R20-029 1 RESOLUTION R20-029
2
3 A RESOLUTION OF THE CITY OF BOYNTON BEACH,
4 FLORIDA, APPROVING AND AUTHORIZING THE
5 CITY MANAGER TO SIGN A DISASTER RELIEF
6 FUNDING AGREEMENT FOR FEDERAL AND STATE
7 ASSISTANCE FOR HURRICANE DORIAN BETWEEN
8 THE CITY OF BOYNTON BEACH AND THE STATE OF
9 FLORIDA, DIVISION OF EMERGENCY
10 MANAGEMENT; AND PROVIDING AN EFFECTIVE
11 DATE.
12
13 WHEREAS, FEMA's Public Assistance program is a federal grant to aid state and,
14 local governments in returning a disaster area to pre-disaster conditions;and
15 WHEREAS, to be eligible to receive disaster relief funding through the Federal
16 Emergency Management Agency,(FEMA),the agreement must be executed with the State of
17 Florida since all federal disaster relief funding is actually distributed to the State and then
18 passed down on to local municipalities who qualify; and
19 WHEREAS, upon recommendation of staff, the City Commission has determined
20 that it is in the best interests of the residents of the City to enter into a Disaster Relief Funding
21 Agreement between the City of Boynton Beach and the State of Florida, Division of
22 Emergency Management for assistance with Hurricane Dorian.
23
24 NOW, THEREFORE, BE IT RESOLVED BY THE CITY COMMISSION OF
25 THE CITY OF BOYNTON BEACH, FLORIDA,THAT:
26 Section 1. The foregoing "Whereas" clauses are hereby ratified and confirmed as
27 being true and correct and are hereby made a specific part of this Resolution upon adoption
28 hereof.
29 Section 2. The City Commission hereby approves and authorizes the City
30 Manager to sign a Disaster Relief Funding Agreement for Federal and State assistance for
31 Hurricane Dorian, a copy of the Agreement is attached hereto as Exhibit"A"
32 Section 3. This Resolution shall become effective immediately upon passage.
33 PASSED AND ADOPTED this a) 1::day of April, 2020.
34 CITY OF BOYNTON BEACH, FLORIDA
35
36 YES NO
37
38 Mayor—Steven Grant N✓
39
40 Commissioner—Justin Katz
41
42 Commissioner—Woodrow L. Hay ✓
43
44 Commissioner—Christina L. Romelus
45
46 Commissioner—Ty Penserga ✓'
47
48
49 VOTE J v
50 ATTEST:
51
52 4i 53
54 C stal Gibson, MMC
55 City Clerk
56
57
58
59 (Corporate Seal)
s.1)
3
t
- O
Agreement Number: Z1637
FEDERALLY-FUNDED SUBAWARD AND GRANT AGREEMENT
2 C.F.R. §200.92 states that a "subaward may be provided through any form of legal agreement,
including an agreement that the pass-through entity considers a contract."
As defined by 2 C.F.R. §200.74, "pass-through entity" means "a non-Federal entity that provides a
subaward to a Sub-Recipient to carry out part of a Federal program."
As defined by 2 C.F.R.§200.93,"Sub-Recipient"means"a non-Federal entity that receives a subaward
from a pass-through entity to carry out part of a Federal program."
As defined by 2 C.F.R. §200.38, "Federal award" means "Federal financial assistance that a non-
Federal entity receives directly from a Federal awarding agency or indirectly from a pass-through entity."
As defined by 2 C.F.R. §200.92, "subaward" means"an award provided by a pass-through entity to a
Sub-Recipient for the Sub-Recipient to carry out part of a Federal award received by the pass-through
entity."
The following agreement is made and information is provided pursuant to 2 C.F.R. §200.331(a)(1):
Sub-Recipient's name: Boynton Beach,City of
072247133
Sub-Recipient's unique entity identifier:
10/21/2019
Federal Award Date:
8/28/2019-4/21/2020
Subaward Period of Performance Start and End Date(Cat A-B):
Subaward Period of Performance Start and End Date(Cat C-G):
8/28/2019-4/21/2021
Amount of Federal Funds Obligated by this Agreement:
Total Amount of Federal Funds Obligated to the Sub-Recipient
by the pass-through entity to include this Agreement:
Total Amount of the Federal Award committed to the Sub-Recipient ---- ..
by the pass-through entity: Grant to Local Government for
Federal award project description(see FFATA): Debris removal,emergency
Protective measures and repair or
Replacement of disaster
damaged facilities.
Dept.of Homeland Security
Name of Federal awarding agency: (DHS)Federal Emergency
Management Agency(FEMA)
I
1
Name of pass-through entity: Florida Division of Emergeil.Gy
Management(FDEM)
Contact information for the pass-through entity: 2555 Shumard Oak Blvd.
Tallahassee, FL 32399-2100
Catalog of Federal Domestic Assistance(CFDA)Number and Name: 9L036 Public Assistance
Whether the award is R&D: N/A
Indirect cost rate for the Federal award: See by 44 C.F.R.207.5(b)(4)
2
THIS AGREEMENT is entered into by the State of Florida, Division of Emergency Management, with
headquarters in Tallahassee, Florida (hereinafter referred to as the"Division"), and
Boynton Beach,City of (hereinafter referred to as the"Sub-Recipient").
For the purposes of this Agreement, the Division serves as the pass-through entity for a Federal
award,and the Sub-Recipient serves as the recipient of a subaward.
THIS AGREEMENT IS ENTERED INTO BASED ON THE FOLLOWING REPRESENTATIONS:
A. The Sub-Recipient represents that it is fully qualified and eligible to receive these grant funds
to provide the services identified herein;
B. The Sub-Recipient, by its decision to participate in the FEMA PA Program, bears the ultimate
responsibility for ensuring compliance with all applicable State and Federal laws, regulations and policies,
and bears the ultimate consequences of any adverse decisions rendered by the Division, FEMA, or any
other State and Federal agencies with audit, regulatory, or enforcement authority.
C. The State of Florida received these grant funds from the Federal government, and the Division
has the authority to subgrant these funds to the Sub-Recipient upon the terms and conditions outlined
below; and,
D. The Division, as the pass-through entity and fiduciary of such Federal funding, reserves the
right to demand that the Sub-Recipient comply with all applicable State and Federal laws, regulations and
policies,terminate reimbursements and take any and all other actions it deems appropriate to protect those
funds for which it is responsible, including debt collections.
E. The Division has statutory authority to disburse the funds under this Agreement.
THEREFORE,the Division and the Sub-Recipient agree to the following:
(1) APPLICATION OF STATE LAW TO THIS AGREEMENT
2 C.F.R. §200.302 provides: "Each state must expend and account for the Federal award
in accordance with state laws and procedures for expending and accounting for the state's own funds."
Therefore, section 215.971, Florida Statutes, entitled "Agreements funded with federal or
state assistance", applies to this Agreement.
(2) LAWS, RULES, REGULATIONS AND POLICIES
a. Performance under this Agreement is subject to 2 C.F.R. Part 200, entitled "Uniform
Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards."
b. As required by Section 215.971(1), Florida Statutes, this Agreement includes:
i. A provision specifying a scope of work that clearly establishes the tasks that
the Sub-Recipient is required to perform.
ii. A provision dividing the agreement into quantifiable units of deliverables that
must be received and accepted in writing by the Division before payment. Each deliverable must be directly
related to the scope of work and specify the required minimum level of service to be performed and the
criteria for evaluating the successful completion of each deliverable.
3
iii. A provision specifying the financial consequences that apply if the Sub-
Recipient fails to perform the minimum level of service required by the agreement.
iv. A provision specifying that the Sub-Recipient may expend funds only for
allowable costs resulting from obligations incurred during the specified agreement period.
v. A provision specifying that any balance of unobligated funds which has been
advanced or paid must be refunded to the Division.
vi. A provision specifying that any funds paid in excess of the amount to which
the Sub-Recipient is entitled under the terms and conditions of the agreement must be refunded to the
Division.
c. In addition to the foregoing, the Sub-Recipient and the Division shall be governed by
all applicable State and Federal laws, rules and regulations. Any express reference in this Agreement to a
particular statute, rule, or regulation in no way implies that no other statute, rule, or regulation applies.
(3) CONTACT
a. In accordance with section 215.971(2), Florida Statutes,the Division's Grant Manager
shall be responsible for enforcing performance of this Agreement's terms and conditions and shall serve as
the Division's liaison with the Sub-Recipient. As part of his/her duties, the Grant Manager for the Division
shall:
i. Monitor and document Sub-Recipient performance;and,
ii. Review and document all deliverables for which the Sub-Recipient requests
payment.
b. The Division's Grant Manager for this Agreement is:
2555 Shumard Oak Blvd. Ste.360
Tallahassee, FL 32399-2100
Telephone:
Email:
c. The name and address of the Representative of the Sub-Recipient responsible for the
administration of this Agreement is:
Logi kaVe,Akve.
�3d1 Qu0,140A, Ibk
`P'0\-t 1kDN 'Neae1A. .fit-. 33426
Telephone: 5611 Li 7--6010
Email: 1--aVeke'te.-A e iyf l us
d. In the event that different representatives or addresses are designated by either party
after execution of this Agreement, notice of the name, title, and address of the new representative will be
4
provided to the other party in writing via letter or electronic email. It is the Sub-Recipient's responsibility to
authorize its users in the Recipient's grants management system. Only the Authorized or Primary Agents
identified on the Designation of Authority (Agents) in Attachment D may authorize addition or removal of
agency users.
(4) TERMS AND CONDITIONS
This Agreement contains all the terms and conditions agreed upon by the parties.
(5) EXECUTION
This Agreement may be executed in any number of counterparts, of which may be taken
as an original.
(6) MODIFICATION
Either party may request modification of the provisions of this Agreement. Changes which
are agreed upon shall be valid only when in writing, signed by each of the parties, and attached to the
original of this Agreement.
(7) SCOPE OF WORK.
The Sub-Recipient shall perform the work in accordance with the Budget and Project List
— Attachment A and Scope of Work, Deliverables and Financial Consequences — Attachment B of this
Agreement.
(8) PERIOD OF AGREEMENT/PERIOD OF PERFORMANCE.
The Period of Agreement establishes a timeframe for all Sub-Recipient contractual
obligations to be completed. This agreement will begin upon execution by both parties and shall end upon
FEMA's closeout of the Sub-Recipient's account for this disaster, unless terminated earlier as specified
elsewhere in this Agreement. This Agreement survives and remains in effect after termination for the herein
referenced State and Federal audit requirements and the referenced required records retention periods.
The Period of Performance is the timeframe during which the Sub-Recipient may incur new
obligations to carry out the work authorized under this Agreement. In accordance with 2 C.F.R.§200.309,
the Sub-Recipient may receive reimbursement under this Agreement only for allowable costs incurred
during the period of performance. In accordance with section 215.971(1)(d), Florida Statutes, the Sub-
Recipient may expend funds authorized by this Agreement only for allowable costs resulting from
obligations incurred during the specified agreement period. The C.F.R. requirement is more restrictive and
will take precedence over the State requirement. The period of performance for this agreement begins with
the first day of the Incident Period for the disaster applicable to the agreement and ends six (6) months
from the date of declaration for Emergency Work(Categories A& B)or eighteen (18) months from
the date of declaration for Permanent Work(Categories C-G), unless terminated earlier in accordance
5
with the provisions of Paragraph (17) of this Agreement or extended in accordance with Attachment G
Paragraph 5. If any extension request is denied by the Recipient, or is not sought by the Sub-Recipient,
reimbursement is only available for eligible project costs incurred up to the latest approved extension.
Failure to complete a project is adequate cause for the termination of funding for that project and requires
reimbursement to the Recipient of any and all project costs.
(9) FUNDING
a. This is a cost-reimbursement Agreement, subject to the availability of funds. The
amount of total available funding for this subgrant is limited to the amount obligated by FEMA for all projects
approved for this sub-recipient for DR#4468- Hurricane Dorian.
b. The State of Florida's performance and obligation to pay under this Agreement is
contingent upon an annual appropriation by the Legislature, and subject to any modification in accordance
with either Chapter 216, Florida Statutes,or the Florida Constitution.
c. Pursuant to Florida Revised Statute 252.37, unless otherwise specified in the General
Appropriations Act, whenever the State accepts financial assistance from the Federal Government or its
agencies under the Federal Public Assistance Program and such financial assistance is conditioned upon
a requirement for matching funds, the State shall provide the entire match requirement for state agencies
and one-half of the required match for grants to Local governments. The affected Local government shall
be required to provide one-half of the required match prior to receipt of such financial assistance.
d. The Executive Office of the Governor may approve a waiver,subject to the requirement
for legislative notice and review under section 216.177, of all or a portion of the required match for public
assistance projects for Local governments if the Executive Office of the Governor determines that such a
match requirement cannot be provided,or that doing so would impose a documented hardship on the Local
government,and if the Local government applies for the waiver within the first 18 months after the disaster
is declared.
e. The Division will reimburse the Sub-Recipient only for allowable costs incurred by the
Sub-Recipient. The Recipient will provide funds on a cost reimbursement basis to the Sub-Recipient for
eligible activities approved by the Recipient and FEMA, as specified in the approved Project Worksheets
listed in Attachment A ("Budget and Project List"). The maximum reimbursement amount for each
deliverable is also outlined in Attachment A of this Agreement.
f. As required by 2 C.F.R. §200.415(a), any request for payment under this Agreement
must include a certification,sinned by an official who is authorized to legally bind the Sub-Recipient,which
reads as follows: "By signing this report, I certify to the best of my knowledge and belief that the report is
true,complete, and accurate,and the expenditures, disbursements and cash receipts are for the purposes
and objectives set forth in the terms and conditions of the Federal award. I am aware that any false,
fictitious,or fraudulent information,or the omission of any material fact, may subject me to criminal, civil or
administrative penalties for fraud,false statements,false claims or otherwise. (U.S. Code Title 18, Section
1001 and Title 31, Sections 3729-3730 and 3801-3812)." The Sub-Recipient must complete Attachment
6
"D"by designating at least three agents to execute any Requests for Reimbursement,certifications,or other
necessary documentation on behalf of the Sub-Recipient. Attachment D must be completed electronically
and submitted via email to rpa.helo a.em.myflorida.com. After execution of this Agreement,the authorized,
primary, and secondary Agent may request changes to contacts via email to the State assigned team.
g. In the event the Sub-Recipient contacts have not been updated regularly and all three
(3)Agents have separated from the Sub-Recipient's agency, a designation of authority form will be needed
to change contacts. NOTE: This is very important because if contacts are not updated, notifications made
from the grants management system may not be received and could result in failure to meet time periods
to appeal a Federal determination.
h. The Division will review all requests for reimbursement by comparing the
documentation provided by the Sub-Recipient in the grants management system against a performance
measure,outlined in Attachment B,Scope of Work, Deliverables,and Financial Consequences,that clearly
delineates:
i. The required minimum acceptable level of service to be performed;and,
ii. The criteria for evaluating the successful completion of each deliverable.
i. The performance measure required by section 215.971(1)(b), Florida Statutes,
remains consistent with the requirement for a"performance goal",which is defined in 2 C.F.R.§200.76 as,
"a target level of performance expressed as a tangible, measurable objective, against which actual
achievement can be compared." It also remains consistent with the requirement, contained in 2 C.F.R.
§200.301, that the Division and the Sub-Recipient"relate financial data to performance accomplishments
of the Federal award."
j. If authorized by the Federal Awarding Agency,then the Division will reimburse the Sub-
Recipient for overtime expenses in accordance with 2 C.F.R. §200.430 ("Compensation—personal
services")and 2 C.F.R.§200.431 ("Compensation—fringe benefits"). If authorized by the Federal Awarding
Agency, and if the Sub-Recipient seeks reimbursement for overtime expenses for periods when no work is
performed due to vacation, holiday, illness,failure of the employer to provide sufficient work,or other similar
cause (see 29 U.S.C. §207(e)(2)), then the Division will treat the expense as a fringe benefit. 2 C.F.R.
§200.431(a)defines fringe benefits as"allowances and services provided by employers to their employees
as compensation in addition to regular salaries and wages." Fringe benefits are allowable under this
Agreement as long as the benefits are reasonable and are required by law, Sub-Recipient-Employee
agreement,or an established policy of the Sub-Recipient in affect at the time of the disaster event. 2 C.F.R.
§200.431(b)provides that the cost of fringe benefits in the form of regular compensation paid to employees
during periods of authorized absences from the job, such as for annual leave, family-related leave, sick
leave, holidays, court leave, military leave, administrative leave, and other similar benefits, are allowable if
all of the following criteria are met:
i. They are provided under established written leave policies;
ii. The costs are equitably allocated to all related activities, including Federal
awards; and,
7
iii. The accounting basis(cash or accrual)selected for costing each type of leave
is consistently followed by the non-Federal entity or specified grouping of employees.
k. If authorized by the Federal Awarding Agency,then the Division will reimburse the Sub-
Recipient for travel expenses in accordance with 2 C.F.R. §200.474. As required by the Reference Guide
for State Expenditures, reimbursement for travel must be in accordance with section 112.061, Florida
Statutes,which includes submission of the claim on the approved state travel voucher. If the Sub-Recipient
seeks reimbursement for travel costs that exceed the amounts stated in section 112.061(6)(b), Florida
Statutes(at the time of the execution of this agreement):$6 for breakfast,$11 for lunch,and$19 for dinner),
then the Sub-Recipient must provide documentation that:
i. The costs are reasonable and do not exceed charges normally allowed by the
Sub-Recipient in its regular operations as a result of the Sub-Recipient's written travel policy; and,
ii. Participation of the individual In the travel is necessary to the Federal award.
I. The Division's Grant Manager, as required by section 215.971(2)(c), Florida Statutes,
shall reconcile and verify all funds received against all funds expended during the grant agreement period
and produce a final reconciliation report. The final report must Identify any funds paid in excess of the
expenditures incurred by the Sub-Recipient.
m. As defined by 2 C.F.R. §200.53,the term"improper payment"means or includes:
i. Any payment that should not have been made or that was made in an incorrect
amount(including overpayments and underpayments)under statutory, contractual,administrative, or other
legally applicable requirements;and,
ii. Any payment to an ineligible party, any payment for an ineligible good or
service, any duplicate payment,any payment for a good or service not received(except for such payments
where authorized by law), any payment that does not account for credit or applicable discounts, and any
payment where insufficient or lack of documentation prevents a reviewer from discerning whether a
payment was proper.
(10) RECORDS
a. As required by 2 C.F.R. §200.336, the Federal awarding agency, Inspectors General,
the Comptroller General of the United States, and the Division, or any of their authorized representatives,
shall enjoy the right of access to any documents, papers, or other records of the Sub-Recipient which are
pertinent to the Federal award, in order to make audits,examinations, excerpts, and transcripts. The right
of access also includes timely and reasonable access to the Sub-Recipient's personnel for the purpose of
interview and discussion related to such documents. Finally,the right of access is not limited to the required
retention period but lasts as long as the records are retained.
b. As required by 2 C.F.R. §200.331(a)(5), the Division, the Chief Inspector General of
the State of Florida, the Florida Auditor General, or any of their authorized representatives, shall enjoy the
right of access to any documents,financial statements, papers,or other records of the Sub-Recipient which
are pertinent to this Agreement, in order to make audits,examinations,excerpts,and transcripts. The right
8
of access also includes timely and reasonable access to the Sub-Recipient's personnel for the purpose of
interview and discussion related to such documents.
c. As required by Florida Department of State's record retention requirements (Chapter
119, Florida Statutes)and by 2 C.F.R. §200.333, the Sub-Recipient shall retain sufficient records to show
its compliance with the terms of this Agreement, as well as the compliance of all subcontractors or
consultants paid from funds under this Agreement,for a period of five(5)years from the date of submission
of the final expenditure report. The following are the only exceptions to the five (5)year requirement:
i. If any litigation, claim, or audit is started before the expiration of the 5-year
period, then the records must be retained until all litigation, claims, or audit findings involving the records
have been resolved and final action taken.
ii. When the Division or the Sub-Recipient is notified in writing by the Federal
Awarding Agency, cognizant agency for audit, oversight agency for audit, cognizant agency for indirect
costs, or pass-through entity to extend the retention period.
iii. Records for real property and equipment acquired with Federal funds must be
retained for 5 years after final disposition.
iv. When records are transferred to or maintained by the Federal Awarding
Agency or pass-through entity, the 5-year retention requirement is not applicable to the Sub-Recipient.
v. Records for program income transactions after the period of performance. In
some cases, recipients must report program income after the period of performance. Where there is such
a requirement, the retention period for the records pertaining to the earning of the program income starts
from the end of the non-Federal entity's fiscal year in which the program income is earned.
vi. Indirect cost rate proposals and cost allocations plans. This paragraph applies
to the following types of documents and their supporting records: indirect cost rate computations or
proposals, cost allocation plans, and any similar accounting computations of the rate at which a particular
group of costs is chargeable(such as computer usage chargeback rates or composite fringe benefit rates).
d. In accordance with 2 C.F.R. §200.334, the Federal Awarding Agency must request
transfer of certain records to its custody from the Division or the Sub-Recipient when it determines that the
records possess long-term retention value.
e. In accordance with 2 C.F.R. §200.335, the Division must always provide or accept
paper versions of Agreement information to and from the Sub-Recipient upon request. If paper copies are
submitted,then the Division must not require more than an original and two copies. When original records
are electronic and cannot be altered, there is no need to create and retain paper copies. When original
records are paper, electronic versions may be substituted through the use of duplication or other forms of
electronic media provided that they are subject to periodic quality control reviews, provide reasonable
safeguards against alteration,and remain readable.
f. As required by 2 C.F.R. §200.303,the Sub-Recipient shall take reasonable measures
to safeguard protected personal identifiable information and other information the Federal Awarding Agency
9
or the Division designates as sensitive or the Sub-Recipient considers sensitive consistent with applicable
Federal, State, Local,and Tribal laws regarding privacy and obligations of confidentiality.
g. Florida's Government in the Sunshine Law (Section 286.011, Florida Statutes)
provides the citizens of Florida with a right of access to governmental proceedings and mandates three,
basic requirements: (1) meetings of public boards or commissions must be open to the public; (2)
reasonable notice of such meetings must be given; and, (3) minutes of the meetings must be taken and
promptly recorded. The mere receipt of public funds by a private entity, standing alone, is insufficient to
bring that entity within the ambit of the open government requirements. However, the Government in the
Sunshine Law applies to private entities that provide services to governmental agencies and that act on
behalf of those agencies in the agencies'performance of their public duties. If a public agency delegates
the performance of its public purpose to a private entity,then,to the extent that private entity is performing
that public purpose, the Government in the Sunshine Law applies. For example, if a volunteer fire
department provides firefighting services to a governmental entity and uses facilities and equipment
purchased with public funds, then the Government in the Sunshine Law applies to board of directors for
that volunteer fire department. Thus,to the extent that the Government in the Sunshine Law applies to the
Sub-Recipient based upon the funds provided under this Agreement, the meetings of the Sub-Recipient's
governing board or the meetings of any subcommittee making recommendations to the governing board
may be subject to open government requirements. These meetings shall be publicly noticed, open to the
public, and the minutes of all the meetings shall be public records, available to the public in accordance
with Chapter 119, Florida Statutes.
h. Florida's Public Records Law provides a right of access to the records of the State and
Local governments as well as to private entities acting on their behalf. Unless specifically exempted from
disclosure by the Legislature, all materials made or received by a governmental agency(or a private entity
acting on behalf of such an agency), in conjunction with official business which are used to perpetuate,
communicate, or formalize knowledge, qualify as public records subject to public inspection. The mere
receipt of public funds by a private entity, standing alone, is insufficient to bring that entity within the ambit
of the public record requirements. However, when a public entity delegates a public function to a private
entity,the records generated by the private entity's performance of that duty become public records. Thus,
the nature and scope of the services provided by a private entity determine whether that entity is acting on
behalf of a public agency and is therefore subject to the requirements of Florida's Public Records Law.
i. The Sub-Recipient shall maintain all records for the Sub-Recipient and for all
subcontractors or consultants to be paid from funds provided under this Agreement, including
documentation of all program costs,in a form sufficient to determine compliance with the requirements and
objectives of the Budget and Project List—Attachment A, Scope of Work —Attachment B, and all other
applicable laws and regulations.
10
IF THE CONTRACTOR HAS QUESTIONS REGARDING THE
APPLICATION OF CHAPTER 119, FLORIDA STATUTES, TO THE
CONTRACTOR'S DUTY TO PROVIDE PUBLIC RECORDS RELATING TO
THIS CONTRACT, CONTACT THE CUSTODIAN OF PUBLIC RECORDS
AT: (850) 815-4156, Records@em.myflorida.com, or 2555 Shumard Oak
Boulevard, Tallahassee, FL 32399.
(11)AUDITS
a. The Sub-Recipient shall comply with the audit requirements contained in 2 C.F.R. Part
200, Subpart F.
b. In accounting for the receipt and expenditure of funds under this Agreement,the Sub-
Recipient shall follow Generally Accepted Accounting Principles("GAAP"). As defined by 2 C.F.R.§200.49,
GAAP "has the meaning specified in accounting standards issued by the Government Accounting
Standards Board (GASB)and the Financial Accounting Standards Board (FASB)."
c. When conducting an audit of the Sub-Recipient's performance under this Agreement,
the Division shall use Generally Accepted Government Auditing Standards ("GAGAS"). As defined by 2
C.F.R.§200.50, GAGAS,"also known as the Yellow Book, means generally accepted government auditing
standards issued by the Comptroller General of the United States,which are applicable to financial audits."
d. If an audit shows that all or any portion of the funds disbursed were not spent in
accordance with the conditions of this Agreement,the Sub-Recipient shall be held liable for reimbursement
to the Division of all funds not spent in accordance with these applicable regulations and Agreement
provisions within thirty days after the Division has notified the Sub-Recipient of such non-compliance.
e. The Sub-Recipient shall have all audits completed by an independent auditor,which is
defined in section 215.97(2)(i), Florida Statutes, as "an independent certified public accountant licensed
under chapter 473." The independent auditor shall state that the audit complied with the applicable
provisions noted above. The audit must be received by the Division no later than nine months from the end
of the Sub-Recipient's fiscal year.
f. The Sub-Recipient shall send copies of reporting packages for audits conducted in
accordance with 2 C.F.R. Part 200, by or on behalf of the Sub-Recipient, to the Division at the following
address:
DEMSingle_Audit@em.mytlorida.com
OR
Office of the Inspector General
2555 Shumard Oak Boulevard
Tallahassee, Florida 32399-2100
g. The Sub-Recipient shall send the Single Audit reporting package and Form SF-SAC
to the Federal Audit Clearinghouse by submission online at:
http://harvester.census.gov/facicollect/ddeindex.html
11
h. The Sub-Recipient shall send any management letter issued by the auditor to the
Division at the following address:
DEMSingle_Audit@em.myflorida.com
OR
Office of the Inspector General
2555 Shumard Oak Boulevard
Tallahassee, Florida 32399-2100
(12) REPORTS
a. Consistent with 2 C.F.R. §200.328, the Sub-Recipient shall provide the Division with
quarterly reports and any applicable close-out reports. These reports shall include the current status and
progress by the Sub-Recipient in completing the work described in the Scope of Work—Attachment B and
the expenditure of funds under this Agreement, in addition to any other information requested by the
Division.
Reporting Time Subgrantee
Period Report
Submittal
Quarter 1 October 1 — December 31
(Q1) January 15
Quarter 2
(Q2) January 1 — March 31 April 15
Quarter 3
(Q3) April 1 —June 30 July 15
Quarter 4
(04) July 1 — September 30 October 15
b. Quarterly reports are due to the Division no later than 15 days after the end of each
quarter of the program year and shall be sent each quarter until submission of the administrative close-out
report. The ending dates for each quarter of the program year are March 31,June 30, September 30 and
December 31.
c. The closeout report is due sixty(60)days after termination of this Agreement or sixty
(60)days after completion of the activities contained in this Agreement,whichever first occurs.
d. If all required reports and copies are not sent to the Division or are not completed in a
manner acceptable to the Division,then the Division may withhold further payments until they are completed
or may take other action as stated in Paragraph (16)REMEDIES. "Acceptable to the Division"means that
the work product was completed in accordance with the Budget and Project List—Attachment A,and Scope
of Work—Attachment B.
e. The Sub-Recipient shall provide additional program updates or information that may
be required by the Division.
12
f. The Sub-Recipient shall provide additional reports and information identified in Public
Assistance Program Guidance—Attachment G, and as required by FEMA or the Division.
(13)MONITORING
a. The Division shall monitor the performance of the Sub-Recipient under this Agreement,
as well as that of its subcontractors and/or consultants who are paid from funds provided under this
Agreement,to ensure that time schedules are being met,the Schedule of Deliverables and Scope of Work
are being accomplished within the specified time periods,and other performance goals are being achieved.
A review shall be done for each function or activity in Attachment B to this Agreement and reported in the
quarterly report.
b. In addition to reviews of audits, monitoring procedures may include, but not be limited
to, on-site visits by Division staff, limited scope reviews, and/or other procedures. The Sub-Recipient
agrees to comply and cooperate with any monitoring procedures/processes deemed appropriate by the
Division. In the event that the Division determines that an audit of the Sub-Recipient is appropriate, the
Sub-Recipient agrees to comply with any additional instructions provided by the Division to the Sub-
Recipient regarding such audit. The Sub-Recipient further agrees to comply and cooperate with any
inspections, reviews, investigations or audits deemed necessary by the Florida Chief Financial Officer or
Auditor General. In addition, the Division will monitor the performance and financial management by the
Sub-Recipient throughout the contract term to ensure timely completion of all tasks.
(14) LIABILITY
a. Unless Sub-Recipient is a State agency or subdivision,as defined in section 768.28(2)
Florida Statutes, the Sub-Recipient is solely responsible to parties it deals with in carrying out the terms of
this Agreement.As authorized by section 768.28(19),Florida Statutes,Sub-Recipient shall hold the Division
harmless against all claims of whatever nature by third parties arising from the work performance under
this Agreement. For purposes of this Agreement,Sub-Recipient agrees that it is not an employee or agent
of the Division but is an independent contractor.
As required by section 768.28(19), Florida Statutes, any Sub-Recipient which is a State agency or
subdivision,as defined in section 768.28(2), Florida Statutes,agrees to be fully responsible for its negligent
or tortious acts or omissions which result in claims or suits against the Division and agrees to be liable for
any damages proximately caused by the acts or omissions to the extent set forth in section 768.28, Florida
Statutes. Nothing herein is intended to serve as a waiver of sovereign immunity by any Sub-Recipient to
which sovereign immunity applies. Nothing herein shall be construed as consent by a State agency or
subdivision of the State of Florida to be sued by third parties in any matter arising out of any contract.
(15) DEFAULT
If any of the following events occur("Events of Default"), all obligations on the part of the
Division to make further payment of funds shall terminate and the Division has the option to exercise any
13
of its remedies as set forth in Paragraph (16); however, the Division may make payments or partial
payments after any Events of Default without waiving the right to exercise such remedies, and without
becoming liable to make any further payment if:
a. Any warranty or representation made by the Sub-Recipient in this Agreement or any
previous agreement with the Division is or becomes false or misleading in any respect, or if the Sub-
Recipient fails to keep or perform any of the obligations, terms or covenants in this Agreement or any
previous agreement with the Division and has not cured them in timely fashion, or is unable or unwilling to
meet its obligations under this Agreement;
b. Material adverse changes occur in the financial condition of the Sub-Recipient at any
time during the term of this Agreement,and the Sub-Recipient fails to cure this adverse change within thirty
days from the date written notice is sent by the Division;
c. Any reports required by this Agreement have not been submitted to the Division or
have been submitted with incorrect, incomplete or insufficient information; or,
d. The Sub-Recipient has failed to perform and complete on time any of its obligations
under this Agreement.
(16) REMEDIES
If an Event of Default occurs,then the Division shall, after thirty calendar days of providing
written notice to the Sub-Recipient and upon the Sub-Recipient's failure to cure within those thirty days,
exercise any one or more of the following remedies, either concurrently or consecutively:
a. Terminate this Agreement, provided that the Sub-Recipient is given at least thirty days
prior written notice of the termination. The notice shall be effective when placed in the United States, first
class mail, postage prepaid, by registered or certified mail-return receipt requested, to the address in
paragraph (3)herein;
b. Begin an appropriate legal or equitable action to enforce performance of this
Agreement;
c. Withhold or suspend payment of all or any part of a request for payment;
d. Require that the Sub-Recipient refund to the Division any monies used for ineligible
purposes under the laws, rules and regulations governing the use of these funds.
e. Exercise any corrective or remedial actions,to include but not be limited to:
i. Request additional information from the Sub-Recipient to determine the
reasons for or the extent of non-compliance or lack of performance;
ii. Issue a written warning to advise that more serious measures may be taken if
the situation is not corrected;
iii. Advise the Sub-Recipient to suspend, discontinue or refrain from incurring
costs for any activities in question; or,
iv. Require the Sub-Recipient to reimburse the Division for the amount of costs
incurred for any items determined to be ineligible;
14
f. Exercise any other rights or remedies which may be available under law.
Pursuing any of the above remedies will not stop the Division from pursuing any other
remedies in this Agreement or provided at law or in equity. If the Division waives any right or remedy in
this Agreement or fails to insist on strict performance by the Sub-Recipient, it will not affect,extend or waive
any other right or remedy of the Division, or affect the later exercise of the same right or remedy by the
Division for any other default by the Sub-Recipient.
(17) TERMINATION
a. The Division may terminate this Agreement for cause after thirty (30) days written
notice. Cause can include misuse of funds, fraud, lack of compliance with applicable rules, laws and
regulations, failure to perform on time, and refusal by the Sub-Recipient to permit public access to any
document, paper, letter, or other material subject to disclosure under Chapter 119, Florida Statutes, as
amended.
b. The Division may terminate this Agreement for convenience or when it determines, in
its sole discretion,that continuing the Agreement would not produce beneficial results in line with the further
expenditure of funds, by providing the Sub-Recipient with thirty(30)days prior written notice.
c. The parties may agree to terminate this Agreement for their mutual convenience
through a written amendment of this Agreement. The amendment will state the effective date of the
termination and the procedures for proper closeout of the Agreement.
d. In the event that this Agreement is terminated, the Sub-Recipient will not incur new
obligations for the terminated portion of the Agreement after the Sub-Recipient has received the notification
of termination. The Sub-Recipient will cancel as many outstanding obligations as possible. Costs incurred
after receipt of the termination notice will be disallowed. The Sub-Recipient shall not be relieved of liability
to the Division because of any breach of Agreement by the Sub-Recipient. The Division may,to the extent
authorized by law,withhold payments to the Sub-Recipient for the purpose of set-off until the exact amount
of damages due the Division from the Sub-Recipient is determined.
(18) PROCUREMENT
a. The Sub-Recipient shall ensure that any procurement involving funds authorized by
the Agreement complies with all applicable Federal and State laws and regulations, to include 2 C.F.R.
§§200.318 through 200.326 as well as Appendix 11 to 2 C.F.R. Part 200 (entitled "Contract Provisions for
Non-Federal Entity Contracts Under Federal Awards"). Additional requirements,guidance, templates and
checklists regarding procurement may be obtained through the FEMA Procurement Disaster Assistance
Team. Resources found here: https://www.fema.cov/procurement-disaster-assistance-team
b. If the Sub-Recipient contracts with any contractor or vendor for performance of
any portion of the work required under this Agreement,the Sub-Recipient must incorporate into its contract
with such contractor or vendor an indemnification clause holding the Federal Government, its employees
and/or their contractors,the Division, its employees and/or their contractors, and the Sub-Recipient and its
15
employees and/or their contractors harmless from liability to third parties for claims asserted under such
contract.
c. The Sub-Recipient must document in the Quarterly Report the contractor's
progress in performing its work on its behalf under this Agreement in addition to its own progress.
d. All contracts must conform to the uniform standards for procurement found in 2
C.F.R§§200.317-.326 and Appendix II, as well as§287.057 and§288.703, Florida Statutes.
(19) PAYMENTS
a. Requests for Reimbursement (RFR) serve as invoices for the purposes of section
215.422, Florida Statutes and shall include the supporting documentation for all costs of the project or
services in detail sufficient for a proper pre-audit and post-audit thereof. The final RFR shall be submitted
within thirty (30) days after the expiration date of the agreement or completion of applicable Project,
whichever occurs first.
b. If the necessary funds are not available to fund this Agreement, as a result of action
by the United States Congress,the Federal Office of Management and Budgeting,the State Chief Financial
Officer or under subparagraph (9)b of this Agreement, all obligations on the part of the Division to make
any further payment of funds shall terminate, and the Sub-Recipient shall submit its closeout report within
thirty(30)days of receiving notice from the Division.
(20)EXPEDITED PROJECTS
The Division and FEMA have established an Expedited Projects Program in order to help
affected counties, municipalities, and private-non-profits recover from Hurricane Dorian. This program
provides funding for 50% of the eligible scope of work for project versions of one Expedited Category A
project and one Expedited Category B project. These amounts will be subject to the cost sharing
requirements applicable for the disaster.
a. PROGRAM REQUIREMENTS
Each eligible Sub-Recipient can request to include one (1) Category A: Debris Removal project and one
(1)Category B: Emergency Protective Measures project in this expedited program. The work claimed must
have been performed within the following dates: August 28-September 11,2019.
For Category A and Category B.work must have been performed within the first 15 days of the disaster.
FEMA makes the final eligibility determination regarding project work and costs under the Expedited
Program. In order to be eligible for this funding,these projects must be a large"project with eligible scope
of work totaling$131,100 or more. Activities not eligible for Expedited Projects are private property debris
removal activities for Category A.
b. FUNDING
Funding will be provided at 50% of estimated costs incurred through an eligible scope of work for an
included project,during the time period of 45 days. Any and all expedited projects will ultimately require a
full validation through the grants management process for all costs incurred.
16
c. PARTICIPATION NOTIFICATION
The Sub-Recipient is responsible for notifying the State Public Assistance Officer (SPAO) of its intent to
participate in the program. The Sub-Recipient notifies the SPAO by submitting the notification of their
intention to participate via email to ExpeditedProjects@em.myflorida.com. The SPAO will then notify the
FEMA Program Delivery Manager(PDMG)who will be assigned to the eligible Sub-Recipient. Once that
email correspondence is made, the project development will be tracked through Grants Portal and all
payments will be made using the workflows in Florida PA.
(21)ADVANCE PAYMENTS
Any advance payment made under this Agreement is subject to 2 C.F.R. §200.305 and,
as applicable, section 216.181(16), Florida Statutes. All advances are required to be held in an interest-
bearing account unless otherwise governed by program specific waiver. If an advance payment is
requested,the budget data upon which the request is based and a justification statement shall be submitted
along with this agreement at the time of execution by completing Justification of Advance Payment —
Attachment K. The request will specify the amount of advance payment needed and provide an explanation
of the necessity for and proposed use of these funds. Any advance funds not expended within the first
ninety(90)days of the contract term must be returned to the Division Cashier within thirty(30)days,along
with any interest earned on the advance. No advance shall be accepted for processing if a reimbursement
has been paid prior to the submittal of a request for advanced payment. After the initial advance, if any,
payment shall be made on a reimbursement basis as needed.
(22)REPAYMENTS
a. All refunds or repayments due to the Division under this agreement are due no later
than thirty(30)days from notification by the Division of funds due.
b. As a condition of funding under this Agreement, the Sub-Recipient agrees that the
Recipient may withhold funds otherwise payable to the Sub-Recipient from any disbursement to the
Recipient, by FEMA or any other source, upon a determination by the Recipient or FEMA that funds
exceeding the eligible costs have been disbursed to the Sub-Recipient pursuant to this Agreement or any
other funding agreement administered by the Recipient. The Sub-Recipient understands and agrees that
the Recipient may offset any funds due and payable to the Sub-Recipient until the debt to the State is
satisfied. In such event, the Recipient will notify the Sub-Recipient via the entry of notes in its grants
management system.
c. All refunds or repayments due to the Division under this Agreement are to be made
payable to the order of "Division of Emergency Management", must include the invoice number and the
applicable Disaster and Project number(s)that are the subject of the invoice, and be mailed directly to the
following address:
17
Division of Emergency Management
Cashier
2555 Shumard Oak Boulevard
Tallahassee FL 32399-2100
d. In accordance with Section 215.34(2), Florida Statutes, if a check or other draft is
returned to the Division for collection, the Sub-Recipient shall pay the Division a service fee of$15.00 or
5%of the face amount of the returned check or draft;whichever is greater.
(23)MANDATED CONDITIONS
a. The validity of this Agreement is subject to the truth and accuracy of all the information,
representations, and materials submitted or provided by the Sub-Recipient in this Agreement, in any later
submission or response to a Division request, or in any submission or response to fulfill the requirements
of this Agreement. All of the said information,representations,and materials are incorporated by reference.
The inaccuracy of the submissions or any material changes shall, at the option of the Division and with
thirty(30)days written notice to the Sub-Recipient,cause the termination of this Agreement and the release
of the Division from all Its obligations to the Sub-Recipient.
b. This Agreement shall be construed under the laws of the State of Florida, and venue
for any actions arising out of this Agreement shall be in the Circuit Court of Leon County. If any provision
of this Agreement is in conflict with any applicable statute or rule, or is unenforceable, then the provision
shall be null and void to the extent of the conflict, and shall be severable, but shall not invalidate any other
provision of this Agreement.
c. Any power of approval or disapproval granted to the Division under the terms of this
Agreement shall survive the term of this Agreement.
d. The Sub-Recipient agrees to comply with the Americans with Disabilities Act (Public
Law 101-336,42 U.S.C. Section 12101 et seq.),which prohibits discrimination by public and private entities
on the basis of disability in employment, public accommodations, transportation, State and Local
government services, and telecommunications.
e. Those who have been placed on the convicted vendor list following a conviction for a
public entity crime or on the discriminatory vendor list may not submit a bid on a contract to provide any
goods or services to a public entity, may not submit a bid on a contract with a public entity for the
construction or repair of a public building or public work, may not submit bids on leases of real property to
a public entity, may not be awarded or perform work as a contractor, supplier,subcontractor,or consultant
under a contract with a public entity, and may not transact business with any public entity in excess of
$25,000.00 for a period of 36 months from the date of being placed on the convicted vendor list or on the
discriminatory vendor list.
f. Any Sub-Recipient which receives funds under this Agreement from the Federal
government, certifies,to the best of its knowledge and belief,that It and its principals:
18
i. Are not presently debarred, suspended, proposed for debarment declared
ineligible, or voluntarily excluded from covered transactions by a Federal department or agency;
ii. Have not, within a five-year period preceding this proposal, been convicted of
or had a civil judgment rendered against them for fraud or a criminal offense in connection with obtaining,
attempting to obtain, or performing a public (Federal, State or Local)transaction or contract under 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;
iii. Are not presently indicted or otherwise criminally or civilly charged by a
governmental entity (Federal, State or Local) with commission of any offenses enumerated in paragraph
(22)f. ii. of this certification;and,
iv. Have not,within a five-year period preceding this Agreement, had one or more
public transactions (Federal, State or Local)terminated for cause or default.
g. If the Sub-Recipient is unable to certify to any of the statements in this certification,
then the Sub-Recipient shall attach an explanation to this Agreement.
h. In addition,the Sub-Recipient shall send to the Division(by email to the assigned grant
manager) the completed "Certification Regarding Debarment, Suspension, Ineligibility And Voluntary
Exclusion"-Attachment C for the Sub-Recipient and a screenshot reflecting such self-check via the Federal
System for Award Management(SAM) clearinghouse through the website www.sam.yov. Sub-Recipient
shall also perform this check for any and all intended contractor or subcontractor which Sub-Recipient plans
to fund under this Agreement. A screenshot of the clearinghouse results for each intended contractor or
subcontractor should be maintained by the Sub-Recipient and provided to the Division upon request. The
check must be completed before the Sub-Recipient enters into a contract covering the scope of work
outlined in the PWs with any contractor or subcontractor.
i. The Division reserves the right to unilaterally cancel this Agreement if the Sub-
Recipient refuses to allow public access to all documents, papers, letters or other material subject to the
provisions of Chapter 119, Florida Statutes, which the Sub-Recipient created or received under this
Agreement.
j. If the Sub-Recipient is allowed to temporarily invest any advances of funds under this
Agreement, any interest income shall either be returned to the Division or be applied against the Division's
obligation to pay the contract amount unless otherwise governed by program specific waiver.
k. The State of Florida will not intentionally award publicly-funded contracts to any
contractor who knowingly employs unauthorized alien workers, constituting a violation of the employment
provisions contained in 8 U.S.C. Section 1324a(e) [Section 274A(e)of the Immigration and Nationality Act
("INK)]. The Division shall consider the employment by any contractor of unauthorized aliens a violation
of Section 274A(e)of the INA. Such violation by the Sub-Recipient of the employment provisions contained
in Section 274A(e)of the INA shall be grounds for unilateral cancellation of this Agreement by the Division.
I. Section 287.05805, Florida Statutes, requires that any state funds provided for the
purchase of or improvements to real property are contingent upon the contractor or political subdivision
19
granting to the state a security interest in the property at least to the amount of state funds provided for at
least 5 years from the date of purchase or the completion of the improvements or as further required by
law. This provision is only applicable to subrecipients receiving a state cost share.
m. The Division may,at its option,terminate the Contract if the Contractor is found to have
submitted a false certification as provided under section 287.135(5),F.S.,or been placed on the Scrutinized
Companies with Activities in Sudan List or the Scrutinized Companies with Activities in the Iran Petroleum
Energy Sector List, or been engaged in business operations in Cuba or Syria, or to have been placed on
the Scrutinized Companies that Boycott Israel List or is engaged in a boycott of Israel.
(24)LOBBYING PROHIBITION
a. 2 C.F.R. §200.450 prohibits reimbursement for costs associated with certain lobbying
activities.
b. Section 216.347, Florida Statutes, prohibits "any disbursement of grants and aids
appropriations pursuant to a contract or grant to any person or organization unless the terms of the grant
or contract prohibit the expenditure of funds for the purpose of lobbying the Legislature,the judicial branch,
or a state agency."
c. No funds or other resources received from the Division under this Agreement may be
used directly or indirectly to influence legislation or any other official action by the Florida Legislature or any
State agency.
d. The Sub-Recipient certifies, by its signature to this Agreement, that to the best of his
or her knowledge and belief:
i. No Federal appropriated funds have been paid or will be paid, by or on behalf
of the Sub-Recipient,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 of 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.
ii. 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 of a Member of Congress in connection
with this Federal contract, grant, loan or cooperative agreement, the Sub-Recipient shall complete and
submit Standard Form-LLL, "Disclosure of Lobbying Activities," in accordance with its instructions.
iii. The Sub-Recipient shall require that this certification 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 Sub-Recipients shall certify and disclose accordingly.
iv. 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
20
making or entering into this transaction imposed by Section 1352, Title 31, U.S. Cade. 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.
(25)COPYRIGHT,PATENT AND TRADEMARK
EXCEPT AS PROVIDED BELOW, ANY AND ALL PATENT RIGHTS ACCRUING
UNDER OR IN CONNECTION WITH THE PERFORMANCE OF THIS AGREEMENT ARE HEREBY
RESERVED TO THE STATE OF FLORIDA; AND, ANY AND ALL COPYRIGHTS ACCRUING UNDER
OR IN CONNECTION WITH THE PERFORMANCE OF THIS AGREEMENT ARE HEREBY
TRANSFERRED BY THE SUB-RECIPIENT TO THE STATE OF FLORIDA.
a. If the Sub-Recipient has a pre-existing patent or copyright, the Sub-Recipient shall
retain all rights and entitlements to that pre-existing patent or copyright unless the Agreement provides
otherwise.
b. If any discovery or invention is developed in the course of or as a result of work or
services performed under this Agreement,or in any way connected with it,the Sub-Recipient shall refer the
discovery or invention to the Division for a determination whether the State of Florida will seek patent
protection in its name. Any patent rights accruing under or in connection with the performance of this
Agreement are reserved to the State of Florida. If any books,manuals,films,or other copyrightable material
are produced,the Sub-Recipient shall notify the Division. Any copyrights accruing under or in connection
with the performance under this Agreement are transferred by the Sub-Recipient to the State of Florida.
c. Within thirty days of execution of this Agreement, the Sub-Recipient shall disclose all
intellectual properties relating to the performance of this Agreement which he or she knows or should know
could give rise to a patent or copyright. The Sub-Recipient shall retain all rights and entitlements to any
pre-existing intellectual property which is disclosed. Failure to disclose will indicate that no such property
exists. The Division shall then, under Paragraph (24) b., have the right to all patents and copyrights which
accrue during performance of the Agreement.
d. If the Sub-Recipient qualifies as a state university under Florida law,then, pursuant to
section 1004.23, Florida Statutes, any invention conceived exclusively by the employees of the Sub-
Recipient shall become the sole property of the Sub-Recipient. In the case of joint inventions, that is
inventions made jointly by one or more employees of both parties hereto, each party shall have an equal,
undivided interest in and to such joint inventions. The Division shall retain a perpetual, irrevocable, fully-
paid, nonexclusive license,for its use and the use of its contractors of any resulting patented, copyrighted
or trademarked work products, developed solely by the Sub-Recipient, under this Agreement, for Florida
government purposes.
(26) LEGAL AUTHORIZATION
The Sub-Recipient certifies that it has the legal authority to receive the funds under this
Agreement and that its governing body has authorized the execution and acceptance of this Agreement.
21
The Sub-Recipient also certifies that the undersigned person has the authority to legally execute and bind
Sub-Recipient to the terms of this Agreement.
(27)NONDISCRIMINATION BY CONTRACTORS
Pursuant to 44 C.F.R. §§7 and 16, and 44 C.F.R. §206.11,the Sub-Recipient must
undertake an active program of nondiscrimination in its administration of disaster assistance under this
Agreement. The Sub-Recipient is also subject to the requirements in the General Services Administrative
Consolidated List of Debarred, Suspended and Ineligible Contractors, in accordance with 44 C.F.R. § 17.
(28)ASSURANCES
The Sub-Recipient shall comply with any Statement of Assurances incorporated as
Attachment E.
(29)DUPLICATION OF BENEFITS PROHIBITED
a. The Sub-Recipient understands it may not receive funding under this Agreement
to pay for damage covered by insurance, nor may the Sub-Recipient receive any other duplicate benefits
from any source whatsoever.
b. The Sub-Recipient agrees to reimburse the Recipient If it receives any duplicate
benefits, from any source, for any damage identified on the applicable Project Worksheets, for which the
Sub-Recipient has received payment from the Recipient.
c. The Sub-Recipient agrees to notify the Recipient in writing within thirty(30)days
of the date it becomes aware of the possible availability of,applies for,or receives funds, regardless of the
source,which could reasonably be considered as duplicate benefits.
d. In the event the Recipient determines the Sub-Recipient has received duplicate
benefits, the Sub-Recipient gives the Grantee/Recipient the express authority to offset the amount of any
such duplicate benefits by withholding them from any other funds otherwise due and payable to the Sub-
Recipient,and to use such remedies as may be available administratively or at law to recover such benefits.
(30)ATTACHMENTS
a. All attachments to this Agreement are incorporated as if set out fully.
b. In the event of any inconsistencies or conflict between the language of this
Agreement and the attachments,the language of the attachments shall control,but only to the extent of the
conflict or inconsistency.
c. This Agreement has the following attachments:
i. Exhibit 1 - Funding Sources
ii. Attachment A—Budget and Project List
iii. Attachment B—Scope of Work, Deliverables, and Financial Consequences
iv. Attachment C—Certification Regarding Debarment
22
v. Attachment D—Designation of Authority
vi. Attachment E—Statement of Assurances
vii. Attachment F— Election to Participate in PA Alternative Procedures(PAAP)
viii. Attachment G—Public Assistance Program Guidance
ix. Attachment H—FFATA Reporting
x. Attachment I—Mandatory Contract Provisions
xi. Attachment J—DHS OIG Audit Issues and Acknowledgement
xii. Attachment K—Justification of Advance Payment
23
Agreement Number: Z1637
IN WITNESS WHEREOF, the parties hereto have executed this Agreement.
SUB-RECIPIENT: Boynton Beach,City of
By: 4-44-
y
Name and title: •— r;;,_i VefrOi (,f illevvoge
Date: 3/` /2 o
FEID# 59-6000282
STATE OF FLORIDA
DIVISION OF EMERGENCY MANAGEMENT
By: — —
Jared Moskowitz, Director
Date:
24
EXHIBIT—1
FUNDING SOURCES
THE FOLLOWING FEDERAL RESOURCES ARE AWARDED TO THE SUB-RECIPIENT UNDER THIS
AGREEMENT:
Federal Program
Federal agency: Federal Emergency Management Agency: Public Assistance Program
Catalog of Federal Domestic Assistance: 97.036
Amount of Federal Funding: $
THE FOLLOWING COMPLIANCE REQUIREMENTS APPLY TO THE FEDERAL RESOURCES
AWARDED UNDER THIS AGREEMENT:
• 2 C.F.R. Part 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements
for Federal Awards
• 44 C.F.R. Part 206
• The Robert T. Stafford Disaster Relief and Emergency Assistance Act, Public Law 93-288, as
amended,42 U.S.C. 5121 et seq., and Related Authorities
• FEMA Public Assistance Program and Policy Guide, 2018 V3.1-effective for all emergencies and
major disasters declared on or after August 23, 2017.
o Link here: https://www.fema.gov/media-library/assets/documents/111781
Federal Program:
1. Sub-Recipient is to use funding to perform eligible activities in accordance with the Stafford Act,
FEMA Public Assistance Program and Policy Guide,2018 V3.1 and approved Project Worksheet(s)
(PW). Eligible work is classified into the following categories:
Emergency Work
Category A: Debris Removal
Category B: Emergency Protective Measures
Permanent Work
Category C: Roads and Bridges
Category D:Water Control Facilities
Category E: Public Buildings and Contents
Category F: Public Utilities
Category G: Parks, Recreational, and other Facilities
2. Sub-Recipient is subject to all administrative and financial requirements as set forth in this
Agreement or will be in violation of the terms of the Agreement.
25
Attachment A
Budget and Project List
Bum
The Budget of this Agreement is initially determined by the amount of any Project Worksheet(s) (PW)that the Federal Emergency Management
Administration (FEMA) has obligated for a Sub-Recipient at the time of execution. Subsequent PWs or revisions thereof will increase or decrease
the Budget of this Agreement. The PW(s)that have been obligated are:
DR-4468 Sub-Recipient:Boynton Beach,City of
PIN Cd Project Title Federal Share 1 e State Share State! Local Shape "Local Total Amount
POP Start Data POP End Date
I Total 10.0 $d.aS0.04 $O.Ot1.
26
Attachment B
SCOPE OF WORK, DELIVERABLES
and FINANCIAL CONSEQUENCES
Scope of Work
FEMA has sole authority for determining eligibility of project activities and associated costs. The sub-
recipient is required to complete all eligible Projects and submit appropriate supporting documentation for
all work and costs, as approved by FEMA.
When FEMA has obligated funding for a Sub-Recipient's PW, the Division notifies the Sub-Recipient with
a copy of the PW(or P2 Report). Budget and Project List—Attachment A of this Agreement will be modified
quarterly, as necessary, to incorporate new PWs or PW versions. For the purpose of this Agreement,
each Project will be monitored, completed and reimbursed independently of the other Projects
which are made part of this Agreement.
Deliverables
For the purposes of this agreement,each project will be a standalone deliverable but may be compensated
incrementally based on the Sub-recipient's expenditures. The required performance level Is satisfactory
completion of the project as identified in the Scope of Work, the approved PW, and subsequent PW
versions, if applicable.
Large Project Deliverables
Reimbursement requests will be submitted separately for each Large Project. Any request for
reimbursement shall provide adequate, well organized and complete source documentation to support all
costs related to the Project. Requests and associated documentation which do not conform will be returned
to the Sub-Recipient prior to acceptance for payment.
Reimbursement up to 100% of the total eligible amount will be paid upon acceptance and is contingent
upon:
• Timely submission of Quarterly Reports(due 15 days after end of each quarter).
• Timely submission of invoices(Requests for Reimbursement)and supported by documentation for
all costs of the project or services in detail sufficient for a proper pre-audit and post-audit thereof.
The final invoice shall be submitted within sixty(60)days after the expiration of the agreement or
completion of the project, whichever occurs first. An explanation of any circumstances prohibiting
the submittal of quarterly invoices shall be submitted to the Division Grant Manager as part of the
Sub-Recipient's quarterly reporting as referenced in Paragraph 7 of this agreement. Adjustments
to the invoicing schedule must be approved in advance in writing by the Division Grant Manager.
• Timely submission of Request for Final Inspection (within ninety(90)days of project completion—
for each project).
• Sub-Recipient shall include a sworn Affidavit Q American Institute of Architects(AIA)forms G702
and G703, as required below.
o A. Affidavit. The Sub-Recipient is required to submit an Affidavit signed by the Sub-
Recipient's project personnel with each reimbursement request attesting to the following:
the percentage of completion of the work that the reimbursement request represents, that
disbursements or payments were made in accordance with ail of the Agreement and
regulatory conditions, and that reimbursement is due and has not been previously
requested.
o B. AIA Forms G702 and G703. For construction projects where an architectural,
engineering or construction management firm provides construction administration
services, the Sub-Recipient shall provide a copy of the American Institute of Architects
(AIA)form G702,Application and Certification for Payment,or a comparable form approved
by the Division, signed by the contractor and inspection/certifying architect or engineer,
and a copy of form G703, Continuation Sheet, or a comparable form approved by the
Division.
27
Small Projects Deliverables
Small projects will be paid upon obligation of the Project Worksheet and execution of the subgrant
agreement. Sub-Recipient must initiate the Small Project Closeout in the grants management system within
thirty(30)days of completion of the project work,or no later than the period of performance end date. Small
Project Closeout is initiated by logging into the grants management system, selecting the Sub-Recipient's
account, then selecting 'Create New Request', and selecting 'New Small Project Completion/Closeout'.
Complete the form and 'Save'. The final action is to advance the form to the next queue for review.
Financial Consequences:
2 CFR 200.338 and Section 215.971, Florida Statute, requires the Division, as the recipient of Federal
funding,to apply financial consequences, including withholding a portion of funding up to the full amount in
the event that the Sub-Recipient fails to be in compliance with Federal, State, and Local requirements, or
satisfactorily perform required activities/tasks.
For any Project(PW)that the Sub-Recipient fails to complete in compliance with Federal, State and Local
requirements,the Division shall withhold a portion of the funding up to the full amount until such compliance
is either ultimately obtained or the project is deobligated by FEMA and/or withdrawn.
The Division shall apply the following financial consequences in these specifically identified events:
Work performed outside the Period of Performance—
Based on 2 C.F.R. Section 200.309, a Sub-Recipient may be reimbursed only for eligible costs incurred for
work performed within the period of performance. Costs incurred as a result of work performed outside of
the period of performance will be deemed not allowable and ineligible for reimbursement by the Division as
a financial consequence. If the Sub-Recipient does not anticipate finishing the work within the original period
of performance,it must request a time extension and support that the work cannot be timely completed due
to extenuating circumstances beyond the Sub-Recipient's control (Attachment G).
Additionally, if the project is not completed within the period of performance and a time extension request
was not granted,the Division will coordinate with the Federal Awarding Agency to adjust the costs obligated
amount to reflect the actual allowable costs incurred during the period of performance as a financial
consequence.
Failure to timely submit quarterly reports—Pursuant to 2 C.F.R.Section 328,the Division is responsible
for oversight of the operations of the Federal award supported activities. Section 215.971, Florida Statutes
provides the Division must monitor the activities performed under Federal awards to assure compliance
with applicable Federal and State requirements and gain assurances that performance expectations are
being achieved. Paragraph (12) of the subgrant agreement also requires the Sub-Recipient to submit a
quarterly report that identifies the progress made on the project and will at a minimum include details
regarding the status of all work in progress,work that has been completed, and work that has yet to begin.
These reports are due to the Division no later than 15 days after the end of each quarter of the program
year and shall be sent each quarter until submission of the administrative close-out report. In the event
that a Sub-Recipient fails to timely submit this quarterly report, the Division will:
• Withhold $500.00 from the next approved and final payment/payable for each project not
reflected on a timely submitted Quarterly Report.
28
Failure to timely submit Requests for Final Inspection-
The submission of a request for Final Inspection is due within ninety (90) days of project completion for
each project.In the event a Sub-Recipient fails to timely Request a Final Inspection,the Division will enforce
the following:
Withhold any and all final and approved payments/payables for each project for which a Request
for Final Inspection is not timely submitted.
o Once the Request for Final Inspection is received, such funds will be released and paid to
the Sub-Recipient.
The Division retains the right to impose financial consequences for instances of non-performance or non-
compliance not specifically addressed in this section.
29
Attachment C
CERTIFICATION REGARDING DEBARMENT,SUSPENSION, INELIGIBILITY
and VOLUNTARY EXCLUSION
With respect to any Sub-recipient other than a State agency or political subdivision of the State, which
receives funds under this Agreement from the Federal government,to the best of its knowledge and belief,
that it and its principals:
1. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily excluded from covered transactions by any Federal department or agency;
2. Have not within the five-year period preceding entering into this Agreement had one or more
public transactions(Federal, State,or Local)terminated for cause or default; and
3. Have not within the five-year period preceding entering into this proposal been convicted of or
had a civil judgment rendered against them for:
a) the commission of fraud or a criminal offense in connection with obtaining, attempting to
obtain, or performing a public(Federal, State, or Local)transaction or a contract under public
transaction, or b) 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.
The Sub-recipient understands and agrees that the language of this certification must be included in the
award documents for all subawards at all tiers (including subcontracts, subgrants, contracts under grants,
loans, and cooperative agreements)and that all contractors and sub-contractors must certify and disclose
accordingly.
The Sub-recipient further understands and agrees that this certification is a material representation of fact
upon which reliance was placed when this transaction was made or entered into.
Sub-recipient further understands that submission of this certification is a prerequisite for making or entering
into this transaction imposed by 31 U.S.C. § 1352. Any person who fails to file the required certification is
subject to a civil penalty of not less than$10,000 and not more than$100,000 for each such failure.
By: .� '� ' ! 8 cg� �tl lv�
Signature Sub-R p nt's Mime
/-014; i s 1'e,g1 ck.e— ed t y Z1637
Name and Title DEM Contract Number
33ot Qict��th11 j+vd. . -e- /0/ V.2.9(i05
Street Address FEMA Project Number
&0 rJ/OA J�,Qt.h, R 36
City,Stir, 3yz
,Zip
Date
30
Attachment D
DESIGNATION OF AUTHORITY
The Designation of Authority Form is submitted with each new disaster or emergency declaration to
provide the authority for the Sub-Recipient's Primary Agent and Alternate Agent to access the grants
management system in order to enter notes, review notes and documents, and submit the documentation
necessary to work the new event. The Designation of Authority Form is originally submitted as Attachment
"D"to the PA Funding Agreement for each disaster or emergency declaration. Subsequently,the Primary
or Alternate contact should review the agency contacts at least quarterly. The Authorized Representative
can request a change in contacts via email to the State team; a note should be entered in the grants
management system if the list is correct. Contacts should be removed as soon as they separate,retire, or
are reassigned by the Agency. A new form will only be needed if all authorized representatives have
separated from your agency. Note that if a new Designation form is submitted,all Agency Representatives
currently listed as contacts that are not included on the updated form will be deleted from the grants
management system as the contacts listed are replaced in the system, not supplemented. All users must
log in on a monthly basis to keep their accounts from becoming locked. Note:a designation of authority is
NOT a delegation of authority. A signatory must have an attached delegation of authority as appropriate.
Instructions for Completion
Complete the form in its entirety,listing the name and information for all representatives who will be working
in the grants management system. Users will be notified via email when they have been granted access.
The user must log in to the grants management system within twelve (12) hours of being notified or their
account will lock them out. Each user must log in within a sixty(60) day time period or their account will
lock them out. In the event you try to log in and your account is locked, submit a ticket using the Access
Request link on the home page.
The form is divided into twelve blocks;each block must be completed where appropriate.
Block 1: "Authorized Agent"—This should be the highest authority in your organization who is authorized
to sign legal documents on behalf of your organization. (Only one Authorized Agent is allowed, and this
person will have full access/authority unless otherwise requested).
Block 2: "Primary Agent" — This is the person designated by your organization to receive all
correspondence and is our main point of contact. This contact will be responsible for answering questions,
uploading documents, and submitting reports/requests in the grants management system. The Primary
Agent is usually not the Authorized Agent but should be responsible for updating all internal stakeholders
on all grant activities. (Only one Primary Agent is allowed, and this contact will have full access).
Block 3: "Alternate Agent"—This is the person designated by your organization to be available when the
Primary is not. (Only one Alternate Agent is allowed, and this contact will have full access).
Block 4, 5, and 6: "Other" (Finance/Point of Contact, Risk Management-Insurance, and Environmental-
Historic). Providing these contacts is essential in the coordination and communication required between
State and Local subject matter experts. We understand that the same agent may be identified in multiple
blocks, however we ask that you enter the name and information again to ensure we are communicating
with the correct individuals.
Block 7—12: "Other" (Read Only Access)—There is no limit on "Other" contacts, but we ask that this be
restricted to those that are going to actually need to log in and have a role in reviewing the information.
This designation is only for situational awareness purposes as individuals with the "Other Read-Only"
designation cannot take any action in the grants management system.
31
DESIGNATION OF AUTHORITY(AGENTS)
FEMA/GRANTEE PUBLIC ASSISTANCE PROGRAM
FLORIDA DIVISION OF EMERGENCY MANAGEMENT
Sub-Grantee:
Box 1: Authorized Agent I full Accessi Box 2: Primary Agent I Full Access)
Agent's Name ` n Agent's Name
.LAY �Q�12►C��2Q T k!pr��{ d=` t}U i,. p1\1
Signature Signature
Organization/Official Position ft L� Organization/Official Position 3 Z
Mailing Address } inA
aa Mai Address t
3O ( uIA-740th �LtiC.9-2161 3?,D1 rv.8.N uteri P�tV&. clai
City,State,Zip VX t J W V r t t 33412.6 City,State,Zip
Ye!�&
531424DaY Telephone
-M2
Daytime Telephone
56 2 - / 3 {
E-mail Address �.Vi+4va1 e�.'Z @ 'T 1.U.S E-mail Address l(Q'vt,---Gka.�,S (a7 {0b i ,E
Box 3: Alternate Agit(Full Access) Box 4: Other-Finance/Point of Contact(Full [Access)
Agent's Name Official's Name �} (��
���� Q.A�Vz3r�JQnl
Signature Signature
Organization/Official Position Organization/Official Position -t
nIce� b 1`,Zec1-)1R
Mailing Address Mailing Address
c t, -LIM 014iz,
City,State,Zip City,State,Zip 2'{
Daytime Telephone t(►� 1, � L/�1 l �. J 'l}
Daytime Telephone `-742'2'6312-7 4 Z 6 31 Z
E-mail Address E-mail Address 1 (�{
A,i ,.. %J t. l�1 LAS
Box 5: Other-Risk Mgmt-Insurance(Full Access) Box 6:Other-Environmental-Historic(Full Access)
Agent's Name Agent's Name
Signature Signature
Organization/Official Position Organization/Official Position
Mailing Address Mailing Address
City,SM*,ZiP —_-- City,State,Zip
Daytime Telephone Daytime Telephone
E-mail Address E-mail Address
The above Primary and Alternate Agents are hereby authorized to execute and file an Application for Public Assistance on behalf of the Sub-grantee for the
purpose of obtaining certain Grantee and Federal financial assistance under the Robert T.Stafford Disaster Relief&Emergency Assistance Act,(Public Law
93-288 as amended)or otherwise available.These agents are authorized to represent and act for the Sub-Grantee in all dealings with the State of Florida,
Grantee,for all matters pertaining to such disaster assistance previously signed and executed by the Grantee and Sub-grantee.Additional contacts may be
placed on page 2 of this document for read only access by the above Authorized Agents.
ai0_A_Ae_V—JPPA)
Sub-Grantee Authorized Agent Signature
Date 3I �zD
32
DESIGNATION OF AUTHORITY(AGENTS)
FEMA/GRANTEE PUBLIC ASSISTANCE PROGRAM
FLORIDA DIVISION OF EMERGENCY MANAGEMENT
Sub-Grantee: Date:
Box 7: Other (Read Only Access) Box 8: Other (Read Onix Access)
Agent's Name Agent's Name
Signature Signature
Organization/Official Position
Organization/Official Position
Mailing Address Mailing Address
City,State,Zip City,State,Zip
Daytime Telephone Daytime Telephone —
E-mail Address E-mail Address
Box 9: Other (Read Only Access) Box 10: Other (Read Only Access)
Agent's Name Official's Name
Signature Signature
Organization/Official Position Organization/Official Position
Mailing Address Mailing Address
City,State,Zip City,State,Zip
Daytime Telephone Daytime Telephone
E-mail Address E-mail Address
Box 11: Other (Read Only Access) Box 12: Other (Read Only Access)
Agent's Name Agent's Name
Signature Signature
Organization/Official Position Organization/Official Position
Mailing Address – Mailing Address
City,State,Zip City,State,Zip
Daytime Telephone Daytime Telephone
E-mail Address E-mail Address
Sub-Grantee's Fiscal Year(FY)Start: Month: Ciei Qe. Day:
Sub-Grantee's Federal Employer's Identification Number(EIN) -> - 6 o00212.2_
Sub-Grantee's Grantee Cognizant Agency for Single Audit Purposes: Florida Division of Emergency Management
Sub-Grantee's: FIPS Number(If Known) OC/q- 0ii15 –D a
NOTE: This form should be reviewed and necessary updates should be made each quarter to maintain efficient communication and continuity
throughout staff turnover.Updates may be made by email to the state team assigned to your account.A new form will only be needed if all
authorized rep esentatives have separated from your agency.Be aware that submitting a new Designation of Authority affects the contacts that have
been listed on previous Designation forms in that the information in FloridaPA.org will be updated and the contacts listed above will replace,not
supplement,the contacts on the previous list.
33
Attachment E
STATEMENT OF ASSURANCES
1) The Sub-Recipient hereby certifies compliance with all Federal statutes, regulations, policies,
guidelines, and requirements, including but not limited to OMB Circulars No.A-21,A-87,A-110,A-
122,and A-128; E.O. 12372;and Uniform Administrative Requirements,Cost Principles,and Audit
Requirements for Federal Awards, 2 C.F.R. Part 200;that govern the application, acceptance and
use of Federal funds for this Federally-assisted project.
2) Additionally, to the extent the following provisions apply to this Agreement, the Sub-Recipient
assures and certifies that:
a. It possesses legal authority to apply for the grant, and to finance and construct the
proposed facilities; that a resolution, motion, or similar action has been duly adopted
or passed as an official act of the Sub-Recipient's governing body,authorizing the filing
of the application, including all understandings and assurances contained therein,and
directing and authorizing the person identified as the official representative of the Sub-
Recipient to act in connection with the application and to provide such additional
information as may be required.
b. To the best of its knowledge and belief the disaster relief work described on each
Federal Emergency Management Agency (FEMA) Project Application for which
Federal Financial assistance is requested is eligible in accordance with the criteria
contained in 44 C.F.R. §206, and applicable FEMA policy documents.
c. The emergency or disaster relief work therein described for which Federal Assistance
is requested hereunder does not, or will not, duplicate benefits available for the same
loss from another source.
3) The Sub-Recipient further assures it will:
a. Have sufficient funds available to meet the non-Federal share of the cost for
construction projects. Sufficient funds will be available when construction is completed
to assure effective operation and maintenance of the facility for the purpose
constructed,and if not, it will request a waiver from the Governor to cover the cost.
b. Refrain from entering into a construction contract(s)for the project or undertake other
activities until the conditions of the grant program(s)have been met, all contracts meet
Federal, State, and Local regulations.
c. Provide and maintain competent and adequate architectural engineering supervision
and inspection at the construction site to ensure that the completed work conforms to
the approved plans and specifications and will furnish progress reports and such other
information as the Federal grantor agency may need.
d. Cause work on the project to be commenced within a reasonable time after receipt of
notification from the approving Federal agency that funds have been approved and will
see that work on the project will be done to completion with reasonable diligence.
e. Not dispose of or encumber its title or other interests in the site and facilities during the
period of Federal interest or while the Government holds bonds,whichever is longer.
f. Provide without cost to the United States and the Grantee/Recipient all lands,
easements and rights-of-way necessary for accomplishment of the approved work and
will also hold and save the United States and the Grantee/Recipient free from damages
due to the approved work or Federal funding.
g. Establish safeguards to prohibit employees from using their positions for a purpose
that is or gives the appearance of being motivated by a desire for private gain for
themselves or others,particularly those with whom they have family, business,or other
ties.
34
h. Assist the Federal grantor agency in its compliance with Section 106 of the National
Historic Preservation Act of 1966 as amended, Executive Order 11593, and the
Archeological and Historical Preservation Act of 1966 by:
i. Consulting with the State Historic Preservation Officer on the conduct of
investigations, as necessary, to identify properties listed in or eligible for
inclusion in the National Register of Historic Places that are subject to adverse
effects (see 36 C.F.R. Part 800.8) by the activity, and notifying the Federal
grantor agency of the existence of any such properties; and,
ii. By complying with all requirements established by the Federal grantor agency
to avoid or mitigate adverse effects upon such properties.
i. Give the sponsoring agency or the Comptroller General, through any authorized
representative, access to and the right to examine all records, books, papers, or
documents related to the grant.
j. With respect to demolition activities:
i. Create and make available documentation sufficient to demonstrate that the
Sub-Recipient and its demolition contractor have sufficient manpower and
equipment to comply with the obligations as outlined in this Agreement;
ii. Return the property to its natural state as though no improvements had been
contained thereon;
iii. Furnish documentation of all qualified personnel, licenses, and all equipment
necessary to inspect buildings located in Sub-Recipient's jurisdiction to detect
the presence of asbestos and lead in accordance with requirements of the U.S.
Environmental Protection Agency, the Florida Department of Environmental
Protection, and the appropriate County Health Department;
iv. Provide documentation of the inspection results for each structure to indicate
safety hazards present, health hazards present, and/or hazardous materials
present;
v. Provide supervision over contractors or employees employed by the Sub-
Recipient to remove asbestos and lead from demolished or otherwise
applicable structures;
vi. Leave the demolished site clean, level, and free of debris;
vii. Notify the Recipient promptly of any unusual existing condition which hampers
the contractors work;
viii. Obtain all required permits;
ix. Provide addresses and marked maps for each site where water wells and
septic tanks are to be closed, along with the number of wells and septic tanks
located on each site, and provide documentation of such closures;
x. Comply with mandatory standards and policies relating to energy efficiency
which are contained in the State energy conservation plan issued in
compliance with the Energy Policy and Conservation Act;
xi. Comply with all applicable standards, orders, or requirements issued under
Section 112 and 306 of the Clean Air Act, Section 508 of the Clean Water Act,
Executive Order 11738, and the U.S. Environmental Protection Agency
regulations. (This clause must be added to any subcontracts);and,
xii. Provide documentation of public notices for demolition activities.
k. Require facilities to be designed to comply with the"American Standard Specifications
for Making Buildings and Facilities Accessible to, and Usable by the Physically
Handicapped," Number A117.1-1961, as modified. The Sub-Recipient will be
35
responsible for conducting inspections to ensure compliance with these specifications
by the contractor.
I. Provide an Equal Employment Opportunity Program,if required to maintain one,where
the application is for$500,000 or more.
m. Return overpaid funds within the forty-five (45) day requirement, and If unable to pay
within the required time period, begin working with the Grantee/Recipient in good faith
to agree upon a repayment date.
n. In the event a Federal or State court or Federal or State administrative agency makes
a finding of discrimination after a due process hearing on the Grounds of race, color,
religion, national origin,sex,or disability against a recipient of funds,forward a copy of
the finding to the Office for Civil Rights, Office of Justice Programs.
4) The Sub-Recipient agrees it will comply with the:
a. Requirements of all provisions of the Uniform Relocation Assistance and Real Property
Acquisitions Act of 1970 which provides for fair and equitable treatment of persons
displaced as a result of Federal and Federally-assisted programs.
b. Provisions of Federal law found at 5 U.S.C. § 1501,et. seq.which limit certain political
activities of employees of a State or Local unit of government whose principal
employment is in connection with an activity financed in whole or in part by Federal
grants.
c. Provisions of 18 U.S.C. §§ 594, 598, and 600-605 relating to elections, relief
appropriations, and employment, contributions, and solicitations.
d. Minimum wage and maximum hour's provisions of the Federal Fair Labor Standards
Act.
e. Contract Work Hours and Safety Standards Act of 1962, requiring that mechanics and
laborers (including watchmen and guards) employed on Federally assisted contracts
be paid wages of not less than one and one-half times their basic wage rates for all
hours worked in excess of forty hours in a work week.
f. Federal Fair Labor Standards Act, requiring that covered employees be paid at least
the minimum prescribed wage,and also that they be paid one and one-half times their
basic wage rates for all hours worked in excess of the prescribed work-week.
g. Anti-Kickback Act of 1986, which outlaws and prescribes penalties for "kick-backs"of
wages in Federally financed or assisted construction activities.
h. Requirements imposed by the Federal sponsoring agency concerning special
requirements of law, program requirements,and other administrative requirements. It
further agrees to ensure that the facilities under its ownership, lease or supervision
which are 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.
i. Flood insurance purchase requirements of Section 102(a) of the Flood Disaster
Protection Act of 1973, which requires that on and after March 2, 1975, 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 purposes
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. The phrase
"Federal financial assistance" includes any form of loan, grant, guaranty, insurance
payment,rebate,subsidy,disaster assistance loan or grant,or any other form of direct
or indirect Federal assistance.
36
j. Insurance requirements of Section 314, PL 93-288, to obtain and maintain any other
insurance as may be reasonable, adequate, and necessary to protect against further
loss to any property which was replaced, restored, repaired, or constructed with this
assistance. Note that FEMA provides a mechanism to modify this insurance
requirement by filing a request for an insurance commissioner certification(ICC). The
State's insurance commissioner cannot waive Federal insurance requirements but
may certify the types and extent of insurance reasonable to protect against future loss
to an insurable facility.
k. Applicable provisions of Title I of the Omnibus Crime Control and Safe Streets Act of
1968, as amended, the Juvenile Justice and Delinquency Prevention Act, or the
Victims of Crime Act, as appropriate;the provisions of the current edition of the Office
of Justice Programs Financial and Administrative Guide for Grants, M7100.1; and all
other applicable Federal laws, orders, circulars, or regulations, and assure the
compliance of all its Sub-Recipients and contractors.
I. Provisions of 28 C.F.R.applicable to grants and cooperative agreements including Part
18, Administrative Review Procedure; Part 20, Criminal Justice Information Systems;
Part 22, Confidentiality of Identifiable Research and Statistical Information; Part 23,
Criminal Intelligence Systems Operating Policies; Part 30, Intergovernmental Review
of Department of Justice Programs and Activities; Part 42, Nondiscrimination/Equal
Employment Opportunity Policies and Procedures; Part 61, Procedures for
Implementing the National Environmental Policy Act;Part 63, Floodplain Management
and Wetland Protection Procedures; and Federal laws or regulations applicable to
Federal Assistance Programs.
m. Lead-Based Paint Poison Prevention Act which prohibits the use of lead based paint
in construction of rehabilitation or residential structures.
n. Energy Policy and Conservation Act and the provisions of the State Energy
Conservation Plan adopted pursuant thereto.
o. Non-discrimination requirements of the Omnibus Crime Control and Safe Streets Act
of 1968, as amended, or Victims of Crime Act (as appropriate); Section 504 of the
Rehabilitation Act of 1973, as amended; Subtitle A, Title II of the Americans with
Disabilities Act(ADA)(1990); Title IX of the Education Amendments of 1972;the Age
Discrimination Act of 1975; Department of Justice Non-Discrimination Regulations;and
Department of Justice regulations on disability discrimination, and assure the
compliance of all its Sub-Recipients and contractors.
p. Provisions of Section 311, P.L. 93-288, and with the Civil Rights Act of 1964(P.L. 83-
352) which, in Title VI of the Act, provides that no person in the United States of
America, Grantees/Recipients shall,on the ground of race, color,or national origin,be
excluded from participation in, be denied the benefits of, or be otherwise subjected to
discrimination under any program or activity for which the Sub-Recipient receives
Federal financial assistance and will immediately take any measures necessary to
effectuate this agreement. If any real property or structure is provided or improved with
the aid of Federal financial assistance extended to the Sub-Recipient, this assurance
shall obligate the Sub-Recipient or in the case of any transfer of such property, any
transferee, for the period during which the real property or structure is used for a
purpose for which the Federal financial assistance is extended or for another purpose
involving the provision of similar services or benefits.
q. Provisions of Title IX of the Education Amendments of 1972, as amended which
prohibits discrimination on the basis of gender.
r. Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and
Rehabilitation Act of 1970, relating to nondiscrimination on the basis of alcohol abuse
or alcoholism.
s. Provisions of 523 and 527 of the Public Health Service Act of 1912 as amended,
relating to confidentiality of alcohol and drug abuse patient records.
37
t. Provisions of all appropriate environmental laws, including but not limited to:
i. The Clean Air Act of 1955, as amended;
ii. The Clean Water Act of 1977, as amended;
iii. The Endangered Species Act of 1973;
iv. The Intergovernmental Personnel Act of 1970;
v. Environmental standards which may be prescribed pursuant to the National
Environmental Policy Act of 1969;
vi. The Wild and Scenic Rivers Act of 1968, related to protecting components or
potential components of the national wild and scenic rivers system;
vii. The Fish and Wildlife Coordination Act of 1958;
viii. Environmental standards which may be prescribed pursuant to the Safe
Drinking Water Act of 1974, regarding the protection of underground water
sources;
ix. The provisions of the Coastal Barrier Resources Act (P.L. 97-348) dated
October 19, 1982 which prohibits the expenditure of newest Federal funds
within the units of the Coastal Barrier Resources System.
u. The provisions of all Executive Orders including but not limited to:
i. Executive Order 11246 as amended by Executive Orders 11375 and 12086,
and the regulations issued pursuant thereto,which provide that no person shall
be discriminated against on the basis of race, color, religion, sex or national
origin in all phases of employment during the performance of Federal or
Federally assisted construction contracts; affirmative action to insure fair
treatment in employment, upgrading, demotion, or transfer; recruitment or
recruitment advertising; layoff/termination, rates of pay or other forms of
compensation; and election for training and apprenticeship.
ii. EO 11514(NEPA).
iii. EO 11738(violating facilities).
iv. EO 11988(Floodplain Management).
v. EO 11990(Wetlands).
vi. EO 12898(Environmental Justice).
For Grantees/Recipients other than individuals, the provisions of the DRUG-FREE WORKPLACE as
required by the Drug-Free Workplace Act of 1988. This assurance is given in consideration of and for the
purpose of obtaining Federal grants, loans, reimbursements, advances, contracts, property, discounts
and/or other Federal financial assistance extended to the Sub-Recipient by FEMA. The Sub-Recipient
understands that such Federal Financial assistance will be extended in reliance on the representations and
agreements made in this Assurance and that both the United States and the Grantee/Recipient have the
joint and several right to seek judicial enforcement of this assurance. This assurance is binding on the
Sub-Recipient, its successors, transferees, and assignees.
FOR THE SUBGRANTEE/SUB-RECIPIENT:
Signature
L0610Kk `� �� l Rt 1 C �1 a► 3140
Printed Name and Title '-j Date
38
����44���� Attachment F
FEMA
AN
Public Assistance Alternative Procedures for
Permanent Work Pilot (Version 4)
FEMA Recovery Policy FP 104-009-7
BACKGROUND
Section 428 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as
amended, (Stafford Act)1 authorizes FEMA to award Public Assistance (PA)funding based on
fixed estimates. This version 4 of the Public Assistance Alternative Procedures for Permanent
Work Pilot (Pilot) policy supersedes version 3 and the Alternative Procedures Project language
in Chapter 2.VI I.G of the Public Assistance Program and Policy Guide2(PAPPG). All other
portions of the PAPPG apply except where specifically stated otherwise.
PURPOSE
The purpose of this policy is to define the framework and requirements to ensure appropriate
and consistent implementation.
PRINCIPLES
A. Increase flexibility in the administration of such assistance by allowing Applicants to use
funds in a manner that best meets their specific needs for recovery, long-term resiliency,
and future preparedness.
B. Simplify the delivery of assistance and reduce administrative costs associated with PA
projects.
REQUIREMENTS
A. FIXED-COST OFFER ACCEPTANCE
Outcome: Enable Applicants to drive their own recovery.
1. FEMA and the Recipient will work with the Applicant to formulate disaster-related damage
into projects and reach agreement on the eligible scopes of work (SOW)for all Permanent
Work projects. Once agreement is reached on the disaster-related damage and eligible
SOW, FEMA or the Applicant will develop a cost estimate in accordance with Section G,
Cost Estimates.
2. After the cost estimate is developed by FEMA or developed by the Applicant and validated
by FEMA as being reasonable and eligible based on the work required to address the
disaster-related damage, FEMA will transmit a fixed-cost offer via its Grants
Manager/Portal to the Applicant for acceptance.
Robert T. Stafford Disaster Relief and Emergency Assistance Act, 42 U.S.C. §5121, et seq., as amended.
2 www.fema.nov/media-libra,,/assets/documents/111781
Page 1 of 8 FEMA Recovery Policy FP 104-009-7
39
FEMA
3. The total fixed-cost amount is established based on the aggregate of:
a. The estimated cost to restore disaster damaged facilities to pre-disaster design(size
and capacity) and function in accordance with eligible codes and standards;and
b. The estimated cost for cost-effective hazard mitigation measures associated with the
actual restoration SOW to be implemented.
4. If the Applicant accepts the fixed-cost offer for a Large Project, it is considered a Pilot
Project and the Applicant will:
a. Not be required to rebuild the facilities back to what existed prior to the disaster.
b. Be allowed to share funds across all of its Pilot Projects.
c. Not be required to track costs to specific work items.
d. Not be required to track costs or work to specific Pilot Projects since funds can be
shared across all of its Pilot Projects.
e. Be allowed to retain and use excess funds to reduce risk and improve future disaster
operations (subject to timely closeout).
f. Be eligible for cost-effective hazard mitigation on replacement projects.
B. DEADLINES
Outcome: Increase speed of recovery through timely agreement on fixed-cost offers.
1. Applicants have no more than 18 months from the disaster declaration date to:
a. Determine the actual SOW and hazard mitigation measures to be implemented; and
b. Accept a fixed-cost offer for each project (also subject to 30-day deadline from receipt,
see B.2).
2. Each time FEMA transmits a fixed-cost offer, the Recipient and Applicant will have a
combined total of 30 calendar days from the date of FEMA's transmittal of the fixed-cost
offer to accept the offer (not to exceed the 18-month deadline). Any projects without
accepted fixed-cost offers by the 30-day and 18-month deadlines will be processed using
standard PA policies and procedures and funded in accordance with Title 44 Code of
Federal Regulations §206.205.
3. Time extensions to accept fixed-cost offers must be approved by FEMA's Assistant
Administrator for Recovery.
C. HAZARD MITIGATION
Outcome: Promote resiliency through inclusion of hazard mitigation.
1. When the Applicant is restoring a facility to pre-disaster function, size, capacity, and
location, FEMA evaluates the proposed hazard mitigation SOW and cost-effectiveness
based on the criteria in Chapter 2.VII.0 of the PAPPG.
2. When the Applicant is restoring the function, but changing the pre-disaster capacity of a
facility (Improved Project), the proposed hazard mitigation SOW is developed based on the
actual SOW to be implemented; however, the cost-effectiveness is evaluated based on the
fixed-cost amount accepted for the pre-disaster restoration SOW. If the capacity is
Page 2 of 8 FEMA Recovery Policy FP 104-009-7
40
) FEMA
increased, the proposed hazard mitigation SOW and cost is limited to the SOW and cost
necessary to mitigate to the pre-disaster capacity of the damaged facility.
3. Applicants must complete the approved hazard mitigation in order to retain the fixed-cost
amount accepted for hazard mitigation.
D. USE OF FUNDS
Outcome: Increase effectiveness of assistance through increased flexibility and expanded use
of funds.
1. Applicants may use fixed-cost funds, including any excess funds across all Pilot Projects.
2. Applicants may request to use fixed-cost funds for any of the activities defined as eligible
under the Use of Fixed-Cost Funds column in the table below. Once FEMA approves and
the Applicant completes the SOW associated with these activities, the Applicant may use
any excess funds for the expanded list of eligible activities listed under the Use of Excess
Funds column.
3. Any excess funds remaining after the approved SOW is complete may be used for cost-
effective activities that reduce the risk of future damage, hardship, or suffering from a major
disaster, and activities that improve future PA operations or planning. The Applicant must
submit a proposed SOW for use of any excess funds, along with a project timeline to the
Recipient within 90 days of the date the last Alternative Procedures Project was completed.
The Recipient must forward the request to FEMA within 180 days of date the last
Alternative Procedures Project was completed. FEMA will evaluate the proposed use of
excess funds for reasonableness to ensure prudent use of funds. FEMA will also evaluate
the submitted project timeline and approve an appropriate deadline for project completion,
not to exceed the overall disaster period of performance.
4. The following table lists examples of eligible and ineligible types of work and costs when
using fixed-cost funds and excess funds.
Type of Work or Cost (all work or costs listed must Use of Use of
otherwise be eligible for PA) Fixed-Cost Excess
Funds Funds
Restoration of disaster-damaged facilities and equipment Eligible Eligible
Restoration of disaster-damaged facilities in undeclared areas Ineligible Eligible
within the same State or Tribal area
Alternate Projects (e.g., purchasing equipment, Eligible Eligible
constructing new facilities, improvements to
undamaged facilities such as shelters and emergency
operation centers) in declared areas
Cost-effective hazard mitigation measures for undamaged Ineligible Eligible
facilities
Covering future insurance premiums, including meeting Ineligible Eligible
obtain and maintain (O&M) insurance requirements, on
damaged or undamaged facilities
Page 3 of 841 FEMA Recovery Policy FP 104-009-7
tom, FEMA
Work on facilities that are ineligible due to a failure to meet Ineligible Ineligible I
previous O&M requirements
Conducting or participating in training for response or recovery Ineligible Eligible
activities, including Federal grants management or procurement
courses
Planning for future disaster response and recovery operations, Ineligible Eligible
such as developing or updating plans (e.g., Debris Management
Plans, Hazard Mitigation Plans, Pre-disaster Recovery Plans,
Emergency Management/Operation Plans), integrating these
plans into other plans, preparedness activities, exercises, and
outreach
Salaries for PA or emergency management staff. This may Ineligible Eligible
include but is not limited to staff performing PA grant
administration, monitoring, and closeout activities for other PA
disaster grants, and staff developing or updating disaster plans
Paying down debts Ineligible Ineligible
Covering operating expenses Ineligible Ineligible
Covering budget shortfalls Ineligible Ineligible
Covering the non-Federal cost share of FEMA projects or other Ineligible Ineligible
Federal awards
E SCOPE OF WORK CHANGES
Outcome: Reduce administrative burden by simplifying requirements for changes to a SOW.
1. Once the SOW is approved and a fixed-cost offer is accepted:
a. The Applicant must notify FEMA prior to making SOW changes that involve:
I Buildings or structures that are 45 years of age or older;
ii. Ground disturbing activities; or
iii. Work in or near waterways.
b. With exception of buildings or structures that are 45 years of age or older, theApplicant
does not need to notify FEMA when it intends to make changes that substantially
conform to the approved SOW. Changes that substantially conform include items, such
as:
i. Substitutions in material type (e.g., pre-cast concrete vs. steel beam, stainless
steel vs. galvanized fasteners); or
Interior floor plan reconfigurations (e.g., adding, moving, or
removing rooms/features).
c. If the Applicant wishes to change the SOW to the extent that it changes the hazard
mitigation, such changes must be approved within the 18-month deadline and thefixed-
cost offer amount will be adjusted to reflect the revised hazard mitigation SOW.
Page 4 of 8 FEMA Recovery Policy FP 104-009-7
42
f, f FEMA
n.,,:;
F. ENVIRONMENTAL AND HISTORIC PRESERVATION
Outcome: Ensure all projects are compliant with environmental and historic preservation
(EHP) laws, regulations, and executive orders.
1. FEMA will conduct EHP compliance reviews on the actual SOW to be implemented. EHP
review needs to occur prior to FEMA approval and prior to the Applicant starting any work
that has potential to impact the environment, historic properties, or archaeological
resources. This includes, but is not limited to, demolition, site preparation, and ground
disturbing activities.
2. The Applicant must comply with all applicable EHP laws, regulations, and Executive Orders
in accordance with the FEMA Directive 108-1, Environmental Planning and Historic
Preservation Responsibilities and Program Requirements, and accompanying Instruction.
Non-compliance with EHP conditions and requirements may result in the deobligation of
funds.
G. COST ESTIMATES
Outcome: Develop fixed-costs based on accurate cost estimates.
1. FEMA or the Applicant may develop cost estimates as follows:
a. FEMA will prepare its estimates using the Cost Estimating Format (CEF) andwill
include the CEF contingency factor"Applicant Reserve for Change Orders."
b. Applicant-submitted estimates must comply with Chapter 3.II.D of the PAPPG. FEMA
will evaluate Applicant-submitted estimates using the Public Assistance: Reasonable
Cost Evaluation Job Aid. This Job Aid includes a checklist in Appendix A: Validation of
Applicant-Provided Cost Estimates, which FEMA will use to review and validate cost
estimates.
c. The estimate must be based on the current phase of design or construction inclusive of
any known costs.
d. If eligible work has been completed at the time the cost estimate is developed that
portion of the fixed amount will be based on the actual cost.
e. The cost estimate must include a reduction to account for any anticipated insurance
proceeds based on the Applicant's insurance policy, or if known, the actual insurance
proceeds.
2. A FEMA-funded, independent panel of cost estimating experts may review project
estimates. The review will be limited to issues pertaining to the estimated cost and the
panel will not make decisions related to the eligibility of work. However, it may make
determinations about whether cost elements are required to execute the SOW. The panel
may review cost documentation for completed work, if necessary.
a. FEMA may request the independent panel review for any cost estimate.
b. Applicants may request the panel review the estimate for any project with anestimated
Federal share of at least$5 million.
c. All project estimates with an estimated Federal share of$25 million or greater will be
reviewed by the independent panel.
Page 5 of 8 FEMA Recovery Policy FP 104-009-7
43
FEMA
d. The panel will complete its review before FEMA transmits the fixed-cost offer
H. INSURANCE
Outcome: Ensure FEMA assistance does not duplicate insurance proceeds.
1. Fixed-cost amounts will be reduced to avoid duplication with insurance proceeds in
accordance with Chapter 2.V.P.1 of the PAPPG. This includes any necessary adjustments at
closeout.
2. All insurable facilities for which funds are used (including excess funds) are subject to O&M
requirements in accordance with Chapter 2.VI I.A of the PAPPG. If the Applicant does not
comply with the O&M requirement, FEMA will deobligate the fixed amounts related to the
non-compliance and the facilities for which the Applicant failed to comply will not be eligible
for future PA funding.
I. CLOSEOUT REQUIREMENTS
Outcome: Reduce the administrative costs associated with closeout by simplifying closeout
documentation requirements and incentivize timely closeout.
1. Work must be completed by the end of the latest Pilot Project period of performance and
the Recipient must certify that all incurred costs are associated with the approved SOW
and that the Applicant completed all work in accordance with FEMA regulations and
policies. The Recipient must submit its certification to FEMA within 180 days of the
Applicant completing its last Pilot Project or the latest Pilot Project deadline, whichever
occurs first, in order for the Applicant to retain and use any excess funds.
2. The closeout certification must include a final report of Pilot Project costs and
documentation to support the following:
a. Summary of actual work completed;
b. Mitigation measures achieved, if applicable;
c. Compliance with EHP requirements;
d. Compliance with the O&M insurance requirement;
e. Summary of total actual costs to complete the Pilot Projects;
f. Compliance with Federal procurement procedures; and
g. Actual insurance proceeds received.
3. Applicants do not need to track costs to specific work items. Applicants only need to
substantiate and certify that all claimed costs are related to the overall work deemed
eligible for the Pilot Projects.
4. Applicants must comply with the requirements of 2 CFR Part 200, including document
retention.
J. APPEALS
FEMA will not consider appeals on a Pilot Project unless it is related to a cost adjustment
made by FEMA after the fixed-cost offer is accepted (i.e., related to insurance, non-
compliance, or an audit). Any disagreement on damage, SOW, or cost must be resolved
Page 6 of 8 44 FEMA Recovery Policy FP 104-009-7
'.A,r
( ) FEMA
,,,,
prior to accepting a fixed-cost offer. Additionally, time extension denials on a Pilot Project
are not appealable.
K. AUDITS
The U.S. Department of Homeland Security's Office of Inspector General and the U.S.
Government Accountability Office have authority to audit any project. Once the Applicant
signs the fixed-cost offer, FEMA may still adjust funding due to audit findings.
L. PILOT POLICY VERSUS STANDARD PA POLICY
The following table summarizes the differences between the Alternative Procedures Pilot
policy and the standard PA policy:
Alternative Procedures Policy Standard Policy
Fixed-cost project with use of excess funds. Actual cost project. No retention
of excess funds associated with
the approved estimate.
May use funds across all Pilot projects. Can only use funds toward the specific
work identified in each specific project.
After FEMA approves a SOW, approval is only After FEMA approves a SOW,
required for changes that involve buildings or approval is required for any change
structures aged 45 years or older, ground to the SOW.
disturbing activities, or work in or near water.
Do not need to track costs associated with Must track costs associated with all
chanes to the SOW. changes to the SOW.
Do not need to track costs to specific work items. Must track costs specific to each
Only need to track the total costs associated with work item within each individual
the Pilot Projects. project. .
Do not need to track work to specific Pilot Must track all work to each
Projects. Only need to substantiate that the individual project.
work is related to the approved SOW covered in
the Pilot Projects.
V4 r di_
Keith Turi
Assistant Administrator, Recovery Directorate
August 29, 2019
Date
Page 7 of 8 FEMA Recovery Policy FP 104-009-7
45
( .: FEMA
ADDITIONAL INFORMATION
REVIEW CYCLE
This policy will be reviewed, reissued, revised or rescinded by the Assistant Administrator of
Recovery within 4 years of the date of signature on this policy.
AUTHORITIES
Robert T. Stafford Disaster Relief and Emergency Assistance Act, 42 U.S.C. § 5121, et seq., as
amended.
QUESTIONS
Direct questions to Tod Wells, Acting Director, Public Assistance Division, at
Tod.Wellsrcvfema.dhs.gov.
Page 8 of 8 FEMA Recovery Policy FP 104-009-7
46
Attachment G
PUBLIC ASSISTANCE PROGRAM GUIDANCE
1. RECIPIENT'S WEB-BASED PROJECT MANAGEMENT SYSTEM
Sub-Recipients must use the Recipient's web-based project management system to access and exchange
project information with the State throughout the project's life. This includes processing payments,
reimbursement requests, quarterly reports, final inspection schedules, change requests, time extensions,
and other services as identified in the Agreement. Training on this system will be supplied by the Recipient
upon request by the Sub-Recipient.
2. PROJECT DOCUMENTATION
The Sub-Recipient must maintain all source documentation supporting the project costs. To facilitate
closeout and audits, the Applicant should file all documentation pertaining to each project with the
corresponding PW as the permanent record of the project. In order to validate Large Project Requests
for Reimbursement (RFRs), all supporting documents should be uploaded to the grants management
system website. Contact the grant manager with questions about how and where to upload documents,
and for assistance linking common documents that apply to more than one(1) PW.
The Sub-Recipient must retain sufficient records to show its compliance with the terms of this Agreement,
including documentation of all program costs, in a form sufficient to determine compliance with the
requirements and objectives under this Agreement and all other applicable laws and regulations, for a
period of five(5)years from the date of the Sub-Recipient account closeout by FEMA.
The five (5)year period is extended if any litigation, claim or audit is started before the five(5)year period
expires, and extends beyond the five(5)year period. The records must then be retained until all litigation,
claims, or audit findings involving the records have been resolved.
Records for the disposition of non-expendable personal property valued at$5,000 or more at the time it is
acquired must be retained for five (5)years after final account closeout.
Records relating to the acquisition of real property must be retained for five (5) years after final account
closeout.
3. INTERIM INSPECTIONS
Interim Inspections may be requested by the Sub-Recipient, on both small and large projects, to:
i. Conduct insurance reconciliations;
ii. Review an alternate scope of work;
iii. Review an improved scope of work; and/or,
iv. Validate scope of work and/or cost.
Interim Inspections may be scheduled and submitted by the Recipient as a request in the grants
management system under the following conditions:
i. A quarterly report has not been updated between quarters;
ii. The Sub-Recipient is not submitting Requests for Reimbursement (RFR's) in a
timely manner;
iii. Requests for a Time Extension have been made that exceed the Grantee's/
Recipient's authority to approve; and/or,
iv. There are issues or concerns identified by the Recipient that may impact funding
under this agreement.
47
4. PROJECT RECONCILIATION AND CLOSEOUT
The purpose of closeout is for the Sub-Recipient to certify that all work has been completed. To ensure a
timely closeout process, the Sub-Recipient should notify the Recipient within sixty (60) days of Project
completion.
The Sub-Recipient should include the following information with its closeout request:
• Certification that project is complete;
• Date of project completion; and,
• Copies of any Recipient time extensions.
Large Projects
With exception of Fixed Cost Estimate Subawards, Alternate Projects and Improved Projects where final
costs exceed FEMA's original approval, the final eligible amount for a Large Project is the actual
documented cost of the completed, eligible SOW. Therefore, upon completion of each Large Project that
FEMA obligated based on an estimated amount; the Sub-Recipient should provide the documentation to
support the actual costs. If the actual costs significantly differ from the estimated amount,the Sub-Recipient
should provide an explanation for the significant difference.
FEMA reviews the documentation and, if necessary, obligates additional funds or reduces funding based
on actual costs to complete the eligible SOW. If the project included approved hazard mitigation measures;
FEMA does not re-evaluate the cost-effectiveness of the HMP based on the final actual cost. If during the
review, FEMA determines that the Sub-Recipient performed work that was not included in the approved
SOW, FEMA will designate the project as an Improved Project, cap the funding at the original estimated
amount, and review the additional SOW for EHP compliance.
For Fixed Cost Estimate Subawards,the Applicant must provide documentation to support that it used the
funds in accordance with the eligibility criteria described in the PAPPG and guidance provided at
http://www.fema.gov/alternative-;irocedures and in the referenced disaster specific guidance attached
hereto.
Once FEMA completes the necessary review and funding adjustments, FEMA closes the project.
Small Projects
Once FEMA obligates a Small Project, FEMA does not adjust the approved amount of an individual Small
Project. This applies even when FEMA obligates the PW based on an estimate and actual costs for
completing the eligible SOW differ from the estimated amount. FEMA only adjusts the approved amount
on individual Small Projects if one of the following conditions applies:
• The Sub-Recipient did not complete the approved SOW;
• The Sub-Recipient requests additional funds related to an eligible change in SOW;
• The PW contains inadvertent errors or omissions;or,
• Actual insurance proceeds differ from the amount deducted in the PW.
In these cases, FEMA only adjusts the specific cost items affected.
If none of the above applies,the Sub-Recipient may request additional funding if the total actual cost of all
of its Small Projects combined exceeds the total amount obligated for all of its Small Projects. In this case,
the Sub-Recipient must request the additional funding through the appeal process,within sixty(60)days of
completion of its last Small Project. FEMA refers to this as a net small project overrun appeal. The appeal
must include actual cost documentation for all Small Projects that FEMA originally funded based on
estimate amounts.
To ensure that all work has been performed within the scope of work specified on the Project Worksheets,
the Recipient will conduct final inspections on Large Projects,and may,at its sole discretion,select one or
48
more Small Projects to be inspected. Costs determined to be outside of the approved scope of work and/or
outside of the approved performance period cannot be reimbursed.
For Hurricane Dorian DR#4468, projects that are under $131,100.00 are considered small projects. In
coordination with FEMA, the Division will accept a self-certification of small projects in lieu of project
documentation for permanent work projects (Categories C-G). The self-certification will require the
applicant to certify that the damaged facility is eligible, the scope of work is eligible, and that the funds will
be expended in accordance with State and Federal law. A copy of the self-certification is attached hereto.
This self-certification will be completed during project development in Grants Portal prior to obligation.Once
the project is obligated, the Division will reimburse the project without a request for reimbursement.
However,in order to close out the project,the applicant must provide before and after photos of the project.
5. TIME EXTENSIONS
FEMA only provides PA funding for work completed and costs incurred within regulatory deadlines. The
deadline for Emergency Work is six (6) months from the declaration date. The deadline for Permanent
Work is eighteen (18)months from the declaration date.
Deadlines for Completion of Work
Type of Work Months
Emergency Work 6
Permanent Work 18
If the Applicant determines it needs additional time to complete the project, including direct administrative
tasks related to the project, it must submit a written request for a Time Extension to the Recipient with the
following information:
• Documentation substantiating delays beyond its control;
• A detailed justification for the delay;
• Status of the work;and,
• The project timeline with the projected completion date.
Recipient may extend Emergency Work projects by six (6) months and Permanent Work projects by thirty
(30) months, FEMA has authority to extend individual project deadlines beyond these timeframes if
extenuating circumstances justify additional time. This applies to all projects with the exception of those
projects for temporary facilities.
FEMA generally considers the following to be extenuating circumstances beyond the Applicant's control:
• Permitting or EHP compliance related delays due to other agencies involved
• Environmental limitations (such as short construction window)
• Inclement weather(site access prohibited or adverse impact on construction)
FEMA generally considers the following to be circumstances within the control of the Applicant and not
justifiable for a time extension:
• Permitting or environmental delays due to Applicant delays in requesting permits
• Lack of funding
• Change in administration or cost accounting system
• Compilation of cost documentation
Although FEMA only provides PA funding for work performed on or before the approved deadline, the
Applicant must still complete the approved SOW for funding to be eligible. FEMA de-obligates funding for
any project that the Applicant does not complete. If the Applicant completes a portion of the approved SOW
49
and the completed work is distinct from the uncompleted work, FEMA only de-obligates funding for the
uncompleted work. For example, if one project includes funds for three facilities and the Applicant restores
only two of the three facilities, FEMA only de-obligates the amount related to the facility that the Applicant
did not restore.
Time Extension requests should be submitted prior to current approved deadlines, be specific to one
project,and include the following information with supporting documentation:
• Dates and provisions of all previous time extensions
• Construction timeline/project schedule in support of requested time
• Basis for time extension request:
o Delay in obtaining permits
• Permitting agencies involved and application dates
o Environmental delays or limitations (e.g., short construction window, nesting seasons)
• Dates of correspondence with various agencies
• Specific details
• Inclement weather (prolonged severe weather conditions prohibited access to the area, or
adversely impacted construction)
o Specific details
• Other reason for delay
o Specific details
Submission of a Time Extension request does not automatically grant an extension to the period of
performance. Without an approved Time Extension from the State of FEMA(as applicable),any expenses
incurred outside the P.O.P. are ineligible.
6. INSURANCE
The Sub-Recipient understands and agrees that disaster funding for insurable facilities provided by FEMA
is intended to supplement, not replace,financial assistance from insurance coverage and/or other sources.
Actual or anticipated insurance proceeds must be deducted from all applicable FEMA Public Assistance
grants in order to avoid a duplication of benefits. The Sub-Recipient further understands and agrees that
if Public Assistance funding is obligated for work that is subsequently determined to be covered by
insurance and/or other sources of funding, FEMA must de-obligate the funds per Stafford Act Sections 101
(b)(4)and 312 (c).
As a condition of funding under this Agreement, pursuant to 44 C.F.R. §§ 206.252-253, for damaged
facilities,the Sub-Recipient understands it must, and it agrees to, maintain such types of insurance as are
reasonable and necessary to protect against future loss for the anticipated life of the restorative work or the
insured facility, whichever is lesser. Except that the Recipient acknowledges FEMA does not require
insurance to be obtained and maintained for projects where the total eligible damage is less than$5,00000.
In addition to the preceding requirements, the Sub-Recipient understands it is required to obtain and
maintain insurance on certain permanent work projects in order to be eligible for Public Assistance funding
in future disasters pursuant to§311 of the Stafford Act. As stated in the Stafford Act,"Such coverage must
at a minimum be in the amount of the eligible project costs." Further, the Stafford Act, requires a Sub-
Recipient to purchase and maintain insurance, where that insurance is"reasonably available, adequate or
necessary to protect against future loss" to an insurable facility as a condition for receiving disaster
assistance funding. The Public Assistance Program and Policy Guide further states, "If the Applicant does
not comply with the requirement to obtain and maintain insurance, FEMA will deny or de-obligate PA funds
from the current disaster." If the State Insurance Commissioner certifies that the type and extent of
insurance is not"reasonably available,adequate or necessary to protect against future loss"to an insurable
facility,the Regional Administrator may modify or waive the requirement in conformity with the certification.
The Sub-Recipient understands and agrees it is responsible for being aware of, and complying with, all
insurance considerations contained in the Stafford Act and in 44 C.F.R.§§206.252-253.
The Sub-Recipient agrees to notify the Recipient in writing within thirty (30) days of the date it becomes
aware of any insurance coverage for the damage identified on the applicable Project Worksheets and of
any entitlement to compensation or indemnification from such insurance. The Sub-recipient further agrees
50
to provide all pertinent insurance information, including but not limited to copies of all policies,declarations
pages, insuring agreements, conditions, and exclusions, Statement of Loss, and Statement of Values for
each insured damaged facility.
The Sub-Recipient understands and agrees that it is required to pursue payment under its insurance
policies to the best of its ability to maximize potential coverage available.
7. COMPLIANCE WITH PLANNING/PERMITTING REGULATIONS AND LAWS
The Sub-Recipient is responsible for the implementation and completion of the approved projects described
in the Project Worksheets in a manner acceptable to Recipient, and in accordance with applicable Local,
State,and Federal legal requirements.
If applicable, the contract documents for any project undertaken by the Sub-grantee/Sub-Recipient, and
any land use permitted by or engaged in by the Sub-grantee/Sub-Recipient, must be consistent with the
local government comprehensive plan.
The Sub-Recipient must ensure that any development or development order complies with all applicable
planning, permitting, and building requirements including, but not limited to, the National Environmental
Policy Act and the National Historic Preservation Act.
The Sub-Recipient must engage such competent, properly licensed, engineering, environmental,
archeological, building, and other technical and professional assistance at all project sites as may be
needed to ensure that the project complies with the contract documents.
8. FUNDING FOR LARGE PROJECTS
Although Large Project payment must be based on documented actual costs, most Large Projects are
initially approved based on estimated costs. Funds are made available to the Sub-Recipient when work is
in progress and funds have been expended with documentation of costs available. When all work
associated with the project is complete,the State will perform a reconciliation of all costs and will transmit
the information to FEMA for its consideration for final funding adjustments (See Closeouts).
The submission from the Sub-Recipient requesting this reimbursement must include:
a) A Request for Reimbursement;
b) A Summary of Documentation (SOD) which is titled Reimbursement Detail Report and is
automatically created when the Request for Reimbursement is submitted (and is supported by
copies of original documents such as, but not limited to, contract documents, insurance
policies, payroll records, daily work logs, invoices, purchase orders,and change orders); and,
c) The FDEM Cost Claim Summary Workbook along with copies of original documents such as
contract documents, invoices, change orders,canceled checks(or other proof of expenditure),
purchase orders, etc.
9. ADVANCES
1. For a Federally funded contract, any advance payment is also subject to 2 C.F.R., Federal OMB
Circulars A-87,A-110, A-122, and the Cash Management Improvement Act of 1990.
2. All advances must be held in an interest-bearing account with the interest being remitted to the
Recipient as often as practicable, but not later than ten(10)business days after the close of each calendar
quarter.
3. In order to prepare a Request for Advance (RFA)the Sub-Recipient must certify to the Recipient
that it has procedures in place to ensure that funds are disbursed to project vendors, contractors, and
51
subcontractors without unnecessary delay. The Sub-Recipient must prepare and submit a budget that
contains a timeline projecting future payment schedules through project completion.
4. A separate RFA must be completed for each Project Worksheet to be included in the Advance
Funding Payment.no more than ninety(90)days after receiving its Advance Payment for a specific project.
The RFR must account for all expenditures incurred while performing eligible work documented in the
applicable Project Worksheet for which the Advance was received.
5. If a reimbursement has been paid prior to the submittal of a request for an advance payment, an
Advance cannot be accepted for processing.
6. The Recipient may advance funds to the Sub-Recipient, not exceeding the Federal share, only if
the Sub-Recipient meets the following conditions:
a) The Sub-Recipient must certify to the Recipient that Sub-Recipient has procedures in place to
ensure that funds are disbursed to project vendors, contractors, and subcontractors without
unnecessary delay;
b) The Sub-Recipient must submit to the Recipient the budget supporting the request.
7. The Sub-Recipient must submit a statement justifying the advance and the proposed use of the
funds, which also specifies the amount of funds requested and certifies that the advanced funds will be
expended no more than ninety(90)days after receipt of the Advance;
8. The Recipient may, in its sole discretion,withhold a portion of the Federal and/or nonfederal share
of funding under this Agreement from the Sub-Recipient if the Recipient reasonably expects that the Sub-
Recipient cannot meet the projected budgeted timeline or that there may be a subsequent determination
by FEMA that a previous disbursement of funds under this or any other Agreement with the Sub-Recipient
was improper.
Payments under the Public Assistance Alternative Procedures Program (PAAP)are paid as an Advance
Payment.
10. DESIGNATION OF AGENT
The Sub-Recipient must complete Attachment D by designating at least three (3) agents to execute any
Requests for Advance or Reimbursement,certifications,or other necessary documentation on behalf of the
Sub-Recipient.
After execution of this Agreement, the authorized, primary, and secondary Agent may request changes to
contacts via email to the State assigned team.
In the event the Sub-Recipient contacts have not been updated regularly and all three (3) Agents have
separated from the Sub-Recipient's agency, a designation of authority form will be needed to change
contacts.
NOTE: This is very important because if contacts are not updated, notifications made from the
grants management system may not be received and could result in failure to meet time periods to
appeal a Federal determination.
11. DUNS Q&A
What Is a DUNS number?
The Data Universal Numbering System (DUNS) number is a unique nine-digit identification number
provided by Dun &Bradstreet(D&B). The DUNS number is site specific. Therefore,each distinct physical
location of an entity such as branches, divisions and headquarters, may be assigned a DUNS number.
52
Who needs a DUNS number?
Any institution that wants to submit a grant application to the Federal government. Individual researchers
do not need a DUNS number if they are submitting their application through a research organization.
How do I get a DUNS number?
Dun & Bradstreet have designated a special phone number for Federal grant and cooperative agreement
applicants/prospective applicants. Call the number below between 8 a.m. and 5 p.m., local time in the 48
contiguous states and speak to a D&B representative. This process will take approximately 5—10 minutes
and you will receive your DUNS number at the conclusion of the call.
1-866-705-5711
What do I need before I request a DUNS number?
Before you call D&B, you will need the following pieces of information:
• Legal Name
• Headquarters name and ad dress for your organization
• Doing business as(dba)or other name by which your organization is commonly recognized
• Physical address
• Mailing address (if separate from headquarters and/or physical address)
• Telephone number
• Contact name and title
• Number of employees at your physical location
How much does a DUNS number cost?
There is no charge to obtain a DUNS number.
Why does my institution need a DUNS number?
New regulations taking affect Oct. 1, 2003 mandate that a DUNS number be provided on all Federal grant
and cooperative agreement applications. The DUNS number will offer a way for the Federal government
to better match information across all agencies.
How do I see if my institution already has a DUNS number?
Call the toll free number above and indicate that you are a Federal grant and/or cooperative agreement
applicant. D&B will tell you if your organization already has a number assigned. If not,they will ask if you
wish to obtain one.
Should we use the+4 extension to the DUNS number?
Although D&B provides the ability to use a 4-digit extension to the DUNS number, neither D&B nor the
Federal government assign any importance to the extension. Benefits, if any, derived from the extension
will be at your institution only.
Is there anything special that we should do for multi-campus systems?
Multi-campus systems can use what is called a parent DUNS number to aggregate information for the
system as a whole. The main campus will need to be assigned a DUNS number. Then each satellite
campus will need to reference the main campus DUNS number as their parent DUNS when obtaining their
own DUNS number. For NIH grantees, if each campus submits grant applications as a unique grantee
organization,then each campus needs to obtain their own DUNS number.
What should we do if our Institution has more than 1 DUNS number?
Your institution will need to decide which DUNS number to use for grant application purposes and use only
that number.
Are there any exceptions to the new DUNS number rules?
53
Individuals who would personally receive a grant or cooperative agreement award from the Federal
government apart from any business or non-profit organization they may operate are exempt from this
requirement.
Who at my institution is responsible for requesting a DUNS number?
This will vary from institution to institution. This should be done by someone knowledgeable about the
entire structure of your institution and who has the authority to make such decisions. Typically,this request
would come from the finance/accounting department or some other department that conducts business
with a large cross section of the institution.
We are an organization new to Federal grant funding so we obviously need a DUNS number. But
we don't want to be included In any marketing list. What can we do?
Inclusion on a D&B marketing list is optional. If you do not want your name/organization included on this
marketing list, request to be de-listed from D&B's marketing file when you are speaking with a D&B
representative during your DUNS number telephone application.
Who do we contact If we have questions?
If you have questions about applying for a DUNS number, contact the Dun & Bradstreet special phone
number 1-866-705-5771. If you have questions concerning this new Federal-wide requirement, contact
Sandra Swab, Office of Federal Financial Management, 202-395-3993 or via e-mail at
sswab aaomb.eop.gov.
12. Substitute Form W-9 Submission and My Florida Markelace(MFMP1 Registration
For the purpose of this Agreement,a Sub-Recipient is also a Vendor. The State of Florida requires vendors
doing business with the State to submit a Substitute Form W-9. The purpose of a Form W-9 is to provide
a Federal Taxpayer Identification Number (TIN), official entity name, a business designation (sole
proprietorship, corporation, partnership, etc.), and other taxpayer information to the State. Submission of
a Form W-9 ensures that the State's vendor records and Form 1099 reporting are accurate. Due to specific
State of Florida requirements,the State will not accept the Internal Revenue Service Form W-9.
Effective March 5, 2012, State of Florida agencies will not be permitted to place orders for goods and
services or make payments to any vendor that does not have a verified Substitute W-9 on file with
the Department of Financial Services. Vendors are required to register and submit a Form W-9 on the
State's Vendor Website at https://flvendor.mvfloridacfo.com.
Sub-recipient must register with My Florida Marketplace utilizing myfloridamarketpiace.com website
concurrent with the execution of this agreement. Registration must be complete prior to returning this
agreement to FDEM for execution.
13. Small, Women Owned and Minority Owned Businesses
2 CFR 200.321 requires a non-Federal entity take all necessary affirmative steps to assure that minority
businesses, women's business enterprises, and labor surplus area firms are used when possible. These
affirmative steps must include:
(1)Placing qualified small and minority businesses and women's business enterprises on solicitation lists;
(2)Assuring that small and minority businesses,and women's business enterprises are solicited whenever
they are potential sources;
(3) Dividing total requirements, when economically feasible, into smaller tasks or quantities to permit
maximum participation by small and minority businesses, and women's business enterprises;
54
(4)Establishing delivery schedules,where the requirement permits,which encourage participation by small
and minority businesses, and women's business enterprises;
(5) Using the services and assistance, as appropriate, of such organizations as the Small Business
Administration and the Minority Business Development Agency of the Department of Commerce; and
(6) Requiring the prime contractor, if subcontracts are to be let, to take the affirmative steps listed in
paragraphs (1)through (5)of this section.
55
Attachment H
FEDERAL FUNDING ACCOUNTABILITY AND TRANSPARENCY ACT(FFATA)
INSTRUCTIONS AND WORKSHEET
PURPOSE:The Federal Funding Accountability and Transparency Act(FFATA)was signed on September
26,2006. The intent of this legislation is to empower every American with the ability to hold the government
accountable for each spending decision. The FFATA legislation requires information on Federal awards
(Federal assistance and expenditures) be made available to the public via a single, searchable website,
which is http://www.usaspending.gov/.
The FFATA Subaward Reporting System (FSRS) is the reporting tool the Florida Division of Emergency
Management("FDEM"or"Division")must use to capture and report sub-award and executive compensation
data regarding first-tier subawards that obligate $25,000 or more in Federal funds (excluding Recovery
funds as defined in section 1512(a) (2) of the American Recovery and Reinvestment Act of 2009, Pub. L.
111-5).
Note:This"Instructions and Worksheet"is meant to explain the requirements of the FFATA and give clarity
to the FFATA Form distributed to sub-awardees for completion. All pertinent information below should be
filled out,signed, and returned to the project manager.
ORGANIZATION AND PROJECT INFORMATION
The following information must be provided to the FDEM prior to the FDEM's issuance of a
subaward(Agreement)that obligates$25,000 or more in Federal funds as described above. Please
provide the following information and return the signed form to the Division as requested.
PRINCIPAL PLACE OF PROJE T PERFORMANCE(IF DIFFERENT THAN PRINCIPAL PLACE OF
BUSINESS): } 6 4 h1`To'�l
ADDRESS LINE 1: "" '� ,` t ( ,tkettvf v,m • \Vik \O
ADDRESS LINE 2:
ADDRESS LINE 3:
CITY �,; pyi v)�� 1 STATE F-L ZIP CODE+4** 53 4 z e
CONGRESSIONAL DISTRICT FOR PRINCIPAL PLACE OF PROJECT PERFORMANCE:
**Providing the Zip+4 ensures that the correct Congressional District is reported.
Private non-profits and state agencies may move to the signature block below to complete the
certification and submittal process.
EXECUTIVE COMPENSATION INFORMATION:
1. In your business or organization's previous fiscal year, did your business or organization (including
parent organization, all branches, and all affiliates worldwide):
a. Receive 80 percent or more of your annual gross revenues from Federal
procurement contracts (and subcontracts) and Federal financial assistance (e.g.
loans, grants, subgrants, and/or cooperative agreements, etc.) subject to the
Transparency Act, as defined at 2 CFR 170.320 (and subawards);
AND
56
b. $25,000,000 or more in annual gross revenues from U.S. Federal procurement
contracts (and subcontracts)and Federal financial assistance (e.g. loans, grants,
subgrants,and/or cooperative agreements,etc.)subject to the Transparency Act?
Yes ❑ No [P'
If the answer to Question t Is "Yes,"continue to Question 2. If the answer to Question 9 Is "No';
move to the signature block below to complete the certification and submittal process.
2. Does the public have access to information about the compensation of the executives in your
business or organization (including parent organization, all branches, and all affiliates worldwide)
through periodic reports filed under section 13(a)or 15(d)of the Securities Exchange Act of 1934
(15 U.S.C. 78m(a), 78o(d))Section 6104 of the Internal Revenue Code of 1986?
Yes LI No [11
if the answer to Question 2 Is "Yes,"move to the signature block below to complete the certification
and submittal process. [Note: Securities Exchange Commission information should be accessible at
http//www.sec.gov/answers/execomp.htm. Requests for Internal Revenue Service (IRS) information
should be directed to the local IRS for further assistance.]
if the answer to Question 2 Is "No," provide the information required in the "TOTAL
COMPENSATION CHART FOR MOST RECENTLY COMPLETED FISCAL YEAR"appearing below to
report the "Total Compensation" for the five (5) most highly compensated "Executives", in rank
order, In your organization. For purposes of this request,the following terms apply as defined in 2 CFR
Ch. 1 Part 170 Appendix A:
"Executive" is defined as"officers, managing partners, or other employees in management positions".
"Total Compensation"is defined as the cash and noncash dollar value earned by the executive during the
most recently completed fiscal year and includes the following:
i. Salary and bonus.
ii. Awards of stock,stock options,and stock appreciation rights. Use the dollar amount recognized
for financial statement reporting purposes with respect to the fiscal year in accordance with the
Statement of Financial Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared
Based Payments.
iii. Earnings for services under non-equity incentive plans.This does not include group life,health,
hospitalization or medical reimbursement plans that do not discriminate in favor of executives,
and are available generally to all salaried employees.
iv. Change in pension value. This is the change in present value of defined benefit and actuarial
pension plans.
v. Above-market earnings on deferred compensation which is not tax-qualified.
vi. Other compensation, if the aggregate value of all such other compensation (e.g. severance,
termination payments, value of life insurance paid on behalf of the employee, perquisites or
property)for the executive exceeds$10,000.
57
TOTAL COMPENSATION CHART FOR MOST RECENTLY COMPLETED FISCAL YEAR
(Date of Fiscal Year Completion
Rank Total Compensation
(Highest to Name for Most Recently
Lowest) (Last, First, MI) Title Completed Fiscal Year
1
2
3
4
5
THE UNDERSIGNED CERTIFIES THAT ON THE DATE WRITTEN BELOW, THE INFORMATION
PROVIDED HEREIN IS ACCU TE.
SIGNATURE: ,� \1 Clakra
NAME AND TITLE: I d'R1 �ONRAO Q.►Q'Q, (11+4 ,1l euva,�.e
DATE: 3 H 2D ,]
58
Attachment I
Mandatory Contract Provisions
Provisions:
Any contract or subcontract funded by this Agreement must contain the applicable provisions outlined in
Appendix II to 2 CFR Part 200. It is the responsibility of the Sub-Recipient to include the required provisions.
FEMA has created a guidance document/checklist pertaining to these required provisions. It is attached
hereto as Attachment I.
2 C.F.R. §200.326 and 2 C.F.R. Part 200,Appendix II, Required Contract Clauses
Requirements under the Uniform Rules. A non-Federal entity's contracts must contain the applicable
contract clauses described in Appendix II to the Uniform Rules (Contract Provisions for non-Federal
Entity Contracts Under Federal Awards),which are set forth below. 2 C.F.R.§200.326. For some of the
required clauses we have included sample language or a reference a non-Federal entity can go to in
order to find sample language. Please be aware that this is sample language only and that the non-
Federal entity alone is responsible ensuring that all language included in their contracts meets the
requirements of 2 C.F.R. § 200.326 and 2 C.F.R. Part 200, Appendix II. We do not include sample
language for certain required clauses (remedies, termination for cause and convenience, changes)as
these must necessarily be written based on the non-Federal entity's own procedures in that area.
1. Remedies
a. Standar 1: Contracts for more than the simplified acquisition threshold ($150,000) must
address administrative, contractual, or legal remedies in instances where contractors
violate or breach contract terms, and provide for such sanctions and penalties as
appropriate. See 2 C.F.R. Part 200,Appendix II,I A.
b. Applicability: This requirement applies to all FEMA grant and cooperative
agreement programs.
2. Termination for Cause and Convenience
a. All contracts in excess of $10,000 must address termination for cause and for
convenience by the non-Federal entity including the manner by which it will be
effected and the basis for settlement. See 2 C.F.R. Part 200, Appendix II, B.
b. Applicability. This requirement applies to all FEMA grant and cooperative
agreement programs.
3. Equal Employment Opportunity
a. Standard. Except as otherwise provided under 41 C.F.R. Part 60, all contracts that
meet the definition of "federally assisted construction contract" in 41 C.F.R. § 60-1.3
must include the equal opportunity clause provided under 41 C.F.R. § 60- 1.4(b), in
accordance with Executive Order 11246,Equal Employment Opportunity(30 Fed.Reg.
12319, 12935, 3 C.F.R. Part, 1964-1965 Comp., p. 339), as amended by Executive
Order 11375, Amending Executive Order 11246 Relating to Equal Employment
Opportunity, and implementing regulations at 41 C.F.R. Part 60 (Office of Federal
Contract Compliance Programs,Equal Employment Opportunity,Department of Labor).
59
See 2 C.F.R. Part 200, Appendix II,C.
b. Key Definitions.
(1) Federally Assisted Construction Contract. The regulation at 41 C.F.R.
§60-1.3 defines a"federally assisted construction contract"as any agreement
or modification thereof between any applicant and a person for construction
work which is paid for in whole or in part with funds obtained from the
Government or borrowed on the credit of the Government pursuant to any
Federal program involving a grant, contract, loan, insurance, or guarantee, or
undertaken pursuant to any Federal program involving such grant, contract,
loan, insurance, or guarantee, or any application or modification thereof
approved by the Government fora grant,contract,loan,insurance,or guarantee
under which the applicant itself participates in the construction work.
(2) Construction Work. The regulation at 41 C.F.R. § 60-1.3 defines
"construction work" as the construction, rehabilitation, alteration, conversion,
extension, demolition or repair of buildings, highways, or other changes or
improvements to real property,including facilities providing utility services. The
term also includes the supervision, inspection, and other onsite functions
incidental to the actual construction.
c. Applicability. This requirement applies to all FEMA grant and cooperative
agreement programs.
d. The regulation at 41 C.F.R.Part 60-1.4f bI requires the insertion of the following
contract clause:
"During the performance of this contract the contractor agrees as follows;
(1) The contractor will not discriminate against any employee or applicant for
employment because of race, color, religion, sex, or national origin. The
contractor will take affirmative action to ensure that applicants are employed, and
that employees are treated during employment without regard to their race,color,
religion, sex, or national origin. Such action shall include, but not be limited to
the following: Employment, upgrading, demotion, or transfer; recruitment or
recruitment advertising; layoff or termination; rates of pay or other forms of
compensation; and selection for training, including apprenticeship. The
contractor agrees to post in conspicuous places, available to employees and
applicants for employment, notices to be provided setting forth the provisions of
this nondiscrimination clause.
(2) The contractor will, in all solicitations or advertisements for employees
placed by or on behalf of the contractor, state that all qualified applicants will
receive considerations for employment without regard to race, color, religion,
sex,or national origin.
(3) The contractor will send to each labor union or representative of workers
with which he has a collective bargaining agreement or other contract or
understanding,a notice to be provided advising the said labor union or workers'
representatives of the contractor's commitments under this section, and shall
post copies of the notice in conspicuous places available to employees and
applicants for employment.
(4) The contractor will comply with all provisions of Executive Order 11246 of
60
September 24, 1965, and of the rules, regulations, and relevant orders of the
Secretary of Labor.
(5) The contractor will furnish all information and reports required by Executive
Order 11246 of September 24, 1965, and by rules, regulations, and orders of
the Secretary of Labor,or pursuant thereto,and will permit access to his books,
records, and accounts by the administering agency and the Secretary of Labor
for purposes of investigation to ascertain compliance with such rules,
regulations,and orders.
(6) In the event of the contractor's noncompliance with the
nondiscrimination clauses of this contract or with any of the said rules,
regulations, or orders, this contract may be canceled, terminated, or
suspended in whole or in part and the contractor may be declared ineligible for
further Government contracts or federally assisted construction contracts in
accordance with procedures authorized in Executive Order 11246 of
September 24, 1965, and such other sanctions as may be imposed and
remedies invoked as provided in Executive Order 11246 of September 24,
1965,or by rule, regulation, or order of the Secretary of Labor,or as otherwise
provided by law.
(7) The contractor will include the portion of the sentence immediately
preceding paragraph (1) and the provisions of paragraphs (1) through (7) in
every subcontract or purchase order unless exempted by rules, regulations, or
orders of the Secretary of Labor issued pursuant to section 204 of Executive
Order 11246 of September 24, 1965, so that such provisions will be binding
upon each subcontractor or vendor. The contractor will take such action with
respect to any subcontract or purchase order as the administering agency may
direct as a means of enforcing such provisions, including sanctions for
noncompliance: Provided, however, That in the event a contractor becomes
involved in, or is threatened with, litigation with a subcontractor or vendor as a
result of such direction by the administering agency the contractor may request
the United States to enter into such litigation to protect the interests of the United
States."
4. Davis Bacon Act and Copeland Anti-Kickback Act
a. Applicability of Davis-Bacon Act. The Davis-Bacon Act only applies to the emergency
Management Preparedness Grant Program, Homeland Security Grant Program,
Nonprofit Security Grant Program, Tribal Homeland Security Grant Program, Port
Security Grant Program, and Transit Security Grant Program. It does not apply to
other FEMA grant and cooperative agreement programs, including the Public
Assistance Program.
b. All prime construction contracts in excess of$2,000 awarded by non-Federal entities
must include a provision for compliance with the Davis-Bacon Act(40.S.C. §§3141-
3144 and 3146-3148) as supplemented by Department of Labor regulations at 29
C.F.R. Part 5 (Labor Standards Provisions Applicable to Contracts Covering
Federally Financed and Assisted Construction)). See 2 C.F.R. Part 200, Appendix
II, D.
c. In accordance with the statute, contractors must be required to pay wages to laborers
and mechanics at a rate not less than the prevailing wages specified in a wage
determination made by the Secretary of Labor. In addition,contractors must be required
to pay wages not less than once a week.
61
d. The non-Federal entity must place a copy of the current prevailing wage determination
issued by the Department of Labor in each solicitation. The decision to award a contract
or subcontract must be conditioned upon the acceptance of the wage determination. The
non-Federal entity must report all suspected or reported violations to the Federal awarding
agency.
e. In contracts subject to the Davis-Bacon Act,the contracts must also include a provision for
compliance with the Copeland "Anti-Kickback"Act (40 U.S.C. § 3145), as supplemented
by Department of Labor regulations at 29 C.F.R. Part 3 (Contractors and Subcontractors
on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from
the United States). The Copeland Anti- Kickback Act provides that each contractor or
subrecipient must be prohibited from inducing,by any means,any person employed in the
construction, completion, or repair of public work,to give up any part of the compensation
to which he or she is otherwise entitled. The non-Federal entity must report all suspected
or reported violations to FEMA.
f. The regulation at 29 C.F.R.§5.5(a)does provide the required contract clause that applies
to compliance with both the Davis-Bacon and Copeland Acts. However, as discussed in
the previous subsection, the Davis-Bacon Act does not apply to Public Assistance
recipients and subrecipients. In situations where the Davis-Bacon Act does not manly,
neither does the Copeland "Anti-Kickback Act." However, for purposes of grant
programs where both clauses do apply, FEMA requires the following contract clause:
"Comolianke with the Copeland"Anti-Kickback"Act.
(1) Contractor.The contractor shall comply with 18 U.S.C. §874,40
U.S.C. §3145, and the requirements of 29 C.F.R. pt. 3 as may be applicable,
which are incorporated by reference into this contract.
(2) Subcontracts. The contractor or subcontractor shall insert in any
subcontracts the clause above and such other clauses as the FEMA may by
appropriate instructions require, and also a clause requiring the subcontractors
to include these clauses in any lower tier subcontracts. The prime contractor
shall be responsible for the compliance by any subcontractor or lower tier
subcontractor with all of these contract clauses.
(3) Breach. A breach of the contract clauses above may be grounds for
termination of the contract, and for debarment as a contractor and
subcontractor as provided in 29 C.F.R. §5.12."
5. Contract Work Hours and Safety Standards Act
a. Applicability: This requirement applies to all FEMA grant and cooperative
agreement programs.
b. Where applicable(see 40 U.S.C. §3701), all contracts awarded by the non-Federal entity
in excess of$100,000 that involve the employment of mechanics or laborers must include
a provision for compliance with 40 U.S.C. §§ 3702 and 3704, as supplemented by
Department of Labor regulations at 29 C.F.R. Part 5. See 2 C.F.R. Part 200,Appendix II,
E.
c. Under 40 U.S.C.§3702,each contractor must be required to compute the wages of every
mechanic and laborer on the basis of a standard work week of 40 hours. Work in excess
of the standard work week is permissible provided that the worker is compensated at a
rate of not less than one and a half times the basic rate of pay for all hours worked in
62
excess of 40 hours in the work week.
d. The requirements of 40 U.S.C. §3704 are applicable to construction work and provide
that no laborer or mechanic must be required to work in surroundings or under working
conditions which are unsanitary,hazardous or dangerous. These requirements do not
apply to the purchases of supplies or materials or articles ordinarily available on the
open market, or contracts for transportation or transmission of intelligence.
e. The regulation at 29 C.F.R. §5.5(b)provides the required contract clause concerning
compliance with the Contract Work Hours and Safety Standards Act:
"Compliance with the Contract Work Hours and Safety Standards Act.
(1) Overtime requirements.No contractor or subcontractor contracting for any
part of the contract work which may require or involve the employment of
laborers or mechanics shall require or permit any such laborer or mechanic in
any workweek in which he or she is employed on such work to work in excess
of forty hours in such workweek unless such laborer or mechanic receives
compensation at a rate not less than one and one-half times the basic rate of
pay for all hours worked in excess of forty hours in such workweek.
(2) Violation; liability for unpaid wages: liquidated damages. In the event of
any violation of the clause set forth in paragraph (1) of this section the
contractor and any subcontractor responsible therefor shall be liable for the
unpaid wages. In addition,such contractor and subcontractor shall be liable to
the United States (in the case of work done under contract for the District of
Columbia or a territory, to such District or to such territory), for liquidated
damages. Such liquidated damages shall be computed with respect to each
individual laborer or mechanic, including watchmen and guards, employed in
violation of the clause set forth in paragraph (1)of this section, in the sum of
$10 for each calendar day on which such individual was required or permitted
to work in excess of the standard workweek of forty hours without payment of
the overtime wages required by the clause set forth in paragraph (1) of this
section.
(3) Withholding for unpaid wages and liquidated damages. The(write in the
name of the Federal agency or the loan or grant recipient) shall upon its own
action or upon written request of an authorized representative of the Department
of Labor withhold or cause to be withheld,from any moneys payable on account
of work performed by the contractor or subcontractor under any such contract
or any other Federal contract with the same prime contractor, or any other
federally-assisted contract subject to the Contract Work Hours and Safety
Standards Act,which is held by the same prime contractor,such sums as may
be determined to be necessary to satisfy any liabilities of such contractor or
subcontractor for unpaid wages and liquidated damages as provided in the
clause set forth in paragraph (2)of this section.
(4) Subcontracts. The contractor or subcontractor shall insert in any
subcontracts the clauses set forth in paragraph(1)through(4)of this section
and also a clause requiring the subcontractors to include these clauses in
any lower tier subcontracts. The prime contractor shall be responsible for
compliance by any subcontractor or lower tier subcontractor with the clauses
set forth in paragraphs (1)through (4)of this section."
6. Rights to Inventions Made Under a Contract or Agreement
63
a. Stafford Act Disaster Grants. This requirement does not apply to the Public
Assistance, Hazard Mitigation Grant Program, Fire Management Assistance Grant
Program, Crisis Counseling Assistance and Training Grant Program, Disaster Case
Management Grant Program,and Federal Assistance to Individuals and Households—
Other Needs Assistance Grant Program, as FEMA awards under these programs do
not meet the definition of"funding agreement."
b. If the FEMA award meets the definition of "funding agreement" under 37 C.F.R.§
401.2(a)and the non-Federal entity wishes to enter into a contract with a small business
firm or nonprofit organization regarding the substitution of parties, assignment or
performance of experimental, developmental, or research work under that "funding
agreement," the non-Federal entity must comply with the requirements of 37 C.F.R.
Part 401 (Rights to Inventions Made by Nonprofit Organizations and Small Business
Firms Under Government Grants, Contracts and Cooperative Agreements), and any
implementing regulations issued by FEMA. See 2 C.F.R. Part 200, Appendix II, F.
c. The regulation at 37 C.F.R. § 401.2(a) currently defines "funding agreement' as any
contract, grant, or cooperative agreement entered into between any Federal agency,
other than the Tennessee Valley Authority, and any contractor for the performance of
experimental,developmental,or research work funded in whole or in part by the Federal
government. This term also includes any assignment, substitution of parties, or
subcontract of any type entered into for the performance of experimental,
developmental, or research work under a funding agreement as defined in the first
sentence of this paragraph.
7. Clean Air Act and the Federal Water Pollution Control Act
Contracts of amounts in excess of$150,000 must contain a provision that requires the contractor
to agree to comply with all applicable standards,orders,or regulations issued pursuant to the Clean
Air Act (42 U.S.C.§§ 7401-7671q) and the Federal Water Pollution Control Act as amended (33
U.S.C. §§ 1251-1387). Violations must be reported to FEMA and the Regional Office of the
Environmental Protection Agency. See 2 C.F.R. Part 200,Appendix II,G.
a. The following provides a sample contract clause concerning compliance for
contracts of amounts in excess of$150,000:
Clean Air Act
(1) The contractor agrees to comply with all applicable standards, orders or
regulations issued pursuant to the Clean Air Act,as amended,42 U.S.C.
§7401 et seq.
(2) The contractor agrees to report each violation to the(name of the state
agency or local or Indian tribal government)and understands and agrees that
the(name of the state agency or local or Indian tribal government)will,in turn,
report each violation as required to assure notification to the (name of
recipient), Federal Emergency Management Agency, and the appropriate
Environmental Protection Agency Regional Office.
(3) The contractor agrees to include these requirements in each subcontract
exceeding $150,000 financed in whole or in part with Federal assistance
provided by FEMA.
Federal Water Pollution Control Act
64
(1) The contractor agrees to comply with all applicable standards, orders or
regulations issued pursuant to the Federal Water Pollution Control Act, as
amended, 33 U.S.C. 1251 et seq.
(2) The contractor agrees to report each violation to the (name of the state
agency or local or Indian tribal government) and understands and agrees that
the (name of the state agency or local or Indian tribal government) will, in turn,
report each violation as required to assure notification to the(name of recipient),
Federal Emergency Management Agency, and the appropriate Environmental
Protection Agency Regional Office.
(3) The contractor agrees to include these requirements in each
subcontract exceeding $150,000 financed in whole or in part with
Federal assistance provided by FEMA."
8. Debarment and Suspension
a. Applicability. This requirement applies to all FEMA grant and cooperative
agreement programs.
b. Non-federal entities and contractors are subject to the debarment and suspension
regulations implementing Executive Order 12549, Debarment and Suspension (1986)
and Executive Order 12689,Debarment and Suspension(1989)at 2 C.F.R. Part 180 and
the Department of Homeland Security's regulations at 2 C.F.R. Part 3000
(Nonprocurement Debarment and Suspension).
c. These regulations restrict awards,subawards,and contracts with certain parties that are
debarred,suspended,or otherwise excluded from or ineligible for participation in Federal
assistance programs and activities. See 2 C.F.R. Part 200, Appendix II, H; and
Procurement Guidance for Recipients and Subrecipients Under 2 C.F.R. Part 200
(Uniform Rules): Supplement to the Public Assistance Procurement Disaster
Assistance Team(PDAT)Field Manual Chapter IV,6.d, and Appendix C,2 [hereinafter
PDAT Supplement]. A contract award must not be made to parties listed in the SAM
Exclusions. SAM Exclusions is the list maintained by the General Services
Administration that contains the names of parties debarred, suspended, or otherwise
excluded by agencies,as well as parties declared ineligible under statutory or regulatory
authority other than Executive Order 12549. SAM exclusions can be accessed at
www.sam.00v. See 2 C.F.R. § 180.530; PDAT Supplement, Chapter IV, 6.d and
Appendix C, 2.
d. In general,an"excluded"party cannot receive a Federal grant award or a contract within
the meaning of a "covered transaction," to include subawards and subcontracts. This
includes parties that receive Federal funding indirectly,such as contractors to recipients
and subrecipients. The key to the exclusion is whether there is a"covered transaction,"
which is any nonprocurement transaction (unless excepted) at either a "primary'" or
"secondary" tier. Although "covered transactions" do not include contracts awarded by
the Federal Government for purposes of the nonprocurement common rule and DHS's
implementing regulations, it does include some contracts awarded by recipients and
subrecipient.
e. Specifically, a covered transaction includes the following contracts for goods or
services:
(1)The contract is awarded by a recipient or subrecipient in the amount of
at least$25,000.
65
(2)The contract requires the approval of FEMA, regardless of amount.
(3)The contract is for federally-required audit services.
(4)A subcontract is also a covered transaction if it is awarded by the contractor
of a recipient or subrecipient and requires either the approval of FEMA or is in
excess of$25,000.
d. The following provides a debarment and suspension clause. It incorporates an
optional method of verifying that contractors are not excluded or disqualified:
Suspension and Debarment
(1) This contract is a covered transaction for purposes of 2 C.F.R.pt. 180 and
2 C.F.R. pt. 3000. As such the contractor is required to verify that none of the
contractor, its principals(defined at 2 C.F.R. § 180.995),or its affiliates (defined
at 2 C.F.R. § 180.905) are excluded (defined at 2 C.F.R.§ 180.940) or
disqualified(defined at 2 C.F.R. § 180.935).
(2) The contractor must comply with 2 C.F.R. pt. 180, subpart C and 2 C.F.R.
pt. 3000, subpart C and must include a requirement to comply with these
regulations in any lower tier covered transaction it enters into.
(3) This certification is a material representation of fact relied upon by (insert
name of subrecipient). If it is later determined that the contractor did not
comply with 2 C.F.R. pt. 180, subpart C and 2 C.F.R. pt. 3000, subpart C, in
addition to remedies available to (name of state agency serving as recipient
and name of subrecipient), the Federal Government may pursue available
remedies, including but not limited to suspension and/or debarment.
(4) The bidder or proposer agrees to comply with the requirements of 2 C.F.R.
pt. 180, subpart C and 2 C.F.R. pt. 3000, subpart C while this offer is valid and
throughout the period of any contract that may arise from this offer.The bidder
or proposer further agrees to include a provision requiring such compliance in
its lower tier covered transactions."
9. Byrd Anti-Lobbying Amendment
a. Applicability: This requirement applies to all FEMA grant and cooperative
agreement programs.
b. Contractors that apply or bid for an award of$100,000 or more must file the required
certification. See 2 C.F.R. Part 200, Appendix ll, I; 44 C.F.R. Part 18; PDAT
Supplement, Chapter IV,6.c;Appendix C,4.
c. Each tier certifies to the tier above that it will not and has not used Federal appropriated
funds to pay any person or organization for influencing or attempting to influence an
officer or employee of any agency, a member of Congress, officer or employee of
Congress, or an employee of a member of Congress in connection with obtaining any
Federal contract, grant or any other award covered by 31 U.S.C. § 1352. Each tier
must also disclose any lobbying with non-Federal funds that takes place in connection
with obtaining any Federal award. Such disclosures are forwarded from tier to tier up
to the non-Federal award. See PDAT Supplement,Chapter IV,6.c and Appendix C,4.
66
d. The following provides a Byrd Anti-Lobbying contract clause:
Byrd Anti-Lobbying Amendment 31 U.S.C. § 1352 Las amended)
Contractors who apply or bid for an award of $100,000 or more shall file the required
certification. Each tier certifies to the tier above that it will not and has not used Federal
appropriated funds to pay any person or organization for influencing or attempting to influence
an officer or employee of any agency, a member of Congress, officer or employee of
Congress,or an employee of a member of Congress in connection with obtaining any Federal
contract,grant,or any other award covered by 31 U.S.C.§1352.Each tier shall also disclose
any lobbying with non-Federal funds that takes place in connection with obtaining any Federal
award.Such disclosures are forwarded from tier to tier up to the recipient."
APPENDIX A. 44 C.F.R. PART 18—CERTIFICATION REGARDING LOBBYING
Certification for Contracts, Grants, Loans, and Cooperative Agreements (To be
submitted with each bid or offer exceeding $100,000) The undersigned
[Contractor] certifies,to the best of his or her knowledge,that:
1. 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
of 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.
2. 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 of 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 Form to
Report Lobbying," in accordance with its instructions.
3. The undersigned shall require that the language of this certification 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 31, U.S.C. § 1352 (as amended by
the Lobbying Disclosure Act of 1995). 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.
The Contractor, , certifies or affirms the truthfulness and
accuracy of each statement of its certification and disclosure, if any. In addition, the
Contractor understands and agrees that the provisions of 31 U.S.C. §3801 et seq., apply
to this certification and disclosure, if any.
67
Signature of Contractor's Authorized Official
Name and Title of Contractor's Authorized Official
Date
10. Procurement of Recovered Materials
a. Applicability: This requirement applies to all FEMA grant and cooperative
agreement programs.
b. A non-Federal entity that is a state agency or agency of a political subdivision of a state
and its contractors must comply with Section 6002 of the Solid Waste Disposal Act, Pub.
L. No.89-272(1965)(codified as amended by the Resource Conservation and Recovery
Act at 42 U.S.C. § 6962). See 2 C.F.R. Part 200, Appendix H, J; 2 C.F.R. § 200.322;
PDAT Supplement, Chapter V, 7.
c. The requirements of Section 6002 include procuring only items designated in guidelines
of the EPA at 40 C.F.R. Part 247 that contain the highest percentage of recovered
materials practicable, consistent with maintaining a satisfactory level of competition,
where the purchase price of the item exceeds $10,000 or the value of the quantity
acquired by the preceding fiscal year exceeded $10,000; procuring solid waste
management services in a manner that maximizes energy and resource recovery; and
establishing an affirmative procurement program for procurement of recovered materials
identified in the EPA guidelines.
d. The following provides the clause that a state agency or agency of a political
subdivision of a state and its contractors can include in contracts meeting the above
contract thresholds:
"(1)In the performance of this contract,the Contractor shall make maximum use
of products containing recovered materials that are EPA- designated items
unless the product cannot be acquired—
(i) Competitively within a timeframe providing for compliance with
the contract performance schedule;
(ii)Meeting contract performance requirements;or
68
(iii)At a reasonable price.
(2) Information about this requirement, along with the list of EPA-
designate items, is available at EPA's Comprehensive Procurement
Guidelines web site, https://www.epa.pov/smm/comr>rehensive-
procu rement-guideline-cpq-program."
11. Additional FEMA Requirements
a. The Uniform Rules authorize FEMA to require additional provisions for non- Federal
entity contracts. FEMA, pursuant to this authority, requires or recommends the
following:
b. Changes
To be eligible for FEMA assistance under the non-Federal entity's FEMA grant or cooperative
agreement, the cost of the change, modification, change order,or constructive change must
be allowable, allocable, within the scope of its grant or cooperative agreement, and
reasonable for the completion of project scope. FEMA recommends, therefore, that a non-
Federal entity include a changes clause in its contract that describes how, if at all, changes
can be made by either party to alter the method, price, or schedule of the work without
breaching the contract. The language of the clause may differ depending on the nature of
the contract and the end-item procured.
c. Access to Records
All non-Federal entities must place into their contracts a provision that all contractors and
their successors, transferees, assignees, and subcontractors acknowledge and agree to
comply with applicable provisions governing Department and FEMA access to records,
accounts, documents, information, facilities, and staff. See DHS Standard Terms and
Conditions,v 3.0, XXVI (2013).
d. The following provides a contract clause regarding access to records:
"Access to Records. The following access to records requirements apply to this
contract:
(1) The contractor agrees to provide(insert name of state agency or local or
Indian tribal government),(insert name of recipient),the FEMA Administrator,
the Comptroller General of the United States, or any of their authorized
representatives access to any books, documents, papers, and records of the
Contractor which are directly pertinent to this contract for the purposes of
making audits, examinations,excerpts,and transcriptions.
(2) The Contractor agrees to permit any of the foregoing parties to reproduce
by any means whatsoever or to copy excerpts and transcriptions as reasonably
needed.
(3) The contractor agrees to provide the FEMA Administrator or his
authorized representatives access to construction or other work sites
pertaining to the work being completed under the contract."
12. DHS Seal,_Logo,and Flags
a. All non-Federal entities must place in their contracts a provision that a contractor shall
69
not use the DHS seal(s), logos, crests, or reproductions of flags or likenesses of DHS
agency officials without specific FEMA pre-approval. See OHS Standard Terms and
Conditions,v 3.0,XXV(2013).
b. The following provides a contract clause regarding DHS Seal,Logo,and Flags: "The
contractor shall not use the DHS seal(s), logos, crests, or reproductions of flags or
likenesses of DHS agency officials without specific FEMA pre- approval."
13. Compliance with Federal Law,Regulations, and Executive Orders
a. All non-Federal entities must place into their contracts an acknowledgement that
FEMA financial assistance will be used to fund the contract along with the requirement
that the contractor will comply with all applicable federal law, regulations, executive
orders, and FEMA policies, procedures,and directives.
b. The following provides a contract clause regarding Compliance with Federal Law,
Regulations,and Executive Orders: "This is an acknowledgement that FEMA financial
assistance will be used to fund the contract only. The contractor will comply will all
applicable federal law, regulations, executive orders, FEMA policies, procedures, and
directives."
14. No Obligation by Federal Government
a. The non-Federal entity must include a provision in its contract that states that the
Federal Government is not a party to the contract and is not subject to any obligations
or liabilities to the non-Federal entity, contractor,or any other party pertaining to any
matter resulting from the contract.
b. The following provides a contract clause regarding no obligation by the Federal
Government: "The Federal Government is not a party to this contract and is not subject
to any obligations or liabilities to the non-Federal entity, contractor, or any other party
pertaining to any matter resulting from the contract."
15. Program Fraud and False or Fraudulent Statements or Related Acts
a. The non-Federal entity must include a provision in its contract that the contractor
acknowledges that 31 U.S.C.Chap. 38(Administrative Remedies for False Claims and
Statements)applies to its actions pertaining to the contract.
b. The following provides a contract clause regarding Fraud and False or Fraudulent or
Related Acts: "The contractor acknowledges that 31 U.S.C. Chap. 38 (Administrative
Remedies for False Claims and Statements) applies to the contractor's actions
pertaining to this contract."
70
Attachment J
DHS OIG AUDIT ISSUES and ACKNOWLEDGEMENT
The Department of Homeland Security (DHS) Office of Inspector General (OIG) was tasked by
Congress to audit all FEMA projects for fiscal year 2014. A synopsis of those findings are listed
below:
There have been 32 separate instances where Grantees/Recipients or Sub-Recipients did not follow the
prescribed rules to the point that the OIG believed the below listed violations could have nullified the
FEMA/State agreement.
1. Non Competitive contracting practices.
2. Failure to include required contract provisions.
3. Failure to employ the required procedures to ensure that small,minority,and women's owned firms
were all given fair consideration.
4. Improper"cost-plus-a-percentage-of-cost"contracting practices.
The following information comes directly from DHS's OIG Audit Tips for Managing Disaster Related
Project Costs; Report Number OIG-16-109-D dated July 1,2016. The following may be reasons for
the disallowance or total de-obligation of funding given under the FEMA/State agreement:
1. Use of improper contracting practices.
2. Unsupported costs.
3. Poor project accounting.
4. Duplication of benefits.
5. Excessive equipment charges(applicability may vary with hazard mitigation projects).
6. Excessive labor and fringe benefit charges.
7. Unrelated project costs.
8. Direct Administrative Costs.
9. Failure to meet the requirement to obtain and maintain insurance.
Key Points that must be followed when Administering FEMA Grants:
• Designate one person to coordinate the accumulation of records.
• Establish a separate and distinct account for recording revenue and expenditures, and a separate
identifier for each specific FEMA project.
• Ensure that the final claim for each project is supported by amounts recorded in the accounting
system.
• Ensure that each expenditure is recorded in the accounting books and references supporting
sources of documentation (checks, invoices, etc.)that can be readily retrieved.
• Research insurance coverage and seek reimbursement for the maximum amount. Credit the
appropriate FEMA project with that amount.
71
• Check with your Federal Grant Program Coordinator about availability of funding under other
Federal programs (Federal Highways, Housing and Urban Development, etc.)and ensure that the
final project claim does not include costs that another Federal agency funded or could have funded.
• Ensure that materials taken from existing inventories for use on FEMA projects are documented by
inventory withdrawal and usage records.
• Ensure that expenditures claimed under the FEMA project are reasonable, necessary, directly
benefit the project, and are authorized under the"Scope of Work."
I acknowledge that I have received a copy of,and have been briefed on,the above DHS OIG Audit issues.
e(1-y 6 , ee kmein —3k�20 —
Sub-Re'cifpient Agency Date
Signature
1-0V0 OJAI NiAittQA-
Printed Name&Title
72
Attachment K
JUSTIFICATION FOR ADVANCE PAYMENT
RECIPIENT:
If you are requesting an advance, indicate same by checking the box below.
[ j ADVANCE REQUESTED
Advance payment of $ is
requested. Balance of payments will be made on a reimbursement
basis. These funds are needed to pay pending obligations for
eligible work. We would not be able to operate the program without
this advance.
If you are requesting an advance, complete the following chart and line item justification below.
BUDGET CATEGORY/LINE ITEMS 20_-20_Anticipated Expenditures for First Three Months
(list applicable line items) of Agreement
Example:PW#00001(0) Contract Work$1,500,000.00(provide detailed justification).
TOTAL EXPENSES
LINE ITEM JUSTIFICATION (For each line item, provide a detailed justification explaining the need
for the cash advance. The justification must include supporting documentation that clearly shows the
advance will be expended within the first ninety(90)days of the contract term. Support documentation
should include quotes for purchases,delivery timelines,salary and expense projections,etc.to provide the
Division reasonable and necessary support that the advance will be expended within the first ninety(90)
days of the contract term. Any advance funds not expended within the first ninety(90)days of the contract
term must be returned to the Division Cashier,2555 Shumard Oak Boulevard,Tallahassee, Florida 32399,
within thirty(30)days of receipt, along with any interest earned on the advance).
73