worksheet will be funded with the Federal Cost share at 75% of all eligible costs.
— By accepting this grant the Applicant to the best of their ability acknowledges that all damages described within this Sub -grant
Application and all associated costs being claimed were a direct result of the declared event, and in connection with the incident period of
12/26/2015 to 1/21/2016 with the exception of requests for alternate or improved projects.
— SMALL PROJECTS, ANY CATEGORY: For small projects FEMA pays based on the actual or estimated cost in order to expedite the
funds (Public Assistance Program & Policy Guide pg. 139.) FEMA does not perform final inspections on small projects; however, the state
must certify compliance. The applicant does have the ability to request a small project netting (appeal)11twhen significant net small over-
runs occur. This process will Involve a review of all documentation for all small projects and an adjustment will be made for the total actual
eligible dollars spent (over-run/under-run). A final Project Worksheet will then be required in EMMIE to capture all the eligible PA costs for
the small projects.
— SMALL PROJECT CHANGE REQUEST: Change requests to small project worksheets will not be approved unless there is a change In
the approved scope of work. This change must be approved prior to the construction. If after completion of all small projects the applicant
incurs a significant net small project overrun, the applicant must file an appeal within 60 day of completion of the applicant's last small
project. All requests must be submitted through the grantee.
— GRANT CONDITIONS FOR SINGLE SITE FIXED SUBGRANT:
Subgrantee agrees to fund any overrun associated with completion of the approved SOW. Subgrantee must complete SOW as approved
on this PW or request an improved or alternate project from the Grantee Prior to the start of the work. Any changes to the Scope of Work
to be completed must be reviewed by FEMA to ensure program and EHP compliance. Subgrantee must follow Federal procurement
procedures as outlined in 2 CFR 200.317-326. Subgrantee must provide an accounting of final actual costs to the Grantee that
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Federal Emergency Management Agency E -Grants
Page 3 of')
demonstrates the SOW of the PW or the approved Improved or Alternate Project has been completed and the actual costs associated
with completing the SOW. The final accounting must indicate the Subgrantees intended use of any excess funds associated with this
project.
— GRANT CONDITIONS FOR CONSOLIDATED FIXED ESTIMATE.
Additional sites can be included in this consolidation up to 12 months from the date of declaration. Subgrantee agrees to fund any overrun
associated with completion of the work. Any changes to the Scope of Work to be completed must be reviewed by FEMA prior to the start
of work to ensure program and EHP compliance.
Subgrantee must follow Federal procurement procedures as outlined in 2 CFR 200. 317-326.
— ALTERNATIVE PROCEDURES EXCESS FUNDS DEOBLIGATION
The Subgrantee has provided a final accounting of its expenditures to complete this scope of work. The total funds expended are less
than the funding provided in this PW leaving excess funds on this project. In accordance with the Alternative Procedures, the Subgrantee
can use these funds for eligible actions as defined in the Public Assistance Program Alternative Procedures Pilot Program Guide for
Permanent Work. The Excess funds are being de -obligated on this PW and the project closed based upon the final accounting of the
expenditures. The Excess funds are being re -obligated on a PW using the same Project Number. The intended use of these funds will be
captured in the SOW of the new PW and will be reviewed for program and EHP compliance.
— ALTERNATIVE PROCEDURES EXCESS FUNDS OBLIGATION
In accordance with the Alternative Procedures, the Subgrantee can use these excess funds for eligible actions as defined in the Public
Assistance Program Alternative Procedures Pilot Program Guide for Permanent Work. The Excess Funds obligated on this PW have been
de -obligated from the original Alternative Procedures PW with the same Project Number. The intended use of these funds is captured in
this PW scope of work. FEMA must be notified of any changes to the Intended use of these funds prior to the start of work to ensure
program and EHP compliance. Subgrantee must follow Federal procurement procedures as outlined in 2 CFR 200. 317- 326
The Subgrantee provided the estimate for this site and FEMA validated the estimate and found it to be reasonable for the work to be
performed. Note: The cost of the estimate will be captured on Cost Code that
indicates the project Is a Fixed Price Estimate PW (Cost Code 9201 or 9202). The Cost Code 9204 is to capture the fact that we validated
the Subgrantees estimate for reporting purposes and should have a cost of $0.00.
connection with the incident period of 12/2612015 to 1/21/2016 with the exception of requests for alternate or Improved projects.
Current Version:
Does the Scope of Work change the pre -disaster
conditions at the site? Yes -` No I Special Considerations included? Yes No
I Hazard Mitigation proposal included? Yes No I Is there insurance coverage an this facility? Yes No
PROJECT COST
ITEM CODE NARRATIVE QUANTITY/UNIT UNIT COST
PRICE
*** Version 0 **"
Work Completed
1 1 1 9001 1 Contract 1 1/LS 1$ 54,564.441 $ 54,564.441
I I I Direct Subgrantee Admin Cost I I I I
2 9903 1 No Direct Administrative Costs 1/LS $0.001 $ 0.00
TOTAL $ 54,564.44.
COST
PREPARED BY THOMAS J LAWSON TITLE PA -Specialist ATURE
APPLICANT REP. James Loomis ITITLE City Manager ATTR54,11 - A=
View ApOication
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GRANT TERMS AND CONDITIONS
This Grant Agreement (consisting of FEMA Disaster Award and these Terms and Conditions) is
made and entered into by and between the Department of Public Safety / Texas Division of
Emergency Management, an agency of the State of Texas, hereinafter referred to as
"DPS/TDEM," and the funds recipient, hereinafter referred to as the "Applicant' or
"Subrecipient." Furthermore, DPS/TDEM and the Subrecipient are collectively hereinafter
referred to as the "Parties."
Subrecipient may not assign or transfer any interest in this Grant without the express, prior
written consent of DPS/TDEM. If Subrecipient issues subawards as part of this Grant project,
Subrecipient shall include and require its subawardees to comply with the terms and conditions
of this Grant.
The term "Subrecipient agreement funds" as used in this Grant means funds provided by
DPS/TDEM under the United States Department of Homeland Security (DHS) Federal
Emergency Management Agency (FEMA) grant programs (also referred to herein as
DHS/FEMA). The term "Subrecipients funds" or match funds as used in this Grant means
funds provided by the Subrecipient.
A. Standard of Performance. Subrecipient shall perform all activities as approved by
DPS/TDEM. Any change to a project shall receive prior written approval by TDEM and, if
required, by FEMA. Subrecipient shall perform all activities in accordance with all terms,
provisions and requirements set forth in this Grant, including but not limited to the following
Exhibits:
1. Assurances — Non -Construction Programs, hereinafter referred to as "Exhibit A"
2. Assurances — Construction Programs, hereinafter referred to as "Exhibit B"
3. Certifications for Grant Agreements, hereinafter referred to as "Exhibit C'
4. State of Texas Assurances, hereinafter referred to as "Exhibit D"
5. Environmental Review Certification, hereinafter referred to as "Exhibit E"
6. Additional Grant Conditions, hereinafter referred to as "Exhibit F"
7. Additional Grant Certifications, hereinafter referred to as "Exhibit G'
B. Failure to Perform. In the event Subrecipient fails to implement the project(s) entered and
approved in the DPS/TDEM web -based grants management system, or comply with any
provision of this Grant, Subrecipient shall be liable to DPS/TDEM for an amount not to
exceed the award amount of this Grant and may be barred from applying for or receiving
additional DHS/FEMA grant program funds or any other grant program funds administered
by DPS until repayment to DPS/TDEM is made and any other compliance or audit finding is
satisfactorily resolved, in addition to any other remedy specified in this Grant. Failure to
timely implement projects may reduce future funding in additional DHS/FEMA and/or other
grant programs administered by DPS.
C. Fundina Obligations. DPS/TDEM shall not be liable to Subrecipient for any costs incurred
by Subrecipient that are not allowable costs.
1. Notwithstanding any other provision of this Grant, the total of all payments and other
obligations incurred by DPS/TDEM under this Grant shall not exceed the Total Award
Amount listed on the Grant Subrecipient Award.
2. Subrecipient shall contribute the match funds listed on the Grant Subrecipient Award.
3. Subrecipient shall refund to DPS/TDEM any sum of these Grant funds that has been
determined by DPS/TDEM to be an overpayment to Subrecipient or that DPS/TDEM
Page 1 of 18
TDEM - August 11, 2015
determines has not been spent by Subrecipient in accordance with this Grant. No
refund payment(s) shall be made from local, state or federal Grant funds unless
repayment with Grant funds is specifically permitted by statute or
regulation. Subrecipient shall make such refund to DPS/TDEM within thirty (30)
calendar days after
4. DPS/TDEM requests such refund.
D. Performance Period. The performance_ period for this Grant is listed on the Grant
Subrecipient Award letter. All projects shall be completed within the performance
period AND all reimbursement requests shall be submitted to DPS/TDEM within 60
days for the end of the performance period. Subrecipient shall have expended all Grant
funds and submitted reimbursement requests, invoices and any supporting documentation
to DPS/TDEM within 60 days of the end of the performance period. DPS/TDEM shall not be
obligated to reimburse expenses incurred after the performance period or submitted after
the deadline.
E. Uniform Administrative Requirements, Cost Principals and Audit Requirements.
Except as specifically modified by law or this Grant, Subrecipient shall administer this Grant
through compliance with the most recent version of all applicable laws and regulations,
including but not limited to DHS program legislation, Federal awarding agency regulations,
and the terms and conditions of this Grant. A non-exclusive list is provided below [not all
may apply in every projects]:
• Public Law 93-288, as amended (Stafford Act)
• 44 CFR, Emergency Management and Assistance
• Disaster Mitigation Act of 2000
• OMB Regulations 2 CFR, Grant and Agreements
• Executive Order 11988, Floodplain Management
• Executive Order 11990, Protection of Wetlands
• Executive Order 12372, Intergovernmental Review of Programs and Activities
• Executive Order 12549, Debarment and Suspension
• Executive Order 12612, Federalism
• Executive Order 12699, Seismic Design
• Executive Order 12898, Environmental Justice
• Coastal Barrier Resources Act, Public Law 97-348
• Single Audit Act, Public Law 98-502
• Sandy Recovery Improvement Act publications
• 16 U.S.C. § 470, National Historic Preservation Act
• 16 U.S.C. § 1531, Endangered Species Act References
• FEMA program publications, guidance and policies
F. State Reauirements for Grants. Subrecipient shall comply with all other federal, state, and
local laws and regulations applicable to this Grant including but not limited to the laws and
the regulations promulgated in Texas Government Code, Chapter 783, Uniform Grant and
Contract Management, (UGMS) at:
http-//www.window.state.tx.us/iprocurement/catrad/ugms.,r)-d
and the program State Administrative Plan, available at:
hftr)://www.l&dSs.state.tx.us/dem/GrantsR!tsources/index.htm.
Subrecipient shall, in addition to the assurances and certifications, comply and require each
of its subcontractors employed in the completion of the project to comply with all applicable
Page 2 of 18
TDEM - August 11, 2015
statutes, regulations, executive orders, OMB circulars, terms and conditions of this Grant
and the approved application.
Grant funds may not be awarded to or expended by any entity which performs political
polling. This prohibition does not apply to a poll conducted by an academic institution as
part of the institution's academic mission that is not conducted for the benefit of a particular
candidate or party.
Grant funds may not be expended by a unit of local government unless the following
limitations and reporting requirements are satisfied:
1. Texas General Appropriations Act, Art. IX, Parts 2 and 3, except there is no
requirement for increased salaries for local government employees;
2. Texas Government Code Sections 556.004, 556.005, and 556.006, which prohibits
using any money or vehicle to support the candidacy of any person for office,
influencing positively or negatively the payment, loan, or gift to a person or political
organization for a political purpose, and using Grant funds to influence the passage
or defeat of legislation including not assisting with the funding of a lobbyist, or using
Grant funds to pay dues to an organization with a registered lobbyist;
3. Texas Government Code Sections 2113.012 and 2113.101, which prohibits using
Grant funds to compensate any employee who uses alcoholic beverages on active
duty and Subrecipient may not use Grant funds to purchase an alcoholic beverage
and may not pay or reimburse any travel expense for an alcoholic beverage;
4. Texas General Appropriations Act, Art. IX, Section 6.13, which requires Subrecipient
to make every effort to attain key performance target levels associated with this
Grant, including performance milestones, milestone time frames, and related
performance reporting requirements; and
5. General Appropriations Act, Art. IX, Sections 7.01 and 7.02, and Texas Government
Code §2102.0091, which requires that this Grant may only be expended if
Subrecipient timely completes and files its reports.
G. Restrictions and General Conditions.
1. Use of Funds. DHS/FEMA Grant funds may only be used for the purposes set forth in
this Grant, and shall be consistent with the statutory authority for this Grant. Grant funds
may not be used for matching funds for other Federal grants/cooperative agreements,
lobbying, or intervention in Federal regulatory or adjudicatory proceedings. In addition,
Federal funds may not be used to sue the Federal government or any other government
entity.
2. Federal Emolovee Prohibition. Federal employees are prohibited from serving in any
capacity (paid or unpaid) on any proposal submitted under this Grant. Federal
employees may not receive funds under this Grant.
3. Points of Contacts. Within 30 calendar days of any change, Subrecipient shall notify
DPS/TDEM of any change or correction to the Designation of Applicant's Agent, chief
elected official, program, and/or financial points of contact in the DPS/TDEM grant
management system.
4. DUNS Number. Subrecipient confirms its Data Universal Numbering Systems (DUNS)
Number is the number listed on this Grant. The DUNS Number is the nine digit number
established and assigned by Dun and Bradstreet, Inc., at 866/705-5711 or
http://fedqov.dnb.com/webform
5. Central Contractor Registration and Universal Identifier Requirements. Subrecipient
maintains that it has registered on the System for Award Management (SAM) at
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TDEM -August 11, 2015
www.5am.goy or other federally established site for contractor registration, and entered
DPS/TDEM-required information. Subrecipient shall keep current, and then review and
update the information at least annually. Subrecipient shall keep information current in
the SAM database until the later of when it submits this Grant's final financial report or
receives final Grant award payment. Subrecipient agrees that it shall not make any
subaward agreement or contract related to this Grant without first obtaining the
vendor/subawardee's mandatory DUNS number. See Section §200.32 of OMB 2 C.F.R.
6. Reporting Total Compg,nsation of Subrecipient Executives. 2 C.F.R. §200.331; see
FEMA Information Bulletin 350.
a. Applicability and what to report: Subrecipient shall report whether Subrecipient
received $25 million or more in Federal procurement contracts or financial assistance
subject to the Transparency Act per 2 C.F.R. §200.331. Subrecipient shall report
whether 80% or more of Subrecipient's annual gross revenues were from Federal
procurement contracts or Federal financial assistance. If Subrecipient answers "yes"
to both questions, Subrecipient shall report, along with Subrecipient's DUNS number,
the names and total compensation (see 17 C.F.R. §229.402(c)(2)) for each of
Subrecipient's five most highly compensated executives for the preceding completed
fiscal year.
b. Where and when to report: Subrecipient shall report executive total compensation at
www.sam.gov or other federally established replacement site. By signing this Grant,
Subrecipient certifies that, if required, Subrecipient's jurisdiction has already
registered, entered the required information, and shall keep information in the SAM
database current, and update the information at least annually for each year until the
later of when the jurisdiction submits its final financial report or receives final
payment. Subrecipient agrees that it shall not make any subaward agreement or
contract without first obtaining the subawardee's mandatory DUNS number.
7. Debarment and Suspension. Subrecipient shall comply with Executive Order 12549 and
12689, which provide protection against waste, fraud, and abuse by debarring or
suspending those persons deemed irresponsible in their dealings with the Federal
government.
8. Direct Deposit. If Subrecipient has not received reimbursements from DPS/TDEM within
the past eleven (11) months (prior to date of award), it shall forward a new/updated
direct deposit form to DPS/TDEM. Completed direct deposit forms from Subrecipient
shall be emailed to TDEM project officer. The email subject line and attachment name
shall include the subrecipient name and identify the document attached (i.e. "Sample
County DD form"). The direct deposit form is currently available at
hqp://www.window.state.tx.us/taxinfo/taxforms/74-176.j)d .
9. Property Management and Inventory. Subrecipient shall maintain property/inventory
records which, at minimum, shall include a description of the property, a serial number or
other identification number, the source of property, who holds title, the acquisition date,
the cost of the property, the percentage of Federal participation in the cost of the
property, the location, use and condition of the property, and any ultimate disposition
data including the date of disposal and sale price of the property Subrecipient shall
develop and implement a control system to prevent loss, damage or theft of property and
Subrecipient shall investigate and document any loss, damage or theft of property
funded under this Grant.
10. Site Visits. DHS and/or DPS/TDEM, through its authorized representatives, have the
right at all reasonable times to make site visits to review project accomplishments and
management control systems and to provide such technical assistance as may be
required. If any site visit is made by DHS on the premises of Subrecipient or a contractor
under this Grant, Subrecipient shall provide and shall require its contractors to provide
Page 4 of 18
TDEM - August 11, 2015
all reasonable facilities and assistance for the safety and convenience of the government
representatives in the performance of their duties. All site visits and evaluations shall be
performed in such a manner that will not unduly delay the work.
H. Procurement and Contracting.
1. Procurements. Subrecipient shall comply with all applicable federal, state, and local
laws and requirements, including but not limited to proper competitive solicitation
processes where required, for any procurement which utilizes federal funds awarded
under this Grant in accordance with 2 C.F.R. 200. 318
2. Contract Provisions. All contracts executed using funds awarded under this Grant shall
contain the contract provisions listed under 2 C.F.R. 200.326 and Appendix II (A),
Uniform Administrative Requirements for Grants and Cooperative Agreements to State
and Local Governments.
3. Procurement activities must follow the most restrictive of Federal, State and Local
procurement regulations:
a. Procurement by micro purchase
b. Procurement by small purchase
c. Procurement by sealed bid
d. Procurement by competitive proposal
e. Procurement by non-competitive proposal,os lely when the award of a contract is
unfeasible under the other methods
The State must be contacted for approval to use a noncompetitive procurement method.
Failure to follow eligible procurement methods will result in ineligible costs. Other types
of agreements for services must have State approval prior to use or execution. A copy of
the local procurement policy must be provided to the State before initial payment.
The cost plus a percentage of cost and percentage of construction cost methods of
contracting are ineligible.
Must perform costiprice analysis for purchases over $3000.
Must negotiate profit as a separate element where required.
Evidence of non -debarment for vendors must be documented through
btW--//www.sam.gov/r)ortal/j)ublic/SAM and
htto://www.window.state.tx.us/rrrocurement/oroci/vendor performance/debarred/ and
submitted for review.
Comply with rules related to underutilized businesses (small and minority businesses,
women's enterprises and labor surplus firms) at 2 CFR 200.321
1. Monitoring. Subrecipient will be monitored periodically by federal, state or local entities,
both programmatically and financially, to ensure that project goals, objectives, performance
requirements, timelines, milestone completion, budget, and other program -related criteria
are met.
DPS/TDEM, or its authorized representative, reserves the right to perform periodic
desk/office-based and/or on-site monitoring of Subrecipient's compliance with this Grant and
of the adequacy and timeliness of Subrecipient's performance pursuant to this Grant. After
each monitoring visit, DPS/TDEM shall provide Subrecipient with a written report of the
monitor's findings. If the monitoring report notes deficiencies in Subrecipient's performance
Page 5 of 18
TDEM - August 11, 2015
under this Grant, the monitoring report shall include requirements for the timely correction of
such deficiencies by Subrecipient. Failure by Subrecipient to take action specified in the
monitoring report may be cause for suspension or termination of this Grant pursuant to the
Suspension and/or Termination Section herein.
J. Audit.
1. Audit of Federal and State Funds. Subrecipient shall arrange for the performance of an
annual financial and compliance audit of funds received and performances rendered
under this Grant as required by the Single Audit Act (OMB 2 C.F.R. 200.501, formerly A-
133). Subrecipient shall comply, as applicable, with Texas Government Code, Chapter
783, the Uniform Grant Management Standards (UGMS), the State Uniform
Administrative Requirements for Grants and Cooperative Agreements.
2. Right to Audit. Subrecipient shall give the United States Department of Homeland
Security (DHS), Federal Emergency Management Agency (FEMA), the Comptroller
General of the United States, the Texas State Auditor, DPS/TDEM, or any of their duly
authorized representatives, access to and the right to conduct a financial or compliance
audit of Grant funds received and performances rendered under this
Grant. Subrecipient shall permit DPS/TDEM or its authorized representative to audit
Subrecipient's records. Subrecipient shall provide any documents, materials or
information necessary to facilitate such audit.
3. Subrecioient's Liability for Disallowed Costs. Subrecipient understands and agrees that
it shall be liable to DPS/TDEM for any costs disallowed pursuant to any financial or
compliance audit(s) of these funds. Subrecipient further understands and agrees that
reimbursement to DPS/TDEM of such disallowed costs shall be paid by Subrecipient
from funds that were not provided or otherwise made available to Subrecipient pursuant
to this Grant or any other federal contract.
4. Subrecigient's Facilitation of Audit. Subrecipient shall take such action to facilitate the
performance of such audit(s) conducted pursuant to this Section as DPS/TDEM may
require of Subrecipient. Subrecipient shall ensure that this clause concerning the
authority to audit funds received indirectly by subcontractors through Subrecipient and
the requirement to cooperate is included in any subcontract it awards.
5. State Auditor's Clause. Subrecipient understands that acceptance of funds under this
Grant acts as acceptance of the authority of the State Auditor's Office to conduct an
audit or investigation in connection with those funds. Subrecipient further agrees to
cooperate fully with the State Auditor's Office in the conduct of the audit or investigation,
including providing all records requested. Subrecipient shall ensure that this clause
concerning the State Auditor's Office's authority to audit funds and the requirement to
cooperate fully with the State Auditor's Office is included in any subgrants or
subcontracts it awards. Additionally, the State Auditor's Office shall at any time have
access to and the rights to examine, audit, excerpt, and transcribe any pertinent books,
documents, working papers, and records of Subrecipient relating to this Grant.
Page 6 of 18
TDEM - August 11, 2015
K. Retention and Accessibility of Records.
1. Retention of Records. Subrecipient shall maintain fiscal records and supporting
documentation for all expenditures of this Grant's funds pursuant to the applicable OMB
2 C.F.R. Subpart D — Post Federal Award Requirements, of Part 200 UGMS §_.42,
and this Grant. Subrecipient shall retain these records and any supporting
documentation for a minimum of three (3) years from the later of the completion of this
project's public objective, submission of the final expenditure report, any litigation,
dispute, or audit. Records shall be retained for three (3) years after any real estate or
equipment final disposition. The DHS or DPS/TDEM may direct Subrecipient to retain
documents or to transfer certain records to DHS custody when DHS determines that the
records possess long term retention value.
2. Access to Records. Subrecipient shall give the United States Department of Homeland
Security, the Comptroller General of the United States, the Texas State Auditor,
DPS/TDEM, or any of its duly authorized representatives, access to and the right to
examine all books, accounts, records, reports, files, other papers, things or property
belonging to or in use by Subrecipient pertaining to this Grant including records
concerning the past use of DHS/FEMA funds. Such rights to access shall continue as
long as the records are retained by S ubrecipient.
L. Changes, Amendments. Suspension or Termination
1. Modification. FEMA or DPS/TDEM may modify this Grant after an award has been
made. Once notification has been made in writing, any subsequent request for funds
indicates Subrecipient's acceptance of the changes to this Grant. Any alteration,
addition, or deletion to this Grant by Subrecipient is not valid.
2. Effect of Changes in Federal and State Laws. Any alterations, additions, or deletions to
this Grant that are required by changes in federal and state laws, regulations or policy
are automatically incorporated into this Grant without written amendment to this Grant
and shall become effective upon the date designated by such law or regulation. In the
event FEMA or DPS/TDEM determines that changes are necessary to this Grant after
an award has been made, including changes to the period of performance or terms and
conditions, Subrecipient shall be notified of the changes in writing. Once notification has
been made, any subsequent request for funds will indicate Subrecipient's acceptance of
the changes to this Grant.
3. Suspension. In the event Subrecipient fails to comply with any term of this Grant,
DPS/TDEM may, upon written notification to Subrecipient, suspend this Grant, in whole
or in part, withhold payments to Subrecipient and prohibit Subrecipient from incurring
additional obligations of this Grant's funds.
4. Termination. DPS/TDEM shall have the right to terminate this Grant, in whole or in part,
at any time before the end of the Performance Period, if DPSITDEM determines that
Subrecipient has failed to comply with any term of this Grant. DPS/TDEM shall provide
written notice of the termination and include:
a. The reason(s) for such termination;
b. The effective date of such termination; and
c. In the case of partial termination, the portion of this Grant to be terminated.
d. Appeal may be made to the Deputy Assistant Director of Texas Division of
Emergency Management- Recovery Mitigation and Standards, Texas Department of
Public Safety.
M. Enforcement. If Subrecipient materially fails to comply with any term of this Grant, whether
stated in a federal or state statute or regulation, an assurance, in a state plan or application,
Page 7 of 18
TDEM -August 11, 2015
a notice of award, or elsewhere, DPS/TDEM or DHS may take one or more of the following
actions, as appropriate in the circumstances:
1. Increased monitoring of projects and require additional financial and performance
reports
2. Require payments as reimbursements rather than advance payments
3. Temporarily withhold payments pending correction of the deficiency
4. Disallow or deny use of funds and matching credit for all or part of the cost of the
activity or action not in compliance;
5. Request FEMA to wholly or partially de -obligate funding for a project
6. Temporarily withhold cash payments pending correction of the deficiency by
subrecipient or more severe enforcement action by DPS/TDEM or DHS;
7. Withhold further awards for the grant program
8. Take other remedies that may be legally available
In taking an enforcement action, DPS/TDEM will provide Subrecipient an opportunity for a
hearing, appeal, or other administrative proceeding to which Subrecipient is entitled under
any statute or regulation applicable to the action involved.
The costs of Subrecipient resulting from obligations incurred by Subrecipient during a
suspension or after termination of this Grant are not allowable unless DPS/TDEM or DHS
expressly authorizes them in the notice of suspension or termination or subsequently.
Other Subrecipient costs during suspension or after termination which are necessary and
not reasonably avoidable are allowable if:
• The costs result from obligations which were properly incurred by Subrecipient before
the effective date of suspension or termination, are not in anticipation of it, and in the
case of a termination, are non -cancellable; and
• The costs would be allowable if this Grant were not suspended or expired normally at
the end of the funding period in which the termination takes effects.
The enforcement remedies identified in this section, including suspension and termination,
do not preclude Subrecipient from being subject to "Debarment and Suspension" under E.O.
12549. 2 C.F.R., Appendix II to Part 200, (1).
N. Conflicts of Interest. The subrecipient will maintain written standards of conduct covering
conflicts of interest and governing the actions of its employees engaged in the selection,
award and administration of contracts and will establish safeguards to prohibit employees
from using their positions for a purpose that constitutes or presents the appearance of
personal or organizational conflict of interest or personal gain.
0. Closinq of this Grant. DPS/TDEM will close a subaward after receiving all required final
documentation from the Subrecipient. If the close out review and reconciliation indicates
that Subrecipient is owed additional funds, DPS/TDEM will send the final payment
automatically to Subrecipient. If Subrecipient did not use all the funds received,
DPS/TDEM will recover the unused funds.
At the completion of Subrecipient's performance period, DPS/TDEM will de -obligate all
uncommitted funds and de -obligate all unexpended funds if final documentation is not
received by the deadline.
The closeout of this Grant does not affect:
Page 8 of 18
TDEM - August 11, 2015
1. DHS or DPS/TDEM's right to disallow costs and recover funds on the basis of a later
audit or other review;
2. Subrecipient's obligation to return any funds due as a result of later refunds, corrections,
or other transactions;
3. Records retention requirements, property management requirements, and audit
requirements, as set forth herein; and
4. Any other provisions of this Grant that impose continuing obligations on Subrecipient or
that govern the rights and limitations of the parties to this Grant after the expiration or
termination of this Grant.
Page 9 of 18
TDEM - August 11, 2015
EXHIBIT A
ASSURANCES - NON -CONSTRUCTION PROGRAMS See Standard Form 424B
As the duly authorized representative of Subrecipient, I certify that Subrecipient:
1. Has the legal authority to apply for Federal assistance and the institutional,
managerial and financial capability (including funds sufficient to pay the non -
Federal share of project cost) to ensure proper planning, management and
completion of the project described in this Grant.
2. WIII give the Department of Homeland Security, the Department of Public
Safety, the Comptroller General of the United Stales and, if appropriate, the
State, through any authorized representative, access to and the right to
examine all records, books, papers, or documents related to this Grant and
will establish a proper accounting system in accordance with generally
accepted accounting standards or agency directives.
3. Will establish safeguards to prohibit employees from using their positions for
a purpose that constitutes or presents the appearance of personal or
organizational conflict of Interest or personal gain.
4. Will initiate and complete the work within the applicable time frame after
receipt of approval of the awarding agency.
5. W81 comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C.
§§4728.4763) relating to prescribed standards for merit systems for
programs funded under one of the 19 statutes or regulations specified in
Appendix A of OPM's Standards for a Merit System of Personnel
Administration (5 C.F.R. 900, Subpart F).
6. Will comply with all Federal statutes relating to nondiscrimination. These
Include but are not limited to: (a) Title VI of the Civil Rights Act or 1964 (P.L.
88.352) which prohibits discrimination on the basis of race, color or national
origin; (b) Title IX of the Education Amendments of 1972, as amended (20
U.S.C. §§1681-1683, and 1685-1686 and 44 C.F.R. Part 19), which prohibits
discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act
of 1973, as amended (29 U.S.C. §794), which prohibits discrimination on the
basis of handicaps; (d) the Age Discrimination Act of 1975, as amended (42
U.S.C. §§6101-6107), which prohibits discrimination on the basis of age; (e)
the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as
amended, relating to nondiscrimination on the basis of drug abuse; (f) the
Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and
Rehabilitation Act of 1970 (P.L 91-616), as amended, relating to
nondiscrimination on the basis of alcohol abuse or alcoholism; (g) §§523
and 527 of the Public Health Service Act of 1912 (42 U.S.C. §5290dd-3 and
290ee-3), as amended, relating to confidentiality of alcohol and drug abuse
patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C.
§§3601 at seq.), as amended, relating to nondiscrimination In the sale, rental
or financing of housing; (1) any other nondiscrimination provisions In the
specific statute(s) under which agreement for Federal assistance is being
made; and (j) the requirements of any other nondiscrimination statute(s)
which may apply to the application.
7. Will comply or has already complied with the requirements of Titles II and III
of the Uniform Relocation Assistance and Real Property Acquisition Policies
Act of 1970 (P.L. 91.646) which provide for fair and equitable treatment of
persons displaced or whose property is acquired as a result of Federal or
federally -assisted programs. These requirements apply to all interests In real
property acquired for project purposes regardless of Federal participation In
purchases.
B. Will comply, as applicable, with provisions of the Hatch Act (5 U.S.C. §§1501-
1508 and 7324-7328) which limit the political activities of employees whose
principal employment activities are funded in whole or in part with Federal
funds.
9. WIII comply, as applicable, with the provisions of the Davis -Bacon Act (40
U.S.C. §§276a to 276a-7), the Copeland Act (40 U.S.C. §276c and 18
U.S.C. §874), and the Contract Work Hours and Safety Standards Act (40
U.S.C. §§327-333), regarding labor standards for federally -assisted
construction sub -agreements.
10. Will comply, If applicable, with flood insurance purchase requirements of
Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234)
which requires recipients in a special flood hazard area to participate in the
program and to purchase flood insurance if the total cost of insurable
construction and acquisition is $10,000 or more.
11. WIII comply with environmental standards which maybe prescribed pursuant
to the following: (a) institution of environmental quality control measures
under the National Environmental Policy Act of 1969 (P.L. 91.190 as
amended by 42 U.S.C. 4311 at seq. and Executive Order (EO) 11514) which
establishes national policy goals and procedures to protect and enhance the
environment, including protection against natural disasters. To comply with
NEPA for DHS grant -supported activities, DHS -FEMA requires the
environmental aspects to be reviewed and evaluated before final action on
the application; (b) notification of violating facilities pursuant to EO 11738,
(c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood
hazards in floodplain in accordance with EO 11988; (e) assurance of
project consistency with the approved Stale management program
developed under the Coastal Zone Management Act of 1972 (16 U.S C.
§§1451 at seq.); (f) comply with the Clean Air Act of 1977, (42 U.S C
§§7401 at seq. and Executive Order 11738) providing for the protection of
and enhancement of the quality of the nation's air resources to promote
public health and welfare and for restoring and maintaining the chemical,
physical, and biological integrity of the nation's waters; (g) protection of
underground sources of drinking water under the Safe Drinking Water Act of
1974, as amended (P.L. 93-523); and, (h) protection of endangered species
under the Endangered Species Act of 1973, as amended (P.L. 93- 205).
12. Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S C. §§1271 at
seq ) related to protecting components or potential components of the
national wild and scenic rivers system.
13. Will assist the awarding agency in assuring compliance with Section 106 of
the National Historic Preservation Act of 1966, as amended (16 U.S C
§470), EO 11593 (identification and protection of historic properties), and the
Archaeological and Historic Preservation Act of 1974 (16 U.S C. §§469a-1 et
seq ).
14. Will comply with P.L. 93-348, 45 C.F.R. 46, and DHS Management Directive
026-044 (Directive) regarding the protection of human subjects Involved In
research, development, and related activities supported by this Grant
'Research" means a systematic investigation, including research,
development, testing, and evaluation designed to develop or contribute to
general knowledge. See Directive for additional provisions for including
humans in the womb, pregnant women, and neonates (Subpart B); prisoners
(Subpart C); and children (Subpart D). See also state and local law for
research using autopsy materials.
15. WIII comply with the laboratory Animal Welfare Act of 1966 (P L. 89-544, as
amended, 7 U.S.C. §§2131 at seq.) which requires the minimum standards
of care and treatment for vertebrate animals bred for commercial sale, used
In research, transported commercially, or exhibited to the public according to
the Guide for Care and Use of Laboratory Animals and Public Health
Service Policy and Government Principals Regarding the Care and Use of
Animals.
16. Will comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C.
§§4801 at seq.) which prohibits the use of lead-based paint in construction
or rehabilitation of residence structures.
17. Will cause to be performed the required financial and compliance audits In
accordance with the Single Audit Act Amendments of 1996 and OMB
Circular No. A-133 (now OMB 2 C.F.R. 200.500), "Audits of States, Local
Governments, and Non -Profit Organizations."
18. Will comply with all applicable requirements of all other Federal laws,
executive orders, regulations, grant guidance, and policies governing this
Grant.
Page 10 of 18
TDEM - August 11, 2015
EXHIBIT B
ASSURANCES - CONSTRUCTION PROGRAMS See Standard Form 424D
As the duly authorized representative of Subrecipient, I certify that Subrecipient:
1. Has the legal authority to apply for Federal assistance, and the
institutional, managerial and financial capability (including funds
sufficient to pay the non -Federal share of project costs) to ensure
proper planning, management and completion of project described in
this Grant.
2. Will give the Department of Homeland Security, the Department of
Public Safety, the Comptroller General of the United States and, if
appropriate, the State, the right to examine all records, books, papers,
or documents related to this Grant and will establish a proper
accounting system In accordance with generally accepted accounting
standards or agency directives.
3. WIII not dispose of, modify the use of, or change the terms of the real
property title or other Interest in the site and facilities without
permission and instructions from the awarding agency. Will record the
Federal awarding agency directives and will Include a covenant In the
title of real property acquired in whole or in part with Federal assistance
funds to assure nondiscrimination during the useful life of this Grant.
4. WIII comply with the requirements of the assistance awarding agency
with regard to the drafting, review and approval of construction plans
and specifications.
5. Will provide and maintain competent and adequate engineering
supervision at the construction site to ensure that the complete work
conforms with the approved plans and specifications and will furnish
progressive reports and such other information as may be required by
the awarding agency or State.
6. Will Initiate and complete the work within the applicable time frame
after receipt of approval of the awarding agency.
7. Will establish safeguards to prohibit employees from using their
positions for a purpose that constitutes or presents the appearance of
personal or organizational conflict of Interest or personal gain.
8. Will comply with the Intergovernmental Personnel Act of 1970 (42
U.S.C. §§4726-4763) relating to prescribed standards of merit systems
for programs funded under one of the 19 statutes or regulations
specified in Appendix A of OPM's Standards for a Merit System of
Personnel Administration (5 C.F.R. 900, Subpart F).
9. Will comply with the Lead -Based Paint Poisoning Prevention Act (42
U.S.C. §§4801 et seq.) which prohibits the use of lead-based paint In
construction or rehabilitation of residence structures.
10. Will comply with all Federal statutes relating to nondiscrimination.
These include but are not limited to: (a) Title VI of the Civil Rights Act of
1964 (P.L. 88-352) which prohibits discrimination on the basis of race,
color or national origin; (b) Title IX of the Education Amendments of
1972, as amended (20 U.S.C. §§1681 1683, and 1685-1686 and 44
C.F.R. Part 19), which prohibits discrimination on the basis of sex; (c)
Section 504 of the Rehabilitation Act of 1973, as amended (29) U.S.C.
§794), which prohibits discrimination on the basis of handicaps; (d) the
Age Discrimination Act of 1975, as amended (42 U.S.C. §§6101-6107),
which prohibits discrimination on the basis of age; (e) the Drug Abuse
Office and Treatment Act of 1972 (P.L. 92-255), as amended relating to
nondiscrimination on the basis of drug abuse; (f) the Comprehensive
Alcohol Abuse and Alcoholism Prevention, Treatment and
rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to
nondiscrimination on the basis of alcohol abuse or alcoholism; (g)
§§523 and 527 of the Public Health Service Act of 1912 (42 U.S.C.
§§290dd-3 and 290ee-3), as amended, relating to confidentiality of
alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights
Act of 1968 (42 U.S.C. §§3601 et seq.), as amended, relating to
nondiscrimination In the sale, rental or financing of housing; (1) any
other nondiscrimination provisions In the specific statue(s) under which
agreement for Federal assistance Is being made; and p) the
TDEM -August 11, 2015
requirements of any other nondiscrimination statue(s) which may apply
to the agreement.
11. WIII comply or has already complied with the requirements of Titles II
and III of the Uniform Relocation Assistance and Real Property
Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair and
equitable treatment of persons displaced or whose property is acquired
as a result of Federal and federally -assisted programs. These
requirements apply to all interests in real property acquired for project
purposes regardless of Federal participation in purchases.
12. Will comply with the provisions of the Hatch Act (5 U.S.C. §§1501-1508
and 7324-7328) which limit the political activities of employees whose
principal employment activities are funded in whole or in part with
Federal funds.
13. Will comply, as applicable, with the provisions of the Davis -Bacon Act
(40 U.S.C. §§276a to 276a-7), the Copeland Act (40 U.S.C. §276c and
18 U.S.C. §874), and the Contract Work Hours and Safely Standards
Act (40 U.S.C. §§327- 333) regarding labor standards for federally -
assisted construction sub -agreements.
14. Will comply with flood Insurance purchase requirements of Section
102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which
requires recipients in a special flood hazard area to participate in the
program and to purchase flood Insurance if the total cost of insurable
construction and acquisition is $10,000 or more.
15. WIII comply with environmental standards which may be prescribed
pursuant to the following: (a) institution of environmental quality control
measures under the National Environmental Policy Act of 1969 (P.L.
91- 190) as amended by 42 U.S.C. 4311 at seq. and Executive Order
(EO) 11514 which establishes national policy goals and procedures to
protect and enhance the environment, Including protection against
natural disasters; (b) notification of violating facilities pursuant to EO
11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation
of flood hazards in floodplains in accordance with EO 11988; (e)
assurance of project consistency with the approved State management
program developed under the Coastal Zone Management Act of 1972
(16 U.S.C. §§1451 et seq.); (f) comply with the Clean Air Act of 1977,
(42 U.S.C. §§7401 et seq. and Executive Order 11738) providing for
the protection of and enhancement of the quality of the nation's air
resources to promote public health and welfare and for restoring and
maintaining the chemical, physical, and biological Integrity of the
nation's waters; (g) protection of underground sources of drinking water
under the Safe Drinking Water Act of 1974, as amended (P.L. 93-523);
and, (h) protection of endangered species under the Endangered
Species Act of 1973, as amended (P.L. 93-205).
16. WIII comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C.
§§1271 et seq.) related to protecting components or potential
components of the national wild and scenic rivers system.
17. WIII assist the awarding agency in assuring compliance with Section
106 of the National Historic Preservation Act of 1966, as amended (16
U.S.C. §470), EO 11593 (identification and protection of historic
properties), and the Archaeological and Historic Preservation Act of
1974 (16 U.S.C. §§469a-1 at seq).
18. Will cause to be performed the required financial and compliance
audits in accordance with the Single Audit Act Amendments of 1996
and OMB Circular No. A-133 (now OMB 2 C.F.R. 200.500), "Audits of
States, Local Governments, and Non -Profit Organizations"
19. Will comply with all applicable requirements of all other Federal laws,
executive orders, regulations, grant guidance and policies governing
this Grant.
Page 11 of 18
Exhibit C
Certifications for Grant Agreements
The undersigned, as the authorized official, certifies the following to the best of his/her knowledge and belief.
A. No Federal appropriated funds have been paid or will be paid by or on behalf of the undersigned to any person for influencing or
attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an
employee or a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the
making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment,
or modification of any Federal contract, grant, loan, or cooperative agreement.
B. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee or a
Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall
complete and submit Standard Form LLL Disclosure of Lobbying Activities, in accordance with its instructions.
C. The undersigned shall require that the language of this certification prohibiting lobbying be included in the award documents for all
subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that
all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was
placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into
this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject
to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
D. As required by Executive Order 12549, Debarment and Suspension, and implemented at 28 C.F.R. Part 67, for prospective
participants in primary covered transactions, as defined at 28 C.F.R. Part 67, Section 67.510. (Federal Certification), the
Subrecipient certifies that it and Its principals and vendors:
1. Are not debarred, suspended, proposed for debarment, declared Ineligible, sentenced to a denial of Federal benefits by a
State or Federal court, or voluntarily excluded from covered transactions by any Federal department or agency. Subrecipient
can access debarment information by going to www..samand the State Debarred Vendor List at:
www vAndow--st to a tx us/orocuremenUp[o_g/vendor oerformanceldebaR d.
2. Have not within a three-year period preceding this Grant been convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal,
State, or local) transaction or contract under a public transaction, violation of Federal or State antitrust statutes or commission
of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen
property;
3. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State, or local) with
commission of any of the offenses enumerated in paragraph (D)(2) of this certification;
4. Have not within a three-year period preceding this Grant had one or more public transactions (Federal, State, or local)
terminated for cause or default; or
5. Where Subrecipient is unable to certify to any of the statements in this certification, he or she shall attach an explanation to
this Grant. (Federal Certification).
E. Federal funds will be used to supplement existing funds, and will not replace (supplant) funds that have been appropriated for the
same purpose. Subrecipient may be required to supply documentation certifying that a reduction in non-federal resources
occurred for reasons other than the receipt or expected receipt of federal funds.
F Subrecipient will comply with 2 C.F.R. Part 180, Subpart C as a condition of receiving grant funds and Subrecipient will require
such compliance in any subgrants or contract at the next tier.
G Subrecipient will comply with the Drug-free Workplace Act, as amended, 412 U.S.C. §701 at seq., which requires Subrecipient to
publish a statement about its drug-free workplace program and give a copy of the statement to each employee (including
consultants and temporary personnel) who will be involved in award -supported activities at any site where these activities will be
carried out. Also, places where work is being performed under the award (i.e., street address, city, state, and zip code) must be
maintained on file. Subrecipient will notify the Grants Officer of any employee convicted of a violation of a criminal drug statute that
occurs in the workplace. For additional information, see 44 C.F.R. Part 17. Subrecipient shall comply with the requirements of the
Drug -Free Workplace Act of 1988, which requires that all organizations receiving grants from any Federal agency agree to
maintain a drug-free workplace.
H. Subrecipient is not delinquent on any Federal debt. Examples of relevant debt include delinquent payroll and other taxes, audit
disallowances, and benefit overpayments. See OMB Circular A-129 and form SF -424, item number 17 for additional information
and guidance.
I. Subrecipient will comply with all applicable requirements of all other federal laws, executive orders, regulations, program and
administrative requirements, policies and any other requirements governing this Grant.
J. Subrecipient understands that failure to comply with any of the above assurances may result in suspension, termination or
reduction of funds in this Grant.
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TDEM - August 11, 2015
EXHIBIT D
State of Texas Assurances
As the duly authorized representative of Subrecipient, I certify that Subrecipient:
1. Shall comply with Texas Government Code, Chapter 573, by ensuring that no officer, employee, or member of the Subreciptent's
governing body or of the Subrecipient's contractor shall vote or confine the employment of any person related within the second degree of
affinity or the third degree of consanguinity to any member of the governing body or to any other officer or employee authorized to employ
or supervise such person. This prohibition shall not prohibit the employment of a person who shall have been continuously employed for a
period of two years, or such other period stipulated by local law, prior to the election or appointment of the officer, employee, or governing
body member related to such person in the prohibited degree.
2. Shall insure that all information collected, assembled, or maintained by the Subreciplent relative to a project will be available to the public
during normal business hours in compliance with Texas Government Code, Chapter 552, unless otherwise expressly prohibited by law.
3. Shall comply with Texas Government Code, Chapter 551, which requires all regular, special, or called meetings of governmental bodies to
be open to the public, except as otherwise provided by law or specifically permitted in the Texas Constitution.
4. Shall comply with Section 231.006, Texas Family Code, which prohibits payments to a person who is in arrears on child support payments.
5. Shall not contract with or issue a license, certificate, or permit to the owner, operator, or administrator of a facility if the Subrecipient is a
health, human services, public safety, or law enforcement agency and the license, permit, or certificate has been revoked by another
health and human services agency or public safety or law enforcement agency.
6. Shall comply with all rules adopted by the Texas Commission on Law Enforcement pursuant to Chapter 1701, Texas Occupations Code,
or shall provide the grantor agency with a certification from the Texas Commission on Law Enforcement that the agency is in the process
of achieving compliance with such rules if the Subrecipient is a law enforcement agency regulated by Texas Occupations Code, Chapter
1701.
7. Shall follow all assurances. When incorporated into a grant award or contract, standard assurances contained in the application package
become terms or conditions for receipt of grant funds. Administering state agencies and subrecipients shall maintain an appropriate
contract administration system to insure that all terms, conditions, and specifications are met. (See UGMS Section _.36 for additional
guidance on contract provisions).
8. Shall comply with the Texas Family Code, Section 261.101, which requires reporting of all suspected cases of child abuse to local law
enforcement authorities and to the Texas Department of Child Protective and Regulatory Services. Subrecipient shall also ensure that all
program personnel are properly trained and aware of this requirement
9. Shall comply with all federal statutes relating to nondiscrimination. These Include but are not limited to: (a) Title VI of the Civil Rights Act of
1964 (P.L. 88-352), which prohibits discrimination on the basis of race, color, or national origin; (b) Title IX of the Education Amendments
of 1972, as amended (20 U.S.C. §§1681-1683, and 1685-1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the
Rehabilitation Act of 1973, as amended (29 U.S.C. §794), which prohibits discrimination on the basis of handicaps and the Americans with
Disabilities Act of 1990 including Titles I, II, and III of the Americans with Disability Act which prohibits recipients from discriminating on the
basis of disability in the operation of public entities, public and private transportation systems, places of public accommodation, and certain
testing entities, 44 U.S.C. §§ 12101-12213; (d) the Age Discrimination Act of 1974, as amended (42 U.S.C. §§6101-6107), which prohibits
discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to
nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment, and
Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to the nondiscrimination on the basis of alcohol abuse or alcoholism; (g)
§§523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§290dd-3 and 290ee-3), as amended, relating to confidentiality of
alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§3601 et seq.), as amended, relating to
nondiscrimination in the sale, rental, or financing of housing; (1) any other nondiscrimination provisions in the specific statute(s) under
which application for Federal assistance is being made; and 0) the requirements of any other nondiscrimination statute(s) which may apply
to this Grant.
10. Shall comply, as applicable, with the provisions of the Davis -Bacon Act (40 U.S.C. §§276a to 276a-7), the Copeland Act (40 U.S.C. §276c
and 18 U.S.C. §874), and the Contract Work Hours and Safety Standards Act (40 U.S.C. §§327-333), regarding labor standards for
federally assisted construction subagreements.
11. Shall comply with requirements of the provisions of the Uniform Relocation Assistance and Real Property Acquisitions Act of 1970 (P.L.
91-646), which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or
federally assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal
participation in purchases.
12. Shall comply with the provisions of the Hatch Political Activity Act (5 U.S.C. §§7321-29), which limit the political activity of employees
whose principal employment activities are funded in whole or in part with Federal funds.
13. Shall comply with the minimum wage and maximum hours provisions of the Federal Fair Labor Standards Act and the Intergovernmental
Personnel Act of 1970, as applicable.
14. Shall insure that the facilities under its ownership, lease, or supervision which shall be utilized in the accomplishment of the project are not
listed on the Environmental Protection Agency's (EPA) list of Violating Facilities and that it will notify the Federal grantor agency of the
receipt of any communication from the Director of the EPA Office of Federal Activities indicating that a facility to be used in the project is
under consideration for listing by the EPA (EO 11738).
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TDEM - August 11, 2015
15. Shall comply with the flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973, Public Law
93-234. Section 102(a) requires the purchase of flood insurance in communities where such insurance is available as a condition for the
receipt of any Federal financial assistance for construction or acquisition proposed for use in any area that has been identified by the
Secretary of the Department of Housing and Urban Development as an area having special flood hazards.
16. Shall comply with environmental standards which may be prescribed pursuant to the following: (a) institution of environmental quality
control measures under the National Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO) 11514; (b) notification of
violating facilities pursuant to EO 11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood hazards In floodplains in
accordance with EO 11988; (e) assurance of project consistency with the approved state management program developed under the
Coastal Zone Management Act of 1972 (16 U.S.C. §§1451 et seq.); (f) conformity of federal actions to State (Clear Air) Implementation
Plans under Section 176(c) of the Clear Air Act of 1955, as amended (42 U.S.C. §§7401 et seq.); (g) protection of underground sources of
drinking water under the Safe Drinking Water Act of 1974, as amended (P.L. 93-523); and (h) protection of endangered species under the
Endangered Species Act of 1973, as amended (P.L. 93-205).
17. Shall comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§1271 et seq.) related to protecting components or potential
components of the national wild and scenic rivers system.
18. Shall assist the awarding agency in assuring compliance with Section 106 of the National Historic Preservation Act of 1966, as amended
(16 U.S.C. §470), EO 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of
1974 (16 U.S.C. §§469a-1 et seq.).
19. Shall comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended, 7 U.S.C. §§2131 et seq.) which requires the
minimum standards of care and treatment for vertebrate animals bred for commercial sale, used In research, transported commercially, or
exhibited to the public according to the Guide for Care and Use of Laboratory Animals and Public Health Service Policy and Government
Principals Regarding the Care and Use of Animals.
20. Shall comply with the Lead -Based Paint Poisoning Prevention Act (42 U.S.C. §§4801 et seq.) which prohibits the use of lead-based paint
in construction or rehabilitation of residential structures.
21. Shall comply with the Pro -Children Act of 1994 (Public Law 103-277), which prohibits smoking within any portion of any indoor facility used
for the provision of services for children.
22. Shall comply with all federal tax laws and are solely responsible for filing all required state and federal tax forms.
23. Shall comply with all applicable requirements of all other federal and state laws, executive orders, regulations, and policies governing this
program.
24. And its principals are eligible to participate and have not been subjected to suspension, debarment, or similar ineligibility determined by
any federal, state, or local governmental entity and It is not listed on a state or federal government's terrorism watch list as described in
Executive Order 13224. Entitles Ineligible for federal procurement have Exclusions listed at httos:ILwmN, n,00vlporlall u�MI.
25. Shall adopt and implement applicable provisions of the model HIV/AIDS work place guidelines of the Texas Department of Health as
required by the Texas Health and Safety Code, Ann., Sec. 85.001, et seq.
Page 14 of 18
TDEM - August 11, 2015
EXHIBIT E
Environmental Review
As the duly authorized representative of Subrecipient, I certify that Subrecipient:
1. shall assess its federally funded projects for potential impact to environmental resources and historic properties.
2. shall submit any required screening form(s) as soon as possible and shall comply with deadlines established by DPS/TDEM.
Timelines for the Environmental Planning and Historic Preservation (EHP) review process will vary based upon the complexity of
the project and the potential for environmental or historical impact.
3. shall include sufficient review time within its project management plan to comply with EHP requirements. Initiation of any activity
prior to completion of FEMA's EHP review will result in a non-compliance finding and DPSITDEM will not authorize or release
Grant funds for non-compliant projects.
4. as soon as possible upon receiving this Grant, shall provide information to DPS/TDEM to assist with the legally -required EHP
review and to ensure compliance with applicable EHP laws and Executive Orders (EO) currently using the FEMA EHP Screening
Form OMB Number 1660-0115/FEMA Form 024-0-01 and submitting it, with all supporting documentation, to DPSITDEM for
review. These EHP requirements include but are not limited to the National Environmental Policy Act, the National Historic
Preservation Act, the Endangered Species Act, EO 11988 — Floodplain Management, EO 11990 — Protection of Wetlands, and EO
12898 — Environmental Justice. Subrecipient shall comply with all Federal, State, and local EHP requirements and shall obtain
applicable permits and clearances.
5. shall not undertake any activity from the project that would result in ground disturbance, facility modification, or purchase and use
of sonar equipment without the prior approval of FEMA. These include but are not limited to communications towers, physical
security enhancements involving ground disturbance, new construction, and modifications to buildings.
6. shall comply with all mitigation or treatment measures required for the project as the result of FEMA's EHP review. Any changes to
an approved project description will require re-evaluation for compliance with EHP requirements before the project can proceed.
7. if ground disturbing activities occur during project implementation, Subrecipient shall ensure monitoring of ground disturbance and
if any potential archeological resources are discovered, Subrecipient shall immediately cease construction in that area and notify
FEMA and the appropriate State Historical Preservation Office.
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TDEM - August 11, 2015
EXHIBIT F
Additional Grant Conditions
1. Additional damage requiring a new Public Assistance project to be written must be reported within 60 days
following the Kickoff meeting with the State- Federal team.
2. All work must be done prior to the approved project completion deadline assigned to each Project. Should
additional time be required, a time extension request must be submitted which: a.) Identifies the projects
requiring an extension. b.) Explains the reason for an extension. c.) Indicates the percentage of work that
has been completed. d.) Provides an anticipated completion date. The reason for an extension must be
based on extenuating circumstances or unusual project requirements that are beyond the control of your
jurisdiction/organization. Failure to submit a time extension request may result in reduction or
withdrawal of federal funds for approved work.
3. Any significant change to a project's approved Scope of Work must be reported and approved through
TDEM and FEMA before starting the project. Failure to do so will jeopardize grant funding.
4. The Project Completion and Certification Report must be returned to TDEM once all the approved work has
been completed for each project. If any project requires the purchase of insurance as a condition of
receiving federal funds, a copy of the current policy must be attached to this report.
5. A cost overrun appeal on small ($120,000.00) Public Assistance projects must be reported to the Texas
Division of Emergency Management (TDEM) within 60 days of completing the last small project in order to
be considered for additional funding.
6. Appeals may be filed on any determination made by FEMA or TDEM. All appeals must be submitted to
TDEM within 60 days from receiving written notice of the action you wish to appeal. Should you wish to
appeal a determination contained in the project application, the 60 days will start the day the application is
signed.
7. Public Assistance program projects will not receive funding until all of the requirements identified in the
comments section of the Project Worksheet are met.
8. You may request a payment of funds on projects by completing the "Payment of Funds" request and
including documentation supporting your request. In the event that an audit results in a reduction of the
awarded amount of a project, the subrecipient is responsible for returning the identified overage within 30
days of notification of the overpayment. Small Public Assistance projects are paid upon obligation and the
receipt of all required documentation. Payments must be requested at least quarterly if expenditures have
been made in that quarter.
9. Projects that have not received final payment will be reviewed quarterly by TDEM representatives upon
receipt of the Quarterly Review form from the subrecipient. Quarterly reports will be due on the following
dates: March 15th, June 15th, September 15th & December 15th. Public Assistance program small
projects are exempted.
10.Subrecipient with must submit a project cost summary to TDEM following the completion of each project,
except Public Assistance program small projects. The project cost summary must list all labor, equipment,
materials and contract costs associated with making needed repairs.
11.Subrecipients expending $750,000 or more in total Federal financial assistance in a fiscal year will be
required to provide an audit made in accordance with OMB Uniform Guidance; Cost Principles, Audit, and
Administrative Requirements for Federal Awards, Subpart F. A copy of the Single Audit must be submitted
to your cognizant State agency or TDEM within nine months of the end of the subrecipient's fiscal year.
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TDEM - August 11, 2015
Consult with your financial officer regarding this requirement. If not required to submit a single audit, a letter
must be sent to TDEM certifying to this.
12. Completed record and cost documents for all approved work must be for a minimum of three (3) years from
the later of the completion of this project's public objective, submission of the final expenditure report, any
litigation, dispute, or audit. Records shall be retained for three (3) years after any real estate or equipment
final disposition. The DHS or DPS/TDEM may direct Subrecipient to retain documents or to transfer certain
records to DHS custody when DHS determines that the records possess long term retention value. During
this time, all approved projects are subject to State and Federal audit/review.
13.Subrecipients will not make any award to any party which is debarred or suspended, or is otherwise
excluded from participation in the Federal assistance programs (EO 12549, Debarment and Suspension).
Subrecipient must maintain documentation validating review of debarment list of eligible contractors.
14.Subrecipients must keep record of equipment acquired by federal funds for the life cycle of the equipment.
A life cycle for most equipment will be three years, but could be longer. If the fair market value of a piece of
equipment is valued over $5,000, FEMA will have the right to a portion of proceeds if equipment is sold. If
the fair market value of a piece of equipment is less than $5,000, the property can either be retained, sold
or designated as surplus with no further obligation to FEMA.
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TDEM -August 11, 2015
EXHIBIT G
Additional Grant Certifications
Match Certification
Applicant certifies that they have the ability to meet or exceed the cost share required of this project.
Duplication of Program Statement
Applicant certifies there has not been, nor will there be, a duplication of benefits for this project.
For Hazard Mitigation Projects Only:
Maintenance Agreement
Applicant certifies that if there is a Maintenance Agreement needed for this facility copy of that agreement will be
provided to TDEM.
Environmental Justice Statement
Federal Executive Order 12898 compliance requirements — If there are any concentrations of low income or
minority populations in or near the HMGP project:
1. Applicant certifies that the HMGP project result will not result in a disproportionately high or adverse effect on
low income or minority populations.
OR
2. Applicant certifies that action will be taken to ensure achievement of environmental justice for low income and
minority populations related to this HMGP project.
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TDEM - August 11, 2015